-----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, RfLKy/oz90aaR/prlMHGhW8Ho+5pVPNO9eLQiINVfjTqrQOppOuy16ZHR3IR09H8 mTDecN00cLDvuzjjgq3LRg== 0000816153-08-000014.txt : 20080625 0000816153-08-000014.hdr.sgml : 20080625 20080625135436 ACCESSION NUMBER: 0000816153-08-000014 CONFORMED SUBMISSION TYPE: N-CSRS/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20080331 FILED AS OF DATE: 20080625 DATE AS OF CHANGE: 20080625 EFFECTIVENESS DATE: 20080625 FILER: COMPANY DATA: COMPANY CONFORMED NAME: THORNBURG INVESTMENT TRUST CENTRAL INDEX KEY: 0000816153 IRS NUMBER: 061158764 STATE OF INCORPORATION: MA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: N-CSRS/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-05201 FILM NUMBER: 08916314 BUSINESS ADDRESS: STREET 1: 119 E MARCY ST STREET 2: SUITE 202 CITY: SANTA FE STATE: NM ZIP: 87501 BUSINESS PHONE: 5059840200 MAIL ADDRESS: STREET 1: 119 EAST MARCY ST STREET 2: SUITE 202 CITY: SANTA FE STATE: NM ZIP: 87501 FORMER COMPANY: FORMER CONFORMED NAME: THORNBURG INCOME TRUST DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: LIMITED TERM TRUST DATE OF NAME CHANGE: 19870816 0000816153 S000011846 Thornburg Value Fund C000042669 Thornburg Value Fund - Class R4 TVIRX 0000816153 S000011849 Thornburg International Value Fund C000042671 Thornburg International Value Fund - Class R4 THVRX 0000816153 S000011850 Thornburg Core Growth Fund C000042673 Thornburg Core Growth Fund - Class R4 TCGRX 0000816153 S000011851 Thornburg Investment Income Builder Fund C000047041 Thornburg Investment Income Builder Fund - Class R5 TIBMX N-CSRS/A 1 nc1.txt AMENDED THORNBURG CERTIFIED SHAREHOLDER REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDED FORM N-CSR CERTIFIED SHAREHOLDER REPORT OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number 811-05201 --------- Thornburg Investment Trust -------------------------- (Exact name of registrant as specified in charter) 119 East Marcy Street, Santa Fe, New Mexico 87501 ------------------------------------------------- (Address of principal executive offices)(Zip code) Garrett Thornburg, 119 East Marcy Street, Santa Fe, New Mexico 87501 -------------------------------------------------------------------- (Name and address of agent for service) Registrant's telephone number, including area code: 505-984-0200 ------------ Date of fiscal year end: September 30, 2008 Date of reporting period: March 31, 2008 Explanatory Note: the registrant is filing this Amendment to its Certified Shareholder Report on Form N-CSR, filed with the Securities and Exchange Commission on May 23, 2008, to correct Item 1: "Reports to Stockholders" with respect to certain information contained in some of the registrant's semi-annual reports to stockholders dated March 31, 2008. Other than these revisions, this Amended Form N-CSR does not reflect events occurring after the filing of the Form N-CSR on May 23, 2008, or modify or update the disclosures therein in any way. Item 1. Reports to Stockholders ----------------------- Supplements dated June 23, 2008 to the following semi-annual reports dated March 31, 2008 are attached hereto, in order: Thornburg Value Fund Thornburg International Value Fund Thornburg Core Growth Fund Thornburg Investment Income Builder Fund SUPPLEMENT DATED JUNE 23, 2008 TO THE SEMI-ANNUAL REPORT DATED MARCH 31, 2008 OF THORNBURG VALUE FUND. The following replaces the "Average Annual Total Returns" table on page 32 of the Semi-Annual Report. The purpose of this supplement is to correct the average annual total return figure for Class R4 shares under the column labeled "Since Inception." The corrected figure is indicated in bold type in the table below. All other information in this table remains unchanged. AVERAGE ANNUAL TOTAL RETURNS For periods ended March 31, 2008 (with sales charge) Since 1 Yr 5 Yrs 10 Yrs Inception ---- ----- ------ --------- A Shares (Incep: 10/2/95) (12.86)% 11.95% 5.94% 11.35% B Shares (Incep: 4/3/00) (13.54)% 11.81% 1.74% C Shares (Incep: 10/2/95) (10.24)% 12.11% 5.59% 10.89% I Shares (Incep: 11/2/98) (8.43)% 13.41% 7.61% R3 Shares (Incep: 7/1/03) (8.81)% 9.07% R4 Shares (Incep: 2/1/07) (8.70)% (8.84)%* R5 Shares (Incep: 2/1/05) (8.44)% 8.40% S&P 500 Index (5.08)% 11.32% 3.50% 8.61% (Since: 10/2/95)
* [This figure is represented in bold typeface in printed version of the Supplement.] You should retain this Supplement with your Semi-Annual Report for future reference. SUPPLEMENT DATED JUNE 23, 2008 TO THE SEMI-ANNUAL REPORT DATED MARCH 31, 2008 OF THORNBURG INTERNATIONAL VALUE FUND. The following replaces the "Average Annual Total Returns" table on page 34 of the Semi-Annual Report. The purpose of this supplement is to correct the average annual total return figure for Class R4 shares under the column labeled "Since Inception." The corrected figure is indicated in bold type in the table below. All other information in this table remains unchanged. AVERAGE ANNUAL TOTAL RETURNS For periods ended March 31, 2008 (with sales charge) Since 1 Yr 5 Yrs Inception ---- ----- --------- A Shares (Incep: 5/28/98) 5.63% 23.98% 12.19% B Shares (Incep: 4/3/00) 4.79% 23.93% 9.07% C Shares (Incep: 5/28/98) 8.83% 24.19% 11.78% I Shares (Incep: 3/30/01) 11.02% 25.65% 13.68% R3 Shares (Incep: 7/1/03) 10.39% 21.71% R4 Shares (Incep: 2/1/07) 10.68% 10.78%* R5 Shares (Incep: 2/1/05) 11.02% 19.08% MSCI EAFE Index (Since: 5/28/98) (2.70)% 21.40% 6.26%
* [This figure is represented in bold typeface in printed version of the Supplement.] You should retain this Supplement with your Semi-Annual Report for future reference. SUPPLEMENT DATED JUNE 23, 2008 TO THE SEMI-ANNUAL REPORT DATED MARCH 31, 2008 OF THORNBURG CORE GROWTH FUND. The following replaces the "Average Annual Total Returns" table on page 32 of the Semi-Annual Report. The purpose of this supplement is to correct the average annual total return figure for Class R4 shares under the column labeled "Since Inception." The corrected figure is indicated in bold type in the table below. All other information in this table remains unchanged. AVERAGE ANNUAL TOTAL RETURNS For periods ended March 31, 2008 (with sales charge) Since 1 Yr 5 Yrs Inception ---- ----- --------- A Shares (Incep: 12/27/00) (16.81)% 16.86% 3.95% C Shares (Incep: 12/27/00) (14.36)% 17.01% 3.75% I Shares (Incep: 11/3/03) (12.50)% 10.60% R3 Shares (Incep: 7/1/03) (13.02)% 12.20% R4 Shares (Incep: 2/1/07) (12.89)% (12.04)%* R5 Shares (Incep: 10/3/05) (12.50)% 6.64% Russell 3000 Growth Index (1.45)% 10.26% (1.19)% (Since: 12/27/00)
* [This figure is represented in bold typeface in printed version of the Supplement.] You should retain this Supplement with your Semi-Annual Report for future reference. SUPPLEMENT DATED JUNE 23, 2008 TO THE SEMI-ANNUAL REPORT DATED MARCH 31, 2008 OF THORNBURG INVESTMENT INCOME BUILDER FUND. The following replaces the "Average Annual Total Returns" table on page 42 of the Semi-Annual Report. The purpose of this supplement is to correct the average annual total return figure for Class R5 shares under the column labeled "Since Inception." The corrected figure is indicated in bold type in the table below. All other information in this table remains unchanged. AVERAGE ANNUAL TOTAL RETURNS For periods ended March 31, 2008 (with sales charge) Since 1 Yr 5 Yrs Inception ---- ----- --------- A Shares (Incep: 12/24/02) (0.41)% 16.75% 15.64% C Shares (Incep: 12/24/02) 2.66% 17.23% 16.09% I Shares (Incep: 11/3/03) 4.60% 14.88% R3 Shares (Incep: 2/1/05) 3.95% 12.62% R4 Shares (Incep: 2/1/08) (2.48)%* R5 Shares (Incep: 2/1/07) 4.58% 6.00%** Blended Index (Since: 12/24/02) (0.45)% 13.13% 11.61% S&P 500 Index (Since: 12/24/02) (5.08)% 11.32% 9.77%
* Not annualized for periods less than one year. ** [This figure is represented in bold typeface in printed version of the Supplement.] You should retain this Supplement with your Semi-Annual Report for future reference. Item 12. Exhibits -------- (a)(1) Not applicable. (a)(2) Certifications pursuant to Rule 30a-2(a) under the Investment Company Act of 1940 (17 CFR 70.30a-2(a)) attached hereto as Exhibit 99.CERT. (a)(3) Not applicable. (b) Certification pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 and Rule 30a-2(b) under the Investment Company Act of 1940 (17 CFR 70.30a-2(b)) attached hereto as Exhibit 99.906CERT. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. Thornburg Investment Trust, in respect of the following Thornburg Funds: Value Fund, International Value Fund, Core Growth Fund and Investment Income Builder Fund. By: /s/ BRIAN J. MCMAHON -------------------- Brian J. McMahon President and principal executive officer Date: June 23, 2008 ------------- Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated. By: /s/ BRIAN J. MCMAHON -------------------- Brian J. McMahon President and principal executive officer Date: June 23, 2008 ------------- By: /S/ GEORGE T. STRICKLAND ------------------------ George T. Strickland Treasurer and principal financial officer Date: June 23, 2008 ------------- EX-99.CERT 2 nc2.txt 302 CERTIFICATION Item 12(a)(2) Exhibit 99.CERT --------------- CERTIFICATION ------------- I, Brian J. McMahon, certify that: 1. I have reviewed this report on Form N-CSR of Thornburg Investment Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report; 4. The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have: (a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; (b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles; (c) Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report based on such evaluation; and (d) Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the second fiscal quarter of the period covered by this report that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and 5. The registrant's other certifying officer(s) and I have disclosed to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions): (a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and (b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting. Date: June 23, 2008 ------------- /s/ BRIAN J. MCMAHON -------------------- Brian J. McMahon President and principal executive officer Item 12(a)(2) Exhibit 99.CERT --------------- CERTIFICATION ------------- I, George T. Strickland, certify that: 1. I have reviewed this report on Form N-CSR of Thornburg Investment Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report; 4. The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have: (a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; (b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles; (c) Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report based on such evaluation; and (d) Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the second fiscal quarter of the period covered by this report that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and 5. The registrant's other certifying officer(s) and I have disclosed to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions): (e) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and 6. Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting. Date: June 23, 2008 ------------- /s/ GEORGE T. STRICKLAND ------------------------ George T. Strickland Treasurer and principal financial officer EX-99.906 CERT 3 nc3.txt 906 CERTIFICATION Item 12(b) Exhibit 99.906CERT ------------------ Certification Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (subsections (a) and (b) of section 1350, chapter 63 of title 18, United States Code) In connection with the attached Report on Form N-CSR of Thornburg Investment Trust in respect of the following Thornburg Funds: Value Fund, International Value Fund, Core Growth Fund and Investment Income Builder Fund, (hereafter referred to as the "Funds") to be filed with the Securities and Exchange Commission (the "Report"), each of the undersigned officers of the Trust does hereby certify pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 that, to the best of such officer's knowledge: 1. The Report fully complies with the requirements of 13(a) or 15(d) of the Securities Exchange Act of 1934; and 2. The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of Thornburg Investment Trust, in respect of the Funds as of, and for, the periods presented in the Report. Date: June 23, 2008 ------------- /s/ BRIAN J. MCMAHON -------------------- Brian J. McMahon President and principal executive officer Date: June 23, 2008 ------------- /s/ GEORGE T. STRICKLAND ------------------------ George T. Strickland Treasurer and principal financial officer A signed original of this written statement required by Section 906, or other document authenticating, acknowledging, or otherwise adopting the signature that appears in typed form within the electronic version of this written statement required by Section 906, has been provided to the Trust and will be retained by the Trust and furnished to the Securities and Exchange Commission or its staff upon request. -----END PRIVACY-ENHANCED MESSAGE-----