SEC Info - Bernstein Sanford C Fund II Inc. - ‘NSAR-A/A’ for 3/31/03

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Bernstein Sanford C Fund II Inc. – ‘NSAR-A/A’ for 3/31/03

On: Friday, 5/30/03, at 4:07pm ET · Effective: 5/30/03 · For: 3/31/03 · Accession #: 917713-3-21 · File #: 811-21034

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

 5/30/03  Bernstein Sanford C Fund II Inc.  NSAR-A/A    3/31/03    2:27K                                    Alliancebernst… Reserves

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

Document/Exhibit                   Description                      Pages   Size 

 1: NSAR-A/A    Answer File                                           19     79K 
 2: EX-99       Certification Letter                                   4±    13K

‘NSAR-A/A’ — Answer File

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

Form N-SAR

Semi-Annual Report by an Open-End Investment Company

Report
Registrant: Sanford C. Bernstein Fund II, Inc. — List all N-SARs

Semi-Annual Report (at mid-year) for the 1st-half period ended: 3/31/03

Were there any Answer File errors in the Filing? None FoundNone Found by SEC InfoNot Checked by the FilerOne or more Found by SEC Info
Was the Answer File completed by the Registrant? Yes

Is this an Amendment to a previous Report? Yes
Is this a change to a previous Report? No
Registrant
1. SEC CIK: 1166729
SEC File #: 811-21034

Telephone #: 201-319-4105
2. Address: 1345 Avenue of the Americas
New York, NY 10105
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
8.1 Name: Alliance Capital Management L.P.
Role: Adviser
SEC File #: 801-56720
Location: New York, NY
Principal Underwriter
11.1 Name: Sanford C. Bernstein & Co., LLC.
SEC File #: 008-157937
Location: New York, NY
Shareholder Servicing/Transfer Agent
12.1 Name: Equiserve Trust Co., N.A.
SEC File #: 085-11340
Location: Providence, RI
Independent Public Accountant
13.1 Name: Pricewaterhousecoopers LLP
Location: New York, NY
Custodian
15.1 Name: State Street Bank & Trust Co.
Role: Custodian
Location: Boston, MA

Type of custody: Section 17(f)(1) — Bank
15.2 Name: Citibank N.A.
Role: Sub-Custodian
Location: Buenos Aires
Argentina

Type of custody: Rule 17f-5 — Foreign Custodian
15.3 Name: Wespac Banking Corp.
Role: Sub-Custodian
Location: Sydney
Australia

Type of custody: Rule 17f-5 — Foreign Custodian
15.4 Name: Erste Bank Der Oesterreichischen Sparkassen
Role: Sub-Custodian
Location: Vienna
Austria

Type of custody: Rule 17f-5 — Foreign Custodian
15.5 Name: HSBC Bank Middle East
Role: Sub-Custodian
Location: Manama
Bahrain

Type of custody: Rule 17f-5 — Foreign Custodian
15.6 Name: Standard Chartered Bank
Role: Sub-Custodian
Location: Dhaka
Bangladesh

Type of custody: Rule 17f-5 — Foreign Custodian
15.7 Name: Fortis Bank NV-SA
Role: Sub-Custodian
Location: Brussels
Belgium

Type of custody: Rule 17f-5 — Foreign Custodian
15.8 Name: Societe Generale De Banques En Cote D’Ivoire
Role: Sub-Custodian
Location: Abidjan
Benin

Type of custody: Rule 17f-5 — Foreign Custodian
15.9 Name: Bank of Bermuda Ltd.
Role: Sub-Custodian
Location: Hamilton
Bermuda

Type of custody: Rule 17f-5 — Foreign Custodian
15.10 Name: Citibank N.A.
Role: Sub-Custodian
Location: La Paz
Bolivia

Type of custody: Rule 17f-5 — Foreign Custodian
15.11 Name: Barclays Bank of Botswana Ltd.
Role: Sub-Custodian
Location: Gaborone
Botswana

Type of custody: Rule 17f-5 — Foreign Custodian
15.12 Name: Citibank N.A.
Role: Sub-Custodian
Location: Sao Paulo
Brazil

Type of custody: Rule 17f-5 — Foreign Custodian
15.13 Name: ING Bank N.V.
Role: Sub-Custodian
Location: Sofia
Bulgaria

Type of custody: Rule 17f-5 — Foreign Custodian
15.14 Name: Societe Generale De Banques En Cote D’Ivoire
Role: Sub-Custodian
Location: Abidjan
Burkina Faso

Type of custody: Rule 17f-5 — Foreign Custodian
15.15 Name: State Street Trust Co. Canada
Role: Sub-Custodian
Location: Toronto
Canada

Type of custody: Rule 17f-5 — Foreign Custodian
15.16 Name: Bank of Nova Scotia Trust Co. (Cayman) Ltd.
Role: Sub-Custodian
Location: Grand Cayman
Cayman Islands

Type of custody: Rule 17f-5 — Foreign Custodian
15.17 Name: Bankboston N.A.
Role: Sub-Custodian
Location: Santiago
Chile

Type of custody: Rule 17f-5 — Foreign Custodian
15.18 Name: The Hongkong & Shanghai Banking Corp. Ltd.
Role: Sub-Custodian
Location: Shanghai
China

Type of custody: Rule 17f-5 — Foreign Custodian
15.19 Name: The Hongkong & Shanghai Banking Corp. Ltd.
Role: Sub-Custodian
Location: Shenzhen
China

Type of custody: Rule 17f-5 — Foreign Custodian
15.20 Name: Cititrust Colombia S.A. Sociedad Fiduciaria
Role: Sub-Custodian
Location: Bogota
Colombia

Type of custody: Rule 17f-5 — Foreign Custodian
15.21 Name: Banco BCT S.A.
Role: Sub-Custodian
Location: San Jose
Costa Rica

Type of custody: Rule 17f-5 — Foreign Custodian
15.22 Name: Privredna Banka Zagreb D.D.
Role: Sub-Custodian
Location: Zagreb
Croatia

Type of custody: Rule 17f-5 — Foreign Custodian
15.23 Name: Cyprus Popular Bank Ltd.
Role: Sub-Custodian
Location: Nicosia
Cyprus

Type of custody: Rule 17f-5 — Foreign Custodian
15.24 Name: Ceskoslovenska Obchodni Banka A.S.
Role: Sub-Custodian
Location: Prague
Czech Republic

Type of custody: Rule 17f-5 — Foreign Custodian
15.25 Name: Danske Bank A/S
Role: Sub-Custodian
Location: Copenhagen
Denmark

Type of custody: Rule 17f-5 — Foreign Custodian
15.26 Name: Citibank N.A.
Role: Sub-Custodian
Location: Quito
Ecuador

Type of custody: Rule 17f-5 — Foreign Custodian
15.27 Name: HSBC Bank Egypt S.A.E.
Role: Sub-Custodian
Location: Cairo
Egypt

Type of custody: Rule 17f-5 — Foreign Custodian
15.28 Name: Hansapank (Hansabank)
Role: Sub-Custodian
Location: Tallinn
Estonia

Type of custody: Rule 17f-5 — Foreign Custodian
15.29 Name: Euroclear
Role: Sub-Custodian
Location: Brussels
Euroclear

Type of custody: Rule 17f-5 — Foreign Custodian
15.30 Name: Nordea Bank Finland plc
Role: Sub-Custodian
Location: Helsinki
Finland

Type of custody: Rule 17f-5 — Foreign Custodian
15.31 Name: BNP Paribas Securities Services, S.A.
Role: Sub-Custodian
Location: Paris
France

Type of custody: Rule 17f-5 — Foreign Custodian
15.32 Name: Deutsche Bank AG
Role: Sub-Custodian
Location: Frankfurt
Germany

Type of custody: Rule 17f-5 — Foreign Custodian
15.33 Name: BNP Paribas Securities Services, S.A.
Role: Sub-Custodian
Location: Frankfurt
Germany

Type of custody: Rule 17f-5 — Foreign Custodian
15.34 Name: Barclays Bank of Ghana Ltd.
Role: Sub-Custodian
Location: Accra
Ghana

Type of custody: Rule 17f-5 — Foreign Custodian
15.35 Name: National Bank of Greece S.A.
Role: Sub-Custodian
Location: Athens
Greece

Type of custody: Rule 17f-5 — Foreign Custodian
15.36 Name: Societe Generale De Banques En Cote D’Ivoire
Role: Sub-Custodian
Location: Abidjan
Guinea-Bissau

Type of custody: Rule 17f-5 — Foreign Custodian
15.37 Name: Standard Chartered Bank
Role: Sub-Custodian
Location: Hong Kong
Hong Kong

Type of custody: Rule 17f-5 — Foreign Custodian
15.38 Name: HVB Bank Hungary Rt.
Role: Sub-Custodian
Location: Budapest
Hungary

Type of custody: Rule 17f-5 — Foreign Custodian
15.39 Name: Icebank Ltd.
Role: Sub-Custodian
Location: Reykjavik
Iceland

Type of custody: Rule 17f-5 — Foreign Custodian
15.40 Name: The Hongkong & Shanghai Banking Corp. Ltd.
Role: Sub-Custodian
Location: Mumbai
India

Type of custody: Rule 17f-5 — Foreign Custodian
15.41 Name: Deutsche Bank AG
Role: Sub-Custodian
Location: Mumbai
India

Type of custody: Rule 17f-5 — Foreign Custodian
15.42 Name: Standard Chartered Bank
Role: Sub-Custodian
Location: Jakarta
Indonesia

Type of custody: Rule 17f-5 — Foreign Custodian
15.43 Name: Bank of Ireland
Role: Sub-Custodian
Location: Dublin
Ireland

Type of custody: Rule 17f-5 — Foreign Custodian
15.44 Name: Bank Hapoalim B.M.
Role: Sub-Custodian
Location: Tel Aviv
Israel

Type of custody: Rule 17f-5 — Foreign Custodian
15.45 Name: BNP Paribas Securities Services, S.A.
Role: Sub-Custodian
Location: Milan
Italy

Type of custody: Rule 17f-5 — Foreign Custodian
15.46 Name: Societe Generale De Banques En Cote D’ Ivoire
Role: Sub-Custodian
Location: Abidjan
Ivory Coast

Type of custody: Rule 17f-5 — Foreign Custodian
15.47 Name: Scotiabank Jamaica Trust & Merchant Bank LT
Role: Sub-Custodian
Location: Kingston
Jamaica

Type of custody: Rule 17f-5 — Foreign Custodian
15.48 Name: Mizuho Corporate Bank, Ltd.
Role: Sub-Custodian
Location: Tokyo
Japan

Type of custody: Rule 17f-5 — Foreign Custodian
15.49 Name: Sumitomo Mitsui Banking Corp.
Role: Sub-Custodian
Location: Tokyo
Japan

Type of custody: Rule 17f-5 — Foreign Custodian
15.50 Name: HSBC Bank Middle East
Role: Sub-Custodian
Location: Amman
Jordan

Type of custody: Rule 17f-5 — Foreign Custodian
15.51 Name: HSBC Bank Kazakhstan
Role: Sub-Custodian
Location: Almaty
Kazakhstan

Type of custody: Rule 17f-5 — Foreign Custodian
15.52 Name: Barclays Bank of Kenya Ltd.
Role: Sub-Custodian
Location: Nairobi
Kenya

Type of custody: Rule 17f-5 — Foreign Custodian
15.53 Name: Deutsche Bank AG
Role: Sub-Custodian
Location: Seoul
Republic of Korea

Type of custody: Rule 17f-5 — Foreign Custodian
15.54 Name: The Hongkong & Shanghai Banking Corp. Ltd.
Role: Sub-Custodian
Location: Seoul
Republic of Korea

Type of custody: Rule 17f-5 — Foreign Custodian
15.55 Name: A/S Hansabanka
Role: Sub-Custodian
Location: Riga
Latvia

Type of custody: Rule 17f-5 — Foreign Custodian
15.56 Name: HSBC Bank Middle East
Role: Sub-Custodian
Location: Beirut
Lebanon

Type of custody: Rule 17f-5 — Foreign Custodian
15.57 Name: Vilniaus Bankas AB
Role: Sub-Custodian
Location: Vilnius
Lithuania

Type of custody: Rule 17f-5 — Foreign Custodian
15.58 Name: Clearstream Banking
Role: Sub-Custodian
Location: Luxembourg
Luxembourg

Type of custody: Rule 17f-5 — Foreign Custodian
15.59 Name: Standard Chartered Bank Malaysia Berhad
Role: Sub-Custodian
Location: Kuala Lumpur
Malaysia

Type of custody: Rule 17f-5 — Foreign Custodian
15.60 Name: Societe Generale De Banques En Cote D’Ivoire
Role: Sub-Custodian
Location: Abidjan
Mali

Type of custody: Rule 17f-5 — Foreign Custodian
15.61 Name: The Hongkong & Shanghai Banking Corp. Ltd.
Role: Sub-Custodian
Location: Port Louis
Mauritius

Type of custody: Rule 17f-5 — Foreign Custodian
15.62 Name: Banco Nacional de Mexico S.A.
Role: Sub-Custodian
Location: Mexico City
Mexico

Type of custody: Rule 17f-5 — Foreign Custodian
15.63 Name: Banque Commerciale Du Maroc
Role: Sub-Custodian
Location: Casablanca
Morocco

Type of custody: Rule 17f-5 — Foreign Custodian
15.64 Name: Standard Bank Namibia Ltd.
Role: Sub-Custodian
Location: Windhoek
Namibia

Type of custody: Rule 17f-5 — Foreign Custodian
15.65 Name: Kas Bank N.V.
Role: Sub-Custodian
Location: Amsterdam
Netherlands

Type of custody: Rule 17f-5 — Foreign Custodian
15.66 Name: Wespac Banking Corp.
Role: Sub-Custodian
Location: Wellington
New Zealand

Type of custody: Rule 17f-5 — Foreign Custodian
15.67 Name: Societe Generale De Banques En Cote D’Ivoire
Role: Sub-Custodian
Location: Abidjan
Niger

Type of custody: Rule 17f-5 — Foreign Custodian
15.68 Name: Stanbic Bank Nigeria Ltd.
Role: Sub-Custodian
Location: Lagos
Nigeria

Type of custody: Rule 17f-5 — Foreign Custodian
15.69 Name: Nordea Bank Norge Asa
Role: Sub-Custodian
Location: Oslo
Norway

Type of custody: Rule 17f-5 — Foreign Custodian
15.70 Name: HSBC Bank Middle East
Role: Sub-Custodian
Location: Muscat
Oman

Type of custody: Rule 17f-5 — Foreign Custodian
15.71 Name: Deutsche Bank AG
Role: Sub-Custodian
Location: Karachi
Pakistan

Type of custody: Rule 17f-5 — Foreign Custodian
15.72 Name: HSBC Bank Middle East
Role: Sub-Custodian
Location: Ramallah
Palestine

Type of custody: Rule 17f-5 — Foreign Custodian
15.73 Name: Bankboston N.A.
Role: Sub-Custodian
Location: Panama City
Panama

Type of custody: Rule 17f-5 — Foreign Custodian
15.74 Name: Citibank N.A.
Role: Sub-Custodian
Location: Lima
Peru

Type of custody: Rule 17f-5 — Foreign Custodian
15.75 Name: Standard Chartered Bank
Role: Sub-Custodian
Location: Manila
Philippines

Type of custody: Rule 17f-5 — Foreign Custodian
15.76 Name: Bank Handlowy W Warszawie S.A.
Role: Sub-Custodian
Location: Warsaw
Poland

Type of custody: Rule 17f-5 — Foreign Custodian
15.77 Name: Banco Comercial Portugues
Role: Sub-Custodian
Location: Lisbon
Portugal

Type of custody: Rule 17f-5 — Foreign Custodian
15.78 Name: Citibank N.A.
Role: Sub-Custodian
Location: San Juan
Puerto Rico

Type of custody: Rule 17f-5 — Foreign Custodian
15.79 Name: HSBC Bank Middle East
Role: Sub-Custodian
Location: Doha
Qatar

Type of custody: Rule 17f-5 — Foreign Custodian
15.80 Name: ING Bank N.V.
Role: Sub-Custodian
Location: Bucharest
Romania

Type of custody: Rule 17f-5 — Foreign Custodian
15.81 Name: ING Bank (Eurasia) Zao
Role: Sub-Custodian
Location: Moscow
Russia

Type of custody: Rule 17f-5 — Foreign Custodian
15.82 Name: Societe Generale De Banques En Cote D’Ivoire
Role: Sub-Custodian
Location: Abidjan
Senegal

Type of custody: Rule 17f-5 — Foreign Custodian
15.83 Name: The Development Bank of Singapore Ltd.
Role: Sub-Custodian
Location: Singapore
Singapore

Type of custody: Rule 17f-5 — Foreign Custodian
15.84 Name: Ceskoslovenska Obchodni Banka A.S.
Role: Sub-Custodian
Location: Bratislava
Slovak Republic

Type of custody: Rule 17f-5 — Foreign Custodian
15.85 Name: Bank Austria Creditanstalt D.D.
Role: Sub-Custodian
Location: Ljubljana
Slovenia

Type of custody: Rule 17f-5 — Foreign Custodian
15.86 Name: Nedcor Bank Ltd.
Role: Sub-Custodian
Location: Braamfontein
South Africa

Type of custody: Rule 17f-5 — Foreign Custodian
15.87 Name: Standard Bank of South Africa Ltd.
Role: Sub-Custodian
Location: Johannesburg
South Africa

Type of custody: Rule 17f-5 — Foreign Custodian
15.88 Name: Santander Cental Hispano S.A.
Role: Sub-Custodian
Location: Madrid
Spain

Type of custody: Rule 17f-5 — Foreign Custodian
15.89 Name: The Hongkong & Shanghai Banking Corp. Ltd.
Role: Sub-Custodian
Location: Colombo
Sri Lanka

Type of custody: Rule 17f-5 — Foreign Custodian
15.90 Name: Standard Bank Swaziland Ltd.
Role: Sub-Custodian
Location: Mbabane
Swaziland

Type of custody: Rule 17f-5 — Foreign Custodian
15.91 Name: Scandinaviska Enskilda Banken
Role: Sub-Custodian
Location: Stockholm
Sweden

Type of custody: Rule 17f-5 — Foreign Custodian
15.92 Name: UBS AG
Role: Sub-Custodian
Location: Zurich
Switzerland

Type of custody: Rule 17f-5 — Foreign Custodian
15.93 Name: Central Trust of China
Role: Sub-Custodian
Location: Taipei
Taiwan (R.O.C.)

Type of custody: Rule 17f-5 — Foreign Custodian
15.94 Name: Standard Chartered Bank
Role: Sub-Custodian
Location: Bangkok
Thailand

Type of custody: Rule 17f-5 — Foreign Custodian
15.95 Name: Societe Generale De Banques En Cote D’Ivoire
Role: Sub-Custodian
Location: Abidjan
Togo

Type of custody: Rule 17f-5 — Foreign Custodian
15.96 Name: Republic Bank Ltd.
Role: Sub-Custodian
Location: Port-Of-Spain
Trinidad & Tobago

Type of custody: Rule 17f-5 — Foreign Custodian
15.97 Name: Banque Internationale Arabe De Tunisie
Role: Sub-Custodian
Location: Tunis
Tunisia

Type of custody: Rule 17f-5 — Foreign Custodian
15.98 Name: Citibank, N.A.
Role: Sub-Custodian
Location: Istanbul
Turkey

Type of custody: Rule 17f-5 — Foreign Custodian
15.99 Name: Barclays Bank of Uganda Ltd.
Role: Sub-Custodian
Location: Kampala
Uganda

Type of custody: Rule 17f-5 — Foreign Custodian
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: 126

The Identification Code of the family for Form N-SAR Filings: ALLIANCECA
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:
22.1 Entity: State Street Bank & Trust Co.
IRS #: 04-1867445
Registrant’s purchases ($000s): 7,665,074
22.2 Entity: Goldman, Sachs & Co.
IRS #: 13-5108880
Registrant’s purchases ($000s): 528,855
Registrant’s sales ($000s): 327,359
22.3 Entity: Chase Securities, Inc.
IRS #: 13-3112953
Registrant’s purchases ($000s): 236,735
Registrant’s sales ($000s): 237,486
22.4 Entity: Salomon Smith Barney, Inc.
IRS #: 13-1912900
Registrant’s purchases ($000s): 167,638
Registrant’s sales ($000s): 146,036
22.5 Entity: Deutsche Bank Securities
Registrant’s purchases ($000s): 167,763
Registrant’s sales ($000s): 143,125
22.6 Entity: Greenwich Capital Markets, Inc.
IRS #: 13-3172275
Registrant’s purchases ($000s): 213,812
Registrant’s sales ($000s): 90,021
22.7 Entity: Lehman Brothers, Inc.
IRS #: 13-2518466
Registrant’s purchases ($000s): 130,563
Registrant’s sales ($000s): 135,478
22.8 Entity: Morgan Stanley & Co., Inc.
IRS #: 13-2655998
Registrant’s purchases ($000s): 138,493
Registrant’s sales ($000s): 120,831
22.9 Entity: Merrill Lynch, Pierce, Fenner & Smith, Inc.
IRS #: 13-5674085
Registrant’s purchases ($000s): 110,489
Registrant’s sales ($000s): 112,276
22.10 Entity: Credit Suisse First Boston Corp.
IRS #: 13-5659485
Registrant’s purchases ($000s): 84,826
Registrant’s sales ($000s): 47,534
23. Total purchase/sale transactions by the Registrant during the period:
Aggregate purchases ($000s): 9,775,337
Aggregate sales ($000s): 1,454,963
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):
25.1 Name: Bank of America Corp.
IRS #: 36-0947896
Type of security owned: Debt
Value of securities owned at period end ($000s): 1,281
25.2 Name: Citicorp
IRS #: 13-3214963
Type of security owned: Debt
Value of securities owned at period end ($000s): 73
25.3 Name: Citigroup, Inc.
Type of security owned: Debt
Value of securities owned at period end ($000s): 2,551
25.4 Name: Goldman Sachs Group, Inc.
IRS #: 13-5108880
Type of security owned: Debt
Value of securities owned at period end ($000s): 1,692
25.5 Name: J.P. Morgan Chase & Co.
Type of security owned: Debt
Value of securities owned at period end ($000s): 1,377
25.6 Name: Lehman Brothers, Inc.
IRS #: 13-2518466
Type of security owned: Debt
Value of securities owned at period end ($000s): 2,236
25.7 Name: Morgan Stanley Dean Witter & Co.
Type of security owned: Debt
Value of securities owned at period end ($000s): 988
25.8 Name: National City Corp.
Type of security owned: Debt
Value of securities owned at period end ($000s): 433
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 .................... No
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 ......................... No
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) ............................ 10,379
Reinvestment of dividends and distributions ................ 549
Other ...................................................... –
Total NAV of shares redeemed & repurchased (inc. exchanges) .. 9,654
2nd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ 13,953
Reinvestment of dividends and distributions ................ 570
Other ...................................................... –
Total NAV of shares redeemed & repurchased (inc. exchanges) .. 3,691
3rd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ 9,630
Reinvestment of dividends and distributions ................ 2,724
Other ...................................................... –
Total NAV of shares redeemed & repurchased (inc. exchanges) .. 7,571
4th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ 11,379
Reinvestment of dividends and distributions ................ 594
Other ...................................................... –
Total NAV of shares redeemed & repurchased (inc. exchanges) .. 11,854
5th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ 6,688
Reinvestment of dividends and distributions ................ 608
Other ...................................................... –
Total NAV of shares redeemed & repurchased (inc. exchanges) .. 1,308
6th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ 21,944
Reinvestment of dividends and distributions ................ 515
Other ...................................................... –
Total NAV of shares redeemed & repurchased (inc. exchanges) .. 7,746

Total of all months: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................ 73,973
Reinvestment of dividends and distributions ................ 5,560
Other ...................................................... –
Total NAV of shares redeemed & repurchased (inc. exchanges) .. 41,824

Total NAV of the Registrant’s/Series’ share sales during the period
subject to a sales load ($000s): 0
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? No
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? No
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: 0.0%
Step-fee rates:
For 1st $000s: 1,000,000
Annual rate: 0.5%
& Above $000s: 1,000,000
Annual rate: 0.45%
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 .................................................... No
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 ........................ No
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? No
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? Yes

Was the Registrant/Series a diversified investment company at the end of
the period? Yes
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: $3,000,000
62. Does the Registrant/Series invest primarily in debt securities,
including convertible debt securities, options & futures on debt
securities or indices of debt securities? Yes

The percentage of net assets in each type at period end:

Debt — Short-Term Maturities
U.S. Treasury ............................... 27.9%
U.S. Government Agency ...................... 0.0
Repurchase agreements ....................... 21.1
State and Municipal – tax-free .............. 0.0
Bank certificates of deposit – domestic ..... 0.0
Bank certificates of deposit – foreign ...... 0.0
Bankers acceptances ......................... 0.0
Commercial paper – taxable .................. 0.0
Time deposits ............................... 0.0
Options ..................................... 0.0
All other ................................... 0.0

Debt — Intermediate & Long-Term Maturities
U.S. Treasury ............................... 12.9%
U.S. Government Agency ...................... 48.1
State and Municipal – tax-free .............. 0.0
Corporate ................................... 24.8
All other ................................... 7.4

Non-Debt
Investments other than debt securities ...... 0.0%
63. The dollar-weighted average portfolio maturity at period end in days or,
if longer than one year, in years (to one decimal place):
Days: 0
Years: 10.7
64. Is the timely payment of principal and interest on any of the
instruments listed in Item 62 insured or guaranteed by an entity other
than the issuer? Yes

Is the issuer of any instrument covered in Item 62 delinquent or in
default as to payment of principal or interest at period end? 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? 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 to both
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? No –
Investments in restricted securities? Yes to both
Investments in shares of other investment companies? Yes No
Investments in securities of foreign issuers? Yes to both
Currency exchange transactions? Yes to both
Loaning portfolio securities? Yes No
Borrowing of money? Yes No
Purchases/sales by certain exempted affiliated persons? Yes No
Margin purchases? No –
Short selling? No –
Portfolio Turnover
71. Portfolio turnover rate for the period:
Purchases ($000s): 1,495,953
Sales ($000s): 1,462,984

Monthly average Value of portfolio ($000s): 333,082

Percent turnover (lesser of Purchases or Sales, divided by Value): 439%
Financial Info — Income and Expenses
72. The number of months covered by the values in Items 72 and 73: 6

Income ($000s)
Net interest income .............................................. 7,367
Net dividend income .............................................. –
Account maintenance fees ......................................... –
Net other income ................................................. –

Expenses ($000s)
Advisory fees .................................................... 850
Administrator fees ............................................... –
Salaries and other compensation .................................. –
Shareholder Servicing Agent fees ................................. 12
Custodian fees ................................................... 91
Postage .......................................................... –
Printing expenses ................................................ 2
Directors’ fees .................................................. 8
Registration fees ................................................ 8
Taxes ............................................................ –
Interest ......................................................... –
Bookkeeping fees paid to anyone performing this service .......... –
Auditing fees .................................................... 10
Legal fees ....................................................... 3
Marketing/distribution payments, incl. Rule 12b-1 plan payments .. –
Amortization of organization expenses ............................ –
Shareholder meeting expenses ..................................... –
Other expenses ................................................... 69
Total expenses ................................................... 1,053

Expense reimbursements ($000s): 288

Net investment income ($000s): 6,602

Realized capital gains ($000s): 3,815
Realized capital losses ($000s): 0

Net unrealized appreciation during the period ($000s): 2,034
Net unrealized depreciation during the period ($000s): 0

Total income dividends for which the record date passed during the
period ($000s): 6,601

Total capital gains distributions for which the record date passed
during the period ($000s): 2,185
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: $0.3000

Distribution of capital gains: $0.1000
Other distributions: $0.0000
Financial Info — Condensed Balance Sheet Data
74. Assets ($000s)
Cash ............................................................. –
Repurchase agreements ............................................ 77,884
Short-term debt securities, other than repurchase agreements ..... 103,188
Long-term debt securities, including convertible debt ............ 344,546
Preferred, conv. preferred and adjustable-rate preferred stock ... –
Common stock ..................................................... –
Options on equities .............................................. –
Options on all futures ........................................... –
Other investments ................................................ –
Receivables from portfolio instruments sold ...................... 127,436
Receivables from affiliated persons .............................. 50
Other receivables ................................................ 3,468
All other assets ................................................. 35
Total assets ..................................................... 656,607

Liabilities ($000s)
Payables for portfolio instruments purchased ..................... 285,882
Amounts owed to affiliated persons ............................... 155
Senior long-term debt ............................................ –
Other liabilities:
Reverse repurchase agreements .................................. –
Short sales .................................................... –
Written options ................................................ –
All other liabilities .......................................... 804

Equity ($000s)
Senior equity .................................................... –
Net assets of common shareholders ................................ 369,766

Number of shares outstanding (000s): 23,711

Net Asset Value (NAV) per share (to nearest cent): $15.59

Total number of shareholder accounts: 81

Total value of assets in segregated accounts ($000s): 0
75. Monthly average net assets during the period ($000s): 344,830
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)? Yes

EX-99.77Q1: Other Disclosure? Yes

EX-99.77Q3: Other Info? Yes
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
Signature ↑Top of Form N-SAR
/s/ Mark D. Gersten
Name: Mark D. Gersten
Title: Sr. Vice President

↑Top

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