FORM N-SAR
SEMI-ANNUAL REPORT
FOR REGISTERED INVESTMENT COMPANIES
Registrant Name NVEST KOBRICK INVESTMENT TRUST
File Number 811-8435
Registrant CIK Number: 0001047167
Press F1 for general help.
Header Screen
Report as of the end of semiannual period: / / (a)
or fiscal year: 09/30/2000 (b)
Is this a transition report? (Y or N): N
Is this form being completed by the registrant? (Y or N): Y
Is this an amendment to a previous filing? (Y or N): N
Is this a change to a previous filing? (Y or N): N
1.A) Registrant Name: NVEST KOBRICK INVESTMENT TRUST
B) File Number: 811-8435
C) Telephone Number: 6173423570
2.A) Street: 101 FEDERAL STREET
B) City: BOSTON C) State: MA D) Zip Code: 02110 Zip Ext.:
E) Foreign Country: Foreign Postal Code:
3. Is this the first filing on this form by the Registrant?(Y or N) ----- N
4. Is this the last filing on this form by the Registrant?(Y or N) ------ N
5. Is Registrant a small business investment company (SBIC)?(Y or N) ---- N
6. Is Registrant a unit investment trust (UIT)?(Y or N) ----------------- N
7.A) Is Registrant a series or multiple portfolio company?(Y or N) ----- Y
B) How many separate series or portfolios did Registrant have
at the end of the period? ----------------------------------------- 3
SCREEN NUMBER: 1
7.C) List the name of each series or portfolio and give a consecutive number
to each series or portfolio starting with the number 1. USE THIS SAME
NUMERICAL DESIGNATION FOR EACH SERIES OR PORTFOLIO IN THE SERIES IN-
FORMATION BLOCK IN THE TOP RIGHT CORNER OF THE SCREENS SUBMITTED IN
THIS FILING AND IN ALL SUBSEQUENT FILINGS ON THIS FORM. THIS INFOR-
MATION IS REQUIRED EACH TIME THE FORM IS FILED. Is this the
Series last filing
Number Series Name for this series?
(Y or N)
1 KOBRICK CAPITAL FUND N
2 KOBRICK EMERGING GROWTH FUND N
3 KOBRICK GROWTH FUND N
4
5
6
7
8
9
10
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SCREEN NUMBER: 2
7.C) List the name of each series or portfolio and give a consecutive number
to each series or portfolio starting with the number 1. USE THIS SAME
NUMERICAL DESIGNATION FOR EACH SERIES OR PORTFOLIO IN THE SERIES IN-
FORMATION BLOCK IN THE TOP RIGHT CORNER OF THE SCREENS SUBMITTED IN
THIS FILING AND IN ALL SUBSEQUENT FILINGS ON THIS FORM. THIS INFOR-
MATION IS REQUIRED EACH TIME THE FORM IS FILED. Is this the
Series last filing
Number Series Name for this series?
(Y or N)
11
12
13
14
15
16
17
18
19
20
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SCREEN NUMBER: 2
7.C) List the name of each series or portfolio and give a consecutive number
to each series or portfolio starting with the number 1. USE THIS SAME
NUMERICAL DESIGNATION FOR EACH SERIES OR PORTFOLIO IN THE SERIES IN-
FORMATION BLOCK IN THE TOP RIGHT CORNER OF THE SCREENS SUBMITTED IN
THIS FILING AND IN ALL SUBSEQUENT FILINGS ON THIS FORM. THIS INFOR-
MATION IS REQUIRED EACH TIME THE FORM IS FILED. Is this the
Series last filing
Number Series Name for this series?
(Y or N)
21
22
23
24
25
26
27
28
29
30
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SCREEN NUMBER: 2
7.C) List the name of each series or portfolio and give a consecutive number
to each series or portfolio starting with the number 1. USE THIS SAME
NUMERICAL DESIGNATION FOR EACH SERIES OR PORTFOLIO IN THE SERIES IN-
FORMATION BLOCK IN THE TOP RIGHT CORNER OF THE SCREENS SUBMITTED IN
THIS FILING AND IN ALL SUBSEQUENT FILINGS ON THIS FORM. THIS INFOR-
MATION IS REQUIRED EACH TIME THE FORM IS FILED. Is this the
Series last filing
Number Series Name for this series?
(Y or N)
31
32
33
34
35
36
37
38
39
40
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SCREEN NUMBER: 2
This page is being
INVESTMENT ADVISER/SUB-ADVISER filed for ALL series.
8.A) Adviser Name (if any): KOBRICK FUNDS LLC
B) Is this an Adviser or Sub-adviser? (A/S): A
C) File Number: 801-56691
D) City: BOSTON State: MA Zip Code: 02110 Zip Ext.:
Foreign Country: Foreign Postal Code:
8.A) Adviser Name (if any):
B) Is this an Adviser or Sub-adviser? (A/S):
C) File Number: 801-
D) City: State: Zip Code: Zip Ext.:
Foreign Country: Foreign Postal Code:
8.A) Adviser Name (if any):
B) Is this an Adviser or Sub-adviser? (A/S):
C) File Number: 801-
D) City: State: Zip Code: Zip Ext.:
Foreign Country: Foreign Postal Code:
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SCREEN NUMBER: 3
This page is being
ADMINISTRATOR filed for ALL series.
10.A) Administrator Name (if any):NVEST SERVICES COMPANY, INC.
B) File Number (if any): 84-5731
C) City: BOSTON State: MA Zip Code: 02116 Zip Ext.:
Foreign Country: Foreign Postal Code:
10.A) Administrator Name (if any):
B) File Number (if any):
C) City: State: Zip Code: Zip Ext.:
Foreign Country: Foreign Postal Code:
10.A) Administrator Name (if any):
B) File Number (if any):
C) City: State: Zip Code: Zip Ext.:
Foreign Country: Foreign Postal Code:
10.A) Administrator Name (if any):
B) File Number (if any):
C) City: State: Zip Code: Zip Ext.:
Foreign Country: Foreign Postal Code:
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SCREEN NUMBER: 4
This page is being
PRINCIPAL UNDERWRITER filed for ALL series.
11.A) Underwriter Name (if any): NVEST FUNDS DISTRIBUTOR, L.P.
B) File Number: 8-46325
C) City: BOSTON State: MA Zip Code: 02116 Zip Ext.:
Foreign Country: Foreign Postal Code:
11.A) Underwriter Name (if any):
B) File Number: 8-
C) City: State: Zip Code: Zip Ext.:
Foreign Country: Foreign Postal Code:
11.A) Underwriter Name (if any):
B) File Number: 8-
C) City: State: Zip Code: Zip Ext.:
Foreign Country: Foreign Postal Code:
11.A) Underwriter Name (if any):
B) File Number: 8-
C) City: State: Zip Code: Zip Ext.:
Foreign Country: Foreign Postal Code:
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SCREEN NUMBER: 5
This page is being
SHAREHOLDER SERVICING AGENT filed for ALL series.
12.A) Agent Name (if any): NVEST SERVICES COMPANY, INC.
B) File Number (if any): 84-5731
C) City: BOSTON State: MA Zip Code: 02116 Zip Ext.:
12.A) Agent Name (if any):
B) File Number (if any):
C) City: State: Zip Code: Zip Ext.:
12.A) Agent Name (if any):
B) File Number (if any):
C) City: State: Zip Code: Zip Ext.:
12.A) Agent Name (if any):
B) File Number (if any):
C) City: State: Zip Code: Zip Ext.:
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SCREEN NUMBER: 6
This page is being
INDEPENDENT PUBLIC ACCOUNTANT filed for ALL series.
13.A) Accountant Name: PRICEWATERHOUSECOOPERS LLP
B) City: BOSTON State: MA Zip Code: 02110 Zip Ext.:
Foreign Country: Foreign Postal Code:
13.A) Accountant Name:
B) City: State: Zip Code: Zip Ext.:
Foreign Country: Foreign Postal Code:
13.A) Accountant Name:
B) City: State: Zip Code: Zip Ext.:
Foreign Country: Foreign Postal Code:
13.A) Accountant Name:
B) City: State: Zip Code: Zip Ext.:
Foreign Country: Foreign Postal Code:
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SCREEN NUMBER: 7
This page is being
AFFILIATED BROKER/DEALER filed for ALL series.
14.A) Broker/Dealer Name (if any):NEW ENGLAND SECURITIES CORPORATION
B) File Number: 8-13910
14.A) Broker/Dealer Name (if any):METLIFE SECURITIES, INC.
B) File Number: 8-30447
14.A) Broker/Dealer Name (if any):AEW SECURITIES LTD PARTNERSHIP
B) File Number: 8-45099
14.A) Broker/Dealer Name (if any):HARRIS ASSOCIATES SECURITIES, L.P.
B) File Number: 8-19988
14.A) Broker/Dealer Name (if any):LOOMIS SAYLES DISTRIBUTORS, L.P.
B) File Number: 8-01170
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SCREEN NUMBER: 8
This page is being
AFFILIATED BROKER/DEALER filed for ALL series.
14.A) Broker/Dealer Name (if any):REICH & TANG DISTRIBUTORS, INC.
B) File Number: 8-150551
14.A) Broker/Dealer Name (if any):FULCRUM FINANCIAL ADVISORS
B) File Number: 8-050939
14.A) Broker/Dealer Name (if any):METRIC CAPITAL CORPORATION
B) File Number: 8-016829
14.A) Broker/Dealer Name (if any):METROPOLITAN LIFE INSURANCE COMPANY
B) File Number: 8-113613
14.A) Broker/Dealer Name (if any):NATHAN LEWIS SECURITIES, INC.
B) File Number: 8-025463
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SCREEN NUMBER: 8
This page is being
AFFILIATED BROKER/DEALER filed for ALL series.
14.A) Broker/Dealer Name (if any):SECURITY FIRST FINANCIAL, INC.
B) File Number: 8-017973
14.A) Broker/Dealer Name (if any):STATE STREET RESEARCH INVESTMENT
B) File Number: 8-035442
14.A) Broker/Dealer Name (if any):CONNING & COMPANY
B) File Number: 8-013682
14.A) Broker/Dealer Name (if any):COVA LIFE SALES COMPANY
B) File Number: 8-033025
14.A) Broker/Dealer Name (if any):WALNUT STREET SECURITIES, INC.
B) File Number: 8-032772
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SCREEN NUMBER: 8
This page is being
AFFILIATED BROKER/DEALER filed for ALL series.
14.A) Broker/Dealer Name (if any):
B) File Number: 8-
14.A) Broker/Dealer Name (if any):
B) File Number: 8-
14.A) Broker/Dealer Name (if any):
B) File Number: 8-
14.A) Broker/Dealer Name (if any):
B) File Number: 8-
14.A) Broker/Dealer Name (if any):
B) File Number: 8-
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SCREEN NUMBER: 8
This page is being
CUSTODIAN/SUB-CUSTODIAN filed for ALL series.
15.A) Custodian/Sub-custodian: STATE STREET BANK AND TRUST CO.
B) Is this a Custodian or Sub-custodian? (C/S): C
C) City: BOSTON State: MA Zip Code: 02105 Zip Ext.:
D) Foreign Country: Foreign Postal Code:
E) Mark ONE of the following with an 'X':
TYPE OF CUSTODY
Member Nat'l Foreign Insurance Co.
Bank Sec. Exchg. Self Custodian Sponsor
Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other
------------ ------------ ---------- ---------- ------------- -----
X
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SCREEN NUMBER: 9
This page is being
CUSTODIAN/SUB-CUSTODIAN filed for ALL series.
15.A) Custodian/Sub-custodian: THE SUMITOMO BANK, LIMITED
B) Is this a Custodian or Sub-custodian? (C/S): S
C) City: TOKYO State: Zip Code: Zip Ext.:
D) Foreign Country: JAPAN Foreign Postal Code:
E) Mark ONE of the following with an 'X':
TYPE OF CUSTODY
Member Nat'l Foreign Insurance Co.
Bank Sec. Exchg. Self Custodian Sponsor
Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other
------------ ------------ ---------- ---------- ------------- -----
X
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SCREEN NUMBER: 9
This page is being
CUSTODIAN/SUB-CUSTODIAN filed for ALL series.
15.A) Custodian/Sub-custodian: BANCO SANTANDER CENTRAL HISPANO, S.A.
B) Is this a Custodian or Sub-custodian? (C/S): S
C) City: MADRID State: Zip Code: Zip Ext.:
D) Foreign Country: SPAIN Foreign Postal Code:
E) Mark ONE of the following with an 'X':
TYPE OF CUSTODY
Member Nat'l Foreign Insurance Co.
Bank Sec. Exchg. Self Custodian Sponsor
Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other
------------ ------------ ---------- ---------- ------------- -----
X
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SCREEN NUMBER: 9
This page is being
CUSTODIAN/SUB-CUSTODIAN filed for ALL series.
15.A) Custodian/Sub-custodian: UNION BANK OF SWITZERLAND
B) Is this a Custodian or Sub-custodian? (C/S): S
C) City: ZURICH State: Zip Code: Zip Ext.:
D) Foreign Country: SWITZERLAND Foreign Postal Code:
E) Mark ONE of the following with an 'X':
TYPE OF CUSTODY
Member Nat'l Foreign Insurance Co.
Bank Sec. Exchg. Self Custodian Sponsor
Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other
------------ ------------ ---------- ---------- ------------- -----
X
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SCREEN NUMBER: 9
This page is being
CUSTODIAN/SUB-CUSTODIAN filed for ALL series.
15.A) Custodian/Sub-custodian: STATE STREET BANK AND TRUST CO. LONDON
B) Is this a Custodian or Sub-custodian? (C/S): S
C) City: LONDON State: Zip Code: Zip Ext.:
D) Foreign Country: UNITED KINGDOM Foreign Postal Code:
E) Mark ONE of the following with an 'X':
TYPE OF CUSTODY
Member Nat'l Foreign Insurance Co.
Bank Sec. Exchg. Self Custodian Sponsor
Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other
------------ ------------ ---------- ---------- ------------- -----
X
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SCREEN NUMBER: 9
This page is being
CUSTODIAN/SUB-CUSTODIAN filed for ALL series.
15.A) Custodian/Sub-custodian: GENERALE DE BANQUE
B) Is this a Custodian or Sub-custodian? (C/S): S
C) City: BRUSSELS State: Zip Code: Zip Ext.:
D) Foreign Country: BELGIUM Foreign Postal Code:
E) Mark ONE of the following with an 'X':
TYPE OF CUSTODY
Member Nat'l Foreign Insurance Co.
Bank Sec. Exchg. Self Custodian Sponsor
Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other
------------ ------------ ---------- ---------- ------------- -----
X
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SCREEN NUMBER: 9
This page is being
CUSTODIAN/SUB-CUSTODIAN filed for ALL series.
15.A) Custodian/Sub-custodian: STATE STREET BANK AND TRUST CO.
B) Is this a Custodian or Sub-custodian? (C/S): S
C) City: TORONTO State: Zip Code: Zip Ext.:
D) Foreign Country: CANADA Foreign Postal Code:
E) Mark ONE of the following with an 'X':
TYPE OF CUSTODY
Member Nat'l Foreign Insurance Co.
Bank Sec. Exchg. Self Custodian Sponsor
Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other
------------ ------------ ---------- ---------- ------------- -----
X
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SCREEN NUMBER: 9
This page is being
CUSTODIAN/SUB-CUSTODIAN filed for ALL series.
15.A) Custodian/Sub-custodian: DENDANSKE BANK
B) Is this a Custodian or Sub-custodian? (C/S): S
C) City: COPENHAGEN State: Zip Code: Zip Ext.:
D) Foreign Country: DENMARK Foreign Postal Code:
E) Mark ONE of the following with an 'X':
TYPE OF CUSTODY
Member Nat'l Foreign Insurance Co.
Bank Sec. Exchg. Self Custodian Sponsor
Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other
------------ ------------ ---------- ---------- ------------- -----
X
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SCREEN NUMBER: 9
This page is being
CUSTODIAN/SUB-CUSTODIAN filed for ALL series.
15.A) Custodian/Sub-custodian: STATE STREET LONDON LIMITED
B) Is this a Custodian or Sub-custodian? (C/S): S
C) City: LONDON State: Zip Code: Zip Ext.:
D) Foreign Country: EUROCLEAR Foreign Postal Code:
E) Mark ONE of the following with an 'X':
TYPE OF CUSTODY
Member Nat'l Foreign Insurance Co.
Bank Sec. Exchg. Self Custodian Sponsor
Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other
------------ ------------ ---------- ---------- ------------- -----
X
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SCREEN NUMBER: 9
This page is being
CUSTODIAN/SUB-CUSTODIAN filed for ALL series.
15.A) Custodian/Sub-custodian: PARIBAS, S.A.
B) Is this a Custodian or Sub-custodian? (C/S): S
C) City: PARIS State: Zip Code: Zip Ext.:
D) Foreign Country: FRANCE Foreign Postal Code:
E) Mark ONE of the following with an 'X':
TYPE OF CUSTODY
Member Nat'l Foreign Insurance Co.
Bank Sec. Exchg. Self Custodian Sponsor
Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other
------------ ------------ ---------- ---------- ------------- -----
X
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SCREEN NUMBER: 9
This page is being
CUSTODIAN/SUB-CUSTODIAN filed for ALL series.
15.A) Custodian/Sub-custodian: DRESDNER BANK A.G.
B) Is this a Custodian or Sub-custodian? (C/S): S
C) City: FRANKFURT State: Zip Code: Zip Ext.:
D) Foreign Country: GERMANY Foreign Postal Code:
E) Mark ONE of the following with an 'X':
TYPE OF CUSTODY
Member Nat'l Foreign Insurance Co.
Bank Sec. Exchg. Self Custodian Sponsor
Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other
------------ ------------ ---------- ---------- ------------- -----
X
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SCREEN NUMBER: 9
This page is being
CUSTODIAN/SUB-CUSTODIAN filed for ALL series.
15.A) Custodian/Sub-custodian: BANK OF IRELAND
B) Is this a Custodian or Sub-custodian? (C/S): S
C) City: DUBLIN State: Zip Code: Zip Ext.:
D) Foreign Country: IRELAND Foreign Postal Code:
E) Mark ONE of the following with an 'X':
TYPE OF CUSTODY
Member Nat'l Foreign Insurance Co.
Bank Sec. Exchg. Self Custodian Sponsor
Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other
------------ ------------ ---------- ---------- ------------- -----
X
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SCREEN NUMBER: 9
This page is being
CUSTODIAN/SUB-CUSTODIAN filed for ALL series.
15.A) Custodian/Sub-custodian: PARIBAS, S.A.
B) Is this a Custodian or Sub-custodian? (C/S): S
C) City: MILAN State: Zip Code: Zip Ext.:
D) Foreign Country: ITALY Foreign Postal Code:
E) Mark ONE of the following with an 'X':
TYPE OF CUSTODY
Member Nat'l Foreign Insurance Co.
Bank Sec. Exchg. Self Custodian Sponsor
Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other
------------ ------------ ---------- ---------- ------------- -----
X
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SCREEN NUMBER: 9
This page is being
CUSTODIAN/SUB-CUSTODIAN filed for ALL series.
15.A) Custodian/Sub-custodian: THE FUJI BANK, LIMITED
B) Is this a Custodian or Sub-custodian? (C/S): S
C) City: TOKYO State: Zip Code: Zip Ext.:
D) Foreign Country: JAPAN Foreign Postal Code:
E) Mark ONE of the following with an 'X':
TYPE OF CUSTODY
Member Nat'l Foreign Insurance Co.
Bank Sec. Exchg. Self Custodian Sponsor
Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other
------------ ------------ ---------- ---------- ------------- -----
X
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SCREEN NUMBER: 9
This page is being
CUSTODIAN/SUB-CUSTODIAN filed for ALL series.
15.A) Custodian/Sub-custodian:
B) Is this a Custodian or Sub-custodian? (C/S):
C) City: State: Zip Code: Zip Ext.:
D) Foreign Country: Foreign Postal Code:
E) Mark ONE of the following with an 'X':
TYPE OF CUSTODY
Member Nat'l Foreign Insurance Co.
Bank Sec. Exchg. Self Custodian Sponsor
Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other
------------ ------------ ---------- ---------- ------------- -----
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SCREEN NUMBER: 9
This page being
filed for ALL series.
18. Does Registrant's/Series' custodian(s) maintain some
or all of Registrant's/Series' securities in a central
depository or book-entry system pursuant to Rule 17f-4? (Y or N) Y
19. Family of investment companies information:
A) Is Registrant part of a family of investment companies? (Y or N) Y
B) If 'Y' (Yes), state the number of registered management
investment companies in the family: 25
(NOTE: Count as a separate company each series of a series company
and each portfolio of a multiple portfolio company; exclude
all series of unit investment trusts from this number.)
C) Identify the family using 10 letters: NVESTFUNDS
(NOTE: In filing this form, use this identification consistently for
all investment companies in the family including any unit
investment trusts. This designation is for purposes of
this form only.)
SCREEN NUMBER: 10
20. Brokerage commissions paid on portfolio transactions of Registrant:
List the 10 brokers which received the largest amount of brokerage commissions
(excluding dealer concessions in underwritings) by virtue of direct or in-
direct participation in Registrant's portfolio transactions, set forth in
order of size of gross commissions during the current reporting period:
(FOR SERIES COMPANIES, ITEMS 20 & 21 MUST BE ANSWERED IN TOTAL FOR ALL SERIES)
Commissions
Name of Broker IRS Number Received
(000's omitted)
DONALDSON, LUFKIN & JENRETTE 13-2741729 403
GOLDAMAN SACHS & CO. 13-5108880 397
LEHMAN BROTHERS INC. 13-2518466 372
MERRILL LYNCH PIERCE FENNER 13-5674085 351
DEUTSCHE BANK CLEARING SERVICES 13-2730828 312
BANC OF AMERICA SECURITIES LLC 94-1687665 273
MORGAN STANLEY & CO. 13-2655998 267
STATE STREET BROKERAGE SERVICES 04-1867445 263
CS FIRST BOSTON CORP. 13-5659485 244
SALOMON SMITH BARNEY INC. 11-2418191 188
21. Aggregate brokerage commissions paid by Registrant
during current reporting period (000's omitted): 5295
SCREEN NUMBER: 11
22. Registrant's portfolio transactions with entities acting as principals:
List the 10 entities acting as principals with whom Registrant did the largest
amount of portfolio transactions (include all short-term obligations, and U.S.
Gov't. & tax-free securities) in both the secondary market & in underwritten
offerings set forth in order of size based upon total value of principal
transactions during the current reporting period: (FOR SERIES COMPANIES, ITEMS
22 AND 23 MUST BE ANSWERED IN TOTAL FOR ALL SERIES) Registrant Sales by
Name of Entity IRS Number Purchases Registrant
(000's omitted)
STATE STREET BANK 04-1867445 13707570 0
MERRILL LYNCH PIERCE FENNER 13-5674085 505671 545414
BANC OF AMERICA SECURITIES LLC 94-1687665 311968 326314
BEAR STEARNS & CO., INC 13-3299429 319294 294450
CS FIRST BOSTON CORP 13-5659485 267490 217622
GOLDMAN SACHS & CO 13-5108880 276526 159011
MORGAN STANLEY & CO 13-2655998 175965 188421
DEUTSCHE BANK SECURITIES 13-2730828 150262 94498
SALOMON SMITH BARNEY INC 11-2418191 125266 96630
FLEETBOSTON ROBERTSON 114256 97159
23. Aggregate principal purchase/sale transactions of Registrant during current
reporting period. C. Total Purchases: 16602272 D. Total Sales: 2642591
(000's omitted)
SCREEN NUMBER: 12
This page being
filed for series 1.
24. At the end of the current period, did the Registrant/Series hold any
securities of the Registrant's/Series' regular brokers or dealers or
of the parents of such brokers or dealers that derive more than 15%
of gross revenue from securities-related activities? (Y or N): N
NOTE: If answer is 'N' (No), please go on to screen 15.
SCREEN NUMBER: 13
This page being
filed for series 2.
24. At the end of the current period, did the Registrant/Series hold any
securities of the Registrant's/Series' regular brokers or dealers or
of the parents of such brokers or dealers that derive more than 15%
of gross revenue from securities-related activities? (Y or N): N
NOTE: If answer is 'N' (No), please go on to screen 15.
SCREEN NUMBER: 13
This page being
filed for series 3.
24. At the end of the current period, did the Registrant/Series hold any
securities of the Registrant's/Series' regular brokers or dealers or
of the parents of such brokers or dealers that derive more than 15%
of gross revenue from securities-related activities? (Y or N): Y
NOTE: If answer is 'N' (No), please go on to screen 15.
SCREEN NUMBER: 13
This page being
filed for series 1.
25. List below the information requested about Registrant's/Series' holdings of
the securities of the Registrant's/Series' regular brokers or dealers or of
their parents that derive more than 15% of gross revenues from securities-
related activities:
Type of Value of any
Name of Regular Broker or IRS Security Securities
Dealer or Parent (Issuer) Number Owned Owned at end
D=debt of current
E=equity period
(000's omitted)
DELETE 0
DELETE 0
DELETE 0
DELETE 0
DELETE 0
0
0
0
Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more.
SCREEN NUMBER: 14
This page being
filed for series 2.
25. List below the information requested about Registrant's/Series' holdings of
the securities of the Registrant's/Series' regular brokers or dealers or of
their parents that derive more than 15% of gross revenues from securities-
related activities:
Type of Value of any
Name of Regular Broker or IRS Security Securities
Dealer or Parent (Issuer) Number Owned Owned at end
D=debt of current
E=equity period
(000's omitted)
DELETE 0
DELETE 0
DELETE 0
0
0
0
0
0
Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more.
SCREEN NUMBER: 14
This page being
filed for series 3.
25. List below the information requested about Registrant's/Series' holdings of
the securities of the Registrant's/Series' regular brokers or dealers or of
their parents that derive more than 15% of gross revenues from securities-
related activities:
Type of Value of any
Name of Regular Broker or IRS Security Securities
Dealer or Parent (Issuer) Number Owned Owned at end
D=debt of current
E=equity period
(000's omitted)
MORGAN STANLEY DEAN WITTER & CO. 13-2655998 E 2286
0
0
0
0
0
0
0
Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more.
SCREEN NUMBER: 14
26. Considerations which affected the participation of brokers or dealers
or other entities in commissions or other compensation paid on
portfolio transactions of Registrant:
[ FOR SERIES COMPANIES THIS ITEM IS TO BE ANSWERED IN TOTAL FOR ALL SERIES ]
Answer each of the following with 'Y' or 'N'.
A) Sales of Registrant's/Series' shares -------------------------------- N
B) Receipt of investment research and statistical information ---------- Y
C) Receipt of quotations for portfolio valuations ---------------------- Y
D) Ability to execute portfolio transactions
to obtain best price and execution --------------------------------- Y
E) Receipt of telephone line and wire services ------------------------- N
F) Broker or dealer which is an affiliated person ---------------------- N
G) Arrangement to return or credit part or all of
commissions or profits thereon:
(i) To investment adviser, principal underwriter,
or an affiliated person of either ---------------------------- N
(ii) To Registrant ------------------------------------------------ Y
H) Other --------------------------------------------------------------- N
SCREEN NUMBER: 15
SALES AND REPURCHASES
27. Is Registrant an open-end investment company? (Y or N): Y
NOTE: If answer is 'N' (No), please delete any answers you may
have entered for questions 28 through 44.
If you have done this already or not yet responded to
question 28 through 44, please jump to Screen Number 23.
SCREEN NUMBER: 16
This page being
28. Monthly Sales and Repurchases of filed for series 1.
Registrant's/Series' Shares:
Total NAV Total NAV Total NAV
of Shares of Shares Total NAV of Shares
Sold: New Sold: Reinv. of Shares Redeemed and
Month of Sales (Incl. of Dividends Sold: Repurchased
Current Period Exchanges) & Distributions Other (Incl. Exchanges)
(000's omitted) (000's omitted)
A) First month of period $ 35630 $ 0 $ 0 $ 14196
B) Second month of period $ 20654 $ 0 $ 0 $ 6658
C) Third month of period $ 12983 $ 0 $ 0 $ 19487
D) Fourth month of period $ 10859 $ 0 $ 0 $ 10181
E) Fifth month of period $ 9193 $ 0 $ 0 $ 9854
F) Sixth month of period $ 5044 $ 0 $ 0 $ 6607
G) Total $ 94363 $ 0 $ 0 $ 66983
H) Total NAV of Registrant's/Series' share sales during the
period subject to a sales load (000's omitted) $ 29025
(Note: 28H is the total of six months and must be
less than or equal to 28G1 + 28G2 + 28G3)
SCREEN NUMBER: 17
This page being
28. Monthly Sales and Repurchases of filed for series 2.
Registrant's/Series' Shares:
Total NAV Total NAV Total NAV
of Shares of Shares Total NAV of Shares
Sold: New Sold: Reinv. of Shares Redeemed and
Month of Sales (Incl. of Dividends Sold: Repurchased
Current Period Exchanges) & Distributions Other (Incl. Exchanges)
(000's omitted) (000's omitted)
A) First month of period $ 13638 $ 0 $ 0 $ 2983
B) Second month of period $ 9077 $ 0 $ 0 $ 1525
C) Third month of period $ 5782 $ 0 $ 0 $ 1692
D) Fourth month of period $ 4028 $ 0 $ 0 $ 2380
E) Fifth month of period $ 4351 $ 0 $ 0 $ 5310
F) Sixth month of period $ 2565 $ 0 $ 0 $ 2182
G) Total $ 39441 $ 0 $ 0 $ 16072
H) Total NAV of Registrant's/Series' share sales during the
period subject to a sales load (000's omitted) $ 13497
(Note: 28H is the total of six months and must be
less than or equal to 28G1 + 28G2 + 28G3)
SCREEN NUMBER: 17
This page being
28. Monthly Sales and Repurchases of filed for series 3.
Registrant's/Series' Shares:
Total NAV Total NAV Total NAV
of Shares of Shares Total NAV of Shares
Sold: New Sold: Reinv. of Shares Redeemed and
Month of Sales (Incl. of Dividends Sold: Repurchased
Current Period Exchanges) & Distributions Other (Incl. Exchanges)
(000's omitted) (000's omitted)
A) First month of period $ 10984 $ 0 $ 0 $ 1198
B) Second month of period $ 7546 $ 0 $ 0 $ 1247
C) Third month of period $ 5549 $ 0 $ 0 $ 1017
D) Fourth month of period $ 4459 $ 0 $ 0 $ 2308
E) Fifth month of period $ 6917 $ 0 $ 0 $ 1198
F) Sixth month of period $ 4278 $ 0 $ 0 $ 1865
G) Total $ 39733 $ 0 $ 0 $ 8833
H) Total NAV of Registrant's/Series' share sales during the
period subject to a sales load (000's omitted) $ 12114
(Note: 28H is the total of six months and must be
less than or equal to 28G1 + 28G2 + 28G3)
SCREEN NUMBER: 17
This page being
filed for series 1.
29. Was a front-end sales load deducted from any share sales
during the reporting period? (Y or N) ------------------------- Y
NOTE: If answer is 'N' (No), please jump to Screen Number 20.
30.A) Total front-end sales loads collected from sales
(including exchanges) by principal underwriter
or by any underwriter which is an affiliated
person of the principal underwriter, of
Registrant's/Series' shares during the
current period (000's omitted) ------------------------------ $ 2150
B) What is the maximum sales load rate in effect at the end of
the period as a percentage of the offering price? ----------- 5.75%
C) What is the minimum sales load rate in effect at the end of
the period as a percentage of the offering price? ----------- 0.00%
SCREEN NUMBER: 18
This page being
filed for series 2.
29. Was a front-end sales load deducted from any share sales
during the reporting period? (Y or N) ------------------------- Y
NOTE: If answer is 'N' (No), please jump to Screen Number 20.
30.A) Total front-end sales loads collected from sales
(including exchanges) by principal underwriter
or by any underwriter which is an affiliated
person of the principal underwriter, of
Registrant's/Series' shares during the
current period (000's omitted) ------------------------------ $ 949
B) What is the maximum sales load rate in effect at the end of
the period as a percentage of the offering price? ----------- 5.75%
C) What is the minimum sales load rate in effect at the end of
the period as a percentage of the offering price? ----------- 0.00%
SCREEN NUMBER: 18
This page being
filed for series 3.
29. Was a front-end sales load deducted from any share sales
during the reporting period? (Y or N) ------------------------- Y
NOTE: If answer is 'N' (No), please jump to Screen Number 20.
30.A) Total front-end sales loads collected from sales
(including exchanges) by principal underwriter
or by any underwriter which is an affiliated
person of the principal underwriter, of
Registrant's/Series' shares during the
current period (000's omitted) ------------------------------ $ 678
B) What is the maximum sales load rate in effect at the end of
the period as a percentage of the offering price? ----------- 5.75%
C) What is the minimum sales load rate in effect at the end of
the period as a percentage of the offering price? ----------- 0.00%
SCREEN NUMBER: 18
This page being
filed for series 1.
31.A) Net amount retained by Registrant's/Series' principal underwriter
or by any underwriter or dealer which is an affiliated person of the
principal underwriter thereof from front-end sales loads collected
from sales of Registrant's/Series' shares during the current period
($000's omitted). ------------------------------------ $ 206
31.B) Amount by which payout by Registrant's/Series' principal underwriter or
by any underwriter which is an affiliated person of the principal under-
writer thereof to persons or entities selling Registrant's/Series' shares
exceeded that reported in Item 30 ($000's omitted). -- $ 0
32. Amount Registrant's/Series' principal underwriter and any underwriters
or dealers which are affiliated persons of the principal underwriter paid
to dealers which are not affiliated persons of the principal underwriter
for selling Registrant's/Series' shares that were sold with a front-end
sales load during current period ($000's omitted). --- $ 899
33. Amount paid to a captive retail sales force of Registrant's/Series'
principal underwriter or of any underwriter or dealer which is an af-
filiated person of the principal underwriter for selling Registrant's
shares that were sold with a front-end sales load during current period
($000's omitted). ------------------------------------ $ 1045
SCREEN NUMBER: 19
This page being
filed for series 2.
31.A) Net amount retained by Registrant's/Series' principal underwriter
or by any underwriter or dealer which is an affiliated person of the
principal underwriter thereof from front-end sales loads collected
from sales of Registrant's/Series' shares during the current period
($000's omitted). ------------------------------------ $ 76
31.B) Amount by which payout by Registrant's/Series' principal underwriter or
by any underwriter which is an affiliated person of the principal under-
writer thereof to persons or entities selling Registrant's/Series' shares
exceeded that reported in Item 30 ($000's omitted). -- $ 0
32. Amount Registrant's/Series' principal underwriter and any underwriters
or dealers which are affiliated persons of the principal underwriter paid
to dealers which are not affiliated persons of the principal underwriter
for selling Registrant's/Series' shares that were sold with a front-end
sales load during current period ($000's omitted). --- $ 406
33. Amount paid to a captive retail sales force of Registrant's/Series'
principal underwriter or of any underwriter or dealer which is an af-
filiated person of the principal underwriter for selling Registrant's
shares that were sold with a front-end sales load during current period
($000's omitted). ------------------------------------ $ 467
SCREEN NUMBER: 19
This page being
filed for series 3.
31.A) Net amount retained by Registrant's/Series' principal underwriter
or by any underwriter or dealer which is an affiliated person of the
principal underwriter thereof from front-end sales loads collected
from sales of Registrant's/Series' shares during the current period
($000's omitted). ------------------------------------ $ 81
31.B) Amount by which payout by Registrant's/Series' principal underwriter or
by any underwriter which is an affiliated person of the principal under-
writer thereof to persons or entities selling Registrant's/Series' shares
exceeded that reported in Item 30 ($000's omitted). -- $ 0
32. Amount Registrant's/Series' principal underwriter and any underwriters
or dealers which are affiliated persons of the principal underwriter paid
to dealers which are not affiliated persons of the principal underwriter
for selling Registrant's/Series' shares that were sold with a front-end
sales load during current period ($000's omitted). --- $ 279
33. Amount paid to a captive retail sales force of Registrant's/Series'
principal underwriter or of any underwriter or dealer which is an af-
filiated person of the principal underwriter for selling Registrant's
shares that were sold with a front-end sales load during current period
($000's omitted). ------------------------------------ $ 318
SCREEN NUMBER: 19
This page being
filed for series 19.
31.A) Net amount retained by Registrant's/Series' principal underwriter
or by any underwriter or dealer which is an affiliated person of the
principal underwriter thereof from front-end sales loads collected
from sales of Registrant's/Series' shares during the current period
($000's omitted). ------------------------------------ $ 0
31.B) Amount by which payout by Registrant's/Series' principal underwriter or
by any underwriter which is an affiliated person of the principal under-
writer thereof to persons or entities selling Registrant's/Series' shares
exceeded that reported in Item 30 ($000's omitted). -- $ 0
32. Amount Registrant's/Series' principal underwriter and any underwriters
or dealers which are affiliated persons of the principal underwriter paid
to dealers which are not affiliated persons of the principal underwriter
for selling Registrant's/Series' shares that were sold with a front-end
sales load during current period ($000's omitted). --- $ 0
33. Amount paid to a captive retail sales force of Registrant's/Series'
principal underwriter or of any underwriter or dealer which is an af-
filiated person of the principal underwriter for selling Registrant's
shares that were sold with a front-end sales load during current period
($000's omitted). ------------------------------------ $ 0
SCREEN NUMBER: 19
This page being
filed for series 1.
34. Did Registrant/Series impose a deferred or contingent
deferred sales load during the reporting period? (Y or N) ------ Y
NOTE: If answer is 'N' (No), skip the remaining questions on this screen
and proceed to Screen Number 21.
35. Total deferred or contingent deferred sales loads collected
during current period from redemptions and repurchases of
Registrant's/Series' shares ($000's omitted) ------------------ $ 154
36.A) Did Registrant/Series retain all monies collected from the
deferred or contingent deferred sales loads during the
reporting period? (Y or N) ----------------------------------- N
B) If the answer to sub-item 36A is 'N' (No), state the net
amount Registrant/Series retained from deferred or
contingent deferred sales loads ($000's omitted) ------------ $ 0
SCREEN NUMBER: 20
This page being
filed for series 2.
34. Did Registrant/Series impose a deferred or contingent
deferred sales load during the reporting period? (Y or N) ------ Y
NOTE: If answer is 'N' (No), skip the remaining questions on this screen
and proceed to Screen Number 21.
35. Total deferred or contingent deferred sales loads collected
during current period from redemptions and repurchases of
Registrant's/Series' shares ($000's omitted) ------------------ $ 64
36.A) Did Registrant/Series retain all monies collected from the
deferred or contingent deferred sales loads during the
reporting period? (Y or N) ----------------------------------- N
B) If the answer to sub-item 36A is 'N' (No), state the net
amount Registrant/Series retained from deferred or
contingent deferred sales loads ($000's omitted) ------------ $ 0
SCREEN NUMBER: 20
This page being
filed for series 3.
34. Did Registrant/Series impose a deferred or contingent
deferred sales load during the reporting period? (Y or N) ------ Y
NOTE: If answer is 'N' (No), skip the remaining questions on this screen
and proceed to Screen Number 21.
35. Total deferred or contingent deferred sales loads collected
during current period from redemptions and repurchases of
Registrant's/Series' shares ($000's omitted) ------------------ $ 42
36.A) Did Registrant/Series retain all monies collected from the
deferred or contingent deferred sales loads during the
reporting period? (Y or N) ----------------------------------- N
B) If the answer to sub-item 36A is 'N' (No), state the net
amount Registrant/Series retained from deferred or
contingent deferred sales loads ($000's omitted) ------------ $ 0
SCREEN NUMBER: 20
This page being
filed for ALL series.
37. Did Registrant/Series impose a redemption fee other than a deferred
or contingent sales load during the reporting period? (Y or N) --- N
NOTE: If answer is 'N' (No), go to item 39.
38. Total amount of redemption fees other than deferred or contingent
deferred sales loads collected from redemptions and repurchases of
Registrant's/Series' shares during the current period.
($000's omitted) ------------------------------------------------- $ 0
39. Were any account maintenance fees or other administrative fees imposed
directly on shareholders during the current period? (Y or N) ----- N
40. During the period, did the Registrant/Series have a plan of
distribution adopted pursuant to rule 12b-1? (Y or N) ------------ Y
NOTE: If answer is 'N' (No), jump to Screen 23 for your next screen.
41. During the period, did Registrant/Series use its assets directly
to make payments under the 12b-1 plan? (Y or N) ------------------ Y
NOTE: If answer is 'N' (No), go to next screen (Screen 22)
and begin answering at question 44.
SCREEN NUMBER: 21
This page being
42. For the current period, indicate the filed for series 1.
percentage of total dollars paid directly
by Registrant/Series under the 12b-1 plan for each of the following:
(Round to the nearest whole percent)
A) Advertising ------------------------------------------------- 0%
B) Printing and mailing of prospectuses to other than
current shareholders ---------------------------------------- 0%
C) Payments to underwriters ------------------------------------ 58%
D) Payments to brokers or dealers ------------------------------ 42%
E) Direct payments to sales personnel -------------------------- 0%
F) Payments to banks and savings and loans --------------------- 0%
G) Other uses, incl. payments to investment adviser
separate from the advisory fee ------------------------------ 0%
H) Unallocated payments made for a combination of such services 0%
43. Total amount paid directly by Registrant/Series pursuant
to its 12b-1 plan ($000's omitted) ---------------------------- $ 1131
44. If an investment adviser or other affiliated person of Registrant/Series
made unreimbursed payments pursuant to Registrant's/Series' 12b-1 plan,
state the total amount of such payments. ($000's omitted) ----- $ 0
SCREEN NUMBER: 22
This page being
42. For the current period, indicate the filed for series 2.
percentage of total dollars paid directly
by Registrant/Series under the 12b-1 plan for each of the following:
(Round to the nearest whole percent)
A) Advertising ------------------------------------------------- 0%
B) Printing and mailing of prospectuses to other than
current shareholders ---------------------------------------- 0%
C) Payments to underwriters ------------------------------------ 58%
D) Payments to brokers or dealers ------------------------------ 42%
E) Direct payments to sales personnel -------------------------- 0%
F) Payments to banks and savings and loans --------------------- 0%
G) Other uses, incl. payments to investment adviser
separate from the advisory fee ------------------------------ 0%
H) Unallocated payments made for a combination of such services 0%
43. Total amount paid directly by Registrant/Series pursuant
to its 12b-1 plan ($000's omitted) ---------------------------- $ 559
44. If an investment adviser or other affiliated person of Registrant/Series
made unreimbursed payments pursuant to Registrant's/Series' 12b-1 plan,
state the total amount of such payments. ($000's omitted) ----- $ 0
SCREEN NUMBER: 22
This page being
42. For the current period, indicate the filed for series 3.
percentage of total dollars paid directly
by Registrant/Series under the 12b-1 plan for each of the following:
(Round to the nearest whole percent)
A) Advertising ------------------------------------------------- 0%
B) Printing and mailing of prospectuses to other than
current shareholders ---------------------------------------- 0%
C) Payments to underwriters ------------------------------------ 63%
D) Payments to brokers or dealers ------------------------------ 37%
E) Direct payments to sales personnel -------------------------- 0%
F) Payments to banks and savings and loans --------------------- 0%
G) Other uses, incl. payments to investment adviser
separate from the advisory fee ------------------------------ 0%
H) Unallocated payments made for a combination of such services 0%
43. Total amount paid directly by Registrant/Series pursuant
to its 12b-1 plan ($000's omitted) ---------------------------- $ 429
44. If an investment adviser or other affiliated person of Registrant/Series
made unreimbursed payments pursuant to Registrant's/Series' 12b-1 plan,
state the total amount of such payments. ($000's omitted) ----- $ 0
SCREEN NUMBER: 22
Contracts This page being
filed for ALL series.
45. Did Registrant/Series have an advisory contract during the period?
(If 'N' (No), jump to screen 26 for your next screen.) --------------- Y
46. Did Registrant/Series pay more than one investment adviser directly
for investment advice during the period? (If 'Y' (Yes), answer items
47-52 in the aggregate for all such investment advisers.) ------------ N
47. Was Registrant's/Series' advisory fee based solely on a percentage of
its assets? (Y or N) ------------------------------------------------- Y
48. If answer to 47 is 'Y' (Yes), fill in the table or the single fee rate
applied to Registrant's/Series' assets based on the advisory contract.
SINGLE FEE RATE ------- 1.000%
STEP: ASSET VALUE ($000's omitted) ANNUAL FEE RATE
A) first - $ 0 0.000%
B) of next - $ 0 0.000%
C) of next - $ 0 0.000%
D) of next - $ 0 0.000%
E) of next - $ 0 0.000%
F) of next - $ 0 0.000%
G) of next - $ 0 0.000%
H) of next - $ 0 0.000%
I) of next - $ 0 0.000%
J) of next - $ 0 0.000%
K) over - $ 0 0.000%
SCREEN NUMBER: 23
This page being
ADVISORY FEE filed for ALL series.
(Y or N)
49. Was Registrant's/Series' advisory fee during the period based
solely on a percentage of its income? -------------------------- N
50. Was Registrant's/Series' advisory fee during the period based
on some combined percentage of its income & assets? ------------ N
51. Was Registrant's/Series' advisory fee during the period based
in whole or in part on its investment performance? ------------- N
52. Was Registrant's/Series' advisory fee during the period based
in whole or in part upon the assets, income or performance of
other registrants? --------------------------------------------- N
53.A) Were the expenses of the Registrant/Series limited or re-
duced at any time during the period by some agreement or
understanding other than by blue sky laws? ------------------- Y
[ If 53A is 'Y' (Yes), was limitation that applied during
current period based upon: ]
B) Assets? Y C) Income? N (Y or N)
SCREEN NUMBER: 24
This page being
filed for ALL series.
54. Indicate below whether services were supplied or paid for wholly or in
substantial part by investment adviser(s) or administrator(s) in
connection with the advisory or administrative contract(s) but for which
the adviser(s) or administrator(s) are not reimbursed by the Registrant:
(Y or N)
A) Occupancy and office rental ------------------------------------------ Y
B) Clerical and bookkeeping services ------------------------------------ Y
C) Accounting services -------------------------------------------------- N
D) Services of independent auditors ------------------------------------- N
E) Services of outside counsel ------------------------------------------ N
F) Registration and filing fees ----------------------------------------- N
G) Stationery, supplies and printing ------------------------------------ N
H) Salaries & compensation of Registrant's interested directors --------- Y
I) Salaries & compensation of Registrant's disinterested directors ------ N
J) Salaries & compensation of Registrant's officers who are not directors Y
K) Reports to current shareholders -------------------------------------- Y
L) Determination of offering and redemption prices ---------------------- N
M) Trading department --------------------------------------------------- Y
N) Prospectus preparation and printing for current shareholders --------- Y
O) Other ---------------------------------------------------------------- N
SCREEN NUMBER: 25
This page being
filed for series 1.
MISCELLANEOUS INFORMATION
55. Did Registrant/Series have any of the following
outstanding at any time during the current period (Y or N)
which exceeded 1% of aggregate net assets?
A) Overdrafts -------------------------------------------------- N
B) Bank Loans -------------------------------------------------- N
56. During the period did the Registrant's/Series' investment adviser(s)
have advisory clients other than investment companies? --------- N
57. Did the Registrant/Series adjust the number of its shares
outstanding by means of a stock split or stock dividend? ------- N
SCREEN NUMBER: 26
This page being
filed for series 2.
MISCELLANEOUS INFORMATION
55. Did Registrant/Series have any of the following
outstanding at any time during the current period (Y or N)
which exceeded 1% of aggregate net assets?
A) Overdrafts -------------------------------------------------- Y
B) Bank Loans -------------------------------------------------- N
56. During the period did the Registrant's/Series' investment adviser(s)
have advisory clients other than investment companies? --------- N
57. Did the Registrant/Series adjust the number of its shares
outstanding by means of a stock split or stock dividend? ------- N
SCREEN NUMBER: 26
This page being
filed for series 3.
MISCELLANEOUS INFORMATION
55. Did Registrant/Series have any of the following
outstanding at any time during the current period (Y or N)
which exceeded 1% of aggregate net assets?
A) Overdrafts -------------------------------------------------- N
B) Bank Loans -------------------------------------------------- N
56. During the period did the Registrant's/Series' investment adviser(s)
have advisory clients other than investment companies? --------- N
57. Did the Registrant/Series adjust the number of its shares
outstanding by means of a stock split or stock dividend? ------- N
SCREEN NUMBER: 26
This page being
filed for series 01.
MISCELLANEOUS INFORMATION
55. Did Registrant/Series have any of the following
outstanding at any time during the current period (Y or N)
which exceeded 1% of aggregate net assets?
A) Overdrafts -------------------------------------------------- N
B) Bank Loans -------------------------------------------------- N
56. During the period did the Registrant's/Series' investment adviser(s)
have advisory clients other than investment companies? --------- N
57. Did the Registrant/Series adjust the number of its shares
outstanding by means of a stock split or stock dividend? ------- N
SCREEN NUMBER: 26
This page being
CLASSIFICATION filed for ALL series.
(Y or N)
58.A) Is Registrant/Series a separate account of an insurance company? N
If answer is 'Y' (Yes), are any of the following types
of contracts funded by the Registrant:
B) Variable annuity contracts? ---------------------------------
C) Scheduled premium variable life contracts? ------------------
D) Flexible premium variable life contracts? -------------------
E) Other types of insurance products registered under
the Securities Act of 1933? ---------------------------------
59. Is Registrant/Series a management investment company? ------------ Y
60.A) Was Registrant/Series a diversified investment company at any
time during the reporting period? ------------------------------ Y
B) Is Registrant/Series a diversified investment company as of the
end of the reporting period? ----------------------------------- Y
61. What is the lowest minimum initial investment required by
Registrant/Series from an investor that is not an employee or
otherwise affiliated with the Registrant/Series, its adviser,
principal underwriter or other affiliated entity? $ 100
SCREEN NUMBER: 27
62.A) Does the Registrant/Series invest primarily in This page being
debt securities, including convertible debt filed for series 1.
securities, options & futures on debt
securities or indices of debt securities? (Y or N) ----------- N
NOTE: If answer is 'N' (No), jump to Screen Number 30.
If answer is 'Y' (Yes), state the percentage of net assets
in each type at the end of the current period:
SHORT-TERM MATURITIES
B) U.S. Treasury 0.0% C) U.S. Government Agency 0.0%
D) Repurchase agreements 0.0% F) Bank Certificates of
E) State and Municipal tax-free 0.0% deposit-Domestic 0.0%
G) Bank Certificates of deposit-Foreign 0.0% H) Bankers acceptances 0.0%
I) Commercial paper taxable 0.0% J) Time deposits 0.0%
K) Options 0.0% L) All other 0.0%
INTERMEDIATE & LONG-TERM MATURITIES
M) U.S. Treasury 0.0% N) U.S. Government Agency 0.0%
O) State and Municipal tax-free 0.0% P) Corporate 0.0%
Q) All other 0.0%
R) Investments other than debt securities 0.0%
SCREEN NUMBER: 28
62.A) Does the Registrant/Series invest primarily in This page being
debt securities, including convertible debt filed for series 2.
securities, options & futures on debt
securities or indices of debt securities? (Y or N) ----------- N
NOTE: If answer is 'N' (No), jump to Screen Number 30.
If answer is 'Y' (Yes), state the percentage of net assets
in each type at the end of the current period:
SHORT-TERM MATURITIES
B) U.S. Treasury 0.0% C) U.S. Government Agency 0.0%
D) Repurchase agreements 0.0% F) Bank Certificates of
E) State and Municipal tax-free 0.0% deposit-Domestic 0.0%
G) Bank Certificates of deposit-Foreign 0.0% H) Bankers acceptances 0.0%
I) Commercial paper taxable 0.0% J) Time deposits 0.0%
K) Options 0.0% L) All other 0.0%
INTERMEDIATE & LONG-TERM MATURITIES
M) U.S. Treasury 0.0% N) U.S. Government Agency 0.0%
O) State and Municipal tax-free 0.0% P) Corporate 0.0%
Q) All other 0.0%
R) Investments other than debt securities 0.0%
SCREEN NUMBER: 28
62.A) Does the Registrant/Series invest primarily in This page being
debt securities, including convertible debt filed for series 3.
securities, options & futures on debt
securities or indices of debt securities? (Y or N) ----------- N
NOTE: If answer is 'N' (No), jump to Screen Number 30.
If answer is 'Y' (Yes), state the percentage of net assets
in each type at the end of the current period:
SHORT-TERM MATURITIES
B) U.S. Treasury 0.0% C) U.S. Government Agency 0.0%
D) Repurchase agreements 0.0% F) Bank Certificates of
E) State and Municipal tax-free 0.0% deposit-Domestic 0.0%
G) Bank Certificates of deposit-Foreign 0.0% H) Bankers acceptances 0.0%
I) Commercial paper taxable 0.0% J) Time deposits 0.0%
K) Options 0.0% L) All other 0.0%
INTERMEDIATE & LONG-TERM MATURITIES
M) U.S. Treasury 0.0% N) U.S. Government Agency 0.0%
O) State and Municipal tax-free 0.0% P) Corporate 0.0%
Q) All other 0.0%
R) Investments other than debt securities 0.0%
SCREEN NUMBER: 28
This page being
filed for series 1.
63. State the dollar weighted average portfolio maturity at the end of the
period covered by this report in days or, if longer than 1 yr.,
in years to one decimal place: A: 0 days
B: 0.0 years
64.A) Is the timely payment of principal and interest on any of the
instruments listed in item 62 insured or guaranteed by an entity
other than the issuer? (Y or N) -----------------------------------
B) Is the issuer of any instrument covered in item 62 delinquent or
in default as to payment of principal or interest at the end of
the current period? (Y or N) --------------------------------------
[If answer is 'N' (No), jump to screen 30 for your next screen.]
65. In computations of NAV per share, is any part of the value
attributed to instruments identified in sub-item 64B derived
from insurance or guarantees? (Y or N) ------------------------------
SCREEN NUMBER: 29
This page being
filed for series 2.
63. State the dollar weighted average portfolio maturity at the end of the
period covered by this report in days or, if longer than 1 yr.,
in years to one decimal place: A: 0 days
B: 0.0 years
64.A) Is the timely payment of principal and interest on any of the
instruments listed in item 62 insured or guaranteed by an entity
other than the issuer? (Y or N) -----------------------------------
B) Is the issuer of any instrument covered in item 62 delinquent or
in default as to payment of principal or interest at the end of
the current period? (Y or N) --------------------------------------
[If answer is 'N' (No), jump to screen 30 for your next screen.]
65. In computations of NAV per share, is any part of the value
attributed to instruments identified in sub-item 64B derived
from insurance or guarantees? (Y or N) ------------------------------
SCREEN NUMBER: 29
This page being
filed for series 3.
63. State the dollar weighted average portfolio maturity at the end of the
period covered by this report in days or, if longer than 1 yr.,
in years to one decimal place: A: 0 days
B: 0.0 years
64.A) Is the timely payment of principal and interest on any of the
instruments listed in item 62 insured or guaranteed by an entity
other than the issuer? (Y or N) -----------------------------------
B) Is the issuer of any instrument covered in item 62 delinquent or
in default as to payment of principal or interest at the end of
the current period? (Y or N) --------------------------------------
[If answer is 'N' (No), jump to screen 30 for your next screen.]
65. In computations of NAV per share, is any part of the value
attributed to instruments identified in sub-item 64B derived
from insurance or guarantees? (Y or N) ------------------------------
SCREEN NUMBER: 29
66.A) Is the Registrant/Series a fund that This page being
usually invests in equity securities, filed for series 1.
options & futures on equity securities,
indices of equity securities or securities
convertible into equity securities? ----------------------------- Y
If answer is 'N', go to item 67. Otherwise place a 'Y' on the line below which
best describes its primary investment objective (place an 'N' on other lines).
B) Aggressive capital appreciation --------------------------- N
C) Capital appreciation -------------------------------------- Y
D) Growth ---------------------------------------------------- N
E) Growth and income ----------------------------------------- N
F) Income ---------------------------------------------------- N
G) Total return ---------------------------------------------- N
67. Is the Registrant/Series a balanced fund? (Y or N) ---------------- N
68. Does the Registrant/Series have more than 50% of its net assets
at the end of the current period invested in:
A) The securities of issuers engaged primarily in the pro-
duction or distribution of precious metals? (Y or N) ------ N
B) The securities of issuers located primarily in countries
other than the United States? (Y or N) -------------------- N
69. Is the Registrant/Series an index fund? (Y or N) ------------------ N
SCREEN NUMBER: 30
66.A) Is the Registrant/Series a fund that This page being
usually invests in equity securities, filed for series 2.
options & futures on equity securities,
indices of equity securities or securities
convertible into equity securities? ----------------------------- Y
If answer is 'N', go to item 67. Otherwise place a 'Y' on the line below which
best describes its primary investment objective (place an 'N' on other lines).
B) Aggressive capital appreciation --------------------------- N
C) Capital appreciation -------------------------------------- N
D) Growth ---------------------------------------------------- Y
E) Growth and income ----------------------------------------- N
F) Income ---------------------------------------------------- N
G) Total return ---------------------------------------------- N
67. Is the Registrant/Series a balanced fund? (Y or N) ---------------- N
68. Does the Registrant/Series have more than 50% of its net assets
at the end of the current period invested in:
A) The securities of issuers engaged primarily in the pro-
duction or distribution of precious metals? (Y or N) ------ N
B) The securities of issuers located primarily in countries
other than the United States? (Y or N) -------------------- N
69. Is the Registrant/Series an index fund? (Y or N) ------------------ N
SCREEN NUMBER: 30
66.A) Is the Registrant/Series a fund that This page being
usually invests in equity securities, filed for series 3.
options & futures on equity securities,
indices of equity securities or securities
convertible into equity securities? ----------------------------- Y
If answer is 'N', go to item 67. Otherwise place a 'Y' on the line below which
best describes its primary investment objective (place an 'N' on other lines).
B) Aggressive capital appreciation --------------------------- N
C) Capital appreciation -------------------------------------- N
D) Growth ---------------------------------------------------- Y
E) Growth and income ----------------------------------------- N
F) Income ---------------------------------------------------- N
G) Total return ---------------------------------------------- N
67. Is the Registrant/Series a balanced fund? (Y or N) ---------------- N
68. Does the Registrant/Series have more than 50% of its net assets
at the end of the current period invested in:
A) The securities of issuers engaged primarily in the pro-
duction or distribution of precious metals? (Y or N) ------ N
B) The securities of issuers located primarily in countries
other than the United States? (Y or N) -------------------- N
69. Is the Registrant/Series an index fund? (Y or N) ------------------ N
SCREEN NUMBER: 30
This page being
INVESTMENT PRACTICES filed for series 1.
70. Activity Permitted by invest- Engaged in
ment policies? this period?
(Y or N) (Y or N)
A) Writing or investing in repurchase agreements Y Y
B) Writing or investing in options on equities Y N
C) Writing or investing in options on debt securities Y N
D) Writing or investing in options on stock indices Y N
E) Writing or investing in interest rate futures Y N
F) Writing or investing in stock index futures Y N
G) Writing or investing in options on futures Y N
H) Writing or investing in options on stock index futures Y N
I) Writing or investing in other commodity futures N N
J) Investments in restricted securities Y N
K) Investments in shares of other investment companies Y N
L) Investments in securities of foreign issuers Y Y
M) Currency exchange transactions Y N
N) Loaning portfolio securities Y Y
O) Borrowing of money Y N
P) Purchases/sales by certain exempted affiliated persons N N
Q) Margin purchases N N
R) Short selling N N
SCREEN NUMBER: 31
This page being
INVESTMENT PRACTICES filed for series 2.
70. Activity Permitted by invest- Engaged in
ment policies? this period?
(Y or N) (Y or N)
A) Writing or investing in repurchase agreements Y Y
B) Writing or investing in options on equities Y N
C) Writing or investing in options on debt securities Y N
D) Writing or investing in options on stock indices Y N
E) Writing or investing in interest rate futures Y N
F) Writing or investing in stock index futures Y N
G) Writing or investing in options on futures Y N
H) Writing or investing in options on stock index futures Y N
I) Writing or investing in other commodity futures N N
J) Investments in restricted securities Y N
K) Investments in shares of other investment companies Y N
L) Investments in securities of foreign issuers Y Y
M) Currency exchange transactions Y N
N) Loaning portfolio securities Y Y
O) Borrowing of money Y N
P) Purchases/sales by certain exempted affiliated persons N N
Q) Margin purchases N N
R) Short selling N N
SCREEN NUMBER: 31
This page being
INVESTMENT PRACTICES filed for series 3.
70. Activity Permitted by invest- Engaged in
ment policies? this period?
(Y or N) (Y or N)
A) Writing or investing in repurchase agreements Y Y
B) Writing or investing in options on equities Y N
C) Writing or investing in options on debt securities Y N
D) Writing or investing in options on stock indices Y N
E) Writing or investing in interest rate futures Y N
F) Writing or investing in stock index futures Y N
G) Writing or investing in options on futures Y N
H) Writing or investing in options on stock index futures Y N
I) Writing or investing in other commodity futures N N
J) Investments in restricted securities Y N
K) Investments in shares of other investment companies Y N
L) Investments in securities of foreign issuers Y Y
M) Currency exchange transactions Y N
N) Loaning portfolio securities Y Y
O) Borrowing of money Y N
P) Purchases/sales by certain exempted affiliated persons N N
Q) Margin purchases N N
R) Short selling N N
SCREEN NUMBER: 31
This page being
71. Portfolio turnover rate for the current filed for series 1.
reporting period
A) Purchases ($000's omitted) ---------------------------------- $ 3517290
B) Sales [including all maturities] ($000's omitted) ----------- $ 3297365
C) Monthly average value of portfolio ($000's omitted) --------- $ 249725
D) Percent turnover (use lesser of 71A) or 71B) divided by 71C)) 1320%
NOTE: Item 71D) should be a whole number; round if necessary.
FINANCIAL INFORMATION
72.A) How many months do the answers to 72 and 73 cover? ----------- 12 months
INCOME (000's omitted)
B) Net interest income ----------------------------------------- $ 1643
C) Net dividend income ----------------------------------------- $ 668
D) Account maintenance fees ------------------------------------ $ 0
E) Net other income -------------------------------------------- $ 58
EXPENSES
F) Advisory fees ----------------------------------------------- $ 2852
G) Administrator(s) fees --------------------------------------- $ 144
(Negative answers are allowed)
H) Salaries and other compensation ----------------------------- $ 0
SCREEN NUMBER: 32
This page being
71. Portfolio turnover rate for the current filed for series 2.
reporting period
A) Purchases ($000's omitted) ---------------------------------- $ 918350
B) Sales [including all maturities] ($000's omitted) ----------- $ 815842
C) Monthly average value of portfolio ($000's omitted) --------- $ 120378
D) Percent turnover (use lesser of 71A) or 71B) divided by 71C)) 678%
NOTE: Item 71D) should be a whole number; round if necessary.
FINANCIAL INFORMATION
72.A) How many months do the answers to 72 and 73 cover? ----------- 12 months
INCOME (000's omitted)
B) Net interest income ----------------------------------------- $ 811
C) Net dividend income ----------------------------------------- $ 215
D) Account maintenance fees ------------------------------------ $ 0
E) Net other income -------------------------------------------- $ 59
EXPENSES
F) Advisory fees ----------------------------------------------- $ 1355
G) Administrator(s) fees --------------------------------------- $ 79
(Negative answers are allowed)
H) Salaries and other compensation ----------------------------- $ 0
SCREEN NUMBER: 32
This page being
71. Portfolio turnover rate for the current filed for series 3.
reporting period
A) Purchases ($000's omitted) ---------------------------------- $ 914203
B) Sales [including all maturities] ($000's omitted) ----------- $ 835687
C) Monthly average value of portfolio ($000's omitted) --------- $ 101161
D) Percent turnover (use lesser of 71A) or 71B) divided by 71C)) 826%
NOTE: Item 71D) should be a whole number; round if necessary.
FINANCIAL INFORMATION
72.A) How many months do the answers to 72 and 73 cover? ----------- 12 months
INCOME (000's omitted)
B) Net interest income ----------------------------------------- $ 269
C) Net dividend income ----------------------------------------- $ 432
D) Account maintenance fees ------------------------------------ $ 0
E) Net other income -------------------------------------------- $ 17
EXPENSES
F) Advisory fees ----------------------------------------------- $ 1069
G) Administrator(s) fees --------------------------------------- $ 67
(Negative answers are allowed)
H) Salaries and other compensation ----------------------------- $ 0
SCREEN NUMBER: 32
This page being
71. Portfolio turnover rate for the current filed for series 01.
reporting period
A) Purchases ($000's omitted) ---------------------------------- $ 0
B) Sales [including all maturities] ($000's omitted) ----------- $ 0
C) Monthly average value of portfolio ($000's omitted) --------- $ 0
D) Percent turnover (use lesser of 71A) or 71B) divided by 71C)) 0%
NOTE: Item 71D) should be a whole number; round if necessary.
FINANCIAL INFORMATION
72.A) How many months do the answers to 72 and 73 cover? ----------- 0 months
INCOME (000's omitted)
B) Net interest income ----------------------------------------- $ 0
C) Net dividend income ----------------------------------------- $ 0
D) Account maintenance fees ------------------------------------ $ 0
E) Net other income -------------------------------------------- $ 0
EXPENSES
F) Advisory fees ----------------------------------------------- $ 0
G) Administrator(s) fees --------------------------------------- $ 0
(Negative answers are allowed)
H) Salaries and other compensation ----------------------------- $ 0
SCREEN NUMBER: 32
This page being
FINANCIAL INFORMATION (Cont. from Screen 32) filed for series 1.
EXPENSES (Negative answers are allowed) For the period covered by this form
($000's omitted)
72.I) Shareholder servicing agent fees ------------------- $ 559
J) Custodian fees ------------------------------------- $ 133
K) Postage -------------------------------------------- $ 0
L) Printing expenses ---------------------------------- $ 19
M) Directors' fees ------------------------------------ $ 22
N) Registration fees ---------------------------------- $ 93
O) Taxes ---------------------------------------------- $ 0
P) Interest ------------------------------------------- $ 0
Q) Bookkeeping fees paid to anyone
performing this service ---------------------------- $ 0
R) Auditing fees -------------------------------------- $ 29
S) Legal fees ----------------------------------------- $ 37
T) Marketing/distribution payments including
payments pursuant to a rule 12b-1 plan ------------- $ 1131
U) Amortization of organization expenses -------------- $ 10
V) Shareholder meeting expenses ----------------------- $ 0
W) Other expenses ------------------------------------- $ -79
X) Total expenses ------------------------------------- $ 4950
SCREEN NUMBER: 33
This page being
FINANCIAL INFORMATION (Cont. from Screen 32) filed for series 2.
EXPENSES (Negative answers are allowed) For the period covered by this form
($000's omitted)
72.I) Shareholder servicing agent fees ------------------- $ 289
J) Custodian fees ------------------------------------- $ 102
K) Postage -------------------------------------------- $ 0
L) Printing expenses ---------------------------------- $ 9
M) Directors' fees ------------------------------------ $ 15
N) Registration fees ---------------------------------- $ 82
O) Taxes ---------------------------------------------- $ 0
P) Interest ------------------------------------------- $ 0
Q) Bookkeeping fees paid to anyone
performing this service ---------------------------- $ 0
R) Auditing fees -------------------------------------- $ 29
S) Legal fees ----------------------------------------- $ 17
T) Marketing/distribution payments including
payments pursuant to a rule 12b-1 plan ------------- $ 559
U) Amortization of organization expenses -------------- $ 9
V) Shareholder meeting expenses ----------------------- $ 0
W) Other expenses ------------------------------------- $ 0
X) Total expenses ------------------------------------- $ 2545
SCREEN NUMBER: 33
This page being
FINANCIAL INFORMATION (Cont. from Screen 32) filed for series 3.
EXPENSES (Negative answers are allowed) For the period covered by this form
($000's omitted)
72.I) Shareholder servicing agent fees ------------------- $ 204
J) Custodian fees ------------------------------------- $ 100
K) Postage -------------------------------------------- $ 0
L) Printing expenses ---------------------------------- $ 7
M) Directors' fees ------------------------------------ $ 14
N) Registration fees ---------------------------------- $ 69
O) Taxes ---------------------------------------------- $ 0
P) Interest ------------------------------------------- $ 0
Q) Bookkeeping fees paid to anyone
performing this service ---------------------------- $ 0
R) Auditing fees -------------------------------------- $ 29
S) Legal fees ----------------------------------------- $ 15
T) Marketing/distribution payments including
payments pursuant to a rule 12b-1 plan ------------- $ 429
U) Amortization of organization expenses -------------- $ 0
V) Shareholder meeting expenses ----------------------- $ 0
W) Other expenses ------------------------------------- $ -122
X) Total expenses ------------------------------------- $ 1874
SCREEN NUMBER: 33
This page being
FINANCIAL INFORMATION (Cont. from Screen 33) filed for series 1.
EXPENSES (Negative answers are allowed For the period covered by this form
on this screen for 72Z only) ($000's omitted)
72.Y) Expense reimbursements ----------------------------- $ 326
Z) Net investment income ------------------------------ $ -2255
AA) Realized capital gains ----------------------------- $ 0
BB) Realized capital losses ---------------------------- $ 30206
CC) 1. Net unrealized appreciation during the period --- $ 25849
2. Net unrealized depreciation during the period --- $ 0
DD) 1. Total income dividends for which record date
passed during the period ------------------------ $ 0
2. Dividends for a second class of open-end
company shares -----------------------------------$ 0
EE) Total capital gains distributions for which
record date passed during the period --------------- $ 15059
73. Distributions per share for which record date passed during the period:
NOTE: Show in fractions of a cent if so declared.
A) 1. Dividends from net investment income ------------ $ 0.0000
2. Dividends for a second class of open-end
company shares ---------------------------------- $ 0.0000
B) Distribution of capital gains ---------------------- $ 2.3740
C) Other distributions -------------------------------- $ 0.0000
SCREEN NUMBER: 34
This page being
FINANCIAL INFORMATION (Cont. from Screen 33) filed for series 2.
EXPENSES (Negative answers are allowed For the period covered by this form
on this screen for 72Z only) ($000's omitted)
72.Y) Expense reimbursements ----------------------------- $ 287
Z) Net investment income ------------------------------ $ -1173
AA) Realized capital gains ----------------------------- $ 0
BB) Realized capital losses ---------------------------- $ 5944
CC) 1. Net unrealized appreciation during the period --- $ 15361
2. Net unrealized depreciation during the period --- $ 0
DD) 1. Total income dividends for which record date
passed during the period ------------------------ $ 0
2. Dividends for a second class of open-end
company shares -----------------------------------$ 0
EE) Total capital gains distributions for which
record date passed during the period --------------- $ 8538
73. Distributions per share for which record date passed during the period:
NOTE: Show in fractions of a cent if so declared.
A) 1. Dividends from net investment income ------------ $ 0.0000
2. Dividends for a second class of open-end
company shares ---------------------------------- $ 0.0000
B) Distribution of capital gains ---------------------- $ 2.7120
C) Other distributions -------------------------------- $ 0.0000
SCREEN NUMBER: 34
This page being
FINANCIAL INFORMATION (Cont. from Screen 33) filed for series 3.
EXPENSES (Negative answers are allowed For the period covered by this form
on this screen for 72Z only) ($000's omitted)
72.Y) Expense reimbursements ----------------------------- $ 352
Z) Net investment income ------------------------------ $ -811
AA) Realized capital gains ----------------------------- $ 9912
BB) Realized capital losses ---------------------------- $ 0
CC) 1. Net unrealized appreciation during the period --- $ 11833
2. Net unrealized depreciation during the period --- $ 0
DD) 1. Total income dividends for which record date
passed during the period ------------------------ $ 0
2. Dividends for a second class of open-end
company shares -----------------------------------$ 0
EE) Total capital gains distributions for which
record date passed during the period --------------- $ 0
73. Distributions per share for which record date passed during the period:
NOTE: Show in fractions of a cent if so declared.
A) 1. Dividends from net investment income ------------ $ 0.0000
2. Dividends for a second class of open-end
company shares ---------------------------------- $ 0.0000
B) Distribution of capital gains ---------------------- $ 0.0000
C) Other distributions -------------------------------- $ 0.0000
SCREEN NUMBER: 34
This page being
filed for series 1.
As of the end of current reporting
74. Condensed balance sheet data: period (000's omitted except
for per share amounts)
A) Cash ----------------------------------------------- $ 1
B) Repurchase agreements ------------------------------ $ 7583
C) Short-term debt securities other than
repurchase agreements ------------------------------ $ 0
D) Long-term debt securities including
convertible debt------------------------------------ $ 0
E) Preferred, convertible preferred, and
adjustable rate preferred stock -------------------- $ 0
F) Common stock --------------------------------------- $ 313106
G) Options on equities -------------------------------- $ 0
H) Options on all futures ----------------------------- $ 0
I) Other investments ---------------------------------- $ 0
J) Receivables from portfolio instruments sold -------- $ 30539
K) Receivables from affiliated persons ---------------- $ 0
L) Other receivables ---------------------------------- $ 707
M) All other assets ----------------------------------- $ 30260
N) Total assets --------------------------------------- $ 382196
SCREEN NUMBER: 35
This page being
filed for series 2.
As of the end of current reporting
74. Condensed balance sheet data: period (000's omitted except
for per share amounts)
A) Cash ----------------------------------------------- $ 0
B) Repurchase agreements ------------------------------ $ 2437
C) Short-term debt securities other than
repurchase agreements ------------------------------ $ 0
D) Long-term debt securities including
convertible debt------------------------------------ $ 0
E) Preferred, convertible preferred, and
adjustable rate preferred stock -------------------- $ 0
F) Common stock --------------------------------------- $ 160245
G) Options on equities -------------------------------- $ 0
H) Options on all futures ----------------------------- $ 0
I) Other investments ---------------------------------- $ 0
J) Receivables from portfolio instruments sold -------- $ 6199
K) Receivables from affiliated persons ---------------- $ 0
L) Other receivables ---------------------------------- $ 306
M) All other assets ----------------------------------- $ 32166
N) Total assets --------------------------------------- $ 201353
SCREEN NUMBER: 35
This page being
filed for series 3.
As of the end of current reporting
74. Condensed balance sheet data: period (000's omitted except
for per share amounts)
A) Cash ----------------------------------------------- $ 1
B) Repurchase agreements ------------------------------ $ 5964
C) Short-term debt securities other than
repurchase agreements ------------------------------ $ 0
D) Long-term debt securities including
convertible debt------------------------------------ $ 0
E) Preferred, convertible preferred, and
adjustable rate preferred stock -------------------- $ 0
F) Common stock --------------------------------------- $ 143875
G) Options on equities -------------------------------- $ 0
H) Options on all futures ----------------------------- $ 0
I) Other investments ---------------------------------- $ 0
J) Receivables from portfolio instruments sold -------- $ 3340
K) Receivables from affiliated persons ---------------- $ 0
L) Other receivables ---------------------------------- $ 393
M) All other assets ----------------------------------- $ 3790
N) Total assets --------------------------------------- $ 157363
SCREEN NUMBER: 35
This page being
(Continued from Screen 35) filed for series 1.
Condensed balance sheet data: As of the end of current reporting
period (000's omitted except for per
share amounts and number of accounts)
74.O) Payables for portfolio instruments purchased ----------------- $ 25447
P) Amounts owed to affiliated persons --------------------------- $ 200
Q) Senior long-term debt ---------------------------------------- $ 0
R) Other liabilities: 1. Reverse repurchase agreements --------- $ 0
2. Short sales --------------------------- $ 0
3. Written options ----------------------- $ 0
4. All other liabilities ----------------- $ 31039
S) Senior equity ------------------------------------------------ $ 0
T) Net assets of common shareholders ---------------------------- $ 325510
U) 1. Number of shares outstanding ------------------------------ 10180
2. Number of shares outstanding of a second class of shares
of open-end company --------------------------------------- 4737
V) 1. Net asset value per share (to nearest cent) --------------- $ 19.05
2. Net asset value per share of a second class of open-end
company shares (to nearest cent) -------------------------- $ 18.92
W) Mark-to-market net asset value per share
for money market funds only (to 4 decimals) ------------------ $ 0.0000
X) Total number of shareholder accounts ------------------------- 24224
Y) Total value of assets in segregated accounts ----------------- $ 0
SCREEN NUMBER: 36
This page being
(Continued from Screen 35) filed for series 2.
Condensed balance sheet data: As of the end of current reporting
period (000's omitted except for per
share amounts and number of accounts)
74.O) Payables for portfolio instruments purchased ----------------- $ 1860
P) Amounts owed to affiliated persons --------------------------- $ 82
Q) Senior long-term debt ---------------------------------------- $ 0
R) Other liabilities: 1. Reverse repurchase agreements --------- $ 0
2. Short sales --------------------------- $ 0
3. Written options ----------------------- $ 0
4. All other liabilities ----------------- $ 32404
S) Senior equity ------------------------------------------------ $ 0
T) Net assets of common shareholders ---------------------------- $ 167007
U) 1. Number of shares outstanding ------------------------------ 5741
2. Number of shares outstanding of a second class of shares
of open-end company --------------------------------------- 2151
V) 1. Net asset value per share (to nearest cent) --------------- $ 19.45
2. Net asset value per share of a second class of open-end
company shares (to nearest cent) -------------------------- $ 19.34
W) Mark-to-market net asset value per share
for money market funds only (to 4 decimals) ------------------ $ 0.0000
X) Total number of shareholder accounts ------------------------- 13264
Y) Total value of assets in segregated accounts ----------------- $ 0
SCREEN NUMBER: 36
This page being
(Continued from Screen 35) filed for series 3.
Condensed balance sheet data: As of the end of current reporting
period (000's omitted except for per
share amounts and number of accounts)
74.O) Payables for portfolio instruments purchased ----------------- $ 6183
P) Amounts owed to affiliated persons --------------------------- $ 90
Q) Senior long-term debt ---------------------------------------- $ 0
R) Other liabilities: 1. Reverse repurchase agreements --------- $ 0
2. Short sales --------------------------- $ 0
3. Written options ----------------------- $ 0
4. All other liabilities ----------------- $ 4030
S) Senior equity ------------------------------------------------ $ 0
T) Net assets of common shareholders ---------------------------- $ 147060
U) 1. Number of shares outstanding ------------------------------ 4757
2. Number of shares outstanding of a second class of shares
of open-end company --------------------------------------- 1657
V) 1. Net asset value per share (to nearest cent) --------------- $ 21.67
2. Net asset value per share of a second class of open-end
company shares (to nearest cent) -------------------------- $ 21.53
W) Mark-to-market net asset value per share
for money market funds only (to 4 decimals) ------------------ $ 0.0000
X) Total number of shareholder accounts ------------------------- 9263
Y) Total value of assets in segregated accounts ----------------- $ 0
SCREEN NUMBER: 36
This page being
filed for series 1.
75. Average net assets during the current reporting period
($000's omitted). Answer only one:
A) Daily average (for money market funds) ----------------------- $ 0
B) Monthly average (for all other funds) ----------------------- $ 293769
76. Market price per share at end of period (closed-end funds only) $ 0.00
SCREEN NUMBER: 37
This page being
filed for series 2.
75. Average net assets during the current reporting period
($000's omitted). Answer only one:
A) Daily average (for money market funds) ----------------------- $ 0
B) Monthly average (for all other funds) ----------------------- $ 138671
76. Market price per share at end of period (closed-end funds only) $ 0.00
SCREEN NUMBER: 37
This page being
filed for series 3.
75. Average net assets during the current reporting period
($000's omitted). Answer only one:
A) Daily average (for money market funds) ----------------------- $ 0
B) Monthly average (for all other funds) ----------------------- $ 108969
76. Market price per share at end of period (closed-end funds only) $ 0.00
SCREEN NUMBER: 37
77.A) Is the Registrant filing any of the following attachments
with the current filing of Form N-SAR? (ANSWER FOR ALL
SERIES AS A GROUP) (Y or N) ------------------------------- Y
NOTE: If answer is 'Y' (Yes), mark those items
below being filed as an attachment to this Filed as
form or incorporated by reference. Attachment
B) Accountant's report on internal control ------------------- Y
C) Matters submitted to a vote of security holders ----------- N
D) Policies with respect to security investment -------------- N
E) Legal proceedings ----------------------------------------- N
F) Changes in security for debt ------------------------------ N
G) Defaults and arrears on senior securities ----------------- N
H) Changes in control of Registrant -------------------------- N
I) Terms of new or amended securities ------------------------ N
J) Revaluation of assets or restatement of
capital share account ------------------------------------- N
K) Changes in Registrant's certifying account ---------------- N
L) Changes in accounting principles and practices ------------ N
M) Mergers --------------------------------------------------- N
N) Actions required to be reported pursuant to Rule 2a-7 ----- N
O) Transactions effected pursuant to Rule 10f-3 -------------- N
P) Information required to be filed pursuant
to exemptive orders --------------------------------------- N
(Item 77 continued on next screen)
SCREEN NUMBER: 38
77. (Continued) Mark those items below being filed as
an attachment to this form or incorporated form Filed as
or incorporated by reference. Attachment
Q1) Exhibits -------------------------------------------------- Y
Q2) Any information called for by instructions to
sub-item 77Q2 --------------------------------------------- N
Q3) Any information called for by instructions to
sub-item 77Q3 --------------------------------------------- N
78. Does the Registrant have any wholly-owned investment company
subsidiaries whose operating & financial data are consolidated
with that of Registrant in this report? (Y or N) N
NOTE: If answer is 'N' (No), jump to Screen 41.
SCREEN NUMBER: 39
79. List the '811' numbers and names of Registrant's wholly owned
investment company subsidiaries consolidated in this report.
811 Number Subsidiary Name
811-
811-
811-
811-
811-
811-
811-
811-
811-
811-
Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more.
SCREEN NUMBER: 40
ANNUAL SUPPLEMENT This page being
filed for ALL series.
Screens 41 & 42 are to be filed only once each
year, at the end of Registrant's/Series' fiscal year.
80. Fidelity bond(s) in effect at the end of the period:
A) Insurer name: FEDERAL INSURANCE COMPANY
B) Second insurer:
C) Aggregate face amount of coverage for Registrant/Series on
all bonds on which it is named as an insured (000's omitted): $ 20000
81. A) Is the bond part of a joint fidelity bond(s) shared
with other investment companies, or other entities? (Y or N) - Y
B) If answer to 81A is 'Y' (Yes), how many other
investment companies, or other entities are covered by the bond?
(Count each series as a separate investment company.) -------- 25
82. A) Does the mandatory coverage of the fidelity bond
have a deductible? (Y or N) ---------------------------------- N
B) If the answer to 82A is 'Y' (Yes), what is the
amount of the deductible? ($000's omitted) ------------------ $ 0
SCREEN NUMBER: 41
ANNUAL SUPPLEMENT (Continued) This page being
filed for ALL series.
83.A) Were any claims with respect to this Registrant/
Series filed under the bond during the period? (Y or N) -------- N
B) If the answer to 83 A) is 'Y' (Yes), what was the
total amount of such claims? ($000's omitted) ----------------- $ 0
84.A) Were any losses incurred with respect to this
Registrant/Series that could have been filed as a
claim under the fidelity bond but were not? (Y or N) ----------- N
B) If the answer to 84 A) is 'Y' (Yes), what was the
total amount of such losses? ($000's omitted) ----------------- $ 0
85.A) Are Registrant's/Series' officers and directors
covered as officers and directors of Registrant/Series
under any errors and omissions insurance policy
owned by the Registrant/Series or anyone else (Y or N) --------- Y
B) Were any claims filed under such policy during the
period with respect to the Registrant/Series? (Y or N) --------- N
SCREEN NUMBER: 42
Closed-End Investment Companies Only
86. Sales, repurchases, and redemptions of
Registrant's securities:
Number of Shares Net
or Principal Consideration
Amount of Debt Received or Paid
($000's omitted) ($000's omitted)
Common Stock:
A) Sales 0 $ 0
B) Repurchases 0 $ 0
Preferred Stock:
C) Sales 0 $ 0
D) Repurchases and Redemptions 0 $ 0
Debt Securities
E) Sales $ 0 $ 0
F) Repurchases and Redemptions $ 0 $ 0
SCREEN NUMBER: 43
Closed-End Investment Companies Only
87. Securities of Registrant registered on a
national securities exchange or listed
on NASDAQ:
CUSIP or Ticker
Title of each class of securities NASDAQ No. Symbol
A)
B)
C)
88. Did Registrant have any of the following outstanding which exceeded 1%
of aggregate net assets at any time during the period?
(Y or N)
A) Notes or bonds ------------------------------
B) Uncovered options ---------------------------
C) Margin loans --------------------------------
D) Preferred stock -----------------------------
SCREEN NUMBER: 44
