As filed with the Securities and Exchange Commission on November 14, 2012
1933 Act Registration No. 33-37928; 1940 Act Registration No. 811-6259
FORM N-1A
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
REGISTRATION STATEMENT
UNDER
THE SECURITIES ACT OF 1933 | x | |||
Pre-Effective Amendment No. | ¨ | |||
Post-Effective Amendment No. 37 | x |
and/or
REGISTRATION STATEMENT
UNDER
THE INVESTMENT COMPANY ACT OF 1940
Amendment No. 38 | x |
STRATUS FUND, INC.
(Exact Name of Registrant as Specified in Charter)
P.O. Box 82535
Lincoln, Nebraska 68501-2535
(Address of Principal Executive Offices)
(888) 769-2362
(Registrants Telephone Number, including Area Code)
Jon C. Gross
Stratus Fund, Inc.
P.O. Box 82535
Lincoln, Nebraska 68501-2535
(Name and Address of Agent for Service)
Copies of all communications to:
Paul W. Scott
Ballard Spahr LLP
1225 17th Street, Suite 2300
Denver, Colorado 80202
Approximate Date of Proposed Public Offering: As soon as practicable after the Registration Statement becomes effective.
It is proposed that this filing will become effective (check appropriate box)
x | immediately upon filing pursuant to paragraph (b) |
¨ | on (date) pursuant to paragraph (b) |
¨ | 60 days after filing pursuant to paragraph (a)(i) |
¨ | on (date) pursuant to paragraph (a)(i) |
¨ | 75 days after filing pursuant to paragraph (a)(ii) |
¨ | on (date) pursuant to paragraph (a)(ii) 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. |
SIGNATURES
Pursuant to the requirements of the Securities Act and the Investment Company Act, the Fund certifies that it meets all of the requirements for effectiveness of this registration statement under Rule 485(b) under the Securities Act and has duly caused this registration statement to be signed on its behalf by the undersigned, duly authorized, in the City of Lincoln, State of Nebraska, on the 14th day of November 2012.
STRATUS FUND, INC. | ||
By: | /s/ Jon C. Gross | |
Jon C. Gross, President |
Pursuant to the requirements of the Securities Act, this registration statement has been signed below by the following persons in the capacities and on the date indicated.
Signature |
Title |
Date | ||||||
By: | /s/ Jon C. Gross Jon C. Gross |
Director, President (principal executive officer) | November 14, 2012 | |||||
By: | /s/ Jeffrey Jewell Jeffrey Jewell |
Vice President, Chief Financial Officer and Treasurer (principal financial officer and principal accounting officer) | November 14, 2012 | |||||
By: |
/s/ Dr. Paul Hoff Dr. Paul Hoff |
Director | November 14, 2012 | |||||
By: |
/s/ Edson L. Bridges III Edson L. Bridges III |
Director | November 14, 2012 | |||||
By: |
/s/ Thomas C. Smith Thomas C. Smith |
Director | November 1, 2012 | |||||
By: |
/s/ James DeMars James DeMars |
Director | November 14, 2012 |
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EXHIBIT INDEX
XBRL | Instance Document | EX-101.INS | ||
XBRL | Taxonomy Extention Schema Document | EX-101.SCH | ||
XBRL | Taxonomy Extention Definition Linkbase Document | EX-101.DEF | ||
XBRL | Taxonomy Extention Labels Linkbase Document | EX-101.LAB | ||
XBRL | Taxonomy Extention Presentation Linkbase Document | EX-101.PRE |
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Retail Class A Shares | Stratus Growth Portfolio | ||||||||||||||||||||
Fund Summary Stratus Growth Portfolio | ||||||||||||||||||||
Investment Objective | ||||||||||||||||||||
The Growth Portfolio seeks capital appreciation and income. | ||||||||||||||||||||
Fees and Expenses of the Portfolio | ||||||||||||||||||||
This table describes the fees and expenses that you may pay if you buy and hold shares of the Growth Portfolio: | ||||||||||||||||||||
Shareholder Fees (fees paid directly from your investment) | ||||||||||||||||||||
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Annual Fund Operating Expenses (expenses that you pay each year as a percentage of your investment) | ||||||||||||||||||||
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Example | ||||||||||||||||||||
The following Example is intended to help you compare the cost of an investment in the Growth Portfolio with the cost of investing in other mutual funds. The Example assumes that you invest $10,000 in the Portfolio for the time periods indicated and then redeem all of your shares at the end of those periods. The Example also assumes that your investment has a 5% return each year and that the Portfolios operating expenses remain the same. Although your actual costs may be higher or lower, based on these assumptions your costs would be: |
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Portfolio Turnover | ||||||||||||||||||||
The Growth Portfolio pays transaction costs, such as commissions, when it buys and sells securities (or turns over its portfolio). A higher portfolio turnover rate may indicate higher transaction costs and may result in higher taxes when shares of the portfolio are held in a taxable account. These costs, which are not reflected in annual fund operating expenses or in the example, affect the Portfolios performance. During the most recent fiscal year, the Portfolios turnover rate was 20.22 % of the average value of the Portfolio. | ||||||||||||||||||||
Principal Investment Strategies | ||||||||||||||||||||
The principal investment strategies for the Growth Portfolio include:
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Principal Investment Risks | ||||||||||||||||||||
The Growth Portfolio is subject to the following principal investment risks any one of which could cause you to lose money:
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Performance | ||||||||||||||||||||
The following information provides some indication of the risks of investing in the Growth Portfolio by showing changes in the Portfolios performance from year to year and by showing how the Portfolios average returns for 1, 5 and 10 years compared with those of a broad measure of market performance. Returns are based on past results (before and after taxes) and are not an indication of future performance. Sales charges are not included in the calculation of the returns shown in the bar chart below, and if they were included, the returns would be less than those shown. | ||||||||||||||||||||
During the periods shown in the chart for the Growth Portfolio, the highest return for a quarter was 13.76% (quarter ending September 30, 2009) and the lowest return for a quarter was 20.39% (quarter ending December 31, 2008). The year-to-date return as of June 30, 2012 for the Growth Portfolio was 8.44 %. |
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(For the periods ended December 31, 2011 ) |
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The after-tax returns are calculated using the historical highest individual federal marginal income tax rates and do not reflect the impact of state and local taxes. Actual after-tax returns depend on an investors tax situation and may differ from those shown. After-tax returns shown are not relevant to investors who hold their shares through tax-deferred arrangements such as 401(k) plans or individual retirement accounts. |