M&A - FINANCIAL INVESTORS TRUST

Form Type: 497

Filing Date: 2025-05-15

Corporate Action: Merger

Type: Update

Accession Number: 000139834425009671

Filing Summary: Financial Investors Trust has announced a proposed reorganization of its Vulcan Value Partners Fund and Vulcan Value Partners Small Cap Fund into new series of Elevation Series Trust, pending approval from shareholders. The reorganization involves transferring assets from the existing Funds to the New Funds in exchange for shares equivalent in value. This transaction is designed to qualify as a tax-free reorganization and will include a shareholder meeting on August 7, 2025, to vote on the Plan. If approved, the reorganization is expected to occur around August 15, 2025. Shareholders will receive a combined prospectus/proxy statement with details regarding the meeting and the Reorganizations.

Form Type: DEFA14A

Filing Date: 2025-05-15

Corporate Action: Merger

Type: New

Accession Number: 000139834425009670

Filing Summary: The Board of Trustees of Financial Investors Trust approved a proposed reorganization of each Fund into correspondingly named series of Elevation Series Trust, subject to shareholder approval. This process involves transferring all assets of the existing Funds to the New Funds in exchange for shares equivalent in value, along with the New Funds assuming all liabilities of the existing Funds. This Reorganization is designed to qualify as a tax-free reorganization for federal income tax purposes. A shareholder meeting is planned for August 7, 2025, for shareholders of record as of June 10, 2025, to vote on the proposed Reorganization. If approved, the Reorganizations are expected to be completed around August 15, 2025. Shareholders will receive a combined prospectus/proxy statement with detailed information regarding the meeting and the Reorganizations.

Form Type: DEFA14A

Filing Date: 2025-05-07

Corporate Action: Merger

Type: New

Accession Number: 000139834425008835

Filing Summary: Financial Investors Trust has filed a proxy statement regarding the reorganization of its Emerald Growth Fund into a corresponding series of The RBB Fund, Inc. This proposed reorganization requires approval from the shareholders of the existing Fund and involves the transfer of all assets to the New Fund in exchange for shares equivalent in value to the existing Fund shares. The New Fund will also assume all liabilities of the existing Fund. The transaction is intended to qualify as a tax-free reorganization under federal income tax laws. A shareholder meeting is scheduled for approximately July 29, 2025, where shareholders will vote on the Plan. If approved, the Reorganization is expected to become effective around August 1, 2025. Shareholders will receive additional materials, including a combined prospectus/proxy statement, containing more detailed information about the meeting and the Reorganization.

Form Type: DEFA14A

Filing Date: 2025-05-07

Corporate Action: Merger

Type: New

Accession Number: 000139834425008836

Filing Summary: Financial Investors Trust is proposing a reorganization of The Disciplined Growth Investors Fund into a new series called Elevation Series Trust, subject to shareholder approval. The Board of Trustees approved an Agreement and Plan of Reorganization, under which the existing Fund will transfer its assets to the New Fund in exchange for shares of the New Fund equivalent in value to the existing Fund shares. This reorganization aims to qualify as a tax-free exchange for federal income tax purposes. A shareholder meeting is scheduled for June 16, 2025, where shareholders will vote on this Plan, with the reorganization expected to take effect around July 11, 2025, if approved.

Form Type: DEFA14A

Filing Date: 2025-05-07

Corporate Action: Merger

Type: New

Accession Number: 000139834425008837

Filing Summary: The Board of Trustees of Financial Investors Trust approved a proposed reorganization of its Funds into new series under Elevation Series Trust, subject to shareholder approval. Each Fund will transfer its assets to the corresponding New Fund in exchange for shares equivalent to the existing shares, along with the assumption of liabilities by the New Fund. This transaction is structured to qualify as a tax-free reorganization. A shareholder meeting is scheduled for July 14, 2025, where shareholders will vote on the Plan, with expected effectuation around July 25, 2025. Shareholders will receive a combined prospectus/proxy statement with further details.

Form Type: DEFA14A

Filing Date: 2025-05-07

Corporate Action: Merger

Type: New

Accession Number: 000139834425008839

Filing Summary: The Board of Trustees of Financial Investors Trust approved the proposed reorganization of its funds into series of The RBB Fund, Inc., subject to shareholder approval. The reorganization includes Emerald Insights Fund merging into Emerald Special Situations ETF and Emerald Financial and Banking Innovation Fund merging into Emerald Banking & Finance Evolution Fund. Each reorganization aims to qualify as a tax-free reorganization. The existing funds will transfer all assets to the new funds in exchange for equivalent number of new fund shares and the assumption of liabilities, followed by distribution to existing shareholders. Shareholders will hold a meeting on July 29, 2025, to vote on the reorganization plans, with expected effectiveness around August 1, 2025. A combined prospectus/proxy statement will be provided with detailed information regarding the shareholder meeting and reorganizations.

Form Type: 497

Filing Date: 2025-05-06

Corporate Action: Merger

Type: New

Accession Number: 000139834425008819

Filing Summary: On May 6, 2025, the Board of Trustees of Financial Investors Trust approved a reorganization for the Vulcan Value Partners Fund and Vulcan Value Partners Small Cap Fund into corresponding series of Elevation Series Trust. This reorganization is contingent upon the approval of shareholders of the existing Funds. An Agreement and Plan of Reorganization was established, allowing each existing Fund to transfer all assets to the corresponding New Fund, in exchange for shares of the New Fund equivalent in value to the existing shares. This is positioned as a tax-free reorganization for federal tax considerations. A shareholder meeting will take place around July 14, 2025, for votes on this plan, with expected effectiveness around July 25, 2025. Shareholders will receive a combined prospectus/proxy statement with further details on the meeting and reorganization.

Form Type: 497

Filing Date: 2025-05-06

Corporate Action: Merger

Type: New

Accession Number: 000139834425008821

Filing Summary: The Board of Trustees of Financial Investors Trust has approved the proposed reorganization of The Disciplined Growth Investors Fund into a new series of Elevation Series Trust, subject to shareholder approval. This reorganization involves transferring all assets from the existing Fund to the New Fund in exchange for shares equivalent in value, as well as the New Fund assuming all liabilities of the existing Fund. The goal is for the reorganization to qualify as a tax-free event for federal income tax purposes. A shareholder meeting is scheduled for June 16, 2025, for shareholders to vote on this plan, with an expected effective date around July 11, 2025. Shareholders will receive a proxy statement with detailed information regarding the meeting and reorganization.

Form Type: 497

Filing Date: 2025-05-06

Corporate Action: Merger

Type: New

Accession Number: 000139834425008822

Filing Summary: The Board of Trustees of Financial Investors Trust approved the reorganization of the Emerald Growth Fund into a series of The RBB Fund, Inc., pending shareholder approval. The plan involves the transfer of assets from the existing Fund to the New Fund, in exchange for shares equivalent in value to those held by existing Fund shareholders. This reorganization aims to qualify as a tax-free event. A shareholder meeting is scheduled for July 29, 2025, for voting on the plan, with implementation expected around August 1, 2025, if approved. Shareholders will receive detailed materials about the reorganization.

Form Type: 497

Filing Date: 2025-05-06

Corporate Action: Merger

Type: New

Accession Number: 000139834425008823

Filing Summary: The Board of Trustees of Financial Investors Trust approved the reorganization of the Emerald Insights Fund and the Emerald Financial and Banking Innovation Fund into new series of The RBB Fund, Inc. Each reorganization, referred to as a 'Reorganization', is subject to shareholder approval and is intended to qualify as a tax-free reorganization for federal income tax purposes. The existing Funds will transfer all assets to the corresponding New Funds in exchange for shares equivalent to the value of the existing Funds, with liabilities assumed by the New Funds. Shareholders will receive a combined prospectus/proxy statement containing detailed information about the Reorganizations. A shareholder meeting is scheduled for July 29, 2025, for shareholders of record as of May 30, 2025, to vote on the proposed Plans. If approved, the Reorganizations are expected to take effect around August 1, 2025.

Form Type: PRE 14A

Filing Date: 2025-05-06

Corporate Action: Merger

Type: New

Accession Number: 000139834425008780

Filing Summary: On June 16, 2025, a Special Meeting of Shareholders will be held for The Disciplined Growth Investors Fund, a series of Financial Investors Trust (FIT). Shareholders will vote on approving an Agreement and Plan of Reorganization under which the Fund's assets will be transferred to a newly-created series, the Reorganized Fund, of Elevation Series Trust (EST). In this merger, Fund shares will be exchanged for shares in the Reorganized Fund of equivalent value. This reorganization aims to enhance shareholder experience and operational efficiencies without increasing shareholder fees. The Reorganization is expected to be tax-free for federal income tax purposes, and the existing investment strategies and objectives of the Fund will remain unchanged in the Reorganized Fund. The Adviser will cover all related expenses, even if the proposal is not approved. Shareholders are urged to vote and participate in ensuring the approval of the proposal, which the FIT Board recommends.