SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Credit Suisse Small Cap Growth Fund Inc. – ‘NSAR-B’ for 10/31/03

On:  Tuesday, 12/30/03, at 4:07pm ET   ·   Effective:  12/30/03   ·   For:  10/31/03   ·   Accession #:  1115688-3-141   ·   File #:  811-07909

Previous ‘NSAR-B’:  ‘NSAR-B’ on 12/30/02 for 10/31/02   ·   Next:  ‘NSAR-B’ on 12/30/04 for 10/31/04   ·   Latest:  ‘NSAR-B’ on 3/29/07 for 12/12/06

Find Words in Filings emoji
 
  in    Show  and   Hints

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

12/30/03  Credit Suisse Small Cap Grow… Inc NSAR-B     10/31/03    4:23K                                    Credit Suisse Globa… Inc

Annual Report by an Investment Company   —   Form N-SAR   —   ICA’40
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: NSAR-B      Answer File                                           12     48K 
 3: EX-99.77B ACCT LTTR  Auditor Letter                                1      7K 
 4: EX-99.77C VOTES  Voting Results                                    1      6K 
 2: EX-99.77Q1 OTHR EXHB  Amendment                                    3±    12K 


‘NSAR-B’   —   Answer File




SEC Info rendering:  Data from the Answer File, which may only contain updates to a prior Form N-SAR


Form N-SAR
 
Annual Report by an Open-End Investment Company
 
Report 
 
      Registrant:   Credit Suisse Small Cap Growth FundList all N-SARs

Annual Report for the 2nd-half period ended at fiscal year end:  10/31/03

Were there any Answer File errors in the Filing?  None Found
Was the Answer File completed by the Registrant?  Yes

Is this an Amendment to a previous Report?  No
Is this a change to a previous Report?      No
 
Registrant 
 
 1.SEC CIK:      1026298
SEC File #:   811-07909

Telephone #:  800-927-2874
 
 2.Address:      466 Lexington Avenue
              New York, NY  10017
 
 3.Is this the first Form N-SAR filed by the Registrant?  No
 
 4.Is this the final Form N-SAR filed by the Registrant?  No
 
 
Funds/Series Top of Form N-SAR 
                                                                                    
 7.Is the Registrant a Funds/Series (multiple portfolios) company?  No
 
Investment Adviser 
 
 8.1Name:         Credit Suisse Asset Management, LLC
Role:         Adviser
SEC File #:   801-37170
Location:     New York, NY
 
Administrator 
 
10.1Name:         Credit Suisse Asset Management Securities, Inc
Location:     New York, NY
 
10.2Name:         State Street Bank & Trust Co.
SEC File #:   085-500300
Location:     Boston, MA
 
Principal Underwriter 
 
11.1Name:         Credit Suisse Asset Management Securities, Inc
SEC File #:   008-32482
Location:     New York, NY
 
Shareholder Servicing/Transfer Agent 
 
12.1Name:         Boston Financial Data Services, Inc.
SEC File #:   084-00896
Location:     Quincy, MA
 
Independent Public Accountant 
 
13.1Name:         Pricewaterhousecoopers LLP
Location:     Philadelphia, PA
 
Affiliated Broker/Dealer 
 
14.1Name:         Credit Suisse Asset Mgmt Securities, Inc.
SEC File #:   008-32482
 
14.2Name:         Credit Suisse First Boston Capital, LLC
SEC File #:   008-52352
 
14.3Name:         Credit Suisse First Boston, LLC
SEC File #:   008-00422
 
14.4Name:         Credit Suisse Private Advisors
SEC File #:   008-53440
 
14.5Name:         Swiss American Securities, Inc.
SEC File #:   008-17582
 
14.6Name:         Banco Credit Suisse First Boston (Mexico), SA
 
14.7Name:         Bank Credit Suisse First Boston AO
 
14.8Name:         Bank Hofmann (Overseas) Ltd.
 
14.9Name:         Bank Hofmann AG
 
14.10Name:         Bank Leu AG
 
14.11Name:         BGP Banca Di Patrimoniale SA
 
14.12Name:         Casa de Bolsa CSFB (Mexico), S.A. de C.V.
 
14.13Name:         Clariden Bank
 
14.14Name:         Clariden Bank (Guernsey) Ltd.
 
14.15Name:         Clariden Bank & Trust (Cayman) Ltd.
 
14.16Name:         Credit Suisse
 
14.17Name:         Credit Suisse (Bahamas) Ltd.
 
14.18Name:         Credit Suisse (Deutschland) Aktiengesellschaft
 
14.19Name:         Credit Suisse (Gibraltar) Ltd.
 
14.20Name:         Credit Suisse (Guernsey) Ltd.
 
14.21Name:         Credit Suisse (Italy) S.P.A.
 
14.22Name:         Credit Suisse (Luxembourg) SA
 
14.23Name:         Credit Suisse (Monaco) S.A.M.
 
14.24Name:         Credit Suisse (U.K.) Ltd.
 
14.25Name:         Credit Suisse Fides
 
14.26Name:         Credit Suisse First Boston
 
14.27Name:         CSFB (Argentina) Trading S.A.
 
14.28Name:         Credit Suisse First Boston (Bahamas) Ltd.
 
14.29Name:         Credit Suisse First Boston (Europe) Ltd.
 
14.30Name:         CSFB (Hong Kong) Futures Ltd.
 
14.31Name:         CSFB (Hong Kong) Ltd.
 
14.32Name:         CSFB (Hong Kong) Securities Ltd.
 
14.33Name:         CSFB (India) Securities Private Ltd.
 
14.34Name:         CSFB (Singapore) Futures PTE. Ltd.
 
14.35Name:         CSFB (Singapore) Ltd.
 
14.36Name:         CSFB (Singapore) Securities PTE. Ltd.
 
14.37Name:         CSFB Australia Equities Ltd.
 
14.38Name:         CSFB Australia Ltd.
 
14.39Name:         CSFB Australia Registered Traders Pty Ltd.
 
14.40Name:         CSFB Australia Securities Ltd.
 
14.41Name:         Credit Suisse First Boston Canada, Inc.
 
14.42Name:         CSFB Distribuidora De Titulos E Valores Mobil
 
14.43Name:         Credit Suisse First Boston Equities Ltd.
 
14.44Name:         Credit Suisse First Boston International
 
14.45Name:         CSFB International (Australia) Ltd.
 
14.46Name:         CSFB SA Corretora de Titulos E Valores Mobili
 
14.47Name:         CSFB Securities (Japan) Ltd.
 
14.48Name:         CSFB Securities (Thailand) Ltd.
 
14.49Name:         CSFB Sociedad de Valores Y Bolsa S.A.
 
14.50Name:         Credit Suisse Hottinguer S.A.
 
14.51Name:         Credit Suisse Securities Ltd.
 
14.52Name:         CSFB Cayman International LDC
 
14.53Name:         DLJ Direct SFG Securities, Inc.
 
14.54Name:         General De Valores Y Cambios, Sociedad De Val
 
14.55Name:         Neue Aargauer Bank
 
Custodian 
 
15.1Name:         State Street Bank & Trust Co.
Role:         Custodian
Location:     Boston, MA

Type of custody:  Section 17(f)(1) — Bank
 
18.Does the Registrant’s/Series’ Custodian(s) maintain some or all of the
Registrant’s/Series’ securities in a central depository or book-entry
system pursuant to Rule 17f-4?  Yes
 
Family of Investment Companies 
 
19.Is the Registrant/Series part of a “family” of investment companies?  Yes

Total number of registered management investment companies, Series
and portfolios (excluding any Unit Investment Trusts) in the family:  51

The Identification Code of the family for Form N-SAR Filings:  CREDITSUI
 
Brokerage Commissions Paid on Portfolio Transactions 
 
20.The brokers who received the largest amount of gross brokerage
commissions during the period:
 
20.1Broker:       Merrill Lynch, Pierce, Fenner & Smith, Inc.
IRS #:        13-5674085
Commissions paid ($000s)16
 
20.2Broker:       Goldman Sachs & Co.
IRS #:        13-5108880
Commissions paid ($000s)15
 
20.3Broker:       Wachovia Securities, LLC.
Commissions paid ($000s)15
 
20.4Broker:       RBC Dain Rauscher, Inc.
IRS #:        13-5033225
Commissions paid ($000s)15
 
20.5Broker:       Citigroup Global Markets
IRS #:        13-1912900
Commissions paid ($000s)12
 
20.6Broker:       Investment Technology Group
IRS #:        95-4339369
Commissions paid ($000s)9
 
20.7Broker:       Lehman Brothers, Inc.
IRS #:        13-2518466
Commissions paid ($000s)8
 
20.8Broker:       Jeffries & Co., Inc.
IRS #:        95-2622900
Commissions paid ($000s)8
 
20.9Broker:       Wit Soundview Corp.
IRS #:        13-3900397
Commissions paid ($000s)7
 
20.10Broker:       Deutsche Bank Securities
IRS #:        13-2730828
Commissions paid ($000s)6
 
21.Total brokerage commissions paid by the Registrant during the period:
  Aggregate paid ($000s)202
 
Portfolio Transactions with Entities Acting as Principals 
 
22.The entities acting as principals with whom the Registrant did the
largest amount of portfolio transactions, based on total value of
principal, during the period:
 
22.1Entity:       State Street Bank & Trust Co.
IRS #:        04-1867445
Registrant’s purchases ($000s)759,639
 
22.2Entity:       JP Morgan Chase & Co., Inc.
IRS #:        13-3224016
Registrant’s purchases ($000s)729
 
22.3Entity:       Bear Stearns & Co., Inc.
IRS #:        13-3299429
Registrant’s purchases ($000s)515
 
22.4Entity:       Citigroup Global Markets, Inc.
IRS #:        13-1912900
Registrant’s purchases ($000s)413
 
22.5Entity:       SG Cowen Securities Corp.
IRS #:        13-5616116
Registrant’s purchases ($000s)375
 
22.6Entity:       Adams Harkness & Hill, Inc.
Registrant’s purchases ($000s)310
 
22.7Entity:       UBS Warburg LLC.
IRS #:        13-3873456
Registrant’s purchases ($000s)107
 
22.8Entity:       Deutsche Bank Securities, Inc.
IRS #:        13-2730828
Registrant’s purchases ($000s)74
 
22.9Entity:       Goldman Sachs & Co.
IRS #:        13-5108880
Registrant’s purchases ($000s)51
 
22.10Entity:       First Albany Corp.
Registrant’s purchases ($000s)4
 
23.Total purchase/sale transactions by the Registrant during the period:
   Aggregate purchases ($000s)762,217
 
Holdings of Securities Issued by Registrant’s/Series’ Brokers or Dealers 
 
24.At period end, did the Registrant/Series hold any securities of the
Registrant’s/Series’ regular brokers or dealers, or of the parents of
such brokers or dealers, that derive more than 15% of gross revenue from
securities-related activities?  Yes

25.

The brokers or dealers, or their parents (issuers):
 
25.1Name:         State Street Bank & Co.
IRS #:        04-1867445
Type of security owned:  Debt
Value of securities owned at period end ($000s)4,412
 
25.2Name:         (See a prior Form N-SAR for who was...)  Deleted
 
25.3Name:         (See a prior Form N-SAR for who was...)  Deleted
 
Considerations which Affected the Participation of Brokers or Dealers 
 
26.Considerations which affected the participation of brokers or dealers or
other entities in commissions or other compensation paid on portfolio
transactions of the Registrant:

Consideration?
Sales of the Registrant’s/Series’ shares ...............................  No
Receipt of investment research and statistical info ....................  Yes
Receipt of quotations for portfolio valuations .........................  No
Ability to execute portfolio transactions to obtain the best price
  and execution ........................................................  Yes
Receipt of telephone line and wire services ............................  No
Broker or Dealer which is an affiliated person .........................  Yes
An arrangement to return or credit part or all of commissions or
  profits thereon...
    To an Investment Adviser or Principal Underwriter, or to an
      affiliated person of either ......................................  No
    To the Registrant ..................................................  No
Other ..................................................................  No
 
Investment Company Type 
 
27.Is the Registrant an “open-end” investment company?  Yes, Open-End
 
Sales and Repurchases 
 
28.Monthly total Net Asset Value (NAV) of sales and repurchases of the
Registrant’s/Series’ shares:
 
1st Month of period:  ($000s)
    Total NAV of shares sold:
      New sales (including exchanges) ............................
2,765
      Reinvestment of dividends and distributions ................
      Other ......................................................
    Total NAV of shares redeemed & repurchased (inc. exchanges) .. 1,731
2nd Month:
    Total NAV of shares sold:
      New sales (including exchanges) ............................
4,069
      Reinvestment of dividends and distributions ................
      Other ......................................................
    Total NAV of shares redeemed & repurchased (inc. exchanges) .. 2,392
3rd Month:
    Total NAV of shares sold:
      New sales (including exchanges) ............................
3,614
      Reinvestment of dividends and distributions ................
      Other ......................................................
    Total NAV of shares redeemed & repurchased (inc. exchanges) .. 1,512
4th Month:
    Total NAV of shares sold:
      New sales (including exchanges) ............................
4,883
      Reinvestment of dividends and distributions ................
      Other ......................................................
    Total NAV of shares redeemed & repurchased (inc. exchanges) .. 892
5th Month:
    Total NAV of shares sold:
      New sales (including exchanges) ............................
4,518
      Reinvestment of dividends and distributions ................
      Other ......................................................
    Total NAV of shares redeemed & repurchased (inc. exchanges) .. 2,450
6th Month:
    Total NAV of shares sold:
      New sales (including exchanges) ............................
7,520
      Reinvestment of dividends and distributions ................
      Other ......................................................
    Total NAV of shares redeemed & repurchased (inc. exchanges) .. 1,263

Total of all months:  ($000s)
    Total NAV of shares sold:
      New sales (including exchanges) ............................
27,369
      Reinvestment of dividends and distributions ................
      Other ......................................................
    Total NAV of shares redeemed & repurchased (inc. exchanges) .. 10,240

Total NAV of the Registrant’s/Series’ share sales during the period
subject to a sales load ($000s)346
 
Sales Load (Front-End or Deferred) and Fees (Redemption or Maintenance) 
 
29.Was a front-end sales load deducted from any share sales during the
period?  Yes
 
30.Total front-end sales loads collected from sales (including exchanges)
by Principal Underwriter or by any underwriter which is an affiliated
person of the Principal Underwriter, of the Registrant’s/Series’ shares
during the period ($000s)346

The maximum sales load rate in effect at period end as a percentage of
the offering price:  5.75%
The minimum sales load rate in effect at period end as a percentage of
the offering price:  0.0%
 
31.Net amount retained by the Registrant’s/Series’ Principal Underwriter or
by any underwriter or dealer which is an affiliated person of the
Principal Underwriter thereof from front-end sales loads collected from
sales of the Registrant’s/Series’ shares during the period ($000s)346

Amount by which payout by the Registrant’s/Series’ Principal Underwriter
or by any underwriter which is an affiliated person of the Principal
Underwriter thereof to persons or entities selling the
Registrant’s/Series’ shares exceeded that reported in Item 30 ($000s)0
 
32.Amount the Registrant’s/Series’ Principal Underwriter and any
underwriters or dealers which are affiliated persons of the Principal
Underwriter paid to dealers which are not affiliated persons of the
Principal Underwriter for selling the Registrant’s/Series’ shares that
were sold with a front-end sales load during the period ($000s)0
 
33.Amount paid to a captive retail sales force of the Registrant’s/Series’
Principal Underwriter or of any underwriter or dealer which is an
affiliated person of the Principal Underwriter for selling the
Registrant’s shares that were sold with a front-end sales load during
the period ($000s)0
 
34.Did the Registrant/Series impose a deferred or contingent deferred sales
load during the period?  No
 
37.Did the Registrant/Series impose a redemption fee other than a deferred
or contingent sales load during the period?  No
 
39.Were any account maintenance fees or other administrative fees imposed
directly on shareholders during the period?  Yes
 
Payment Plan for the Distribution of Fund Shares 
 
40.During the period, did the Registrant/Series have a plan of distribution
adopted pursuant to Rule 12b-1?  Yes
 
41.During the period, did the Registrant/Series use its assets directly to
make payments under the 12b-1 plan?  Yes
 
42.
For the period, the percentage of total dollars paid directly by the
Registrant/Series under the 12b-1 plan for each of the following:

Percentage of Total Amount Paid  (%)
Advertising ............................................................
Printing & mailing of prospectuses to other than current shareholders ..
Payments to underwriters ...............................................
Payments to brokers or dealers .........................................
Direct payments to sales personnel .....................................
Payments to banks and savings & loans ..................................
Other uses, including payments to its Investment Adviser separate
  from the advisory fee ................................................
Unallocated payments made for a combination of such services ...........
 
43.Total amount paid directly by the Registrant/Series pursuant to its
12b-1 plan ($000s)124
 
44.If an Investment Adviser or other affiliated person of the
Registrant/Series made unreimbursed payments pursuant to the 12b-1 plan,
the total amount of such payments ($000s)0
 
Advisory Fee 
 
45.Did the Registrant/Series have an advisory contract during the period?  Yes
 
46.Did the Registrant/Series pay more than one Investment Adviser directly
for investment advice during the period?  No
 
47.Was the Registrant’s/Series’ advisory fee based solely on a percentage
of its assets?  Yes
 
48.Fee (single rate or step rates) applied to the Registrant’s/Series’
assets based on the advisory contract:
    Single-fee rate:  1.0%
    Step-fee rates:
      For 1st $000s:  0
        Annual rate:  0.0%
 
49.Was the Registrant’s/Series’ advisory fee during the period based solely
on a percentage of its income?  No
 
50.Was the Registrant’s/Series’ advisory fee during the period based on
some combined percentage of its income and assets?  No
 
51.Was the Registrant’s/Series’ advisory fee during the period based in
whole or in part on its investment performance?  No
 
52.Was the Registrant’s/Series’ advisory fee during the period based in
whole or in part on the assets, income or performance of other
Registrants?  No
 
53.Were the expenses of the Registrant/Series limited or reduced at any
time during the period by some agreement or understanding other than by
Blue Sky Laws?  Yes

Was the limitation that applied during the period based on...
    Assets?   Yes
    Income?   No
 
54.Indicated below are whether services were supplied or paid for wholly or
in substantial part by Investment Adviser(s) or Administrator(s) in
connection with the advisory or administrative contract(s) but for which
the Adviser(s) or Administrator(s) are not reimbursed by the Registrant:

Provided to the Registrant?
Occupancy and office rental ............................................  Yes
Clerical and bookkeeping services ......................................  Yes
Accounting services ....................................................  Yes
Services of independent auditors .......................................  No
Services of outside counsel ............................................  No
Registration and filing fees ...........................................  No
Stationery, supplies and printing ......................................  Yes
Salaries & compensation of Registrant’s interested Directors ...........  Yes
Salaries & compensation of Registrant’s disinterested Directors ........  No
Salaries & compensation of Registrant’s Officers who aren’t Directors ..  Yes
Reports to current shareholders ........................................  No
Determination of offering and redemption prices ........................  Yes
Trading department .....................................................  Yes
Prospectus preparation and printing for current shareholders ...........  No
Other ..................................................................  No
 
Miscellaneous Info 
 
55.Did the Registrant/Series have any of the following outstanding at any
time during the period which exceeded 1% of aggregate net assets:
    Overdrafts?  No
    Bank loans?  Yes
 
56.During the period, did the Registrant’s/Series’ Investment Adviser(s)
have advisory clients other than investment companies?  Yes
 
57.Did the Registrant/Series adjust the number of its shares outstanding by
means of a stock split or stock dividend?  No
 
Classification and Asset Allocation 
 
58.Is the Registrant/Series a Separate Account of an insurance company?  No
 
59.Is the Registrant/Series a management investment company?  Yes
 
60.Was the Registrant/Series a diversified investment company at any time
during the period?  No

Was the Registrant/Series a diversified investment company at the end of
the period?  No
 
61.The lowest minimum initial investment required by the Registrant/Series
from an investor that is not an employee or otherwise affiliated with
the Registrant/Series, its Investment Adviser, Principal Underwriter or
other affiliated entity:  $2,500
 
62.Does the Registrant/Series invest primarily in debt securities,
including convertible debt securities, options & futures on debt
securities or indices of debt securities?  No
 
66.Is the Registrant/Series a Fund that usually invests in equity
securities, options & futures on equity securities, indices of equity
securities or securities convertible into equity securities?  Yes

Which best describes its primary investment objective:

    Aggressive capital appreciation?  No
               Capital appreciation?  No
    Growth?                           Yes
    Growth and income?                No
               Income?                No
    Total return?                     No
 
67.Is the Registrant/Series a “balanced” Fund?  No
 
68.Does the Registrant/Series have more than 50% of its net assets at
period end invested in the securities of issuers...
    Engaged primarily in production or distribution of precious metals?  No
    Located primarily in countries other than the United States?  No
 
69.Is the Registrant/Series an index Fund?  No
 
Investment Practices 
 
70.Activities that are permitted by the Registrant’s/Series’ investment
policies, and which were engaged in during the period:

Activity                                            Permitted Engaged In
Writing or investing in repurchase agreements?           Yes      No
Writing or investing in options on equities?             Yes      No
Writing or investing in options on debt securities?      Yes      No
Writing or investing in options on stock indices?        Yes      No
Writing or investing in interest rate futures?           Yes      No
Writing or investing in stock index futures?             Yes      No
Writing or investing in options on futures?              Yes      No
Writing or investing in options on stock index futures?  Yes      No
Writing or investing in other commodity futures?         Yes      No
Investments in restricted securities?                    Yes      No
Investments in shares of other investment companies?     Yes      No
Investments in securities of foreign issuers?            Yes      No
Currency exchange transactions?                          Yes      No
Loaning portfolio securities?                            Yes      No
Borrowing of money?                                      Yes to both
Purchases/sales by certain exempted affiliated persons?  Yes      No
Margin purchases?                                        Yes      No
Short selling?                                           Yes      No
 
Portfolio Turnover 
 
71.Portfolio turnover rate for the period:
 
Purchases ($000s)46,904
Sales ($000s):      32,920

Monthly average Value of portfolio ($000s)47,431

Percent turnover (lesser of Purchases or Sales, divided by Value):  69%
 
Financial Info — Income and Expenses 
 
72.The number of months covered by the values in Items 72 and 73:  12

Income  ($000s)
Net interest income ..............................................
30
Net dividend income .............................................. 52
Account maintenance fees .........................................
Net other income .................................................

Expenses  ($000s)
Advisory fees ....................................................
496
Administrator fees ............................................... 85
Salaries and other compensation ..................................
Shareholder Servicing Agent fees ................................. 169
Custodian fees ................................................... 20
Postage ..........................................................
Printing expenses ................................................ 17
Directors’ fees .................................................. 19
Registration fees ................................................ 45
Taxes ............................................................
Interest ......................................................... 2
Bookkeeping fees paid to anyone performing this service ..........
Auditing fees .................................................... 21
Legal fees ....................................................... 36
Marketing/distribution payments, incl. Rule 12b-1 plan payments .. 124
Amortization of organization expenses ............................
Shareholder meeting expenses .....................................
Other expenses ................................................... 11
Total expenses ................................................... 1,045

Expense reimbursements ($000s):   351

Net investment income ($000s):    -612

Realized capital gains ($000s):   0
Realized capital losses ($000s)1,194

Net unrealized appreciation during the period ($000s)21,979
Net unrealized depreciation during the period ($000s)0

Total income dividends for which the record date passed during the
period ($000s)0

Total capital gains distributions for which the record date passed
during the period ($000s)0
 
73.Distributions per share for which the record date passed during the
period, shown in fractions of a cent, if so declared:

Dividends from net investment income:    $0.0000

Distribution of capital gains:  $0.0000
Other distributions:            $0.0000
 
Financial Info — Condensed Balance Sheet Data 
 
74.Assets  ($000s)
Cash ............................................................. 1
Repurchase agreements ............................................
Short-term debt securities, other than repurchase agreements ..... 4,412
Long-term debt securities, including convertible debt ............
Preferred, conv. preferred and adjustable-rate preferred stock ... 2
Common stock ..................................................... 73,877
Options on equities ..............................................
Options on all futures ...........................................
Other investments ................................................
Receivables from portfolio instruments sold ...................... 1,554
Receivables from affiliated persons ..............................
Other receivables ................................................ 390
All other assets ................................................. 24
Total assets ..................................................... 80,260

Liabilities  ($000s)
Payables for portfolio instruments purchased .....................
1,928
Amounts owed to affiliated persons ............................... 35
Senior long-term debt ............................................
Other liabilities:
  Reverse repurchase agreements ..................................
  Short sales ....................................................
  Written options ................................................
  All other liabilities .......................................... 141

Equity  ($000s)
Senior equity ....................................................
Net assets of common shareholders ................................ 78,156

Number of shares outstanding (000s):   4,257
Number of shares outstanding of a second class of shares (000s)51

Net Asset Value (NAV) per share (to nearest cent):  $18.14
NAV per share of a second class of shares (to nearest cent):  $18.14

Total number of shareholder accounts:  1,729

Total value of assets in segregated accounts ($000s)0
 
75.Monthly average net assets during the period ($000s)80,237
 
Additional Disclosures 
 
77.Did the Registrant file any additional Exhibits with the filing of this
Report (listed here and filed either herewith — as one of the ‘EX-99.*’
Exhibits in this Filing — or separately and incorporated by reference)?  No

EX-99.77B:  Accountant’s Report re: Internal ControlsYes

EX-99.77C:  Matters Submitted to a Vote of Security HoldersYes

EX-99.77Q1: Other DisclosureYes
 
Subsidiaries 
 
78.Does the Registrant have any wholly-owned investment company
subsidiaries whose operating and financial data are consolidated with
that of the Registrant in this Report?  No
 
Fidelity Bond in Effect at Fiscal Year End 
 
80.Insurer:      Gulf Insurance Co.
2nd Insurer:  N/A

Aggregate face amount of coverage for the Registrant/Series on all bonds
on which it is named as an insured ($000s)33,000
 
81.Is the bond part of a joint fidelity bond(s) shared with other
investment companies or other entities?  Yes

How many other investment companies or other entities are covered by the
bond (counting each Fund/Series as a separate investment company):  50
 
82.Does the mandatory coverage of the fidelity bond have a deductible?  Yes

The amount of the deductible ($000s)10
 
83.Were any claims with respect to this Registrant/Series filed under the
bond during the period?  No
 
84.Were any losses incurred with respect to this Registrant/Series that
could have been filed as a claim under the fidelity bond but were not?  No
 
85.Are the Registrant’s/Series’ Officers and Directors covered as Officers
and Directors of the Registrant/Series under any errors and omissions
insurance policy owned by the Registrant/Series or anyone else?  Yes

Were any claims filed under such policy during the period with respect
to the Registrant/Series?  No
 
 Signature  Top of Form N-SAR 
                                                                                    
/s/      Michael Pignatano      
Name:   Michael Pignatano
Title:  Treasurer

Top
Filing Submission 0001115688-03-000141   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Tue., May 14, 9:36:56.2am ET