Registration of a Class of Securities — Form 8-A
Filing Table of Contents
Document/Exhibit Description Pages Size
1: 8-A12G Certificate of Incorporation 5 15K
2: EX-1 Form N-SAR Semi-Annual Report June 30, 1996 11± 30K
3: EX-2 Semi-Annual Report 12/31/95 10± 27K
4: EX-3 Proxy Statement Dated 01/27/1997 15 58K
5: EX-4.1 Certificate of Incorporation 37 70K
6: EX-4.2 By-Laws 13 23K
7: EX-5 Specimen Stock Certificate 2 7K
8: EX-6 Financial Statements Fiscal Year Ended 06/30/96 14 64K
9: EX-7 Financial Statements 20 75K
EX-1 — Form N-SAR Semi-Annual Report June 30, 1996
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EXHIBIT 1
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FORM N-SAR
SEMI-ANNUAL REPORT
FOR REGISTERED INVESTMENT COMPANIES
Report for six month period ending: / / (a)
or fiscal year ending: 06/30/96 (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: Elk Associates Funding Corporation
B. File Number: 811-3786
C. Telephone Number:212-421-2111
2. A. Street: 747 Third Avenue, 4th Floor
B. City: New York
C. State: New York
D. Zip Code: 10017 Zip Ext:
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) Y
[If answer is "Y" (Yes), complete only items 89 through 110.]
6. Is Registrant a unit investment trust (UIT?) (Y/N) N
[If answer is "Y" (Yes), complete only items 111 through 132.]
7. A. Is Registrant a series or multiple portfolio company? 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?
SMALL BUSINESS INVESTMENT COMPANIES
INVESTMENT ADVISER
89. A. / Adviser Name (if any):
B. / File number: 801 -
C. / City: State: Zip Code: Zip Ext.
/ Foreign Country: Foreign Postal Code:
89. A. / Adviser Name (if any):
B. / File number: 801 -
C. / City: State: Zip Code: Zip Ext.
/ Foreign Country: Foreign Postal Code:
TRANSFER AGENT
90. A. / Transfer Agent Name (if any):
B. / File number:
C. / City: State: Zip Code: Zip Ext.
/ Foreign Country: Foreign Postal Code:
90. A. / Transfer Agent Name (if any):
B. / File number: -
C. / City: State: Zip Code: Zip Ext.
/ Foreign Country: Foreign Postal Code:
INDEPENDENT PUBLIC ACCOUNTANT
91. A. / Accountant Name:
B. / City: State: Zip Code: Zip Ext.
/ Foreign Country: Foreign Postal Code:
91. A. / Accountant Name:
B. / City: State: Zip Code: Zip Ext.
/ Foreign Country: Foreign Postal Code:
95.Sales, repurchases, and redemptions of Registrant's securities during
the period:
Class of Security
Number of Shares Net
or Principal Consideration
Amount of Debt Received or Paid
($000's omitted) ($000's omitted)
Common Stock:
A./Sales 250 1,250
B./Repurchases
Preferred Stock:
C./Sales
D./Repurchases and redemptions 547 1,915
Debt Securities
E./Sales $ 2,040 $2,040
F./Repurchases and redemptions $ 1,986 $1,986
96. Securities of Registrant registered on a National Securities Exchange or
listed on NASDAQ;
Title of each class of securities
CUSIP or Ticker
NASDAQ No.
Symbol
A./
B./
C./
FINANCIAL INFORMATION
97. A. / How many months do the answers to items 97 and 98
cover?
12 Months
For period covered by this form
INCOME ($000's omitted)
B.Net interest income
$ 2,751
C.Net dividend income
$
D.Account maintenance fees
$
E.Net other income
$ 333
EXPENSES
F.Gross advisory fees
$ 210
G.Gross administrator(s) fees
(Negative answers allowed for 97H through 97S)
$
H.Salaries and other compensation
$
I.Shareholder servicing agent fees
$ 10
J.Custodian fees
$
K.Postage
$
L.Printing expenses
$ 7
M.Directors' fees
$ 23
N.Registration fees
$
O.Taxes
$
P.Interest
$ 1,106
Q.Bookkeeping fees paid to anyone performing this service
$ 47
R.Auditing fees
$ 46
S.Legal fees
$ 186
Expenses (Negative answers allowed on this screen for
97 T through 97W and 97Z only For period covered by this form
($000's omitted)
T.Marketing/distribution payments including payments
pursuant to a Rule 12b-1 plan $
U.Amortization of organization expenses
$
V.Shareholder meeting expenses
$
W.Other expenses $ 541
X.Total expenses
$ 2,176
Y.Expense reimbursements
$
Z.Net investment income
$ 908
AA.Realized capital gains
$
BB.Realized capital losses
$
CC.1.Net unrealized appreciation during the period
$ 0
2.Net unrealized depreciation during the period
$ 0 ***
DD.Total income dividends for which record date passed
during the period $ 0
EE.Total capital gains distributions for which period
record date passed during the period $
98. Payments per share outstanding during the entire current
period:
A. Dividends from net investment income $ .73
NOTE: show in fractions of a cent if so declared
B. Distributions of capital gains $
C. Other distributions $
NOTE: show in fractions of a cent if so declared
* Negative answer permitted in this field.
**Items 98A and 98B should be of the form mn.nnnn (where n = integer).
_____________
***Includes provision for loan recoveries of $24 leaving a remaining
reserve balance of $301.
99. Assets, liabilities, shareholders' equity:
As of the end of
current reporting
period (000's
omitted)
A.Cash
$ 1,073
B.Repurchase Agreements
$
C.Short-term debt securities other than repurchase
agreements
$23,840
D.Long-term debt securities including convertible debt
$
E.Preferred, convertible preferred and adjustable rate
preferred stock
$
F.Common stock
$
G.Options on equities
$
H.Options on all futures
$
I.Other investments Assets Acquired in Liquidation
$ 235
J.Receivables from portfolio instruments sold $
K. Receivables from affiliated persons $
L. Other receivables $ 819*
M. All other assets $ 754**
N. Total assets $ 26,721
* Includes receivables from debtors on sales of assets acquired
in satisfaction of loans of $525.
** Includes assets acquired in satisfaction of loans of $427.
As of the end of
current reporting
period (000's
omitted except for
per share
amounts and
number of
accounts)
O.Payables for portfolio instruments purchased
$
P.Amounts owned to affiliated persons
$
Q.Senior long-term debt
$ 8,858
R.All other liabilities
$ 6,962
S.Senior equity
$
T.Net assets of common shareholders
$ 10,901
U.Number of shares outstanding
$ 1,284
V.Net asset value per share (to nearest cent)
$ 8.49*
*
W.Mark-to-market net asset value per share for
money market funds only (to 4 decimals)
$ N/A**
X.Total number of shareholder accounts
$ 208
Y.Total value of assets in segregated accounts
$ N/A
100.Monthly average net assets during current
reporting period ($000's omitted)
$ 8,523
101.Market price per share at end of period
$ ***
* Net asset value per share must be of the form nnn.nn (where n = integer).
** Value must be of the form nnn.nnnn (where n = integer).
***On June 30, 1996, the closing bid quotation and the closing ask
quotation for the Common Stock, as reported by the National
Quotation Bureau, Incorporated, were 4.625 and 7.50 respectively.
****Does not include shares held in street name.
102.A.Is the Registrant filing any of the following attachments
with the current filing of Form N-SAR? N
NOTE: If answer is "Y" (Yes), mark those items below being filed
as an attachment to this form or incorporated by reference.
N
B.Matters submitted to a vote of security holders
N
C.Policies with respect to security investments
N
D.Legal proceedings
N
E.Changes in security for debt
N
F.Defaults and arrears on senior securities
N
G.Changes in control of Registrant
N
H.Terms of new or amended securities
N
I.Revaluation of assets or restatement of capital share account
N
J.Changes in Registrant's certifying accountant
N
K.Changes in accounting principles and practices
N
L.Mergers N
M. Actions required to be reported pursuant to Rule 2a-7 N
N. Transactions effected pursuant to Rule 10f-3 N
O.Information required to be filed pursuant to existing
exemptive orders
N
Attachment information (Cont. on Screen 53)
Attachment information (Cont. from Screen 52)
102.P.1.Exhibits N
2.Any information called for by instructions to sub-item 102 P2
N
3.Any information called for by instructions to sub-item 102 P3
N
103./Does the Registrant have any wholly-owned investment company
subsidiaries whose operating & financial data are consolidated
with that of Registrant in this report? (Y/N) N
[If answer is "N" (No), go to item 105]
104./List the "811" numbers and names of Registrant's wholly-owned
investment company subsidiaries consolidated in this report. NONE
811 Numbers Subsidiary Name
For period ending 6/30/96 If filing more than one
_______ Page 46, "X" box _______
File number 811-3786
________
ANNUAL SUPPLEMENT
Page 53 is to be filed only once each year at the end of
Registrant's fiscal year.
105. Fidelity bond(s) in effect at the end of period:
A_/_Insurer Name
B_/_Second Insurer
C_X_Aggregate face amount of coverage for Registrant on all
bonds on which it is named as an insured ($000's omitted)
$300
_________________________________________________________ _____
106. A_/_Is the bond part of a joint fidelity bond(s)
shared with other investment companies or other entities? ______
y/n
B_/_If the answer to 106A is "Y" (yes), how many other
investment companies or other entities are covered by the
bond?
__________________________________________________________ ______
NOTE: Count each series as a separate investment company. y/n
107. A_/_Does the mandatory coverage of the fidelity bond
have a deductible?_________________________________________ ______
y/n
B_/_If the answer to 107A is "Y" (yes), what is the
amount of the deductible? ________________________________ ______
y/n
108. A_/_ Were any claims with respect to this Registrant
filed under the bond during the period?___________________ _______
y/n
B_/_If the answer to 108A is "Y" (yes), what was the
total amount of such claim(s)?_____________________________ $_______
109. A_/_Were any losses incurred with respect to this
Registrant that could have been filed as a claim under the
fidelity bond but were not?________________________________ ______
y/n
B_/_If the answer to sub-item 109A is "Y" (yes), what
was the total amount of such losses? ($000's omitted)______ $_____
110. A_/_Are Registrant's officers and directors covered as
officers and directors of Registrant under any errors and
omissions insurance policy owned by the Registrant or any one
else?_________________________________________________________ ______
y/n
B_/_Were any claims filed under such policy during the
period with respect to Registrant?____________________________ ______
y/n
SIGNATURE PAGE TO
FORM N-SAR FOR
ELK ASSOCIATES FUNDING CORPORATION
FOR THE SIX MONTHS ENDED
JUNE 30, 1996
This report is signed on behalf of the Registrant in the City of New York
on the 28th day of AUGUST, 1996.
ELK ASSOCIATES FUNDING CORPORATION
BY: /s/ GARY C. GRANOFF
----------------------
GARY C. GRANOFF
PRESIDENT
WITNESS:
/s/ MARGARET CHANCE
--------------------
MARGARET CHANCE
SECRETARY
ELK\FORMNSAR.F96
Dates Referenced Herein and Documents Incorporated by Reference
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