-----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, Uq4l6oyG8DaKHC6NLxt2xdhYMA9yBU0YFBTUkvLUL5sksCG7CAb/q/+ONRX45I5/ 1yG9UkqHoykwMhzOrrbnSA== 0000948221-97-000230.txt : 19971103 0000948221-97-000230.hdr.sgml : 19971103 ACCESSION NUMBER: 0000948221-97-000230 CONFORMED SUBMISSION TYPE: PRER14A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971031 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: WASATCH ADVISORS FUNDS INC CENTRAL INDEX KEY: 0000806633 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: UT FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: PRER14A SEC ACT: SEC FILE NUMBER: 811-04920 FILM NUMBER: 97705966 BUSINESS ADDRESS: STREET 1: 68 S MAIN ST STE 400 CITY: SALT LAKE CITY STATE: UT ZIP: 84101 BUSINESS PHONE: 8015330777 PRER14A 1 -Please fold and detatch card at perforation before mailing- FUND NAME PRINTS HERE WASATCH FUNDS, INC. THIS PROXY IS SOLICITED ON BEHALF OF MANAGEMENT The undersigned appoints Samuel S. Stewart, Jr. and Venice Edwards, and each of them, with power to act without the other and with the right of substitution in each, the proxies of the undersigned to vote all shares of the above referenced fund, a series of Wasatch Funds, Inc. (the "Company") held by the undersigned at the annual meeting of shareholders of the Company to be held January 16, 1998, and at any adjournments thereof, with all the powers the undersigned would possess if present in person. All previous proxies given with respect to the meeting are revoked. THE NUMBERS ON THE REVERSE SIDE CORRESPOND TO THE PROPOSALS IN THE NOTICE OF ANNUAL MEETING AND PROXY STATEMENT. THIS PROXY WILL BE VOTED AS INSTRUCTED ON THE ABOVE MATTERS. IT IS UNDERSTOOD THAT, IF NO CHOICE IS SPECIFIED, THIS PROXY WILL BE VOTED "FOR" ALL ITEMS. UPON ALL OTHER MATTERS THE PROXIES SHALL VOTE AS THEY DEEM IN THE BEST INTERESTS OF THE FUND. RECEIPT OF NOTICE OF MEETING AND PROXY STATEMENT IS ACKNOWLEDGED BY YOUR EXECUTION OF THIS PROXY. SIGN, DATE, AND RETURN IN THE ADDRESSED ENVELOPE. NO POSTAGE IS REQUIRED. PLEASE MAIL PROMPTLY TO SAVE THE FUND FURTHER SOLICITATION EXPENSE. In their discretion, the proxies are authorized to vote upon such other business as may properly come before the special meeting or any adjourments or postponements thereof. Dated:_____________________________________ IMPORTANT: Please date and sign this proxy. If the stock is held jointly, signature should include both names. Executors, administrators, trustees, guardians, and others signing in a representative capacity should give their full title as such. ___________________________________________ | | | | | | | | | | |___________________________________________| Signature(s) WASATCH -Please fold and detatch card at perforation before mailing- PLEASE VOTE BY FILLING IN THE APPROPRIATE BOXES BELOW. WITHHOLD THE PROXIES ARE INSTRUCTED: FOR AUTHORITY all nominees to vote 1. To vote: listed (except for all NOMINEES: Samuel S. Stewart, Jr., Roy S. as marked to nominees Jespersen, Jeffrey S. Cardon, James U. the contrary) listed Jensen and William R. Swinyard __ __ |__| |__| 1. (INSTRUCTION: TO WITHHOLD AUTHORITY TO VOTE FOR ANY INDIVIDUAL NOMINEE(S), WRITE THAT NOMINEE(S) NAME IN THE SPACE PROVIDED BELOW.) - ----------------------------------------------- FOR AGAINST ABSTAIN __ __ __ 2. Ratification of Public Accountants |__| |__| |__| 2. 3. Approval of Agreement and Plan of __ __ __ Reorganization |__| |__| |__| 3. 4. Proposal to Change the Classification of the Growth Fund From a Diversified Investment Company to a Non-diversified Investment __ __ __ Company (Growth Fund only) |__| |__| |__| 4. 5. Proposal to Eliminate Investment Restrictions which are Inconsistent with the Current Status of Funds as "Non-diversified" (Aggressive __ __ __ Equity, Mid-Cap and Micro-Cap Funds only) |__| |__| |__| 5. 6. Proposal to Convert the Fundamental Policy Regarding Investing for the Purpose of Exercising Control or Management to a Non-fundamental Policy (all except Micro-Cap __ __ __ Value Fund) |__| |__| |__| 6. 7. Proposal to Remove the Restrictions on Investing in Other Investment Companies which are more Restrictive than the 1940 Act __ __ __ (all except Micro-Cap Value Fund) |__| |__| |__| 7. 8. Proposal to Modify a Fundamental Investment Restriction Regarding Commodities __ __ __ (all except Micro-Cap Value Fund) |__| |__| |__| 8. 9. Proposal to Eliminate a Fundamental Investment Restriction on Investing in Illiquid Securities and the Adoption of a Non-Fundamental Policy which Conforms with SEC Policies __ __ __ (all except Micro-Cap Value Fund) |__| |__| |__| 9. 10. Proposal to Allow the Funds to Lend Portfolio Securities (all except Micro-Cap Value and __ __ __ U.S. Treasury Funds) |__| |__| |__| 10. 11. Proposal to Conform the Fundamental Policies Regarding Senior Securities, Borrowing Money and Pledging Assets with those of the Wasatch Micro-Cap Value Fund (all except Micro-Cap __ __ __ Value Fund) |__| |__| |__| 11. 12. Proposal to Eliminate Fundamental Investment Restriction Regarding Put and Call Options __ __ __ (all except Micro-Cap Value Fund) |__| |__| |__| 12. 13. Proposal to Convert the Fundamental Policy Regarding Investing in Oil, Gas, or Other Mineral Interests to a Non-Fundamental Investment policy (all except Micro-Cap __ __ __ Value Fund) |__| |__| |__| 13. 14. Proposal to Eliminate a Fundamental Restriction Limiting Investing in Warrants __ __ __ (all except Micro-Cap Value Fund) |__| |__| |__| 14. 15. Proposal to Eliminate a Fundamental Restriction Limiting Investing in "New" __ __ __ Issuers (all except Micro-Cap Value Fund) |__| |__| |__| 15. 16. Proposal to Convert a Fundamental Policy Regarding Investing in "Special Situations" to a Non-Fundamental Investment Policy __ __ __ (all except Micro-Cap Value Fund) |__| |__| |__| 16. If you plan to attend the Annual Meeting, __ please check this box. |__| -----END PRIVACY-ENHANCED MESSAGE-----