-----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, WDh0aAlJEsxfRuvG4VHpUwhEDgzBCOBP2YtBW2lmh+pQE8pOKy6YIKI8IIFXtOvw S8Lam4sa1t8HpnsGwrNMwQ== 0000940400-07-000330.txt : 20070827 0000940400-07-000330.hdr.sgml : 20070827 20070827165530 ACCESSION NUMBER: 0000940400-07-000330 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20070630 FILED AS OF DATE: 20070827 DATE AS OF CHANGE: 20070827 EFFECTIVENESS DATE: 20070827 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PHOENIX ASSET TRUST CENTRAL INDEX KEY: 0001018593 IRS NUMBER: 956981193 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-07705 FILM NUMBER: 071081276 BUSINESS ADDRESS: STREET 1: 101 MUNSON STREET CITY: GREENFIELD STATE: MA ZIP: 01301 BUSINESS PHONE: (800) 243-4361 MAIL ADDRESS: STREET 1: 56 PROSPECT ST. STREET 2: P.O. BOX 150480 CITY: HARTFORD STATE: CT ZIP: 06115-0480 FORMER COMPANY: FORMER CONFORMED NAME: PHOENIX-KAYNE FUNDS DATE OF NAME CHANGE: 20021223 FORMER COMPANY: FORMER CONFORMED NAME: KAYNE ANDERSON RUDNICK MUTUAL FUNDS DATE OF NAME CHANGE: 20010226 FORMER COMPANY: FORMER CONFORMED NAME: KAYNE ANDERSON MUTUAL FUNDS DATE OF NAME CHANGE: 19960711 0001018593 S000001373 PHOENIX RISING DIVIDENDS FUND C000003664 CLASS A PKLAX C000003665 CLASS B PKLBX C000003666 CLASS C PKLCX C000003667 CLASS I PKLFX 0001018593 S000001374 PHOENIX SMALL-MID CAP FUND C000003668 CLASS A PKSAX C000003669 CLASS B PKSBX C000003670 CLASS C PKSCX C000003671 CLASS I PKSFX 0001018593 S000001375 PHOENIX OVERSEAS FUND C000003672 CLASS A PKIAX C000003673 CLASS B PKIBX C000003674 CLASS C PKICX C000003675 CLASS X PKIFX 0001018593 S000001376 PHOENIX INTERMEDIATE BOND FUND C000003676 CLASS X KATRX 0001018593 S000001377 PHOENIX CA INTERMEDIATE TAX-FREE BOND FUND C000003677 CLASS X KATFX NSAR-A 1 pxasset.fil PAGE 1 000 A000000 06/30/2007 000 C000000 0001018593 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 ASSET TRUST 001 B000000 811-07705 001 C000000 6269147366 002 A000000 101 MUNSON STREET 002 B000000 GREENFIELD 002 C000000 MA 002 D010000 01301 002 D020000 9668 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 2 007 C010100 1 007 C020100 PHOENIX RISING DIVIDENDS FUND 007 C030100 N 007 C010200 2 007 C020200 PHOENIX SMALL-MID CAP FUND 007 C030200 N 007 C010300 3 007 C010400 4 007 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 KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT 008 B00AA02 S 008 C00AA02 801-24241 008 D01AA02 LOS ANGELES 008 D02AA02 CA 008 D03AA02 90067 010 A00AA01 PHOENIX EQUITY PLANNING CORPORATION PAGE 2 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B000200 0 037 000200 N 038 000200 0 039 000200 N 040 000200 Y 041 000200 Y 042 A000200 0 042 B000200 0 042 C000200 23 042 D000200 77 042 E000200 0 042 F000200 0 042 G000200 0 042 H000200 0 043 000200 111 044 000200 0 045 000200 Y 046 000200 N 047 000200 Y 048 000200 0.850 048 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 PAGE 12 048 G010200 0 048 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 0.000 049 000200 N 050 000200 N 051 000200 N 052 000200 N 053 A000200 N 055 A000200 Y 055 B000200 Y 056 000200 Y 057 000200 N 058 A000200 N 059 000200 Y 060 A000200 Y 060 B000200 Y 061 000200 25 062 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 0.0 063 A000200 0 063 B000200 0.0 066 A000200 Y 066 B000200 N 066 C000200 Y 066 D000200 N 066 E000200 N 066 F000200 N 066 G000200 N PAGE 13 067 000200 N 068 A000200 N 068 B000200 N 069 000200 N 070 A010200 Y 070 A020200 N 070 B010200 Y 070 B020200 N 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 N 070 M010200 Y 070 M020200 N 070 N010200 Y 070 N020200 Y 070 O010200 Y 070 O020200 N 070 P010200 Y 070 P020200 N 070 Q010200 Y 070 Q020200 N 070 R010200 Y 070 R020200 N 071 A000200 6924 071 B000200 25810 071 C000200 106311 071 D000200 7 072 A000200 6 072 B000200 12 072 C000200 411 072 D000200 0 072 E000200 10 072 F000200 453 072 G000200 45 PAGE 14 072 H000200 0 072 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CFO EX-99.77Q1 OTHR EXHB 2 pxat77q1.txt Exhibit 77Q1 (a) - Amendment to the Declaration of Trust of the Registrant, dated November 16, 2006, filed via EDGAR with Post Effective Amendment No. 19 (File No. 811-07705) on April 23, 2007 and incorporated herein by reference. EX-99 3 pxat77q3.txt PHOENIX ASSET TRUST (aka KAYNE) CIK# 0001018593 Semi-Annual 06/30/07 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 1- Class A $48, Class B $4, C $4 and Class I $443. 73A1/73A2- Series 1- Class A $0.0990, Class B $0.0360, Class C $0.0360 and Class I $0.1200. 74U1/74U2- Series 1- Class A 485, Class B 118, Class C 103 and Class I 3,263. 74V1/74V2- Series 1- Class A $16.91, Class B $16.74, Class C $16.75 and Class I $16.95. 72EE- Series 2- Class A $1,195, Class B $106, C $416 and Class I $2,120. 73B- Series 2- Class A $0.7860, Class B $0.7860, Class C $0.7860 and Class I $0.7860. 74U1/74U2- Series 2- Class A 1,549, Class B 140, Class C 546 and Class I 2,774. 74V1/74V2- Series 2- Class A $19.65, Class B $18.84, Class C $18.86 and Class I $19.93. -----END PRIVACY-ENHANCED MESSAGE-----