-----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, OLxU6zgXKfLgmAuwMPN5YhwfP290T5PRN56OLGUkcy9EqKuRx1NMinw1JXovQRBl ENJMWHloz7Q2nW/WzWxXxA== 0000940400-06-000289.txt : 20060524 0000940400-06-000289.hdr.sgml : 20060524 20060524151546 ACCESSION NUMBER: 0000940400-06-000289 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20060331 FILED AS OF DATE: 20060524 DATE AS OF CHANGE: 20060524 EFFECTIVENESS DATE: 20060524 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PHOENIX OPPORTUNITIES TRUST CENTRAL INDEX KEY: 0001005020 IRS NUMBER: 000000000 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: 06864061 BUSINESS ADDRESS: STREET 1: 101 MUNSON STREET CITY: GREENFIELD STATE: MA ZIP: 01301 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: PHOENIX SENECA FUNDS DATE OF NAME CHANGE: 19990122 FORMER COMPANY: FORMER CONFORMED NAME: SENECA FUNDS DATE OF NAME CHANGE: 19951218 0001005020 S000001336 PHOENIX BOND FUND C000003572 CLASS A SAVAX C000003573 CLASS B SAVBX C000003574 CLASS C SAVCX C000003575 CLASS X SAVYX 0001005020 S000001337 PHOENIX EQUITY INCOME FUND C000003576 CLASS A REALX C000003577 CLASS B REBLX C000003578 CLASS C RECLX C000003579 CLASS X REITX 0001005020 S000001338 PHOENIX EARNINGS DRIVEN GROWTH FUND C000003580 CLASS A EDGEX C000003581 CLASS B EDBEX C000003582 CLASS C EDBCX C000003583 CLASS X EDGIX NSAR-A 1 pxseneca.fil PAGE 1 000 A000000 03/31/2006 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 OPPORTUNITIES TRUST 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 2 007 C010100 1 007 C010200 2 007 C020200 PHOENIX EARNINGS DRIVEN GROWTH FUND 007 C030200 N 007 C010300 3 007 C020300 PHOENIX BOND FUND 007 C030300 N 007 C010400 4 007 C020400 PHOENIX EQUITY INCOME FUND 007 C030400 Y 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 06102 011 A00AA01 PHOENIX EQUITY PLANNING CORPORATION 011 B00AA01 8-014100 011 C01AA01 HARTFORD 011 C02AA01 CT 011 C03AA01 06102 012 A00AA01 PHOENIX EQUITY PLANNING CORPORATION 012 B00AA01 84-5491 012 C01AA01 HARTFORD 012 C02AA01 CT 012 C03AA01 06102 013 A00AA01 PRICEWATERHOUSECOOPERS LLP 013 B01AA01 BOSTON 013 B02AA01 MA 013 B03AA01 02110 014 A00AA01 PHOENIX EQUITY PLANNING CORPORATION 014 B00AA01 8-014100 014 A00AA03 PXP SECURITIES CORP. 014 B00AA03 8-040035 014 A00AA04 RUTHERFORD, BROWN & CATHERWOOD, LLC 014 B00AA04 8-026902 014 A00AA05 PFG DISTRIBUTION COMPANY 014 B00AA05 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 77 019 C00AA00 PHOENIX-IP 020 A000001 INSTITUTIONAL DIRECT INC. 020 B000001 13-3466740 020 C000001 8 020 A000002 B-TRADES SERVICES LLC 020 B000002 13-3872408 020 C000002 7 020 A000003 JP MORGAN CHASE 020 B000003 13-3379014 020 C000003 5 020 A000004 BEAR, STEARNS & CO., INC. 020 B000004 13-3299429 020 C000004 5 020 A000005 OSCAR GRUSS & SON INC. 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H000300 0.0 062 I000300 0.0 062 J000300 0.0 062 K000300 0.0 062 L000300 0.0 062 M000300 9.4 062 N000300 36.9 062 O000300 0.0 062 P000300 50.6 062 Q000300 1.9 062 R000300 0.0 063 A000300 0 063 B000300 7.2 064 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 PAGE 13 070 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 Y 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 73609 071 B000300 79185 071 C000300 63397 071 D000300 116 072 A000300 6 072 B000300 1647 072 C000300 0 072 D000300 0 072 E000300 0 072 F000300 161 072 G000300 36 072 H000300 0 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E020400 N 070 F010400 Y 070 F020400 N 070 G010400 Y 070 G020400 N 070 H010400 Y 070 H020400 N 070 I010400 N 070 I020400 N 070 J010400 Y 070 J020400 Y 070 K010400 Y PAGE 18 070 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 467 071 B000400 24750 071 C000400 15823 071 D000400 3 072 A000400 3 072 B000400 24 072 C000400 107 072 D000400 0 072 E000400 0 072 F000400 36 072 G000400 10 072 H000400 0 072 I000400 19 072 J000400 3 072 K000400 0 072 L000400 0 072 M000400 8 072 N000400 18 072 O000400 0 072 P000400 0 072 Q000400 0 072 R000400 6 072 S000400 0 072 T000400 8 072 U000400 0 072 V000400 0 072 W000400 4 072 X000400 112 072 Y000400 8 072 Z000400 27 072AA000400 4918 072BB000400 0 072CC010400 0 072CC020400 5280 072DD010400 0 072DD020400 0 PAGE 19 072EE000400 0 073 A010400 0.0000 073 A020400 0.0000 073 B000400 0.0000 073 C000400 0.0000 074 A000400 0 074 B000400 0 074 C000400 0 074 D000400 0 074 E000400 0 074 F000400 0 074 G000400 0 074 H000400 0 074 I000400 0 074 J000400 0 074 K000400 0 074 L000400 0 074 M000400 0 074 N000400 0 074 O000400 0 074 P000400 0 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 0 074 S000400 0 074 T000400 0 074 U010400 0 074 U020400 0 074 V010400 0.00 074 V020400 0.00 074 W000400 0.0000 074 X000400 0 074 Y000400 0 075 A000400 0 075 B000400 18443 076 000400 0.00 SIGNATURE PATRICK BRADLEY TITLE TREASURER EX-99.77Q1 OTHR EXHB 2 pxseneca77q1.txt STATE OF DELAWARE CERTIFICATE OF AMENDMENT TO CERTIFICATE OF STATUTORY TRUST OF PHOENIX-SENECA FUNDS This Certificate of Amendment is being executed as of January 27, 2006 for the purposes of amending the Certificate of Statutory Trust filed with the Secretary of State of the State of Delaware on December 18, 1995 pursuant to the Delaware Statutory Trusts Act, 12 Del. C. section 3801 et. seq. (the "Act"). The undersigned hereby certifies as follows: 1. The name of the statutory trust is Phoenix-Seneca Funds. 2. The name of the statutory trust shall be amended by filing a Certificate of Amendment to Certificate of Statutory Trust as follows: Name: The name of the statutory trust is Phoenix Opportunities Trust. 3. Effective Date and Time: This Certificate of Amendment to Certificate of Statutory Trust shall be effective immediately upon filing in the Office of the Secretary of State of the State of Delaware. IN WITNESS WHEREOF, the undersigned, being one of the trustees of the Trust, has executed this Certificate of Amendment to Certificate of Statutory Trust as of the day and year first above written. By: ____________________________ Name: Daniel T. Geraci Title: Trustee EX-99 3 pxseneca77q3.txt EXHIBIT 77Q3 TO FORM N-SAR Registrant Name: Phoenix-Seneca Funds File Number: 811-7455 Registrant CIK Number: 0001005020 Sub-Item 77Q3 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 $567, Class B $101, Class C $30, Class X $551. Series 4 - Class A $0, Class B $0, Class C $0, Class X $0. 72EE Series 2 - Class A $0, Class B $0, Class C $0, Class X $0 Series 3 - Class A $420, Class B $93, Class C $27, Class X $381 Series 4 - Class A $1454, Class B $648 Class C $487 Class X $5030 73A1/73A2- Series 2 - Class A $0.00, Class B $0.00, Class C $0.00, Class X $0.00 Series 3 - Class A $0.2010, Class B $0.1610, Class C $0.1610, Class X $0.2130 Series 4 - Class A $0.00, Class B $0.00, Class C $0.00, Class X $0.00. 73B Series 2 - Class A, Class B, Class C, and Class X are zero. Series 3 - Class A $0.1480, Class B $0.1480, Class C $0.1480, Class X $0.1480. Series 4 - Class A $6.0800, Class B $6.0800, Class C $6.0800, Class X $6.0800. 74U1/74U2- Series 2 - Class A 1,004, Class B 748, Class C 563, Class X 634 Series 3 - Class A 2,774, Class B 609, Class C 177, Class X 2,292 Series 4 - Class A 218, Class B 123, Class C 80, Class X 36 74V1/74V2- Series 2 - Class A $18.59, Class B $17.40, Class C $17.40, Class X $19.14. Series 3 - Class A $10.14, Class B $9.96, Class C $9.98, Class X $10.24. Series 4 - Class A $11.20, Class B $10.83. Class C $10.89, Class X $11.86 -----END PRIVACY-ENHANCED MESSAGE-----