-----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, ItEoJm2/zEU3X2m+Q40GX+BujZu6Q4FUd/jXOfSmkoi8nwMgI9lqo92/2+cvyRP8 uLTrzEKnYwknk7QTxBihlA== 0000894189-04-001920.txt : 20040924 0000894189-04-001920.hdr.sgml : 20040924 20040924162100 ACCESSION NUMBER: 0000894189-04-001920 CONFORMED SUBMISSION TYPE: N-Q PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20040731 FILED AS OF DATE: 20040924 DATE AS OF CHANGE: 20040924 EFFECTIVENESS DATE: 20040924 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ADVISORS SERIES TRUST CENTRAL INDEX KEY: 0001027596 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: N-Q SEC ACT: 1940 Act SEC FILE NUMBER: 811-07959 FILM NUMBER: 041045223 BUSINESS ADDRESS: STREET 1: U.S BANCORP FUND SERVICES, LLC STREET 2: 615 E MICHIGAN STREET CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 414-765-5344 MAIL ADDRESS: STREET 1: 615 E MICHIGAN STREET STREET 2: MK-WI-LC2 CITY: MILWAUKEE STATE: WI ZIP: 53202 N-Q 1 sbhnq.htm SEGALL BRYANT & HAMMILL N-Q Segall Bryant & Hammill N-Q




UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


 
FORM N-Q
 
 
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
 




Investment Company Act file number 811-07959



Advisors Series Trust
(Exact name of registrant as specified in charter)



615 East Michigan St.
Milwaukee, WI 53202
(Address of principal executive offices) (Zip code)



Eric M. Banhazl
Advisors Series Trust
2020 East Financial Way, Suite 100
Glendora, CA 91741

(Name and address of agent for service)


(414) 765-5340
Registrant's telephone number, including area code



Date of fiscal year end: April 30, 2005



Date of reporting period: July 31, 2004

     
 
 
Item 1. Schedule of Investments.
 


Segall Bryant & Hamill Mid Cap Fund
 
Schedule of Investments at July 31, 2004 (Unaudited)
 
       
Shares
 
COMMON STOCKS: 96.69%
Market Value
       
   
Advertising: 1.86%
  
7,075
 
Lamar Advertising Co.*
$ 284,486
       
   
Aerospace/Defense: 1.35%
  
6,025
 
Rockwell Collins, Inc.
206,175
       
   
Banks: 8.09%
  
4,075
 
City National Corp.
262,838
5,525
 
Comerica, Inc.
323,047
5,525

 
Northern Trust Corp.
221,718
11,100
 
SouthTrust Corp.
430,569
     
1,238,172
       
   
Broadcasting-Media: 3.25%
  
5,100
 
Liberty Media International, Inc. - Class A*
159,018
1,020
 
Liberty Media International, Inc. - Class A Rights*
6,130
11,450
 
Univision Communications, Inc. - Class A*
331,706
     
496,854
       
       
   
Computer Products/Services: 6.96%
  
6,475
 
Affiliated Computer Services, Inc. - Class A*
336,054
2,175
 
CDW Corp.
139,853
4,400
 
Diebold, Inc.
202,840
10,325
 
SunGard Data Systems, Inc.*
240,676
7,650
 
VERITAS Software Corp.*
145,809
     
1,065,232
       
   
Consumer Products: 3.61%
  
9,050
 
Pactiv Corp.*
213,399
12,650
 
Rayovac Corp.*
338,134
     
551,533
     

 

   
Electronics: 3.20%
  
6,550
 
Altera Corp.*
136,371
5,300
 
Jabil Circuit, Inc.*
115,275
8,225
 
Microchip Technology, Inc.
238,278
     
489,924
       
   
Engineering: 2.12%
  
8,125
 
Jacobs Engineering Group, Inc.*
324,837
       
   
Financial: 4.93%
  
4,660
 
Ambac Financial Group, Inc.
331,373
5,185
 
Eaton Vance Corp.
196,719
7,225
 
Jefferies Group, Inc. (New)
226,431
     
754,523
       
   
Financial Guarantee Insurance: 1.10%
  
2,375
 
MGIC Investment Corp.
168,625
       
   
Food: 2.20%
  
13,550
 
Performance Food Group Co.*
335,769
       

 
     
 

Segall Bryant & Hamill Mid Cap Fund
 
Schedule of Investments at July 31, 2004 (Unaudited) continued
  
       
Shares
 
COMMON STOCKS: 96.69%
Market Value
   
Healthcare: 4.87%
  
3,950
 
Biomet, Inc.
$ 173,761
5,350
 
Charles River Laboratories International, Inc.*
241,125
5,925
 
Respironics, Inc.*
330,141
     
745,027
       
   
Industrial Gases: 1.57%
  
4,650
 
Air Products and Chemicals, Inc.
240,638
       
   
Insurance: 1.23%
  
5,550
 
Principal Financial Group, Inc.
188,644
       
   
Internet: 1.24%
 
6,325
 
Avocent Corp.*
189,371
       
   
Laboratory Equipment/Instruments: 1.73%
  
4,550
 
Fisher Scientific International, Inc.*
264,810
       
   
Leisure: 1.57%
  
5,600
 
Royal Caribbean Cruises, Ltd.#
239,400
       
   
Lodging: 1.30%
  
4,075
 
Marriott International, Inc. - Class A
198,860
       
   
Manufacturing: 10.80%
  
5,000
 
Danaher Corp.
253,250
10,987
 
Graco, Inc.
345,871
9,525
 
Littelfuse, Inc.*
369,570
5,475
 
Mettler-Toledo International, Inc.*
228,307
8,125
 
Roper Industries, Inc.
455,000
     
1,651,998
       
   
Personal Care: 1.26%
  
4,375
 
The Estee Lauder Companies, Inc. - Class A
192,062
       
   
Petroleum: 5.67%
  
6,080
 
Apache Corp.
282,902
9,650
 
Global Santa Fe Corp.#
264,410
5,490
 
Smith International, Inc.*
319,957
     
867,269
       
   
Pharmaceuticals: 1.21%
  
7,175
 
Hospira, Inc.*
185,904
       
   
Power Supply Equipment: 1.14%
  
11,525
 
American Power Conversion Corp.
174,028
       
   
Radio: 1.63%
  
16,100
 
Radio One, Inc. - Class A*
248,745
       
   
Retail: 5.05%
  
10,250
 
Family Dollar Stores, Inc.
285,565
5,250
 
Kohl's Corp.*
240,240
6,101
 
O'Reilly Automotive, Inc.*
247,029
     
772,834
       

 
     
 

 
Segall Bryant & Hamill Mid Cap Fund
 
Schedule of Investments at July 31, 2004 (Unaudited)
 
       
Shares
 
COMMON STOCKS: 96.69%
Market Value
   
Services: 7.42%
  
6,300
 
ChoicePoint, Inc.*
$ 264,600
6,875
 
Cintas Corp.
288,475
9,515

 
Ecolab, Inc.
290,207
10,475
 
Robert Half International, Inc.
291,414
     
1,134,696
       
   
Technology: 3.34%
  
7,985
 
Intuit, Inc.*
298,958
16,162
 
Symbol Technologies, Inc.
211,561
     
510,519
       
   
Telecommunication Equipment: 1.25%
  
17,625
 
Andrew Corp.*
191,231
       
   
Transportation: 2.24%
  
7,850
 
C.H. Robinson Worldwide, Inc.
343,281
       
   
Waste Disposal: 3.50%
  
10,225
 
Republic Services, Inc.
292,435
4,950
 
Stericycle, Inc.*
242,550
     
534,985
       
       
   
Total Common Stocks (Cost $12,863,494)
14,790,432
       
       
Shares
 
SHORT-TERM INVESTMENTS: 3.32%
Market Value
       
508,419
 
Federated Cash Trust Money Market (Cost $508,419)
$ 508,419
       
   
Total Investments in Securities (Cost $13,371,913): 100.01%
15,298,851
   
Liabilities in Excess of Other Assets: (0.01%)
(2,357)
   
Net Assets: 100.00%
$ 15,296,494
       
       
* Non-income producing security.
 
# U.S. exchange traded security of a foreign issuer.
 
 

 
     
 


 
Item 2. Controls and Procedures.
 
(a)   The Registrant's President/Chief Executive Officer and Treasurer/Chief Financial Officer have concluded that the Registrant's disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940 (the “1940 Act”)) are effective as of a date within 90 days of the filing date of the report that includes the disclosure required by this paragraph, based on the evaluation of these controls and procedures required by Rule 30a-3(b) under the 1940 Act and Rules 15d-15(b) under the Securities Exchange Act of 1934, as amended.

(b)   There were no changes in the Registrant's internal control over financial reporting (as defined in Rule 30a-3(d) under the Act) that occurred during the Registrant's last fiscal half-year that has materially affected, or is reasonably likely to materially affect, the Registrant's internal control over financial reporting.
 
 
Item 3. Exhibits.
 
Separate certifications for each principal executive officer and principal financial officer of the registrant as required by Rule 30a-2(a) under the Act (17 CFR 270.30a-2(a)). Filed herewith.
 
 

 
     
 


SIGNATURES
 
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
 
 
(Registrant) Advisors Series Trust                                                      
 
By (Signature and Title) /s/ Eric M. Banhazl                                     
 Eric M. Banhazl, President
 
Date 09/21/04                                                                                          
 
 
 
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
 
By (Signature and Title)* /s/ Eric M. Banhazl                                    
Eric M. Banhazl, President
 
Date 09/21/04                                                                                          
 
By (Signature and Title)* /s/ Douglas G. Hess                                 
Douglas G. Hess, Treasurer
 
Date 09/23/04                                                                                          
 
* Print the name and title of each signing officer under his or her signature.

 
 
 EX-99.CERT 2 certs.htm CERTIFICATIONS Certifications

EX.99.CERT
CERTIFICATION
 
I, Eric M. Banhazl, certify that:

1.   I have reviewed this report on Form N-Q of Advisors Series Trust;

2.   Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

3.   Based on my knowledge, the schedules of investments included in this report fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed;

4.   The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) for the registrant and have:

(a)   Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

(b)   Omitted;


(c)   Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and
 
(d)  Omitted;
 
5.   The registrant's other certifying officer(s) and I have disclosed to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):

(a)   All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and
 
(b)   Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
 
 

 
Date: 09/21/04                                         
/s/ Eric M. Banhazl                                         
 
Eric M. Banhazl, President

 

 
     
 


EX.99.CERT
CERTIFICATION
 
I, Douglas G. Hess, certify that:

1.   I have reviewed this report on Form N-Q of Advisors Series Trust;

2.   Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

3.   Based on my knowledge, the schedules of investments included in this report fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed;

4.   The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) for the registrant and have:

(a)   Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

(b)   Omitted;

(c)   Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and

(d)   Omitted;

5.   The registrant's other certifying officer(s) and I have disclosed to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):

(a)   All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and

(b)   Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
 

 
Date: 09/23/04                                           
/s/ Douglas G. Hess                                      
 
Douglas G. Hess, Treasurer

 

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