-----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, EdR3ilcXRZpv3bolPYhQ7pasvKvz2eTbTvS35cZhOPwAV6F7LHCnGl9tworhfm6N TtFQoddT75cbjweph71hfA== 0001005020-97-000002.txt : 19970530 0001005020-97-000002.hdr.sgml : 19970530 ACCESSION NUMBER: 0001005020-97-000002 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 9 CONFORMED PERIOD OF REPORT: 19970331 FILED AS OF DATE: 19970529 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: SENECA FUNDS CENTRAL INDEX KEY: 0001005020 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-07455 FILM NUMBER: 97616006 BUSINESS ADDRESS: STREET 1: 909 MONTGOMERY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94133 BUSINESS PHONE: 4156771570 MAIL ADDRESS: STREET 1: 909 MONTGOMERY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94133 NSAR-A 1 PAGE 1 000 A000000 03/31/97 000 C000000 0001005020 000 D000000 N 000 E000000 NC 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 3.0.a 000 J000000 A 001 A000000 SENECA FUNDS 001 B000000 811-7455 001 C000000 4156771597 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 4 007 C010100 1 007 C020100 SENECA GROWTH FUND 007 C030100 N 007 C010200 2 007 C020200 SENECA MID-CAP "EDGE" FUND 007 C030200 N 007 C010300 3 007 C020300 SENECA BOND FUND 007 C030300 N 007 C010400 4 007 C020400 SENECA REAL ESTATE SECURITIES FUND 007 C030400 N 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A00AA01 GMG/SENECA CAPITAL MANAGEMENT. LLC 008 B00AA01 A 008 C00AA01 801-35374 008 D01AA01 SAN FRANCISCO 008 D02AA01 CA 008 D03AA01 94133 010 A00AA01 GMG/SENECA CAPITAL MANAGEMENT LLC 010 B00AA01 811-7455 010 C01AA01 SAN FRANCISCO 010 C02AA01 CA 010 C03AA01 94133 PAGE 2 010 A00AA02 STATE STREET BANK AND TRUST COMPANY 010 C01AA02 NORTH QUINCY 010 C02AA02 MA 010 C03AA02 02171 011 A00AA01 GENESIS MERCHANT GROUP SECURITIES, LLC 011 B00AA01 8-40756 011 C01AA01 SAN FRANCISCO 011 C02AA01 CA 011 C03AA01 94133 011 A00AA02 SENECA DISTRIBUTORS LLC 011 B00AA02 8-40756 011 C01AA02 SAN FRANCISCO 011 C02AA02 CA 011 C03AA02 94133 012 A00AA01 INVESTOR FIDUCIARY TRUST COMPANY 012 B00AA01 85-xxxxx 012 C01AA01 KANSAS CITY 012 C02AA01 MO 012 C03AA01 64105 013 A00AA01 DELOITTE & TOUCHE, LLP 013 B01AA01 SAN FRANCISCO 013 B02AA01 CA 013 B03AA01 94105 014 A00AA01 GENESIS MERCHANT GROUP SECURITIES, LLC 014 B00AA01 8-40756 015 A00AA01 INVESTOR FIDUCIARY TRUST COMPANY 015 B00AA01 C 015 C01AA01 KANSAS CITY 015 C02AA01 MO 015 C03AA01 64105 015 E01AA01 X 015 A00AA02 CITIBANK, N.A. 015 B00AA02 S 015 C01AA02 BUENOS AIRES 015 D01AA02 ARGENTINA 015 E04AA02 X 015 A00AA03 WESTPAC BANKING CORPORATION 015 B00AA03 S 015 C01AA03 MELBOURNE 015 D01AA03 AUSTRALIA 015 E04AA03 X 015 A00AA04 GIROCREDIT BANK, AKTIENGESELLSCHAFT 015 B00AA04 S 015 C01AA04 VIENNA 015 D01AA04 AUSTRIA 015 E04AA04 X 015 A00AA05 STANDARD CHARTERED BANK 015 B00AA05 S 015 C01AA05 DHAKA 015 D01AA05 BANGLADESH 015 E04AA05 X PAGE 3 015 A00AA06 GENERALE BANK 015 B00AA06 S 015 C01AA06 BRUSSELS 015 D01AA06 BELGIUM 015 E04AA06 X 015 A00AA07 BARCLAYS BANK OF BOTSWANA LTD. 015 B00AA07 S 015 C01AA07 GABORONE 015 D01AA07 BOTSWANA 015 E04AA07 X 015 A00AA08 CITIBANK, N.A. 015 B00AA08 S 015 C01AA08 SAO PAULO 015 D01AA08 BRAZIL 015 E04AA08 X 015 A00AA09 CANADA TRUSTCO MORTGAGE COMPANY 015 B00AA09 S 015 C01AA09 TORONTO 015 D01AA09 CANADA 015 E04AA09 X 015 A00AA10 CITIBANK, N.A. 015 B00AA10 S 015 C01AA10 SANTIAGO 015 D01AA10 CHILE 015 E04AA10 X 015 A00AA11 THE HONGKONG AND SHANGHAI BANKING CORP. LTD. 015 B00AA11 S 015 C01AA11 SHANGHAI 015 D01AA11 CHINA 015 E04AA11 X 015 A00AA12 THE HONGKONG AND SHANGHAI BANKING CORP. LTD. 015 B00AA12 S 015 C01AA12 SHENZHEN 015 D01AA12 CHINA 015 E04AA12 X 015 A00AA13 CITITRUST COLOMBIA S.A. 015 B00AA13 S 015 C01AA13 BOGOTA 015 D01AA13 COLOMBIA 015 E04AA13 X 015 A00AA14 BARCLAYS BANK, PLC 015 B00AA14 S 015 C01AA14 NICOSIA 015 D01AA14 CYPRUS 015 E04AA14 X 015 A00AA15 CESKOSLOVENSKA OBCHODNI BANKA, A.S. 015 B00AA15 S 015 C01AA15 PRAGUE 015 D01AA15 CZECH REPUBLIC 015 E04AA15 X 015 A00AA16 DEN DANSKE BANK PAGE 4 015 B00AA16 S 015 C01AA16 COPENHAGEN 015 D01AA16 DENMARK 015 E04AA16 X 015 A00AA17 NATIONAL BANK OF EGYPT 015 B00AA17 S 015 C01AA17 CAIRO 015 D01AA17 EGYPT 015 E04AA17 X 015 A00AA18 MERITA BANK LIMITED 015 B00AA18 S 015 C01AA18 HELSINKI 015 D01AA18 FINLAND 015 E04AA18 X 015 A00AA19 BANQUE PARIBAS 015 B00AA19 S 015 C01AA19 PARIS 015 D01AA19 FRANCE 015 E04AA19 X 015 A00AA20 BERLINER HANDELSUND FRANKFURTER BANK 015 B00AA20 S 015 C01AA20 FRANKFURT 015 D01AA20 GERMANY 015 E04AA20 X 015 A00AA21 BARCLAYS BANK OF GHANA LTD. 015 B00AA21 S 015 C01AA21 ACCRA 015 D01AA21 GHANA 015 E04AA21 X 015 A00AA22 NATIONAL BANK OF GREECE S.A. 015 B00AA22 S 015 C01AA22 ATHENS 015 D01AA22 GREECE 015 E04AA22 X 015 A00AA23 STANDARD CHARTERED BANK 015 B00AA23 S 015 C01AA23 HONG KONG 015 D01AA23 HONG KONG 015 E04AA23 X 015 A00AA24 CITIBANK BUDAPEST RT. 015 B00AA24 S 015 C01AA24 BUDAPEST 015 D01AA24 HUNGARY 015 E04AA24 X 015 A00AA25 DEUTSCHE BANK A.G. 015 B00AA25 S 015 C01AA25 BOMBAY 015 D01AA25 INDIA 015 E04AA25 X 015 A00AA26 STANDARD CHARTERED BANK 015 B00AA26 S PAGE 5 015 C01AA26 JAKARTA 015 D01AA26 INDONESIA 015 E04AA26 X 015 A00AA27 BANK OF IRELAND 015 B00AA27 S 015 C01AA27 DUBLIN 015 D01AA27 IRELAND 015 E04AA27 X 015 A00AA28 BANK HAPOALIM B.M. 015 B00AA28 S 015 C01AA28 TEL AVIV 015 D01AA28 ISRAEL 015 E04AA28 X 015 A00AA29 MORGAN GUARANTY TRUST COMPANY 015 B00AA29 S 015 C01AA29 MILANO 015 D01AA29 ITALY 015 E04AA29 X 015 A00AA30 SUMITOMO TRUST & BANKING CO., LTD. 015 B00AA30 S 015 C01AA30 TOKYO 015 D01AA30 JAPAN 015 E04AA30 X 015 A00AA31 BRITISH BANK OF THE MIDDLE EAST 015 B00AA31 S 015 C01AA31 AMMAN 015 D01AA31 JORDAN 015 E04AA31 X 015 A00AA32 BARCLAYS BANK OF KENYA LTD. 015 B00AA32 S 015 C01AA32 NAIROBI 015 D01AA32 KENYA 015 E04AA32 X 015 A00AA33 SEOULBANK 015 B00AA33 S 015 C01AA33 SEOUL 015 D01AA33 KOREA 015 E04AA33 X 015 A00AA34 STANDARD CHARTERED BANK OF MALAYSIA BERHAD 015 B00AA34 S 015 C01AA34 KUALA LUMPUR 015 D01AA34 MALAYSIA 015 E04AA34 X 015 A00AA35 CITIBANK MEXICO, S.A. 015 B00AA35 S 015 C01AA35 MEXICO CITY 015 D01AA35 MEXICO 015 E04AA35 X 015 A00AA36 BANQUE COMMERCIALE DU MAROC 015 B00AA36 S 015 C01AA36 CASABLANCA PAGE 6 015 D01AA36 MOROCCO 015 E04AA36 X 015 A00AA37 MEESPIERSON N.V. 015 B00AA37 S 015 C01AA37 AMSTERDAM 015 D01AA37 NETHERLANDS 015 E04AA37 X 015 A00AA38 ANZ BANKING GROUP (NEW ZEALAND) LTD. 015 B00AA38 S 015 C01AA38 WELLINGTON 015 D01AA38 NEW ZEALAND 015 E04AA38 X 015 A00AA39 CHRISTIANIA BANK OF KREDITKASSE 015 B00AA39 S 015 C01AA39 OSLO 015 D01AA39 NORWAY 015 E04AA39 X 015 A00AA40 DEUTSCHE BANK AG 015 B00AA40 S 015 C01AA40 KARACHI 015 D01AA40 PAKISTAN 015 E04AA40 X 015 A00AA41 CITIBANK N.A. 015 B00AA41 S 015 C01AA41 LIMA 015 D01AA41 PERU 015 E04AA41 X 015 A00AA42 STANDARD CHARTERED BANK 015 B00AA42 S 015 C01AA42 MANILA 015 D01AA42 PHILIPPINES 015 E04AA42 X 015 A00AA43 CITIBANK POLAND S.A. 015 B00AA43 S 015 C01AA43 WARSAW 015 D01AA43 POLAND 015 E04AA43 X 015 A00AA44 BANCO COMERCIAL PORTUGUES 015 B00AA44 S 015 C01AA44 LISBON 015 D01AA44 PORTUGAL 015 E04AA44 X 015 A00AA45 THE DEVELOPMENT BANK OF SINGAPORE LTD. 015 B00AA45 S 015 C01AA45 SINGAPORE 015 D01AA45 SINGAPORE 015 E04AA45 X 015 A00AA46 STANDARD BANK OF SOUTH AFRICA LIMITED 015 B00AA46 S 015 C01AA46 JOHANNESBURG 015 D01AA46 SOUTH AFRICA PAGE 7 015 E04AA46 X 015 A00AA47 BANCO SANTANDER, S.A. 015 B00AA47 S 015 C01AA47 MADRID 015 D01AA47 SPAIN 015 E04AA47 X 015 A00AA48 THE HONGKONG AND SHANGHAI BANKING CORP. LTD 015 B00AA48 S 015 C01AA48 COLOMBO 015 D01AA48 SRI LANKA 015 E04AA48 X 015 A00AA49 SKANDINAVISKA ENSKILDA BANKEN 015 B00AA49 S 015 C01AA49 STOCKHOLM 015 D01AA49 SWEDEN 015 E04AA49 X 015 A00AA50 BARCLAY BANK OF SWAZILAND LTD. 015 B00AA50 S 015 C01AA50 MBABANE 015 D01AA50 SWAZILAND 015 E04AA50 X 015 A00AA51 UNION BANK OF SWITZERLAND 015 B00AA51 S 015 C01AA51 ZURICH 015 D01AA51 SWITZERLAND 015 E04AA51 X 015 A00AA52 CENTRAL TRUST OF CHINA 015 B00AA52 S 015 C01AA52 TAIPEI 015 D01AA52 TAIWAN-R.O.C. 015 E04AA52 X 015 A00AA53 STANDARD CHARTERED BANK 015 B00AA53 S 015 C01AA53 BANGKOK 015 D01AA53 THAILAND 015 E04AA53 X 015 A00AA54 CITIBANK, N.A. 015 B00AA54 S 015 C01AA54 ISTANBUL 015 D01AA54 TURKEY 015 E04AA54 X 015 A00AA55 STATE STREET BANK AND TRUST COMPANY 015 B00AA55 S 015 C01AA55 LONDON 015 D01AA55 UNITED KINGDOM 015 E04AA55 X 015 A00AA56 CITIBANK, N.A. 015 B00AA56 S 015 C01AA56 MONTEVIDEO 015 D01AA56 URUGUAY 015 E04AA56 X PAGE 8 015 A00AA57 CITIBANK, N.A. 015 B00AA57 S 015 C01AA57 CARACAS 015 D01AA57 VENEZUELA 015 E04AA57 X 015 A00AA58 BARCLAYS BANK OF ZAMBIA LTD. 015 B00AA58 S 015 C01AA58 LUSAKA 015 D01AA58 ZAMBIA 015 E04AA58 X 015 A00AA59 BARCLAYS BANK OF ZIMBABWE LTD. 015 B00AA59 S 015 C01AA59 HARARE 015 D01AA59 ZIMBABWE 015 E04AA59 X 015 A00AA60 THE HONGKONG AND SHANGHAI BANKING CORP. LTD 015 B00AA60 S 015 C01AA60 PORT LOUIS BR. 015 D01AA60 MAURITIUS 015 E04AA60 X 015 A00AA61 CESKOSLOVENSKA OBCHODNA BANKA A.S. 015 B00AA61 S 015 C01AA61 BRATISLAVA 015 D01AA61 SLOVAK REPUBLIC 015 E04AA61 X 018 00AA00 Y 019 A00AA00 N 019 B00AA00 0 020 A000001 WILLIAM O'NEIL 020 C000001 27 020 A000002 PAINE WEBBER 020 C000002 17 020 A000003 MONTGOMERY SECURITIES 020 B000003 94-1701676 020 C000003 8 020 A000004 SMITH BARNEY 020 B000004 13-1912900 020 C000004 6 020 A000005 BEAR STEARNS 020 B000005 13-3299429 020 C000005 5 020 A000006 INSTINET 020 C000006 5 020 A000007 LEHMAN BROTHERS, INC. 020 B000007 13-2518466 020 C000007 5 020 A000008 GOLDMAN SACHS & CO. 020 B000008 13-5108880 020 C000008 4 020 A000009 ALEX BROWN 020 B000009 52-1319768 PAGE 9 020 C000009 4 020 A000010 DILLON READ 020 C000010 4 021 000000 85 022 A000001 ALEX BROWN 022 B000001 13-5217978 022 C000001 3718 022 D000001 1425 022 A000002 MERRIL LYNCH 022 B000002 13-5674085 022 C000002 4211 022 D000002 366 022 A000003 CS FIRST BOSTON 022 B000003 13-5659485 022 C000003 2298 022 D000003 0 022 A000004 MORGAN STANLEY & CO. INC. 022 B000004 13-2655998 022 C000004 1752 022 D000004 533 022 A000005 GOLDMAN SACHS 022 B000005 13-5108880 022 C000005 1146 022 D000005 758 022 A000006 J.P. MORGAN 022 B000006 13-3224016 022 C000006 1503 022 D000006 113 022 A000007 DONALDSON, LUFKIN, & JENRETTE SEC.S CORP. 022 B000007 13-2741729 022 C000007 934 022 D000007 676 022 A000008 LEHMAN BROTHERS, INC. 022 B000008 13-2518466 022 C000008 1386 022 D000008 166 022 A000009 SMITH BARNEY 022 B000009 13-1912900 022 C000009 1026 022 D000009 77 022 A000010 BAIRD, ROBERT W. & CO. INC. 022 B000010 13-1912900 022 C000010 534 022 D000010 509 023 C000000 18508 023 D000000 4623 026 A000000 N 026 B000000 Y 026 C000000 Y 026 D000000 Y 026 E000000 Y PAGE 10 026 F000000 Y 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 Y 029 00AA00 N 030 A00AA00 0 030 B00AA00 0.00 030 C00AA00 0.00 031 A00AA00 0 031 B00AA00 0 032 00AA00 0 033 00AA00 0 034 00AA00 N 035 00AA00 0 036 B00AA00 0 037 00AA00 Y 038 00AA00 117 039 00AA00 N 040 00AA00 Y 041 00AA00 Y 042 A00AA00 0 042 B00AA00 0 042 C00AA00 0 042 D00AA00 100 042 E00AA00 0 042 F00AA00 0 042 G00AA00 0 042 H00AA00 0 043 00AA00 6 044 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 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 PAGE 11 054 N00AA00 N 054 O00AA00 N 055 A00AA00 Y 055 B00AA00 N 056 00AA00 Y 057 00AA00 N 077 A000000 N 078 000000 N 080 A00AA00 GULF INSURANCE COMPANY 080 B00AA00 N/A 080 C00AA00 300 081 A00AA00 N 081 B00AA00 0 082 A00AA00 N 082 B00AA00 0 083 A00AA00 N 083 B00AA00 0 084 A00AA00 N 084 B00AA00 0 085 A00AA00 Y 085 B00AA00 N 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 024 000100 Y 025 A000101 CHARLES SCHAWB 025 C000101 E 025 D000101 497 025 D000102 0 025 D000103 0 025 D000104 0 025 D000105 0 025 D000106 0 025 D000107 0 025 D000108 0 028 A010100 1898 028 A020100 0 028 A030100 0 028 A040100 356 028 B010100 2338 028 B020100 0 028 B030100 0 PAGE 12 028 B040100 96 028 C010100 2606 028 C020100 1014 028 C030100 0 028 C040100 26 028 D010100 2140 028 D020100 99 028 D030100 0 028 D040100 43 028 E010100 6114 028 E020100 0 028 E030100 0 028 E040100 223 028 F010100 2953 028 F020100 0 028 F030100 0 028 F040100 164 028 G010100 18049 028 G020100 1113 028 G030100 0 028 G040100 908 028 H000100 0 045 000100 Y 046 000100 N 047 000100 Y 048 000100 0.700 048 A010100 0 048 A020100 0.000 048 B010100 0 048 B020100 0.000 048 C010100 0 048 C020100 0.000 048 D010100 0 048 D020100 0.000 048 E010100 0 048 E020100 0.000 048 F010100 0 048 F020100 0.000 048 G010100 0 048 G020100 0.000 048 H010100 0 048 H020100 0.000 048 I010100 0 048 I020100 0.000 048 J010100 0 048 J020100 0.000 048 K010100 0 048 K020100 0.000 058 A000100 N 058 B000100 N 058 C000100 N PAGE 13 058 D000100 N 058 E000100 N 059 000100 Y 060 A000100 Y 060 B000100 Y 061 000100 1000 062 A000100 N 062 B000100 0.0 062 C000100 0.0 062 D000100 0.0 062 E000100 0.0 062 F000100 0.0 062 G000100 0.0 062 H000100 0.0 062 I000100 0.0 062 J000100 0.0 062 K000100 0.0 062 L000100 0.0 062 M000100 0.0 062 N000100 0.0 062 O000100 0.0 062 P000100 0.0 062 Q000100 0.0 062 R000100 0.0 066 A000100 Y 066 B000100 N 066 C000100 Y 066 D000100 N 066 E000100 N 066 F000100 N 066 G000100 N 067 000100 N 068 A000100 N 068 B000100 N 069 000100 N 070 A010100 Y 070 A020100 Y 070 B010100 Y 070 B020100 N 070 C010100 Y 070 C020100 N 070 D010100 Y 070 D020100 N 070 E010100 Y 070 E020100 N 070 F010100 Y 070 F020100 N 070 G010100 Y 070 G020100 N 070 H010100 Y 070 H020100 N PAGE 14 070 I010100 N 070 I020100 N 070 J010100 Y 070 J020100 N 070 K010100 Y 070 K020100 N 070 L010100 Y 070 L020100 Y 070 M010100 Y 070 M020100 N 070 N010100 Y 070 N020100 N 070 O010100 Y 070 O020100 N 070 P010100 N 070 P020100 N 070 Q010100 N 070 Q020100 N 070 R010100 Y 070 R020100 N 071 A000100 27295 071 B000100 12914 071 C000100 17879 071 D000100 72 072 A000100 6 072 B000100 70 072 C000100 116 072 D000100 0 072 E000100 0 072 F000100 74 072 G000100 33 072 H000100 0 072 I000100 28 072 J000100 22 072 K000100 0 072 L000100 0 072 M000100 5 072 N000100 10 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 9 072 S000100 12 072 T000100 2 072 U000100 24 072 V000100 0 072 W000100 2 072 X000100 221 072 Y000100 76 072 Z000100 41 072AA000100 302 PAGE 15 072BB000100 0 072CC010100 0 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C040200 1070 028 D010200 1088 028 D020200 46 028 D030200 0 028 D040200 80 028 E010200 498 028 E020200 0 028 E030200 0 028 E040200 1382 028 F010200 621 028 F020200 0 028 F030200 0 028 F040200 526 028 G010200 7660 028 G020200 122 028 G030200 0 028 G040200 4047 028 H000200 0 045 000200 Y 046 000200 N 047 000200 Y 048 000200 0.800 048 A010200 0 048 A020200 0.000 048 B010200 0 048 B020200 0.000 048 C010200 0 048 C020200 0.000 048 D010200 0 048 D020200 0.000 048 E010200 0 048 E020200 0.000 048 F010200 0 048 F020200 0.000 048 G010200 0 048 G020200 0.000 048 H010200 0 PAGE 17 048 H020200 0.000 048 I010200 0 048 I020200 0.000 048 J010200 0 048 J020200 0.000 048 K010200 0 048 K020200 0.000 058 A000200 N 058 B000200 N 058 C000200 N 058 D000200 N 058 E000200 N 059 000200 Y 060 A000200 Y 060 B000200 Y 061 000200 1000 062 A000200 N 062 B000200 0.0 062 C000200 0.0 062 D000200 0.0 062 E000200 0.0 062 F000200 0.0 062 G000200 0.0 062 H000200 0.0 062 I000200 0.0 062 J000200 0.0 062 K000200 0.0 062 L000200 0.0 062 M000200 0.0 062 N000200 0.0 062 O000200 0.0 062 P000200 0.0 062 Q000200 0.0 062 R000200 0.0 066 A000200 Y 066 B000200 Y 066 C000200 N 066 D000200 N 066 E000200 N 066 F000200 N 066 G000200 N 067 000200 N 068 A000200 N 068 B000200 N 069 000200 N 070 A010200 Y 070 A020200 Y 070 B010200 Y 070 B020200 N 070 C010200 Y 070 C020200 N PAGE 18 070 D010200 Y 070 D020200 N 070 E010200 Y 070 E020200 N 070 F010200 Y 070 F020200 N 070 G010200 Y 070 G020200 N 070 H010200 Y 070 H020200 N 070 I010200 N 070 I020200 N 070 J010200 Y 070 J020200 N 070 K010200 Y 070 K020200 N 070 L010200 Y 070 L020200 Y 070 M010200 Y 070 M020200 N 070 N010200 Y 070 N020200 N 070 O010200 Y 070 O020200 N 070 P010200 N 070 P020200 N 070 Q010200 N 070 Q020200 N 070 R010200 Y 070 R020200 N 071 A000200 14306 071 B000200 10385 071 C000200 9249 071 D000200 112 072 A000200 6 072 B000200 33 072 C000200 13 072 D000200 0 072 E000200 0 072 F000200 43 072 G000200 32 072 H000200 0 072 I000200 30 072 J000200 21 072 K000200 0 072 L000200 0 072 M000200 5 072 N000200 8 072 O000200 0 072 P000200 0 072 Q000200 0 PAGE 19 072 R000200 9 072 S000200 13 072 T000200 3 072 U000200 23 072 V000200 0 072 W000200 2 072 X000200 189 072 Y000200 109 072 Z000200 -34 072AA000200 0 072BB000200 431 072CC010200 0 072CC020200 1442 072DD010200 0 072DD020200 47 072EE000200 77 073 A010200 0.0000 073 A020200 0.0728 073 B000200 0.1001 073 C000200 0.0000 074 A000200 0 074 B000200 428 074 C000200 0 074 D000200 0 074 E000200 0 074 F000200 9900 074 G000200 0 074 H000200 0 074 I000200 0 074 J000200 151 074 K000200 0 074 L000200 250 074 M000200 41 074 N000200 10770 074 O000200 227 074 P000200 0 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 44 074 S000200 0 074 T000200 10499 074 U010200 194 074 U020200 662 074 V010200 12.30 074 V020200 12.26 074 W000200 0.0000 074 X000200 330 074 Y000200 0 075 A000200 0 PAGE 20 075 B000200 10543 076 000200 0.00 024 000300 Y 025 A000301 LEHMAN BROTHERS 025 C000301 D 025 D000301 87 025 A000302 BEAR STEARNS 025 C000302 D 025 D000302 60 025 D000303 0 025 D000304 0 025 D000305 0 025 D000306 0 025 D000307 0 025 D000308 0 028 A010300 788 028 A020300 0 028 A030300 0 028 A040300 6 028 B010300 41 028 B020300 26 028 B030300 0 028 B040300 37 028 C010300 1635 028 C020300 44 028 C030300 0 028 C040300 4 028 D010300 178 028 D020300 70 028 D030300 0 028 D040300 384 028 E010300 37 028 E020300 36 028 E030300 0 028 E040300 24 028 F010300 542 028 F020300 63 028 F030300 0 028 F040300 12 028 G010300 3221 028 G020300 239 028 G030300 0 028 G040300 467 028 H000300 0 045 000300 Y 046 000300 N 047 000300 Y 048 000300 0.500 048 A010300 0 048 A020300 0.000 048 B010300 0 PAGE 21 048 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 0.000 058 A000300 N 058 B000300 N 058 C000300 N 058 D000300 N 058 E000300 N 059 000300 Y 060 A000300 Y 060 B000300 Y 061 000300 1000 062 A000300 Y 062 B000300 0.0 062 C000300 0.0 062 D000300 0.8 062 E000300 0.0 062 F000300 0.0 062 G000300 0.0 062 H000300 0.0 062 I000300 4.2 062 J000300 0.0 062 K000300 0.0 062 L000300 0.0 062 M000300 0.0 062 N000300 8.8 062 O000300 0.0 062 P000300 77.0 062 Q000300 2.4 062 R000300 0.0 063 A000300 0 063 B000300 11.7 066 A000300 N 067 000300 N 068 A000300 N PAGE 22 068 B000300 N 069 000300 N 070 A010300 Y 070 A020300 Y 070 B010300 N 070 B020300 N 070 C010300 Y 070 C020300 N 070 D010300 N 070 D020300 N 070 E010300 Y 070 E020300 N 070 F010300 N 070 F020300 N 070 G010300 Y 070 G020300 N 070 H010300 N 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 Y 070 N010300 Y 070 N020300 N 070 O010300 Y 070 O020300 N 070 P010300 N 070 P020300 N 070 Q010300 N 070 Q020300 N 070 R010300 Y 070 R020300 N 071 A000300 6020 071 B000300 3404 071 C000300 5380 071 D000300 63 072 A000300 6 072 B000300 230 072 C000300 1 072 D000300 0 072 E000300 0 072 F000300 14 072 G000300 33 072 H000300 0 072 I000300 12 PAGE 23 072 J000300 19 072 K000300 0 072 L000300 0 072 M000300 5 072 N000300 8 072 O000300 0 072 P000300 0 072 Q000300 0 072 R000300 7 072 S000300 13 072 T000300 0 072 U000300 24 072 V000300 0 072 W000300 2 072 X000300 137 072 Y000300 106 072 Z000300 200 072AA000300 35 072BB000300 0 072CC010300 0 072CC020300 66 072DD010300 2 072DD020300 232 072EE000300 14 073 A010300 0.1072 073 A020300 0.3934 073 B000300 0.0245 073 C000300 0.0000 074 A000300 0 074 B000300 300 074 C000300 52 074 D000300 6217 074 E000300 162 074 F000300 0 074 G000300 0 074 H000300 0 074 I000300 0 074 J000300 29 074 K000300 0 074 L000300 566 074 M000300 41 074 N000300 7367 074 O000300 305 074 P000300 0 074 Q000300 0 074 R010300 0 074 R020300 0 074 R030300 0 074 R040300 25 074 S000300 0 074 T000300 7037 PAGE 24 074 U010300 702 074 U020300 0 074 V010300 10.03 074 V020300 0.00 074 W000300 0.0000 074 X000300 67 074 Y000300 0 075 A000300 0 075 B000300 5770 076 000300 0.00 024 000400 N 028 A010400 728 028 A020400 0 028 A030400 0 028 A040400 0 028 B010400 3577 028 B020400 0 028 B030400 0 028 B040400 0 028 C010400 8345 028 C020400 4 028 C030400 0 028 C040400 0 028 D010400 11247 028 D020400 109 028 D030400 0 028 D040400 16 028 E010400 1309 028 E020400 0 028 E030400 0 028 E040400 10113 028 F010400 3354 028 F020400 113 028 F030400 0 028 F040400 44 028 G010400 28560 028 G020400 226 028 G030400 0 028 G040400 10173 028 H000400 0 045 000400 Y 046 000400 N 047 000400 Y 048 000400 0.850 048 A010400 0 048 A020400 0.000 048 B010400 0 048 B020400 0.000 048 C010400 0 048 C020400 0.000 048 D010400 0 PAGE 25 048 D020400 0.000 048 E010400 0 048 E020400 0.000 048 F010400 0 048 F020400 0.000 048 G010400 0 048 G020400 0.000 048 H010400 0 048 H020400 0.000 048 I010400 0 048 I020400 0.000 048 J010400 0 048 J020400 0.000 048 K010400 0 048 K020400 0.000 058 A000400 N 058 B000400 N 058 C000400 N 058 D000400 N 058 E000400 N 059 000400 Y 060 A000400 N 060 B000400 N 061 000400 1000 062 A000400 N 062 B000400 0.0 062 C000400 0.0 062 D000400 0.0 062 E000400 0.0 062 F000400 0.0 062 G000400 0.0 062 H000400 0.0 062 I000400 0.0 062 J000400 0.0 062 K000400 0.0 062 L000400 0.0 062 M000400 0.0 062 N000400 0.0 062 O000400 0.0 062 P000400 0.0 062 Q000400 0.0 062 R000400 0.0 066 A000400 Y 066 B000400 N 066 C000400 N 066 D000400 N 066 E000400 N 066 F000400 N 066 G000400 Y 067 000400 N 068 A000400 N PAGE 26 068 B000400 N 069 000400 N 070 A010400 Y 070 A020400 Y 070 B010400 Y 070 B020400 N 070 C010400 Y 070 C020400 N 070 D010400 Y 070 D020400 N 070 E010400 Y 070 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 N 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 N 070 P020400 N 070 Q010400 N 070 Q020400 N 070 R010400 Y 070 R020400 N 071 A000400 24824 071 B000400 6907 071 C000400 10794 071 D000400 64 072 A000400 6 072 B000400 51 072 C000400 267 072 D000400 0 072 E000400 0 072 F000400 55 072 G000400 33 072 H000400 0 072 I000400 20 PAGE 27 072 J000400 22 072 K000400 0 072 L000400 0 072 M000400 5 072 N000400 9 072 O000400 0 072 P000400 0 072 Q000400 0 072 R000400 7 072 S000400 13 072 T000400 1 072 U000400 24 072 V000400 0 072 W000400 2 072 X000400 191 072 Y000400 70 072 Z000400 198 072AA000400 423 072BB000400 0 072CC010400 893 072CC020400 0 072DD010400 14 072DD020400 211 072EE000400 4 073 A010400 0.1230 073 A020400 0.1663 073 B000400 0.0051 073 C000400 0.0000 074 A000400 13 074 B000400 1593 074 C000400 0 074 D000400 0 074 E000400 0 074 F000400 20366 074 G000400 0 074 H000400 0 074 I000400 0 074 J000400 0 074 K000400 0 074 L000400 273 074 M000400 41 074 N000400 22286 074 O000400 915 074 P000400 0 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 78 074 S000400 0 074 T000400 21293 PAGE 28 074 U010400 195 074 U020400 1457 074 V010400 12.87 074 V020400 12.89 074 W000400 0.0000 074 X000400 174 074 Y000400 0 075 A000400 0 075 B000400 12871 076 000400 0.00 SIGNATURE BILL BESTON TITLE ASST. VICE PRESIDENT EX-27 2 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 0001005020 SENECA FUNDS 3 SENECA BOND FUND 6-MOS DEC-26-1996 SEP-30-1996 MAR-31-1997 6395161 6730217 595926 40740 0 7366883 305438 0 24864 330302 0 7033332 0 19419 (14604) 0 34446 0 (16593) 7036581 1013 230033 0 (30921) 200125 35346 (66198) 169273 0 (2145) (672) 0 7990 (27549) 140 2913987 19427 13694 0 0 14502 0 137320 5706005 10.09 .06 .21 0 (.13) 0 10.23 1.30 0 0

EX-27 3
6 0001005020 SENECA FUNDS 3 SENECA BOND FUND 6-MOS SEP-30-1997 SEP-30-1996 MAR-31-1997 6395161 6730217 595926 40740 0 7366883 305438 0 24864 330302 0 7033332 701807 389207 (14604) 0 34446 0 (16593) 7036581 1013 230033 0 (30921) 200125 35346 (66198) 169273 0 (232011) (13922) 0 307392 (18245) 23453 2913987 19427 13694 0 0 14502 0 137320 222826 10.09 .32 .03 0 (.41) 0 10.03 1.09 0 0

EX-27 4 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 0001005020 SENECA FUNDS 1 SENECA GROWTH FUND 6-MOS SEP-30-1997 SEP-30-1996 MAR-31-1997 25835026 29613346 1818339 40740 13644 31486069 1083551 0 63413 1146964 0 30006228 311837 34222 (7768) 0 250984 0 89660 30339105 116385 70075 0 (145091) 41369 302111 (529759) (186279) 0 (328) (18738) 0 313127 (36876) 1364 16953178 50611 965464 0 0 74087 0 220926 1632862 13.63 (.03) .27 0 (.77) 0 13.10 2.25 0 0

EX-27 5
6 0001005020 SENECA FUNDS 1 SENECA GROWTH FUND 6-MOS SEP-30-1997 SEP-30-1996 MAR-31-1997 25835026 29613346 1818339 40740 13644 31486069 1083551 0 63413 1146964 0 30006228 1992400 940105 (7768) 0 250984 0 89660 30339105 116385 70075 0 (145091) 41369 302111 (529759) (186279) 0 (99420) (997853) 0 998065 (28865) 83095 16953178 50611 965464 0 0 74087 0 220926 195911172 13.74 (.01) .29 0 .84 0 13.18 1.30 0 0

EX-27 6 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 0001005020 SENECA FUNDS 2 SENECA MID-CAP EDGE FUND 6-MOS SEP-30-1997 SEP-30-1996 MAR-31-1997 10324942 10328049 400801 41112 0 10769962 227237 0 43740 270977 0 11413652 194011 90756 (58848) 0 (431200) 0 (424619) 10498985 12519 33209 0 (79935) (34207) (431241) (1442394) (1907842) 0 (7) (12055) 0 279608 (177204) 851 1715836 22765 77414 0 0 42872 0 189004 2299718 14.94 (.08) (2.46) 0 (.10) 0 12.3 2.05 0 0

EX-27 7
6 0001005020 SENECA FUNDS 2 SENECA MID-CAP EDGE FUND 6-MOS SEP-30-1997 SEP-30-1996 MAR-31-1997 10324942 10328049 400801 41112 0 10769962 227237 0 43740 270977 0 11413652 661953 496095 (58848) 0 (431200) 0 (424619) 10498985 12519 33209 0 (79935) (34207) (431241) (1442394) (1907842) 0 (47339) (65318) 0 274410 (116432) 7880 1715836 22765 77414 0 0 42872 0 189004 8446979 14.97 (.03) (2.51) 0 (.17) 0 12.26 1.34 0 0

EX-27 8 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 0001005020 SENECA FUNDS 4 SENECA REAL ESTATE SECURITIES FUND 6-MOS SEP-30-1997 SEP-30-1996 MAR-31-1997 19409477 21959903 272978 53333 0 22286214 915332 0 77488 992820 0 19928855 195261 20085 (8326) 0 415754 0 957111 21293394 267257 51719 0 (120676) 198300 422877 892945 1514122 0 (14219) (194) 0 178852 (4709) 1033 1270563 18381 (2568) 0 0 55447 0 190779 1060086 11.08 (.03) 1.95 0 (.13) 0 12.87 2.54 0 0

EX-27 9
6 0001005020 SENECA FUNDS 4 SENECA REAL ESTATE SECURITIES FUND 6-MOS SEP-30-1997 SEP-30-1996 MAR-31-1997 19409477 21959903 272978 53333 0 22286214 915332 0 77488 992820 0 19928855 1457227 96708 (8326) 0 415754 0 957111 21293394 267257 51719 0 (120676) 198300 422877 892945 1514121 0 (210788) (4361) 0 2128334 (784566) 16751 1270563 18381 (2568) 0 0 55447 0 190779 12018729 11.10 0 1.97 0 (.18) 0 12.89 1.79 0 0

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