-----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, Hwt4++lCH/Bx8667xxQ7W9nrOVfXtouwu3tkD7qykUIvoF9/k8qkXQ6LCUEX6RVm oha+Tr1rvXFh5eX06u+FpA== 0000950147-01-000021.txt : 20010207 0000950147-01-000021.hdr.sgml : 20010207 ACCESSION NUMBER: 0000950147-01-000021 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20001130 FILED AS OF DATE: 20010206 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 SEC ACT: SEC FILE NUMBER: 811-07959 FILM NUMBER: 1525764 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 1 0001.txt N-SAR (6.1) PAGE 1 000 B000000 11/30/2000 000 C000000 0001027596 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 ADVISOR SERIES TRUST 001 B000000 811-37959 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 1 007 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 C011500 15 007 C011600 16 007 C011700 17 007 C021700 HOWARD EQUITY FUND 007 C031700 N 007 C011800 18 007 C011900 19 007 C012000 20 020 A000001 SJP INVESTORS 020 C000001 30 020 A000002 TIR SECURITIES 020 B000002 13-3506065 020 C000002 26 020 A000003 NFSC 020 B000003 04-2785576 PAGE 2 020 C000003 5 020 A000004 AMROC 020 C000004 2 020 A000005 MORGAN STANLEY 020 B000005 13-2655998 020 C000005 1 020 A000006 E*TRADE SECURITIES 020 B000006 77-0116489 020 C000006 1 020 C000007 0 020 C000008 0 020 C000009 0 020 C000010 0 021 000000 65 022 A000001 FIRSTAR BANK NA 022 C000001 27098 022 D000001 29165 022 A000002 MORGAN STANLEY 022 B000002 13-2655998 022 C000002 593 022 D000002 1116 022 A000003 PUNK-ZIEGEL 022 B000003 13-3573755 022 C000003 920 022 D000003 605 022 A000004 SJP INVESTORS 022 C000004 877 022 D000004 441 022 A000005 NFSC 022 B000005 04-2785576 022 C000005 180 022 D000005 294 022 A000006 TIR SECURITIES 022 B000006 13-3506065 022 C000006 99 022 D000006 0 022 A000007 IMPERIAL 022 C000007 96 022 D000007 0 022 A000008 BEAR STEARNS 022 B000008 13-3299429 022 C000008 48 022 D000008 0 022 C000009 0 022 D000009 0 022 C000010 0 022 D000010 0 023 C000000 29911 023 D000000 31621 026 A000000 N 026 B000000 Y PAGE 3 026 C000000 Y 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 Y 026 G020000 Y 026 H000000 N 027 000000 Y 077 A000000 Y 077 B000000 Y 077 C000000 N 077 D000000 N 077 E000000 N 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 N 077 Q020000 N 077 Q030000 N 078 000000 N 008 A001701 HOWARD CAPITAL MANAGEMENT 008 B001701 A 008 C001701 801-10188 008 D011701 NEW YORK 008 D021701 NY 008 D031701 10111 010 A001701 INVESTMENT COMPANY ADMINISTRATION, LLC 010 C011701 PHOENIX 010 C021701 AZ 010 C031701 85018 011 A001701 FIRST FUND DISTRIBUTORS, INC. 011 B001701 8-42809 011 C011701 PHOENIX 011 C021701 AZ 011 C031701 85018 012 A001701 AMERICAN DATA SERVICES 012 B001701 84-1964 012 C011701 HAUPPAUGE 012 C021701 NY 012 C031701 11788 013 A001701 PRICEWATERHOUSECOOPERS LLP 013 B011701 NEW YORK 013 B021701 NY PAGE 4 013 B031701 10017 015 A001701 FIRSTAR INSTITUTIONAL CUSTODY SERVICES 015 B001701 C 015 C011701 CINCINNATI 015 C021701 OH 015 C031701 45202 015 E011701 X 018 001700 Y 019 A001700 N 019 B001700 0 024 001700 N 028 A011700 330 028 A021700 0 028 A031700 0 028 A041700 173 028 B011700 300 028 B021700 0 028 B031700 0 028 B041700 490 028 C011700 384 028 C021700 0 028 C031700 0 028 C041700 363 028 D011700 345 028 D021700 0 028 D031700 0 028 D041700 635 028 E011700 175 028 E021700 0 028 E031700 0 028 E041700 916 028 F011700 187 028 F021700 0 028 F031700 0 028 F041700 877 028 G011700 1721 028 G021700 0 028 G031700 0 028 G041700 3454 028 H001700 0 029 001700 N 030 A001700 0 030 B001700 0.00 030 C001700 0.00 031 A001700 0 031 B001700 0 032 001700 0 033 001700 0 034 001700 N 035 001700 0 036 B001700 0 PAGE 5 037 001700 N 038 001700 0 039 001700 N 040 001700 Y 041 001700 Y 042 A001700 0 042 B001700 0 042 C001700 0 042 D001700 0 042 E001700 0 042 F001700 0 042 G001700 0 042 H001700 100 043 001700 58 044 001700 0 045 001700 Y 046 001700 N 047 001700 Y 048 001700 1.000 048 A011700 0 048 A021700 0.000 048 B011700 0 048 B021700 0.000 048 C011700 0 048 C021700 0.000 048 D011700 0 048 D021700 0.000 048 E011700 0 048 E021700 0.000 048 F011700 0 048 F021700 0.000 048 G011700 0 048 G021700 0.000 048 H011700 0 048 H021700 0.000 048 I011700 0 048 I021700 0.000 048 J011700 0 048 J021700 0.000 048 K011700 0 048 K021700 0.000 049 001700 N 050 001700 N 051 001700 N 052 001700 N 053 A001700 Y 053 B001700 Y 053 C001700 N 054 A001700 Y 054 B001700 Y 054 C001700 N PAGE 6 054 D001700 N 054 E001700 N 054 F001700 N 054 G001700 N 054 H001700 Y 054 I001700 N 054 J001700 Y 054 K001700 N 054 L001700 N 054 M001700 Y 054 N001700 N 054 O001700 N 055 A001700 N 055 B001700 N 056 001700 Y 057 001700 N 058 A001700 N 059 001700 Y 060 A001700 Y 060 B001700 Y 061 001700 2000 062 A001700 N 062 B001700 0.0 062 C001700 0.0 062 D001700 0.0 062 E001700 0.0 062 F001700 0.0 062 G001700 0.0 062 H001700 0.0 062 I001700 0.0 062 J001700 0.0 062 K001700 0.0 062 L001700 0.0 062 M001700 0.0 062 N001700 0.0 062 O001700 0.0 062 P001700 0.0 062 Q001700 0.0 062 R001700 0.0 066 A001700 Y 066 B001700 N 066 C001700 Y 066 D001700 N 066 E001700 N 066 F001700 N 066 G001700 N 067 001700 N 068 A001700 N 068 B001700 N 069 001700 N 070 A011700 Y PAGE 7 070 A021700 N 070 B011700 N 070 B021700 N 070 C011700 N 070 C021700 N 070 D011700 Y 070 D021700 N 070 E011700 Y 070 E021700 N 070 F011700 Y 070 F021700 N 070 G011700 Y 070 G021700 N 070 H011700 Y 070 H021700 N 070 I011700 N 070 I021700 N 070 J011700 Y 070 J021700 N 070 K011700 Y 070 K021700 Y 070 L011700 Y 070 L021700 N 070 M011700 Y 070 M021700 N 070 N011700 Y 070 N021700 N 070 O011700 Y 070 O021700 N 070 P011700 N 070 P021700 N 070 Q011700 N 070 Q021700 N 070 R011700 Y 070 R021700 N 071 A001700 33525 071 B001700 23869 071 C001700 13150 071 D001700 182 072 A001700 12 072 B001700 205 072 C001700 92 072 D001700 0 072 E001700 0 072 F001700 176 072 G001700 36 072 H001700 0 072 I001700 12 072 J001700 7 072 K001700 0 072 L001700 0 PAGE 8 072 M001700 4 072 N001700 14 072 O001700 0 072 P001700 0 072 Q001700 20 072 R001700 17 072 S001700 6 072 T001700 58 072 U001700 0 072 V001700 0 072 W001700 4 072 X001700 354 072 Y001700 11 072 Z001700 -46 072AA001700 0 072BB001700 768 072CC011700 0 072CC021700 3181 072DD011700 3 072DD021700 0 072EE001700 0 073 A011700 0.0040 073 A021700 0.0000 073 B001700 0.0000 073 C001700 0.0000 074 A001700 0 074 B001700 0 074 C001700 1619 074 D001700 0 074 E001700 0 074 F001700 12568 074 G001700 0 074 H001700 0 074 I001700 0 074 J001700 0 074 K001700 0 074 L001700 265 074 M001700 5 074 N001700 14457 074 O001700 442 074 P001700 13 074 Q001700 0 074 R011700 0 074 R021700 0 074 R031700 0 074 R041700 167 074 S001700 0 074 T001700 13835 074 U011700 1290 074 U021700 0 074 V011700 10.73 PAGE 9 074 V021700 0.00 074 W001700 0.0000 074 X001700 247 074 Y001700 0 075 A001700 0 075 B001700 17573 076 001700 0.00 080 A001700 ICI MUTUAL INSURANCE CO 080 C001700 1050 081 A001700 Y 081 B001700 17 082 A001700 Y 082 B001700 25 083 A001700 N 083 B001700 0 084 A001700 N 084 B001700 0 085 A001700 Y 085 B001700 N SIGNATURE KEVIN MYERS TITLE ASSISTANT TREASURER EX-99.77 2 0002.txt INTERNAL CONTROL LETTER REPORT OF INDEPENDENT ACCOUNTANTS TO THE BOARD OF TRUSTEES ADVISORS SERIES TRUST In planning and performing our audit of the financial statements of the Howard Equity Fund, series of Advisors Series Trust, for the year ended November 30, 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 Advisors Series Trust 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 accounting principles generally accepted in the United States of America. 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 no matters involving internal control and its operation, including controls for safeguarding securities that we consider to be material weaknesses as defined above as of November 30, 2000. This report is intended solely for the information and use of the Board of Trustees, 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 LLP New York, New York December 22, 2000 -----END PRIVACY-ENHANCED MESSAGE-----