PRINCIPAL SPECIAL MARKETS FUND INC
NSAR-A, 1997-08-11
Previous: GEON CO, SC 13G/A, 1997-08-11
Next: PACIFIC RIM ENTERTAINMENT INC, 10QSB, 1997-08-11



<PAGE>      PAGE  1
000 A000000 06/30/97
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 811-07572
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      7
020 A000002 UBS SECURITIES LLC
020 B000002 13-2932996
020 C000002      5
020 A000003 MERRILL LYNCH
020 B000003 13-5674085
020 C000003      4
020 A000004 J. B. WERE & SONS
020 B000004 13-3077027
020 C000004      3
020 A000005 JAMES CAPEL INC.
020 B000005 52-1348224
<PAGE>      PAGE  2
020 C000005      3
020 A000006 DEUTSCHE MORGAN GRENFELL
020 B000006 13-2730828
020 C000006      2
020 A000007 HG ASIA-SMITH BARNEY INC.
020 B000007 13-3781330
020 C000007      2
020 A000008 CREDIT SUISSE FIRST BOSTON CORP.
020 B000008 13-5659485
020 C000008      2
020 A000009 CARNEGIE, INC.
020 B000009 13-3392829
020 C000009      2
020 A000010 ROBERT FLEMING
020 B000010 13-3298866
020 C000010      2
021  000000       52
022 A000001 ASSOCIATES CORP. OF NORTH AMERICA
022 B000001 74-1494554
022 C000001     62321
022 D000001         0
022 A000002 GENERAL ELECTRIC CAPITAL CORP.
022 B000002 13-1500700
022 C000002     46900
022 D000002         0
022 A000003 FIRST CHICAGO CAPITAL MARKETS
022 B000003 36-3595942
022 C000003     50525
022 D000003         0
022 A000004 MERRILL LYNCH MONEY MARKET SEC.
022 B000004 13-2761776
022 C000004      4652
022 D000004         0
022 A000005 AMERICAN GENERAL CORP.
022 B000005 42-1292293
022 C000005      4244
022 D000005         0
022 A000006 GENERAL ELECTRIC CO.
022 B000006 42-1192999
022 C000006      3169
022 D000006         0
022 A000007 COMOLOCO INC.
022 B000007 66-0384086
022 C000007      1939
022 D000007         0
022 A000008 CHEVRON OIL FINANCE CO.
022 B000008 25-1215010
022 C000008      1688
022 D000008         0
022 A000009 A. G. EDWARDS
022 B000009 43-0895447
<PAGE>      PAGE  3
022 C000009      1531
022 D000009         0
022 A000010 FORD MOTOR CREDIT CO.
022 B000010 38-1612444
022 C000010      1498
022 D000010         0
023 C000000     182309
023 D000000        607
027  000000 Y
077 A000000 N
028 A010100         0
028 A020100         0
028 A030100         0
028 A040100         0
028 B010100         0
028 B020100        61
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         0
028 E010100         0
028 E020100         0
028 E030100         0
028 E040100         0
028 F010100      4011
028 F020100         0
028 F030100         0
028 F040100        15
028 G010100      4011
028 G020100        61
028 G030100         0
028 G040100        15
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
070 A010100 Y
070 A020100 N
070 B010100 Y
070 B020100 N
070 C010100 Y
070 C020100 N
070 D010100 Y
070 D020100 N
070 E010100 Y
070 E020100 N
070 F010100 Y
070 F020100 N
070 G010100 Y
070 G020100 N
070 H010100 Y
070 H020100 N
070 I010100 N
070 I020100 N
070 J010100 Y
070 J020100 Y
070 K010100 Y
070 K020100 N
070 L010100 Y
070 L020100 Y
070 M010100 Y
070 M020100 Y
070 N010100 Y
070 N020100 N
070 O010100 N
070 O020100 N
<PAGE>      PAGE  5
070 P010100 N
070 P020100 N
070 Q010100 N
070 Q020100 N
070 R010100 Y
070 R020100 N
071 A000100      9557
071 B000100      6073
071 C000100     29767
071 D000100   20
072 A000100  6
072 B000100       44
072 C000100      486
072 D000100        0
072 E000100        0
072 F000100      135
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      135
072 Y000100        0
072 Z000100      395
072AA000100      544
072BB000100        0
072CC010100     4366
072CC020100        0
072DD010100        5
072DD020100        0
072EE000100       96
073 A010100   0.0022
073 A020100   0.0000
073 B000100   0.0465
073 C000100   0.0000
074 A000100       26
074 B000100        0
074 C000100     2525
074 D000100      291
<PAGE>      PAGE  6
074 E000100      190
074 F000100    35712
074 G000100        0
074 H000100        0
074 I000100        0
074 J000100       49
074 K000100        0
074 L000100      138
074 M000100        1
074 N000100    38932
074 O000100     1494
074 P000100        0
074 Q000100        0
074 R010100        0
074 R020100        0
074 R030100        0
074 R040100       15
074 S000100        0
074 T000100    37423
074 U010100     2317
074 U020100        0
074 V010100    16.15
074 V020100     0.00
074 W000100   0.0000
074 X000100        6
074 Y000100        0
075 A000100        0
075 B000100    30770
076  000100     0.00
028 A010200         0
028 A020200         0
028 A030200         0
028 A040200         0
028 B010200         0
028 B020200        70
028 B030200         0
028 B040200         0
028 C010200         0
028 C020200        67
028 C030200         0
028 C040200         0
028 D010200         0
028 D020200        64
028 D030200         0
028 D040200         0
028 E010200         0
028 E020200        68
028 E030200         0
028 E040200         0
028 F010200         0
028 F020200       135
<PAGE>      PAGE  7
028 F030200         0
028 F040200         0
028 G010200         0
028 G020200       404
028 G030200         0
028 G040200         0
028 H000200         0
055 A000200 N
055 B000200 N
062 A000200 Y
062 B000200   0.0
062 C000200   0.0
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  97.2
062 O000200   0.0
062 P000200   0.0
062 Q000200   0.0
062 R000200   2.8
063 A000200   0
063 B000200 27.2
064 A000200 Y
066 A000200 N
067  000200 N
068 A000200 N
068 B000200 N
069  000200 N
071 A000200      1057
071 B000200       693
071 C000200     14725
071 D000200    5
072 A000200  6
072 B000200      515
072 C000200        0
072 D000200        0
072 E000200        0
072 F000200       33
072 G000200        0
072 H000200        0
072 I000200        0
072 J000200        0
072 K000200        0
072 L000200        0
<PAGE>      PAGE  8
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       33
072 Y000200        0
072 Z000200      482
072AA000200        0
072BB000200        0
072CC010200       65
072CC020200        0
072DD010200      482
072DD020200        0
072EE000200        0
073 A010200   0.3161
073 A020200   0.0000
073 B000200   0.0000
073 C000200   0.0000
074 A000200      360
074 B000200        0
074 C000200        0
074 D000200    15003
074 E000200        0
074 F000200        0
074 G000200        0
074 H000200        0
074 I000200        0
074 J000200        0
074 K000200        0
074 L000200       85
074 M000200        8
074 N000200    15456
074 O000200        0
074 P000200        0
074 Q000200        0
074 R010200        0
074 R020200        0
074 R030200        0
074 R040200       19
074 S000200        0
074 T000200    15437
074 U010200     1549
074 U020200        0
074 V010200     9.97
<PAGE>      PAGE  9
074 V020200     0.00
074 W000200   0.0000
074 X000200        2
074 Y000200     4043
075 A000200        0
075 B000200    15034
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-31-1997
<PERIOD-END>                               JUN-30-1997
<INVESTMENTS-AT-COST>                       29,234,103
<INVESTMENTS-AT-VALUE>                      38,716,990
<RECEIVABLES>                                  187,681
<ASSETS-OTHER>                                     581
<OTHER-ITEMS-ASSETS>                            26,466
<TOTAL-ASSETS>                              38,931,718
<PAYABLE-FOR-SECURITIES>                     1,493,994
<SENIOR-LONG-TERM-DEBT>                              0
<OTHER-ITEMS-LIABILITIES>                       14,918
<TOTAL-LIABILITIES>                          1,508,912
<SENIOR-EQUITY>                                      0
<PAID-IN-CAPITAL-COMMON>                    27,003,337
<SHARES-COMMON-STOCK>                        2,316,558
<SHARES-COMMON-PRIOR>                        2,059,816
<ACCUMULATED-NII-CURRENT>                      400,806
<OVERDISTRIBUTION-NII>                               0
<ACCUMULATED-NET-GAINS>                        536,818
<OVERDISTRIBUTION-GAINS>                             0
<ACCUM-APPREC-OR-DEPREC>                     9,481,845
<NET-ASSETS>                                37,422,806
<DIVIDEND-INCOME>                              486,145
<INTEREST-INCOME>                               43,857
<OTHER-INCOME>                                       0
<EXPENSES-NET>                               (135,189)
<NET-INVESTMENT-INCOME>                        394,813
<REALIZED-GAINS-CURRENT>                       544,542
<APPREC-INCREASE-CURRENT>                    4,366,192
<NET-CHANGE-FROM-OPS>                        5,305,547
<EQUALIZATION>                                       0
<DISTRIBUTIONS-OF-INCOME>                      (4,531)
<DISTRIBUTIONS-OF-GAINS>                      (95,781)
<DISTRIBUTIONS-OTHER>                                0
<NUMBER-OF-SHARES-SOLD>                        253,324
<NUMBER-OF-SHARES-REDEEMED>                      (955)
<SHARES-REINVESTED>                              4,373
<NET-CHANGE-IN-ASSETS>                       9,262,182
<ACCUMULATED-NII-PRIOR>                         10,524
<ACCUMULATED-GAINS-PRIOR>                       88,057
<OVERDISTRIB-NII-PRIOR>                              0
<OVERDIST-NET-GAINS-PRIOR>                           0
<GROSS-ADVISORY-FEES>                          135,189
<INTEREST-EXPENSE>                                   0
<GROSS-EXPENSE>                                135,189
<AVERAGE-NET-ASSETS>                        30,457,247
<PER-SHARE-NAV-BEGIN>                            13.67
<PER-SHARE-NII>                                    .17
<PER-SHARE-GAIN-APPREC>                           2.36
<PER-SHARE-DIVIDEND>                                 0
<PER-SHARE-DISTRIBUTIONS>                        (.05)
<RETURNS-OF-CAPITAL>                                 0
<PER-SHARE-NAV-END>                              16.15
<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-31-1997
<PERIOD-END>                               JUN-30-1997
<INVESTMENTS-AT-COST>                       15,128,548
<INVESTMENTS-AT-VALUE>                      15,002,700
<RECEIVABLES>                                   84,670
<ASSETS-OTHER>                                   7,690
<OTHER-ITEMS-ASSETS>                           360,647
<TOTAL-ASSETS>                              15,455,707
<PAYABLE-FOR-SECURITIES>                             0
<SENIOR-LONG-TERM-DEBT>                              0
<OTHER-ITEMS-LIABILITIES>                       18,875
<TOTAL-LIABILITIES>                             18,875
<SENIOR-EQUITY>                                      0
<PAID-IN-CAPITAL-COMMON>                    16,663,153
<SHARES-COMMON-STOCK>                        1,548,520
<SHARES-COMMON-PRIOR>                        1,507,575
<ACCUMULATED-NII-CURRENT>                            0
<OVERDISTRIBUTION-NII>                               0
<ACCUMULATED-NET-GAINS>                    (1,100,473)
<OVERDISTRIBUTION-GAINS>                             0
<ACCUM-APPREC-OR-DEPREC>                     (125,848)
<NET-ASSETS>                                15,436,832
<DIVIDEND-INCOME>                                    0
<INTEREST-INCOME>                              515,289
<OTHER-INCOME>                                       0
<EXPENSES-NET>                                (33,458)
<NET-INVESTMENT-INCOME>                        481,831
<REALIZED-GAINS-CURRENT>                             0
<APPREC-INCREASE-CURRENT>                       64,767
<NET-CHANGE-FROM-OPS>                          546,598
<EQUALIZATION>                                       0
<DISTRIBUTIONS-OF-INCOME>                    (481,831)
<DISTRIBUTIONS-OF-GAINS>                             0
<DISTRIBUTIONS-OTHER>                                0
<NUMBER-OF-SHARES-SOLD>                              0
<NUMBER-OF-SHARES-REDEEMED>                          0
<SHARES-REINVESTED>                             40,945
<NET-CHANGE-IN-ASSETS>                         468,574
<ACCUMULATED-NII-PRIOR>                              0
<ACCUMULATED-GAINS-PRIOR>                  (1,100,473)
<OVERDISTRIB-NII-PRIOR>                              0
<OVERDIST-NET-GAINS-PRIOR>                           0
<GROSS-ADVISORY-FEES>                           33,458
<INTEREST-EXPENSE>                                   0
<GROSS-EXPENSE>                                 33,458
<AVERAGE-NET-ASSETS>                        15,040,893
<PER-SHARE-NAV-BEGIN>                             9.93
<PER-SHARE-NII>                                    .32
<PER-SHARE-GAIN-APPREC>                            .04
<PER-SHARE-DIVIDEND>                             (.32)
<PER-SHARE-DISTRIBUTIONS>                            0
<RETURNS-OF-CAPITAL>                                 0
<PER-SHARE-NAV-END>                               9.97
<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