FORM NSAR-U
SEMI-ANNUAL REPORT
FOR REGISTERED INVESTMENT COMPANIES
Report for six month period ending: / / (a)
or fiscal year ending: 12 / 31 / 1999 (b)
Is this a transition report?: (Y/N) N
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Is this an amendment to a previous filing? (Y/N) N
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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: AUL American Unit Trust
B. File Number: 811-5929
C. Telephone Number: ( 317 ) 285-1877
2. A. Street: One American Square, P.O. Box 368
B. City: Indianapolis C. State: IN D. Zip Code:46206 Zip Ext:0368
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) 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?____________
SCREEN NUMBER: 01 PAGE NUMBER: 01 SEC2100 (S/90)
<PAGE>
For period ending 12/31/1999 If fling more then one
File number 811-5929 Page 2, "X" box: __
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 INFORMATION
BLOCK IN THE TOP RIGHT CORNER OF THE SCREENS SUBMITTED IN THIS FILING AND IN
ALL SUBSEQUENT FILINGS ON THIS FORM. THIS INFORMATION IS REQUIRED EACH TIME
THE FORM IS FILED.
Is this the
Series last fling
Number Series Name for this series?
- ------ ----------- ----------------
1 (Y/N)
(NOTE: See item D(8) of the general instructions to the form for information on
how to complete the form for series companies.)
SCREEN NUMBER: 02 PACE NUMBER: 02 SEC2100 (5/90)
<PAGE>
For period ending 12/3l/1999 If filing more than one
File number 811-5929 Page 47, "X" box:___
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:_________
SCREEN NUMBER: 55 PAGE NUMBER: 47 SEC2100 (5/90)
<PAGE>
For period ending 12/31/1999 If filing more than one
File number 811-5929 Page 48, "X" box: __
111. 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:____________
SCREEN NUMBER: 56 PAGE NUMBER:48 SEC2100(5/90)
<PAGE>
For period ending 12/31/1999 If filing more than one
File number 811-5929 Page 49, "X" box: __
116. Family of investment companies information:
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 Registrant?:
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)
118.** State the number of series existing at the end of the period that had
securities registered under the Securities Act of 1933 _______________
119.** State the number of new series for which registration statements under
the Securities Act of 1933 became effective during the period__________
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)____ $__________
121.** State the number of series for which a current prospectus was in
existence at the end of the period _____________________________________
122.** State the number of existing series for which additional units were
registered under the Securities Act of 1933 during the current period___
SCREEN NUMBER: 57 PAGE NUMBER: 49 SEC2100(5/90)
<PAGE>
For period ending 12/31/1999 If filing more than one
File number 811-5929 Page 50 "X" box: __
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).
$____________
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 loads, if any, collected on units of a prior series
placed in the portfolio of a subsequent series.) ($000's omitted).
$___________
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>
<S> <C> <C> <C>
Number of Total AssetsTotal Income
Series $000's Distributions
Investing omitted 000s omitted
A.U.S. Treasury direct issue _____________ ______ $________ $___________
B.U.S Government agency ___________________ ______ $________ $___________
C.State and municipal tax-free_____________ ______ $________ $___________
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_____ 1 $ 803,104 $___________
J.All other equity securities______________ ______ $________ $___________
K.Other securities_________________________ ______ $________ $___________
L.Total assets of all series of registrant_ ______ $ 803,104 $___________
</TABLE>
SCREEN NUMBER: 58 PAGE NUMBER: 50 SEC2100(5/90)
<PAGE>
For period ending 12/31/1999 If filing more than one
File number 811-5929 Page 51, "X" box: __
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 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) _______________________________ $5,223
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-____
SCREEN NUMBER: 59 PAGE NUMBER: 51 SEC2100 (5/90)
<PAGE>
This report is signed on behalf of the registrant in the City of Indianapolis,
State of Indiana, on the 18th day of February, 1999.
AUL AMERICAN UNIT TRUST
(Name of Registrant)
by:\s\ James W. Murphy witness: \s\ Richard A. Wacker
___________________ _____________________
James W. Murphy Richard A. Wacker
Chairman of the Board of Secretary to the Board
Directors and President, of Directors,
AUL American Series Fund AUL American Series Fund
