-----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, FGwcWrGh1Ca62vvXU4WfP8oYIYX2TvCuvdCNqdVAINdFAK3hoLUpRh+Ej3rDiNML ZWVYnA9s5BxJT7duR66wVw== 0001005477-02-001127.txt : 20020415 0001005477-02-001127.hdr.sgml : 20020415 ACCESSION NUMBER: 0001005477-02-001127 CONFORMED SUBMISSION TYPE: NSAR-U/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020306 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NASDAQ 100 TRUST SERIES 1 CENTRAL INDEX KEY: 0001067839 IRS NUMBER: 522144264 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-U/A SEC ACT: 1940 Act SEC FILE NUMBER: 811-08947 FILM NUMBER: 02567932 BUSINESS ADDRESS: STREET 1: INVESTMENT PRODUCT SERVICES INC. C/O THE STREET 2: 1735 K STREET NW CITY: WASHINGTON STATE: DC ZIP: 20006 BUSINESS PHONE: 2024962552 FORMER COMPANY: FORMER CONFORMED NAME: NASDAQ GOLD SM TRUST SER 1 DATE OF NAME CHANGE: 19980925 FORMER COMPANY: FORMER CONFORMED NAME: INVESTMENT PRODUCT SERVICES INC DATE OF NAME CHANGE: 19980806 NSAR-U/A 1 d02-36434.txt AMENDMENT TO NSAR-U FORM N-SAR SEMI-ANNUAL REPORT FOR REGISTERED INVESTMENT COMPANIES Report for six month period ending: / / (a) or fiscal year: 12/31/01 (b) Is this a transition report? (Y/N): N Is this an amendment to a previous filing? (Y/N): Y Those items or sub-items with a box "[/]" after the item number should be completed only if the answer has changed from the previous filing on this form. 1.A. Registrant Name: NASDAQ-100 TRUST, SERIES 1 B. File Number: 811-8947 C. Telephone Number: (212) 235-2115 2.A. Street: 15 Broad St. B. City: New York C) State: NY D) Zip Code: 10005 Zip Ext.: E. Foreign Country: Foreign Postal Code: 3. Is this the first filing on this form by Registrant?(Y/N) N ---------- 4. Is this the last filing on this form by Registrant?(Y/N) N ---------- 5. Is Registrant a small business investment company (SBIC)?(Y/N) N ---------- 6. Is Registrant a unit investment trust (UIT)?(Y/N) Y ---------- If filing more than one Page 47, "X" box: [_] For period ending 12/31/01 File number 811-8947 UNIT INVESTMENT TRUSTS 111.A. [/] Depositor Name: THE DEPOSITORY TRUST COMPANY ------------------------------------------------------ B. [/] File Number (If any): ------------------------------------------------ C. [/] City: NEW YORK State: NY Zip Code: 10004 Zip Ext.: ------------------- -------- ----- ---- [/] Foreign Country: Foreign Postal Code: -------------------- ------------ 111.A. [/] Depositor Name: ------------------------------------------------------ B. [/] File Number (If any): ------------------------------------------------ C. [/] City: State: Zip Code: Zip Ext.: ------------------- -------- ----- ------ [/] Foreign Country: Foreign Postal Code: -------------------- ------------ 112.A. [/] Sponsor Name: NASDAQ FINANCIAL PRODUCTS SERVICES, INC. -------------------------------------------------------- B. [/] File Number (If any): ------------------------------------------------ C. [/] City: WASHINGTON State: DC Zip Code:20006 Zip Ext.:1500 ------------------- -------- ----- ----- [/] Foreign Country: Foreign Postal Code: -------------------- ------------ 112.A. [/] Sponsor Name: -------------------------------------------------------- B. [/] File Number (If any): ------------------------------------------------ C. [/] City: State: Zip Code: Zip Ext.: ------------------- -------- ----- ------ [/] Foreign Country: Foreign Postal Code: -------------------- ------------ If filing more than one Page 48, "X" box: [_] For period ending 12/31/01 File number 811-8947 113.A. [/] Trustee Name: THE BANK OF NEW YORK -------------------------------------------------------- B. [/] City: NEW YORK State: NY Zip Code:10005 Zip Ext.: ------------------- -------- ----- ---- [/] Foreign Country: Foreign Postal Code: -------------------- ------------ 113.A. [/] Trustee Name: -------------------------------------------------------- B. [/] City: State: Zip Code: Zip Ext.: ------------------- -------- ----- ------ [/] Foreign Country: Foreign Postal Code: -------------------- ------------ 114.A. [/] Principal Underwriter Name: ALPS DISTRIBUTORS, INC. ------------------------------------------ B. [/] File Number: --------------------------------------------------------- C. [/] City: DENVER State: CO Zip Code: 80202 Zip Ext.: ------------------- -------- ------ ---- [/] Foreign Country: Foreign Postal Code: -------------------- ------------ 114.A. [/] Principal Underwriter Name: ------------------------------------------ B. [/] File Number: --------------------------------------------------------- C. [/] City: State: Zip Code: Zip Ext.: ------------------- -------- ----- ------ [/] Foreign Country: Foreign Postal Code: -------------------- ------------ 115.A. [/] Independent Public Accountant Name: ERNST & YOUNG LLP ---------------------------------- B. [/] City: NEW YORK State: NY Zip Code: 10019 Zip Ext.: ------------------- -------- ------ ---- [/] Foreign Country: Foreign Postal Code: -------------------- ------------ 115.A. [/] Independent Public Accountant Name: ---------------------------------- B. [/] City: State: Zip Code: Zip Ext.: ------------------- -------- ----- ------ [/] Foreign Country: Foreign Postal Code: -------------------- ------------ If filing more than one Page 49, "X" box: [_] For period ending 12/31/01 File number 811-8947 116. Family of investment companies information: A.[/] Is Registrant part of a family of investment companies? (Y/N) N -------- (Y/N) B.[/] Identify the family in 10 letters: -- -- -- -- -- -- -- -- -- -- (NOTE: In filing this form, use this identification consistently for all investment companies in family. This designation is for purposes of this form only.) 117. A.[/] Is Registrant a separate account of an insurance company?(Y/N) N ------- (Y/N) If answer is "Y" (Yes), are any of the following types of contracts funded by the Registrant?: B.[/] Variable annuity contracts? (Y/N) -------- (Y/N) C.[/] Scheduled premium variable life contracts? (Y/N) -------- (Y/N) D.[/] Flexible premium variable life contracts? (Y/N) -------- (Y/N) E.[/] Other types of insurance products registered under the Securities Act of 1933. -------- (Y/N) 118.[/] State the number of series existing at the end of the period that had securities registered under the Securities Act of 1933 1 ------- 119.[/] State the number of new series for which registration statements under the Securities Act of 1933 became effective during the period 0 ------- 120.[/] State the total value of the portfolio securities on the date of deposit for the new series included in item 119 ($000's omitted) $ 0 --------- 121.[/] State the number of series for which a current prospectus was in existence at the end of the period 1 ------- 122.[/] State the number of existing series for which additional units were registered under the Securities Act of 1933 during the current period 0 ------- If filing more than one Page 50, "X" box: [_] For period ending 12/31/01 File number 811-8947 123. [/] State the total value of the additional units considered in answering item 122 ($000's omitted) $ 0 ---------- 124. [/] State the total value of units of prior series that were placed in the portfolios of subsequent series during the current period (the value of these units is to be measured on the date they were placed in the subsequent series) ($000's omitted) $ 0 ---------- 125. [/] State the total dollar amount of sales loads collected (before reallowances to other brokers or dealers) by Registrant's principal underwriter and any underwriter which is an affiliated person of the principal underwriter during the current period solely from the sale of units of all series of Registrant ($000's omitted) $ 0 ---------- 126. Of the amount shown in item 125, state the total dollar amount of sales loads collected from secondary market operations in Registrant's units (include the sales loads, if any, collected on units of a prior series placed in the portfolio of a subsequent series.) ($000's omitted) $ 0 ---------- 127. List opposite the appropriate description below the number of series whose portfolios are invested primarily (based upon a percentage of NAV) in each type of security shown, the aggregate total assets at market value as of a date at or near the end of the current period of each such group of series and the total income distributions made by each such group of series during the current period (excluding distributions of realized gains, if any): Number of Total Assets Total Income Series ($000's Distributions Investing omitted) ($000's omitted) --------- -------- ---------------- A. U.S. Treasury direct issue $ $ --------- ------------ ------------ B. U.S. Government agency $ $ --------- ------------ ------------ C. State and municipal tax-free $ $ --------- ------------ ------------ D. Public utility debt $ $ --------- ------------ ------------ E. Brokers or dealers debt or debt of brokers' or dealers' parent $ $ --------- ------------ ------------ F. All other corporate intermediate & long-term debt $ $ --------- ------------ ------------ G. All other corporate short-term debt $ $ --------- ------------ ------------ H. Equity securities of brokers or dealers or parents of brokers or dealers $ $ --------- ------------ ------------ I. Investment company equity series $ $ --------- ------------ ------------ J. All other equity securities 1 $ 21,822,183 $ 0 --------- ------------ ------------ K. Other securities $ $ --------- ------------ ------------ L. Total assets of all series of registrant $ $ --------- ------------ ------------ If filing more than one Page 51, "X" box: [_] For period ending 12/31/01 File number 811-8947 128. [/] Is the timely payment of principal and interest on any of the portfolio securities held by any of Registrant's series at the end of the current period insured or guaranteed by an entity other than the issuer? (Y/N) N ------- [If answer is "N" (No), go to item 131.] (Y/N) 129. [/] Is the issuer of any instrument covered in item 128 delinquent or in default as to payment of principal or interest at the end of the current period? (Y/N) ------- [If answer is "N" (No), go to item 131.] (Y/N) 130. [/] In computations of NAV or offering price per unit, is any part of the value attributed to instruments identified in item 129 derived from insurance or guarantees? (Y/N) ------- (Y/N) 131. Total expenses incurred by all series of Registrant during the current reporting period ($000's omitted) $39,409 ------- 132. [/] List the "811" (Investment Company Act of 1940) registration number for all Series of Registrant that are being included in this filing: 811-8947 811- 811- 811- 811- ------- ------- ------- ------- ------- 811- 811- 811- 811- 811- ------- ------- ------- ------- ------- 811- 811- 811- 811- 811- ------- ------- ------- ------- ------- 811- 811- 811- 811- 811- ------- ------- ------- ------- ------- 811- 811- 811- 811- 811- ------- ------- ------- ------- ------- 811- 811- 811- 811- 811- ------- ------- ------- ------- ------- 811- 811- 811- 811- 811- ------- ------- ------- ------- ------- 811- 811- 811- 811- 811- ------- ------- ------- ------- ------- This report is signed on behalf of the registrant (or depositor or trustee). City of: NEW YORK State of: NY Date: 03/05/02 Name of Registrant, Depositor, or Trustee: By: ELLA PLAKHOTNYUK, AT Witness: JOANNA YEDREYESKI, AVP ------------------------------------ ------------------------------ Name and Title Name and Title -----END PRIVACY-ENHANCED MESSAGE-----