POS EX 1 d500952dposex.htm HARTFORD MUTUAL FUNDS INC/CT HARTFORD MUTUAL FUNDS INC/CT
As filed with the Securities and Exchange Commission on July 14, 2023
File Nos. 333-02381/811-07589
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 
FORM N-1A
 
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
☒
Pre-Effective Amendment No.
☐
Post-Effective Amendment No. 180
☒
and/or
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940
☒
Amendment No. 181
☒
 
THE HARTFORD MUTUAL FUNDS, INC.
(Exact Name of Registrant as Specified in Charter)
 
690 Lee Road
Wayne, Pennsylvania 19087
(Address of Principal Executive Offices) (Zip Code)
 
Registrant’s Telephone Number, including Area Code: (610) 386-4068
 
Thomas R. Phillips, Esquire
Hartford Funds Management Company, LLC
690 Lee Road
Wayne, Pennsylvania 19087
(Name and Address of Agent for Service)
 
Copy to:
John V. O’Hanlon, Esquire
Dechert LLP
One International Place, 40th Floor
100 Oliver Street
Boston, Massachusetts 02110-2605
 
It is proposed that this filing will become effective immediately upon filing pursuant to Rule 462(d) under the Securities Act of 1933, as amended.
EXPLANATORY NOTE
This Post-Effective Amendment No. 180 to the Registration Statement on Form N-1A (File No. 333-02381) is being filed pursuant to Rule 462(d) under the Securities Act of 1933, as amended, solely for the purpose of adding exhibits to such Registration Statement. Accordingly, this Post-Effective Amendment No. 180 consists only of a facing page, this explanatory note, and Part C of the Registration Statement on Form N-1A. This Post-Effective Amendment No. 180 does not change the form of the Prospectuses or Statement of Additional Information relating to Post-Effective Amendment No. 179 filed electronically on February 28, 2023 with the Securities and Exchange Commission (the “SEC”). As permitted by Rule 462(d), this Post-Effective Amendment No. 180 shall become effective upon filing with the SEC.
THE HARTFORD MUTUAL FUNDS, INC.
PART C
OTHER INFORMATION
Item 28. Exhibits
c.
Not Applicable
f.
Not Applicable
k.
Not Applicable
l.
Not Applicable
o.
Reserved
Item 29. Persons Controlled by or Under Common Control with Registrant
As of June 30, 2023, Hartford Cayman Real Asset Fund, Ltd., an exempt company organized under the laws of the Islands, is 100% owned by Hartford Real Asset Fund, a series of the Registrant. Hartford Cayman Real Asset Fund, Ltd.’s financial statements are and will be included, on a consolidated basis, in Hartford Real Asset Fund’s annual and semi-annual reports to shareholders.
Item 30. Indemnification
Article V, paragraph (f) of the Registrant’s Articles of Restatement provides that the Registrant shall indemnify (i) its directors and officers to the full extent required or permitted by law and (ii) other employees and agents to such extent authorized by the Registrant’s board of directors or bylaws and as permitted by law; provided, however, that no such indemnification shall protect any director or officer of the Registrant against any liability to the Registrant or its shareholders to which he would otherwise be subject by reason of willful misfeasance, bad faith, gross negligence or reckless disregard of the duties involved in the conduct of such 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 such 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 one 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.
The Registrant’s various agreements with its service providers provide for indemnification.
Item 31. Business and Other Connections of Investment Adviser
Hartford Funds Management Company, LLC (“HFMC”) serves as the investment manager to each series of the Registrant. The executive officers of HFMC are listed in the investment adviser registration on Form ADV for HFMC (File No. 801-77209) and are hereby incorporated herein by reference thereto. The business and other connections of a substantial nature of each executive officer are given below. 
Name
Position with HFMC(1)
Other Business
James E. Davey
Senior Managing Director, Chairman of
the Board, President and Manager
Executive Vice President of The Hartford Financial
Services Group, Inc.(2) (“The Hartford”); Senior
Managing Director, Chairman of the Board and
Manager of Hartford Funds Distributors, LLC(3)
(“HFD”); President, Senior Managing Director,
Director and Chairman of the Board of Hartford
Administrative Services Company(4) (“HASCO”);
President, Director, Chairman and Senior Managing
Director of the Hartford Funds Management Group,
Inc.(5) (“HFMG”); and President, Chairman of the
Board and Manager of Lattice Strategies LLC(6)
(“Lattice”)
Name
Position with HFMC(1)
Other Business
Gregory A. Frost
Managing Director, Chief Financial
Officer and Manager
Director, Managing Director and Chief Financial
Officer of HASCO; Manager, Managing Director and
Chief Financial Officer of HFD; Managing Director and
Chief Financial Officer of HFMG; and Chief Financial
Officer, Assistant Treasurer and Manager of Lattice
Walter F. Garger
Secretary, Managing Director and
General Counsel
Secretary, Managing Director and General Counsel of
HFD, HASCO and HFMG; and Secretary and General
Counsel of Lattice
Joseph G. Melcher
Executive Vice President and Chief
Compliance Officer
Executive Vice President and AML Officer of HFD;
Executive Vice President, AML Compliance Officer,
and Chief Compliance Officer of HASCO; Executive
Vice President and Chief Compliance Officer of
Lattice; and Executive Vice President of HFMG
Vernon J. Meyer
Chief Investment Officer and Managing
Director
Managing Director of HFMG; and Executive Vice
President of Lattice
Jon Callahan
Vice President
None
Jeffrey T. Coghan
Vice President
Senior Vice President of HFD and HFMG
Andrew DiValerio
Vice President and Controller
Controller and Vice President of HFD and HASCO; and
Vice President of HFMG
Amy N. Furlong
Vice President and Assistant Treasurer
Vice President of HFMG
Allison Z. Mortensen
Vice President
Vice President of HFMG
Christopher Morvant
Vice President
None
Lianna Peto
Vice President
None
Thomas R. Phillips
Vice President
Senior Vice President and Assistant Secretary of
HFMG
Ian Seaver
Vice President
None
Robert Ward
Vice President and Chief Cybersecurity
and Business Continuity Officer
None
Kevin F. Barnett
Assistant Secretary
Assistant Secretary of HASCO, HFD, HFMG and
Lattice; and Assistant Corporate Secretary of The
Hartford
Eapen A. Chandy
Assistant Vice President and Assistant
Treasurer
Assistant Vice President and Assistant Treasurer of
HASCO, HFD, HFMG, Lattice, The Hartford, and
Hartford Investment Management Company(7)
(“HIMCO”)
Christopher Doyle
Assistant Secretary
Assistant Secretary of HASCO, HFD, HFMG, Lattice
and HIMCO
Timothy A. Gallagher
Assistant Secretary and Associate
Treasurer
Assistant Secretary and Assistant Treasurer of
HASCO, Lattice and HFD; Assistant Secretary and
Associate Treasurer of HFMG; and Associate
Treasurer of The Hartford
Kathleen E. Jorens
Treasurer and Senior Vice President
Treasurer and Senior Vice President of HFD, HASCO,
HFMG, HIMCO, Lattice and The Hartford
Elizabeth L. Kemp
Assistant Secretary
Assistant Secretary of HFD, HFMG, HIMCO and
Lattice; Assistant Treasurer of HASCO
Gissell Novas
Assistant Secretary
Assistant Secretary of HASCO, HFD, HFMG, HIMCO
and Lattice
Keith R. Percy
Vice President
Vice President of HASCO, HFD, HFMG, HIMCO and
Lattice; Head of Corporate Tax and Senior Vice
President of The Hartford
(1)
The principal business address for HFMC is 690 Lee Road, Wayne, Pennsylvania 19087.
(2)
The principal business address for The Hartford is One Hartford Plaza, Hartford, Connecticut 06155.
(3)
The principal business address for HFD is 690 Lee Road, Wayne, Pennsylvania 19087.
(4)
The principal business address for HASCO is 690 Lee Road, Wayne, Pennsylvania 19087.
(5)
The principal business address for HFMG is 690 Lee Road, Wayne, Pennsylvania 19087.
(6)
The principal business address for Lattice is 690 Lee Road, Wayne, Pennsylvania 19087.
(7)
The principal business address for HIMCO is One Hartford Plaza, Hartford, Connecticut 06155.
Wellington Management Company LLP (“Wellington Management”) serves as sub-adviser to certain series of the Registrant. The executive officers of Wellington Management are listed in the investment adviser registration on Form ADV for Wellington Management (File No. 801-15908) and are hereby incorporated herein by reference thereto. The officers of Wellington Management have been engaged during the past two fiscal years in no business, vocation, or employment of a substantial nature other than as directors, officers, or employees of Wellington Management or certain of its corporate affiliates.
Schroder Investment Management North America Inc. (“SIMNA”) and Schroder Investment Management North America Limited (“SIMNA Ltd.”) each serve as sub-adviser and sub-sub-adviser, respectively, to Hartford Climate Opportunities Fund. The executive officers of SIMNA and SIMNA Ltd. are listed in the respective investment advisers’ registration on Forms ADV (File No. 801-15834 and File No. 801-37163, respectively) and are hereby incorporated herein by reference thereto. The directors and officers of SIMNA and SIMNA Ltd. have been engaged during the past two fiscal years in no business, vocation, or employment of a substantial nature other than as directors, officers, or employees of SIMNA, SIMNA Ltd., or certain of their corporate affiliates.
Item 32. Principal Underwriters
(a)
Hartford Funds Distributors, LLC (“HFD”) serves as the principal underwriter for each series of the Registrant and is an indirect subsidiary of The Hartford. HFD is also the principal underwriter for the series of The Hartford Mutual Funds II, Inc., Hartford Series Fund, Inc., and Hartford HLS Series Fund II, Inc.
(b)
The directors and principal officers of HFD and their positions with the Registrant are as follows: 
Name and Principal
Business Address*
Positions and Offices with
Underwriter
Position and Offices
with Registrant
Kevin F. Barnett**
Assistant Secretary
None
John F. Brennan
Senior Vice President
None
Eapen A. Chandy**
Assistant Vice President and
Assistant Treasurer
None
Jeffrey T. Coghan
Senior Vice President
None
James E. Davey
Chairman of the Board, Senior
Managing Director and Manager
Director, President and Chief
Executive Officer
Andrew DiValerio
Controller and Vice President
None
Christopher Doyle**
Assistant Secretary
None
Gregory A. Frost
Chief Financial Officer, Managing
Director, Manager, and Financial and
Operations Principal (FINOP)
None
Timothy A. Gallagher**
Assistant Secretary and Assistant
Treasurer
None
Walter F. Garger
General Counsel, Managing Director
and Secretary
Chief Legal Officer
Allison K. Gore
Senior Vice President
None
Charlene Harnish
Assistant Secretary
None
David S. Hescheles
Senior Vice President
None
Lucinda Hottenstein
Assistant Vice President
None
Keraya S. Jefferson
Chief Compliance Officer and Vice
President
None
Kathleen E. Jorens**
Senior Vice President and Treasurer
None
Elizabeth L. Kemp**
Assistant Secretary
None
Joseph G. Melcher
Executive Vice President and AML
Officer
Vice President and Chief Compliance
Officer
Gissell Novas**
Assistant Secretary
None
Keith R. Percy**
Vice President
None
Martin A. Swanson
President, Chief Executive Officer,
Chief Marketing Officer, and
Managing Director
None
*
Unless otherwise indicated, principal business address is 690 Lee Road, Wayne, Pennsylvania 19087.
**
Principal business address is One Hartford Plaza, Hartford, Connecticut 06155.
(c)
Not Applicable
Item 33. 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, as amended and the rules promulgated thereunder are maintained by the Registrant’s custodian, sub-administrator, and sub-fund accounting agent, State Street Bank and Trust Company, One Congress Street, Suite 1, Boston, Massachusetts 02114, the Registrant’s transfer agent, Hartford Administrative Services Company, 690 Lee Road, Wayne, Pennsylvania 19087, the Registrant’s investment manager, Hartford Funds Management Company, LLC, 690 Lee Road, Wayne, Pennsylvania 19087, and sub-transfer agent SS&C GIDS, Inc. (formerly known as DST Asset Manager Solutions, Inc.), 1055 Broadway, Kansas City, Missouri 64105. The Registrant’s corporate records are maintained at Hartford Funds Management Company, LLC, 690 Lee Road, Wayne, Pennsylvania 19087 and its financial ledgers are maintained at State Street Bank and Trust Company, One Congress Street, Suite 1, Boston, Massachusetts 02114.
Item 34. Management Services
Not Applicable
Item 35. Undertakings
Not Applicable
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant has duly caused this Post-Effective Amendment to the Registration Statement to be signed on its behalf by the undersigned, duly authorized, in the city of Wayne, and Commonwealth of Pennsylvania, on the 14th day of July 2023. 
THE HARTFORD MUTUAL FUNDS, INC.
By:
/s/ James E. Davey*
 
James E. Davey
President
Pursuant to the requirements of the Securities Act of 1933, this Post-Effective Amendment to the Registration Statement has been signed below by the following persons in the capacities and on the dates indicated. 
Signature
Title
Date
/s/ James E. Davey*
James E. Davey
Director, President and Chief Executive Officer
July 14, 2023
/s/ Amy N. Furlong*
Amy N. Furlong
Treasurer
(Principal Financial Officer and Principal
Accounting Officer)
July 14, 2023
/s/ Christine R. Detrick*
Christine R. Detrick
Chair of the Board and Director
July 14, 2023
/s/ Hilary E. Ackermann*
Hilary E. Ackermann
Director
July 14, 2023
/s/ Robin C. Beery*
Robin C. Beery
Director
July 14, 2023
/s/ Derrick D. Cephas*
Derrick D. Cephas
Director
July 14, 2023
/s/ John J. Gauthier*
John J. Gauthier
Director
July 14, 2023
/s/ Andrew A. Johnson, Jr.*
Andrew A. Johnson, Jr.
Director
July 14, 2023
/s/ Paul L. Rosenberg*
Paul L. Rosenberg
Director
July 14, 2023
/s/ David Sung*
David Sung
Director
July 14, 2023
*By: /s/ Thomas R. Phillips
Thomas R. Phillips, Attorney-in-fact
* Pursuant to Power of Attorney (filed herewith)
 
July 14, 2023
EXHIBIT INDEX 
Exhibit No.
Description
q.
Power of Attorney dated February 16, 2023