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Legg Mason Partners Municipal Funds – ‘N14EL24/A’ on 10/1/97

As of:  Wednesday, 10/1/97   ·   Accession #:  91155-97-443   ·   File #:  333-12709

Previous ‘N14EL24’:  ‘N14EL24/A’ on 9/25/97   ·   Latest ‘N14EL24’:  This Filing

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

10/01/97  Legg Mason Partners Muni Funds    N14EL24/A              5:20K                                    SSB Citi Fd … LLC/Adv/FA

Pre-Effective Amendment to Registration Statement of an Open-End Investment Company (Business Combination)   —   Form N-14
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: N14EL24/A   Pre-Effective Amendment to Registration Statement      3±    16K 
                          of an Open-End Investment Company                      
                          (Business Combination)                                 
 2: EX-99.11    Miscellaneous Exhibit                                  2±     9K 
 3: EX-99.12    Miscellaneous Exhibit                                  2±    12K 
 4: EX-99.14.A  Miscellaneous Exhibit                                  3±    13K 
 5: EX-99.14.B  Miscellaneous Exhibit                                  1      7K 


N14EL24/A   —   Pre-Effective Amendment to Registration Statement of an Open-End Investment Company (Business Combination)



As filed with the Securities and Exchange Commission on October 1, 1997 Registration No. 333-12709 U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [ x ] Pre-Effective Amendment No. 3 [ ] Post-Effective Amendment No. SMITH BARNEY MUNI FUNDS (Exact name of Registrant as specified in Charter) Area Code and Telephone Number: (800) 224-7523 388 Greenwich Street, New York, New York 10013 (Address of principal executive offices) (Zip Code) Christina T. Sydor, Esq. Smith Barney Inc. 388 Greenwich Street New York, New York 10013 (22nd floor) (Name and address of agent for service) copy to: John E. Baumgardner, Jr., Esq. Sullivan & Cromwell 125 Broad Street New York, NY 10004 Approximate date of proposed public offering: As soon as possible after the effective date of this Registration Statement. Registrant has registered an indefinite amount of securities pursuant to Rule 24f-2 under the Investment Company Act of 1940, as amended; accordingly, no fee is payable herewith. Registrant's Rule 24f-2 Notice for the fiscal period ended March 31, 1997 was filed with the Securities and Exchange Commission on May 9, 1997. Registrant hereby amends this Registration Statement on such date or dates as may be necessary to delay its effective date until the Registrant shall file a further amendment which specifically states that this Registration Statement shall thereafter become effective in accordance with Section 8(a) of the Securities Act of 1933 or until the Registration Statement shall become effective on such date as the Commission, by action pursuant to said Section 8(a), may determine. Pre-Effective Amendment No. 1 to the Registration Statement on Form N-14 (File No. 333-12709) (the "Registration Statement"), filed on September 24, 1997, Accession Number 0000091155-97- 000422, is hereby incorporated by reference in its entirety, subject only to the amendment of certain Exhibits, as specified below. This Pre-Effective Amendment No. 3 is being filed for the sole purpose of adding the Opinion of Special Massachusetts Counsel as Exhibits 14(a) and (b) to the Registration Statement, and amending the EDGAR versions of the Opinions of Counsel with respect to validity of shares and tax matters which were filed previously with Pre-Effective Amendment No. 1 as Exhibits 11 and 12, respectively. Exhibits 11 Opinion and consent of Sullivan & Cromwell with respect to the validity of shares (filed herewith). 12 Opinion and consent of Sullivan & Cromwell with respect to tax matters (filed herewith). 14(a) Opinion of special Massachusetts counsel (filed herewith). 14(b) Supplemental letter including consent of Massachusetts counsel (filed herewith). 17(a) Form of Proxy Card (incorporated by reference to Post- Effective Amendment No. 2 to the Registration Statement, filed on September 25, 1997, Accession Number 0000091155-97- 000425). SIGNATURES Pursuant to the requirements of the Securities Act of 1933, as amended, SMITH BARNEY MUNI FUNDS has duly caused this Pre- Effective Amendment No. 3 to the Registration Statement to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of New York, State of New York on the 1st day of October, 1997. SMITH BARNEY MUNI FUNDS By: /s/Heath B. McLendon Heath B. McLendon Chief Executive Officer As required by the Securities Act of 1933, this Registration Statement has been signed by the following persons in the capacities and on the dates indicated. Signature Title Date /s/Heath B. McLendon Chairman of the Board and October 1, 1997 Heath B. McLendon Chief Executive Officer (Trustee) /s/Lewis E. Daidone Senior Vice President and October 1, 1997 Lewis E. Daidone Treasurer (Chief Financial and Accounting Officer) \s\ Donald R. Foley* Trustee October 1, 1997 Donald R. Foley \s\ Paul Hardin* Trustee October 1, 1997 Paul Hardin \s\ Francis P. Martin* Trustee October 1, 1997 Francis P. Martin \s\ Roderick C. Rasmussen*Trustee October 1, 1997 Roderick C. Rasmussen \s\ John P. Toolan* Trustee October 1, 1997 John P. Toolan _________________ * Pursuant to Power of Attorney previously filed.

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘N14EL24/A’ Filing    Date    Other Filings
Filed on:10/1/97
9/25/97N14EL24/A
9/24/97N14EL24/A
5/9/9724F-2NT
3/31/9724F-2NT,  N-30D,  NSAR-B
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Filing Submission 0000091155-97-000443   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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