-----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, QGP80YFdl//m4ouwOOGRluajYjvtdqlvWCL9QS2yMq3nYC6dwV88yVi3Z634PL8d cIRKkOweE2mHYLsPBl52aA== 0000950147-98-000145.txt : 19980227 0000950147-98-000145.hdr.sgml : 19980227 ACCESSION NUMBER: 0000950147-98-000145 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 19971231 FILED AS OF DATE: 19980226 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: ADVISORS SERIES TRUST CENTRAL INDEX KEY: 0001027596 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: SEC FILE NUMBER: 811-07959 FILM NUMBER: 98549543 BUSINESS ADDRESS: STREET 1: 2025 E FINANCIAL WAY SUITE 101 CITY: GLENDORA STATE: CA ZIP: 91741 BUSINESS PHONE: 8188521033 MAIL ADDRESS: STREET 1: 2025 E FINANCIAL WAY STREET 2: SUITE 101 CITY: GLENDORA STATE: CA ZIP: 91741 NSAR-A 1 N-SAR (3.0) 000 A000000 12/31/97 000 C000000 0001027596 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 3.0 000 J000000 A 001 A000000 ADVISORS SERIES TRUST 001 B000000 811-07959 001 C000000 6029521100 002 A000000 4455 E. CAMELBACK RD., SUITE 261-E 002 B000000 PHOENIX 002 C000000 AZ 002 D010000 85018 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 10 007 C010100 1 007 C010200 2 007 C010300 3 007 C020300 KAMINSKI POLAND FUND 007 C030300 N 007 C010400 4 007 C020400 RIDGEWAY HELMS MILLENIUM FUND 007 C030400 Y 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 010 A00AA01 INVESTMENT COMPANY ADMINISTRATION CORPORATION 010 C01AA01 PHOENIX 010 C02AA01 AZ 010 C03AA01 85018 012 A00AA01 AMERICAN DATA SERVICES 012 B00AA01 84-1964 012 C01AA01 HAUPPAUGE 012 C02AA01 NY 012 C03AA01 11788 018 00AA00 Y 019 A00AA00 N 019 B00AA00 0 020 A000001 BEAR STEARNS 020 B000001 133299429 020 C000001 14 020 C000002 0 020 C000003 0 020 C000004 0 020 C000005 0 020 C000006 0 020 C000007 0 020 C000008 0 020 C000009 0 020 C000010 0 021 000000 15 022 A000001 STAR BANK, N.A. 022 C000001 33955 022 D000001 94736 022 A000002 HERZOG, HEINE, GEDULD, INC. 022 B000002 131955436 022 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HELMS INVESTMENT MANAGEMENT 008 B000401 A 008 C000401 801-49884 008 D010401 REDWOOD SHORES 008 D020401 CA 008 D030401 94065 011 A000401 RIDGEWAY HELMS SECURITIES CORPORATION 011 B000401 8-48381 011 C010401 REDWOOD SHORES 011 C020401 CA 011 C030401 94065 013 A000401 MCGLADREY & PULLEN, LLP 013 B010401 NEW YORK 013 B020401 NY 013 B030401 10017 015 A000401 STAR BANK, N.A. 015 B000401 C 015 C010401 CINCINNATI 015 C020401 OH 015 C030401 45202 015 E010401 X 028 A010400 4568 028 A020400 0 028 A030400 0 028 A040400 0 028 B010400 308 028 B020400 0 028 B030400 0 028 B040400 36 028 C010400 605 028 C020400 0 028 C030400 0 028 C040400 0 028 D010400 1757 028 D020400 0 028 D030400 0 028 D040400 0 028 E010400 126 028 E020400 0 028 E030400 0 028 E040400 103 028 F010400 12 028 F020400 0 028 F030400 0 028 F040400 0 028 G010400 7375 028 G020400 0 028 G030400 0 028 G040400 139 028 H000400 0 037 000400 N 038 000400 0 039 000400 N 040 000400 N 041 000400 N 045 000400 Y 046 000400 N 047 000400 Y 048 000400 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070 P010400 Y 070 P020400 N 070 Q010400 N 070 Q020400 N 070 R010400 Y 070 R020400 N 071 A000400 8827 071 B000400 3508 071 C000400 5003 071 D000400 70 072 A000400 6 072 B000400 14 072 C000400 4 072 D000400 0 072 E000400 0 072 F000400 26 072 G000400 14 072 H000400 0 072 I000400 6 072 J000400 10 072 K000400 0 072 L000400 4 072 M000400 2 072 N000400 0 072 O000400 0 072 P000400 0 072 Q000400 0 072 R000400 5 072 S000400 2 072 T000400 0 072 U000400 3 072 V000400 0 072 W000400 2 072 X000400 74 072 Y000400 35 072 Z000400 -21 072AA000400 0 072BB000400 203 072CC010400 0 072CC020400 573 072DD010400 0 072DD020400 0 072EE000400 0 073 A010400 0.0000 073 A020400 0.0000 073 B000400 0.0000 073 C000400 0.0000 074 A000400 1868 074 B000400 0 074 C000400 0 074 D000400 0 074 E000400 0 074 F000400 4544 074 G000400 0 074 H000400 0 074 I000400 0 074 J000400 0 074 K000400 0 074 L000400 2 074 M000400 34 074 N000400 6447 074 O000400 0 074 P000400 3 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 5 074 S000400 0 074 T000400 6439 074 U010400 720 074 U020400 0 074 V010400 8.94 074 V020400 0.00 074 W000400 0.0000 074 X000400 200 074 Y000400 0 075 A000400 0 075 B000400 5781 076 000400 0.00 SIGNATURE THOMAS MARSCHEL TITLE ASSISTANT TREASURER FORM N-SAR ERROR FILE 1: This is a WARNING. Further errors may relate to this warning. Questions 7A and 7B, on Screen 1, indicate there are series. Please change this or enter each series name, on Screen 2. FORM N-SAR SEMI-ANNUAL REPORT FOR REGISTERED INVESTMENT COMPANIES Registrant Name ADVISORS SERIES TRUST File Number 811-07959 Registrant CIK Number: 0001027596 Press F1 for general help. Header Screen Report as of the end of semiannual period: 12/31/97 (a) or fiscal year: / / (b) Is this a transition report? (Y or N): N Is this form being completed by the registrant? (Y or N): Y Is this an amendment to a previous filing? (Y or N): N Is this a change to a previous filing? (Y or N): N 1.A) Registrant Name: ADVISORS SERIES TRUST B) File Number: 811-07959 C) Telephone Number: 6029521100 2.A) Street: 4455 E. CAMELBACK RD., SUITE 261-E B) City: PHOENIX C) State: AZ D) Zip Code: 85018 Zip Ext.: E) Foreign Country: Foreign Postal Code: 3. Is this the first filing on this form by the Registrant?(Y or N) ----- N 4. Is this the last filing on this form by the Registrant?(Y or N) ------ N 5. Is Registrant a small business investment company (SBIC)?(Y or N) ---- N 6. Is Registrant a unit investment trust (UIT)?(Y or N) ----------------- N 7.A) Is Registrant a series or multiple portfolio company?(Y or N) ----- Y B) How many separate series or portfolios did Registrant have at the end of the period? ----------------------------------------- 10 SCREEN NUMBER: 1 7.C) List the name of each series or portfolio and give a consecutive number to each series or portfolio starting with the number 1. USE THIS SAME NUMERICAL DESIGNATION FOR EACH SERIES OR PORTFOLIO IN THE SERIES IN- FORMATION BLOCK IN THE TOP RIGHT CORNER OF THE SCREENS SUBMITTED IN THIS FILING AND IN ALL SUBSEQUENT FILINGS ON THIS FORM. THIS INFOR- MATION IS REQUIRED EACH TIME THE FORM IS FILED. Is this the Series last filing Number Series Name for this series? (Y or N) 1 2 3 KAMINSKI POLAND FUND N 4 RIDGEWAY HELMS MILLENIUM FUND Y 5 6 7 8 9 10 Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more series. SCREEN NUMBER: 2 This page is being INVESTMENT ADVISER/SUB-ADVISER filed for series 3. 8.A) Adviser Name (if any): KAMINSKI ASSET MANAGEMENT, INC. B) Is this an Adviser or Sub-adviser? (A/S): A C) File Number: 801-53485 D) City: MINNEAPOLIS State: MN Zip Code: 55401 Zip Ext.: Foreign Country: Foreign Postal Code: 8.A) Adviser Name (if any): B) Is this an Adviser or Sub-adviser? (A/S): C) File Number: 801- D) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: 8.A) Adviser Name (if any): B) Is this an Adviser or Sub-adviser? (A/S): C) File Number: 801- D) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more. SCREEN NUMBER: 3 This page is being INVESTMENT ADVISER/SUB-ADVISER filed for series 4. 8.A) Adviser Name (if any): RIDGEWAY HELMS INVESTMENT MANAGEMENT B) Is this an Adviser or Sub-adviser? (A/S): A C) File Number: 801-49884 D) City: REDWOOD SHORES State: CA Zip Code: 94065 Zip Ext.: Foreign Country: Foreign Postal Code: 8.A) Adviser Name (if any): B) Is this an Adviser or Sub-adviser? (A/S): C) File Number: 801- D) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: 8.A) Adviser Name (if any): B) Is this an Adviser or Sub-adviser? (A/S): C) File Number: 801- D) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more. SCREEN NUMBER: 3 This page is being ADMINISTRATOR filed for ALL series. 10.A) Administrator Name (if any):INVESTMENT COMPANY ADMINISTRATION CORPORATION B) File Number (if any): C) City: PHOENIX State: AZ Zip Code: 85018 Zip Ext.: Foreign Country: Foreign Postal Code: 10.A) Administrator Name (if any): B) File Number (if any): C) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: 10.A) Administrator Name (if any): B) File Number (if any): C) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: 10.A) Administrator Name (if any): B) File Number (if any): C) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more. SCREEN NUMBER: 4 This page is being PRINCIPAL UNDERWRITER filed for series 3. 11.A) Underwriter Name (if any): FIRST FUND DISTRIBUTORS, INC. B) File Number: 8-42809 C) City: PHOENIX State: AZ Zip Code: 85018 Zip Ext.: Foreign Country: Foreign Postal Code: 11.A) Underwriter Name (if any): B) File Number: 8- C) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: 11.A) Underwriter Name (if any): B) File Number: 8- C) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: 11.A) Underwriter Name (if any): B) File Number: 8- C) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more. SCREEN NUMBER: 5 This page is being PRINCIPAL UNDERWRITER filed for series 4. 11.A) Underwriter Name (if any): RIDGEWAY HELMS SECURITIES CORPORATION B) File Number: 8-48381 C) City: REDWOOD SHORES State: CA Zip Code: 94065 Zip Ext.: Foreign Country: Foreign Postal Code: 11.A) Underwriter Name (if any): B) File Number: 8- C) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: 11.A) Underwriter Name (if any): B) File Number: 8- C) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: 11.A) Underwriter Name (if any): B) File Number: 8- C) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more. SCREEN NUMBER: 5 This page is being SHAREHOLDER SERVICING AGENT filed for ALL series. 12.A) Agent Name (if any): AMERICAN DATA SERVICES B) File Number (if any): 84-1964 C) City: HAUPPAUGE State: NY Zip Code: 11788 Zip Ext.: 12.A) Agent Name (if any): B) File Number (if any): C) City: State: Zip Code: Zip Ext.: 12.A) Agent Name (if any): B) File Number (if any): C) City: State: Zip Code: Zip Ext.: 12.A) Agent Name (if any): B) File Number (if any): C) City: State: Zip Code: Zip Ext.: Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more. SCREEN NUMBER: 6 This page is being INDEPENDENT PUBLIC ACCOUNTANT filed for series 3. 13.A) Accountant Name: PRICE WATERHOUSE LLP B) City: MINNEAPOLIS State: MN Zip Code: 55402 Zip Ext.: Foreign Country: Foreign Postal Code: 13.A) Accountant Name: B) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: 13.A) Accountant Name: B) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: 13.A) Accountant Name: B) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more. SCREEN NUMBER: 7 This page is being INDEPENDENT PUBLIC ACCOUNTANT filed for series 4. 13.A) Accountant Name: MCGLADREY & PULLEN, LLP B) City: NEW YORK State: NY Zip Code: 10017 Zip Ext.: Foreign Country: Foreign Postal Code: 13.A) Accountant Name: B) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: 13.A) Accountant Name: B) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: 13.A) Accountant Name: B) City: State: Zip Code: Zip Ext.: Foreign Country: Foreign Postal Code: Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more. SCREEN NUMBER: 7 This page is being CUSTODIAN/SUB-CUSTODIAN filed for series 3. 15.A) Custodian/Sub-custodian: STAR BANK, N.A. B) Is this a Custodian or Sub-custodian? (C/S): C C) City: CINCINNATI State: OH Zip Code: 45202 Zip Ext.: D) Foreign Country: Foreign Postal Code: E) Mark ONE of the following with an 'X': TYPE OF CUSTODY Member Nat'l Foreign Insurance Co. Bank Sec. Exchg. Self Custodian Sponsor Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other ------------ ------------ ---------- ---------- ------------- ----- X Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more. SCREEN NUMBER: 9 This page is being CUSTODIAN/SUB-CUSTODIAN filed for series 3. 15.A) Custodian/Sub-custodian: CITIBANK POLAND B) Is this a Custodian or Sub-custodian? (C/S): S C) City: WARSAW State: Zip Code: Zip Ext.: D) Foreign Country: POLAND Foreign Postal Code: E) Mark ONE of the following with an 'X': TYPE OF CUSTODY Member Nat'l Foreign Insurance Co. Bank Sec. Exchg. Self Custodian Sponsor Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other ------------ ------------ ---------- ---------- ------------- ----- X Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more. SCREEN NUMBER: 9 This page is being CUSTODIAN/SUB-CUSTODIAN filed for series 3. 15.A) Custodian/Sub-custodian: B) Is this a Custodian or Sub-custodian? (C/S): C) City: State: Zip Code: Zip Ext.: D) Foreign Country: Foreign Postal Code: E) Mark ONE of the following with an 'X': TYPE OF CUSTODY Member Nat'l Foreign Insurance Co. Bank Sec. Exchg. Self Custodian Sponsor Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other ------------ ------------ ---------- ---------- ------------- ----- Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more. SCREEN NUMBER: 9 This page is being CUSTODIAN/SUB-CUSTODIAN filed for series 4. 15.A) Custodian/Sub-custodian: STAR BANK, N.A. B) Is this a Custodian or Sub-custodian? (C/S): C C) City: CINCINNATI State: OH Zip Code: 45202 Zip Ext.: D) Foreign Country: Foreign Postal Code: E) Mark ONE of the following with an 'X': TYPE OF CUSTODY Member Nat'l Foreign Insurance Co. Bank Sec. Exchg. Self Custodian Sponsor Sec.17(f)(1) Rule 17f-1 Rule 17f-2 Rule 17f-5 Rule 26a-2 Other ------------ ------------ ---------- ---------- ------------- ----- X Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more. SCREEN NUMBER: 9 This page being filed for ALL series. 18. Does Registrant's/Series' custodian(s) maintain some or all of Registrant's/Series' securities in a central depository or book-entry system pursuant to Rule 17f-4? (Y or N) Y 19. Family of investment companies information: A) Is Registrant part of a family of investment companies? (Y or N) N B) If 'Y' (Yes), state the number of registered management investment companies in the family: 0 (NOTE: Count as a separate company each series of a series company and each portfolio of a multiple portfolio company; exclude all series of unit investment trusts from this number.) C) Identify the family using 10 letters: (NOTE: In filing this form, use this identification consistently for all investment companies in the family including any unit investment trusts. This designation is for purposes of this form only.) SCREEN NUMBER: 10 20. Brokerage commissions paid on portfolio transactions of Registrant: List the 10 brokers which received the largest amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or in- direct participation in Registrant's portfolio transactions, set forth in order of size of gross commissions during the current reporting period: (FOR SERIES COMPANIES, ITEMS 20 & 21 MUST BE ANSWERED IN TOTAL FOR ALL SERIES) Commissions Name of Broker IRS Number Received (000's omitted) BEAR STEARNS 133299429 14 0 0 0 0 0 0 0 0 0 21. Aggregate brokerage commissions paid by Registrant during current reporting period (000's omitted): 15 SCREEN NUMBER: 11 22. Registrant's portfolio transactions with entities acting as principals: List the 10 entities acting as principals with whom Registrant did the largest amount of portfolio transactions (include all short-term obligations, and U.S. Gov't. & tax-free securities) in both the secondary market & in underwritten offerings set forth in order of size based upon total value of principal transactions during the current reporting period: (FOR SERIES COMPANIES, ITEMS 22 AND 23 MUST BE ANSWERED IN TOTAL FOR ALL SERIES) Registrant Sales by Name of Entity IRS Number Purchases Registrant (000's omitted) STAR BANK, N.A. 33955 94736 HERZOG, HEINE, GEDULD, INC. 131955436 3775 2305 BEAR STEARNS & CO, INC. 133299429 560 0 DE SHAW 250 208 0 0 0 0 0 0 0 0 0 0 0 0 23. Aggregate principal purchase/sale transactions of Registrant during current reporting period. C. Total Purchases: 38540 D. Total Sales: 97249 (000's omitted) SCREEN NUMBER: 12 This page being filed for ALL series. 24. At the end of the current period, did the Registrant/Series hold any securities of the Registrant's/Series' regular brokers or dealers or of the parents of such brokers or dealers that derive more than 15% of gross revenue from securities-related activities? (Y or N): N NOTE: If answer is 'N' (No), please go on to screen 15. SCREEN NUMBER: 13 26. Considerations which affected the participation of brokers or dealers or other entities in commissions or other compensation paid on portfolio transactions of Registrant: [ FOR SERIES COMPANIES THIS ITEM IS TO BE ANSWERED IN TOTAL FOR ALL SERIES ] Answer each of the following with 'Y' or 'N'. A) Sales of Registrant's/Series' shares -------------------------------- N B) Receipt of investment research and statistical information ---------- N C) Receipt of quotations for portfolio valuations ---------------------- N D) Ability to execute portfolio transactions to obtain best price and execution --------------------------------- Y E) Receipt of telephone line and wire services ------------------------- N F) Broker or dealer which is an affiliated person ---------------------- N G) Arrangement to return or credit part or all of commissions or profits thereon: (i) To investment adviser, principal underwriter, or an affiliated person of either ---------------------------- N (ii) To Registrant ------------------------------------------------ N H) Other --------------------------------------------------------------- N SCREEN NUMBER: 15 SALES AND REPURCHASES 27. Is Registrant an open-end investment company? (Y or N): Y NOTE: If answer is 'N' (No), please delete any answers you may have entered for questions 28 through 44. If you have done this already or not yet responded to question 28 through 44, please jump to Screen Number 23. SCREEN NUMBER: 16 This page being 28. Monthly Sales and Repurchases of filed for series 3. Registrant's/Series' Shares: Total NAV Total NAV Total NAV of Shares of Shares Total NAV of Shares Sold: New Sold: Reinv. of Shares Redeemed and Month of Sales (Incl. of Dividends Sold: Repurchased Current Period Exchanges) & Distributions Other (Incl. Exchanges) (000's omitted) (000's omitted) A) First month of period $ 194 $ 0 $ 0 $ 0 B) Second month of period $ 282 $ 0 $ 0 $ 0 C) Third month of period $ 119 $ 0 $ 0 $ 5 D) Fourth month of period $ 287 $ 0 $ 0 $ 40 E) Fifth month of period $ 62 $ 0 $ 0 $ 5 F) Sixth month of period $ 43 $ 0 $ 0 $ 0 G) Total $ 987 $ 0 $ 0 $ 50 H) Total NAV of Registrant's/Series' share sales during the period subject to a sales load (000's omitted) $ 0 (Note: 28H is the total of six months and must be less than or equal to 28G1 + 28G2 + 28G3) SCREEN NUMBER: 17 This page being 28. Monthly Sales and Repurchases of filed for series 4. Registrant's/Series' Shares: Total NAV Total NAV Total NAV of Shares of Shares Total NAV of Shares Sold: New Sold: Reinv. of Shares Redeemed and Month of Sales (Incl. of Dividends Sold: Repurchased Current Period Exchanges) & Distributions Other (Incl. Exchanges) (000's omitted) (000's omitted) A) First month of period $ 4568 $ 0 $ 0 $ 0 B) Second month of period $ 308 $ 0 $ 0 $ 36 C) Third month of period $ 605 $ 0 $ 0 $ 0 D) Fourth month of period $ 1757 $ 0 $ 0 $ 0 E) Fifth month of period $ 126 $ 0 $ 0 $ 103 F) Sixth month of period $ 12 $ 0 $ 0 $ 0 G) Total $ 7375 $ 0 $ 0 $ 139 H) Total NAV of Registrant's/Series' share sales during the period subject to a sales load (000's omitted) $ 0 (Note: 28H is the total of six months and must be less than or equal to 28G1 + 28G2 + 28G3) SCREEN NUMBER: 17 This page being filed for ALL series. 29. Was a front-end sales load deducted from any share sales during the reporting period? (Y or N) ------------------------- N NOTE: If answer is 'N' (No), please jump to Screen Number 20. 30.A) Total front-end sales loads collected from sales (including exchanges) by principal underwriter or by any underwriter which is an affiliated person of the principal underwriter, of Registrant's/Series' shares during the current period (000's omitted) ------------------------------ $ 0 B) What is the maximum sales load rate in effect at the end of the period as a percentage of the offering price? ----------- 0.00% C) What is the minimum sales load rate in effect at the end of the period as a percentage of the offering price? ----------- 0.00% SCREEN NUMBER: 18 This page being filed for ALL series. 31.A) Net amount retained by Registrant's/Series' principal underwriter or by any underwriter or dealer which is an affiliated person of the principal underwriter thereof from front-end sales loads collected from sales of Registrant's/Series' shares during the current period ($000's omitted). ------------------------------------ $ 0 31.B) Amount by which payout by Registrant's/Series' principal underwriter or by any underwriter which is an affiliated person of the principal under- writer thereof to persons or entities selling Registrant's/Series' shares exceeded that reported in Item 30 ($000's omitted). -- $ 0 32. Amount Registrant's/Series' principal underwriter and any underwriters or dealers which are affiliated persons of the principal underwriter paid to dealers which are not affiliated persons of the principal underwriter for selling Registrant's/Series' shares that were sold with a front-end sales load during current period ($000's omitted). --- $ 0 33. Amount paid to a captive retail sales force of Registrant's/Series' principal underwriter or of any underwriter or dealer which is an af- filiated person of the principal underwriter for selling Registrant's shares that were sold with a front-end sales load during current period ($000's omitted). ------------------------------------ $ 0 SCREEN NUMBER: 19 This page being filed for ALL series. 34. Did Registrant/Series impose a deferred or contingent deferred sales load during the reporting period? (Y or N) ------ N NOTE: If answer is 'N' (No), skip the remaining questions on this screen and proceed to Screen Number 21. 35. Total deferred or contingent deferred sales loads collected during current period from redemptions and repurchases of Registrant's/Series' shares ($000's omitted) ------------------ $ 0 36.A) Did Registrant/Series retain all monies collected from the deferred or contingent deferred sales loads during the reporting period? (Y or N) ----------------------------------- B) If the answer to sub-item 36A is 'N' (No), state the net amount Registrant/Series retained from deferred or contingent deferred sales loads ($000's omitted) ------------ $ 0 SCREEN NUMBER: 20 This page being filed for series 3. 37. Did Registrant/Series impose a redemption fee other than a deferred or contingent sales load during the reporting period? (Y or N) --- N NOTE: If answer is 'N' (No), go to item 39. 38. Total amount of redemption fees other than deferred or contingent deferred sales loads collected from redemptions and repurchases of Registrant's/Series' shares during the current period. ($000's omitted) ------------------------------------------------- $ 0 39. Were any account maintenance fees or other administrative fees imposed directly on shareholders during the current period? (Y or N) ----- N 40. During the period, did the Registrant/Series have a plan of distribution adopted pursuant to rule 12b-1? (Y or N) ------------ Y NOTE: If answer is 'N' (No), jump to Screen 23 for your next screen. 41. During the period, did Registrant/Series use its assets directly to make payments under the 12b-1 plan? (Y or N) ------------------ Y NOTE: If answer is 'N' (No), go to next screen (Screen 22) and begin answering at question 44. SCREEN NUMBER: 21 This page being filed for series 4. 37. Did Registrant/Series impose a redemption fee other than a deferred or contingent sales load during the reporting period? (Y or N) --- N NOTE: If answer is 'N' (No), go to item 39. 38. Total amount of redemption fees other than deferred or contingent deferred sales loads collected from redemptions and repurchases of Registrant's/Series' shares during the current period. ($000's omitted) ------------------------------------------------- $ 0 39. Were any account maintenance fees or other administrative fees imposed directly on shareholders during the current period? (Y or N) ----- N 40. During the period, did the Registrant/Series have a plan of distribution adopted pursuant to rule 12b-1? (Y or N) ------------ N NOTE: If answer is 'N' (No), jump to Screen 23 for your next screen. 41. During the period, did Registrant/Series use its assets directly to make payments under the 12b-1 plan? (Y or N) ------------------ N NOTE: If answer is 'N' (No), go to next screen (Screen 22) and begin answering at question 44. SCREEN NUMBER: 21 This page being 42. For the current period, indicate the filed for series 3. percentage of total dollars paid directly by Registrant/Series under the 12b-1 plan for each of the following: (Round to the nearest whole percent) A) Advertising ------------------------------------------------- 21% B) Printing and mailing of prospectuses to other than current shareholders ---------------------------------------- 34% C) Payments to underwriters ------------------------------------ 0% D) Payments to brokers or dealers ------------------------------ 0% E) Direct payments to sales personnel -------------------------- 17% F) Payments to banks and savings and loans --------------------- 0% G) Other uses, incl. payments to investment adviser separate from the advisory fee ------------------------------ 27% H) Unallocated payments made for a combination of such services 0% 43. Total amount paid directly by Registrant/Series pursuant to its 12b-1 plan ($000's omitted) ---------------------------- $ 44 44. If an investment adviser or other affiliated person of Registrant/Series made unreimbursed payments pursuant to Registrant's/Series' 12b-1 plan, state the total amount of such payments. ($000's omitted) ----- $ 44 SCREEN NUMBER: 22 Contracts This page being filed for series 3. 45. Did Registrant/Series have an advisory contract during the period? (If 'N' (No), jump to screen 26 for your next screen.) --------------- Y 46. Did Registrant/Series pay more than one investment adviser directly for investment advice during the period? (If 'Y' (Yes), answer items 47-52 in the aggregate for all such investment advisers.) ------------ N 47. Was Registrant's/Series' advisory fee based solely on a percentage of its assets? (Y or N) ------------------------------------------------- Y 48. If answer to 47 is 'Y' (Yes), fill in the table or the single fee rate applied to Registrant's/Series' assets based on the advisory contract. SINGLE FEE RATE ------- 1.450% STEP: ASSET VALUE ($000's omitted) ANNUAL FEE RATE A) first - $ 0 0.000% B) of next - $ 0 0.000% C) of next - $ 0 0.000% D) of next - $ 0 0.000% E) of next - $ 0 0.000% F) of next - $ 0 0.000% G) of next - $ 0 0.000% H) of next - $ 0 0.000% I) of next - $ 0 0.000% J) of next - $ 0 0.000% K) over - $ 0 0.000% SCREEN NUMBER: 23 Contracts This page being filed for series 4. 45. Did Registrant/Series have an advisory contract during the period? (If 'N' (No), jump to screen 26 for your next screen.) --------------- Y 46. Did Registrant/Series pay more than one investment adviser directly for investment advice during the period? (If 'Y' (Yes), answer items 47-52 in the aggregate for all such investment advisers.) ------------ N 47. Was Registrant's/Series' advisory fee based solely on a percentage of its assets? (Y or N) ------------------------------------------------- Y 48. If answer to 47 is 'Y' (Yes), fill in the table or the single fee rate applied to Registrant's/Series' assets based on the advisory contract. SINGLE FEE RATE ------- 0.950% STEP: ASSET VALUE ($000's omitted) ANNUAL FEE RATE A) first - $ 0 0.000% B) of next - $ 0 0.000% C) of next - $ 0 0.000% D) of next - $ 0 0.000% E) of next - $ 0 0.000% F) of next - $ 0 0.000% G) of next - $ 0 0.000% H) of next - $ 0 0.000% I) of next - $ 0 0.000% J) of next - $ 0 0.000% K) over - $ 0 0.000% SCREEN NUMBER: 23 This page being ADVISORY FEE filed for ALL series. (Y or N) 49. Was Registrant's/Series' advisory fee during the period based solely on a percentage of its income? -------------------------- N 50. Was Registrant's/Series' advisory fee during the period based on some combined percentage of its income & assets? ------------ N 51. Was Registrant's/Series' advisory fee during the period based in whole or in part on its investment performance? ------------- N 52. Was Registrant's/Series' advisory fee during the period based in whole or in part upon the assets, income or performance of other registrants? --------------------------------------------- N 53.A) Were the expenses of the Registrant/Series limited or re- duced at any time during the period by some agreement or understanding other than by blue sky laws? ------------------- Y [ If 53A is 'Y' (Yes), was limitation that applied during current period based upon: ] B) Assets? Y C) Income? (Y or N) SCREEN NUMBER: 24 This page being filed for ALL series. 54. Indicate below whether services were supplied or paid for wholly or in substantial part by investment adviser(s) or administrator(s) in connection with the advisory or administrative contract(s) but for which the adviser(s) or administrator(s) are not reimbursed by the Registrant: (Y or N) A) Occupancy and office rental ------------------------------------------ Y B) Clerical and bookkeeping services ------------------------------------ Y C) Accounting services -------------------------------------------------- N D) Services of independent auditors ------------------------------------- N E) Services of outside counsel ------------------------------------------ N F) Registration and filing fees ----------------------------------------- N G) Stationery, supplies and printing ------------------------------------ Y H) Salaries & compensation of Registrant's interested directors --------- N I) Salaries & compensation of Registrant's disinterested directors ------ N J) Salaries & compensation of Registrant's officers who are not directors Y K) Reports to current shareholders -------------------------------------- N L) Determination of offering and redemption prices ---------------------- N M) Trading department --------------------------------------------------- Y N) Prospectus preparation and printing for current shareholders --------- N O) Other ---------------------------------------------------------------- N SCREEN NUMBER: 25 This page being filed for ALL series. MISCELLANEOUS INFORMATION 55. Did Registrant/Series have any of the following outstanding at any time during the current period (Y or N) which exceeded 1% of aggregate net assets? A) Overdrafts -------------------------------------------------- N B) Bank Loans -------------------------------------------------- N 56. During the period did the Registrant's/Series' investment adviser(s) have advisory clients other than investment companies? --------- Y 57. Did the Registrant/Series adjust the number of its shares outstanding by means of a stock split or stock dividend? ------- N SCREEN NUMBER: 26 This page being CLASSIFICATION filed for series 3. (Y or N) 58.A) Is Registrant/Series a separate account of an insurance company? N If answer is 'Y' (Yes), are any of the following types of contracts funded by the Registrant: B) Variable annuity contracts? --------------------------------- C) Scheduled premium variable life contracts? ------------------ D) Flexible premium variable life contracts? ------------------- E) Other types of insurance products registered under the Securities Act of 1933? --------------------------------- 59. Is Registrant/Series a management investment company? ------------ Y 60.A) Was Registrant/Series a diversified investment company at any time during the reporting period? ------------------------------ Y B) Is Registrant/Series a diversified investment company as of the end of the reporting period? ----------------------------------- Y 61. What is the lowest minimum initial investment required by Registrant/Series from an investor that is not an employee or otherwise affiliated with the Registrant/Series, its adviser, principal underwriter or other affiliated entity? $ 1000 SCREEN NUMBER: 27 This page being CLASSIFICATION filed for series 4. (Y or N) 58.A) Is Registrant/Series a separate account of an insurance company? N If answer is 'Y' (Yes), are any of the following types of contracts funded by the Registrant: B) Variable annuity contracts? --------------------------------- C) Scheduled premium variable life contracts? ------------------ D) Flexible premium variable life contracts? ------------------- E) Other types of insurance products registered under the Securities Act of 1933? --------------------------------- 59. Is Registrant/Series a management investment company? ------------ Y 60.A) Was Registrant/Series a diversified investment company at any time during the reporting period? ------------------------------ N B) Is Registrant/Series a diversified investment company as of the end of the reporting period? ----------------------------------- N 61. What is the lowest minimum initial investment required by Registrant/Series from an investor that is not an employee or otherwise affiliated with the Registrant/Series, its adviser, principal underwriter or other affiliated entity? $ 2500 SCREEN NUMBER: 27 62.A) Does the Registrant/Series invest primarily in This page being debt securities, including convertible debt filed for ALL series. securities, options & futures on debt securities or indices of debt securities? (Y or N) ----------- N NOTE: If answer is 'N' (No), jump to Screen Number 30. If answer is 'Y' (Yes), state the percentage of net assets in each type at the end of the current period: SHORT-TERM MATURITIES B) U.S. Treasury 0.0% C) U.S. Government Agency 0.0% D) Repurchase agreements 0.0% F) Bank Certificates of E) State and Municipal tax-free 0.0% deposit-Domestic 0.0% G) Bank Certificates of deposit-Foreign 0.0% H) Bankers acceptances 0.0% I) Commercial paper taxable 0.0% J) Time deposits 0.0% K) Options 0.0% L) All other 0.0% INTERMEDIATE & LONG-TERM MATURITIES M) U.S. Treasury 0.0% N) U.S. Government Agency 0.0% O) State and Municipal tax-free 0.0% P) Corporate 0.0% Q) All other 0.0% R) Investments other than debt securities 0.0% SCREEN NUMBER: 28 This page being filed for ALL series. 63. State the dollar weighted average portfolio maturity at the end of the period covered by this report in days or, if longer than 1 yr., in years to one decimal place: A: 0 days B: 0.0 years 64.A) Is the timely payment of principal and interest on any of the instruments listed in item 62 insured or guaranteed by an entity other than the issuer? (Y or N) ----------------------------------- B) Is the issuer of any instrument covered in item 62 delinquent or in default as to payment of principal or interest at the end of the current period? (Y or N) -------------------------------------- [If answer is 'N' (No), jump to screen 30 for your next screen.] 65. In computations of NAV per share, is any part of the value attributed to instruments identified in sub-item 64B derived from insurance or guarantees? (Y or N) ------------------------------ SCREEN NUMBER: 29 66.A) Is the Registrant/Series a fund that This page being usually invests in equity securities, filed for series 3. options & futures on equity securities, indices of equity securities or securities convertible into equity securities? ----------------------------- Y If answer is 'N', go to item 67. Otherwise place a 'Y' on the line below which best describes its primary investment objective (place an 'N' on other lines). B) Aggressive capital appreciation --------------------------- N C) Capital appreciation -------------------------------------- N D) Growth ---------------------------------------------------- Y E) Growth and income ----------------------------------------- N F) Income ---------------------------------------------------- N G) Total return ---------------------------------------------- N 67. Is the Registrant/Series a balanced fund? (Y or N) ---------------- N 68. Does the Registrant/Series have more than 50% of its net assets at the end of the current period invested in: A) The securities of issuers engaged primarily in the pro- duction or distribution of precious metals? (Y or N) ------ N B) The securities of issuers located primarily in countries other than the United States? (Y or N) -------------------- Y 69. Is the Registrant/Series an index fund? (Y or N) ------------------ N SCREEN NUMBER: 30 66.A) Is the Registrant/Series a fund that This page being usually invests in equity securities, filed for series 4. options & futures on equity securities, indices of equity securities or securities convertible into equity securities? ----------------------------- Y If answer is 'N', go to item 67. Otherwise place a 'Y' on the line below which best describes its primary investment objective (place an 'N' on other lines). B) Aggressive capital appreciation --------------------------- N C) Capital appreciation -------------------------------------- N D) Growth ---------------------------------------------------- Y E) Growth and income ----------------------------------------- N F) Income ---------------------------------------------------- N G) Total return ---------------------------------------------- N 67. Is the Registrant/Series a balanced fund? (Y or N) ---------------- N 68. Does the Registrant/Series have more than 50% of its net assets at the end of the current period invested in: A) The securities of issuers engaged primarily in the pro- duction or distribution of precious metals? (Y or N) ------ N B) The securities of issuers located primarily in countries other than the United States? (Y or N) -------------------- N 69. Is the Registrant/Series an index fund? (Y or N) ------------------ N SCREEN NUMBER: 30 This page being INVESTMENT PRACTICES filed for series 3. 70. Activity Permitted by invest- Engaged in ment policies? this period? (Y or N) (Y or N) A) Writing or investing in repurchase agreements Y Y B) Writing or investing in options on equities Y N C) Writing or investing in options on debt securities Y N D) Writing or investing in options on stock indices N N E) Writing or investing in interest rate futures N N F) Writing or investing in stock index futures N N G) Writing or investing in options on futures N N H) Writing or investing in options on stock index futures N N I) Writing or investing in other commodity futures N N J) Investments in restricted securities Y N K) Investments in shares of other investment companies Y Y L) Investments in securities of foreign issuers Y Y M) Currency exchange transactions Y N N) Loaning portfolio securities Y N O) Borrowing of money Y N P) Purchases/sales by certain exempted affiliated persons Y N Q) Margin purchases Y N R) Short selling Y N SCREEN NUMBER: 31 This page being INVESTMENT PRACTICES filed for series 4. 70. Activity Permitted by invest- Engaged in ment policies? this period? (Y or N) (Y or N) A) Writing or investing in repurchase agreements Y Y B) Writing or investing in options on equities Y N C) Writing or investing in options on debt securities Y N D) Writing or investing in options on stock indices N N E) Writing or investing in interest rate futures N N F) Writing or investing in stock index futures N N G) Writing or investing in options on futures N N H) Writing or investing in options on stock index futures N N I) Writing or investing in other commodity futures N N J) Investments in restricted securities Y N K) Investments in shares of other investment companies Y Y L) Investments in securities of foreign issuers Y N M) Currency exchange transactions N N N) Loaning portfolio securities Y N O) Borrowing of money Y N P) Purchases/sales by certain exempted affiliated persons Y N Q) Margin purchases N N R) Short selling Y N SCREEN NUMBER: 31 This page being 71. Portfolio turnover rate for the current filed for series 3. reporting period A) Purchases ($000's omitted) ---------------------------------- $ 769 B) Sales [including all maturities] ($000's omitted) ----------- $ 0 C) Monthly average value of portfolio ($000's omitted) --------- $ 319 D) Percent turnover (use lesser of 71A) or 71B) divided by 71C)) 0% NOTE: Item 71D) should be a whole number; round if necessary. FINANCIAL INFORMATION 72.A) How many months do the answers to 72 and 73 cover? ----------- 6 months INCOME (000's omitted) B) Net interest income ----------------------------------------- $ 5 C) Net dividend income ----------------------------------------- $ 0 D) Account maintenance fees ------------------------------------ $ 0 E) Net other income -------------------------------------------- $ 0 EXPENSES F) Advisory fees ----------------------------------------------- $ 4 G) Administrator(s) fees --------------------------------------- $ 14 (Negative answers are allowed) H) Salaries and other compensation ----------------------------- $ 0 SCREEN NUMBER: 32 This page being 71. Portfolio turnover rate for the current filed for series 4. reporting period A) Purchases ($000's omitted) ---------------------------------- $ 8827 B) Sales [including all maturities] ($000's omitted) ----------- $ 3508 C) Monthly average value of portfolio ($000's omitted) --------- $ 5003 D) Percent turnover (use lesser of 71A) or 71B) divided by 71C)) 70% NOTE: Item 71D) should be a whole number; round if necessary. FINANCIAL INFORMATION 72.A) How many months do the answers to 72 and 73 cover? ----------- 6 months INCOME (000's omitted) B) Net interest income ----------------------------------------- $ 14 C) Net dividend income ----------------------------------------- $ 4 D) Account maintenance fees ------------------------------------ $ 0 E) Net other income -------------------------------------------- $ 0 EXPENSES F) Advisory fees ----------------------------------------------- $ 26 G) Administrator(s) fees --------------------------------------- $ 14 (Negative answers are allowed) H) Salaries and other compensation ----------------------------- $ 0 SCREEN NUMBER: 32 This page being FINANCIAL INFORMATION (Cont. from Screen 32) filed for series 3. EXPENSES (Negative answers are allowed) For the period covered by this form ($000's omitted) 72.I) Shareholder servicing agent fees ------------------- $ 6 J) Custodian fees ------------------------------------- $ 21 K) Postage -------------------------------------------- $ 0 L) Printing expenses ---------------------------------- $ 5 M) Directors' fees ------------------------------------ $ 2 N) Registration fees ---------------------------------- $ 7 O) Taxes ---------------------------------------------- $ 0 P) Interest ------------------------------------------- $ 0 Q) Bookkeeping fees paid to anyone performing this service ---------------------------- $ 0 R) Auditing fees -------------------------------------- $ 8 S) Legal fees ----------------------------------------- $ 3 T) Marketing/distribution payments including payments pursuant to a rule 12b-1 plan ------------- $ 0 U) Amortization of organization expenses -------------- $ 4 V) Shareholder meeting expenses ----------------------- $ 3 W) Other expenses ------------------------------------- $ 0 X) Total expenses ------------------------------------- $ 76 SCREEN NUMBER: 33 This page being FINANCIAL INFORMATION (Cont. from Screen 32) filed for series 4. EXPENSES (Negative answers are allowed) For the period covered by this form ($000's omitted) 72.I) Shareholder servicing agent fees ------------------- $ 6 J) Custodian fees ------------------------------------- $ 10 K) Postage -------------------------------------------- $ 0 L) Printing expenses ---------------------------------- $ 4 M) Directors' fees ------------------------------------ $ 2 N) Registration fees ---------------------------------- $ 0 O) Taxes ---------------------------------------------- $ 0 P) Interest ------------------------------------------- $ 0 Q) Bookkeeping fees paid to anyone performing this service ---------------------------- $ 0 R) Auditing fees -------------------------------------- $ 5 S) Legal fees ----------------------------------------- $ 2 T) Marketing/distribution payments including payments pursuant to a rule 12b-1 plan ------------- $ 0 U) Amortization of organization expenses -------------- $ 3 V) Shareholder meeting expenses ----------------------- $ 0 W) Other expenses ------------------------------------- $ 2 X) Total expenses ------------------------------------- $ 74 SCREEN NUMBER: 33 This page being FINANCIAL INFORMATION (Cont. from Screen 33) filed for series 3. EXPENSES (Negative answers are allowed For the period covered by this form on this screen for 72Z only) ($000's omitted) 72.Y) Expense reimbursements ----------------------------- $ 68 Z) Net investment income ------------------------------ $ -2 AA) Realized capital gains ----------------------------- $ 0 BB) Realized capital losses ---------------------------- $ 0 CC) 1. Net unrealized appreciation during the period --- $ 0 2. Net unrealized depreciation during the period --- $ 85 DD) 1. Total income dividends for which record date passed during the period ------------------------ $ 0 2. Dividends for a second class of open-end company shares -----------------------------------$ 0 EE) Total capital gains distributions for which record date passed during the period --------------- $ 0 73. Distributions per share for which record date passed during the period: NOTE: Show in fractions of a cent if so declared. A) 1. Dividends from net investment income ------------ $ 0.0000 2. Dividends for a second class of open-end company shares ---------------------------------- $ 0.0000 B) Distribution of capital gains ---------------------- $ 0.0000 C) Other distributions -------------------------------- $ 0.0000 SCREEN NUMBER: 34 This page being FINANCIAL INFORMATION (Cont. from Screen 33) filed for series 4. EXPENSES (Negative answers are allowed For the period covered by this form on this screen for 72Z only) ($000's omitted) 72.Y) Expense reimbursements ----------------------------- $ 35 Z) Net investment income ------------------------------ $ -21 AA) Realized capital gains ----------------------------- $ 0 BB) Realized capital losses ---------------------------- $ 203 CC) 1. Net unrealized appreciation during the period --- $ 0 2. Net unrealized depreciation during the period --- $ 573 DD) 1. Total income dividends for which record date passed during the period ------------------------ $ 0 2. Dividends for a second class of open-end company shares -----------------------------------$ 0 EE) Total capital gains distributions for which record date passed during the period --------------- $ 0 73. Distributions per share for which record date passed during the period: NOTE: Show in fractions of a cent if so declared. A) 1. Dividends from net investment income ------------ $ 0.0000 2. Dividends for a second class of open-end company shares ---------------------------------- $ 0.0000 B) Distribution of capital gains ---------------------- $ 0.0000 C) Other distributions -------------------------------- $ 0.0000 SCREEN NUMBER: 34 This page being filed for series 3. As of the end of current reporting 74. Condensed balance sheet data: period (000's omitted except for per share amounts) A) Cash ----------------------------------------------- $ 173 B) Repurchase agreements ------------------------------ $ 0 C) Short-term debt securities other than repurchase agreements ------------------------------ $ 0 D) Long-term debt securities including convertible debt------------------------------------ $ 0 E) Preferred, convertible preferred, and adjustable rate preferred stock -------------------- $ 0 F) Common stock --------------------------------------- $ 684 G) Options on equities -------------------------------- $ 0 H) Options on all futures ----------------------------- $ 0 I) Other investments ---------------------------------- $ 0 J) Receivables from portfolio instruments sold -------- $ 0 K) Receivables from affiliated persons ---------------- $ 0 L) Other receivables ---------------------------------- $ 64 M) All other assets ----------------------------------- $ 40 N) Total assets --------------------------------------- $ 961 SCREEN NUMBER: 35 This page being filed for series 4. As of the end of current reporting 74. Condensed balance sheet data: period (000's omitted except for per share amounts) A) Cash ----------------------------------------------- $ 1868 B) Repurchase agreements ------------------------------ $ 0 C) Short-term debt securities other than repurchase agreements ------------------------------ $ 0 D) Long-term debt securities including convertible debt------------------------------------ $ 0 E) Preferred, convertible preferred, and adjustable rate preferred stock -------------------- $ 0 F) Common stock --------------------------------------- $ 4544 G) Options on equities -------------------------------- $ 0 H) Options on all futures ----------------------------- $ 0 I) Other investments ---------------------------------- $ 0 J) Receivables from portfolio instruments sold -------- $ 0 K) Receivables from affiliated persons ---------------- $ 0 L) Other receivables ---------------------------------- $ 2 M) All other assets ----------------------------------- $ 34 N) Total assets --------------------------------------- $ 6447 SCREEN NUMBER: 35 This page being (Continued from Screen 35) filed for series 3. Condensed balance sheet data: As of the end of current reporting period (000's omitted except for per share amounts and number of accounts) 74.O) Payables for portfolio instruments purchased ----------------- $ 40 P) Amounts owed to affiliated persons --------------------------- $ 3 Q) Senior long-term debt ---------------------------------------- $ 0 R) Other liabilities: 1. Reverse repurchase agreements --------- $ 0 2. Short sales --------------------------- $ 0 3. Written options ----------------------- $ 0 4. All other liabilities ----------------- $ 68 S) Senior equity ------------------------------------------------ $ 0 T) Net assets of common shareholders ---------------------------- $ 850 U) 1. Number of shares outstanding ------------------------------ 94 2. Number of shares outstanding of a second class of shares of open-end company --------------------------------------- 0 V) 1. Net asset value per share (to nearest cent) --------------- $ 9.06 2. Net asset value per share of a second class of open-end company shares (to nearest cent) -------------------------- $ 0.00 W) Mark-to-market net asset value per share for money market funds only (to 4 decimals) ------------------ $ 0.0000 X) Total number of shareholder accounts ------------------------- 273 Y) Total value of assets in segregated accounts ----------------- $ 0 SCREEN NUMBER: 36 This page being (Continued from Screen 35) filed for series 4. Condensed balance sheet data: As of the end of current reporting period (000's omitted except for per share amounts and number of accounts) 74.O) Payables for portfolio instruments purchased ----------------- $ 0 P) Amounts owed to affiliated persons --------------------------- $ 3 Q) Senior long-term debt ---------------------------------------- $ 0 R) Other liabilities: 1. Reverse repurchase agreements --------- $ 0 2. Short sales --------------------------- $ 0 3. Written options ----------------------- $ 0 4. All other liabilities ----------------- $ 5 S) Senior equity ------------------------------------------------ $ 0 T) Net assets of common shareholders ---------------------------- $ 6439 U) 1. Number of shares outstanding ------------------------------ 720 2. Number of shares outstanding of a second class of shares of open-end company --------------------------------------- 0 V) 1. Net asset value per share (to nearest cent) --------------- $ 8.94 2. Net asset value per share of a second class of open-end company shares (to nearest cent) -------------------------- $ 0.00 W) Mark-to-market net asset value per share for money market funds only (to 4 decimals) ------------------ $ 0.0000 X) Total number of shareholder accounts ------------------------- 200 Y) Total value of assets in segregated accounts ----------------- $ 0 SCREEN NUMBER: 36 This page being filed for series 3. 75. Average net assets during the current reporting period ($000's omitted). Answer only one: A) Daily average (for money market funds) ----------------------- $ 0 B) Monthly average (for all other funds) ----------------------- $ 509 76. Market price per share at end of period (closed-end funds only) $ 0.00 SCREEN NUMBER: 37 This page being filed for series 4. 75. Average net assets during the current reporting period ($000's omitted). Answer only one: A) Daily average (for money market funds) ----------------------- $ 0 B) Monthly average (for all other funds) ----------------------- $ 5781 76. Market price per share at end of period (closed-end funds only) $ 0.00 SCREEN NUMBER: 37 77.A) Is the Registrant filing any of the following attachments with the current filing of Form N-SAR? (ANSWER FOR ALL SERIES AS A GROUP) (Y or N) ------------------------------- N NOTE: If answer is 'Y' (Yes), mark those items below being filed as an attachment to this Filed as form or incorporated by reference. Attachment B) Accountant's report on internal control ------------------- C) Matters submitted to a vote of security holders ----------- D) Policies with respect to security investment -------------- E) Legal proceedings ----------------------------------------- F) Changes in security for debt ------------------------------ G) Defaults and arrears on senior securities ----------------- H) Changes in control of Registrant -------------------------- I) Terms of new or amended securities ------------------------ J) Revaluation of assets or restatement of capital share account ------------------------------------- K) Changes in Registrant's certifying account ---------------- L) Changes in accounting principles and practices ------------ M) Mergers --------------------------------------------------- N) Actions required to be reported pursuant to Rule 2a-7 ----- O) Transactions effected pursuant to Rule 10f-3 -------------- P) Information required to be filed pursuant to exemptive orders --------------------------------------- (Item 77 continued on next screen) SCREEN NUMBER: 38 77. (Continued) Mark those items below being filed as an attachment to this form or incorporated form Filed as or incorporated by reference. Attachment Q1) Exhibits -------------------------------------------------- Q2) Any information called for by instructions to sub-item 77Q2 --------------------------------------------- Q3) Any information called for by instructions to sub-item 77Q3 --------------------------------------------- 78. Does the Registrant have any wholly-owned investment company subsidiaries whose operating & financial data are consolidated with that of Registrant in this report? (Y or N) N NOTE: If answer is 'N' (No), jump to Screen 41. SCREEN NUMBER: 39 79. List the '811' numbers and names of Registrant's wholly owned investment company subsidiaries consolidated in this report. 811 Number Subsidiary Name 811- 811- 811- 811- 811- 811- 811- 811- 811- 811- Press Ctrl-Left Arrow for previous, Ctrl-Right Arrow for next/more. SCREEN NUMBER: 40 ANNUAL SUPPLEMENT (Continued) This page being filed for ALL series. 83.A) Were any claims with respect to this Registrant/ Series filed under the bond during the period? (Y or N) -------- B) If the answer to 83 A) is 'Y' (Yes), what was the total amount of such claims? ($000's omitted) ----------------- $ 0 84.A) Were any losses incurred with respect to this Registrant/Series that could have been filed as a claim under the fidelity bond but were not? (Y or N) ----------- B) If the answer to 84 A) is 'Y' (Yes), what was the total amount of such losses? ($000's omitted) ----------------- $ 0 85.A) Are Registrant's/Series' officers and directors covered as officers and directors of Registrant/Series under any errors and omissions insurance policy owned by the Registrant/Series or anyone else (Y or N) --------- B) Were any claims filed under such policy during the period with respect to the Registrant/Series? (Y or N) --------- SCREEN NUMBER: 42 Closed-End Investment Companies Only 86. Sales, repurchases, and redemptions of Registrant's securities: Number of Shares Net or Principal Consideration Amount of Debt Received or Paid ($000's omitted) ($000's omitted) Common Stock: A) Sales 0 $ 0 B) Repurchases 0 $ 0 Preferred Stock: C) Sales 0 $ 0 D) Repurchases and Redemptions 0 $ 0 Debt Securities E) Sales $ 0 $ 0 F) Repurchases and Redemptions $ 0 $ 0 SCREEN NUMBER: 43 EX-27 2 FDS --
6 1027596 ADVISORS SERIES TRUST 3 KAMINSKI POLAND FUND 1 U.S. DOLLARS 6-MOS JUN-30-1997 JUL-9-1997 DEC-31-1997 1 768,839 683,810 64,377 172,675 40,178 961,040 39,527 0 71,290 110,817 0 937,421 93,883 0 (2,169) 0 0 0 (85,029) 850,223 0 5,349 0 7,518 (2,169) 0 (85,029) (87,198) 0 0 0 0 98,986 5,103 0 850,223 0 0 0 0 3,911 0 75,806 564,190 10.00 0 (.02) (.92) 0 0 9.06 .028 0 0
EX-27 3 FDS --
6 1027596 ADVISORS SERIES TRUST 4 RIDGEWAY HELMS MILLENIUM FUND 1 U.S. DOLLARS 6-MOS JUN-30-1997 JUL-16-1997 DEC-31-1997 1 5,116,059 4,543,500 440 1,867,794 35,061 6,446,795 0 0 7,667 7,667 0 7,235,609 719,994 0 (21,249) 0 (202,673) 0 (572,559) 6,439,128 4,229 13,715 0 39,193 (21,249) (202,673) (572,559) (796,481) 0 0 0 0 734,489 14,495 0 6,439,128 0 0 0 0 25,558 0 74,063 5,848,733 10.00 (.03) (1.03) 0 0 0 8.94 .015 0 0
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