-----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, FVCMGxx24MbTD1Dd+o96xsjOC1YR/h0h/zvbOcXs6BjpVCztrCHeLeL31kwfTv3L TMhPlEdJl4YbSJkwOrrAaA== 0001005020-97-000005.txt : 19971201 0001005020-97-000005.hdr.sgml : 19971201 ACCESSION NUMBER: 0001005020-97-000005 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 10 CONFORMED PERIOD OF REPORT: 19970930 FILED AS OF DATE: 19971128 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-B SEC ACT: SEC FILE NUMBER: 811-07455 FILM NUMBER: 97730107 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-B 1 PAGE 1 000 B000000 09/30/97 000 C000000 0001005020 000 D000000 N 000 E000000 NF 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. L.P. 008 B00AA01 A 008 C00AA01 801-35374 008 D01AA01 SAN FRANCISCO 008 D02AA01 CA 008 D03AA01 94133 010 A00AA01 GMG/SENECA CAPITAL MANAGEMENT L.P. 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 22 020 A000003 ALEX BROWN 020 B000003 52-1319768 020 C000003 18 020 A000004 MORGAN STANLEY 020 B000004 13-2655998 020 C000004 14 020 A000005 LEHMAN BROTHERS, INC. 020 B000005 13-2518466 020 C000005 13 020 A000006 MONTGOMERY SECURITIES 020 B000006 94-1701676 020 C000006 13 020 A000007 BEAR STEARNS 020 B000007 13-3299429 020 C000007 11 020 A000008 GOLDMAN SACHS & CO. 020 B000008 13-5108880 020 C000008 9 020 A000009 SMITH BARNEY PAGE 9 020 B000009 13-1912900 020 C000009 9 020 A000010 INSTINET 020 C000010 9 021 000000 213 022 A000001 GOLDMAN SACHS 022 B000001 13-510880 022 C000001 10865 022 D000001 5240 022 A000002 MERRILL LYNCH 022 B000002 13-5674085 022 C000002 12316 022 D000002 1101 022 A000003 LEHMAN BROTHERS, INC. 022 B000003 13-2518466 022 C000003 7721 022 D000003 3511 022 A000004 MORGAN STANLEY & CO., INC. 022 B000004 13-2655998 022 C000004 6016 022 D000004 1687 022 A000005 ALEX BROWN 022 B000005 13-5217978 022 C000005 2490 022 D000005 3586 022 A000006 MONTGOMERY SECURITIES 022 B000006 94-1701676 022 C000006 2453 022 D000006 2123 022 A000007 DONLADSON LUFKIN, & JENERETTE SECS. CORP. 022 B000007 13-2741729 022 C000007 2786 022 D000007 1487 022 A000008 J.P. MORGAN 022 B000008 13-3224016 022 C000008 3244 022 D000008 778 022 A000009 CS FIRST BOSTON 022 B000009 13-5659485 022 C000009 2562 022 D000009 306 022 A000010 SMITH BARNEY 022 B000010 13-1912900 022 C000010 2281 022 D000010 353 023 C000000 63692 023 D000000 26711 026 A000000 N 026 B000000 Y 026 C000000 Y 026 D000000 Y PAGE 10 026 E000000 Y 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 119 039 00AA00 N 040 00AA00 Y 041 00AA00 Y 042 A00AA00 0 042 B00AA00 0 042 C00AA00 0 042 D00AA00 0 042 E00AA00 0 042 F00AA00 0 042 G00AA00 0 042 H00AA00 0 043 00AA00 19 044 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 PAGE 11 054 M00AA00 Y 054 N00AA00 N 054 O00AA00 N 055 A00AA00 N 055 B00AA00 N 056 00AA00 Y 057 00AA00 N 077 A000000 Y 077 B000000 Y 078 000000 N 080 A00AA00 GULF INSURANCE COMPANY 080 B00AA00 N/A 080 C00AA00 450 081 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 MERRIL LYNCH & CO. 025 C000101 E 025 D000101 424 025 D000102 0 025 D000103 0 025 D000104 0 025 D000105 0 025 D000106 0 025 D000107 0 025 D000108 0 028 A010100 -19 028 A020100 0 028 A030100 0 028 A040100 307 028 B010100 1034 PAGE 12 028 B020100 0 028 B030100 0 028 B040100 140 028 C010100 1005 028 C020100 0 028 C030100 0 028 C040100 353 028 D010100 885 028 D020100 0 028 D030100 0 028 D040100 802 028 E010100 1236 028 E020100 0 028 E030100 0 028 E040100 308 028 F010100 320 028 F020100 0 028 F030100 0 028 F040100 440 028 G010100 4461 028 G020100 0 028 G030100 0 028 G040100 2350 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 PAGE 13 058 B000100 N 058 C000100 N 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 PAGE 14 070 H010100 Y 070 H020100 N 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 57313 071 B000100 37141 071 C000100 25493 071 D000100 146 072 A000100 12 072 B000100 120 072 C000100 406 072 D000100 0 072 E000100 0 072 F000100 200 072 G000100 58 072 H000100 0 072 I000100 54 072 J000100 47 072 K000100 0 072 L000100 0 072 M000100 8 072 N000100 24 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 13 072 S000100 18 072 T000100 8 072 U000100 31 072 V000100 0 072 W000100 12 072 X000100 473 072 Y000100 5 PAGE 15 072 Z000100 58 072AA000100 2408 072BB000100 0 072CC010100 5006 072CC020100 0 072DD010100 0 072DD020100 100 072EE000100 1016 073 A010100 0.0000 073 A020100 0.0695 073 B000100 0.7738 073 C000100 0.0000 074 A000100 0 074 B000100 820 074 C000100 0 074 D000100 0 074 E000100 0 074 F000100 39358 074 G000100 0 074 H000100 0 074 I000100 0 074 J000100 614 074 K000100 10 074 L000100 55 074 M000100 34 074 N000100 40891 074 O000100 710 074 P000100 0 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 75 074 S000100 0 074 T000100 40106 074 U010100 369 074 U020100 2075 074 V010100 16.28 074 V020100 16.43 074 W000100 0.0000 074 X000100 308 074 Y000100 0 075 A000100 0 075 B000100 28580 076 000100 0.00 024 000200 Y 025 A000201 MORGAN STANLEY 025 C000201 E 025 D000201 257 025 D000202 0 025 D000203 0 PAGE 16 025 D000204 0 025 D000205 0 025 D000206 0 025 D000207 0 025 D000208 0 028 A010200 576 028 A020200 0 028 A030200 0 028 A040200 315 028 B010200 597 028 B020200 0 028 B030200 0 028 B040200 182 028 C010200 64 028 C020200 0 028 C030200 0 028 C040200 670 028 D010200 301 028 D020200 0 028 D030200 0 028 D040200 2764 028 E010200 80 028 E020200 0 028 E030200 0 028 E040200 126 028 F010200 304 028 F020200 0 028 F030200 0 028 F040200 65 028 G010200 1922 028 G020200 0 028 G030200 0 028 G040200 4122 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 PAGE 17 048 G020200 0.000 048 H010200 0 048 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 PAGE 18 070 C010200 Y 070 C020200 N 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 30289 071 B000200 28370 071 C000200 10004 071 D000200 284 072 A000200 12 072 B000200 51 072 C000200 35 072 D000200 0 072 E000200 0 072 F000200 89 072 G000200 56 072 H000200 0 072 I000200 52 072 J000200 41 072 K000200 0 072 L000200 0 072 M000200 8 072 N000200 18 072 O000200 0 PAGE 19 072 P000200 0 072 Q000200 0 072 R000200 13 072 S000200 18 072 T000200 6 072 U000200 31 072 V000200 0 072 W000200 12 072 X000200 344 072 Y000200 136 072 Z000200 -122 072AA000200 0 072BB000200 1356 072CC010200 370 072CC020200 0 072DD010200 0 072DD020200 47 072EE000200 77 073 A010200 0.0000 073 A020200 0.0728 073 B000200 0.1006 073 C000200 0.0000 074 A000200 38 074 B000200 617 074 C000200 0 074 D000200 0 074 E000200 0 074 F000200 11497 074 G000200 0 074 H000200 0 074 I000200 0 074 J000200 1102 074 K000200 0 074 L000200 4 074 M000200 34 074 N000200 13292 074 O000200 1426 074 P000200 12 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 44 074 S000200 0 074 T000200 11810 074 U010200 147 074 U020200 570 074 V010200 16.49 074 V020200 16.47 074 W000200 0.0000 074 X000200 464 PAGE 20 074 Y000200 0 075 A000200 0 075 B000200 11146 076 000200 0.00 024 000300 Y 025 A000301 DONALDSON, LUFKIN & JENRETTE 025 C000301 D 025 D000301 50 025 D000302 0 025 D000303 0 025 D000304 0 025 D000305 0 025 D000306 0 025 D000307 0 025 D000308 0 028 A010300 260 028 A020300 0 028 A030300 0 028 A040300 45 028 B010300 122 028 B020300 35 028 B030300 0 028 B040300 81 028 C010300 591 028 C020300 40 028 C030300 0 028 C040300 128 028 D010300 172 028 D020300 36 028 D030300 0 028 D040300 322 028 E010300 933 028 E020300 37 028 E030300 0 028 E040300 202 028 F010300 114 028 F020300 76 028 F030300 0 028 F040300 81 028 G010300 2192 028 G020300 224 028 G030300 0 028 G040300 859 028 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 1.1 062 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 0.0 062 N000300 7.5 062 O000300 0.0 062 P000300 85.7 062 Q000300 0.3 062 R000300 3.9 063 A000300 0 063 B000300 14.2 064 A000300 N 064 B000300 N 066 A000300 N PAGE 22 067 000300 N 068 A000300 N 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 11156 071 B000300 6463 071 C000300 6483 071 D000300 100 072 A000300 12 072 B000300 531 072 C000300 4 072 D000300 0 072 E000300 0 072 F000300 34 072 G000300 56 PAGE 23 072 H000300 0 072 I000300 22 072 J000300 33 072 K000300 0 072 L000300 0 072 M000300 8 072 N000300 14 072 O000300 0 072 P000300 0 072 Q000300 0 072 R000300 11 072 S000300 19 072 T000300 0 072 U000300 31 072 V000300 0 072 W000300 4 072 X000300 232 072 Y000300 126 072 Z000300 429 072AA000300 111 072BB000300 0 072CC010300 189 072CC020300 0 072DD010300 2 072DD020300 462 072EE000300 14 073 A010300 0.0000 073 A020300 0.6894 073 B000300 0.0245 073 C000300 0.0000 074 A000300 2 074 B000300 0 074 C000300 100 074 D000300 8334 074 E000300 351 074 F000300 0 074 G000300 0 074 H000300 0 074 I000300 0 074 J000300 0 074 K000300 0 074 L000300 220 074 M000300 34 074 N000300 9041 074 O000300 75 074 P000300 12 074 Q000300 0 074 R010300 0 074 R020300 0 074 R030300 0 074 R040300 32 PAGE 24 074 S000300 0 074 T000300 8922 074 U010300 853 074 U020300 0 074 V010300 10.47 074 V020300 0.00 074 W000300 0.0000 074 X000300 76 074 Y000300 0 075 A000300 0 075 B000300 6802 076 000300 0.00 024 000400 N 028 A010400 2328 028 A020400 0 028 A030400 0 028 A040400 122 028 B010400 1228 028 B020400 0 028 B030400 0 028 B040400 106 028 C010400 233 028 C020400 1 028 C030400 0 028 C040400 172 028 D010400 1499 028 D020400 86 028 D030400 0 028 D040400 342 028 E010400 521 028 E020400 0 028 E030400 0 028 E040400 190 028 F010400 1754 028 F020400 141 028 F030400 0 028 F040400 366 028 G010400 7563 028 G020400 227 028 G030400 0 028 G040400 1298 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 PAGE 25 048 C020400 0.000 048 D010400 0 048 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 PAGE 26 067 000400 N 068 A000400 N 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 36019 071 B000400 12838 071 C000400 16964 071 D000400 76 072 A000400 12 072 B000400 100 072 C000400 742 072 D000400 0 072 E000400 0 072 F000400 164 072 G000400 58 PAGE 27 072 H000400 0 072 I000400 43 072 J000400 43 072 K000400 0 072 L000400 0 072 M000400 8 072 N000400 24 072 O000400 0 072 P000400 0 072 Q000400 0 072 R000400 11 072 S000400 18 072 T000400 5 072 U000400 31 072 V000400 0 072 W000400 13 072 X000400 418 072 Y000400 16 072 Z000400 440 072AA000400 1230 072BB000400 0 072CC010400 3822 072CC020400 0 072DD010400 30 072DD020400 425 072EE000400 4 073 A010400 0.1967 073 A020400 0.2839 073 B000400 0.0051 073 C000400 0.0000 074 A000400 0 074 B000400 1760 074 C000400 0 074 D000400 0 074 E000400 0 074 F000400 29168 074 G000400 0 074 H000400 0 074 I000400 29 074 J000400 472 074 K000400 0 074 L000400 341 074 M000400 76 074 N000400 31847 074 O000400 315 074 P000400 0 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 164 PAGE 28 074 S000400 0 074 T000400 31368 074 U010400 216 074 U020400 1916 074 V010400 14.68 074 V020400 14.71 074 W000400 0.0000 074 X000400 220 074 Y000400 0 075 A000400 0 075 B000400 19312 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 BOND FUND ADMINISTRATIVE SHARES 003 SENECA BOND FUND 1 12-MOS SEP-30-1997 SEP-30-1997 8545740 8784678 220305 33972 2367 9041322 74561 0 44600 119161 0 8569263 0 19419 4453 0 109507 0 238938 8922161 4307 530318 0 (105251) 429374 111291 189346 730011 0 (2145) (672) 0 7990 (27549) 140 4799567 19427 13694 0 0 34294 0 358025 5706005 10.09 0.06 0.21 (0.11) (0.02) 0.00 10.23 1.30 0 0

EX-27 3
6 0001005020 SENECA BOND FUND INSTITUTIONAL SHARES 003 SENECA BOND FUND 1 12-MOS SEP-30-1997 SEP-30-1997 8545740 8784678 220305 33972 2367 9041322 74561 0 44600 119161 0 8569263 852565 389207 4453 0 109507 0 238938 8922161 4307 530318 0 (105251) 429374 111291 189346 730011 0 (462401) (13922) 0 496127 (101560) 45088 4799567 19427 13694 0 0 34294 0 358025 6801842 10.09 0.62 0.47 (0.69) (0.02) 0.00 10.47 1.53 0 0

EX-27 4
6 0001005020 SENECA GROWTH FUND ADMINISTRATIVE SHARES 1 SENECA GROWTH FUND 1 12-MOS SEP-30-1997 SEP-30-1997 34552659 40178121 668553 34304 10285 40891263 710160 0 74788 784948 0 32095920 369418 34222 28234 0 2356699 0 5625462 40106315 405505 119808 0 (467581) 57732 2408148 5006042 7471922 0 (3) (19063) 0 410550 (76718) 1364 26720389 50611 965464 0 0 200056 0 477929 3386239 13.63 (0.08) 3.50 0 (0.77) 0 16.28 2.48 0 0

EX-27 5 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 0001005020 SENECA GROWTH FUND INSTITUTIONAL SHARES 2 SENECA GROWTH FUND 1 12-MOS SEP-30-1997 SEP-30-1997 34552659 40178121 668553 34304 10285 40891263 710160 0 74788 784948 0 32095920 2074597 940105 28234 0 2356699 0 5625462 40106315 405505 119808 0 (467581) 57732 2408148 5006042 7471922 0 (99739) (997532) 0 1193698 (142301) 83095 26720389 50611 965464 0 0 200056 0 477929 25194014 13.74 0.03 3.50 (0.07) (0.77) 0 16.43 1.52 0 0

EX-27 6 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 0001005020 SENECA MID-CAP EDGE FUND ADMINISTRATIVE SHARES 2 SENECA MID-CAP EDGE FUND 1 12-MOS SEP-30-1997 SEP-30-1997 10727066 12114457 1106118 71796 0 13292371 1426486 0 56186 1482672 0 9193888 146739 90756 0 0 1228420 0 1387391 11809699 35305 50505 0 (208116) (122306) 1355512 369616 1602822 0 (7) (12053) 0 291421 (236289) 851 3026550 22765 77414 0 0 89157 0 479712 2260946 14.94 (0.25) 1.90 0 (0.10) 0 16.49 2.37 0 0

EX-27 7
6 0001005020 SENECA MID-CAP EDGE FUND INSTITUTIONAL SHARES 2 SENECA MID-CAP EDGE FUND 1 12-MOS SEP-30-1997 SEP-30-1997 10727066 12114457 1106118 71796 0 13292371 1426486 0 56186 1482672 0 9193888 570101 496095 0 0 1228420 0 1387391 11809699 35305 50505 0 (208116) (122306) 1355512 369616 1602822 0 (22426) (89792) 0 403926 (337764) 7844 3026550 22765 77414 0 0 89157 0 479712 8884671 14.97 (0.17) 1.84 (0.07) (0.10) 0 16.47 1.74 0 0

EX-27 8 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 0001005020 SENECA REAL ESTATE SECURITIES FUND ADMINISTRATIVE SHARES 4 SENECA REAL ESTATE SECURITIES FUND 1 12-MOS SEP-30-1997 SEP-30-1997 20070922 30957545 812588 76885 67 31847085 314755 0 163883 478638 0 26235633 216409 20085 23407 0 1222784 0 3886623 31368447 742196 99995 0 (401741) 440450 1229877 3822456 5492783 0 (29699) (194) 0 262586 (68344) 2082 30072884 18381 (2568) 0 0 164147 0 434997 1874653 11.08 0.03 3.78 (0.20) (0.01) 0 14.68 2.91 0 0

EX-27 9
6 0001005020 SENECA REAL ESTATE SECURITIES FUND INSTITUTIONAL SHARES 4 SENECA REAL ESTATE SECURITIES FUND 1 12-MOS SEP-30-1997 SEP-30-1997 20070922 30957545 812588 76885 67 31847085 314755 0 163883 478638 0 26235633 1915934 96708 23407 0 1222784 0 3886623 31368447 742196 99995 0 (401741) 440450 1229877 3822456 5492783 0 (425038) (4331) 0 2618177 (830654) 31702 30072884 18381 (2568) 0 0 164147 0 434997 17437074 11.10 0.13 3.77 (0.28) (0.01) 0 14.71 1.99 0 0

EX-99 10 [DESCRIPTION] INDEPENDENT AUDITORS REPORT To the Board of Trustees of Seneca Funds: In planning and performing our audits of the financial statements of the Seneca Funds comprising Seneca Growth Fund, Seneca Mid-Cap "Edge" Fund, Seneca Bond Fund, and Seneca Real Estate Securities Fund (collectively the "Funds"), comprising Seneca Funds, for the periods ended September 30, 1997 (on which we have issued our report dated November 5, 1997), we considered its internal control structure, including procedures for safeguarding securities, in order to determine our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, not to provide assurance on the internal control structure. The management of the Funds is responsible for establishing and maintaining an internal control structure. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of internal control structure policies and procedures. Two of the objectives of an internal control structure are to provide management with reasonable, but not absolute, assurance that assets are safeguarded against loss from unauthorized use or disposition and that transactions are executed in accordance with management's authorization and recorded properly to permit preparation of the financial statements in conformity with generally accepted accounting principles. Because of inherent limitations in any internal control structure, errors or irregularities may occur and not be detected. Also, projection of any evaluation of the structure to future periods is subject to the risk that it may become inadequate because of changes in conditions or that the effectiveness of the design and operation may deteriorate. Our consideration of the internal control structure would not necessarily disclose all matters in the internal control structure that might be material weaknesses under standards established by the American Institute of Certified Public Accountants. A material weakness is a condition in which the design or operation of the specific internal control structure elements does not reduce to a relatively low level the risk that errors or irregularities, in amounts that would be material in relation to the financial statements being audited, may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. However, we noted no matters involving the internal control structure, including procedures for safeguarding securities, that we consider to be material weaknesses as defined above as of September 30, 1997. This report is intended solely for the information and use of the Board of Trustees, management and the Securities and Exchange Commission. Deloitte & Touche L.L.P. November 5, 1997 - - 2 - ~~-----END PRIVACY-ENHANCED MESSAGE-----~~