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LAZARD FUNDS INC Form 485APOS Filed 2021

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SECURITIES AND EXCHANGE COMMISSION FORM 485APOS Post-effective amendments [Rule 485(a)] Filing Date: 2021-08-13 SEC Accession No. 0000930413-21-001466 (HTML Version on secdatabase.com) FILER LAZARD FUNDS INC Mailing Address Business Address 30 ROCKEFELLER PLAZA 30 ROCKEFELLER PLAZA CIK:874964| IRS No.: 000000000 | State of Incorp.:MD | Fiscal Year End: 1231 NEW YORK NY 10112 NEW YORK NY 10112 Type: 485APOS | Act: 40 | File No.: 811-06312 | Film No.: 211171644 2126326000 LAZARD FUNDS INC Mailing Address Business Address 30 ROCKEFELLER PLAZA 30 ROCKEFELLER PLAZA CIK:874964| IRS No.: 000000000 | State of Incorp.:MD | Fiscal Year End: 1231 NEW YORK NY 10112 NEW YORK NY 10112 Type: 485APOS | Act: 33 | File No.: 033-40682 | Film No.: 211171643 2126326000 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Securities Act File No. 33-40682 Investment Company Act File No. 811-06312 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-1A REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 x Post-Effective Amendment No. 143 x and REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 x Amendment No. 143 x (Check appropriate box or boxes) THE LAZARD FUNDS, INC. (Exact Name of Registrant as Specified in Charter) (212) 632-6000 (Registrant’s Telephone Number, including Area Code) 30 Rockefeller Plaza, New York, New York 10112 (Address of Principal Executive: Number, Street, City, State, Zip Code) Mark R. Anderson, Esq. 30 Rockefeller Plaza New York, New York 10112 (Name and Address of Agent for Services) Copy to: Janna Manes, Esq. Proskauer Rose LLP Eleven Times Square New York, New York 10036 It is proposed that this filing will become effective (check appropriate box) o immediately upon filing pursuant to paragraph (b) o on (DATE) pursuant to paragraph (b) o 60 days after filing pursuant to paragraph (a)(1) o on (DATE) pursuant to paragraph (a)(1) x 75 days after filing pursuant to paragraph (a)(2) o on (DATE) pursuant to paragraph (a)(2) of Rule 485. If appropriate, check the following box: o this post-effective amendment designates a new effective date for a previously filed post-effective amendment Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Lazard Funds Prospectus [________________], 2021 Shares Institutional Open R6 Equity Lazard US Systematic Small Cap Equity Portfolio [_____] [_____] [_____] The Securities and Exchange Commission has not approved or disapproved the shares described in this Prospectus or determined whether this Prospectus is truthful or complete. Any representation to the contrary is a criminal offense. Lazard Funds Table of Contents Summary Section 2 Carefully review this important section for information on the Portfolio’s investment objective and fees and a summary of the Portfolio’s principal investment strategies and risks. Investment Strategies and Investment Risks 7 Review this section for additional information on the Portfolio’s investment strategies and risks. Overview 7 Investment Strategies 7 Investment Risks 8 Fund Management 14 Review this section for details on the people and organizations who oversee the Portfolio. Investment Manager 14 Portfolio Management 14 Biographical Information of Portfolio Management Team 14 Administrator and Custodian 15 Transfer Agent 15 Distributor 15 Shareholder Information 16 Review this section for details on how shares are valued, how to purchase, sell and exchange shares, related General 16 charges and payments of dividends and distributions. How to Buy Shares 18 Distribution and Servicing Arrangements 21 How to Sell Shares 21 Investor Services 23 General Policies 23 Account Policies, Dividends and Taxes 24 Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Financial Highlights 26 Back Cover Where to learn more about the Portfolio. 1 Lazard Funds Summary Section Lazard US Systematic Small Cap Equity Portfolio Investment Objective The Portfolio seeks long-term capital appreciation. Fees and Expenses This table describes the fees and expenses that you may pay if you buy and hold shares of the Portfolio, a series of The Lazard Funds, Inc. (the “Fund”). You may pay other fees, such as brokerage commissions and other fees to financial intermediaries, which are not reflected in the table and the Example below. Institutional Open R6 Shares Shares Shares Annual Portfolio Operating Expenses (expenses that you pay each year as a percentage of the value of your investment) Management Fees [__]% [__]% [__]% Distribution and Service (12b-1) Fees None .25% None Other Expenses* [__]% [__]% [__]% Total Annual Portfolio Operating Expenses [__]% [__]% [__]% Fee Waiver and/or Expense Reimbursement** [__]% [__]% [__]% Total Annual Portfolio Operating Expenses After Fee Waiver and/or Expense Reimbursement [__]% [__]% [__]% * Based on estimated amounts for the current fiscal year. ** Reflects a contractual agreement by Lazard Asset Management LLC (the “Investment Manager”) to waive its fee and, if necessary, reimburse the Portfolio until [_______], 2023, to the extent Total Annual Portfolio Operating Expenses exceed [__]%, [__]% and [__]% of the average daily net assets of the Portfolio’s Institutional Shares, Open Shares and R6 Shares, respectively, exclusive of taxes, brokerage, interest on borrowings, fees and expenses of “Acquired Funds,” fees and expenses related to filing foreign tax reclaims and extraordinary expenses. This expense limitation agreement can only be amended by agreement of the Fund, upon approval by the Fund’s Board of Directors, and the Investment Manager to lower the net amount shown and will terminate automatically in the event of termination of the Management Agreement between the Investment Manager and the Fund, on behalf of the Portfolio. Example This Example is intended to help you compare the cost of investing in the Portfolio with the cost of investing in other mutual funds. The Example assumes that you invest $10,000 in the Portfolio for the time periods indicated and then hold or redeem all of your shares at the end of those periods. The Example also assumes that your investment has a 5% return each year and that the Portfolio’s operating expenses remain the same, giving effect to the expense limitation arrangement described above. Although your actual costs may be higher or lower, based on these assumptions your costs would be: 1 Year 3 Years Institutional Shares $ [__] $ [__] Open Shares $ [__] $ [__] R6 Shares $ [__] $ [__] Portfolio Turnover The Portfolio pays transaction costs, such as commissions, when it buys and sells securities (or “turns over” its portfolio). A higher portfolio turnover rate may indicate higher transaction costs and may result in higher taxes when Portfolio shares are held in a taxable account. These costs, which are not reflected in annual portfolio operating expenses or in the Example, affect the Portfolio’s performance. Because the Portfolio had not commenced investment operations prior to the date of this Prospectus, no portfolio turnover information is presented. 2 Principal Investment Strategies The Portfolio invests primarily in equity securities, principally common stocks, of small capitalization US companies. The Investment Manager considers “small cap companies” to be those companies that, at the time of initial purchase by the Portfolio, have market capitalizations within the range of companies included in the Russell 2000 Index (ranging from approximately $60.3 million to $19.0 billion as of July 31, 2021). Under normal circumstances, the Portfolio invests at least 80% of its assets in equity securities of small cap US companies. Equity securities also may include depositary receipts, including American Depositary Receipts (“ADRs”), Global Depositary Receipts and European Depositary Receipts. The Portfolio may invest up to 20% of its assets in the securities of larger US companies and in non-US companies, including securities of emerging markets companies traded on a US exchange. The Investment Manager’s investment approach for the Portfolio combines fundamental and quantitative techniques into a fully systematic process. The Investment Manager selects investments for the Portfolio by applying its proprietary securities Copyright © 2021 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document selection process to an investable universe of all publicly-traded equity securities of small cap companies. The selection process is “Insight-driven” and operates by employing a process that applies observable criteria that have been converted into quantitative measurements. The Investment Manager considers an “Insight” to be a persistent fundamental opportunity that the Investment Manager believes can be quantified, validated and implemented systematically by the Investment Manager: · a fundamental opportunity is a recurring market inefficiency that aims to take advantage of investors not fully incorporating the impact of changing operating fundamentals and attractive valuations; · the Investment Manager converts theoretical observation into quantified conditions utilizing proprietary process knowledge and techniques; · a potential Insight is validated through extensive proprietary testing that includes historical data, minimum targeted return objectives and persistence hurdles; · through each Insight, a number of securities are identified;
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