-----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, P9eVwfJ5p5Eb8QUuPj3zbqSebgb+62Mk9P30kzfWsnc1hULlSLFxbEN7GltMNj4D 8D0L12OnL6Zv+kkchBoQvg== 0001129870-10-000002.txt : 20100128 0001129870-10-000002.hdr.sgml : 20100128 20100128125637 ACCESSION NUMBER: 0001129870-10-000002 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20091130 FILED AS OF DATE: 20100128 DATE AS OF CHANGE: 20100128 EFFECTIVENESS DATE: 20100128 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANCEBERNSTEIN TRUST CENTRAL INDEX KEY: 0001129870 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-10221 FILM NUMBER: 10552967 BUSINESS ADDRESS: STREET 1: ALLIANCEBERNSTEIN LP STREET 2: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 BUSINESS PHONE: 2129691000 MAIL ADDRESS: STREET 1: ALLIANCEBERNSTEIN LP STREET 2: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 FORMER COMPANY: FORMER CONFORMED NAME: ALLIANCEBERNSTEIN VALUE TRUST DATE OF NAME CHANGE: 20001212 0001129870 S000010411 AllianceBernstein Value Fund C000028748 Class A ABVAX C000028749 Class B ABVBX C000028750 Class C ABVCX C000028751 Advisor Class ABVYX C000028752 Class R ABVRX C000028753 Class K ABVKX C000028754 Class I ABVIX 0001129870 S000010412 AllianceBernstein Small/Mid Cap Value Fund C000028755 Class A ABASX C000028756 Class B ABBSX C000028757 Class C ABCSX C000028758 Advisor Class ABYSX C000028759 Class R ABSRX C000028760 Class K ABSKX C000028761 Class I ABSIX 0001129870 S000010413 AllianceBernstein International Value Fund C000028762 Class A ABIAX C000028763 Class B ABIBX C000028764 Class C ABICX C000028765 Advisor Class ABIYX C000028766 Class R AIVRX C000028767 Class K AIVKX C000028768 Class I AIVIX 0001129870 S000010414 AllianceBernstein Global Value Fund C000028769 Class A ABAGX C000028770 Class B ABBGX C000028771 Class C ABCGX C000028772 Advisor Class ABGYX C000028773 Class R ABGRX C000028774 Class K ABGKX C000028775 Class I AGVIX NSAR-B 1 answer.fil ANSWER PAGE 1 000 B000000 11/30/2009 000 C000000 0001129870 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 ALLIANCEBERNSTEIN TRUST 001 B000000 811-10221 001 C000000 2128237243 002 A000000 1345 AVENUE OF THE AMERICAS 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10105 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 4 007 C010100 1 007 C020100 AllianceBernstein Global Value Fund 007 C030100 N 007 C010200 2 007 C020200 AllianceBernstein International Value Fund 007 C030200 N 007 C010300 3 007 C020300 AllianceBernstein Small / Mid Cap Value 007 C030300 N 007 C010400 4 007 C020400 AllianceBernstein Value Fund 007 C030400 N 008 A00AA01 ALLIANCEBERNSTEIN L.P. 008 B00AA01 A 008 C00AA01 801-56720 008 D01AA01 NEW YORK 008 D02AA01 NY 008 D03AA01 10105 011 A00AA01 ALLIANCEBERNSTEIN INVESTMENTS, INC. 011 B00AA01 8-30851 011 C01AA01 New York 011 C02AA01 NY 011 C03AA01 10105 012 A00AA01 ALLIANCEBERNSTEIN INVESTOR SERVICES, INC. 012 B00AA01 84-001187 012 C01AA01 SAN ANTONIO 012 C02AA01 TX 012 C03AA01 78278 013 A00AA01 ERNST & YOUNG LLP PAGE 2 013 B01AA01 NEW YORK 013 B02AA01 NY 013 B03AA01 10036 013 B04AA01 6530 014 A00AA01 SANFORD C. 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CANADA 015 B00AA15 S 015 C01AA15 TORONTO 015 D01AA15 CANADA 015 E04AA15 X 015 A00AA16 BANK OF NOVA SCOTIA TRUST CO. (CAYMAN) LTD. 015 B00AA16 S 015 C01AA16 GRAND CAYMAN 015 D01AA16 CAYMAN ISLANDS 015 E04AA16 X 015 A00AA17 BANKBOSTON, N.A. 015 B00AA17 S 015 C01AA17 SANTIAGO 015 D01AA17 CHILE 015 E04AA17 X 015 A00AA18 HONGKONG AND SHANGHAI BANKING CORP LTD 015 B00AA18 S 015 C01AA18 SHANGHAI 015 D01AA18 CHINA 015 E04AA18 X 015 A00AA19 HONGKONG AND SHANGHAI BANKING CORP LTD 015 B00AA19 S 015 C01AA19 SHENZHEN PAGE 4 015 D01AA19 CHINA 015 E04AA19 X 015 A00AA20 CITITRUST COLOMBIA S.A. 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LTD. 015 B00AA53 S 015 C01AA53 SEOUL 015 D01AA53 REPUBLIC OF KOREA 015 E04AA53 X 015 A00AA54 A/S HANSABANKA 015 B00AA54 S 015 C01AA54 RIGA 015 D01AA54 LATVIA 015 E04AA54 X 015 A00AA55 HSBC BANK MIDDLE EAST 015 B00AA55 S 015 C01AA55 BEIRUT 015 D01AA55 LEBANON 015 E04AA55 X 015 A00AA56 VILNIAUS BANKAS AB 015 B00AA56 S 015 C01AA56 VIKNIUS 015 D01AA56 LITHUANIA 015 E04AA56 X 015 A00AA57 CLEARSTREAM BANKING 015 B00AA57 S 015 C01AA57 LUXEMBIOURG 015 D01AA57 LUXEMBOURG 015 E04AA57 X 015 A00AA58 STANDARD CHARTERED BANK MALAYSIA BERHAD 015 B00AA58 S 015 C01AA58 KUALA LUMPUR 015 D01AA58 MALAYSIA 015 E04AA58 X 015 A00AA59 SOCIETE GENERALE DE BANQUES EN COTE D'IVOIRE 015 B00AA59 S 015 C01AA59 ABIDJAN 015 D01AA59 MALI 015 E04AA59 X 015 A00AA60 HONGKONG AND SHANGHAI BANKING CORP. 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G010200 Y 070 G020200 N 070 H010200 Y 070 H020200 N 070 I010200 N 070 I020200 N 070 J010200 Y 070 J020200 N 070 K010200 Y 070 K020200 Y 070 L010200 Y 070 L020200 Y 070 M010200 Y 070 M020200 Y 070 N010200 Y 070 N020200 N 070 O010200 Y 070 O020200 N 070 P010200 Y 070 P020200 N 070 Q010200 Y 070 Q020200 N 070 R010200 Y 070 R020200 N 070 A010300 Y 070 A020300 N 070 B010300 Y 070 B020300 N PAGE 25 070 C010300 Y 070 C020300 N 070 D010300 Y 070 D020300 N 070 E010300 Y 070 E020300 N 070 F010300 Y 070 F020300 N 070 G010300 Y 070 G020300 N 070 H010300 Y 070 H020300 N 070 I010300 N 070 I020300 N 070 J010300 Y 070 J020300 N 070 K010300 Y 070 K020300 Y 070 L010300 Y 070 L020300 Y 070 M010300 Y 070 M020300 N 070 N010300 Y 070 N020300 N 070 O010300 Y 070 O020300 N 070 P010300 Y 070 P020300 N 070 Q010300 Y 070 Q020300 N 070 R010300 Y 070 R020300 N 070 A010400 Y 070 A020400 N 070 B010400 Y 070 B020400 N 070 C010400 Y 070 C020400 N 070 D010400 Y 070 D020400 N 070 E010400 Y 070 E020400 N 070 F010400 Y 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Co., Zurich Ins. Co.,CNA, Fidelity & 080 C00AA00 57150 081 A00AA00 Y 081 B00AA00 98 082 A00AA00 N 082 B00AA00 0 083 A00AA00 N 083 B00AA00 0 084 A00AA00 N 084 B00AA00 0 085 A00AA00 Y 085 B00AA00 Y 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 PAGE 33 086 F020000 0 SIGNATURE JOSEPH J. MANTINEO TITLE TREASURER & CFO EX-99.77E LEGAL 2 legal.txt LEGAL Legal Proceedings On October 2, 2003, a purported class action complaint entitled Hindo, et al. v. AllianceBernstein Growth & Income Fund, et al. (Hindo Complaint) was filed against the Adviser, Alliance Capital Management Holding L.P. (Alliance Holding), Alliance Capital Management Corporation, AXA Financial, Inc., the AllianceBernstein Funds, certain officers of the Adviser (AllianceBernstein defendants), and certain other unaffiliated defendants, as well as unnamed Doe defendants. The Hindo Complaint was filed in the United States District Court for the Southern District of New York by alleged shareholders of two of the AllianceBernstein Funds. The Hindo Complaint alleges that certain of the AllianceBernstein defendants failed to disclose that they improperly allowed certain hedge funds and other unidentified parties to engage in late trading and market timing of AllianceBernstein Fund securities, violating Sections 11 and 15 of the Securities Act, Sections 10(b) and 20(a) of the Exchange Act and Sections 206 and 215 of the Advisers Act. Plaintiffs seek an unspecified amount of compensatory damages and rescission of their contracts with the Adviser, including recovery of all fees paid to the Adviser pursuant to such contracts. Following October 2, 2003, 43 additional lawsuits making factual allegations generally similar to those in the Hindo Complaint were filed in various federal and state courts against the Adviser and certain other defendants. On September 29, 2004, plaintiffs filed consolidated amended complaints with respect to four claim types: mutual fund shareholder claims; mutual fund derivative claims; derivative claims brought on behalf of Alliance Holding; and claims brought under ERISA by participants in the Profit Sharing Plan for Employees of the Adviser. All four complaints include substantially identical factual allegations, which appear to be based in large part on the Order of the SEC dated December 18, 2003 as amended and restated January 15, 2004 (SEC Order) and the New York State Attorney General Assurance of Discontinuance dated September 1, 2004 (NYAG Order). On April 21, 2006, the Adviser and attorneys for the plaintiffs in the mutual fund shareholder claims, mutual fund derivative claims, and ERISA claims entered into a confidential memorandum of understanding containing their agreement to settle these claims. The agreement will be documented by a stipulation of settlement and will be submitted for court approval at a later date. The settlement amount ($30 million) which the Adviser previously accrued and disclosed, has been disbursed. The derivative claims brought on behalf of Alliance Holding, in which plaintiffs seek an unspecified amount of damages, remain pending. It is possible that these matters and/or other developments resulting from these matters could result in increased redemptions of the AllianceBernstein Mutual Funds shares or other adverse consequences to the AllianceBernstein Mutual Funds. This may require the AllianceBernstein Mutual Funds to sell investments held by those funds to provide for sufficient liquidity and could also have an adverse effect on the investment performance of the AllianceBernstein Mutual Funds. However, the Adviser believes that these matters are not likely to have a material adverse effect on its ability to perform advisory services relating to the AllianceBernstein Mutual Funds. EX-99.77B ACCT LTTR 3 audit.txt AUDIT Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of AllianceBernstein Trust In planning and performing our audit of the financial statements of AllianceBernstein Trust (comprising AllianceBernstein Global Value Fund, AllianceBernstein International Value Fund, AllianceBernstein Small/Mid Cap Value Fund and AllianceBernstein Value Fund) (the Funds) as of and for the year ended November 30, 2009, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Funds internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Funds internal control over financial reporting. Accordingly, we express no such opinion. The management of the Funds is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A funds internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A funds internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the fund; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and trustees of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a funds assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the funds annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Funds internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Funds internal control over financial reporting and its operation, including controls over safeguarding securities that we consider to be a material weakness as defined above as of November 30, 2009. This report is intended solely for the information and use of management and the Board of Trustees of AllianceBernstein Trust 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/Ernst & Young LLP New York, New York January 26, 2010 -----END PRIVACY-ENHANCED MESSAGE-----