-----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, PSh01dtAsObLmecTyHeOe/w1Z1vpUPSzbpTQLi/6jbWUX8z6BgzxjgTWBBiHkjM3 Vb/a23CagYs4VCxSr/miWg== 0000950129-04-006621.txt : 20040830 0000950129-04-006621.hdr.sgml : 20040830 20040830130857 ACCESSION NUMBER: 0000950129-04-006621 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 16 CONFORMED PERIOD OF REPORT: 20040630 FILED AS OF DATE: 20040830 DATE AS OF CHANGE: 20040830 EFFECTIVENESS DATE: 20040830 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AIM FUNDS GROUP/DE CENTRAL INDEX KEY: 0000019034 IRS NUMBER: 060841973 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-01540 FILM NUMBER: 041004656 BUSINESS ADDRESS: STREET 1: 11 GREENWAY PLZ STE 100 CITY: HOUSTON STATE: TX ZIP: 77046 BUSINESS PHONE: 7136261919 MAIL ADDRESS: STREET 1: AIM FUNDS GROUP STREET 2: 11 GREENWAY PLZ STE 100 CITY: HOUSTON STATE: TX ZIP: 77046 FORMER COMPANY: FORMER CONFORMED NAME: AIM FUNDS GROUP DATE OF NAME CHANGE: 19921016 FORMER COMPANY: FORMER CONFORMED NAME: CIGNA GROWTH FUND INC DATE OF NAME CHANGE: 19860227 FORMER COMPANY: FORMER CONFORMED NAME: CG FUND INC DATE OF NAME CHANGE: 19830516 NSAR-A 1 answer.fil PAGE 1 000 A000000 06/30/2004 000 C000000 0000019034 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 AIM FUNDS GROUP, INC. 001 B000000 811-1540 001 C000000 7136261919 002 A000000 11 GREENWAY PLAZA, SUITE 100 002 B000000 HOUSTON 002 C000000 TX 002 D010000 77046 002 D020000 1173 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 9 007 C010100 1 007 C010200 2 007 C020200 AIM SELECT EQUITY FUND 007 C030200 N 007 C010300 3 007 C020300 AIM PREMIER EQUITY FUND 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13-2655998 020 C000003 1003 020 A000004 MERRILL LYNCH, PIERCE, FENNER & SMITH INC. 020 B000004 13-5674085 020 C000004 918 020 A000005 PRUDENTIAL EQUITY GROUP, LLC 020 B000005 22-2347336 020 C000005 709 020 A000006 UBS SECURITIES LLC 020 B000006 13-3873456 020 C000006 642 020 A000007 BANC OF AMERICA SECURITIES LLC 020 B000007 56-2058405 020 C000007 571 020 A000008 LEHMAN BROTHERS INC. 020 B000008 13-2518466 020 C000008 521 020 A000009 BNY BROKERAGE INC. 020 B000009 13-3989198 020 C000009 508 020 A000010 KNIGHT EQUITY MARKETS, L.P. 020 B000010 22-3660471 PAGE 4 020 C000010 507 021 000000 16971 022 A000001 BARCLAYS CAPITAL INC. 022 B000001 06-1031656 022 C000001 9041289 022 D000001 77009 022 A000002 UBS SECURITIES LLC 022 B000002 13-3873456 022 C000002 134131 022 D000002 94979 022 A000003 CREDIT SUISSE FIRST BOSTON LLC 022 B000003 13-5659485 022 C000003 91120 022 D000003 65298 022 A000004 DEUTSCHE BANK SECURITIES INC. 022 B000004 13-2730828 022 C000004 73816 022 D000004 70626 022 A000005 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(THE) 025 B001501 13-2614959 025 C001501 E PAGE 16 025 D001501 26385 025 A001502 MERRILL LYNCH & CO., INC. 025 B001502 13-2740599 025 C001502 E 025 D001502 24372 025 A001503 MERRILL LYNCH & CO., INC. 025 B001503 13-2740599 025 C001503 D 025 D001503 1439 025 A001504 MORGAN STANLEY 025 B001504 36-3145972 025 C001504 E 025 D001504 29287 025 A001505 CITIGROUP INC. 025 B001505 52-1568099 025 C001505 E 025 D001505 40545 025 A001506 LEHMAN BROTHERS INC. 025 B001506 13-2518466 025 C001506 D 025 D001506 3914 025 A001507 DELETE 025 D001507 0 025 A001508 DELETE 025 D001508 0 025 A001509 DELETE 025 D001509 0 025 A001510 DELETE 025 D001510 0 025 A001511 DELETE 025 D001511 0 025 A001512 DELETE 025 D001512 0 025 A001513 DELETE 025 D001513 0 025 D001514 0 025 D001515 0 025 D001516 0 028 A011500 31884 028 A021500 0 028 A031500 0 028 A041500 87881 028 B011500 23706 028 B021500 0 028 B031500 0 028 B041500 56447 028 C011500 34865 028 C021500 7276 028 C031500 0 028 C041500 75504 028 D011500 35991 PAGE 17 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0.000 048 J011500 0 048 J021500 0.000 048 K011500 150000 048 K021500 0.500 049 001500 N 050 001500 N 051 001500 N 052 001500 N 053 A001500 Y 053 B001500 Y 053 C001500 N 055 A001500 Y 055 B001500 N 056 001500 N 057 001500 N 058 A001500 N 059 001500 Y 060 A001500 Y 060 B001500 Y 061 001500 50 062 A001500 N 062 B001500 0.0 062 C001500 0.0 062 D001500 0.0 062 E001500 0.0 062 F001500 0.0 062 G001500 0.0 062 H001500 0.0 062 I001500 0.0 062 J001500 0.0 062 K001500 0.0 062 L001500 0.0 062 M001500 0.0 062 N001500 0.0 062 O001500 0.0 062 P001500 0.0 062 Q001500 0.0 PAGE 19 062 R001500 0.0 063 A001500 0 063 B001500 0.0 066 A001500 Y 066 B001500 N 066 C001500 N 066 D001500 N 066 E001500 N 066 F001500 N 066 G001500 Y 067 001500 Y 068 A001500 N 068 B001500 N 069 001500 N 070 A011500 Y 070 A021500 N 070 B011500 Y 070 B021500 N 070 C011500 Y 070 C021500 N 070 D011500 Y 070 D021500 N 070 E011500 Y 070 E021500 N 070 F011500 Y 070 F021500 Y 070 G011500 Y 070 G021500 N 070 H011500 Y 070 H021500 N 070 I011500 N 070 I021500 N 070 J011500 Y 070 J021500 Y 070 K011500 Y 070 K021500 Y 070 L011500 Y 070 L021500 Y 070 M011500 Y 070 M021500 Y 070 N011500 Y 070 N021500 Y 070 O011500 N 070 O021500 N 070 P011500 Y 070 P021500 Y 070 Q011500 N 070 Q021500 N 070 R011500 Y 070 R021500 N 071 A001500 491446 PAGE 20 071 B001500 860061 071 C001500 2155823 071 D001500 23 072 A001500 6 072 B001500 16127 072 C001500 9845 072 D001500 0 072 E001500 0 072 F001500 5694 072 G001500 0 072 H001500 0 072 I001500 2173 072 J001500 225 072 K001500 0 072 L001500 -19 072 M001500 26 072 N001500 53 072 O001500 0 072 P001500 0 072 Q001500 238 072 R001500 39 072 S001500 85 072 T001500 6384 072 U001500 0 072 V001500 0 072 W001500 195 072 X001500 15093 072 Y001500 97 072 Z001500 10976 072AA001500 77622 072BB001500 12231 072CC011500 1180 072CC021500 0 072DD011500 10538 072DD021500 4781 072EE001500 0 073 A011500 0.0000 073 A021500 0.0000 073 B001500 0.0000 073 C001500 0.0000 074 A001500 4 074 B001500 0 074 C001500 201102 074 D001500 547129 074 E001500 5924 074 F001500 1361998 074 G001500 0 074 H001500 0 074 I001500 140424 074 J001500 32127 074 K001500 0 PAGE 21 074 L001500 10809 074 M001500 254 074 N001500 2299771 074 O001500 52930 074 P001500 1020 074 Q001500 0 074 R011500 0 074 R021500 0 074 R031500 0 074 R041500 162789 074 S001500 0 074 T001500 2083032 074 U011500 47121 074 U021500 37645 074 V011500 0.00 074 V021500 0.00 074 W001500 0.0000 074 X001500 268381 074 Y001500 247225 075 A001500 0 075 B001500 2220003 076 001500 0.00 024 001800 N 025 D001801 0 025 D001802 0 025 D001803 0 025 D001804 0 025 D001805 0 025 D001806 0 025 D001807 0 025 D001808 0 028 A011800 7890 028 A021800 0 028 A031800 0 028 A041800 1647 028 B011800 18409 028 B021800 0 028 B031800 0 028 B041800 2049 028 C011800 5612 028 C021800 0 028 C031800 0 028 C041800 18808 028 D011800 6419 028 D021800 0 028 D031800 0 028 D041800 6714 028 E011800 4412 028 E021800 0 028 E031800 0 028 E041800 10256 PAGE 22 028 F011800 9340 028 F021800 0 028 F031800 0 028 F041800 2011 028 G011800 52082 028 G021800 0 028 G031800 0 028 G041800 41485 028 H001800 3508 029 001800 Y 030 A001800 174 030 B001800 5.50 030 C001800 0.00 031 A001800 26 031 B001800 0 032 001800 148 033 001800 0 034 001800 Y 035 001800 35 036 A001800 N 036 B001800 0 037 001800 Y 038 001800 15 039 001800 N 040 001800 Y 041 001800 Y 042 A001800 0 042 B001800 0 042 C001800 100 042 D001800 0 042 E001800 0 042 F001800 0 042 G001800 0 042 H001800 0 043 001800 190 044 001800 0 045 001800 Y 046 001800 N 047 001800 Y 048 001800 0.950 048 A011800 0 048 A021800 0.000 048 B011800 0 048 B021800 0.000 048 C011800 0 048 C021800 0.000 048 D011800 0 048 D021800 0.000 048 E011800 0 048 E021800 0.000 048 F011800 0 PAGE 23 048 F021800 0.000 048 G011800 0 048 G021800 0.000 048 H011800 0 048 H021800 0.000 048 I011800 0 048 I021800 0.000 048 J011800 0 048 J021800 0.000 048 K011800 0 048 K021800 0.000 049 001800 N 050 001800 N 051 001800 N 052 001800 N 053 A001800 Y 053 B001800 Y 053 C001800 N 055 A001800 Y 055 B001800 N 056 001800 N 057 001800 N 058 A001800 N 059 001800 Y 060 A001800 Y 060 B001800 Y 061 001800 50 062 A001800 N 062 B001800 0.0 062 C001800 0.0 062 D001800 0.0 062 E001800 0.0 062 F001800 0.0 062 G001800 0.0 062 H001800 0.0 062 I001800 0.0 062 J001800 0.0 062 K001800 0.0 062 L001800 0.0 062 M001800 0.0 062 N001800 0.0 062 O001800 0.0 062 P001800 0.0 062 Q001800 0.0 062 R001800 0.0 063 A001800 0 063 B001800 0.0 066 A001800 Y 066 B001800 N 066 C001800 N 066 D001800 Y PAGE 24 066 E001800 N 066 F001800 N 066 G001800 N 067 001800 N 068 A001800 N 068 B001800 Y 069 001800 N 070 A011800 Y 070 A021800 N 070 B011800 Y 070 B021800 N 070 C011800 Y 070 C021800 N 070 D011800 Y 070 D021800 N 070 E011800 Y 070 E021800 N 070 F011800 Y 070 F021800 N 070 G011800 Y 070 G021800 N 070 H011800 Y 070 H021800 N 070 I011800 N 070 I021800 N 070 J011800 Y 070 J021800 Y 070 K011800 Y 070 K021800 Y 070 L011800 Y 070 L021800 Y 070 M011800 Y 070 M021800 Y 070 N011800 Y 070 N021800 Y 070 O011800 N 070 O021800 N 070 P011800 Y 070 P021800 N 070 Q011800 N 070 Q021800 N 070 R011800 Y 070 R021800 N 071 A001800 51134 071 B001800 42314 071 C001800 68269 071 D001800 62 072 A001800 6 072 B001800 0 072 C001800 898 072 D001800 0 PAGE 25 072 E001800 0 072 F001800 344 072 G001800 0 072 H001800 0 072 I001800 101 072 J001800 109 072 K001800 0 072 L001800 17 072 M001800 7 072 N001800 20 072 O001800 0 072 P001800 3 072 Q001800 25 072 R001800 21 072 S001800 27 072 T001800 190 072 U001800 0 072 V001800 0 072 W001800 14 072 X001800 878 072 Y001800 90 072 Z001800 110 072AA001800 8111 072BB001800 1573 072CC011800 731 072CC021800 0 072DD011800 0 072DD021800 0 072EE001800 0 073 A011800 0.0000 073 A021800 0.0000 073 B001800 0.0000 073 C001800 0.0000 074 A001800 615 074 B001800 0 074 C001800 0 074 D001800 0 074 E001800 509 074 F001800 69843 074 G001800 0 074 H001800 0 074 I001800 8378 074 J001800 133 074 K001800 16 074 L001800 1039 074 M001800 51 074 N001800 80584 074 O001800 1119 074 P001800 42 074 Q001800 0 074 R011800 0 PAGE 26 074 R021800 0 074 R031800 0 074 R041800 3583 074 S001800 0 074 T001800 75840 074 U011800 3887 074 U021800 1692 074 V011800 0.00 074 V021800 0.00 074 W001800 0.0000 074 X001800 8385 074 Y001800 3265 075 A001800 0 075 B001800 71348 076 001800 0.00 024 001900 N 025 D001901 0 025 D001902 0 025 D001903 0 025 D001904 0 025 D001905 0 025 D001906 0 025 D001907 0 025 D001908 0 028 A011900 31748 028 A021900 0 028 A031900 0 028 A041900 3985 028 B011900 29000 028 B021900 0 028 B031900 0 028 B041900 3085 028 C011900 25649 028 C021900 0 028 C031900 0 028 C041900 13777 028 D011900 27431 028 D021900 0 028 D031900 0 028 D041900 15840 028 E011900 11038 028 E021900 0 028 E031900 0 028 E041900 50900 028 F011900 13460 028 F021900 0 028 F031900 0 028 F041900 10308 028 G011900 138326 028 G021900 0 028 G031900 0 PAGE 27 028 G041900 97895 028 H001900 8611 029 001900 Y 030 A001900 440 030 B001900 5.50 030 C001900 0.00 031 A001900 68 031 B001900 0 032 001900 372 033 001900 0 034 001900 Y 035 001900 80 036 A001900 N 036 B001900 0 037 001900 Y 038 001900 23 039 001900 N 040 001900 Y 041 001900 Y 042 A001900 0 042 B001900 0 042 C001900 100 042 D001900 0 042 E001900 0 042 F001900 0 042 G001900 0 042 H001900 0 043 001900 419 044 001900 0 045 001900 Y 046 001900 N 047 001900 Y 048 001900 0.950 048 A011900 0 048 A021900 0.000 048 B011900 0 048 B021900 0.000 048 C011900 0 048 C021900 0.000 048 D011900 0 048 D021900 0.000 048 E011900 0 048 E021900 0.000 048 F011900 0 048 F021900 0.000 048 G011900 0 048 G021900 0.000 048 H011900 0 048 H021900 0.000 048 I011900 0 048 I021900 0.000 PAGE 28 048 J011900 0 048 J021900 0.000 048 K011900 0 048 K021900 0.000 049 001900 N 050 001900 N 051 001900 N 052 001900 N 053 A001900 Y 053 B001900 Y 053 C001900 N 055 A001900 Y 055 B001900 N 056 001900 N 057 001900 N 058 A001900 N 059 001900 Y 060 A001900 Y 060 B001900 Y 061 001900 50 062 A001900 N 062 B001900 0.0 062 C001900 0.0 062 D001900 0.0 062 E001900 0.0 062 F001900 0.0 062 G001900 0.0 062 H001900 0.0 062 I001900 0.0 062 J001900 0.0 062 K001900 0.0 062 L001900 0.0 062 M001900 0.0 062 N001900 0.0 062 O001900 0.0 062 P001900 0.0 062 Q001900 0.0 062 R001900 0.0 063 A001900 0 063 B001900 0.0 066 A001900 Y 066 B001900 N 066 C001900 N 066 D001900 Y 066 E001900 N 066 F001900 N 066 G001900 N 067 001900 N 068 A001900 N 068 B001900 Y 069 001900 N PAGE 29 070 A011900 Y 070 A021900 N 070 B011900 Y 070 B021900 N 070 C011900 Y 070 C021900 N 070 D011900 Y 070 D021900 N 070 E011900 Y 070 E021900 N 070 F011900 Y 070 F021900 N 070 G011900 Y 070 G021900 N 070 H011900 Y 070 H021900 N 070 I011900 N 070 I021900 N 070 J011900 Y 070 J021900 Y 070 K011900 Y 070 K021900 Y 070 L011900 Y 070 L021900 Y 070 M011900 Y 070 M021900 Y 070 N011900 Y 070 N021900 N 070 O011900 N 070 O021900 N 070 P011900 Y 070 P021900 N 070 Q011900 N 070 Q021900 N 070 R011900 Y 070 R021900 N 071 A001900 149671 071 B001900 106573 071 C001900 153171 071 D001900 70 072 A001900 6 072 B001900 5 072 C001900 1492 072 D001900 0 072 E001900 0 072 F001900 790 072 G001900 0 072 H001900 0 072 I001900 174 072 J001900 153 072 K001900 0 PAGE 30 072 L001900 21 072 M001900 7 072 N001900 31 072 O001900 0 072 P001900 0 072 Q001900 25 072 R001900 19 072 S001900 24 072 T001900 419 072 U001900 0 072 V001900 0 072 W001900 15 072 X001900 1678 072 Y001900 22 072 Z001900 -159 072AA001900 16331 072BB001900 7905 072CC011900 0 072CC021900 1649 072DD011900 0 072DD021900 0 072EE001900 0 073 A011900 0.0000 073 A021900 0.0000 073 B001900 0.0000 073 C001900 0.0000 074 A001900 2343 074 B001900 0 074 C001900 0 074 D001900 0 074 E001900 0 074 F001900 152317 074 G001900 0 074 H001900 0 074 I001900 4850 074 J001900 550 074 K001900 0 074 L001900 1660 074 M001900 76 074 N001900 161796 074 O001900 1274 074 P001900 90 074 Q001900 0 074 R011900 0 074 R021900 0 074 R031900 0 074 R041900 364 074 S001900 0 074 T001900 160068 074 U011900 8578 074 U021900 3786 PAGE 31 074 V011900 0.00 074 V021900 0.00 074 W001900 0.0000 074 X001900 15856 074 Y001900 0 075 A001900 0 075 B001900 162741 076 001900 0.00 024 002100 N 025 D002101 0 025 D002102 0 025 D002103 0 025 D002104 0 025 D002105 0 025 D002106 0 025 D002107 0 025 D002108 0 028 A012100 9918 028 A022100 0 028 A032100 0 028 A042100 10408 028 B012100 8128 028 B022100 0 028 B032100 0 028 B042100 10097 028 C012100 10575 028 C022100 0 028 C032100 0 028 C042100 22543 028 D012100 10813 028 D022100 0 028 D032100 0 028 D042100 9670 028 E012100 6119 028 E022100 0 028 E032100 0 028 E042100 24096 028 F012100 7136 028 F022100 0 028 F032100 0 028 F042100 10626 028 G012100 52689 028 G022100 0 028 G032100 0 028 G042100 87440 028 H002100 5549 029 002100 Y 030 A002100 261 030 B002100 5.50 030 C002100 0.00 031 A002100 43 PAGE 32 031 B002100 0 032 002100 218 033 002100 0 034 002100 Y 035 002100 8 036 A002100 N 036 B002100 0 037 002100 N 038 002100 0 039 002100 N 040 002100 Y 041 002100 Y 042 A002100 0 042 B002100 0 042 C002100 100 042 D002100 0 042 E002100 0 042 F002100 0 042 G002100 0 042 H002100 0 043 002100 1604 044 002100 0 045 002100 Y 046 002100 N 047 002100 Y 048 002100 0.850 048 A012100 0 048 A022100 0.000 048 B012100 0 048 B022100 0.000 048 C012100 0 048 C022100 0.000 048 D012100 0 048 D022100 0.000 048 E012100 0 048 E022100 0.000 048 F012100 0 048 F022100 0.000 048 G012100 0 048 G022100 0.000 048 H012100 0 048 H022100 0.000 048 I012100 0 048 I022100 0.000 048 J012100 0 048 J022100 0.000 048 K012100 0 048 K022100 0.000 049 002100 N 050 002100 N 051 002100 N PAGE 33 052 002100 N 053 A002100 Y 053 B002100 Y 053 C002100 N 055 A002100 N 055 B002100 N 056 002100 N 057 002100 N 058 A002100 N 059 002100 Y 060 A002100 Y 060 B002100 Y 061 002100 50 062 A002100 N 062 B002100 0.0 062 C002100 0.0 062 D002100 0.0 062 E002100 0.0 062 F002100 0.0 062 G002100 0.0 062 H002100 0.0 062 I002100 0.0 062 J002100 0.0 062 K002100 0.0 062 L002100 0.0 062 M002100 0.0 062 N002100 0.0 062 O002100 0.0 062 P002100 0.0 062 Q002100 0.0 062 R002100 0.0 063 A002100 0 063 B002100 0.0 066 A002100 Y 066 B002100 N 066 C002100 N 066 D002100 Y 066 E002100 N 066 F002100 N 066 G002100 N 067 002100 N 068 A002100 N 068 B002100 N 069 002100 N 070 A012100 Y 070 A022100 N 070 B012100 Y 070 B022100 N 070 C012100 Y 070 C022100 N 070 D012100 Y PAGE 34 070 D022100 N 070 E012100 Y 070 E022100 N 070 F012100 Y 070 F022100 N 070 G012100 Y 070 G022100 N 070 H012100 Y 070 H022100 N 070 I012100 N 070 I022100 N 070 J012100 Y 070 J022100 Y 070 K012100 Y 070 K022100 Y 070 L012100 Y 070 L022100 Y 070 M012100 Y 070 M022100 N 070 N012100 Y 070 N022100 N 070 O012100 N 070 O022100 N 070 P012100 Y 070 P022100 Y 070 Q012100 N 070 Q022100 N 070 R012100 Y 070 R022100 N 071 A002100 284609 071 B002100 313300 071 C002100 510638 071 D002100 56 072 A002100 6 072 B002100 104 072 C002100 1893 072 D002100 0 072 E002100 0 072 F002100 2241 072 G002100 0 072 H002100 0 072 I002100 763 072 J002100 28 072 K002100 0 072 L002100 76 072 M002100 11 072 N002100 31 072 O002100 0 072 P002100 0 072 Q002100 76 072 R002100 19 PAGE 35 072 S002100 32 072 T002100 1604 072 U002100 0 072 V002100 0 072 W002100 28 072 X002100 4909 072 Y002100 36 072 Z002100 -2876 072AA002100 68092 072BB002100 14885 072CC012100 0 072CC022100 21849 072DD012100 0 072DD022100 0 072EE002100 0 073 A012100 0.0000 073 A022100 0.0000 073 B002100 0.0000 073 C002100 0.0000 074 A002100 1019 074 B002100 0 074 C002100 0 074 D002100 0 074 E002100 0 074 F002100 506053 074 G002100 0 074 H002100 0 074 I002100 76143 074 J002100 4902 074 K002100 0 074 L002100 395 074 M002100 114 074 N002100 588626 074 O002100 5258 074 P002100 331 074 Q002100 0 074 R012100 0 074 R022100 0 074 R032100 0 074 R042100 66946 074 S002100 0 074 T002100 516091 074 U012100 21008 074 U022100 20004 074 V012100 0.00 074 V022100 0.00 074 W002100 0.0000 074 X002100 61681 074 Y002100 65575 075 A002100 0 075 B002100 526844 PAGE 36 076 002100 0.00 024 002300 Y 025 A002301 MERRILL LYNCH & CO., INC. 025 B002301 13-2740599 025 C002301 E 025 D002301 205 025 A002302 CITIGROUP INC. 025 B002302 52-1568099 025 C002302 E 025 D002302 316 025 A002303 DELETE 025 D002303 0 025 D002304 0 025 D002305 0 025 D002306 0 025 D002307 0 025 D002308 0 028 A012300 1810 028 A022300 0 028 A032300 0 028 A042300 520 028 B012300 2358 028 B022300 0 028 B032300 0 028 B042300 288 028 C012300 3314 028 C022300 0 028 C032300 0 028 C042300 375 028 D012300 4185 028 D022300 0 028 D032300 0 028 D042300 656 028 E012300 3070 028 E022300 0 028 E032300 0 028 E042300 871 028 F012300 3067 028 F022300 292 028 F032300 0 028 F042300 686 028 G012300 17804 028 G022300 292 028 G032300 0 028 G042300 3396 028 H002300 1991 029 002300 Y 030 A002300 93 030 B002300 5.50 030 C002300 0.00 031 A002300 15 PAGE 37 031 B002300 0 032 002300 78 033 002300 0 034 002300 Y 035 002300 1 036 A002300 Y 036 B002300 0 037 002300 Y 038 002300 1 039 002300 N 040 002300 Y 041 002300 Y 042 A002300 0 042 B002300 0 042 C002300 100 042 D002300 0 042 E002300 0 042 F002300 0 042 G002300 0 042 H002300 0 043 002300 90 044 002300 0 045 002300 Y 046 002300 N 047 002300 Y 048 002300 0.000 048 A012300 1000000 048 A022300 0.850 048 B012300 0 048 B022300 0.000 048 C012300 0 048 C022300 0.000 048 D012300 0 048 D022300 0.000 048 E012300 0 048 E022300 0.000 048 F012300 0 048 F022300 0.000 048 G012300 0 048 G022300 0.000 048 H012300 0 048 H022300 0.000 048 I012300 0 048 I022300 0.000 048 J012300 0 048 J022300 0.000 048 K012300 1000000 048 K022300 0.800 049 002300 N 050 002300 N 051 002300 N PAGE 38 052 002300 N 053 A002300 Y 053 B002300 Y 053 C002300 N 055 A002300 Y 055 B002300 N 056 002300 N 057 002300 N 058 A002300 N 059 002300 Y 060 A002300 Y 060 B002300 Y 061 002300 50 062 A002300 N 062 B002300 0.0 062 C002300 0.0 062 D002300 0.0 062 E002300 0.0 062 F002300 0.0 062 G002300 0.0 062 H002300 0.0 062 I002300 0.0 062 J002300 0.0 062 K002300 0.0 062 L002300 0.0 062 M002300 0.0 062 N002300 0.0 062 O002300 0.0 062 P002300 0.0 062 Q002300 0.0 062 R002300 0.0 063 A002300 0 063 B002300 0.0 066 A002300 Y 066 B002300 N 066 C002300 N 066 D002300 Y 066 E002300 N 066 F002300 N 066 G002300 N 067 002300 N 068 A002300 N 068 B002300 Y 069 002300 N 070 A012300 Y 070 A022300 N 070 B012300 Y 070 B022300 N 070 C012300 Y 070 C022300 N 070 D012300 Y PAGE 39 070 D022300 N 070 E012300 Y 070 E022300 N 070 F012300 Y 070 F022300 N 070 G012300 Y 070 G022300 N 070 H012300 Y 070 H022300 N 070 I012300 N 070 I022300 N 070 J012300 Y 070 J022300 N 070 K012300 Y 070 K022300 Y 070 L012300 Y 070 L022300 Y 070 M012300 Y 070 M022300 Y 070 N012300 Y 070 N022300 N 070 O012300 N 070 O022300 N 070 P012300 Y 070 P022300 N 070 Q012300 N 070 Q022300 N 070 R012300 Y 070 R022300 N 071 A002300 27427 071 B002300 19966 071 C002300 21044 071 D002300 95 072 A002300 6 072 B002300 12 072 C002300 230 072 D002300 0 072 E002300 0 072 F002300 111 072 G002300 0 072 H002300 0 072 I002300 46 072 J002300 14 072 K002300 0 072 L002300 18 072 M002300 6 072 N002300 17 072 O002300 0 072 P002300 0 072 Q002300 25 072 R002300 21 PAGE 40 072 S002300 26 072 T002300 90 072 U002300 0 072 V002300 0 072 W002300 8 072 X002300 382 072 Y002300 76 072 Z002300 -64 072AA002300 2060 072BB002300 834 072CC012300 0 072CC022300 1001 072DD012300 0 072DD022300 0 072EE002300 0 073 A012300 0.0000 073 A022300 0.0000 073 B002300 0.0000 073 C002300 0.0000 074 A002300 604 074 B002300 0 074 C002300 1987 074 D002300 996 074 E002300 0 074 F002300 23063 074 G002300 0 074 H002300 0 074 I002300 6755 074 J002300 570 074 K002300 0 074 L002300 220 074 M002300 28 074 N002300 34223 074 O002300 252 074 P002300 24 074 Q002300 0 074 R012300 0 074 R022300 0 074 R032300 0 074 R042300 180 074 S002300 0 074 T002300 33767 074 U012300 1344 074 U022300 1515 074 V012300 0.00 074 V022300 0.00 074 W002300 0.0000 074 X002300 9048 074 Y002300 0 075 A002300 0 075 B002300 25806 PAGE 41 076 002300 0.00 024 003100 N 025 D003101 0 025 D003102 0 025 D003103 0 025 D003104 0 025 D003105 0 025 D003106 0 025 D003107 0 025 D003108 0 028 A013100 6662 028 A023100 0 028 A033100 0 028 A043100 2849 028 B013100 4893 028 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(THE) 025 B003201 13-2614959 025 C003201 E 025 D003201 2055 025 A003202 MERRILL LYNCH & CO., INC. PAGE 46 025 B003202 13-2740599 025 C003202 E 025 D003202 2051 025 A003203 MERRILL LYNCH & CO., INC. 025 B003203 13-2740599 025 C003203 D 025 D003203 41 025 A003204 MORGAN STANLEY 025 B003204 36-3145972 025 C003204 E 025 D003204 2380 025 A003205 CITIGROUP INC. 025 B003205 52-1568099 025 C003205 E 025 D003205 3441 025 A003206 LEHMAN BROTHERS INC. 025 B003206 13-2518466 025 C003206 D 025 D003206 134 025 A003207 DELETE 025 D003207 0 025 A003208 DELETE 025 D003208 0 025 A003209 DELETE 025 D003209 0 025 A003210 DELETE 025 D003210 0 025 A003211 DELETE 025 D003211 0 025 A003212 DELETE 025 D003212 0 025 D003213 0 025 D003214 0 025 D003215 0 025 D003216 0 028 A013200 7367 028 A023200 0 028 A033200 0 028 A043200 3733 028 B013200 5670 028 B023200 0 028 B033200 0 028 B043200 3545 028 C013200 8811 028 C023200 83 028 C033200 0 028 C043200 5765 028 D013200 7621 028 D023200 0 028 D033200 0 028 D043200 3354 PAGE 47 028 E013200 5799 028 E023200 0 028 E033200 0 028 E043200 4179 028 F013200 4890 028 F023200 136 028 F033200 0 028 F043200 4013 028 G013200 40158 028 G023200 219 028 G033200 0 028 G043200 24589 028 H003200 3991 029 003200 Y 030 A003200 171 030 B003200 4.75 030 C003200 0.00 031 A003200 29 031 B003200 0 032 003200 142 033 003200 0 034 003200 Y 035 003200 3 036 A003200 N 036 B003200 0 037 003200 N 038 003200 0 039 003200 N 040 003200 Y 041 003200 Y 042 A003200 0 042 B003200 0 042 C003200 100 042 D003200 0 042 E003200 0 042 F003200 0 042 G003200 0 042 H003200 0 043 003200 636 044 003200 0 045 003200 Y 046 003200 N 047 003200 Y 048 003200 0.000 048 A013200 1000000 048 A023200 0.650 048 B013200 4000000 048 B023200 0.600 048 C013200 0 048 C023200 0.000 048 D013200 0 PAGE 48 048 D023200 0.000 048 E013200 0 048 E023200 0.000 048 F013200 0 048 F023200 0.000 048 G013200 0 048 G023200 0.000 048 H013200 0 048 H023200 0.000 048 I013200 0 048 I023200 0.000 048 J013200 0 048 J023200 0.000 048 K013200 5000000 048 K023200 0.550 049 003200 N 050 003200 N 051 003200 N 052 003200 N 053 A003200 Y 053 B003200 Y 053 C003200 N 055 A003200 N 055 B003200 N 056 003200 N 057 003200 N 058 A003200 N 058 B003200 N 058 C003200 N 058 D003200 N 058 E003200 N 059 003200 Y 060 A003200 Y 060 B003200 Y 061 003200 50 062 A003200 N 062 B003200 0.0 062 C003200 0.0 062 D003200 0.0 062 E003200 0.0 062 F003200 0.0 062 G003200 0.0 062 H003200 0.0 062 I003200 0.0 062 J003200 0.0 062 K003200 0.0 062 L003200 0.0 062 M003200 0.0 062 N003200 0.0 062 O003200 0.0 062 P003200 0.0 PAGE 49 062 Q003200 0.0 062 R003200 0.0 063 A003200 0 063 B003200 0.0 066 A003200 Y 066 B003200 N 066 C003200 N 066 D003200 N 066 E003200 Y 066 F003200 N 066 G003200 N 067 003200 Y 068 A003200 N 068 B003200 N 069 003200 N 070 A013200 Y 070 A023200 N 070 B013200 Y 070 B023200 N 070 C013200 Y 070 C023200 N 070 D013200 Y 070 D023200 N 070 E013200 Y 070 E023200 N 070 F013200 Y 070 F023200 Y 070 G013200 Y 070 G023200 N 070 H013200 Y 070 H023200 N 070 I013200 N 070 I023200 N 070 J013200 Y 070 J023200 Y 070 K013200 Y 070 K023200 N 070 L013200 Y 070 L023200 Y 070 M013200 Y 070 M023200 N 070 N013200 Y 070 N023200 N 070 O013200 N 070 O023200 N 070 P013200 Y 070 P023200 Y 070 Q013200 N 070 Q023200 N 070 R013200 Y 070 R023200 N PAGE 50 071 A003200 82137 071 B003200 70659 071 C003200 159501 071 D003200 44 072 A003200 6 072 B003200 1017 072 C003200 679 072 D003200 0 072 E003200 0 072 F003200 538 072 G003200 0 072 H003200 0 072 I003200 250 072 J003200 18 072 K003200 0 072 L003200 31 072 M003200 8 072 N003200 29 072 O003200 0 072 P003200 0 072 Q003200 25 072 R003200 20 072 S003200 22 072 T003200 636 072 U003200 0 072 V003200 0 072 W003200 18 072 X003200 1595 072 Y003200 23 072 Z003200 124 072AA003200 8015 072BB003200 881 072CC013200 0 072CC023200 2710 072DD013200 210 072DD023200 23 072EE003200 0 073 A013200 0.0000 073 A023200 0.0000 073 B003200 0.0000 073 C003200 0.0000 074 A003200 280 074 B003200 0 074 C003200 21325 074 D003200 42721 074 E003200 535 074 F003200 113494 074 G003200 0 074 H003200 0 074 I003200 0 074 J003200 1272 PAGE 51 074 K003200 0 074 L003200 1135 074 M003200 49 074 N003200 180811 074 O003200 5192 074 P003200 129 074 Q003200 0 074 R013200 0 074 R023200 0 074 R033200 0 074 R043200 618 074 S003200 0 074 T003200 174872 074 U013200 5484 074 U023200 9330 074 V013200 0.00 074 V023200 0.00 074 W003200 0.0000 074 X003200 18442 074 Y003200 25686 075 A003200 0 075 B003200 166071 076 003200 0.00 SIGNATURE SIDNEY DILGREN TITLE VP & TREASURER EX-99.77E LEGAL 2 e77e.txt SUB-ITEM 77E LEGAL PROCEEDINGS AIM FUNDS GROUP The mutual fund industry as a whole is currently subject to regulatory inquiries and litigation related to a wide range of issues. These issues include, among others, market timing activity, late trading, fair value pricing, excessive or improper advisory and/or distribution fees, mutual fund sales practices, including revenue sharing and directed-brokerage arrangements, investments in securities of other registered investment companies and issues related to Section 529 college savings plans. As described more fully below, INVESCO Funds Group, Inc. ("IFG"), the former investment advisor to the INVESCO Funds, is the subject of three regulatory actions concerning market timing activity in the INVESCO Funds. In addition, IFG and A I M Advisors, Inc. ("AIM"), the Fund's investment advisor, are the subject of a number of regulatory inquiries and civil lawsuits, as described more fully below and in the Fund's statement of additional information. Both AIM and IFG are indirect wholly owned subsidiaries of AMVESCAP PLC ("AMVESCAP"). Additional regulatory actions and/or civil lawsuits related to the above or other issues may be filed against the AIM and INVESCO Funds, IFG, AIM and/or related entities and individuals in the future. Additional regulatory inquiries related to the above or other issues also may be received by the AIM and INVESCO Funds, IFG, AIM and/or related entities and individuals in the future. The Fund's statement of additional information will be supplemented periodically to disclose any such additional regulatory actions, civil lawsuits and regulatory inquiries. Also, the Fund's statement of additional information will be supplemented periodically to disclose developments with respect to the three regulatory actions concerning market timing activity in the INVESCO Funds that are described below. As a result of the regulatory actions and inquiries and civil lawsuits discussed below, investors in the AIM and INVESCO Funds might react by redeeming their investments. This might require the Funds to sell investments to provide for sufficient liquidity and could also have an adverse effect on the investment performance of the Funds. Regulatory Actions Pending Against IFG - -------------------------------------- On December 2, 2003 each of the Securities and Exchange Commission ("SEC") and the Office of the Attorney General of the State of New York ("NYAG") filed civil proceedings against IFG and Raymond R. Cunningham, in his former capacity as the chief executive officer of IFG. Mr. Cunningham also formerly held the positions of Chief Operating Officer and Senior Vice President of A I M Management Group Inc. ("AIM Management"), the parent of AIM, and the position of Senior Vice President of AIM. In addition, on December 2, 2003, the State of Colorado filed civil proceedings against IFG. Neither the Fund nor any of the other AIM or INVESCO Funds has been named as a defendant in any of these proceedings. There can be no assurance that the SEC, NYAG or State of Colorado will not file additional charges against IFG or Mr. Cunningham or civil proceedings against other current or former officers or employees of IFG. The SEC complaint, filed in the United States District Court for the District of Colorado [Civil Action No. 03-N-2421 (PAC)], alleges that IFG failed to disclose in the INVESCO Funds' prospectuses and to the INVESCO Funds' independent directors that IFG had entered into certain arrangements permitting market timing of the INVESCO Funds. The SEC alleges violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 under that Act, Section 206(1) and 206(2) of the Investment Advisers Act of 1940, and Sections 34(b) and 36(a) of the Investment Company Act of 1940. The SEC is seeking injunctions, including permanent injunctions from serving as an investment advisor, officer or director of an investment company; an accounting of all market timing as well as certain fees and compensation received; disgorgement; civil monetary penalties; and other relief. The NYAG complaint, filed in the Supreme Court of the State of New York (New York County), is also based on the circumstances described above. The NYAG complaint alleges violation of Article 23-A (the Martin Act) and Section 349 of the General Business Law of the State of New York and Section 63(12) of the State of New York's Executive Law. The NYAG is seeking injunctions, including permanent injunctions from directly or indirectly selling or distributing shares of mutual funds; disgorgement of all profits obtained, including fees collected, and payment of all restitution and damages caused, directly or indirectly from the alleged illegal activities; civil monetary penalties; and other relief. The Colorado complaint, filed in the Colorado District Court, in the City and County of Denver, Colorado, is also based on the circumstances described above. The Colorado complaint alleges violations of Section 6-1-105(1) of the Colorado Consumer Protection Act. The State of Colorado is seeking injunctions; restitution, disgorgement and other equitable relief; civil monetary penalties; and other relief. No relief is being sought against the Fund or any of the other AIM or INVESCO Funds in any of these three regulatory actions. Response of AMVESCAP - -------------------- AMVESCAP is seeking to resolve both the pending regulatory complaints against IFG alleging market timing and the ongoing market timing investigations with respect to IFG and AIM. AMVESCAP found, in its ongoing review of these matters, that shareholders were not always effectively protected from the potential adverse impact of market timing and illegal late trading through intermediaries. These findings were based, in part, on an extensive economic analysis by outside experts who have been retained by AMVESCAP to examine the impact of these activities. In light of these findings, AMVESCAP has publicly stated that any AIM or INVESCO Fund, or any shareholders thereof, harmed by these activities will receive full restitution. AMVESCAP has informed regulators of these findings. AMVESCAP has retained outside counsel to represent its subsidiaries in connection with the market timing regulatory inquiries and certain other matters. As part of this representation, this outside counsel has been conducting a review of IFG's and AIM's conduct with respect to market timing and related matters. In addition, AMVESCAP has retained separate outside counsel to undertake a comprehensive review of AIM's and IFG's policies, procedures and practices, with the objective that they rank among the most effective in the fund industry. There can be no assurance that AMVESCAP will be able to reach a satisfactory settlement with the regulators, or that any such settlement will not include terms which would have the effect of barring either or both of IFG and AIM, or any other investment advisor directly or indirectly owned by AMVESCAP, including but not limited to A I M Capital Management, Inc., AIM Funds Management Inc., INVESCO Institutional (N.A.), Inc., INVESCO Global Asset Management (N.A.), Inc. and INVESCO Senior Secured Management, Inc., from serving as an investment advisor to any investment company registered under the Investment Company Act of 1940, 2 including the Fund. The Fund has been informed by AIM that, if AIM is so barred, AIM will seek exemptive relief from the SEC to permit it to continue to serve as the Fund's investment advisor. There can be no assurance that such exemptive relief will be granted. Response of the Independent Trustees - ------------------------------------ The independent trustees of the AIM and INVESCO Funds have retained their own independent counsel to conduct an investigation on behalf of the independent trustees into the frequent trading arrangements and related issues raised by the regulators with respect to both IFG and AIM. The independent trustees have also retained their own financial expert in this regard. Finally, the independent trustees have created a special committee, consisting of four independent trustees, to oversee the investigation and to formulate recommendations for further board action. As part of the investigation by the independent trustees, their independent counsel has been reviewing the examination of IFG's and AIM's conduct being conducted by the outside counsel retained by AMVESCAP. At the direction of the trustees of the AIM and INVESCO Funds, AMVESCAP has agreed to pay all of the expenses incurred by the AIM and INVESCO Funds related to the market timing investigations, including expenses incurred in connection with the pending regulatory complaints against IFG alleging market timing and the ongoing market timing investigations with respect to IFG and AIM. Regulatory Inquiries Concerning IFG - ----------------------------------- IFG, certain related entities, certain of their current and former officers and/or certain of the INVESCO Funds have received regulatory inquiries in the form of subpoenas or other oral or written requests for information and/or documents related to one or more of the following issues, some of which concern one or more INVESCO Funds: market timing activity, late trading, fair value pricing, excessive or improper advisory and/or distribution fees, mutual fund sales practices, including revenue sharing and directed-brokerage arrangements, and investments in securities of other registered investment companies. These regulators include the SEC, the NASD, Inc. ("NASD"), the Florida Department of Financial Services, the Commissioner of Securities for the State of Georgia, the Attorney General of the State of West Virginia, the West Virginia Securities Commission, the Colorado Securities Division and the Bureau of Securities of the State of New Jersey. IFG and certain of these other parties also have received more limited inquiries from the United States Department of Labor ("DOL") and the United States Attorney's Office for the Southern District of New York, some of which concern one or more INVESCO Funds. Regulatory Inquiries Concerning AIM - ----------------------------------- AIM, certain related entities, certain of their current and former officers and/or certain of the AIM Funds have received regulatory inquiries in the form of subpoenas or other oral or written requests for information and/or documents related to one or more of the following issues, some of which concern one or more AIM Funds: market timing activity, late trading, fair value pricing, excessive or improper advisory and/or distribution fees, mutual fund sales practices, including revenue sharing and directed-brokerage arrangements, investments in securities of other registered investment companies and issues related to Section 529 college savings plans. These regulators include the SEC, the NASD, the Department of Banking for the State of Connecticut, the NYAG, the Commissioner of Securities for the State of Georgia, the Attorney General of the State of West Virginia, the West Virginia Securities Commission and the Bureau 3 of Securities of the State of New Jersey. AIM and certain of these other parties also have received more limited inquiries from the DOL, the Internal Revenue Service, the United States Attorney's Office for the Southern District of New York, the United States Attorney's Office for the Central District of California, the United States Attorney's Office for the District of Massachusetts, the Massachusetts Securities Division and the U.S. Postal Inspection Service, some of which concern one or more AIM Funds. Private Civil Actions Alleging Market Timing - -------------------------------------------- Multiple civil lawsuits, including purported class action and shareholder derivative suits, have been filed against various parties (including, depending on the lawsuit, certain INVESCO Funds, certain AIM Funds, IFG, AIM, A I M Management Group Inc. ("AIM Management"), AMVESCAP, certain related entities and/or certain of their current and former officers) making allegations substantially similar to the allegations in the three regulatory actions concerning market timing activity in the INVESCO Funds that have been filed by the SEC, the NYAG and the State of Colorado against these parties. These lawsuits allege a variety of theories of recovery, including but not limited to: (i) violation of various provisions of the Federal and state securities laws; (ii) violation of various provisions of the Employee Retirement Income Security Act ("ERISA"); (iii) breach of fiduciary duty; and/or (iv) breach of contract. These lawsuits were initiated in both Federal and state courts and seek such remedies as compensatory damages; restitution; rescission; accounting for wrongfully gotten gains, profits and compensation; injunctive relief; disgorgement; equitable relief; various corrective measures under ERISA; rescission of certain Funds' advisory agreements; declaration that the advisory agreement is unenforceable or void; refund of advisory fees; interest; and attorneys' and experts' fees. The Judicial Panel on Multidistrict Litigation (the "Panel") has ruled that all actions pending in Federal court that allege market timing and/or late trading be transferred to the United States District Court for the District of Maryland for coordinated pre-trial proceedings. All such cases against IFG and the other AMVESCAP defendants filed to date have been conditionally or finally transferred to the District of Maryland in accordance with the Panel's directive (Case No. 04-MD-15864; In Re AIM, Artisan, INVESCO, Strong and T. Rowe Price Mutual Fund Litigation). In addition, the proceedings initiated in state court have been removed by IFG to Federal court and transferred to the District of Maryland. The plaintiffs in one such action (Carl E. Vonder Haar, et al. v. INVESCO Funds Group, Inc. et al.) continue to seek remand to state court. The following list identifies such lawsuits that have been served on IFG or AIM, or for which service of process has been waived, as of July 14, 2004: o RICHARD LEPERA, On Behalf Of Himself And All Others Similarly Situated, v. INVESCO FUNDS GROUP, INC., ET AL, in the District Court, City and County of Denver, Colorado, (Civil Action No. 03-CV-7600), filed on October 2, 2003. o MIKE SAYEGH, On Behalf of the General Public, v. JANUS CAPITAL CORPORATION, ET AL., in the Superior Court of the State of California, County of Los Angeles (Case No. BC304655), filed on October 22, 2003 and amended on December 17, 2003 to substitute INVESCO Funds Group, Inc. and Raymond R. Cunningham for unnamed Doe defendants. o RAJ SANYAL, Derivately On Behalf of NATIONS INTERNATIONAL EQUITY FUND, ET AL., v. WILLIAM P. CARMICHAEL, in the Superior Court Division, State of North Carolina (Civil Action No. 03-CVS-19622), filed on November 14, 2003. 4 o L. SCOTT KARLIN, Derivatively On Behalf of INVESCO FUNDS GROUP, INC., v. AMVESCAP, PLC, ET AL., in the United States District Court, District of Colorado (Civil Action No. 03-MK-2406), filed on November 28, 2003. o RICHARD RAVER, Individually and On Behalf of All Others Similarly Situated, v. INVESCO FUNDS GROUP, INC., ET AL., in the United States District Court, District of Colorado (Civil Action No. 03-F-2441), filed on December 2, 2003. o JERRY FATTAH, Custodian For BASIM FATTAH, Individually and On Behalf of All Others Similarly Situated, v. INVESCO ADVANTAGE HEALTH SCIENCES FUND, ET AL., in the United States District Court, District of Colorado (Civil Action No. 03-F-2456), filed on December 4, 2003. o EDWARD LOWINGER and SHARON LOWINGER, Individually and On Behalf of All Others Similarly Situated, v. INVESCO ADVANTAGE HEALTH SCIENCES FUND, ET AL., in the United States District Court, Southern District of New York (Civil Action No. 03-CV-9634), filed on December 4, 2003. o JOEL GOODMAN, Individually and On Behalf of All Others Similarly Situated, v. INVESCO FUNDS GROUP, INC. AND RAYMOND R. CUNNINGHAM, in the District Court, City and County of Denver, Colorado (Case Number 03CV9268), filed on December 5, 2003. o STEVEN B. EHRLICH, Custodian For ALEXA P. EHRLICH, UGTMA/FLORIDA, and DENNY P. JACOBSON, Individually and On Behalf of All Others Similarly Situated, v. INVESCO ADVANTAGE HEALTH SCIENCES FUND, ET AL., in the United States District Court, District of Colorado (Civil Action No. 03-N-2559), filed on December 17, 2003. o JOSEPH R. RUSSO, Individually and On Behalf of All Others Similarly Situated, v. INVESCO ADVANTAGE HEALTH SCIENCES FUND, ET AL., in the United States District Court, Southern District of New York (Civil Action No. 03-CV-10045), filed on December 18, 2003. o MIRIAM CALDERON, Individually and On Behalf of All Others Similarly Situated, v. AMVESCAP PLC, ET AL., in the United States District Court, District of Colorado (Civil Action No. 03-M-2604), filed on December 24, 2003. o PAT B. GORSUCH and GEORGE L. GORSUCH v. INVESCO FUNDS GROUP, INC. AND AIM ADVISER, INC., in the United States District Court, District of Colorado (Civil Action No. 03-MK-2612), filed on December 24, 2003. o LORI WEINRIB, Individually and On Behalf of All Others Similarly Situated, v. INVESCO FUNDS GROUP, INC., ET AL., in the United States District Court, Southern District of New York (Civil Action No. 04-CV-00492), filed on January 21, 2004. o ROBERT S. BALLAGH, JR., Individually and On Behalf of All Others Similarly Situated, v. INVESCO FUNDS GROUP, INC., ET AL., in the United States District Court, District of Colorado (Civil Action No. 04-MK-0152), filed on January 28, 2004. 5 o JONATHAN GALLO, Individually and On Behalf of All Others Similarly Situated, v. INVESCO FUNDS GROUP, INC., ET AL., in the United States District Court, District of Colorado (Civil Action No. 04-MK-0151), filed on January 28, 2004. o EILEEN CLANCY, Individually and On Behalf of All Others Similarly Situated, v. INVESCO ADVANTAGE HEALTH SCIENCES FUND, ET AL., in the United States District Court, Southern District of New York (Civil Action No. 04-CV-0713), filed on January 30, 2004. o SCOTT WALDMAN, On Behalf of Himself and All Others Similarly Situated, v. INVESCO FUNDS GROUP, INC., ET AL., in the United States District Court, Southern District of New York (Civil Action No. 04-CV-00915), filed on February 3, 2004. o CARL E. VONDER HAAR and MARILYN P. MARTIN, On Behalf of Themselves and All Others Similarly Situated, v. INVESCO FUNDS GROUP, INC., ET AL., in the United States District Court, District of Colorado (Civil Action No. 04-CV-812), filed on February 5, 2004. o HENRY KRAMER, Derivatively On Behalf of INVESCO ENERGY FUND, ET AL., v. AMVESCAP, PLC, ET AL., in the United States District Court, District of Colorado (Civil Action No. 04-MK-0397), filed on March 4, 2004. o CYNTHIA L. ESSENMACHER, Derivatively On Behalf of INVESCO DYNAMICS FUND, ET AL., v. INVESCO FUNDS GROUPS, INC., ET AL., in the United States District Court, District of Delaware (Civil Action No. 04-CV-188), filed on March 29, 2004. Private Civil Actions Alleging Improper Use of Fair Value Pricing - ----------------------------------------------------------------- Multiple civil class action lawsuits have been filed against various parties (including, depending on the lawsuit, certain INVESCO Funds, certain AIM Funds, IFG and/or AIM) alleging that certain AIM and INVESCO Funds inadequately employed fair value pricing. These lawsuits allege a variety of theories of recovery, including but not limited to: (i) violations of various provisions of the Federal securities laws; (ii) common law breach of duty; and (iii) common law negligence and gross negligence. These lawsuits have been filed in both Federal and state courts and seek such remedies as compensatory and punitive damages; interest; and attorneys' fees and costs. The following list identifies such lawsuits that have been served on IFG or AIM, or for which service of process has been waived, as of July 14, 2004: o T.K. PARTHASARATHY, ET AL, Individually And On Behalf Of All Others Similarly Situated, v. T. ROWE PRICE INTERNATIONAL FUNDS, INC., ET AL., in the Third Judicial Circuit Court for Madison County, Illinois (Case No. 2003-L-001253), filed on September 23, 2003. o JOHN BILSKI, Individually And On Behalf Of All Others Similarly Situated, v. AIM INTERNATIONAL FUNDS, INC., ET AL., in the United States District Court, Southern District of Illinois (East St. Louis) (Case No. 03-772), filed on November 19, 2003. Private Civil Actions Alleging Excessive Advisory and Distribution Fees - ----------------------------------------------------------------------- Multiple civil lawsuits, including purported class action and shareholder derivative suits, have been filed against various parties (including, depending on the lawsuit, IFG, AIM, INVESCO 6 Institutional (N.A.), Inc. ("IINA"), A I M Distributors, Inc. ("AIM Distributors") and/or INVESCO Distributors, Inc. ("INVESCO Distributors")) alleging that the defendants charged excessive advisory and distribution fees and failed to pass on to shareholders the perceived savings generated by economies of scale. Certain of these lawsuits also allege that the defendants adopted unlawful distribution plans. These lawsuits allege a variety of theories of recovery, including but not limited to: (i) violation of various provisions of the Federal securities laws; (ii) breach of fiduciary duty; and/or (iii) breach of contract. These lawsuits have been filed in both Federal and state courts and seek such remedies as damages; injunctive relief; rescission of certain Funds' advisory agreements and distribution plans; interest; prospective relief in the form of reduced fees; and attorneys' and experts' fees. All of these lawsuits have been transferred to the United States District Court for the Southern District of Texas, Houston Division by order of the applicable United States District Court in which they were initially filed. The plaintiff in one of these lawsuits (Ronald Kondracki v. AIM Advisors, Inc. and AIM Distributor, Inc.) has challenged this order. The following list identifies such lawsuits that have been served on IFG or AIM, or for which service of process has been waived, as of July 14, 2004: o RONALD KONDRACKI v. AIM ADVISORS, INC. AND AIM DISTRIBUTOR, INC., in the United States District Court for the Southern District of Illinois (Civil Action No. 04-CV- 263-DRH), filed on April 16, 2004. o DOLORES BERDAT, ET AL. v. INVESCO FUNDS GROUP, INC., ET AL., in the United States District Court for the Middle District of Florida, Tampa Division (Case No. 8:04-CV-978-T24-TBM), filed on April 29, 2004. o FERDINANDO PAPIA, ET AL. v. A I M ADVISORS, INC. AND A I M DISTRIBUTORS, INC., in the United States District Court for the Middle District of Florida, Tampa Division (Case No. 8:04-CV-977-T17-MSS), filed on April 29, 2004. Private Civil Actions Alleging Improper Distribution Fees - --------------------------------------------------------- Charged to Closed Funds - ----------------------- Multiple civil lawsuits, including purported class action and shareholder derivative suits, have been filed against various parties (including, depending on the lawsuit, IFG, AIM and/or AIM Distributors) alleging that the defendants breached their fiduciary duties by charging distribution fees while funds and/or specific share classes were closed generally to new investors and/or while other share classes of the same fund were not charged the same distribution fees. These lawsuits allege a variety of theories of recovery, including but not limited to: (i) violation of various provisions of the Federal securities laws; and (ii) breach of fiduciary duty. These lawsuits have been filed in both Federal and state courts and seek such remedies as damages; injunctive relief; and attorneys' and experts' fees. The following list identifies such lawsuits that have been served on IFG or AIM, or for which service of process has been waived, as of July 14, 2004: o LAWRENCE ZUCKER, On Behalf Of AIM SMALL CAP GROWTH FUND and AIM LIMITED MATURITY TREASURY FUND, v. A I M ADVISORS, INC., in the United States District Court, Southern District of Texas, Houston Division (Civil Action No. H-03-5653), filed on December 10, 2003. o STANLEY LIEBER, On Behalf Of INVESCO BALANCED FUND, ET AL., v. INVESCO FUNDS GROUP, INC. AND A I M ADVISORS, INC., in the United States District Court, Southern District of Texas, Houston Division (Civil Action No. H-03-5744), filed on December 17, 2003. 7 o HERMAN C. RAGAN, Derivatively, And On Behalf Of Himself And All Others Similarly Situated, v. INVESCO FUNDS GROUP, INC. AND A I M DISTRIBUTORS, INC., in the United States District Court for the Southern District of Georgia, Dublin Division (Civil Action No. CV304-031), filed on May 6, 2004. Private Civil Actions Alleging Improper Mutual Fund Sales Practices - ------------------------------------------------------------------- and Directed-Brokerage Arrangements - ----------------------------------- Multiple civil lawsuits, including purported class action and shareholder derivative suits, have been filed against various parties (including, depending on the lawsuit, AIM Management, IFG, AIM, AIM Investment Services, Inc. ("AIS") and/or certain of the trustees of the AIM and INVESCO Funds) alleging that the defendants improperly used the assets of the AIM and INVESCO Funds to pay brokers to aggressively push the AIM and INVESCO Funds over other mutual funds and that the defendants concealed such payments from investors by disguising them as brokerage commissions. These lawsuits allege a variety of theories of recovery, including but not limited to: (i) violation of various provisions of the Federal securities laws; (ii) breach of fiduciary duty; and (iii) aiding and abetting a breach of fiduciary duty. These lawsuits have been filed in Federal courts and seek such remedies as compensatory and punitive damages; rescission of certain Funds' advisory agreements and distribution plans and recovery of all fees paid; an accounting of all fund-related fees, commissions and soft dollar payments; restitution of all unlawfully or discriminatorily obtained fees and charges; and attorneys' and experts' fees. The following list identifies such lawsuits that have been served on IFG or AIM, or for which service of process has been waived, as of July 14, 2004: o JOY D. BEASLEY and SHEILA McDAID, Individually and On Behalf of All Others Similarly Situated, v. AIM MANAGEMENT GROUP INC., in the United States District Court for the District of Colorado (Civil Action No. 04-B-0958), filed on May 10, 2004. The plaintiffs voluntarily dismissed this case in Colorado and re-filed it on July 2, 2004 in the United States District Court for the Southern District of Texas, Houston Division (Civil Action H-04-2589). o RICHARD TIM BOYCE v. AIM MANAGEMENT GROUP INC., ET AL., in the United States District Court for the District of Colorado (Civil Action No. 04-N-0989), filed on May 13, 2004. The plaintiff voluntarily dismissed this case in Colorado and re-filed it on July 1, 2004 in the United States District Court for the Southern District of Texas, Houston Division (Civil Action H-04-2587). More detailed information regarding each of the civil lawsuits identified above, including the parties to the lawsuits and summaries of the various allegations and remedies sought, can be found in the Fund's statement of additional information. EX-99.77I NEW SECUR 3 e77ia.txt SUB-ITEM 77I TERMS OF NEW OR AMENDED SECURITIES AIM FUNDS GROUP On April 30, 2004, AIM Fund Group (the "Trust") commenced operations of the Institutional Class shares for the following funds: AIM Basic Balanced Fund and AIM Mid Cap Basic Value Fund (each a "Fund" and collectively the "Funds"). Institutional Class shares are sold at net asset value. Shares of beneficial interest of the Trust are redeemable at their net asset value (subject, in certain circumstances, to a contingent deferred sales charge or redemption fee) at the option of the shareholder or at the option of the Trust in certain circumstances. Each share of a Portfolio generally has the same voting, dividend, liquidation and other rights; however, each class of shares of a portfolio is subject to different sales loads, conversion features, exchange privileges and class-specific expenses. Only shareholder of a specific class may vote on matters relating to that class' distribution plan. Shareholders of each Portfolio are entitled to one vote per share (with proportionate voting for fractional shares), irrespective of the relative net asset value of the shares of a Portfolio. However, on matters affecting an individual Portfolio or class of shares, a separate vote of shareholders of that Portfolio or class is required. Shareholders of a Portfolio or class are not entitled to vote on any matter which does not affect that Portfolio or class but that requires a separate vote of another Portfolio or class. When issued, shares of each Portfolio are fully paid and nonassessable, have no preemptive or subscription rights and are freely transferable. Institutional shares do not have cumulative voting rights, which means that in situations in which shareholders elect trustees, holders of more than 50% of the shares voting for the election of trustees can elect all of the trustees of the Trust, and the holders of less than 50% of the shares voting for the election of trustees will not be able to elect any trustees. Upon any liquidation of the Trust, shareholders of each class are entitled to share pro rata in the net assets belonging to the applicable Portfolio allocable to such class available for distribution after satisfaction of outstanding liabilities of the Portfolio allocable to such class. Under Delaware law, shareholders of a Delaware business trust shall be entitled to the same limitations of liability extended to shareholders of private for-profit corporations. There is a remote possibility that shareholders could, under certain circumstances, be held liable for the obligations of the Trust to the extent the courts of another state which does not recognize such limited liability were to apply the laws of such state to a controversy involving such obligations. The Amended and Restated Agreement and Declaration of Trust (the "the Trust Agreement") disclaims shareholder liability for acts or obligations of the Trust and requires that notice of such disclaimer be given in each agreement, obligation or instrument entered into or executed by the Trust or the trustees to all parties, and each party thereto must expressly waive all rights of action directly against shareholders of the Trust. The Trust Agreement provides for indemnification out of the property of a Portfolio for all losses and expenses of any shareholders of such Portfolio held liable on account of being or having been a shareholder. Thus, the risk of a shareholder incurring financial loss due to shareholder liability is limited to circumstances in which a Portfolio is unable to meet its obligations and the complaining party is not held to be bound by the disclaimer. EX-99.77I NEW SECUR 4 e77ib.txt SUB-ITEM 77I TERMS OF NEW OR AMENDED SECURITIES AIM FUNDS GROUP On April 30, 2004, AIM Funds Group (the "Trust") commenced operations of the Class R shares for the following funds: AIM Basic Balanced Fund and AIM Mid Cap Basic Value Fund (each a "Fund" and collectively the "Funds"). Class R shares are sold at net asset value, and are not subject to an initial sales charge. Shares of beneficial interest of the Trust are redeemable at their net asset value (subject, in certain circumstances, to a contingent deferred sales charge or redemption fee) at the option of the shareholder or at the option of the Trust in certain circumstances. Each share of a Fund generally has the same voting, dividend, liquidation and other rights; however, each class of shares of a Fund is subject to different sales loads, conversion features, exchange privileges and class-specific expenses. Only shareholders of a specific class may vote on matters relating to that class' distribution plan. Shareholders of each Fund are entitled to one vote per share (with proportionate voting for fractional shares), irrespective of the relative net asset value of the shares of a Fund. However, on matters affecting an individual Fund or class of shares, a separate vote of shareholders of that Fund or class is required. Shareholders of a Fund or class are not entitled to vote on any matter which does not affect that Fund or class but that requires a separate vote of another Fund or class. When issued, shares of each Fund are fully paid and nonassessable, have no preemptive or subscription rights and are freely transferable. Class R shares do not have conversion rights. Class R shares do not have cumulative voting rights, which means that in situations in which shareholders elect trustees, holders of more than 50% of the shares voting for the election of trustees can elect all of the trustees of the Trust, and the holders of less than 50% of the shares voting for the election of trustees will not be able to elect any trustees. Upon any liquidation of the Trust, shareholders of each class are entitled to share pro rata in the net assets belonging to the applicable Fund allocable to such class available for distribution after satisfaction of outstanding liabilities of the Fund allocable to such class. Under Delaware law, shareholders of a Delaware business trust shall be entitled to the same limitations of liability extended to shareholders of private for-profit corporations. There is a remote possibility, however, that shareholders could, under certain circumstances, be held liable for the obligations of the Trust to the extent the courts of another state which does not recognize such limited liability were to apply the laws of such state to a controversy involving such obligations. The Amended and Restated Agreement and Declaration of Trust (the "Trust Agreement") disclaims shareholder liability for acts or obligations of the Trust and requires that notice of such disclaimer be given in each agreement, obligation or instrument entered into or executed by the Trust or the trustees to all parties, and each party thereto must expressly waive all rights of action directly against shareholders of the Trust. The Trust Agreement provides for indemnification out of the property of a Fund for all losses and expenses of any shareholders of such Fund held liable on account of being or having been a shareholder. Thus, the risk of a shareholder incurring financial loss due to shareholder liability is limited to circumstances in which a Fund would be unable to meet its obligations and the complaining party is not held to be bound by the disclaimer. EX-99.77Q1 OTHR EXHB 5 e77q1a.txt SUB-ITEM 77Q1(a) AMENDMENT NO. 5 TO AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF AIM FUNDS GROUP This Amendment No. 5 to the Amended and Restated Agreement and Declaration of Trust of AIM Funds Group (this "Amendment") amends, effective as of February 19, 2004, the Amended and Restated Agreement and Declaration of Trust of AIM Funds Group (the "Trust") dated as of May 15, 2002, as amended (the "Agreement"). Under Section 9.7 of the Agreement, this Amendment may be executed by a duly authorized officer of the Trust. NOW, THEREFORE, the Agreement is hereby amended as follows: 1. Schedule A of the Agreement is hereby amended and restated to read in its entirety as set forth on Exhibit 1 to this Amendment. 2. All references in the Agreement to "this Agreement" shall mean the Agreement as amended by this Amendment. 3. Except as specifically amended by this Amendment, the Agreement is hereby confirmed and remains in full force and effect. IN WITNESS WHEREOF, the undersigned, a duly authorized officer of the Trust, has executed this Amendment as of February 19, 2004. By: /s/ Robert H. Graham ---------------------------------- Name: Robert H. Graham Title: President AMENDMENT NO. 5 TO AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF AIM FUNDS GROUP "SCHEDULE A AIM FUNDS GROUP PORTFOLIOS AND CLASSES THEREOF PORTFOLIO CLASSES OF EACH PORTFOLIO - --------- ------------------------- AIM Balanced Fund Class A Shares Class B Shares Class C Shares Class R Shares Institutional Class Shares AIM Basic Balanced Fund Class A Shares Class B Shares Class C Shares Class R Shares Institutional Class Shares AIM European Small Company Fund Class A Shares Class B Shares Class C Shares Institutional Class Shares AIM Global Value Fund Class A Shares Class B Shares Class C Shares Institutional Class Shares AIM International Emerging Growth Fund Class A Shares Class B Shares Class C Shares Institutional Class Shares AIM Mid Cap Basic Value Fund Class A Shares Class B Shares Class C Shares Class R Shares Institutional Class Shares AIM Premier Equity Fund Class A Shares Class B Shares Class C Shares Class R Shares Institutional Class Shares AIM Select Equity Fund Class A Shares Class B Shares Class C Shares Institutional Class Shares AIM Small Cap Equity Fund Class A Shares Class B Shares Class C Shares Class R Shares Institutional Class Shares" EX-99.77Q1 OTHR EXHB 6 e77q1eb.txt SUB-ITEM 77Q1(e) MEMORANDUM OF AGREEMENT This Memorandum of Agreement is entered into as of this 1st day of July, 2003, between AIM Funds Group (the "Trust"), on behalf of the funds listed on Exhibit "A" to this Memorandum of Agreement (the "Funds"), and A I M Advisors, Inc. ("AIM"). For and in consideration of the mutual terms and agreements set forth herein and other good and valuable consideration, the receipt and sufficiency of which is hereby acknowledged, the Trust and AIM agree as follows: The Trust and AIM agree until the date set forth on the attached Exhibit "A" that AIM will waive its fees or reimburse expenses to the extent that expenses (excluding interest, taxes, dividends on short sales, fund merger and reorganization expenses, extraordinary items, including other items designated as such by the Board of Trustees, and increases in expenses due to expense offset arrangements, if any) of a class of a Fund exceed the rate, on an annualized basis, set forth on Exhibit "A" of the average daily net assets allocable to such class. The Board of Trustees and AIM may terminate or modify this Memorandum of Agreement prior to the date set forth on Exhibit "A" only by mutual written consent. AIM will not have any right to reimbursement of any amount so waived or reimbursed. The Trust and AIM agree to review the then-current waivers or expense limitations for each class of each Fund listed on Exhibit "A" on a date prior to the date listed on that Exhibit to determine whether such waivers or limitations should be amended, continued or terminated. Unless the Trust, by vote of its Board of Trustees, or AIM terminates the waivers or limitations, or the Trust and AIM are unable to reach an agreement on the amount of the waivers or limitations to which the Trust and AIM desire to be bound, the waivers or limitations will continue for additional one-year terms at the rate to which the Trust and AIM mutually agree. Exhibit "A" will be amended to reflect that rate and the new date through which the Trust and AIM agree to be bound. It is expressly agreed that the obligations of the Trust hereunder shall not be binding upon any of the Trustees, shareholders, nominees, officers, agents or employees of the Trust personally, but shall only bind the assets and property of the Funds, as provided in the Trust's Agreement and Declaration of Trust. The execution and delivery of this Memorandum of Agreement have been authorized by the Trustees of the Trust, and this Memorandum of Agreement has been executed and delivered by an authorized officer of the Trust acting as such; neither such authorization by such Trustees nor such execution and delivery by such officer shall be deemed to have been made by any of them individually or to impose any liability on any of them personally, but shall bind only the assets and property of the Funds, as provided in the Trust's Agreement and Declaration of Trust. IN WITNESS WHEREOF, the Trust and AIM have entered into this Memorandum of Agreement as of the date first above written. AIM Funds Group, on behalf of each Fund listed in Exhibit "A" to this Memorandum of Agreement By: /s/ Robert H. Graham ------------------------------- Title: President ------------------------------- A I M Advisors, Inc. By: /s/ Mark H. Williamson ------------------------------- Title: President ------------------------------- EXHIBIT "A" AIM FUNDS GROUP
FUND EXPENSE LIMITATION COMMITTED UNTIL - ---- ------------------ --------------- AIM European Small Company Fund Class A 2.00% December 31, 2004 Class B (See Note 1 below) December 31, 2004 Class C (See Note 1 below) December 31, 2004 AIM Global Value Fund Class A 2.00% December 31, 2004 Class B (See Note 1 below) December 31, 2004 Class C (See Note 1 below) December 31, 2004 AIM International Emerging Growth Fund Class A 2.00% December 31, 2004 Class B (See Note 1 below) December 31, 2004 Class C (See Note 1 below) December 31, 2004 AIM New Technology Fund Class A 2.00% December 31, 2004 Class B (See Note 1 below) December 31, 2004 Class C (See Note 1 below) December 31, 2004
NOTE 1: The amount equal to Total Annual Fund Operating Expenses (as calculated in the Fund's financial statements less expense exclusions listed in the Memorandum of Agreement) less the basis point amounts necessary to limit Class A shares' Total Annual Fund Operating Expenses to 2.00%. EX-99.77Q1 OTHR EXHB 7 e77q1ec.txt SUB-ITEM 77Q1(e) AMENDMENT NO. 7 TO MASTER INVESTMENT ADVISORY AGREEMENT This Amendment dated as of November 24, 2003, amends the Master Investment Advisory Agreement (the "Agreement"), dated June 1, 2000, between AIM Funds Group, a Delaware statutory trust, and A I M Advisors, Inc., a Delaware corporation. W I T N E S S E T H: WHEREAS, the parties desire to amend the Agreement to delete AIM Global Utilities Fund, AIM New Technology Fund and AIM Premier Equity II Fund; NOW, THEREFORE, the parties agree as follows; 1. Appendix A and Appendix B to the Agreement are hereby deleted in their entirety and replaced with the following: "APPENDIX A FUNDS AND EFFECTIVE DATES NAME OF FUND EFFECTIVE DATE OF ADVISORY AGREEMENT - ------------ ------------------------------------ AIM Balanced Fund June 1, 2000 AIM Basic Balanced Fund September 28, 2001 AIM European Small Company Fund August 30, 2000 AIM Global Value Fund December 27, 2000 AIM International Emerging Growth Fund August 30, 2000 AIM Mid Cap Basic Value Fund December 27, 2001 AIM Premier Equity Fund June 1, 2000 AIM Select Equity Fund June 1, 2000 AIM Small Cap Equity Fund August 30, 2000 APPENDIX B COMPENSATION TO THE ADVISOR The Trust shall pay the Advisor, out of the assets of a Fund, as full compensation for all services rendered, an advisory fee for such Fund set forth below. Such fee shall be calculated by applying the following annual rates to the average daily net assets of such Fund for the calendar year computed in the manner used for the determination of the net asset value of shares of such Fund. AIM BALANCED FUND NET ASSETS ANNUAL RATE - ---------- ----------- First $150 million................................................... 0.75% Over $150 million.................................................... 0.50% AIM BASIC BALANCED FUND NET ASSETS ANNUAL RATE - ---------- ----------- First $1 billion..................................................... 0.65% Next $4 billion...................................................... 0.60% Over $5 billion...................................................... 0.55% AIM EUROPEAN SMALL COMPANY FUND AIM INTERNATIONAL EMERGING GROWTH FUND NET ASSETS ANNUAL RATE - ---------- ----------- All Assets........................................................... 0.95% AIM GLOBAL VALUE FUND NET ASSETS ANNUAL RATE - ---------- ----------- First $1 billion.................................................... 0.85% Over $1 billion..................................................... 0.80% 2 AIM MID CAP BASIC VALUE FUND NET ASSETS ANNUAL RATE - ---------- ----------- First $1 billion.................................................... 0.80% Next $4 billion..................................................... 0.75% Over $5 billion..................................................... 0.70% AIM PREMIER EQUITY FUND NET ASSETS ANNUAL RATE - ---------- ----------- First $150 million.................................................. 0.80% Over $150 million................................................... 0.625% AIM SELECT EQUITY FUND NET ASSETS ANNUAL RATE - ---------- ----------- First $150 million.................................................. 0.80% Over $150 million................................................... 0.625% AIM SMALL CAP EQUITY FUND NET ASSETS ANNUAL RATE - ---------- ----------- All Assets.......................................................... 0.85%" 2. In all other respects, the Agreement is hereby confirmed and remains in full force and effect. 3 IN WITNESS WHEREOF, the parties have caused this Agreement to be executed by their respective officers on the date first written above. AIM FUNDS GROUP Attest: /s/ Lisa A. Moss By: /s/ Robert H. Graham ------------------------- ----------------------- Assistant Secretary Robert H. Graham President (SEAL) A I M ADVISORS, INC. Attest: /s/ Lisa A. Moss By: /s/ Mark H. Williamson ------------------------- ----------------------- Assistant Secretary Mark H. Williamson President (SEAL) 4 EX-99.77Q1 OTHR EXHB 8 e77q3-2.txt SUB-ITEM 77Q3 DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF INFORMATION FOR MULTIPLE CLASSES OF SHARES, THIS EXHIBIT PROVIDES CLASS LEVEL INFORMATION FOR ITEMS 74U AND 74V. FOR PERIOD ENDING 06/31/2004 FILE NUMBER 811-1540 SERIES NO.: 2 74U. 1. Number of shares outstanding Class A Shares 17,599 2. Number of shares outstanding of a second class of open-end company shares Class B Shares 11,484 Class C Shares 2,133 74V. 1. Net asset value per share (to nearest cent) Class A Shares $16.57 2. Net asset value per share of a second class of open-end company shares (to nearest cent) Class B Shares $14.87 Class C Shares $14.84 EX-99.77Q1 OTHR EXHB 9 e77q3-3.txt SUB-ITEM 77Q3 DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF INFORMATION FOR MULTIPLE CLASSES OF SHARES, THIS EXHIBIT PROVIDES CLASS LEVEL INFORMATION FOR ITEMS 74U AND 74V. FOR PERIOD ENDING 06/30/2004 FILE NUMBER 811-1540 SERIES NO.: 3 74U. 1. Number of shares outstanding Class A Shares 503,716 2. Number of shares outstanding of a second class of open-end company shares Class B Shares 322,581 Class C Shares 41,342 Class R Shares 73 Class I Shares 54 74V. 1. Net asset value per share (to nearest cent) Class A Shares $ 9.48 2. Net asset value per share of a second class of open-end company shares (to nearest cent) Class B Shares $8.81 Class C Shares $8.82 Class R Shares $9.43 Class I Shares $9.60 EX-99.77Q1 OTHR EXHB 10 e77q3-15.txt SUB-ITEM 77Q3 DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF INFORMATION FOR MULTIPLE CLASSES OF SHARES, THIS EXHIBIT PROVIDES CLASS LEVEL INFORMATION FOR ITEMS 72DD, 73A, 74U AND 74V. FOR PERIOD ENDING 06/30/2004 FILE NUMBER 811-1540 SERIES NO.: 15 72DD 1. Total income dividends for which record date passed during the period.(000's Omitted) Class A Shares $ 10,538 2. Dividends for a second class of open-end company shares (000's Omitted) Class B Shares $ 3,521 Class C Shares $ 1,228 Class R Shares $ 32 Class I Shares $ 0 73A. 1. Payments per share outstanding during the entire current period: (form nnn.nnnn) Class A Shares $000.2130 2. Dividends for a second class of open-end company shares (form nnn.nnnn) Class B Shares $000.1220 Class C Shares $000.1220 Class R Shares $000.1840 Class I Shares $000.2560 74U. 1. Number of shares outstanding (000's Omitted) Class A Shares 47,121 2. Number of shares outstanding of a second class of open-end company shares (000's Omitted) Class B Shares 27,755 Class C Shares 9,705 Class R Shares 184 Class I Shares 1 74V. 1. Net asset value per share (to nearest cent) Class A Shares $ 24.59 2. Net asset value per share of a second class of open-end company shares (to nearest cent) Class B Shares $ 24.54 Class C Shares $ 24.58 Class R Shares $ 24.62 Class I Shares $ 24.60 EX-99.77Q1 OTHR EXHB 11 e77q3-18.txt SUB-ITEM 77Q3 DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF INFORMATION FOR MULTIPLE CLASSES OF SHARES, THIS EXHIBIT PROVIDES CLASS LEVEL INFORMATION FOR ITEMS 74U AND 74V. FOR PERIOD ENDING 06/30/2004 FILE NUMBER 811-1540 SERIES NO.: 18 74U. 1. Number of shares outstanding (000's Omitted) Class A Shares 3,887 2. Number of shares outstanding of a second class of open-end company shares (000's Omitted) Class B Shares 1,047 Class C Shares 645 74V. 1. Net asset value per share (to nearest cent) Class A Shares $ 13.68 2. Net asset value per share of a second class of open-end company shares (to nearest cent) Class B Shares $ 13.40 Class C Shares $ 13.40 EX-99.77Q1 OTHR EXHB 12 e77q3-19.txt SUB-ITEM 77Q3 DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF INFORMATION FOR MULTIPLE CLASSES OF SHARES, THIS EXHIBIT PROVIDES CLASS LEVEL INFORMATION FOR ITEMS 74U AND 74V. FOR PERIOD ENDING 06/30/2004 FILE NUMBER 811-1540 SERIES NO.: 19 74U. 1. Number of shares outstanding (000's Omitted) Class A Shares 8,578 2. Number of shares outstanding of a second class of open-end company shares (000's Omitted) Class B Shares 1,980 Class C Shares 1,806 74V. 1. Net asset value per share (to nearest cent) Class A Shares $ 13.02 2. Net asset value per share of a second class of open-end company shares (to nearest cent) Class B Shares $ 12.78 Class C Shares $ 12.77 EX-99.77Q1 OTHR EXHB 13 e77q3-21.txt SUB-ITEM 77Q3 DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF INFORMATION FOR MULTIPLE CLASSES OF SHARES, THIS EXHIBIT PROVIDES CLASS LEVEL INFORMATION FOR ITEMS 74U AND 74V. FOR PERIOD ENDING 06/30/2004 FILE NUMBER 811-1540 SERIES NO.: 21 74U. 1. Number of shares outstanding Class A Shares 21,008 2. Number of shares outstanding of a second class of open-end company shares Class B Shares 13,608 Class C Shares 5,810 Clarr R Shares 586 74V. 1. Net asset value per share (to nearest cent) Class A Shares $ 12.73 2. Net asset value per share of a second class of open-end company shares (to nearest cent) Class B Shares $ 12.42 Class C Shares $ 12.41 Class R Shares $ 12.68 EX-99.77Q1 OTHR EXHB 14 e77q3-23.txt SUB-ITEM 77Q3 DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF INFORMATION FOR MULTIPLE CLASSES OF SHARES, THIS EXHIBIT PROVIDES CLASS LEVEL INFORMATION FOR ITEMS 74U AND 74V. FOR PERIOD ENDING 06/30/2004 FILE NUMBER 811-1540 SERIES NO.: 23 74U. 1. Number of shares outstanding Class A Shares 1,344 2. Number of shares outstanding of a second class of open-end company shares Class B Shares 1,025 Class C Shares 490 74V. 1. Net asset value per share (to nearest cent) Class A Shares $ 11.92 2. Net asset value per share of a second class of open-end company shares (to nearest cent) Class B Shares $ 11.71 Class C Shares $ 11.72 EX-99.77Q1 OTHR EXHB 15 e77q3-31.txt SUB-ITEM 77Q3 DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF INFORMATION FOR MULTIPLE CLASSES OF SHARES, THIS EXHIBIT PROVIDES CLASS LEVEL INFORMATION FOR ITEMS 74U AND 74V. FOR PERIOD ENDING 06/30/2004 FILE NUMBER 811-1540 SERIES NO.: 31 74U. 1. Number of shares outstanding (000's Omitted) Class A Shares 7,690 2. Number of shares outstanding of a second class of open-end company shares (000's Omitted) Class B Shares 4,610 Class C Shares 1,723 Class R Shares 1 Class I Shares 108 74V. 1. Net asset value per share (to nearest cent) Class A Shares $ 12.27 2. Net asset value per share of a second class of open-end company shares (to nearest cent) Class B Shares $ 12.08 Class C Shares $ 12.07 Class R Shares $ 12.27 Class I Shares $ 12.29 EX-99.77Q1 OTHR EXHB 16 e77q3-32.txt SUB-ITEM 77Q3 DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF INFORMATION FOR MULTIPLE CLASSES OF SHARES, THIS EXHIBIT PROVIDES CLASS LEVEL INFORMATION FOR ITEMS 72DD, 73A, 74U AND 74V. FOR PERIOD ENDING 06/30/2004 FILE NUMBER 811-1540 SERIES NO.: 32 72DD 1. Total income dividends for which record date passed during the period. Class A Shares $ 209 2. Dividends for a second class of open-end company shares Class B Shares $ 18 Class C Shares $ 6 Class R Shares $ 0 Class I Shares $ 0 73A. 1. Payments per share outstanding during the entire current period: Class A Shares $0.0400 2. Dividends for a second class of open-end company shares Class B Shares $0.0025 Class C Shares $0.0025 Class R Shares $0.0170 Class I Shares $0.0370 74U. 1. Number of shares outstanding Class A Shares 5,484 2. Number of shares outstanding of a second class of open-end company shares Class B Shares 6,988 Class C Shares 2,340 Class R Shares 1 Class I Shares 1 74V. 1. Net asset value per share (to nearest cent) Class A Shares $ 11.81 2. Net asset value per share of a second class of open-end company shares (to nearest cent) Class B Shares $ 11.80 Class C Shares $ 11.80 Class R Shares $ 11.82 Class I Shares $ 11.82 -----END PRIVACY-ENHANCED MESSAGE-----