-----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, RINlo/aQGXx9O+RUi/8t3bZ7G3QwzpOW5xjv7nhyTnvcoAGaSb+RCO3Q9y3XPpqf 925icYTm4EBWvfbcdJ26Xg== 0000950147-99-001431.txt : 19991216 0000950147-99-001431.hdr.sgml : 19991216 ACCESSION NUMBER: 0000950147-99-001431 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 8 CONFORMED PERIOD OF REPORT: 19990930 FILED AS OF DATE: 19991215 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: 99774538 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 NSAR-B 000 B000000 09/30/99 000 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. 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054 E00AA00 N 054 F00AA00 N 054 G00AA00 N 054 H00AA00 Y 054 I00AA00 N 054 J00AA00 Y 054 K00AA00 N 054 L00AA00 N 054 M00AA00 Y 054 N00AA00 N 054 O00AA00 N 055 A00AA00 N 055 B00AA00 N 056 00AA00 Y 057 00AA00 N 062 A00AA00 N 062 B00AA00 0.0 062 C00AA00 0.0 062 D00AA00 0.0 062 E00AA00 0.0 062 F00AA00 0.0 062 G00AA00 0.0 062 H00AA00 0.0 062 I00AA00 0.0 062 J00AA00 0.0 062 K00AA00 0.0 062 L00AA00 0.0 062 M00AA00 0.0 062 N00AA00 0.0 062 O00AA00 0.0 062 P00AA00 0.0 062 Q00AA00 0.0 062 R00AA00 0.0 077 A000000 Y 077 B000000 Y 077 Q010000 Y PAGE 5 078 000000 N 086 A010000 0 086 A020000 0 086 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 A000501 ROCKHAVEN ASSET MANAGEMENT 008 B000501 A 008 C000501 801-54084 008 D010501 PITTSBURGH 008 D020501 PA 008 D030501 15222 028 A010500 56 028 A020500 0 028 A030500 0 028 A040500 2 028 B010500 3 028 B020500 4 028 B030500 0 028 B040500 27 028 C010500 18 028 C020500 0 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K020500 0.000 058 A000500 N 059 000500 Y 060 A000500 Y 060 B000500 Y 061 000500 1000 PAGE 7 066 A000500 Y 066 B000500 N 066 C000500 N 066 D000500 N 066 E000500 N 066 F000500 N 066 G000500 Y 067 000500 N 068 A000500 N 068 B000500 N 069 000500 N 070 A010500 Y 070 A020500 N 070 B010500 Y 070 B020500 N 070 C010500 Y 070 C020500 N 070 D010500 N 070 D020500 N 070 E010500 N 070 E020500 N 070 F010500 N 070 F020500 N 070 G010500 N 070 G020500 N 070 H010500 N 070 H020500 N 070 I010500 N 070 I020500 N 070 J010500 N 070 J020500 N 070 K010500 Y 070 K020500 Y 070 L010500 Y 070 L020500 N 070 M010500 N 070 M020500 N 070 N010500 N 070 N020500 N 070 O010500 N 070 O020500 N 070 P010500 N 070 P020500 N 070 Q010500 N 070 Q020500 N 070 R010500 N 070 R020500 N 071 A000500 3898 071 B000500 3398 071 C000500 2997 071 D000500 113 PAGE 8 072 A000500 12 072 B000500 0 072 C000500 72 072 D000500 0 072 E000500 0 072 F000500 23 072 G000500 30 072 H000500 0 072 I000500 16 072 J000500 7 072 K000500 0 072 L000500 4 072 M000500 3 072 N000500 10 072 O000500 0 072 P000500 0 072 Q000500 19 072 R000500 15 072 S000500 4 072 T000500 8 072 U000500 0 072 V000500 0 072 W000500 4 072 X000500 143 072 Y000500 96 072 Z000500 26 072AA000500 189 072BB000500 0 072CC010500 342 072CC020500 0 072DD010500 30 072DD020500 0 072EE000500 0 073 A010500 0.0900 073 A020500 0.0000 073 B000500 0.0000 073 C000500 0.0000 074 A000500 0 074 B000500 0 074 C000500 8 074 D000500 554 074 E000500 647 074 F000500 1845 074 G000500 0 074 H000500 0 074 I000500 0 074 J000500 0 074 K000500 6 074 L000500 7 074 M000500 21 074 N000500 3087 PAGE 9 074 O000500 0 074 P000500 0 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 94 074 S000500 0 074 T000500 2993 074 U010500 255 074 U020500 0 074 V010500 11.72 074 V020500 0.00 074 W000500 0.0000 074 X000500 81 074 Y000500 0 075 A000500 0 075 B000500 3109 076 000500 0.00 080 A000500 ICI MUTUAL INSURANCE COMPANY 080 C000500 450 081 A000500 Y 081 B000500 21 082 A000500 Y 082 B000500 25 083 A000500 N 083 B000500 0 084 A000500 N 084 B000500 0 085 A000500 Y 085 B000500 N 008 A000601 ROCKHAVEN ASSET MANAGEMENT 008 B000601 A 008 C000601 801-54084 008 D010601 PITTSBURGH 008 D020601 PA 008 D030601 15222 028 A010600 1598 028 A020600 0 028 A030600 0 028 A040600 0 028 B010600 843 028 B020600 8 028 B030600 0 028 B040600 41 028 C010600 205 028 C020600 0 028 C030600 0 028 C040600 0 028 D010600 403 028 D020600 0 PAGE 10 028 D030600 0 028 D040600 22 028 E010600 462 028 E020600 0 028 E030600 0 028 E040600 78 028 F010600 500 028 F020600 0 028 F030600 0 028 F040600 257 028 G010600 4011 028 G020600 8 028 G030600 0 028 G040600 398 028 H000600 0 029 000600 Y 030 A000600 1 030 B000600 5.75 030 C000600 0.00 031 A000600 0 031 B000600 0 032 000600 0 033 000600 0 037 000600 N 038 000600 0 039 000600 Y 040 000600 Y 041 000600 Y 042 A000600 0 042 B000600 0 042 C000600 0 042 D000600 100 042 E000600 0 042 F000600 0 042 G000600 0 042 H000600 0 043 000600 14 044 000600 0 045 000600 Y 046 000600 N 047 000600 Y 048 000600 0.750 048 A010600 0 048 A020600 0.000 048 B010600 0 048 B020600 0.000 048 C010600 0 048 C020600 0.000 048 D010600 0 048 D020600 0.000 048 E010600 0 PAGE 11 048 E020600 0.000 048 F010600 0 048 F020600 0.000 048 G010600 0 048 G020600 0.000 048 H010600 0 048 H020600 0.000 048 I010600 0 048 I020600 0.000 048 J010600 0 048 J020600 0.000 048 K010600 0 048 K020600 0.000 058 A000600 N 059 000600 Y 060 A000600 Y 060 B000600 Y 061 000600 1000 066 A000600 Y 066 B000600 N 066 C000600 N 066 D000600 N 066 E000600 N 066 F000600 Y 066 G000600 N 067 000600 N 068 A000600 N 068 B000600 N 069 000600 N 070 A010600 Y 070 A020600 N 070 B010600 Y 070 B020600 N 070 C010600 Y 070 C020600 N 070 D010600 N 070 D020600 N 070 E010600 N 070 E020600 N 070 F010600 N 070 F020600 N 070 G010600 N 070 G020600 N 070 H010600 N 070 H020600 N 070 I010600 N 070 I020600 N 070 J010600 N 070 J020600 N 070 K010600 Y 070 K020600 Y PAGE 12 070 L010600 Y 070 L020600 N 070 M010600 N 070 M020600 N 070 N010600 N 070 N020600 N 070 O010600 N 070 O020600 N 070 P010600 N 070 P020600 N 070 Q010600 N 070 Q020600 N 070 R010600 N 070 R020600 N 071 A000600 12059 071 B000600 6325 071 C000600 5263 071 D000600 120 072 A000600 12 072 B000600 8 072 C000600 155 072 D000600 0 072 E000600 0 072 F000600 41 072 G000600 30 072 H000600 0 072 I000600 16 072 J000600 7 072 K000600 0 072 L000600 4 072 M000600 3 072 N000600 10 072 O000600 0 072 P000600 0 072 Q000600 19 072 R000600 15 072 S000600 4 072 T000600 14 072 U000600 0 072 V000600 0 072 W000600 3 072 X000600 166 072 Y000600 85 072 Z000600 82 072AA000600 276 072BB000600 0 072CC010600 795 072CC020600 0 072DD010600 87 072DD020600 0 072EE000600 0 PAGE 13 073 A010600 0.1900 073 A020600 0.0000 073 B000600 0.0000 073 C000600 0.0000 074 A000600 0 074 B000600 0 074 C000600 87 074 D000600 2419 074 E000600 2587 074 F000600 3545 074 G000600 0 074 H000600 0 074 I000600 0 074 J000600 0 074 K000600 1 074 L000600 110 074 M000600 20 074 N000600 8769 074 O000600 0 074 P000600 0 074 Q000600 0 074 R010600 0 074 R020600 0 074 R030600 0 074 R040600 32 074 S000600 0 074 T000600 8737 074 U010600 666 074 U020600 0 074 V010600 13.12 074 V020600 0.00 074 W000600 0.0000 074 X000600 236 074 Y000600 0 075 A000600 0 075 B000600 5428 076 000600 0.00 080 A000600 ICI MUTUAL INSURANCE COMPANY 080 C000600 450 081 A000600 Y 081 B000600 21 082 A000600 Y 082 B000600 25 083 A000600 N 083 B000600 0 084 A000600 N 084 B000600 0 085 A000600 Y 085 B000600 N 008 A000801 CHASE INVESTMENT COUNSEL CORPORATION 008 B000801 A PAGE 14 008 C000801 801-3396 008 D010801 CHARLOTTESVILLE 008 D020801 VA 008 D030801 22902 008 D040801 5091 028 A010800 744 028 A020800 1 028 A030800 0 028 A040800 8 028 B010800 417 028 B020800 0 028 B030800 0 028 B040800 7 028 C010800 659 028 C020800 0 028 C030800 0 028 C040800 1 028 D010800 1615 028 D020800 0 028 D030800 0 028 D040800 400 028 E010800 132 028 E020800 0 028 E030800 0 028 E040800 30 028 F010800 37 028 F020800 0 028 F030800 0 028 F040800 12 028 G010800 3604 028 G020800 1 028 G030800 0 028 G040800 459 028 H000800 0 029 000800 N 030 A000800 0 030 B000800 0.00 030 C000800 0.00 031 A000800 0 031 B000800 0 032 000800 0 033 000800 0 037 000800 N 038 000800 0 039 000800 Y 040 000800 N 042 A000800 0 042 B000800 0 042 C000800 0 042 D000800 0 042 E000800 0 PAGE 15 042 F000800 0 042 G000800 0 042 H000800 0 043 000800 0 044 000800 0 045 000800 Y 046 000800 N 047 000800 Y 048 000800 1.000 048 A010800 0 048 A020800 0.000 048 B010800 0 048 B020800 0.000 048 C010800 0 048 C020800 0.000 048 D010800 0 048 D020800 0.000 048 E010800 0 048 E020800 0.000 048 F010800 0 048 F020800 0.000 048 G010800 0 048 G020800 0.000 048 H010800 0 048 H020800 0.000 048 I010800 0 048 I020800 0.000 048 J010800 0 048 J020800 0.000 048 K010800 0 048 K020800 0.000 058 A000800 N 059 000800 Y 060 A000800 Y 060 B000800 Y 061 000800 2000 066 A000800 Y 066 B000800 N 066 C000800 N 066 D000800 Y 066 E000800 N 066 F000800 N 066 G000800 N 067 000800 N 068 A000800 N 068 B000800 N 069 000800 N 070 A010800 Y 070 A020800 N 070 B010800 Y 070 B020800 N PAGE 16 070 C010800 Y 070 C020800 N 070 D010800 N 070 D020800 N 070 E010800 N 070 E020800 N 070 F010800 N 070 F020800 N 070 G010800 N 070 G020800 N 070 H010800 N 070 H020800 N 070 I010800 N 070 I020800 N 070 J010800 N 070 J020800 N 070 K010800 Y 070 K020800 Y 070 L010800 Y 070 L020800 Y 070 M010800 N 070 M020800 N 070 N010800 N 070 N020800 N 070 O010800 N 070 O020800 N 070 P010800 N 070 P020800 N 070 Q010800 N 070 Q020800 N 070 R010800 N 070 R020800 N 071 A000800 6562 071 B000800 3617 071 C000800 5851 071 D000800 62 072 A000800 12 072 B000800 32 072 C000800 27 072 D000800 0 072 E000800 0 072 F000800 67 072 G000800 30 072 H000800 0 072 I000800 10 072 J000800 4 072 K000800 0 072 L000800 3 072 M000800 2 072 N000800 3 072 O000800 0 PAGE 17 072 P000800 0 072 Q000800 12 072 R000800 16 072 S000800 7 072 T000800 0 072 U000800 0 072 V000800 0 072 W000800 4 072 X000800 158 072 Y000800 60 072 Z000800 -39 072AA000800 0 072BB000800 93 072CC010800 1277 072CC020800 0 072DD010800 0 072DD020800 0 072EE000800 0 073 A010800 0.0000 073 A020800 0.0000 073 B000800 0.0000 073 C000800 0.0000 074 A000800 0 074 B000800 0 074 C000800 1778 074 D000800 0 074 E000800 0 074 F000800 7369 074 G000800 0 074 H000800 0 074 I000800 0 074 J000800 0 074 K000800 0 074 L000800 9 074 M000800 3 074 N000800 9159 074 O000800 0 074 P000800 3 074 Q000800 0 074 R010800 0 074 R020800 0 074 R030800 0 074 R040800 17 074 S000800 0 074 T000800 9139 074 U010800 669 074 U020800 0 074 V010800 13.66 074 V020800 0.00 074 W000800 0.0000 074 X000800 184 PAGE 18 074 Y000800 0 075 A000800 0 075 B000800 6674 076 000800 0.00 080 A000800 ICI MUTUAL INSURANCE COMPANY 080 C000800 450 081 A000800 Y 081 B000800 21 082 A000800 Y 082 B000800 25 083 A000800 N 083 B000800 0 084 A000800 N 084 B000800 0 085 A000800 Y 085 B000800 N SIGNATURE TOM MARSCHEL TITLE ASSISTANT TREASURER EX-27.5 2 FDS-THE ROCKHAVEN FUND
6 1027596 ADVISORS SERIES TRUST 5 THE ROCKHAVEN FUND 1 U.S. DOLLARS 12-MOS SEP-30-1999 OCT-01-1998 SEP-30-1999 1 2,819,648 3,053,185 12,997 21,089 0 3,087,271 0 0 93,922 93,922 0 2,691,191 255,375 205,131 0 0 68,621 0 233,537 2,993,349 72,257 0 0 46,553 25,704 188,976 342,499 557,179 0 30,220 0 0 90,975 42,733 2,002 1,002,042 22,715 (116,835) 0 0 23,276 0 142,739 3,108,559 9.71 0.09 2.03 (0.11) 0 0 11.72 1.50

EX-27.6 3 FDS-ROCKHAVEN PREMIER DIVIDEND FUND
6 1027596 ADVISORS SERIES TRUST 6 THE ROCKHAVEN PREMIER DIVIDEND FUND 1 U.S. DOLLARS 12-MOS SEP-30-1999 OCT-01-1998 SEP-30-1999 1 7,896,282 8,638,245 110,953 19,508 0 8,768,706 4,000 0 27,355 31,355 0 7,760,581 666,061 171,257 0 0 234,807 0 741,963 8,737,351 155,008 7,847 0 81,044 81,811 276,358 794,811 1,152,980 0 86,569 0 0 520,970 32,319 6,153 7,058,552 23,887 (38,109) 0 0 40,522 0 166,206 5,428,053 9.80 0.18 3.33 (0.19) 0 0 13.12 1.50

EX-27.8 4 FDS-THE CHASE GROWTH FUND
6 1027596 ADVISORS SERIES TRUST 8 CHASE GROWTH FUND 1 U.S. DOLLARS 12-MOS SEP-30-1999 OCT-01-1998 SEP-30-1999 1 7,616,871 9,146,331 8,966 3,949 0 9,159,246 0 0 19,652 19,652 0 7,894,931 669,002 375,343 (39,492) 0 (284,797) 0 1,529,460 9,139,594 26,635 32,377 0 98,504 (39,492) (93,150) 1,276,797 1,144,155 0 0 0 0 347,038 53,379 0 5,129,612 (4,214) (191,647) 0 0 66,558 0 158,060 6,674,106 10.68 (0.05) 3.03 0 0 0 13.66 1.48

EX-99.77.1 5 LETTER FROM MCGLADREY& PULLEN, LLP Securities and Exchange Commission Judiciary Plaza 450 Fifth Street Washington D.C. 20549 We were previously the independent accountants for The Rockhaven Fund, series of Advisors Series Trust. We have read their notification of change in independent accountants made in Item 77K of Form N-SAR. We agree with the statements in the filing. McGLADREY & PULLEN, LLP New York, New York November 29, 1999 EX-99.77.2 6 LETTER FROM MCGLADREY& PULLEN, LLP Securities and Exchange Commission Judiciary Plaza 450 Fifth Street Washington D.C. 20549 We were previously the independent accountants for The Rockhaven Premier Dividend Fund, series of Advisors Series Trust. We have read their notification of change in independent accountants made in Item 77K of Form N-SAR. We agree with the statements in the filing. McGLADREY & PULLEN, LLP New York, New York November 29, 1999 EX-99.77.3 7 LETTER FROM MCGLADREY& PULLEN, LLP Securities and Exchange Commission Judiciary Plaza 450 Fifth Street Washington D.C. 20549 We were previously the independent accountants for the Chase Growth Fund, series of Advisors Series Trust. We have read their notification of change in independent accountants made in Item 77K of Form N-SAR. We agree with the statements in the filing. McGLADREY & PULLEN, LLP New York, New York November 29, 1999 EX-99 8 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 Rockhaven Fund, The Rockhaven Premier Dividend Fund and Chase Growth Fund, separate series of Advisors Series Trust, for the year ended September 30, 1999, 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 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 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 September 30, 1999. 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. New York, New York November 5, 1999 ~~-----END PRIVACY-ENHANCED MESSAGE-----~~