Definitive Materials Filed by Investment Companies. (497)
November 15 2012 - 12:41PM
Edgar (US Regulatory)
THE CALDWELL & ORKIN FUNDS, INC.
THE CALDWELL & ORKIN MARKET OPPORTUNITY FUND
Supplement dated November 15, 2012 to the
Statement of Additional Information dated August 30, 2012
This Supplement to the Statement of Additional Information (
“
SAI
”
), dated August 30, 2012, for The Caldwell & Orkin Market Opportunity Fund (the
“
Fund
”
), a series of The Caldwell & Orkin Funds, Inc., updates the SAI to revise the information described below.
Appointment of Officers
Effective October 1, 2012, William C. Horne resigned as Chief Compliance Officer of the Fund. Lucas D. Foss was appointed Chief Compliance Officer of the Fund to fill the vacancy of Mr. Horne
’
s resignation, effective as of October 1, 2012.
The following replaces, in its entirety, the chart labeled
“
Officers Who Are Not Directors
”
under the heading
“
Management of the Fund - Board of Directors
”
found on page 15 of the SAI:
|
|
|
|
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OFFICERS WHO ARE NOT DIRECTORS
|
|
|
|
|
|
Name, (Age) and
Position(s)
Held with Fund
|
Term of Office and Length of Time Served
|
Principal Occupation(s) During Past Five Years
|
Number of Funds in Fund Complex Overseen
|
Other Directorships Held
|
David R. Bockel (35)
Treasurer & Ass
’
t Secretary
Secretary & Ass
’
t Treasurer
|
Indefinite Term
Since 2010
2006-2010
|
Mr. Bockel is an Assistant Portfolio Manager for Caldwell & Orkin, Inc., and is a Registered Representative of ALPS Distributors, Inc.
|
N/A
|
N/A
|
Lucas D. Foss (35)
Chief Compliance Officer
|
Indefinite Term
Since 2012
|
Mr. Foss is Deputy Chief Compliance Officer of ALPS Fund Services, Inc. in Denver, Colorado. Mr. Foss served as a Compliance Manager for ALPS from January 2010 until August 2012, a Senior Compliance Analyst from June 2006 until December 2009 and as a Fund Accounting Supervisor from November 2004 until May 2006. Prior to joining ALPS, Mr. Foss held positions at Bisys Hedge Fund Services and Deutsche Asset Management. Mr. Foss is a Registered Representative of ALPS Distributors, Inc.
|
N/A
|
N/A
|
Lauren Johnson (31)
Assistant Treasurer
|
Indefinite Term
Since 2010
|
Ms. Johnson joined ALPS Fund Services, Inc. in September 2005 as a Fund Controller. Prior to joining ALPS, Ms. Johnson worked for PricewaterhouseCoopers LLP.
|
N/A
|
N/A
|
Rhonda A. Mills (46)
Secretary
|
Indefinite Term
Since 2011
|
Ms. Mills is Vice President, Associate Counsel at ALPS Fund Services, Inc. in Denver, Colorado. Prior to joining ALPS in 2011, Ms. Mills served in house with Old Mutual Capital, Inc. in Denver, Colorado as Counsel, from 2006 through 2009, and as a consultant, through Mills Law, LLC, from 2010-2011. Prior to her time with Old Mutual, Ms. Mills served as Senior Counsel with Great-West Life and Annuity Insurance Company from 2004-2006, and as Corporate and Securities Counsel for J.D. Edwards & Company from 2000-2003. Ms. Mills is a Registered Representative of ALPS Distributors, Inc.
|
N/A
|
N/A
|
PLEASE KEEP THIS SUPPLEMENT FOR FUTURE REFERENCE.
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