REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 |
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Pre-Effective Amendment No. |
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Post-Effective Amendment No. 141 |
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and/or |
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REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 |
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Amendment No. 143 |
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(Check appropriate box or boxes) |
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100 Pearl Street, 27th Floor, New York, New York |
10004 |
(Address of Principal Executive Offices) |
(Zip Code) |
Tina Payne, Esq. Fred Alger Management, LLC 100 Pearl Street, 27th Floor New York, NY 10004 (Name and Address of Agent for Service) |
Copy to: Nicole M. Runyan, Esq. Proskauer Rose LLP 11 Times Square New York, NY 10036 |
☐ |
immediately upon filing pursuant to paragraph (b), or |
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on (date) pursuant to paragraph (b), or |
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60 days after filing pursuant to paragraph (a)(1), or |
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on December 31, 2021 pursuant to paragraph (a)(1), or |
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75 days after filing pursuant to paragraph (a)(2), or |
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on (date) pursuant to paragraph (a)(2) of Rule 485 |
☐ |
This post-effective amendment designates a new effective date for a previously filed post-effective amendment. |
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Class |
Ticker Symbol |
Alger Small Cap Growth Fund |
Y |
ASCYX |
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Back Cover: For Fund Information |
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Class Y |
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Class Y |
Advisory Fees* |
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Distribution and/or Service (12b-1) Fees |
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Other Expenses** |
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Total Annual Fund Operating Expenses |
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Fee Waiver and/or Expense Reimbursement*** |
( |
Total Annual Fund Operating Expenses After Fee Waiver and/or Expense Reimbursement |
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1 Year |
3 Years |
5 Years |
10 Years |
Class Y |
$ |
$ |
$ |
$ |
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1 Year |
5 Years |
10 Years |
Inception Date |
Class Z |
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Return Before Taxes |
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Return After Taxes on Distributions |
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Return After Taxes on Distributions and Sale of Fund Shares |
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Russell 2000 Growth Index (reflects no deductions for fees, expenses or taxes) |
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Investment Manager |
Portfolio Managers Jointly and Primarily Responsible for Day-to-Day Management of the Fund |
Fred Alger Management, LLC |
Dan C. Chung, CFA Chief Executive Officer, Chief Investment Officer and Portfolio Manager Since January 2016 |
Amy Y. Zhang, CFA Executive Vice President and Portfolio Manager Since February 2015 |
Fund |
Portfolio Managers |
Since |
Alger Small Cap Growth Fund |
Dan C. Chung, CFA Amy Y. Zhang, CFA |
January 2016 February 2015 |
Class Y |
Year 1 |
Year 2 |
Year 3 |
Year 4 |
Year 5 |
Year 6 |
Year 7 |
Year 8 |
Year 9 |
Year 10 |
Expense Ratio |
0.84% |
0.84% |
0.93% |
0.93% |
0.93% |
0.93% |
0.93% |
0.93% |
0.93% |
0.93% |
Cumulative Gross Return |
5.00% |
10.25% |
15.76% |
21.55% |
27.63% |
34.01% |
40.71% |
47.75% |
55.13% |
62.89% |
Cumulative Net Return |
4.16% |
8.49% |
12.91% |
17.50% |
22.29% |
27.26% |
32.44% |
37.83% |
43.44% |
49.28% |
End Investment Balance |
$ 10,416 |
$ 10,849 |
$ 11,291 |
$ 11,750 |
$ 12,229 |
$ 12,726 |
$ 13,244 |
$ 13,783 |
$ 14,344 |
$ 14,928 |
Annual Expense |
$ 86 |
$ 89 |
$ 103 |
$ 107 |
$ 112 |
$ 116 |
$ 121 |
$ 126 |
$ 131 |
$ 136 |
Alger Small Cap Growth Fund Class Z |
Year ended 10/31/21 |
Year ended 10/31/20 |
Year ended 10/31/19 |
Year ended 10/31/18 |
Year ended 10/31/17 |
Net asset value, beginning of period |
$13.10 |
$9.66 |
$9.80 |
$8.60 |
$6.27 |
Income from Investment Operations: |
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Net investment loss (i) |
(0.02) |
(0.10) |
(0.07) |
(0.06) |
(0.04) |
Net realized and unrealized gain on investments |
3.91 |
4.08 |
0.87 |
1.36 |
2.37 |
Total from investment operations |
3.89 |
3.98 |
0.80 |
1.30 |
2.33 |
Distributions from net realized gains |
(0.07) |
(0.54) |
(0.94) |
(0.10) |
— |
Net asset value, end of period |
$16.92 |
$13.10 |
$9.66 |
$9.80 |
$8.60 |
Total return (ii) |
(iii)29.66% |
43.38% |
10.33% |
15.30% |
37.16% |
Ratios/Supplemental Data: |
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Net assets, end of period (000’s omitted) |
$383,748 |
$179,276 |
$21,782 |
$13,179 |
$26,953 |
Ratio of gross expenses to average net assets |
0.93% |
1.00% |
1.12% |
1.12% |
1.08% |
Ratio of expense reimbursements to average net assets |
— |
(0.03)% |
(0.13)% |
(0.13)% |
(0.09)% |
Ratio of net expenses to average net assets |
0.93% |
0.97% |
0.99% |
0.99% |
0.99% |
Ratio of net investment loss to average net assets |
(0.12)% |
(0.81)% |
(0.78)% |
(0.65)% |
(0.50)% |
Portfolio turnover rate |
34.85% |
12.67% |
17.09% |
28.68% |
30.32% |
By Telephone: |
(800) 992-3863 |
By Mail: |
Alger Family of Funds c/o UMB Fund Services, Inc. P.O. Box 2175 Milwaukee, WI 53212-2175 |
Online |
Text versions of Fund documents can be downloaded from the following sources: |
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• The Fund: http://www.alger.com |
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• SEC (EDGAR data base): www.sec.gov |
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Class |
Ticker Symbol |
Alger Small Cap Growth Fund (“Small Cap Growth Fund”) |
Y |
ASCYX |
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Broker Commissions Paid for 2019 |
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Paid to Alger LLC |
Soft Dollar Transactions | |||
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Total Paid by the Fund |
Dollar Amount Paid to Alger LLC |
% of Brokerage Commission Paid to Alger LLC |
% of Brokerage Dollar Amount of Transactions Effected through Alger LLC |
Value of Transactions |
Commissions |
Small Cap Growth Fund |
$54,555 |
$8,877 |
16% |
15% |
$12,097,418 |
$14,223 |
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Broker Commissions Paid for 2020 |
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Paid to Alger LLC |
Soft Dollar Transactions | |||
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Total Paid by the Fund |
Dollar Amount Paid to Alger LLC |
% of Brokerage Commission Paid to Alger LLC |
% of Brokerage Dollar Amount of Transactions Effected through Alger LLC |
Value of Transactions |
Commissions |
Small Cap Growth Fund |
$159,512 |
$24,763 |
16% |
17% |
$42,477,246 |
$44,192 |
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Broker Commissions Paid for 2021 |
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Paid to Alger LLC |
Soft Dollar Transactions | |||
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Total Paid by the Fund |
Dollar Amount Paid to Alger LLC |
% of Brokerage Commission Paid to Alger LLC |
% of Brokerage Dollar Amount of Transactions Effected through Alger LLC |
Value of Transactions |
Commissions |
Small Cap Growth Fund |
$319,727 |
$51,412 |
16% |
16% |
$96,306,331 |
$69,974 |
Fund |
Class A |
Class C |
Small Cap Growth Fund |
$622,211 |
$336,389 |
Fund |
Carryforward Amounts |
Small Cap Growth Fund |
$19,004,775 |
Fund |
Class B |
Small Cap Growth Fund |
$58,672 |
Name, (Year of Birth), and Address (1) |
Position(s) Held with the Trust and Length of Time Served |
Principal Occupation(s) During Past Five Years |
Number of Funds in the Alger Fund Complex (3) which are Overseen by Trustee |
Other Directorships Held by Trustee During Past Five Years |
Interested Trustee(2): |
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Hilary M. Alger (1961) |
Trustee since 2003 |
Non-profit Fundraising Consultant since 2015, Schultz & Williams; Emeritus Trustee since 2020 and Trustee from 2013 to 2020, Pennsylvania Ballet; School Committee Member since 2017, Germantown Friends School. |
29 |
Board of Directors, Alger Associates, Inc.; Director of Target Margin Theater |
Non-Interested Trustees: |
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Charles F. Baird, Jr. (1953) |
Trustee since 2000 |
Managing Director of North Castle Partners (private equity securities group). |
29 |
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Roger P. Cheever (1945) |
Trustee since 2000 |
Retired; Associate Vice President for Development Strategy from 2020 to 2021 and Associate Vice President for Principal Gifts from 2008 to 2020, Harvard University. |
29 |
Board of Directors, Alger SICAV Fund |
Stephen E. O’Neil (1932) |
Trustee since 1986 |
Retired. |
29 |
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Name, (Year of Birth), and Address (1) |
Position(s) Held with the Trust and Length of Time Served |
Principal Occupation(s) During Past Five Years |
Number of Funds in the Alger Fund Complex (3) which are Overseen by Trustee |
Other Directorships Held by Trustee During Past Five Years |
David Rosenberg (1962) |
Trustee since 2007 |
Associate Professor of Law since August 2000, Zicklin School of Business, Baruch College, City University of New York. |
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Nathan E. Saint-Amand M.D. (1938) |
Trustee since 1986 |
Medical doctor in private practice since 1970; Member of the Board of the Manhattan Institute (non-profit policy research) since 1988. |
29 |
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Name, (Year of Birth), Position with Trust and Address (1) |
Principal Occupations |
Officer Since |
Officers(2): |
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Hal Liebes (1964) President, Principal Executive Officer |
Executive Vice President, Chief Operating Officer (“COO”) and Secretary, Alger Management; COO and Secretary, Alger Associates, Inc. and Alger Alternative Holdings, LLC; Director, Alger SICAV, Alger International Holdings, and Alger Dynamic Return Offshore Fund; Vice President, COO, Member, and Secretary, Alger Capital, LLC and Alger Group Holdings, LLC; Executive Director and Chairman, Alger Management, Ltd.; Manager and Secretary, Weatherbie Capital, LLC and Alger Apple Real Estate LLC; Manager, Alger Partners Investors I, LLC and Alger Partners Investors KEIGF; Secretary, Alger-Weatherbie Holdings, LLC and Alger Boulder I LLC; and Director and Secretary, The Foundation for Alger Families. |
2005 |
Tina Payne (1974) Secretary, Chief Compliance Officer, Chief Legal Officer |
Since 2017, Senior Vice President, General Counsel, and Chief Compliance Officer (“CCO”), Alger Management; Senior Vice President, General Counsel, and Secretary, Alger LLC; CCO, Alger Management, Ltd.; Assistant Secretary, Weatherbie Capital, LLC and Alger Alternative Holdings, LLC; and since 2019, Assistant Secretary, Alger-Weatherbie Holdings, LLC. Formerly, Senior Vice President and Associate General Counsel, Cohen & Steers Capital Management, from 2007 to 2017. |
2017 |
Michael D. Martins (1965) Treasurer, Principal Financial Officer |
Senior Vice President, Alger Management. |
2005 |
Anthony S. Caputo (1955) Assistant Treasurer |
Vice President, Alger Management. |
2007 |
Sergio M. Pavone (1961) Assistant Treasurer |
Vice President, Alger Management. |
2007 |
Mia G. Pillinger (1989) Assistant Secretary |
Associate Counsel of Alger Management since 2020. Formerly, Associate at Willkie Farr & Gallagher, LLP, from 2016 to 2020. |
2020 |
Sushmita Sahu (1981) AML Compliance Officer |
Vice President, Alger Management. |
2021 |
Name of Person, Position |
Aggregate Compensation from the Trust |
Total Compensation Paid to Trustee from The Alger Fund Complex* |
Charles F. Baird, Jr. |
$72,355 |
$153,000 |
Roger P. Cheever |
$75,665 |
$160,000 |
Stephen E. O’Neil |
$72,355 |
$153,000 |
David Rosenberg |
$66,209 |
$140,000 |
Nathan E. Saint-Amand |
$72,355 |
$153,000 |
Name of Trustee |
Small Cap Growth |
Aggregate Equity Securities of Funds in Alger Fund Complex Overseen by Trustee |
Interested Trustee: |
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Hilary M. Alger |
E |
E |
Independent Trustees: |
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Charles F. Baird, Jr. |
A |
E |
Roger P. Cheever |
A |
E |
Stephen E. O’Neil |
A |
E |
David Rosenberg |
A |
C |
Nathan E. Saint-Amand |
A |
E |
Fund |
2021 |
2020 |
2019 |
Alger Small Cap Growth Fund |
$4,958,536 |
$1,878,223 |
$1,137,105 |
Fund |
2021 |
2020 |
2019 |
Alger Small Cap Growth Fund |
$0 |
$17,370 |
$19,255 |
Fund |
2021 |
2020 |
2019 |
Alger Small Cap Growth Fund |
$168,345 |
$63,767 |
$38,605 |
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Registered Investment Companies |
Other Pooled Investment Vehicles |
Other Accounts | |||
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Dan C. Chung*#± |
14 |
$ 20,487,973,642 |
9 |
$ 2,285,192,691 |
51 |
$ 3,533,780,687 |
Amy Y. Zhangx |
5 |
$ 9,498,101,412 |
2 |
$ 1,154,087,995 |
6 |
$423,998,941 |
Portfolio Manager |
Fund |
Range |
Dan C. Chung |
Small Cap Growth |
E |
Amy Y. Zhang |
Small Cap Growth |
E* |
Fund |
2021 |
2020 |
2019 |
Alger Small Cap Growth Fund |
$79,962 |
$33,516 |
$22,183 |
Exhibit No. |
Description of Exhibit |
(a) |
Articles of Incorporation: |
(a-1) |
Amended and Restated Declaration of Trust for The Alger Funds (“Registrant”), dated September 13, 2012 |
(a-2) |
Amendment to Declaration of Trust, dated May 21, 2013 (Alger International Growth Fund) (Incorporated |
(a-3) |
Amendment to Declaration of Trust, dated August 7, 2015 (Alger Small Cap Focus Fund) (Incorporated by |
(a-4) |
Amendment to Declaration of Trust, dated August 7, 2017 (Alger SMid Cap Focus Fund) (Incorporated by |
(a-5) |
Amendment to Declaration of Trust, dated December 26, 2017 (Alger 25 Fund) (Incorporated by reference 2017) |
(a-6) |
Amendment to Declaration of Trust, dated March 22, 2018 (Alger 35 Fund) (Incorporated by reference to |
(a-7) |
Amendment to Declaration of Trust, dated August 9, 2018 (Alger International Focus Fund) (Incorporated |
(a-8) |
Amendment to Declaration of Trust, dated November 15, 2018 (Alger Mid Cap Focus Fund) (Incorporated |
(a-9) |
Amendment to Declaration of Trust, dated September 24, 2019 (Alger Weatherbie Specialized Growth |
(a-10) |
Amendment to Declaration of Trust, dated December 18, 2020 (Alger Mid Cap Focus Fund) (Incorporated |
(a-11) |
Amendment to Declaration of Trust, dated February 23, 2021 (Alger 25 Fund) (Incorporated by reference 2021) |
(a-12) |
Amendment to Declaration of Trust, dated September 17, 2018 (Alger 35 Fund) (Incorporated by reference |
(a-13) |
Amendment to Declaration of Trust, dated May 7, 2021 (Alger 35 Fund) (Incorporated by reference to Post- |
(a-14) |
Certificate of Termination of the Amended and Restated Certificate of Designation for Alger 25 Fund, dated May 10, 2021 (Incorporated by reference to Post-Effective Amendment No. 1 to the N-14 |
(a-15) |
Amendment to Declaration of Trust, dated May 12, 2021 (Alger Mid Cap Focus Fund) (Incorporated by |
(a-16) |
Amendment to Declaration of Trust, dated September 22, 2021 (Alger Weatherbie Enduring Growth Fund) |
Exhibit No. |
Description of Exhibit |
(a-17) |
Amendment to Declaration of Trust, dated September 22, 2021 (Alger Small Cap Growth Fund) |
(a-18) |
Amendment to Declaration of Trust, dated September 22, 2021 (Alger 35 Fund) (Incorporated by reference 2021) |
(b) |
By-laws: Amended and Restated By-laws of Registrant (Incorporated by reference to Post-Effective |
(c) |
Instruments Defining Rights of Security Holders: See Exhibits (a-1) and (b) |
(d) |
Investment Advisory Contracts: |
(d-1) |
Investment Advisory Agreement between Registrant and Fred Alger Management, LLC (“FAM”), dated |
(d-2) |
Amendment to Investment Advisory Agreement (Alger 25 Fund), dated December 19, 2017 (Incorporated |
(d-3) |
Amendment to Investment Advisory Agreement (Alger 35 Fund), dated March 22, 2018 (Incorporated by |
(d-4) |
Amendment to Investment Advisory Agreement (Alger 25 Fund), dated September 17, 2018 (Incorporated |
(d-5) |
Amendment to Investment Advisory Agreement (Alger 35 Fund), dated September 17, 2018 (Incorporated |
(d-6) |
Amendment to Investment Advisory Agreement, dated September 17, 2019 (Incorporated by reference to 2020) |
(d-7) |
Amendment to Investment Advisory Agreement, dated September 29, 2020 (Incorporated by reference to |
(d-8) |
Amendment to Investment Advisory Agreement including Revised Fee Schedule, dated January 4, 2021 |
(d-9) |
Amendment to Investment Advisory Agreement including Revised Fee Schedule, dated September 22, 2021 |
(d-10) |
Contract to Support Fee Waiver/Expense Reimbursement (Incorporated by reference to Post-Effective |
(d-11) |
Contract to Support Fee Waiver/Expense Reimbursement (Alger 35 Fund) (Incorporated by reference to 2021) |
(d-12) |
Form of Sub-Advisory Agreement between FAM and Weatherbie Capital, LLC (Incorporated by reference |
(d-13) |
Amendment to Sub-Advisory Agreement, dated September 29, 2020 (Incorporated by reference to Post- |
(d-14) |
Amendment to Sub-Advisory Agreement, dated September 22, 2021 (Incorporated by reference to Post- |
(e) |
Underwriting Contracts: |
Exhibit No. |
Description of Exhibit |
(e-1) |
Amended and Restated Distribution Agreement between Registrant and Fred Alger & Company, LLC, |
(e-2) |
Amendment to Distribution Agreement, dated September 29, 2020 (Incorporated by reference to Post- |
(f) |
Bonus or Profit Sharing Contracts: Not applicable. |
(g) |
Custodian Agreements: |
(g-1) |
Custodian Agreement between Registrant and Brown Brothers Harriman & Co. (“BBH”), dated February |
(g-2) |
Amendment to Custodian Agreement, dated January 6, 2017 (Incorporated by reference to Post-Effective |
(g-3) |
Amendment to Custodian Agreement, dated November 15, 2017 (Incorporated by reference to Post- |
(g-4) |
Amendment to Custodian Agreement, dated December 20, 2017 (Incorporated by reference to Post- |
(g-5) |
Amendment to Custodian Agreement, dated October 15, 2018 (Incorporated by reference to Post-Effective |
(g-6) |
Amendment to Custodian Agreement, dated January 4, 2021 (Incorporated by reference to Post-Effective |
(g-7) |
Amendment to Custodian Agreement, dated December 7, 2021 (Incorporated by reference to Post-Effective |
(h) |
Other Material Contracts: |
(h-1) |
Shareholder Administrative Services Agreement among FAM, Registrant, et. al. effective February 28, 2005 |
(h-2) |
Amendment No. 1 to Shareholder Administrative Services Agreement, effective June 30, 2007 |
(h-3) |
Amendment No. 2 to Shareholder Administrative Services Agreement, effective June 30, 2010 |
(h-4) |
Amendment No. 3 to Shareholder Administrative Services Agreement, effective Dec. 29, 2010 |
(h-5) |
Amendment No. 4 to Shareholder Administrative Services Agreement, effective August 1, 2016 |
(h-6) |
Amendment No. 5 to Shareholder Administrative Services Agreement, effective December 28, 2017 |
(h-7) |
Amendment No. 6 to Shareholder Administrative Services Agreement, effective September 29, 2020 |
(h-8) |
Amendment No. 7 to Shareholder Administrative Services Agreement, effective September 22, 2021 |
(h-9) |
Transfer Agency Agreement Between Certain Investment Companies Managed by FAM (including Registrant) and UMB Fund Services, Inc., dated October 5, 2019 (Incorporated by reference to Post- |
Exhibit No. |
Description of Exhibit |
(h-10) |
Amendment to Transfer Agency Agreement, dated October 1, 2021 (Incorporated by reference to Post- |
(h-11) |
Fund Administration Agreement between FAM and Registrant, dated September 22, 2021 (Incorporated by |
(h-12) |
Accounting Agency Agreement between Registrant and BBH, dated February 29, 2008 (Incorporated by |
(h-13) |
Amendment to the Accounting Agency Agreement between Registrant and BBH, dated June 1, 2009 |
(h-14) |
Amendment to the Accounting Agency Agreement between Registrant and BBH, dated October 24, 2011 |
(h-15) |
Amendment to the Accounting Agency Agreement between Registrant and BBH, dated January 6, 2017 |
(h-16) |
Amendment to the Accounting Agency Agreement between Registrant and BBH, dated August 17, 2017 |
(h-17) |
Amendment to the Accounting Agency Agreement between Registrant and BBH, dated June 1, 2018 |
(h-18) |
Amendment to the Accounting Agency Agreement between Registrant and BBH, dated October 15, 2018 |
(h-19) |
Amendment to the Accounting Agency Agreement between Registrant and BBH, dated December 7, 2021 |
(i) |
Legal Opinions: |
(i-1) |
Opinion of Sullivan & Worcester (Alger 25 Fund) (Incorporated by reference to Post-Effective Amendment |
(i-2) |
Opinion of Sullivan & Worcester (Alger 35 Fund) (Incorporated by reference to Post-Effective Amendment |
(i-3) |
Opinion of Sullivan & Worcester (Alger Mid Cap Focus Fund) (Incorporated by reference to Post-Effective |
(i-4) |
Opinion of Sullivan & Worcester (Alger Mid Cap Focus Fund, Class Y) (Incorporated by reference to Post- |
(i-5) |
Opinion of Sullivan & Worcester (Alger Mid Cap Focus Fund, Class A and Class C) (Incorporated by |
(i-6) |
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(j) |
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(k) |
Omitted Financial Statements: Not applicable. |
(l) |
Initial Capital Agreements: |
(l-1) |
Purchase Agreement for Alger Balanced Portfolio EDGAR 6/2/97 (Incorporated by reference to Post- Effective Amendment No. 8 to the Statement, filed with the SEC on April 3, 1992) |
(l-2) |
Purchase Agreement for Alger MidCap Growth Portfolio EDGAR 6/2/97 (Incorporated by reference to Post-Effective Amendment No. 10 to the Registration Statement, filed with the SEC on March 24, 1993) |
(l-3) |
Purchase Agreement for Alger Leveraged AllCap Portfolio EDGAR 6/2/97 (Incorporated by reference to Post-Effective Amendment No. 12 to the Registration Statement, filed with the SEC on October 29, 1993) |
Exhibit No. |
Description of Exhibit |
(l-4) |
Purchase Agreement for Alger Small Capitalization Portfolio (Form of) EDGAR 6/2/97 (Incorporated by reference to Post-Effective Amendment No. 26 to the Registration Statement, filed with the SEC on February 25, 1998) |
(l-5) |
Purchase Agreement for Alger Growth Portfolio (Form of) EDGAR 6/2/97 (Incorporated by reference to Post-Effective Amendment No. 26 to the Registration Statement, filed with the SEC on February 25, 1998) |
(l-6) |
Purchase Agreement for Alger 25 Fund, dated December 28, 2017 (Incorporated by reference to Post- |
(l-7) |
Purchase Agreement for Alger 35 Fund, dated March 28, 2018 (Incorporated by reference to Post-Effective |
(l-8) |
Purchase Agreement for Alger Mid Cap Focus Fund, dated December 28, 2018 (Incorporated by reference |
(m) |
Rule 12b-1 Plan: |
(m-1) |
Class A Distribution Plan, dated September 22, 2021 (Incorporated by reference to Post-Effective |
(m-2) |
Class B Distribution Plan, dated September 29, 2020 (Incorporated by reference to Post-Effective |
(m-3) |
Class C Distribution Plan, dated September 22, 2021 (Incorporated by reference to Post-Effective |
(m-4) |
Class I Distribution Plan, dated September 22, 2021 (Incorporated by reference to Post-Effective |
(n) |
Rule 18f-3 Plan: Rule 18f-3 Multiple Class Plan, dated September 22, 2021 (Incorporated by reference to 2021) |
(o) |
Reserved. |
(p) |
Codes of Ethics: Amended and Restated Code of Ethics (Incorporated by reference to Post-Effective |
(q) |
Powers of Attorney: Powers of Attorney executed by Hal Liebes, Michael D. Martins, Hilary M. Alger, Charles F. Baird, Jr., Roger P. Cheever, Stephen E. O’Neil, David Rosenberg and Nathan E. Saint-Amand, |
101.INS |
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XBRL Taxonomy Extension Schema |
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XBRL Taxomony Extension Calculation Linkbase |
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XBRL Taxomony Extension Definition Linkbase |
101.LAB |
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XBRL Taxonomy Extension Presentation Linkbase |
NAME AND POSITION WITH ALGER MANAGEMENT |
OTHER SUBSTANTIAL BUSINESS, PROFESSION OR VOCATION |
Daniel C. Chung Chairman, President and Chief Executive Officer |
President and Chief Executive Officer, Alger Associates, Inc., Alger Capital, LLC, Alger Group Holdings, LLC, Alger Apple Real Estate, LLC and Alger Boulder I LLC; Manager, Weatherbie Capital, LLC; Director, Alger Management, Ltd. and Alger SICAV; Director and Chairman, Alger International Holdings; President, Chief Executive Officer and Manager, Alger Alternative Holdings, LLC; Chairman, President and Manager, Alger- Weatherbie Holdings, LLC; President and Director, The Foundation for Alger Families |
Robert Kincel Chief Financial Officer, Senior Vice President and Treasurer |
Chief Financial Officer and Treasurer, Alger Associates, Inc.; Chief Financial Officer, Treasurer and Senior Vice President, Fred Alger & Company, LLC; Treasurer and Manager, Weatherbie Capital, LLC and Alger-Weatherbie Holdings, LLC; Director, Alger International Holdings; Chief Financial Officer, Treasurer and Manager, Alger Alternative Holdings, LLC; Chief Financial Officer, Treasurer and Vice President, Alger Capital, LLC and Alger Group Holdings, LLC; Treasurer, Alger Apple Real Estate, LLC and Alger Boulder I LLC; Treasurer and Director, The Foundation for Alger Families; Authorized Signer, Alger Management, Ltd. |
Hal Liebes Executive Vice President, Chief Operating Officer and Secretary |
Chief Operating Officer and Secretary, Alger Associates, Inc.; Chief Operating Officer, Secretary and Manager, Alger Alternative Holdings, LLC; Director, Alger SICAV, Alger International Holdings, and Alger Dynamic Return Offshore Fund; Vice President, Chief Operating Officer, Managing Member, and Secretary, Alger Capital, LLC and Alger Group Holdings, LLC; Executive Director and Chairman, Alger Management, Ltd.; Manager and Secretary, Weatherbie Capital, LLC and Alger Apple Real Estate LLC; Manager, Alger Partners Investors I, LLC, Alger-Weatherbie Holdings, LLC and Alger Partners Investors KEIGF; Secretary, Alger Boulder I LLC; Director and Secretary, The Foundation for Alger Families; Managing Member, Fred Alger & Company, LLC |
Tina Payne Senior Vice President, General Counsel, Chief Compliance Officer |
Senior Vice President, General Counsel, and Secretary, Fred Alger & Company, LLC; Chief Compliance Officer, Alger Management, Ltd.; Assistant Secretary, Weatherbie Capital, LLC, Alger Alternative Holdings, LLC and Alger- Weatherbie Holdings, LLC; Vice President and Assistant Secretary, Alger Group Holdings, LLC |
(a) |
Fred Alger & Company, LLC (“Alger LLC”) acts as principal underwriter for Registrant, The Alger Institutional Funds, The Alger Portfolios, The Alger Funds II, Alger Global Focus Fund, and The Alger ETF Trust. |
(b) |
Alger LLC is a Delaware limited liability company located at 100 Pearl Street, 27th Floor, New York, New York 10004. The following is a list of the directors and officers of Alger LLC: |
NAME |
POSITION(s) AND OFFICE(S) WITH ALGER LLC |
POSITION(s) AND OFFICE(S) WITH REGISTRANT |
Darryl Ah Now |
Senior Vice President |
None |
Antoine Allen |
Assistant Vice President |
None |
Scott Anderson |
Senior Vice President |
None |
Alex Bernstein |
Senior Vice President |
None |
Donald Best Jr. |
Vice President |
None |
Anthony Caputo |
Vice President |
Assistant Treasurer |
John Carbone |
Senior Vice President |
None |
Natalie Cardona |
Assistant Vice President |
None |
Elizabeth Carey |
Senior Vice President |
None |
Josephine Carey |
Vice President |
None |
Peter Chang |
Vice President |
None |
Joo Chia |
Assistant Vice President |
None |
Kevin Collins |
Senior Vice President |
None |
Brian Costello |
Senior Vice President |
None |
Ryan Craig |
Vice President |
None |
John Dashtara |
Senior Vice President |
None |
Edward Doyle |
Senior Vice President |
None |
Joanne Dwyer |
Assistant Vice President |
None |
John Fennessy |
Vice President |
None |
Elizabeth Flanders |
Vice President |
None |
Jonathan Foster |
Senior Vice President |
None |
Victor Frazier |
Vice President |
None |
David Friedman |
Senior Vice President |
None |
Matthew Galvin |
Vice President |
None |
Nicholas Generale |
Vice President |
None |
Matthew Goldberg |
Senior Vice President |
None |
Rona Hakaj |
Assistant Vice President |
None |
Chad Harding |
Vice President |
None |
Andrew Harrington |
Assistant Vice President |
None |
Ivana Hayblum |
Assistant Vice President |
None |
Dennis Hearns |
Senior Vice President |
None |
Christopher Hine |
Assistant Vice President |
None |
William Huang |
Vice President |
None |
Frank Iacovano |
Assistant Vice President |
None |
Stacia Ikpe |
Vice President |
None |
Sean Jacobus |
Vice President |
None |
Robert Kerr |
Vice President |
None |
Daniel Kilpatrick |
Vice President |
None |
Robert Kincel |
Senior Vice President |
None |
Alan Kirby |
Senior Vice President |
None |
Jennifer Lecowitch |
Vice President |
None |
Aaron Lee |
Vice President |
None |
Thomas Leswing |
Assistant Vice President |
None |
NAME |
POSITION(s) AND OFFICE(S) WITH ALGER LLC |
POSITION(s) AND OFFICE(S) WITH REGISTRANT |
David Lewis |
Vice President |
None |
Hal Liebes |
Executive Vice President |
President, Principal Executive Officer |
Jacob Lilie |
Senior Vice President |
None |
Chris Lin |
Vice President |
None |
Chad Mackelprang |
Assistant Vice President |
None |
Barbara Mackey |
Assistant Vice President |
None |
Roman Magiera |
Assistant Vice President |
None |
Sharudh Majid |
Assistant Vice President |
None |
Shana Mandel |
Vice President |
None |
Robert Marks |
Vice President |
None |
Michael Martins |
Senior Vice President |
Treasurer, Principal Financial Officer |
Edwin Peter Moor |
Vice President |
None |
Nicholas Morrello |
Assistant Vice President |
None |
Michael Nelson |
Vice President |
None |
Brad Neuman |
Senior Vice President |
None |
Arthur Nowak |
Vice President |
None |
Udoka Nwogugu |
Vice President |
None |
Shannon O'Connor |
Vice President |
None |
Robert O'Dell |
Vice President |
None |
Sergio Pavone |
Vice President |
Assistant Treasurer |
Tina Payne |
Senior Vice President |
Secretary, Chief Compliance Officer, Chief Legal Officer |
May Poon |
Senior Vice President |
None |
Jessie Quick |
Vice President |
None |
Margaret Revell |
Assistant Vice President |
None |
Jacquelyn Rizzo |
Assistant Vice President |
None |
Ryan Rodgers |
Vice President |
None |
Sushmita Sahu |
Vice President |
AML Compliance Officer |
Matthew Scanlon |
Vice President |
None |
Katharine Schupp |
Senior Vice President |
None |
Jeanne Sdroulas |
Senior Vice President |
None |
Jason Smilowitz |
Vice President |
None |
Joseph Spano |
Vice President |
None |
Zenon Staniek |
Assistant Vice President |
None |
Joseph Stein |
Vice President |
None |
John Strouse |
Vice President |
None |
Stephanie Thumm |
Assistant Vice President |
None |
William Toomey |
Vice President |
None |
Christie Tully |
Senior Vice President |
None |
Louise Ulitto |
Assistant Vice President |
None |
Jeffrey Vigilante |
Vice President |
None |
NAME |
POSITION(s) AND OFFICE(S) WITH ALGER LLC |
POSITION(s) AND OFFICE(S) WITH REGISTRANT |
Mark Werner |
Vice President |
None |
David Zappone |
Vice President |
None |
(c) |
Not applicable. |
|
THE ALGER FUNDS | |
|
By: |
/s/ Hal Liebes |
|
|
Hal Liebes, President |
ATTEST: |
/s/ Tina Payne |
|
|
Tina Payne, Secretary |
|
Signature |
Title |
Date |
/s/ Hal Liebes |
President (Principal Executive Officer) |
December 30, 2021 |
Hal Liebes | ||
/s/ Michael D. Martins |
Treasurer (Principal Financial Officer) |
December 30, 2021 |
Michael D. Martins | ||
* |
Trustee |
December 30, 2021 |
Charles F. Baird | ||
* |
Trustee |
December 30, 2021 |
Roger P. Cheever | ||
* |
Trustee |
December 30, 2021 |
Hilary M. Alger | ||
* |
Trustee |
December 30, 2021 |
David Rosenberg | ||
* |
Trustee |
December 30, 2021 |
Nathan E. Saint-Amand | ||
* |
Trustee |
December 30, 2021 |
Stephen E. O’Neil |
*By: |
/s/ Hal Liebes |
|
|
Hal Liebes Attorney-In-Fact |
|