Job
Name: XP3312I Print Date and Time: 09/05/08 08:31 File Number: O617O
Business
Center/ Original Business Unit: Policy Number: 469BD1910 Name of insured:
Hartford Series Fund, Inc. Agency Number: 0602431 Department or
Expense Center: 001 Underwriter: 1399322 Underwriting Team: Data Entry Person:
MORGAN, KATHERINE Date and Time: 09/05/08 10:27 001
Special Instructions
Policy
Commencement Date: 08/19/08 THIS POLICY CONTAINS FORMS SELECTED THROUGH
DOCUMENT SELECT THE FOLLOWING SELECTED FORMS ARE NOT APPROVED ON THE FORMS
STATUS TABLE
FORM NBR
EDITION CO STATE TRANS DATE
*
MEL4211
05.06 1 CT 2008-08-19*
*
MEL5530
12.07 1 CT 2008-08-19*
*
ND059
11.06 1 CT 2008-08-19*
IMPORTANT NOTICE -
INDEPENDENT AGENT AND BROKER COMPENSATION
NO COVERAGE IS PROVIDED BY THIS NOTICE. THIS NOTICE DOES NOT
AMEND ANY PROVISION OF YOUR POLICY. YOU SHOULD REVIEW YOUR ENTIRE POLICY
CAREFULLY FOR COMPLETE INFORMATION ON THE COVERAGES PROVIDED AND TO DETERMINE
YOUR RIGHTS AND DUTIES UNDER YOUR POLICY. PLEASE CONTACT YOUR AGENT OR BROKER
IF YOU HAVE ANY QUESTIONS ABOUT THIS NOTICE OR ITS CONTENTS. IF THERE IS ANY
CONFLICT BETWEEN YOUR POLICY AND THIS NOTICE, THE PROVISIONS OF YOUR POLICY
PREVAIL.
For information about how Travelers compensates independent
agents and brokers, please visit www.travelers.com, call our toll-free
telephone number, 1-866-904-8348, or you may request a written copy from
Marketing at One Tower Square, 2GSA, Hartford, CT 06183.
HOW TO REPORT LOSSES,
CLAIMS, OR POTENTIAL CLAIMS TO TRAVELERS
Reporting new losses, claims, or potential claims promptly
can be critical. It helps to resolve covered losses or claims as quickly as
possible and often reduces the overall cost. Prompt reporting:
1
·
better protects the interests of all
parties;
·
helps Travelers to try to resolve losses or
claims more quickly; and
·
often reduces the overall cost of a loss or
claim - losses or claims reported more than five days after they happen cost on
average 35% more than those reported earlier.
Report losses, claims, or potential claims to Travelers
easily and quickly by fax, U S mail, or email.
FAX
Use this number to report a loss, claim, or
potential claim by fax toll free.
1-888-460-6622
US MAIL
Use this address to report a loss, claim, or
potential claim by U S Mail.
Bond-FPS
Claims Department Travelers Mail Code NB08F 385 Washington Street Saint Paul,
Minnesota 55102
EMAIL
Use this address to report a loss, claim, or
potential claim by email.
Pro.E&O.Claim.Reporting@SPT.com
This
is a general description of how to report a loss, claim, or potential claim
under this policy or bond. This description does not replace or add to the
terms of this policy or bond. The policy or bond alone determines the scope of
coverage. Please read it carefully for complete information on coverage.
Contact your agent or broker if you have any questions about coverage.
Named
Insured Schedule ICB010 Page 1
Hartford
Advisers HLS Fund, Inc.* Hartford Bond HLS Fund, Inc.* Hartford
Capital Appreciation HLS Fund, Inc.* Hartford Dividend and Growth HLS Fund, Inc.*
Hartford Global Advisors HLS Fund, Inc. (formerly named Hartford
International Advisors HLS Fund, Inc.)* Hartford Index HLS Fund, Inc.*
Hartford International Opportunities HLS Fund, Inc.* Hartford MidCap HLS
Fund, Inc.* Hartford Money Market HLS Fund, Inc.* Hartford Mortgage
Securities HLS Fund, Inc.* Hartford Small Company HLS Fund, Inc.*
Hartford Stock HLS Fund, Inc.*
2
*On
July 16, 2002, shareholders authorized the reorganization of this Fund
from a free-standing Maryland corporation into a new series of Hartford Series Fund, Inc.
HARTFORD
SERIES FUND, INC.(which consists of the series listed below): Hartford Advisers
HLS Fund Hartford Capital Appreciation HLS Fund Hartford Disciplined Equity HLS
Fund (formerly named Hartford Growth and Income HLS Fund) Hartford Dividend and
Growth HLS Fund Hartford Equity Income HLS Fund Hartford Fundamental Growth
Fund (formerly Hartford Focus HLS Fund) Hartford Global Advisers HLS Fund
Hartford Global Communications HLS Fund (to be merged into Hartford Global
Equity HLS Fund on or about 08/25/08) Hartford Global Equity HLS Fund Hartford
Global Financial Services HLS Fund (to be merged into Hartford Global Equity
HLS Fund on or about 08/25/08) Hartford Global Growth HLS Fund (formerly
Hartford Global Leaders HLS Fund) Hartford Global Health HLS Fund Hartford
Global Technology HLS Fund (to be merged into Hartford Global Equity HLS Fund
on or about 08/25/08) Hartford Growth HLS Fund Hartford High Yield HLS Fund
Hartford Index HLS Fund Hartford International Growth HLS Fund (formerly
Hartford International Capital Appreciation HLS Fund) Hartford International
Opportunities HLS Fund Hartford International Small Company HLS Fund Hartford
MidCap HLS Fund Hartford MidCap Value HLS Fund Hartford Money Market HLS Fund
Name of Insured
|
|
Policy Number
469BD1910
|
|
Effective Date
|
|
08/19/08
|
Hartford Series Fund, Inc.
|
|
Processing Date
09/05/08
|
|
10:27 001
|
|
|
|
|
|
|
|
40502 Ed. 1-80
|
|
|
|
Customized Form
|
|
|
a
|
|
1980 The St. Paul
Travelers Companies, Inc. All Rights Reserved
Page
|
|
1
|
|
|
|
|
|
|
|
|
|
Named
Insured Schedule ICB010
Page 2
Hartford Mortgage Securities HLS Fund (to be merged into U.S. Government
Securities HLS Fund on or about 09/29/08) Hartford Small Company HLS Fund
Hartford Stock HLS Fund Hartford Total Return Bond HLS Fund (formerly named
Hartford Bond HLS Fund) Hartford Value HLS Fund American Funds Asset Allocation
HLS Fund American Funds Blue Chip Income & Growth HLS Fund American
Funds Bond HLS Fund American Funds Global Bond HLS Fund American Funds Global
Growth HLS Fund American Funds Global Growth & Income HLS Fund
American Funds Global Small Capitalization HLS Fund American Funds Growth HLS
Fund American Funds Growth-Income HLS Fund American Funds International HLS
Fund American Funds New World HLS Fund
HARTFORD
HLS SERIES FUND II, INC, (which consists of the series listed below): Hartford
American Leaders HLS Fund (was also known as Hartford American Leaders Value HLS
Fund)* Hartford Blue Chip Stock HLS Fund** Hartford Blue Chip Stock HLS Fund
II* Hartford Capital Opportunities HLS Fund*** Hartford Global Equity HLS Fund*
Hartford Growth Opportunities HLS Fund Hartford International Stock HLS
Fund**** Hartford International Stock HLS Fund II* Hartford Investors Growth
HLS Fund* Hartford LargeCap Growth HLS Fund*** Hartford MidCap Growth HLS Fund
(formerly Hartford
3
MidCap
Stock HLS Fund) Hartford Multisector Bond HLS Fund (merged into Hartford Bond
HLS Fund on April 30, 2004) Hartford SmallCap Growth HLS Fund Hartford
SmallCap Value HLS Fund Hartford U.S. Government Securities HLS Fund Hartford
Value Opportunities HLS Fund
*On
January 24, 2003, shareholders voted to merge this series into another
series of Hartford HLS Series Fund II, Inc. **On February 5,
2007 Hartford Blue Chip Stock HLS Fund renamed Hartford LargeCap Growth HLS
Fund ***On February 2, 2007 Hartford Capital Opportunities HLS Fund and
Hartford LargeCap Growth HLS Fund merged into Hartford Blue Chip Stock HLS Fund
and Hartford Blue Chip Stock HLS Fund was subsequently renamed (February 5,
2007) Hartford LargeCap Growth Fund.
Named
Insured Schedule ICB010 Page 3
THE
HARTFORD MUTUAL FUNDS, INC, (which consists of the series listed below): The
Hartford Advisers Fund The Hartford Balanced Allocation Fund The Hartford
Balanced Income Fund The Hartford Capital Appreciation Fund The Hartford
Capital Appreciation II Fund The Hartford Checks and Balances Fund The Hartford
Conservative Allocation Fund The Hartford
Disciplined Equity Fund (formerly named The Hartford Growth and Income
Fund) The Hartford Diversified International Fund The Hartford Dividend and
Growth Fund The Hartford Equity Growth Allocation Fund (formerly The Hartford
Aggressive Growth Allocation Fund) The Hartford Equity Income Fund The Hartford
Floating Rate Fund The Hartford Fundamental Growth Fund (formerly The Hartford
Focus Fund) The Hartford Global Communications Fund The Hartford Global Enhanced
Dividend Fund The Hartford Global Equity Fund The Hartford Global Financial
Services Fund The Hartford Global Growth Fund (formerly The Hartford Global
Leaders Fund) The Hartford Global Health Fund The Hartford Global Technology
Fund The Hartford Growth Allocation Fund The Hartford High Yield Fund The
Hartford High Yield Municipal Bond Fund The Hartford Income Allocation Fund The
Hartford Income Fund The Hartford Inflation Plus Fund The Hartford
International Growth Fund (formerly The Hartford International Capital
Appreciation Fund) The Hartford International Opportunities Fund The Hartford
International Small Company Fund The Hartford LargeCap Growth Fund The Hartford
MidCap Fund The Hartford MidCap Growth Fund* The Hartford MidCap Value Fund The
Hartford Money Market Fund The Hartford Select MidCap Growth Fund** The
Hartford Select MidCap Value Fund The Hartford Select SmallCap Growth Fund***
The Hartford Select SmallCap Value Fund The Hartford Short Duration Fund
(formerly named The Hartford Short Maturity Fund) The Hartford Small Company
Fund The Hartford Stock Fund The Hartford Strategic Income Fund Named Insured
Schedule ICB010
Name of Insured
|
|
Policy
Number
469BD1910
|
|
Effective Date
|
|
08/19/08
|
Hartford Series Fund, Inc.
|
|
Processing
Date
09/05/08
|
|
10:27 001
|
|
|
|
|
|
|
40502 Ed. 1-80
|
|
|
|
Customized Form
|
|
|
a
|
|
1980
The St. Paul Travelers Companies, Inc. All Rights Reserved
Page
|
|
1
|
|
|
|
|
|
|
|
|
|
4
Page 4
The
Hartford Retirement Income Fund The Hartford Target Retirement 2010 Fund The
Hartford Target Retirement 2020 Fund The Hartford Target Retirement 2030 Fund
The Hartford Tax-Free California Fund The Hartford Tax-Free New York Fund The
Hartford Total Return Bond Fund (formerly named The Hartford Bond Income
Strategy Fund) The Hartford Value Fund
*The
Hartford MidCap Growth Fund was merged into The Hartford Select MidCap Growth.
The surviving fund was then renamed The Hartford MidCap Growth Fund on February 25,2008
**The Hartford Select MidCap Growth Fund was renamed The Hartford MidCap Growth
Fund on February 25, 2008 ***The Hartford Select SmallCap Growth Fund was
liquidated as of February 28, 2007 ****The Hartford International Stock
HLS Fund was merged into the Hartford International Opportunities HLS Fund on October 12,
2007
THE
HARTFORD MUTUAL FUNDS II, INC, (which consists of the series listed below): The
Hartford Growth Fund The Hartford Growth Opportunities Fund The Hartford
SmallCap Growth Fund The Hartford Tax-Free Minnesota Fund (formerly named The
Hartford Tax-Free Minnesota Portfolio) The Hartford Tax-Free National Fund
(formerly named The Hartford Tax-Free National Portfolio) The Hartford U.S.
Government Securities Fund The Hartford Value Opportunities Fund
THE
HARTFORD INCOME SHARES FUND, INC (formerly named Fortis Securities, Inc)
And/or
any investment fund owned, controlled or operated by any one or more of those
named as Insureds, subject to General Agreement A of the attached bond.
INVESTMENT COMPANY BLANKET
BOND
St. Paul
Fire and Marine Insurance Company
St.
Paul, Minnesota 55102-1396 (A Stock Insurance Company, herein called
Underwriter)
DECLARATIONS BOND NO. 469BD1910
Item 1
.
Name of Insured (herein called Insured):
Hartford
Series Fund, Inc.
Principal
Address:
55
Farmington Avenue, Ste 700 Hartford, CT 06105
The hard copy of the bond issued by
the Underwriter will be referenced in the event of a loss
5
Item
2. Bond Period from 12:01 a.m. on 08/19/08 to 12:01 a.m. on 08/19/09
the effective date of the termination or cancellation of the bond, standard
time at the Principal Address as to each of said dates.
Item
3. Limit of Liability
Subject to Sections 9, 10, and 12 hereof:
|
|
Limit of
Liability
|
|
Deductible
Amount
|
|
Insuring Agreement A - FIDELITY
|
|
$
|
50,000,000
|
|
$
|
250,000
|
|
Insuring Agreement B - AUDIT EXPENSE
|
|
$
|
250,000
|
|
$
|
5,000
|
|
Insuring Agreement C - PREMISES
|
|
$
|
50,000,000
|
|
$
|
250,000
|
|
Insuring Agreement D - TRANSIT
|
|
$
|
50,000,000
|
|
$
|
250,000
|
|
Insuring Agreement E - FORGERY OR
ALTERATION
|
|
$
|
50,000,000
|
|
$
|
250,000
|
|
Insuring Agreement F - SECURITIES
|
|
$
|
50,000,000
|
|
$
|
250,000
|
|
Insuring Agreement G - COUNTERFEIT CURRENCY
|
|
$
|
50,000,000
|
|
$
|
250,000
|
|
Insuring Agreement H - STOP PAYMENT
|
|
$
|
500,000
|
|
$
|
5,000
|
|
Insuring Agreement I - UNCOLLECTIBLE ITEMS
OF DEPOSIT
|
|
$
|
10,000,000
|
|
$
|
250,000
|
|
OPTIONAL COVERAGES ADDED BY RIDER:
|
|
|
|
|
|
Insuring Agreement J - Computer Systems
|
|
$
|
10,000,000
|
|
$
|
250,000
|
|
Insuring Agreement K - Unauthorized
Signature
|
|
$
|
10,000,000
|
|
$
|
250,000
|
|
Insuring Agreeement L - Registered
Representatives
|
|
$
|
50,000,000
|
|
$
|
250,000
|
|
If
Not Covered is inserted above opposite any specified Insuring Agreement or
Coverage, such Insuring Agreement or Coverage and any other reference thereto
in this bond shall be deemed to be deleted therefrom.
Item
4. Offices or Premises Covered - Offices acquired or established subsequent to
the effective date of this bond are covered according to the terms of General
Agreement A. All the Insureds offices or premises in existence at the time
this bond becomes effective are covered under this bond except the offices or
premises located as follows:
Item
5. The liability of the Underwriter is subject to the terms of the following endorsements
or riders attached hereto: Endorsements or Riders No. 1 through
6
ICB010
Ed. 07-04; 40502 Ed. 01-80; ICB011 Ed. 07-04; ICB012 Ed. 07-04; ICB016 Ed.
07-04; ICB020 Ed. 07-04; ICB025 Ed. 07-04; ICB026 Ed. 07-04; ICB034 Ed. 07-04;
ICB042 Ed. 07-04; ICB051 Ed. 07-04; MEL4211 Ed. 05-06; MEL5530 Ed. 12-07;
MEL6139 Ed. 09-08; MEL6140 Ed. 09-08; MEL6141 Ed. 09-08; MEL6142 Ed. 09-08;
MEL6143 Ed. 09-08; MEL6144 Ed. 09-08; MEL6145 Ed. 09-08; MEL6146 Ed. 09-08;
MEL6147 Ed. 09-08; MEL6148 Ed. 09-08; MEL6149 Ed. 09-08; MEL6150 Ed. 09-08
Item
6. The Insured by the acceptance of this bond gives notice to the Underwriter
terminating or canceling prior bonds or policy(ies) No.(s) 457PB0753 such
termination or cancellation to be effective as of the time this bond becomes
effective.
IN
WITNESS WHEREOF, the Company has caused this bond to be signed by its President
and Secretary and countersigned by a duly authorized representative of the
Company.
Countersigned: ST. PAUL FIRE AND MARINE INSURANCE COMPANY
/s/Bruce Backberg, Secretary
|
|
|
|
/s/Brian MacLean, President
|
|
Authorized Representative Countersigned At
Countersignature Date
The Underwriter, in consideration of an agreed premium, and
subject to the Declarations made a part hereof, the General Agreements,
Conditions and Limitations and other terms of this bond, agrees with the
Insured, in accordance with the Insuring Agreements hereof to which an amount
of insurance is applicable as set forth in Item 3 of the Declarations and with
respect to loss sustained by the Insured at any time but discovered during the
Bond Period, to indemnify and hold harmless the Insured for:
INSURING AGREEMENTS
(A)
FIDELITY
Loss
resulting from any dishonest or fraudulent act(s), including Larceny or
Embezzlement, committed by an Employee, committed anywhere and whether
committed alone or in collusion with others, including loss of Property
resulting from such acts of an Employee, which Property is held by the Insured
for any purpose or in any capacity and whether so held gratuitously or not and
whether or not the Insured is liable therefor.
Dishonest
or fraudulent act(s) as used in this Insuring Agreement shall mean only
dishonest or fraudulent act(s) committed by such Employee with the
manifest intent:
(a)
to cause the Insured to sustain such loss;
and
7
(b)
to obtain financial benefit for the Employee,
or for any other Person or organization intended by the Employee to receive
such benefit, other than salaries, commissions, fees, bonuses, promotions,
awards, profit sharing, pensions or other employee benefits earned in the
normal course of employment.
(B) AUDIT
EXPENSE
Expense
incurred by the Insured for that part of the costs of audits or examinations
required by any governmental regulatory authority to be conducted either by
such authority or by an independent accountant by reason of the discovery of
loss sustained by the Insured through any dishonest or fraudulent act(s),
including Larceny or Embezzlement, of any of the Employees. The total liability
of the Underwriter for such expense by reason of such acts of any Employee or
in which such Employee is concerned or implicated or with respect to any one
audit or examination is limited to the amount stated opposite Audit Expense in
Item 3 of the Declarations; it being understood, however, that such expense
shall be deemed to be a loss sustained by the Insured through any dishonest or
fraudulent act(s), including Larceny or Embezzlement, of one or more of the
Employees, and the liability under this paragraph shall be in addition to the
Limit of Liability stated in Insuring Agreement (A) in Item 3 of the
Declarations.
(C) ON
PREMISES
Loss
of Property (occurring with or without negligence or violence) through robbery,
burglary, Larceny, theft, holdup, or other fraudulent means, misplacement,
mysterious unexplainable disappearance, damage thereto or destruction thereof,
abstraction or removal from the possession, custody or control of the Insured,
and loss of subscription, conversion, redemption or deposit privileges through
the misplacement or loss of Property, while the Property is (or is supposed or
believed by the Insured to be) lodged or deposited within any offices or premises
located anywhere, except in an office listed in Item 4 of the Declarations or
amendment thereof or in the mail or with a carrier for hire, other than an
armored motor vehicle company, for the purpose of transportation.
Office and Equipment
(1)
loss of or damage to furnishings, fixtures,
stationery, supplies or equipment, within any of the Insureds offices covered
under this bond caused by Larceny or theft in, or by burglary, robbery or
hold-up of, such office, or attempt thereat, or by vandalism or malicious
mischief; or
(2)
loss through damage to any such office by
Larceny or theft in, or by burglary, robbery or hold-up of, such office, or
attempt thereat, or to the interior of any such office by vandalism or
malicious mischief provided, in any event, that the Insured is the owner of
such offices, furnishings, fixtures, stationery, supplies or equipment or is
legally liable for such loss or damage always excepting, however, all loss or
damage through
8
fire.
(D) IN
TRANSIT
ICB005
Ed. 7-04 1 of 12 Loss of Property (occurring with or without negligence or
violence) through robbery, Larceny, theft, hold-up, misplacement, mysterious
unexplainable disappearance, being lost or otherwise made away with, damage
thereto or destruction thereof, and loss of subscription, conversion,
redemption or deposit privileges through the misplacement or loss of Property,
while the Property is in transit anywhere in the custody of any person or
persons acting as messenger, except while in the mail or with a carrier for
hire, other than an armored motor vehicle company, for the purpose of
transportation, such transit to begin immediately upon receipt of such Property
by the transporting person or persons, and to end immediately upon delivery
thereof at destination.
(E) FORGERY
0R ALTERATION
Loss
through Forgery or alteration of or on:
(1)
any bills of exchange, checks, drafts,
acceptances, certificates of deposit, promissory notes, or other written
promises, orders or directions to pay sums certain in money, due bills, money
orders, warrants, orders upon public treasuries, letters of credit; or
(2)
other written instructions, advices or
applications directed to the Insured, authorizing or acknowledging the
transfer, payment, delivery or receipt of funds or Property, which
instructions, advices or applications purport to have been signed or endorsed
by any:
(a) customer of the Insured, or
(b) shareholder or subscriber to shares,
whether certificated or uncertificated, of any Investment Company, or
(c) financial or banking institution or
stockbroker,
but
which instructions, advices or applications either bear the forged signature or
endorsement or have been altered without the knowledge and consent of such
customer, shareholder or subscriber to shares, or financial or banking
institution or stockbroker; or
(3) withdrawal
orders or receipts for the withdrawal of funds or Property, or receipts or
certificates of deposit for Property and bearing the name of the Insured as
issuer, or of another Investment Company for which the Insured acts as agent, excluding,
however, any loss covered under Insuring Agreement (F) hereof whether or
not coverage for Insuring Agreement (F) is provided for in the
Declarations of this bond.
9
Any
check or draft (a) made payable to a fictitious payee and endorsed in the
name of such fictitious payee or (b) procured in a transaction with the
maker or drawer thereof or with one acting as an agent of such maker or drawer
or anyone impersonating another and made or drawn payable to the one so
impersonated and endorsed by anyone other than the one impersonated, shall be
deemed to be forged as to such endorsement.
Mechanically
reproduced facsimile signatures are treated the same as handwritten signatures.
(F) SECURITIES
Loss
sustained by the Insured, including loss sustained by reason of a violation of
the constitution by-laws, rules or regulations of any Self Regulatory
Organization of which the Insured is a member or which would have been imposed upon
the Insured by the constitution, by-laws, rules or regulations of any Self
Regulatory Organization if the Insured had been a member thereof,
(1)
through the Insureds
having, in good faith and in the course of business, whether for its own
account or for the account of others, in any representative, fiduciary, agency
or any other capacity, either gratuitously or otherwise, purchased or otherwise
acquired, accepted or received, or sold or delivered, or given any value,
extended any credit or assumed any liability, on the faith of, or otherwise
acted upon, any securities, documents or other written instruments which prove
to have been:
(a)
counterfeited,
or
(b)
forged as to the signature
of any maker, drawer, issuer, endorser, assignor, lessee, transfer agent or
registrar, acceptor, surety or guarantor or as to the signature of any person
signing in any other capacity, or
(c)
raised or
otherwise altered, or lost, or stolen, or
(2)
through the Insureds
having, in good faith and in the course of business, guaranteed in writing or
witnessed any signatures whether for valuable consideration or not and whether
or not such guaranteeing or witnessing is ultra vires the Insured, upon any
transfers,
ICB005
Ed. 7-04 2 of 12 assignments, bills of sale, powers of attorney, guarantees,
endorsements or other obligations upon or in connection with any securities,
documents or other written instruments and which pass or purport to pass title
to such securities, documents or other written instruments; excluding losses
caused by Forgery or alteration of, on or in those instruments covered under
Insuring Agreement (E) hereof.
Securities,
documents or other written instruments shall be deemed to mean original
(including original counterparts) negotiable or non-negotiable agreements which
in and of themselves represent an equitable interest, ownership, or debt,
including an assignment
10
thereof,
which instruments are, in the ordinary course of business, transferable by
delivery of such agreements with any necessary endorsement or assignment.
The
word counterfeited as used in this Insuring Agreement shall be deemed to mean
any security, document or other written instrument which is intended to deceive
and to be taken for an original.
Mechanically
reproduced facsimile signatures are treated the same as handwritten signatures.
(G) COUNTERFEIT
CURRENCY
Loss
through the receipt by the Insured, in good faith, of any counterfeited money
orders or altered paper currencies or coin of the United States of America or
Canada issued or purporting to have been issued by the United States of America
or Canada or issued pursuant to a United States of America or Canada statute
for use as currency.
(H) STOP
PAYMENT
Loss
against any and all sums which the Insured shall become obligated to pay by
reason of the liability imposed upon the Insured by law for damages:
For
having either complied with or failed to comply with any written notice of any
customer, shareholder or subscriber of the Insured or any Authorized
Representative of such customer, shareholder or subscriber to stop payment of
any check or draft made or drawn by such customer, shareholder or subscriber or
any Authorized Representative of such customer, shareholder or subscriber, or
For
having refused to pay any check or draft made or drawn by any customer,
shareholder or subscriber of the Insured or any Authorized Representative of
such customer, shareholder or subscriber.
(I) UNCOLLECTIBLE
ITEMS OF DEPOSIT
Loss
resulting from payments of dividends or fund shares, or withdrawals permitted
from any customers, shareholders, or subscribers account based upon
Uncollectible Items of Deposit of a customer, shareholder or subscriber
credited by the Insured or the Insureds agent to such customers, shareholders
or subscribers Mutual Fund Account; or loss resulting from an Item of Deposit
processed through an Automated Clearing House which is reversed by the
customer, shareholder or subscriber and deemed uncollectible by the Insured.
Loss
includes dividends and interest accrued not to exceed 15% of the Uncollectible
Items which are deposited.
This
Insuring Agreement applies to all Mutual Funds with exchange privileges if
all Fund(s) in the exchange program are insured by the Underwriter for
Uncollectible Items of Deposit. Regardless of the number of transactions
between Fund(s), the minimum number of
11
days
of deposit within the Fund(s) before withdrawal as declared in the Fund(s) prospectus
shall begin from the date a deposit was first credited to any Insured Fund(s).
GENERAL AGREEMENTS
A
. ADDITIONAL OFFICES OR EMPLOYEES CONSOLIDATION OR
MERGER - NOTICE
(1) If
the Insured shall, while this bond is in force, establish any additional office
or offices, such offices shall be automatically covered hereunder from the
dates of their establishment, respectively. No notice to the Underwriter of an
increase during any premium period in the number of offices or
in
the number of Employees at any of the offices covered hereunder need be given
and no additional premium need be paid for the remainder of such premium
period.
(2) If
an Investment Company, named as Insured herein, shall, while this bond is in
force, merge or consolidate with, or purchase the assets of another
institution, coverage for such acquisition shall apply automatically from the
date of acquisition. The Insured shall notify the Underwriter of such
acquisition within 60 days of said date, and an additional premium shall be
computed only if such acquisition involves additional offices or employees.
B.
WARRANTY
No
statement made by or on behalf of the Insured, whether contained in the
application or otherwise, shall be deemed to be a warranty of anything except
that it is true to the best of the knowledge and belief of the person making
the statement.
C.
COURT COSTS AND ATTORNEYS FEES
(Applicable
to all Insuring Agreements or Coverages now or hereafter forming part of this
bond)
The
Underwriter will indemnify the Insured against court costs and reasonable
attorneys fees incurred and paid by the Insured in defense, whether or not
successful, whether or not fully litigated on the merits and whether or not
settled, of any suit or legal proceeding brought against the Insured to enforce
the Insureds liability or alleged liability on account of any loss, claim or
damage which, if established against the Insured, would constitute a loss
sustained by the Insured covered under the terms of this bond provided,
however, that with respect to Insuring Agreement (A) this indemnity shall
apply only in the event that:
(1)
an Employee admits to being
guilty of any dishonest or fraudulent act(s), including Larceny or
Embezzlement; or
(2) an Employee is adjudicated to be
guilty of any dishonest or fraudulent act(s),
12
including
Larceny or Embezzlement;
(3) in the absence of (1) or (2) above
an arbitration panel agrees, after a review of an
agreed statement of facts, that an Employee would be
found guilty of dishonesty if such Employee were prosecuted.
The
Insured shall promptly give notice to the Underwriter of any such suit or legal
proceedings and at the request of the Underwriter shall furnish it with copies
of all pleadings and other papers therein. At the Underwriters election the
Insured shall permit the Underwriter to conduct the defense of such suit or
legal proceeding, in the Insureds name, through attorneys of the Underwriters
selection. In such event, the Insured shall give all reasonable information and
assistance which the Underwriter shall deem necessary to the proper defense of
such suit or legal proceeding.
If
the amount of the Insureds liability or alleged liability is greater than the
amount recoverable under this bond, or if a Deductible Amount is applicable, or
both, the liability of the Underwriter under this General Agreement is limited
to the proportion of court costs and attorneys fees incurred and paid by the
Insured or by the Underwriter that the amount recoverable under this bond bears
to the total of such amount plus the amount which is not so recoverable. Such
indemnity shall be in addition to the Limit of Liability for the applicable
Insuring Agreement or Coverage.
D.
FORMER EMPLOYEE
Acts
of an Employee, as defined in this bond, are covered under Insuring Agreement (A) only
while the Employee is in the Insureds employ. Should loss involving a former
Employee of the Insured be discovered subsequent to the termination of
employment, coverage would still apply under Insuring Agreement (A) if the
direct proximate cause of the loss occurred while the former Employee performed
duties within the scope of his/her employment.
THE FOREGOING INSURING
AGREEMENTS AND GENERAL AGREEMENTS ARE SUBJECT TO THE FOLLOWING CONDITIONS AND
LIMITATIONS:
SECTION 1.
DEFINITIONS
The
following terms, as used in this bond have the respective meanings stated in
this Section:
(a) Employee
means:
(1) any
of the Insureds officers, partners, or employees, and
(2) any
of the officers or employees of any
predecessor of the Insured
whose principal
assets are acquired by the Insured by
consolidation
or merger with, or purchase of assets or capital stock of, such predecessor,
and
13
(3)
attorneys
retained by the Insured to perform legal services for the Insured and the
employees of such attorneys while such attorneys or employees of such attorneys
are performing such services for the Insured, and
(4)
guest students pursuing their studies or duties in any of the Insureds
offices, and
(5)
directors or trustees of the Insured, the investment advisor, underwriter
(distributor), transfer agent, or shareholder accounting record keeper, or
administrator authorized by written agreement to keep financial and/or other
required records, but only while performing acts coming within the scope of the
usual duties of an officer or employee or while acting as a member of any
committee duly elected or appointed to examine or audit or have custody of or
access to the Property of the Insured, and
(6)
any individual or individuals assigned to perform the usual duties of an
employee within the premises of the Insured, by contract, or by any agency
furnishing temporary personnel on a contingent or part-time basis, and
(7)
each natural person, partnership or corporation authorized by written
agreement with the Insured to perform services as electronic data processor of
checks or other accounting records of the Insured, but excluding any such processor
who acts as transfer agent or in any other agency capacity in issuing checks,
drafts or securities for the Insured, unless included under sub-section (9) hereof,
and
(8) those
persons so designated in Section 15, Central Handling of Securities, and
(9)
any officer, partner, or Employee of:
(a)
an investment advisor,
(b)
an underwriter (distributor),
(c)
a transfer agent or shareholder accounting record-keeper, or
(d)
an administrator authorized by written agreement to keep financial and/or
other required records,
for an Investment Company named as Insured while performing
acts coming within the scope of the usual duties of an officer or Employee of
any investment Company named as Insured herein, or while acting as a member of
any committee duly elected or appointed to examine or audit or have custody of
or access to the Property of any such Investment Company, provided that only
Employees or partners of a transfer agent,
14
shareholder accounting record-keeper or administrator which
is an affiliated person, as defined in the Investment Company Act of 1940, of
an Investment Company named as Insured or is an affiliated person of the
advisor, underwriter or administrator of such Investment Company, and which is
not a bank, shall be included within the definition of Employee.
Each employer of temporary personnel or processors as set
forth in sub-sections (6) and (7) of Section 1(a) and their
partners, officers and employees shall collectively be deemed to be one person
for all the purposes of this bond, excepting, however, the last paragraph of
Section
13.
Brokers, or other agents under contract or representatives of the same
general character shall not be considered Employees.
(b)
Property means money (i.e. currency, coin, bank notes, Federal Reserve
notes), postage and revenue stamps, U.S. Savings Stamps, bullion, precious
metals of all kinds and in any form and articles made therefrom, jewelry,
watches, necklaces, bracelets, gems, precious and semi-precious stones, bonds,
securities, evidences of debts, debentures, scrip, certificates, interim
receipts, warrants, rights, puts, calls, straddles, spreads, transfers,
coupons, drafts, bills of exchange, acceptances, notes, checks, withdrawal
orders, money orders, warehouse receipts, bills of lading, conditional sales
contracts, abstracts of title, insurance policies, deeds, mortgages under real
estate and/or chattels and upon interests therein, and assignments of such
policies, mortgages and instruments, and other valuable papers, including books
of account and other records used by the Insured in the conduct of its
business, and all other instruments similar to or in the nature of the
foregoing including Electronic Representations of such instruments enumerated
above (but excluding all data processing records) in which the Insured has an
interest or in which the Insured acquired or should have acquired an interest
by reason of a predecessors declared financial condition at the time of the
Insureds consolidation or merger with, or purchase of the principal assets of,
such predecessor or which are held by the Insured for any purpose or in any
capacity and whether so held gratuitously or not and whether or not the Insured
is liable therefor.
(c)
Forgery means the signing of
the name of another with intent to deceive; it does not
include
the signing of ones own name with or without authority, in any capacity, for
any purpose.
(d)
Larceny and Embezzlement as it applies to any named Insured means those
15
acts as set forth in Section 37 of the Investment
Company Act of 1940.
(e)
Items of Deposit means any one or more checks and drafts. Items of
Deposit shall not be deemed uncollectible until the Insureds collection
procedures have failed.
SECTION 2. EXCLUSIONS THIS BOND, DOES NOT COVER:
(a)
loss effected directly or indirectly by means of forgery or alteration
of, on or in any instrument, except when covered by Insuring Agreement (A),
(E), (F) or (G).
(b)
loss due to riot or civil commotion outside the United States of America
and Canada; or loss due to military, naval or usurped power, war or
insurrection unless such loss occurs in transit in the circumstances recited in
Insuring Agreement (D), and unless, when such transit was initiated, there was
no knowledge of such riot, civil commotion, military, naval or usurped power,
war or insurrection on the part of any person acting for the Insured in
initiating such transit.
(c)
loss, in time of peace or war, directly or indirectly caused by or
resulting from the effects of nuclear fission or fusion or radioactivity;
provided, however, that this paragraph shall not apply to loss resulting from
industrial uses of nuclear energy.
(d)
loss resulting from any wrongful act or acts of any person who is a
member of the Board of Directors of the Insured or a member of any equivalent
body by whatsoever name known unless such person is also an Employee or an
elected official, partial owner or partner of the Insured in some other
capacity, nor, in any event, loss resulting from the act or acts of any person
while acting in the capacity of a member of such Board or equivalent body.
(e)
loss resulting from the complete or partial non-payment of, or default
upon, any loan or transaction in the nature of, or amounting to, a loan made by
or obtained from the Insured or any of its partners, directors or Employees,
whether authorized or unauthorized and whether procured in good faith or
through trick, artifice fraud or false
pretenses, unless such loss is covered under Insuring
Agreement (A), (E) or (F).
(f)
loss resulting from any violation by the Insured or by any Employee:
(1)
of law regulating (a) the issuance, purchase or sale of securities, (b) securities
transactions upon Security Exchanges or over the counter market, (c)
16
Investment Companies, or (d) Investment Advisors, or
(2)
of any rule or regulation made pursuant to any such law.
unless such loss, in the absence of
such laws, rules or regulations, would be covered under Insuring
Agreements (A) or (E).
(g)
loss of Property or loss of privileges through the misplacement or loss
of Property as set forth in Insuring Agreement (C) or (D) while the
Property is in the custody of any armored motor vehicle company, unless such
loss shall be in excess of the amount recovered or received by the Insured
under (a) the Insureds contract with said armored motor vehicle company, (b) insurance
carried by said armored motor vehicle company for the benefit of users of its
service, and (c) all other insurance and indemnity in force in whatsoever
form carried by or for the benefit of users of said armored motor vehicle
companys service, and then this bond shall cover only such excess.
(h)
potential income, including but not limited to interest and dividends,
not realized by the Insured because of a loss covered under this bond, except
as included under Insuring Agreement (I).
(i)
all damages of any type for which the Insured is legally liable, except
direct compensatory damages arising from a loss covered under this bond.
(j) loss
through the surrender of Property away from an office of the Insured as a
result of a threat:
(1)
to do
bodily harm to any person, except loss of Property in transit in the custody of
any person acting as messenger provided that when such transit was initiated
there was no knowledge by the Insured of any such threat, or
(2)
to do damage to the premises or Property of the Insured, except when
covered under Insuring Agreement (A).
ICB005 Ed. 7-04 6 of 12
(k)
all costs, fees and other expenses incurred by the Insured in
establishing the existence of or amount of loss covered under this bond unless
such indemnity is provided for under Insuring Agreement (B).
(l)
loss resulting from payments made or withdrawals from the account of a
customer of the Insured, shareholder or subscriber to shares involving funds
erroneously credited to such account, unless such payments are made to or
17
withdrawn by such depositors or representative of such
person, who is within the premises of the drawee bank of the Insured or within
the office of the Insured at the time of such payment or withdrawal or unless
such payment is covered under Insuring Agreement (A).
(m)
any loss resulting from Uncollectible Items of Deposit which are drawn
from a financial institution outside the fifty states of the United States of
America, District of Columbia, and territories and possessions of the United
States of America, and Canada.
SECTION 3. ASSIGNMENT OF RIGHTS
This bond does not afford coverage in favor of any Employers
of temporary personnel or of processors as set forth in sub-sections (6) and
(7) of Section 1(a) of this bond, as aforesaid, and upon payment
to the Insured by the Underwriter on account of any loss through dishonest or
fraudulent act(s) including Larceny or Embezzlement committed by any of
the partners, officers or employees of such Employers, whether acting alone or
in collusion with others, an assignment of such of the Insureds rights and
causes of action as it may have against such Employers by reason of such acts
so committed shall, to the extent of such payment, be given by the Insured to
the Underwriter, and the Insured shall execute all papers necessary to secure
to the Underwriter the rights herein provided for.
SECTION 4. LOSS -NOTICE -PROOF LEGAL PROCEEDINGS
This bond is for the use and benefit only of the Insured
named in the Declarations and the Underwriter shall not be liable hereunder for
loss sustained by anyone other than the Insured unless the Insured, in its sole
discretion and at its option, shall include such loss in the Insureds proof of
loss. At the earliest practicable moment after discovery of any loss hereunder
the Insured shall give the Underwriter written notice thereof and shall also
within six months after such discovery furnish to the Underwriter affirmative
proof of loss with full particulars. If claim is made under this bond for loss
of securities or shares, the Underwriter shall not be liable unless each of
such securities or shares is identified in such proof of loss by a certificate
or bond number or, where such securities or shares are uncertificated, by such
identification means as agreed to by the Underwriter. The Underwriter shall
have thirty days after notice and proof of loss within which to investigate the
claim, but where the loss is clear and undisputed, settlement shall be made
within forty-eight hours; and this shall apply notwithstanding the loss is made
up wholly or in part of securities of which duplicates may be obtained. Legal
proceedings for recovery of any loss hereunder shall not be brought prior to
the expiration of sixty days after such proof of loss is filed with the
Underwriter nor after the expiration of twenty-four months from the discovery
of such loss, except that any action or proceedings to recover hereunder on
account of any judgment against the Insured in any suit mentioned in General
Agreement C or to recover attorneys fees paid in any such suit, shall be begun
within twenty-four months from the date upon
18
which the judgment in such suit shall become final. If any
limitation embodied in this bond is prohibited by any law controlling the
construction hereof, such limitation shall be deemed to be amended so as to be
equal to the minimum period of limitation permitted by such law.
Discovery occurs when the Insured:
(a)
becomes aware of facts, or
(b)
receives written notice of an
actual or potential claim by a third party which alleges that the Insured is
liable under circumstances,
which
would cause a reasonable person to assume that a loss covered by the bond has
been or will be incurred even though the exact amount or details of loss may
not be then known.
SECTION 5. VALUATION OF PROPERTY
The value of any Property, except books of accounts or other
records used by the Insured in the conduct of its business, for the loss of
which a claim shall be made hereunder, shall be determined by the average
market value of such Property on the business day next preceding the discovery
of such loss; provided, however, that the value of any Property replaced by the
Insured prior to the payment of claim therefor shall be the actual market value
at the time of replacement; and further provided that in case of a loss or
misplacement of interim certificates, warrants, rights, or other securities,
the production of which is necessary to the exercise of subscription, conversion,
redemption or deposit privileges, the value thereof shall be the market value
of such privileges
ICB005 Ed. 7-04 7 of 12 immediately preceding the expiration
thereof if said loss or misplacement is not discovered until after their
expiration. If no market price is quoted for such Property or for such
privileges, the value shall be fixed by agreement between the parties or by
arbitration.
In case of any loss or damage to Property consisting of books
of accounts or other records used by the Insured in the conduct of its
business, the Underwriter shall be liable under this bond only if such books or
records are actually reproduced and then for not more than the cost of blank
books, blank pages or other materials plus the cost of labor for the actual
transcription or copying of data which shall have been furnished by the Insured
in order to reproduce such books and other records.
SECTION 6. VALUATION OF PREMISES AND FURNISHINGS
In case of damage to any office of the Insured, or loss of or
damage to the furnishings, fixtures, stationery, supplies, equipment, safes or
vaults therein, the Underwriter shall
19
not be liable for more than the actual cash value thereof, or
for more than the actual cost of their replacement or repair. The Underwriter
may, at its election, pay such actual cash value or make such replacement or
repair. If the underwriter and the Insured cannot agree upon such cash value or
such cost of replacement or repair, such shall be determined by arbitration.
SECTION 7. LOST SECURITIES
If the Insured shall sustain a loss of securities the total
value of which is in excess of the limit stated in Item 3 of the Declarations
of this bond, the liability of the Underwriter shall be limited to payment for,
or duplication of, securities having value equal to the limit stated in Item 3
of the Declarations of this bond.
If the Underwriter shall make payment to the Insured for any
loss of securities, the Insured shall thereupon assign to the Underwriter all
of the Insureds rights, title and interest in and to said securities.
With respect to securities the value of which do not exceed
the Deductible Amount (at the time of the discovery of the loss) and for which
the Underwriter may at its sole discretion and option and at the request of the
Insured issue a Lost Instrument Bond or Bonds to effect replacement thereof,
the Insured will pay the usual premium charged therefor and will indemnify the
Underwriter against all loss or expense that the Underwriter may sustain
because of the issuance of such Lost Instrument Bond or Bonds.
With respect to securities the value of which exceeds the
Deductible Amount (at the time of discovery of the loss) and for which the
Underwriter may issue or arrange for the issuance of a Lost Instrument Bond or
Bonds to effect replacement thereof, the Insured agrees that it will pay as
premium therefor a proportion of the usual premium charged therefor, said
proportion being equal to the percentage that the Deductible Amount bears to
the value of the securities upon discovery of the loss, and that it will
indemnify the issuer of said Lost Instrument Bond or Bonds against all loss and
expense that is not recoverable from the Underwriter under the terms and
conditions of this Investment Company Blanket Bond subject to the Limit of
Liability hereunder.
SECTION 8. SALVAGE
in case of recovery, whether made by the Insured or by the
Underwriter, on account of any loss in excess of the Limit of Liability
hereunder plus the Deductible Amount applicable to such loss, from any source
other than suretyship, insurance, reinsurance, security or indemnity taken by
or for the benefit of the Underwriter, the net amount of such recovery, less
the actual costs and expenses of making same, shall be applied to reimburse the
Insured in full for the excess portion of such loss, and the remainder, if any,
shall be paid first in reimbursement of the Underwriter and thereafter in
reimbursement of the Insured for that part of such loss within the Deductible
Amount. The Insured shall execute all necessary papers to secure to the
Underwriter the rights
20
provided for herein.
SECTION 9. NON-REDUCTION AND NONACCUMULATION OF
LIABILITY AND TOTAL LIABILITY
At all times prior to termination hereof, this bond shall
continue in force for the limit stated in the applicable sections of Item 3 of
the Declarations of this bond notwithstanding any previous loss for which the
Underwriter may have paid or be liable to pay hereunder; PROVIDED, however,
that regardless of the number of years this bond shall continue in force and
the number or premiums which shall be payable or paid, the liability of the
Underwriter under this bond with respect to all loss resulting from:
(a)
any one act of burglary, robbery or holdup, or attempt thereat, in which
no Partner or Employee is concerned or implicated shall be deemed to be one loss,
or
(b)
any one unintentional or negligent act on the part of any other person
resulting in damage to or destruction or misplacement of Property, shall be
deemed to be one loss, or
ICB005 Ed. 7-04 8 of 12
(c)
all wrongful acts, other than those specified in (a) above, of any
one person shall be deemed to be one loss, or
(d)
all wrongful acts, other than those specified in (a) above, of one
or more persons (which dishonest act(s) or act(s) of Larceny or
Embezzlement include, but are not limited to, the failure of an Employee to
report such acts of others) whose dishonest act or acts intentionally or
unintentionally, knowingly or unknowingly, directly or indirectly, aid or aids
in any way, or permits the continuation of, the dishonest act or acts of any
other person or persons shall be deemed to be one loss with the act or acts of
the persons aided, or
(e)
any one casualty or event other than those specified in (a), (b), (c) or
(d) preceding, shall be deemed to be one loss, and
shall be limited to the applicable Limit of Liability stated
in Item 3 of the Declarations of this bond irrespective of the total amount of
such loss or losses and shall not be cumulative in amounts from year to year or
from period to period.
Sub-section (c) is not applicable to any situation to
which the language of sub-section (d) applies.
21
SECTION 10. LIMIT OF LIABILITY
With respect to any loss set forth in the PROVIDED clause of Section 9
of this bond which is recoverable or recovered in whole or in part under any
other bonds or policies issued by the Underwriter to the Insured or to any
predecessor in interest of the Insured and terminated or cancelled or allowed
to expire and in which the period of discovery has not expired at the time any
such loss thereunder is discovered, the total liability of the Underwriter
under this bond and under other bonds or policies shall not exceed, in the
aggregate, the amount carried hereunder on such loss or the amount available to
the Insured under such other bonds or policies, as limited by the terms and
conditions thereof, for any such loss if the latter amount be the larger.
SECTION 11. OTHER INSURANCE
If the Insured shall hold, as indemnity against any loss
covered hereunder, any valid and enforceable insurance or suretyship, the
Underwriter shall be liable hereunder only for such amount of such loss which
is in excess of the amount of such other insurance or suretyship, not
exceeding, however, the Limit of Liability of this bond applicable to such
loss.
SECTION 12. DEDUCTIBLE The Underwriter shall not be
liable under any of the Insuring Agreements of this bond on account of loss as
specified, respectively, in sub-sections (a), (b), (c),
(d) and (e) of Section 9, NON-REDUCTION AND
NON-ACCUMULATION OF LIABILITY AND TOTAL LIABILITY, unless the amount of such
loss, after deducting the net amount of all reimbursement and/or recovery
obtained or made by the Insured, other than from any bond or policy of
insurance issued by an insurance company and covering such loss, or by the
Underwriter on account thereof prior to payment by the Underwriter of such
loss, shall exceed the Deductible Amount set forth in Item 3 of the
Declarations hereof (herein called Deductible Amount), and then for such excess
only, but in no event for more than the applicable Limit of Liability stated in
Item 3 of the Declarations.
The Insured will bear, in addition to the Deductible Amount,
premiums on Lost Instrument Bonds as set forth in Section 7.
There shall be no deductible applicable to any loss under
Insuring Agreement A sustained by any Investment Company named as Insured
herein.
SECTION 13. TERMINATION
The Underwriter may terminate this bond as an entirety by
furnishing written notice specifying the termination date, which cannot be
prior to 60 days after the receipt of such written notice by each Investment
Company named as Insured and the Securities and Exchange Commission,
Washington, D.C.
22
The Insured may terminate this bond as an entirety by
furnishing written notice to the Underwriter. When the Insured cancels, the
Insured shall furnish written notice to the Securities and Exchange Commission,
Washington, D.C., prior to 60 days before the effective date of the
termination. The Underwriter shall notify all other Investment Companies named
as Insured of the receipt of such termination notice and the termination cannot
be effective prior to 60 days after receipt of written notice by all other
Investment Companies. Premiums are earned until the termination date as set
forth herein.
This Bond will terminate as to any one Insured immediately
upon taking over of such Insured by a receiver or other liquidator or by State
or Federal officials, or immediately upon the filing of a petition under any
State or Federal statute relative to bankruptcy or reorganization of the
Insured, or assignment for the benefit of creditors of the Insured, or
immediately upon such Insured ceasing to exist, whether through merger into another
entity, or by disposition of all of its assets.
ICB005 Ed. 7-04 9 of 12 The Underwriter shall refund the
unearned premium computed at short rates in accordance with the standard short
rate cancellation tables if terminated by the Insured or pro rata if terminated
for any other reason.
This Bond shall terminate:
(a)
as to any Employee as soon as any partner, officer or supervisory
Employee of the Insured, who is not in collusion with such Employee, shall
learn of any dishonest or fraudulent act(s), including Larceny or Embezzlement
on the part of such Employee without prejudice to the loss of any Property then
in transit in the custody of such Employee (see Section 16(d)), or
(b)
as to any Employee 60 days after receipt by each Insured and by the Securities
and Exchange Commission of a written notice from the Underwriter of its desire
to terminate this bond as to such Employee, or
(c)
as to any person, who is a partner, officer or employee of any Electronic
Data Processor covered under this bond, from and after the time that the
Insured or any partner or officer thereof not in collusion with such person
shall have knowledge or information that such person has committed any
dishonest or fraudulent act(s), including Larceny or Embezzlement in the service
of the Insured or otherwise, whether such act be committed before or after the
time this bond is effective.
SECTION 14. RIGHTS AFTER TERMINATION OR CANCELLATION
At any time prior to the termination or cancellation of this
bond as an entirety, whether by the Insured or the Underwrite, the Insured may
give the Underwriter notice that it desires under this bond an additional
period of 12 months within which to
23
discover loss sustained by the Insured prior to the effective
date of such termination or cancellation and shall pay an additional premium
therefor.
Upon receipt of such notice from the Insured, the Underwriter
shall give its written consent thereto; provided, however, that such additional
period of time shall terminate immediately:
(a) on the effective date of any other insurance
obtained by the Insured, its successor in business or any other party,
replacing in whole or in part the insurance afforded by this bond, whether or
not such other insurance provides coverage for loss sustained prior to its
effective date, or
(b) upon takeover of the Insureds business by any State
or Federal official or agency, or by any receiver or liquidator, acting or
appointed for this purpose without the necessity of the Underwriter giving
notice of such termination. In the event that such additional period of time is
terminated, as provided above, the Underwriter shall refund any unearned
premium.
The right to purchase such additional period for the
discovery of loss may not be exercised by any State or Federal official or
agency, or by a receiver or liquidator, acting or appointed to take over the
Insureds business for the operation or for the liquidation thereof or for any
purpose.
SECTION 15. CENTRAL HANDLING OF SECURITIES
Securities included in the system for the central handling of
securities established and maintained by Depository Trust Company, Midwest
Depository Trust Company, Pacific Securities Depository Trust Company, and
Philadelphia Depository Trust Company, hereinafter called Corporations, to the
extent of the Insureds interest therein as effected by the making of
appropriate entries on the books and records of such Corporations shall be
deemed to be Property.
The words Employee and Employees shall be deemed to
include the officers, partners, clerks and other employees of the New York
Stock Exchange, Boston Stock Exchange, Midwest Stock Exchange, Pacific Stock
Exchange and Philadelphia Stock Exchange, hereinafter called Exchanges, and of
the above named Corporations, and of any nominee in whose name is registered
any security included within the systems for the central handling of securities
established and maintained by such Corporations, and any employee or any
recognized service company, while such officers, partners, clerks and other
employees and employees of service companies perform services for such
Corporations in the operation of such systems. For the purpose of the above
definition a recognized service company shall be any company providing clerks
or other personnel to the said Exchanges or Corporations on a contract basis.
The Underwriter shall not be liable on account of any
loss(es) in connection with the central handling of securities within the
systems established and maintained by such
24
Corporations, unless such loss(es) shall be in excess of the
amount(s) recoverable or recovered under any bond or policy of insurance
indemnifying such Corporations against such loss(es), and then the Underwriter
shall be liable hereunder
ICB005 Ed. 7-04 10 of 12 only for the Insureds share of such
excess loss(es), but in no event for more than the Limit of Liability
applicable hereunder.
For the purpose of determining the Insureds share of excess
loss(es) it shall be deemed that the Insured has an interest in any certificate
representing any security included within such systems equivalent to the
interest the Insured then has in all certificates representing the same
security included within such systems and that such Corporations shall use
their best judgment in apportioning the amount(s) recoverable or recovered
under any bond or policy of insurance indemnifying such Corporations against
such loss(es) in connection with the central handling of securities within such
systems among all those having an interest as recorded by appropriate entries
in the books and records of such Corporations in Property involved in such
loss(es) on the basis that each such interest shall share in the amount(s) so
recoverable or recovered in the ratio that the value of each such interest
bears to the total value all such interests and that the Insureds share of
such excess loss(es) shall be the amount of the Insureds interest in such
Property in excess of the amount(s) so apportioned to the Insured by such
Corporations.
This bond does not afford coverage in favor of such
Corporations or Exchanges or any nominee in whose name is registered any
security included within the systems for the central handling of securities
established and maintained by such Corporations, and upon payment to the
Insured by the Underwriter on account of any loss(es) within the systems, an
assignment of such of the Insureds rights and causes of action as it may have
against such Corporations or Exchanges shall to the extent of such payment, be
given by the Insured to the Underwriter, and the Insured shall execute all
papers necessary to secure the Underwriter the rights provided for herein.
SECTION 16. ADDITIONAL COMPANIES INCLUDED AS INSURED
If more than one corporation, co-partnership or person or any
combination of them be included as the Insured herein:
(a)
the total liability of the Underwriter hereunder for loss or losses
sustained by any one or more or all of them shall not exceed the limit for
which the Underwriter would be liable hereunder if all such loss were sustained
by any one of them;
(b)
the one first named herein shall be deemed authorized to make, adjust and
receive and enforce payment of all claims hereunder and shall be deemed to be
the agent of the others for such purposes and for the giving or
receiving of any notice required or permitted to be given by
the terms hereof, provided
25
that the Underwriter shall furnish each named Investment
Company with a copy of the bond and with any amendment thereto, together with a
copy of each formal filing of the settlement of each such claim prior to the
execution of such settlement;
(c)
the Underwriter shall not be responsible for the proper application of
any payment made hereunder to said first named Insured;
(d)
knowledge possessed or discovery made by any partner, officer of
supervisory Employee of any Insured shall for the purposes of Section 4
and Section 13 of this bond constitute knowledge or discovery by all the
Insured; and
(e)
if the first named Insured ceases for any reason to be covered under this
bond, then the Insured next named shall thereafter be considered as the first,
named Insured for the purposes of this bond.
SECTION 17. NOTICE AND CHANGE OF CONTROL
Upon the Insured obtaining knowledge of a transfer of its
outstanding voting securities which results in a change in control (as set
forth in Section 2(a) (9) of the Investment Company Act of 1940)
of the Insured, the Insured shall within thirty (30) days of such knowledge
give written notice to the Underwriter setting forth:
(a)
the names of the transferors and transferees (or the names of the
beneficial owners if the voting securities are requested in another name), and
(b)
the total number of voting securities owned by the transferors and the
transferees (or the beneficial owners), both immediately before and after the
transfer, and
(c)
the total number of outstanding voting securities.
As used in this section, control means the power to exercise
a controlling influence over the management or policies of the Insured.
Failing to give the required notice shall result in
termination of coverage of this bond, effective upon the date of stock transfer
for any loss in which any transferee is concerned or implicated.
Such notice is not required to be given in the case of an
Insured which is an Investment Company.
SECTION 18. CHANGE OR MODIFICATION
ICB005 Ed. 7-04 11 of 12 This bond or any instrument amending
or effecting same may
26
not be changed or modified orally. No changes in or
modification thereof shall be effective unless made by written endorsement
issued to form a part hereof over the signature of the Underwriters Authorized
Representative. When a bond covers only one Investment Company no change or
modification which would adversely affect the rights of the Investment Company
shall be effective prior to 60 days after written notification has been furnished
to the Securities and Exchange Commission, Washington, D.C., by the Insured or
by the Underwriter. If more than one Investment Company is named as the Insured
herein, the Underwriter shall give written notice to each Investment Company
and to the Securities and Exchange Commission, Washington, D.C., not less than
60 days prior to the effective date of any change or modification which would
adversely affect the rights of such Investment Company.
ENDORSEMENT OR RIDER NO. THIS ENDORSEMENT CHANGES THE POLICY.
PLEASE READ IT CAREFULLY.
The following spaces preceded by an (*) need
not be completed if this endorsement or rider and the Bond or Policy have the
same inception date.
The hard copy of the bond issued by the
Underwriter will be referenced in the event of a loss
ATTACHED TO AND FORMING
|
DATE
ENDORSEMENT OR
|
* EFFECTIVE DATE OF ENDORSEMENT OR RIDER
|
|
RIDER
EXECUTED
|
|
PART OF BOND OR POLICY NO.
|
|
12:01 A.M. STANDARD TIME AS
|
|
|
|
469BD1910
|
09/05/08
|
SPECIFIED IN THE BOND OR POLICY 08/19/08
|
* ISSUED TO
Hartford Series Fund, Inc.
Named Insured Endorsement
It is agreed that:
1. From and after the time this rider becomes effective the
Insured under the attached bond are:
See Form 40502 Named Insured Schedule
1.
The first
named Insured shall act for itself and for each and all of the Insured for all
the purposes of the attached bond.
2.
Knowledge
possessed or discovery made by any Insured or by any partner or
27
officer thereof shall for all the purposes of the attached
bond constitute knowledge or discovery by all the Insured.
3.
If, prior
to the termination of the attached bond in its entirety, the attached bond is
terminated as to any Insured, there shall be no liability for any loss
sustained by such Insured unless discovered before the time such termination as
to such Insured becomes effective.
4.
The
liability of the Underwriter for loss or losses sustained by any or all of the
Insured shall not exceed the amount for which the Underwriter would be liable
had all such loss or losses been sustained by any one of the Insured. Payment
by the Underwriter to the first named Insured of loss sustained by any Insured
shall fully release the Underwriter on account of such loss.
5.
If the
first named Insured ceases for any reason to be covered under the attached
bond, then the Insured next named shall thereafter be considered as the first
named Insured for all the purposes of the attached bond.
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, provisions, agreements or limitations
of the above mentioned Bond or Policy, other than as above stated.
By
|
|
|
|
INSURED ICB010 Ed. 7-04 a 2004
The St. Paul
|
Authorized
|
Travelers Companies, Inc. All
Rights Reserved
|
Representative Page 1 of 1
|
The following spaces preceded by an (*)
need not be completed if this endorsement or rider and the Bond or Policy have
the same inception date.
The hard copy of the bond issued by the
Underwriter will be referenced in the event of a loss
ATTACHED
TO AND FORMING
|
DATE ENDORSEMENT OR
|
*
EFFECTIVE DATE OF ENDORSEMENT OR RIDER
|
|
RIDER
EXECUTED
|
|
PART
OF BOND OR POLICY NO.
|
|
12:01
A.M. STANDARD TIME AS
|
|
|
|
469BD1910
|
09/05/08
|
SPECIFIED
IN THE BOND OR POLICY 08/19/08
|
* ISSUED TO
Hartford Series Fund, Inc.
Computer Systems
28
It is agreed that:
1. The attached bond is amended by adding an additional
Insuring Agreement as follows:
INSURING AGREEMENT J COMPUTER SYSTEMS
Loss resulting directly from a fraudulent
entry of data into, or
(2)
change of
data elements or program within a Computer System listed in the SCHEDULE below,
provided the fraudulent entry or change causes
Property to be transferred, paid or delivered,
(b) an account
of the Insured, or of its customer, to be added, deleted, debited or credited,
or
(c)
an
unauthorized account or a fictitious account to be debited or credited, and
provided further, the fraudulent entry or change is made or caused by an
individual acting with the manifest intent to
cause the Insured to sustain a loss, and
(ii)
obtain
financial benefit for that individual or for other persons intended by that
individual to receive financial benefit.
SCHEDULE
All computer systems utilized by the Insured
2. As used in this Rider, Computer System means
(a) computers with related peripheral
components, including storage components, wherever located,
systems and applications software,
terminal devices, and
related communication networks
29
by which data are electronically collected, transmitted,
processed, stored and retrieved.
3. In addition to the exclusions in the attached bond, the
following exclusions are applicable to this Insuring Agreement:
(a) loss resulting directly or indirectly
from the theft of confidential information, material or data; and
(b)
loss
resulting directly or indirectly from entries or changes made by an individual
authorized to have access to a Computer System who acts in good faith on
instructions, unless such instructions are given to that individual by a
software contractor (or by a partner, officer or employee thereof) authorized
by the Insured to design, develop, prepare, supply, service, write or implement
programs for the Insureds Computer System.
4. The following portions of the attached bond are not
applicable to this Rider:
(a) the portion preceding the Insuring
Agreements which reads at any time but discovered during the Bond Period;
(b) Section 9
NONREDUCTION AND NON-ACCUMULATION OF LIABILITY of the Conditions and
Limitations; and
(c) Section 10 LIMIT OF LIABILITY of the
Conditions and Limitations.
1.
The
coverage afforded by this Rider applies only to loss discovered by the Insured
during the period this Rider is in force.
2.
All loss or
series of losses involving the fraudulent activity of one individual, or
involving fraudulent activity, in which one individual is implicated, whether
or not that individual is specifically identified, shall be treated as one
loss. A series of losses involving unidentified individuals but arising from
the same method of operation may be deemed by the Underwriter to involve the
same individual and in that event shall be treated as one loss.
3.
The Limit
of Liability for the coverage provided by this Rider shall be
Ten Million
Dollars ($10,000,000), it being understood, however, that
such liability shall be a part of and not in addition to the Limit of Liability
stated in Item 3 of the Declarations of the attached bond or any amendment
thereof.
1.
The
Underwriter shall be liable hereunder for the amount by which one loss exceeds
the Deductible Amount applicable to the attached bond, but not in excess of the
Limit of Liability stated above.
2.
If any loss
is covered under this Insuring Agreement and any other Insuring
30
Agreement or Coverage, the maximum amount payable for such
loss shall not exceed the largest amount available under any one Insuring
Agreement or Coverage.
1.
Coverage
under this Rider shall terminate upon termination or cancellation of the bond
to which this Rider is attached. Coverage under this Rider may also be
terminated or canceled without canceling the bond as an entirety
1.
60 days
after receipt by the Insured of written notice from the Underwriter of its
desire to terminate or cancel coverage under this Rider, or
2.
immediately
upon receipt by the Underwriter of a written request from the Insured to
terminate or cancel coverage under this Rider.
The Underwriter shall refund to the Insured the unearned
premium for the coverage under this Rider. The refund shall be computed at
short rates if this Rider be terminated or canceled or reduced by notice from,
or at the instance of, the Insured.
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, provisions, agreements or limitations
of the above mentioned Bond or Policy, other than as above stated.
By
Authorized Representative
INSURED
The following spaces preceded by an (*)
need not be completed if this endorsement or rider and the Bond or Policy have
the same inception date.
The hard copy of the bond issued by the
Underwriter will be referenced in the event of a loss
ATTACHED
TO AND FORMING
|
DATE ENDORSEMENT OR
|
*
EFFECTIVE DATE OF ENDORSEMENT OR RIDER
|
|
RIDER
EXECUTED
|
|
PART
OF BOND OR POLICY NO.
|
|
12:01
A.M. STANDARD TIME AS
|
|
|
|
469BD1910
|
09/05/08
|
SPECIFIED
IN THE BOND OR POLICY 08/19/08
|
* ISSUED TO
Hartford Series Fund, Inc.
31
Unauthorized Signatures
It is agreed that:
1. The attached bond is amended by inserting an
additional Insuring Agreement as follows:
INSURING AGREEMENT K UNAUTHORIZED SIGNATURE
(A)
Loss resulting directly from
the Insured having accepted, paid or cashed any check or withdrawal order,
draft, made or drawn on a customers account which bears the signature or
endorsement of one other than a person whose name and signature is on the
application on file with the Insured as a signatory on such account.
(B)
It shall be a condition
precedent to the Insureds right of recovery under this Rider that the Insured
shall have on file signatures of all persons who are authorized signatories on
such account.
2. The
total liability of the Underwriter under Insuring Agreement K is limited to the
sum of Ten Million Dollars ($10,000,000), it
being understood, however, that such liability shall
be part of and not in addition to the Limit of Liability stated in Item 3 of
the Declarations of the attached bond or amendment thereof.
3. With respect to coverage afforded under this Rider,
the Deductible Amount shall be Two Hundred Fifty Thousand Dollars ($250,000).
Nothing herein contained shall be held to vary, alter,
waive, or extend any of the terms, conditions, provisions, agreements or
limitations of the above mentioned Bond or Policy, other than as above stated.
By
|
|
Authorized Representative
|
INSURED
The following spaces preceded by an
(*) need not be completed if this endorsement or rider and the Bond or Policy
have the same inception date.
The hard copy of the bond issued by
the Underwriter will be referenced in the event of a loss
32
ATTACHED TO AND FORMING PART OF BOND OR POLICY NO.
469BD1910
|
|
DATE ENDORSEMENT OR RIDER EXECUTED 09/05/08
|
|
* EFFECTIVE DATE OF ENDORSEMENT OR RIDER 12:01 A.M.
STANDARD TIME AS SPECIFIED IN THE BOND OR POLICY 08/19/08
|
* ISSUED TO
Hartford Series Fund, Inc.
Definition of Investment
Company
It is agreed that:
1. Section 1, Definitions, under General
Agreements is amended to include the following paragraph:
(f) Investment Company means an investment
company registered under the Investment Company Act of 1940 and as listed under
the names of Insureds on the Declarations.
Nothing herein contained shall be held to vary, alter,
waive, or extend any of the terms, conditions, provisions, agreements or
limitations of the above mentioned Bond or Policy, other than as above stated.
By
|
|
Authorized Representative
|
INSURED
The following spaces preceded by an
(*) need not be completed if this endorsement or rider and the Bond or Policy
have the same inception date.
ATTACHED TO AND FORMING PART OF BOND OR POLICY NO.
469BD1910
|
|
DATE ENDORSEMENT OR RIDER EXECUTED 09/05/08
|
|
* EFFECTIVE DATE OF ENDORSEMENT OR RIDER 12:01 A.M.
STANDARD TIME AS SPECIFIED IN THE BOND OR POLICY 08/19/08
|
* ISSUED TO
Hartford Series Fund, Inc.
Amend Insuring Agreement F
(Stamp / Medallion)
33
It is agreed that:
1. Paragraph (2) of Insuring Agreement F
-SECURITIES, is deleted in its entirety, and the following is substituted in
lieu thereof:
(2) through the Insureds having, in good faith
and in the course of business, guaranteed in writing or witnessed any signatures,
whether for valuable consideration or not and whether or not such guaranteeing
or witnessing is ultra vires the Insured, upon any transfers, assignments,
bills of sale, powers of attorney, guarantees, endorsements or other
obligations upon or in connection with any securities, documents or other
written instruments and which pass or purport to pass title to such securities,
documents or other written instruments; or purportedly guaranteed in writing or
witnessed any signatures on any transfers, assignments, bills of sale, powers
of attorney, guarantees, endorsements or other obligations upon or in
connection with any securities, documents or other written instruments and
which pass or purport to pass title to such securities, documents or other
written instruments, which purported guarantee was effected by the unauthorized
use of a stamp or medallion of or belonging to the Insured, which was lost,
stolen or counterfeited and for which loss the Insured is legally liable;
excluding losses caused by Forgery or alteration of, on or in those instruments
covered under Insuring Agreement (E) of the attached Bond.
Nothing herein contained shall be held to vary, alter,
waive, or extend any of the terms, conditions, provisions, agreements or
limitations of the above mentioned Bond or Policy, other than as above stated.
By
|
|
Authorized Representative
|
INSURED
The following spaces preceded by an
(*) need not be completed if this endorsement or rider and the Bond or Policy
have the same inception date.
ATTACHED
TO AND FORMING
|
|
DATE ENDORSEMENT OR
RIDER EXECUTED
|
|
*
EFFECTIVE DATE OF ENDORSEMENT OR RIDER
|
|
|
|
|
|
PART OF
BOND OR POLICY NO.
|
|
09/05/08
|
|
12:01 A.M.
STANDARD TIME AS
|
|
|
|
|
|
469BD1910
|
|
|
|
SPECIFIED
IN THE BOND OR POLICY
08/19/08
|
* ISSUED TO
Hartford Series Fund, Inc.
34
Amend General Agreement A -
Newly Created Investment Companies
It is agreed that:
1. General Agreement A. (Additional Offices or
Employees -Consolidation or Merger -Notice) is amended by inserting the
following:
(3) Item 1. of the Declarations shall include any
Newly Created Investment Company or portfolio provided that the Insured shall
submit to the Underwriter following the end of the Bond Period, a list of all
Newly Created Investment Companies or portfolios, the estimated assets of each
Newly Created portfolio and copies of any prospectuses and statements of
additional information relating to such Newly Created Investment Companies or
portfolios unless said prospectuses and statements of additional information
have been previously submitted.
Following the end of the Bond Period, any Newly
Created Investment Company or portfolio created during the period, will
continue to be an Insured only if the Underwriter is notified as set forth in
this paragraph and the information required herein is provided to the
Underwriter, and the Underwriter acknowledges the addition of such Newly
Created Investment Company or portfolio to the Bond by a Rider to this Bond.
2. It is further agreed that the following definition
is added to Section 1.
DEFINITIONS.
(g ) Newly Created Investment Company or portfolio
shall mean any Investment Company or portfolio for which registration with the
SEC has been declared.
Nothing herein contained shall be held to vary, alter,
waive, or extend any of the terms, conditions, provisions, agreements or
limitations of the above mentioned Bond or Policy, other than as above stated.
By
|
|
Authorized Representative
|
INSURED
The following spaces preceded by an
(*) need not be completed if this endorsement or rider and the Bond or Policy
have the same inception date.
The hard copy of the bond issued by
the Underwriter will be referenced in the event of a loss
ATTACHED TO AND FORMING PART OF BOND OR POLICY NO.
469BD1910
|
|
DATE ENDORSEMENT OR RIDER EXECUTED 09/05/08
|
|
* EFFECTIVE DATE OF ENDORSEMENT OR RIDER 12:01 A.M. STANDARD TIME AS SPECIFIED IN THE BOND OR
POLICY 08/19/08
|
35
* ISSUED TO
Hartford Series Fund, Inc.
Add Exclusions
(n) & (o)
It is agreed that:
1. Section 2, Exclusions, under General
Agreements, is amended to include the following sub-sections:
(n)
loss from the use of credit,
debit, charge, access, convenience, identification, cash management or other cards,
whether such cards were issued or purport to have been issued by the Insured or
by anyone else, unless such loss is otherwise covered under Insuring Agreement
A.
(o)
the underwriter shall not be
liable under the attached bond for loss due to liability imposed upon the
Insured as a result of the unlawful disclosure of non-public material
information by the Insured or any Employee, or as a result of any Employee
acting upon such information, whether authorized or unauthorized.
Nothing herein contained shall be held to vary, alter,
waive, or extend any of the terms, conditions, provisions, agreements or
limitations of the above mentioned Bond or Policy, other than as above stated.
By
|
|
Authorized Representative
|
INSURED
The following spaces preceded by an
(*) need not be completed if this endorsement or rider and the Bond or Policy
have the same inception date.
The hard copy of the bond issued by
the Underwriter will be referenced in the event of a loss
ATTACHED TO AND FORMING PART OF BOND OR POLICY NO.
469BD1910
|
|
DATE ENDORSEMENT OR RIDER EXECUTED 09/05/08
|
|
* EFFECTIVE DATE OF ENDORSEMENT OR RIDER 12:01 A.M. STANDARD
TIME AS SPECIFIED IN THE BOND OR POLICY 08/19/08
|
36
* ISSUED TO
Hartford Series Fund, Inc.
Facsimile Signatures
It is agreed that:
1. The attached bond is hereby amended by adding an
additional Insuring Agreement M as follows:
(¦¥) Loss resulting directly from the fact
that an issuer of securities, transfer agent, bank, banker or trust company
received from the Insured or the New York Stock Exchange specimen copies of the
Insureds mechanically reproduced facsimile signature and acted in reliance
upon any false, fraudulent or unauthorized reproduction of such facsimile
signature, whether such facsimile signature is the facsimile signature duly
adopted by the Insured or is one resembling or purporting to be such facsimile
signature, regardless of by whom or by what means the same may have been
imprinted, and whether or not such loss is sustained by reason of the Insureds
having entered into an agreement to be legally liable when such facsimile
signature or one resembling or purporting to be such facsimile signature is
used, provided, however, that
such facsimile signature is used on a
document
(1)
as the signature to an
assignment or other instrument authorizing or effecting the transfer of shares
of stock, or other registered securities, which may now or at any time
hereafter be registered in the name of the Insured on the books of the
association, company or corporation issuing the same; or
(2)
as the signature to a power
of substitution, designating a substitute or substitutes to make the actual
transfer on the books of the issuer of shares of stock, or other registered
securities, in respect of which the Insured may now or at any time hereafter be
named as attorney to effect said transfer, whether said power of substitution
is embodied in an endorsement on the certificate for said shares of stock or
other registered security or in a separate instrument;
(b)
the New York Stock Exchange
has not interposed any objections to the use by the Insured of such facsimile
signature and such agreement, if any, was required by the said Exchange as a
condition to its failing to interpose any such objection;
37
and
(c)
this Insuring Agreement (M)
shall not apply to any Certificated Securities which are Counterfeit.
2. Sub-sections (a) and (e) of Section 2
of the attached bond shall not apply to Insuring Agreement (M).
Nothing herein contained shall be held to vary, alter,
waive, or extend any of the terms, conditions, provisions, agreements or
limitations of the above mentioned Bond or Policy, other than as above stated.
By
|
|
Authorized Representative
|
INSURED
ENDORSEMENT OR RIDER NO. THIS ENDORSEMENT CHANGES THE
POLICY. PLEASE READ IT CAREFULLY.
The following spaces preceded by an
(*) need not be completed if this endorsement or rider and the Bond or Policy
have the same inception date.
The hard copy of the bond issued by
the Underwriter will be referenced in the event of a loss
ATTACHED TO AND FORMING PART OF BOND OR POLICY NO.
469BD1910
|
|
DATE ENDORSEMENT OR RIDER EXECUTED 09/05/08
|
|
* EFFECTIVE DATE OF ENDORSEMENT OR RIDER 12:01 A.M. STANDARD
TIME AS SPECIFIED IN THE BOND OR POLICY 08/19/08
|
* ISSUED TO
Hartford Series Fund, Inc.
Co-Surety Rider
It is agreed that:
1.
The term Underwriter as used in the attached Bond
shall be construed to mean, unless otherwise specified in this Rider, all the
Companies executing the attached Bond.
2.
Each of said Companies shall be liable only for such
proportion of any Single Loss under the attached Bond as the amount
underwritten by such Company as
38
specified in the Schedule forming a part hereof, bears
to the Limit of Liability of the attached Bond, but in no event shall any of
said Companies be liable for an amount greater than that underwritten by it.
3.
In the absence of a request from any of said Companies
to pay premiums directly to it, premiums for the attached Bond may be paid to
the Controlling Company for the account of all of said Companies.
4.
In the absence of a request from any of said Companies
that notice of claim and proof of loss be given to or filed directly with it,
the giving of such notice to and the filing of such proof with the Controlling
Company shall be deemed to be in compliance with the conditions of the attached
Bond for the giving of notice of loss and the filing of proof of loss, if given
and filed in accordance with said conditions.
5.
The Controlling Company may give notice in accordance
with the terms of the attached Bond, terminating or canceling the attached Bond
as an entirety or as to any Employee, and any notice so given shall terminate
or cancel the liability of all said Companies as an entirety or as to such
Employee, as the case may be.
6.
Any Company other than the Controlling Company may
give notice in accordance with the terms of the attached Bond, terminating or
canceling the entire liability of such other Company under the attached Bond or
as to any Employee.
7.
In the absence of a request from any of said Companies
that notice of termination or cancellation by the Insured of the attached Bond
in its entirety be given to or filed directly with it, the giving of such
notice in accordance with the terms of the attached Bond to the Controlling
Company shall terminate or cancel the liability of all of said Companies as an
entirety. The Insured may terminate or cancel the entire liability of any
Company, other than the Controlling Company under the attached Bond by giving
notice of such termination or cancellation to such other Company, and shall
send copy of such notice to the Controlling Company.
8.
In the event of the termination or cancellation of the
attached Bond as an entirety, no Company shall be liable to the Insured for a
greater proportion of any return premium due the Insured than the amount
underwritten by such Company bears to the Limit of Liability of the attached
Bond.
9.
In the event of the termination or cancellation of the
attached Bond as to any Company, such Company alone shall be liable to the
Insured for any return premium due the Insured on account of such termination
or cancellation. The termination or cancellation of the attached Bond as to any
Company other than the Controlling Company shall not terminate, cancel or
otherwise affect the liability of the other Companies under the attached Bond.
12,500,000
|
|
part
of
|
|
St
Paul Fire and Marine Insurance Company
|
$50,000,000
|
|
|
|
Controlling
Company By:
|
|
|
|
|
|
Underwritten
for the Sum of $
|
|
|
|
|
|
|
|
|
|
Underwritten
for the Sum of $
|
|
|
|
Carriers
Name
|
39
|
|
part
of
|
|
|
|
|
|
|
|
|
|
|
|
By:
|
|
|
|
|
|
Underwritten
for the Sum of $
|
|
|
|
Carriers
Name
|
|
|
|
|
|
|
|
part
of
|
|
|
|
|
|
|
|
|
|
|
|
By:
|
Nothing herein contained shall be held to vary, alter,
waive, or extend any of the terms, conditions, provisions, agreements or
limitations of the above mentioned Bond or Policy, other than as above stated.
By
|
|
Authorized Representative
|
INSURED
The following spaces preceded by an
(*) need not be completed if this endorsement or rider and the Bond or Policy
have the same inception date.
The hard copy of the bond issued by
the Underwriter will be referenced in the event of a loss
ATTACHED TO AND FORMING PART OF BOND OR POLICY NO.
469BD1910
|
|
DATE ENDORSEMENT OR RIDER EXECUTED 09/05/08
|
|
* EFFECTIVE DATE OF ENDORSEMENT OR RIDER 12:01 A.M.
STANDARD TIME AS SPECIFIED IN THE BOND OR POLICY 08/19/08
|
* ISSUED TO
Hartford Series Fund, Inc.
Connecticut Rider
It is agreed that:
1. The fifth sentence of the first paragraph of Section 4.
LOSS-NOTICE-PROOF-LEGAL PROCEEDINGS, is hereby deleted in its entirety and
replaced with:
Legal proceedings for the recovery of any loss
hereunder shall not be brought prior to the expiration of 60 days after the
original proof of loss is filed with the Underwriter or after the expiration of
36 months from the discovery of such loss, except that any action or
proceedings to recover hereunder on account of any judgment against the Insured
in any suit mentioned in General Agreement C or to recover attorneys fees paid
in any
40
such suit, shall be begun within 36 months from the
date upon which the judgment in such suit shall become final.
2. Section 13. TERMINATION is amended by the
addition of the following:
The Underwriter may not refuse to renew this bond
unless the Underwriter or its agent shall send, by registered or certified mail
or by mail evidenced by a certificate of mailing, or deliver to the Insured, at
the address shown on the Declarations, at least 60 days advance notice of its
intention not to renew. The notice of intent not to renew shall state or be
accompanied by a statement specifying the reason for such nonrenewal. This
provision shall not apply: (1) In case of nonpayment of premium; or (2) if
the Insured fails to pay any advance premium required by the Underwriter for
renewal.
A premium billing notice shall be mailed or delivered
to the Insured by the Underwriter or its agent not less than 30 days in advance
of the bonds renewal or anniversary date. The premium billing notice shall be
based on the rates and rules applicable to the ensuing policy period.
Failure of the Underwriter or its agent to provide
the Insured with the required notice of nonrenewal or premium billing shall
entitle the Insured to: (1) Renewal of the bond for a term of not less
than 1 year, and (2) the privilege of pro-rata cancellation at the lower
of the current or previous year rates if exercised by the Insured within 60
days from the renewal date or anniversary date. Renewal of a bond shall not
constitute a waiver or estoppel with respect to grounds for cancellation that
existed before the effective date of such renewal.
After the bond has been in effect for more than 60
days, or after the effective date of a renewal bond, the Underwriter may not
cancel the bond unless the cancellation is based on the occurrence, after the
effective date of the bond or renewal, of one or more of the following
conditions: (1) Nonpayment of premium; (2) conviction of a crime
arising out of acts increasing the hazard insured against; (3) discovery
of fraud or material misrepresentation by the Insured in obtaining the policy
or in perfecting any claim thereunder; (4) discovery of any willful or
reckless act or omission by the Insured increasing the hazard insured against; (5) physical
changes in the property that increase the hazard insured against; (6) a
determination by the commissioner that continuation of the bond would violate
or place the Underwriter in violation of the law; (7) a material increase
in the hazard insured against; or (8) a substantial loss of reinsurance by
the Underwriter affecting this particular line of insurance. If the basis for
cancellation is nonpayment of premium, at least 10 days advance notice shall
be given and the Insured may continue the coverage and avoid the effect of the
cancellation by payment in full at any time prior to the effective date of
cancellation. If the basis for cancellation is conviction of a crime arising
out of acts increasing the hazard insured against, discovery of fraud or
material misrepresentation by the Insured in obtaining the bond or in
perfecting any claim thereunder, discovery of any
41
wilful or reckless act or omission by the Insured
increasing the hazard insured against or a determination by the commissioner
that continuation of the bond would violate or place the Underwriter in
violation of the law, at least 10 days advance notice shall be given. In all
other cases, at least 60 days notice shall be given. Notice of cancellation
shall not be effective unless it is sent, by registered or certified mail or by
mail evidenced by a United States Post Office certificate of mailing, or
delivered by the Underwriter to the Insured by the required date.
Nothing herein contained shall be held to vary, alter,
waive, or extend any of the terms, conditions, provisions, agreements or
limitations of the above mentioned Bond or Policy, other than as above stated.
By
|
|
Authorized Representative
|
INSURED
The
following spaces preceded by an (*) need not be completed if this endorsement
or rider and the Policy have the same inception date.
ATTACHED TO AND FORMING PART OF POLICY NO. 469BD1910
|
|
DATE ENDORSEMENT OR RIDER EXECUTED 09/05/08
|
|
* EFFECTIVE DATE OF ENDORSEMENT OR RIDER 12:01 A.M.
LOCAL TIME AS SPECIFIED IN THE POLICY 08/19/08
|
* ISSUED TO
Hartford Series Fund, Inc.
Add Registered
Representatives With Aggregate Limit of Liability MEL4211 Ed. 5-06 For use with
ICB005 Ed. 7-04
It is agreed that:
1. The attached bond is amended by inserting as an
additional sub-part in Section 1(a), definition of Employee, the
following:
x
a person who is a registered representative or a registered
principal associated with an insured except a:
o
(i)
sole proprietor,
42
(ii)
sole stockholder,
(iii)
director or a trustee of an
Insured who is not performing acts coming within the scope of the usual duties
of an officer or an employee, or
(iv)
partner.
2. The following paragraph is added to Section 9.
Non-Reduction and Non-Accumulation of Liability and Total Liability:
Provided, however, that subject to the applicable
Limit of Liability stated in Item 3. of the Declarations, the total liability
of the Underwriter under this bond with respect to all loss involving any
registered representative shall not exceed $0.00 (zero) for all losses
discovered during the Bond Period shown in Item 2. of the Declarations.
Nothing herein contained shall be held to vary, alter,
waive, or extend any of the terms, conditions, provisions, agreements or limitations
of the above mentioned Policy, other than as above stated.
By
|
|
Authorized Representative
|
INSURED
ATTACHED TO AND FORMING PART OF BOND OR POLICY NO.
469BD1910
|
|
DATE ENDORSEMENT OR RIDER EXECUTED 09/05/08
|
|
* EFFECTIVE DATE OF ENDORSEMENT OR RIDER 12:01 A.M.
LOCAL TIME AS SPECIFIED IN THE BOND OR POLICY 08/19/08
|
* ISSUED TO
Hartford Series Fund, Inc.
The hard copy of the bond issued by
the Underwriter will be referenced in the event of a loss
REPLACE INSURING AGREEMENT (A) FIDELITY
For use with ICB005 Ed. 7/04 MEL5530 Ed. 12/07
It is agreed that:
1. Insuring Agreement (A) Fidelity is replaced
with the following:
43
(A) Loss resulting from any dishonest or
fraudulent act(s), including Larceny or Embezzlement, committed by an Employee,
committed anywhere and whether committed alone or in collusion with others,
including loss of Property resulting from such acts of an Employee, which
Property is held by the Insured for any purpose or in any capacity and whether
so held gratuitously or not and whether or not the Insured is liable therefor.
Dishonest or fraudulent act(s) as used in this
Insuring Agreement shall mean only dishonest or fraudulent act(s) committed
by such Employee with the intent:
(a)
to cause the Insured to
sustain such loss, or
(b)
to obtain financial benefit
for the Employee or another person or organization.
Notwithstanding the foregoing, it is agreed that with
regard to Loans and/or Trading this bond covers only loss resulting directly
from dishonest or fraudulent acts committed by an Employee with the intent to
obtain financial benefit and which result in a financial benefit for the
Employee. However, where the proceeds of
a fraud committed by an Employee involving Loans and/or Trading are actually
received by persons with whom the Employee was acting in collusion, but said
Employee fails to derive a financial benefit therefrom, such a loss will
nevertheless be covered hereunder as if the Employee had obtained such benefit
provided the Insured establishes that the Employee intended to participate
therein.
As used in this Insuring Agreement, financial benefit
does not include any employee benefits earned in the normal course of
employment, including: salaries, commissions, fees, bonuses, promotions,
awards, profit sharing and pensions.
Trading as used in this Insuring Agreement means
trading or otherwise dealing in securities, commodities, futures, options,
foreign or federal funds, currencies, foreign exchange or other means of
exchange similar to or in the nature of the foregoing.
Loan as used in this Insuring Agreement means any
extension of credit by the Insured, any transaction creating a creditor
relationship in favor of the Insured and any transaction by which the Insured
assumes an existing creditor relationship.
Nothing herein contained shall be held to vary, alter,
waive, or extend any of the terms, conditions, provisions, agreements or
limitations of the above mentioned Bond or Policy, other than as above stated.
|
By
|
|
|
|
|
Authorized Representative
|
|
|
|
|
|
INSURED
|
|
44
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT
CAREFULLY.
The following spaces proceeded by an (*) need not be
completed if this endorsement or rider and the Bond or Policy have the same
inception date.
Attached
to and Forming Part
|
|
Date Endorsement or Rider
|
|
* Effective Date of Endorsement or Rider
|
of Bond Or Policy No.
469BD1910
|
|
Executed
09/04/08
|
|
08/19/08
12:01 A.M. Standard Time as
|
|
|
|
|
Specified in the Bond or Policy
|
*ISSUED
TO
|
|
|
|
|
|
|
|
|
|
Hartford
Series Fund, Inc.
|
|
|
|
|
REPLACE
GENERAL AGREEMENT B WARRANTY ENDORSEMENT MEL6139 Ed. 09/08 FOR USE WITH
INVESTMENT COMPANY BLANKET BOND ICB005 Ed. 7/04
It is agreed that General Agreement B. WARRANTY is
replaced with the following:
No statement made by or on behalf of the Insured,
whether contained in the application or otherwise, shall be deemed to be a
warranty of anything except that it is true to the best of the knowledge and
belief of the person who signed the application.
Nothing herein contained shall be held to vary, alter,
waive, or extend any of the terms, conditions, provisions, agreements or
limitations of the above mentioned Bond or Policy, other than as above stated.
By Authorized Representative
© 2008 The Travelers Companies, Inc. All Rights
Reserved
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT
CAREFULLY.
The following spaces preceded by an
(*) need not be completed if this endorsement or rider and the Policy have the
same inception date.
ATTACHED TO AND FORMING PART OF BOND OR POLICY
NO. 469BD1910
|
|
DATE ENDORSEMENT OR RIDER EXECUTED 09/04/08
|
|
* EFFECTIVE DATE OF ENDORSEMENT OR RIDER 12:01 A.M.
LOCAL TIME AS SPECIFIED IN THE POLICY 08/19/08
|
* ISSUED TO
45
Hartford Series Fund, Inc.
AMEND SECTION 17.
NOTICE AND CHANGE OF CONTROL ENDORSEMENT FOR USE WITH INVESTMENT COMPANY
BLANKET BOND ICB005 Ed. 7/04 MEL6140 Ed. 09/08
It is agreed that:
The first paragraph of SECTION 17. NOTICE AND CHANGE OF
CONTROL of the CONDITIONS AND LIMITATIONS is replaced with the following:
Upon a person in the risk management department, law
department or internal audit department of the Insured obtaining knowledge of a
transfer of the Insureds outstanding voting stock, either because it has
resulted from:
a) a change of ownership in an amount that is 20% or more its
outstanding voting securities, or b) a change in ownership in an amount other
than 20%, should that amount constitute a change of control as set forth in Section 2(a) (9) of
the Investment Company Act of 1940
the Insured
shall within thirty (30) days of such knowledge give written notice to
Underwriter setting forth:
(1)
the names of the transferors
and transferees (or the names of the beneficial owners if the voting securities
are requested in another name), and
(2)
the total number of voting
securities owned by the transferors and the transferees (or the beneficial
owners), both immediately before and after the transfer, and
(3)
the total number of
outstanding voting securities.
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, provisions, agreements or limitations
of the above mentioned Bond or Policy, other than as above stated.
By Authorized Representative
© 2008 The Travelers Companies, Inc. All Rights Reserved
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT
CAREFULLY.
The following spaces proceeded by an (*) need not be
completed if this endorsement or rider and the Bond or Policy have the same inception
date.
46
Attached
to and Forming Part
of Bond Or Policy No.
469BD1910
|
|
Date Rider Executed
09/04/08
|
|
* Effective Date of Rider
08/19/08
12:01 A.M.
Standard Time as
Specified in the Bond or Policy
|
*ISSUED
TO
Hartford
Series Fund, Inc
AMEND SECTION 15.
CENTRAL HANDLING OF SECURITIES ENDORSEMENT MEL6141 - Ed. 09/08 FOR USE WITH
INVESTMENT COMPANY BLANKET BOND ICB005, Ed. 7/04
It is agreed that the first paragraph of Section 15. CENTRAL
HANDLING OF SECURITIES of the CONDITIONS AND LIMITATIONS is replaced by the
following:
Securities included in the system for the central handling of
securities established and maintained by Depository Trust Company, Midwest
Depository Trust Company, Pacific Securities Depository Trust Company,
Philadelphia Depository Trust Company and any other depository trust company
which performs the same type of functions for the Insured as the specifically
named trust companies, hereinafter called collectively Corporations, to the
extent of the Insureds interest therein as effected by the making of
appropriate entries on the books and records of such Corporations shall be
deemed to be Property.
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, provisions, agreements or limitations
of the above mentioned Bond or Policy, other than as above stated.
By Authorized Representative
© 2008 The Travelers Companies, Inc. All Rights Reserved
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT
CAREFULLY.
The following spaces preceded by an
(*) need not be completed if this endorsement or rider and the Policy have the
same inception date.
ATTACHED TO AND FORMING PART OF BOND OR POLICY
NO. 469BD1910
|
|
DATE ENDORSEMENT OR RIDER EXECUTED 09/04/08
|
|
* EFFECTIVE DATE OF ENDORSEMENT OR RIDER 12:01 A.M.
LOCAL TIME AS SPECIFIED IN THE POLICY 08/19/08
|
* ISSUED TO
47
Hartford Series Fund, Inc.
AMEND SECTION 13.
TERMINATION AND SECTION 2. EXCLUSIONS ENDORSEMENT MEL6142 Ed. 09/08 FOR
USE WITH INVESTMENT COMPANY BLANKET BOND ICB005 Ed. 7/04
It is agreed that:
A. SECTION 13 TERMINATION of the CONDITIONS AND
LIMITATIONS is amended by:
1.
Deleting the term 60 days
wherever it appears in the first paragraph and replacing it with 90 days.
1.
Deleting sub sections (a) and
(c) from the third paragraph and replacing them with the following:
1.
as to any Employee as soon
as any employee of the risk management, compliance, internal audit or legal
departments of the Insured, or a director or officer of the Insured not in
collusion with such Employee discovers any dishonest or fraudulent act(s),
including Larceny or Embezzlement on the part of such Employee without
prejudice to the loss of any Property then in transit in the custody of such
Employee (see Section 16(d)), provided however, that this provision will
not apply if the dishonest or fraudulent act(s), Larceny or Embezzlement
occurred prior to employment with the Insured and the amount of the loss did
not exceed $25,000, or
2.
as to any person, who is a
partner, officer or employee of any Electronic Data Processor covered under
this bond, from and after the time that the Insured or any partner or officer
thereof not in collusion with such person shall have knowledge or information
that such person has committed any dishonest or fraudulent act(s), including
Larceny or Embezzlement in the service of the Insured or otherwise, whether
such act be committed before or after this bond is effective, provided however,
that this provision will not apply if the dishonest or fraudulent act occurred
prior to employment with said Electronic Data Processor covered hereunder and
the amount of the loss did not exceed $25,000.
B. The following is added to SECTION 2. EXCLUSIONS of
the CONDITIONS AND LIMITATIONS:
THIS BOND DOES NOT COVER:
(p) Loss resulting directly or indirectly from the
dishonest or fraudulent act(s), including Larceny or Embezzlement on the part
of an Employee without prejudice to the loss of any Property then in transit in
the custody of such Employee (see Section 16 (d)), if at the time of such
dishonest or fraudulent act(s), an Employee of the risk
48
management, compliance, internal audit or legal departments
of the Insured who is not in collusion with such person knows or knew of any
prior dishonest or fraudulent act committed by such person at any time, whether
in the employment of the Insured or otherwise, whether or not of the type
covered under Insuring Agreement (A), against the Insured or any other person
or entity and without regard to whether the knowledge was
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, provisions, agreements or limitations
of the above mentioned Bond or Policy, other than as above stated.
By Authorized Representative
© 2008 The Travelers Companies, Inc. All Rights Reserved
obtained before or after commencement of this Bond. Provided, however, that
this exclusion will not apply if the dishonest or fraudulent act(s), Larceny or
Embezzlement occurred prior to employment with the Insured and the amount of
the loss did not exceed $25,000.
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, provisions, agreements or limitations
of the above mentioned Bond or Policy, other than as above stated.
By Authorized Representative
© 2008 The Travelers Companies, Inc. All Rights Reserved
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT
CAREFULLY.
The following spaces proceeded by an (*) need not be
completed if this endorsement or rider and the Bond or Policy have the same
inception date.
Attached
to and Forming Part
of Bond Or Policy No.
469BD1910
|
|
Date Rider Executed
09/04/08
|
|
* Effective Date of Rider
08/19/08
12:01 A.M.
Standard Time as
Specified in the Bond or Policy
|
*ISSUED
TO
Hartford
Series Fund, Inc.
AMEND SECTION 6.
VALUATION OF PREMISES AND FURNISHINGS ENDORSEMENT MEL6143 - Ed. 09/08 FOR USE
WITH INVESTMENT COMPANY BLANKET BOND ICB005, Ed. 7/04
It is agreed that Section 6. VALUATION OF PREMISES AND
FURNISHINGS of the
49
CONDITIONS AND LIMITATIONS is replaced by the following:
In the case of covered damage to any office of the Insured,
or covered loss of or damage to the furnishings, fixtures, stationery,
supplies, equipment, safes or vaults therein, other than to books of account
and other records, the Underwriter shall be liable for the full cost of repair
or replacement of such Property, without deduction for depreciation.
Disagreement between the Underwriter and the Insured as to
the full cost of repair or replacement of such
Property shall be resolved by arbitration.
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, provisions, agreements or limitations
of the above mentioned Bond or Policy, other than as above stated.
By Authorized Representative
© 2008 The Travelers Companies, Inc. All Rights Reserved
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT
CAREFULLY.
The following spaces proceeded by an (*) need not be
completed if this endorsement or rider and the Bond or Policy have the same
inception date.
Attached
to and Forming Part
of Bond Or Policy No.
469BD1910
|
|
Date Rider Executed
09/04/08
|
|
* Effective Date of Rider
08/19/08
12:01 A.M.
Standard Time as
Specified in the Bond or Policy
|
*ISSUED
TO
Hartford
Series Fund, Inc.
REPLACE SECTION 5.
VALUATION OF PROPERTY ENDORSEMENT MEL6144 - Ed. 09/08 FOR USE WITH INVESTMENT
COMPANY BLANKET BOND ICB005, Ed. 7/04
It is agreed that Section 5. VALUATION OF PROPERTY of
the CONDITIONS AND LIMITATIONS is replaced by: the following
The value of any Property, except books of accounts or other
records used by the Insured in the conduct of its business or securities, for
the loss of which a claim shall be made hereunder, shall be determined by the
average market value of such Property on
50
the business day next preceding the discovery of such loss;
provided, however, that the value of any Property replaced by the Insured prior
to the payment of claim therefore shall be the actual market value at the time
of replacement.
In the case of a loss of any securities, the Underwriter
shall settle in kind its liability under this bond, or at the option of the
Insured, shall pay thereto the cost of replacing such securities, determined by
their highest quoted market value at any time between the business day next
preceding the discovery of the loss and the day on which the loss is settled.
In the case of a loss or misplacement of interim certificates, warrants, or
rights, the production of which is necessary to the exercise of subscription,
conversion or redemption or deposit privileges, the value thereof shall be the
highest quoted market value at any time between the business day next preceding
the discovery of the loss and the day on which the loss is settled. If such securities
cannot be replaced or have no quoted market value, of if such privileges have
no quoted market value, their value shall be determined by agreement or
arbitration.
If the applicable coverage of this Bond is subject to a
Single Loss Deductible Amount or is not sufficient in amount to indemnify the
Insured in full for the loss of securities for which claim is made hereunder,
the liability of the Underwriter under this Bond is limited to the payment for,
or the duplication of, that portion of such securities as has a value equal to
the amount of such applicable coverage.
In the case of any loss or damage to Property consisting of
books of accounts or other records used by the Insured in the conduct of its
business, the Underwriter, shall be liable under this Bond only if such books
or records are actually reproduced and then for not more than the cost of blank
books, blank pages or other materials plus the cost of labor for the
actual transcription or copying of data which shall have been furnished by the
Insured in order to reproduce such books and other records.
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, provisions, agreements or limitations
of the above mentioned Bond or Policy, other than as above stated.
By
Authorized Representative
© 2008 The Travelers Companies, Inc. All Rights Reserved
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT
CAREFULLY.
The following spaces proceeded by an (*) need not be
completed if this endorsement or rider and the Bond or Policy have the same
inception date.
51
Attached
to and Forming
|
|
Date Rider Executed
|
|
* Effective Date of Rider
|
Part
of Bond Or Policy No.
469BD1910
|
|
09/04/08
|
|
08/19/08
12:01 A.M.
Standard Time as
Specified in the Bond or Policy
|
*ISSUED
TO
Hartford
Series Fund, Inc.
AMEND SECTION 4.
LOSS NOTICE PROOF LEGAL PROCEEDINGS; DESIGNATE PERSONS FOR DISCOVERY OF
LOSS ENDORSEMENT MEL6145 - Ed. 09/08 FOR USE WITH INVESTMENT COMPANY BLANKET
BOND ICB005, Ed. 7/04
It is agreed that:
Section 4. LOSS NOTICE PROOF LEGAL PROCEEDINGS of
the CONDITIONS AND LIMITATIONS is amended by:
1.
|
Replacing the second sentence with the following:
|
|
|
2.
|
At the earliest practical moment, not to exceed ninety
(90) days after discovery of any loss hereunder by a person in the Insureds
risk management department, the Insured shall give the Underwriter written
notice thereof and shall also within six months after such discovery furnish
to the Underwriter affirmative proof of loss with full particulars.
|
2.
Replacing the final
paragraph with the following:
This bond applies to loss discovered by the Insured during
the Bond Period. Discovery occurs when the risk manager is made aware of facts which
would cause a reasonable person to assume that a loss of a type covered by this
bond has been or will be incurred, regardless of when the act or acts causing
or contributing to such loss occurred, even though the exact amount or details
of loss may not yet be known.
Discovery also occurs when the risk manager receives notice
of an actual or potential claim in which it is alleged that the Insured is
liable to a third party under circumstances which, if true, would constitute a
loss under this bond, even though the exact amount or details of loss may not
yet be known.
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, provisions, agreements or limitations
of the above mentioned Bond or Policy, other than as above stated.
By
Authorized Representative
© 2008 The Travelers Companies, Inc. All Rights Reserved
52
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT
CAREFULLY.
The following spaces preceded by an
(*) need not be completed if this endorsement or rider and the Policy have the
same inception date.
ATTACHED TO AND FORMING PART OF POLICY NO.
469BD1910
|
|
DATE ENDORSEMENT OR RIDER EXECUTED 09/04/08
|
|
* EFFECTIVE DATE OF ENDORSEMENT OR RIDER 12:01 A.M.
LOCAL TIME AS SPECIFIED IN THE POLICY 08/19/08
|
* ISSUED TO
Hartford Series Fund, Inc.
AMEND
DEFINITION OF EMPLOYEE ENDORSEMENT MEL6146 Ed. 09/08 FOR USE WITH ICB005
Ed. 7/04
It is agreed that the following is added to Definition (a),
Employee, of Section 1. - DEFINITIONS, of the CONDITIONS AND LIMITATIONS:
Employee also means:
(a)
|
any of the Insureds terminated or retired employees for a
period of 90 days after termination or retirement, excluding, however, any
employee whose termination arises out of or involves any dishonest or
fraudulent activity committed by or involving such employee;
|
|
|
(b)
|
any natural person in the service of the insured while on
medical, military or other leave of absence who exercises signing authority
on behalf of the Insured, provided such authority has not been effectively
rescinded; and
|
|
|
(c)
|
consultants under contract with the Insured, but only while
such consultants are subject to the Insureds direction and control and
performing service for the Insured, excluding, however, any such consultant
while having care and custody of the Insureds property outside the Insureds
premises.
|
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, provisions, agreements or limitations
of the above mentioned Bond or Policy, other than as above stated.
By Authorized Representative
© 2008 The Travelers Companies, Inc. All Rights Reserved
53
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT
CAREFULLY.
The following spaces proceeded by an (*) need not be
completed if this endorsement or rider and the Bond or Policy have the same
inception date.
Attached
to and Forming
Part
of Bond Or Policy No.
469BD1910
|
|
Date Endorsement or Rider
Executed
09/04/08
|
|
* Effective Date of Endorsement or Rider
08/19/08
12:01 A.M.
Standard Time as
Specified in the Bond or Policy
|
*ISSUED
TO
|
|
|
|
|
|
|
|
|
|
Hartford
Series Fund, Inc.
|
|
|
|
|
AMEND
GENERAL AGREEMENT A ADDITIONAL OFFICES OR EMPLOYEES CONSOLIDATION OR MERGER
NOTICE ENDORSEMENT FOR USE WITH INVESTMENT COMPANY BLANKET BOND ICB005 Ed.
7/04 MEL6147 Ed. 09/08
It is agreed that:
Section (2). of GENERAL AGREEMENT A. ADDITIONAL OFFICES
OR EMPLOYEES CONSOLIDATION OR MERGER NOTICE is replaced with the following:
(2) If an Investment Company named as Insured herein
shall, while this bond is in force, merge or consolidate with, or purchase the
assets of another institution (hereinafter referred to as a Transaction),
coverage for such institution shall apply automatically from the date of the
Transaction. The Insured shall notify the Underwriter of such Transaction
within ninety days of said Transaction, and an additional premium shall be
computed only if such Transaction involves the addition of offices or employees
to an existing Insured.
Notwithstanding the foregoing, the Underwriter agrees to
automatically extend such coverage as is afforded under this bond to any
consolidated, merged or acquired institution which:
(a)
has less than
$25,000,000,000 (twenty five billion dollars) in total assets, and
(b)
has no paid Financial
Institution Bond losses within the past three years
without the payment of additional premium for the remainder
of the premium period, provided, however, the Insured gives the Underwriter
written notice of such Transaction after the effective date of the Transaction.
54
Further, if the Insured shall, while this bond is in force,
consolidate or merge with or purchase or acquire assets or liabilities of
another institution from, through or with the assistance of any
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, provisions, agreements or limitations
of the above mentioned Bond or Policy, other than as above stated.
By
Authorized Representative
© 2008 The Travelers Companies, Inc. All Rights Reserved
Page 1 of 2
regulatory body, the Underwriter agrees to automatically
extend such coverage as is afforded under this bond to such institution on a
loss sustained/Retroactive Date basis, subject to the institution having less
than $25,000,000,000 (twenty five billion dollars) in total assets and subject
to the following conditions and limitations:
(a)
|
This bond covers only loss(es) sustained by the Insured on
or after the Retroactive Date and prior to the termination or cancellation of
this bond provided, however, that such loss is discovered during the period
that this bond is in force.
|
|
|
(b)
|
This bond excludes any loss(es) arising out of or in any
way involving any act, error, omission, transaction, casualty or event,
occurring or allegedly occurring, prior to the Retroactive date.
|
|
|
(c)
|
Retroactive date as used herein shall mean the effective
date of such Transaction.
|
|
|
(d)
|
The Insured shall give the Underwriter written notice of
such Transaction within 90 days after the effective date of such Transaction.
|
|
|
(e)
|
If the assets or liabilities of such consolidated, merged
or purchased, or acquired institution are less than $25,000,000,000 (twenty
five billion dollars) the Underwriter agrees to waive payment of additional
premium for the remainder of the premium period. Otherwise, the Insured shall
pay the Underwriter any additional premium as may be required by the
Underwriter.
|
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, provisions, agreements or limitations
of the above mentioned Bond or Policy, other than as above stated.
55
By Authorized Representative
© 2008 The Travelers Companies, Inc. All Rights Reserved
Page 2 of 2
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT
CAREFULLY.
The following spaces preceded by an
(*) need not be completed if this endorsement or rider and the Policy have the
same inception date.
ATTACHED TO AND FORMING PART OF BOND OR POLICY
NO. 469BD1910
|
|
DATE ENDORSEMENT OR RIDER EXECUTED 09/04/08
|
|
* EFFECTIVE DATE OF ENDORSEMENT OR RIDER 12:01 A.M.
LOCAL TIME AS SPECIFIED IN THE POLICY 08/19/08
|
* ISSUED TO
Hartford Series Fund, Inc.
AMEND
INSURING AGREEMENT (F) SECURITIES ENDORSEMENT FOR USE WITH INVESTMENT
COMPANY BLANKET BOND ICB005 Ed. 7/04 MEL6148 Ed. 09/08
It is agreed that the last paragraph of Insuring Agreement (F) SECURITIES
is replaced with the following:
A signature that is a mechanical or electronic reproduction
of a handwritten signature produced by a mechanical check writing machine or a
computer printer is treated the same as the handwritten signature. Any other
Electronic Signature, however, is not treated the same as a mechanical or
electronic reproduction of a handwritten signature and is not a Forgery under
the coverage of this Insuring Agreement.
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, provisions, agreements or limitations
of the above mentioned Bond or Policy, other than as above stated.
By Authorized Representative
© 2008 The Travelers Companies, Inc. All Rights Reserved
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT
CAREFULLY.
The following spaces preceded by an
(*) need not be completed if this endorsement or rider and the Policy have the
same inception date.
56
ATTACHED TO AND FORMING PART OF BOND OR POLICY
NO. 469BD1910
|
|
DATE ENDORSEMENT OR RIDER EXECUTED 09/04/08
|
|
* EFFECTIVE DATE OF ENDORSEMENT OR RIDER 12:01 A.M.
LOCAL TIME AS SPECIFIED IN THE POLICY 08/19/08
|
* ISSUED TO
Hartford Series Fund, Inc.
AMEND
INSURING AGREEMENT (E) FORGERY OR ALTERATION ENDORSEMENT FOR USE WITH
INVESTMENT COMPANY BLANKET BOND ICB005 Ed. 7/04 MEL6149 Ed. 09/08
It is agreed that:
1. The first paragraph of Insuring Agreement (E) FORGERY
AND ALTERATION is replaced with the following: Loss through Forgery or
alteration of, on or in any:
(1)
bills of exchange, checks
(except any Substitute Check), drafts, acceptances, certificates of deposit,
promissory notes, or other written promises, orders or directions to pay sums
certain in money, due bills, money orders, warrants, orders upon public
treasuries, letters of credit;
(2)
other written
instructions, advices or applications directed to the Insured, authorizing or
acknowledging the transfer, payment, delivery or receipt of funds or Property,
which instructions, advices or applications purport to have been signed or
endorsed by any:
customer of the Insured,
(b)
shareholder or subscriber to
shares, whether certificated or uncertificated, of any Investment Company,
(c)
financial or
banking institution or stockbroker, or
Employee,
but which instructions, advices or applications either bear
the forged signature or endorsement or have been altered without the knowledge
and consent of such customer, shareholder or subscriber to shares, financial or
banking institution or stockbroker, or Employee; or
(3)
withdrawal orders or receipts for the withdrawal of
fund or Property, or receipts or
57
certificates of deposit for Property and bearing the name of
the Insured as issuer, or of another Investment Company for which the Insured
acts as agent; and
loss resulting from the transferring, paying or delivering of
any funds or Property in good faith reliance upon any Substitute Check that
bears a copy of a handwritten signature of any maker or drawer which is a
Forgery,
excluding, however, any loss covered under Insuring Agreement
(F) hereof whether or not coverage for Insuring Agreement (F) is
provided for in the Declarations of this bond.
2. The last paragraph of Insuring Agreement (E) FORGERY
AND ALTERATION is replaced with the following:
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, provisions, agreements or limitations
of the above mentioned Bond or Policy, other than as above stated.
By Authorized Representative
© 2008 The Travelers Companies, Inc. All Rights Reserved
A signature that is a mechanical or electronic reproduction of a handwritten
signature produced by a mechanical check writing machine or a computer printer
is treated the same as the handwritten signature. Any other Electronic
Signature, however is not treated the same as a mechanical or electronic
reproduction of a handwritten signature and is not a Forgery under the coverage
of this Insuring Agreement.
3. The following are added to Section 1. DEFINITIONS of
the CONDITIONS AND LIMITATIONS:
(f)
|
Substitute Check means a paper reproduction of an
original Written check as defined in the Check Clearing for the 21
st
Century Act.
|
|
|
(g)
|
Written means printed, typewritten or otherwise
intentionally reduced to tangible form. It does not include an Electronic
Record.
|
|
|
(h)
|
Electronic Record means information which is created,
generated, sent, communicated, received, or stored by electronic means and is
retrievable in perceivable form.
|
|
|
(i)
|
Electronic Signature means an Electronic sound, symbol or
process attached to or logically associated with an Electronic Record and
executed or adopted by a person with the intent to sign the Electronic
Record.
|
58
(j)
|
Electronic means relating to technology having
electrical, digital, magnetic, wireless, optical, electromagnetic, or similar
capabilities.
|
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms, conditions, provisions, agreements or limitations
of the above mentioned Bond or Policy, other than as above stated.
By Authorized Representative
© 2008 The Travelers Companies, Inc. All Rights Reserved
THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT
CAREFULLY.
The following spaces preceded by an
(*) need not be completed if this endorsement or rider and the Policy have the
same inception date.
ATTACHED TO AND FORMING PART OF BOND OR POLICY
NO. 469BD1910
|
|
DATE ENDORSEMENT OR RIDER EXECUTED 09/04/08
|
|
* EFFECTIVE DATE OF ENDORSEMENT OR RIDER 12:01 A.M.
LOCAL TIME AS SPECIFIED IN THE POLICY 08/19/08
|
* ISSUED TO
Hartford Series Fund, Inc.
AMEND
INSURING AGREEMENT (C), ON PREMISES ENDORSEMENT FOR USE WITH INVESTMENT COMPANY
BLANKET BOND ICB005 Ed. 7/04 MEL6150 Ed. 9/08
1. It is agreed that the first paragraph of Insuring
Agreement (C) On Premises is replaced with the following:
Loss of Property (occurring with or without negligence or violence)
through robbery, burglary, Larceny, theft, holdup, or other fraudulent means,
misplacement, mysterious unexplainable disappearance, damage thereto or
destruction thereof, abstraction or removal from the possession, custoday or
control of the Insured, and loss of subscription, conversion, redemption or
deposit privileges through the misplacement or loss of Property, while the
Property is (or is supposed or believed by the Insured to be) lodged or
deposited within any offices or premises of the Insured or lodged or deposited
within offices or premises located anywhere, except in any office listed in
Item 4 of the Declarations or amendment thereof or in the mail or with a
carrier for hire, other than an armored motor vehicle company, for the purpose
of transportation.
Nothing herein contained shall be held to vary, alter, waive,
or extend any of the terms,
59
conditions, provisions, agreements or limitations of the
above mentioned Bond or Policy, other than as above stated.
By Authorized Representative
© 2008 The Travelers Companies, Inc. All Rights Reserved
60
Resolutions of the Boards of
Directors of
Hartford Series Fund, Inc.
Hartford HLS Series Fund II, Inc.
The Hartford Mutual Funds, Inc.
The Hartford Mutual Funds II, Inc.
The Hartford Income Shares Fund, Inc.
Approved August 6, 2008
Renewal of Joint Fidelity Bond
RESOLVED
, that each of the officers
of The Hartford Mutual Funds, Inc., The Hartford Mutual Funds II, Inc.,
The Hartford Income Shares Fund, Inc., Hartford Series Fund, Inc.,
and Hartford HLS Series Fund II, Inc. (each, a Company and collectively,
the Companies) is hereby authorized to enter into a joint fidelity bond written
by several insurance companies described in the materials previously provided
and presented at this meeting, so that the amount of insurance is equal to the
greater of $50 million or the amount required by the Investment Company Act of
1940 (1940 Act) (the Joint Bond), in substantially the form presented at
this meeting, for the period ending on or about August 19, 2009; and
FURTHER RESOLVED
, that the Joint Bond will
cover, among other things, officers of the Companies in accordance with the
requirements of Rule 17g-1 under the 1940 Act; and
FURTHER RESOLVED,
that
after considering such factors as: the value of the
aggregate assets of the
Companies to which any person covered under the Joint Bond may have access; the
types and terms of the arrangements for the custody and safekeeping of such
assets and the nature of the securities in the portfolio of each Company,
management has represented and it is the judgment of each Board that the form
of and the amount of the Joint Bond are reasonable, and are hereby approved;
and
FURTHER RESOLVED
, that in approving the
Joint Bond, each Board has also given due consideration to, among other things,
(i) the total amount of the Joint Bond; (ii) the amount of the
premium of the Joint Bond; (iii) the ratable allocation of the total
premium among all the insureds; and (iv) that the share of the premium
allocated to each Company under the Joint Bond is less than the premium that
each Company would have had to pay had each Company maintained a single insured
bond; and
FURTHER RESOLVED
, that each of the officers
of each Company is hereby authorized and directed to enter into an agreement on
behalf of the Company, as
required
by Rule 17g-1(f) under the 1940 Act, with each of the other insured
Companies, providing in substance that in the event any recovery is received
under the Joint Bond as a result of a loss sustained by the Company and also by
one or more of the other insured Companies, the Company shall receive an
equitable and proportionate share of the recovery, but in no event less than
the amount it would have received had it provided and maintained a single
insured bond with the minimum coverage required by Rule 17g-1(d)(1); and
FURTHER RESOLVED
, that each of the officers
of each Company is hereby authorized and directed to pay on behalf of that
Company its respective portion of the total premium, pro rata based on net
assets; and
FURTHER RESOLVED
, that the Secretary of each
Company or his delegate is hereby instructed to make all filings with the SEC
and to give all notices required by Rule 17g-1 under the 1940 Act on
behalf of the Company with respect to the Joint Bond; and
FURTHER RESOLVED
, that each of the officers
of each Company is hereby authorized and directed to increase the amount of the
Joint Bond at any time and from time to time as they may deem necessary or
appropriate to comply with Rule 17g-1 under the 1940 Act, such
determination to be conclusively evidenced by such acts; and
FURTHER RESOLVED,
that
each of the officers of each Company is hereby
authorized to execute and
deliver such documents as may be necessary to effect the policy and authorized
and directed to take such other actions as they deem reasonably necessary to
carry out these resolutions and to comply with Rule 17g-1 under the 1940
Act.
Joint Insured Bond Agreement for
Proportionate Recovery
Effective August 19, 2008
In accordance with Rule 17g-1(f) of the Investment Company
Act of 1940, the parties listed on the signature pages (the Parties)
hereby agree as follows:
WHEREAS
, each of the Parties is an insured
under the Financial Institution Bond issued by Travelers Casualty and Surety
Company (the Bond), effective August 19, 2008; and
WHEREAS
, the Bond provides joint fidelity bond
coverage in accordance with Rule 17g-1; and
WHEREAS
, under the terms of the Bond, the
fidelity coverage is $50 million per occurrence; and
In consideration of the benefits provided by the purchase of the joint
Bond coverage,
NOW THEREFORE, IT IS AGREED THAT:
In the event recovery is received under the Bond as a result of a loss
sustained by a Fund and another of the Parties, the Fund shall receive an
equitable and proportionate share of the recovery, at least equal to the amount
that it would have received had the Fund provided and maintained a single
insured bond with the minimum coverage required by Rule 17g-1(d)(1).
IN WITNESS WHEREOF
, the Parties hereto have
caused this agreement to be executed by their duly authorized representative.
Hartford Series Fund, Inc.*
Hartford HLS Series Fund II, Inc. *
The Hartford Mutual Funds, Inc. *
The Hartford Mutual Funds II, Inc. *
The Hartford Income Shares Fund, Inc.
By:
|
/s/ Edward P. Macdonald
|
|
|
Edward P. Macdonald
|
|
Vice President
|
*
For itself and on behalf of its series listed on Appendix A.
APPENDIX A
Hartford Series Fund, Inc.
Hartford Advisers HLS Fund
Hartford Capital Appreciation HLS Fund
Hartford Disciplined Equity HLS Fund
Hartford Dividend and Growth HLS Fund
Hartford Equity Income HLS Fund
Hartford Fundamental Growth HLS Fund (formerly
Hartford Focus HLS Fund)
Hartford Global Advisers HLS Fund
Hartford Global Equity HLS Fund
Hartford Global Communications HLS Fund(1)
Hartford Global Financial Services HLS Fund(1)
Hartford Global Growth HLS Fund (formerly Hartford
Global Leaders HLS Fund)
Hartford Global Health HLS Fund
Hartford Global Technology HLS Fund
Hartford Growth HLS Fund
Hartford High Yield HLS Fund
Hartford Index HLS Fund
Hartford International Growth HLS Fund (formerly
Hartford International Capital Appreciation HLS Fund)
Hartford International Opportunities HLS Fund
Hartford International Small Company HLS Fund
Hartford MidCap HLS Fund
Hartford MidCap Value HLS Fund
Hartford Money Market HLS Fund
Hartford Mortgage Securities HLS Fund (2)
Hartford Small Company HLS Fund
Hartford Stock HLS Fund
Hartford Total Return Bond HLS Fund
Hartford Value HLS Fund
American Funds Asset Allocation HLS Fund
American Funds Blue Chip Income and Growth HLS Fund
American Funds Bond HLS Fund
American Funds Global Bond HLS Fund
American Funds Global Growth HLS Fund
American Funds Global Growth and Income HLS Fund
American Funds Global Small Capitalization HLS Fund
American Funds Growth HLS Fund
American Funds Growth-Income HLS Fund
American Funds International HLS Fund
American Funds New World HLS Fund
(1) On August 22, 2008, the Hartford Global Communications HLS Fund, Hartford
Global Financial Services HLS Fund and Hartford Global Technology HLS Fund merged
into Hartford Global Equity HLS Fund
(2) On or about September 26, 2008 Hartford Mortgage Securities HLS Fund
will merge into Hartford U.S. Government Securities HLS Fund
Hartford HLS Series Fund II, Inc.
Hartford Growth Opportunities HLS Fund
Hartford Large Cap Growth HLS Fund(3)
Hartford MidCap Growth HLS Fund (formerly Hartford
MidCap Stock HLS Fund)
Hartford SmallCap Growth HLS Fund
Hartford SmallCap Value HLS Fund
Hartford U.S. Government Securities HLS Fund(4)
Hartford Value Opportunities HLS Fund
(3) On February 2, 2007 Hartford Capital
Opportunities HLS Fund and Hartford LargeCap Growth HLS Fund merged into
Hartford Blue Chip Stock HLS Fund and Hartford Blue Chip Stock HLS Fund was
subsequently re-named (February 5, 2007) Hartford LargeCap Growth HLS Fund
(4) On September 26, 2008 Hartford Mortgage
Securities HLS Fund will merge into Hartford U.S. Government Securities HLS
Fund
The Hartford Mutual Funds, Inc.
The
Hartford Advisers Fund
The
Hartford Balanced Allocation Fund
The
Hartford Balanced Income Fund
The
Hartford Capital Appreciation Fund
The
Hartford Capital Appreciation II Fund
The
Hartford Checks and Balances Fund
The
Hartford Conservative Allocation Fund
The
Hartford Disciplined Equity Fund
The
Hartford Diversified International Fund
The
Hartford Dividend & Growth Fund
The
Hartford Equity Growth Allocation Fund (formerly The Hartford Aggressive Growth
Allocation Fund)
The
Hartford Equity Income Fund
The
Hartford Floating Rate Fund
The
Hartford Fundamental Growth Fund (formerly The Hartford Focus Fund)
The
Hartford Global Communications Fund
The
Hartford Global Enhanced Dividend Fund
The
Hartford Global Equity Fund
The
Hartford Global Financial Services Fund
The
Hartford Global Growth Fund (formerly The Hartford Global Leaders Fund)
The
Hartford Global Health Fund
The
Hartford Global Technology Fund
The
Hartford Growth Allocation Fund
The
Hartford High Yield Fund
The
Hartford High Yield Municipal Bond Fund
The
Hartford Income Allocation Fund
The
Hartford Income Fund
The
Hartford Inflation Plus Fund
The
Hartford International Growth Fund (formerly The Hartford International Capital
Appreciation Fund)
The
Hartford International Opportunities Fund
The
Hartford International Small Company Fund
The
Hartford LargeCap Growth Fund
The
Hartford MidCap Fund
The
Hartford MidCap Growth Fund (1)
The
Hartford MidCap Value Fund
The
Hartford Money Market Fund
The
Hartford Retirement Income Fund
The
Hartford Select MidCap Value Fund
The
Hartford Select SmallCap Value Fund
The
Hartford Short Duration Fund
The
Hartford Small Company Fund
The
Hartford Stock Fund
The
Hartford Strategic Income Fund
The
Hartford Target Retirement 2010 Fund
The
Hartford Target Retirement 2020 Fund
The
Hartford Target Retirement 2030 Fund
The
Hartford Tax-Free California Fund
The
Hartford Tax-Free New York Fund
The
Hartford Total Return Bond Fund
The
Hartford Value Fund
(1)
On
February 25, 2008, The Hartford MidCap Growth Fund merged into The Hartford Select
MidCap Growth Fund and the name was changed from The Hartford Select MidCap Growth
Fund to The Hartford MidCap Growth Fund
The Hartford Mutual Funds II, Inc.
The
Hartford Growth Fund
The
Hartford Growth Opportunities Fund
The
Hartford SmallCap Growth Fund
The
Hartford Tax-Free Minnesota Fund
The
Hartford Tax-Free National Fund
The
Hartford U.S. Government Securities Fund
The
Hartford Value Opportunities Fund
The Hartford Income Shares Fund, Inc.
Fidelity Bond Coverage
Based on Gross Assets on July 31, 2008
|
|
|
|
Bond Requirement
|
|
|
|
Gross Assets
July 31, 2008
|
|
By Series or
Portfolio
|
|
By
Registrant
|
|
|
|
(000s omitted)
|
|
(000s omitted)
|
|
(000s omitted)
|
|
|
|
|
|
|
|
|
|
TOTALS
|
|
|
|
|
|
|
|
Hartford Series Fund, Inc.
|
|
$
|
52,051,023
|
|
$
|
34,800
|
|
2,500
|
|
Hartford HLS Series Fund II, Inc.
|
|
$
|
4,051,555
|
|
$
|
5,475
|
|
2,300
|
|
The Hartford Mutual Funds, Inc.
|
|
$
|
48,117,366
|
|
$
|
37,500
|
|
2,500
|
|
The Hartford Mutual Funds II, Inc.
|
|
$
|
4,765,662
|
|
$
|
5,550
|
|
2,500
|
|
The Hartford Income Shares Fund, Inc.
|
|
$
|
86,751
|
|
$
|
450
|
|
450
|
|
|
|
|
|
|
|
|
|
Hartford Series Fund, Inc.
|
|
|
|
|
|
|
|
Hartford Advisers HLS Fund
|
|
$
|
5,880,476
|
|
$
|
2,500
|
|
|
|
Hartford Capital Appreciation HLS Fund
|
|
$
|
12,441,352
|
|
$
|
2,500
|
|
|
|
Hartford Disciplined Equity HLS Fund
|
|
$
|
1,636,092
|
|
$
|
1,500
|
|
|
|
Hartford Dividend and Growth HLS Fund
|
|
$
|
6,184,349
|
|
$
|
2,500
|
|
|
|
Hartford Equity Income HLS Fund
|
|
$
|
364,440
|
|
$
|
7,50
|
|
|
|
Hartford Fundamental Growth HLS Fund
(formerly Hartford Focus HLS Fund)
|
|
$
|
100,191
|
|
$
|
525
|
|
|
|
Hartford Global Advisers HLS Fund
|
|
$
|
474,732
|
|
$
|
750
|
|
|
|
Hartford Global Equity HLS Fund
|
|
$
|
21,159
|
|
$
|
250
|
|
|
|
Hartford Global Communications HLS Fund(1)
|
|
$
|
21,691
|
|
$
|
250
|
|
|
|
Hartford Global Financial Services HLS
Fund(1)
|
|
$
|
20,114
|
|
$
|
250
|
|
|
|
Hartford Global Growth HLS Fund (formerly
Hartford Global Leaders HLS Fund)
|
|
$
|
981,194
|
|
$
|
1,000
|
|
|
|
Hartford Global Health HLS Fund
|
|
$
|
343,454
|
|
$
|
750
|
|
|
|
Hartford Global Technology HLS Fund(1)
|
|
$
|
110,390
|
|
$
|
525
|
|
|
|
Hartford Growth HLS Fund
|
|
$
|
449,083
|
|
$
|
750
|
|
|
|
Hartford High Yield HLS Fund
|
|
$
|
598,728
|
|
$
|
900
|
|
|
|
Hartford Index HLS Fund
|
|
$
|
1,291,309
|
|
$
|
1,250
|
|
|
|
Hartford International Growth HLS Fund
(formerly Hartford International Capital Appreciation HLS Fund)
|
|
$
|
892,644
|
|
$
|
1,000
|
|
|
|
Hartford International Opportunities HLS
Fund
|
|
$
|
1,962,346
|
|
$
|
1,500
|
|
|
|
Hartford International Small Company HLS
Fund
|
|
$
|
307,737
|
|
$
|
750
|
|
|
|
Hartford MidCap HLS Fund
|
|
$
|
2,684,288
|
|
$
|
1,700
|
|
|
|
Hartford MidCap Value HLS Fund
|
|
$
|
686,500
|
|
$
|
900
|
|
|
|
Hartford Money Market HLS Fund
|
|
$
|
3,953,539
|
|
$
|
2,100
|
|
|
|
Hartford Mortgage Securities HLS Fund (2)
|
|
$
|
467,710
|
|
$
|
750
|
|
|
|
Fidelity Bond Coverage
Based on Gross Assets on July 31, 2008
|
|
|
|
Bond Requirement
|
|
|
|
Gross Assets
July 31, 2008
|
|
By Series or
Portfolio
|
|
By
Registrant
|
|
|
|
(000s omitted)
|
|
(000s omitted)
|
|
(000s omitted)
|
|
|
|
|
|
|
|
|
|
|
|
Hartford Small Company HLS Fund
|
|
$
|
1,495,041
|
|
$
|
1,250
|
|
|
|
Hartford Stock HLS Fund
|
|
$
|
3,504,455
|
|
$
|
2,100
|
|
|
|
Hartford Total Return Bond HLS Fund
|
|
$
|
4,561,181
|
|
$
|
2,500
|
|
|
|
Hartford Value HLS Fund
|
|
$
|
404,824
|
|
$
|
750
|
|
|
|
American Funds Asset Allocation HLS Fund
|
|
$
|
10,518
|
|
$
|
200
|
|
|
|
American Funds Blue Chip Income and Growth
HLS Fund
|
|
$
|
4,995
|
|
$
|
125
|
|
|
|
American Funds Bond HLS Fund
|
|
$
|
21,345
|
|
$
|
250
|
|
|
|
American Funds Global Bond HLS Fund
|
|
$
|
8,592
|
|
$
|
175
|
|
|
|
American Funds Global Growth HLS Fund
|
|
$
|
9,531
|
|
$
|
175
|
|
|
|
American Funds Global Growth and Income HLS
Fund
|
|
$
|
20,026
|
|
$
|
250
|
|
|
|
American Funds Global Small Capitalization
HLS Fund
|
|
$
|
8,042
|
|
$
|
175
|
|
|
|
American Funds Growth HLS Fund
|
|
$
|
54,486
|
|
$
|
400
|
|
|
|
American Funds Growth-Income HLS Fund
|
|
$
|
31,565
|
|
$
|
300
|
|
|
|
American Funds International HLS Fund
|
|
$
|
30,866
|
|
$
|
300
|
|
|
|
American Funds New World HLS Fund
|
|
$
|
12,038
|
|
$
|
200
|
|
|
|
Total
|
|
$
|
52,051,023
|
|
$
|
34,800
|
|
|
|
(1)
On August 22, 2008, the Hartford Global Communications HLS Fund, Hartford
Global Financial Services HLS Fund and Hartford Global Technology HLS Fund
merged into Hartford Global Equity HLS Fund
(2) On or about September 26, 2008 Hartford Mortgage Securities HLS Fund
will merge into Hartford U.S. Government Securities HLS Fund
Fidelity Bond Coverage
Based on Gross Assets on July 31, 2008
|
|
|
|
Bond Requirement
|
|
|
|
Gross Assets
July 31, 2008
|
|
By Series or
Portfolio
|
|
By
Registrant
|
|
|
|
(000s omitted)
|
|
(000s omitted)
|
|
(000s omitted)
|
|
|
|
|
|
|
|
|
|
Hartford HLS Series Fund II, Inc.
|
|
|
|
|
|
|
|
Hartford Growth Opportunities HLS Fund
|
|
$
|
1,418,123
|
|
$
|
1,250
|
|
|
|
Hartford Large Cap Growth HLS Fund(3)
|
|
$
|
149,971
|
|
$
|
525
|
|
|
|
Hartford MidCap Growth HLS Fund (formerly
Hartford MidCap Stock HLS Fund)
|
|
$
|
53,683
|
|
$
|
400
|
|
|
|
Hartford SmallCap Growth HLS Fund
|
|
$
|
727,607
|
|
$
|
900
|
|
|
|
Hartford SmallCap Value HLS Fund
|
|
$
|
73,657
|
|
$
|
400
|
|
|
|
Hartford U.S. Government Securities HLS
Fund(4)
|
|
$
|
1,243,829
|
|
$
|
1,250
|
|
|
|
Hartford Value Opportunities HLS Fund
|
|
$
|
384,685
|
|
$
|
750
|
|
|
|
Total
|
|
$
|
4,051,555
|
|
$
|
2,300
|
|
|
|
(3) On February 2, 2007 Hartford Capital Opportunities HLS Fund and Hartford
LargeCap Growth HLS Fund merged into Hartford Blue Chip Stock HLS Fund and Hartford
Blue Chip Stock HLS Fund was subsequently re-named (February 5, 2007) Hartford
LargeCap Growth HLS Fund
(4) On September 26, 2008 Hartford Mortgage Securities HLS Fund will
merge into Hartford U.S. Government Securities HLS Fund
The Hartford Mutual Funds, Inc.
|
|
|
|
|
|
|
|
The Hartford Advisers Fund
|
|
$
|
1,166,034
|
|
$
|
1,250
|
|
|
|
The Hartford Balanced Allocation Fund
|
|
$
|
936,711
|
|
$
|
1,000
|
|
|
|
The Hartford Balanced Income Fund
|
|
$
|
53,237
|
|
$
|
400
|
|
|
|
The Hartford Capital Appreciation Fund
|
|
$
|
21,054,137
|
|
$
|
2,500
|
|
|
|
The Hartford Capital Appreciation II Fund
|
|
$
|
1,414,998
|
|
$
|
1,250
|
|
|
|
The Hartford Checks and Balances Fund
|
|
$
|
1,001,364
|
|
$
|
1,250
|
|
|
|
The Hartford Conservative Allocation Fund
|
|
$
|
217,129
|
|
$
|
600
|
|
|
|
The Hartford Disciplined Equity Fund
|
|
$
|
287,314
|
|
$
|
750
|
|
|
|
The Hartford Diversified International Fund
|
|
$
|
20,081
|
|
$
|
250
|
|
|
|
The Hartford Dividend & Growth
Fund
|
|
$
|
4,139,023
|
|
$
|
2,300
|
|
|
|
The Hartford Equity Growth Allocation Fund
(formerly The Hartford Aggressive Growth Allocation Fund)
|
|
$
|
272,537
|
|
$
|
750
|
|
|
|
The Hartford Equity Income Fund
|
|
$
|
887,409
|
|
$
|
1,000
|
|
|
|
The Hartford Floating Rate Fund
|
|
$
|
2,921,615
|
|
$
|
1,700
|
|
|
|
The Hartford Fundamental Growth Fund
(formerly The Hartford Focus Fund)
|
|
$
|
58,270
|
|
$
|
400
|
|
|
|
The Hartford Global Communications Fund
|
|
$
|
40,933
|
|
$
|
350
|
|
|
|
Fidelity Bond Coverage
Based on Gross Assets on July 31, 2008
|
|
|
|
Bond Requirement
|
|
|
|
Gross Assets
July 31, 2008
|
|
By Series or
Portfolio
|
|
By
Registrant
|
|
|
|
(000s omitted)
|
|
(000s omitted)
|
|
(000s omitted)
|
|
|
|
|
|
|
|
|
|
The Hartford Global Enhanced Dividend Fund
|
|
$
|
12,145
|
|
$
|
200
|
|
|
|
The Hartford Global Equity Fund
|
|
$
|
20,613
|
|
$
|
250
|
|
|
|
The Hartford Global Financial Services Fund
|
|
$
|
35,777
|
|
$
|
350
|
|
|
|
The Hartford Global Growth Fund (formerly
The Hartford Global Leaders Fund)
|
|
$
|
636,648
|
|
$
|
900
|
|
|
|
The Hartford Global Health Fund
|
|
$
|
860,326
|
|
$
|
1,000
|
|
|
|
The Hartford Global Technology Fund
|
|
$
|
56,190
|
|
$
|
400
|
|
|
|
The Hartford Growth Allocation Fund
|
|
$
|
786,531
|
|
$
|
1,000
|
|
|
|
The Hartford High Yield Fund
|
|
$
|
218,536
|
|
$
|
600
|
|
|
|
The Hartford High Yield Municipal Bond Fund
|
|
$
|
339,550
|
|
$
|
750
|
|
|
|
The Hartford Income Allocation Fund
|
|
$
|
62,605
|
|
$
|
400
|
|
|
|
The Hartford Income Fund
|
|
$
|
334,877
|
|
$
|
750
|
|
|
|
The Hartford Inflation Plus Fund
|
|
$
|
892,838
|
|
$
|
1,000
|
|
|
|
Fidelity Bond Coverage
Based on Gross Assets on July 31, 2008
|
|
|
|
Bond Requirement
|
|
|
|
Gross Assets
July 31, 2008
|
|
By Series or
Portfolio
|
|
By
Registrant
|
|
|
|
(000s omitted)
|
|
(000s omitted)
|
|
(000s omitted)
|
|
|
|
|
|
|
|
|
|
The Hartford International Growth Fund
(formerly The Hartford International Capital Appreciation Fund)
|
|
$
|
561,692
|
|
$
|
900
|
|
|
|
The Hartford International Opportunities
Fund
|
|
$
|
425,895
|
|
$
|
750
|
|
|
|
The Hartford International Small Company
Fund
|
|
$
|
248,678
|
|
$
|
600
|
|
|
|
The Hartford LargeCap Growth Fund
|
|
$
|
11,932
|
|
$
|
200
|
|
|
|
The Hartford MidCap Fund
|
|
$
|
2,855,706
|
|
$
|
1,700
|
|
|
|
The Hartford MidCap Growth Fund (1)
|
|
$
|
39,627
|
|
$
|
350
|
|
|
|
The Hartford MidCap Value Fund
|
|
$
|
286,957
|
|
$
|
750
|
|
|
|
The Hartford Money Market Fund
|
|
$
|
668,525
|
|
$
|
900
|
|
|
|
The Hartford Retirement Income Fund
|
|
$
|
8,177
|
|
$
|
175
|
|
|
|
The Hartford Select MidCap Value Fund
|
|
$
|
75,741
|
|
$
|
450
|
|
|
|
The Hartford Select SmallCap Value Fund
|
|
$
|
108,876
|
|
$
|
525
|
|
|
|
The Hartford Short Duration Fund
|
|
$
|
221,823
|
|
$
|
600
|
|
|
|
The Hartford Small Company Fund
|
|
$
|
734,006
|
|
$
|
900
|
|
|
|
The Hartford Stock Fund
|
|
$
|
741,890
|
|
$
|
900
|
|
|
|
The Hartford Strategic Income Fund
|
|
$
|
260,694
|
|
$
|
750
|
|
|
|
The Hartford Target Retirement 2010 Fund
|
|
$
|
18,519
|
|
$
|
225
|
|
|
|
The Hartford Target Retirement 2020 Fund
|
|
$
|
35,689
|
|
$
|
350
|
|
|
|
The Hartford Target Retirement 2030 Fund
|
|
$
|
28,543
|
|
$
|
300
|
|
|
|
The Hartford Tax-Free California Fund
|
|
$
|
44,983
|
|
$
|
350
|
|
|
|
The Hartford Tax-Free New York Fund
|
|
$
|
16,597
|
|
$
|
225
|
|
|
|
The Hartford Total Return Bond Fund
|
|
$
|
1,608,042
|
|
$
|
1,500
|
|
|
|
The Hartford Value Fund
|
|
$
|
387,347
|
|
$
|
750
|
|
|
|
Total
|
|
$
|
48,117,366
|
|
$
|
37,500
|
|
|
|
(1)
On
February 25, 2008, The Hartford MidCap Growth Fund merged into The Hartford
Select MidCap Growth Fund and the name was changed from The Hartford Select
MidCap Growth Fund to The Hartford MidCap Growth Fund
The Hartford Mutual Fund II, Inc.
|
|
|
|
|
|
|
|
The Hartford Growth Fund
|
|
$
|
960,157
|
|
$
|
1,000
|
|
|
|
The Hartford Growth Opportunities Fund
|
|
$
|
2,869,804
|
|
$
|
1,700
|
|
|
|
The Hartford SmallCap Growth Fund
|
|
$
|
300,228
|
|
$
|
750
|
|
|
|
The Hartford Tax-Free Minnesota Fund
|
|
$
|
33,794
|
|
$
|
300
|
|
|
|
The Hartford Tax-Free National Fund
|
|
$
|
215,793
|
|
$
|
600
|
|
|
|
The Hartford U.S. Government Securities
Fund
|
|
$
|
206,153
|
|
$
|
600
|
|
|
|
The Hartford Value Opportunities Fund
|
|
$
|
179,733
|
|
$
|
600
|
|
|
|
Total
|
|
$
|
4,765,662
|
|
$
|
5,550
|
|
|
|
|
|
|
|
|
|
|
|
The Hartford Income Shares Fund, Inc.
|
|
$
|
86,751
|
|
$
|
450
|
|
|
|
Hartford Income Shares Fund, Inc. (NYSE:HSF)
Gráfico Histórico do Ativo
De Mai 2024 até Jun 2024
Hartford Income Shares Fund, Inc. (NYSE:HSF)
Gráfico Histórico do Ativo
De Jun 2023 até Jun 2024