POS EX 1 chasemcposex.htm CHASE MID CAP GROWTH FUND POSEX Chase Mid Cap Growth Fund POSEX


Filed with the Securities and Exchange Commission on October 12, 2004
 
1933 Act Registration File No. 333-17391
1940 Act File No. 811-07959
 
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

FORM N-1A
 
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933

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Pre-Effective Amendment No. ____
  
Post-Effective Amendment No. _162_

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   and

REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940

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Amendment No. _164_

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(Check appropriate box or boxes.)
 
 
ADVISORS SERIES TRUST
(Exact Name of Registrant as Specified in Charter)
 
615 East Michigan Street
Milwaukee, Wisconsin 53202
(Address of Principal Executive Offices) (Zip Code)
 
(Registrant’s Telephone Numbers, Including Area Code) (414) 765-5340
 
Eric M. Banhazl
Advisors Series Trust
2020 E. Financial Way, Suite 100
Glendora, California 91741
(Name and Address of Agent for Service)
 
Copies to:
 
Julie Allecta, Esq.
Paul, Hastings, Janofsky & Walker LLP
55 Second Street, 24th Floor
San Francisco, California 94105
 
As soon as practical after the effective date of this Registration Statement
Approximate Date of Proposed Public Offering
 
 
It is proposed that this filing will become effective
 
immediately upon filing pursuant to paragraph (b)
 
___ on _______________________ pursuant to paragraph (b)
 
___ 60 days after filing pursuant to paragraph (a)(1)
 
___ on _______________________ pursuant to paragraph (a)(1)
 
___ 75 days after filing pursuant to paragraph (a)(2)
 
___ on _______________________ pursuant to paragraph (a)(2) of Rule 485.
 
 

 
     

 

 
If appropriate, check the following box

[ ] this post-effective amendment designates a new effective date for a previously filed post-effective amendment.

This amendment consists of the following:
 
(1) Facing Sheet of the Registration Statement.
(2) Part C of the Registration Statement (including signature page).
 
The Prospectus and Statement of Additional Information are incorporated by reference from Post-Effective Amendment No. 151 to this Registration Statement (File No. 333-17391) filed on July 22, 2004. There have been no changes to the Prospectus or Statement of Additional Information
 
This amendment is being filed in order to file as Exhibit 99.i to this Registration Statement, the legality of shares opinion of Paul, Hastings, Janofsky & Walker LLP, legal counsel for the Registrant.

 
     

 


PART C
(Chase Mid-Cap Growth Fund)

OTHER INFORMATION

Item 22. Exhibits

(a)   Agreement and Declaration of Trust dated October 3, 1996 was previously filed with the Registration Statement on Form N-1A (File No. 333-17391) on December 6, 1996 and is incorporated herein by reference.
 
(b)   Amended and Restated Bylaws dated June 27, 2002was previously filed with the Registration Statement on Form N-1A (File No. 333-17391) on January 28, 2003, and is incorporated herein by reference.
 
(c)   Instruments Defining Rights of Security Holders is incorporated by reference to Registrant’s Declaration of Trust and Bylaws.
 
(d)   Form of Investment Advisory Agreement was previously filed with the Registration Statement on Form N-1A (File No. 333-17391) on February 12, 2002 and is incorporated herein by reference.
 
(e)   Form of Distribution Agreement was previously filed with the Registration Statement on Form N-1A (File No. 333-17391) on February 12, 2002 and is incorporated herein by reference.
 
(f)   Bonus or Profit Sharing Contracts is not applicable.
 
(g)   Form of Custody Agreement was previously filed with the Registration Statement on Form N-1A (File No. 333-17391) on February 28, 1997 and is incorporated herein by reference.
 
(h)   Other Material Contracts
 

(i)  

Form of Fund Administration Servicing Agreement was previously filed with the Registration Statement on Form N-1A (File No. 333-17391) on February 12, 2002 and is incorporated herein by reference.
 
(ii)   Form of Transfer Agency Service Agreement was previously filed with the Registration Statement on Form N-1A (File No. 333-17391) on February 12, 2002, and is incorporated herein by reference.
 
(iii)   Form of Fund Accounting Servicing Agreement was previously filed with the Registration Statement on Form N-1A (File No. 333-17391) on February 12, 2002 and is incorporated herein by reference.
 
(iv)   Form of Operating Expenses Limitation Agreement was previously filed with the Registration Statement on Form N-1A (File No. 333-17391) on February 12, 2002 and is incorporated herein by reference.
 
  (v) Power of Attorney was previously filed with the Registration Statement on Form N-1A (File No. 333-17391) on July 29, 2004 and is incorporated herein by reference.
 
(i)   Opinion of Counsel is filed herewith.
 
(j)   Consent of Independent Public Accountants is not applicable.
 
(k)   Omitted Financial Statements is not applicable.
 
(l)   Agreement Relating to Initial Capital is not applicable.
 
(m)   Rule 12b-1 Plan is not applicable.
 
(n)   Rule 18f-3 Plan is not applicable.
 
(o)   Reserved.
 
(p)   Code of Ethics.
 
 

 
  C-1   

 

 
(i)    Code of Ethics for Registrant was previously filed with Registrant’s Post-Effective Amendment No. 61 to its Registration Statement on Form N-1A (File No. 333-17391) with the SEC on April 19, 2000 and is incorporated herein by reference.
 
(ii)   Code of Ethics for Advisor was previously filed with Registrant’s Post-Effective Amendment No. 67 to its Registration Statement on Form N-1A (File No. 333-17391) with the SEC on August 23, 2000 and is incorporated herein by reference.
    

Item 23. Persons Controlled by or Under Common Control with Registrant. 

No person is directly or indirectly controlled by or under common control with the Registrant.

Item 24. Indemnification.

Reference is made to Article VII of the Registrant’s Declaration of Trust, Article VI of Registrant’s Bylaws and Paragraph 6 of the Distribution Agreement.

Pursuant to Rule 484 under the Securities Act of 1933, as amended, the Registrant furnishes the following undertaking: “Insofar as indemnification for liability arising under the Securities Act of 1933 (the “Act”) may be permitted to trustees, officers and controlling persons of the Registrant pursuant to the foregoing provisions, or otherwise, the Registrant has been advised that, in the opinion of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Act and is, therefore, unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the Registrant of expenses incurred or paid by a trustee, officer or controlling person of the Registrant in the successful defense of any action, suit or proceeding) is asserted by such trustee, officer or controlling person in connection with the securities being registered, the Registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and will be governed by the final adjudication of such issue.”

Item 25. Business and Other Connections of the Investment Adviser

With respect to the Advisor, the response to this Item will be incorporated by reference to the Advisor’s Uniform Application for Investment Adviser Registration (Form ADV) on file with the Securities and Exchange Commission (“SEC”), dated August 20, 2004. The Advisor’s Form ADV may be obtained, free of charge, at the SEC's web site at www.adviserinfo.sec.gov.

Item 26.    Principal Underwriter.

(a)    Quasar Distributors, LLC, the Registrant’s principal underwriter, acts as principal underwriter for the following investment companies:

Advisors Series Trust
Glenmede Fund, Inc.
AHA Investment Funds
Guinness Atkinson Funds
Allied Asset Advisors Funds
Harding, Loevner Funds, Inc.
Alpine Equity Trust
The Hennessy Funds, Inc.
Alpine Series Trust
The Hennessy Mutual Funds, Inc.
Alpine Income Trust
Jacob Internet Fund
Alternative Investment Advisors
The Jensen Portfolio, Inc.
Brandes Investment Trust
Kirr Marbach Partners, Funds, Inc.
Brandywine Advisors Fund, Inc.
Kit Cole Investment Trust
Brazos Mutual Funds
Light Revolution Fund, Inc.
Buffalo Funds
LKCM Funds
Buffalo Balanced Fund
Masters’ Select Funds
 
 

 
  C-2   

 

 
 
Buffalo High Yield Fund
Matrix Advisors Value Fund, Inc.
Buffalo Large Cap Fund
Monetta Fund, Inc.
Buffalo Small Cap Fund
Monetta Trust
Buffalo U.S. Global Fund
MP63 Fund
CCM Advisors Funds
MUTUALS.com
CCMA Select Investment Trust
NorCap Funds
Country Mutual Funds Trust
Optimum Q Funds
Cullen Funds Trust
Permanent Portfolio
Everest Funds
Professionally Managed Portfolios
First American Funds, Inc.
Prudent Bear Mutual Funds
First American Insurance Portfolios, Inc.
Rainier Funds
First American Investment Funds, Inc.
SEIX Funds, Inc.
First American Strategy Funds, Inc.
TIFF Investment Program, Inc.
FFTW Funds, Inc.
Wexford Trust
Fort Pitt Capital Funds
Zodiac Trust
Fremont Funds
 

(b)    To the best of Registrant’s knowledge, the directors and executive officers of Quasar Distributors, LLC are as follows:

Name and Principal
Business Address
Position and Offices with Quasar
Distributors, LLC
Positions and Offices with
Registrant
James R. Schoenike
President, Board Member
None
Donna J. Berth
Treasurer
None
Joe Redwine
Board Member
None
Bob Kern
Board Member
None
Eric W. Falkeis
Board Member
None
Teresa Cowan
Assistant Secretary
None
The address of each of the foregoing is 615 East Michigan Street, Milwaukee, Wisconsin, 53202.

(c)    Not applicable.

Item 27. Location of Accounts and Records.

The books and records required to be maintained by Section 31(a) of the Investment Company Act of 1940 are maintained at the following locations:
 
Records Relating to:
Are located at:
Registrant’s Fund Administrator, Transfer Agent and Fund Accountant
U.S. Bancorp Fund Services, LLC
615 East Michigan Street, 2nd Floor
Milwaukee, Wisconsin 53202
 
Registrant’s Custodian
U.S. Bank, National Association
425 Walnut Street
Cincinnati, Ohio 45202
 
Registrant’s Investment Advisor
Chase Investment Counsel Corp.
300 Preston Avenue, Suite 403
Charlottesville, Virginia 22902-5091
 

 
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Item 28. Management Services Not Discussed in Parts A and B.

Not Applicable.

Item 29. Undertakings.

Not Applicable.

  C-4   

 

SIGNATURES

Pursuant to the requirements of the Securities Act of 1933 and the Investment Company Act of 1940, the Registrant certifies that it meets all of the requirements for effectiveness of this Registration Statement under Rule 485(b) under the Securities Act of 1933 and has duly caused this Amendment to the Registration Statement on Form N-1A of Advisors Series Trust to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Milwaukee and State of Wisconsin, on the 12th day of October, 2004.
 
ADVISORS SERIES TRUST
 
By: /s/Eric M. Banhazl*
Eric M. Banhazl
President

Pursuant to the requirements of the Securities Act of 1933, this Amendment to the Registration Statement on Form N-1A of Advisors Series Trust has been signed below by the following persons in the capacities and on October 12, 2004.

Signature
Title
   
/s/ Eric M. Banhazl*
Eric M. Banhazl
 
President and Trustee
 
/s/ Walter E. Auch*
Walter E. Auch
 
Trustee
 
/s/ Donald E. O’Connor*
Donald E. O’Connor
 
Trustee
 
/s/ George T. Wofford III*
George T. Wofford III
 
Trustee
 
/s/ George J. Rebhan*
George J. Rebhan
 
Trustee
 
/s/ James Clayburn LaForce*
James Clayburn LaForce
 
Trustee
 
/s/ Douglas G. Hess
Douglas G. Hess
 
Treasurer and Principal Financial and Accounting Officer
 
 
 
 

* /s/

Douglas G. Hess
  Douglas G. Hess
  Attorney-in-Fact pursuant to
    
Power of Attorney.


  C-5   

 

EXHIBIT INDEX

Exhibit
Exhibit No.
   
Legality of Shares Opinion of Paul, Hastings, Janofsky & Walker, LLP
EX.99.i.

 
 

 
  C-6