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| Report |
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| | | | Registrant: Fidelity Union Street Trust — List all N-SARs |
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Semi-Annual Report (at mid-year) for the 1st-half period ended: 2/28/03 |
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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? No |
| | | Is this a change to a previous Report? No |
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| Registrant |
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| 1. | | SEC CIK: 35330 |
| | | SEC File #: 811-02460 |
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Telephone #: 617-563-1706 |
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| 2. | | Address: 82 Devonshire Street |
| | | Boston, MA 02109 |
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| 3. | | Is this the first Form N-SAR filed by the Registrant? No |
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| 4. | | Is this the final Form N-SAR filed by the Registrant? No |
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| 7. | | Is the Registrant a Funds/Series (multiple portfolios) company? Yes |
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The number of separate Funds/Series (portfolios) at period end: 3 |
| | | The number of separate Funds/Series (portfolios) reported here: 3... |
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|
| ↓ | Series 9: Fidelity Export & Multinational Fund — S#7498 |
| ↓ | Series 10: Spartan Arizona Municipal Income Fund — N-SARs |
| ↓ | Series 5: Spartan Maryland Municipal Income Fund — N-SARs |
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| Family of Investment Companies |
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| 19. | | Is the Registrant/Series part of a “family” of investment companies? Yes |
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Total number of registered management investment companies, Series
and portfolios (excluding any Unit Investment Trusts) in the family: 270 |
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The Identification Code of the family for Form N-SAR Filings: FIDELITYZZ |
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| Investment Company Type |
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| 27. | | Is the Registrant an “open-end” investment company? Yes, Open-End |
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| Additional Disclosures |
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| 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-99.77C: Matters Submitted to a Vote of Security Holders? Yes |
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EX-99.77O: Transaction Effected — Rule 10f-3 – ICA’40? Yes |
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EX-99.77Q1: Other Disclosure? Yes |
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EX-99.77Q3: Other Info? Yes |
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| Subsidiaries |
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| 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 |
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| All Series | ↑List of 3 Funds/Series Reported Here |
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Information Common to All Funds/Series |
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| All: | Principal Underwriter |
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| 11.1 | | Name: Fidelity Distributors Corp. |
| | | SEC File #: 008-08775 |
| | | Location: Boston, MA |
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| All: | Independent Public Accountant |
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| 13.1 | | Name: Pricewaterhousecoopers LLP |
| | | Location: Boston, MA |
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| All: | Affiliated Broker/Dealer |
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| 14.1 | | Name: Fidelity Distributors Corp. |
| | | SEC File #: 008-08775 |
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| 14.2 | | Name: Fidelity Brokerage Services LLC |
| | | SEC File #: 008-23292 |
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| 14.3 | | Name: Fidelity Brokerage Services Japan LLC |
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| 14.4 | | Name: National Financial Services LLC |
| | | SEC File #: 008-26740 |
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| 14.5 | | Name: Fidelity Investments Canada Ltd. |
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| 14.6 | | Name: Redibook Ecn LLC |
| | | SEC File #: 008-52140 |
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| 14.7 | | Name: Archipelago Ecn |
| | | SEC File #: 008-50376 |
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| All: | Custodian |
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| 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 |
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| All: | Brokerage Commissions Paid on Portfolio Transactions |
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| 20. | | The brokers who received the largest amount of gross brokerage
commissions during the period:
|
| 20.1 | | Broker: Goldman Sachs & Co. |
| | | IRS #: 13-5108880 |
| | | Commissions paid ($000s): 163 |
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| 20.2 | | Broker: UBS Warburg, LLC |
| | | IRS #: 13-3873456 |
| | | Commissions paid ($000s): 147 |
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| 20.3 | | Broker: Merrill Lynch, Inc. |
| | | IRS #: 13-5674085 |
| | | Commissions paid ($000s): 145 |
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| 20.4 | | Broker: Salomon Smith Barney, Inc. |
| | | IRS #: 11-2418191 |
| | | Commissions paid ($000s): 132 |
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| 20.5 | | Broker: Banc of America Securities |
| | | IRS #: 56-2058405 |
| | | Commissions paid ($000s): 129 |
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| 20.6 | | Broker: Lehman Brothers, Inc. |
| | | IRS #: 13-2518466 |
| | | Commissions paid ($000s): 105 |
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| 20.7 | | Broker: Morgan Stanley & Co., Inc. |
| | | IRS #: 13-2655998 |
| | | Commissions paid ($000s): 102 |
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| 20.8 | | Broker: Wachovia Securities., Inc. |
| | | IRS #: 56-0276690 |
| | | Commissions paid ($000s): 96 |
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| 20.9 | | Broker: Cibc World Markets, Inc. |
| | | Commissions paid ($000s): 76 |
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| 20.10 | | Broker: Deutsche Bank Securities |
| | | IRS #: 13-2730828 |
| | | Commissions paid ($000s): 73 |
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| 21. | | Total brokerage commissions paid by the Registrant during the period:
Aggregate paid ($000s): 1,815 |
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| All: | Portfolio Transactions with Entities Acting as Principals |
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| 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: Taxable Cash Central Fund |
| | | IRS #: 04-3331103 |
| | | Registrant’s purchases ($000s): 118,274 |
| | | Registrant’s sales ($000s): 123,117 |
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| 22.2 | | Entity: Destiny II |
| | | IRS #: 04-6538289 |
| | | Registrant’s purchases ($000s): 5,582 |
| | | Registrant’s sales ($000s): 8,158 |
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| 22.3 | | Entity: Vip: Growth Portfolio |
| | | IRS #: 04-2940579 |
| | | Registrant’s purchases ($000s): 10,294 |
| | | Registrant’s sales ($000s): 3,075 |
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| 22.4 | | Entity: Contra Fund, Inc. |
| | | IRS #: 04-6056833 |
| | | Registrant’s purchases ($000s): 4,465 |
| | | Registrant’s sales ($000s): 7,610 |
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| 22.5 | | Entity: Fid Growth Co. Fund |
| | | IRS #: 04-2778701 |
| | | Registrant’s purchases ($000s): 4,449 |
| | | Registrant’s sales ($000s): 2,199 |
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| 22.6 | | Entity: FA Equity Growth Fund |
| | | IRS #: 04-2805607 |
| | | Registrant’s purchases ($000s): 3,786 |
| | | Registrant’s sales ($000s): 2,168 |
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| 22.7 | | Entity: Fidelity Dividend Growth Fund |
| | | IRS #: 04-3188220 |
| | | Registrant’s purchases ($000s): 122 |
| | | Registrant’s sales ($000s): 4,824 |
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| 22.8 | | Entity: Advest Inc. |
| | | IRS #: 06-0950348 |
| | | Registrant’s purchases ($000s): 4,648 |
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| 22.9 | | Entity: Fidelity Instl. America Fund |
| | | Registrant’s purchases ($000s): 2,471 |
| | | Registrant’s sales ($000s): 1,935 |
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| 22.10 | | Entity: Fidelity Independence Fund |
| | | IRS #: 04-2778698 |
| | | Registrant’s purchases ($000s): 2,835 |
| | | Registrant’s sales ($000s): 1,433 |
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| 23. | | Total purchase/sale transactions by the Registrant during the period:
Aggregate purchases ($000s): 218,726 |
| | | Aggregate sales ($000s): 195,240 |
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| All: | Considerations which Affected the Participation of Brokers or Dealers |
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| 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 ......................... 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 .................................................. Yes |
| | | Other .................................................................. No |
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| All: | Sales Load (Front-End or Deferred) and Fees (Redemption or Maintenance) |
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| 34. | | Did the Registrant/Series impose a deferred or contingent deferred sales
load during the period? No |
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| All: | Payment Plan for the Distribution of Fund Shares |
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| 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 ........... | – |
|
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| 43. | | Total amount paid directly by the Registrant/Series pursuant to its
12b-1 plan ($000s): 0 |
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| 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 |
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| Series 5 | ↑Information Common to All Funds/Series ↑List of 3 Funds/Series |
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| 7. | | Name: Spartan Maryland Municipal Income Fund — N-SARs |
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Is this the final Form N-SAR filed for this Fund/Series? No |
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| S 5: | Investment Adviser |
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| 8.1 | | Name: Fidelity Management & Research Co. (FMR) |
| | | Role: Adviser |
| | | SEC File #: 801-07884 |
| | | Location: Boston, MA |
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| 8.2 | | Name: Fidelity Investments Money Management, Inc. |
| | | Role: Sub-Adviser |
| | | SEC File #: 801-34590 |
| | | Location: Merrimack, NH |
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| S 5: | Shareholder Servicing/Transfer Agent |
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| 12.1 | | Name: Citibank, N.A. |
| | | Location: New York, NY |
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| 12.2 | | Name: Fidelity Service Co., Inc. |
| | | SEC File #: 084-05679 |
| | | Location: Boston, MA |
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| S 5: | Custodian |
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| 15.1 | | Name: Citibank N.A. |
| | | Role: Custodian |
| | | Location: New York, NY |
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Type of custody: Section 17(f)(1) — Bank |
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| 15.2 | | Name: The Bank of New York Co., Inc. |
| | | Role: Custodian |
| | | Location: New York, NY |
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Type of custody: Section 17(f)(1) — Bank |
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| 15.3 | | Name: (See a prior Form N-SAR for who was...) Deleted |
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| 15.4 | | Name: The Bank of New York Co., Inc. |
| | | Role: Sub-Custodian |
| | | Location: New York, NY |
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Type of custody: Section 17(f)(1) — Bank |
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| 15.5 | | Name: JPMorgan Chase Bank |
| | | Role: Sub-Custodian |
| | | Location: New York, NY |
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Type of custody: Section 17(f)(1) — Bank |
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| 15.6 | | Name: Deutsche Bank Trust Co. Americas |
| | | Role: Sub-Custodian |
| | | Location: New York, NY |
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Type of custody: Section 17(f)(1) — Bank |
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| 15.7 | | Name: Bank of America |
| | | Role: Sub-Custodian |
| | | Location: Charlotte, NC |
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Type of custody: Section 17(f)(1) — Bank |
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| 15.8 | | Name: (See a prior Form N-SAR for who was...) Deleted |
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| 15.9 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Buenos Aires |
| | | Argentina |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.10 | | Name: Citicorp Nominees Pty, Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Melbourne |
| | | Australia |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.11 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Milan |
| | | Austria |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.12 | | Name: Standard Chartered Bank plc |
| | | Role: Sub-Custodian |
| | | Location: Dhaka |
| | | Bangladesh |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.13 | | Name: Fortis Bank, N.A./S.A. |
| | | Role: Sub-Custodian |
| | | Location: Brussels |
| | | Belgium |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.14 | | Name: Bank of Bermuda |
| | | Role: Sub-Custodian |
| | | Location: Hamilton |
| | | Bermuda |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.15 | | Name: Citibank, N.A., La Paz |
| | | Role: Sub-Custodian |
| | | Location: La Paz |
| | | Bolivia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.16 | | Name: Barclays Bank of Botswana Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Gaborone |
| | | Botswana |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.17 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Sao Paulo |
| | | Brazil |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.18 | | Name: SG Expressbank |
| | | Role: Sub-Custodian |
| | | Location: Sofia |
| | | Bulgaria |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.19 | | Name: Citibank Canada |
| | | Role: Sub-Custodian |
| | | Location: Toronto |
| | | Canada |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.20 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Santiago |
| | | Chile |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.22 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Seoul |
| | | Korea |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.23 | | Name: Ciitrust Colombia S.A. |
| | | Role: Sub-Custodian |
| | | Location: Bogota |
| | | Colombia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.24 | | Name: Banco BCT S.A. |
| | | Role: Sub-Custodian |
| | | Location: San Jose |
| | | Costa Rica |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.25 | | Name: Privredna Banka |
| | | Role: Sub-Custodian |
| | | Location: Zagreb |
| | | Croatia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.26 | | Name: Citibank A.S. |
| | | Role: Sub-Custodian |
| | | Location: Prague |
| | | Czech Republic |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.27 | | Name: Nordea Bank Danmark A/S |
| | | Role: Sub-Custodian |
| | | Location: Taastrup |
| | | Denmark |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.28 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Quito |
| | | Ecuador |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.29 | | Name: (See a prior Form N-SAR for who was...) Deleted |
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| 15.30 | | Name: Hansabank |
| | | Role: Sub-Custodian |
| | | Location: Talinn |
| | | Estonia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.31 | | Name: Nordea Bank Finland plc |
| | | Role: Sub-Custodian |
| | | Location: Helsinki |
| | | Finland |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.32 | | Name: Citibank International plc |
| | | Role: Sub-Custodian |
| | | Location: Paris |
| | | France |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.33 | | Name: Citibank Aktiengesellschaft (A.G.) |
| | | Role: Sub-Custodian |
| | | Location: Frankfurt |
| | | Germany |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.34 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Athens |
| | | Greece |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.35 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Hong Kong |
| | | Hong Kong |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.36 | | Name: Citibank Rt. (CBRT) |
| | | Role: Sub-Custodian |
| | | Location: Budapest |
| | | Hungary |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.37 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Bombay |
| | | India |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.38 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Jakarta Selatan |
| | | Indonesia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.39 | | Name: Citibank |
| | | Role: Sub-Custodian |
| | | Location: Dublin |
| | | Ireland |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.40 | | Name: Bank Hapoalim B.M. |
| | | Role: Sub-Custodian |
| | | Location: Tel Aviv |
| | | Israel |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.41 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Milan |
| | | Italy |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.42 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Tokyo |
| | | Japan |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.43 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Amman |
| | | Jordan |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.44 | | Name: Hansabanka |
| | | Role: Sub-Custodian |
| | | Location: Riga |
| | | Latvia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.45 | | Name: Hansabanka |
| | | Role: Sub-Custodian |
| | | Location: Vilniaus |
| | | Lithuania |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.46 | | Name: Citibank NA |
| | | Role: Sub-Custodian |
| | | Location: Seoul |
| | | Korea |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.47 | | Name: Citibank, Berhad |
| | | Role: Sub-Custodian |
| | | Location: Kuala Lumpur |
| | | Malaysia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.48 | | Name: The Hongkong & Shanghai Banking Corp., Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Port Louis |
| | | Mauritius |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.49 | | Name: Banamex |
| | | Role: Sub-Custodian |
| | | Location: Mexico City |
| | | Mexico |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.50 | | Name: Citibank Maghreb |
| | | Role: Sub-Custodian |
| | | Location: Casablanca |
| | | Morocco |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.51 | | Name: Citibank International, plc |
| | | Role: Sub-Custodian |
| | | Location: Amsterdam |
| | | Netherlands |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.52 | | Name: Citibank NA |
| | | Role: Sub-Custodian |
| | | Location: Melbourne |
| | | New Zealand |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.53 | | Name: Nordea Bank Norge Asa |
| | | Role: Sub-Custodian |
| | | Location: Oslo |
| | | Norway |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.54 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Karachi |
| | | Pakistan |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.55 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Lima |
| | | Peru |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.56 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Manila |
| | | Philippines |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.57 | | Name: Bank Handlowy W. Warszawie, S.A. |
| | | Role: Sub-Custodian |
| | | Location: Warsaw |
| | | Poland |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.58 | | Name: Citibank International plc |
| | | Role: Sub-Custodian |
| | | Location: Lisbon |
| | | Portugal |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.60 | | Name: Citibank Romania S.A. |
| | | Role: Sub-Custodian |
| | | Location: Bucharest |
| | | Romania |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.61 | | Name: Citibank T/O |
| | | Role: Sub-Custodian |
| | | Location: Moscow |
| | | Russia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.62 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Singapore |
| | | Singapore |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.63 | | Name: Ceskoslovenska Obchodna Banka, S.A. |
| | | Role: Sub-Custodian |
| | | Location: Bratislava |
| | | Slovak Republic |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.64 | | Name: Bank Austria Creditanstalt D.D. (Baca) |
| | | Role: Sub-Custodian |
| | | Location: Ljubljana |
| | | Slovenia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.65 | | Name: First National Bank of Southern Africa Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Johannesburg |
| | | South Africa |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.67 | | Name: Citibank International plc |
| | | Role: Sub-Custodian |
| | | Location: Madrid |
| | | Spain |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.68 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Colombo |
| | | Sri Lanka |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.69 | | Name: Skandinaviska Enskilda Banken |
| | | Role: Sub-Custodian |
| | | Location: Stockholm |
| | | Sweden |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.70 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Zurich |
| | | Switzerland |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.71 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Taipei |
| | | Taiwan |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.72 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Bangkok |
| | | Thailand |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.73 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Istanbul |
| | | Turkey |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.74 | | Name: Citibank N.A. |
| | | Role: Sub-Custodian |
| | | Location: Cairo |
| | | Egypt |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.75 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: London |
| | | United Kingdom |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.76 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Caracas |
| | | Venezuela |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.77 | | Name: Barclays Bank of Zimbabwe |
| | | Role: Sub-Custodian |
| | | Location: Harare |
| | | Zimbabwe |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.78 | | Name: Citibank N.A. |
| | | Role: Sub-Custodian |
| | | Location: Rio Pedras |
| | | Puerto Rico |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| S 5: | 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? No |
| |
| S 5: | 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) ............................ | 2,881 |
|
| | | | Reinvestment of dividends and distributions ................ | 249 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 1,091 |
|
| | | 2nd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 2,871 |
|
| | | | Reinvestment of dividends and distributions ................ | 256 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 3,979 |
|
| | | 3rd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 1,621 |
|
| | | | Reinvestment of dividends and distributions ................ | 243 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 689 |
|
| | | 4th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 2,628 |
|
| | | | Reinvestment of dividends and distributions ................ | 250 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 2,014 |
|
| | | 5th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 1,369 |
|
| | | | Reinvestment of dividends and distributions ................ | 250 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 2,204 |
|
| | | 6th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 1,575 |
|
| | | | Reinvestment of dividends and distributions ................ | 221 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 761 |
|
| | |
Total of all months: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................ | 12,945 |
|
| | | | Reinvestment of dividends and distributions ................ | 1,469 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 10,738 |
|
| | |
Total NAV of the Registrant’s/Series’ share sales during the period
subject to a sales load ($000s): 0 |
| |
| S 5: | 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 |
| |
| 37. | | Did the Registrant/Series impose a redemption fee other than a deferred
or contingent sales load during the period? Yes |
| |
| 38. | | Total amount of redemption fees other than deferred or contingent
deferred sales loads collected from redemptions and repurchases of the
Registrant’s/Series’ shares during the period ($000s): 2 |
| |
| 39. | | Were any account maintenance fees or other administrative fees imposed
directly on shareholders during the period? No |
| |
| S 5: | 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? No |
| |
| S 5: | 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: 0.55% |
| | | 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 ....................................... Yes |
| | | Services of outside counsel ............................................ Yes |
| | | Registration and filing fees ........................................... Yes |
| | | 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 ........................................ Yes |
| | | Determination of offering and redemption prices ........................ Yes |
| | | Trading department ..................................................... Yes |
| | | Prospectus preparation and printing for current shareholders ........... Yes |
| | | Other .................................................................. Yes |
| |
| S 5: | 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 |
| |
| S 5: | 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: $10,000 |
| |
| 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 ............................... 0.0% |
| | | U.S. Government Agency ...................... 0.0 |
| | | Repurchase agreements ....................... 0.0 |
| | | 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 ............................... 0.0% |
| | | U.S. Government Agency ...................... 0.0 |
| | | State and Municipal – tax-free .............. 99.0 |
| | | Corporate ................................... 0.0 |
| | | All other ................................... 0.0 |
| | |
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: 14.8 |
| |
| 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 |
| |
| S 5: | 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? No – |
| | | Writing or investing in options on equities? No – |
| | | Writing or investing in options on debt securities? Yes No |
| | | Writing or investing in options on stock indices? No – |
| | | Writing or investing in interest rate futures? Yes No |
| | | Writing or investing in stock index futures? No – |
| | | Writing or investing in options on futures? Yes No |
| | | Writing or investing in options on stock index futures? No – |
| | | Writing or investing in other commodity futures? No – |
| | | Investments in restricted securities? Yes No |
| | | Investments in shares of other investment companies? Yes No |
| | | Investments in securities of foreign issuers? No – |
| | | Currency exchange transactions? No – |
| | | Loaning portfolio securities? No – |
| | | Borrowing of money? Yes No |
| | | Purchases/sales by certain exempted affiliated persons? Yes No |
| | | Margin purchases? No – |
| | | Short selling? Yes No |
| |
| S 5: | Portfolio Turnover |
| | |
| 71. | | Portfolio turnover rate for the period:
|
| | | Purchases ($000s): 9,784 |
| | | Sales ($000s): 2,970 |
| | |
Monthly average Value of portfolio ($000s): 97,302 |
| | |
Percent turnover (lesser of Purchases or Sales, divided by Value): 3% |
| |
| S 5: | 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 .............................................. | 2,211 |
|
| | | | Net dividend income .............................................. | – |
|
| | | | Account maintenance fees ......................................... | – |
|
| | | | Net other income ................................................. | – |
|
| | |
Expenses ($000s)
Advisory fees .................................................... | 273 |
|
| | | | Administrator fees ............................................... | – |
|
| | | | Salaries and other compensation .................................. | – |
|
| | | | Shareholder Servicing Agent fees ................................. | – |
|
| | | | Custodian fees ................................................... | – |
|
| | | | Postage .......................................................... | – |
|
| | | | Printing expenses ................................................ | – |
|
| | | | Directors’ fees .................................................. | – |
|
| | | | Registration fees ................................................ | – |
|
| | | | Taxes ............................................................ | – |
|
| | | | Interest ......................................................... | – |
|
| | | | Bookkeeping fees paid to anyone performing this service .......... | – |
|
| | | | Auditing fees .................................................... | – |
|
| | | | Legal fees ....................................................... | – |
|
| | | | Marketing/distribution payments, incl. Rule 12b-1 plan payments .. | – |
|
| | | | Amortization of organization expenses ............................ | – |
|
| | | | Shareholder meeting expenses ..................................... | – |
|
| | | | Other expenses ................................................... | – |
|
| | | | Total expenses ................................................... | 273 |
|
| | |
Expense reimbursements ($000s): 17 |
| | |
Net investment income ($000s): 1,955 |
| | |
Realized capital gains ($000s): 0 |
| | | Realized capital losses ($000s): 0 |
| | |
Net unrealized appreciation during the period ($000s): 919 |
| | | Net unrealized depreciation during the period ($000s): 0 |
| | |
Total income dividends for which the record date passed during the
period ($000s): 1,958 |
| | |
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: $0.2160 |
| | |
Distribution of capital gains: $0.0000 |
| | | Other distributions: $0.0000 |
| |
| S 5: | Financial Info — Condensed Balance Sheet Data |
| | |
| 74. | | Assets ($000s) |
| | | | Cash ............................................................. | 1,148 |
|
| | | | Repurchase agreements ............................................ | – |
|
| | | | Short-term debt securities, other than repurchase agreements ..... | – |
|
| | | | Long-term debt securities, including convertible debt ............ | 100,395 |
|
| | | | Preferred, conv. preferred and adjustable-rate preferred stock ... | – |
|
| | | | Common stock ..................................................... | – |
|
| | | | Options on equities .............................................. | – |
|
| | | | Options on all futures ........................................... | – |
|
| | | | Other investments ................................................ | – |
|
| | | | Receivables from portfolio instruments sold ...................... | – |
|
| | | | Receivables from affiliated persons .............................. | – |
|
| | | | Other receivables ................................................ | 1,144 |
|
| | | | All other assets ................................................. | – |
|
| | | | Total assets ..................................................... | 102,687 |
|
| | |
Liabilities ($000s)
Payables for portfolio instruments purchased ..................... | 1,103 |
|
| | | | Amounts owed to affiliated persons ............................... | 46 |
|
| | | | Senior long-term debt ............................................ | – |
|
| | | Other liabilities:
Reverse repurchase agreements .................................. | – |
|
| | | | Short sales .................................................... | – |
|
| | | | Written options ................................................ | – |
|
| | | | All other liabilities .......................................... | 106 |
|
| | |
Equity ($000s)
Senior equity .................................................... | – |
|
| | | | Net assets of common shareholders ................................ | 101,432 |
|
| | |
Number of shares outstanding (000s): 9,212 |
| | |
Net Asset Value (NAV) per share (to nearest cent): $11.01 |
| | |
Total number of shareholder accounts: 1,623 |
| | |
Total value of assets in segregated accounts ($000s): 0 |
| |
| 75. | | Monthly average net assets during the period ($000s): 99,150 |
| |
| Series 9 | ↑Information Common to All Funds/Series ↑List of 3 Funds/Series |
| |
| 7. | | Name: Fidelity Export & Multinational Fund — S#7498 |
| | |
Is this the final Form N-SAR filed for this Fund/Series? No |
| |
| S 9: | Investment Adviser |
| | |
| 8.1 | | Name: Fidelity Management & Research Co. (FMR) |
| | | Role: Adviser |
| | | SEC File #: 801-07884 |
| | | Location: Boston, MA |
| |
| 8.2 | | Name: Fidelity Management & Research (U.K.) Inc. |
| | | Role: Sub-Adviser |
| | | SEC File #: 801-28773 |
| | | Location: London |
| | | England |
| |
| 8.3 | | Name: Fidelity Management & Research (Far East) Inc. |
| | | Role: Sub-Adviser |
| | | SEC File #: 801-28774 |
| | | Location: Tokyo |
| | | Japan |
| |
| 8.4 | | Name: Fidelity Investments Japan Ltd. (Fij) |
| | | Role: Sub-Adviser |
| | | Location: Tokyo |
| | | Japan |
| |
| 8.5 | | Name: FMR Co., Inc. |
| | | Role: Sub-Adviser |
| | | SEC File #: 801-03447 |
| | | Location: Boston, MA |
| |
| S 9: | Shareholder Servicing/Transfer Agent |
| | |
| 12.1 | | Name: Fidelity Service Co., Inc. |
| | | SEC File #: 084-05679 |
| | | Location: Boston, MA |
| |
| S 9: | Custodian |
| | |
| 15.1 | | Name: JPMorgan Chase Bank |
| | | Role: Custodian |
| | | Location: New York, NY |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| 15.2 | | Name: The Bank of New York |
| | | Role: Custodian |
| | | Location: New York, NY |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| 15.3 | | Name: The Bank of New York |
| | | Role: Sub-Custodian |
| | | Location: New York, NY |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| 15.4 | | Name: JPMorgan Chase Bank |
| | | Role: Sub-Custodian |
| | | Location: Buenos Aires |
| | | Argentina |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.5 | | Name: JPMorgan Chase Bank |
| | | Role: Sub-Custodian |
| | | Location: Sydney |
| | | Australia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.6 | | Name: Bank Austria Creditanstalt AG |
| | | Role: Sub-Custodian |
| | | Location: Vienna |
| | | Austria |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.7 | | Name: HSBC Bank Middle East |
| | | Role: Sub-Custodian |
| | | Location: Manama |
| | | Bahrain |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.8 | | Name: Standard Chartered Bank |
| | | Role: Sub-Custodian |
| | | Location: Dhaka |
| | | Bangladesh |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.9 | | Name: Fortis Bank, N.V. |
| | | Role: Sub-Custodian |
| | | Location: Brussels |
| | | Belgium |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.10 | | Name: The Bank of Bermuda, Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Hamilton |
| | | Bermuda |
| | |
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: Canada Imperial Bank of Commerce |
| | | Role: Sub-Custodian |
| | | Location: Toronto |
| | | Canada |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.15 | | Name: Royal Bank of Canada |
| | | Role: Sub-Custodian |
| | | Location: Toronto |
| | | Canada |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.16 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Santiago |
| | | Chile |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.17 | | Name: Hongkong & Shanghai Banking Corp., Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Shanghai |
| | | China |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.18 | | Name: Hongkong & Shanghai Banking Corp., Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Shenzhen |
| | | China |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.19 | | Name: Cititrust Columbia S.A., Sociedad Fiduciaria |
| | | Role: Sub-Custodian |
| | | Location: Bogota |
| | | Columbia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.20 | | Name: Privredna Banka Zagreb D.D. |
| | | Role: Sub-Custodian |
| | | Location: Zagreb |
| | | Croatia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.21 | | Name: Ceskoslovenska Obchodni Banka, A.S. |
| | | Role: Sub-Custodian |
| | | Location: Prague |
| | | Czech Republic |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.22 | | Name: The Hongkong & Shanghai Banking Corp. Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Ho Chi Minh City |
| | | Vietnam |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.23 | | Name: Danske Bank A/S |
| | | Role: Sub-Custodian |
| | | Location: Copenhagen |
| | | Denmark |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.24 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Quito |
| | | Ecuador |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.25 | | Name: The Cyprus Popular Bank, Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Nicosa |
| | | Cyprus |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.26 | | Name: Hansabank |
| | | Role: Sub-Custodian |
| | | Location: Tallinn |
| | | Estonia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.27 | | Name: Nordea Bank Finland plc |
| | | Role: Sub-Custodian |
| | | Location: Helsinki |
| | | Finland |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.28 | | Name: BNP Paribas Securities Services S.A. |
| | | Role: Sub-Custodian |
| | | Location: Paris |
| | | France |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.29 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Caracas |
| | | Venezuela |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.30 | | Name: Societe Generale |
| | | Role: Sub-Custodian |
| | | Location: Paris |
| | | France |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.31 | | Name: Dresdner Bank A.G. |
| | | Role: Sub-Custodian |
| | | Location: Frankfurt |
| | | Germany |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.32 | | Name: Barclays Bank of Ghana Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Accra |
| | | Ghana |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.33 | | Name: HSBC Bank plc |
| | | Role: Sub-Custodian |
| | | Location: Athens |
| | | Greece |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.34 | | Name: Hongkong & Shanghai Banking Corp., Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Wan Chai |
| | | Hong Kong |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.35 | | Name: Citibank Rt. |
| | | Role: Sub-Custodian |
| | | Location: Budapest |
| | | Hungary |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.36 | | Name: Islandsbanki-Fba |
| | | Role: Sub-Custodian |
| | | Location: Reykjavik |
| | | Iceland |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.37 | | Name: Hongkong & Shanghai Banking Corp. Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Mumbai |
| | | India |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.38 | | Name: Standard Chartered Bank |
| | | Role: Sub-Custodian |
| | | Location: Mumbai |
| | | India |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.39 | | Name: Hongkong & Shanghai Banking Corp. Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Jakarta |
| | | Indonesia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.40 | | Name: Bank of Ireland |
| | | Role: Sub-Custodian |
| | | Location: Dublin |
| | | Ireland |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.41 | | Name: Barclays Bank of Zambia Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Lusaka |
| | | Zambia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.42 | | Name: Bank Leumi Le-Israel, B.M. |
| | | Role: Sub-Custodian |
| | | Location: Tel Aviv |
| | | Israel |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.43 | | Name: BNP Paribas Securities Services S.A. |
| | | Role: Sub-Custodian |
| | | Location: Milan |
| | | Italy |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.44 | | Name: Societe Generale De Banques En Cote D’Ivoire |
| | | Role: Sub-Custodian |
| | | Location: Abidjan |
| | | Ivory Coast |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.45 | | Name: First Caribbean Trust & Merchant Bank Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Kingston |
| | | Jamaica |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.46 | | Name: Mizuho Corporate Bank, Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Tokyo |
| | | Japan |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.47 | | Name: Bank of Tokyo-Mitsubishi Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Tokyo |
| | | Japan |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.48 | | Name: Arab Bank, plc |
| | | Role: Sub-Custodian |
| | | Location: Amman |
| | | Jordan |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.49 | | Name: Abn Amro Bank Kazakhstan |
| | | Role: Sub-Custodian |
| | | Location: Almaty |
| | | Kazakhstan |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.50 | | Name: Barclays Bank of Kenya Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Nairobi |
| | | Kenya |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.51 | | Name: Hansabanka |
| | | Role: Sub-Custodian |
| | | Location: Riga |
| | | Latvia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.52 | | Name: HSBC Bank Middle East |
| | | Role: Sub-Custodian |
| | | Location: Beirut |
| | | Lebanon |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.53 | | Name: Vilniaus Bankas AB |
| | | Role: Sub-Custodian |
| | | Location: Vilnius |
| | | Lithuania |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.54 | | Name: Banque Generale Du Luxembourg S.A. |
| | | Role: Sub-Custodian |
| | | Location: Luxembourg |
| | | Luxembourg |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.55 | | Name: HSBC Bank Malaysia Berhad |
| | | Role: Sub-Custodian |
| | | Location: Kuala Lumpur |
| | | Malaysia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.56 | | Name: Barclays Bank of Zimbabwe Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Harare |
| | | Zimbabwe |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.57 | | Name: Hongkong & Shanghai Banking Corp. Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Port Louis |
| | | Mauritius |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.58 | | Name: Banco Nacional de Mexico, S.A. |
| | | Role: Sub-Custodian |
| | | Location: Mexico City |
| | | Mexico |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.59 | | Name: Banco J.P. Morgan, S.A. |
| | | Role: Sub-Custodian |
| | | Location: Mexico City |
| | | Mexico |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.60 | | Name: Banque Commerciale Du Maroc S.A. |
| | | Role: Sub-Custodian |
| | | Location: Casablanca |
| | | Morocco |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.61 | | Name: Standard Bank Namibia Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Windhoek |
| | | Namibia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.62 | | Name: Abn-Ambro, Bank N.V. |
| | | Role: Sub-Custodian |
| | | Location: De Breda |
| | | Netherlands |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.63 | | Name: Fortis Bank (Nederland) N.V. |
| | | Role: Sub-Custodian |
| | | Location: Amsterdam |
| | | Netherlands |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.64 | | Name: National Nominees Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Auckland |
| | | New Zealand |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.65 | | Name: Stanbic Bank Nigeria Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Lagos |
| | | Nigeria |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.66 | | Name: Den Norske Bank Asa |
| | | Role: Sub-Custodian |
| | | Location: Oslo |
| | | Norway |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.67 | | Name: HSBC Bank Middle East |
| | | Role: Sub-Custodian |
| | | Location: Muscat |
| | | Oman |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.68 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Karachi |
| | | Pakistan |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.69 | | Name: Standard Chartered Bank |
| | | Role: Sub-Custodian |
| | | Location: Karachi |
| | | Pakistan |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.70 | | Name: Deutsche Bank AG |
| | | Role: Sub-Custodian |
| | | Location: Karachi |
| | | Pakistan |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.71 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Lima |
| | | Peru |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.72 | | Name: Hong Kong & Shanghai Banking Corp., Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Manila |
| | | Philippines |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.73 | | Name: Bank Handlowy W. Warszawie S.A. |
| | | Role: Sub-Custodian |
| | | Location: Warsaw |
| | | Poland |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.74 | | Name: The Hongkong & Shanghai Banking Corp. Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Taipei |
| | | Taiwan |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.75 | | Name: Banco Espirito Santo, S.A. |
| | | Role: Sub-Custodian |
| | | Location: Lisbon |
| | | Portugal |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.76 | | Name: ING Bank N.V. |
| | | Role: Sub-Custodian |
| | | Location: Bucharest |
| | | Romania |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.77 | | Name: J.P. Morgan Bank International LLC |
| | | Role: Sub-Custodian |
| | | Location: Moscow |
| | | Russia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.78 | | Name: ING Bank (Eurasia) Zao |
| | | Role: Sub-Custodian |
| | | Location: Moscow |
| | | Russia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.79 | | Name: HSBC Bank Malta P.L.C. |
| | | Role: Sub-Custodian |
| | | Location: Valleta |
| | | Malta |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.80 | | Name: Standard Chartered Bank |
| | | Role: Sub-Custodian |
| | | Location: Singapore |
| | | Singapore |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.81 | | Name: Ceskoslovenska Obchodni Banka, A.S. |
| | | Role: Sub-Custodian |
| | | Location: Bratislava |
| | | Slovak Republic |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.82 | | Name: Citibank N.A. |
| | | Role: Sub-Custodian |
| | | Location: Cairo |
| | | Egypt |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.83 | | Name: Bank Austria Creditanstalt D.D Ljubljana. |
| | | Role: Sub-Custodian |
| | | Location: Ljubljana |
| | | Slovenia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.84 | | Name: Standard Bank of South Africa, Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Johannesburg |
| | | South Africa |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.85 | | Name: Hongkong & Shanghai Banking Corp., Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Seoul |
| | | South Korea |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.86 | | Name: Standard Chartered Bank |
| | | Role: Sub-Custodian |
| | | Location: Seoul |
| | | South Korea |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.87 | | Name: Banco Santander Central Hispano, S.A. |
| | | Role: Sub-Custodian |
| | | Location: Madrid |
| | | Spain |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.88 | | Name: Hongkong & Shanghai Banking Corp. Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Colombo |
| | | Sri Lanka |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.89 | | Name: Skandinaviska Enskilda Banken |
| | | Role: Sub-Custodian |
| | | Location: Stockholm |
| | | Sweden |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.90 | | Name: UBS AG |
| | | Role: Sub-Custodian |
| | | Location: Zurich |
| | | Switzerland |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.91 | | Name: JPMorgan Chase Bank |
| | | Role: Sub-Custodian |
| | | Location: Taipei |
| | | Taiwan |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.92 | | Name: Standard Chartered Bank |
| | | Role: Sub-Custodian |
| | | Location: Bangkok |
| | | Thailand |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.93 | | Name: Banque Internationale Arabe de Tunisie, S.A. |
| | | Role: Sub-Custodian |
| | | Location: Tunis |
| | | Tunsia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.94 | | Name: JPMorgan Chase Bank |
| | | Role: Sub-Custodian |
| | | Location: Istanbul |
| | | Turkey |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.95 | | Name: ING Bank |
| | | Role: Sub-Custodian |
| | | Location: Kiev |
| | | Ukraine |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.96 | | Name: HSBC Bank Middle East |
| | | Role: Sub-Custodian |
| | | Location: Dubai |
| | | United Arab Emirates |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.97 | | Name: JPMorgan Chase Bank |
| | | Role: Sub-Custodian |
| | | Location: London |
| | | United Kingdom |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.98 | | Name: Bankboston, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Montevideo |
| | | Uruguay |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.99 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: New York, NY |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| S 9: | 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: Citigroup, Inc. |
| | | IRS #: 13-5266470 |
| | | Type of security owned: Equity |
| | | Value of securities owned at period end ($000s): 14,043 |
| |
| 25.2 | | Name: Morgan Stanley & Co., Inc. |
| | | IRS #: 13-2655998 |
| | | Type of security owned: Equity |
| | | Value of securities owned at period end ($000s): 9,636 |
| |
| 25.3 | | Name: Merrill Lynch, Inc. |
| | | IRS #: 13-5674085 |
| | | Type of security owned: Equity |
| | | Value of securities owned at period end ($000s): 9,157 |
| |
| 25.4 | | Name: Goldman Sachs & Co. |
| | | IRS #: 13-5108880 |
| | | Type of security owned: Equity |
| | | Value of securities owned at period end ($000s): 5,098 |
| |
| 25.5 | | Name: Lehman Brothers, Inc. |
| | | IRS #: 13-2518466 |
| | | Type of security owned: Equity |
| | | Value of securities owned at period end ($000s): 4,394 |
| |
| 25.6 | | Name: (See a prior Form N-SAR for who was...) Deleted |
| |
| 25.7 | | Name: (See a prior Form N-SAR for who was...) Deleted |
| |
| S 9: | 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) ............................ | 54,083 |
|
| | | | Reinvestment of dividends and distributions ................ | – |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 12,868 |
|
| | | 2nd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 19,357 |
|
| | | | Reinvestment of dividends and distributions ................ | 914 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 18,128 |
|
| | | 3rd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 27,474 |
|
| | | | Reinvestment of dividends and distributions ................ | – |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 11,411 |
|
| | | 4th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 15,547 |
|
| | | | Reinvestment of dividends and distributions ................ | 1,414 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 11,839 |
|
| | | 5th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 22,009 |
|
| | | | Reinvestment of dividends and distributions ................ | – |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 17,209 |
|
| | | 6th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 8,500 |
|
| | | | Reinvestment of dividends and distributions ................ | – |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 14,382 |
|
| | |
Total of all months: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................ | 146,970 |
|
| | | | Reinvestment of dividends and distributions ................ | 2,328 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 85,837 |
|
| | |
Total NAV of the Registrant’s/Series’ share sales during the period
subject to a sales load ($000s): 0 |
| |
| S 9: | 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 |
| |
| 37. | | Did the Registrant/Series impose a redemption fee other than a deferred
or contingent sales load during the period? Yes |
| |
| 38. | | Total amount of redemption fees other than deferred or contingent
deferred sales loads collected from redemptions and repurchases of the
Registrant’s/Series’ shares during the period ($000s): 19 |
| |
| 39. | | Were any account maintenance fees or other administrative fees imposed
directly on shareholders during the period? No |
| |
| S 9: | 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? No |
| |
| S 9: | 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? No |
| |
| 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? Yes |
| |
| 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 ........................................ Yes |
| | | Determination of offering and redemption prices ........................ No |
| | | Trading department ..................................................... Yes |
| | | Prospectus preparation and printing for current shareholders ........... Yes |
| | | Other .................................................................. Yes |
| |
| S 9: | 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 |
| |
| S 9: | 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 |
| |
| S 9: | 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 No |
| | | Investments in shares of other investment companies? Yes to both |
| | | 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 No |
| | | Purchases/sales by certain exempted affiliated persons? Yes to both |
| | | Margin purchases? No – |
| | | Short selling? Yes No |
| |
| S 9: | Portfolio Turnover |
| | |
| 71. | | Portfolio turnover rate for the period:
|
| | | Purchases ($000s): 582,255 |
| | | Sales ($000s): 516,738 |
| | |
Monthly average Value of portfolio ($000s): 639,466 |
| | |
Percent turnover (lesser of Purchases or Sales, divided by Value): 81% |
| |
| S 9: | 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 .............................................. | 533 |
|
| | | | Net dividend income .............................................. | 4,963 |
|
| | | | Account maintenance fees ......................................... | – |
|
| | | | Net other income ................................................. | 17 |
|
| | |
Expenses ($000s)
Advisory fees .................................................... | 1,907 |
|
| | | | Administrator fees ............................................... | – |
|
| | | | Salaries and other compensation .................................. | – |
|
| | | | Shareholder Servicing Agent fees ................................. | 907 |
|
| | | | Custodian fees ................................................... | 19 |
|
| | | | Postage .......................................................... | – |
|
| | | | Printing expenses ................................................ | – |
|
| | | | Directors’ fees .................................................. | 1 |
|
| | | | Registration fees ................................................ | 25 |
|
| | | | Taxes ............................................................ | – |
|
| | | | Interest ......................................................... | – |
|
| | | | Bookkeeping fees paid to anyone performing this service .......... | 106 |
|
| | | | Auditing fees .................................................... | 18 |
|
| | | | Legal fees ....................................................... | 14 |
|
| | | | Marketing/distribution payments, incl. Rule 12b-1 plan payments .. | – |
|
| | | | Amortization of organization expenses ............................ | – |
|
| | | | Shareholder meeting expenses ..................................... | – |
|
| | | | Other expenses ................................................... | 89 |
|
| | | | Total expenses ................................................... | 3,086 |
|
| | |
Expense reimbursements ($000s): 237 |
| | |
Net investment income ($000s): 2,664 |
| | |
Realized capital gains ($000s): 0 |
| | | Realized capital losses ($000s): 37,838 |
| | |
Net unrealized appreciation during the period ($000s): 16,888 |
| | | Net unrealized depreciation during the period ($000s): 0 |
| | |
Total income dividends for which the record date passed during the
period ($000s): 2,415 |
| | |
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: $0.0500 |
| | |
Distribution of capital gains: $0.0000 |
| | | Other distributions: $0.0000 |
| |
| S 9: | Financial Info — Condensed Balance Sheet Data |
| | |
| 74. | | Assets ($000s) |
| | | | Cash ............................................................. | – |
|
| | | | Repurchase agreements ............................................ | – |
|
| | | | Short-term debt securities, other than repurchase agreements ..... | – |
|
| | | | Long-term debt securities, including convertible debt ............ | 2,610 |
|
| | | | Preferred, conv. preferred and adjustable-rate preferred stock ... | – |
|
| | | | Common stock ..................................................... | 641,355 |
|
| | | | Options on equities .............................................. | – |
|
| | | | Options on all futures ........................................... | – |
|
| | | | Other investments ................................................ | 889 |
|
| | | | Receivables from portfolio instruments sold ...................... | 11,958 |
|
| | | | Receivables from affiliated persons .............................. | – |
|
| | | | Other receivables ................................................ | 1,803 |
|
| | | | All other assets ................................................. | – |
|
| | | | Total assets ..................................................... | 658,615 |
|
| | |
Liabilities ($000s)
Payables for portfolio instruments purchased ..................... | 11,254 |
|
| | | | Amounts owed to affiliated persons ............................... | 313 |
|
| | | | Senior long-term debt ............................................ | – |
|
| | | Other liabilities:
Reverse repurchase agreements .................................. | – |
|
| | | | Short sales .................................................... | – |
|
| | | | Written options ................................................ | – |
|
| | | | All other liabilities .......................................... | 845 |
|
| | |
Equity ($000s)
Senior equity .................................................... | – |
|
| | | | Net assets of common shareholders ................................ | 646,203 |
|
| | |
Number of shares outstanding (000s): 48,924 |
| | |
Net Asset Value (NAV) per share (to nearest cent): $13.21 |
| | |
Total number of shareholder accounts: 93,225 |
| | |
Total value of assets in segregated accounts ($000s): 0 |
| |
| 75. | | Monthly average net assets during the period ($000s): 652,062 |
| |
| Series 10 | ↑Information Common to All Funds/Series ↑List of 3 Funds/Series |
| |
| 7. | | Name: Spartan Arizona Municipal Income Fund — N-SARs |
| | |
Is this the final Form N-SAR filed for this Fund/Series? No |
| |
| S10: | Investment Adviser |
| | |
| 8.1 | | Name: Fidelity Management & Research Co. (FMR) |
| | | Role: Adviser |
| | | SEC File #: 801-07884 |
| | | Location: Boston, MA |
| |
| 8.2 | | Name: Fidelity Investments Money Management, Inc. |
| | | Role: Sub-Adviser |
| | | SEC File #: 801-34590 |
| | | Location: Merrimack, NH |
| |
| S10: | Shareholder Servicing/Transfer Agent |
| | |
| 12.1 | | Name: Citibank, N.A. |
| | | Location: New York, NY |
| |
| 12.2 | | Name: Fidelity Service Co., Inc. |
| | | SEC File #: 084-05679 |
| | | Location: Boston, MA |
| |
| S10: | Custodian |
| | |
| 15.1 | | Name: Citibank N.A. |
| | | Role: Custodian |
| | | Location: New York, NY |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| 15.2 | | Name: The Bank of New York Co., Inc. |
| | | Role: Custodian |
| | | Location: New York, NY |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| 15.3 | | Name: (See a prior Form N-SAR for who was...) Deleted |
| |
| 15.4 | | Name: The Bank of New York Co., Inc. |
| | | Role: Sub-Custodian |
| | | Location: New York, NY |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| 15.5 | | Name: JPMorgan Chase Bank |
| | | Role: Sub-Custodian |
| | | Location: New York, NY |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| 15.6 | | Name: Deutsche Bank Trust Co. Americas |
| | | Role: Sub-Custodian |
| | | Location: New York, NY |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| 15.7 | | Name: Bank of America |
| | | Role: Sub-Custodian |
| | | Location: Charlotte, NC |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| 15.8 | | Name: (See a prior Form N-SAR for who was...) Deleted |
| |
| 15.9 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Buenos Aires |
| | | Argentina |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.10 | | Name: Citicorp Nominees Pty, Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Melbourne |
| | | Australia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.11 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Milan |
| | | Austria |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.12 | | Name: Standard Chartered Bank plc |
| | | Role: Sub-Custodian |
| | | Location: Dhaka |
| | | Bangladesh |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.13 | | Name: Fortis Bank, N.A./S.A. |
| | | Role: Sub-Custodian |
| | | Location: Brussels |
| | | Belgium |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.14 | | Name: Bank of Bermuda |
| | | Role: Sub-Custodian |
| | | Location: Hamilton |
| | | Bermuda |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.15 | | Name: Citibank, N.A., La Paz |
| | | Role: Sub-Custodian |
| | | Location: La Paz |
| | | Bolivia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.16 | | Name: Barclays Bank of Botswana Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Gaborone |
| | | Botswana |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.17 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Sao Paulo |
| | | Brazil |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.18 | | Name: SG Expressbank |
| | | Role: Sub-Custodian |
| | | Location: Sofia |
| | | Bulgaria |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.19 | | Name: Citibank Canada |
| | | Role: Sub-Custodian |
| | | Location: Toronto |
| | | Canada |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.20 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Santiago |
| | | Chile |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.22 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Seoul |
| | | Korea |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.23 | | Name: Ciitrust Colombia S.A. |
| | | Role: Sub-Custodian |
| | | Location: Bogota |
| | | Colombia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.24 | | Name: Banco BCT S.A. |
| | | Role: Sub-Custodian |
| | | Location: San Jose |
| | | Costa Rica |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.25 | | Name: Privredna Banka |
| | | Role: Sub-Custodian |
| | | Location: Zagreb |
| | | Croatia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.26 | | Name: Citibank A.S. |
| | | Role: Sub-Custodian |
| | | Location: Prague |
| | | Czech Republic |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.27 | | Name: Nordea Bank Danmark A/S |
| | | Role: Sub-Custodian |
| | | Location: Taastrup |
| | | Denmark |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.28 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Quito |
| | | Ecuador |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.29 | | Name: (See a prior Form N-SAR for who was...) Deleted |
| |
| 15.30 | | Name: Hansabank |
| | | Role: Sub-Custodian |
| | | Location: Talinn |
| | | Estonia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.31 | | Name: Nordea Bank Finland plc |
| | | Role: Sub-Custodian |
| | | Location: Helsinki |
| | | Finland |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.32 | | Name: Citibank International plc |
| | | Role: Sub-Custodian |
| | | Location: Paris |
| | | France |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.33 | | Name: Citibank Aktiengesellschaft (A.G.) |
| | | Role: Sub-Custodian |
| | | Location: Frankfurt |
| | | Germany |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.34 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Athens |
| | | Greece |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.35 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Hong Kong |
| | | Hong Kong |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.36 | | Name: Citibank Rt. (CBRT) |
| | | Role: Sub-Custodian |
| | | Location: Budapest |
| | | Hungary |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.37 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Bombay |
| | | India |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.38 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Jakarta Selatan |
| | | Indonesia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.39 | | Name: Citibank |
| | | Role: Sub-Custodian |
| | | Location: Dublin |
| | | Ireland |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.40 | | Name: Bank Hapoalim B.M. |
| | | Role: Sub-Custodian |
| | | Location: Tel Aviv |
| | | Israel |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.41 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Milan |
| | | Italy |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.42 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Tokyo |
| | | Japan |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.43 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Amman |
| | | Jordan |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.44 | | Name: Hansabanka |
| | | Role: Sub-Custodian |
| | | Location: Riga |
| | | Latvia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.45 | | Name: Hansabanka |
| | | Role: Sub-Custodian |
| | | Location: Vilniaus |
| | | Lithuania |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.46 | | Name: Citibank NA |
| | | Role: Sub-Custodian |
| | | Location: Seoul |
| | | Korea |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.47 | | Name: Citibank, Berhad |
| | | Role: Sub-Custodian |
| | | Location: Kuala Lumpur |
| | | Malaysia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.48 | | Name: The Hongkong & Shanghai Banking Corp., Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Port Louis |
| | | Mauritius |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.49 | | Name: Banamex |
| | | Role: Sub-Custodian |
| | | Location: Mexico City |
| | | Mexico |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.50 | | Name: Citibank Maghreb |
| | | Role: Sub-Custodian |
| | | Location: Casablanca |
| | | Morocco |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.51 | | Name: Citibank International, plc |
| | | Role: Sub-Custodian |
| | | Location: Amsterdam |
| | | Netherlands |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.52 | | Name: Citibank NA |
| | | Role: Sub-Custodian |
| | | Location: Melbourne |
| | | New Zealand |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.53 | | Name: Nordea Bank Norge Asa |
| | | Role: Sub-Custodian |
| | | Location: Oslo |
| | | Norway |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.54 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Karachi |
| | | Pakistan |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.55 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Lima |
| | | Peru |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.56 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Manila |
| | | Philippines |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.57 | | Name: Bank Handlowy W. Warszawie, S.A. |
| | | Role: Sub-Custodian |
| | | Location: Warsaw |
| | | Poland |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.58 | | Name: Citibank International plc |
| | | Role: Sub-Custodian |
| | | Location: Lisbon |
| | | Portugal |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.60 | | Name: Citibank Romania S.A. |
| | | Role: Sub-Custodian |
| | | Location: Bucharest |
| | | Romania |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.61 | | Name: Citibank T/O |
| | | Role: Sub-Custodian |
| | | Location: Moscow |
| | | Russia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.62 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Singapore |
| | | Singapore |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.63 | | Name: Ceskoslovenska Obchodna Banka, S.A. |
| | | Role: Sub-Custodian |
| | | Location: Bratislava |
| | | Slovak Republic |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.64 | | Name: Bank Austria Creditanstalt D.D. (Baca) |
| | | Role: Sub-Custodian |
| | | Location: Ljubljana |
| | | Slovenia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.65 | | Name: First National Bank of Southern Africa Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Johannesburg |
| | | South Africa |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.67 | | Name: Citibank International plc |
| | | Role: Sub-Custodian |
| | | Location: Madrid |
| | | Spain |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.68 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Colombo |
| | | Sri Lanka |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.69 | | Name: Skandinaviska Enskilda Banken |
| | | Role: Sub-Custodian |
| | | Location: Stockholm |
| | | Sweden |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.70 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Zurich |
| | | Switzerland |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.71 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Taipei |
| | | Taiwan |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.72 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Bangkok |
| | | Thailand |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.73 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Istanbul |
| | | Turkey |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.74 | | Name: Citibank N.A. |
| | | Role: Sub-Custodian |
| | | Location: Cairo |
| | | Egypt |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.75 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: London |
| | | United Kingdom |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.76 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Caracas |
| | | Venezuela |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.77 | | Name: Barclays Bank of Zimbabwe |
| | | Role: Sub-Custodian |
| | | Location: Harare |
| | | Zimbabwe |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.78 | | Name: Citibank N.A. |
| | | Role: Sub-Custodian |
| | | Location: Rio Pedras |
| | | Puerto Rico |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| S10: | 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? No |
| |
| S10: | 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) ............................ | 6,008 |
|
| | | | Reinvestment of dividends and distributions ................ | 157 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 192 |
|
| | | 2nd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 2,185 |
|
| | | | Reinvestment of dividends and distributions ................ | 610 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 3,356 |
|
| | | 3rd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 2,350 |
|
| | | | Reinvestment of dividends and distributions ................ | 164 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 1,984 |
|
| | | 4th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 2,012 |
|
| | | | Reinvestment of dividends and distributions ................ | 171 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 1,220 |
|
| | | 5th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 1,525 |
|
| | | | Reinvestment of dividends and distributions ................ | 172 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 3,104 |
|
| | | 6th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 3,945 |
|
| | | | Reinvestment of dividends and distributions ................ | 151 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 1,159 |
|
| | |
Total of all months: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................ | 18,025 |
|
| | | | Reinvestment of dividends and distributions ................ | 1,425 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 11,015 |
|
| | |
Total NAV of the Registrant’s/Series’ share sales during the period
subject to a sales load ($000s): 0 |
| |
| S10: | 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 |
| |
| 37. | | Did the Registrant/Series impose a redemption fee other than a deferred
or contingent sales load during the period? Yes |
| |
| 38. | | Total amount of redemption fees other than deferred or contingent
deferred sales loads collected from redemptions and repurchases of the
Registrant’s/Series’ shares during the period ($000s): 1 |
| |
| 39. | | Were any account maintenance fees or other administrative fees imposed
directly on shareholders during the period? No |
| |
| S10: | 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? No |
| |
| S10: | 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: 0.55% |
| | | 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 ....................................... Yes |
| | | Services of outside counsel ............................................ Yes |
| | | Registration and filing fees ........................................... Yes |
| | | 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 ........................................ Yes |
| | | Determination of offering and redemption prices ........................ Yes |
| | | Trading department ..................................................... Yes |
| | | Prospectus preparation and printing for current shareholders ........... Yes |
| | | Other .................................................................. Yes |
| |
| S10: | 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 |
| |
| S10: | 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: $10,000 |
| |
| 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 ............................... 0.0% |
| | | U.S. Government Agency ...................... 0.0 |
| | | Repurchase agreements ....................... 0.0 |
| | | 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 ............................... 0.0% |
| | | U.S. Government Agency ...................... 0.0 |
| | | State and Municipal – tax-free .............. 98.3 |
| | | Corporate ................................... 0.0 |
| | | All other ................................... 0.0 |
| | |
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: 12.4 |
| |
| 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 |
| |
| S10: | 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? No – |
| | | Writing or investing in options on equities? No – |
| | | Writing or investing in options on debt securities? Yes No |
| | | Writing or investing in options on stock indices? No – |
| | | Writing or investing in interest rate futures? Yes No |
| | | Writing or investing in stock index futures? No – |
| | | Writing or investing in options on futures? Yes No |
| | | Writing or investing in options on stock index futures? No – |
| | | Writing or investing in other commodity futures? No – |
| | | Investments in restricted securities? Yes No |
| | | Investments in shares of other investment companies? Yes No |
| | | Investments in securities of foreign issuers? No – |
| | | Currency exchange transactions? No – |
| | | Loaning portfolio securities? No – |
| | | Borrowing of money? Yes No |
| | | Purchases/sales by certain exempted affiliated persons? Yes to both |
| | | Margin purchases? Yes No |
| | | Short selling? Yes No |
| |
| S10: | Portfolio Turnover |
| | |
| 71. | | Portfolio turnover rate for the period:
|
| | | Purchases ($000s): 11,193 |
| | | Sales ($000s): 1,927 |
| | |
Monthly average Value of portfolio ($000s): 70,255 |
| | |
Percent turnover (lesser of Purchases or Sales, divided by Value): 3% |
| |
| S10: | 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 .............................................. | 1,527 |
|
| | | | Net dividend income .............................................. | – |
|
| | | | Account maintenance fees ......................................... | – |
|
| | | | Net other income ................................................. | – |
|
| | |
Expenses ($000s)
Advisory fees .................................................... | 197 |
|
| | | | Administrator fees ............................................... | – |
|
| | | | Salaries and other compensation .................................. | – |
|
| | | | Shareholder Servicing Agent fees ................................. | – |
|
| | | | Custodian fees ................................................... | – |
|
| | | | Postage .......................................................... | – |
|
| | | | Printing expenses ................................................ | – |
|
| | | | Directors’ fees .................................................. | – |
|
| | | | Registration fees ................................................ | – |
|
| | | | Taxes ............................................................ | – |
|
| | | | Interest ......................................................... | – |
|
| | | | Bookkeeping fees paid to anyone performing this service .......... | – |
|
| | | | Auditing fees .................................................... | – |
|
| | | | Legal fees ....................................................... | – |
|
| | | | Marketing/distribution payments, incl. Rule 12b-1 plan payments .. | – |
|
| | | | Amortization of organization expenses ............................ | – |
|
| | | | Shareholder meeting expenses ..................................... | – |
|
| | | | Other expenses ................................................... | – |
|
| | | | Total expenses ................................................... | 197 |
|
| | |
Expense reimbursements ($000s): 13 |
| | |
Net investment income ($000s): 1,343 |
| | |
Realized capital gains ($000s): 17 |
| | | Realized capital losses ($000s): 0 |
| | |
Net unrealized appreciation during the period ($000s): 910 |
| | | Net unrealized depreciation during the period ($000s): 0 |
| | |
Total income dividends for which the record date passed during the
period ($000s): 1,341 |
| | |
Total capital gains distributions for which the record date passed
during the period ($000s): 565 |
| |
| 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: $0.2150 |
| | |
Distribution of capital gains: $0.0900 |
| | | Other distributions: $0.0000 |
| |
| S10: | Financial Info — Condensed Balance Sheet Data |
| | |
| 74. | | Assets ($000s) |
| | | | Cash ............................................................. | 2,440 |
|
| | | | Repurchase agreements ............................................ | – |
|
| | | | Short-term debt securities, other than repurchase agreements ..... | – |
|
| | | | Long-term debt securities, including convertible debt ............ | 73,639 |
|
| | | | Preferred, conv. preferred and adjustable-rate preferred stock ... | – |
|
| | | | Common stock ..................................................... | – |
|
| | | | Options on equities .............................................. | – |
|
| | | | Options on all futures ........................................... | – |
|
| | | | Other investments ................................................ | – |
|
| | | | Receivables from portfolio instruments sold ...................... | – |
|
| | | | Receivables from affiliated persons .............................. | – |
|
| | | | Other receivables ................................................ | 745 |
|
| | | | All other assets ................................................. | – |
|
| | | | Total assets ..................................................... | 76,824 |
|
| | |
Liabilities ($000s)
Payables for portfolio instruments purchased ..................... | 1,616 |
|
| | | | Amounts owed to affiliated persons ............................... | 33 |
|
| | | | Senior long-term debt ............................................ | – |
|
| | | Other liabilities:
Reverse repurchase agreements .................................. | – |
|
| | | | Short sales .................................................... | – |
|
| | | | Written options ................................................ | – |
|
| | | | All other liabilities .......................................... | 270 |
|
| | |
Equity ($000s)
Senior equity .................................................... | – |
|
| | | | Net assets of common shareholders ................................ | 74,905 |
|
| | |
Number of shares outstanding (000s): 6,468 |
| | |
Net Asset Value (NAV) per share (to nearest cent): $11.58 |
| | |
Total number of shareholder accounts: 997 |
| | |
Total value of assets in segregated accounts ($000s): 0 |
| |
| 75. | | Monthly average net assets during the period ($000s): 71,563 |
| |
| Signature | | ↑Top of Form N-SAR |
| | | |
| | | /s/ John H. Costello |
| | | Name: John H. Costello |
| | | Title: Assistant Treasurer |
