-----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, Q1RScjthq9UOwtU2ETxsFA03s2itqAnRBhnMg/Rk1P19Z73NW00M4Z5MIcxutyGV UfUcTOlLwlVWO00ESGfxqA== 0001034106-02-000004.txt : 20020822 0001034106-02-000004.hdr.sgml : 20020822 20020822103422 ACCESSION NUMBER: 0001034106-02-000004 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20020630 FILED AS OF DATE: 20020822 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FEDERATED CORE TRUST/PA CENTRAL INDEX KEY: 0001034106 IRS NUMBER: 232934777 STATE OF INCORPORATION: MA FISCAL YEAR END: 1212 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-08519 FILM NUMBER: 02745350 BUSINESS ADDRESS: STREET 1: FEDERATED INVESTORS TOWER CITY: PITTSBURGH STATE: PA ZIP: 15222-3779 BUSINESS PHONE: 8003417400 MAIL ADDRESS: STREET 1: FEDERATED INVESTORS TOWER CITY: PITTSBURGH STATE: PA ZIP: 15222-3779 NSAR-A 1 answer.fil PAGE 1 000 A000000 06/30/2002 000 C000000 0001034106 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 FEDERATED CORE TRUST 001 B000000 811-008519 001 C000000 4122886653 002 A000000 FEDERATED INVESTORS TOWERS 002 B000000 PITTSBURGH 002 C000000 PA 002 D010000 15222 002 D020000 3779 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 2 007 C010100 1 007 C020100 HIGH YIELD BOND PORTFOLIO 007 C030100 N 007 C010200 2 007 C020200 FEDERATED MORTGAGE CORE PORTFOLIO 007 C030200 N 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A00AA01 FEDERATED INVESTMENT MANAGEMENT COMPANY 008 B00AA01 A 008 C00AA01 801-34612 008 D01AA01 PITTSBURGH 008 D02AA01 PA 008 D03AA01 15222 008 D04AA01 3779 010 A00AA01 FEDERATED SERVICES COMPANY 010 C01AA01 PITTSBURGH 010 C02AA01 PA 010 C03AA01 15222 010 C04AA01 3779 011 A00AA01 FEDERATED SECURITES CORP. 011 B00AA01 8-15561 PAGE 2 011 C01AA01 PITTBURGH 011 C02AA01 PA 011 C03AA01 15222 011 C04AA01 3779 012 A00AA01 FEDERATED SHAREHOLDERS SERVICES COMPANY 012 B00AA01 84-1869 012 C01AA01 PITTSBURGH 012 C02AA01 PA 012 C03AA01 15222 012 C04AA01 3779 013 A00AA01 ERNST & YOUNG LLP 013 B01AA01 PITTSBURGH 013 B02AA01 PA 013 B03AA01 15222 013 B04AA01 3779 015 A00AA01 STATE STREET BANK & TRUST COMPANY 015 B00AA01 C 015 C01AA01 BOSTON 015 C02AA01 MA 015 C03AA01 02266 015 C04AA01 8600 015 E01AA01 X 018 00AA00 Y 019 A00AA00 N 019 B00AA00 0 020 C000001 0 020 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 0 022 A000001 SALOMON SMITH BARNEY INC. 022 C000001 5360088 022 D000001 1865 022 A000002 GOLDMAN SACHS & CO. 022 B000002 13-5108880 022 C000002 1070563 022 D000002 25747 022 A000003 WARBURG DILLON REED 022 C000003 1062355 022 D000003 18776 022 A000004 CREDIT SUISSE FIRST BOSTON CORP. 022 B000004 13-5659485 022 C000004 510354 022 D000004 8361 022 A000005 MORGAN GUARANTY TRUST CO. PAGE 3 022 C000005 479240 022 D000005 0 022 A000006 PARIBAS CORPORATION 022 C000006 457998 022 D000006 0 022 A000007 BANK OF AMERICA 022 C000007 280906 022 D000007 12209 022 A000008 MORGAN STANLEY AND CO., INC. 022 C000008 255547 022 D000008 5523 022 A000009 BARCLAY'S CAPITAL INC. 022 C000009 210501 022 D000009 0 022 A000010 LEHMAN BROTHERS INC. 022 B000010 13-2518466 022 C000010 113724 022 D000010 50678 023 C000000 10272508 023 D000000 304814 024 00AA00 N 025 D00AA01 0 025 D00AA02 0 025 D00AA03 0 025 D00AA04 0 025 D00AA05 0 025 D00AA06 0 025 D00AA07 0 025 D00AA08 0 026 A000000 N 026 B000000 Y 026 C000000 Y 026 D000000 Y 026 E000000 Y 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 Y 066 A00AA00 N 067 00AA00 N 068 A00AA00 N 068 B00AA00 N 069 00AA00 N 077 A000000 Y 077 B000000 N 077 C000000 N 077 D000000 N 077 E000000 N 077 F000000 N 077 G000000 N PAGE 4 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 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0.000 048 I010200 0 048 I020200 0.000 048 J010200 0 048 J020200 0.000 048 K010200 0 048 K020200 0.000 055 A000200 Y 055 B000200 N 056 000200 N 057 000200 N 058 A000200 N 059 000200 Y 060 A000200 Y 060 B000200 Y 061 000200 0 062 A000200 Y 062 B000200 0.0 062 C000200 0.0 062 D000200 25.0 062 E000200 0.0 062 F000200 0.0 062 G000200 0.0 062 H000200 0.0 062 I000200 0.0 062 J000200 0.0 PAGE 11 062 K000200 0.0 062 L000200 0.0 062 M000200 0.0 062 N000200 99.7 062 O000200 0.0 062 P000200 0.0 062 Q000200 0.0 062 R000200 0.0 063 A000200 0 063 B000200 6.4 070 A010200 Y 070 A020200 Y 070 B010200 N 070 B020200 N 070 C010200 N 070 C020200 N 070 D010200 N 070 D020200 N 070 E010200 N 070 E020200 N 070 F010200 N 070 F020200 N 070 G010200 N 070 G020200 N 070 H010200 N 070 H020200 N 070 I010200 N 070 I020200 N 070 J010200 N 070 J020200 N 070 K010200 N 070 K020200 N 070 L010200 N 070 L020200 N 070 M010200 N 070 M020200 N 070 N010200 Y 070 N020200 Y 070 O010200 N 070 O020200 N 070 P010200 Y 070 P020200 Y 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R030200 0 074 R040200 111364 074 S000200 0 074 T000200 452778 074 U010200 44398 074 U020200 0 074 V010200 10.20 074 V020200 0.00 074 W000200 0.0000 074 X000200 30 074 Y000200 0 075 A000200 0 075 B000200 475062 076 000200 0.00 SIGNATURE STEVE KEANE TITLE GENERAL COUNSEL EX-99 3 exhibit.txt Exhibit 77Q1(e) Amendment to Investment Advisory Contract between Federated Core Trust and Federated Investment Management Company This Amendment to the Investment Advisory Contract ("Agreement") dated December 30, 1997, between Federated Core Trust ("Fund") and Federated Investment Management Company ("Service Provider") is made and entered into as of the 1st day of June, 2001. WHEREAS, the Fund has entered into the Agreement with the Service Provider; WHEREAS, the Securities and Exchange Commission has adopted Regulation S-P at 17 CFR Part 248 to protect the privacy of individuals who obtain a financial product or service for personal, family or household use; WHEREAS, Regulation S-P permits financial institutions, such as the Fund, to disclose "nonpublic personal information" ("NPI") of its "customers" and "consumers" (as those terms are therein defined in Regulation S-P) to affiliated and nonaffiliated third parties of the Fund, without giving such customers and consumers the ability to opt out of such disclosure, for the limited purposes of processing and servicing transactions (17 CFR 248.14) ("Section 248.14 NPI"); for specified law enforcement and miscellaneous purposes (17 CFR 248.15) ("Section 248.15 NPI") ; and to service providers or in connection with joint marketing arrangements (17 CFR 248.13) ("Section 248.13 NPI"); WHEREAS, Regulation S-P provides that the right of a customer and consumer to opt out of having his or her NPI disclosed pursuant to 17 CFR 248.7 and 17 CFR 248.10 does not apply when the NPI is disclosed to service providers or in connection with joint marketing arrangements, provided the Fund and third party enter into a contractual agreement that prohibits the third party from disclosing or using the information other than to carry out the purposes for which the Fund disclosed the information (17 CFR 248.13); NOW, THEREFORE, the parties intending to be legally bound agree as follows: The Fund and the Service Provider hereby acknowledge that the Fund may disclose shareholder NPI to the Service Provider as agent of the Fund and solely in furtherance of fulfilling the Service Provider's contractual obligations under the Agreement in the ordinary course of business to support the Fund and its shareholders. The Service Provider hereby agrees to be bound to use and redisclose such NPI only for the limited purpose of fulfilling its duties and obligations under the Agreement, for law enforcement and miscellaneous purposes as permitted in 17 CFR 248.15, or in connection with joint marketing arrangements that the Funds may establish with the Service Provider in accordance with the limited exception set forth in 17 CFR 248.13. The Service Provider further represents and warrants that, in accordance with 17 CFR 248.30, it has implemented, and will continue to carry out for the term of the Agreement, policies and procedures reasonably designed to: * insure the security and confidentiality of records and NPI of Fund customers, * protect against any anticipated threats or hazards to the security or integrity of Fund customer records and NPI, and * protect against unauthorized access to or use of such Fund customer records or NPI that could result in substantial harm or inconvenience to any Fund customer. 4. The Service Provider may redisclose Section 248.13 NPI only to: (a) the Funds and affiliated persons of the Funds ("Fund Affiliates"); (b) affiliated persons of the Service Provider ("Service Provider Affiliates") (which in turn may disclose or use the information only to the extent permitted under the original receipt); (c) a third party not affiliated with the Service Provider of the Funds ("Nonaffiliated Third Party") under the service and processing (248.14) or miscellaneous (248.15) exceptions, but only in the ordinary course of business to carry out the activity covered by the exception under which the Service Provider received the information in the first instance; and (d) a Nonaffiliated Third Party under the service provider and joint marketing exception (248.13), provided the Service Provider enters into a written contract with the Nonaffiliated Third Party that prohibits the Nonaffiliated Third Party from disclosing or using the information other than to carry out the purposes for which the Funds disclosed the information in the first instance. 5. The Service Provider may redisclose Section 248.14 NPI and Section 248.15 NPI to: (a) the Funds and Fund Affiliates; (b) Service Provider Affiliates (which in turn may disclose the information to the same extent permitted under the original receipt); and (c) a Nonaffiliated Third Party to whom the Funds might lawfully have disclosed NPI directly. 6. The Service Provider is obligated to maintain beyond the termination date of the Agreement the confidentiality of any NPI it receives from the Fund in connection with the Agreement or any joint marketing arrangement, and hereby agrees that this Amendment shall survive such termination. WITNESS the due execution hereof this 1st day of June, 2001. Federated Core Trust By: /s/ J. Christopher Donahue Name: J. Christopher Donahue Title: President Federated Investment Management Company By: /s/ G. Andrew Bonnewell Name: G. Andrew Bonnewell Title: Vice President -----END PRIVACY-ENHANCED MESSAGE-----