-----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, WiWmx7YlGIwl931hzd+M8NaQWQg1S7CvcCocsYEFhZ/CRMWpTN9bYmpijEHHyCTb 68G7jAAiEyAWgaxIYWe2/w== 0000894189-06-002225.txt : 20060829 0000894189-06-002225.hdr.sgml : 20060829 20060829164537 ACCESSION NUMBER: 0000894189-06-002225 CONFORMED SUBMISSION TYPE: N-Q PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20060630 FILED AS OF DATE: 20060829 DATE AS OF CHANGE: 20060829 EFFECTIVENESS DATE: 20060829 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ADVISORS SERIES TRUST CENTRAL INDEX KEY: 0001027596 IRS NUMBER: 000000000 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: 061063022 BUSINESS ADDRESS: STREET 1: U.S BANCORP FUND SERVICES, LLC STREET 2: 615 E MICHIGAN STREET CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 414-765-5340 MAIL ADDRESS: STREET 1: 615 E MICHIGAN STREET STREET 2: MK-WI-LC2 CITY: MILWAUKEE STATE: WI ZIP: 53202 0001027596 S000005079 McIntyre Global Equity Fund C000013866 Investor Class DGLEX N-Q 1 mcintyre_nq.htm QUARTERLY NOTICE OF PORTFOLIO HOLDINGS Quarterly Notice of Portfolio Holdings

As filed with the Securities and Exchange Commission on August 29, 2006



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 E. 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: March 31, 2007


Date of reporting period: June 30, 2006 


Item 1. Schedule of Investments.

McIntyre Global Equity Fund
     
Portfolio of Investments by Industry at June 30, 2006 (Unaudited)
     
       
COMMON STOCKS - 99.9%
Shares
  
Value
 
      
Commercial Services & Supplies - 5.1%
      
Cendant Corp. (United States)
30,000
$
488,700
       
Communications Equipment - 12.3%
      
Juniper Networks, Inc. (United States)*
20,000
  
319,800
Motorola, Inc. (United States)
20,000
  
403,000
Nortel Networks Corp. (Canada)*#
100,000
  
224,000
Openwave Systems, Inc. (United States)*
20,000
  
230,800
     
1,177,600
       
Drilling Oil & Gas Wells - 6.4%
      
Pioneer Drilling Co. (United States)*
40,000
  
617,600
       
Financial Services - 25.3%
      
Citigroup, Inc. (United States)
18,389
  
887,085
J.P. Morgan Chase & Co. (United States)
20,000
  
840,000
Merrill Lynch & Co., Inc. (United States)
10,000
  
695,600
     
2,422,685
       
Hotels, Restaurants & Leisure - 7.4%
      
Harrah's Entertainment, Inc. (United States)
9,950
  
708,241
       
Media - 14.2%
      
Time Warner, Inc. (United States)
60,000
  
1,038,000
Viacom, Inc. - Class B (United States)
9,057
 
324,603
 
 
  
1,362,603
     
 
Mortgage Banking - 8.0%
      
Countrywide Financial Corp. (United States)
20,000
  
761,600
       
Retail - 2.9%
      
Best Buy Co., Inc. (United States)
5,000
  
274,200
       
Semiconductor & Semiconductor Equipment - 6.3%
      
Texas Instruments, Inc. (United States)
20,000
  
605,800
       
Telecommunication Services - 12.0%
      
Qwest Communications International, Inc. (United States)*
90,000
  
728,100
Vodafone Group PLC - ADR (United Kingdom)
20,000
  
426,000
     
1,154,100
       
TOTAL COMMON STOCKS (Cost $8,215,465)
    
9,573,129
       
WARRANTS - 0.0%
      
       
Lucent Technologies, Inc. (United States)*
      
Expiration December 2007, Exercise Price $2.75
      
(Acquired 2/22/2005, Cost $12,042)
3,169
  
856
       
SHORT-TERM INVESTMENTS - 0.1%
      
       
Federated Cash Trust Treasury Money Market Fund
12,456
  
12,456
(Cost $12,456)
      
       
Total Investments in Securities (Cost $8,239,963) - 100.0%
    
9,586,441
Cash and Other Assets in Excess of Liabilities - 0.0%
    
1,473
NET ASSETS - 100.0%
  
$
9,587,914
       
       
* Non-income producing security.
      
# U.S. traded security of a foreign issuer.
      
ADR - American Depositary Receipt
      
       
       
Portfolio of Investments by Country at June 30, 2006 (Unaudited)
     
       
     
Percent of
Country
    
Net Assets
       
Canada
    
2.3%
United Kingdom
    
4.4%
United States
    
93.3%
       
Total Investments in Securities
    
100.0%
Cash and Other Assets in Excess of Liabilities
   
0.0%
NET ASSETS
    
100.0%
       
       
 
The cost basis of investments for federal income tax purposes at June 30, 2006 was as follows*:

Cost of investments
$
8,383,825
     
Gross unrealized appreciation
$
1,785,228
Gross unrealized depreciation
  
(582,612)
Net unrealized appreciation
$
1,202,616
     

*Because tax adjustments are calculated annually, the above table reflects the tax adjustments outstanding at the Fund’s previous fiscal year end. For the previous fiscal year’s federal income tax information, please refer to the Notes to Financial Statements section in the Fund’s most recent annual report.
 
 
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 quarter 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 8/22/06                                                               



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 8/22/06                                                               

By (Signature and Title)* /s/Douglas G. Hess               
Douglas G. Hess, Treasurer

Date 8/15/06                                                               

* Print the name and title of each signing officer under his or her signature.
 
 
EX-99.CERT 2 certs.htm OFFICER CERTIFICATIONS Officer Certifications

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) and internal control over financial reporting (as defined in Rule 30a-3(d) 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)  
Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

(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)  
Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and

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:  8/22/06                 
/s/Eric M. Banhazl              
 
Eric M. Banhazl,
President

 
 
 

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) and internal control over financial reporting (as defined in Rule 30a-3(d) 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)  
Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;

(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)  
Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and

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:  8/15/06                  
/s/Douglas G. Hess              
 
Douglas G. Hess,
Treasurer
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