-----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, BNJ3ee3FIQ4vgMuQkQiplQ3LBe5JES066dixu8z3O8pA+nnYXvvC5Dq/c3sYFmiL P4VKchJD4gqmjLZTwxLq6g== 0000950123-96-006940.txt : 19961125 0000950123-96-006940.hdr.sgml : 19961125 ACCESSION NUMBER: 0000950123-96-006940 CONFORMED SUBMISSION TYPE: 24F-2NT PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19960930 FILED AS OF DATE: 19961122 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: WESTWOOD FUNDS CENTRAL INDEX KEY: 0000796229 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133625130 STATE OF INCORPORATION: MD FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 24F-2NT SEC ACT: 1933 Act SEC FILE NUMBER: 033-06790 FILM NUMBER: 96671097 BUSINESS ADDRESS: STREET 1: C/O FURMAN SELZ STREET 2: 237 PARK AVE 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2128083942 MAIL ADDRESS: STREET 1: C/O FURMAN SELZ STREET 2: 237 PARK AVENUE 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: MARQUIS FUND DATE OF NAME CHANGE: 19861228 24F-2NT 1 24F-2NT 1 U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 APPENDIX I FORM 24f-2 ANNUAL NOTICE OF SECURITIES SOLD PURSUANT TO RULE 24f-2 1. Name and address of issuer: Westwood Funds 237 Park Avenue 9th Fl. New York NY 10017 2. Name of each series or class of funds for which this notice is filed: Westwood Equity Fund Westwood Intermediate Bond Westwood Balanced Fund 3. Investment Company Act File Number: 811-4719 Securities Act File Number: 33-6790 4. Last day of fiscal year for which this notice is filed: Sept. 30, 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 has 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:
SHARES SALE PRICE 749,589 $7,795,246
8. Number and amount of securities registered during the fiscal year other than pursuant to Rule 24f-2: 9. Number and aggregate sale price of securities sold during the fiscal year:
SHARES SALE PRICE Westwood Equity Fund 2,059,915 14,864,911 Westwood Intermediate Bond 184,406 1,825,411 Westwood Balanced Fund 2,316,371 21,485,775 --------- ----------- total 4,560,692 38,176,097
10. Number and aggregate sale price of securities sold during the fiscal year in reliance upon registration pursuant to Rule 24f-2:
SHARES SALE PRICE Westwood Equity Fund 1,928,146 13,595,975 Westwood Intermediate Bond 0 0 Westwood Balanced Fund 1,913,476 17,150,625 --------- ----------- total 3,841,622 30,746,600
2 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):
SHARES SALE PRICE Westwood Equity Fund 205,146 1,333,470 Westwood Intermediate Bond 18,608 184,446 Westwood Balanced Fund 84,337 777,577 --------- ----------- total 308,091 2,295,493
12. Calculation of registration fees: (i) Aggregate sale price of securities sold during the fiscal year in reliance on 24f-2 (from item 10): $ 30,746,600 (ii) Aggregate price of shares issued in connection with dividend reinvestment plans (from item 11, if applicable): + 2,295,493 (iii) Aggregate price of shares redeemed or repurchased during the fiscal year: - 10,140,198 (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 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): 22,901,895 ------------ (vi) Multiplier prescribed by Section 6(b) of the Securities Act of 1933 or other applicable law or regulation (see instruction C.6): x 0.00030303 (vii) Fee due [line (i) or line (v) multiplied by $ 6,939.96 line (vi)]: =============
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 (17CFR 202.3A). [ ] 13. Date for mailing or wire transfer of filing fees to the Commission's lockbox directory: This report has been signed below by the following persons on behalf of the issuer and in the capacities and on the date indicated. By (Signature and Title) SIGNATURES /s/ Sheryl Hirschfeld ------------------------- November 13, 1996 Sheryl Hirschfeld Assistant Secretary EX-99 2 OPINION 1 [BAKER & McKENZIE LETTERHEAD] November 15, 1996 Westwood Funds One Corporate Center Rye, New York 10580 Dear Sirs: We refer to the Rule 24f-2 Notice (the "Rule 24f-2 Notice"), with respect to Post-Effective Amendment No. 13 (the "Post-Effective Amendment") to the Registration Statement on Form N-1A relating to the shares of beneficial interest, par value $.001 per share, of Westwood Funds, a Massachusetts business trust (the "Trust"). The Post-Effective Amendment registered an indefinite number of shares of beneficial interest of the Trust pursuant to Rule 24f-2 under the Investment Company Act of 1940, as amended. The Rule 24f-2 Notice makes definite the number of shares of beneficial interest of the Trust sold during the Trust's fiscal year ended September 30, 1996 that were so registered under the Post-Effective Amendment. We have examined and relied upon copies of the Post- Effective Amendment and the Rule 24f-2 Notice and have examined and relied upon originals, or copies certified to our satisfaction, of such corporate records, documents, certificates and other instruments as in our judgment are necessary or appropriate to enable us to render the opinion set forth below. Based on the foregoing, we are of the opinion that the shares of beneficial interest of the Trust, the registration of 2 Westwood Funds November 15, 1996 Page 2 which the Rule 24f-2 Notice makes definite in number, were duly authorized, legally issued, fully paid and nonassessable. We hereby consent to the use of this opinion in connection with the filing of the Rule 24f-2 Notice. In giving such consent, we do not thereby admit that we come within the category of persons whose consent is required under section 7 of the Securities Act of 1933, as amended, or the rules and regulations of the Securities and Exchange Commission thereunder. Very truly yours, /s/ Baker & McKenzie -------------------------- -----END PRIVACY-ENHANCED MESSAGE-----