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

Berger Worldwide Portfolios Trust – ‘NSAR-A’ for 3/31/03

On:  Tuesday, 5/27/03, at 5:21pm ET   ·   Effective:  5/27/03   ·   For:  3/31/03   ·   Accession #:  1015852-3-1   ·   File #:  811-07667

Previous ‘NSAR-A’:  ‘NSAR-A’ on 5/30/02 for 3/31/02   ·   Latest ‘NSAR-A’:  This Filing

Find Words in Filings emoji
 
  in    Show  and   Hints

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

 5/27/03  Berger Worldwide Portfolios Trust NSAR-A      3/31/03    2:15K

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

Document/Exhibit                   Description                      Pages   Size 

 1: NSAR-A      Answer File - 03/31/2003                               9     36K 
 2: EX-99.77Q3 CERT  Ceo/CFO Certifications                            3     11K 


‘NSAR-A’   —   Answer File – 03/31/2003




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:   Berger Worldwide Portfolios TrustList 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?  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:      1015852
SEC File #:   811-07667

Telephone #:  303-329-0200
 
 2.Address:      210 University Blvd, Ste 900
              Denver, CO  80206
 
 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?  Yes

The number of separate Funds/Series (portfolios) at period end:  1
The number of separate Funds/Series (portfolios) reported here: 1...

N-SAR S#      Fund/Series — Filings for F/S#… Symbols 
 
Information Common to All 
Series 1:     Berger International PortfolioN-SARs
 
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:  14

The Identification Code of the family for Form N-SAR Filings:  BERGERFUND
 
Investment Company Type 
 
27.Is the Registrant an “open-end” investment company?  Yes, Open-End
 
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-99.77Q3: Other InfoYes
 
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
 
 All SeriesList of Funds/Series Reported Here 

Information Common to All Funds/Series
 
 All: 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
 
 All: Brokerage Commissions Paid on Portfolio Transactions 
 
20.The brokers who received the largest amount of gross brokerage
commissions during the period:
 
20.1Broker:       Abn Amro Equities Ltd. London
Commissions paid ($000s)11
 
20.2Broker:       Credit Suisse First Boston
Commissions paid ($000s)7
 
20.3Broker:       Morgan Stanley & Co. International
Commissions paid ($000s)6
 
20.4Broker:       UBS AG London
Commissions paid ($000s)5
 
20.5Broker:       Goldman Sachs International
Commissions paid ($000s)5
 
20.6Broker:       Warburg Dillon Read Ltd.
Commissions paid ($000s)4
 
20.7Broker:       Deustche Bank AG
Commissions paid ($000s)3
 
20.8Broker:       Salomon Brothers International Ltd.
Commissions paid ($000s)3
 
20.9Broker:       HSBC Investment Bank plc
Commissions paid ($000s)2
 
20.10Broker:       Goodbody Stockbrokers
Commissions paid ($000s)2
 
21.Total brokerage commissions paid by the Registrant during the period:
  Aggregate paid ($000s)60
 
 All: 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)13,834
 
23.Total purchase/sale transactions by the Registrant during the period:
   Aggregate purchases ($000s)13,834
 
 All: 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:         Abn Amro Holdings NV
Type of security owned:  Equity
Value of securities owned at period end ($000s)527
 
25.2Name:         UBS AG
Type of security owned:  Equity
Value of securities owned at period end ($000s)743
 
25.3Name:         HSBC Holdings plc
Type of security owned:  Equity
Value of securities owned at period end ($000s)503
 
25.4Name:         Deutsche Bank AG
Type of security owned:  Equity
Value of securities owned at period end ($000s)228
 
 All: 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 .........................  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 ..................................................  Yes
Other ..................................................................  No
 
 All: 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) ............................
15,032
      Reinvestment of dividends and distributions ................
      Other ......................................................
    Total NAV of shares redeemed & repurchased (inc. exchanges) .. 14,080
2nd Month:
    Total NAV of shares sold:
      New sales (including exchanges) ............................
8,495
      Reinvestment of dividends and distributions ................
      Other ......................................................
    Total NAV of shares redeemed & repurchased (inc. exchanges) .. 12,316
3rd Month:
    Total NAV of shares sold:
      New sales (including exchanges) ............................
4,233
      Reinvestment of dividends and distributions ................
      Other ......................................................
    Total NAV of shares redeemed & repurchased (inc. exchanges) .. 11,521
4th Month:
    Total NAV of shares sold:
      New sales (including exchanges) ............................
9,601
      Reinvestment of dividends and distributions ................
      Other ......................................................
    Total NAV of shares redeemed & repurchased (inc. exchanges) .. 47,531
5th Month:
    Total NAV of shares sold:
      New sales (including exchanges) ............................
8,835
      Reinvestment of dividends and distributions ................
      Other ......................................................
    Total NAV of shares redeemed & repurchased (inc. exchanges) .. 23,810
6th Month:
    Total NAV of shares sold:
      New sales (including exchanges) ............................
2,451
      Reinvestment of dividends and distributions ................
      Other ......................................................
    Total NAV of shares redeemed & repurchased (inc. exchanges) .. 39,211

Total of all months:  ($000s)
    Total NAV of shares sold:
      New sales (including exchanges) ............................
48,648
      Reinvestment of dividends and distributions ................
      Other ......................................................
    Total NAV of shares redeemed & repurchased (inc. exchanges) .. 148,469

Total NAV of the Registrant’s/Series’ share sales during the period
subject to a sales load ($000s)0
 
 All: 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?  No
 
 All: 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
 
 All: 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:  500,000
        Annual rate:  0.85%
      Of next $000s:  500,000
        Annual rate:  0.8%
      & Above $000s:  1,000,000
        Annual rate:  0.75%
 
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
 
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 ......................................  No
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
 
 All: 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?  Yes
    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
 
 All: 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?             No        
Writing or investing in options on debt securities?      No        
Writing or investing in options on stock indices?        No        
Writing or investing in interest rate futures?           No        
Writing or investing in stock index futures?             No        
Writing or investing in options on futures?              No        
Writing or investing in options on stock index futures?  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 to both
Borrowing of money?                                      Yes to both
Purchases/sales by certain exempted affiliated persons?  Yes      No
Margin purchases?                                        No        
Short selling?                                           No        
 
 All: Fidelity Bond in Effect at Fiscal Year End 
 
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
 
 Series 1Information Common to All Funds/Series  List of Funds/Series 
 
 7.Name:         Berger International PortfolioN-SARs

Is this the final Form N-SAR filed for this Fund/Series?  No
 
 S 1: Investment Adviser 
 
 8.1Name:         Berger Financial Group LLC
Role:         Adviser
SEC File #:   801-52264
Location:     Denver, CO
 
 8.2Name:         Bank of Ireland Asset Management (U.S.) Ltd.
Role:         Sub-Adviser
SEC File #:   801-29606
Location:     Greenwich, CT
 
 S 1: Shareholder Servicing/Transfer Agent 
 
12.1Name:         DST Systems, Inc.
SEC File #:   084-00448
Location:     Kansas City, MO
 
 S 1: Independent Public Accountant 
 
13.1Name:         Pricewaterhousecoopers LLP
Location:     Denver, CO
 
 S 1: Affiliated Broker/Dealer 
 
14.1Name:         DST Securities, Inc.
SEC File #:   008-24385
 
 S 1: Custodian 
 
15.1Name:         State Street Bank & Trust
Role:         Custodian
Location:     Quincy, MA

Type of custody:  Section 17(f)(1) — Bank
 
 S 1: 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:  $0
 
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?  Yes
 
69.Is the Registrant/Series an index Fund?  No
 
 S 1: Portfolio Turnover 
 
71.Portfolio turnover rate for the period:
 
Purchases ($000s)7,803
Sales ($000s):      105,836

Monthly average Value of portfolio ($000s)99,719

Percent turnover (lesser of Purchases or Sales, divided by Value):  8%
 
 S 1: 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 ..............................................
5
Net dividend income .............................................. 654
Account maintenance fees .........................................
Net other income ................................................. 44

Expenses  ($000s)
Advisory fees ....................................................
455
Administrator fees ...............................................
Salaries and other compensation ..................................
Shareholder Servicing Agent fees .................................
Custodian fees ................................................... 35
Postage ..........................................................
Printing expenses ................................................
Directors’ fees .................................................. 5
Registration fees ................................................
Taxes ............................................................
Interest ......................................................... 18
Bookkeeping fees paid to anyone performing this service .......... 12
Auditing fees .................................................... 10
Legal fees ....................................................... 1
Marketing/distribution payments, incl. Rule 12b-1 plan payments ..
Amortization of organization expenses ............................
Shareholder meeting expenses .....................................
Other expenses ................................................... 2
Total expenses ................................................... 539

Expense reimbursements ($000s):   18

Net investment income ($000s):    182

Realized capital gains ($000s):   0
Realized capital losses ($000s)12,822

Net unrealized appreciation during the period ($000s)10,495
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
 
 S 1: Financial Info — Condensed Balance Sheet Data 
 
74.Assets  ($000s)
Cash ............................................................. 7
Repurchase agreements ............................................
Short-term debt securities, other than repurchase agreements .....
Long-term debt securities, including convertible debt ............
Preferred, conv. preferred and adjustable-rate preferred stock ...
Common stock ..................................................... 25,983
Options on equities ..............................................
Options on all futures ...........................................
Other investments ................................................
Receivables from portfolio instruments sold ...................... 14,989
Receivables from affiliated persons .............................. 5
Other receivables ................................................ 673
All other assets .................................................
Total assets ..................................................... 41,658

Liabilities  ($000s)
Payables for portfolio instruments purchased .....................
Amounts owed to affiliated persons ............................... 35
Senior long-term debt ............................................
Other liabilities:
  Reverse repurchase agreements ..................................
  Short sales ....................................................
  Written options ................................................
  All other liabilities .......................................... 17,548

Equity  ($000s)
Senior equity ....................................................
Net assets of common shareholders ................................ 24,075

Number of shares outstanding (000s):   0

Net Asset Value (NAV) per share (to nearest cent):  $0.00

Total number of shareholder accounts:  3

Total value of assets in segregated accounts ($000s)0
 
75.Monthly average net assets during the period ($000s)106,478
 
 Signature  Top of Form N-SAR 
                                                                                    
/s/      Lance V. Campbell      
Name:   Lance V. Campbell
Title:  Assistant Treasurer

Top
Filing Submission 0001015852-03-000001   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Sun., May 12, 1:45:39.3am ET