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| Report |
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| | | | Registrant: Transamerica Funds — List all N-SARs |
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Annual Report for the 2nd-half period ended at fiscal year end: 12/31/17 |
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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 |
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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: 787623 |
| | | SEC File #: 811-04556 |
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Telephone #: 720-493-4256 |
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| 2. | | Address: 1801 California Street, Suite 5200 |
| | | Denver, CO 80202 |
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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: 71 |
| | | The number of separate Funds/Series (portfolios) reported here: 1... |
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| ↓ | Series 1: N/A — N-SARs: See Note below. |
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Note: This Form N-SAR has a Series name that is missing from the ↑Filing’s 1. |
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Unresolvable Name or Missing Fund/Series
|
| | | Series: Transamerica Stock Index — S#54675 ⇒ TSTRX & TSTFX |
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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: 135 |
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The Identification Code of the family for Form N-SAR Filings: TRANSAMERI |
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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 |
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EX-99.77B: Accountant’s Report re: Internal Controls? Yes |
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EX-99.77Q1: Other Disclosure? 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 Funds/Series Reported Here |
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Information Common to All Funds/Series |
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| All: | Administrator |
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| 10.1 | | Name: Transamerica Fund Services, Inc. |
| | | SEC File #: 084-06130 |
| | | Location: Denver, CO |
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| All: | Principal Underwriter |
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| 11.1 | | Name: Transamerica Capital, Inc. |
| | | SEC File #: 008-24829 |
| | | Location: Denver, CO |
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| All: | Shareholder Servicing/Transfer Agent |
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| 12.1 | | Name: Transamerica Fund Services, Inc. |
| | | SEC File #: 084-06130 |
| | | Location: Denver, CO |
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| 12.2 | | Name: Boston Financial Data Services, Inc. |
| | | SEC File #: 084-00896 |
| | | Location: Quincy, MA |
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| All: | Independent Public Accountant |
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| 13.1 | | Name: Ernst & Young, LLP |
| | | Location: Boston, MA |
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| All: | Affiliated Broker/Dealer |
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| 14.1 | | Name: Transamerica Investors Securities Corp. |
| | | SEC File #: 008-45671 |
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| 14.2 | | Name: Transamerica Capital, Inc. |
| | | SEC File #: 008-24829 |
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| 14.3 | | Name: Transamerica Financial Advisors, Inc. |
| | | SEC File #: 008-33429 |
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| All: | Custodian |
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| 15.1 | | Name: State Street Bank & Trust Co. |
| | | Role: Custodian |
| | | Location: Boston, MA |
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Type of custody: Section 17(f)(1) — Bank |
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| 15.2 | | Name: The Hongkong & Shanghai Banking Corp. Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Sydney |
| | | Australia |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.3 | | Name: The Hongkong & Shanghai Banking Corp. Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Auckland |
| | | New Zealand |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.4 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Sao Paulo |
| | | Brazil |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.5 | | Name: UBS AG |
| | | Role: Sub-Custodian |
| | | Location: Zurich |
| | | Switzerland |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.6 | | Name: Banco Itau Chile |
| | | Role: Sub-Custodian |
| | | Location: Santiago |
| | | Chile |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.7 | | Name: Skandinaviska Enskilda Banken AB (publ) |
| | | Role: Sub-Custodian |
| | | Location: Copenhagen |
| | | Denmark |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.8 | | Name: HSBC Bank Egypt S.A.E. |
| | | Role: Sub-Custodian |
| | | Location: Cairo |
| | | Egypt |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.9 | | Name: Deutsche Bank S.A.E. |
| | | Role: Sub-Custodian |
| | | Location: Madrid |
| | | Spain |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.10 | | Name: Deutsche Bank A.G., Brussels Branch |
| | | Role: Sub-Custodian |
| | | Location: Amsterdam |
| | | Belgium |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.11 | | Name: State Street Bank & Trust Co. |
| | | Role: Sub-Custodian |
| | | Location: Edinburgh |
| | | Scotland |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.12 | | Name: BNP Paribas Securities Services, S.C.A. |
| | | Role: Sub-Custodian |
| | | Location: Athens |
| | | Cyprus |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.13 | | Name: Standard Chartered Bank (Hong Kong) Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Kwun Tong |
| | | Hong Kong |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.14 | | Name: UniCredit Bank Hungary Zrt. |
| | | Role: Sub-Custodian |
| | | Location: Budapest |
| | | Hungary |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.15 | | Name: Deutsche Bank AG |
| | | Role: Sub-Custodian |
| | | Location: Jakarta |
| | | Indonesia |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.16 | | Name: Deutsche Bank AG |
| | | Role: Sub-Custodian |
| | | Location: Mumbai |
| | | India |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.17 | | Name: Deutsche Bank S.p.A. |
| | | Role: Sub-Custodian |
| | | Location: Milan |
| | | Italy |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.18 | | Name: Mizuho Corporate Bank, Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Tokyo |
| | | Japan |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.19 | | Name: The Hongkong & Shanghai Banking Corp. Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Seoul |
| | | Korea |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.20 | | Name: Standard Chartered Bank |
| | | Role: Sub-Custodian |
| | | Location: Amman |
| | | Jordan |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.21 | | Name: Skandinaviska Enskilda Banken AB (publ) |
| | | Role: Sub-Custodian |
| | | Location: Stockholm |
| | | Sweden |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.22 | | Name: Citibank del Peru, S.A. |
| | | Role: Sub-Custodian |
| | | Location: Lima |
| | | Peru |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.23 | | Name: Deutsche Bank AG |
| | | Role: Sub-Custodian |
| | | Location: Makati City |
| | | Philippines |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.24 | | Name: Bank Handlowy w Warszawie S.A. |
| | | Role: Sub-Custodian |
| | | Location: Warsaw |
| | | Poland |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.25 | | Name: Deutsche Bank A.G., Lisbon Branch |
| | | Role: Sub-Custodian |
| | | Location: Amsterdam |
| | | Portugal |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.26 | | Name: Standard Chartered Bank (Thai) PCL |
| | | Role: Sub-Custodian |
| | | Location: Bangkok |
| | | Thailand |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.27 | | Name: Deutsche Bank A.S. |
| | | Role: Sub-Custodian |
| | | Location: Istanbul |
| | | Turkey |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.28 | | Name: Standard Bank of South Africa Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Johannesburg |
| | | Rep. of South Africa |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.29 | | Name: Unicredit Bank Czech Republic, a.s. |
| | | Role: Sub-Custodian |
| | | Location: Michle |
| | | Czech Republic |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.30 | | Name: Deutsche Bank A.G., Netherlands |
| | | Role: Sub-Custodian |
| | | Location: Amsterdam |
| | | Netherlands |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.31 | | Name: Skandinaviska Enskilda Banken AB (publ) |
| | | Role: Sub-Custodian |
| | | Location: Helsinki |
| | | Finland |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.32 | | Name: Skandinaviska Enskilda Banken AB (publ) |
| | | Role: Sub-Custodian |
| | | Location: Oslo |
| | | Norway |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.33 | | Name: Standard Chartered Bank (Taiwan) Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Taipei |
| | | Taiwan R.O.C. |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.34 | | Name: HSBC Bank (China) Co. Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Shanghai |
| | | China |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.35 | | Name: UniCredit Bank Austria AG |
| | | Role: Sub-Custodian |
| | | Location: Vienna |
| | | Austria |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.36 | | Name: HSBC Bank Middle East Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Dubai |
| | | United Arab Emirates |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.37 | | Name: Standard Chartered Bank Botswana Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Gaborone |
| | | Botswana |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.38 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Caracas |
| | | Venezuela |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.39 | | Name: Deutsche Bank AG |
| | | Role: Sub-Custodian |
| | | Location: Eschborn |
| | | Germany |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.40 | | Name: AS SEB Pank |
| | | Role: Sub-Custodian |
| | | Location: Tallinn |
| | | Estonia |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.41 | | Name: Standard Chartered Bank Ghana Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Accra |
| | | Ghana |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.42 | | Name: Zagrebacka Banka d.d. |
| | | Role: Sub-Custodian |
| | | Location: Zagreb |
| | | Croatia |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.43 | | Name: Bank Hapoalim B.M. |
| | | Role: Sub-Custodian |
| | | Location: Tel Aviv |
| | | Israel |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.44 | | Name: Deutsche Bank (Malaysia) Berhad |
| | | Role: Sub-Custodian |
| | | Location: Kuala Lumpur |
| | | Malaysia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.45 | | Name: Citibank Maghreb |
| | | Role: Sub-Custodian |
| | | Location: Casablanca |
| | | Morocco |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.46 | | Name: Stanbic IBTC Bank PIc. |
| | | Role: Sub-Custodian |
| | | Location: Lagos |
| | | Nigeria |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.47 | | Name: Citibank Europe plc, Dublin – Romania Branch |
| | | Role: Sub-Custodian |
| | | Location: Bucharest |
| | | Romania |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.48 | | Name: Banco Itau Uruguay S.A. |
| | | Role: Sub-Custodian |
| | | Location: Montevideo |
| | | Uruguay |
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Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.49 | | Name: HSBC Bank (Vietnam) Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Ho Chi Minh City |
| | | Vietnam |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.50 | | Name: Standard Chartered Bank Zambia plc |
| | | Role: Sub-Custodian |
| | | Location: Lusaka |
| | | Zambia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.51 | | Name: Deutsche Bank A.G., Paris Branch |
| | | Role: Sub-Custodian |
| | | Location: Amsterdam |
| | | France |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.52 | | Name: HSBC Bank Bermuda Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Hamilton |
| | | Bermuda |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.53 | | Name: Royal Bank of Canada |
| | | Role: Sub-Custodian |
| | | Location: Toronto |
| | | Canada |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.54 | | Name: Citibank Colombia S.A. |
| | | Role: Sub-Custodian |
| | | Location: Bogata |
| | | Colombia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.55 | | Name: Landsbankinn hf. |
| | | Role: Sub-Custodian |
| | | Location: Reykjavik |
| | | Iceland |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.56 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Mexico City |
| | | Mexico |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.57 | | Name: The Saudi British Bank |
| | | Role: Sub-Custodian |
| | | Location: Riyadh |
| | | Saudi Arabia |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.58 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Park Crescent |
| | | Singapore |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.59 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Buenos Aires |
| | | Argentina |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
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| 15.60 | | Name: HSBC Bank Middle East Ltd. |
| | | Role: Sub-Custodian |
| | | Location: Doha |
| | | Qatar |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.61 | | Name: Citibank, N.A. |
| | | Role: Sub-Custodian |
| | | Location: Panama City |
| | | Panama |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.62 | | Name: Deutsche Bank AG |
| | | Role: Sub-Custodian |
| | | Location: Seoul |
| | | Korea |
| | |
Type of custody: Rule 17f-5 — Foreign Custodian |
| |
| 15.63 | | Name: AO Citibank |
| | | Role: Sub-Custodian |
| | | Location: Moscow |
| | | Russia |
| | |
Type of custody: Rule 17f-5 — Foreign 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 |
| | |
| 20. | | The brokers who received the largest amount of gross brokerage
commissions during the period:
|
| 20.1 | | Broker: J.P. Morgan Securities LLC |
| | | IRS #: 13-2624428 |
| | | Commissions paid ($000s): 1,086 |
| |
| 20.2 | | Broker: Societe Generale |
| | | IRS #: 13-3891517 |
| | | Commissions paid ($000s): 926 |
| |
| 20.3 | | Broker: Investment Technology Group, Inc. |
| | | IRS #: 13-3757717 |
| | | Commissions paid ($000s): 903 |
| |
| 20.4 | | Broker: Goldman Sachs Group, Inc. |
| | | IRS #: 13-4019460 |
| | | Commissions paid ($000s): 875 |
| |
| 20.5 | | Broker: Citigroup, Inc. |
| | | IRS #: 52-1568099 |
| | | Commissions paid ($000s): 835 |
| |
| 20.6 | | Broker: Capital Institutional Services, Inc. |
| | | IRS #: 75-1565705 |
| | | Commissions paid ($000s): 684 |
| |
| 20.7 | | Broker: Morgan Stanley & Co., Inc. |
| | | IRS #: 36-3145972 |
| | | Commissions paid ($000s): 637 |
| |
| 20.8 | | Broker: Bank of America Corp. |
| | | IRS #: 56-0906609 |
| | | Commissions paid ($000s): 622 |
| |
| 20.9 | | Broker: Sanford C. Bernstein & Co. LLC |
| | | IRS #: 13-2625874 |
| | | Commissions paid ($000s): 594 |
| |
| 20.10 | | Broker: UBS Securities LLC |
| | | IRS #: 13-3873456 |
| | | Commissions paid ($000s): 463 |
| |
| 21. | | Total brokerage commissions paid by the Registrant during the period:
Aggregate paid ($000s): 14,631 |
| |
| All: | Portfolio Transactions with Entities Acting as Principals |
| | |
| 22. | | The entities acting as principals with whom the Registrant did the
largest amount of portfolio transactions, based on total value of
principal, during the period:
|
| 22.1 | | Entity: Credit Suisse Securities (USA) LLC |
| | | IRS #: 13-1898818 |
| | | Registrant’s purchases ($000s): 25,288,263 |
| | | Registrant’s sales ($000s): 24,568,218 |
| |
| 22.2 | | Entity: Bank of America Corp. |
| | | IRS #: 56-0906609 |
| | | Registrant’s purchases ($000s): 6,333,058 |
| | | Registrant’s sales ($000s): 5,634,408 |
| |
| 22.3 | | Entity: Wells Fargo & Co. |
| | | IRS #: 94-3379992 |
| | | Registrant’s purchases ($000s): 4,342,845 |
| | | Registrant’s sales ($000s): 4,117,486 |
| |
| 22.4 | | Entity: Citigroup, Inc. |
| | | IRS #: 52-1568099 |
| | | Registrant’s purchases ($000s): 2,963,006 |
| | | Registrant’s sales ($000s): 2,275,536 |
| |
| 22.5 | | Entity: Morgan Stanley & Co., Inc. |
| | | IRS #: 36-3145972 |
| | | Registrant’s purchases ($000s): 2,753,645 |
| | | Registrant’s sales ($000s): 2,467,212 |
| |
| 22.6 | | Entity: J.P. Morgan Securities LLC |
| | | IRS #: 13-2624428 |
| | | Registrant’s purchases ($000s): 3,042,404 |
| | | Registrant’s sales ($000s): 1,983,277 |
| |
| 22.7 | | Entity: Goldman Sachs Group, Inc. |
| | | IRS #: 13-4019460 |
| | | Registrant’s purchases ($000s): 2,107,490 |
| | | Registrant’s sales ($000s): 1,636,031 |
| |
| 22.8 | | Entity: Barclays Capital, Inc. |
| | | IRS #: 06-1031656 |
| | | Registrant’s purchases ($000s): 1,811,346 |
| | | Registrant’s sales ($000s): 1,039,171 |
| |
| 22.9 | | Entity: Bank of New York Mellon |
| | | IRS #: 13-2614959 |
| | | Registrant’s purchases ($000s): 1,792,612 |
| | | Registrant’s sales ($000s): 1,049,854 |
| |
| 22.10 | | Entity: BNP Paribas Securities Corp. |
| | | IRS #: 13-3235334 |
| | | Registrant’s purchases ($000s): 736,073 |
| | | Registrant’s sales ($000s): 777,731 |
| |
| 23. | | Total purchase/sale transactions by the Registrant during the period:
Aggregate purchases ($000s): 54,292,772 |
| | | Aggregate sales ($000s): 47,769,826 |
| |
| All: | Considerations which Affected the Participation of Brokers or Dealers |
| | |
| 26. | | Considerations which affected the participation of brokers or dealers or
other entities in commissions or other compensation paid on portfolio
transactions of the Registrant:
Consideration? |
| | | Sales of the Registrant’s/Series’ shares ............................... No |
| | | Receipt of investment research and statistical info .................... Yes |
| | | Receipt of quotations for portfolio valuations ......................... Yes |
| | | Ability to execute portfolio transactions to obtain the best price
and execution ........................................................ Yes |
| | | Receipt of telephone line and wire services ............................ No |
| | | Broker or Dealer which is an affiliated person ......................... No |
| | | An arrangement to return or credit part or all of commissions or
profits thereon...
To an Investment Adviser or Principal Underwriter, or to an
affiliated person of either ...................................... No |
| | | To the Registrant .................................................. Yes |
| | | Other .................................................................. No |
| |
| All: | Advisory Fee |
| | |
| 54. | | Indicated below are whether services were supplied or paid for wholly or
in substantial part by Investment Adviser(s) or Administrator(s) in
connection with the advisory or administrative contract(s) but for which
the Adviser(s) or Administrator(s) are not reimbursed by the Registrant:
Provided to the Registrant?
Occupancy and office rental ............................................ Yes |
| | | Clerical and bookkeeping services ...................................... Yes |
| | | Accounting services .................................................... No |
| | | Services of independent auditors ....................................... No |
| | | Services of outside counsel ............................................ No |
| | | Registration and filing fees ........................................... No |
| | | Stationery, supplies and printing ...................................... Yes |
| | | Salaries & compensation of Registrant’s interested Directors ........... Yes |
| | | Salaries & compensation of Registrant’s disinterested Directors ........ No |
| | | Salaries & compensation of Registrant’s Officers who aren’t Directors .. Yes |
| | | Reports to current shareholders ........................................ No |
| | | Determination of offering and redemption prices ........................ No |
| | | Trading department ..................................................... No |
| | | Prospectus preparation and printing for current shareholders ........... No |
| | | Other .................................................................. No |
| |
| Series 1 | ↑Information Common to All Funds/Series ↑List of Funds/Series |
| |
| 7. | | Name: N/A — N-SARs: See Note above. |
| | |
Is this the final Form N-SAR filed for this Fund/Series? No |
| |
| S 1: | 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) ............................ | – |
|
| | | | Reinvestment of dividends and distributions ................ | – |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | – |
|
| | | 2nd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | – |
|
| | | | Reinvestment of dividends and distributions ................ | – |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | – |
|
| | | 3rd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | – |
|
| | | | Reinvestment of dividends and distributions ................ | – |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | – |
|
| | | 4th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | – |
|
| | | | Reinvestment of dividends and distributions ................ | – |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | – |
|
| | | 5th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | – |
|
| | | | Reinvestment of dividends and distributions ................ | – |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | – |
|
| | | 6th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | – |
|
| | | | Reinvestment of dividends and distributions ................ | – |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | – |
|
| | |
Total of all months: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................ | – |
|
| | | | Reinvestment of dividends and distributions ................ | – |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | – |
|
| | |
Total NAV of the Registrant’s/Series’ share sales during the period
subject to a sales load ($000s): 0 |
| |
| S 1: | Sales Load (Front-End or Deferred) and Fees (Redemption or Maintenance) |
| | |
| 30. | | Total front-end sales loads collected from sales (including exchanges)
by Principal Underwriter or by any underwriter which is an affiliated
person of the Principal Underwriter, of the Registrant’s/Series’ shares
during the period ($000s): 0 |
| | |
The maximum sales load rate in effect at period end as a percentage of
the offering price: 0.0% |
| | | The minimum sales load rate in effect at period end as a percentage of
the offering price: 0.0% |
| |
| 31. | | Net amount retained by the Registrant’s/Series’ Principal Underwriter or
by any underwriter or dealer which is an affiliated person of the
Principal Underwriter thereof from front-end sales loads collected from
sales of the Registrant’s/Series’ shares during the period ($000s): 0 |
| | |
Amount by which payout by the Registrant’s/Series’ Principal Underwriter
or by any underwriter which is an affiliated person of the Principal
Underwriter thereof to persons or entities selling the
Registrant’s/Series’ shares exceeded that reported in Item 30 ($000s): 0 |
| |
| 32. | | Amount the Registrant’s/Series’ Principal Underwriter and any
underwriters or dealers which are affiliated persons of the Principal
Underwriter paid to dealers which are not affiliated persons of the
Principal Underwriter for selling the Registrant’s/Series’ shares that
were sold with a front-end sales load during the period ($000s): 0 |
| |
| 33. | | Amount paid to a captive retail sales force of the Registrant’s/Series’
Principal Underwriter or of any underwriter or dealer which is an
affiliated person of the Principal Underwriter for selling the
Registrant’s shares that were sold with a front-end sales load during
the period ($000s): 0 |
| |
| 35. | | Total deferred or contingent deferred sales loads collected during the
period from redemptions and repurchases of the Registrant’s/Series’
shares ($000s): 0 |
| |
| 36. | |
The net amount the Registrant/Series retained from deferred or
contingent deferred sales loads ($000s): 0 |
| |
| 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): 0 |
| |
| S 1: | Payment Plan for the Distribution of Fund Shares |
| | |
| 42. | | For the period, the percentage of total dollars paid directly by the
Registrant/Series under the 12b-1 plan for each of the following:
Percentage of Total Amount Paid (%)
Advertising ............................................................ | – |
|
| | | | Printing & mailing of prospectuses to other than current shareholders .. | – |
|
| | | | Payments to underwriters ............................................... | – |
|
| | | | Payments to brokers or dealers ......................................... | – |
|
| | | | Direct payments to sales personnel ..................................... | – |
|
| | | | Payments to banks and savings & loans .................................. | – |
|
| | | Other uses, including payments to its Investment Adviser separate
from the advisory fee ................................................ | – |
|
| | | | Unallocated payments made for a combination of such services ........... | – |
|
| |
| 43. | | Total amount paid directly by the Registrant/Series pursuant to its
12b-1 plan ($000s): 0 |
| |
| 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 |
| |
| S 1: | Advisory Fee |
| | |
| 45. | | Did the Registrant/Series have an advisory contract during the period? Yes |
| |
| 48. | | Fee (single rate or step rates) applied to the Registrant’s/Series’
assets based on the advisory contract:
Single-fee rate: 0.0% |
| | | Step-fee rates:
For 1st $000s: 0 |
| | | Annual rate: 0.0% |
| |
| S 1: | Classification and Asset Allocation |
| | |
| 58. | | Is the Registrant/Series a Separate Account of an insurance company? No |
| |
| 59. | | Is the Registrant/Series a management investment company? Yes |
| |
| 60. | | Was the Registrant/Series a diversified investment company at any time
during the period? Yes |
| | |
Was the Registrant/Series a diversified investment company at the end of
the period? Yes |
| |
| 61. | | The lowest minimum initial investment required by the Registrant/Series
from an investor that is not an employee or otherwise affiliated with
the Registrant/Series, its Investment Adviser, Principal Underwriter or
other affiliated entity: $0 |
| |
| 62. | | Does the Registrant/Series invest primarily in debt securities,
including convertible debt securities, options & futures on debt
securities or indices of debt securities? No |
| |
| 66. | | Is the Registrant/Series a Fund that usually invests in equity
securities, options & futures on equity securities, indices of equity
securities or securities convertible into equity securities? No |
| |
| S 1: | Portfolio Turnover |
| | |
| 71. | | Portfolio turnover rate for the period:
|
| | | Purchases ($000s): 0 |
| | | Sales ($000s): 0 |
| | |
Monthly average Value of portfolio ($000s): 0 |
| | |
Percent turnover (lesser of Purchases or Sales, divided by Value): 0% |
| |
| S 1: | Financial Info — Income and Expenses |
| | |
| 72. | | The number of months covered by the values in Items 72 and 73: 0 |
| | |
Income ($000s)
Net interest income .............................................. | – |
|
| | | | Net dividend income .............................................. | – |
|
| | | | Account maintenance fees ......................................... | – |
|
| | | | Net other income ................................................. | – |
|
| | |
Expenses ($000s)
Advisory fees .................................................... | – |
|
| | | | 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 ................................................... | – |
|
| | |
Expense reimbursements ($000s): 0 |
| | |
Net investment income ($000s): 0 |
| | |
Realized capital gains ($000s): 0 |
| | | Realized capital losses ($000s): 0 |
| | |
Net unrealized appreciation during the period ($000s): 0 |
| | | Net unrealized depreciation during the period ($000s): 0 |
| | |
Total income dividends for which the record date passed during the
period ($000s): 0 |
| | |
Total capital gains distributions for which the record date passed
during the period ($000s): 0 |
| |
| 73. | | Distributions per share for which the record date passed during the
period, shown in fractions of a cent, if so declared:
Dividends from net investment income: $0.0000 |
| | |
Distribution of capital gains: $0.0000 |
| | | Other distributions: $0.0000 |
| |
| S 1: | Financial Info — Condensed Balance Sheet Data |
| | |
| 74. | | Assets ($000s) |
| | | | Cash ............................................................. | – |
|
| | | | Repurchase agreements ............................................ | – |
|
| | | | Short-term debt securities, other than repurchase agreements ..... | – |
|
| | | | Long-term debt securities, including convertible debt ............ | – |
|
| | | | Preferred, conv. preferred and adjustable-rate preferred stock ... | – |
|
| | | | Common stock ..................................................... | – |
|
| | | | Options on equities .............................................. | – |
|
| | | | Options on all futures ........................................... | – |
|
| | | | Other investments ................................................ | – |
|
| | | | Receivables from portfolio instruments sold ...................... | – |
|
| | | | Receivables from affiliated persons .............................. | – |
|
| | | | Other receivables ................................................ | – |
|
| | | | All other assets ................................................. | – |
|
| | | | Total assets ..................................................... | – |
|
| | |
Liabilities ($000s)
Payables for portfolio instruments purchased ..................... | – |
|
| | | | Amounts owed to affiliated persons ............................... | – |
|
| | | | Senior long-term debt ............................................ | – |
|
| | | Other liabilities:
Reverse repurchase agreements .................................. | – |
|
| | | | Short sales .................................................... | – |
|
| | | | Written options ................................................ | – |
|
| | | | All other liabilities .......................................... | – |
|
| | |
Equity ($000s)
Senior equity .................................................... | – |
|
| | | | Net assets of common shareholders ................................ | – |
|
| | |
Number of shares outstanding (000s): 0 |
| | |
Net Asset Value (NAV) per share (to nearest cent): $0.00 |
| | |
Total number of shareholder accounts: 0 |
| | |
Total value of assets in segregated accounts ($000s): 0 |
| |
| S 1: | Fidelity Bond in Effect at Fiscal Year End |
| | |
| 80. | | Insurer: Great American Insurance Co. |
| | |
Aggregate face amount of coverage for the Registrant/Series on all bonds
on which it is named as an insured ($000s): 20,000 |
| |
| 81. | | Is the bond part of a joint fidelity bond(s) shared with other
investment companies or other entities? Yes |
| | |
How many other investment companies or other entities are covered by the
bond (counting each Fund/Series as a separate investment company): 131 |
| |
| 82. | | Does the mandatory coverage of the fidelity bond have a deductible? Yes |
| | |
The amount of the deductible ($000s): 100 |
| |
| 83. | | Were any claims with respect to this Registrant/Series filed under the
bond during the period? No |
| |
| 84. | | Were any losses incurred with respect to this Registrant/Series that
could have been filed as a claim under the fidelity bond but were not? No |
| |
| 85. | | Are the Registrant’s/Series’ Officers and Directors covered as Officers
and Directors of the Registrant/Series under any errors and omissions
insurance policy owned by the Registrant/Series or anyone else? Yes |
| | |
Were any claims filed under such policy during the period with respect
to the Registrant/Series? No |
| |
| Signature | | ↑Top of Form N-SAR |
| | | |
| | | /s/ Vincent Toner |
| | | Name: Vincent Toner |
| | | Title: Treasurer |
