-----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, Jw8BEJ4fMHIBHm+UDNvuWjCnBJ2w0haNyqRKPmTpQehKMjAFxpTERJUx1Azval7B SuMswA9cKXheWghpQHIg+g== 0000912057-96-023984.txt : 19961030 0000912057-96-023984.hdr.sgml : 19961030 ACCESSION NUMBER: 0000912057-96-023984 CONFORMED SUBMISSION TYPE: 24F-2NT PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19960831 FILED AS OF DATE: 19961029 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: TRANS ADVISER FUNDS INC CENTRAL INDEX KEY: 0000947789 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: MD FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: 24F-2NT SEC ACT: 1933 Act SEC FILE NUMBER: 033-94412 FILM NUMBER: 96649255 BUSINESS ADDRESS: STREET 1: TWO PORTLAND SQ CITY: PORTLAND STATE: ME ZIP: 04101 BUSINESS PHONE: 2078791900 MAIL ADDRESS: STREET 1: TWO PORTLAND SQ CITY: PORTLAND STATE: ME ZIP: 04101 24F-2NT 1 24F-2NT U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 24F-2 ANNUAL NOTICE OF SECURITIES SOLD PURSUANT TO RULE 24f-2 READ INSTRUCTIONS AT END OF FORM BEFORE PREPARING FORM. PLEASE PRINT OR TYPE. - -------------------------------------------------------------------------------- 1. Name and address of issuer: Trans Adviser Funds, Inc. 500 East Main Street Bowling Green, KY 42101 - -------------------------------------------------------------------------------- 2. Name of each series or class of funds for which this notice is filed: Growth/Value Fund Aggressive Growth Fund Intermediate Bond Fund Kentucky Tax-Free Fund Money Market Fund - -------------------------------------------------------------------------------- 3. Investment Company Act File Number: 811-9068 Securities Act File Number: 33-94412 - -------------------------------------------------------------------------------- 4. Last day of fiscal year for which this notice is filed: August 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): - -------------------------------------------------------------------------------- 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: Zero (0) Shares - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 8. Number and amount of securities registered during the fiscal year other than pursuant to Rule 24f-2: 101,500,000 Shares - -------------------------------------------------------------------------------- 9. Number and aggregate sale price of securities sold during fiscal year: SHARES DOLLARS ------ ------- Growth/Value Fund 1,408,416 $16,167,510 Aggressive Growth Fund 668,440 7,596,130 Intermediate Bond Fund 1,493,114 15,604,256 Kentucky Tax-Free Fund 2,872,426 30,604,391 Money Market Fund 446,704,985 446,704,985 ----------- ------------ TOTAL 453,147,381 $516,677,272 - -------------------------------------------------------------------------------- 10. Number and aggregate sale price of securities sold during the fiscal year in reliance upon registration pursuant to Rule 24f-2: SHARES DOLLARS ------ ------- Growth/Value Fund 1,408,416 $16,167,510 Aggressive Growth Fund 668,440 7,596,130 Intermediate Bond Fund 1,493,114 15,604,256 Kentucky Tax-Free Fund 2,872,426 30,604,391 Money Market Fund 345,204,985 345,204,985 ----------- ------------ TOTAL 351,647,381 $415,177,272 - -------------------------------------------------------------------------------- 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): Securities issued during the fiscal year in connection with dividend reinvestment plans are included in the securities reported in Item 9. - -------------------------------------------------------------------------------- -2- - -------------------------------------------------------------------------------- 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): $ 415,177,272 ---------------- (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): - 386,094,682 ---------------- (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): 29,082,590 ---------------- (vi) Multiplier prescribed by Section 6(b) of the Securities Act of 1933 or other applicable law or regulation (see Instruction C.6): x 1/3300 ---------------- (vii) Fee due [line (i) or line (v) multiplied by line (vi)]: $ 8,812.91 ---------------- ----------------
* SHARES ISSUED IN CONNECTION WITH DIVIDEND REINVESTMENT PLANS ARE INCLUDED IN THE SECURITIES REPORTED IN ITEM 9. INSTRUCTION: ISSUERS SHOULD COMPLETE LINES (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: October 29, 1996 - -------------------------------------------------------------------------------- SIGNATURES This report has been signed by the following persons on behalf of the issuer and in the capacities and on the dates indicated. By (Signature and Title)* /s/ Max Berueffy, Vice President and Secretary ------------------------------------------------- Max Berueffy, Vice President and Secretary ------------------------------------------------- Date October 29, 1996 ---------------- * Please print the name and title of the signing officer below the signature. - -------------------------------------------------------------------------------- -3- U.S. Securities and Exchange Commission Washington, D.C. 20549 RULE 24f-2 NOTICE TRANS ADVISER FUNDS, INC. Two Portland Square Portland, Maine 04101 File Nos. 33-94412; 811-9068 SIGNATURE Pursuant to the requirements of Rule 24f-2 under the Investment Company Act of 1940, Trans Adviser Funds, Inc. has duly caused this Rule 24f-2 Notice to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Portland, and State of Maine, on this 29th day of October, 1996. Trans Adviser Funds, Inc. By: /s/ Max Berueffy ---------------------------- Max Berueffy Vice President and Secretary KRAMER, LEVIN, NAFTALIS & FRANKEL 919 THIRD AVENUE NEW YORK, NY 10022-3852 (212) 715-9100 October 28, 1996 Trans Adviser Funds, Inc. 500 East Main Street Bowling Green, Kentucky 42101 Re: Trans Adviser Funds, Inc. Registration No. 811-9068 File No. 33-94412 Dear Ladies/Gentlemen: We have acted as counsel to Trans Adviser Funds, Inc., a Maryland corporation (the "Company"), in connection with the public offering of the Company's shares of Common Stock, par value $.001 per share, and on various other securities and general corporate matters. The Company was organized as a Maryland corporation on June 20, 1995. We understand that, pursuant to Rule 24f-2 under the Investment Company Act of 1940, the Company has registered an indefinite number of shares of Common Stock under the Securities Act of 1933. We further understand that, pursuant to Rule 24e-1 under the Investment Company Act of 1940, the Company has also registered 101,500,000 shares of Common Stock in addition to maintaining its existing registration of an indefinite number of shares of Common Stock. We further understand that, pursuant to the provisions of Rule 24f-2, the Company is filing with the Securities and Exchange Commission the Notice attached hereto making definite the registration of shares of Common Stock (the "Shares") sold in reliance upon Rule 24f-2 during the fiscal year ended August 31, 1996. We have reviewed, insofar as it relates or pertains to the Company, the Company's Registration Statement on Form N-1A filed with the Securities and Exchange Commission under the Securities Act of 1933 and the Investment Company Act of 1940, as amended to the date hereof, pursuant to which Shares were sold (the "Registration Statement"). We have also examined originals or copies certified or otherwise identified to our satisfaction of such documents, corporate records and other instruments we have deemed necessary or appropriate for the purpose of this opinion. For purposes of such examination, we have assumed the genuineness of all signatures and original documents and the conformity to the original documents of all copies submitted. Trans Adviser Funds, Inc. October 28, 1996 Page 2 We are members only of the New York Bar and do not purport to be experts on the laws of any other state. Our opinion herein as to Maryland law is based upon a limited inquiry thereof that we have deemed appropriate under the circumstances. Based on the foregoing, we are of the opinion that the Shares have been duly and validly authorized and, assuming the Shares have been issued and sold in accordance with the Company's Articles of Incorporation, as amended and restated, and Registration Statement, and that the consideration received therefor was not less than the par value thereof, the Shares which the Rule 24f- 2 Notice attached hereto makes definite in number were legally issued, fully paid and non-assessable. We consent to the filing of this opinion with the Rule 24f-2 Notice attached hereto. Very truly yours, /s/ Kramer, Levin, Naftalis & Frankel -2- -----END PRIVACY-ENHANCED MESSAGE-----