AS FILED WITH THE SECURITIES AND EXCHANGE COMMISSION ON AUGUST 15, 2023
File No. 333-273096
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-14
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ☒
Pre-Effective Amendment No. [ ]
Post-Effective Amendment No. 1
FUNDVANTAGE TRUST
(Exact Name of Registrant as Specified in Charter)
301 Bellevue Parkway, Wilmington, DE 19809
(Address of Principal Executive Offices)
(856) 528-3500
(Registrant’s Area Code and Telephone Number)
With copies to:
Joel L. Weiss JW Fund Management LLC 1636 N Cedar Crest Blvd., Suite #161 Allentown, PA 18104 | Joseph V. Del Raso, Esq. Troutman Pepper Hamilton Sanders LLP 3000 Two Logan Square Philadelphia, PA 19103 |
Approximate Date of Proposed Public Offering: As soon as practicable after this Registration Statement becomes effective under the Securities Act of 1933, as amended.
Title of Securities Being Registered: Investor Class and Institutional Class Shares of beneficial interest, no par value per share, of the Polen Global SMID Company Growth Fund, a series of the Registrant. No filing fee is due because Registrant is relying on Section 24(f) of the Investment Company Act of 1940, as amended.
It is proposed that this filing will become effective immediately, pursuant to Rule 462(d) under the Securities Act of 1933, as amended.
EXPLANATORY NOTE
The Information Statement/Prospectus and Statement of Additional Information, each in the form filed on August 7, 2023 in Pre-Effective Amendment No. 1 to the Trust’s Registration Statement on Form N-14 (File No. 333-273096) (Accession Number 0001829126-23-005166), are incorporated herein by reference.
This Post-Effective Amendment is being filed solely for the purpose of filing the final tax opinion as Exhibit No. (12) to this Registration Statement on Form N-14.
PART C
OTHER INFORMATION
Item 15. | Indemnification. |
No change from the information set forth in Item 30 of the most recently filed Registration Statement of Polen Global SMID Company Growth Fund (the “Registrant”), a series of FundVantage Trust, on Form N-1A under the Securities Act of 1933 and the Investment Company Act of 1940 (File Nos. 333-141120 and 811-22027), as filed with the Securities and Exchange Commission on August 29, 2022 (Accession No. 0001829126-22-016264), which information is incorporated herein by reference.
Item 16. | Exhibits. |
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(11) | Opinion and Consent of Troutman Pepper Hamilton Sanders LLP. Incorporated by reference to Registrant’s Registration Statement on Form N-14 as filed with the Commission on June 30, 2023. |
(12) | Opinion and Consent of Troutman Pepper Hamilton Sanders LLP, supporting the tax matters and consequences of securities being issued is filed herewith. |
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Item 17. | Undertakings. |
(1) | The undersigned registrant agrees that prior to any public reoffering of the securities registered through the use of a prospectus which is a part of this registration statement by any person or party who is deemed to be an underwriter within the meaning of Rule 145(c) of the Securities Act 17 CFR 230.145c, the reoffering prospectus will contain the information called for by the applicable registration form for the reofferings by persons who may be deemed underwriters, in addition to the information called for by the other items of the applicable form. |
(2) | The undersigned registrant agrees that every prospectus that is filed under paragraph (1) above will be filed as a part of an amendment to the registration statement and will not be used until the amendment is effective, and that, in determining any liability under the 1933 Act, each post-effective amendment shall be deemed to be a new registration statement for the securities offered therein, and the offering of the securities at that time shall be deemed to be the initial bona fide offering of them. |
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SIGNATURES
As required by the Securities Act of 1933, this registration statement on Form N-14 has been signed on behalf of the registrant, in the City of Wilmington, State of Delaware on the 15th day of August, 2023.
FUNDVANTAGE TRUST | ||
By: | /s/ Joel L. Weiss | |
Joel L. Weiss, President and CEO |
As required by the Securities Act of 1933, this registration statement on Form N-14 has been signed by the following persons in the capacities and on the dates indicated.
/s/ Robert J. Christian* | Trustee | August 15, 2023 | ||
Robert J. Christian | ||||
/s/ Iqbal Mansur* | Trustee | August 15, 2023 | ||
Iqbal Mansur | ||||
/s/ Nicholas M. Marsini, Jr.* | Trustee | August 15, 2023 | ||
Nicholas M. Marsini, Jr. | ||||
/s/ Nancy B. Wolcott* | Trustee | August 15, 2023 | ||
Nancy B. Wolcott | ||||
/s/ Stephen M. Wynne* | Trustee | August 15, 2023 | ||
Stephen M. Wynne | ||||
/s/ Christine S. Catanzaro | Treasurer and CFO | August 15, 2023 | ||
Christine S. Catanzaro | ||||
/s/ Joel L. Weiss | President and CEO | August 15, 2023 | ||
Joel L. Weiss |
* By: | /s/ Joel L. Weiss | |
Joel L. Weiss | ||
Attorney-in-Fact |
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EXHIBIT INDEX
EXHIBIT NO. | DESCRIPTION OF EXHIBIT | |
(12) | Opinion and Consent of Troutman Pepper Hamilton Sanders LLP, supporting the tax matters and consequences of securities being issued |
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