-----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, U61DX7o2JUHpFfeellmz2B1Bv6TF7cIutcP1fpwS2xrFwmOra90vHSH/ZODh7dCs bWnhz9w4mNr/oc/AQQIEaA== 0000950168-01-501311.txt : 20020412 0000950168-01-501311.hdr.sgml : 20020412 ACCESSION NUMBER: 0000950168-01-501311 CONFORMED SUBMISSION TYPE: 40-17F2 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20011203 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NATIONS FUNDS TRUST CENTRAL INDEX KEY: 0001097519 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 40-17F2 SEC ACT: 1940 Act SEC FILE NUMBER: 811-09645 FILM NUMBER: 1805281 BUSINESS ADDRESS: STREET 1: ONE BANK OF AMERICA PLAZA CITY: CHARLOTTE STATE: NC ZIP: 28255 BUSINESS PHONE: 8003217854 MAIL ADDRESS: STREET 1: ONE BANKOF AMERICA PLAZA CITY: CHARLOTTE STATE: NC ZIP: 28255 40-17F2 1 d4017f2.txt NATIONS FUNDS TRUST
UNITED STATES SECURITIES AND EXCHANGE COMMISSION ------------------------------------- Washington, D.C. 20549 OMB APPROVAL ------------------------------------- OMB Number: 3235-0360 FORM N-17f-2 Expires: July 31, 2003 Certificate of Accounting of Securities and Similar Estimated average burden 0.15 Investments in the custody of hours per response Management Investment Companies ------------------------------------- Pursuant to Rule 17f-2 [17 CFR 270.17F-2] - ----------------------------------------------------------------------------------------------------------------------------- 1. Investment Company Act File Number: Date examination completed: 811-09645 August 17, 2001 - ----------------------------------------------------------------------------------------------------------------------------- 2. State identification Number: --------------------------------------------------------------------------------------------------------------------- AL AK AZ AR CA CO --------------------------------------------------------------------------------------------------------------------- CT DE DC FL GA HI --------------------------------------------------------------------------------------------------------------------- ID IL IN IA KS KY --------------------------------------------------------------------------------------------------------------------- LA ME MD MA MI MN --------------------------------------------------------------------------------------------------------------------- MS MO MT NE NV NH --------------------------------------------------------------------------------------------------------------------- NJ NM NY NC ND OH --------------------------------------------------------------------------------------------------------------------- OK OR PA RI SC SD --------------------------------------------------------------------------------------------------------------------- TN TX UT VT VA WA --------------------------------------------------------------------------------------------------------------------- WV WI WY PUERTO RICO --------------------------------------------------------------------------------------------------------------------- Other (specify): - ----------------------------------------------------------------------------------------------------------------------------- 3. Exact name of investment company as specified in registration statement: Nations Funds Trust - ----------------------------------------------------------------------------------------------------------------------------- 4. Address of principal executive office (number, street, city, state, zip code): 101 South Tryon Street, Charlotte, North Carolina, 28255 - -----------------------------------------------------------------------------------------------------------------------------
INSTRUCTIONS This Form must be completed by investment companies that have custody of securities or similar investments. Investment Company 1. All items must be completed by the investment company. 2. Give this Form to the independent public accountant who, in compliance with Rule 17f-2 under the Act and applicable state law, examines securities and similar investments in the custody of the investment company. Accountant 3. Submit this Form to the Securities and Exchange Commission and appropriate state securities administrators when filing the certificate of accounting required by Rule 17f-2 under the Act and applicable state law. File the original and one copy with the Securities and Exchange Commission's principal office in Washington, D.C., one copy with the regional office for the region in which the investment company's principal business operations are conducted, and one copy with the appropriate state administrator(s), if applicable. THIS FORM MUST BE GIVEN TO YOUR INDEPENDENT PUBLIC ACCOUNTANT SEC 2198 (11-91) Report of Independent Accountants To the Board of Trustees of Nations Funds Trust We have examined management's assertion, included in the accompanying Management Statement Regarding Compliance with Certain Provisions of the Investment Company Act of 1940, about Nations LifeGoal Income and Growth, Nations LifeGoal Balanced Growth and Nations LifeGoal Growth Portfolios, three of the portfolios constituting Nations Funds Trust's (the "Trust's"), compliance with the requirements of subsections (b) and (c) of Rule 17f-2 under the Investment Company Act of 1940 ("the Act") as of August 17, 2001. Management is responsible for the Trust's compliance with those requirements. Our responsibility is to express an opinion on management's assertion about the Trust's compliance based on our examination. Our examination was conducted in accordance with attestation standards established by the American Institute of Certified Public Accountants and, accordingly, included examining, on a test basis, evidence about Trust's compliance with those requirements and performing such other procedures as we considered necessary in the circumstances. Included among our procedures were the following tests performed as of August 17, 2001, and with respect to the agreement of investment purchases and sales, for the period from March 31, 2001 (the date of our last examination), through August 17, 2001: - - Confirmation of all investments held by PFPC Inc. in book entry form; - - Reconciliation of all such investments to the books and records of the Trust and PFPC Inc.; - - Agreement of five investment purchases and five investment sales or maturities since our last report from the books and records of the Trust to trade confirmations. We believe that our examination provides a reasonable basis for our opinion. Our examination does not provide a legal determination on the Trust's compliance with specified requirements. In our opinion, management's assertion that Nations Funds Trust was in compliance with the requirements of subsections (b) and (c) of Rule 17f-2 of the Investment Company Act of 1940 as of August 17, 2001 with respect to securities reflected in the investment account of the Company is fairly stated, in all material respects. 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. PricewaterhouseCoopers LLP September 20, 2001 Management Statement Regarding Compliance with Certain Provisions of the Investment Company Act of 1940 We, as members of management of Nations Funds Trust (formerly Nations LifeGoal Funds, Inc.) (the "Company"), comprising Nations LifeGoal Income and Growth, Nations LifeGoal Balanced Growth and Nations LifeGoal Growth Portfolios are responsible for complying with the requirements of subsections (b) and (c) of Rule 17f-2, "Custody of Investments by Registered Management Investment Companies," of the Investment Company Act of 1940. We are also responsible for establishing and maintaining effective internal controls over compliance with those requirements. We have performed an evaluation of the Company's compliance with the requirements of subsections (b) and (c) of Rule 17f-2 as of August 17, 2001, and from March 31, 2001 (last examination date) through August 17, 2001. Based on this evaluation, we assert that the Company was in compliance with the requirements of subsections (b) and (c) of Rule 17f-2 of the Investment Company Act of 1940 as of August 17, 2001, and from March 31, 2001 (last examination date) through August 17, 2001, with respect to securities reflected in the investment account of the Company. Nations Funds Trust By: Robert H. Gordon President Banc of America Advisors, LLC Edward Bedard Senior Vice President and Chief Operating Officer Banc of America Advisors, LLC Richard Blank Treasurer Nations Funds Trust -----END PRIVACY-ENHANCED MESSAGE-----