PRINCIPAL SPECIAL MARKETS FUND INC
NSAR-A, 1996-08-22
Previous: 3DO CO, 8-K/A, 1996-08-22
Next: SECURITY CAPITAL INDUSTRIAL TRUST, SC 13D/A, 1996-08-22



<PAGE>      PAGE  1
000 A000000 06/30/96
000 C000000 0000898745
000 D000000 N
000 E000000 NF
000 F000000 Y
000 G000000 N
000 H000000 N
000 I000000 3.0.a
000 J000000 A
001 A000000 PRINCIPAL SPECIAL MARKETS FUND, INC.
001 B000000 811-7572
001 C000000 5152475476
002 A000000 THE PRINCIPAL FINANCIAL GROUP
002 B000000 DES MOINES
002 C000000 IA
002 D010000 50392
002 D020000 0200
003  000000 N
004  000000 N
005  000000 N
006  000000 N
007 A000000 Y
007 B000000  2
007 C010100  1
007 C020100 INTERNATIONAL SECURITIES PORTFOLIO
007 C030100 N
007 C010200  2
007 C020200 MORTGAGE-BACKED SECURITIES PORTFOLIO
007 C030200 N
007 C010300  3
007 C010400  4
007 C010500  5
007 C010600  6
007 C010700  7
007 C010800  8
007 C010900  9
007 C011000 10
020 A000001 PEREGRIN BROKERAGE INC.
020 B000001 13-3580644
020 C000001      5
020 A000002 W. I. CARR (AMERICA) LTD.
020 B000002 13-2927466
020 C000002      4
020 A000003 NATWEST SECURITIES CORP.
020 B000003 13-3312778
020 C000003      3
020 A000004 SALOMON BROTHERS
020 B000004 13-3082694
020 C000004      2
020 A000005 CREDIT LYONNAIS SECURITIES (USA) INC.
020 B000005 13-2602298
<PAGE>      PAGE  2
020 C000005      2
020 A000006 HYUNDAI SECURITIES CO.
020 B000006 13-3848457
020 C000006      1
020 A000007 DEUTSCHE BANK CAPITAL, NY
020 B000007 13-6124068
020 C000007      1
020 A000008 PETERS & CO.
020 B000008 FOREIGN
020 C000008      1
020 A000009 BAIN SECURITIES
020 B000009 13-3217675
020 C000009      1
020 A000010 FIRST BOSTON CORP.
020 B000010 13-5659485
020 C000010      1
021  000000       24
022 A000001 FIRST CHICAGO CAPITAL MARKETS
022 B000001 36-3595942
022 C000001     42786
022 D000001         0
022 A000002 ASSOCIATES CORP. OF NORTH AMERICA
022 B000002 74-1494554
022 C000002     19736
022 D000002         0
022 A000003 GENERAL ELECTRIC CAPITAL CORP.
022 B000003 13-1500700
022 C000003      3804
022 D000003         0
022 A000004 MERRILL LYNCH
022 B000004 13-5674085
022 C000004      2825
022 D000004       407
022 A000005 MORGAN STANLEY & CO.
022 B000005 13-2655998
022 C000005         0
022 D000005      2000
022 A000006 GENERAL ELECTRIC CO.
022 B000006 42-1192999
022 C000006      1490
022 D000006         0
022 A000007 STEPHENS INC.
022 B000007 71-0641478
022 C000007       949
022 D000007       472
022 A000008 HOUSEHOLD FINANCE CORP.
022 B000008 36-1239445
022 C000008       685
022 D000008         0
022 A000009 PRUDENTIAL FUNDING CORP.
022 B000009 22-2231168
<PAGE>      PAGE  3
022 C000009       360
022 D000009         0
022 A000010 AMERICAN EXPRESS CREDIT CORP.
022 B000010 11-1988350
022 C000010       350
022 D000010         0
023 C000000      73446
023 D000000       2901
027  000000 Y
077 A000000 N
028 A010100         0
028 A020100       272
028 A030100         0
028 A040100         0
028 B010100         0
028 B020100         0
028 B030100         0
028 B040100         0
028 C010100         0
028 C020100         0
028 C030100         0
028 C040100         0
028 D010100         0
028 D020100         0
028 D030100         0
028 D040100       203
028 E010100         0
028 E020100         0
028 E030100         0
028 E040100         0
028 F010100         0
028 F020100         0
028 F030100         0
028 F040100         0
028 G010100         0
028 G020100       272
028 G030100         0
028 G040100       203
028 H000100         0
055 A000100 N
055 B000100 N
062 A000100 N
062 B000100   0.0
062 C000100   0.0
062 D000100   0.0
062 E000100   0.0
062 F000100   0.0
062 G000100   0.0
062 H000100   0.0
062 I000100   0.0
062 J000100   0.0
<PAGE>      PAGE  4
062 K000100   0.0
062 L000100   0.0
062 M000100   0.0
062 N000100   0.0
062 O000100   0.0
062 P000100   0.0
062 Q000100   0.0
062 R000100   0.0
063 A000100   0
063 B000100  0.0
066 A000100 Y
066 B000100 N
066 C000100 N
066 D000100 Y
066 E000100 N
066 F000100 N
066 G000100 N
067  000100 N
068 A000100 N
068 B000100 Y
069  000100 N
071 A000100      2375
071 B000100      2382
071 C000100     18125
071 D000100   13
072 A000100  6
072 B000100       16
072 C000100      328
072 D000100        0
072 E000100        0
072 F000100       82
072 G000100        0
072 H000100        0
072 I000100        0
072 J000100        0
072 K000100        0
072 L000100        0
072 M000100        0
072 N000100        0
072 O000100        0
072 P000100        0
072 Q000100        0
072 R000100        0
072 S000100        0
072 T000100        0
072 U000100        0
072 V000100        0
072 W000100        0
072 X000100       82
072 Y000100        0
072 Z000100      262
<PAGE>      PAGE  5
072AA000100      469
072BB000100        0
072CC010100     1492
072CC020100        0
072DD010100       64
072DD020100        0
072EE000100      276
073 A010100   0.0432
073 A020100   0.0000
073 B000100   0.1869
073 C000100   0.0000
074 A000100       19
074 B000100        0
074 C000100      435
074 D000100      213
074 E000100      124
074 F000100    18560
074 G000100        0
074 H000100        0
074 I000100        0
074 J000100        0
074 K000100        0
074 L000100       68
074 M000100        0
074 N000100    19419
074 O000100      197
074 P000100        0
074 Q000100        0
074 R010100        0
074 R020100        0
074 R030100        0
074 R040100       17
074 S000100        0
074 T000100    19205
074 U010100     1481
074 U020100        0
074 V010100    12.97
074 V020100     0.00
074 W000100   0.0000
074 X000100       13
074 Y000100        0
075 A000100        0
075 B000100    18402
076  000100     0.00
015 A000201 BANK OF NEW YORK
015 B000201 C
015 C010201 NEW YORK
015 C020201 NY
015 C030201 10286
015 E010201 X
028 A010200         0
<PAGE>      PAGE  6
028 A020200        63
028 A030200         0
028 A040200         0
028 B010200         0
028 B020200        73
028 B030200         0
028 B040200         0
028 C010200         0
028 C020200        63
028 C030200         0
028 C040200         0
028 D010200         0
028 D020200        62
028 D030200         0
028 D040200         0
028 E010200         0
028 E020200        68
028 E030200         0
028 E040200         0
028 F010200         0
028 F020200        61
028 F030200         0
028 F040200         0
028 G010200         0
028 G020200       390
028 G030200         0
028 G040200         0
028 H000200         0
055 A000200 N
055 B000200 N
062 A000200 Y
062 B000200   0.0
062 C000200   1.7
062 D000200   0.0
062 E000200   0.0
062 F000200   0.0
062 G000200   0.0
062 H000200   0.0
062 I000200   0.0
062 J000200   0.0
062 K000200   0.0
062 L000200   0.0
062 M000200   0.0
062 N000200  97.8
062 O000200   0.0
062 P000200   0.0
062 Q000200   0.0
062 R000200   0.5
063 A000200   0
063 B000200 27.4
064 A000200 Y
<PAGE>      PAGE  7
064 B000200 N
066 A000200 N
071 A000200      3930
071 B000200      3574
071 C000200     14016
071 D000200   26
072 A000200  6
072 B000200      492
072 C000200        0
072 D000200        0
072 E000200        0
072 F000200       32
072 G000200        0
072 H000200        0
072 I000200        0
072 J000200        0
072 K000200        0
072 L000200        0
072 M000200        0
072 N000200        0
072 O000200        0
072 P000200        0
072 Q000200        0
072 R000200        0
072 S000200        0
072 T000200        0
072 U000200        0
072 V000200        0
072 W000200        0
072 X000200       32
072 Y000200        0
072 Z000200      460
072AA000200        0
072BB000200       25
072CC010200        0
072CC020200      646
072DD010200      460
072DD020200        0
072EE000200        0
073 A010200   0.3239
073 A020200   0.0000
073 B000200   0.0000
073 C000200   0.0000
074 A000200        2
074 B000200        0
074 C000200      245
074 D000200    13931
074 E000200        0
074 F000200        0
074 G000200        0
074 H000200        0
<PAGE>      PAGE  8
074 I000200        0
074 J000200        0
074 K000200        0
074 L000200       81
074 M000200        0
074 N000200    14259
074 O000200        0
074 P000200        0
074 Q000200        0
074 R010200        0
074 R020200        0
074 R030200        0
074 R040200       18
074 S000200        0
074 T000200    14241
074 U010200     1467
074 U020200        0
074 V010200     9.71
074 V020200     0.00
074 W000200   0.0000
074 X000200        2
074 Y000200     4025
075 A000200        0
075 B000200    14261
076  000200     0.00
SIGNATURE   A. S. FILEAN                                 
TITLE       VICE PRESIDENT      
 

WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.

<TABLE> <S> <C>

<ARTICLE> 6
       
<S>                             <C>
<PERIOD-TYPE>                   6-MOS
<FISCAL-YEAR-END>                          DEC-31-1996
<PERIOD-END>                               JUN-30-1996
<INVESTMENTS-AT-COST>                       16,025,969
<INVESTMENTS-AT-VALUE>                      19,331,706
<RECEIVABLES>                                   67,964
<ASSETS-OTHER>                                     406
<OTHER-ITEMS-ASSETS>                            19,218
<TOTAL-ASSETS>                              19,419,294
<PAYABLE-FOR-SECURITIES>                       196,799
<SENIOR-LONG-TERM-DEBT>                              0
<OTHER-ITEMS-LIABILITIES>                       17,691
<TOTAL-LIABILITIES>                            214,490
<SENIOR-EQUITY>                                      0
<PAID-IN-CAPITAL-COMMON>                    15,255,258
<SHARES-COMMON-STOCK>                        1,480,955
<SHARES-COMMON-PRIOR>                        1,474,162
<ACCUMULATED-NII-CURRENT>                      174,240
<OVERDISTRIBUTION-NII>                               0
<ACCUMULATED-NET-GAINS>                        469,564
<OVERDISTRIBUTION-GAINS>                             0
<ACCUM-APPREC-OR-DEPREC>                     3,305,742
<NET-ASSETS>                                19,204,804
<DIVIDEND-INCOME>                              328,422
<INTEREST-INCOME>                               16,240
<OTHER-INCOME>                                       0
<EXPENSES-NET>                                (82,496)
<NET-INVESTMENT-INCOME>                        262,166
<REALIZED-GAINS-CURRENT>                       469,496
<APPREC-INCREASE-CURRENT>                    1,491,638
<NET-CHANGE-FROM-OPS>                        2,223,300
<EQUALIZATION>                                       0
<DISTRIBUTIONS-OF-INCOME>                     (63,684)
<DISTRIBUTIONS-OF-GAINS>                     (275,521)
<DISTRIBUTIONS-OTHER>                                0
<NUMBER-OF-SHARES-SOLD>                              0
<NUMBER-OF-SHARES-REDEEMED>                   (16,274)
<SHARES-REINVESTED>                             23,067
<NET-CHANGE-IN-ASSETS>                       1,953,670
<ACCUMULATED-NII-PRIOR>                       (97,960)
<ACCUMULATED-GAINS-PRIOR>                      294,307
<OVERDISTRIB-NII-PRIOR>                              0
<OVERDIST-NET-GAINS-PRIOR>                           0
<GROSS-ADVISORY-FEES>                           82,496
<INTEREST-EXPENSE>                                   0
<GROSS-EXPENSE>                                 82,496
<AVERAGE-NET-ASSETS>                        18,463,140
<PER-SHARE-NAV-BEGIN>                            11.70
<PER-SHARE-NII>                                    .07
<PER-SHARE-GAIN-APPREC>                           1.20
<PER-SHARE-DIVIDEND>                                 0
<PER-SHARE-DISTRIBUTIONS>                            0
<RETURNS-OF-CAPITAL>                                 0
<PER-SHARE-NAV-END>                              12.97
<EXPENSE-RATIO>                                    .90
<AVG-DEBT-OUTSTANDING>                               0
<AVG-DEBT-PER-SHARE>                                 0
        


</TABLE>

<TABLE> <S> <C>

<ARTICLE> 6
       
<S>                             <C>
<PERIOD-TYPE>                   6-MOS
<FISCAL-YEAR-END>                          DEC-31-1996
<PERIOD-END>                               JUN-30-1996
<INVESTMENTS-AT-COST>                       14,694,025
<INVESTMENTS-AT-VALUE>                      14,175,516
<RECEIVABLES>                                   80,717
<ASSETS-OTHER>                                     326
<OTHER-ITEMS-ASSETS>                             2,292
<TOTAL-ASSETS>                              14,258,851
<PAYABLE-FOR-SECURITIES>                             0
<SENIOR-LONG-TERM-DEBT>                              0
<OTHER-ITEMS-LIABILITIES>                       17,630
<TOTAL-LIABILITIES>                             17,630
<SENIOR-EQUITY>                                      0
<PAID-IN-CAPITAL-COMMON>                    15,860,203
<SHARES-COMMON-STOCK>                        1,467,037
<SHARES-COMMON-PRIOR>                        1,427,438
<ACCUMULATED-NII-CURRENT>                            0
<OVERDISTRIBUTION-NII>                               0
<ACCUMULATED-NET-GAINS>                    (1,100,473)
<OVERDISTRIBUTION-GAINS>                             0
<ACCUM-APPREC-OR-DEPREC>                     (518,509)
<NET-ASSETS>                                14,241,221
<DIVIDEND-INCOME>                                    0
<INTEREST-INCOME>                              492,030
<OTHER-INCOME>                                       0
<EXPENSES-NET>                                (31,809)
<NET-INVESTMENT-INCOME>                        460,221
<REALIZED-GAINS-CURRENT>                      (25,440)
<APPREC-INCREASE-CURRENT>                    (646,085)
<NET-CHANGE-FROM-OPS>                        (211,304)
<EQUALIZATION>                                       0
<DISTRIBUTIONS-OF-INCOME>                    (460,221)
<DISTRIBUTIONS-OF-GAINS>                             0
<DISTRIBUTIONS-OTHER>                                0
<NUMBER-OF-SHARES-SOLD>                              0
<NUMBER-OF-SHARES-REDEEMED>                          0
<SHARES-REINVESTED>                             39,599
<NET-CHANGE-IN-ASSETS>                       (281,827)
<ACCUMULATED-NII-PRIOR>                              0
<ACCUMULATED-GAINS-PRIOR>                  (1,075,033)
<OVERDISTRIB-NII-PRIOR>                              0
<OVERDIST-NET-GAINS-PRIOR>                           0
<GROSS-ADVISORY-FEES>                           31,809
<INTEREST-EXPENSE>                                   0
<GROSS-EXPENSE>                                 31,809
<AVERAGE-NET-ASSETS>                        14,251,883
<PER-SHARE-NAV-BEGIN>                            10.17
<PER-SHARE-NII>                                    .32
<PER-SHARE-GAIN-APPREC>                          (.46)
<PER-SHARE-DIVIDEND>                             (.32)
<PER-SHARE-DISTRIBUTIONS>                            0
<RETURNS-OF-CAPITAL>                                 0
<PER-SHARE-NAV-END>                               9.71
<EXPENSE-RATIO>                                    .45
<AVG-DEBT-OUTSTANDING>                               0
<AVG-DEBT-PER-SHARE>                                 0
        


</TABLE>


© 2022 IncJournal is not affiliated with or endorsed by the U.S. Securities and Exchange Commission