|
Fund Facts |
Aquila Three Peaks Opportunity Growth Fund (formerly Aquila Rocky Mountain Equity Fund), one of the Aquila Group of Funds, is a diversified, open-end mutual fund designed for investors seeking long-term capital appreciation.
|
Class
A |
Class
C |
Class
I |
Class
Y |
Ticker |
ATGAX |
ATGCX |
ATRIX |
ATGYX |
Cusip
Number |
03839M102 |
03839M201 |
03839M409 |
03839M300 |
| INVESTMENT OBJECTIVE |
To seek to provide capital appreciation by investing, under normal circumstances, at least 70% of its net assets in equity securities believed to have the potential for capital appreciation. |
| PORTFOLIO ORIENTATION |
Aquila Three Peaks Opportunity Growth Fund will pursue the objective of capital appreciation by investing at least 70% of assets in equity securities, without regard to whether they could be described as “growth” or “value”, and investing in a range of market capitalizations that could include small-cap, mid-cap, and large-cap. Equity holdings of the Fund may include common stock, warrants, convertible bonds, preferred stock or a limited allocation to foreign equity.
Up to 30% of assets may be invested in fixed income securities including lower-quality, high-yield corporate debt. We believe that high-yield bonds have the ability to moderate equity market volatility by virtue of the coupon payments and the characteristically lower volatility of high-yield corporate bonds relative to equities. |
| MANAGEMENT |
AQUILA INVESTMENT MANAGEMENT LLC provides all Administrative and Investment Management services. Aquila Investment Management LLC is a wholly-owned subsidiary of Aquila Management Corporation, formed in 1984 and Founder of the Fund and the 11 other funds in the Aquila Group. The Aquila Group of Funds has combined assets of over $4.2 billion. |
| INCEPTION DATE |
July 25, 1994 (Aquila Rocky Mountain Equity Fund until October, 15, 2010) |
| NET ASSETS |
$49.6 million (May 31, 2013) |
| LOW INITIAL INVESTMENT |
You may open your account with any amount of $1,000 or more or by opening an Automatic Investment Program (minimum $50 per month). This periodic investment program cannot protect against loss in declining markets and will not insure a profit. |
| ADDITIONAL INVESTMENTS |
Once your account is open, you may add to it at any time and in any amount. There is no minimum on additional investments. |
| AUTOMATIC INVESTMENTS |
A specific amount ($50 minimum per investment) can be invested, automatically each month on the 1st and/or 16th. Your pre-designated checking account will be debited automatically.
This periodic investment program cannot protect against loss in declining markets and will not insure a profit. |
| DIVERSIFICATION |
It is anticipated that the Fund will diversify its investments broadly, primarily among a number and variety of equity or fixed-income securities. |
| LIQUIDITY |
You have ready liquidity permitting you to sell any amount of your investment on any business day at the then current share Net Asset Value. Due to market fluctuations, such share value may, of course, be more or less than your share purchase price. There are no redemption charges or penalties when you sell regular Class A Shares held for more than 90 days. A 1% Contingent Deferred Sales Charge (CDSC) will apply to Class C Shares redeemed within the first 12 months of purchase. |
| DISTRIBUTIONS AND DIVIDENDS |
Net capital gains distributions will be paid annually together with whatever net income amount, if any, is available for dividends. Since the Fund is designed for capital appreciation, its investments will be primarily in growth-oriented companies which reinvest their earnings in the development of their businesses. The Fund may invest up to 30% of assets in fixed-income securities. Any income earned on those investments would be paid as dividends to shareholders. Such income as might be received by the Fund will first be applied to offset Fund operating expenses. |
| STATEMENTS |
You will receive an initial confirmation, a quarterly account statement, an interim statement with each investment or redemption, an annual cumulative statement, a semi-annual report, and an audited annual report. |
| HOW TO INVEST |
You may invest in Aquila Three Peaks Opportunity Growth Fund through your local financial professional. Nearly 500 securities firms have sales agreements to sell shares of the Fund. If yours is not one of these firms, you may invest in Class A or Class C shares by using the Fund's application. Class I and Class Y shares are only available through a financial intermediary or institution. |
| ALTERNATE PURCHASE PLANS AND SALES CHARGE BREAKPOINTS |
The Fund offers both Front-Payment Class Shares (Class A Shares) or Level-Payment Class Shares (Class C Shares). There is a maximum sales charge of 4.25% on investments in the Class A Shares. Class C Shares do not have a sales charge, but do have a contingent deferred sales charge (CDSC) of 1% if a redemption occurs within the first 12 months of purchase. For additional details, click here. Class I and Class Y shares are available to investors only through a professional financial advisor or a financial institution. Please see the prospectus for details. |
3/31/13
PORTFOLIO |
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| OFFICERS |
Diana P. Herrmann, President
Charles E. Childs, III, Executive Vice President and Secretary
Marie E. Aro, Senior Vice President
Paul G. O’Brien, Senior Vice President
Randall S. Fillmore, Chief Compliance Officer
Joseph P. DiMaggio, Chief Financial Officer and Treasurer |
| TOLL-FREE NUMBERS |
General Information: 1-800-437-1020
Account Inquiries: 1-800-437-1000 |
Before investing in the Fund carefully read about and consider the investment objectives, risks, charges, expenses, and other information found in the Fund prospectus. An investment in the Fund involves certain risks, including market and financial risk, volatility and trading volume of small companies, interest and credit risks of convertible fixed income investments, economic and possible loss of the principal amount invested. |
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