-----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, AybmMsvsmAa//WNhL0ot8vjaPwbVwXS6wWahrToo7tL/1EBQzGo3m5sCmh5Y6+DB NJvE0G+nqEkrGojxp5pKXw== 0000950152-97-001552.txt : 19970304 0000950152-97-001552.hdr.sgml : 19970304 ACCESSION NUMBER: 0000950152-97-001552 CONFORMED SUBMISSION TYPE: 24F-2NT PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19961231 FILED AS OF DATE: 19970303 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: HSBC MUTUAL FUNDS TRUST CENTRAL INDEX KEY: 0000861106 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 24F-2NT SEC ACT: 1933 Act SEC FILE NUMBER: 033-33734 FILM NUMBER: 97549736 BUSINESS ADDRESS: STREET 1: 3435 STELZER ROAD STREET 2: SUITE1000 CITY: COLUMBUS STATE: OH ZIP: 43219-8001 BUSINESS PHONE: 6144708000 MAIL ADDRESS: STREET 1: 3435 STELZER ROAD STREET 2: SUITE 1000 CITY: COLUMBUS STATE: OH ZIP: 43219-8001 FORMER COMPANY: FORMER CONFORMED NAME: MARINER MUTUAL FUNDS TRUST DATE OF NAME CHANGE: 19920703 24F-2NT 1 HSBC MUTUAL FUNDS TRUST 24F-2NT 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: HSBC MUTUAL FUNDS TRUST 3435 STELZER RD. COLUMBUS, OHIO 43219 2. Name of each series or class of funds for which this notice is filed: SEE ATTACHED SCHEDULE A 3. Investment Company Act File Number: 811-6057 Securities Act File Number: 33-33734 4. Last day of the 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 purpose 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: 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 beginning of the fiscal year: NONE 8. Number and amount of securities registered during the fiscal year other than pursuant to rule 24F-2: $18,078,126 Price 1,224,400 Shares 9. Number and aggregate sale price of securities sold during the fiscal year: $187,322,223 Price 13,143,134 Shares 2 10. Number and aggregate sale price of securities sold during the fiscal year in reliance upon registration pursuant to rule 24F-2: $169,244,097 Price 11,918,734 Shares 11. Number and aggregate sale price of securities issued during the fiscal year in connection with dividend reinvestment plans, if applicable: $1,685,574 Price 147,152 Shares 12. Calculation of registration fee: (i) Aggregate sale price of securities sold during the fiscal year in reliance on rule 24F-2: $169,244,097 ------------ (ii) Aggregate price of shares issued in connection with dividend reinvestment plans: $ 1,685,574 ------------ (iii) Aggregate price of shares redeemed or repurchased during the fiscal year: $ 69,244,429 ------------ (iv) Aggregate price of shares redeemed or repurchased and previously applied as a reduction to filing fees pursuant to rule 24F-2: 0 ------------ (v) Net aggregate price of securities sold and issued during the fiscal year in reliance on rule 24F-2: $101,685,242 ------------ (vi) Multiplier prescribed by Section 6(b) of the Securities Act of 1933 or other applicable law or registration: 1/3300 ------------ (vii) Fee Due: $ 30,813.72 ------------ 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 [ X ] Date of mailing or wire transfer of filing fees to the Commission's lockbox depository: 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)* Steven R. Howard ------------------------------------ Secretary ------------------------------------ Date March 3, 1997 - ---------------------- * Please print the name and title of the signing officer below the signature. 3 HSBC MUTUAL FUNDS TRUST - SCHEDULE A ------------------------------------ GROWTH & INCOME SMALL CAP NEW YORK TAX-FREE BOND SHORT TERM U.S. GOV'T FIXED INCOME INTERNATIONAL EQUITY SERVICE INSTITUTIONAL EX-5 2 EXHIBIT 5 1 March 3, 1997 HSBC Mutual Funds Trust 3435 Stelzer Road, Suite 1000 Columbus, OH 43219-8499 Dear Sirs: We refer to the Rule 24f-2 Notice (the "Rule 24f-2 Notice"), with respect to the Post-Effective Amendment (the "Post-Effective Amendment") to the Registration Statement on Form N-1A relating to the shares of beneficial interest, par value $.001 per share, of HSBC Mutual Funds Trust, a Massachusetts business trust (the "Trust"). The Post-Effective Amendment registered an indefinite number of shares of beneficial interest of the Trust pursuant to Rule 24f-2 under the Investment Company Act of 1940, as amended. The Rule 24f-2 Notice makes definite the number of shares of beneficial interest of the Trust sold during the Trust's fiscal year ended December 31, 1996 that were so registered under the Post-Effective Amendment. We have examined and relied upon copies of the Post-Effective Amendment and the Rule 24f-2 Notice and have examined and relied upon originals, or copies certified to our satisfaction, of such corporate records, documents, certificates and other instruments as in our judgment are necessary or appropriate to enable us to render the opinion set forth below. Based on the foregoing, we are of the opinion that the shares of beneficial interest of the Trust, the registration of which the Rule 24f-2 Notice makes definite in number, were duly authorized, legally issued, fully paid and nonassessable. We hereby consent to the use of this opinion in connection with the filing of the Rule 24f-2 Notice. In giving such consent, we do not thereby admit that we come within the 2 HSBC Mutual Funds Trust March 3, 1997 Page 2 category of persons whose consent is required under section 7 of the Securities Act of 1933, as amended, or the rules and regulations of the Securities and Exchange Commission thereunder. Very truly yours, /s/ BAKER & McKENZIE -----END PRIVACY-ENHANCED MESSAGE-----