-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SL30kZmoorQy+tDfqtAWdV4xKOGdCWgxba5U7LqQHDYlKyJUk6cYJ3tnDwDohuEy +E0jYNcxSnL9V80X4Oa+cw== 0000940400-04-000266.txt : 20040526 0000940400-04-000266.hdr.sgml : 20040526 20040526140655 ACCESSION NUMBER: 0000940400-04-000266 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20040331 FILED AS OF DATE: 20040526 EFFECTIVENESS DATE: 20040526 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PHOENIX SENECA FUNDS CENTRAL INDEX KEY: 0001005020 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-07455 FILM NUMBER: 04831986 BUSINESS ADDRESS: STREET 1: 909 MONTGOMERY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94133 BUSINESS PHONE: 415 677-1570 MAIL ADDRESS: STREET 1: 56 PROSPECT STREET STREET 2: P.O. BOX 150480 CITY: HARTFORD STATE: CT ZIP: 06115-0480 FORMER COMPANY: FORMER CONFORMED NAME: SENECA FUNDS DATE OF NAME CHANGE: 19951218 NSAR-A 1 pxseneca.fil PAGE 1 000 A000000 03/31/2004 000 C000000 0001005020 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 PHOENIX-SENECA FUNDS 001 B000000 811-7455 001 C000000 3027913197 002 A000000 909 MONTGOMERY STREET 002 B000000 SAN FRANCISCO 002 C000000 CA 002 D010000 94133 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 3 007 C010100 1 007 C010200 2 007 C020200 PHOENIX-SENECA MID-CAP "EDGE"(SM) FUND 007 C030200 N 007 C010300 3 007 C020300 PHOENIX-SENECA BOND FUND 007 C030300 N 007 C010400 4 007 C020400 PHOENIX-SENECA EQUITY INCOME 007 C030400 N 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A00AA01 PHOENIX INVESTMENT COUNSEL, INC. 008 B00AA01 A 008 C00AA01 801-5995 008 D01AA01 HARTFORD 008 D02AA01 CT 008 D03AA01 06115 008 D04AA01 0480 008 A00AA02 SENECA CAPITAL MANAGEMENT LLC 008 B00AA02 S 008 C00AA02 801-51559 008 D01AA02 SAN FRANCISCO 008 D02AA02 CA 008 D03AA02 94133 PAGE 2 010 A00AA01 PHOENIX EQUITY PLANNING CORPORATION 010 B00AA01 0 010 C01AA01 HARTFORD 010 C02AA01 CT 010 C03AA01 06115 010 C04AA01 0480 011 A00AA01 PHOENIX EQUITY PLANNING CORPORATION 011 B00AA01 8-014100 011 C01AA01 HARTFORD 011 C02AA01 CT 011 C03AA01 06115 011 C04AA01 0480 012 A00AA01 PHOENIX EQUITY PLANNING CORPORATION 012 B00AA01 84-5491 012 C01AA01 HARTFORD 012 C02AA01 CT 012 C03AA01 06115 012 C04AA01 0480 013 A00AA01 PRICEWATERHOUSECOOPERS LLP 013 B01AA01 BOSTON 013 B02AA01 MA 013 B03AA01 02110 014 A00AA01 PHOENIX EQUITY PLANNING CORPORATION 014 B00AA01 8-014100 014 A00AA02 WS GRIFFITH SECURITIES, INC. 014 B00AA02 8-027324 014 A00AA03 PXP SECURITIES CORP. 014 B00AA03 8-040035 014 A00AA04 RUTHERFORD, BROWN & CATHERWOOD, LLC 014 B00AA04 8-026902 014 A00AA05 MAIN STREET MANAGEMENT COMPANY 014 B00AA05 8-012925 014 A00AA06 PFG DISTRIBUTION COMPANY 014 B00AA06 8-048416 015 A00AA01 STATE STREET BANK AND TRUST COMPANY 015 B00AA01 C 015 C01AA01 BOSTON 015 C02AA01 MA 015 C03AA01 02206 015 C04AA01 5501 015 E01AA01 X 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 74 019 C00AA00 PHOENIX-IP 020 A000001 LEHMAN BROTHERS 020 B000001 13-2518466 020 C000001 62 020 A000002 B-TRADES SERVICES LLC 020 B000002 13-3872408 020 C000002 58 PAGE 3 020 A000003 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 020 B000003 13-5674085 020 C000003 54 020 A000004 JP MORGAN CHASE 020 B000004 13-3379014 020 C000004 39 020 A000005 MORGAN STANLEY 020 B000005 13-2655998 020 C000005 32 020 A000006 CITICORP SECURITIES SERVICES INC. 020 B000006 13-3214963 020 C000006 31 020 A000007 UBS AG 020 B000007 13-2638166 020 C000007 24 020 A000008 GOLDMAN SACHS & COMPANY 020 B000008 13-5108880 020 C000008 21 020 A000009 BANK OF AMERICA LLC 020 B000009 56-2058405 020 C000009 19 020 A000010 PIPER & JAFFRAY COMPANIES 020 B000010 41-1233380 020 C000010 18 021 000000 534 022 A000001 STATE STREET BANK 022 B000001 04-1867445 022 C000001 1048913 022 D000001 0 022 A000002 LEHMAN BROTHERS 022 B000002 13-2518466 022 C000002 138156 022 D000002 7396 022 A000003 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 022 B000003 13-5674085 022 C000003 113816 022 D000003 3082 022 A000004 GOLDMAN SACHS & COMPANY 022 B000004 13-5108880 022 C000004 78621 022 D000004 4783 022 A000005 MORGAN STANLEY 022 B000005 13-2655998 022 C000005 55471 022 D000005 3889 022 A000006 CREDIT SUISSE FIRST BOSTON CORPORATION 022 B000006 13-5659485 022 C000006 43349 022 D000006 2750 022 A000007 UBS AG 022 B000007 13-2638166 PAGE 4 022 C000007 8991 022 D000007 8070 022 A000008 BEAR, STEARNS & CO. INC. 022 B000008 13-3299429 022 C000008 7501 022 D000008 8907 022 A000009 JP MORGAN CHASE 022 B000009 13-3379014 022 C000009 12881 022 D000009 3128 022 A000010 CITICORP SECURITIES SERVICES INC. 022 B000010 13-3214963 022 C000010 5821 022 D000010 2623 023 C000000 1528430 023 D000000 54285 026 A000000 N 026 B000000 Y 026 C000000 Y 026 D000000 Y 026 E000000 N 026 F000000 Y 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 Y 037 00AA00 N 038 00AA00 0 039 00AA00 N 040 00AA00 Y 041 00AA00 Y 042 A00AA00 0 042 B00AA00 0 042 C00AA00 66 042 D00AA00 34 042 E00AA00 0 042 F00AA00 0 042 G00AA00 0 042 H00AA00 0 043 00AA00 495 044 00AA00 0 049 00AA00 N 050 00AA00 N 051 00AA00 N 052 00AA00 N 053 A00AA00 Y 053 B00AA00 Y 053 C00AA00 N 054 A00AA00 Y 054 B00AA00 N 054 C00AA00 N PAGE 5 054 D00AA00 N 054 E00AA00 N 054 F00AA00 N 054 G00AA00 N 054 H00AA00 Y 054 I00AA00 N 054 J00AA00 Y 054 K00AA00 N 054 L00AA00 N 054 M00AA00 Y 054 N00AA00 N 054 O00AA00 N 077 A000000 Y 077 B000000 N 077 C000000 N 077 D000000 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143726 076 000200 0.00 024 000300 Y 025 A000301 LEHMAN BROTHERS, INC, 025 B000301 13-2518466 025 C000301 D 025 D000301 147 025 A000302 CREDIT SUISSE FIRST BOSTON CORPORATION 025 B000302 13-5659485 025 C000302 D 025 D000302 2020 025 A000303 GOLDMAN SACHS & COMPANY 025 B000303 13-5108880 025 C000303 D 025 D000303 614 025 A000304 MORGAN STANLEY 025 B000304 13-2655998 025 C000304 D 025 D000304 667 025 A000305 BEAR STEARNS & COMPANY 025 B000305 13-3299429 025 C000305 D 025 D000305 326 025 A000306 BANC OF AMERICA SECURITIES, LLC. 025 B000306 56-2058405 025 C000306 D PAGE 11 025 D000306 1323 025 A000307 CITIGROUP INC. 025 B000307 13-3214963 025 C000307 D 025 D000307 232 025 D000308 0 028 A010300 2652 028 A020300 214 028 A030300 0 028 A040300 1536 028 B010300 2547 028 B020300 216 028 B030300 0 028 B040300 1664 028 C010300 3883 028 C020300 728 028 C030300 0 028 C040300 1665 028 D010300 2282 028 D020300 229 028 D030300 0 028 D040300 3285 028 E010300 2039 028 E020300 232 028 E030300 0 028 E040300 2064 028 F010300 1767 028 F020300 203 028 F030300 0 028 F040300 2193 028 G010300 15170 028 G020300 1822 028 G030300 0 028 G040300 12407 028 H000300 8887 029 000300 Y 030 A000300 5 030 B000300 4.75 030 C000300 0.00 031 A000300 1 031 B000300 0 032 000300 4 033 000300 0 034 000300 Y 035 000300 5 036 A000300 N 036 B000300 0 045 000300 Y 046 000300 N 047 000300 Y 048 000300 0.500 PAGE 12 048 A010300 0 048 A020300 0.000 048 B010300 0 048 B020300 0.000 048 C010300 0 048 C020300 0.000 048 D010300 0 048 D020300 0.000 048 E010300 0 048 E020300 0.000 048 F010300 0 048 F020300 0.000 048 G010300 0 048 G020300 0.000 048 H010300 0 048 H020300 0.000 048 I010300 0 048 I020300 0.000 048 J010300 0 048 J020300 0.000 048 K010300 0 048 K020300 0.000 055 A000300 N 055 B000300 N 056 000300 Y 057 000300 N 058 A000300 N 059 000300 Y 060 A000300 Y 060 B000300 Y 061 000300 25 062 A000300 Y 062 B000300 0.0 062 C000300 8.4 062 D000300 0.0 062 E000300 0.0 062 F000300 0.0 062 G000300 0.0 062 H000300 0.0 062 I000300 0.0 062 J000300 0.0 062 K000300 0.0 062 L000300 0.0 062 M000300 5.7 062 N000300 14.7 062 O000300 0.0 062 P000300 67.7 062 Q000300 3.1 062 R000300 0.0 063 A000300 0 063 B000300 6.6 PAGE 13 064 A000300 N 064 B000300 N 066 A000300 N 067 000300 N 068 A000300 N 068 B000300 N 069 000300 N 070 A010300 Y 070 A020300 Y 070 B010300 Y 070 B020300 N 070 C010300 Y 070 C020300 N 070 D010300 Y 070 D020300 N 070 E010300 Y 070 E020300 N 070 F010300 Y 070 F020300 N 070 G010300 Y 070 G020300 N 070 H010300 Y 070 H020300 N 070 I010300 N 070 I020300 N 070 J010300 Y 070 J020300 N 070 K010300 Y 070 K020300 N 070 L010300 Y 070 L020300 Y 070 M010300 Y 070 M020300 N 070 N010300 Y 070 N020300 N 070 O010300 Y 070 O020300 N 070 P010300 Y 070 P020300 N 070 Q010300 Y 070 Q020300 N 070 R010300 Y 070 R020300 N 071 A000300 59052 071 B000300 58396 071 C000300 72174 071 D000300 81 072 A000300 6 072 B000300 1766 072 C000300 0 072 D000300 0 PAGE 14 072 E000300 0 072 F000300 189 072 G000300 42 072 H000300 0 072 I000300 47 072 J000300 12 072 K000300 0 072 L000300 7 072 M000300 5 072 N000300 24 072 O000300 0 072 P000300 0 072 Q000300 0 072 R000300 16 072 S000300 1 072 T000300 98 072 U000300 0 072 V000300 0 072 W000300 9 072 X000300 451 072 Y000300 26 072 Z000300 1342 072AA000300 751 072BB000300 0 072CC010300 681 072CC020300 0 072DD010300 566 072DD020300 1230 072EE000300 326 073 A010300 0.0000 073 A020300 0.0000 073 B000300 0.0500 073 C000300 0.0000 074 A000300 52 074 B000300 0 074 C000300 6500 074 D000300 70593 074 E000300 0 074 F000300 0 074 G000300 0 074 H000300 0 074 I000300 0 074 J000300 8171 074 K000300 0 074 L000300 1040 074 M000300 1 074 N000300 86357 074 O000300 8775 074 P000300 71 074 Q000300 0 074 R010300 0 PAGE 15 074 R020300 0 074 R030300 0 074 R040300 73 074 S000300 0 074 T000300 77438 074 U010300 2486 074 U020300 4694 074 V010300 0.00 074 V020300 0.00 074 W000300 0.0000 074 X000300 1662 074 Y000300 6843 075 A000300 0 075 B000300 75321 076 000300 0.00 024 000400 Y 025 A000401 JP MORGAN CHASE 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G010400 Y 070 G020400 N 070 H010400 Y 070 H020400 N 070 I010400 N PAGE 18 070 I020400 N 070 J010400 Y 070 J020400 Y 070 K010400 Y 070 K020400 N 070 L010400 Y 070 L020400 N 070 M010400 Y 070 M020400 N 070 N010400 Y 070 N020400 N 070 O010400 Y 070 O020400 N 070 P010400 Y 070 P020400 N 070 Q010400 Y 070 Q020400 N 070 R010400 Y 070 R020400 N 071 A000400 26636 071 B000400 24735 071 C000400 24811 071 D000400 100 072 A000400 6 072 B000400 2 072 C000400 932 072 D000400 0 072 E000400 0 072 F000400 111 072 G000400 27 072 H000400 0 072 I000400 44 072 J000400 5 072 K000400 0 072 L000400 6 072 M000400 5 072 N000400 24 072 O000400 0 072 P000400 0 072 Q000400 0 072 R000400 15 072 S000400 1 072 T000400 21 072 U000400 0 072 V000400 0 072 W000400 5 072 X000400 264 072 Y000400 9 072 Z000400 679 072AA000400 4068 072BB000400 0 PAGE 19 072CC010400 0 072CC020400 185 072DD010400 50 072DD020400 439 072EE000400 1197 073 A010400 0.0000 073 A020400 0.0000 073 B000400 0.7700 073 C000400 0.0000 074 A000400 0 074 B000400 971 074 C000400 0 074 D000400 0 074 E000400 0 074 F000400 28466 074 G000400 0 074 H000400 0 074 I000400 0 074 J000400 0 074 K000400 0 074 L000400 537 074 M000400 0 074 N000400 29974 074 O000400 0 074 P000400 44 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 69 074 S000400 0 074 T000400 29861 074 U010400 271 074 U020400 1500 074 V010400 0.00 074 V020400 0.00 074 W000400 0.0000 074 X000400 766 074 Y000400 0 075 A000400 0 075 B000400 26328 076 000400 0.00 SIGNATURE NANCY CURTISS TITLE TREASURER EX-99 2 pxseneca77.txt EXHIBIT INDEX EXHIBIT A: Attachment to item 77D: Policies with respect to security investments. EXHIBIT B: Attachment to item 77Q1: Exhibits EXHIBIT C: Attachment to item 77Q3: Clarification of certain NSAR information - - - - - - - - - - - - - - - - - - - - - - - - - - - - - EXHIBIT A: 77D(a) Under normal circumstances, the fund invests at least 65% of its assets in equity and debt securities of issuers that are principally engaged in real estate or related industry businesses in the United States. An issuer is considered principally engaged in such business if at least 50% of the issuer's assets or income is attributable to ownership, construction, management or sale of real estate in the United states or to products or services related to the real estate industry, including the financing of real estate. Under normal circumstances, the fund invests at least 80% of its assets in income producing equity securities. The fund's policy of investing at least 80% of its assets in income producing equity securities may be changed only upon 60 day's written notice to shareholders. All other strategies under "principal Investment Strategies" remain unchanged. EXHIBIT B: 77Q1(b) Incorporated by reference Supplement dated September 17, 2003, to the Prospectus and Statement of Additional Information dated January 29, 2003. EXHIBIT C: 77Q3 TO FORM N-SAR Because the electronic format for filing Form NSAR does not provide adequate space for responding to Items 72DD1, 72DD2, 73A1, 73A2, 74U1, 74U2, 74V1, and 74V2 correctly, the correct answers are as follows: 72DD1/72DD2- Series 2 - Class A $0, Class B $0, Class C $0, Class X $0 Series 3 - Class A $566, Class B $189, Class C $85, Class X $956. Series 4 - Class A $50, Class B $15, Class C $21, Class X $403. 72EE Series 2 - Class A $0, Class B $0, Class C $0, Class X $0 Series 3 - Class A $101, Class B $41, Class C $18, Class X $165 Series 4 - Class A $159, Class B $68 Class C $92 Class X $872 73A1/73A2- Series 2 - Class A $0.00, Class B $0.00, Class C $0.00, Class X $0.00 Series 3 - Class A $0.252, Class B $0.2130, Class C $0.2130, Class X $0.27. Series 4 - Class A $0.2340, Class B $0.1620, Class C $0.1620, Class X $0.3400. 73B Series 2 - Class A, Class B, Class C, and Class X are zero. Series 3 - Class A $0.460, Class B $0.0460, Class C $0.0460, Class X $0.0460. Series 4 - Class A $0.7730, Class B $0.7730, Class C $0.7730,Class X $0.7730. 74U1/74U2- Series 2 - Class A 3,775, Class B 1,601, Class C 2,053, Class X 1,210 Series 3 - Class A 2,485, Class B 830, Class C 362, Class X 3,502 Series 4 - Class A 271, Class B 90, Class C 133, Class X 1,276, 74V1/74V2- Series 2 - Class A $16.10, Class B $15.30, Class C $15.30, Class X $16.49. Series 3 - Class A $10.77, Class B $10.58, Class C $10.60, Class X $10.86. Series 4 - Class A $16.56, Class B $16.48. Class C $16.49, Class X $16.99. -----END PRIVACY-ENHANCED MESSAGE-----