| |
| Report |
| | |
| | | | Registrant: Touchstone Investment Trust — List all N-SARs |
| | |
Annual Report for the 2nd-half period ended at fiscal year end: 9/30/02 |
| | |
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 |
| | |
| 1. | | SEC CIK: 66117 |
| | | SEC File #: 811-02538 |
| | |
Telephone #: 513-362-8000 |
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| 2. | | Address: 221 East Fourth Street |
| | | Cincinnati, OH 45202 |
| |
| 3. | | Is this the first Form N-SAR filed by the Registrant? No |
| |
| 4. | | Is this the final Form N-SAR filed by the Registrant? No |
| |
| | |
| | | |
| 7. | | Is the Registrant a Funds/Series (multiple portfolios) company? Yes |
| | |
The number of separate Funds/Series (portfolios) at period end: 6 |
| | | The number of separate Funds/Series (portfolios) reported here: 6... |
| | |
|
| ↓ | Series 10: Core Bond Fund [ renamed
Active Bond Fund ] — S#3086 |
| ↓ | Series 9: High Yield Fund — S#3087 |
| ↓ | Series 4: Institutional US Government Money Market Fund [ renamed
Money Market Fund ] — S#3089 |
| ↓ | Series 3: Intermediate Term U.S.Government Bond Fund — N-SARs |
| ↓ | Series 8: Money Market Fund [ renamed
Institutional Money Market Fund ] — S#3088 |
| ↓ | Series 1: U.S. Government Money Market Fund [ renamed
Touchstone U.S. Government Money Market Fund ] — S#3090 |
| |
| Family of Investment Companies |
| | |
| 19. | | Is the Registrant/Series part of a “family” of investment companies? Yes |
| | |
Total number of registered management investment companies, Series
and portfolios (excluding any Unit Investment Trusts) in the family: 32 |
| | |
The Identification Code of the family for Form N-SAR Filings: TOUCHSTONE |
| |
| Investment Company Type |
| | |
| 27. | | Is the Registrant an “open-end” investment company? Yes, Open-End |
| |
| Additional Disclosures |
| | |
| 77. | | Did the Registrant file any additional Exhibits with the filing of this
Report (listed here and filed either herewith — as one of the ‘EX-99.*’
↑Exhibits in this Filing — or separately and incorporated by reference)? Yes |
| | |
EX-99.77B: Accountant’s Report re: Internal Controls? Yes |
| | |
EX-99.77C: Matters Submitted to a Vote of Security Holders? Yes |
| | |
EX-99.77D: Policies re: Security Investments? Yes |
| | |
EX-99.77Q1: Other Disclosure? Yes |
| | |
EX-99.77Q3: Other Info? Yes |
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| Subsidiaries |
| | |
| 78. | | Does the Registrant have any wholly-owned investment company
subsidiaries whose operating and financial data are consolidated with
that of the Registrant in this Report? No |
| |
| All Series | ↑List of 6 Funds/Series Reported Here |
| | |
Information Common to All Funds/Series |
| |
| All: | Investment Adviser |
| | |
| 8.1 | | Name: Touchstone Advisors, Inc. |
| | | Role: Adviser |
| | | SEC File #: 801-45963 |
| | | Location: Cincinnati, OH |
| |
| 8.2 | | Name: Fort Washington Investment Advisors, Inc. |
| | | Role: Sub-Adviser |
| | | SEC File #: 801-37235 |
| | | Location: Cincinnati, OH |
| |
| All: | Administrator |
| | |
| 10.1 | | Name: Integrated Fund Services, Inc. |
| | | SEC File #: 084-01093 |
| | | Location: Cincinnati, OH |
| |
| All: | Principal Underwriter |
| | |
| 11.1 | | Name: Touchstone Securities, Inc. |
| | | SEC File #: 008-14052 |
| | | Location: Cincinnati, OH |
| |
| All: | Shareholder Servicing/Transfer Agent |
| | |
| 12.1 | | Name: Integrated Fund Services, Inc. |
| | | SEC File #: 084-01093 |
| | | Location: Cincinnati, OH |
| |
| All: | Independent Public Accountant |
| | |
| 13.1 | | Name: Ernst & Young LLP |
| | | Location: Cincinnati, OH |
| |
| All: | Custodian |
| | |
| 18. | | Does the Registrant’s/Series’ Custodian(s) maintain some or all of the
Registrant’s/Series’ securities in a central depository or book-entry
system pursuant to Rule 17f-4? Yes |
| |
| All: | 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: Morgan Stanley, Dean Witter, Discover & Co. |
| | | IRS #: 13-2655998 |
| | | Registrant’s purchases ($000s): 3,939,264 |
| | | Registrant’s sales ($000s): 1,523 |
| |
| 22.2 | | Entity: Nesbitt-Burns Securities |
| | | IRS #: 13-2620737 |
| | | Registrant’s purchases ($000s): 2,792,156 |
| | | Registrant’s sales ($000s): 102 |
| |
| 22.3 | | Entity: Wells Fargo Brokerage Services, Inc. |
| | | IRS #: 41-1508325 |
| | | Registrant’s purchases ($000s): 2,646,010 |
| | | Registrant’s sales ($000s): 1,485 |
| |
| 22.4 | | Entity: Wachovia Bank & Trust Co. |
| | | IRS #: 56-0927594 |
| | | Registrant’s purchases ($000s): 2,140,686 |
| | | Registrant’s sales ($000s): 719 |
| |
| 22.5 | | Entity: Merrill Lynch, Pierce, Fenner & Smith, Inc. |
| | | IRS #: 13-5674085 |
| | | Registrant’s purchases ($000s): 731,162 |
| | | Registrant’s sales ($000s): 10,298 |
| |
| 22.6 | | Entity: Banc One Capital Corp. |
| | | IRS #: 39-0450953 |
| | | Registrant’s purchases ($000s): 420,605 |
| | | Registrant’s sales ($000s): 7,464 |
| |
| 22.7 | | Entity: Goldman Sachs & Co. |
| | | IRS #: 13-5108880 |
| | | Registrant’s purchases ($000s): 309,581 |
| | | Registrant’s sales ($000s): 14,195 |
| |
| 22.8 | | Entity: Clarke (G.X.) & Co. |
| | | IRS #: 13-2969143 |
| | | Registrant’s purchases ($000s): 88,849 |
| |
| 22.9 | | Entity: Salomon Smith Barney, Inc. |
| | | IRS #: 13-3082694 |
| | | Registrant’s purchases ($000s): 67,457 |
| | | Registrant’s sales ($000s): 38,446 |
| |
| 22.10 | | Entity: Lehman Brothers, Inc. |
| | | IRS #: 13-2518466 |
| | | Registrant’s purchases ($000s): 60,033 |
| | | Registrant’s sales ($000s): 34,891 |
| |
| 23. | | Total purchase/sale transactions by the Registrant during the period:
Aggregate purchases ($000s): 13,557,552 |
| | | Aggregate sales ($000s): 262,282 |
| |
| 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 .................... No |
| | | Receipt of quotations for portfolio valuations ......................... No |
| | | Ability to execute portfolio transactions to obtain the best price
and execution ........................................................ Yes |
| | | Receipt of telephone line and wire services ............................ No |
| | | Broker or Dealer which is an affiliated person ......................... No |
| | | An arrangement to return or credit part or all of commissions or
profits thereon...
To an Investment Adviser or Principal Underwriter, or to an
affiliated person of either ...................................... No |
| | | To the Registrant .................................................. No |
| | | Other .................................................................. No |
| |
| All: | Sales Load (Front-End or Deferred) and Fees (Redemption or Maintenance) |
| | |
| 37. | | Did the Registrant/Series impose a redemption fee other than a deferred
or contingent sales load during the period? No |
| |
| 39. | | Were any account maintenance fees or other administrative fees imposed
directly on shareholders during the period? No |
| |
| All: | Payment Plan for the Distribution of Fund Shares |
| | |
| 40. | | During the period, did the Registrant/Series have a plan of distribution
adopted pursuant to Rule 12b-1? Yes |
| |
| 41. | | During the period, did the Registrant/Series use its assets directly to
make payments under the 12b-1 plan? Yes |
| |
| All: | Advisory Fee |
| | |
| 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 ...................................... No |
| | | Accounting services .................................................... No |
| | | Services of independent auditors ....................................... No |
| | | Services of outside counsel ............................................ No |
| | | Registration and filing fees ........................................... No |
| | | Stationery, supplies and printing ...................................... No |
| | | Salaries & compensation of Registrant’s interested Directors ........... Yes |
| | | Salaries & compensation of Registrant’s disinterested Directors ........ No |
| | | Salaries & compensation of Registrant’s Officers who aren’t Directors .. Yes |
| | | Reports to current shareholders ........................................ No |
| | | Determination of offering and redemption prices ........................ No |
| | | Trading department ..................................................... Yes |
| | | Prospectus preparation and printing for current shareholders ........... No |
| | | Other .................................................................. Yes |
| |
| All: | Classification and Asset Allocation |
| | |
| 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 |
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| All: | Fidelity Bond in Effect at Fiscal Year End |
| | |
| 80. | | Insurer: Fidelity & Deposit Co. of Maryland |
| | |
Aggregate face amount of coverage for the Registrant/Series on all bonds
on which it is named as an insured ($000s): 12,500 |
| |
| 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): 29 |
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| 82. | | Does the mandatory coverage of the fidelity bond have a deductible? No |
| |
| 83. | | Were any claims with respect to this Registrant/Series filed under the
bond during the period? No |
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| 84. | | Were any losses incurred with respect to this Registrant/Series that
could have been filed as a claim under the fidelity bond but were not? No |
| |
| 85. | | Are the Registrant’s/Series’ Officers and Directors covered as Officers
and Directors of the Registrant/Series under any errors and omissions
insurance policy owned by the Registrant/Series or anyone else? Yes |
| | |
Were any claims filed under such policy during the period with respect
to the Registrant/Series? No |
| |
| Series 1 | ↑Information Common to All Funds/Series ↑List of 6 Funds/Series |
| |
| 7. | | Name: U.S. Government Money Market Fund [ renamed
Touchstone U.S. Government Money Market Fund ] — S#3090 |
| | |
Is this the final Form N-SAR filed for this Fund/Series? No |
| |
| S 1: | Affiliated Broker/Dealer |
| | |
| 14.1 | | Name: Fort Washington Brokerage Services, Inc. |
| | | SEC File #: 008-24674 |
| |
| 14.2 | | Name: Ifs Fund Distributors, Inc. |
| | | SEC File #: 008-40907 |
| |
| 14.3 | | Name: Touchstone Securities, Inc. |
| | | SEC File #: 008-14052 |
| |
| 14.4 | | Name: Capital Analysts Inc. |
| | | SEC File #: 008-13791 |
| |
| 14.5 | | Name: Stifel, Nicolaus & Co. Inc. |
| | | SEC File #: 008-01447 |
| |
| S 1: | Custodian |
| | |
| 15.1 | | Name: The Fifth Third Bank |
| | | Role: Custodian |
| | | Location: Cincinnati, OH |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| 15.2 | | Name: State Street Bank & Trust Co., N.A. |
| | | Role: Sub-Custodian |
| | | Location: New York, NY |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| S 1: | 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: Morgan Stanley, Dean Witter & Co. |
| | | IRS #: 13-2655998 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 17,160 |
| |
| 25.2 | | Name: Wachovia Bank & Trust Co. |
| | | IRS #: 56-0927594 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 16,000 |
| |
| 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) ............................ | 20,806 |
|
| | | | Reinvestment of dividends and distributions ................ | 48 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 19,819 |
|
| | | 2nd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 20,828 |
|
| | | | Reinvestment of dividends and distributions ................ | 55 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 23,092 |
|
| | | 3rd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 12,747 |
|
| | | | Reinvestment of dividends and distributions ................ | 47 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 18,888 |
|
| | | 4th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 9,061 |
|
| | | | Reinvestment of dividends and distributions ................ | 50 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 10,457 |
|
| | | 5th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 8,560 |
|
| | | | Reinvestment of dividends and distributions ................ | 51 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 8,791 |
|
| | | 6th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 26,125 |
|
| | | | Reinvestment of dividends and distributions ................ | 52 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 8,022 |
|
| | |
Total of all months: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................ | 98,127 |
|
| | | | Reinvestment of dividends and distributions ................ | 303 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 89,069 |
|
| | |
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) |
| | |
| 29. | | Was a front-end sales load deducted from any share sales during the
period? No |
| |
| 34. | | Did the Registrant/Series impose a deferred or contingent deferred sales
load during the period? No |
| |
| 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 ......................................... | 100 |
|
| | | | 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): 245 |
| |
| 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): 375 |
| |
| S 1: | Advisory Fee |
| | |
| 45. | | Did the Registrant/Series have an advisory contract during the period? Yes |
| |
| 46. | | Did the Registrant/Series pay more than one Investment Adviser directly
for investment advice during the period? No |
| |
| 47. | | Was the Registrant’s/Series’ advisory fee based solely on a percentage
of its assets? Yes |
| |
| 48. | | Fee (single rate or step rates) applied to the Registrant’s/Series’
assets based on the advisory contract:
Single-fee rate: 0.0% |
| | | Step-fee rates:
For 1st $000s: 50,000 |
| | | Annual rate: 0.5% |
| | | Of next $000s: 100,000 |
| | | Annual rate: 0.45% |
| | | Of next $000s: 100,000 |
| | | Annual rate: 0.4% |
| | | & Above $000s: 250,000 |
| | | Annual rate: 0.375% |
| |
| S 1: | Miscellaneous Info |
| | |
| 55. | | Did the Registrant/Series have any of the following outstanding at any
time during the period which exceeded 1% of aggregate net assets: |
| | | Overdrafts? Yes |
| | | Bank loans? 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 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: $1,000 |
| |
| 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 ............................... 18.2% |
| | | U.S. Government Agency ...................... 39.1 |
| | | Repurchase agreements ....................... 40.3 |
| | | 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 ................................... 2.0 |
| | |
Debt — Intermediate & Long-Term Maturities
U.S. Treasury ............................... 0.0% |
| | | U.S. Government Agency ...................... 0.0 |
| | | State and Municipal – tax-free .............. 0.0 |
| | | 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: 53 |
| | | Years: 0.0 |
| |
| 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 |
| |
| S 1: | Investment Practices |
| | |
| 70. | | Activities that are permitted by the Registrant’s/Series’ investment
policies, and which were engaged in during the period:
Activity Permitted Engaged In |
| | | Writing or investing in repurchase agreements? Yes to both |
| | | Writing or investing in options on equities? No – |
| | | Writing or investing in options on debt securities? No – |
| | | Writing or investing in options on stock indices? No – |
| | | Writing or investing in interest rate futures? No – |
| | | Writing or investing in stock index futures? No – |
| | | Writing or investing in options on futures? No – |
| | | Writing or investing in options on stock index futures? No – |
| | | Writing or investing in other commodity futures? No – |
| | | Investments in restricted securities? 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 to both |
| | | Purchases/sales by certain exempted affiliated persons? Yes No |
| | | Margin purchases? No – |
| | | Short selling? 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: 12 |
| | |
Income ($000s)
Net interest income .............................................. | 1,384 |
|
| | | | Net dividend income .............................................. | – |
|
| | | | Account maintenance fees ......................................... | – |
|
| | | | Net other income ................................................. | – |
|
| | |
Expenses ($000s)
Advisory fees .................................................... | 340 |
|
| | | | Administrator fees ............................................... | – |
|
| | | | Salaries and other compensation .................................. | – |
|
| | | | Shareholder Servicing Agent fees ................................. | 141 |
|
| | | | Custodian fees ................................................... | 31 |
|
| | | | Postage .......................................................... | 84 |
|
| | | | Printing expenses ................................................ | 42 |
|
| | | | Directors’ fees .................................................. | 6 |
|
| | | | Registration fees ................................................ | 19 |
|
| | | | Taxes ............................................................ | – |
|
| | | | Interest ......................................................... | – |
|
| | | | Bookkeeping fees paid to anyone performing this service .......... | 30 |
|
| | | | Auditing fees .................................................... | 12 |
|
| | | | Legal fees ....................................................... | 12 |
|
| | | | Marketing/distribution payments, incl. Rule 12b-1 plan payments .. | 245 |
|
| | | | Amortization of organization expenses ............................ | – |
|
| | | | Shareholder meeting expenses ..................................... | – |
|
| | | | Other expenses ................................................... | 3 |
|
| | | | Total expenses ................................................... | 965 |
|
| | |
Expense reimbursements ($000s): 299 |
| | |
Net investment income ($000s): 718 |
| | |
Realized capital gains ($000s): 3 |
| | | Realized capital losses ($000s): 1 |
| | |
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): 718 |
| | |
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: $0.0103 |
| | |
Distribution of capital gains: $0.0000 |
| | | Other distributions: $0.0000 |
| |
| S 1: | Financial Info — Condensed Balance Sheet Data |
| | |
| 74. | | Assets ($000s) |
| | | | Cash ............................................................. | 2 |
|
| | | | Repurchase agreements ............................................ | 33,160 |
|
| | | | Short-term debt securities, other than repurchase agreements ..... | 48,808 |
|
| | | | 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 ................................................ | 412 |
|
| | | | All other assets ................................................. | 7 |
|
| | | | Total assets ..................................................... | 82,389 |
|
| | |
Liabilities ($000s)
Payables for portfolio instruments purchased ..................... | – |
|
| | | | Amounts owed to affiliated persons ............................... | 10 |
|
| | | | Senior long-term debt ............................................ | – |
|
| | | Other liabilities:
Reverse repurchase agreements .................................. | – |
|
| | | | Short sales .................................................... | – |
|
| | | | Written options ................................................ | – |
|
| | | | All other liabilities .......................................... | 47 |
|
| | |
Equity ($000s)
Senior equity .................................................... | – |
|
| | | | Net assets of common shareholders ................................ | 82,332 |
|
| | |
Number of shares outstanding (000s): 82,334 |
| | |
Net Asset Value (NAV) per share (to nearest cent): $1.00 |
| | | Mark-to-market NAV per share: $1.0003 |
| | |
Total number of shareholder accounts: 3,479 |
| | |
Total value of assets in segregated accounts ($000s): 0 |
| |
| 75. | | Daily average net assets during the period ($000s): 70,099 |
| |
| Series 2 | ↑Information Common to All Funds/Series ↑List of 6 Funds/Series |
| |
| S 2: | 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% |
| |
| Series 3 | ↑Information Common to All Funds/Series ↑List of 6 Funds/Series |
| |
| 7. | | Name: Intermediate Term U.S.Government Bond Fund — N-SARs |
| | |
Is this the final Form N-SAR filed for this Fund/Series? No |
| |
| S 3: | Affiliated Broker/Dealer |
| | |
| 14.1 | | Name: Fort Washington Brokerage Services, Inc. |
| | | SEC File #: 008-24674 |
| |
| 14.2 | | Name: Ifs Fund Distributors, Inc. |
| | | SEC File #: 008-40907 |
| |
| 14.3 | | Name: Touchstone Securities, Inc. |
| | | SEC File #: 008-14052 |
| |
| 14.4 | | Name: Capital Analysts Inc. |
| | | SEC File #: 008-13791 |
| |
| 14.5 | | Name: Stifel, Nicolaus & Co., Inc. |
| | | SEC File #: 008-01447 |
| |
| S 3: | Custodian |
| | |
| 15.1 | | Name: The Fifth Third Bank |
| | | Role: Custodian |
| | | Location: Cincinnati, OH |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| 15.2 | | Name: State Street Bank & Trust Co., N.A. |
| | | Role: Sub-Custodian |
| | | Location: New York, NY |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| S 3: | 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: Wells Fargo Brokerage Services, Inc. |
| | | IRS #: 41-1508325 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 1,041 |
| |
| S 3: | 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) ............................ | 3,327 |
|
| | | | Reinvestment of dividends and distributions ................ | 96 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 2,704 |
|
| | | 2nd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 3,071 |
|
| | | | Reinvestment of dividends and distributions ................ | 107 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 4,316 |
|
| | | 3rd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 2,999 |
|
| | | | Reinvestment of dividends and distributions ................ | 92 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 1,891 |
|
| | | 4th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 2,421 |
|
| | | | Reinvestment of dividends and distributions ................ | 96 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 1,829 |
|
| | | 5th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 1,837 |
|
| | | | Reinvestment of dividends and distributions ................ | 94 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 2,925 |
|
| | | 6th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 5,479 |
|
| | | | Reinvestment of dividends and distributions ................ | 82 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 2,897 |
|
| | |
Total of all months: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................ | 19,134 |
|
| | | | Reinvestment of dividends and distributions ................ | 567 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 16,562 |
|
| | |
Total NAV of the Registrant’s/Series’ share sales during the period
subject to a sales load ($000s): 1,870 |
| |
| S 3: | 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? Yes |
| |
| 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): 47 |
| | |
The maximum sales load rate in effect at period end as a percentage of
the offering price: 4.75% |
| | | 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): 9 |
| | |
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): 28 |
| |
| 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): 10 |
| |
| 34. | | Did the Registrant/Series impose a deferred or contingent deferred sales
load during the period? Yes |
| |
| 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. | | Did the Registrant/Series retain all monies collected from the deferred
or contingent deferred sales loads during the period? No |
| | |
The net amount the Registrant/Series retained from deferred or
contingent deferred sales loads ($000s): 0 |
| |
| S 3: | 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 ......................................... | 100 |
|
| | | | 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): 121 |
| |
| 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): 164 |
| |
| S 3: | Advisory Fee |
| | |
| 45. | | Did the Registrant/Series have an advisory contract during the period? Yes |
| |
| 46. | | Did the Registrant/Series pay more than one Investment Adviser directly
for investment advice during the period? No |
| |
| 47. | | Was the Registrant’s/Series’ advisory fee based solely on a percentage
of its assets? Yes |
| |
| 48. | | Fee (single rate or step rates) applied to the Registrant’s/Series’
assets based on the advisory contract:
Single-fee rate: 0.0% |
| | | Step-fee rates:
For 1st $000s: 50,000 |
| | | Annual rate: 0.5% |
| | | Of next $000s: 100,000 |
| | | Annual rate: 0.45% |
| | | Of next $000s: 100,000 |
| | | Annual rate: 0.4% |
| | | & Above $000s: 250,000 |
| | | Annual rate: 0.375% |
| |
| S 3: | Miscellaneous Info |
| | |
| 55. | | Did the Registrant/Series have any of the following outstanding at any
time during the period which exceeded 1% of aggregate net assets: |
| | | Overdrafts? Yes |
| | | Bank loans? 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 3: | 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: $1,000 |
| |
| 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 ...................... 3.5 |
| | | 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 ............................... 32.1% |
| | | U.S. Government Agency ...................... 23.0 |
| | | State and Municipal – tax-free .............. 0.0 |
| | | Corporate ................................... 0.0 |
| | | All other ................................... 42.7 |
| | |
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: 6.0 |
| |
| 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 |
| |
| S 3: | 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 No |
| | | Writing or investing in options on equities? No – |
| | | Writing or investing in options on debt securities? No – |
| | | Writing or investing in options on stock indices? No – |
| | | Writing or investing in interest rate futures? No – |
| | | Writing or investing in stock index futures? No – |
| | | Writing or investing in options on futures? No – |
| | | Writing or investing in options on stock index futures? No – |
| | | Writing or investing in other commodity futures? No – |
| | | Investments in restricted securities? 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 to both |
| | | Purchases/sales by certain exempted affiliated persons? Yes No |
| | | Margin purchases? No – |
| | | Short selling? No – |
| |
| S 3: | Portfolio Turnover |
| | |
| 71. | | Portfolio turnover rate for the period:
|
| | | Purchases ($000s): 51,323 |
| | | Sales ($000s): 49,311 |
| | |
Monthly average Value of portfolio ($000s): 31,527 |
| | |
Percent turnover (lesser of Purchases or Sales, divided by Value): 156% |
| |
| S 3: | Financial Info — Income and Expenses |
| | |
| 72. | | The number of months covered by the values in Items 72 and 73: 12 |
| | |
Income ($000s)
Net interest income .............................................. | 1,726 |
|
| | | | Net dividend income .............................................. | – |
|
| | | | Account maintenance fees ......................................... | – |
|
| | | | Net other income ................................................. | – |
|
| | |
Expenses ($000s)
Advisory fees .................................................... | 166 |
|
| | | | Administrator fees ............................................... | – |
|
| | | | Salaries and other compensation .................................. | – |
|
| | | | Shareholder Servicing Agent fees ................................. | 62 |
|
| | | | Custodian fees ................................................... | 17 |
|
| | | | Postage .......................................................... | 31 |
|
| | | | Printing expenses ................................................ | 16 |
|
| | | | Directors’ fees .................................................. | 8 |
|
| | | | Registration fees ................................................ | 36 |
|
| | | | Taxes ............................................................ | – |
|
| | | | Interest ......................................................... | – |
|
| | | | Bookkeeping fees paid to anyone performing this service .......... | 48 |
|
| | | | Auditing fees .................................................... | 20 |
|
| | | | Legal fees ....................................................... | 5 |
|
| | | | Marketing/distribution payments, incl. Rule 12b-1 plan payments .. | 121 |
|
| | | | Amortization of organization expenses ............................ | – |
|
| | | | Shareholder meeting expenses ..................................... | – |
|
| | | | Other expenses ................................................... | 2 |
|
| | | | Total expenses ................................................... | 532 |
|
| | |
Expense reimbursements ($000s): 197 |
| | |
Net investment income ($000s): 1,391 |
| | |
Realized capital gains ($000s): 1,164 |
| | | Realized capital losses ($000s): 290 |
| | |
Net unrealized appreciation during the period ($000s): 0 |
| | | Net unrealized depreciation during the period ($000s): 228 |
| | |
Total income dividends for which the record date passed during the
period ($000s): 1,379 |
| | | Dividends for a second class of shares ($000s): 26 |
| | |
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 3: | Financial Info — Condensed Balance Sheet Data |
| | |
| 74. | | Assets ($000s) |
| | | | Cash ............................................................. | 1 |
|
| | | | Repurchase agreements ............................................ | – |
|
| | | | Short-term debt securities, other than repurchase agreements ..... | 1,250 |
|
| | | | Long-term debt securities, including convertible debt ............ | 34,709 |
|
| | | | Preferred, conv. preferred and adjustable-rate preferred stock ... | – |
|
| | | | Common stock ..................................................... | – |
|
| | | | Options on equities .............................................. | – |
|
| | | | Options on all futures ........................................... | – |
|
| | | | Other investments ................................................ | – |
|
| | | | Receivables from portfolio instruments sold ...................... | 4,648 |
|
| | | | Receivables from affiliated persons .............................. | – |
|
| | | | Other receivables ................................................ | 539 |
|
| | | | All other assets ................................................. | 24 |
|
| | | | Total assets ..................................................... | 41,171 |
|
| | |
Liabilities ($000s)
Payables for portfolio instruments purchased ..................... | 5,574 |
|
| | | | Amounts owed to affiliated persons ............................... | 6 |
|
| | | | Senior long-term debt ............................................ | – |
|
| | | Other liabilities:
Reverse repurchase agreements .................................. | – |
|
| | | | Short sales .................................................... | – |
|
| | | | Written options ................................................ | – |
|
| | | | All other liabilities .......................................... | 83 |
|
| | |
Equity ($000s)
Senior equity .................................................... | – |
|
| | | | Net assets of common shareholders ................................ | 35,508 |
|
| | |
Number of shares outstanding (000s): 2,953 |
| | | Number of shares outstanding of a second class of shares (000s): 223 |
| | |
Net Asset Value (NAV) per share (to nearest cent): $0.00 |
| | |
Total number of shareholder accounts: 1,718 |
| | |
Total value of assets in segregated accounts ($000s): 0 |
| |
| 75. | | Monthly average net assets during the period ($000s): 33,125 |
| |
| Series 4 | ↑Information Common to All Funds/Series ↑List of 6 Funds/Series |
| |
| 7. | | Name: Institutional US Government Money Market Fund [ renamed
Money Market Fund ] — S#3089 |
| | |
Is this the final Form N-SAR filed for this Fund/Series? No |
| |
| S 4: | Affiliated Broker/Dealer |
| | |
| 14.1 | | Name: Fort Washington Brokerage Services, Inc. |
| | | SEC File #: 008-24674 |
| |
| 14.2 | | Name: Ifs Fund Distributors, Inc. |
| | | SEC File #: 008-40907 |
| |
| 14.3 | | Name: Touchstone Securities, Inc. |
| | | SEC File #: 008-14052 |
| |
| 14.4 | | Name: Capital Analysts Inc. |
| | | SEC File #: 008-13791 |
| |
| 14.5 | | Name: Stifel, Nicolaus & Co., Inc. |
| | | SEC File #: 008-01447 |
| |
| 14.6 | | Name: National Investor Services Corp. |
| | | SEC File #: 008-48696 |
| |
| S 4: | Custodian |
| | |
| 15.1 | | Name: The Fifth Third Bank |
| | | Role: Custodian |
| | | Location: Cincinnati, OH |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| 15.2 | | Name: State Street Bank & Trust Co., N.A. |
| | | Role: Sub-Custodian |
| | | Location: New York, NY |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| S 4: | 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: Morgan Stanley, Dean Witter & Co. |
| | | IRS #: 13-2655998 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 1,745 |
| |
| 25.2 | | Name: Wachovia Bank & Trust Co. |
| | | IRS #: 56-0927594 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 6,000 |
| |
| S 4: | 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) ............................ | 5,408 |
|
| | | | Reinvestment of dividends and distributions ................ | 68 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 24,270 |
|
| | | 2nd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 5,969 |
|
| | | | Reinvestment of dividends and distributions ................ | 67 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 6,455 |
|
| | | 3rd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 8,287 |
|
| | | | Reinvestment of dividends and distributions ................ | 57 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 9,252 |
|
| | | 4th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 12,988 |
|
| | | | Reinvestment of dividends and distributions ................ | 66 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 7,994 |
|
| | | 5th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 9,313 |
|
| | | | Reinvestment of dividends and distributions ................ | 69 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 11,774 |
|
| | | 6th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 8,246 |
|
| | | | Reinvestment of dividends and distributions ................ | 59 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 6,402 |
|
| | |
Total of all months: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................ | 50,211 |
|
| | | | Reinvestment of dividends and distributions ................ | 386 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 66,147 |
|
| | |
Total NAV of the Registrant’s/Series’ share sales during the period
subject to a sales load ($000s): 0 |
| |
| S 4: | Sales Load (Front-End or Deferred) and Fees (Redemption or Maintenance) |
| | |
| 29. | | Was a front-end sales load deducted from any share sales during the
period? No |
| |
| 34. | | Did the Registrant/Series impose a deferred or contingent deferred sales
load during the period? No |
| |
| S 4: | 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 ......................................... | 100 |
|
| | | | 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): 61 |
| |
| 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): 221 |
| |
| S 4: | 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: 0.2% |
| | | Step-fee rates:
For 1st $000s: 0 |
| | | Annual rate: 0.0% |
| |
| S 4: | Miscellaneous Info |
| | |
| 55. | | Did the Registrant/Series have any of the following outstanding at any
time during the period which exceeded 1% of aggregate net assets: |
| | | Overdrafts? Yes |
| | | Bank loans? 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 4: | 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: $100,000 |
| |
| 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 ...................... 70.8 |
| | | Repurchase agreements ....................... 14.1 |
| | | State and Municipal – tax-free .............. 0.0 |
| | | Bank certificates of deposit – domestic ..... 0.0 |
| | | Bank certificates of deposit – foreign ...... 0.0 |
| | | Bankers acceptances ......................... 0.0 |
| | | Commercial paper – taxable .................. 0.0 |
| | | Time deposits ............................... 0.0 |
| | | Options ..................................... 0.0 |
| | | All other ................................... 14.2 |
| | |
Debt — Intermediate & Long-Term Maturities
U.S. Treasury ............................... 0.0% |
| | | U.S. Government Agency ...................... 0.0 |
| | | State and Municipal – tax-free .............. 0.0 |
| | | 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: 59 |
| | | Years: 0.0 |
| |
| 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 |
| |
| S 4: | Investment Practices |
| | |
| 70. | | Activities that are permitted by the Registrant’s/Series’ investment
policies, and which were engaged in during the period:
Activity Permitted Engaged In |
| | | Writing or investing in repurchase agreements? Yes to both |
| | | Writing or investing in options on equities? No – |
| | | Writing or investing in options on debt securities? No – |
| | | Writing or investing in options on stock indices? No – |
| | | Writing or investing in interest rate futures? No – |
| | | Writing or investing in stock index futures? No – |
| | | Writing or investing in options on futures? No – |
| | | Writing or investing in options on stock index futures? No – |
| | | Writing or investing in other commodity futures? No – |
| | | Investments in restricted securities? No – |
| | | Investments in shares of other investment companies? Yes No |
| | | Investments in securities of foreign issuers? No – |
| | | Currency exchange transactions? No – |
| | | Loaning portfolio securities? Yes No |
| | | Borrowing of money? Yes to both |
| | | Purchases/sales by certain exempted affiliated persons? Yes No |
| | | Margin purchases? No – |
| | | Short selling? No – |
| |
| S 4: | 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 4: | Financial Info — Income and Expenses |
| | |
| 72. | | The number of months covered by the values in Items 72 and 73: 12 |
| | |
Income ($000s)
Net interest income .............................................. | 1,362 |
|
| | | | Net dividend income .............................................. | – |
|
| | | | Account maintenance fees ......................................... | – |
|
| | | | Net other income ................................................. | – |
|
| | |
Expenses ($000s)
Advisory fees .................................................... | 122 |
|
| | | | Administrator fees ............................................... | – |
|
| | | | Salaries and other compensation .................................. | – |
|
| | | | Shareholder Servicing Agent fees ................................. | 41 |
|
| | | | Custodian fees ................................................... | 22 |
|
| | | | Postage .......................................................... | 23 |
|
| | | | Printing expenses ................................................ | 12 |
|
| | | | Directors’ fees .................................................. | 6 |
|
| | | | Registration fees ................................................ | 10 |
|
| | | | Taxes ............................................................ | – |
|
| | | | Interest ......................................................... | – |
|
| | | | Bookkeeping fees paid to anyone performing this service .......... | 30 |
|
| | | | Auditing fees .................................................... | 8 |
|
| | | | Legal fees ....................................................... | 12 |
|
| | | | Marketing/distribution payments, incl. Rule 12b-1 plan payments .. | 61 |
|
| | | | Amortization of organization expenses ............................ | – |
|
| | | | Shareholder meeting expenses ..................................... | – |
|
| | | | Other expenses ................................................... | 4 |
|
| | | | Total expenses ................................................... | 351 |
|
| | |
Expense reimbursements ($000s): 107 |
| | |
Net investment income ($000s): 1,118 |
| | |
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): 1,118 |
| | |
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: $0.0179 |
| | |
Distribution of capital gains: $0.0000 |
| | | Other distributions: $0.0000 |
| |
| S 4: | Financial Info — Condensed Balance Sheet Data |
| | |
| 74. | | Assets ($000s) |
| | | | Cash ............................................................. | 2 |
|
| | | | Repurchase agreements ............................................ | 7,745 |
|
| | | | Short-term debt securities, other than repurchase agreements ..... | 46,804 |
|
| | | | 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 ................................................ | 515 |
|
| | | | All other assets ................................................. | 3 |
|
| | | | Total assets ..................................................... | 55,069 |
|
| | |
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 .......................................... | 31 |
|
| | |
Equity ($000s)
Senior equity .................................................... | – |
|
| | | | Net assets of common shareholders ................................ | 55,038 |
|
| | |
Number of shares outstanding (000s): 55,052 |
| | |
Net Asset Value (NAV) per share (to nearest cent): $1.00 |
| | | Mark-to-market NAV per share: $1.0002 |
| | |
Total number of shareholder accounts: 1,070 |
| | |
Total value of assets in segregated accounts ($000s): 0 |
| |
| 75. | | Daily average net assets during the period ($000s): 61,161 |
| |
| Series 8 | ↑Information Common to All Funds/Series ↑List of 6 Funds/Series |
| |
| 7. | | Name: Money Market Fund [ renamed
Institutional Money Market Fund ] — S#3088 |
| | |
Is this the final Form N-SAR filed for this Fund/Series? No |
| |
| S 8: | Affiliated Broker/Dealer |
| | |
| 14.1 | | Name: Fort Washington Brokerage Services, Inc. |
| | | SEC File #: 008-24674 |
| |
| 14.2 | | Name: Ifs Fund Distributors, Inc. |
| | | SEC File #: 008-40907 |
| |
| 14.3 | | Name: Touchstone Securities, Inc. |
| | | SEC File #: 008-14052 |
| |
| 14.4 | | Name: Capital Analysts Inc. |
| | | SEC File #: 008-13791 |
| |
| 14.5 | | Name: Stifel, Nicolaus & Co., Inc. |
| | | SEC File #: 008-01447 |
| |
| 14.6 | | Name: National Investor Services Corp. |
| | | SEC File #: 008-48696 |
| |
| S 8: | Custodian |
| | |
| 15.1 | | Name: The Fifth Third Bank |
| | | Role: Custodian |
| | | Location: Cincinnati, OH |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| 15.2 | | Name: State Street Bank & Trust Co., N.A. |
| | | Role: Sub-Custodian |
| | | Location: New York, NY |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| S 8: | 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: Merrill Lynch, Pierce, Fenner & Smith, Inc. |
| | | IRS #: 13-5674085 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 3,443 |
| |
| 25.2 | | Name: Bear, Stearns & Co., Inc. |
| | | IRS #: 13-3299429 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 5,529 |
| |
| 25.3 | | Name: Bank of New York |
| | | IRS #: 13-5160382 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 129 |
| |
| 25.4 | | Name: Banc One Capital Corp. |
| | | IRS #: 39-0452095 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 468 |
| |
| 25.5 | | Name: Morgan (J.P.) Securities, Inc. |
| | | IRS #: 13-3224016 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 778 |
| |
| 25.6 | | Name: Bank of America |
| | | IRS #: 52-2058405 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 431 |
| |
| 25.7 | | Name: Salomon Smith Barney, Inc. |
| | | IRS #: 13-3082694 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 2,368 |
| |
| 25.8 | | Name: Fleet Securities, Inc. |
| | | IRS #: 13-3217611 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 233 |
| |
| 25.9 | | Name: Morgan Stanley, Dean Witter, Discover & Co. |
| | | IRS #: 13-2655998 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 2,480 |
| |
| 25.10 | | Name: Wells Fargo Brokerage Services, Inc. |
| | | IRS #: 41-1508325 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 330 |
| |
| S 8: | 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) ............................ | 22,476 |
|
| | | | Reinvestment of dividends and distributions ................ | 138 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 19,665 |
|
| | | 2nd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 23,515 |
|
| | | | Reinvestment of dividends and distributions ................ | 148 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 25,888 |
|
| | | 3rd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 28,329 |
|
| | | | Reinvestment of dividends and distributions ................ | 128 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 16,402 |
|
| | | 4th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 18,220 |
|
| | | | Reinvestment of dividends and distributions ................ | 144 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 20,061 |
|
| | | 5th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 24,430 |
|
| | | | Reinvestment of dividends and distributions ................ | 158 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 18,234 |
|
| | | 6th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 18,562 |
|
| | | | Reinvestment of dividends and distributions ................ | 145 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 10,016 |
|
| | |
Total of all months: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................ | 135,532 |
|
| | | | Reinvestment of dividends and distributions ................ | 861 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 110,266 |
|
| | |
Total NAV of the Registrant’s/Series’ share sales during the period
subject to a sales load ($000s): 0 |
| |
| S 8: | Sales Load (Front-End or Deferred) and Fees (Redemption or Maintenance) |
| | |
| 29. | | Was a front-end sales load deducted from any share sales during the
period? No |
| |
| 34. | | Did the Registrant/Series impose a deferred or contingent deferred sales
load during the period? No |
| |
| S 8: | 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 ......................................... | 100 |
|
| | | | 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): 306 |
| |
| 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): 473 |
| |
| S 8: | Advisory Fee |
| | |
| 45. | | Did the Registrant/Series have an advisory contract during the period? Yes |
| |
| 46. | | Did the Registrant/Series pay more than one Investment Adviser directly
for investment advice during the period? No |
| |
| 47. | | Was the Registrant’s/Series’ advisory fee based solely on a percentage
of its assets? Yes |
| |
| 48. | | Fee (single rate or step rates) applied to the Registrant’s/Series’
assets based on the advisory contract:
Single-fee rate: 0.0% |
| | | Step-fee rates:
For 1st $000s: 50,000 |
| | | Annual rate: 0.5% |
| | | Of next $000s: 100,000 |
| | | Annual rate: 0.45% |
| | | Of next $000s: 100,000 |
| | | Annual rate: 0.4% |
| | | & Above $000s: 250,000 |
| | | Annual rate: 0.375% |
| |
| S 8: | Miscellaneous Info |
| | |
| 55. | | Did the Registrant/Series have any of the following outstanding at any
time during the period which exceeded 1% of aggregate net assets: |
| | | Overdrafts? Yes |
| | | Bank loans? 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 8: | 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: $1,000 |
| |
| 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 ....................... 1.3 |
| | | 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 .................. 4.4 |
| | | Time deposits ............................... 0.0 |
| | | Options ..................................... 0.0 |
| | | All other ................................... 93.8 |
| | |
Debt — Intermediate & Long-Term Maturities
U.S. Treasury ............................... 0.0% |
| | | U.S. Government Agency ...................... 0.0 |
| | | State and Municipal – tax-free .............. 0.0 |
| | | 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: 68 |
| | | Years: 0.0 |
| |
| 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? No |
| | |
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 |
| |
| S 8: | Investment Practices |
| | |
| 70. | | Activities that are permitted by the Registrant’s/Series’ investment
policies, and which were engaged in during the period:
Activity Permitted Engaged In |
| | | Writing or investing in repurchase agreements? Yes to both |
| | | Writing or investing in options on equities? No – |
| | | Writing or investing in options on debt securities? No – |
| | | Writing or investing in options on stock indices? No – |
| | | Writing or investing in interest rate futures? No – |
| | | Writing or investing in stock index futures? No – |
| | | Writing or investing in options on futures? No – |
| | | Writing or investing in options on stock index futures? No – |
| | | Writing or investing in other commodity futures? No – |
| | | Investments in restricted securities? Yes to both |
| | | Investments in shares of other investment companies? Yes No |
| | | Investments in securities of foreign issuers? Yes No |
| | | Currency exchange transactions? No – |
| | | Loaning portfolio securities? Yes No |
| | | Borrowing of money? Yes to both |
| | | Purchases/sales by certain exempted affiliated persons? Yes to both |
| | | Margin purchases? No – |
| | | Short selling? No – |
| |
| S 8: | 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 8: | Financial Info — Income and Expenses |
| | |
| 72. | | The number of months covered by the values in Items 72 and 73: 12 |
| | |
Income ($000s)
Net interest income .............................................. | 2,288 |
|
| | | | Net dividend income .............................................. | – |
|
| | | | Account maintenance fees ......................................... | – |
|
| | | | Net other income ................................................. | – |
|
| | |
Expenses ($000s)
Advisory fees .................................................... | 419 |
|
| | | | Administrator fees ............................................... | – |
|
| | | | Salaries and other compensation .................................. | – |
|
| | | | Shareholder Servicing Agent fees ................................. | 153 |
|
| | | | Custodian fees ................................................... | 41 |
|
| | | | Postage .......................................................... | 87 |
|
| | | | Printing expenses ................................................ | 67 |
|
| | | | Directors’ fees .................................................. | 6 |
|
| | | | Registration fees ................................................ | 29 |
|
| | | | Taxes ............................................................ | – |
|
| | | | Interest ......................................................... | – |
|
| | | | Bookkeeping fees paid to anyone performing this service .......... | 31 |
|
| | | | Auditing fees .................................................... | 12 |
|
| | | | Legal fees ....................................................... | 12 |
|
| | | | Marketing/distribution payments, incl. Rule 12b-1 plan payments .. | 306 |
|
| | | | Amortization of organization expenses ............................ | – |
|
| | | | Shareholder meeting expenses ..................................... | – |
|
| | | | Other expenses ................................................... | 4 |
|
| | | | Total expenses ................................................... | 1,167 |
|
| | |
Expense reimbursements ($000s): 598 |
| | |
Net investment income ($000s): 1,719 |
| | |
Realized capital gains ($000s): 8 |
| | | Realized capital losses ($000s): 1 |
| | |
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): 1,751 |
| | |
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: $0.0231 |
| | |
Distribution of capital gains: $0.0000 |
| | | Other distributions: $0.0000 |
| |
| S 8: | Financial Info — Condensed Balance Sheet Data |
| | |
| 74. | | Assets ($000s) |
| | | | Cash ............................................................. | 1 |
|
| | | | Repurchase agreements ............................................ | 1,430 |
|
| | | | Short-term debt securities, other than repurchase agreements ..... | 112,108 |
|
| | | | 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 .............................. | 8 |
|
| | | | Other receivables ................................................ | 831 |
|
| | | | All other assets ................................................. | 14 |
|
| | | | Total assets ..................................................... | 114,392 |
|
| | |
Liabilities ($000s)
Payables for portfolio instruments purchased ..................... | 218 |
|
| | | | Amounts owed to affiliated persons ............................... | – |
|
| | | | Senior long-term debt ............................................ | – |
|
| | | Other liabilities:
Reverse repurchase agreements .................................. | – |
|
| | | | Short sales .................................................... | – |
|
| | | | Written options ................................................ | – |
|
| | | | All other liabilities .......................................... | 42 |
|
| | |
Equity ($000s)
Senior equity .................................................... | – |
|
| | | | Net assets of common shareholders ................................ | 114,132 |
|
| | |
Number of shares outstanding (000s): 114,167 |
| | |
Net Asset Value (NAV) per share (to nearest cent): $1.00 |
| | | Mark-to-market NAV per share: $1.0008 |
| | |
Total number of shareholder accounts: 5,238 |
| | |
Total value of assets in segregated accounts ($000s): 0 |
| |
| 75. | | Daily average net assets during the period ($000s): 87,481 |
| |
| Series 9 | ↑Information Common to All Funds/Series ↑List of 6 Funds/Series |
| |
| 7. | | Name: High Yield Fund — S#3087 |
| | |
Is this the final Form N-SAR filed for this Fund/Series? No |
| |
| S 9: | Affiliated Broker/Dealer |
| | |
| 14.1 | | Name: Fort Washington Brokerage Services, Inc. |
| | | SEC File #: 008-24674 |
| |
| 14.2 | | Name: Stifel, Nicolaus & Co., Inc. |
| | | SEC File #: 008-01447 |
| |
| 14.3 | | Name: Ifs Fund Distributors, Inc. |
| | | SEC File #: 008-40907 |
| |
| 14.4 | | Name: Touchstone Securities, Inc. |
| | | SEC File #: 008-14052 |
| |
| 14.5 | | Name: Capital Analysts Inc. |
| | | SEC File #: 008-13791 |
| |
| S 9: | Custodian |
| | |
| 15.1 | | Name: The Fifth Third Bank |
| | | Role: Custodian |
| | | Location: Cincinnati, OH |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| 15.2 | | Name: State Street Bank & Trust Co. 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? No |
| |
| 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) ............................ | 397 |
|
| | | | Reinvestment of dividends and distributions ................ | 54 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 5 |
|
| | | 2nd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 581 |
|
| | | | Reinvestment of dividends and distributions ................ | 60 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 102 |
|
| | | 3rd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 741 |
|
| | | | Reinvestment of dividends and distributions ................ | 65 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 11 |
|
| | | 4th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 839 |
|
| | | | Reinvestment of dividends and distributions ................ | 63 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 152 |
|
| | | 5th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 15,364 |
|
| | | | Reinvestment of dividends and distributions ................ | 109 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 158 |
|
| | | 6th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 697 |
|
| | | | Reinvestment of dividends and distributions ................ | 158 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 39 |
|
| | |
Total of all months: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................ | 18,619 |
|
| | | | Reinvestment of dividends and distributions ................ | 509 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 467 |
|
| | |
Total NAV of the Registrant’s/Series’ share sales during the period
subject to a sales load ($000s): 5,250 |
| |
| 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? Yes |
| |
| 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): 64 |
| | |
The maximum sales load rate in effect at period end as a percentage of
the offering price: 4.75% |
| | | 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): 48 |
| | |
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): 13 |
| |
| 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): 3 |
| |
| 34. | | Did the Registrant/Series impose a deferred or contingent deferred sales
load during the period? Yes |
| |
| 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. | | Did the Registrant/Series retain all monies collected from the deferred
or contingent deferred sales loads during the period? No |
| | |
The net amount the Registrant/Series retained from deferred or
contingent deferred sales loads ($000s): 0 |
| |
| S 9: | 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 ......................................... | 100 |
|
| | | | 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): 50 |
| |
| 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): 64 |
| |
| 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? Yes |
| |
| 48. | | Fee (single rate or step rates) applied to the Registrant’s/Series’
assets based on the advisory contract:
Single-fee rate: 0.6% |
| | | Step-fee rates:
For 1st $000s: 0 |
| | | Annual rate: 0.0% |
| |
| 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? Yes |
| | | 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? 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: $1,000 |
| |
| 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 ...................... 0.6 |
| | | 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 ................................... 0.7 |
| | |
Debt — Intermediate & Long-Term Maturities
U.S. Treasury ............................... 0.0% |
| | | U.S. Government Agency ...................... 0.0 |
| | | State and Municipal – tax-free .............. 0.0 |
| | | Corporate ................................... 95.4 |
| | | All other ................................... 0.5 |
| | |
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: 6.1 |
| |
| 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? Yes |
| |
| 65. | | In computations of Net Asset Value (NAV) per share, is any part of the
value attributed to instruments identified in Item 64.B (second
question) derived from insurance or guarantees? 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 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? 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? Yes No |
| | | Investments in restricted securities? Yes to both |
| | | Investments in shares of other investment companies? Yes No |
| | | Investments in securities of foreign issuers? Yes No |
| | | Currency exchange transactions? No – |
| | | Loaning portfolio securities? No – |
| | | Borrowing of money? Yes to both |
| | | Purchases/sales by certain exempted affiliated persons? Yes No |
| | | Margin purchases? Yes No |
| | | Short selling? Yes No |
| |
| S 9: | Portfolio Turnover |
| | |
| 71. | | Portfolio turnover rate for the period:
|
| | | Purchases ($000s): 25,678 |
| | | Sales ($000s): 5,864 |
| | |
Monthly average Value of portfolio ($000s): 10,991 |
| | |
Percent turnover (lesser of Purchases or Sales, divided by Value): 53% |
| |
| S 9: | Financial Info — Income and Expenses |
| | |
| 72. | | The number of months covered by the values in Items 72 and 73: 12 |
| | |
Income ($000s)
Net interest income .............................................. | 1,080 |
|
| | | | Net dividend income .............................................. | – |
|
| | | | Account maintenance fees ......................................... | – |
|
| | | | Net other income ................................................. | – |
|
| | |
Expenses ($000s)
Advisory fees .................................................... | 73 |
|
| | | | Administrator fees ............................................... | – |
|
| | | | Salaries and other compensation .................................. | – |
|
| | | | Shareholder Servicing Agent fees ................................. | 36 |
|
| | | | Custodian fees ................................................... | 9 |
|
| | | | Postage .......................................................... | 12 |
|
| | | | Printing expenses ................................................ | 7 |
|
| | | | Directors’ fees .................................................. | 8 |
|
| | | | Registration fees ................................................ | 35 |
|
| | | | Taxes ............................................................ | – |
|
| | | | Interest ......................................................... | – |
|
| | | | Bookkeeping fees paid to anyone performing this service .......... | 48 |
|
| | | | Auditing fees .................................................... | 12 |
|
| | | | Legal fees ....................................................... | 3 |
|
| | | | Marketing/distribution payments, incl. Rule 12b-1 plan payments .. | 50 |
|
| | | | Amortization of organization expenses ............................ | – |
|
| | | | Shareholder meeting expenses ..................................... | – |
|
| | | | Other expenses ................................................... | 33 |
|
| | | | Total expenses ................................................... | 326 |
|
| | |
Expense reimbursements ($000s): 189 |
| | |
Net investment income ($000s): 943 |
| | |
Realized capital gains ($000s): 125 |
| | | Realized capital losses ($000s): 293 |
| | |
Net unrealized appreciation during the period ($000s): 0 |
| | | Net unrealized depreciation during the period ($000s): 768 |
| | |
Total income dividends for which the record date passed during the
period ($000s): 858 |
| | | Dividends for a second class of shares ($000s): 85 |
| | |
Total capital gains distributions for which the record date passed
during the period ($000s): 11 |
| |
| 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: $0.0118 |
| | | Other distributions: $0.0000 |
| |
| S 9: | Financial Info — Condensed Balance Sheet Data |
| | |
| 74. | | Assets ($000s) |
| | | | Cash ............................................................. | 5 |
|
| | | | Repurchase agreements ............................................ | – |
|
| | | | Short-term debt securities, other than repurchase agreements ..... | 343 |
|
| | | | Long-term debt securities, including convertible debt ............ | 26,280 |
|
| | | | 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 ................................................ | 784 |
|
| | | | All other assets ................................................. | 21 |
|
| | | | Total assets ..................................................... | 27,433 |
|
| | |
Liabilities ($000s)
Payables for portfolio instruments purchased ..................... | – |
|
| | | | Amounts owed to affiliated persons ............................... | 16 |
|
| | | | Senior long-term debt ............................................ | – |
|
| | | Other liabilities:
Reverse repurchase agreements .................................. | – |
|
| | | | Short sales .................................................... | – |
|
| | | | Written options ................................................ | – |
|
| | | | All other liabilities .......................................... | 32 |
|
| | |
Equity ($000s)
Senior equity .................................................... | – |
|
| | | | Net assets of common shareholders ................................ | 27,385 |
|
| | |
Number of shares outstanding (000s): 2,866 |
| | | Number of shares outstanding of a second class of shares (000s): 323 |
| | |
Net Asset Value (NAV) per share (to nearest cent): $0.00 |
| | |
Total number of shareholder accounts: 572 |
| | |
Total value of assets in segregated accounts ($000s): 0 |
| |
| 75. | | Monthly average net assets during the period ($000s): 12,227 |
| |
| Series 10 | ↑Information Common to All Funds/Series ↑List of 6 Funds/Series |
| |
| 7. | | Name: Core Bond Fund [ renamed
Active Bond Fund ] — S#3086 |
| | |
Is this the final Form N-SAR filed for this Fund/Series? No |
| |
| S10: | Affiliated Broker/Dealer |
| | |
| 14.1 | | Name: Fort Washington Brokerage Services, Inc. |
| | | SEC File #: 008-24674 |
| |
| 14.2 | | Name: Ifs Fund Distributors, Inc. |
| | | SEC File #: 008-40907 |
| |
| 14.3 | | Name: Touchstone Securities, Inc. |
| | | SEC File #: 008-14052 |
| |
| 14.4 | | Name: Capital Analysts Inc. |
| | | SEC File #: 008-13791 |
| |
| 14.5 | | Name: Stifel, Nicolaus & Co., Inc. |
| | | SEC File #: 008-01447 |
| |
| S10: | Custodian |
| | |
| 15.1 | | Name: Investors Bank & Trust Co. |
| | | Role: Custodian |
| | | Location: Boston, MA |
| | |
Type of custody: Section 17(f)(1) — Bank |
| |
| 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? Yes |
|
25. | |
The brokers or dealers, or their parents (issuers):
|
| 25.1 | | Name: Morgan (J.P.) Securities |
| | | IRS #: 13-3224016 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 513 |
| |
| 25.2 | | Name: Morgan Stanley, Dean Witter & Co. |
| | | IRS #: 13-2655998 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 582 |
| |
| 25.3 | | Name: Bank of America |
| | | IRS #: 52-2058405 |
| | | Type of security owned: Debt |
| | | Value of securities owned at period end ($000s): 493 |
| |
| 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) ............................ | 2,016 |
|
| | | | Reinvestment of dividends and distributions ................ | 164 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 3,389 |
|
| | | 2nd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 824 |
|
| | | | Reinvestment of dividends and distributions ................ | 166 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 1,386 |
|
| | | 3rd Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 2,933 |
|
| | | | Reinvestment of dividends and distributions ................ | 156 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 980 |
|
| | | 4th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 2,683 |
|
| | | | Reinvestment of dividends and distributions ................ | 151 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 1,043 |
|
| | | 5th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 1,530 |
|
| | | | Reinvestment of dividends and distributions ................ | 147 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 1,067 |
|
| | | 6th Month:
Total NAV of shares sold:
New sales (including exchanges) ............................ | 1,132 |
|
| | | | Reinvestment of dividends and distributions ................ | 147 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 1,015 |
|
| | |
Total of all months: ($000s)
Total NAV of shares sold:
New sales (including exchanges) ............................ | 11,118 |
|
| | | | Reinvestment of dividends and distributions ................ | 931 |
|
| | | | Other ...................................................... | – |
|
| | | | Total NAV of shares redeemed & repurchased (inc. exchanges) .. | 8,880 |
|
| | |
Total NAV of the Registrant’s/Series’ share sales during the period
subject to a sales load ($000s): 884 |
| |
| 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? Yes |
| |
| 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): 44 |
| | |
The maximum sales load rate in effect at period end as a percentage of
the offering price: 4.75% |
| | | 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): 7 |
| | |
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): 27 |
| |
| 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): 10 |
| |
| 34. | | Did the Registrant/Series impose a deferred or contingent deferred sales
load during the period? Yes |
| |
| 35. | | Total deferred or contingent deferred sales loads collected during the
period from redemptions and repurchases of the Registrant’s/Series’
shares ($000s): 5 |
| |
| 36. | | Did the Registrant/Series retain all monies collected from the deferred
or contingent deferred sales loads during the period? No |
| | |
The net amount the Registrant/Series retained from deferred or
contingent deferred sales loads ($000s): 0 |
| |
| S10: | 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 ......................................... | 100 |
|
| | | | 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): 122 |
| |
| 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): 207 |
| |
| 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: 0.5% |
| | | Step-fee rates:
For 1st $000s: 0 |
| | | Annual rate: 0.0% |
| |
| 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? 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: $1,000 |
| |
| 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 ...................... 2.4 |
| | | 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 ............................... 27.5% |
| | | U.S. Government Agency ...................... 13.0 |
| | | State and Municipal – tax-free .............. 0.0 |
| | | Corporate ................................... 19.7 |
| | | All other ................................... 38.6 |
| | |
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: 9.5 |
| |
| 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 |
| |
| 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? Yes No |
| | | 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? No – |
| | | Writing or investing in stock index futures? Yes No |
| | | Writing or investing in options on futures? Yes No |
| | | Writing or investing in options on stock index futures? Yes No |
| | | Writing or investing in other commodity futures? No – |
| | | Investments in restricted securities? Yes to both |
| | | Investments in shares of other investment companies? Yes No |
| | | Investments in securities of foreign issuers? Yes to both |
| | | Currency exchange transactions? Yes No |
| | | Loaning portfolio securities? Yes No |
| | | Borrowing of money? Yes to both |
| | | Purchases/sales by certain exempted affiliated persons? Yes No |
| | | Margin purchases? No – |
| | | Short selling? No – |
| |
| S10: | Portfolio Turnover |
| | |
| 71. | | Portfolio turnover rate for the period:
|
| | | Purchases ($000s): 89,601 |
| | | Sales ($000s): 81,941 |
| | |
Monthly average Value of portfolio ($000s): 39,971 |
| | |
Percent turnover (lesser of Purchases or Sales, divided by Value): 205% |
| |
| S10: | Financial Info — Income and Expenses |
| | |
| 72. | | The number of months covered by the values in Items 72 and 73: 12 |
| | |
Income ($000s)
Net interest income .............................................. | 2,235 |
|
| | | | Net dividend income .............................................. | – |
|
| | | | Account maintenance fees ......................................... | – |
|
| | | | Net other income ................................................. | – |
|
| | |
Expenses ($000s)
Advisory fees .................................................... | 213 |
|
| | | | Administrator fees ............................................... | 12 |
|
| | | | Salaries and other compensation .................................. | – |
|
| | | | Shareholder Servicing Agent fees ................................. | 49 |
|
| | | | Custodian fees ................................................... | 74 |
|
| | | | Postage .......................................................... | – |
|
| | | | Printing expenses ................................................ | 27 |
|
| | | | Directors’ fees .................................................. | 7 |
|
| | | | Registration fees ................................................ | 18 |
|
| | | | Taxes ............................................................ | – |
|
| | | | Interest ......................................................... | – |
|
| | | | Bookkeeping fees paid to anyone performing this service .......... | 26 |
|
| | | | Auditing fees .................................................... | 9 |
|
| | | | Legal fees ....................................................... | 6 |
|
| | | | Marketing/distribution payments, incl. Rule 12b-1 plan payments .. | 122 |
|
| | | | Amortization of organization expenses ............................ | – |
|
| | | | Shareholder meeting expenses ..................................... | – |
|
| | | | Other expenses ................................................... | 86 |
|
| | | | Total expenses ................................................... | 649 |
|
| | |
Expense reimbursements ($000s): 252 |
| | |
Net investment income ($000s): 1,838 |
| | |
Realized capital gains ($000s): 3,075 |
| | | Realized capital losses ($000s): 1,033 |
| | |
Net unrealized appreciation during the period ($000s): 0 |
| | | Net unrealized depreciation during the period ($000s): 242 |
| | |
Total income dividends for which the record date passed during the
period ($000s): 1,854 |
| | | Dividends for a second class of shares ($000s): 86 |
| | |
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 |
| |
| S10: | Financial Info — Condensed Balance Sheet Data |
| | |
| 74. | | Assets ($000s) |
| | | | Cash ............................................................. | 3 |
|
| | | | Repurchase agreements ............................................ | – |
|
| | | | Short-term debt securities, other than repurchase agreements ..... | 1,120 |
|
| | | | Long-term debt securities, including convertible debt ............ | 45,500 |
|
| | | | Preferred, conv. preferred and adjustable-rate preferred stock ... | – |
|
| | | | Common stock ..................................................... | – |
|
| | | | Options on equities .............................................. | – |
|
| | | | Options on all futures ........................................... | – |
|
| | | | Other investments ................................................ | – |
|
| | | | Receivables from portfolio instruments sold ...................... | 2,193 |
|
| | | | Receivables from affiliated persons .............................. | – |
|
| | | | Other receivables ................................................ | 592 |
|
| | | | All other assets ................................................. | 17 |
|
| | | | Total assets ..................................................... | 49,425 |
|
| | |
Liabilities ($000s)
Payables for portfolio instruments purchased ..................... | 3,165 |
|
| | | | Amounts owed to affiliated persons ............................... | 29 |
|
| | | | Senior long-term debt ............................................ | – |
|
| | | Other liabilities:
Reverse repurchase agreements .................................. | – |
|
| | | | Short sales .................................................... | – |
|
| | | | Written options ................................................ | – |
|
| | | | All other liabilities .......................................... | 117 |
|
| | |
Equity ($000s)
Senior equity .................................................... | – |
|
| | | | Net assets of common shareholders ................................ | 46,114 |
|
| | |
Number of shares outstanding (000s): 4,158 |
| | | Number of shares outstanding of a second class of shares (000s): 368 |
| | |
Net Asset Value (NAV) per share (to nearest cent): $0.00 |
| | |
Total number of shareholder accounts: 1,361 |
| | |
Total value of assets in segregated accounts ($000s): 0 |
| |
| 75. | | Monthly average net assets during the period ($000s): 42,378 |
| |
| Signature | | ↑Top of Form N-SAR |
| | | |
| | | /s/ Tina D. Hosking |
| | | Name: Tina D. Hosking |
| | | Title: Secretary |
