Post-Effective Amendment
Filing Table of Contents
Document/Exhibit Description Pages Size
1: 485A24E Pacific Capital Funds 485A24E 303 1.56M
2: EX-5.C Opinion re: Legality 7 30K
3: EX-6.D Opinion re: Discount on Capital Shares 16 53K
4: EX-10 Material Contract 2 14K
5: EX-11 Statement re: Computation of Earnings Per Share 1 9K
6: EX-15.A Letter re: Unaudited Interim Financial Information 3 16K
7: EX-15.C Letter re: Unaudited Interim Financial Information 3 16K
8: EX-18 Letter re: Change in Accounting Principles 3 12K
13: EX-27.01 Financial Data Schedule (Pre-XBRL) 2± 12K
14: EX-27.02 Financial Data Schedule (Pre-XBRL) 2± 12K
23: EX-27.03 Financial Data Schedule (Pre-XBRL) 2± 12K
24: EX-27.04 Financial Data Schedule (Pre-XBRL) 2± 12K
17: EX-27.05 Financial Data Schedule (Pre-XBRL) 2± 12K
18: EX-27.06 Financial Data Schedule (Pre-XBRL) 2± 12K
19: EX-27.07 Financial Data Schedule (Pre-XBRL) 2± 12K
20: EX-27.08 Financial Data Schedule (Pre-XBRL) 2± 12K
21: EX-27.09 Financial Data Schedule (Pre-XBRL) 2± 12K
22: EX-27.10 Financial Data Schedule (Pre-XBRL) 2± 12K
9: EX-27.11 Financial Data Schedule (Pre-XBRL) 2± 12K
10: EX-27.12 Financial Data Schedule (Pre-XBRL) 2± 12K
11: EX-27.13 Financial Data Schedule (Pre-XBRL) 2± 12K
12: EX-27.14 Financial Data Schedule (Pre-XBRL) 2± 12K
15: EX-27.15 Financial Data Schedule (Pre-XBRL) 2± 12K
16: EX-27.16 Financial Data Schedule (Pre-XBRL) 2± 12K
EX-18 — Letter re: Change in Accounting Principles
| EX-18 | 1st Page of 3 | TOC | ↑Top | Previous | Next | ↓Bottom | Just 1st |
|---|
Exhibit 18
PACIFIC CAPITAL FUNDS (THE "TRUST")
PLAN PURSUANT TO RULE 18f-3
The Trust hereby adopts this plan pursuant to Rule 18f-3 under the
Investment Company Act of 1940, as amended, on behalf of each of its series:
Balanced Fund, Diversified Fixed Income Fund, Growth and Income Fund, Growth
Stock Fund, New Asia Growth Fund, Short Intermediate U.S. Treasury Securities
Fund, Tax-Free Securities Fund, Tax-Free Short Intermediate Securities Fund and
U.S. Securities Treasury Fund (the "Funds"). This plan sets forth the separate
arrangement and expense allocation of each class of shares of the Funds. Any
material amendment to this plan is subject to prior approval of the Board of
Trustees, including a majority of the independent Trustees.
CLASS CHARACTERISTICS
Class A Shares: Class A shares bear the expenses of the ongoing
Rule 12b-1 fees applicable to that Class. Specific
shareholders within Class A may be subject to an
initial sales charge as set forth in each Fund's
current prospectus and statement of additional
information (together, the "prospectus").
Class B Shares: Class B shares bear the expenses of the ongoing Rule
12b-1 fees applicable to that Class. Specific
shareholders within Class B may be subject to a
contingent deferred sales charge as set forth in each
Fund's prospectus.
Class Y Shares: Class Y shares are not subject to any initial sales
charge, CDSC or Rule 12b-1 fee.
INCOME AND EXPENSE ALLOCATIONS
Income, any realized and unrealized capital gains and losses, and
expenses not allocated to a particular class, will be allocated to each class
on the basis of the net asset value of that class in relation to the net asset
value of the Fund.
DIVIDENDS AND DISTRIBUTIONS
Dividends and other distributions paid by the Fund to each class of
shares, to the extent paid, will be paid on the same day and at the same time,
and will be determined in the same manner and will be in the same amount,
except that the amount of the dividends and other distributions declared and
paid by a particular class may be different from that paid by another class
because of Rule 12b-1 fees and other expenses borne exclusively by that class.
EXCHANGE PRIVILEGE
Holders of Class A, Class B and Class Y shares shall have such
exchange privileges as set forth in each Fund's current prospectus. Exchange
privileges may vary among Classes.
CONVERSION FEATURES
Effective February 15, 1997, holders of Class Y shares who terminate
their qualified trust account, employee benefit account or other qualifying
relationship with an Institution (as defined in the Class Y prospectus) shall
be subject to an automatic conversion feature whereby such
Class Y shareholders will have their Class Y shares of a Fund converted to
Class A shares of the same Fund on the basis of the relative net asset value of
the shares of the two classes, without incurring any fee, sales load or other
charge. Class B shares convert to Class A shares approximately 8 years after
purchase, as set forth in each Fund's prospectus. There is no conversion
feature applicable to Class A shares.
OTHER RIGHTS AND OBLIGATIONS
Except as otherwise described above, in all respects, each Class shall
have the same rights and obligations as each other Class.
VOTING RIGHTS
Each Class has exclusive voting rights on any matter submitted to
shareholders that relates solely to its ongoing distribution fees of the Class.
Each Class shall have separate voting rights on any matter submitted to
shareholders in which the interests of one Class differ from the interests of
any other Class.
As amended: , 1997
-------------------------------
Dates Referenced Herein and Documents Incorporated by Reference
| Referenced-On Page |
|---|
| This ‘485A24E’ Filing | | Date | | First | | Last | | | Other Filings |
|---|
| |  |
| Filed on: | | 9/30/97 | | | | | | | 497 |
| | 2/15/97 | | 2 |
| List all Filings |
↑Top
Filing Submission 0000950152-97-006939 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help —
Thu., May 16, 6:45:46.1am ET 