-----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, LYWs/pMsFNPTT/fVkwqKF23sYR4AY0CmsXCtSF0xmAnUGCbxPBo1shn7a0ejfk7Z YkJNGVmH+u6ov47lhETjiA== 0000949365-97-000108.txt : 19970912 0000949365-97-000108.hdr.sgml : 19970912 ACCESSION NUMBER: 0000949365-97-000108 CONFORMED SUBMISSION TYPE: 24F-2NT PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19970630 FILED AS OF DATE: 19970828 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: BRINSON FUNDS INC CENTRAL INDEX KEY: 0000886244 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 24F-2NT SEC ACT: SEC FILE NUMBER: 033-47287 FILM NUMBER: 97672783 BUSINESS ADDRESS: STREET 1: 209 S LASALLE ST CITY: CHICAGO STATE: IL ZIP: 60604-1795 BUSINESS PHONE: 8001482430 MAIL ADDRESS: STREET 1: 209 S LASALLE ST CITY: CHICAGO STATE: IL ZIP: 60604-1795 24F-2NT 1 24F-2 NOTICE 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 Brinson Funds 209 South LaSalle Street Chicago, IL 60604 - 1295 __________________________________________________________________________ 2. Name of each series or class of funds for which this notice is filed: Brinson Global Fund Brinson Global Equity Fund Brinson Global Bond Fund Brinson Non-US Equity Fund Brinson U.S. Balanced Fund Brinson U.S. Equity Fund Brinson U.S. Bond Fund __________________________________________________________________________ 3. Investment Company Act File Number: 811-6637 Securities Act File Number: 33-47287 __________________________________________________________________________ 4. Last day of fiscal year for which this notice is filed: 06/30/97 __________________________________________________________________________ 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): None. __________________________________________________________________________ 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: 24,119,176 shares of beneficial interest, valued at $450,546,208, remained unsold at the beginning of the fiscal year. __________________________________________________________________________ 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: The number and aggregate sale price of securities sold during the fiscal year were 72,878,097 shares of beneficial interest and $908,613,243 respectively. ___________________________________________________________________________ 10. Number and aggregate sale price of securities sold during the fiscal year in reliance upon registration pursuant to rule 24f-2: The number and aggregate sale price of securities sold during the fiscal year in reliance upon registration pursuant to rule 24f-2 were 48,758,921 and $731,741,422, respectively. ___________________________________________________________________________ 11. Number and aggregate sale price of securities issued during the fiscal year in connection with dividend reinvestment plans, if applicable (see Instruction B.7): None. ____________________________________________________________________________ 12. Calculation of registration fee: (i) Aggregate sale price of securities sold during the fiscal year in reliance on rule 24f-2 (from Item 10):$ 731,741,422 (ii) Aggregate price of shares issued in connection with dividend reinvestment plans (from Item 11, if applicable):+ 0 (iii) Aggregate price of shares redeemed or repurchased during the fiscal year (if applicable): - 347,967,565 (iv) Aggregate price of shares redeemed or repurchased and previously applied as a reduction to filing fees pursuant to rule 24e-2 (if applicable):+0 (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): $ 383,773,857 (vi) Multiplier prescribed by Section 6(b) of the Securities Act of 1933 or other applicable law or regulation (see Instruction C.6): x 1/33 of 1% (vii) Fee due [line (i) or line (v) multiplied by line (vi)]: $ 116,295.11 Instruction: Issuers should complete line (ii), (iii), (iv), and (v) only if the form is being filed within 60 days after the close of the issuer's fiscal year. See Instruction C.3. 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). [X] Date of mailing or wire transfer of filing fees to the Commission's lockbox depository: August 28, 1997 ____________________________________________________________________________ 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)* /s/ Helen A. Robichaud ______________________ Helen A. Robichaud, as Attorney - in - Fact for The Brinson Funds Date August 28, 1997 _______________ * Please print the name and title of the signing officer below the signature. EX-99.A 2 OPINION OF COUNSEL [LETTERHEAD OF STRADLEY, RONON, STEVENS & YOUNG, LLP 2600 ONE COMMERCE SQUARE, PHILADELPHIA, PENNSYLVANIA 19103] Direct Dial: (215) 564-8115 August 22, 1997 The Brinson Funds 209 South LaSalle Street Chicago, IL 60604-1295 Gentlemen: You have informed us that, in accordance with Rule 24f-2 under the Investment Company Act of 1940, as amended, (the "1940 Act"), The Brinson Funds, a Delaware business trust (the "Trust"), intends to file a Rule 24f-2 Notice with the U.S. Securities and Exchange Commission (the "SEC"), setting forth, among other things, that during the period beginning July 1, 1996 and ending June 30, 1997, the Trust's most recently ended fiscal year, the Trust, having elected to register an indefinite number of shares of beneficial interest, sold a total of 48,758,921 shares in reliance upon Rule 24f-2. The purpose of filing the Trust's Rule 24f-2 Notice is to make definite the number of shares of beneficial interest registered under the Securities Act of 1933 (the "1933 Act") for such period. You have also informed us that all such shares were issued and sold in accordance with the provisions relating thereto in the registration statement filed by the Trust under the 1933 Act and the 1940 Act. We have acted as legal counsel to the Trust during the period of time referred to above and, as such, have reviewed the Agreement and Declaration of Trust of the Trust, its Bylaws, the registration statements that have been filed with the SEC under the 1940 and 1933 Acts, and such minutes of the Trust's proceedings and other documents as we deem material to our opinion. Based on the foregoing, we are of the opinion that the shares described in the first paragraph of this letter as having been sold during the period beginning July 1, 1996 and ending June 30, 1997 in reliance upon Rule 24f-2 were fully-paid, non- assessable and legally issued shares of beneficial interest of the Trust. We hereby consent to the filing of this opinion with the SEC as an exhibit or accompaniment to the aforementioned Rule 24f-2 Notice, as an exhibit to the Trust's amendment to its registration statement under the 1933 Act, and to any reference to us in the prospectuses of each Series of the Trust as legal counsel who have passed upon the legality of the offering of such shares of beneficial interest. We also consent to the filing of this opinion with the securities regulatory agencies of any states or other jurisdictions in which the shares of beneficial interest of the Trust are offered for sale. Very truly yours, STRADLEY, RONON, STEVENS & YOUNG, LLP BY: /s/ Bruce G. Leto __________________ Bruce G. Leto -----END PRIVACY-ENHANCED MESSAGE-----