FORM N-SAR-U
FOR ANNUAL REPORT
UNIT INVESTMENT TRUSTS
REPORT FOR SIX MONTH PERIOD ENDING: / / (a)
OR FISCAL YEAR ENDING: 12/31/98 (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: THE FIRST NATIONAL DUAL SERIES
TAX-EXEMPT BOND TRUST SERIES 3
AND SUBSEQUENT SERIES
B. FILE NUMBER: 811-2590
C. TELPHONE NUMBER: 630-684-6053
2. A. STREET: ONE PARK VIEW PLAZA
B. CITY: OAKBROOK TERRACE
C. STATE: IL
D. ZIP CODE: 60181
E. FOREIGN COUNTRY:
FOREIGN POSTAL CODE:
3. IS THIS THE FIRST FILING ON THE 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 THOUGH 110.]
6. IS REGISTRANT A UNIT INVESTMENT TRUST (UIT)? (Y/N) Y
[IF ANSWER IS "Y" (YES), COMPLETE ONLY ITEMS 111 THOUGH 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 REGISTRANTS HAVE
AT THE END OF THE PERIOD?
01
IF FILING MORE THAN ONE PAGE 2, "X" BOX: ___
FOR PERIOD ENDING: 12/31/98
FILE NUMBER 811-2590
C. LIST THE NAME OF EACH SERIES OR PORTFOLIO STARTING WITH THE NUMBER 1.
USE THIS SAME NUMERICAL DESIGNATION FOR EACH SERIES OR PORTFOLIO IN
THE SERIES INFORMATION BLOCK IN THE TOP RIGHT CORNER OF THE SCREENS
SUBMITTED IN THIS FILING AND ALL SUBSEQUENT FILINGS ON THIS FORM. THIS
INFORMATION IS REQUIRED EACH TIME THE FORM IS FILED.
<TABLE>
<CAPTION>
IS THIS THE LAST FILING
SERIES NUMBER SERIES NAME FOR THIS SERIES?
- ------------- ----------- ---------------
<S> <C> <C>
</TABLE>
(NOTE:) SEE ITEM D (8) OF THE GENERAL INSTRUCTIONS TO THE FORM FOR INFORMATION
ON HOW TO COMPLETE THE FORM FOR SERIES COMPANIES.
02
IF FILING MORE THAN ONE PAGE 47, "X" BOX: ___
FOR PERIOD ENDING: 12/31/98
FILE NUMBER 811-2590
UNIT INVESTMENT TRUSTS
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:
47
IF FILING MORE THAN ONE PAGE 48, "X" BOX: ___
FOR PERIOD ENDING: 12/31/98
FILE NUMBER 811-2590
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
ZIP CODE
ZIP EXT:
FOREIGN COUNTRY:
FOREIGN POSTAL CODE:
114. A. PRINCIPAL UNDERWRITER NAME
B. FILE NUMBER: 8-
C. CITY
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:
48
IF FILING MORE THAN ONE PAGE 49, "X" BOX: ___
FOR PERIOD ENDING: 12/31/98
FILE NUMBER 811-2590
116. FAMILY INVESTMENT INFORMATION:
A. IS REGISTRANT PART OF A FAMILY OF INVESTMENT COMPANIES? (Y/N)
B. INDENTIFY THE FAMILY IN TEN 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)
IF ANSWER IS `Y' (YES), ARE THERE ANY OF THE FOLLOWING TYPES
OF CONTRACTS FUNDED BY THE REGISTRANT?
B. VARIABLE ANNUITY CONTRACTS? (Y/N)
C. SCHEDULED PREMIUM VARIABLE LIFE CONTRACTS? (Y/N)
D. FLEXIBLE PREMIUM VARABLES LIFE CONTRACTS? (Y/N)
E. OTHER TYPES OF INSURANCE PRODUCTS REGISTERED UNDER THE
SECURITIES ACT OF 1993? (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: 1,385
119. STATE THE NUMBER OF NEW SERIES FOR WHICH THE REGISTRATION STATEMENT
UNDER THE SECURITIES ACT OF 1933 BECAME EFFECTIVE DURING THE PERIOD: 68
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): $230,816
121. STATE THE NUMBER OF SERIES FOR WHICH A CURRENT PROSPECTUS WAS IN
EXISTENCE AT THE END OF THE PERIOD: 1,217
122. STATE THE NUMBER OF EXISTING SERIES FOR WHICH ADDITIONAL UNITS WERE
REGISTERED UNDER THE SECURITIES ACT OF 1933 DURING THE CURRENT PERIOD: 0
IF FILING MORE THAN ONE PAGE 50, "X" BOX: ___
FOR PERIOD ENDING: 12/31/98
FILE NUMBER 811-2590
123. STATE THE TOTAL VALUE OF THE ADDITIONAL UNITS CONSIDERED IN ANSWERING
ITEM 122 ($000'S OMITTED): $0
124. STATE THE TOTAL VALUE OF UNITS OF PRIOR SERIES THAT WHERE PLACED IN THE
PORTFOLIOS OF SUBSEQUENT SERIES DURING THE CURRENT PERIOD (THE VALUE OF
THESE UNITS IS THE BE MEASURED ON THE DATE THEY WERE PLACED IN THE
SUBSEQUENT SERIES) ($000'S OMITTED): $0
125. STATE THE TOTAL DOLLAR AMOUNT OF SALES LOADS COLLECTED (BEFORE REALLOWANCES
TO OTHER BROKERS OF DEALERS) BY THE REGISTARANT'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): $15,229
126. OF THE AMOUNT SHOWN IN ITEM 125, STATE THE TOTAL DOLLAR AMOUNT OF SALES
LOADS COLLECTED FROM SECONDARY MARKED OPERATIONS IN REGISTRANT'S UNITS
(INCLUDE THE SALES LOADS, IF AND Y, COLLECTED ON UNITS OF A PRIOR SERIES
PLACED IN THE PORTFOLIO OF A SUBSEQUENT SERIES. )($000 OMITTED): $3,652
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>
<CAPTION>
127-3
127-1 127-2 TOTAL INCOME
NUMBER OF SERIES TOTAL ASSETS DISTRIBUTIONS
INVESTING ($000'S 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 1,385 $ 5,819,304 $ 359,467
D. PUBLIC UTILITY DEBT $ $
E. BROKERS OR DEALERS DEBT
OR DEBT OF BROKER'S OR
DEALER'S 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. INVESTMENTS COMPANY EQUITY
SECURITIES $ $
J. ALL OTHER EQUITY SECURITIES $ $
K. OTHER SECURITIES $ $
L. TOTAL ASSETS OF ALL SERIES
OF REGISTRANT 1,385 $ 5,819,304 $ 359,467
</TABLE>
50
IF FILING MORE THAN ONE PAGE 51, "X" BOX: ___
FOR PERIOD ENDING: 12/31/98
FILE NUMBER 811-2590
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) N
(IF THE ANSWER IS 'N' (NO), GO TO ITEM 131.)
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) 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) N
131. TOTAL EXPENSES INCURRED BY ALL SERIES OF REGISTRANT DURING THE CURRENT
REPORTING PERIOD ($000'S OMITTED): $15,804
132. LIST ALL '811' (INVESTMENT COMPANY ACT OF 1940) REGISTRATION NUMBER FOR
ALL SERIES OF REGISTRANT THAT ARE BEING INCLUDED IN THIS FILING:
811-2590 811-2754 811-2834 811-2870 811-2962
811-4121 811-4462 811-5965 811-6451
ITEM 132: '811' NUMBER OF SERIES INCLUDED IN FILING
THIS ITEM IS TO BE USED BY ANY SERIES OF A UIT THAT HAD AN "811" NUMBER ASSIGNED
TO IT PRIOR TO SEPTEMBER 1972. FOR MORE INFORMATION REGARDING THIS ITEM, SEE THE
INSTRUCTION TO SUB-ITEM 1B
51
SIGNATURE PAGE
THIS REPORT IS SIGNED ON BEHALF OF THE REGISTRANT (OR DEPOSITOR OR TRUSTEE).
CITY OF: OAKBROOK TERRACE
STATE OF: IL
DATE: FEBRUARY 26, 1998
NAME OF REGISTRANT, DEPOSITOR, OR TRUSTEE:
VAN KAMPEN FUNDS INC. (DEPOSITOR)
BY (NAME AND TITLE):
DOMINICK COGLIANDRO, VICE PRESIDENT
52
