-----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, K5FOp8FVySPrJwxkHnQL1ZwhApFG0VsnNSxWI4+h58IDyogGW9GIkcTJeh976OEd Vs+mjytkRjsY0wD8tzbBTA== 0001104659-09-041792.txt : 20090702 0001104659-09-041792.hdr.sgml : 20090702 20090702164329 ACCESSION NUMBER: 0001104659-09-041792 CONFORMED SUBMISSION TYPE: N-CSRS/A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20090430 FILED AS OF DATE: 20090702 DATE AS OF CHANGE: 20090702 EFFECTIVENESS DATE: 20090702 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALGER FUNDS CENTRAL INDEX KEY: 0000003521 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: N-CSRS/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-01355 FILM NUMBER: 09928051 BUSINESS ADDRESS: STREET 1: 111 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10003 BUSINESS PHONE: 2128068800 MAIL ADDRESS: STREET 1: HARBORSIDE FINANCIAL CENTER STREET 2: 600 PLAZA ONE CITY: JERSEY CITY STATE: NJ ZIP: 07311 FORMER COMPANY: FORMER CONFORMED NAME: ALGER FUND DATE OF NAME CHANGE: 19920703 0000003521 S000009159 Alger LargeCap Growth Fund C000024900 Alger LargeCap Growth Fund Class A ALGAX C000024901 Alger LargeCap Growth Fund Class B AFGPX C000024902 Alger LargeCap Growth Fund Class C ALGCX 0000003521 S000009160 Alger SmallCap Growth Fund C000024903 Alger SmallCap Growth Fund Class A ALSAX C000024904 Alger SmallCap Growth Fund Class B ALSCX C000024905 Alger SmallCap Growth Fund Class C AGSCX 0000003521 S000009161 Alger Balanced Fund C000024906 Alger Balanced Fund Class A ALBAX C000024907 Alger Balanced Fund Class B ALGBX C000024908 Alger Balanced Fund Class C ALBCX 0000003521 S000009162 Alger MidCap Growth Fund C000024909 Alger MidCap Growth Fund Class A AMGAX C000024910 Alger MidCap Growth Fund Class B AMCGX C000024911 Alger MidCap Growth Fund Class C AMGCX 0000003521 S000009163 Alger Capital Appreciation Fund C000024912 Alger Capital Appreciation Fund Class A ACAAX C000024913 Alger Capital Appreciation Fund Class B ACAPX C000024914 Alger Capital Appreciation Fund Class C ALCCX 0000003521 S000009164 Alger Health Sciences Fund C000024915 Alger Health Sciences Fund Class A AHSAX C000024916 Alger Health Sciences Fund Class B AHSBX C000024917 Alger Health Sciences Fund Class C AHSCX 0000003521 S000009165 Alger SMidCap Growth Fund C000024918 Alger SMidCap Growth Fund Class A ALMAX C000024919 Alger SMidCap Growth Fund Class B ALMBX C000024920 Alger SMidCap Growth Fund Class C ALMCX C000051550 Alger SMidCap Growth Fund Class I ASIMX 0000003521 S000009166 Alger Money Market Fund C000024921 Alger Money Market Fund FAFXX 0000003521 S000020958 Alger Growth Opportunities Fund C000059337 Alger Growth Opportunities Fund Class A AOFAX C000059339 Alger Growth Opportunities Fund Class C AOFCX C000059340 Alger Growth Opportunities Fund Class I AOFIX 0000003521 S000023279 Alger Convertible Fund C000068080 Alger Convertible Fund Class A ACVFX N-CSRS/A 1 a09-15456_1ncsrsa.htm AMENDMENT TO CERTIFIED SHAREHOLDER REPORT

 

 

 

OMB APPROVAL

 

 

OMB Number:

3235-0570

 

 

Expires:

August 31, 2011

 

UNITED STATES

Estimated average burden hours per response. . . . . . . . . . . . . . . . .18.9

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

FORM N-CSR

 

CERTIFIED SHAREHOLDER REPORT OF REGISTERED
MANAGEMENT INVESTMENT COMPANIES

 

Investment Company Act file number

811-01355

 

The Alger Funds

(Exact name of registrant as specified in charter)

 

111 Fifth Avenue New York, New York

 

10003

(Address of principal executive offices)

 

(Zip code)

 

Mr. Hal Liebes
Fred Alger Management, Inc.
111 Fifth Avenue
New York, New York 10003

(Name and address of agent for service)

 

Registrant’s telephone number, including area code:

212-806-8800

 

 

Date of fiscal year end:

October 31

 

 

Date of reporting period:

April 30, 2009

 

 



 

ITEM 1.  REPORT(S) TO STOCKHOLDERS.

 

The Semi-Annual Report to Stockholders has previously filed and is incorporated herein by reference.

 



 

Explanatory Note

 

This amended filing on from N-CSRS is being made to correct an omission on a previous filing.  A submission was filed July 2, 2009, under accession number 0001104659-09-041508 which erroneously excluded reference to the series and class identifiers of the Alger Convertible Fund.

 

The sole purpose of this amended filing is to have on record reference to the Convertible Fund’s series/class identifiers.  There are no changes to the Semi-Annual Report for The Alger Funds which previously filed and is incorporated herein by reference.

 



 

ITEM 2.  CODE OF ETHICS.

 

Not applicable.

 

ITEM 3.  AUDIT COMMITTEE FINANCIAL EXPERT.

 

Not applicable.

 

ITEM 4.  PRINCIPAL ACCOUNTANT FEES AND SERVICES.

 

Not applicable.

 

ITEM 5.  AUDIT COMMITTEE OF LISTED REGISTRANTS.

 

Not applicable.

 < /p>

ITEM 6.  INVESTMENTS.

 

Not applicable.

 

ITEM 7.  DISCLOSURE OF PROXY VOTING POLICIES AND PROCEDURES FOR CLOSED END MANAGEMENT INVESTMENT COMPANIES.

 

Not applicable.

 

ITEM 8.  PORTFOLIO MANAGERS OF CLOSED-END MANAGEMENT INVESTMENT COMPANIES.

 

Not applicable.

 

ITEM 9.  PURCHASES OF EQUITY SECURITIES BY CLOSED-END MANAGEMENT INVESTMENT COMPANY AND AFFILIATED PURCHASERS.

 

Not applicable.

 

ITEM 10.  SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS.

 

Not applicable.

 

ITEM 11.  CONTROLS AND PROCEDURES.

 

(a) The Registrant’s principal executive officer and principal financial officer have concluded that the Registrant’s disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940, as amended) are effective based on their evaluation of the disclosure controls and procedures as of a date within 90 days of the filing date of this document.

 

(b) No changes in the Registrant’s internal control over financial reporting occurred during the Registrant’s second fiscal quarter of the period covered by this report that materially affected, or are reasonably likely to materially affect, the Registrant’s internal control over financial reporting.

 

ITEM 12.  EXHIBITS.

 

(a) (1) Not applicable

 

(a) (2) Certifications of principal executive officer and principal financial officer as required by rule 30a-2(a) under the Investment Company Act of 1940 are attached as Exhibit 99.CERT

 

(a) (3) Not applicable

 



 

(b) Certifications of principal executive officer and principal financial officer as required by rule 30a-2(b) under the Investment Company Act of 1940 are attached as Exhibit 99.906CERT

 



 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

The Alger Funds

 

 

 

By:

/s/Dan C. Chung

 

 

 

 

 

Dan C. Chung

 

 

 

 

 

President

 

 

 

Date: June 30, 2009

 

 

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.

 

By:

/s/Dan C. Chung

 

 

 

 

 

Dan C. Chung

 

 

 

 

 

President

 

 

 

Date: June 30, 2009

 

 

 

By:

/s/Michael D. Martins

 

 

 

 

 

Michael D. Martins

 

 

 

 

 

Treasurer

 

 

 

 

Date: June 30, 2009

 

 


EX-99.CERT 2 a09-15456_1ex99dcert.htm EX-99.CERT

Exhibit 99.CERT

 

Rule 30a-2(a) CERTIFICATIONS

 

I, Dan C. Chung, certify that:

 

1. I have reviewed this report on Form N-CSR of The Alger Funds;

 

2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

 

3. Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report;

 

4. The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:

 

(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

 

(b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

 

(c) Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report based on such evaluation; and

 

(d) Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the second fiscal quarter of the period covered by this report that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

 

5. The registrant’s other certifying officer(s) and I have disclosed to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

 

(a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize, and report financial information; and

 

(b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

 

Date: June 30, 2009

 

 

 

 

 

/s/ Dan C. Chung

 

 

 

 

 

Dan C. Chung

 

President

 

 



 

Rule 30a-2(a) CERTIFICATIONS

 

I, Michael D. Martins, certify that:

 

1. I have reviewed this report on Form N-CSR of The Alger Funds;

 

2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

 

3. Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report;

 

4. The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:

 

(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

 

(b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

 

(c) Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report based on such evaluation; and

 

(d) Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the second fiscal quarter of the period covered by this report that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

 

5. The registrant’s other certifying officer(s) and I have disclosed to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

 

(a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize, and report financial information; and

 

(b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

 

Date: June 30, 2009

 

 

 

 

 

/s/ Michael D. Martins

 

 

 

 

 

Michael D. Martins

 

Treasurer

 

 


EX-99.906CERT 3 a09-15456_1ex99d906cert.htm EX-99.906CERT

Exhibit 99.906CERT

 

Rule 30a-2(b) CERTIFICATIONS

 

Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (subsections (a) and (b) of section 1350, chapter 63 of title 18, United States Code), each of the undersigned officers of The Alger Funds, do hereby certify, to such officer’s knowledge, that:

 

(1)       The semi-annual report on Form N-CSR of the Registrant for the period ended April 30, 2009 (the “Form N-CSR”) fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934;
and

 

(2)       the information contained in the Form N-CSR fairly presents, in all material respects, the financial condition and results of operations of The Alger Funds.

 

Dated: June 30, 2009

 

 

 

 

 

/s/Dan C. Chung

 

 

 

 

 

Dan C. Chung

 

President

 

The Alger Funds

 

 

 

Dated: June 30, 2009

 

 

 

 

 

/s/ Michael D. Martins

 

 

 

 

 

Michael D. Martins

 

Treasurer

 

The Alger Funds

 

 

 

Dated: June 30, 2009

 

 

 

This certification is being furnished solely pursuant to 18 U.S.C. ss. 1350 and is not being filed as part of the Report or as a separate disclosure document.

 


 

-----END PRIVACY-ENHANCED MESSAGE-----