-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, G80id1S30n8VtUePgHC3Qkg4dQUIquRYHNEJE4N5fnzL0cMO6jhahwx9lg7dNUb3 XU8tiy+LG5EoHt6ivRTqrA== 0000350796-97-000002.txt : 19970228 0000350796-97-000002.hdr.sgml : 19970228 ACCESSION NUMBER: 0000350796-97-000002 CONFORMED SUBMISSION TYPE: 24F-2NT PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 19961231 FILED AS OF DATE: 19970227 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: FAIRMONT FUND TRUST CENTRAL INDEX KEY: 0000350796 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 616121673 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 24F-2NT SEC ACT: 1933 Act SEC FILE NUMBER: 002-70825 FILM NUMBER: 97545458 BUSINESS ADDRESS: STREET 1: 1346 S THIRD ST CITY: LOUISVILLE STATE: KY ZIP: 40208 BUSINESS PHONE: 5026365633 FORMER COMPANY: FORMER CONFORMED NAME: FAIRMONT FUND DATE OF NAME CHANGE: 19861103 24F-2NT 1 1 U.S SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 24F-2 ANNUAL NOTICE OF SECURITIES SOLD PURSUANT TO RULE 24F-2 - -------------------------------------------------------------------------------- 1. Name and address of issuer: The Fairmont Fund Trust 1346 South Third St. Louisville, KY 40208 - -------------------------------------------------------------------------------- 2. Name of each series or class of funds for which this notice is filed: The Fairmont Fund series - -------------------------------------------------------------------------------- 3. Investment Company Act File Number: 811-3139 Securities Act File Number: 2-70825 - -------------------------------------------------------------------------------- 4. Last day of fiscal year for which this notice is filed: December 31, 1996 - -------------------------------------------------------------------------------- 5. Check box if this notice is being filed more than 180 days after the close of the issuer's fiscal year for purposes of reporting securities sold after the close of the fiscal year but before termination of the issuer's 24f-2 declaration: [ ] - -------------------------------------------------------------------------------- 6. Date of termination of issuer's declaration under rule 24f-2(a)(1), if applicable (see Instruction A.6): N/A - -------------------------------------------------------------------------------- 7. Number and amount of securities of the same class or series which had been registered under the Securities Act of 1933 other than pursuant to rule 24f-2 in a prior fiscal year, but which remained unsold at the begininng of the fiscal year: 2,688,288 - -------------------------------------------------------------------------------- 8. Number and amount of securities registered during the fiscal year other than pursuant to rule 24f-2: NONE - -------------------------------------------------------------------------------- 9. Number and aggregate sale price of securities sold during the fiscal year: 210,418 $5,754,826 - -------------------------------------------------------------------------------- 2 - -------------------------------------------------------------------------------- 10. Number and aggregate sale price of securities sold during the fiscal year in reliance upon registration pursuant to rule 24f-2: 92,010 $2,633,953 - -------------------------------------------------------------------------------- 11. Number and aggregate sale price of securities issued during the fiscal year in connection with dividend reinvestment plans, if applicable (see Instruction B.7): N/A - -------------------------------------------------------------------------------- 12. Calculation of registration fee: (i) Aggregate sale price of securities sold during the fiscal year in reliance on rule 24f-2 (from Item 10): $ 2,633,953 -------------- (ii) Aggregate price of shares issued in connection with dividend reinvestment plans (from Item 11, if applicable): + N/A -------------- (iii) Aggregate price of shares redeemed or repurchased during the fiscal year (if applicable): - 2,633,953 -------------- (iv) Aggregate price of shares redeemed or repurchased and previously applied as a reduction to filing fees pursuant to rule 24e-2 (if applicable): + N/A -------------- (v) Net aggregate price of securities sold and issued during the fiscal year in reliance on rule 24f-2 [line (i), plus line (ii), less line (iii), plus line (iv)] (if applicable): 0 -------------- (vi) Multiplier prescribed by Section 6(b) of the Securities Act of 1933 or other applicable law or regulation (see x 1/3300 Instruction C.6): -------------- (vii) Fee due [line (i) or line (v) multiplied by line (vi)]: $ 0.00 ============== - -------------------------------------------------------------------------------- 13. Check box if fees are being remitted to the Commission's lockbox depository as described in section 3a of the Commission's Rules of Informal and Other Procedures (17 CFR 202.3a). [ ] Date of mailing or wire transfer of filing fees to the Commission's lockbox depository: N/A - -------------------------------------------------------------------------------- SIGNATURES This report has been signed below by the following persons on behalf of the issuer and in the capacities and on the dates indicated. By (Signature and Title) Louis T. Young ----------------------------------- Treasurer ----------------------------------- Date 2/26/97 ---------------------- EX-99 2 The Fairmont Fund Trust 1346 South Third Street Louisville, Kentucky 40208 Gentlemen: This letter is in response to your request for our opinion in connection with the Rule 24f-2 Notice for the Trust for the fiscal year ended December 31, 1996. We have examined a copy of (a) the Trust's Agreement and Declaration of Trust and amendments thereto, (b) the Trust's By-Laws and amendments thereto, and (c) all such agreements, certificates of public officials, certificates of officers and representatives of the Trust and others, and such other documents, papers, statutes and authorities as we deem necessary to form the basis of the opinion hereinafter expressed. We have assumed the genuineness of the signatures on original documents submitted to us, the conformity to executed documents of all unexecuted copies submitted to us and the conformity to the original of all copies submitted to us as conformed or copied documents. Insofar as the opinions contained herein involve matters of the laws of the Commonwealth of Kentucky, they are based solely on the opinion of John S. Greenebaum, P.S.C., a copy of which is attached hereto. Based upon the foregoing, we are of the opinion that the shares of the Trust, the registration of which the Form makes definite in number, if issued in accordance with the Prospectus and Statement of Additional Information of the Trust, were legally issued, full paid and non-assessable. We herewith give you our permission to file this opinion with the Securities and Exchange Commission as an exhibit to the Form referred to above. Very truly yours, BROWN, CUMMINS & BROWN CO., L.P.A. BCB/jh EX-99 3 February 18, 1997 The Fairmont Fund Trust 1346 South Third Street Louisville, Kentucky 40208 RE: Rule 24(f)-2 Notice for The Fairmont Fund Trust File No. 2-70825 Gentlemen: This letter is in response to your request for our opinion in connection with the Rule 24(f)-2 Notice (the "Notice") for The Fairmont Fund Trust (the "Fund") for the year beginning January 1, 1996 and ending December 31, 1996. We have examined the following documents of the Fund: (a) Agreement and Declaration of Trust of the Fund dated December 29, 1980; (b) Amendments to said Agreement and Declaration of Trust filed on June 1, 1981, May 17, 1984, October 31, 1986, May 2, 1988, and September 24,1990; (c) By-Laws of the Fund as amended; (d) Minutes of the Fund reflecting various actions by the Trustees and Shareholders thereof; (e) Applicable certificates of public officials and other officers and representatives of the Fund; and (f) Such other documents, papers, statutes and authorities as we deem necessary to form the basis of the opinion hereinafter expressed. We have assumed the genuineness of any signatures and the conformity to original documents of copies represented to us to be accurate copies of such documents. Based on the foregoing, we are of the opinion that shares of The Fairmont Fund Series of the Fund, the registration of which the Notice makes definite, if issued in accordance with the prospectus and additional statement of the Fund, were legally issued, fully paid, and non-assessable under Kentucky law. We give you our permission to file this opinion with the Securities and Exchange Commission as an exhibit to the Notice. Sincerely, /s/John S. Greenebaum John S. Greenebaum -----END PRIVACY-ENHANCED MESSAGE-----