0001144204-19-048093.txt : 20191011 0001144204-19-048093.hdr.sgml : 20191011 20191011140417 ACCESSION NUMBER: 0001144204-19-048093 CONFORMED SUBMISSION TYPE: 497 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20191011 DATE AS OF CHANGE: 20191011 EFFECTIVENESS DATE: 20191011 FILER: COMPANY DATA: COMPANY CONFORMED NAME: VIRTUS ALTERNATIVE SOLUTIONS TRUST CENTRAL INDEX KEY: 0001589756 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 497 SEC ACT: 1933 Act SEC FILE NUMBER: 333-191940 FILM NUMBER: 191147886 BUSINESS ADDRESS: STREET 1: 101 MUNSON STREET CITY: GREENFIELD STATE: MA ZIP: 01301 BUSINESS PHONE: 860.263.4790 MAIL ADDRESS: STREET 1: ONE FINANCIAL PLAZA STREET 2: 26TH FLOOR CITY: HARTFORD STATE: CT ZIP: 06103 FORMER COMPANY: FORMER CONFORMED NAME: VIRTUS ALTERNATIVE SOLUTIONS FUNDS DATE OF NAME CHANGE: 20140204 FORMER COMPANY: FORMER CONFORMED NAME: VIRTUS ALTERNATIVES TRUST I DATE OF NAME CHANGE: 20131022 FILER: COMPANY DATA: COMPANY CONFORMED NAME: VIRTUS EQUITY TRUST CENTRAL INDEX KEY: 0000034273 IRS NUMBER: 036066130 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 497 SEC ACT: 1933 Act SEC FILE NUMBER: 002-16590 FILM NUMBER: 191147884 BUSINESS ADDRESS: STREET 1: 101 MUNSON STEET CITY: GREENFIELD STATE: MA ZIP: 01301 BUSINESS PHONE: 800-243-1574 MAIL ADDRESS: STREET 1: ONE FINANCIAL PLAZA STREET 2: 26TH FLOOR CITY: HARTFORD STATE: CT ZIP: 06103 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX EQUITY TRUST DATE OF NAME CHANGE: 20040628 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX ABERDEEN WORLDWIDE OPPORTUNITIES FUND DATE OF NAME CHANGE: 19981215 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX WORLDWIDE OPPORTUNITIES FUND DATE OF NAME CHANGE: 19940505 FILER: COMPANY DATA: COMPANY CONFORMED NAME: VIRTUS OPPORTUNITIES TRUST CENTRAL INDEX KEY: 0001005020 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 497 SEC ACT: 1933 Act SEC FILE NUMBER: 033-65137 FILM NUMBER: 191147885 BUSINESS ADDRESS: STREET 1: 101 MUNSON STREET CITY: GREENFIELD STATE: MA ZIP: 01301 BUSINESS PHONE: 800-243-1574 MAIL ADDRESS: STREET 1: ONE FINANCIAL PLAZA STREET 2: 26TH FLOOR CITY: HARTFORD STATE: CT ZIP: 06103 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX OPPORTUNITIES TRUST DATE OF NAME CHANGE: 20060127 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX SENECA FUNDS DATE OF NAME CHANGE: 19990122 FORMER COMPANY: FORMER CONFORMED NAME: SENECA FUNDS DATE OF NAME CHANGE: 19951218 FILER: COMPANY DATA: COMPANY CONFORMED NAME: VIRTUS ASSET TRUST CENTRAL INDEX KEY: 0001018593 IRS NUMBER: 956981193 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 497 SEC ACT: 1933 Act SEC FILE NUMBER: 333-08045 FILM NUMBER: 191147883 BUSINESS ADDRESS: STREET 1: 101 MUNSON STREET CITY: GREENFIELD STATE: MA ZIP: 01301 BUSINESS PHONE: (800) 243-4361 MAIL ADDRESS: STREET 1: ONE FINANCIAL PLAZA STREET 2: 26TH FLOOR CITY: HARTFORD STATE: CT ZIP: 06103 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX ASSET TRUST DATE OF NAME CHANGE: 20060523 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX-KAYNE FUNDS DATE OF NAME CHANGE: 20021223 FORMER COMPANY: FORMER CONFORMED NAME: KAYNE ANDERSON RUDNICK MUTUAL FUNDS DATE OF NAME CHANGE: 20010226 0000034273 S000021170 Virtus KAR Small-Cap Growth Fund C000060263 Class A PSGAX C000060264 Class C PSGCX C000060265 Class I PXSGX C000199780 Class R6 VRSGX 0000034273 S000021172 Virtus KAR Small-Cap Core Fund C000060269 Class A PKSAX C000060271 Class C PKSCX C000060272 Class I PKSFX C000148845 Class R6 VSCRX 0000034273 S000021173 Virtus KAR Capital Growth Fund C000060273 Class A PSTAX C000060275 Class C SSTFX C000060276 Class I PLXGX C000199781 Class R6 VCGRX 0000034273 S000021177 Virtus Rampart Enhanced Core Equity Fund C000060285 Class A PDIAX C000060287 Class C PGICX C000060288 Class I PXIIX C000199782 Class R6 VECRX 0000034273 S000021179 VIRTUS TACTICAL ALLOCATION FUND C000060291 Class A NAINX C000060293 Class C POICX C000211088 Class I VTAIX 0000034273 S000021180 Virtus KAR Mid-Cap Growth Fund C000060294 Class A PHSKX C000060296 Class C PSKCX C000060297 Class I PICMX C000199783 Class R6 VRMGX 0000034273 S000021181 Virtus KAR Small-Cap Value Fund C000060298 Class A PQSAX C000060299 Class C PQSCX C000060300 Class I PXQSX C000176670 Class R6 VQSRX 0000034273 S000025925 Virtus KAR Mid-Cap Core Fund C000077895 Class A VMACX C000077896 Class C VMCCX C000077897 Class I VIMCX C000199784 Class R6 VRMCX 0000034273 S000061485 Virtus KAR Small-Mid Cap Core Fund C000199118 Class A VKSAX C000199119 Class C VKSCX C000199120 Class I VKSIX C000199121 Class R6 VKSRX 0000034273 S000064774 Virtus SGA Global Growth Fund C000209768 Class I SGAPX C000209769 Class R6 SGARX C000209770 Class A SGAAX C000209771 Class C SGACX 0000034273 S000065704 Virtus SGA Emerging Markets Growth Fund C000212523 Class R6 VESRX C000212524 Class A VAEGX C000212525 Class C VCEGX C000212526 Class I VIEGX 0001005020 S000001336 Virtus Newfleet Bond Fund C000003572 CLASS A SAVAX C000003574 CLASS C SAVCX C000003575 CLASS I SAVYX C000176707 Class R6 VBFRX 0001005020 S000018002 Virtus Duff & Phelps Real Estate Securities Fund C000049901 Class A PHRAX C000049903 Class C PHRCX C000049904 Class I PHRIX C000148854 Class R6 VRREX 0001005020 S000018005 Virtus Newfleet High Yield Fund C000049912 Class C PGHCX C000049913 Class A PHCHX C000119169 Class I PHCIX C000176708 Class R6 VRHYX 0001005020 S000018007 Virtus Newfleet Multi-Sector Intermediate Bond Fund C000049915 Class A NAMFX C000049917 Class C NCMFX C000081781 Class I VMFIX C000148855 Class R6 VMFRX 0001005020 S000018008 Virtus Newfleet Multi-Sector Short Term Bond Fund C000049918 Class A NARAX C000049920 Class C PSTCX C000049921 Class C1 PMSTX C000066828 Class I Shares PIMSX C000176709 Class R6 VMSSX 0001005020 S000018009 Virtus Duff & Phelps Global Infrastructure Fund C000049922 Class A PGUAX C000049923 Class C PGUCX C000066829 Class I Shares PGIUX C000199804 Class R6 VGIRX 0001005020 S000018969 Virtus Vontobel Foreign Opportunities Fund C000052519 Class A JVIAX C000052520 Class C JVICX C000052521 Class I JVXIX C000148857 Class R6 VFOPX 0001005020 S000018970 Virtus Duff & Phelps International Real Estate Securities Fund C000052522 Class A PXRAX C000052523 Class C PXRCX C000052524 Class I PXRIX 0001005020 S000018972 Virtus Vontobel Global Opportunities Fund C000052528 Class A NWWOX C000052530 Class C WWOCX C000119170 Class I WWOIX C000199805 Class R6 VRGOX 0001005020 S000018974 Virtus Rampart Sector Trend Fund C000052533 Class A PWBAX C000052534 Class C PWBCX C000081783 Class I VARIX 0001005020 S000018976 Virtus Rampart Alternatives Diversifier Fund C000052537 Class A PDPAX C000052538 Class C PDPCX C000081785 Class I VADIX 0001005020 S000020772 Virtus Newfleet Senior Floating Rate Fund C000058006 Class A PSFRX C000058007 Class C PFSRX C000058008 Class I PSFIX C000176710 Class R6 VRSFX 0001005020 S000025108 Virtus Duff & Phelps Global Real Estate Securities Fund C000074732 Class A VGSAX C000074733 Class C VGSCX C000074734 Class I VGISX C000176711 Class R6 VRGEX 0001005020 S000025110 Virtus Vontobel Greater European Opportunities Fund C000074738 Class A VGEAX C000074739 Class C VGECX C000074740 Class I VGEIX 0001005020 S000029390 Virtus Rampart Equity Trend Fund C000090272 Class A VAPAX C000090273 Class C VAPCX C000090274 Class I VAPIX C000148858 Class R6 VRPAX 0001005020 S000031600 Virtus Rampart Multi-Asset Trend Fund C000098360 Class A VAAAX C000098361 Class C VAACX C000098362 Class I VAISX 0001005020 S000038116 Virtus Herzfeld Fund C000117505 Class A VHFAX C000117506 Class C VHFCX C000117507 Class I VHFIX 0001005020 S000038117 Virtus Horizon Wealth Masters Fund C000117508 Class A VWMAX C000117509 Class C VWMCX C000117510 Class I VWMIX 0001005020 S000038118 Virtus KAR International Small-Cap Fund C000117511 Class A VISAX C000117512 Class C VCISX C000117513 Class I VIISX C000148859 Class R6 VRISX 0001005020 S000055178 Virtus Vontobel Emerging Markets Opportunities Fund C000173499 Class A HEMZX C000173500 Class C PICEX C000173501 Class I HIEMX C000173502 Class R6 VREMX 0001005020 S000055179 Virtus Newfleet Low Duration Income Fund C000173503 Class A HIMZX C000173504 Class C PCMZX C000173505 Class I HIBIX C000210350 Class R6 VLDRX 0001005020 S000055180 Virtus Newfleet Tax-Exempt Bond Fund C000173506 Class I HXBIX C000173507 Class A HXBZX C000173508 Class C PXCZX 0001018593 S000057022 Virtus Ceredex Large-Cap Value Equity Fund C000181155 Class A SVIIX C000181156 Class C SVIFX C000181157 Class I STVTX C000181158 Class R6 STVZX 0001018593 S000057023 Virtus Seix High Grade Municipal Bond Fund C000181160 Class A SFLTX C000181161 Class I SCFTX 0001018593 S000057024 Virtus Seix High Income Fund C000181163 Class A SAHIX C000181164 Class I STHTX C000181165 Class R6 STHZX C000181166 Class R STHIX 0001018593 S000057025 Virtus Seix High Yield Fund C000181168 Class A HYPSX C000181169 Class I SAMHX C000181170 Class R6 HYIZX C000181171 Class R HYLSX 0001018593 S000057026 Virtus Seix Investment Grade Tax-Exempt Bond Fund C000181173 Class A SISIX C000181174 Class I STTBX 0001018593 S000057029 Virtus Seix Short-Term Bond Fund C000181180 Class A STSBX C000181181 Class C SCBSX C000181182 Class I SSBTX 0001018593 S000057030 Virtus Seix Short-Term Municipal Bond Fund C000181184 Class A SMMAX C000181185 Class I CMDTX 0001018593 S000057031 Virtus Seix Total Return Bond Fund C000181187 Class A CBPSX C000181188 Class I SAMFX C000181189 Class R6 SAMZX C000181190 Class R SCBLX 0001018593 S000057032 Virtus Seix U.S. Government Securities Ultra-Short Bond Fund C000181192 Class I SIGVX C000181193 Class R6 SIGZX C000203236 Class A SSAGX 0001018593 S000057033 Virtus Ceredex Mid-Cap Value Equity Fund C000181196 Class A SAMVX C000181197 Class C SMVFX C000181198 Class I SMVTX C000181199 Class R6 SMVZX 0001018593 S000057034 Virtus Seix U.S. Mortgage Fund C000181200 Class A SLTMX C000181201 Class C SCLFX C000181202 Class I SLMTX 0001018593 S000057035 Virtus Seix Ultra-Short Bond Fund C000181204 Class I SISSX C000203237 Class A SASSX 0001018593 S000057037 Virtus Silvant Large-Cap Growth Stock Fund C000181209 Class A STCIX C000181210 Class C STCFX C000181211 Class I STCAX C000181212 Class R6 STCZX 0001018593 S000057038 Virtus Silvant Small-Cap Growth Stock Fund C000181214 Class A SCGIX C000181215 Class C SSCFX C000181216 Class I SSCTX 0001018593 S000057039 Virtus SGA International Growth Fund C000181219 Class A SCIIX C000181220 Class I STITX C000181221 Class R6 SCIZX 0001018593 S000057040 Virtus Zevenbergen Innovative Growth Stock Fund C000181224 Class A SAGAX C000181225 Class I SCATX 0001018593 S000057041 Virtus Ceredex Small-Cap Value Equity Fund C000181226 Class A SASVX C000181227 Class C STCEX C000181228 Class I SCETX C000211610 Class R6 VVERX 0001018593 S000057044 Virtus Seix Core Bond Fund C000181238 Class A STGIX C000181239 Class I STIGX C000181240 Class R6 STGZX C000181241 Class R SCIGX 0001018593 S000057045 Virtus Seix Corporate Bond Fund C000181243 Class A SAINX C000181244 Class C STIFX C000181245 Class I STICX 0001018593 S000057046 Virtus Seix Floating Rate High Income Fund C000181247 Class A SFRAX C000181248 Class C SFRCX C000181249 Class I SAMBX C000181250 Class R6 SFRZX 0001589756 S000048832 Virtus Aviva Multi-Strategy Target Return Fund C000153646 Class A VMSAX C000153647 Class C VCMSX C000153648 Class I VMSIX C000176668 Class R6 VMSRX 0001589756 S000050625 Virtus Duff & Phelps Select MLP and Energy Fund C000159801 Class A VLPAX C000159802 Class C VLPCX C000159803 Class I VLPIX 0001589756 S000063645 Virtus KAR Long/Short Equity Fund C000206130 Class R6 VLSRX C000206132 Class A VLSAX C000206133 Class C VLSCX C000206134 Class I VLSIX 497 1 tv530976_497.htm 497

 

Virtus Alternative Solutions Trust

Supplement dated October 11, 2019 to the Statutory Prospectus dated February 28, 2019, as supplemented

 

Virtus Asset Trust

Supplement dated October 11, 2019 to the Statutory Prospectus dated April 30, 2019, as supplemented

 

Virtus Equity Trust

Supplement dated October 11, 2019 to the Statutory Prospectus dated January 28, 2019, as supplemented

 

Virtus Opportunities Trust

Supplement dated October 11, 2019 to the Statutory Prospectus dated January 28, 2019, as supplemented

 

Important Notice to Investors

 

Effective October 11, 2019, certain disclosure relating to Class R6 Shares is hereby updated as described below.

 

Under the heading “What arrangement is best for you?,” the disclosure describing Class R6 Shares is replaced with the following:

 

Class R6 Shares are offered without a minimum initial investment to the following investors in plan level or omnibus accounts only (provided that they do not require or receive any compensation, administrative payments, sub-transfer agency payments or service payments with respect to Class R6 Shares): (i) qualified retirement plans, including, but not limited to, 401(k) plans, 457 plans, employer sponsored 403(b) plans, and defined benefit plans ; (ii) banks and trust companies; (iii) insurance companies; (iv) financial intermediaries utilizing such shares in fee-based investment advisory programs; (v) registered investment companies; and (vi) non-qualified deferred compensation plans. Other institutional investors may be permitted to purchase Class R6 Shares subject to the fund’s determination of eligibility and may be subject to a $2,500,000 minimum initial investment requirement. In addition, without a minimum initial investment requirement, Class R6 Shares are available to any trustee of the Virtus Funds and trustees/directors of affiliated open- and closed-end funds, directors, officers and employees of Virtus and its affiliates, and a spouse or domestic partner, child or minor grandchild of any such qualifying individual (in each case either individually or jointly with other investors), provided in each case that those shares are held directly with the Transfer Agent or in an eligible account. The minimum initial investment amount may be waived subject to the fund’s discretion. If you are eligible to purchase and do purchase Class R6 Shares, you will pay no sales charge at any time. There are no distribution and service fees applicable to Class R6 Shares. If you transact in Class R6 Shares through a financial intermediary, your financial intermediary may charge you a fee outside of the fund, such as brokerage commission or an investment advisory fee. You should consult your financial intermediary regarding the different share classes available to you, how their fees and expenses differ, and whether the fees charged by your financial intermediary differ depending upon which share class you choose.

 

In the section “Your Account,” under the heading “Class R6 Shares Only,” the disclosure is replaced with the following:

 

If you are investing through a qualified retirement plan, bank or trust company, insurance company or other qualifying financial institution, registered investment company or non-qualified deferred compensation plan, your financial institution or financial intermediary will provide you with the information you need to open an account and buy Class R6 Shares. If you are a qualified institutional investor, or qualified individual investor as described under the heading “What arrangement is best for you?,” please refer to the instructions above for Class A Shares, Class C Shares and Class I Shares, except for the application of any minimum initial and/or additional purchase requirement.

 

In the section “How to Buy Shares,” under the heading “Class R6 Shares Only,” the disclosure is replaced with the following:

 

If you are investing through a qualified retirement plan, bank or trust company, insurance company or other qualifying financial institution, registered investment company or non-qualified deferred compensation plan, your financial institution or financial intermediary will provide you with the information you need to buy Class R6 Shares. If you are a qualified institutional investor, or qualified individual investor as described under the heading “What arrangement is best for you?,” please refer to the instructions above for Class A Shares, Class C Shares and Class I Shares.

 

In the section “How to Sell Shares,” under the heading “Class R6 Shares Only,” the disclosure is replaced with the following:

 

If you are investing through a qualified retirement plan, bank or trust company, insurance company or other qualifying financial institution, registered investment company or non-qualified deferred compensation plan, your financial institution or financial intermediary will provide you with the information you need to sell Class R6 Shares. If you are a qualified institutional investor, or qualified individual investor as described under the heading “What arrangement is best for you?,” please refer to the instructions above for Class A Shares, Class C Shares and Class I Shares.

 

In the section “Things to Know When Selling Shares,” under the heading “Class R6 Shares Only,” the disclosure is replaced with the following:

 

If you are investing through a qualified retirement plan, bank or trust company, insurance company or other qualifying financial institution, registered investment company or non-qualified deferred compensation plan, your financial institution or financial intermediary will provide you with the information you need to know when selling Class R6 Shares. If you are a qualified institutional investor, or qualified individual investor as described under the heading “What arrangement is best for you?,” please refer to the instructions above for Class A Shares, Class C Shares and Class I Shares.

 

 

Investors should retain this supplement with the Prospectuses for future reference.

 

VAST/VAT/VET/VOT R6Disclosure (10/2019) 

 

 

 

Virtus Alternative Solutions Trust

Supplement dated October 11, 2019 to the Statement of Additional Information (“SAI”)

dated February 28, 2019, as supplemented

 

Virtus Asset Trust

Supplement dated October 11, 2019 to the SAI dated April 30, 2019, as supplemented

 

Virtus Equity Trust

Supplement dated October 11, 2019 to the SAI dated June 12, 2019, as supplemented

 

Virtus Opportunities Trust

Supplement dated October 11, 2019 to the SAI dated January 28, 2019, as supplemented

 

 

 

Effective October 11, 2019, certain disclosure relating to Class R6 Shares is hereby updated as described below.

 

In the section “Purchase, Redemption and Pricing of Shares,” under the heading “How to Buy Shares” the paragraph describing Class R6 Shares is replaced with the following:

 

Class R6 Shares are offered without a minimum initial investment to the following investors in plan level or omnibus accounts only: certain employer sponsored retirement plans, including profit-sharing and money purchase pension plans, defined benefit plans and non-qualified deferred compensation plans, plans described in Section 401(k), 403(b) and 457 of the Internal Revenue Code, banks and trust companies, insurance companies, registered investment companies and financial intermediaries utilizing fund shares in fee-based advisory programs. Other institutional investors may be permitted to purchase Class R6 Shares subject to the fund’s determination of eligibility and may be subject to a $2,500,000 minimum initial investment requirement. In addition, without a minimum initial investment requirement, Class R6 Shares are available to any trustee of the Virtus Funds and trustees/directors of affiliated open- and closed-end funds, directors, officers and employees of Virtus and its affiliates, and a spouse or domestic partner, child or minor grandchild of any such qualifying individual (in each case either individually or jointly with other investors), provided in each case that those shares are held directly with the Transfer Agent or in an eligible account. If you are participating in an employer sponsored retirement plan, such as a 401(k) plan, profit-sharing plan, defined benefit plan or other employer-directed plan, your company will provide you with the information you need to open an account and buy Class R6 Shares. If you are a qualified institutional investor or qualified individual investor as described above, completed applications for the purchase of shares should be mailed to: Virtus Mutual Funds, P.O. Box 9874, Providence, RI 02940-8074.

 

In the section “Purchase, Redemption and Pricing of Shares,” under the heading “Alternative Purchase Arrangements” the paragraph describing Class R6 Shares is replaced with the following:

 

Class R6 Shares are available only to certain employer-sponsored retirement plans, including profit-sharing and money purchase pension plans, defined benefit plans and non-qualified deferred compensation plans, plans described in Section 401(k), 403(b) and 457 of the Internal Revenue Code, banks and trust companies, insurance companies, registered investment companies and financial intermediaries utilizing fund shares in fee-based advisory programs, where plan level or omnibus accounts are held on the books of the fund. Other institutional investors may be permitted to purchase Class R6 Shares subject to the fund’s determination of eligibility and may be subject to a $2,500,000 minimum initial investment requirement. In addition, without a minimum initial investment requirement, Class R6 Shares are available to any trustee of the Virtus Funds and trustees/directors of affiliated open- and closed-end funds, directors, officers and employees of Virtus and its affiliates, and a spouse or domestic partner, child or minor grandchild of any such qualifying individual (in each case either individually or jointly with other investors), provided in each case that those shares are held directly with the Transfer Agent or in an eligible account. Class R6 Shares are not available to traditional or Roth IRAs, Coverdell Savings Accounts, Keoghs, SEPs, SARSEPs, or Simple IRAs. Individual shareholders who purchase Class R6 Shares through retirement platforms or other intermediaries are not eligible to hold Class R6 Shares outside of their respective plan or intermediary platform. If you are eligible to purchase and do purchase Class R6 Shares, you will pay no sales charge at any time. There are no distribution and service fees applicable to Class R6 Shares.

 

 

Investors should retain this supplement with the SAI for future reference.

 

VAST/VAT/VET/VOT SAI R6Disclosure (10/2019)