Grundläggande statistik
| LEI | 254900X33KL2ACION121 |
| CIK | 315774 |
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 Unified Series Trust - Absolute Convertible Arbitrage Fund
SEC Filings (Chronological Order)
Denna sida innehåller en komplett, kronologisk lista över SEC-arkiveringar, exklusive ägande-arkiveringar som vi tillhandahåller på andra ställen.
| August 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| July 22, 2025 |
PRELIMINARY PROXY MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 10, 2024 |
See attached PDF |
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| January 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) Definitive Proxy State |
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| December 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ⌧ Filed by a Party other than the Registrant ☐ Check the appropriate box: ⌧ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| July 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) Definitive Proxy Statement |
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| July 10, 2023 |
Please see attached PDF. |
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| June 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) Definitive Proxy Statement |
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| June 23, 2023 |
Please see attached PDF. |
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| March 29, 2023 |
March 29, 2023 VIA EDGAR John F. Kernan Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: Forum Funds (the "Registrant") (File No. 811-03023) Dear Mr. Kernan: This letter is in response to comments provided by the staff (“Staff”) of the Securities and Exchange Commission (the “SEC”) with respect to filings made by the Registrant, on |
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| March 9, 2023 |
March 7, 2023 VIA EDGAR Ken Ellington U.S. Securities and Exchange Commission (“SEC”) 100 F Street, NE Washington, DC 20549 RE: Forum Funds (the “Registrant”) (File No. 811-03023) Dear Mr. Ellington: This letter acknowledges that the Registrant’s filing dated March 6, 2023, using filing code N-CSR/A (SEC Accession No. 0001435109-23-000042), was made in error. Registrant subsequently completed a co |
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| March 2, 2023 |
MAI Managed Volatility Fund SCHEDULE OF INVESTMENTS (Unaudited) November 30, 2022 1 Shares Security Description Value Common Stock - 44. |
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| March 1, 2023 |
ABSOLUTE STRATEGIES FUND SCHEDULE OF INVESTMENTS (Unaudited) December 31, 2022 1 Absolute Funds Principal Security Description Rate Maturity Value Asset Backed Obligations - 0. |
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| March 1, 2023 |
ABSOLUTE CAPITAL OPPORTUNITIES FUND SCHEDULE OF INVESTMENTS (Unaudited) December 31, 2022 1 Absolute Funds Shares Security Description Value Common Stock - 76. |
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| March 1, 2023 |
Absolute Convertible Arbitrage Fund Schedule of Investments (Unaudited) December 31, 2022 1 Absolute Funds Principal Security Description Rate Maturity Value Long Positions - 94. |
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| March 1, 2023 |
Absolute Flexible Fund Schedule of Investments (Unaudited) December 31, 2022 1 Absolute Funds Principal Security Description Rate Maturity Value Long Positions - 99. |
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| February 23, 2023 |
Payson Total Return Fund SCHEDULE OF INVESTMENTS (Unaudited) December 31, 2022 1 The following is a summary of the inputs used to value the Fund's investments as of December 31, 2022. |
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| February 2, 2023 |
Beck Mack + Oliver Partners Fund SCHEDULE OF INVESTMENTS (Unaudited) December 31, 2022 1 The following is a summary of the inputs used to value the Fund's investments as of December 31, 2022. |
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| January 17, 2023 |
MAI Managed Volatility Fund SCHEDULE OF INVESTMENTS (Unaudited) November 30, 2022 1 Shares Security Description Value Common Stock - 44. |
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| November 14, 2022 |
The BeeHive Fund SCHEDULE OF INVESTMENTS (Unaudited) September 30, 2022 1 The following is a summary of the inputs used to value the Fund's investments as of September 30, 2022. |
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| November 14, 2022 |
Polaris Global Value Fund SCHEDULE OF INVESTMENTS (Unaudited) SEPTEMBER 30, 2022 1 Shares Security Description Value Common Stock - 98. |
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| November 9, 2022 |
AUXIER FOCUS FUND SCHEDULE OF INVESTMENTS (Unaudited) September 30, 2022 1 Shares Security Description Value Equity Securities - 87. |
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| November 8, 2022 |
Lisanti Small Cap Growth Fund SCHEDULE OF INVESTMENTS (Unaudited) September 30, 2022 1 Shares Security Description Value Common Stock - 94. |
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| November 3, 2022 |
1 DF DENT GROWTH FUNDS DF DENT PREMIER GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) SEPTEMBER 30, 2022 The following is a summary of the inputs used to value the Fund's investments as of September 30, 2022. |
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| November 3, 2022 |
1 DF DENT GROWTH FUNDS DF DENT MIDCAP GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) SEPTEMBER 30, 2022 The following is a summary of the inputs used to value the Fund's investments as of September 30, 2022. |
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| November 3, 2022 |
1 DF DENT GROWTH FUNDS DF DENT SMALL CAP GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) SEPTEMBER 30, 2022 The following is a summary of the inputs used to value the Fund's investments as of September 30, 2022. |
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| September 20, 2022 |
September 20, 2022 VIA EDGAR John F. Kernan Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: Forum Funds (the ?Registrant?) (File No. 811-03023) Dear Mr. Kernan: This letter is in response to comments provided by the staff (?Staff?) of the Securities and Exchange Commission (the ?SEC?) with respect to filings made by the Registrant |
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| September 7, 2022 |
MONONGAHELA ALL CAP VALUE FUND SCHEDULE OF INVESTMENTS (Unaudited) July 31, 2022 1 The following is a summary of the inputs used to value the Fund's investments as of July 31, 2022. |
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| August 25, 2022 |
ABSOLUTE STRATEGIES FUND SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2022 1 Absolute Funds Principal Security Description Rate Maturity Value Asset Backed Obligations - 0. |
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| August 25, 2022 |
Absolute Convertible Arbitrage Fund Schedule of Investments (Unaudited) June 30, 2022 1 Absolute Funds Principal Security Description Rate Maturity Value Long Positions - 95. |
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| August 25, 2022 |
ABSOLUTE CAPITAL OPPORTUNITIES FUND SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2022 1 Absolute Funds Shares Security Description Value Common Stock - 50. |
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| August 10, 2022 |
1 MERK HARD CURRENCY FUND SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2022 Principal Security Description Currency Rate Maturity Value in USD Foreign Bonds - 69. |
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| August 8, 2022 |
Payson Total Return Fund SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2022 1 The following is a summary of the inputs used to value the Fund's investments as of June 30, 2022. |
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| August 2, 2022 |
Beck, Mack & Oliver Partners Fund SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2022 1 The following is a summary of the inputs used to value the Fund's investments as of June 30, 2022. |
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| July 26, 2022 |
MAI Managed Volatility Fund SCHEDULE OF INVESTMENTS (Unaudited) May 31, 2022 1 Shares Security Description Value Common Stock - 46. |
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| May 16, 2022 |
Polaris Global Value Fund SCHEDULE OF INVESTMENTS (Unaudited) MARCH 31, 2022 1 Shares Security Description Value Common Stock - 99. |
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| May 6, 2022 |
AUXIER FOCUS FUND SCHEDULE OF INVESTMENTS (Unaudited) March 31, 2022 1 Shares Security Description Value Common Stock - 94. |
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| May 5, 2022 |
Lisanti Small Cap Growth Fund SCHEDULE OF INVESTMENTS (Unaudited) March 31, 2022 1 Shares Security Description Value Common Stock - 98. |
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| May 4, 2022 |
The BeeHive Fund SCHEDULE OF INVESTMENTS (Unaudited) March 31, 2022 1 The following is a summary of the inputs used to value the Fund's investments as of March 31, 2022. |
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| April 28, 2022 |
1 DF DENT GROWTH FUNDS DF DENT MIDCAP GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) MARCH 31, 2022 The following is a summary of the inputs used to value the Fund's investments as of March 31, 2022. |
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| April 28, 2022 |
1 DF DENT GROWTH FUNDS DF DENT SMALL CAP GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) MARCH 31, 2022 The following is a summary of the inputs used to value the Fund's investments as of March 31, 2022. |
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| April 28, 2022 |
1 DF DENT GROWTH FUNDS DF DENT PREMIER GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) MARCH 31, 2022 The following is a summary of the inputs used to value the Fund's investments as of March 31, 2022. |
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| March 15, 2022 |
MONONGAHELA ALL CAP VALUE FUND SCHEDULE OF INVESTMENTS (Unaudited) January 31, 2022 1 The following is a summary of the inputs used to value the Fund's investments as of January 31, 2022. |
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| February 24, 2022 |
ABSOLUTE CAPITAL OPPORTUNITIES FUND SCHEDULE OF INVESTMENTS (Unaudited) December 31, 2021 1 Absolute Funds Shares Security Description Value Common Stock - 58. |
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| February 24, 2022 |
ABSOLUTE STRATEGIES FUND SCHEDULE OF INVESTMENTS (Unaudited) December 31, 2021 1 Absolute Funds Shares Security Description Value Common Stock - 30. |
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| February 24, 2022 |
Absolute Convertible Arbitrage Fund Schedule of Investments (Unaudited) December 31, 2021 1 Absolute Funds Principal Security Description Rate Maturity Value Long Positions - 97. |
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| February 24, 2022 |
EX-99.A4 OTHER AGRMT 2 fp0073648ex99h12.htm EXPENSE LIMITATION AGREEMENT Forum Funds c/o Atlantic Fund Administration Three Canal Plaza, Suite 600 Portland, ME 04101 February 14, 2022 Absolute Investment Advisers LLC 4 North Street, Suite 2 Hingham, MA 02043 Dear Mr. Compson: Pursuant to this Expense Limitation Agreement (the “Agreement”), Absolute Investment Advisers LLC (the “Adviser”) agrees to |
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| February 24, 2022 |
As filed with the Securities and Exchange Commission on February 24, 2022 File Nos. |
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| February 8, 2022 |
1 MERK HARD CURRENCY FUND SCHEDULE OF INVESTMENTS (Unaudited) December 31, 2021 T Principal Security Description Currency Rate Maturity Value in USD Foreign Bonds - 70. |
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| February 4, 2022 |
Payson Total Return Fund SCHEDULE OF INVESTMENTS (Unaudited) December 31, 2021 1 The following is a summary of the inputs used to value the Fund's investments as of December 31, 2021. |
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| February 3, 2022 |
Beck, Mack & Oliver Partners Fund SCHEDULE OF INVESTMENTS (Unaudited) December 31, 2021 1 The following is a summary of the inputs used to value the Fund's investments as of December 31, 2021. |
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| January 11, 2022 |
MAI Managed Volatility Fund SCHEDULE OF INVESTMENTS (Unaudited) November 30, 2021 1 Shares Security Description Value Common Stock - 51. |
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| November 2, 2021 |
The BeeHive Fund SCHEDULE OF INVESTMENTS (Unaudited) September 30, 2021 1 The following is a summary of the inputs used to value the Fund's investments as of September 30, 2021. |
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| November 2, 2021 |
Lisanti Small Cap Growth Fund SCHEDULE OF INVESTMENTS (Unaudited) September 30, 2021 1 Shares Security Description Value Common Stock - 96. |
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| November 2, 2021 |
AUXIER FOCUS FUND SCHEDULE OF INVESTMENTS (Unaudited) September 30, 2021 1 Shares Security Description Value Common Stock - 95. |
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| October 28, 2021 |
Polaris Global Value Fund SCHEDULE OF INVESTMENTS (Unaudited) SEPTEMBER 30, 2021 1 Shares Security Description Value Common Stock - 99. |
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| October 26, 2021 |
1 DF DENT GROWTH FUNDS DF DENT SMALL CAP GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) SEPTEMBER 30, 2021 The following is a summary of the inputs used to value the Fund's investments as of September 30, 2021. |
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| October 26, 2021 |
1 DF DENT GROWTH FUNDS DF DENT MIDCAP GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) SEPTEMBER 30, 2021 The following is a summary of the inputs used to value the Fund's investments as of September 30, 2021. |
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| October 26, 2021 |
1 DF DENT GROWTH FUNDS DF DENT PREMIER GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) SEPTEMBER 30, 2021 The following is a summary of the inputs used to value the Fund's investments as of September 30, 2021. |
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| October 4, 2021 | ||
| October 4, 2021 |
October 4, 2021 VIA EDGAR Yoon Y. Choo Division of Investment Management, Disclosure Review Office U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: FORUM FUNDS MAI Managed Volatility Fund (the ?Fund?) (File Nos. 811-03023 and 002-67052) Dear Ms. Choo: On September 24, 2021, Forum Funds (?Registrant?) filed a preliminary proxy statement on Schedule 14A (?Proxy State |
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| October 4, 2021 |
Please see attached PDF. |
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| September 24, 2021 |
PRE 14A 1 maipre14a.htm Please see attached PDF. |
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| September 24, 2021 | ||
| September 16, 2021 |
MONONGAHELA ALL CAP VALUE FUND SCHEDULE OF INVESTMENTS (Unaudited) July 31, 2021 1 The following is a summary of the inputs used to value the Fund's investments as of July 31, 2021. |
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| August 27, 2021 |
ABSOLUTE STRATEGIES FUND SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2021 1 Absolute Funds Shares Security Description Value Common Stock - 31. |
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| August 27, 2021 |
Absolute Convertible Arbitrage Fund Schedule of Investments (Unaudited) June 30, 2021 1 Absolute Funds Shares Security Description Value Long Positions - 100. |
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| August 27, 2021 |
ABSOLUTE CAPITAL OPPORTUNITIES FUND SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2021 1 Absolute Funds Shares Security Description Value Common Stock - 53. |
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| August 17, 2021 |
Payson Total Return Fund SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2021 1 The following is a summary of the inputs used to value the Fund's investments as of June 30, 2021. |
|
| August 2, 2021 |
1 MERK HARD CURRENCY FUND SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2021 Principal Security Description Currency Rate Maturity Value in USD Foreign Bonds - 67. |
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| August 2, 2021 |
Beck, Mack & Oliver Partners Fund SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2021 1 The following is a summary of the inputs used to value the Fund's investments as of June 30, 2021. |
|
| June 28, 2021 |
MAI Managed Volatility Fund SCHEDULE OF INVESTMENTS (Unaudited) May 31, 2021 1 Shares Security Description Value Common Stock - 56. |
|
| May 17, 2021 |
AUXIER FOCUS FUND SCHEDULE OF INVESTMENTS (Unaudited) March 31, 2021 1 Shares Security Description Value Common Stock - 98. |
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| May 12, 2021 |
The BeeHive Fund SCHEDULE OF INVESTMENTS (Unaudited) March 31, 2021 1 The Level 1 value displayed in this table is Common Stock. |
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| May 4, 2021 |
1 DF DENT GROWTH FUNDS DF DENT PREMIER GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) MARCH 31, 2021 The following is a summary of the inputs used to value the Fund's investments as of March 31, 2021. |
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| May 4, 2021 |
Lisanti Small Cap Growth Fund SCHEDULE OF INVESTMENTS (Unaudited) March 31, 2021 1 Shares Security Description Value Common Stock - 96. |
|
| May 4, 2021 |
1 DF DENT GROWTH FUNDS DF DENT SMALL CAP GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) MARCH 31, 2021 The following is a summary of the inputs used to value the Fund's investments as of March 31, 2021. |
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| May 4, 2021 |
1 DF DENT GROWTH FUNDS DF DENT MIDCAP GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) MARCH 31, 2021 The following is a summary of the inputs used to value the Fund's investments as of March 31, 2021. |
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| May 4, 2021 |
Polaris Global Value Fund SCHEDULE OF INVESTMENTS (Unaudited) MARCH 31, 2021 1 Shares Security Description Value Common Stock - 95. |
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| March 9, 2021 |
MONONGAHELA ALL CAP VALUE FUND SCHEDULE OF INVESTMENTS (Unaudited) January 31, 2021 1 The following is a summary of the inputs used to value the Fund's investments as of January 31, 2021. |
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| February 24, 2021 |
ABSOLUTE CAPITAL OPPORTUNITIES FUND SCHEDULE OF INVESTMENTS (Unaudited) December 31, 2020 1 Absolute Funds Shares Security Description Value Common Stock - 54. |
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| February 24, 2021 |
Absolute Convertible Arbitrage Fund Schedule of Investments (Unaudited) December 31, 2020 1 Absolute Funds Principal Security Description Rate Maturity Value Long Positions - 97. |
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| February 24, 2021 |
ABSOLUTE STRATEGIES FUND SCHEDULE OF INVESTMENTS (Unaudited) December 31, 2020 1 Absolute Funds Shares Security Description Value Common Stock - 26. |
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| February 19, 2021 |
U.S. Securities and Exchange Commission February 19, 2021 February 19, 2021 VIA EDGAR Yoon Y. Choo Division of Investment Management, Disclosure Review Office U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: FORUM FUNDS Absolute Convertible Arbitrage Fund (the “Fund”) (File Nos. 811-03023 and 002-67052) Dear Ms. Choo: On December 28, 2020, Forum Funds (“Registrant” |
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| February 16, 2021 |
1 MERK HARD CURRENCY FUND SCHEDULE OF INVESTMENTS (Unaudited) December 31, 2020 T Principal Security Description Currency Rate Maturity Value in USD Foreign Bonds - 61. |
|
| February 16, 2021 |
Payson Total Return Fund SCHEDULE OF INVESTMENTS (Unaudited) December 31, 2020 1 The following is a summary of the inputs used to value the Fund's investments as of December 31, 2020. |
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| February 3, 2021 |
Beck, Mack & Oliver Partners Fund SCHEDULE OF INVESTMENTS (Unaudited) December 31, 2020 1 The following is a summary of the inputs used to value the Fund's investments as of December 31, 2020. |
|
| January 12, 2021 |
MAI Managed Volatility Fund SCHEDULE OF INVESTMENTS (Unaudited) November 30, 2020 1 Shares Security Description Value Equity Securities - 51. |
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| December 28, 2020 |
FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 207-347-2000 FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 207-347-2000 December 28, 2020 EDGAR FILING U. |
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| November 10, 2020 |
AUXIER FOCUS FUND SCHEDULE OF INVESTMENTS (Unaudited) September 30, 2020 1 Shares Security Description Value Common Stock - 96. |
|
| November 4, 2020 |
Lisanti Small Cap Growth Fund SCHEDULE OF INVESTMENTS (Unaudited) September 30, 2020 1 Shares Security Description Value Common Stock - 98. |
|
| October 27, 2020 |
The BeeHive Fund SCHEDULE OF INVESTMENTS (Unaudited) September 30, 2020 1 The following is a summary of the inputs used to value the Fund's investments as of September 30, 2020. |
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| October 27, 2020 |
1 DF DENT GROWTH FUNDS DF DENT SMALL CAP GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) SEPTEMBER 30, 2020 The following is a summary of the inputs used to value the Fund's investments as of September 30, 2020. |
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| October 27, 2020 |
Polaris Global Value Fund SCHEDULE OF INVESTMENTS (Unaudited) SEPTEMBER 30, 2020 1 Shares Security Description Value Common Stock - 96. |
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| October 27, 2020 |
1 DF DENT GROWTH FUNDS DF DENT PREMIER GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) SEPTEMBER 30, 2020 The following is a summary of the inputs used to value the Fund's investments as of September 30, 2020. |
|
| October 27, 2020 |
1 DF DENT GROWTH FUNDS DF DENT MIDCAP GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) SEPTEMBER 30, 2020 The following is a summary of the inputs used to value the Fund's investments as of September 30, 2020. |
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| October 26, 2020 |
LMCG International Small Cap Fund SCHEDULE OF INVESTMENTS (Unaudited) September 30, 2020 1 Shares Security Description Value Equity Securities - 81. |
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| September 17, 2020 |
Absolute Strategies Fund Absolute Capital Opportunities Fund Absolute Convertible Arbitrage Fund Three Canal Plaza Portland, Maine 04101 (888) 992-2765 - INFORMATION STATEMENT - September 17, 2020 This document is an Information Statement for the shareholders of the Absolute Strategies Fund (the “Strategies Fund”), the Absolute Capital Opportunities Fund (the “Opportunities Fund”), and the Absolute Convertible Arbitrage Fund (the “Arbitrage Fund”) (each a “Fund” and together the “Funds”), each a series of Forum Funds (the "Trust"). |
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| September 2, 2020 |
MONONGAHELA ALL CAP VALUE FUND SCHEDULE OF INVESTMENTS (Unaudited) July 31, 2020 1 The following is a summary of the inputs used to value the Fund's investments as of July 31, 2020. |
|
| August 19, 2020 |
Absolute Convertible Arbitrage Fund Schedule of Investments (Unaudited) June 30, 2020 1 Absolute Funds Long Positions - 99. |
|
| August 19, 2020 |
ABSOLUTE CAPITAL OPPORTUNITIES FUND SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2020 1 Absolute Funds Shares Security Description Value Common Stock - 48. |
|
| August 19, 2020 |
ABSOLUTE STRATEGIES FUND SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2020 1 Absolute Funds Shares Security Description Value Common Stock - 18. |
|
| August 18, 2020 |
1 MERK HARD CURRENCY FUND SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2020 T thi Principal Security Description Currency Rate Maturity Value in USD Foreign Bonds - 66. |
|
| August 4, 2020 |
Beck, Mack & Oliver Partners Fund SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2020 1 The following is a summary of the inputs used to value the Fund's investments as of June 30, 2020. |
|
| August 3, 2020 |
Payson Total Return Fund SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2020 1 The following is a summary of the inputs used to value the Fund's investments as of June 30, 2020. |
|
| July 28, 2020 |
LMCG International Small Cap Fund SCHEDULE OF INVESTMENTS (Unaudited) June 30, 2020 1 Shares Security Description Value Equity Securities - 94. |
|
| July 28, 2020 |
U.S. Securities and Exchange Commission July 28, 2020 Page 1 July 28, 2020 VIA EDGAR Yoon Y. Choo Division of Investment Management, Disclosure Review Office U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: FORUM FUNDS Absolute Capital Opportunities Fund Absolute Convertible Arbitrage Fund Absolute Strategies Fund (the ?Funds") (File Nos. 811-03023 and 002-67052) D |
|
| July 28, 2020 |
begin 644 absolutedef14a.pdf M)5!$1BTQ+C4-)>+CS],-"C$W." P(&]B:@T\/"],:6YE87)I>F5D(#$O3" T M,#,R,S(O3R Q.# O12 Q-C4T-34O3B S,2]4(#0P,C8V,B]((%L@-3,U(#8R M-UT^/@UE;F1O8FH-(" @(" @(" @(" @#0HR,#8@,"!O8FH-/#PO1&5C;V1E M4&%R;7,\/"]#;VQU;6YS(#4O4')E9&EC=&]R(#$R/CXO1FEL=&5R+T9L871E M1&5C;V1E+TE$6SQ&0D0P-S%$1D0W-S5%,SDP0S%LQ-S@@ M-#==+TEN9F\@,37!E+UA2968O5ULQ(#,@,5T^/G-T!;<\!L?LO@]EI M(#*P%ZSK&9#\-]67@0G |
|
| July 28, 2020 |
Please see the attached PDF |
|
| July 20, 2020 |
MAI Managed Volatility Fund SCHEDULE OF INVESTMENTS (Unaudited) May 31, 2020 1 Shares Security Description Value Equity Securities - 47. |
|
| July 2, 2020 |
begin 644 absolutefundspre14a4.pdf M)5!$1BTQ+C4-)>+CS],-"C$W,R P(&]B:@T\/"],:6YE87)I>F5D(#$O3" S M.3%LQ-S,@ M-#==+TEN9F\@,37!E+UA2968O5ULQ(#,@,5T^/G-T1#*$@DO$?B&1=!68G@$BF=#![,EA\)EB]-Y@=!V:+ M@TD[L)I>L+@V6$0=1#*#57*W@ME[P&J2063?)C [!4@R[CP MCT'Q.X-!(NG M@4B??K"N9T#RW^S;#$Q U]J 53(PTI#\S\"4\0$@P !']11Z#0IE;F1S=')E M86T-96YD;V)J#7-T87)T>')E9@T*, T*)25%3T8-"B @(" @(" @#0HR,3D@ M,"!O8FH-/#PO1FEL=&5R+ |
|
| July 2, 2020 |
See attached PDF. |
|
| May 12, 2020 |
Polaris Global Value Fund SCHEDULE OF INVESTMENTS (Unaudited) MARCH 31, 2020 1 Shares Security Description Value Common Stock - 94. |
|
| May 11, 2020 |
AUXIER FOCUS FUND SCHEDULE OF INVESTMENTS (Unaudited) March 31, 2020 1 Shares Security Description Value Equity Securities - 94. |
|
| May 8, 2020 |
Lisanti Small Cap Growth Fund SCHEDULE OF INVESTMENTS (Unaudited) March 31, 2020 1 Shares Security Description Value Common Stock - 96. |
|
| May 8, 2020 |
The BeeHive Fund SCHEDULE OF INVESTMENTS (Unaudited) March 31, 2020 1 The following is a summary of the inputs used to value the Fund's investments as of March 31, 2020. |
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| May 7, 2020 |
1 DF DENT GROWTH FUNDS DF DENT SMALL CAP GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) MARCH 31, 2020 The following is a summary of the inputs used to value the Fund's investments as of March 31, 2020. |
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| May 7, 2020 |
1 DF DENT GROWTH FUNDS DF DENT PREMIER GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) MARCH 31, 2020 The following is a summary of the inputs used to value the Fund's investments as of March 31, 2020. |
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| May 7, 2020 |
1 DF DENT GROWTH FUNDS DF DENT MIDCAP GROWTH FUND SCHEDULE OF INVESTMENTS (Unaudited) MARCH 31, 2020 The following is a summary of the inputs used to value the Fund's investments as of March 31, 2020. |
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| March 12, 2020 |
MCMVX / Monongahela All Cap Value Fund N-Q - Quarterly Schedule of Portfolio Holdings - N-Q 1 primary-document.htm 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207- |
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| March 12, 2020 |
EX-99.CERT 3 ForumPFO302CertFYE0430.htm Exhibit 1B Forum Funds I, Karen Shaw, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Monongahela All Cap Value Fund); 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 st |
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| March 12, 2020 |
EX-99.CERT 2 ForumPEO302CertFYE0430.htm Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Monongahela All Cap Value Fund); 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 |
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| March 2, 2020 |
PBFDX / Payson Total Return Fund N-Q/A - Quarterly Schedule 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| March 2, 2020 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Absolute Capital Opportunities Fund, Absolute Strategies Fund, Absolute Convertible Arbitrage Fund, Beck Mack & Oliver Partners Fund, LMCG Global Multicap Fund, LMCG International Small Cap Fund, Merk Hard Currency Fund, and Payson Total Return Fund); 2. Based on my knowledge, this rep |
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| February 28, 2020 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Absolute Capital Opportunities Fund, Absolute Strategies Fund, Absolute Convertible Arbitrage Fund, Beck Mack & Oliver Partners Fund, LMCG Global Multicap Fund, LMCG International Small Cap Fund, Merk Hard Currency Fund, and Payson Total Return Fund); 2. Based on my knowledge, this rep |
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| February 28, 2020 |
PBFDX / Payson Total Return Fund N-Q - Quarterly Schedule 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| December 30, 2019 |
MAIPX / MAI Managed Volatility Fund N-Q - Quarterly Schedule 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| December 30, 2019 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (MAI Managed Volatility Fund); 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 |
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| December 19, 2019 |
MCMVX / Monongahela All Cap Value Fund CORRESP - - CORRESP 1 filename1.htm December 19, 2019 VIA EDGAR Elisabeth Bentzinger Division of Investment Management, Disclosure Review Office U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: FORUM FUNDS MAI Managed Volatility Fund (File Nos. 811-03023 and 002-67052) Dear Ms. Bentzinger: On October 21, 2019, Forum Funds (“Registrant”) filed Post-Effective Amendment No. 656 ( |
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| November 26, 2019 |
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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| November 26, 2019 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Lisanti Small Cap Growth Fund, Polaris Global Value Fund and The BeeHive Fund); 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 whi |
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| November 22, 2019 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Auxier Focus Fund, DF Dent Midcap Growth Fund, DF Dent Premier Growth Fund and DF Dent Small Cap Growth Fund); 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 |
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| November 22, 2019 |
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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| November 8, 2019 |
Adalta International Fund Three Canal Plaza Portland, Maine 04101 (855) 328-7691 - INFORMATION STATEMENT - November 8, 2019 Introduction This document is an Information Statement furnished to the shareholders of the Adalta International Fund (the “Fund”), a series of Forum Funds (the "Trust"), pursuant to Section 14(c) of the Securities Exchange Act of 1934, as amended, and Rule 14c-2 promulgated thereunder, in connection with an action taken by written consent of the shareholders of the Fund. |
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| October 21, 2019 |
FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 207-347-2000 FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 207-347-2000 October 21, 2019 EDGAR FILING U. |
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| September 13, 2019 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Monongahela All Cap Value Fund); 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 wi |
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| September 13, 2019 |
Forum Funds N-Q - Quarterly Schedule of Portfolio Holdings - N-Q 1 fp0045884nq.htm 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-20 |
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| August 28, 2019 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Absolute Capital Opportunities Fund, Absolute Strategies Fund, Absolute Convertible Arbitrage Fund, Adalta International Fund, Beck Mack & Oliver Partners Fund, LMCG Global Multicap Fund, LMCG International Small Cap Fund, Merk Absolute Return Currency Fund, Merk Hard Currency Fund, an |
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| August 28, 2019 |
Forum Funds N-Q - Quarterly Schedule of Portfolio Holdings - N-Q 1 fp0045311nq.htm 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-20 |
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| July 15, 2019 |
THE BEEHIVE FUND Three Canal Plaza Portland, Maine 04101 July 15, 2019 Dear Shareholder: a special meeting Special The BeeHive Fund Spears Abacus Advisors LLC SAA The Special Meeting is scheduled to be held on August 30, 2019. |
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| July 15, 2019 |
DEF 14A 1 beehiveproxy2.htm Please see the attached PDF. |
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| July 12, 2019 |
July 12, 2019 VIA EDGAR Keith Gregory Division of Investment Management, Disclosure Review Office U. |
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| July 11, 2019 |
Forum Funds N-Q - Quarterly Schedule 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| July 11, 2019 |
EX-99.CERT 2 dex99cert.htm Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (MAI Managed Volatility Fund); 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 |
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| June 27, 2019 |
FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 207-347-2000 June 27, 2019 U. |
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| June 27, 2019 |
PRELIMINARY – Dated June 27, 2019 THE BEEHIVE FUND Three Canal Plaza Portland, Maine 04101 PRELIMINARY – Dated June 27, 2019 THE BEEHIVE FUND Three Canal Plaza Portland, Maine 04101 July 1, 2019 Dear Shareholder: The Board of Trustees (the “Board”) of Forum Funds (the “Trust”) has called a special meeting (the “Special Meeting”) of the shareholders of The BeeHive Fund (the “Fund”), a series of the Trust, to approve a new Investment Advisory Agreement for the Fund (the “New Agreement”) between the Trust and Spears Abacus Advisors LLC (“SAA”). |
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| June 21, 2019 |
THE BEEHIVE FUND Three Canal Plaza Portland, Maine 04101 THE BEEHIVE FUND Three Canal Plaza Portland, Maine 04101 July 1, 2019 Dear Shareholder: The Board of Trustees (the “Board”) of Forum Funds (the “Trust”) has called a special meeting (the “Special Meeting”) of the shareholders of The BeeHive Fund (the “Fund”), a series of the Trust, to approve a new Investment Advisory Agreement for the Fund (the “New Agreement”) between the Trust and Spears Abacus Advisors LLC (“SAA”). |
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| June 21, 2019 |
FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 207-347-2000 June 21, 2019 U. |
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| April 30, 2019 |
Forum Funds N-Q (Quarterly Schedule 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| April 30, 2019 |
EX-99.CERT 2 dex99cert.htm Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Auxier Focus Fund, DF Dent Midcap Growth Fund, DF Dent Premier Growth Fund and DF Dent Small Cap Growth Fund); 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 th |
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| April 29, 2019 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Lisanti Small Cap Growth Fund, Polaris Global Value Fund and The BeeHive Fund); 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 whi |
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| April 29, 2019 |
Forum Funds N-Q (Quarterly Schedule 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| March 5, 2019 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Monongahela All Cap Value Fund); 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 wi |
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| March 5, 2019 |
Forum Funds (Quarterly Schedule 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| February 26, 2019 |
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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| February 26, 2019 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Absolute Capital Opportunities Fund, Absolute Strategies Fund, Absolute Convertible Arbitrage Fund, Adalta International Fund, Beck Mack & Oliver Partners Fund, LMCG Global Multicap Fund, LMCG International Small Cap Fund, Merk Absolute Return Currency Fund, Merk Hard Currency Fund, an |
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| February 7, 2019 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Steinberg Select Fund); 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 respec |
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| February 7, 2019 |
Forum Funds N-Q (Quarterly Schedule 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| January 10, 2019 |
Forum Funds N-Q (Quarterly Schedule 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| January 10, 2019 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (MAI Managed Volatility Fund); 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 |
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| November 2, 2018 |
Forum Funds N-Q (Quarterly Schedule 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| November 2, 2018 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Lisanti Small Cap Growth Fund, Polaris Global Value Fund and The BeeHive Fund); 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 whi |
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| November 1, 2018 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Auxier Focus Fund, DF Dent Midcap Growth Fund, DF Dent Premier Growth Fund and DF Dent Small Cap Growth Fund); 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 |
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| November 1, 2018 |
Forum Funds N-Q (Quarterly Schedule 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| August 29, 2018 |
Forum Funds N-Q (Quarterly Schedule 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| August 29, 2018 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Absolute Capital Opportunities Fund, Absolute Strategies Fund, Absolute Convertible Arbitrage Fund, Adalta International Fund, Beck Mack & Oliver Partners Fund, LMCG Global Market Neutral Fund, LMCG Global Multicap Fund, LMCG International Small Cap Fund, Merk Absolute Return Currency |
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| August 23, 2018 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Monongahela All Cap Value Fund); 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 wi |
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| August 23, 2018 |
Forum Funds N-Q (Quarterly Schedule 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| August 6, 2018 |
Forum Funds N-Q (Quarterly Schedule 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| August 6, 2018 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Steinberg Select Fund); 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 respec |
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| June 29, 2018 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (MAI Managed Volatility Fund); 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 |
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| June 29, 2018 |
Forum Funds N-Q (Quarterly Schedule 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| June 25, 2018 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees of Forum Funds and the Shareholders of Monongahela All Cap Value Fund In planning and performing our audit of the financial statements of Monongahela All Cap Value Fund, a series of shares of beneficial interest in Forum Funds (the "Fund"), as of April 30, 2018, and for the year then ended, in accordance with the stan |
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| May 30, 2018 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.77B ACCT LTTR 4 ex77bbmo.htm REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees of Forum Funds and the Shareholders of Beck, Mack & Oliver Partners Fund In planning and performing our audit of the financial statements of Beck, Mack & Oliver Partners Fund, a series of shares of beneficial interest in Forum Funds (the "Fund"), as of March 31, 2018, and for the yea |
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| May 30, 2018 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees of Forum Funds and the Shareholders of Absolute Strategies Fund, Absolute Capital Opportunities Fund, and Absolute Convertible Arbitrage Fund In planning and performing our audits of the financial statements of Absolute Strategies Fund, Absolute Capital Opportunities Fund, and Absolute Convertible Arbitrage Fund, each |
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| May 30, 2018 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees of Forum Funds and the Shareholders of Adalta International Fund In planning and performing our audit of the financial statements of Adalta International Fund, a series of shares of beneficial interest in Forum Funds (the "Fund"), as of March 31, 2018, and for the year then ended, in accordance with the standards of t |
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| May 30, 2018 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.77B ACCT LTTR 5 ex77blmcg.htm REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees of Forum Funds and the Shareholders of LMCG Global Market Neutral Fund, LMCG Global MultiCap Fund, and LMCG International Small Cap Fund In planning and performing our audits of the financial statements of LMCG Global Market Neutral Fund, LMCG Global MultiCap Fund, and LMCG Internat |
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| May 30, 2018 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees of Forum Funds and the Shareholders of Payson Total Return Fund In planning and performing our audit of the financial statements of Payson Total Return Fund, a series of shares of beneficial interest in Forum Funds (the "Fund"), as of March 31, 2018, and for the year then ended, in accordance with the standards of the |
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| May 30, 2018 |
SUB-ITEM 77(H) CHANGES IN CONTROL OF REGISTRANT In the month of March, 2018, Pershing, LLC acquired control due to ownership of greater than 25% of the Absolute Capital Opportunities Fund (the "Fund") outstanding shares. Pershing, LLC owned 36.39% of the Fund and thus controlled the Fund as of that date. |
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| May 30, 2018 |
SUB-ITEM 77(H) CHANGES IN CONTROL OF REGISTRANT In the month of December, 2017, the Absolute Strategies Fund acquired control due to ownership of greater than 25% of the Absolute Convertible Arbitrage Fund (the "Fund") outstanding shares. The Absolute Strategies Fund owned 49.48% of the Fund and thus controlled the Fund as of that date. |
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| May 30, 2018 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees of Forum Funds and the Shareholders of Merk Hard Currency Fund and Merk Absolute Return Currency Fund In planning and performing our audits of the financial statements of Merk Hard Currency Fund and Merk Absolute Return Currency Fund, each a series of shares of beneficial interest in Forum Funds (the "Funds"), as of M |
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| May 24, 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| May 24, 2018 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Auxier Focus Fund, DF Dent Midcap Growth Fund, DF Dent Premier Growth Fund and DF Dent Small Cap Growth Fund); 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 |
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| May 4, 2018 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Lisanti Small Cap Growth Fund, Polaris Global Value Fund and The BeeHive Fund); 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 whi |
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| May 4, 2018 |
Forum Funds N-Q (Quarterly Schedule 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| May 1, 2018 |
DEF 14C 1 asfdef14c.htm Three Canal Plaza Portland, Maine 04101 (888) 992-2765 - INFORMATION STATEMENT - May 1, 2018 This document is an Information Statement for the shareholders of the Absolute Strategies Fund (the "Fund"), a series of Forum Funds (the "Trust"). The purpose of this Information Statement is to provide you with information regarding the approval of Tortoise Capital Advisors, L.L.C |
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| March 1, 2018 |
Exhibit 1B Forum Funds I, Karen Shaw, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Absolute Capital Opportunities Fund, Absolute Strategies Fund, Absolute Convertible Arbitrage Fund, Adalta International Fund, Beck Mack & Oliver Partners Fund, LMCG Global Market Neutral Fund, LMCG Global Multicap Fund, LMCG International Small Cap Fund, Merk Absolute Return Currency Fun |
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| March 1, 2018 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Absolute Capital Opportunities Fund, Absolute Strategies Fund, Absolute Convertible Arbitrage Fund, Adalta International Fund, Beck Mack & Oliver Partners Fund, LMCG Global Market Neutral Fund, LMCG Global Multicap Fund, LMCG International Small Cap Fund, Merk Absolute Return Currency |
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| March 1, 2018 |
Forum Funds N-Q (Quarterly Schedule 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| March 1, 2018 |
EX-99.77C VOTES 6 ditem77clisanti.htm The Board of Trustees of Forum Funds (the "Trust") called a special meeting (the "Special Meeting") of the shareholders of the Dinosaur Lisanti Small Cap Growth Fund (the "Fund"), a series of the Trust, to approve a new investment advisory agreement between Lisanti Capital Growth, LLC and the Trust, on behalf of the Fund. The Special Meeting was held on Decemb |
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| March 1, 2018 |
A copy of the investment advisory agreement between Registrant and Lisanti Capital Growth, LLC regarding Dinosaur Lisanti Small Cap Growth Fund, Exhibit (d)(5) to the Registrant's Registration Statement on Form N-1A, is incorporated by reference as filed via EDGAR in Post-Effective Amendment No. 604 on January 25, 2018, accession number 0001398344-18-000916. |
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| March 1, 2018 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees of Forum Funds and the Shareholders of The BeeHive Fund In planning and performing our audit of the financial statements of The BeeHive Fund, a series of shares of beneficial interest in Forum Funds (the "Fund"), as of December 31, 2017, and for the year then ended, in accordance with the standards of the Public Compa |
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| March 1, 2018 |
Forum Funds A copy of the Registrant's Amended By-Laws is incorporated by reference as filed as Exhibit (b) via EDGAR in Post-Effective Amendment Number 604 on January 25, 2018, accession number 0001398344-18-000916. |
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| March 1, 2018 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees of Forum Funds and the Shareholders of Lisanti Small Cap Growth Fund In planning and performing our audit of the financial statements of Lisanti Small Cap Growth Fund (formerly Dinosaur Lisanti Small Cap Growth Fund and Lebenthal Lisanti Small Cap Growth Fund), a series of shares of beneficial interest in Forum Funds |
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| March 1, 2018 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.77B ACCT LTTR 4 ditem77bpolaris.htm REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees of Forum Funds and the Shareholders of Polaris Global Value Fund In planning and performing our audit of the financial statements of Polaris Global Value Fund, a series of shares of beneficial interest in Forum Funds (the "Fund"), as of December 31, 2017, and for the year then |
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| March 1, 2018 |
The Board of Trustees of Forum Funds (the "Trust") called a special meeting (the "Special Meeting") of the Trust's shareholders to elect five trustees to the Board of Trustees of the Trust (the "Board"). |
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| February 28, 2018 |
EX-99.77Q1 OTHR EXHB 3 d77q1.htm Forum Funds A copy of the Registrant's Amended By-Laws is incorporated by reference as filed as Exhibit (b) via EDGAR in Post-Effective Amendment Number 604 on January 25, 2018, accession number 0001398344-18-000916. |
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| February 28, 2018 |
The Board of Trustees of Forum Funds (the "Trust") called a special meeting (the "Special Meeting") of the Trust's shareholders to elect five trustees to the Board of Trustees of the Trust (the "Board"). |
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| February 28, 2018 |
Forum Funds (Quarterly Schedule of Portfolio Holdings) N-Q 1 fp0031536nq.htm 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-20 |
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| February 28, 2018 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Monongahela All Cap Value Fund); 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 wi |
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| February 28, 2018 |
February 28, 2018 VIA EDGAR Ms. Lauren Hamilton Disclosure Review Office Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: Forum Funds (the "Registrant") (File No. 811-03023) Dear Ms. Hamilton: This letter is in response to comments provided by the staff ("Staff") of the Securities and Exchange Commission (the "SEC") with respect to |
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| February 21, 2018 |
Three Canal Plaza Portland, Maine 04101 (888) 992-2765 - INFORMATION STATEMENT - February 21, 2018 This document is an Information Statement for the shareholders of the Absolute Strategies Fund (the "Fund"), a series of Forum Funds (the "Trust"). |
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| February 13, 2018 |
OUNZ / Merk Gold Trust / Forum Funds Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2 )* VanEck Merk Gold Trust (Name of Issuer) VanEck Merk Gold Shares (Title of Class of Securities) 921078101 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| February 6, 2018 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Steinberg Select Fund); 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 respec |
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| February 6, 2018 |
N-Q 1 fp0030977nq.htm 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-20 |
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| January 17, 2018 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (MAI Managed Volatility Fund); 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 |
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| January 17, 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| December 27, 2017 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM N-18F-1 Notification of Election Pursuant to Rule 18f-1 Under the Investment Company Act of 1940 FORUM FUNDS NOTIFICATION OF ELECTION The undersigned registered open-end investment company hereby notifies the Securities and Exchange Commission that it elects to commit itself to pay in cash all redemptions by a shareholder of record as provided by Rule 18f-1 under the Investment Company Act of 1940. |
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| November 29, 2017 |
SUB-ITEM 77(H) CHANGES IN CONTROL OF REGISTRANT Effective April 28, 2017, the Absolute Credit Opportunities Fund (the "Fund") ceased the public offering of shares. |
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| November 22, 2017 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees of Forum Funds and the Shareholders of Steinberg Select Fund In planning and performing our audit of the financial statements of Steinberg Select Fund, a series of shares of beneficial interest in Forum Funds (the "Fund"), as of September 30, 2017, and for the year then ended, in accordance with the standards of the P |
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| November 1, 2017 |
N-Q 1 dnq.htm 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date |
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| November 1, 2017 |
EX-99.CERT 2 dex99cert.htm Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Auxier Focus Fund, DF Dent Midcap Growth Fund, DF Dent Premier Growth Fund and DF Dent Small Cap Growth Fund); 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 th |
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| October 27, 2017 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Dinosaur Lisanti Small Cap Growth Fund, Polaris Global Value Fund and The BeeHive Fund); 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 |
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| October 27, 2017 |
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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| October 24, 2017 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EX-99.77B ACCT LTTR 2 ex77b.htm REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees of Forum Funds and the Shareholders of MAI Managed Volatility Fund In planning and performing our audit of the financial statements of MAI Managed Volatility Fund, a series of shares of beneficial interest in Forum Funds (the "Fund"), as of August 31, 2017, and for the year then ended, |
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| October 23, 2017 |
October 23, 2017 VIA EDGAR Ms. Valerie Lithotomos, Esq. Division of Investment Management, Disclosure Review Office U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: FORUM FUNDS DF Dent Midcap Growth Fund DF Dent Premier Growth Fund DF Dent Small Cap Growth Fund (the “Funds") (File Nos. 811-03023 and 002-67052) Dear Ms. Lithotomos: On August 28, 2017, Forum Funds (“ |
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| September 29, 2017 | ||
| September 29, 2017 |
U.S. Securities and Exchange Commission September 29, 2017 September 29, 2017 VIA EDGAR Ms. Lisa Larkin, Esq. Division of Investment Management, Disclosure Review Office U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: FORUM FUNDS Dinosaur Lisanti Small Cap Growth Fund (the "Fund") (File Nos. 811-03023 and 002-67052) Dear Ms. Larkin: On September 18, 2017, Forum Fu |
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| September 29, 2017 | ||
| September 29, 2017 |
Please see attached PDF. |
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| September 29, 2017 |
See attached PDF. |
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| September 22, 2017 |
Three Canal Plaza Portland, Maine 04101 (888) 992-2765 INFORMATION STATEMENT September 22, 2017 Three Canal Plaza Portland, Maine 04101 (888) 992-2765 - INFORMATION STATEMENT - September 22, 2017 This document is an Information Statement for the shareholders of the Absolute Strategies Fund and Absolute Capital Opportunities Fund (each, a "Fund" and together, the "Funds"), each a series of Forum Funds (the "Trust"). |
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| September 22, 2017 |
N-Q 1 dnq.htm 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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date |
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| September 22, 2017 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Exceed Defined Shield Index Fund); 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 |
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| September 18, 2017 |
FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 207-347-2000 September 18, 2017 U. |
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| September 18, 2017 |
DINOSAUR LISANTI SMALL CAP GROWTH FUND (formerly known as the Lebenthal Lisanti Small Cap Growth Fund) Three Canal Plaza Portland, Maine 04101 October 6, 2017 Dear Shareholder: The Board of Trustees (the “Board”) of Forum Funds (the “Trust”) has called a special meeting (the “Special Meeting”) of the shareholders of the Dinosaur Lisanti Small Cap Growth Fund (formerly known as the Lebenthal Lisanti Small Cap Growth Fund) (the “Fund”), a series of the Trust, to approve a new Investment Advisory Agreement for the Fund (the “New Agreement”) between the Trust and Lisanti Capital Growth, LLC (“Lisanti Capital”). |
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| September 18, 2017 |
PRE 14A 1 pre14a.htm See attached PDF |
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| September 6, 2017 |
September 6, 2017 VIA EDGAR Ms. Megan Miller Disclosure Review Office Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: Forum Funds (File No. 811-03023) Dear Ms. Miller: This letter is in response to comments provided by the staff ("Staff") of the Securities and Exchange Commission (the "SEC") with respect to certain filings made by |
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| August 28, 2017 |
FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 207-347-2000 FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 207-347-2000 August 28, 2017 EDGAR FILING U. |
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| August 25, 2017 |
REGISTERED PUBLIC ACCOUNTING FIRM EX-99.77B ACCT LTTR 3 ex77bdent.htm REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees of Forum Funds and the Shareholders of DF Dent Premier Growth Fund, DF Dent Mid Cap Growth Fund, and DF Dent Small Cap Growth Fund In planning and performing our audits of the financial statements of DF Dent Premier Growth Fund, DF Dent Midcap Growth Fund, and DF Dent Small Cap Growth Fund, each a series |
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| August 25, 2017 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees of Forum Funds and the Shareholders of Auxier Focus Fund In planning and performing our audit of the financial statements of Auxier Focus Fund, a series of shares of beneficial interest in Forum Funds (the "Fund"), as of June 30, 2017 and for the year then ended, in accordance with the standards of the Public Company |
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| August 24, 2017 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Absolute Capital Opportunities Fund, Absolute Strategies Fund, Adalta International Fund, Beck Mack & Oliver Partners Fund, LMCG Global Market Neutral Fund, LMCG Global Multicap Fund, LMCG International Small Cap Fund, Merk Absolute Return Currency Fund, Merk Hard Currency Fund, and Pa |
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| August 24, 2017 |
SUB-ITEM 77(H) CHANGES IN CONTROL OF REGISTRANT SUB-ITEM 77(H) CHANGES IN CONTROL OF REGISTRANT In the month of May, 2017, the percentage of shares of the Lebenthal Lisanti Small Cap Growth Fund (the "Fund") outstanding Shares registered to Charles Schwab Co Inc fell to 9.6% of the Fund's total outstanding shares and thus no longer controlled the Fund as of that date. |
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| August 24, 2017 |
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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| August 21, 2017 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Monongahela All Cap Value Fund); 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 wi |
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| August 21, 2017 |
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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| August 10, 2017 |
HTML August 10, 2017 VIA EDGAR RE: FORUM FUNDS Absolute Convertible Arbitrage Fund (the "Fund") (FileNos. |
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| August 10, 2017 |
FORESIDE FUND SERVICES, LLC Three Canal Plaza, Suite 100 Portland, Maine 04101 August 10, 2017 HTML FORESIDE FUND SERVICES, LLC Three Canal Plaza, Suite 100 Portland, Maine 04101 August 10, 2017 VIA EDGAR U. |
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| August 10, 2017 |
FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 207-347-2000 HTML FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 207-347-2000 August 10, 2017 EDGAR FILING U. |
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| July 26, 2017 |
K&L GATES LLP 1601 K STREET, N.W. WASHINGTON, DC 20006 T +1 202 778 9000 F +1 202 778 9100 klgates.com July 26, 2017 U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Forum Funds Absolute Convertible Arbitrage Fund File Nos. 002-67052; 811-03023 Post-Effective Amendment No. 583 Ladies and Gentlemen: We have acted as counsel to Forum Funds (the "Trust") in connecti |
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| July 26, 2017 |
FORESIDE FUND SERVICES, LLC Three Canal Plaza, Suite 100 Portland, Maine 04101 July 26, 2017 FORESIDE FUND SERVICES, LLC Three Canal Plaza, Suite 100 Portland, Maine 04101 July 26, 2017 VIA EDGAR U. |
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| July 26, 2017 |
HTML July 26, 2017 VIA EDGAR RE: FORUM FUNDS Absolute Convertible Arbitrage Fund (the "Fund") (FileNos. |
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| July 26, 2017 |
FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 207-347-2000 HTML FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 207-347-2000 July 26, 2017 EDGAR FILING U. |
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| July 25, 2017 |
HTML K&L GATES LLP 1601 K STREET, N.W. WASHINGTON, DC 20006 T +1 202 778 9000 F +1 202 778 9100 klgates.com July 25, 2017 U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Forum Funds Absolute Strategies Fund Absolute Capital Opportunities Fund File Nos. 002-67052; 811-03023 Post-Effective Amendment No. 582 Ladies and Gentlemen: We have acted as counsel to Forum F |
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| July 25, 2017 |
July 25, 2017 VIA EDGAR Washington, DC 20549 RE: FORUM FUNDS Absolute Strategies Fund (the "Fund") (FileNos. |
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| July 25, 2017 |
FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 HTML FORUM FUNDS THREE CANAL PLAZA, SUITE 600 PORTLAND, MAINE 04101 July 25, 2017 EDGAR FILING U. |
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| July 25, 2017 |
HTML July 25, 2017 VIA EDGAR Washington, DC 20549 RE: FORUM FUNDS Absolute Capital Opportunities Fund (the "Fund") (FileNos. |
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| July 19, 2017 |
Exhibit 1A Forum Funds I, Jessica Chase, certify that: 1. I have reviewed this report on Form N-Q of Forum Funds (Steinberg Select Fund); 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 respec |
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| July 19, 2017 |
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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
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| July 5, 2017 |
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 811-03023 FORUM FUNDS Three Canal Plaza, Suite 600 Portland, Maine 04101 Jessica Chase, Principal Executive Officer Three Canal Plaza, Suite 600 Portland, Maine 04101 207-347-2000 Date of fiscal year |
