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| CIK | 1145022 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Hotchkis & Wiley Funds - Hotchkis & Wiley Large Cap Value Fund Class A
SEC Filings (Chronological Order)
यह पृष्ठ SEC फाइलिंग की एक पूरी, कालानुक्रमिक सूची प्रदान करता है, ओनरशिप फाइलिंग को छोड़कर, जो हम अन्यत्र प्रदान करते हैं।
| March 27, 2025 |
As filed with the Securities and Exchange Commission on March 27, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 13, 2025 |
Hotchkis & Wiley High Yield Fund Hotchkis & Wiley High Yield Fund Schedule of Investments September 30, 2024 (Unaudited) CORPORATE BONDS - 91. |
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| March 10, 2025 |
222 North LaSalle Street Chicago, Illinois 60601 T+1 312 609 7500 F+1 312 609 5005 Chicago New York Washington, DC London San Francisco Los Angeles Singapore Dallas Miami vedderprice. |
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| December 29, 2023 |
AGREEMENT AND PLAN OF REORGANIZATION AGREEMENT AND PLAN OF REORGANIZATION THIS AGREEMENT AND PLAN OF REORGANIZATION (the “Agreement”) is made as of this 9th day of November, 2023 by and between Hotchkis and Wiley Funds, a Delaware statutory trust (the “Successor Trust”), on behalf of itself and HW Opportunities MP Fund, a series of the Successor Trust (the “Successor Fund”), Series Portfolios Trust, a Delaware statutory trust (the “Predecessor Trust”), on behalf of itself and HW Opportunities MP Fund, a series of the Predecessor Trust (the “Predecessor Fund” and together with the Successor Fund, each, a “Fund” and together, the “Funds”), and Hotchkis & Wiley Capital Management, LLC (for purposes of Sections 1. |
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| December 29, 2023 |
As filed with the U.S. Securities and Exchange Commission on December 28, 2023 1933 Act File No. 333-274907 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment No. Post-Effective Amendment No. 1 Hotchkis and Wiley Funds (Exact Name of Registrant as Specified in Charter) 601 South Figueroa Stree |
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| December 29, 2023 |
December 15, 2023 HW Opportunities MP Fund 601 South Figueroa Street, 39th Floor Los Angeles, California 90017 HW Opportunities MP Fund 615 East Michigan Street Milwaukee, Wisconsin 53202 Re: Reorganization of HW Opportunities MP Fund into HW Opportunities MP Fund Ladies and Gentlemen: You have requested our opinion regarding certain federal income tax consequences of the reorganization (the “Reorganization”) of HW Opportunities MP Fund (the “Predecessor Fund”), a series of Series Portfolio Trust, a Delaware statutory trust (the “Predecessor Trust”), and HW Opportunities MP Fund (the “Successor Fund”), a series of Hotchkis and Wiley Funds, a Delaware statutory trust (the “Successor Trust”). |
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| December 18, 2023 |
222 North LaSalle Street | Chicago, Illinois 60601 | T +1 312 609 7500 | F +1 312 609 5005 Chicago New York Washington, DC London San Francisco Los Angeles Singapore Dallas Miami vedderprice. |
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| December 11, 2023 |
222 North LaSalle Street | Chicago, Illinois 60601 | T +1 312 609 7500 | F +1 312 609 5005 Chicago New York Washington, DC London San Francisco Los Angeles Singapore Dallas Miami vedderprice. |
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| November 7, 2023 |
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-14 As filed with the U.S. Securities and Exchange Commission on November 7, 2023 1933 Act File No. 333-274907 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment No. 2 Post-Effective Amendment No. Hotchkis and Wiley Funds (Exact Name of Registrant as Specified in Charter) 601 South Figueroa Street |
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| November 7, 2023 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated August 25, 2023, relating to the financial statements of HW Opportunities MP Fund, a series of Series Portfolios Trust, for the year ended June 30, 2023, and to the references to our firm under the headings “How Do The Boards And The Funds’ Other Service Providers Compare”, “Other Matters”, and “Exhibit C – Financial Highlights” in the Information Statement/Prospectus. |
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| November 7, 2023 |
222 North LaSalle Street | Chicago, Illinois 60601 | T +1 312 609 7500 | F +1 312 609 5005 Chicago New York Washington, DC London San Francisco Los Angeles Singapore Dallas Miami vedderprice. |
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| November 2, 2023 |
222 North LaSalle Street | Chicago, Illinois 60601 | T +1 312 609 7500 | F +1 312 609 5005 Chicago New York Washington, DC London San Francisco Los Angeles Singapore Dallas Miami vedderprice. |
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| November 2, 2023 |
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-14 As filed with the U.S. Securities and Exchange Commission on November 2, 2023 1933 Act File No. 333-274907 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment No. 1 Post-Effective Amendment No. Hotchkis and Wiley Funds (Exact Name of Registrant as Specified in Charter) 601 South Figueroa Street |
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| November 2, 2023 |
LIMITED POWERS OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that as of the date hereof each of the undersigned hereby revokes all prior appointments of attorney-in-fact with regards to any Registration Statement of Hotchkis and Wiley Funds, and any amendments thereto, on Form N-14, and hereby constitutes and appoints Anna Marie Lopez and James Menvielle, or any of them, his or her true and lawful a |
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| October 19, 2023 |
Hotchkis and Wiley Funds 601 South Figueroa Street, 39th Floor Los Angeles, California 90017 October 19, 2023 VIA EDGAR CORRESPONDENCE United States Securities and Exchange Commission 100 F Street, N. |
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| October 6, 2023 |
LIMITED POWERS OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that as of the date hereof each of the undersigned hereby revokes all prior appointments of attorney-in-fact with regards to any Registration Statement of Hotchkis and Wiley Funds, and any amendments thereto, on Form N-14, and hereby constitutes and appoints Anna Marie Lopez and James Menvielle, or any of them, his or her true and lawful a |
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| October 6, 2023 |
HOTCHKIS & WILEY FUNDS AMENDMENT TO THE AMENDED AND RESTATED TRANSFER AGENT SERVICING AGREEMENT HOTCHKIS & WILEY FUNDS AMENDMENT TO THE AMENDED AND RESTATED TRANSFER AGENT SERVICING AGREEMENT THIS AMENDMENT, effective as of December 16, 2023, to the Amended and Restated Transfer Agent Servicing Agreement, dated as of October 1, 2018 (the "Transfer Agent Agreement"), is entered into by and between HOTCHKIS & WILEY FUNDS, a Delaware statutory trust (the "Trust") and U. |
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| October 6, 2023 |
HOTCHKIS & WILEY FUNDS AMENDMENT TO THE AMENDED AND RESTATED FUND ADMINISTRATION SERVICING AGREEMENT HOTCHKIS & WILEY FUNDS AMENDMENT TO THE AMENDED AND RESTATED FUND ADMINISTRATION SERVICING AGREEMENT THIS AMENDMENT, effective as of December 16, 2023, to the Amended and Restated Fund Administration Servicing Agreement, dated as of October 1, 2018, as amended (the "Fund Administration Agreement"), is entered into by and between HOTCHKIS & WILEY FUNDS, a Delaware statutory trust (the "Trust") and U. |
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| October 6, 2023 |
HOTCHKIS & WILEY FUNDS AMENDMENT TO THE AMENDED AND RESTATED FUND ACCOUNTING SERVICING AGREEMENT HOTCHKIS & WILEY FUNDS AMENDMENT TO THE AMENDED AND RESTATED FUND ACCOUNTING SERVICING AGREEMENT THIS AMENDMENT, effective as of December 16, 2023, to the Amended and Restated Fund Accounting Servicing Agreement, dated as of October 1, 2018, as amended (the "Fund Accounting Agreement"), is entered into by and between HOTCHKIS & WILEY FUNDS, a Delaware statutory trust (the "Trust") and U. |
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| October 6, 2023 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated August 25, 2023, relating to the financial statements of HW Opportunities MP Fund, a series of Series Portfolios Trust, for the year ended June 30, 2023, and to the references to our firm under the headings “How Do The Boards And The Funds’ Other Service Providers Compare”, “Other Matters”, and “Exhibit C – Financial Highlights” in the Information Statement/Prospectus. |
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| October 6, 2023 |
222 North LaSalle Street | Chicago, Illinois 60601 | T +1 312 609 7500 | F +1 312 609 5005 Chicago New York Washington, DC London San Francisco Los Angeles Singapore Dallas Miami vedderprice. |
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| October 6, 2023 |
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-14 As filed with the U.S. Securities and Exchange Commission on October 6, 2023 1933 Act File No. 333-[...] U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-14 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 [X] Pre-Effective Amendment No. Post-Effective Amendment No. Hotchkis and Wiley Funds (Exact Name of Registrant as Specified in Charter) 601 South Figueroa Street, 39 |
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| October 6, 2023 |
HOTCHKIS & WILEY FUNDS FORM OF FIRST AMENDMENT TO THE DISTRIBUTION AGREEMENT HOTCHKIS & WILEY FUNDS FORM OF FIRST AMENDMENT TO THE DISTRIBUTION AGREEMENT THIS FIRST AMENDMENT dated as of the [•] day of [•], 2023, to the Distribution Agreement, dated as of September 30, 2021, (the “Agreement”), is entered into by and among HOTCHKIS & WILEY FUNDS, a Delaware statutory trust (the “Trust”), HOTCHKIS & WILEY CAPITAL MANAGEMENT, LLC, a Delaware limited liability company (the “Advisor”) and QUASAR DISTRIBUTORS, LLC, a Delaware limited liability company (the “Distributor”). |
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| October 6, 2023 |
APPENDIX A TO THE CUSTODIAN AGREEMENT BETWEEN HOTCHKIS AND WILEY FUNDS AND BROWN BROTHERS HARRIMAN & CO. |
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| October 6, 2023 |
HOTCHKIS AND WILEY FUNDS FORM OF OPERATING EXPENSE LIMITATION AGREEMENT HOTCHKIS AND WILEY FUNDS FORM OF OPERATING EXPENSE LIMITATION AGREEMENT THIS OPERATING EXPENSE LIMITATION AGREEMENT (the “Agreement”) is effective as of the [ ] day of [ ], 2023 by and between HOTCHKIS AND WILEY FUNDS, a Delaware statutory trust (the “Trust”), on behalf of its series listed in Appendix A below (the, “Fund”), and HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC, a Delaware limited liability company (the “Advisor”). |
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| October 6, 2023 |
HOTCHKIS AND WILEY FUNDS FORM OF INVESTMENT ADVISORY AGREEMENT HW Opportunities MP Fund HOTCHKIS AND WILEY FUNDS FORM OF INVESTMENT ADVISORY AGREEMENT HW Opportunities MP Fund THIS INVESTMENT ADVISORY AGREEMENT is made as of the day of, , 2023, by and between HOTCHKIS AND WILEY FUNDS, a Delaware statutory trust (the “Trust”), on behalf of its HW Opportunities MP Fund series (the “Fund”) and HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC, a Delaware limited liability company (the “Advisor”). |
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| October 6, 2023 |
Hotchkis & Wiley Capital Management, LLC 601 South Figueroa Street, 39th Floor Los Angeles, California 90017 - 5704 SCAN TO VIEW MATERIALS & VOTE To vote by Internet 1)Read the Proxy Statement and have the proxy card below at hand. |
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| October 6, 2023 |
222 North LaSalle Street | Chicago, Illinois 60601 | T +1 312 609 7500 | F +1 312 609 5005 , 202 HW Opportunities MP Fund 601 South Figueroa Street, 39th Floor Los Angeles, California 90017 HW Opportunities MP Fund 615 East Michigan Street Milwaukee, Wisconsin 53202 Re: Reorganization of HW Opportunities MP Fund into HW Opportunities MP Fund Ladies and Gentlemen: You have requested our opinion regarding certain federal income tax consequences of the reorganization (the “Reorganization”) of HW Opportunities MP Fund (the “Predecessor Fund”), a series of Series Portfolio Trust, a Delaware statutory trust (the “Predecessor Trust”), and HW Opportunities MP Fund (the “Successor Fund”), a series of Hotchkis and Wiley Funds, a Delaware statutory trust (the “Successor Trust”). |
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| November 30, 2022 |
Chicago New York Washington, DC London San Francisco Los Angeles Singapore Dallas vedderprice. |
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| July 1, 2020 |
Chicago New York Washington, DC London San Francisco Los Angeles Singapore vedderprice.com Chicago New York Washington, DC London San Francisco Los Angeles Singapore vedderprice. |
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| July 1, 2020 |
- HOTCHKIS & WILEY N-14 EXHIBIT FILING As filed with the Securities and Exchange Commission on July 1, 2020 1933 Act Registration File No. |
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| June 24, 2020 |
CORRESP 1 filename1.htm Hotchkis & Wiley Funds 601 South Figueroa Street, 39th Floor Los Angeles, CA 90017-5704 June 24, 2020 Ms. Anu Dubey Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: Hotchkis & Wiley Funds (the “Trust”) File Nos.: 333-68740 and 811-10487 Dear Ms. Dubey: The purpose of this letter is to respond to oral comments |
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| June 19, 2020 |
Hotchkis & Wiley Funds 601 South Figueroa Street, 39th Floor Los Angeles, CA 90017-5704 June 19, 2020 Ms. |
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| June 10, 2020 |
Hotchkis & Wiley Funds 601 South Figueroa Street, 39th Floor Los Angeles, California 90017-5704 June 10, 2020 VIA EDGAR TRANSMISSION Division of Investment Management U. |
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| June 10, 2020 |
Opinion and Consent issued by Vedder Price P.C. regarding the validity of shares to be issued Chicago New York Washington, DC London San Francisco Los Angeles Singapore vedderprice. |
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| June 10, 2020 |
Hotchkis & Wiley Funds 601 South Figueroa Street, 39th Floor Los Angeles, California 90017-5704 June 10, 2020 VIA EDGAR TRANSMISSION Division of Investment Management U. |
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| June 10, 2020 |
- AMENDMENT TO HOTCHKIS & WILY N-14 As filed with the Securities and Exchange Commission on June 10, 2020 1933 Act Registration File No. |
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| June 10, 2020 |
Power of Attorney dated June 8, 2020 EX-16.16 3 hw-powerofattorneycapitali.htm POWER OF ATTORNEY LIMITED POWERS OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that as of the date hereof each of the undersigned hereby revokes all prior appointments of attorney-in-fact with regards to any amendment to the Registration Statement of Hotchkis & Wiley Funds on Form N-14, and hereby constitutes and appoints Anna Marie Lopez and James Menvielle |
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| June 9, 2020 |
Hotchkis & Wiley Funds 601 South Figueroa Street, 39th Floor Los Angeles, California 90017-5704 June 9, 2020 VIA EDGAR TRANSMISSION Division of Investment Management U. |
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| May 15, 2020 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Form N-14 of our report dated August 20, 2019, relating to the financial statements and financial highlights of Hotchkis & Wiley Capital Income Fund and Hotchkis & Wiley High Yield Fund, each a series of Hotchkis & Wiley Funds, appearing in the Annual Report on Form N-CSR of Hotchkis & Wiley Funds for the year ended June 30, 2019, and to the references to us under the headings “Additional Information About the Funds,” “Experts,” and “Appendix D: Financial Highlights,” in the Information Statement/Prospectus, which are part of such Registration Statement. |
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| May 15, 2020 |
As filed with the Securities and Exchange Commission on May 15, 2020 1933 Act Registration File No. |
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| May 15, 2020 |
May 15, 2020 Hotchkis & Wiley Funds Hotchkis & Wiley High Yield Fund 601 South Figueroa Street, 39th Floor Los Angeles, California 90017-5704 Ladies and Gentlemen: We have acted as counsel to Hotchkis & Wiley Funds, a Delaware statutory trust (the “Trust”), in connection with the filing of the Trust’s registration statement on Form N-14 (the “Registration Statement”) with the Securities and Exchange Commission (the “SEC”) relating to the issuance of Class A and Class I shares of beneficial interest, par value of $0. |
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| May 15, 2020 |
HOTCHKIS AND WILEY FUNDS OPERATING EXPENSE LIMITATION AGREEMENT THIS OPERATING EXPENSE LIMITATION AGREEMENT (the “Agreement”) is effective as of the 29th day of August, 2020 by and between HOTCHKIS AND WILEY FUNDS, a Delaware statutory trust (the “Trust”), on behalf of its series listed in Appendix A below (each, a “Fund” and collectively, the “Funds”), and HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC, a Delaware limited liability company (the “Advisor”). |
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| May 15, 2020 |
BY-LAWS OF HOTCHKIS AND WILEY FUNDS TABLE OF CONTENTS Page ARTICLE 1 AGREEMENT AND DECLARATION OF TRUST 1 Section 1. |
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| May 15, 2020 |
DISTRIBUTION AGREEMENT THIS DISTRIBUTION AGREEMENT (“Agreement”) is by and between Quasar Distributors, LLC (the “Distributor”), HOTCHKIS AND WILEY FUNDS (“Fund Company”) and Hotchkis and Wiley Capital Management, LLC (“Adviser”). |
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| November 26, 2019 |
Hotchkis & Wiley Funds /de/ NPORT-EX - - Schedule of Investments - September 30, 2019 Hotchkis & Wiley Value Opportunities Fund (Unaudited) Shares COMMON STOCKS - 86. |
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| November 26, 2019 |
Hotchkis & Wiley Funds /de/ NPORT-EX - - Schedule of Investments - September 30, 2019 Hotchkis & Wiley Mid-Cap Value Fund (Unaudited) Shares COMMON STOCKS - 97. |
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| November 26, 2019 |
Hotchkis & Wiley Funds /de/ NPORT-EX - - Schedule of Investments - September 30, 2019 Hotchkis & Wiley Small Cap Diversified Value Fund (Unaudited) Shares COMMON STOCKS - 96. |
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| November 26, 2019 |
Hotchkis & Wiley Funds /de/ NPORT-EX - - Schedule of Investments - September 30, 2019 Hotchkis & Wiley High Yield Fund (Unaudited) Principal CORPORATE BONDS - 85. |
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| November 26, 2019 |
Hotchkis & Wiley Funds /de/ NPORT-EX - - Schedule of Investments - September 30, 2019 Hotchkis & Wiley International Value Fund (Unaudited) Country Breakdown* (% of net assets) United Kingdom 32. |
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| November 26, 2019 |
Hotchkis & Wiley Funds /de/ NPORT-EX - - Schedule of Investments - September 30, 2019 Hotchkis & Wiley Capital Income Fund (Unaudited) Shares COMMON STOCKS - 61. |
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| November 26, 2019 |
Hotchkis & Wiley Funds /de/ NPORT-EX - - Schedule of Investments - September 30, 2019 Hotchkis & Wiley Small Cap Value Fund (Unaudited) Shares COMMON STOCKS - 97. |
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| November 26, 2019 |
Hotchkis & Wiley Funds /de/ NPORT-EX - - Schedule of Investments - September 30, 2019 Hotchkis & Wiley Diversified Value Fund (Unaudited) Shares COMMON STOCKS - 99. |
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| November 26, 2019 |
Hotchkis & Wiley Funds /de/ NPORT-EX - - Schedule of Investments - September 30, 2019 Hotchkis & Wiley Large Cap Value Fund (Unaudited) Shares COMMON STOCKS - 98. |
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| November 26, 2019 |
Hotchkis & Wiley Funds /de/ NPORT-EX - - Schedule of Investments - September 30, 2019 Hotchkis & Wiley Global Value Fund (Unaudited) Country Breakdown* (% of net assets) United States 52. |
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| May 28, 2019 |
Hotchkis & Wiley Funds /de/ NPORT-EX - - HOTCHKIS & WILEY FUNDS NPORT-EX 1 d746993dnportex.htm HOTCHKIS & WILEY FUNDS Schedule of Investments - March 31, 2019 Hotchkis & Wiley Diversified Value Fund (Unaudited) Shares COMMON STOCKS - 99.65% Held Value COMMUNICATION SERVICES - 9.12% Media - 7.24% CBS Corp. 22,000 $ 1,045,660 Comcast Corp. 38,800 1,551,224 Discovery, Inc. (a) 96,000 2,440,320 The Interpublic Group of Companies, Inc. 20,600 432,806 News Corp. 94, |
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| November 28, 2018 |
I, Anna Marie Lopez, certify that: CERTIFICATION I, Anna Marie Lopez, certify that: 1. I have reviewed this report on Form N-Q of Hotchkis & Wiley Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period cov |
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| November 28, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-10487 Hotchkis & Wiley Funds (Exact name of registrant as specified in charter) 725 South Figueroa Street, 39th Floor Los Angeles, California 90017-5439 (Address of principal executive offices) ( |
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| May 29, 2018 |
As filed with the Securities and Exchange Commission on May 29, 2018 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 29, 2018 |
I, Anna Marie Lopez, certify that: CERTIFICATION I, Anna Marie Lopez, certify that: 1. I have reviewed this report on Form N-Q of Hotchkis & Wiley Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period cov |
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| March 23, 2018 |
Hotchkis & Wiley Funds /de/ CORRESP Please note that this letter and other documents are in draft form, and in no way reflect the Registrant’s or Fund management’s final intent with respect to the filing discussed herein. |
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| November 28, 2017 |
Hotchkis & Wiley Funds /de/ - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-10487 Hotchkis & Wiley Funds (Exact name of registrant as specified in charter) 725 South Figueroa Street, 39 th Floor Los Angeles, California 90017-5439 (Address of principal executive offices) |
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| May 26, 2017 |
Hotchkis & Wiley Funds /de/ - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS As filed with the Securities and Exchange Commission on May 26, 2017 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 28, 2016 |
I, Anna Marie Lopez, certify that: CERTIFICATION I, Anna Marie Lopez, certify that: 1. I have reviewed this report on Form N-Q of Hotchkis & Wiley Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period cov |
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| November 28, 2016 |
Hotchkis & Wiley Funds /de/ - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS As filed with the Securities and Exchange Commission on November 28, 2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 26, 2016 |
I, Anna Marie Lopez, certify that: CERTIFICATION I, Anna Marie Lopez, certify that: 1. I have reviewed this report on Form N-Q of Hotchkis & Wiley Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period cov |
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| May 26, 2016 |
Hotchkis & Wiley Funds /de/ - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS As filed with the Securities and Exchange Commission on May 26, 2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 25, 2015 |
Hotchkis & Wiley Funds /de/ - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS As filed with the Securities and Exchange Commission on November 25, 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 25, 2015 |
I, Anna Marie Lopez, certify that: certs.htm CERTIFICATION I, Anna Marie Lopez, certify that: 1. I have reviewed this report on Form N-Q of Hotchkis & Wiley Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the |
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| May 28, 2015 |
CERTIFICATION I, Anna Marie Lopez, certify that: 1. I have reviewed this report on Form N-Q of Hotchkis & Wiley Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period cov |
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| May 28, 2015 |
Hotchkis & Wiley Funds /de/ - QUARTER NOTICE OF PORTFOLIO HOLDINGS As filed with the Securities and Exchange Commission on May 28, 2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 26, 2014 |
Hotchkis & Wiley Funds /de/ - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS As filed with the Securities and Exchange Commission on November 26, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 26, 2014 |
I, Anna Marie Lopez, certify that: CERTIFICATION I, Anna Marie Lopez, certify that: 1. I have reviewed this report on Form N-Q of Hotchkis & Wiley Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period cov |
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| October 9, 2014 |
Hotchkis & Wiley Funds /de/ CORRESP - - Hotchkis & Wiley Funds 725 South Figueroa Street, 39th Floor Los Angeles, California 90017 October 9, 2014 Mr. |
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| August 29, 2014 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Trustees of Hotchkis & Wiley Funds: In planning and performing our audit of the financial statements of Hotchkis & Wiley Funds (the "Funds"), comprising the portfolios of the Diversified Value Fund, Large Cap Value Fund, Mid-Cap Value Fund, Small Cap Value Fund, Global Value Fund, Value Opportunities Fund, Cap |
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| June 25, 2014 |
Hotchkis & Wiley Funds 725 South Figueroa Street, 39th Floor Los Angeles, CA 90017-5439 June 25, 2014 Ms. |
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| June 24, 2014 |
CORRESP 1 filename1.htm Hotchkis & Wiley Funds 725 South Figueroa Street, 39th Floor Los Angeles, CA 90017-5439 June 24, 2014 Ms. Anu Dubey Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: Hotchkis & Wiley Funds (the “Trust”) File Nos.: 333-68740 and 811-10487 Dear Ms. Dubey: The purpose of this letter is to respond to oral comments |
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| May 28, 2014 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS As filed with the Securities and Exchange Commission on May 28, 2014 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 28, 2014 |
I, Anna Marie Lopez, certify that: CERTIFICATION I, Anna Marie Lopez, certify that: 1. I have reviewed this report on Form N-Q of Hotchkis & Wiley Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period cov |
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| April 15, 2014 |
U.S. Bancorp Fund Services, LLC 615 East Michigan Street Milwaukee, WI 53202 April 15, 2014 FILED VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: Hotchkis & Wiley Funds (the “Trust”) File Nos.: 333-68740 and 811-10487 Dear Sir or Madam: Pursuant to Rule 485(a) of the Securities Act of 1933, as amended (the “1933 Act” |
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| November 27, 2013 |
I, Anna Marie Lopez, certify that: CERTIFICATION I, Anna Marie Lopez, certify that: 1. I have reviewed this report on Form N-Q of Hotchkis & Wiley Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period cov |
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| November 27, 2013 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS As filed with the Securities and Exchange Commission on November 27, 2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 20, 2013 |
RULE 10f-3 Hotchkis & Wiley Funds The following security was purchased pursuant to Rule 10f-3 and all requirements of the Rule 10f-3 Procedures of the Funds: Fund: Hotchkis & Wiley Small Cap Value Fund Trade Date: 05/23/2013 Issuer: Ply Gem Holdings, Inc. |
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| September 20, 2013 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Trustees of Hotchkis & Wiley Funds: In planning and performing our audit of the financial statements of Hotchkis & Wiley Funds comprising the portfolios of the Diversified Value Fund, Large Cap Value Fund, Mid-Cap Value Fund, Small Cap Value Fund, Global Value Fund, Value Opportunities Fund, Capital Income Fun |
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| August 29, 2013 |
RULE 10f-3 Hotchkis & Wiley Funds The following security was purchased pursuant to Rule 10f-3 and all requirements of the Rule 10f-3 Procedures of the Funds: Fund: Hotchkis & Wiley Small Cap Value Fund Trade Date: 05/23/2013 Issuer: Ply Gem Holdings, Inc. |
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| August 29, 2013 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and Board of Trustees of Hotchkis & Wiley Funds: In planning and performing our audit of the financial statements of Hotchkis & Wiley Funds comprising the portfolios of the Diversified Value Fund, Large Cap Value Fund, Mid-Cap Value Fund, Small Cap Value Fund, Global Value Fund, Value Opportunities Fund, Capital Income Fun |
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| May 28, 2013 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS As filed with the Securities and Exchange Commission on May 28, 2013 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 28, 2013 |
I, Anna Marie Lopez, certify that: CERTIFICATION I, Anna Marie Lopez, certify that: 1. I have reviewed this report on Form N-Q of Hotchkis & Wiley Funds; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period cov |
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| February 28, 2013 |
February 28, 2013 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Hotchkis & Wiley Funds (copy attached), which we understand will be filed with the Securities and Exchange Commission, pursuant to Item 77K of Form N-SAR, as part of the Form N-SAR of Hotchkis & Wiley Funds dated February 28, 2013. We agree with the statem |
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| February 28, 2013 |
Item 77K. Changes in Registrant’s Certifying Accountant. On November 19, 2012, the Audit Committee of the Board of Trustees of Hotchkis and Wiley Funds (the “Registrant”) recommended a change in auditors to the Registrant’s Board of Trustees. The Board of Trustees on November 19, 2012 approved the engagement of Deloitte & Touche LLP (“Deloitte”) to serve as the Registrant’s independent registered |
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| December 26, 2012 |
Hotchkis & Wiley Funds 725 South Figueroa Street, 39th Floor Los Angeles, CA 90017-5439 December 26, 2012 Mr. |
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| November 28, 2012 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS As filed with the Securities and Exchange Commission on November 28, 2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 28, 2012 |
I, Anna Marie Lopez, President of Hotchkis & Wiley Funds, certify that: CERTIFICATION I, Anna Marie Lopez, President of Hotchkis & Wiley Funds, certify that: 1. |
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| October 12, 2012 |
U.S. Bancorp Fund Services, LLC 615 East Michigan Street Milwaukee, WI 53202 October 12, 2012 FILED VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 “F” Street, N.E. Washington, D.C. 20549 Re: Hotchkis & Wiley Funds (the “Trust”) File Nos.: 333-68740 and 811-10487 Dear Sir or Madam: Pursuant to Rule 485(a) of the Securities Act of 1933, as amended (the “1933 |
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| August 29, 2012 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of Hotchkis & Wiley Funds In planning and performing our audits of the financial statements of Diversified Value Fund, Large Cap Value Fund, Mid-Cap Value Fund, Small Cap Value Fund, Value Opportunities Fund, Capital Income Fund and High Yield Fund (constituting the Hotchkis & Wiley Funds, hereafter r |
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| August 29, 2012 |
EX-99.77O RULE 10F-3 Hotchkis and Wiley Funds The following security was purchased pursuant to Rule 10f-3 and all requirements of the Rule 10f-3 Procedures of the Funds: Fund: Hotchkis and Wiley Value Opportunities Fund Trade Date: 04/19/2012 Issuer: Infoblox Inc. Cusip: 45672H104 Shares/Par: 1,000 Offering Price: $16.00 Spread as % of price: 7.00% Cost: $16,000 Dealer Executing Trade: Morgan Stan |
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| May 25, 2012 |
I, Anna Marie Lopez, President of Hotchkis and Wiley Funds, certify that: CERTIFICATION I, Anna Marie Lopez, President of Hotchkis and Wiley Funds, certify that: 1. |
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| May 25, 2012 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PUBLIC HOLDINGS As filed with the Securities and Exchange Commission on May 25, 2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 17, 2010 |
Please note that this letter and other documents are in draft form, and in no way reflect the Registrant’s or Fund management’s final intent with respect to the filing discussed herein. |
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| October 13, 2010 |
U.S. Bancorp Fund Services, LLC 615 East Michigan Street Milwaukee, WI 53202 October 13, 2010 FILED VIA EDGAR U.S. Securities and Exchange Commission Division of Investment Management 100 “F” Street, N.E. Washington, D.C. 20549 Re: Hotchkis and Wiley Funds (the “Trust”) File Nos.: 333-68740 and 811-10487 Dear Sir or Madam: Pursuant to Rule 485(a) of the Securities Act of 1933, as amended (the “193 |
