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
As filed with the Securities and Exchange Commission on August 30, 2007
File No. 333-02381/811-07589
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-1A
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X]
Pre-Effective Amendment No. [___]
Post-Effective Amendment No. 61 [X]
and/or
REGISTRATION STATEMENT UNDER THE
INVESTMENT COMPANY ACT OF 1940 [X]
Amendment No. 63 [X]
THE HARTFORD MUTUAL FUNDS, INC.
(Exact Name of Registrant as Specified in Charter)
P. O. Box 2999, Hartford, Connecticut 06104-2999
(Address of Principal Executive Offices)
Registrant's Telephone Number including Area Code: (860) 843-9934
Edward P. Macdonald, Esquire
The Hartford Financial Services Group, Inc.
Life Law - Mutual Funds Unit
200 Hopmeadow Street
Simsbury, Connecticut 06089
(Name and Address of Agent for Service)
Copy to:
John V. O'Hanlon, Esquire
Dechert LLP
200 Clarendon Street, 27th Floor
Boston, Massachusetts 02116-5021
It is proposed that this filing will become effective (check appropriate box):
[ ] immediately upon filing pursuant to paragraph (b) of Rule 485
[X] on August 31, 2007 pursuant to paragraph (b) of Rule 485
[ ] 60 days after filing pursuant to paragraph (a)(1) of Rule 485
[ ] on (Date) pursuant to paragraph (a)(1) of Rule 485
[ ] 75 days after filing pursuant to paragraph (a)(2) of Rule 485
[ ] on (Date) pursuant to paragraph (a)(2) of Rule 485
If appropriate, check the following box:
[ ] This post-effective amendment designates a new effective date for a
previously filed post-effective amendment.
THE HARTFORD MUTUAL FUNDS
CLASS Y SHARES
PROSPECTUS
AUGUST 31, 2007
AS WITH ALL MUTUAL FUNDS, THE SECURITIES AND EXCHANGE COMMISSION HAS NOT
APPROVED OR DISAPPROVED THESE SECURITIES OR PASSED UPON THE ADEQUACY OF THIS
PROSPECTUS. ANY REPRESENTATION TO THE CONTRARY IS A CRIMINAL OFFENSE.
THE HARTFORD STRATEGIC INCOME FUND
THE HARTFORD MUTUAL FUNDS
P.O. BOX 64387
ST. PAUL, MN 55164-0387
[THIS PAGE IS INTENTIONALLY LEFT BLANK]
2
CONTENTS
[Enlarge/Download Table]
INTRODUCTION INTRODUCTION
------------ ------------
A summary of the fund's goals, The Hartford Strategic Income Fund 5
principal strategies, main risks,
performance and expenses
Description of other investment Investment strategies and investment
strategies and investment risks matters Terms used in this Prospectus 8
Investment manager and management fee Management of the fund 12
information
Information on your account About your account 15
Class Y share investor requirements 15
Compensation to Broker-Dealers, Financial
Institutions and Other Persons 15
Opening an account 17
Buying shares 19
Selling shares 21
Transaction policies 23
Dividends and account policies 26
Additional investor services 27
Further information on the fund Financial highlights 28
Fund code, CUSIP number and symbol 30
For more information back cover
3
INTRODUCTION
The fund has its own investment strategy and risk/reward profile. This
prospectus relates to Class Y shares of the fund. The fund also offers Class A,
Class B and Class C shares pursuant to a prospectus describing those classes.
The fund also offers Class I shares only through advisory fee-based wrap
programs sponsored by financial intermediaries having a selling, administration
or similar agreement with the fund, pursuant to a separate prospectus describing
that class. The fund is a part of the Hartford Funds ("Hartford Funds"). which
is a family of mutual funds.
The fund is a diversified fund.
The fund is a series of The Hartford Mutual Funds, Inc.
Information on the fund, including risk factors, can be found on the pages
following this introduction.
The investment manager to the fund is Hartford Investment Financial Services,
LLC ("HIFSCO"). The day-to-day portfolio management of the fund is provided by a
sub-adviser, Hartford Investment Management Company. Information regarding
HIFSCO and the sub-adviser is included under the section entitled "Management of
the Funds" in this prospectus.
THE HARTFORD MUTUAL FUNDS, INC. HAS RECEIVED AN ORDER FROM THE SECURITIES AND
EXCHANGE COMMISSION THAT PERMITS ITS INVESTMENT MANAGER, SUBJECT TO APPROVAL BY
ITS BOARD OF DIRECTORS, TO CHANGE SUB-ADVISERS ENGAGED BY THE INVESTMENT MANAGER
TO CONDUCT THE INVESTMENT PROGRAMS OF THE FUND WITHOUT SHAREHOLDER APPROVAL. FOR
MORE INFORMATION, PLEASE SEE THIS PROSPECTUS UNDER "THE INVESTMENT MANAGER."
MUTUAL FUNDS ARE NOT BANK DEPOSITS AND ARE NOT INSURED OR GUARANTEED BY THE
FEDERAL DEPOSIT INSURANCE CORPORATION OR ANY OTHER GOVERNMENT AGENCY. BECAUSE
YOU COULD LOSE MONEY BY INVESTING IN THE FUND, BE SURE TO READ ALL RISK
DISCLOSURES CAREFULLY BEFORE INVESTING.
THE HARTFORD MUTUAL FUNDS
4
THE HARTFORD STRATEGIC INCOME FUND
INVESTMENT GOAL. The Hartford Strategic Income Fund seeks a high level of
current income. Capital appreciation is a secondary objective.
PRINCIPAL INVESTMENT STRATEGY. The fund seeks to achieve its goal by investing
primarily in domestic and foreign debt securities. The fund focuses its
investments, under normal circumstances, in non-investment grade debt
securities, foreign securities, and highly rated securities. Non-investment
grade debt securities are securities rated "Ba" or lower by Moody's or "BB" or
lower by S&P, or securities which, if unrated, are determined by Hartford
Investment Management Company ("Hartford Investment Management") to be of
comparable quality. Non-investment grade debt securities are commonly referred
to as "high yield - high risk" or "junk bonds". Foreign securities are
securities issued by foreign corporations or governments, including issuers
located in emerging markets. Highly rated securities include, but are not
limited to, U.S. government securities, mortgages, asset-backed securities and
commercial mortgage backed securities.
The fund may also invest in other asset classes of U.S. or foreign issuers,
including, but not limited to, bank loans or loan participation interests in
secured, second lien or unsecured variable, fixed or floating rate loans,
convertible securities, preferred stock, and common stock. The fund may also
utilize derivatives to manage portfolio risk, to replicate securities the fund
could buy that are not currently available in the market or for other investment
purposes. The fund may invest in debt securities of any maturity.
The fund will generally hold a diversified portfolio of investments in various
sectors, although the fund is not required to invest in all sectors at all times
and may invest 100% of its assets in one sector if conditions warrant.
The overall investment approach of Hartford Investment Management's team
emphasizes security selection and maturity management. The investment team uses
what is sometimes referred to as top-down analysis to determine which securities
may benefit or be harmed from current and future changes in the economy. The
investment team then selects individual securities to buy or sell which, from a
yield perspective, appear either attractive or unattractive.
The fund seeks its secondary goal of capital appreciation, when consistent with
its primary goal of high current income, by investing in securities that
Hartford Investment Management expects to add relative value to the fund.
MAIN RISKS. The major factors affecting this fund's performance are interest
rate risk, credit risk, income risk and foreign investment risk.
When interest rates rise, bond prices fall; generally, the longer a bond's
maturity, the more sensitive it is to this risk. You could lose money as a
result of your investment.
Credit risk depends largely on the perceived financial health of bond issuers.
In general, lower-rated bonds have higher credit risks. High yield bond prices
can fall on bad news about the economy, an industry or a company. Share price,
yield and total return may fluctuate more than with less aggressive loan and
bond funds. The fund could lose money if any bonds it owns are downgraded in
credit rating or go into default. If certain industries or investments do not
perform as Hartford Investment Management expects, the fund could underperform
its peers or lose money.
The fund is subject to income risk, which is the potential for a decline in the
fund's income due to falling interest rates.
The fund is subject to the possibility that, under certain circumstances,
especially during periods of falling interest rates, a bond issuer will "call"
-- or repay -- its bonds before their maturity date. The fund may then be forced
to invest the unanticipated proceeds at lower interest rates, resulting in a
decline in the fund's income.
High yield bonds and foreign securities may make the fund more sensitive to
market or economic shifts in the U.S. and abroad.
Foreign investments may be more risky than domestic investments. Investments in
securities of foreign issuers and non-dollar securities may be affected by
fluctuations in currency exchange rates, incomplete or inaccurate financial
information on companies,
5
social upheavals and political actions ranging from tax code changes to
governmental collapse. The foregoing risks are even greater with respect to
securities of issuers in countries with emerging economies or emerging
securities markets.
In some circumstances the fund's investments could become harder to value.
Bank loans are subject to the credit risk of nonpayment of principal or
interest. Substantial increases in interest rates may cause an increase in loan
defaults. Although the loans may be fully collateralized at the time of
acquisition, the collateral may decline in value, be relatively illiquid, or
lose all or substantially all of its value subsequent to investment. Moreover,
the fund may also invest in second lien loans (secured loans with a claim on
collateral subordinate to a senior lender's claim on such collateral) and
unsecured loans. Holders' claims under unsecured loans are subordinated to
claims of creditors holding secured indebtedness and possibly other classes of
creditors holding unsecured debt. Unsecured loans have a greater risk of default
than secured loans, particularly during periods of deteriorating economic
conditions. And, since they do not afford the lender recourse to collateral,
unsecured loans are subject to greater risk of nonpayment in the event of
default than secured loans. Many loans are relatively illiquid and may be
difficult to value. In connection with purchasing loan participations, the fund
generally will have no right to enforce compliance by the borrower with the
terms of the loan agreement relating to the loan, nor any rights of set-off
against the borrower, and the fund may not benefit directly from any collateral
supporting the loan in which they have purchased the participation. As a result,
the fund may be subject to the credit risk of both the borrower and the lender
that is selling the participation. In the event of the insolvency of the lender
selling a participation, the fund may be treated as a general creditor of the
lender and may not benefit from any set-off between the lender and the borrower.
In certain cases, the market for bank loans and loan participations is not
highly liquid, and therefore the fund anticipates that in such cases, the lack
of a highly liquid secondary market may have an adverse impact on the value of
such securities. This will also have an adverse impact on the fund's ability to
dispose of particular bank loans or loan participations when necessary to meet
redemption of fund shares, to meet the fund's liquidity needs or when necessary
in response to a specific economic event, such as deterioration in the
creditworthiness of the borrower. The lack of a highly liquid secondary market
for bank loans and loan participations also may make it more difficult for the
fund to value these securities for purposes of calculating its net asset value.
Because the fund may invest in mortgage-related and asset-backed securities, it
is subject to prepayment risk and extension risk. Similar to call risk,
prepayment risk is the risk that falling interest rates could cause faster than
expected prepayments of the mortgages and loans underlying the fund's
mortgage-related and asset-backed securities. These prepayments pass through to
the fund, which must reinvest them at a time when interest rates on new
mortgage-related and asset-backed investments are falling, reducing the Fund's
income. Extension risk is the risk that rising interest rates could cause
mortgage and loan prepayments to slow, which could increase the interest rate
sensitivity of the fund's mortgage-related and asset-backed securities.
Successful use of derivative instruments by the fund, whether for managing
portfolio risk or for other investment purposes, depends on the sub-adviser's
judgment with respect to a number of factors. The fund's performance could be
worse than if it had not used these instruments if the sub-adviser's judgment
proves incorrect. In addition, in the case of utilizing derivatives to manage
portfolio risk, even if the sub-adviser's judgment is correct, there may be an
imperfect correlation between the price of the derivative instruments and the
financial instrument(s) or asset(s) being hedged.
The fund trades securities very actively, which increases its transaction costs
(thus affecting performance) and may increase your taxable distributions.
6
PAST PERFORMANCE. Because the fund has been in operation for less than one full
calendar year, no performance history has been provided.
YOUR EXPENSES. This table describes the fees and expenses that you may pay if
you buy and hold shares of the fund.
[Download Table]
CLASS Y
--------
SHAREHOLDER FEES
(fees paid directly from your investment)
Maximum sales charge (load) imposed on purchases as a percentage
of offering Price None
Maximum deferred sales charge (load)(as a percentage of purchase
price or redemption proceeds, whichever is less) None
Exchange fees None
ANNUAL OPERATING EXPENSES
(expenses that are deducted from the fund's assets)
Management fees(1) 0.55%
Distribution and service (12b-1) fees None
Other expenses 0.14%
Total annual operating expenses(1)(2) 0.69%
(1) HIFSCO has agreed to waive 100% of the management fee for the fund's first
year of operation.
(2) HIFSCO has voluntarily agreed to limit the total operating expenses of the
Class Y shares of the fund, exclusive of taxes, interest expense, brokerage
commissions, acquired fund fees and expenses and extraordinary expenses, to
0.90%. This policy may be discontinued at any time.
EXAMPLE. These examples are intended to help you compare the cost of investing
in the fund with the cost of investing in other mutual funds. The examples
assume that you invest $10,000 in the fund for the time periods indicated. The
examples also assume that your investment has a 5% return each year, that the
fund's operating expenses remain the same and that you reinvest all dividends
and distributions. Because no sales charges apply to the Class Y shares you
would have the same expenses whether or not you redeemed your shares. Although
your actual costs may be higher or lower, based on these assumptions your costs
would be:
[Download Table]
EXPENSES (WITH OR WITHOUT REDEMPTION) CLASS Y
------------------------------------- -------
Year 1 $ 70
Year 3 $221
THE HARTFORD MUTUAL FUNDS
7
INVESTMENT STRATEGIES AND INVESTMENT MATTERS
INVESTMENT RISKS GENERALLY
Many factors affect the fund's performance. There is no assurance that the fund
will achieve its investment goal (investment objective), and investors should
not consider any one fund alone to be a complete investment program. As with all
mutual funds, there is a risk that an investor could lose money by investing in
the fund.
The different types of securities, investments, and investment techniques used
by the fund all have attendant risks of varying degrees. With respect to debt
securities, there exists, among other risks, the risk that the issuer of a
security may not be able to meet its obligations on interest or principal
payments at the time required by the instrument (credit risk, a type of
financial risk). In addition, the value of debt instruments and other
income-bearing securities generally rises and falls inversely with prevailing
current interest rates (interest rate risk, a type of market risk). Securities
issued by U.S. Government agencies or government-sponsored enterprises may not
be guaranteed by the U.S. Treasury. As described below, an investment in the
fund entails special additional risks.
USE OF OPTIONS, FUTURES AND OTHER DERIVATIVES
The fund may purchase and sell options, enter into futures contracts and/or
utilize other derivative contracts and securities with respect to stocks, bonds,
groups of securities (such as financial indices), foreign currencies, interest
rates or inflation indices. These techniques permit the fund to gain exposure to
a particular security, group of securities, interest rate, or index, and thereby
have the potential for a fund to earn returns that are similar to those which
would be earned by direct investments in those securities or instruments.
These techniques are also used to manage risk by hedging the fund's portfolio
investments. Hedging techniques may not always be available to the fund, and it
may not always be feasible for the fund to use hedging techniques even when they
are available.
Derivatives have risks, however. If the issuer of the derivative instrument does
not pay the amount due, the fund could lose money on the instrument. In
addition, the underlying security or investment on which the derivative is
based, or the derivative itself, may not perform the way the fund's manager
expected. As a result, the use of these techniques may result in losses to the
fund or increase volatility in the fund's performance. Some derivatives are
sophisticated instruments that typically involve a small investment of cash
relative to the magnitude of risks assumed. Derivative securities are subject to
market risk, which could be significant for those that have a leveraging effect.
The use of derivatives is a principal investment strategy for the fund.
FOREIGN INVESTMENTS
The fund may invest in securities of foreign issuers and non-dollar securities
and loans as part of its principal investment strategy.
Investments in the securities of foreign issuers, loans of foreign borrowers and
non-dollar securities and loans involve significant risks that are not typically
associated with investing in U.S. dollar-denominated securities or loans or
securities or loans of domestic issuers or borrowers. Such investments may be
affected by changes in currency rates, changes in foreign or U.S. laws or
restrictions applicable to such investments and in exchange control regulations.
Some foreign stock markets (and other securities or loan markets) may have
substantially less volume than, for example, the New York Stock Exchange (or
other domestic markets), and securities of some foreign issuers and loans of
foreign borrowers may be less liquid than securities or loans of comparable
domestic issuers or foreign borrowers. Commissions and dealer mark-ups on
transactions in foreign investments may be higher than for similar transactions
in the United States. In addition, clearance and settlement procedures may be
different in foreign countries and, in certain markets, on certain occasions,
such procedures have been unable to keep pace with the volume of securities or
loan transactions, thus making it difficult to execute such transactions. The
inability of the fund to make intended investments due to settlement problems
could cause it to miss attractive investment opportunities. Inability to dispose
of portfolio loans or securities or other investments due to settlement problems
could result either in losses to the fund due to subsequent declines in value of
the portfolio investment or, if the fund has entered into a contract to sell the
investment, could result in possible liability to the purchaser.
8
Foreign issuers and borrowers are not generally subject to uniform accounting,
auditing and financial reporting standards comparable to those applicable to
domestic companies, and there may be less publicly available information about a
foreign issuer or foreign borrower than about a domestic one. In addition, there
is generally less government regulation of stock exchanges, brokers, and listed
and unlisted issuers and borrowers in foreign countries than in the United
States. Furthermore, with respect to certain foreign countries, there is a
possibility of expropriation or confiscatory taxation, imposition of withholding
taxes on dividend or interest payments, limitations on the removal of cash or
other assets of the fund, or political or social instability or diplomatic
developments which could affect investments in those countries. Individual
foreign economies also may differ favorably or unfavorably from the U.S. economy
in such respects as growth of gross national product, rate of inflation, capital
reinvestment, resource self-sufficiency and balance of payments position.
INVESTMENTS IN EMERGING MARKETS
The fund may invest in emerging markets as part of its principal investment
strategy.
The securities markets of Asian, Latin American, Eastern European, African and
other emerging countries are less liquid, are especially subject to greater
price volatility, have smaller market capitalizations, have less government
regulation and are not subject to as extensive and frequent accounting,
financial and other reporting requirements as the securities markets of more
developed countries. Further, investment in equity securities of issuers located
in Russia and certain other emerging countries involves risk of loss resulting
from problems in share registration and custody and substantial economic and
political disruptions. The fund may also utilize derivative instruments, such as
equity linked securities, to gain exposure to certain emerging markets, but not
as a principal investment strategy. These risks are not normally associated with
investments in more developed countries.
SMALL CAPITALIZATION COMPANIES
The fund may invest in securities of small capitalization companies, but not as
a principal investment strategy.
Historically, small market capitalization stocks and stocks of recently
organized companies have been more volatile in price than the larger market
capitalization stocks often included in the S&P 500 Index. As a result,
investing in the securities of such companies involves greater risk and the
possibility of greater portfolio price volatility. Among the reasons for the
greater price volatility of these small company and unseasoned stocks are the
less certain growth prospects of smaller firms and the lower degree of liquidity
in the markets for such stocks. Small company stocks are frequently thinly
traded and may have to be sold at a discount from current market prices or sold
in small lots over an extended period of time. Small companies also often have
limited product lines, markets or financial resources, may depend on or use a
few key personnel for management, and may be susceptible to losses and risks of
bankruptcy. The transaction costs associated with small company stocks are often
higher than those of larger capitalization companies.
OTHER INVESTMENT COMPANIES
The fund is permitted to invest in other investment companies, including
investment companies which may not be registered under the Investment Company
Act of 1940, as amended (the "1940 Act"), such as holding company depository
receipts ("HOLDRs"), but not as part of its principal investment strategy.
Securities in certain countries are currently accessible to the fund only
through such investments. The investment in other investment companies is
limited in amount by the 1940 Act, and will involve the indirect payment of a
portion of the expenses, including advisory fees, of such other investment
companies.
The fund's investments in investment companies may include various
exchange-traded funds ("ETFs"), subject to the fund's investment objective,
policies, and strategies as described in the prospectus. ETFs are baskets of
securities that, like stocks, trade on exchanges such as the American Stock
Exchange and the New York Stock Exchange. ETFs are priced continuously and trade
throughout the day. ETFs may track a securities index, a particular market
sector, or a particular segment of a securities index or market sector. Some
types of equity ETFs are:
"SPDRs" (S&P's Depositary Receipts), which are securities that represent
ownership in a long-term unit investment trust that holds a portfolio of
common stocks designed to track the performance of an S&P Index. Holders of
SPDRs are entitled to receive proportionate quarterly cash distributions
corresponding to the dividends that accrue to the stocks in the S&P Index's
underlying investment portfolio, less any trust expenses.
9
"Qubes" (QQQQ), which invest in the stocks of the Nasdaq 100 Index, a
modified capitalization weighted index that includes the stocks of 100 of
the largest and most actively traded non-financial companies listed on the
Nasdaq Stock Market. Qubes use a unit investment trust structure that
allows immediate reinvestment of dividends.
"iShares," which are securities that represent ownership in a long-term
unit investment trust that holds a portfolio of common stocks designed to
track the performance of specific indexes.
"HOLDRs" (Holding Company Depositary Receipts), which are trust-issued
receipts that represent beneficial ownership in a specified group of 20 or
more stocks. Unlike other ETFs, the fund can hold the group of stocks as
one asset or unbundle the stocks and trade them separately, according to
the fund's investment strategies.
ETFs can experience many of the same risks associated with individual stocks.
ETFs are subject to market risk where the market as a whole, or that specific
sector, may decline. ETFs that invest in volatile stock sectors, such as foreign
issuers, smaller companies, or technology, are subject to the additional risks
to which those sectors are subject. ETFs may trade at a discount to the
aggregate value of the underlying securities. The underlying securities in an
ETF may not follow the price movements of an entire industry or sector. Trading
in an ETF may be halted if the trading in one or more of the ETF's underlying
securities is halted. Although expense ratios for ETFs are generally low,
frequent trading of ETFs by the fund can generate brokerage expenses.
Generally, the fund will not purchase securities of an investment company if, as
a result: (1) more than 10% of the fund's total assets would be invested in
securities of other investment companies, (2) such purchase would result in more
than 3% of the total outstanding voting securities of any such investment
company being held by the fund, or (3) more than 5% of the fund's total assets
would be invested in any one such investment company.
ABOUT THE FUND'S INVESTMENT GOAL
The fund's investment goal (or objective) may be changed without approval of the
shareholders of the fund. The fund may not be able to achieve its goal.
CONSEQUENCES OF PORTFOLIO TRADING PRACTICES
The fund may have a relatively high portfolio turnover. Short-term trading could
produce higher brokerage expenses for the fund and higher taxable distributions
to the fund's shareholders and therefore could adversely affect the fund's
performance. The fund is not managed to achieve a particular tax result for
shareholders. Shareholders should consult their own tax adviser for individual
tax advice.
TERMS USED IN THIS PROSPECTUS
Foreign issuers and foreign borrowers: Foreign issuers and foreign borrowers
include (1) companies organized outside the United States; (2) foreign
governments and agencies or instrumentalities of foreign governments; and (3)
issuers and borrowers whose economic fortunes and risks are primarily linked
with markets outside the United States. Certain companies organized outside the
United States may not be deemed to be foreign issuers or borrowers if the
issuer's or borrower's economic fortunes and risks are primarily linked with
U.S. markets.
Non-dollar securities and loans: Securities and loans denominated or quoted in
foreign currency or paying income in foreign currency.
10
ADDITIONAL INVESTMENT STRATEGIES AND RISKS
The fund may invest in various securities and engage in various investment
techniques which are not the principal focus of the fund and therefore are not
described in this prospectus. These securities and techniques, together with
their risks, are discussed in the fund's Combined Statement of Additional
Information ("SAI") which may be obtained free of charge by contacting the fund
(see back cover for address, phone number and website address).
DISCLOSURE OF PORTFOLIO HOLDINGS
The fund will disclose its complete calendar month-end portfolio holdings on the
fund's website at www.hartfordinvestor.com no earlier than 30 calendar days
after the end of each month. The fund also will disclose on the fund's website
no earlier than 15 days after the end of each month the fund's largest ten
holdings. A description of the fund's policies and procedures with respect to
the disclosure of the fund's portfolio securities is available (i) in the fund's
SAI; and (ii) on the fund's website.
THE HARTFORD MUTUAL FUNDS
11
MANAGEMENT OF THE FUND
THE INVESTMENT MANAGER
Hartford Investment Financial Services, LLC ("HIFSCO") is the investment manager
to the fund. HIFSCO is a wholly-owned, indirect subsidiary of The Hartford
Financial Services Group, Inc. ("The Hartford"), a Connecticut financial
services company with over $377.6 billion in assets as of December 31, 2006. At
the same time, HIFSCO had over $41.9 billion in assets under management. HIFSCO
is responsible for the management of the fund and supervises the activities of
the investment sub-adviser described below. HIFSCO is principally located at 200
Hopmeadow Street, Simsbury, Connecticut 06089.
The fund relies on an exemptive order from the Securities and Exchange
Commission under which it uses a "Manager of Managers" structure. HIFSCO has
responsibility, subject to oversight by the Board of Directors, to oversee the
sub-adviser and recommend its hiring, termination and replacement. The exemptive
order permits HIFSCO to appoint a new sub-adviser not affiliated with HIFSCO,
with the approval of the Board of Directors and without obtaining approval from
those shareholders that participate in the fund. Within 90 days after hiring any
new sub-adviser, affected shareholders will receive information about the new
sub-advisory relationship.
LITIGATION AND REGULATORY ACTIONS
Five putative multi-state class actions were filed in October 2004 and
consolidated into one case, In re Hartford Mutual Funds Fee Litigation, pending
before the United States District Court for the District of Connecticut, in
which the plaintiffs made a wide range of allegations against The Hartford and
other defendants relating, among other things, to fees charged to investors in
certain of The Hartford Retail Mutual Funds. Following a motion by the
defendants to dismiss the case, but before the court had yet ruled on the
motion, the plaintiffs sought the court's permission to file a second amended
complaint. In February 2007, the court granted the plaintiffs leave to amend. In
the second amended complaint, the plaintiffs allege, among other things, that
investors in the Hartford Advisers Fund, Hartford Capital Appreciation Fund,
Hartford Dividend and Growth Fund, Hartford MidCap Fund, and Hartford Stock Fund
were charged excessive fees during the period from February 27, 2003 through
February 27, 2004. The defendants, which include The Hartford Financial Services
Group, Inc., Hartford Investment Financial Services, LLC, Wellington Management
Company, LLC, Hartford Investment Management Company, Hartford Securities
Distribution Company, Inc., and PLANCO Financial Services Inc., intend to move
to dismiss the second amended complaint. This litigation is not expected to
result in a material adverse effect on the funds.
THE INVESTMENT SUB-ADVISER
Hartford Investment Management Company ("Hartford Investment Management") is the
investment sub-adviser to the fund. Hartford Investment Management is a
professional money management firm that provides services to investment
companies, employee benefit plans, its affiliated insurance companies and other
institutional accounts. Hartford Investment Management is a wholly-owned
subsidiary of The Hartford. As of December 31, 2006, Hartford Investment
Management had investment management authority over approximately $131 billion
in assets. Hartford Investment Management is principally located at 55
Farmington Avenue, Hartford, Connecticut 06105.
SOFT DOLLAR PRACTICES
12
The sub-adviser is responsible for the day-to-day portfolio management
activities of the fund, including effecting securities transactions. To the
extent consistent with Section 28(e) of the Securities Exchange Act of 1934 (the
"1934 Act"), the sub-advisers, including Hartford Investment Management, may
obtain "soft dollar" benefits in connection with the execution of transactions
for the fund. The sub-adviser may cause the fund to pay a broker-dealer an
amount in excess of the amount that another broker-dealer would have charged for
the same transaction, in exchange for "brokerage and research services" (as
defined in the 1934 Act). Neither the management fees nor the sub-advisory fees
are reduced because the sub-adviser receive these products and services. These
products and services may be of value to the sub-adviser in advising its clients
(including the fund), although not all of these products and services are
necessarily useful and of value in managing the fund. These products and
services may include research reports, access to management personnel, financial
newsletters and trade journals, seminar and conference fees, quantitative
analytical software, data services, communication services relating to (or
incidental to) the execution, clearing and settlement of securities
transactions, post-trade services relating to functions incidental to trade
execution, and other products and services that are permitted under Section
28(e), as interpreted by the SEC from time to time. In certain instances, these
products and services may have additional uses that are not related to brokerage
or research. For such "mixed use" items, in accordance with SEC guidance, the
sub-adviser will make a reasonable allocation of the cost of the item according
to its expected use, and will pay for that portion of the item that does not
have a brokerage or research-related component out of its own pocket.
MANAGEMENT FEES
The fund pays a monthly management fee to HIFSCO based on a stated percentage of
the fund's average daily net asset value as follows:
STRATEGIC INCOME FUND(1)
[Download Table]
AVERAGE DAILY NET ASSETS ANNUAL RATE
------------------------ -----------
First $500 million 0.550%
Next $500 million 0.500%
Next $4 billion 0.475%
Next $5 billion 0.455%
Amount Over $10 billion 0.445%
(1) HIFSCO has voluntarily agreed to waive 100% of the management fee for the
fund's first year of operation.
Because the fund did not commence operations until May 31, 2007, information is
not available regarding fees paid by the fund to HIFSCO.
A discussion regarding the basis for the Boards of Directors' approval of the
investment management and investment sub-advisory agreements of the fund will
be available in the fund's report to shareholders.
PORTFOLIO MANAGERS OF THE FUND
The following persons or teams have had primary responsibility for the
day-to-day management of the fund's portfolio since the date stated below. The
fund's SAI provides additional information about the portfolio managers'
compensation, other accounts managed by the portfolio managers and the portfolio
managers' ownership of securities in the fund.
STRATEGIC INCOME FUND. The fund is managed by a team of portfolio managers
including Michael Bacevich, Michael Gray, Mark Niland, Peter Perrotti, Nasri
Toutoungi and Edward Vaimberg.
Michael Bacevich, Managing Director and Senior Portfolio Manager of Hartford
Investment Management, has served as portfolio manager of the fund since its
inception. Mr. Bacevich joined Hartford Investment Management as head of its
Bank Loan Sector in 2004. Previously Mr. Bacevich was the head of the Bank Loan
Unit at CIGNA Investments, Inc. from 2000 until joining Hartford Investment
Management.
13
Michael Gray, CFA, Managing Director of Hartford Investment Management, has
served as portfolio manager of the fund since its inception. Mr. Gray joined
Hartford Investment Management in 2006. Previously, Mr. Gray was managing
director and global head of credit research at Credit Suisse Asset Management.
Prior to Credit Suisse, Mr. Gray served in similar capacities at Deutsche Asset
Management and UBS Warburg.
Mark Niland, CFA, Managing Director of Hartford Investment Management, has
served as portfolio manager of the fund since its inception. Mr. Niland joined
Hartford Investment Management in 1989 and has been an investment professional
involved in trading and portfolio management since that time. Prior to joining
the firm, Mr. Niland was a credit officer at Shawmut National Corp.
Peter Perrotti, CFA, Executive Vice President of Hartford Investment Management,
has served as portfolio manager of the fund since its inception. Mr. Perrotti
joined Hartford Investment Management in 1990 and has served in various
capacities including head of the Government and Residential Securities Sector,
analytical support, CMO trading, derivatives trading and portfolio management
since that time. Prior to joining Hartford Investment Management, he was
employed by The Travelers, where he served as an Actuarial Associate.
Nasri Toutoungi, Managing Director of Hartford Investment Management, has served
as portfolio manager of the fund since its inception. Mr. Toutoungi joined
Hartford Investment Management in 2003. Previously Mr. Toutoungi was a managing
director of Blackrock, Inc. from 1998 to January 2002 and a director and partner
of Rogge Global Partners from 1997 to 1998.
Edward Vaimberg, Senior Vice President of Hartford Investment Management, has
served as portfolio manager of the fund since its inception. Mr. Vaimberg joined
Hartford Investment Management in 2003. Previously, Mr. Vaimberg was a managing
director of Global/Emerging Market Fixed Income Management at Bear Stearns Asset
Management from 1994 to 2002. Mr. Vaimberg has been an investment professional
involved in investment management since 1985.
THE HARTFORD MUTUAL FUNDS
14
ABOUT YOUR ACCOUNT
CLASS Y SHARE INVESTOR REQUIREMENTS
Except as described below, Class Y shares offered through this prospectus are
available to the following investors. Individual investors must invest at least
$10 million in Class Y shares of a fund. The following types of institutional
investors must invest at least $1 million in Class Y shares of the fund: (1)
employee benefit or retirement plans which have (a) at least $10 million in plan
assets, or (b) 750 or more employees eligible to participate at the time of
purchase; (2) banks and insurance companies or other large institutional
investors; (3) investment companies; (4) employee benefit or retirement plans of
The Hartford, Wellington Management or broker-dealer wholesalers and their
affiliates; (5) non-profit organizations, charitable trusts, foundations and
endowments; and (6) trust companies with assets held in a fiduciary, advisory,
custodial or similar capacity over which the trust company has full or shared
investment discretion. Retirement and/or employee benefit plans purchasing
shares through (i) a record-keeper or a trust company that performs participant
level record-keeping or other administrative services on behalf of such plans or
(ii) a trading platform, may purchase Class Y shares of the fund provided that
such record-keeper or trust company and, if applicable, the trading platform,
has entered into an agreement for such purposes with the distributor and/or its
affiliates. Retirement and/or employee benefit plans purchasing Class Y shares
through such a record-keeper, trust company or trading platform are not subject
to a minimum investment amount.
Class Y shares are also offered through Hartford's Retirement Plans Prospectus,
which offers Class R3, Class R4, Class R5 and Class Y shares of certain other
series of The Hartford Mutual Funds, Inc. Retirement Plans Prospectus is
available to employee benefit or retirement plans which have (a) at least $10
million in plan assets, or (b) 750 or more employees eligible to participate at
the time of purchase; and employee benefit or retirement plans of The Hartford,
Wellington Management or broker-dealer wholesalers and their affiliates.
However, employee benefit plans and/or retirement plans purchasing shares
through (i) a record-keeper or a trust company that performs participant level
record-keeping or other administrative services on behalf of such plans or (ii)
a trading platform may purchase Class Y shares of the fund provided that such
record-keeper or trust company and, if applicable, the trading platform, has
entered into an agreement for such purposes with the distributor and/or its
affiliates. If you are a retirement plan administrator or fiduciary, or meet the
definition of these other institutional investors, you should consult Hartford's
Retirement Plans Prospectus. Hartford, in its sole discretion, may accept
purchases of Class Y shares from other purchasers not listed above.
ADDITIONAL COMPENSATION TO BROKER-DEALERS, FINANCIAL INSTITUTIONS AND OTHER
PERSONS ("FINANCIAL INTERMEDIARIES") In addition to the commissions (which may
be paid or reallowed to Financial Intermediaries from an applicable sales charge
and/or advanced to Financial Intermediaries) and Rule 12b-1 fees that are
described above and in the SAI, the distributor and its affiliates pay, out of
their own assets, significant additional compensation to Financial
Intermediaries (who may or may not be affiliates of the distributor) in
connection with the sale and distribution of the fund's shares ("Additional
Payments") based on a number of factors that are described below and in the
fund's SAI.
These Additional Payments are generally based on average net assets (or on aged
assets, i.e., assets held over one year) of the fund attributable to a
particular Financial Intermediary, on sales of the fund's shares attributable to
a particular Financial Intermediary, and/or on reimbursement of ticket charges,
and may, but are normally not expected to, exceed, in the aggregate, 0.44% of
the average net assets of the fund attributable to a particular Financial
Intermediary.
Such Additional Payments are generally made for the placement of the fund on a
Financial Intermediary's list of mutual funds available for purchase by its
customers and/or for including the fund within a group of mutual funds that
receive special marketing focus. Certain additional compensation arrangements
are discussed below.
Apart from the Additional Payments, additional compensation arrangements may
take the form of, among others: (1) "due diligence" payments for a Financial
Intermediary's examination of the fund and payments for providing extra employee
training and information relating to the fund and (2) "marketing support" fees
for providing assistance in promoting the sale of the fund's shares ("Other
Compensation"). Subject to NASD regulations, HIFSCO and its affiliates may
contribute Other Amounts to various noncash and cash incentive arrangements to
promote the sale of shares, as well as sponsor various educational programs,
sales contests and/or promotions in which participants may receive prizes such
as travel awards, merchandise and cash and/or investment research pertaining to
particular securities and other financial instruments or to the securities and
financial markets generally, educational information and related support
materials and hardware and/or software. HIFSCO and its affiliates may also pay
for the travel expenses, meals, lodging and entertainment of Financial
Intermediaries and their salespersons and guests in connection with education,
sales and promotional programs, subject to applicable NASD regulations. These
programs, which may vary for different Financial Intermediaries, will not change
the price an investor will pay for shares or the amount that the fund will
receive from such sale. Incurred payments of Other Compensation did not exceed
$1.1 million per Financial Intermediary for the calendar
15
year ended December 31, 2006.
Additional Payments, including Other Compensation, may also pertain to the sale
and distribution of other investment products distributed by affiliates of the
distributor, and may, in some cases, act as a financial incentive for a
Financial Intermediary to recommend the purchase of one Hartford Fund over
another Hartford Fund. Additional Payments to Financial Intermediaries in
connection with the sale and distribution of the fund's shares are negotiated
based on a range of factors, including, but not limited to, reputation in the
industry, ability to attract and retain assets (including distribution of
particular classes of the fund's shares), target markets, customer relationships
and quality of service. No one factor is determinative of the type or amount of
Additional Payments to be provided and factors are weighed in the assessment of
such determination.
For the calendar year ended December 31, 2006, HIFSCO or its affiliates incurred
approximately $32.6 million in total Additional Payments, including Other
Compensation (excluding travel expenses, meals, lodging and entertainment of
Financial Intermediaries and their salespersons) to Financial Intermediaries, of
which approximately $13.7 million was incurred with respect to Edward D. Jones &
Co., L.P. For the calendar year ended December 31, 2006, total travel expenses,
meals, lodging and entertainment of Financial Intermediaries and their
salespersons did not in the aggregate exceed approximately $3.6 million.
As of January 1, 2007, HIFSCO has entered into arrangements to make Additional
Payments, including Other Compensation (excluding travel expenses, meals,
lodging and entertainment of Financial Intermediaries and their salespersons),
to: A.G. Edwards & Sons, Inc., AIG Advisors Group, Inc., (Advantage Capital
Corp., AIG Financial Advisors, American General, FSC Securities Corp., Royal
Alliance Associates, Inc.), Allen & Company of FL, Inc., American General
Securities, Inc., American Independent Securities Group, LLC, AmSouth Investment
Services, Anchor Investment Services, Inc., Associated Investment Services,
Inc., Associated Securities Corporation, Banc of America Investment Services,
Inc., BancorpSouth Services, Banc West Investment Services, B.C. Ziegler &
Company, BNY Investment Center, Inc., BOSC, Inc., Brookstreet Securities Corp.,
Cadaret Grant & Co., Inc., Cambridge Investment Research, Cantella & Company,
Inc., Capital Analysts, Inc., Capital Investment Group, Inc., Centaurus
Financial Inc., Charles Schwab & Co., Inc., Chase Investment Services
Corporation, Citicorp Investment Services, Citigroup Global Markets, Inc.,
Colonial Brokerage, Inc., Comerica Securities, Commerce Brokerage Services,
Inc., Commerce Capital Markets, Inc., Commonwealth Financial Network,
Commonwealth Financial Services, Crown Capital Securities, LP, Cuna Brokerage
Services, CUSO Financial Services, L.P., Dominion Investor Services, Duerr
Financial Corp, Eagle One Investments, Edward D. Jones & Co., Empire Securities
Corp, Equity Securities Corp, Equity Services, Inc., Essex National Securities,
Inc., Ferris Baker Watts, Inc., FFP Securities, Inc., Fidelity Investments,
Fifth Third Securities, Financial Planning Consultants, Inc., Fintegra, LLC,
First Allied Securities, Inc., First Citizens Investor Services, Inc., First
Heartland Capital Inc., First Tennessee Brokerage, Inc., Fiserv Brokerage
Services, Inc., Frost Brokerage Services, Inc., Geneos Wealth Management, Inc.,
Girard Securities Inc., Grant Bettingen, Great American Advisors, Inc., H. Beck,
Inc., H&R Block, Harbour Investments, Harvest Capital, LLC, HBW Securities, LLC,
Hefren-Tillotson Inc., Hilliard Lyons, HSBC Brokerage USA, Huntington Investment
Co., IFMG Securities, Inc., ING Advisor Network (Financial Network Investment
Corporation, Inc., ING Financial Partners, Inc., Multi-Financial Securities
Corporation, Inc., PrimeVest Financial Services, Inc.), Independent Financial
Group, LLC, Investment Professionals, Inc., Investors Capital Corp., Investors
Security Company, Inc., Janney Montgomery Scott, J.J.B. Hilliard, Jefferson
Pilot Securities Corp, KMS Financial Services, Inc., KNBT Securities Inc.,
Kovack Securities, Inc., LaSalle Financial Services, LaSalle Street Securities,
LLC, Lincoln Financial Advisors Group, Linsco/Private Ledger Corp., M&T
Securities Inc., McDonald Investments Inc., Merrill Lynch Pierce Fenner & Smith,
Mid Atlantic Capital Corp, Money Concepts Capital Corp, Morgan Keegan & Company,
Inc., Morgan Stanley DW Inc., Mutual Service Corporation, National Advisors
Trust, National Planning Holdings, Inc. (Invest Financial Corporation,
Investment Centers of America, National Planning Corporation, SII Investments
Inc.), New England Securities, Newbridge Securities, NEXT Financial Group, Inc.,
North Ridge Securities Corp, Oppenheimer & Co, Inc., Pacific West Securities,
Inc., Prime Capital Services, Inc., ProEquities, Inc., Prospera Financial
Securities, Inc., QA3 Financial Corp., Raymond James & Associates Inc., Raymond
James Financial Services (IM&R), RBC Dain Rauscher, RDM Investment Services,
Robert W. Baird, Scott & Stringfellow Inc., Securian, Securities America, Inc.,
Securities Service Network, Inc., Sigma Financial Corp, Sorrento Pacific
Financial, Spectrum Capital, Inc., Stifel, Nicolaus & Company, Inc., Summit
Brokerage Services, SunAmerica Securities, Inc., Suntrust Investment Services,
TD Waterhouse, Inc., The Huntington Investment Company, TFS Securities, Inc.,
Transamerica Financial Advisors Inc., Triad Advisors, Inc., UBS Financial
Services Inc., UnionBanc Investment Services LLC, United Heritage Financial
Services, U.S. Bancorp Investments Inc., Uvest Financial Services Group, Inc.,
Vision Investment Services, Inc, Vorpahl Wing Securities, Wachovia Securities,
LLC, Wall Street Financial Group, Webster Investment Services, Inc, Wells Fargo
Investments, WM Financial Services, Inc., Workman Securities Corp, WRP
Investments, Inc., XCU Capital Corp., and Woodbury Financial Services, Inc. (an
indirect wholly-owned subsidiary of The Hartford). HIFSCO may enter into
arrangements with other Financial Intermediaries to make such Additional
Payments and Other Compensation. In addition to the above payments, HIFSCO and
its affiliates, out of their own assets, may pay compensation for subaccounting,
administrative and/or shareholder processing services as described below.
16
ADDITIONAL COMPENSATION TO SERVICING INSTITUTIONS AND OTHER PERSONS ("SERVICING
INTERMEDIARIES") FOR SUBACCOUNTING, ADMINISTRATIVE AND/OR SHAREHOLDER PROCESSING
SERVICES. In addition to payments made in connection with the sale and
distribution of the fund's shares (described above) and administration and Rule
12b-1 fees paid by the fund, the distributor and its affiliates pay, out of
their own assets, significant additional compensation to Servicing
Intermediaries (who may or may not be affiliates of the distributor) in
connection with subaccounting, administrative and/or shareholder processing
services ("Servicing Compensation") based on a number of factors described
below. Servicing Compensation is generally based on average net assets of the
fund attributable to a particular Servicing Intermediary, and may, but is
normally not expected to, exceed, in the aggregate, 0.20% of the average net
assets of the fund attributable to a particular Servicing Intermediary. Such
Servicing Compensation is generally made for subaccounting, administrative
and/or shareholder processing services. These programs, which may vary for
different Servicing Intermediaries, will not change the price an investor will
pay for shares. This Servicing Compensation may act as a financial incentive for
a Servicing Intermediary in choosing to provide services to one Hartford Fund
over another Hartford Fund.
The Servicing Compensation to Servicing Intermediaries is negotiated based on a
range of factors, including, but not limited to, reputation in the industry,
customer relationships and quality of service. No one factor is determinative of
the amount of Servicing Compensation to be provided and factors are weighed in
the assessment of such determination. For the year ended December 31, 2006,
HIFSCO incurred approximately $250 thousand in total Servicing Compensation to
Servicing Intermediaries and an incurred payment of such Servicing Compensation
did not exceed $210,000 for any Servicing Intermediary.
As of January 1, 2007, HIFSCO has entered into arrangements to pay Servicing
Compensation to: The 401(k) Company, American Century Investment Management,
Inc.; AmeriMutual Funds Distributor, Inc.; Ameriprise Financial Services, Inc.;
BenefitStreet, Inc.; Diversified Investment Advisors, Inc.; Fidelity Investments
Institutional Operations Company, Inc. & Fidelity Investments Institutional
Services Company, Inc. ("Fidelity"); Gold Trust Company GWFS Equities, Inc.;
Invesmart, Inc. & Invesmart Securities, LLC; J.P. Morgan Retirement Plan
Services, LLC; Lincoln Retirement Services Company, LLC & AMG Service Corp;
Mercer HR Services, LLC; Mid Atlantic Capital Corporation; Reliance Trust
Company; T. Rowe Price Retirement Plan Services, Inc. & T. Rowe Price Investment
Services, Inc, and Upromise Investments, Inc. HIFSCO may enter into arrangements
with other Servicing Intermediaries to pay such Servicing Compensation.
Servicing Compensation is also paid to certain Servicing Intermediaries by HASCO
out of the transfer agency fees it receives from the fund. Although some
arrangements are based on average net assets attributable to the Servicing
Intermediary, such Servicing Intermediaries are generally paid a per account fee
ranging to no more than $16 per account. As of January 1, 2007, such Servicing
Intermediaries paid by HASCO are: ADP Broker-Dealer, Inc.; A.G. Edwards;
American Stock Transfer and Trust Company; CPI Qualified Plan Consultants, Inc;
SunGard InstitutionalBrokerage Inc.; Expert Plan, Inc.; Fiserv Trust Company;
Gail Weiss & Associates, Inc.; Gem Group L.P.; Hewitt Associates LLC; Legette
Actuaries, Inc.; Mid Atlantic Capital Corporation; MSCS Financial Services, LLC;
Ceridian Retirement Plan Services, Inc.; Northeast Retirement Services, Inc.;
Prudential Investment Management Services LLC & Prudential Investments LLC; QBC,
Inc.; Swerdlin & Company; and Stanton Trust Company N.A. Other Servicing
Intermediaries may be paid by HASCO in the future.
OPENING AN ACCOUNT
IMPORTANT INFORMATION ABOUT PROCEDURES FOR OPENING A NEW ACCOUNT. To help the
government fight the funding of terrorism and money laundering activities,
Federal law requires all financial institutions to obtain, verify, and record
information that identifies each person who opens a new account. What this means
for you: When you open a new account, you will be asked to provide your name,
residential address, date of birth, social security number and other information
that identifies you. You may also be asked to show your driver's license or
other identifying documents. The information you provide may also be validated
through various public databases. If the fund is not able to adequately identify
you within the timeframes set forth in the law, your shares may be automatically
redeemed. If the net asset value per share has decreased since your purchase,
you will lose money as a result of this redemption.
Please note that if you are purchasing shares through your employer's tax
qualified retirement plan, you may need to call the administrator of the plan
for details on purchases, redemptions and other account activity. Although
brokers may be compensated for the sale of Class Y shares in certain cases,
there will be no cost to you.
1 Read this prospectus carefully.
2 Determine how much you want to invest. The minimum initial investment for
each fund is $1 million ($10 million if you do not
17
qualify as one of the types of institutional investors listed above),
although this minimum may be waived at the discretion of the fund's
officers or may not apply under certain circumstances (see page 15, "Class
Y Share Investor Requirements" for further information).
3 Complete the appropriate parts of the account application including any
privileges desired. By applying for privileges now, you can avoid the delay
and inconvenience of having to file an additional form if you want to add
privileges later. If you have questions, please contact your financial
representative or call the transfer agent at the number shown below.
- Make your initial investment selection.
[Download Table]
ADDRESS: PHONE NUMBER:
THE HARTFORD MUTUAL FUNDS 1-888-THE-STAG (843-7824)
P.O. BOX 64387
ST. PAUL, MN 55164-0387 OR CONTACT YOUR FINANCIAL REPRESENTATIVE OR PLAN
ADMINISTRATOR FOR INSTRUCTIONS AND ASSISTANCE.
THE HARTFORD MUTUAL FUNDS
18
BUYING SHARES
[Enlarge/Download Table]
OPENING AN ACCOUNT ADDING TO AN ACCOUNT
------------------ --------------------
BY CHECK - Make out a check for the investment amount, - Make out a check for the investment
payable to "The Hartford Mutual Funds." amount, payable to "The Hartford Mutual
Funds."
[CHECK - Deliver the check and your completed application - Fill out the detachable investment slip
GRAPHIC] to your financial representative, plan from an account statement. If no slip is
administrator or mail to the address listed below. available, include a note specifying the
fund name, your share class, your account
number and the name(s) in which the
account is registered.
- Deliver the check and your investment slip
or note to your financial representative,
plan administrator or mail to the address
listed below.
BY EXCHANGE - Call your financial representative, plan - Call your financial representative, plan
[ARROW administrator or the transfer agent at the number administrator or the transfer agent at the
GRAPHIC] below to request an exchange. number below to request an exchange.
BY WIRE - Deliver your completed application to your - Instruct your bank to wire the amount of
financial representative, or mail it to the your investment to:
address below.
- Obtain your account number by calling your U.S. Bank National Association
financial representative or the phone number ABA #091000022, credit account no.
below. 1-702-2514-1341
The Hartford Mutual Funds Purchase
- Instruct your bank to wire the amount of your Account
investment to: For further credit to: (your name)
Hartford Mutual Funds Account
U.S. Bank National Association Number:
(your account number)
[WIRE 9633 Lyndale Ave S. Specify the fund name, your share class, your
GRAPHIC] Bloomington MN 55420-4270 account number and the name(s) in which the
ABA #091000022, credit account no. account is registered. Your bank may charge a
1-702-2514-1341 fee to wire funds.
The Hartford Mutual Funds Purchase Account For
further credit to: (your name)
Hartford Mutual Funds Account Number: (your
account number)
Specify the fund name, your choice of share class, the
new account number and the name(s) in which the
account is registered. Your bank may charge a fee
to wire funds.
BY PHONE
[PHONE - See "By Wire" and "By Exchange" - Verify that your bank or credit union is a
GRAPHIC] member of the Automated Clearing House
(ACH) system.
- Complete the 'Telephone Exchanges and
Telephone Redemption' and 'Bank Account or
Credit Union Information' sections on your
account application.
- Call the transfer agent at the number
below to verify that these features are in
place on your account.
- Tell the transfer agent representative the
fund name, your share class, your account
number, the name(s) in which the account
is registered and the amount of your
investment.
19
To open or add to an account using the Automatic Investment Plan, see
"Additional Investor Services" on page 27.
[Download Table]
ADDRESS: PHONE NUMBER:
THE HARTFORD MUTUAL FUNDS 1-888-THE-STAG (843-7824)
P.O. BOX 64387
ST. PAUL, MN 55164-0387 OR CONTACT YOUR FINANCIAL REPRESENTATIVE OR PLAN
ADMINISTRATOR FOR INSTRUCTIONS AND ASSISTANCE.
THE HARTFORD MUTUAL FUNDS
20
SELLING SHARES IN WRITING
[Download Table]
BY LETTER
[LETTER GRAPHIC] - Write a letter of instruction or complete a
power of attorney indicating the fund name,
your share class, your account number, the
name(s) in which the account is registered
and the dollar value or number of shares you
wish to sell.
- Include all signatures and any additional
documents that may be required (see "Selling
Shares in Writing").
- Mail the materials to the address below.
- A check will be mailed to the name(s) and
address in which the account is registered,
or otherwise according to your letter of
instruction. Overnight delivery may be
requested for a nominal fee which will be
deducted from redemption proceeds.
BY PHONE
[PHONE GRAPHIC] - Restricted to sales of up to $50,000 in any
7-day period.
- To place your order with a representative,
call the transfer agent at the number below
between 8 A.M. and 7 P.M. Eastern Time
(between 7 A.M. and 6 P.M. Central Time)
Monday through Thursday and between 9:15 A.M.
and 6 P.M. Eastern Time (between 8:15 A.M.
and 5 P.M. Central Time) on Friday. Complete
transaction instructions on a specific
account must be received in good order and
confirmed by the Hartford Mutual Funds prior
to 4 P.M. Eastern Time (3 P.M. Central Time)
or the close of the NYSE, whichever comes
first. Any transaction on an account received
after the close of the NYSE will receive the
next business day's offering price.
- For automated service 24 hours a day using
your touch-tone phone, call the number shown
below.
BY WIRE OR ELECTRONIC FUNDS
TRANSFER (EFT)
[WIRE GRAPHIC] - Fill out the "Telephone Exchanges and
Telephone Redemption" and "Bank Account or
Credit Union Information" sections of your
new account application.
- Call the transfer agent to verify that the
telephone redemption privilege is in place on
an account, or to request the forms to add it
to an existing account.
- Amounts of $500 or more will be wired on the
next business day. Your bank may charge a fee
for this service.
- Amounts of less than $500 may be sent by EFT
or by check. Funds from EFT transactions are
generally available by the second business
day. Your bank may charge a fee for this
service. Wire transfers are available upon
request.
- Phone requests are limited to amounts up to
$50,000 in a 7-day period.
BY EXCHANGE
[ARROW GRAPHIC] - Obtain a current prospectus for the fund into
which you are exchanging by calling your
financial representative or the transfer
agent at the number below.
- Call your financial representative or the
transfer agent to request an exchange.
21
BY LETTER
In certain circumstances, you will need to make your request to sell shares in
writing. You may need to include additional items with your request, as shown in
the table below. You may also need to include a Medallion signature guarantee,
which protects you against fraudulent orders. You will need a Medallion
signature guarantee if:
[Download Table]
[LETTER GRAPHIC] - your address of record has changed within the
past 30 days
- you are selling more than $50,000 worth of
shares
- you are requesting payment other than by a
check mailed to the address of record and
payable to the registered owner(s)
Please note that a notary public CANNOT provide a Medallion signature guarantee.
Please check with a representative of your bank or other financial institution
about obtaining a Medallion signature guarantee.
[Download Table]
ADDRESS: PHONE NUMBER:
THE HARTFORD MUTUAL FUNDS 1-888-THE-STAG (843-7824)
P.O. BOX 64387
ST. PAUL, MN 55164-0387 OR CONTACT YOUR FINANCIAL REPRESENTATIVE OR PLAN
ADMINISTRATOR FOR INSTRUCTIONS AND ASSISTANCE.
THE HARTFORD MUTUAL FUNDS
22
TRANSACTION POLICIES
VALUATION OF SHARES
The net asset value per share (NAV) is determined for the fund and each class as
of the close of regular trading on the New York Stock Exchange ("NYSE")
(typically 4:00 p.m. Eastern Time) on each business day that the NYSE is open.
The net asset value for the fund is determined by dividing the value of the
fund's net assets attributable to a class of shares by the number of shares
outstanding for that class.
The fund generally uses market prices in valuing portfolio securities. If market
quotations are not readily available or are deemed unreliable, the fund will use
the fair value of the security as determined in good faith under policies and
procedures established by and under the supervision of the fund's Board of
Directors. Market prices may be deemed unreliable, for example, if a security is
thinly traded or if an event has occurred after the close of the exchange on
which a portfolio security is principally traded but before the close of the
NYSE that is expected to affect the value of the portfolio security. The
circumstances in which the fund may use fair value pricing include, among
others: (i) the occurrence of events that are significant to a particular
issuer, such as mergers, restructuring or defaults; (ii) the occurrence of
events that are significant to an entire market, such as natural disasters in a
particular region or governmental actions; (iii) trading restrictions on
securities; (iv) for thinly traded securities and (v) market events such as
trading halts and early market closings. In addition, with respect to the
valuation of securities principally traded on foreign markets, the fund uses a
fair value pricing service approved by the fund's Board, which employs
quantitative models to adjust for "stale" prices caused by the movement of other
markets and other factors occurring after the close of the foreign exchanges but
before the close of the NYSE. Securities that are principally traded on foreign
markets may trade on days that are not business days of the fund. Because the
NAV of the fund's shares is determined only on business days of the fund, the
value of the portfolio securities of the fund that invests in foreign securities
may change on days when a shareholder will not be able to purchase or redeem
shares of the fund. Fair value pricing is subjective in nature and the use of
fair value pricing by the fund may cause the net asset value of its shares to
differ significantly from the net asset value that would be calculated using
prevailing market values. There can be no assurance that the fund could obtain
the fair value assigned to a security if it were to sell the security at
approximately the time at which the fund determines its NAV per share.
Debt securities (other than short-term obligations and floating rate loans) held
by the fund are valued on the basis of valuations furnished by an unaffiliated
pricing service which determines valuations for normal institutional size
trading units of debt securities. Floating rate loans generally trade in
over-the-counter markets and are priced through an independent pricing service
utilizing independent market quotations from loan dealers or financial
institutions. Securities for which prices are not available from an independent
pricing service, but where an active market exists, are valued using market
quotations obtained from one or more dealers that make markets in the securities
or from a widely-used quotation system in accordance with procedures established
by the fund's Board of Directors. Generally, the fund may use fair valuation in
regards to debt securities when the fund holds defaulted or distressed
securities or securities in a company in which a reorganization is pending.
Short term investments with a maturity of more than 60 days when purchased are
valued based on market quotations until the remaining days to maturity become
less than 61 days. Securities of foreign issuers and non-dollar securities are
translated from the local currency into U.S. dollars using prevailing exchange
rates.
BUY AND SELL PRICES
When you buy shares, you pay the NAV. When you sell shares, you receive the NAV.
EXECUTION OF REQUESTS
The fund is open on those days when the New York Stock Exchange is open,
typically Monday through Friday. Buy and sell requests are executed at the next
NAV calculated after your request is received, if your order is in "good order"
(has all required information), by the transfer agent, authorized broker-dealers
or their authorized designee, or third-party administrators.
At times of peak activity, it may be difficult to place requests by phone.
During these times, visit www.hartfordinvestor.com or consider sending your
request in writing.
Although the fund does not charge a transaction fee, you may be charged a fee by
brokers for the purchase or sale of the fund's shares. This transaction fee is
separate from any sales charge that the fund may apply.
In unusual circumstances, the fund may temporarily suspend the processing of
sell requests, or may postpone payment of redemption
23
proceeds for up to three business days or longer, as allowed by federal
securities laws.
REQUESTS IN "GOOD ORDER"
All purchase and redemption requests must be received by the fund in "good
order". This means that your request must include:
- Name, date of birth, residential address, and social security number.
- The fund name, share class and account number.
- The amount of the transaction (in dollars or shares).
- Signatures of all owners exactly as registered on the account (for mail
requests).
- Medallion signature guarantees (if required).
- Any supporting legal documentation that may be required.
TELEPHONE TRANSACTIONS
For your protection, telephone requests may be recorded in order to verify their
accuracy. Proceeds from telephone transactions may be either mailed to the
address of record, or sent electronically to a bank account on file. Also, for
your protection, telephone redemptions are limited on accounts whose addresses
have changed within the past 30 days.
EXCHANGES
You may exchange shares of the fund for shares of the same class of any other
Hartford Fund. The registration for both accounts involved must be identical.
You may be subject to tax liability as a result of your exchange. The fund
reserves the right to amend or terminate the exchange privilege at any time, for
any reason.
FREQUENT PURCHASES AND REDEMPTIONS OF FUND SHARES
The fund is intended to be long-term investment vehicles and is not designed to
provide investors with a means of speculating on short-term market movements
(market timing). Frequent purchases and redemptions of the fund by the fund's
shareholder can disrupt the management of the fund, negatively affect the fund's
performance, and increase expenses for all fund shareholders. In particular,
frequent trading (i) can force the fund's portfolio manager to hold larger cash
positions than desired instead of fully investing the fund, which can result in
lost investment opportunities; (ii) can cause unplanned and inopportune
portfolio turnover in order to meet redemption requests; (iii) can increase
broker-dealer commissions and other transaction costs as well as administrative
costs for the fund; and (iv) can trigger taxable gains for other shareholders.
Also, some frequent traders engage in arbitrage strategies, by which these
traders seek to exploit pricing anomalies that can occur when the fund invests
in securities that are thinly traded (for example some high yield bonds and
small capitalization stocks) or are traded primarily in markets outside of the
United States. Frequent traders, and in particular those using arbitrage
strategies, can dilute the fund's NAV for long-term shareholders.
If you intend to trade frequently or use market timing investment strategies,
you should not purchase the fund.
The Board of Directors of the fund have adopted policies and procedures with
respect to frequent purchases and redemptions of fund shares by fund
shareholders. The fund's policy is to discourage investors from trading in the
fund's shares in an excessive manner that would be harmful to long-term
investors and to make reasonable efforts to detect and deter excessive trading.
The fund reserves the right to reject any purchase order at any time and for any
reason, without prior written notice. The fund also reserves the right to revoke
the exchange privileges of any person at any time and for any reason. In making
determinations concerning the revocation of exchange privileges, the fund may
consider an investor's trading history in any of the Hartford Funds, including
the person's trading history in any accounts under a person's common ownership
or control.
Effective July 1, 2007, it is the policy of the fund to permit only two
"substantive round trips" by an investor within any single Hartford Fund within
a 90-day period. A substantive round trip is a purchase of or an exchange into
the same Hartford Fund and a redemption of or an exchange out of the same
Hartford Fund in a dollar amount that the Hartford Fund's transfer agent
determines, in the reasonable exercise of its discretion, could adversely affect
the management of the Hartford Fund. When an additional transaction
24
request for the Hartford Fund is received within the 90-day period, the
requested transaction will be rejected and the person requesting such
transaction will be deemed an "Excessive Trader." All exchange and purchase
privileges of an Excessive Trader shall be suspended within such Hartford Fund
for the first violation of the policy for a period of 90 days. For a second
violation of the policy, the exchange and purchase privileges of the Excessive
Trader will be suspended indefinitely. If an Excessive Trader makes exchanges
through a registered representative, in appropriate circumstances the fund's
transfer agent may terminate the registered representative's exchange and
purchase privileges in the fund. Automatic programs offered by the fund such as
dollar cost averaging and dividend diversification are exempt from the policy
described above.
During calendar year 2007, new SEC rules became effective which require funds
and intermediaries to enter into written agreements intended to promote
transparency in omnibus accounts. As funds and intermediaries implement the
requirements of the new rules, it is expected that the fund will be able to
apply its frequent trading policies to omnibus accounts.
The fund's policies for deterring frequent purchases and redemptions of fund
shares by a fund shareholder are intended to be applied uniformly to all fund
shareholders to the extent practicable. Some financial intermediaries, such as
broker-dealers, investment advisors, plan administrators, and third-party
transfer agents, however, maintain omnibus accounts in which they aggregate
orders of multiple investors and forward the aggregated orders to the fund.
Because the fund receives these orders on an aggregated basis and because these
omnibus accounts may trade with numerous fund families with differing market
timing policies, the fund is substantially limited in its ability to identify or
deter Excessive Traders or other abusive traders. The transfer agent for the
fund will use its best efforts to obtain the cooperation of intermediaries to
identify Excessive Traders and to prevent or limit abusive trading activity, to
the extent practicable. In addition, the fund's transfer agent will seek to
obtain annual certifications from financial intermediaries that such
intermediaries have established reasonable internal controls and procedures for
limiting exchange activities in a manner that is consistent with the fund's
policies concerning frequent purchases and redemptions of fund shares and are
reasonably designed to obtain compliance with applicable rules relating to
customer-order handling and abusive trading practices. Nonetheless, the fund's
ability to identify and deter frequent purchases and redemptions of the fund's
shares through omnibus accounts is limited, and the fund's success in
accomplishing the objectives of the policies concerning frequent purchases and
redemptions of fund shares in this context depends significantly upon the
cooperation of the financial intermediaries.
The use of fair value pricing can serve both to make the fund less attractive to
market timers and to reduce the potential adverse consequences of market timing
or abusive trading to other investors. Certain market timers seek to take
advantage of pricing anomalies that can occur in fund shares resulting from the
manner in which the NAV of the fund's shares is determined each day. Frequent
trading in fund shares can dilute the value of long-term shareholders' interests
in the fund if the fund calculates its NAV using closing prices that are no
longer accurate. This can happen particularly in Hartford Funds that invest in
overseas markets or that invest in securities of smaller issuers or thinly
traded securities. The fund's pricing procedures, particularly those procedures
governing the determination of the "fair value" of securities for which market
prices are not readily available (or are unreliable) for foreign securities may
serve as a deterrent against harmful excessive trading in fund shares. For
additional information concerning the fund's fair value procedures, please refer
to "Valuation of Shares."
CERTIFICATED SHARES
Shares are electronically recorded and therefore share certificates are not
issued.
SALES IN ADVANCE OF PURCHASE PAYMENTS
When you place a request to sell shares for which the purchase money has not yet
been collected, the request will be executed in a timely fashion, but the fund
will not release the proceeds to you until your purchase payment clears. This
may take up to 10 calendar days after the purchase.
SPECIAL REDEMPTIONS
Although it would not normally do so, the fund has the right to pay the
redemption price of shares of the fund in whole or in part in portfolio
securities. When the shareholder sells portfolio securities received in this
fashion, a brokerage charge would be incurred. Any such securities would be
valued for the purposes of making such payment at the same value as used in
determining net asset value. The fund, however, always redeems shares solely in
cash up to the lesser of $250,000 or 1% of the net asset value of the applicable
fund during any 90 day period for any one account.
PAYMENT REQUIREMENTS
25
All of your purchases must be made in U.S. dollars and checks must be drawn on
U.S. banks and made payable to The Hartford Mutual Funds, or in the case of a
retirement account, to the custodian or trustee. You may not purchase shares
with a starter or third party check.
If your check does not clear, your purchase will be canceled and you will be
liable for any losses or fees that the fund or HIFSCO has incurred.
Certain broker-dealers and financial institutions may enter confirmed purchase
orders with the fund on behalf of customers, by phone or other electronic means,
with payment to follow within the customary settlement period (generally within
three business days). If payment is not received by that time, the order will be
canceled and the broker-dealer or financial institution will be held liable for
the resulting fees or losses.
DIVIDENDS AND ACCOUNT POLICIES
ACCOUNT STATEMENTS In general, you will receive account statements as follows:
- after every transaction (except certain automatic payment and redemption
arrangements and dividend or distribution reinvestment) that affects your
account balances
- after any changes of name or address of the registered owner(s)
- in all other circumstances, every quarter during which there is activity in
your account, and at least annually
Every year you should also receive, if applicable, a Form 1099 tax information
statement.
If, however, you are a participant in an employer-sponsored retirement plan or
you hold your shares in the name of your broker, you will receive statements
from your plan administrator or broker pursuant to their policies.
DIVIDENDS AND DISTRIBUTIONS The fund intends to distribute substantially all of
its net investment income and capital gains to shareholders at least once a
year. Dividends from the net investment income of the fund are declared and paid
monthly. Unless shareholders specify otherwise, all dividends and distributions
received from the fund are automatically reinvested in additional full or
fractional shares of the fund.
If you elect to receive monthly dividends in cash, you will only receive a check
if the dividend amount exceeds $10. If the dividend is $10 or less, the amount
will automatically be reinvested in the fund. If you would like to receive cash
dividends, regardless of the amount, you can establish an electronic funds
transfer to your bank. Please call the fund for assistance in establishing
electronic funds transfer transactions at 1-888-843-7824.
The fund seeks to maintain a target rate of distribution for each month. In
order to do so, the fund may distribute less or more investment income than it
earns on its investments each month. The fund may use accrued undistributed
investment income to fulfill distributions made during periods in which the fund
distributes more than the fund earns. The target rate of distribution is
evaluated regularly and can change at any time. The target rate of distribution
is not equivalent to the 30-day SEC yield of the fund.
TAXABILITY OF DIVIDENDS Dividends and distributions you receive from the fund,
whether reinvested or taken as cash, are generally considered taxable.
Distributions from the fund's long-term capital gains are taxable as long-term
capital gains, regardless of how long you held your shares. Distributions from
short-term capital gains and from ordinary income (other than certain qualified
dividend income) are generally taxable as ordinary income. A portion of
dividends from ordinary income may qualify for the dividends-received deduction
for corporations. Distributions from certain qualified dividend income generally
are taxable to individuals at the same rates that apply to long-term capital
gains, if certain holding period and other requirements are met. Some dividends
paid in January may be taxable as if they had been paid the previous December.
The Form 1099 that is mailed to you every January details your dividends and
distributions and their federal tax category, although you should verify your
tax liability with your tax professional.
TAXABILITY OF TRANSACTIONS Unless your shares are held in a qualified retirement
account, any time you sell or exchange
26
shares, it is considered a taxable event for you. You may have a capital gain or
a loss on the transaction which will be long-term or short-term, depending upon
how long you held your shares. You are responsible for any tax liabilities
generated by your transactions.
The fund may be required to withhold U.S. federal income tax at the rate of 28%
of all taxable distributions payable to you if you fail to provide the fund with
your correct taxpayer identification number or to make required certifications,
or if you have been notified by the IRS that you are subject to backup
withholding. Backup withholding is not an additional tax. Any amounts withheld
may be credited against your U.S. federal income tax liability.
INFLATION-PROTECTED DEBT SECURITIES Periodic adjustments for inflation to the
principal amount of an inflation-protected debt security may give rise to
original issue discount, which will be includable in the fund's gross income.
Due to original issue discount, the fund may be required to make annual
distributions to shareholders that exceed the cash received, which may cause the
fund to liquidate certain investments when it is not advantageous to do so.
Also, if the principal value of an inflation-protected debt security is adjusted
downward due to deflation, amounts previously distributed in the taxable year
may be characterized in some circumstances as return of capital.
Distributions from the fund may also be subject to state, local and foreign
taxes. You should consult your own tax adviser regarding the particular tax
consequences of an investment in the fund.
ADDITIONAL INVESTOR SERVICES
ELECTRONIC TRANSFERS THROUGH AUTOMATED CLEARING HOUSE ("ACH") allow you to
initiate a purchase or redemption for as little as $50 per fund or as much as
$50,000 per fund between your bank account and fund account using the ACH
network.
If you are a participant in a tax qualified retirement plan, check with your
plan administrator for additional investor services.
27
FINANCIAL HIGHLIGHTS
No financial highlights are provided for the Fund as the Fund did not commence
investment operations until May 31, 2007.
FUND CODE, CUSIP NUMBER AND SYMBOL
[Download Table]
NAME CLASS SHARES FUND CODE CUSIP NUMBER SYMBOL
---- ------------ --------- ------------ ------
The Hartford Strategic Income Fund Y 1590 41664L583 HSNYX
28
THE HARTFORD MUTUAL FUNDS
29
FOR MORE INFORMATION
Two documents are available that offer further information on The Hartford
Mutual Funds:
ANNUAL/SEMI-ANNUAL REPORT TO SHAREHOLDERS
Additional information about the fund is contained in the financial statements
and portfolio holdings in the fund's annual and semi-annual reports. In the
fund's annual report you will also find a discussion of the market conditions
and investment strategies that significantly affected the fund's performance
during the last fiscal year, as well as the independent registered public
accounting firm's report.
STATEMENT OF ADDITIONAL INFORMATION (SAI)
The SAI contains more detailed information on the fund.
A current SAI and annual report have been filed with the Securities and Exchange
Commission and are incorporated by reference into (which means they are legally
a part of) this prospectus.
The fund makes available this prospectus, its SAI and annual/semi-annual reports
free of charge, on the fund's website at www.hartfordinvestor.com.
To request a free copy of the current annual/semi-annual report for the fund
and/or the SAI or for shareholder inquiries or other information about the fund,
please contact the fund at:
BY MAIL:
The Hartford Mutual Funds
P.O. Box 64387
St. Paul, MN 55164-0387
(For overnight mail)
The Hartford Mutual Funds
500 Bielenberg Drive
Woodbury, MN 55125-1400
BY PHONE:
1-888-843-7824
ON THE INTERNET:
www.hartfordinvestor.com
Or you may view or obtain these documents from the SEC:
30
IN PERSON:
at the SEC's Public Reference Room in Washington, DC
Information on the operation of the SEC's public reference room may be obtained
by calling 1-202-942-8090.
BY MAIL:
Public Reference Section
Securities and Exchange Commission
Washington, DC 20549-0102
Requests which are made by mail require the payment of a duplicating fee to the
SEC to obtain a document.
31
ON THE INTERNET OR BY E-MAIL:
Internet: (on the EDGAR Database on the SEC's internet site) www.sec.gov E-Mail:
publicinfo@sec.gov
Requests which are made by e-mail require the payment of a duplicating fee to
the SEC to obtain a document.
SEC FILE NUMBER:
The Hartford Mutual Funds, Inc. 811-07589
32
--------------------------------------------------------------------------------
PART B -- STATEMENT OF ADDITIONAL INFORMATION
The Amended and Restated Combined Statement of Additional Information as filed
under Form N-1A, Post-Effective Amendment No. 59 under the Securities Act of
1933 and Amendment No. 61 under the Investment Company Act of 1940, File Nos.
333-02381/811-07589, filed on May 30, 2007, Accession No. 0000950135-07-003436,
is incorporated by reference.
--------------------------------------------------------------------------------
SUPPLEMENT
DATE AUGUST 31, 2007 TO THE
AMENDED AND RESTATED COMBINED STATEMENT OF ADDITIONAL INFORMATION (THE "SAI")
FOR HARTFORD MUTUAL FUNDS, INC. AND HARTFORD MUTUAL FUNDS II, INC.
DATED MAY 31, 2007
This supplement amends the SAI dated May 30, 2007, in order to add Class Y
shares to The Hartford Strategic Income Fund (the "Fund"), an existing series of
The Hartford Mutual Funds, Inc. Accordingly, the following is incorporated into
the SAI as appropriate:
1. Under the paragraph entitled "Date of Prospectuses," the following is
added:
August 31, 2007 (for Class Y shares of Strategic Income Fund).
2. Under the section entitled "General Information," in the second paragraph,
the second and third sentences are replaced as follows:
With the exception of the Equity Growth Allocation Fund, Growth Allocation
Fund, Balanced Allocation Fund, Conservative Allocation Fund and Income
Allocation Fund (together, the "Asset Allocation Funds"), Checks and
Balances Fund, and High Yield Municipal Bond Fund, each series of The
Hartford Mutual Funds, Inc. (the "Hartford Funds") issues shares in four
different classes: Class A, Class B, Class C and Class Y. Checks and
Balances Fund, and High Yield Municipal Bond Fund do not currently offer
Class Y shares.
3. Under the section entitled "Fund Management," the information concerning
management ownership, principal holders and control persons is replaced as
follows:
As of July 31, 2007, the officers and directors of each Company as a group
beneficially owned less than 1% of the outstanding shares of each class of
each Fund. As of that date, the following persons held an interest in the
following Funds equal to 5% or more of outstanding shares of a class:
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
ADVISERS FUND
Edward D. Jones & Co. 53.83%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 18.20%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 7.21%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Citigroup Global Markets Inc. 9.66%
Attn: Peter Booth
New York, NY
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
West Virginia Savings Plan Trustee 92.92%
FBO Wst Virginia Savings Plan Trust
Attn: Marilyn Orr
Woodbury, MN
BALANCED ALLOCATION FUND
Edward D. Jones & Co. 34.45%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Hartford Life Insurance Company 8.75%
Separate Accounts 401k Business
Hartford CT
Edward D. Jones & Co. 11.90%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
MLPF&S For the Sole Benefit of 9.09%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
NFS LLC FEBO 25.36%
Laura R Sanchez
1
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Miami FL
NFS LLC FEBO 25.29%
FBO Nils G Johansson
Marietta GA
Pershing LLC 10.54%
Jersey City NJ
NFS LLC FEBO 10.23%
Antonio E Friguls
Maria A Friguls
Coral Gables FL
Pershing LLC 10.04%
Jersey City NJ
Pershing LLC 5.40%
Jersey City NJ
Pershing LLC 5.31%
Jersey City NJ
MG Trust Co Cust FBO 89.87%
Robbins Tesar Inc 401K PLA
Denver CO
Hartford Life Insurance Company 10.13%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
BALANCED INCOME FUND
Edward D. Jones & Co. 57.47%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Hartford Life Insurance Company 31.50%
Attn: Mark Strogoff
Hartford CT
Edward D. Jones & Co. 59.94%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Hartford Life Insurance Company 16.25%
Attn: Mark Strogoff
Hartford CT
Edward D. Jones & Co. 27.39%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Hartford Life Insurance Company 10.37%
Attn: Mark Strogoff
2
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Hartford CT
Alphones G Strelbicki & 5.19%
Rose M Strelbicki
FBO Alphonse & Rose Strelbicki
Rev Trust
Burlington WI
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
CAPITAL APPRECIATION FUND
Edward D. Jones & Co. 27.58%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
MLPF&S For the Sole Benefit of 7.51%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
Edward D. Jones & Co. 15.51%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Citigroup Global Markets Inc. 6.14%
Attn: Peter Booth
New York, NY
Citigroup Global Markets Inc. 14.95%
Attn: Peter Booth
New York, NY
MLPF&S For the Sole Benefit of 14.37%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
Charles J Walker Defined Benefit 69.89%
Pension Acct of Charles J Walker
Bakersfield CA
Hartford Life Insurance Company 30.11%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 97.60%
Separate Accounts 401K Business
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
State Street Bank & Trust Cust 23.66%
FBO The Hartford Growth Allocation
ATTN: Marilyn Orr
Woodbury, MN
3
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
West Virginia Savings Plan Trustee 22.69%
FBO Wst Virginia Savings Plan Trust
Attn: Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 19.76%
FBO The Hartford Balanced Alloc
ATTN: Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 7.72%
FBO The Hartford Aggressive Growth
ATTN: Marilyn Orr
Woodbury, MN
NFSC FEBO 6.94%
FIIOC Agent FBO
Qualified Employee
Covington KY
CAPITAL APPRECIATION II FUND
Edward D. Jones & Co. 22.32%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
MLPF&S For the Sole Benefit of 5.53%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
Edward D. Jones & Co. 12.22%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
MLPF&S For the Sole Benefit of 11.60%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
Citigroup Global Markets, Inc 9.11%
Attn: Peter Booth
New York, NY
MG Trust Co Cust FBO 39.00%
Grand Island Chiropractic Center
Denver CO
Pershing LLC 19.04%
Jersey City NJ
Commerce Trust Co Ttee Lesauer 12.25%
& Affiliates Retplan
Kansas City MO
MG Trust Co Cust FBO 8.13%
Jackson & AssocWarehouse Operation
Denver Co
MG Trust Co Cust FBO 7.43%
4
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Chippewa Valley Warehouse Operation
Denver Co
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
H L Investment Advisors 100.00%
ATTN: Marilyn Orr
Woodbury, MN
CHECKS AND BALANCES FUND
Edward D. Jones & Co. 39.31%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 16.53%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
CONSERVATIVE ALLOCATION FUND
Edward D. Jones & Co. 30.08%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Hartford Life Insurance Company 12.06%
Separate Accounts 401K Business
Hartford CT
Edward D. Jones & Co. 9.72%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
MLPF&S For the Sole Benefit of 7.99%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
NFS LLC FEBO 86.93%
David Rouen TTEE
Tsaile Inc PSP
Carolina Bch NC
Pershing LLC 6.89%
Jersey City NJ
Hartford Life Insurance Company 57.76%
Attn: Mark Strogoff
Hartford CT
MG Trust Co Cust FBO 42.24%
Robbins Tesar Inc 401K PLA
Denver Co
5
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
DISCIPLINED EQUITY FUND
Edward D. Jones & Co. 61.34%
Attn: Mutual Fund Shareholder
Accounting
Maryland Hts. MO
Edward D. Jones & Co. 30.10%
Attn: Mutual Fund Shareholder
Accounting
Maryland Hts. MO
Edward D. Jones & Co. 11.05%
Attn: Mutual Fund Shareholder
Accounting
Maryland Hts. MO
Citigroup Global Markets Inc. 7.82%
Attn: Peter Booth
New York, NY
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
State Street Bank & Trust Cust 39.47%
FBO The Hartford Balanced Alloc
ATTN: Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 27.35%
FBO The Hartford Growth Allocation
ATTN: Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 20.56%
FBO The Hartford Aggressive Growth
ATTN: Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 10.36%
FBO The Hartford Conservative Alloc
ATTN: Marilyn Orr
6
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Woodbury, MN
DIVIDEND AND GROWTH FUND
Edward D. Jones & Co. 69.39%
Attn: Mutual Fund Shareholder
Accounting
Maryland Hts. MO
Edward D. Jones & Co. 33.41%
Attn: Mutual Fund Shareholder
Accounting
Maryland Hts. MO
Edward D. Jones & Co. 8.49%
Attn: Mutual Fund Shareholder
Accounting
Maryland Hts. MO
Citigroup Global Markets Inc. 6.74%
Attn: Peter Booth
New York, NY
NFS LLC FEBO 10.37%
Richard D Bortnick
Crown Acct
Portland OR
Pershing LLC 8.11%
Jersey City NJ
RBC Dain Rauscher Cust 7.24%
David J Blomberg
Duluth MN
Hartford Life Insurance Company 55.15%
Attn: Mark Strogoff
Hartford CT
MG Trust Co Cust FBO 44.71%
Waupaca Motor Sales Inc
Denver CO
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
West Virginia Savings Plan Trustee 82.53%
FBO Wst Virginia Savings Plan Trust
Attn: Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 14.74%
FBO The Hartford Checks & Balances Fnd
ATTN: Marilyn Orr
7
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Woodbury, MN
EQUITY GROWTH ALLOCATION FUND
Hartford Life Insurance Company 16.11%
Separate Accounts 401k business
Hartford CT
Edward D Jones & Co 15.32%
Attn Mutual Fund Shareholder Accounting
Maryland Hts MO
Edward D Jones & Co 5.71%
Attn Mutual Fund Shareholder Accounting
Maryland Hts MO
MLPF&S For the sole benefit of 10.33%
Its customers
Jacksonville FL
Pershing LLC 70.80%
Jersey City NJ
Hartford Life Insurance Co 19.20%
Attn: Mark Strogoff
Hartford CT
Pershing LLC 8.74%
Jersey City NJ
MG Trust Co Cust FBO 98.94%
Robbins Tesar Inc 401K PLA
Denver CO
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
EQUITY INCOME FUND
Edward D. Jones & Co. 79.32%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 52.48%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 7.78%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Pershing LLC 13.99%
Jersey City NJ
Pershing LLC 7.16%
Jersey City NJ
LPL Financial Services 6.32%
8
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
San Diego CA
LPL Financial Services 5.76%
San Diego CA
LPL Financial Services 5.59%
San Diego CA
Pershing LLC 5.52%
Jersey City NJ
Pershing LLC 5.40%
Jersey City NJ
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
State Street Bank & Trust Comm 44.67%
EST Hartford Balanced Allocation
Attn: Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 32.15%
EST The Hartford Growth Allocation
ATTN: Marilyn Orr
Woodbury, MN
State Street Bank & Trust Comm 11.93%
EST Hartford Conservative
Attn: Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 9.36%
EST Hartford Aggressive
ATTN: Marilyn Orr
Woodbury, MN
FLOATING RATE FUND
MLPF&S For the Sole Benefit of 17.73%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
Citigroup Global Markets Inc. 9.02%
Attn: Peter Booth
New York, NY
Prudential Investment Management 5.93%
Service FBO: Mutual Fund Clients
Attn: Pruchoice Unit
Iselin NY
9
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
MLPF&S For the Sole Benefit of 15.90%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
MLPF&S For the Sole Benefit of 16.74%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
Citigroup Global Markets Inc. 14.36%
Attn: Peter Booth
New York, NY
MG Trust Co Cust FBO 51.16%
Abington Family Dentistry PC
Denver CO
MG Trust Co Cust FBO 19.20%
Dana Dental Associates
Denver CO
MG Trust Co Cust FBO 14.51%
Sunset Boulevard Animal Clinic Ltd
Denver CO
Hartford Life Insurance Company 6.66%
Attn: Mark Strogoff
Hartford CT
MG Trust Co Cust FBO 5.85%
Ellipse LLC
Denver CO
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Pershing LLC 45.87%
Jersey City NJ
Pershing LLC 26.98%
Jersey City NJ
Pershing LLC 13.49%
Jersey City NJ
Pershing LLC 8.09%
Jersey City NJ
Hartford Life Insurance Company 5.57%
Attn: Mark Strogoff
Hartford CT
State Street Bank & Trust Comm 65.66%
EST Hartford Balanced Allocation
Attn: Marilyn Orr
Woodbury, MN
SEI Private Trust Co 14.16%
FBO Rockland Trust
Oaks PA
10
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
State Street Bank & Trust Comm 14.09%
EST Hartford Conservative
Attn: Marilyn Orr
Woodbury, MN
FUNDAMENTAL GROWTH FUND
Edward D Jones & Co. 33.28%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D Jones & Co. 14.60%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Wellington Trust Co 100.00%
FBO Wellington Ret & Pension Plan
Boston MA
GLOBAL COMMUNICATIONS FUND
Edward D. Jones & Co. 15.77%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
MLPF&S For the Sole Benefit of 11.27%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
MLPF&S For the Sole Benefit of 23.88%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
Edward D. Jones & Co. 7.95%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
MLPF&S For the Sole Benefit of 38.43%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
Wellington Trust Co 100.00%
FBO Wellington Ret & Pension Plan
Wellington
Boston MA
GLOBAL FINANCIAL SERVICES FUND
H L Investment Advisors 37.39%
ATTN: Marilyn Orr
Woodbury, MN
Edward D. Jones & Co. 24.61%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
11
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Edward D. Jones & Co. 11.89%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
UBS Financial Services Inc FBO 8.08%
Carl Voce & Constantina Voce
TTEEs FBO Their Successor
Voce Fam TR
Palos Verdes Est CA
Wellington Trust Co 100.00%
FBO Wellington Ret & Pension Plan
Wellington
Boston MA
GLOBAL GROWTH FUND
Edward D. Jones & Co. 50.03%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 22.07%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Citigroup Global Markets Inc. 9.01%
Attn: Peter Booth
New York, NY
Edward D. Jones & Co. 7.91%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
West Virginia Savings Plan Trustee 41.82%
FBO Wst Virginia Savings Plan Trust
Attn: Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 24.95%
FBO The Hartford Growth Allocation
ATTN: Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 18.97%
FBO The Hartford Balanced Alloc
ATTN Marilyn Orr
Woodbury, MN
12
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
State Street Bank & Trust Cust 9.57%
FBO The Hartford Aggressive Growth
ATTN: Marilyn Orr
Woodbury, MN
GLOBAL HEALTH FUND
Edward D. Jones & Co. 24.09%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 16.82%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
MLPF&S For the Sole Benefit of 13.58%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
Citigroup Global Markets Inc. 8.49%
Attn: Peter Booth
New York, NY
William H Gates III and 98.99%
Melinda French Gates Co Trustees
Bill & Melinda Gates Foundation
Kirkland, WA
GLOBAL TECHNOLOGY FUND
Edward D. Jones & Co. 27.77%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Hartford Life Insurance Co. 5.28%
Separate Accounts 401K Business
Hartford CT
Edward D. Jones & Co. 9.00%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Citigroup Global Markets Inc. 15.60%
Attn: Peter Booth
New York, NY
Wellington Trust Co 100.00%
FBO Wellington Ret & Pension Plan
Wellington
Boston MA
GROWTH FUND
Edward D. Jones & Co. 21.50%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Citigroup Global Markets Inc. 7.70%
13
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Attn: Peter Booth
New York, NY
Edward D. Jones & Co. 15.19%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
MLPF&S For the Sole Benefit of 11.32%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
Citigroup Global Markets Inc. 7.80%
Attn: Peter Booth
New York, NY
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 91.53%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 8.47%
Separate Accounts 401K Business
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
NFSC FEBO 69.88%
FIIOC Agent FBO
Qualified Employee
Covington KY
John M. Petersen 11.93%
Naples, FL
Wachovia Bank FBO 9.80%
Various Retirement Plans
Charlotte, NC
Charles Schwab & Co Inc 8.39%
Special Custody Account
FBO Customers
ATTN: Mutual Funds
San Francisco, CA
GROWTH ALLOCATION FUND
Edward D. Jones & Co. 23.98%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Hartford Life Insurance Company 7.73%
Separate Accounts 401K Business
Hartford CT
Edward D. Jones & Co. 7.98%
14
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
MLPF&S For the Sole Benefit of 9.99%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
Citigroup Global Markets, Inc. 5.74%
Attn: Peter Booth
New York NY
NFS LLC FEBO 29.80%
Norman W Hinton
Carmen Hinton
Miami FL
NFS LLC FEBO 28.44%
FBO Julio D Torres
Coral Gables FL
NFS LLC FEBO 15.58%
Antonio E Friguls
Maria A Friguls
Coral Gables FL
Pershing LLC 8.12%
Jersey City NJ
LPL Financial Services 5.01%
San Diego CA
MG Trust Co Cust FBO 75.12%
Robbins Tesar Inc 401K PLA
Denver CO
Hartford Life Insurance Company 24.88%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
GROWTH OPPORTUNITIES
MLPF&S For the Sole Benefit of 44.55%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
Edward D. Jones & Co. 9.70%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Prudential Investment Management 5.08%
Service FBO: Mutual Fund Clients
15
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Newark NJ
Edward D. Jones & Co. 7.64%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
MLPF&S For the Sole Benefit of 26.03%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
Citigroup Global Markets Inc. 11.58%
Attn: Peter Booth
New York, NY
Pension Inc FBO 33.46%
Executive Mortgage 401k PSP & Tr
Green Bay WI
Sterling Trust Co, Custodian FBO 31.66%
Jacobs & Assoc
Waco TX
Charles J Wlaker Defined Benefit 21.29%
Pension Acct of Charles J Walker
Bakersfield CA
Hartford Life Insurance Company 7.72%
Attn: Mark Strogoff
Hartford CT
Sterling Trust Co, Custodian FBO 5.86%
Jacobs & Assoc
Waco TX
Hartford Life Insurance Company 95.88%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
State Street Bank & Trust Cust 28.86%
FBO The Hartford Growth Allocation
ATTN Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 15.63%
The Hartford Aggressive Growth
Attn: Marilyn Orr
Woodbury, MN
Trusty Partnership 10.96%
C/O American Trust & Savings Bank
FBO Retirement Planning
Dubuque IA
HIGH YIELD
Edward D. Jones & Co. 45.92%
16
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 22.32%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 7.78%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Hartford Life Insurance Company 99.93%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
State Street Bank & Trust Cust 83.86%
FBO The Hartford Income Alloc
ATTN Marilyn Orr
Woodbury, MN
West Virginia Savings Plan Trustee 16.14%
FBO Wst Virginia Savings Plan Trust
Attn: Marilyn Orr
Woodbury, MN
HIGH YIELD MUNICIPAL BOND
Hartford Life Insurance Company 44.17%
Attn: Mark Strogoff
Hartford CT
Pershing LLC 5.31%
Jersey City NJ
Hartford Life Insurance Company 36.08%
Attn: Mark Strogoff
Hartford CT
NFS LLC FEBO 8.58%
William E King
Janet L King
Greenwood Vlg Co
Raymond James & Assoc 6.06%
FBO Volkers Tr
St Petersburg RL
Raymond James & Assoc 6.03%
FBO Rash EA Tr
17
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
St Petersburg RL
Raymond James & Assoc 5.99%
FBO McGovernS Tr
St Petersburg RL
Raymond James & Assoc 5.99%
FBO Harms HW&EL
St Petersburg RL
Hartford Life Insurance Company 8.54%
Attn: Mark Strogoff
Hartford CT
First Clearing LLC 8.41%
WBNA Collateral Acct FBO
Tampa FL
Hartford Life Insurance Company 17.70%
Attn: Mark Strogoff
Hartford CT
NFS LLC FEBO 13.41%
Robert E Stintzi II Ttee
Roert Evan Stintzi II Rev Tr
N Fort Myers FL
Raymond James & Assoc Inc 11.91%
FBO Large James
St. Petersburg FL
LPL Financial Services 11.85%
San Diego CA
Pershing LLC 9.99%
Jersey City NJ
NFS LLC FEBO 5.93%
Mike C Bozzelli
Annandale VA
INCOME FUND
Edward D. Jones & Co. 40.69%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Kansas Post Secondary Education 7.16%
Savings Plan - 468 Agg
Kansas City MO
Kansas Post Secondary Education 6.22%
Savings Plan - 468 Moderate
Kansas City MO
Kansas Post Secondary Education 5.35%
Savings Plan - 472 Con
Kansas City MO
Edward D. Jones & Co. 25.71%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
18
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
MLPF&S For the Sole Benefit of 17.92%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
State Street Bank & Trust Cust 76.40%
FBO The Hartford Balanced Alloc
ATTN Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 15.87%
FBO The Hartford Conservative Alloc
ATTN Marilyn Orr
Woodbury, MN
INCOME ALLOCATION FUND
Edward D. Jones & Co. 53.49%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Hartford Life Insurance Company 11.42%
Separate Accounts 401K Business
Hartford CT
Edward D. Jones & Co. 25.60%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 10.24%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
MLPF&S For The Sole Benefit Of 6.65%
Its Customers
Attn Fund Administration
Jacksonville FL
LPL Financial Services 7.68%
San Diego CA
NFS LLC FEBO 6.53%
Elmore Family II LLC
McLean VA
NFS LLC FEBO 6.53%
Elmore Family III LLC
McLean VA
NFS LLC FEBO 5.05%
Lois A Topping
McLean VA
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
19
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
INFLATION PLUS FUND
Edward D. Jones & Co. 8.04%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Citigroup Global Markets Inc. 5.07%
Attn: Peter Booth
New York, NY
Citigroup Global Markets Inc. 10.62%
Attn: Peter Booth
New York, NY
MLPF&S For the Sole Benefit of 7.27%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
MLPF&S For the Sole Benefit of 13.19%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
Citigroup Global Markets Inc. 7.26%
Attn: Peter Booth
New York, NY
Raymond James & Assoc Inc 5.76%
FBO Hefler IRA
St Petersburg FL
Raymond James & Assoc Inc 5.40%
FBO Hallstein IRA
St Petersburg FL
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
State Street Bank & Trust Cust 49.09%
FBO The Hartford Balanced Alloc
ATTN Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 23.10%
FBO The Hartford Growth Allocation
ATTN Marilyn Orr
Woodbury, MN
20
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
State Street Bank & Trust Cust 15.67%
FBO The Hartford Conservative Alloc
ATTN Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 8.99%
FBO The Hartford Income Alloc
ATTN Marilyn Orr
Woodbury, MN
INTERNATIONAL GROWTH FUND
Edward D. Jones & Co. 48.33%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 22.25%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Citigroup Global Markets Inc. 5.54%
Attn: Peter Booth
New York, NY
Citigroup Global Markets Inc. 15.08%
Attn: Peter Booth
New York, NY
RBC DAIN RAUSCHER INC FBO 11.10%
THOMAS J KENNEDY JR
LOWER GWYNEDO PA
RBC DAIN RAUSCHER INC FBO 9.71%
ROBERTA L KENNEDY
LOWER GWYNEDO PA
Raymond James & Assoc Inc 7.96%
FBO Hale IRA
St Petersburg FL
LPL FINANCIAL SERVICES 5.54%
Raymond James & Assoc Inc 5.21%
FBO Williams Joyce
St Petersburg FL
KEY BANK NA CUST 26.13%
RAINBOW HOSPITAL
CLEVELAND OH
NFSC 21.17%
FIIOC AGENT FBO
QUALIFIED EMPLOYEE
COVINGTON KY
West Virginia Savings Plan Trustee 16.18%
FBO Wst Virginia Savings Plan Trust
Attn: Marilyn Orr
Woodbury, MN
Pacific Lutheran University 14.62%
21
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Attn: FIOP
Tacoma WA
KEY BANK NA 13.15%
UNIVERSITY CIRCLE INC
CLEVELAND OH
US Bank Na Custodian 8.75%
Fbo Capinco
Various Omnibus Account
Milwaukee WI
INTERNATIONAL OPPORTUNITIES FUND
Edward D. Jones & Co. 53.90%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 18.38%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Citigroup Global Markets Inc. 5.05%
Attn: Peter Booth
New York, NY
Charles J Walker Defined Benefit 52.28%
Pension Acct of Charles J Walker
Bakersfield CA
Hartford Life Insurance Company 47.72%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
State Street Bank & Trust Comm 37.28%
EST Hartford Growth Allocation
Attn: Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 33.82%
The Hartford Balanced Allocation
Attn: Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 15.10%
The Hartford Aggressive Growth
Attn: Marilyn Orr
Woodbury, MN
INTERNATIONAL SMALL COMPANY FUND
Edward D. Jones & Co. 17.41%
22
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
MLPF&S For The Sole Benefit Of 7.65%
Its Customers
Attn Fund Administration
Jacksonville FL
Citigroup Global Markets Inc. 8.04%
Attn: Peter Booth
New York, NY
Edward D. Jones & Co. 7.40%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
MLPF&S For The Sole Benefit Of 11.48%
Its Customers
Attn Fund Administration
Jacksonville FL
Citigroup Global Markets Inc. 6.30%
Attn: Peter Booth
New York, NY
Hartford Life Insurance Company 74.42%
Attn: Mark Strogoff
Hartford CT
LPL Financial Services 25.48%
San Diego CA
State Street Bank & Trust Cust 33.72%
FBO The Hartford Growth Allocation
ATTN Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 30.50%
FBO The Hartford Balanced Allocation
ATTN Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 13.66%
FBO The Hartford Aggressive Growth
ATTN Marilyn Orr
Woodbury, MN
MIDCAP FUND
Edward D. Jones & Co. 34.62%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 17.63%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Citigroup Global Markets Inc. 5.62%
Attn: Peter Booth
New York, NY
23
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Citigroup Global Markets Inc. 9.98%
Attn: Peter Booth
New York, NY
West Virginia Savings Plan Trustee 73.47%
FBO Wst Virginia Savings Plan Trust
Attn: Marilyn Orr
Woodbury, MN
Wachovia Bank FBO 7.26%
Various Retirement Plans
Charlotte NC
Wellington Trust Co 6.93%
FBO Wellington Ret & Pension Plan
Boston MA
MIDCAP GROWTH FUND
Hartford Life Insurance Company 73.74%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 40.71%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 21.10%
Attn: Mark Strogoff
Hartford CT
Pershing LLC 5.53%
Jersey City NJ
RBC Dain Rauscher Inc. FBO 5.08%
Daniel J Gladstone
Carol M Gladstone
Chappaqua NY
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
MIDCAP VALUE FUND
Edward D. Jones & Co. 54.52%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 18.87%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
T Rowe Price Retirement Plan Svcs 100.00%
FBO Retirement Plan Clients
Owings Mills MD
MONEY MARKET FUND
Hartford Life Insurance Co 5.86%
24
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Separate Accounts 401k Business
Hartford CT
Edward D. Jones & Co. 6.66%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Citigroup Global Markets Inc. 12.15%
Attn: Peter Booth
New York, NY
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
State Street Bank & Trust Cust 100.00%
FBO The Hartford Income Alloc
ATTN Marilyn Orr
Woodbury, MN
RETIREMENT INCOME FUND
Hartford Life Insurance Co 61.70%
Separate Accounts 401k Business
Hartford CT
Hartford Securities Distrib. Co Inc 13.12%
FBO Various retirement Plans
Hartford CT
H L Investment Advisors 10.60%
Attn: Marilyn Orr
Woodbury, MN
H L Investment Advisors 57.28%
Attn: Marilyn Orr
Woodbury, MN
Edward D Jones & Co 20.58%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts MO
A G Edwards & Sons Inc 9.55%
FBO Roy M Smeal
Saint Louis Mo
US National Bank Assoc 9.53%
Leonard A Menchaca
El Paso TX
H L Investment Advisors 57.10%
Attn: Marilyn Orr
Woodbury, MN
25
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
US Bank National Assoc C/F 8.04%
Jason A Cipriani
Reading MA
Clara R Miller 7.69%
Albany OR
US Bank National Assoc C/F 5.87%
Wanda S Weaver
Wallingford KY
MS & Co C/F 5.81%
Walter M Jarrell
TOmballTX
NFS LLC FEBO 5.13%
Dorothy M Coler Tr
Hastings NE
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
H L Investment Advisors 100.00%
Attn: Marilyn Orr
Woodbury, MN
SELECT MIDCAP GROWTH FUND
Edward D. Jones & Co. 26.20%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 7.90%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
H L Investment Advisors 100.00%
Attn: Marilyn Orr
Woodbury, MN
SELECT MIDCAP VALUE FUND
Edward D. Jones & Co. 21.88%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 17.62%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
State Street Bank & Trust Cust 49.90%
Fbo Hartford Aggressive
26
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Attn Marilyn Orr
Woodbury MN
State Street Bank & Trust Cust 19.46%
EST Hartford Select Midcap Value
Attn Marilyn Orr
Woodbury MN
State Street Bank & Trust Cust 18.32%
EST Hartford Balanced Allocation
Attn Marilyn Orr
Woodbury MN
State Street Bank & Trust Cust 5.78%
EST Hartford Conservative
Attn Marilyn Orr
Woodbury MN
SELECT SMALLCAP VALUE FUND
Hartford Life Insurance Company 90.76%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 59.09%
Attn: Mark Strogoff
Hartford CT
Edward D Jones & Co 6.00%
Attn: Mutual Fund Sharehold Accounting
Maryland Hts MO
Hartford Life Insurance Company 63.32%
Attn: Mark Strogoff
Hartford CT
State Street Bank & Trust Cust 46.35%
EST Hartford Growth Allocaiton
Attn Marilyn Orr
Woodbury MN
State Street Bank & Trust Cust 23.73%
EST Hartford Aggressive
Attn Marilyn Orr
Woodbury MN
State Street Bank & Trust Cust 22.64%
EST Hartford Balanced Allocation
Attn Marilyn Orr
Woodbury MN
State Street Bank & Trust Cust 5.15%
EST Hartford Conservative
Attn Marilyn Orr
Woodbury MN
SHORT DURATION FUND
27
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Edward D. Jones & Co. 20.12%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts MO
Edward D. Jones & Co. 7.76%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts MO
MLPF&S For the Sole Benefit of 5.58%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
MLPF&S For the Sole Benefit of 14.52%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
Citigroup Global Markets Inc. 7.53%
Attn: Peter Booth
New York NY
State Street Bank & Trust Cust 36.04%
FBO The Hartford Growth Allocation
ATTN Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 32.75%
FBO The Hartford Balanced Alloc
ATTN Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 21.05%
FBO The Hartford Conservative Alloc
ATTN Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 7.43%
FBO The Hartford Income Alloc
ATTN Marilyn Orr
Woodbury, MN
SMALLCAP GROWTH FUND
Prudential Investment Management 34.32%
Service FBO: Mutual Fund Clients
Newark NJ
Citigroup Global Markets Inc. 6.28%
Attn: Peter Booth
New York, NY
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
28
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
NFSC FEBO 84.55%
FIIOC Agent FBO
Qualified Employee
Covington KY
Lasalle Bank 7.47%
FBO Jewish Community Center
Chicago IL
Northern Trust Company Custodian 5.35%
FBO ACF-Advocate
Chicago IL
SMALL COMPANY FUND
Edward D. Jones & Co. 28.66%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 8.77%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Citigroup Global Markets Inc. 11.31%
Attn: Peter Booth
New York, NY
MLPF&S for the sole benefit of 6.38%
Its Customers
Jacksonville FL
Morgan Keegan & Co 5.63%
Memphis TN
Counsel Tr DBA Mid Atlantic Trust 50.62%
Co FBO
Douglas E Beilstein DDS PSP & TR
Pittsburgh PA
Charles J Walker Defined Benefit 27.78%
Pension Acct of Charles J Walker
Bakersfield CA
Hartford Life Insurance Company 10.34%
Attn: Mark Strogoff
Hartford CT
MG Trust Co Cust FBO 8.88%
Pendleton Yacht Yard Inc Employee
Denver CO
Hartford Life Insurance Company 98.44%
Attn: Mark Strogoff
Hartford CT
29
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
NFSC FEBO 35.31%
FIIOC Agent FBO
Qualified Employee
Covington KY
State Street Bank & Trust Cust 23.94%
FBO The Hartford Balanced Alloc
ATTN Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 19.62%
FBO The Hartford Growth Allocation
ATTN Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 11.90%
The Hartford Aggressive Growth
Attn: Marilyn Orr
Woodbury, MN
STOCK FUND
Edward D. Jones & Co. 49.80%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 17.72%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Citigroup Global Markets Inc. 8.02%
Attn: Peter Booth
New York, NY
Edward D. Jones & Co. 7.01%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Hartford Life Insurance Company 99.84%
Attn: Mark Strogoff
Hartford CT
Pershing LLC 74.73%
Jersey City NH
Hartford Life Insurance Company 25.27%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
West Virginia Savings Plan Trustee 85.33%
FBO Wst Virginia Savings Plan Trust
Attn: Marilyn Orr
30
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Woodbury, MN
Saxon & Co. 12.59%
Philadelphia, PA
STRATEGIC INCOME FUND
Hartford Life Insurance Company 69.58%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 55.49%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 10.28%
Attn: Mark Strogoff
Hartford CT
Raymond James & Assoc Inc 7.94%
FBO Overbaugh Berth
St Petersburg FL
Hartford Life Insurance Company 24.96%
Attn: Mark Strogoff
Hartford CT
NFS LLC FEBO 8.45%
William A Hirsh
Myrtle Beach SC
TARGET RETIREMENT 2010 FUND
Hartford Life Insurance Company 74.00%
Separate Accounts 401k Business
Hartford CT
Hartford Securities Distrib Co Inc 8.18%
FBO 403(B)(7) Premier Enterprise Product
Hartford CT
NFS LLC FEBO 37.47%
FBO Betty S Price
Jacksonville Beach FL
H L Investment Advisors 29.02%
Attn: Marilyn Orr
Woodbury, MN
A G Edwards & Sons C/F 10.16%
Dorothy S. Mcmichael
Jackson GA
Bear Stearns Securities Corp. 51.97%
Brooklyn NY
H L Investment Advisors 23.05%
Attn: Marilyn Orr
Woodbury, MN
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
31
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Hartford CT
Hartford Life Insurance Company 99.12%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
H L Investment Advisors 100.00%
Attn: Marilyn Orr
Woodbury, MN
TARGET RETIREMENT 2020 FUND
Hartford Life Insurance Company 79.75%
Separate Accounts 401k Business
Hartford CT
US Bank National Assoc 17.40%
Susan Alford IRA
Middlesex NC
US Bank National Assoc 10.22%
Courtney Searls-Ridge SEP
Seattle WA
UBS Financial Services INC FBO 8.69%
UBS-Finsvc Cdn FBO
Mary Ellis Bell
Weehawken NJ
NFS LLC FEBO 7.40%
FBO Robert W Edrington
Clarksville AR
US Bank National Assoc 6.67%
Janet A Davis R/Over IRA
Denver CO
US Bank National Assoc 6.39%
Danny Alford IRA
Middlesex NC
NFS LLC FEBO 5.87%
FBO Nora Hurt Ado
Miami FL
US Bank National Assoc C/F 26.98%
Judith E Barkley IRA
Burlington CT
US Bank National Assoc C/F 12.63%
Larry E Patterson
Spearfish SD
Pershing LLC 11.37%
Jersey City, NJ
Wyes Energy Inc 10.50%
32
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Bruce E Crane Trustee Ind (K)
Hernando FL
US Bank National Assoc C/F 6.06%
John R Larson
Woodbury MN
LPL Financial Service 5.92%
Sandiego CA
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 58.25%
Separate Accounts 401K Business
Hartford CT
Hartford Life Insurance Company 41.75%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
H L Investment Advisors 100.00%
Attn: Marilyn Orr
Woodbury, MN
TARGET RETIREMENT 2030 FUND
Hartford Life Insurance Company 80.14%
Separate Accounts 401k Business
Hartford CT
US Bank National Assoc C/F 16.40%
Arletha L Northrop
Everett WA
US National Bank Assoc C/F 9.32%
Fred A Beyer
Orland Park IL
First Clearing, LLC 8.50%
Alice Bowlby Southwick
Raleigh NC
H L Investment Advisors 8.36%
Attn: Marilyn Orr
Woodbury, MN
First Clearing LLC 5.87%
Ina Turpen Fried Roth IRA
Fcc As Custodian
San Francisco CA
US Bank Nationa Assoc C/F 5.25%
Bruce Owenson
Harcourt IA
33
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
LPL Financial Services 22.42%
San Diego CA
H L Investment Advisors 9.25%
Attn: Marilyn Orr
Woodbury, MN
Scott Esry 8.60%
Hamilton MO
US Bank National Assoc C/F 7.62%
Kelly D Cain
Lagrange GA
US Bank National Assoc C/F 7.43%
Allen Wayne Urbanek
Harbinger NC
US Bank National Assoc C/F 7.17%
Robert M Sheehy
Kansas City MO
US Bank National Assoc C/F 5.45%
Aulenir E Toledo
Lancaster MA
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 83.76%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 16.24%
Separate Accounts 401K Business
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
H L Investment Advisors 100.00%
Attn: Marilyn Orr
Woodbury, MN
TAX-FREE CALIFORNIA FUND
Hartford Life Insurance Company 25.86%
ATTN: Mark Strogoff
Hartford, CT
Edward D. Jones & Co. 11.83%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Wells Fargo Investments LLC 10.26%
Minneapolis MN
First Clearing LLC 7.57%
Husher Revocable Trust
John D Husher & Margaret A
34
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Los Altos CA
Edward D. Jones & Co. 17.34%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
NFS LLC FEBO 13.99%
Mollie L Vasquez
Vasquez Family Tr
Morgan Hill CA
NFS LLC FEBO 11.57%
Arthur Zuber & Martha Schuett TR
Martha Schuett TTEE
Sebastopol, CA
NFS LLC FEBO 6.88%
Ronald W. Saurer
Coorrne E. Saurer
Newport Beach, CA
MLPF&S For The Sole Benefit Of 18.10%
Its Customers
Attn Fund Administration
Jacksonville FL
TAX-FREE MINNESOTA FUND
Edward D. Jones & Co. 54.73%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
US Bancorp Investment Inc 17.96%
Saint Paul MN
Edward D. Jones & Co. 28.15%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Florence M. Lutter 18.90%
Rochester MN
First Clearing LLC 16.34%
Carol Smithers
Coon Rapids MN
First Clearing LLC 14.67%
Harriett C Kurek
Minneapolis MN
MLPF&S 8.85%
Attn Fund Administration
Jacksonville FL
NFS LLC FEBO 6.31%
Lucille M Stolpman
Ortonville MN
US Bancorp Investments Inc 29.36%
St Paul MN
MLPF&S For the Sole Benefit of 17.01%
35
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Its Customer
Attn Fund Administration
Jacksonville FL
Pershing LLC 11.93%
Jersey City, NJ
Wells Fargo Investments LLC 10.02%
Minneapolis, MN
Wells Fargo Investments LLC 7.43%
Minneapolis, MN
Roger Rossum 5.19%
Karen Rossum JTWROS
Erhard, MN
TAX-FREE NATIONAL FUND
Edward D. Jones & Co. 39.12%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
MLPF&S for the sole benefit of 9.34%
Its customers
Attn Fund Administration
Jacksonville FL
Edward D. Jones & Co. 14.05%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
MLPF&S For the Sole Benefit of 9.54%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
Citigroup Global Markets Inc. 8.20%
Attn: Peter Booth
New York, NY
LPL FINANCIAL SERVICES 50.11%
SAN DIEGO CA
Hartford Life Insurance Company 49.85%
ATTN: Mark Strogoff
Hartford, CT
TAX-FREE NEW YORK FUND
Hartford Life Insurance Company 84.13%
ATTN: Mark Strogoff
Hartford, CT
Hartford Life Insurance Company 64.96%
ATTN: Mark Strogoff
Hartford, CT
NFS LLC FEBO 6.05%
36
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Maureen Trenk
New York, NY
Julia Daniels 5.38%
Fern C Wesley POA
Philadelphia PA
Oscar T. Ortiz 5.15%
Rochester, NY
Hartford Life Insurance Company 42.82%
ATTN: Mark Strogoff
Hartford, CT
Raymond James & Assoc. Inc 8.68%
FBO Kaufman Evelyn
St. Petersburg, FL
NFS LLC FEBO 7.70%
Alice R Cohen
Michael Cohen
New York NY
Raymond James & Assoc Inc 5.50%
FBO Sweedler Tr
St. Petersburg FL
Raymond James & Assoc Inc 5.48%
FBO Szulman Marcos
St Petersburg FL
TOTAL RETURN BOND FUND
Edward D. Jones & Co. 51.86%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 20.84%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Citigroup Global Markets, INC 5.62%
Attn: Peter Booth
New York, NY
LPL Financial Services 5.63%
Acct 1817-5069
San Diego CA
LPL Financial Services 5.63%
Acct 4405-3229
San Diego CA
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 94.22%
Attn: Mark Strogoff
Hartford CT
37
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Hartford Life Insurance Company 5.78%
Separate Accounts 401K Business
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
West Virginia Savings Plan Trustee 32.42%
FBO Wst Virginia Savings Plan Trust
Attn: Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 23.65%
FBO The Hartford Growth Allocation
ATTN Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 21.43%
FBO The Hartford Balanced Alloc
ATTN Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 7.58%
FBO The Hartford Conservative Alloc
ATTN Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 6.16%
FBO The Hartford Checks & Balances Fnd
ATTN Marilyn Orr
Woodbury, MN
U.S. GOVERNMENT SECURITIES FUND
Edward D. Jones & Co. 20.27%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 5.85%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
MLPF&S for the sole benefit of 12.26%
Its Customers
Attn: Fund Administration
Jacksonville FL
Citigroup Global Markets, Inc. 5.81%
Attn: Peter Booth
New York, NY
VALUE FUND
Edward D. Jones & Co. 49.01%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 22.87%
38
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Hartford Life Insurance Company 99.89%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100.00%
Attn: Mark Strogoff
Hartford CT
State Street Bank & Trust Cust 46.25%
FBO The Hartford Growth Allocation
ATTN Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 34.13%
FBO The Hartford Balanced Alloc
ATTN Marilyn Orr
Woodbury, MN
State Street Bank & Trust Cust 17.89%
The Hartford Aggressive Growth
Attn: Marilyn Orr
Woodbury, MN
VALUE OPPORTUNITIES FUND
Edward D. Jones & Co. 44.28%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Edward D. Jones & Co. 19.29%
Attn: Mutual Fund Shareholder Accounting
Maryland Hts. MO
Citigroup Global Markets, Inc. 13.23%
Attn: Peter Booth
New York NY
MLPF&S For the Sole Benefit of 7.41%
Its Customers
ATTN: Fund Administration
Jacksonville, FL
State Street Bank & Trust Cust 76.72%
The Hartford Conservative Alloc
Attn: Marilyn Orr
Woodbury, MN
West Virginia Savings Plan Trustee 20.68%
39
[Enlarge/Download Table]
CLASS A CLASS B CLASS C CLASS I CLASS R3 CLASS R4 CLASS R5 CLASS Y
------- ------- ------- ------- -------- -------- -------- -------
FBO Wst Virginia Savings Plan Trust
Attn: Marilyn Orr
Woodbury, MN
MG TRUST CO CUST FBO 53.73%
LINTON PHARMACY INC EMPLOYEE
DENVER CO
Hartford Life Insurance Company 46.27%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 99.75%
Attn: Mark Strogoff
Hartford CT
Hartford Life Insurance Company 100%
Attn: Mark Strogoff
Hartford CT
West Virginia Savings Plan Trustee 99.97%
FBO Wst Virginia Savings Plan Trust
Attn: Marilyn Orr
Woodbury, MN
[Enlarge/Download Table]
CLASS H CLASS L CLASS M CLASS N CLASS Z
------- ------- ------- ------- -------
TAX-FREE MINNESOTA FUND
Betty Mae Nelson 21.40%
Bellingham MN
Helen C Johnson and
Marsha D Fuerst Jtten 14.62%
White Bear Lake MN
Edward D. Jones & Co.
Attn: Mutual Fund Shareholder Accounting 8.50%
Maryland Hts. MO
TAX-FREE NATIONAL FUND
Thomas A Hebert 6.55%
Oconomowoc WI
Maurice Moler Estate
Kenneth E Horsman Executor 5.16%
Charleston IL
Control is defined by the 1940 Act as the beneficial ownership, either
directly or through one or more controlled companies, of more than 25 percent of
the voting securities of a fund. A control person may be able to take actions
regarding a fund it controls without the consent or approval of other
shareholders. As of July 31, 2007, Hartford Life Insurance Company, 200
Hopmeadow Street, Simsbury, Connecticut 06089, owned of record 29.72% of the
Balanced Income Fund, 37.70% of the High Yield Municipal Bond Fund, 93.10% of
the LargeCap Growth Fund, 67.88% of the MidCap Growth Fund, 56.85% of the
Strategic Income Fund, and 74.90% of the Tax-Free New York Fund, and therefore,
is a control person of each of those Funds. As of July 31, 2007, HL Investment
Advisors, LLC, 200 Hopmeadow Street, Simsbury, Connecticut 06089, owned of
record 25.66% of the Global Financial Services Fund and therefore, is a control
person of that Fund.
40
4. Under the section entitled "Subadvisory/Investment Services Fees" the table
regarding the voluntary expense limits agreed to by HIFSCO is replaced for
Strategic Income Fund as follows:
[Enlarge/Download Table]
------------------------------------------------------------------------------------------------------------------------------
CLASSES
FUND NAME CLASS A B & C CLASS I CLASS L CLASS R3 CLASS R4 CLASS R5 CLASS Y
--------- ------- ----- ------- ------- -------- -------- -------- -------
------------------------------------------------------------------------------------------------------------------------------
Strategic Income Fund 1.15% 1.90% 0.90% N/A N/A N/A N/A 0.90
------------------------------------------------------------------------------------------------------------------------------
5. Under the section entitled "Capitalization and Voting Rights", in the third
paragraph, the third and fourth sentences are replaced as follows:
Accordingly, the directors of each Company have authorized the issuance of
four classes of shares of each of the Funds (except for the Equity Growth
Allocation Fund, Balanced Allocation Fund, Conservative Allocation Fund,
Growth Allocation Fund, Income Allocation Fund, Checks and Balances Fund,
and High Yield Municipal Bond Fund) designated in each instance as Class A,
Class B, Class C and Class Y shares. Checks and Balances Fund and High
Yield Municipal Bond Fund do not currently offer Class Y shares.
PART C
OTHER INFORMATION
Item 23. Exhibits
[Download Table]
a.(i) Articles of Incorporation dated March 19, 1996 (incorporated by
reference to Initial Registration Statement filed on April 9,
1996)
a.(ii) Articles Supplementary dated August 30, 2002 (incorporated by
reference to Post-Effective Amendment No. 23 to Registration
Statement on Form N-1A (File No. 333-02381) filed on October 25,
2002)
a.(iii) Articles Supplementary dated September 12, 2002 (incorporated by
reference to Post-Effective Amendment No. 23 to Registration
Statement on Form N-1A (File No. 333-02381) filed on October 25,
2002)
a.(iv) Articles of Amendment to the Articles of Incorporation
(incorporated by reference to Post-Effective Amendment No. 24 to
Registration Statement on Form N-1A (File No. 333-02381) filed on
December 16, 2002)
a.(v) Articles Supplementary dated June 10, 2003 (incorporated by
reference to Post-Effective Amendment No. 27 to Registration
Statement on Form N-1A (File No. 333-02381) filed on August 19,
2003)
a.(vi) Articles of Amendment dated June 10, 2003 (incorporated by
reference to Post-Effective Amendment No. 27 to Registration
Statement on Form N-1A (File No. 333-02381) filed on August 19,
2003)
a.(vii) Articles Supplementary dated August 26, 2003 (incorporated by
reference to Post-Effective Amendment No. 28 to Registration
Statement on Form N-1A (File No. 333-02381) filed on December 15,
2003)
a.(viii) Articles Supplementary dated March 10, 2004 (incorporated by
reference to Post-Effective Amendment No. 35 to Registration
Statement on Form N-1A (File No. 333-02381) filed on May 19, 2004)
a.(ix) Articles Supplementary dated August 19, 2004 (incorporated by
reference to Post-Effective Amendment No. 37 to Registration
Statement on Form N-1A (File No. 333-02381) filed on December 23,
2004)
a.(x) Articles Supplementary dated February 3, 2005 (incorporated by
reference to Post-Effective Amendment No. 39 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 11,
2005)
[Download Table]
a.(xi) Articles Supplementary dated June 28, 2005 (incorporated by
reference to Post-Effective Amendment No. 42 to Registration
Statement on Form N-1A (File No. 333-02381) filed on July 15,
2005)
a.(xii) Articles Supplementary dated April 11, 2006 (incorporated by
reference to Post-Effective Amendment No. 48 to Registration
Statement on Form N-1A (File No. 333-02381) filed on May 17, 2006)
a.(xiii) Articles Supplementary dated June 14, 2006 (incorporated by
reference to Post-Effective Amendment No. 50 filed to Registration
Statement on Form N-1A (File No. 333-02381) on July 31, 2006)
a.(xiv) Articles Supplementary dated October 25, 2006 (incorporated by
reference to Post-Effective Amendment No. 54 to Registration
Statement on Form N-1A (File No. 333-02381) filed on November 29,
2006)
a.(xv) Articles Supplementary dated February 27, 2007 (incorporated by
reference to Post-Effective Amendment No. 59 to Registration
Statement on Form N-1A (File No. 333-02381) filed on May 30, 2007)
a.(xvi) Articles Supplementary dated August 15, 2007 (filed herewith)
a.(xvii) Articles of Amendment dated August 15, 2007 (filed herewith)
a.(xviii) Articles of Amendment dated August 15, 2007 (filed herewith)
b. By-Laws adopted January 24, 1996, last amended May 13, 2003
(incorporated by reference to Post-Effective Amendment No. 27 to
Registration Statement on Form N-1A (File No. 333-02381) filed on
August 19, 2003)
c. Not Applicable
d.(i) Investment Management Agreement with Hartford Investment Financial
Services Company dated March 3, 1997 (incorporated by reference to
Post-Effective Amendment No. 3 to Registration Statement on Form
N-1A (File No. 333-02381) filed on June 20, 1997)
d.(ii) Amendment No. 1 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 25 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 28,
2003)
d.(iii) Amendment No. 2 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 25 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 28,
2003)
d.(iv) Amendment No. 3 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 25 to Registration
[Download Table]
Statement on Form N-1A (File No. 333-02381) filed on February 28,
2003)
d.(v) Amendment No. 4 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 25 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 28,
2003)
d.(vi) Amendment No. 5 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 25 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 28,
2003)
d.(vii) Amendment No. 6 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 25 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 28,
2003)
d.(viii) Amendment No. 7 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 25 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 28,
2003)
d.(ix) Amendment No. 8 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 28 to Registration
Statement on Form N-1A (File No. 333-02381) filed on December 15,
2003)
d.(x) Amendment No. 9 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 39 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 11,
2005)
d.(xi) Amendment No. 10 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 39 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 11,
2005)
d.(xii) Amendment No. 11 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 41 to Registration
Statement on Form N-1A (File No. 333-02381) filed on April 29,
2005)
d.(xiii) Amendment No. 12 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 44 to Registration
Statement on Form N-1A (File No. 333-02381) filed on September 29,
2005)
[Download Table]
d.(xiv) Amendment No. 13 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 48 to Registration
Statement on Form N-1A (File No. 333-02381) filed on May 17, 2006)
d.(xv) Amendment No. 14 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 50 to Registration
Statement on Form N-1A (File No. 333-02381) filed on July 31,
2006)
d.(xvi) Amendment No. 15 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 50 to Registration
Statement on Form N-1A (File No. 333-02381) filed on July 31,
2006)
d.(xvii) Amendment No. 16 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 59 to Registration
Statement on Form N-1A (File No. 333-02381) filed on May 30, 2007)
d.(xviii) Amendment No. 17 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 59 to Registration
Statement on Form N-1A (File No. 333-02381) filed on May 30, 2007)
d.(xix) Amendment No. 18 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 59 to Registration
Statement on Form N-1A (File No. 333-02381) filed on May 30, 2007)
d.(xx) Amendment No. 19 to Investment Management Agreement (incorporated
by reference to Post-Effective Amendment No. 59 to Registration
Statement on Form N-1A (File No. 333-02381) filed on May 30, 2007)
d.(xxi) Investment Sub-Advisory Agreement with Wellington Management
Company, LLP dated March 3, 1997 (incorporated by reference to
Post-Effective Amendment No. 3 to Registration Statement on Form
N-1A (File No. 333-02381) filed on June 20, 1997)
d.(xxii) Amendment No. 1 to Investment Sub-Advisory Agreement with
Wellington Management Company, LLP (incorporated by reference to
Post-Effective Amendment No. 25 to Registration Statement on Form
N-1A (File No. 333-02381) filed on February 28, 2003)
d.(xxiii) Amendment No. 2 to Investment Sub-Advisory Agreement with
Wellington Management Company, LLP (incorporated by reference to
Post-Effective Amendment No. 25 to Registration Statement on Form
N-1A (File No. 333-02381) filed on February 28, 2003)
d.(xxiv) Amendment No. 3 to Investment Sub-Advisory Agreement with
Wellington Management Company, LLP (incorporated by reference to
[Download Table]
Post-Effective Amendment No. 25 to Registration Statement on Form
N-1A (File No. 333-02381) filed on February 28, 2003)
d.(xxv) Amendment No. 4 to Investment Sub-Advisory Agreement with
Wellington Management Company, LLP (incorporated by reference to
Post-Effective Amendment No. 25 to Registration Statement on Form
N-1A (File No. 333-02381) filed on February 28, 2003)
d.(xxvi) Amendment No. 5 to Investment Sub-Advisory Agreement with
Wellington Management Company, LLP (incorporated by reference to
Post-Effective Amendment No. 25 to Registration Statement on Form
N-1A (File No. 333-02381) filed on February 28, 2003)
d.(xxvii) Amendment No. 6 to Investment Sub-Advisory Agreement with
Wellington Management Company, LLP (incorporated by reference to
Post-Effective Amendment No. 25 to Registration Statement on Form
N-1A (File No. 333-02381) filed on February 28, 2003)
d.(xxviii) Amendment No. 7 to Sub-Advisory Agreement with Wellington
Management Company, LLP (incorporated by reference to
Post-Effective Amendment No. 28 to Registration Statement on Form
N-1A (File No. 333-02381) filed on December 15, 2003)
d.(xxix) Amendment No. 8 to Sub-Advisory Agreement with Wellington
Management Company, LLP (incorporated by reference to
Post-Effective Amendment No. 41 to Registration Statement on Form
N-1A (File No. 333-02381) filed on April 29, 2005)
d.(xxx) Amendment No. 9 to Sub-Advisory Agreement with Wellington
Management Company, LLP (incorporated by reference to
Post-Effective Amendment No. 50 to Registration Statement on Form
N-1A (File No. 333-02381) filed on July 31, 2006)
d.(xxxi) Amendment No. 10 to Sub-Advisory Agreement with Wellington
Management Company, LLP (incorporated by reference to
Post-Effective Amendment No. 57 to Registration Statement on Form
N-1A (File No. 333-02381) filed on February 28, 2007)
d.(xxxii) Investment Services Agreement with Hartford Investment Management
Company dated as of March 3, 1997 (incorporated by reference to
Post-Effective Amendment No. 3 to Registration Statement on Form
N-1A (File No. 333-02381) filed on June 20, 1997)
d.(xxxiii) Amendment No. 1 to Investment Services Agreement with Hartford
Investment Management Company (incorporated by reference to
Post-
[Download Table]
Effective Amendment No. 25 to Registration Statement on Form N-1A
(File No. 333-02381) filed on February 28, 2003)
d.(xxxiv) Amendment No. 2 to Investment Services Agreement with Hartford
Investment Management Company (incorporated by reference to
Post-Effective Amendment No. 25 to Registration Statement on Form
N-1A (File No. 333-02381) filed on February 28, 2003)
d.(xxxv) Amendment No. 3 to Investment Services Agreement with Hartford
Investment Management Company (incorporated by reference to
Post-Effective Amendment No. 41 to Registration Statement on Form
N-1A (File No. 333-02381) filed on April 29, 2005)
d.(xxxvi) Amendment No. 4 to Investment Services Agreement with Hartford
Investment Management Company (incorporated by reference to
Post-Effective Amendment No. 44 to Registration Statement on Form
N-1A (File No. 333-02381) filed on September 29, 2005)
d.(xxxvii) Amendment No. 5 Investment Services Agreement with Hartford
Investment Management Company (incorporated by reference to
Post-Effective Amendment No. 50 to Registration Statement on Form
N-1A (File No. 333-02381) filed on July 31, 2006)
d.(xxxviii) Amendment No. 6 Investment Services Agreement with Hartford
Investment Management Company (incorporated by reference to
Post-Effective Amendment No. 50 to Registration Statement on Form
N-1A (File No. 333-02381) filed on July 31, 2006)
d.(xxxix) Amendment No. 7 Investment Services Agreement with Hartford
Investment Management Company (incorporated by reference to
Post-Effective Amendment No. 54 to Registration Statement on Form
N-1A (File No. 333-02381) filed on November 29, 2006)
d.(xl) Amendment No. 8 Investment Services Agreement with Hartford
Investment Management Company (incorporated by reference to
Post-Effective Amendment No. 55 to Registration Statement on Form
N-1A (File No. 333-02381) filed on December 15, 2006)
d.(xli) Amendment No. 9 Investment Services Agreement with Hartford
Investment Management Company (incorporated by reference to
Post-Effective Amendment No. 59 to Registration Statement on Form
N-1A (File No. 333-02381) filed on May 30, 2007)
d.(xlii) Amendment No. 10 Investment Services Agreement with Hartford
Investment Management Company (filed herewith)
[Download Table]
d.(xliii) Investment Sub-Advisory Agreement with Oberweis Asset Management,
Inc. (incorporated by reference to Post-Effective Amendment No. 44
to Registration Statement on Form N-1A (File No. 333-02381) filed
on September 29, 2005)
d.(xliv) Investment Sub-Advisory Agreement with Jennison Associates LLC
(incorporated by reference to Post-Effective Amendment No. 44 to
Registration Statement on Form N-1A (File No. 333-02381) filed on
September 29, 2005)
d.(xlv) Investment Sub-Advisory Agreement with Kayne Anderson Rudnick
Investment Management, LLC (incorporated by reference to
Post-Effective Amendment No. 50 to Registration Statement on Form
N-1A (File No. 333-02381) filed on July 31, 2006)
d.(xlvi) Investment Sub-Advisory Agreement with Metropolitan West Capital
Management, LLC (incorporated by reference to Post-Effective
Amendment No. 50 to Registration Statement on Form N-1A (File No.
333-02381) filed on July 31, 2006)
d.(xlvii) Investment Sub-Advisory Agreement with SSgA Funds Management, Inc.
(incorporated by reference to Post-Effective Amendment No. 50 to
Registration Statement on Form N-1A (File No. 333-02381) filed on
July 31, 2006)
e.(i) Principal Underwriting Agreement (incorporated by reference to
Post-Effective Amendment No. 25 to Registration Statement on Form
N-1A (File No. 333-02381) filed on February 28, 2003)
e.(ii) Form of Dealer Agreement with the Distributor (incorporated by
reference to Pre-Effective Amendment No. 1 to Registration
Statement on Form N-1A (File No. 333-02381) filed on June 27,
1996)
e.(iii) Amendment No. 1 to Principal Underwriting Agreement (incorporated
by reference to Post-Effective Amendment No. 25 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 28,
2003)
e.(iv) Amendment No. 2 to Principal Underwriting Agreement (incorporated
by reference to Post-Effective Amendment No. 25 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 28,
2003)
e.(v) Amendment No. 3 to Principal Underwriting Agreement (incorporated
by reference to Post-Effective Amendment No. 25 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 28,
2003)
[Download Table]
e.(vi) Assignment of Principal Underwriting Agreement from Hartford
Securities Distribution Company, Inc. to Hartford Investment
Financial Services Company dated November 1, 1998 (incorporated by
reference to Post-Effective Amendment No. 20 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 15,
2002)
e.(vii) Amendment No. 4 to Principal Underwriting Agreement (incorporated
by reference to Post-Effective Amendment No. 25 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 28,
2003)
e.(viii) Amendment No. 5 to Principal Underwriting Agreement (incorporated
by reference to Post-Effective Amendment No. 25 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 28,
2003)
e.(ix) Amendment No. 6 to Principal Underwriting Agreement (incorporated
by reference to Post-Effective Amendment No. 25 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 28,
2003)
e.(x) Amendment No. 7 to Principal Underwriting Agreement (incorporated
by reference to Post-Effective Amendment No. 25 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 28,
2003)
e.(xi) Amendment No. 8 to Principal Underwriting Agreement (incorporated
by reference to Post-Effective Amendment No. 28 to Registration
Statement on Form N-1A (File No. 333-02381) filed on December 15,
2003)
e.(xii) Amendment No. 9 to Principal Underwriting Agreement (incorporated
by reference to Post-Effective Amendment No. 39 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 11,
2005)
e.(xiii) Amendment No. 10 to Principal Underwriting Agreement (incorporated
by reference to Post-Effective Amendment No. 39 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 11,
2005)
e.(xiv) Amendment No. 11 to Principal Underwriting Agreement (incorporated
by reference to Post-Effective Amendment No. 41 to Registration
Statement on Form N-1A (File No. 333-02381) filed on April 29,
2005)
e.(xv) Amendment No. 12 to Principal Underwriting Agreement (incorporated
by reference to Post-Effective Amendment No. 44 to Registration
Statement on Form N-1A (File No. 333-02381) filed on September 29,
2005)
[Download Table]
e.(xvi) Amendment No. 13 to Principal Underwriting Agreement (incorporated
by reference to Post-Effective Amendment No. 50 to Registration
Statement on Form N-1A (File No. 333-02381) filed on July 31,
2006)
e.(xvii) Amendment No. 14 to Principal Underwriting Agreement (incorporated
by reference to Post-Effective Amendment No. 54 to Registration
Statement on Form N-1A (File No. 333-02381) filed on November 29,
2006)
e.(xviii) Amendment No. 15 to Principal Underwriting Agreement (incorporated
by reference to Post-Effective Amendment No. 59 to Registration
Statement on Form N-1A (File No. 333-02381) filed on May 30, 2007)
f. Not Applicable
g. Master Custodian Agreement (incorporated by reference to
Post-Effective Amendment No. 58 to Registration Statement on Form
N-1A (File No. 333-02381) filed on March 15, 2007)
h.(i) Transfer Agency and Service Agreement between The Hartford Mutual
Funds, Inc., The Hartford Mutual Funds II, Inc, and Hartford
Administrative Services Company dated February 1, 2006
(incorporated by reference to Post-Effective Amendment No. 52 to
Registration Statement on Form N-1A (File No. 333-02381) filed on
September 15, 2006)
h.(ii) Amendment No. 1 to Transfer Agency and Service Agreement between
The Hartford Mutual Funds, Inc., The Hartford Mutual Funds II,
Inc, and Hartford Administrative Services Company (incorporated by
reference to Post-Effective Amendment No. 54 to Registration
Statement on Form N-1A (File No. 333-02381) filed on November 29,
2006)
h.(iii) Amendment No. 2 to Transfer Agency and Service Agreement between
The Hartford Mutual Funds, Inc., The Hartford Mutual Funds II,
Inc, and Hartford Administrative Services Company (incorporated by
reference to Post-Effective Amendment No. 55 to Registration
Statement on Form N-1A (File No. 333-02381) filed on December 15,
2006)
h.(iv) Share Purchase Agreement (incorporated by reference to
Post-Effective Amendment No. 35 to Registration Statement on Form
N-1A (File No. 333-02381) filed on May 19, 2004)
h.(v) Fund Accounting Agreement dated January 3, 2000 (incorporated by
reference to Post-Effective Amendment No. 48 to Registration
Statement on Form N-1A (File No. 333-02381) filed on May 17, 2006)
[Download Table]
h.(vi) Amendment No. 1 to the Fund Accounting Agreement, dated July 23,
2001 (incorporated by reference to Post-Effective Amendment No. 48
to Registration Statement on Form N-1A (File No. 333-02381) filed
on May 17, 2006)
h.(vii) Second Amendment to the Fund Accounting Agreement, dated October
31, 2002 (incorporated by reference to Post-Effective Amendment
No. 48 to Registration Statement on Form N-1A (File No. 333-02381)
filed on May 17, 2006)
h.(viii) Third Amendment to the Fund Accounting Agreement, dated August 25,
2003 (incorporated by reference to Post-Effective Amendment No. 48
to Registration Statement on Form N-1A (File No. 333-02381) filed
on May 17, 2006)
h.(ix) Fourth Amendment to the Fund Accounting Agreement, dated September
27, 2005 (incorporated by reference to Post-Effective Amendment
No. 48 to Registration Statement on Form N-1A (File No. 333-02381)
filed on May 17, 2006)
h.(x) Fifth Amendment to the Fund Accounting Agreement, dated January 1,
2006 (incorporated by reference to Post-Effective Amendment No. 48
to Registration Statement on Form N-1A (File No. 333-02381) filed
on May 17, 2006)
h.(xi) Sixth Amendment to the Fund Accounting Agreement, July 31, 2006
(incorporated by reference to Post-Effective Amendment No. 50 to
Registration Statement on Form N-1A (File No. 333-02381) filed on
July 31, 2006)
h.(xii) Seventh Amendment to the Fund Accounting Agreement, November 30,
2006 (incorporated by reference to Post-Effective Amendment No. 54
to Registration Statement on Form N-1A (File No. 333-02381) filed
on November 29, 2006)
h.(xiii) Eighth Amendment to the Fund Accounting Agreement, May 31, 2007
(incorporated by reference to Post-Effective Amendment No. 59 to
Registration Statement on Form N-1A (File No. 333-02381) filed on
May 30, 2007)
i. Opinion and Consent of Counsel (filed herewith)
j. Not applicable
k. Not Applicable
[Download Table]
l. Not Applicable
m. Amended and Restated Rule 12b-1 Distribution Plan for Class A,
Class B, Class C, Class R3, Class R4 and Class R5 Shares
(incorporated by reference to Post-Effective Amendment No. 59 to
Registration Statement on Form N-1A (File No. 333-02381) filed on
May 30, 2007)
n. Multiple Class Plan Pursuant to Rule 18f-3 (incorporated by
reference to Post-Effective Amendment No. 59 to Registration
Statement on Form N-1A (File No. 333-02381) filed on May 30, 2007)
o. Not Applicable
p.(i) Code of Ethics of HL Investment Advisors, LLC, Hartford Investment
Financial Services, LLC and The Hartford-Sponsored Mutual Funds
(incorporated by reference to Post-Effective Amendment No. 57 to
Registration Statement on Form N-1A (File No. 333-02381) filed on
February 28, 2007)
p.(ii) Code of Ethics of Hartford Investment Management Company
(incorporated by reference to Post-Effective Amendment No. 57 to
Registration Statement on Form N-1A (File No. 333-02381) filed on
February 28, 2007)
p.(iii) Code of Ethics of Wellington Management Company, LLP (incorporated
by reference to Post-Effective Amendment No. 40 to Registration
Statement on Form N-1A (File No. 333-02381) filed on February 28,
2005)
p.(iv) Code of Ethics of Jennison Associates LLC (incorporated by
reference to Post-Effective Amendment No. 42 to Registration
Statement on Form N-1A (File No. 333-02381) filed on July 15,
2005)
p.(v) Code of Ethics of Kayne Anderson Rudnick Investment Management,
LLC (incorporated by reference to Post-Effective Amendment No. 50
to Registration Statement on Form N-1A (File No. 333-02381) filed
on July 31, 2006)
p.(vi) Code of Ethics of Metropolitan West Capital Management, LLC
(incorporated by reference to Post-Effective Amendment No. 50 to
Registration Statement on Form N-1A (File No. 333-02381) filed on
July 31, 2006)
p.(vii) Code of Ethics of Oberweis Asset Management, Inc. (incorporated by
reference to Post-Effective Amendment No. 48 to Registration
Statement on Form N-1A (File No. 333-02381) filed on May 17, 2006)
[Download Table]
p.(viii) Code of Ethics of SSgA Funds Management, Inc. (filed herewith)
q.(i) Power of Attorney (incorporated by reference to Post-Effective
Amendment No. 57 to Registration Statement on Form N-1A (File No.
333-02381) filed on February 28, 2007)
Item 24. Persons Controlled by or Under Common Control with Registrant
As of July 31, 2007, any persons directly or indirectly under common
control with The Hartford Mutual Funds, Inc. are affiliates of, and
are controlled by, The Hartford Financial Services Group, Inc., a
Delaware corporation. Information about all such persons is
incorporated herein by reference to the Form 10-K of The Hartford
Financial Services Group, Inc. filed on February 23, 2007.
In addition, subsidiaries of The Hartford Financial Services Group,
Inc., beneficially owned as of July 31, 2007 more than 25% of the
following funds:
The Hartford Balanced Income Fund
The Hartford Global Financial Services Fund
The Hartford High Yield Municipal Bond Fund
The Hartford LargeCap Growth Fund
The Hartford MidCap Growth Fund
The Hartford Select MidCap Value Fund
The Hartford Strategic Income Fund
The Hartford Tax-Free New York Fund
Item 25. Indemnification
Article V of the Registrant's Articles of Incorporation dated March
19, 1996 and incorporated herein by reference to Registrant's initial
registration statement on April 9, 1996 provides in effect that the
Registrant will indemnify its officers and directors under certain
circumstances. However, in accordance with Section 17(h) and 17(i) of
the Investment Company Act of 1940 and its own terms, Article V does
not protect any person against liability to the Registrant or its
shareholders to which such Director would otherwise be subject by
reason of willful misfeasance, bad faith, gross negligence, or
reckless disregard of the duties involved in the conduct of his
office. The rights of indemnification contained in Article V are not
exclusive to any other rights to which any officer, director or
employee seeking indemnification may be entitled.
Subsection (b) of Section 2-418 of the General Corporation Law of
Maryland permits a corporation to indemnify any person who was or is
party or is threatened to be made a party to any threatened, pending
or completed action, suit or proceeding, whether civil, criminal,
administrative or investigative (other than an action by or in the
right of the corporation) by reason of the fact that he is or was a
director, officer, employee or agent of the corporation or is or was
serving at the request of the corporation as a director, officer,
employee or agent of another corporation or enterprise, against
reasonable expenses (including
attorneys' fees), judgments, penalties, fines and amounts paid in
settlement actually incurred by him in connection with such action,
suit or proceeding unless it is proved that: (i) the act or omission
of the person was material to the cause of action adjudicated in the
proceeding and was committed in bad faith or was the result of active
and deliberate dishonesty; (ii) the person actually received an
improper personal benefit of money, property or services; or (iii)
with respect to any criminal action or proceeding, the person had
reasonable cause to believe his act or omission was unlawful.
Indemnification under subsection (b) of Section 2-418 may not be made
by a corporation unless authorized for a specific proceeding after a
determination has been made that indemnification is permissible in the
circumstances because the party to be indemnified has met the standard
of conduct set forth in subsection (b). This determination shall be
made (i) by the Board of Directors by a majority vote of a quorum
consisting of directors not, at the time, parties to the proceeding,
or, if such quorum cannot be obtained, then by a majority vote of a
committee of the Board consisting solely of two or more directors not,
at the time, parties to such proceeding and who were duly designated
to act in the matter by a majority vote of the full Board in which the
designated directors who are parties may participate; (ii) by special
legal counsel selected by the Board of Directors or a committee of the
Board by vote as set forth in subparagraph (i), or, if the requisite
quorum of the full Board cannot be obtained therefor and the committee
cannot be established, by a majority vote of the full Board in which
any director who is a party may participate; or (iii) by the
stockholders (except that shares held by directors who are parties to
the specific proceeding may not be voted). A court of appropriate
jurisdiction may also order indemnification if the court determines
that a person seeking indemnification is entitled to reimbursement
under subsection (b).
Section 2-418 further provides that indemnification provided for by
Section 2-418 shall not be deemed exclusive of any rights to which the
indemnified party may be entitled; and permits a corporation to
purchase and maintain insurance on behalf of a director, officer,
employee or agent of the corporation against any liability asserted
against or incurred by such person in any such capacity or arising out
of such person's status as such whether or not the corporation would
have the power to indemnify such person against such liabilities under
Section 2-418.
Insofar as indemnification for liability arising under the Securities
Act of 1933, as amended (the "Act") may be permitted to directors,
officers and controlling persons of the Registrant pursuant to the
foregoing provisions, or otherwise, the Registrant has been advised
that in the opinion of the Securities and Exchange Commission such
indemnification is against public policy as expressed in the Act and
is, therefore, unenforceable. In
the event that a claim for indemnification against such liabilities
(other than the payment by the Registrant of expenses incurred or paid
by a director, officer or controlling person in connection with the
securities being registered), the Registrant undertakes that it will,
unless in the opinion of its counsel the matter has been settled by
controlling precedent, submit to a court of appropriate jurisdiction
the questions whether such indemnification by it is against public
policy as expressed in the Act and will be governed by the final
adjudication of such issue.
Item 26. Business and Other Connections of Investment Adviser
Hartford Investment Financial Services, LLC serves as investment adviser to each
of the funds included in this Registration Statement.
[Enlarge/Download Table]
Position with Hartford Investment
Name Financial Services, LLC Other Business
---- --------------------------------- --------------
Thomas M. Marra Chairman of the Board Director, President and Chief Operating Officer
of Hartford Life, Inc. ("HL, Inc. ")(1);
Chairman of the Board, Chief Executive Officer,
Director and President of Hartford Life
Insurance Company ("HLIC")(2); Chief Executive
Officer, Manager and President of HL Investment
Advisors, LLC(3); Chief Operating Officer and
President of The Hartford Financial Services
Group, LLC ("The Hartford")(4); and Director of
Hartford Administrative Services Company
("HASCO")(5)
John C. Walters Chief Executive Officer, Executive Vice President of The Hartford;
President and Manager Co-Chief Executive Officer, Co-President and
Director of HLIC; Executive Vice President and
Manager HL Investment Advisors, LLC and
President of US Wealth Management at HL, Inc.
Tamara L. Fagely Chief Financial Officer and Chief Financial Officer and Vice President of
Controller/FINOP HASCO and Vice President of HLIC
Colleen B. Pernerewski Chief Investment Advisor and Assistant Vice President of The Hartford; Chief
Compliance Officer Compliance Officer of Separate Accounts of HLIC
and Chief Compliance Officer of HL Investment
Advisors, LLC
William D. Wilcox Chief Compliance Officer, AML Assistant Vice President of The Hartford
Compliance Officer and Secretary
Robert M. Arena Senior Vice President / Business Chief Executive Officer and Senior Vice
Line Principal and Manager President of HASCO; and Senior Vice President of
HLIC and HL Investment Advisors, LLC
William H. Davison, Jr. Senior Vice President Director and Managing Director of Hartford
Investment Management(6)
Christopher J. Hanlon Senior Vice President Senior Vice President of Hartford Investment
Management and HLIC
[Enlarge/Download Table]
Kenneth A. McCullum Senior Vice President Senior Vice President and Actuary of HLIC
Hugh T. Whelan Senior Vice President Managing Director of Hartford Investment
Management
Edward C. Caputo Vice President Assistant Vice President of Hartford Investment
Management
Thomas D. Jones Vice President Vice President of The Hartford, HLIC and HL
Investment Advisors, LLC
Edward P. Macdonald Vice President and Assistant Vice President of The Hartford;
Chief Legal Officer Assistant Vice President of HLIC; and Chief
Legal Officer, Secretary and Vice President of
HL Investment Advisors, LLC
Vernon J. Meyer Vice President Vice President of HLIC and HL Investment
Advisors, LLC
Peter J. Michalik Vice President Vice President of HASCO and HLIC
Scott R. Sanderson Vice President/Marketing Vice President of HLIC
Marilyn Orr Assistant Vice President Assistant Vice President of HLIC
Elizabeth L. Schroeder Assistant Vice President Assistant Vice President of HLIC and HL
Investment Advisors, LLC
Denise Settimi Assistant Vice President Chief Operating Officer and Assistant Vice
President of HASCO; and Assistant Vice President
of HLIC
John N. Giamalis Treasurer Senior Vice President and Treasurer of HL Inc.,
The Hartford, HASCO, HLIC, and HL Investment
Advisors and Treasurer of Hartford Investment
Management
Brian Murphy Manager Executive Vice President of HLIC
Todd G. Picken Assistant Treasurer Assistant Treasurer and Assistant Vice President
of HLIC, HL Inc., The Hartford, HASCO and HL
Investment Advisors, LLC; and Assistant
Treasurer of HIMCO
(1) The principal business address for HL, Inc. is 200 Hopmeadow Street,
Simsbury, CT 06089.
(2) The principal business address for HLIC is 200 Hopmeadow Street, Simsbury,
CT 06089.
(3) The principal business address for HL Investment Advisors, LLC is 200
Hopmeadow Street, Simsbury, CT 06089.
(4) The principal business address for The Hartford is Hartford Plaza,
Hartford, CT 06115.
(5) The principal business address for HASCO is 500 Bielenberg Drive, Woodbury,
MN 55125.
(6) The principal business address for Hartford Investment Management is 55
Farmington Avenue, Hartford, CT 06105.
Item 27. Principal Underwriters
Hartford Investment Financial Services, LLC ("HIFSCO") is an indirect
wholly owned subsidiary of The Hartford Financial Services Group, Inc. HIFSCO is
also the principal underwriter for The Hartford Mutual Funds II, Inc.
The directors and principal officers of HIFSCO and their position with the
Registrant are set forth below:
[Enlarge/Download Table]
Name and Principal Business
Address Positions and Offices with Underwriter Position and Offices with Registrant
--------------------------- -------------------------------------- ------------------------------------
Thomas M. Marra(1) Chairman of the Board None
John C. Walters(1) Chief Executive Officer, President and Manager Vice President
Tamara L. Fagely(4) Chief Financial Officer and Controller/FINOP Vice President, Treasurer and Controller
Colleen B. Pernerewski(1) Chief Investment Advisor and Compliance Officer None
William D. Wilcox(1) Chief Compliance Officer, AML Compliance None
Officer and Secretary
Robert M. Arena(1) Senior Vice President / Business Line Principal Vice Presidentr
and Manager
William H. Davison, Jr. (2) Senior Vice President None
Christopher J. Hanlon(2) Senior Vice President None
Kenneth A. McCullum(1) Senior Vice President None
Hugh T. Whelan(2) Senior Vice President None
Edward C. Caputo(2) Vice President None
Thomas D. Jones(1) Vice President None
Edward P. Macdonald(1) Vice President and Chief Legal Officer Vice President, Secretary and Chief Legal Officer
Vernon J. Meyer(1) Vice President Vice President
Peter J. Michalik(1) Vice President None
Scott R. Sanderson(1) Vice President/Marketing None
Marilyn Orr(4) Assistant Vice President Assistant Treasurer
Elizabeth L. Schroeder(1) Assistant Vice President None
Denise Settimi(4) Assistant Vice President Vice President
John N. Giamalis(3) Treasurer None
Brian Murphy Manager None
Todd G. Picken(3) Assistant Treasurer None
(1) The principal business address is 200 Hopmeadow Street, Simsbury, CT 06089.
(2) The principal business address is 55 Farmington Avenue, Hartford, CT 06105.
(3) The principal business address is 690 Asylum Avenue, Hartford, CT 06115.
(4) The principal business address is 500 Bielenberg Drive, Woodbury, MN 55125.
Item 28. Location of Accounts and Records
Books or other documents required to be maintained by the Registrant by
Section 31(a) of the Investment Company Act of 1940 and the rules promulgated
thereunder are maintained by the Registrant's custodian, State Street Bank and
Trust Company, 225
Franklin Street, Boston, MA 02110 and the Registrant's transfer agent, Hartford
Administrative Services Company, 500 Bielenberg Drive, Woodbury, Minnesota
55125. Registrant's financial ledgers and other corporate records are maintained
at its offices at the Hartford Life Insurance Companies, 200 Hopmeadow Street,
Simsbury, CT 06089.
Item 29. Management Services
Not Applicable
Item 30. Undertakings
Not Applicable
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the
Investment Company Act of 1940, the Registrant certifies that it meets all of
the requirements for effectiveness of this registration statement under rule
485(b) under the Securities Act and has duly caused this Registration Statement
to be signed on its behalf by the undersigned, thereunto duly authorized, in the
City of Hartford, State of Connecticut, on the 30th day of August, 2007.
THE HARTFORD MUTUAL FUNDS, INC.
By: /s/ David M. Znamierowski
---------------------------
David M. Znamierowski
Its: President
Pursuant to the requirements of the Securities Act of 1933, this
Registration Statement has been signed below by the following persons in the
capacities and on the date indicated.
[Download Table]
SIGNATURE TITLE DATE
--------- ----- ----
/s/ David M. Znamierowski President, August 30, 2007
------------------------- Chief Executive Officer
David M. Znamierowski & Director
/s/ Tamara L. Fagely Controller & Treasurer August 30, 2007
------------------------- (Chief Accounting Officer &
Tamara L. Fagely Chief Financial Officer)
* Director August 30, 2007
-------------------------
Lynn S. Birdsong
* Chairman of the Board August 30, 2007
------------------------- and Director
Robert M. Gavin, Jr.
* Director August 30, 2007
-------------------------
Duane E. Hill
* Director August 30, 2007
-------------------------
Sandra S. Jaffee
[Download Table]
* Director August 30, 2007
-------------------------
William P. Johnston
* Director August 30, 2007
-------------------------
Lemma W. Senbet
* Director August 30, 2007
-------------------------
Thomas M. Marra
* Director August 30, 2007
-------------------------
Phillip O. Peterson
* Director August 30, 2007
-------------------------
Lowndes A. Smith
/s/ Edward P. Macdonald August 30, 2007
-------------------------
* By Edward P. Macdonald
Attorney-in-fact
* Pursuant to Power of Attorney (incorporated by reference to Post-Effective
Amendment No. 57 to Registration Statement on Form N-1A (File No.
333-02381) filed on February 28, 2007)
EXHIBIT INDEX
[Download Table]
a.(xvi) Articles Supplementary dated August 15, 2007
a.(xvii) Articles of Amendment dated August 15, 2007
a.(xviii) Articles of Amendment dated August 15, 2007
d.(xlii) Amendment No. 10 Investment Services Agreement with Hartford
Investment Management Company
i. Opinion and Consent of Counsel
p.(viii) Code of Ethics of SSgA Funds Management, Inc.
Dates Referenced Herein and Documents Incorporated by Reference
| Referenced-On Page |
|---|
| This ‘485BPOS’ Filing | | Date | | First | | Last | | | Other Filings |
|---|
| |  |
| Effective on: | | 8/31/07 | | 1 | | 34 | | | 497 |
| Filed on: | | 8/30/07 | | 1 | | 96 | | | N-PX |
| | 8/15/07 | | 78 | | 97 | | | 497 |
| | 7/31/07 | | 34 | | 89 | | | 497, N-Q |
| | 7/1/07 | | 25 |
| | 5/31/07 | | 14 | | 86 | | | 485BPOS |
| | 5/30/07 | | 34 | | 87 | | | 485BPOS |
| | 3/15/07 | | 85 | | | | | 485APOS, 497 |
| | 2/28/07 | | 81 | | 96 | | | 485BPOS |
| | 2/27/07 | | 78 |
| | 2/23/07 | | 89 |
| | 1/1/07 | | 17 | | 18 |
| | 12/31/06 | | 13 | | 18 |
| | 12/15/06 | | 82 | | 85 | | | 485BPOS |
| | 11/30/06 | | 86 | | | | | 485BPOS, 497 |
| | 11/29/06 | | 78 | | 86 | | | 485BPOS |
| | 10/25/06 | | 78 |
| | 9/15/06 | | 85 | | | | | 485APOS |
| | 7/31/06 | | 78 | | 87 | | | 485BPOS, N-Q |
| | 6/14/06 | | 78 |
| | 5/17/06 | | 78 | | 87 | | | 485APOS |
| | 4/11/06 | | 78 | | | | | DEFA14A |
| | 2/1/06 | | 85 | | | | | 497 |
| | 1/1/06 | | 86 |
| | 9/29/05 | | 79 | | 84 | | | 485BPOS, N-Q |
| | 9/27/05 | | 86 |
| | 7/15/05 | | 78 | | 87 | | | 485APOS, DEF 14A |
| | 6/28/05 | | 78 |
| | 4/29/05 | | 79 | | 84 | | | 485BPOS |
| | 2/28/05 | | 87 | | | | | 485BPOS |
| | 2/11/05 | | 77 | | 84 | | | 485APOS |
| | 2/3/05 | | 77 |
| | 12/23/04 | | 77 | | | | | 485APOS |
| | 8/19/04 | | 77 |
| | 5/19/04 | | 77 | | 85 | | | 485BPOS, 497 |
| | 3/10/04 | | 77 |
| | 2/27/04 | | 13 | | | | | 485BPOS |
| | 12/15/03 | | 77 | | 84 | | | 485APOS |
| | 8/26/03 | | 77 |
| | 8/25/03 | | 86 |
| | 8/19/03 | | 77 | | 78 | | | 485BXT |
| | 6/10/03 | | 77 |
| | 5/13/03 | | 78 |
| | 2/28/03 | | 78 | | 84 | | | 485BPOS |
| | 2/27/03 | | 13 |
| | 12/16/02 | | 77 | | | | | 485APOS |
| | 10/31/02 | | 86 | | | | | 24F-2NT, N-30D, NSAR-B, NSAR-B/A |
| | 10/25/02 | | 77 | | | | | 485BPOS, 497 |
| | 9/12/02 | | 77 |
| | 8/30/02 | | 77 | | | | | 497 |
| | 2/15/02 | | 84 | | | | | 485BPOS |
| | 7/23/01 | | 86 |
| | 1/3/00 | | 85 | | | | | 497 |
| | 11/1/98 | | 84 |
| | 6/20/97 | | 78 | | 81 | | | 485A24F |
| | 3/3/97 | | 78 | | 81 | | | NSAR-B |
| | 6/27/96 | | 83 | | | | | N-1A EL/A |
| | 4/9/96 | | 77 | | 89 | | | N-1A EL, N-8A |
| | 3/19/96 | | 77 | | 89 |
| | 1/24/96 | | 78 |
| List all Filings |
2 Subsequent Filings that Reference this Filing
↑Top
Filing Submission 0000950135-07-005432 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help —
Fri., Apr. 26, 7:33:41.3am ET 