-----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, Lk7Nhu6NjB+rLlTnLwMHitb6/xO1zAaRDOdjZoKLZseUjXZZ6HlmhEeBXq+GMpXA UM/MtmaArwqN2CA/R65LvA== 0001017918-07-000069.txt : 20070301 0001017918-07-000069.hdr.sgml : 20070301 20070228210540 ACCESSION NUMBER: 0001017918-07-000069 CONFORMED SUBMISSION TYPE: 40-17G PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20070301 DATE AS OF CHANGE: 20070228 EFFECTIVENESS DATE: 20070301 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BARON SELECT FUNDS CENTRAL INDEX KEY: 0001217673 IRS NUMBER: 161651307 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-21296 FILM NUMBER: 07660208 BUSINESS ADDRESS: STREET 1: 767 FIFTH AVE STREET 2: 49TH FL CITY: NEW YORK STATE: NY ZIP: 10153 BUSINESS PHONE: 2125832000 MAIL ADDRESS: STREET 1: 767 FIFTH AVE STREET 2: 49TH FL CITY: NEW YORK STATE: NY ZIP: 10153 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BARON CAPITAL FUNDS TRUST CENTRAL INDEX KEY: 0001050084 IRS NUMBER: 133976468 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-08505 FILM NUMBER: 07660209 BUSINESS ADDRESS: STREET 1: 767 FIFTH AVE STREET 2: 49TH FL CITY: NEW YORK STATE: NY ZIP: 10153 BUSINESS PHONE: 2125832000 MAIL ADDRESS: STREET 1: 767 FIFTH AVE STREET 2: 49TH FL CITY: NEW YORK STATE: NY ZIP: 10153 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BARON INVESTMENT FUNDS TRUST (f/k/a BARON ASSET FUND) CENTRAL INDEX KEY: 0000810902 IRS NUMBER: 136891420 STATE OF INCORPORATION: MA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 40-17G SEC ACT: 1940 Act SEC FILE NUMBER: 811-05032 FILM NUMBER: 07660210 BUSINESS ADDRESS: STREET 1: 767 FIFTH AVE STREET 2: 49TH FL CITY: NEW YORK STATE: NY ZIP: 10153 BUSINESS PHONE: 2125832000 MAIL ADDRESS: STREET 1: 767 FIFTH AVE STREET 2: 49TH FL CITY: NEW YORK STATE: NY ZIP: 10153 FORMER COMPANY: FORMER CONFORMED NAME: BARON ASSET FUND DATE OF NAME CHANGE: 19920703 40-17G 1 rmicbond07.txt RMIC DECLARATION AND ENDORSEMENT PAGES Chubb Group of Insurance Companies DECLARATIONS FINANCIAL INSTITUTION INVESTMENT 15 Mountain View Road, COMPANY ASSET PROTECTION BOND Warren, New Jersey 07059 - -------------------------------------------------------------------------------- NAME OF ASSURED (including its Subsidiaries): Bond Number: 81522394 BARON INVESTMENT FUNDS TRUST, ET AL. VIGILANT INSURANCE COMPANY Incorporated under the laws of 767 Fifth Avenue New York a stock insurance New York, NY 10153 company herein called the New York, NY 10153 COMPANY 55 Water Street New York NY 10041-2899 - -------------------------------------------------------------------------------- ITEM 1. BOND PERIOD: from 12:01 a.m. on January 15, 2007 to 12:01 a.m. on January 15, 2008 ITEM 2. LIMITS OF LIABILITY--DEDUCTIBLE AMOUNTS: If "Not Covered" is inserted below opposite any specified INSURING CLAUSE, such INSURING CLAUSE and any other reference shall be deemed to be deleted. There shall be no deductible applicable to any loss under INSURING CLAUSE 1. sustained by any Investment Company. DEDUCTIBLE INSURING CLAUSE LIMIT OF LIABILITY AMOUNT 1. Employee $ 6,000,000. $ 0. 2. On Premises $ 6,000,000. $ 25,000. 3. In Transit $ 6,000,000. $ 25,000. 4. Forgery or Alteration $ 6,000,000. $ 25,000. 5. Extended Forgery $ 6,000,000. $ 25,000. 6. Counterfeit Money $ 6,000,000. $ 25,000. 7. Threats to Person $ 6,000,000. $ 25,000. 8. Computer System $ 6,000,000. $ 25,000. 9. Voice Initiated Funds Transfer Instruction $ 6,000,000. $ 25,000. 10. Uncollectible Items of Deposit $ 500,000. $ 25,000. 11. Audit Expense $ 25,000. $ 0. 12. Telefacsimile Instruction Fraud $ 500,000. $ 25,000. 13. Extended Computer Systems Coverage $ 500,000. $ 25,000. 14. Unauthorized Signature Coverage $ 25,000. $ 10,000. ITEM 3. THE LIABILITY OF THE COMPANY IS ALSO SUBJECT TO THE TERMS OF THE FOLLOWING ENDORSEMENTS EXECUTED SIMULTANEOUSLY HEREWITH: Endorsement Nos.: 1 - 7 IN WITNESS WHEREOF, THE COMPANY has caused this Bond to be signed by its authorized officers, but it shall not be valid unless also signed by an authorized representative of the Company. /s/ W. Andrew Macan /s/ Thomas F. Motomed - ------------------- ----------------------- Secretary President Countersigned by_________ /s/ Robert Hamburger -------------------------- Authorized Representative - -------------------------------------------------------------------------------- ICAP Bond (5-98) - Vigilant Form 17-02-1422 (Ed. 5-98) Page 1 of 1 - -------------------------------------------------------------------------------- VIGILANT INSURANCE COMPANY Endorsement No: 6 Bond Number: 81522394 NAME OF ASSURED: BARON INVESTMENT FUNDS TRUST, ET AL. - -------------------------------------------------------------------------------- NAME OF ASSURED ENDORSEMENT It is agreed that the NAME OF ASSURED in the DECLARATIONS is amended to read as follows: Baron Investment Funds Trust (F/K/A Baron Asset Fund) Baron Asset Fund Baron Growth Fund Baron Small Cap Fund Baron iOpportunity Fund Baron Fifth Avenue Growth Fund Baron Capital Funds Trust Baron Capital Asset Fund Baron Select Funds Baron Partners Fund Baron USA Small Cap Growth Fund Baron USA Large Cap Growth Fund This Endorsement applies to loss discovered after 12:01 a.m. on January 15, 2007. ALL OTHER TERMS AND CONDITIONS OF THIS BOND REMAIN UNCHANGED. Date: January 22, 2007 By /s/ Robert Hamburger --------------------- Authorized Representative ICAP Bond Form 17-02-0949 (Ed. 1-97) Page 1 EX-99 3 rmicseccert.txt SECRETARY'S CERTIFICATE [Registered Logo] B A R O N F U N D S SECRETARY'S CERTIFICATE ----------------------- I, Linda S. Martinson, Secretary of Baron Investment Funds Trust and all series thereof, Baron Capital Funds Trust and all series thereof, and Baron Select Funds and all series thereof (collectively the "Trusts"), organized under the laws of the Commonwealth of Massachusetts, and the laws of the State of Delaware, respectively, do hereby certify that the following is a true copy of resolutions duly adopted by the Board of Trustees of Baron Investment Funds Trust, Baron Capital Funds Trust, and Baron Select Funds, at meetings held the 6th day of November, 2006, and the 20th day of February 2007, both at which a quorum was present and voting, and that the same has not been repealed or amended, and remains in full force effect and does not conflict with the by-laws of said Trusts. RESOLVED, that the bond required pursuant to Rule 17g-1 under the Investment Company Act be renewed and that all steps to effectuate the renewal and the filing of the bond with the SEC as required be taken; RESOLVED, that the premium on such bond and the allocation thereof among the jointly insured parties is hereby approved. RESOLVED, that the additional premium to the additional limits to such bond and the allocation thereof among the jointly insured parties is hereby approved. Date: February 28, 2007 /s/ Linda S. Martinson ---------------------------- Linda S. Martinson President, Chief Operating Officer, Secretary and General Counsel EX-99 4 jointinsured.txt JOINT INSURED AGREEMENT JOINT INSURED AGREEMENT This Agreement, as of November 6, 2006, is among all parties named as an insured in a joint insurance bond entered into pursuant to Sec. 17(g) of the Investment Company Act of 1940, as amended. The parties hereto agree that in the event recovery is received under the aforesaid bond as a result of a loss sustained by the registered management investment company and one or more other named insureds, the registered management investment company shall receive an equitable and proportionate share of the recovery, but at least equal to the amount which it would have received had it provided and maintained a single insured bond with the minimum coverage required. Baron Investment Funds Trust and all series thereof By: /s/ Linda S. Martinson ---------------------- Baron Capital Funds Trust and all series thereof By: /s/ Peggy Wong -------------- Baron Select Funds and all series thereof By: /s/ Ronald Baron ---------------- -----END PRIVACY-ENHANCED MESSAGE-----