-----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, RNeoW5o69JJxAn6FlY2xdIWjvn2ePEL5KJ+RbLYOsiU9MMvX+bDjFUFwUAbah2yX CjUm28zSGXtGFCX+IyDofA== /in/edgar/work/0000950147-00-001487/0000950147-00-001487.txt : 20000929 0000950147-00-001487.hdr.sgml : 20000929 ACCESSION NUMBER: 0000950147-00-001487 CONFORMED SUBMISSION TYPE: NSAR-B/A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20000531 FILED AS OF DATE: 20000927 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-B/A SEC ACT: SEC FILE NUMBER: 811-07959 FILM NUMBER: 729528 BUSINESS ADDRESS: STREET 1: 2020 E FINANCIAL WAY SUITE 100 CITY: GLENDORA STATE: CA ZIP: 91741 BUSINESS PHONE: 8188521033 MAIL ADDRESS: STREET 1: 2020 E FINANCIAL WAY STREET 2: SUITE 100 CITY: GLENDORA STATE: CA ZIP: 91741 NSAR-B/A 1 0001.txt AMENDMENT NO. 1 TO NSAR/B PAGE 1 000 B000000 05/31/2000 000 C000000 0001027596 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 Y 000 H000000 N 000 I000000 6.1 000 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 2 007 C010100 1 007 C010200 2 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 007 C011100 11 007 C011200 12 007 C011300 13 007 C011400 14 007 C021400 THE HERITAGE WEST PREF SECURITIES INCOME FUND 007 C031400 N 007 C011500 15 007 C021500 UNITY FUND 007 C031500 N 007 C011600 16 007 C011700 17 007 C011800 18 007 C011900 19 007 C012000 20 020 A000001 WHEAT FIRST SECURITIES, INC. 020 B000001 54-0796506 020 C000001 6 020 A000002 MERRILL LYNCH / BROADCORT 020 B000002 13-3495487 PAGE 2 020 C000002 8 020 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 14 022 A000001 FIRSTAR BANK, NA 022 C000001 639 022 D000001 1353 022 A000002 WHEAT FIRST SECURITIES, INC. 022 B000002 54-0796506 022 C000002 1705 022 D000002 2158 022 C000003 0 022 D000003 0 022 C000004 0 022 D000004 0 022 C000005 0 022 D000005 0 022 C000006 0 022 D000006 0 022 C000007 0 022 D000007 0 022 C000008 0 022 D000008 0 022 C000009 0 022 D000009 0 022 C000010 0 022 D000010 0 023 C000000 2344 023 D000000 3511 026 A000000 Y 026 B000000 Y 026 C000000 Y 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 Y 027 000000 Y 077 A000000 Y 077 B000000 Y 077 Q010000 Y 078 000000 N 086 A010000 0 086 A020000 0 PAGE 3 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 008 A001401 HERITAGE WEST ADVISORS LLC 008 B001401 A 008 C001401 801-55233 008 D011401 PHOENIX 008 D021401 AZ 008 D031401 85004 010 A001401 INVESTMENT COMPANY ADMINISTRATION LLC 010 C011401 PHOENIX 010 C021401 AZ 010 C031401 85018 011 A001401 HERITAGE WEST SECURITIES INC 011 B001401 8-45104 011 C011401 SCOTTSDALE 011 C021401 AZ 011 C031401 85253 012 A001401 ICA FUND SERVICES CORP 012 B001401 84-5789 012 C011401 PHOENIX 012 C021401 AZ 012 C031401 85018 013 A001401 PRICEWATERHOUSECOOPERS, LLP 013 B011401 NEW YORK 013 B021401 NY 013 B031401 10036 015 A001401 WFS CLEARING SERVICES 015 B001401 C 015 C011401 GLEN ALLEN 015 C021401 VA 015 C031401 23058 015 E021401 X 018 001400 Y 019 A001400 N 019 B001400 0 024 001400 N 025 D001401 0 025 D001402 0 025 D001403 0 025 D001404 0 025 D001405 0 025 D001406 0 025 D001407 0 PAGE 4 025 D001408 0 028 A011400 6 028 A021400 39 028 A031400 0 028 A041400 107 028 B011400 73 028 B021400 34 028 B031400 0 028 B041400 16 028 C011400 26 028 C021400 36 028 C031400 0 028 C041400 303 028 D011400 53 028 D021400 35 028 D031400 0 028 D041400 85 028 E011400 0 028 E021400 34 028 E031400 0 028 E041400 366 028 F011400 0 028 F021400 31 028 F031400 0 028 F041400 216 028 G011400 158 028 G021400 209 028 G031400 0 028 G041400 1093 028 H001400 158 029 001400 Y 030 A001400 1 030 B001400 4.50 030 C001400 0.00 031 A001400 0 031 B001400 0 032 001400 1 033 001400 0 034 001400 N 035 001400 0 036 B001400 0 037 001400 N 038 001400 0 039 001400 Y 040 001400 N 042 A001400 0 042 B001400 0 042 C001400 0 042 D001400 0 042 E001400 0 042 F001400 0 PAGE 5 042 G001400 0 042 H001400 0 043 001400 0 044 001400 0 045 001400 Y 046 001400 N 047 001400 Y 048 001400 1.000 048 A011400 0 048 A021400 0.000 048 B011400 0 048 B021400 0.000 048 C011400 0 048 C021400 0.000 048 D011400 0 048 D021400 0.000 048 E011400 0 048 E021400 0.000 048 F011400 0 048 F021400 0.000 048 G011400 0 048 G021400 0.000 048 H011400 0 048 H021400 0.000 048 I011400 0 048 I021400 0.000 048 J011400 0 048 J021400 0.000 048 K011400 0 048 K021400 0.000 049 001400 N 050 001400 N 051 001400 N 052 001400 N 053 A001400 Y 053 B001400 Y 053 C001400 N 054 A001400 Y 054 B001400 Y 054 C001400 N 054 D001400 N 054 E001400 N 054 F001400 N 054 G001400 Y 054 H001400 Y 054 I001400 N 054 J001400 Y 054 K001400 N 054 L001400 N 054 M001400 Y 054 N001400 N PAGE 6 054 O001400 N 055 A001400 N 055 B001400 N 056 001400 Y 057 001400 N 058 A001400 N 059 001400 Y 060 A001400 Y 060 B001400 Y 061 001400 5000 062 A001400 N 062 B001400 0.0 062 C001400 0.0 062 D001400 0.0 062 E001400 0.0 062 F001400 0.0 062 G001400 0.0 062 H001400 0.0 062 I001400 0.0 062 J001400 0.0 062 K001400 0.0 062 L001400 0.0 062 M001400 0.0 062 N001400 0.0 062 O001400 0.0 062 P001400 0.0 062 Q001400 0.0 062 R001400 0.0 063 A001400 0 063 B001400 0.0 066 A001400 Y 066 B001400 N 066 C001400 N 066 D001400 N 066 E001400 N 066 F001400 Y 066 G001400 N 067 001400 N 068 A001400 N 068 B001400 N 069 001400 N 070 A011400 Y 070 A021400 N 070 B011400 Y 070 B021400 N 070 C011400 N 070 C021400 N 070 D011400 Y 070 D021400 N 070 E011400 Y 070 E021400 N PAGE 7 070 F011400 Y 070 F021400 N 070 G011400 Y 070 G021400 N 070 H011400 Y 070 H021400 N 070 I011400 N 070 I021400 N 070 J011400 Y 070 J021400 N 070 K011400 Y 070 K021400 N 070 L011400 Y 070 L021400 N 070 M011400 N 070 M021400 N 070 N011400 N 070 N021400 N 070 O011400 Y 070 O021400 N 070 P011400 N 070 P021400 N 070 Q011400 N 070 Q021400 N 070 R011400 N 070 R021400 N 071 A001400 4716 071 B001400 3109 071 C001400 5891 071 D001400 53 072 A001400 12 072 B001400 0 072 C001400 582 072 D001400 0 072 E001400 0 072 F001400 64 072 G001400 30 072 H001400 0 072 I001400 14 072 J001400 1 072 K001400 0 072 L001400 7 072 M001400 3 072 N001400 12 072 O001400 0 072 P001400 0 072 Q001400 17 072 R001400 14 072 S001400 15 072 T001400 0 072 U001400 7 PAGE 8 072 V001400 0 072 W001400 6 072 X001400 190 072 Y001400 64 072 Z001400 456 072AA001400 0 072BB001400 104 072CC011400 0 072CC021400 778 072DD011400 702 072DD021400 0 072EE001400 0 073 A011400 1.2200 073 A021400 0.0000 073 B001400 0.0000 073 C001400 0.0000 074 A001400 48 074 B001400 0 074 C001400 0 074 D001400 0 074 E001400 5121 074 F001400 0 074 G001400 0 074 H001400 0 074 I001400 0 074 J001400 325 074 K001400 13 074 L001400 34 074 M001400 42 074 N001400 5583 074 O001400 0 074 P001400 0 074 Q001400 0 074 R011400 0 074 R021400 0 074 R031400 0 074 R041400 134 074 S001400 0 074 T001400 5449 074 U011400 529 074 U021400 0 074 V011400 10.30 074 V021400 0.00 074 W001400 0.0000 074 X001400 132 074 Y001400 0 075 A001400 0 075 B001400 6357 076 001400 0.00 080 A001400 ICI MUTUAL INSURANCE COMPANY 080 C001400 1325 PAGE 9 081 A001400 Y 081 B001400 23 082 A001400 Y 082 B001400 25 083 A001400 N 083 B001400 0 084 A001400 N 084 B001400 0 085 A001400 Y 085 B001400 N 008 A001501 LIBERTY BANK & TRUST COMPANY 008 B001501 A 008 C001501 801-000000 008 D011501 NEW ORLEANS 008 D021501 LA 008 D031501 70122 008 A001502 THE EDGAR LOMAX COMPANY 008 B001502 S 008 C001502 801-19358 008 D011502 SPRINGFIELD 008 D021502 VA 008 D031502 22150 010 A001501 INVESTMENT COMPANY ADMINISTRATION, LLC 010 C011501 PHOENIX 010 C021501 AZ 010 C031501 85018 011 A001501 FIRST FUND DISTRIBUTORS, INC. 011 B001501 8-42809 011 C011501 PHOENIX 011 C021501 AZ 011 C031501 85018 012 A001501 AMERICAN DATA SERVICES, INC. 012 B001501 84-1964 012 C011501 HAUPPAUGE 012 C021501 NY 012 C031501 11788 013 A001501 PRICEWATERHOUSECOOPERS, LLP 013 B011501 NEW YORK 013 B021501 NY 013 B031501 10036 015 A001501 FIRSTAR BANK, NA 015 B001501 C 015 C011501 CINCINNATI 015 C021501 OH 015 C031501 45202 015 E011501 X 018 001500 Y 019 A001500 N 019 B001500 0 024 001500 N 025 D001501 0 PAGE 10 025 D001502 0 025 D001503 0 025 D001504 0 025 D001505 0 025 D001506 0 025 D001507 0 025 D001508 0 028 A011500 19 028 A021500 132 028 A031500 0 028 A041500 569 028 B011500 25 028 B021500 0 028 B031500 0 028 B041500 693 028 C011500 5 028 C021500 0 028 C031500 0 028 C041500 63 028 D011500 4 028 D021500 0 028 D031500 0 028 D041500 105 028 E011500 4 028 E021500 0 028 E031500 0 028 E041500 94 028 F011500 6 028 F021500 0 028 F031500 0 028 F041500 103 028 G011500 63 028 G021500 132 028 G031500 0 028 G041500 1627 028 H001500 63 029 001500 Y 030 A001500 1 030 B001500 3.50 030 C001500 0.00 031 A001500 0 031 B001500 0 032 001500 1 033 001500 0 034 001500 N 035 001500 0 036 B001500 0 037 001500 N 038 001500 0 039 001500 Y 040 001500 Y PAGE 11 041 001500 Y 042 A001500 0 042 B001500 0 042 C001500 0 042 D001500 0 042 E001500 0 042 F001500 0 042 G001500 0 042 H001500 100 043 001500 15 044 001500 9 045 001500 Y 046 001500 Y 047 001500 Y 048 001500 0.850 048 A011500 0 048 A021500 0.000 048 B011500 0 048 B021500 0.000 048 C011500 0 048 C021500 0.000 048 D011500 0 048 D021500 0.000 048 E011500 0 048 E021500 0.000 048 F011500 0 048 F021500 0.000 048 G011500 0 048 G021500 0.000 048 H011500 0 048 H021500 0.000 048 I011500 0 048 I021500 0.000 048 J011500 0 048 J021500 0.000 048 K011500 0 048 K021500 0.000 049 001500 N 050 001500 N 051 001500 N 052 001500 N 053 A001500 Y 053 B001500 Y 053 C001500 N 054 A001500 Y 054 B001500 Y 054 C001500 N 054 D001500 N 054 E001500 N 054 F001500 N 054 G001500 Y PAGE 12 054 H001500 Y 054 I001500 N 054 J001500 Y 054 K001500 N 054 L001500 N 054 M001500 Y 054 N001500 N 054 O001500 N 055 A001500 N 055 B001500 N 056 001500 Y 057 001500 N 058 A001500 N 058 B001500 N 058 C001500 N 058 D001500 N 058 E001500 N 059 001500 Y 060 A001500 Y 060 B001500 Y 061 001500 1000 062 A001500 N 062 B001500 0.0 062 C001500 0.0 062 D001500 0.0 062 E001500 0.0 062 F001500 0.0 062 G001500 0.0 062 H001500 0.0 062 I001500 0.0 062 J001500 0.0 062 K001500 0.0 062 L001500 0.0 062 M001500 0.0 062 N001500 0.0 062 O001500 0.0 062 P001500 0.0 062 Q001500 0.0 062 R001500 0.0 063 A001500 0 063 B001500 0.0 066 A001500 Y 066 B001500 N 066 C001500 N 066 D001500 N 066 E001500 Y 066 F001500 N 066 G001500 N 067 001500 N 068 A001500 N 068 B001500 N PAGE 13 069 001500 N 070 A011500 Y 070 A021500 N 070 B011500 N 070 B021500 N 070 C011500 N 070 C021500 N 070 D011500 N 070 D021500 N 070 E011500 N 070 E021500 N 070 F011500 N 070 F021500 N 070 G011500 N 070 G021500 N 070 H011500 N 070 H021500 N 070 I011500 N 070 I021500 N 070 J011500 Y 070 J021500 N 070 K011500 Y 070 K021500 Y 070 L011500 Y 070 L021500 N 070 M011500 N 070 M021500 N 070 N011500 N 070 N021500 N 070 O011500 N 070 O021500 N 070 P011500 N 070 P021500 N 070 Q011500 N 070 Q021500 N 070 R011500 N 070 R021500 N 071 A001500 1292 071 B001500 2988 071 C001500 3022 071 D001500 43 072 A001500 12 072 B001500 2 072 C001500 77 072 D001500 0 072 E001500 0 072 F001500 26 072 G001500 30 072 H001500 0 072 I001500 26 072 J001500 8 PAGE 14 072 K001500 0 072 L001500 5 072 M001500 3 072 N001500 6 072 O001500 0 072 P001500 0 072 Q001500 14 072 R001500 15 072 S001500 6 072 T001500 15 072 U001500 8 072 V001500 0 072 W001500 3 072 X001500 165 072 Y001500 100 072 Z001500 14 072AA001500 12 072BB001500 0 072CC011500 0 072CC021500 406 072DD011500 20 072DD021500 0 072EE001500 115 073 A011500 0.0700 073 A021500 0.0000 073 B001500 0.4000 073 C001500 0.0000 074 A001500 0 074 B001500 0 074 C001500 28 074 D001500 0 074 E001500 0 074 F001500 1833 074 G001500 0 074 H001500 0 074 I001500 0 074 J001500 0 074 K001500 16 074 L001500 7 074 M001500 31 074 N001500 1915 074 O001500 0 074 P001500 0 074 Q001500 0 074 R011500 0 074 R021500 0 074 R031500 0 074 R041500 35 074 S001500 0 074 T001500 1880 074 U011500 192 PAGE 15 074 U021500 0 074 V011500 9.78 074 V021500 0.00 074 W001500 0.0000 074 X001500 189 074 Y001500 0 075 A001500 0 075 B001500 3095 076 001500 0.00 080 A001500 ICI MUTUAL INSURANCE COMPANY 080 C001500 1325 081 A001500 Y 081 B001500 23 082 A001500 Y 082 B001500 25 083 A001500 N 083 B001500 0 084 A001500 N 084 B001500 0 085 A001500 Y 085 B001500 N SIGNATURE KEVIN MYERS TITLE ASSISTANT TREASURER EX-27.14 2 0002.txt FINANCIAL DATA SCHEDULE
6 1027596 ADVISORS SERIES TRUST 14 THE HERITAGE WEST PREFERRED SECURITIES INCOME FUND 1 U.S DOLLARS 12-MOS MAY-31-2000 JUN-01-1999 MAY-31-2000 1 5,969,241 5,121,272 372,282 89,693 0 5,583,247 0 0 133,597 133,597 0 6,402,792 529,135 511,516 0 0 (105,173) 156,071 (847,969) 5,449,650 582,496 0 0 125,333 457,163 (103,813) (778,493) (425,143) 0 701,646 0 0 101,690 120,002 35,931 (800,152) 0 96,271 0 0 63,602 0 189,129 6,357,058 12.22 0.76 (1.46) 0.97 0 0.25 10.30 1.97

EX-27.15 3 0003.txt FINANCIAL DATA SCHEDULE
6 1027596 ADVISORS SERIES TRST 15 UNITY FUND 1 U.S. DOLLARS 12-MOS MAY-31-2000 JUN-01-1999 MAY-31-2000 1 1,891,927 1,860,753 22,986 32,208 0 1,915,947 0 0 35,486 35,486 0 1,910,116 192,227 354,913 6,964 0 (5,445) 0 (31,174) 1,880,461 76,738 1,726 0 65,044 13,420 (11,610) (405,954) (380,924) 0 19,723 115,019 0 387,677 563,262 12,899 (2,175,405) 13,267 97,964 0 0 26,342 0 165,648 3,095,466 11.43 (0.07) (1.25) 0.07 0.40 0 9.78 2.10

EX-99.77.B 4 0004.txt INTERNAL CONTROL LETTER REPORT OF INDEPENDENT ACCOUNTANTS To the Board of Trustee and Shareholders of Advisors Series Trust In planning and performing our audit of the financial statements of Unity Fund and Heritage West Preferred Securities Income Fund, each a series of Advisors Series Trust (the "Company") for the year ended May 31, 2000, we considered its internal control, including control activities for safeguarding securities, in order to determine our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, not to provide assurance on internal control. The management of the Company is responsible for establishing and maintaining internal control. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. Generally, controls that are relevant to an audit pertain to the entity's objective of preparing financial statements for external purposes that are fairly presented in conformity with generally accepted accounting principles. Those controls include the safeguarding of assets against unauthorized acquisition, use or disposition. Because of inherent limitations in internal control, errors or fraud may occur and not be detected. Also, projection of any evaluation of internal control to future periods is subject to the risk that controls may become inadequate because of changes in conditions or that the effectiveness of their design and operation may deteriorate. Our consideration of internal control would not necessarily disclose all matters in internal control that might be material weaknesses under standards established by the American Institute of Certified Public Accountants. A material weakness is a condition in which the design or operation of one or more of the internal control components does not reduce to a relatively low level the risk that misstatements caused by error or fraud in amounts that would be material in relation to the financial statements being audited may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. However, we noted the following matter, involving the accounting system and its operation that we consider to be material weaknesses as defined above. These conditions were considered in determining the nature, timing, and extent of the procedures to be performed in our audits of the financial statements of Unity Fund and Heritage West Preferred Securities Income Fund, series of Advisors Series Trust, for the year ended May 31, 2000, and this reports does not affect our reports thereon dated August 18, 2000 and September 5, 2000 respectively. As a result of inadequate supervision and review certain critical accounting routines were not performed by the Funds, and several adjustments and reclassifications were required. Personnel changes and procedures have been adopted to improve the supervision and review over fund accounting. This report is intended solely for the information and use of the Board of Directors, management and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /s/ PricewaterhouseCoopers PricewaterhouseCoopers September 5, 2000 ~~-----END PRIVACY-ENHANCED MESSAGE-----~~