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Previous: CONNECTICUT ENERGY CORP, U-3A-2, 1998-02-27 |
Next: REDLAW INDUSTRIES INC, SC 13D/A, 1998-02-27 |
FORM N-SAR
SEMI-ANNUAL REPORT
FOR REGISTERED INVESTMENT COMPANIES
Report for six month period ending: // (a)
or fiscal year ending: 12/31/97(b)
Is this a transition report? (Y/N) N
------
Is this an amendment to a previous filing? (Y/N) N
------
Those items or sub-items with a box "/ / " after the item number should be
completed only if the answer has changed from the previous filing on this form.
1. A. Registrant Name: Empire State Municipal Exempt Trust
B. File Number: 811-2838
C. Telephone Number: (212) 953-7532
<TABLE>
<S> <C> <C> <C> <C>
2. A. Street: 6 East 43rd Street
B. City: New York C. State: NY D. Zip Code: 10017 Zip Ext:
E. Foreign Country: Foreign Postal Code:
3. Is this the first filing on this form by Registrant? (Y/N) N
------------------------------------
4. Is this the last filing on this form by Registrant? (Y/N) N
------------------------------------
5. Is Registrant a small business investment company (SBIC)? (Y/N) N
[If answer is "Y" (Yes), complete only items 89 through 110.] ------------------------------------
6. Is Registrant a unit investment trust (UIT)? (Y/N) Y
[If answer is "Y" (Yes), complete only items 111 through 132.] ------------------------------------
7. A. Is Registrant a series or multiple portfolio company? (Y/N)
[If answer is "N" (No), go to item 8.] ------------------------------------
B. How many separate series or portfolios did Registrant have at the end of the period?
------------------------------------
</TABLE>
462953.1
<PAGE>
If filing more than one
Page 47, "X" box: / /
For period ending 12/31/97
File number 811-2838
UNIT INVESTMENT TRUSTS
<TABLE>
<S> <C> <C> <C> <C> <C> <C>
111. A. / / Depositor Name:
B. / / File Number (If any):
C. / / City: State: Zip Code: Zip Ext:
/ / Foreign Country: Foreign Postal Code:
111. A. / / Depositor Name:
B. / / File Number (If any):
C. / / City: State: Zip Code: Zip Ext:
/ / Foreign Country: Foreign Postal Code:
112. A. / / Sponsor Name:
B. / / File Number (If any):
C. / / City: State: Zip Code: Zip Ext:
/ / Foreign Country: Foreign Postal Code:
112. A. / / Sponsor Name:
B. / / File Number (If any):
C. / / City: State: Zip Code: Zip Ext:
/ / Foreign Country: Foreign Postal Code:
</TABLE>
47
462953.1
<PAGE>
If filing more than one
Page 48 "X" box: / /
For period ending 12/31/97
File number 811-2838
<TABLE>
<S> <C> <C> <C> <C> <C> <C>
113. A. / / Trustee Name:
B. / / City: State: Zip Code: Zip Ext:
/ / Foreign Country: Foreign Postal Code:
113. A. / / Trustee Name:
B. / / City: State: Zip Code: Zip Ext:
/ / Foreign Country: Foreign Postal Code:
114. A. / / Principal Underwriter Name:
B. / / File Number: 8-
C. / / City: State: Zip Code: Zip Ext:
Foreign Country: Foreign Postal Code:
114. A. / / Principal Underwriter Name:
B. / / File Number: 8-
C. / / City: State: Zip Code: Zip Ext:
/ / Foreign Country: Foreign Postal Code:
115. A. / / Independent Public Accountant Name:
B. / / City: State: Zip Code: Zip Ext:
/ / Foreign Country: Foreign Postal Code:
115. A. / / Independent Public Accountant Name:
B. / / City: State: Zip Code: Zip Ext:
/ / Foreign Country: Foreign Postal Code:
</TABLE>
48
462953.1
<PAGE>
If filing more than one
Page 49 "X" box: / /
For period ending 12/31/97
File number 811-2838
116. Family of investment companies information:
<TABLE>
<S> <C> <C> <C> <C>
A. / / Is Registrant part of a family of investment companies? (Y/N)
------------------------------------ -----
(Y/N)
B. / / Identify the family in 10 letters: ___ ___ ___ ___ ___ ___ ___ ___ ___ ___
(NOTE: In filing this form, use this identification consistently for all investment companies
in family. This designation is for purposes of this form only.)
117. A. / / Is Registrant a separate account of an insurance company? (Y/N)
--------------------------------- -----
Y/N
If answer is "Y" (Yes), are any of the following types of contracts funded by the Registration?:
B. / / Variable annuity contracts? (Y/N)
--------------------------------- -----
Y/N
C. / / Scheduled premium variable life contracts? (Y/N)
--------------------------------- -----
Y/N
D. / / Flexible premium variable life contracts? (Y/N)
--------------------------------- -----
Y/N
E. / / Other types of insurance products registered under the Securities Act of 1933? (Y/N)
----------- -----
Y/N
118. / / State the number of series existing at the end of the period that had securities registered under the
Securities Act of 1933 133
------------------------------------------------------------------------------ -----
119. / / State the number of new series for which registration statements under the Securities Act of 1933
became effective during the period 6
------------------------------------------------------------------------------ -----
120. / / State the total value of the portfolio securities on the date of deposit for the new series included in
item 119 ($000's omitted) $ 60,000
------------------------------------------------------------------------------ -----
121. / / State the number of series for which a current prospectus was in existence at the end of the period
89
------------------------------------------------------------------------------ -----
122. / / State the number of existing series for which additional units were registered under the Securities
Act of 1933 during the current period 0
----------------------------------------------------------------------------- -----
</TABLE>
49
462953.1
<PAGE>
If filing more than one
Page 50 "X" box: / /
For period ending 12/31/97
File number 811-2838
<TABLE>
<S> <C> <C> <C>
123. / / State the total value of the additional units considered in answering item 122 ($000's omitted) $
---------------
124. / / State the total value of units of prior series that were placed in the portfolios of subsequent series
during the current period (the value of these units is to be measured on the date they were placed in
the subsequent series) ($000's omitted) $
---------------
125. / / State the total dollar amount of sales loads collected (before reallowances to other brokers or
dealers) by Registrant's principal underwriter and any underwriter which is an affiliated person of
the principal underwriter during the current period solely from the sale of units of all series of
Registrant ($000's omitted) $ 3,585
---------------
126. / / Of the amount shown in item 125, state the total dollar amount of sales loads collected from
secondary market operations in Registrant's units (include the sales loans, if any, collected on units
of a prior series placed in the portfolio of a subsequent series.) ($000's omitted) $ 645
---------------
127. / / List opposite the appropriate description below the number of
series whose portfolios are invested primarily (based upon a
percentage of NAV) in each type of security shown, the
aggregate total assets at market value as of a date at or
near the end of the current period of each such group of
series and the total income distributions made by each such
group of series during the current period (excluding
distributions of realized gains, if any):
</TABLE>
<TABLE>
<CAPTION>
Number of Total Assets Total Income
Series ($000's Distributions
Investing Omitted) ($000's omitted
<S> <C> <C> <C>
A. U.S. Treasury direct issue $ $
----------------------- ----------------------- ------------------------- ------------------
B. U.S. Government agency $ $
--------------------------- ----------------------- ------------------------- ------------------
C. State and municipal tax-free 133 $ 941,083 $ 63,939
--------------------- ----------------------- ------------------------- ------------------
D. Public utility debt $ $
------------------------------ ----------------------- ------------------------- ------------------
E. Brokers or dealers debt or debt of brokers' or
dealers' parent $ $
---------------------------------- ----------------------- ------------------------- ------------------
F. All other corporate intermed. & long-term
debt $ $
--------------------------------------------- ----------------------- ------------------------- ------------------
G. All other corporate short-term debt $ $
-------------- ----------------------- ------------------------- ------------------
H. Equity securities of brokers or dealers or
parents of brokers or dealers $ $
-------------------- ----------------------- ------------------------- ------------------
I. Investment company equity securities $ $
------------- ----------------------- ------------------------- ------------------
J. All other equity securities $ $
---------------------- ----------------------- ------------------------- ------------------
K. Other securities $ $
--------------------------------- ----------------------- ------------------------- ------------------
L. Total assets of all series of registrant 133 $ 941,083 $ 63,939
--------- ----------------------- ------------------------- ------------------
</TABLE>
50
<PAGE>
If filing more than one
Page 51 "X" box: / /
For period ending 12/31/97
File number 811-2838
<TABLE>
<S> <C> <C> <C>
128. / / Is the timely payment of principal and interest on any of the portfolio securities held by any of
Registrant's series at the end of the current period insured or guaranteed by an entity other than the
issuer? (Y/N)
[If the answer is "N" (No), go to item 131.] Y/N
129. / / Is the issuer of any instrument covered in item 128 delinquent or in default as to payment of
principal or interest at the end of the current period? (Y/N)
[If answer is "N" (No), go to item 131.] Y/N
130. / / In computations of NAV or offering price per unit, is any part of the value attributed to instruments
identified in item 129 derived from insurance or guarantees? (Y/N)
Y/N
131. / / Total expenses incurred by all series of Registrant during the current reporting period ($000's
omitted) $ 3,868
-----------
132. / / List the "811" (Investment Company Act of 1940) registration number for all Series of Registrant
that are being included in this filing:
811-_______ 811-_______ 811-_______ 811-_______ 811-_______
811-_______ 811-_______ 811-_______ 811-_______ 811-_______
811-_______ 811-_______ 811-_______ 811-_______ 811-_______
811-_______ 811-_______ 811-_______ 811-_______ 811-_______
811-_______ 811-_______ 811-_______ 811-_______ 811-_______
811-_______ 811-_______ 811-_______ 811-_______ 811-_______
811-_______ 811-_______ 811-_______ 811-_______ 811-_______
811-_______ 811-_______ 811-_______ 811-_______ 811-_______
811-_______ 811-_______ 811-_______ 811-_______ 811-_______
</TABLE>
51
462953.1
<PAGE>
This report is signed on behalf of the registrant.
City of: New York State of: New York Date: February 27, 1998
Name of Registrant: Empire State Municipal Exempt Trust
By: /s/ James Vaccacio /s/ Michael J. Lynch
--------------------- ------------------------
Name: James Vaccacio Name: Michael J. Lynch
Title: Attorney-In-Fact Title: Director Unit Trust
462953.1
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