-----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, VE4wHdmh7cWxsjrxlvGzrId8alhTalJtFf32t5Exct5qCUiWsADjMQL+wwL2S2ra +sWgjLeMtpDClzwhHWijQw== 0001193125-07-271036.txt : 20071226 0001193125-07-271036.hdr.sgml : 20071225 20071226115648 ACCESSION NUMBER: 0001193125-07-271036 CONFORMED SUBMISSION TYPE: N-Q PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20071031 FILED AS OF DATE: 20071226 DATE AS OF CHANGE: 20071226 EFFECTIVENESS DATE: 20071226 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANCEBERNSTEIN MID CAP GROWTH FUND INC CENTRAL INDEX KEY: 0000019614 IRS NUMBER: 136021421 STATE OF INCORPORATION: NY FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: N-Q SEC ACT: 1940 Act SEC FILE NUMBER: 811-00204 FILM NUMBER: 071325603 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: ALLIANCE MID CAP GROWTH FUND INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: CHEMICAL FUND INC DATE OF NAME CHANGE: 19870415 0000019614 S000010117 ALLIANCEBERNSTEIN MID CAP GROWTH FUND INC C000028067 Class A CHCLX C000028068 Class B CHCBX C000028069 Class C CHCCX C000028070 Advisor Class CHCYX C000028071 Class R CHCRX C000028072 Class K CHCKX C000028073 Class I CHCIX N-Q 1 dnq.htm ALLIANCEBERNSTEIN MID-CAP GROWTH FUND, INC. AllianceBernstein Mid-Cap Growth Fund, Inc.

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

FORM N-Q

 

QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED

MANAGEMENT INVESTMENT COMPANIES

Investment Company Act file number: 811-00204

 

ALLIANCEBERNSTEIN MID-CAP GROWTH FUND, INC.

(Exact name of registrant as specified in charter)

 

1345 Avenue of the Americas, New York, New York 10105

(Address of principal executive offices) (Zip code)

Joseph J. Mantineo

AllianceBernstein L.P.

1345 Avenue of the Americas

New York, New York 10105

(Name and address of agent for service)

Registrant’s telephone number, including area code: (800) 221-5672

Date of fiscal year end: July 31, 2008

Date of reporting period: October 31, 2007

 

ITEM 1. SCHEDULE OF INVESTMENTS.

AllianceBernstein Mid-Cap Growth Fund

Portfolio of Investments

October 31, 2007 (unaudited)

 

Company

    Shares    U.S. $ Value

COMMON STOCKS - 99.5%

      

Technology - 37.7%

      

Communications Technology - 9.1%

      

Ciena Corp. (a)(b)

    199,000    $ 9,524,140

Infinera Corp. (a)(b)

    453,900      10,017,573

JDS Uniphase Corp. (a)(b)

    2,148,739      32,789,757

Juniper Networks, Inc. (a)(b)

    528,781      19,036,116

McAfee, Inc. (b)

    149,700      6,190,095
         
        77,557,681
         

Computer Services Software & Systems - 9.9%

      

Audible, Inc. (a)(b)

    989,713      13,054,314

Citrix Systems, Inc. (b)

    240,600      10,343,394

Nuance Communications, Inc. (b)

    611,800      13,526,898

Red Hat, Inc. (a)(b)

    1,190,340      25,699,441

Salesforce.com, Inc. (a)(b)

    398,800      22,480,356
         
        85,104,403
         

Computer Technology - 5.0%

      

Network Appliance, Inc. (b)

    803,725      25,309,300

SanDisk Corp. (b)

    383,500      17,027,400
         
        42,336,700
         

Electronics: Semi-Conductors/Components - 12.9%

      

Advanced Micro Devices, Inc. (b)

    2,727,477      35,675,399

First Solar, Inc. (b)

    55,100      8,750,431

International Rectifier Corp. (b)

    373,300      12,460,754

MEMC Electronic Materials, Inc. (b)

    233,100      17,067,582

Netlogic Microsystems, Inc. (a)(b)

    670,440      22,258,608

Silicon Laboratories, Inc. (b)

    327,702      14,320,578
         
        110,533,352
         

Electronics: Technology - 0.8%

      

Trimble Navigation Ltd. (b)

    171,000      7,130,700
         
        322,662,836
         

Health Care - 16.8%

      

Biotechnology Research & Production - 4.2%

      

Alnylam Pharmaceuticals, Inc. (a)(b)

    120,800      3,814,864

Applera Corp. - Celera Group (a)(b)

    949,391      15,484,567

Celgene Corp. (b)

    145,800      9,622,800

Myriad Genetics, Inc. (b)

    124,010      6,865,194
         
        35,787,425
         

Drugs & Pharmaceuticals - 1.8%

      

Compugen Ltd. (b)

    1,614,810      3,875,544

Qiagen NV (a)(b)

    490,615      11,549,077
         
        15,424,621
         

Electronics: Medical Systems - 3.5%

      

Affymetrix, Inc. (a)(b)

    397,679      10,124,907

Hologic, Inc. (b)

    195,900      13,307,487

Illumina, Inc. (a)(b)

    125,300      7,035,595
         
        30,467,989
         

Medical & Dental Instruments & Supplies - 7.3%

      

Cepheid, Inc. (a)(b)

    1,069,387      27,675,735

Cerus Corp. (a)(b)

    1,845,266    16,607,394

Given Imaging Ltd. (a)(b)

    630,573    17,990,248
       
      62,273,377
       
      143,953,412
       

Consumer Discretionary - 15.2%

      

Communication & Media - 2.1%

      

Shanda Interactive Entertainment Ltd. (Sponsored) (ADR) (b)

    446,612    17,583,114
       

Consumer Electronics - 2.6%

      

Activision, Inc. (a)(b)

    509,600    12,052,040

THQ, Inc. (b)

    379,000    10,267,110
       
      22,319,150
       

Education Services - 2.1%

      

Apollo Group, Inc.-Class A (a)(b)

    223,378    17,704,940
       

Entertainment - 0.9%

      

Gaylord Entertainment Co. (a)(b)

    148,360    8,082,653
       

Hotel/Motel - 4.0%

      

Wyndham Worldwide Corp.

    271,200    8,903,496

Wynn Resorts Ltd. (a)

    157,550    25,433,297
       
      34,336,793
       

Leisure Time - 1.1%

      

Ctrip.com International Ltd. (ADR)

    166,580    9,388,449
       

Printing and Copying Services - 1.5%

      

VistaPrint Ltd. (a)(b)

    263,890    12,553,247
       

Retail - 0.2%

      

Saks, Inc.

    75,500    1,597,580
       

Textiles Apparel Mfrs - 0.7%

      

Under Armour, Inc.-Class A (a)(b)

    102,160    6,359,460
       
      129,925,386
       

Producer Durables - 10.1%

      

Diversified Production - 1.1%

      

Thomas & Betts Corp. (b)

    160,800    9,006,408
       

Electrical Equipment & Components - 1.7%

      

Baldor Electric Co.

    366,950    14,795,424
       

Electronics: Instruments Gauges & Meters - 1.6%

      

Itron, Inc. (a)(b)

    121,890    13,101,956
       

Identification Control & Filter Devices - 1.0%

      

Flowserve Corp.

    110,600    8,732,976
       

Production Technology Equipment - 4.7%

      

KLA-Tencor Corp.

    320,094    16,852,949

Lam Research Corp. (a)(b)

    467,473    23,467,145
       
      40,320,094
       
      85,956,858
       

Financial Services - 8.8%

      

Diversified Financial Services - 5.9%

      

CME Group, Inc.-Class A

    24,966    16,633,597

Interactive Brokers Group, Inc.-Class A (b)

    357,500    10,321,025

Nasdaq Stock Market, Inc. (b)

    510,408    23,836,054
       
      50,790,676
       

Financial Information Services - 1.3%

      

Move, Inc. (b)

    4,302,008      10,927,100  
           

Securities Brokerage & Services - 1.6%

      

TD Ameritrade Holding Corp. (b)

    703,946      13,473,527  
           
        75,191,303  
           

Materials & Processing - 3.0%

      

Engineering & Contracting Services - 1.7%

      

Quanta Services, Inc. (b)

    453,400      14,962,200  
           

Miscellaneous Materials & Processing - 1.3%

      

USEC, Inc. (a)(b)

    1,229,600      10,820,480  
           
        25,782,680  
           

Utilities - 2.9%

      

Utilities: Electrical - 2.9%

      

The AES Corp. (b)

    622,065      13,318,412  

ITC Holdings Corp.

    197,550      11,307,762  
           
        24,626,174  
           

Autos and Transportation - 2.6%

      

Air Transport - 2.6%

      

Continental Airlines, Inc.-Class B (a)(b)

    654,790      22,492,036  
           

Other Energy - 2.4%

      

Machinery: Oil Well Equip & Services - 0.3%

      

FMC Technologies, Inc. (b)

    39,400      2,388,822  
           

Oil: Crude Producers - 1.1%

      

Denbury Resources, Inc. (b)

    171,300      9,695,580  
           

Utilities: Gas Pipelines - 1.0%

      

El Paso Corp.

    493,400      8,713,444  
           
        20,797,846  
           

Total Common Stocks (cost $696,453,532)

         851,388,531  
           

SHORT-TERM INVESTMENTS - 0.1%

      

Investment Companies - 0.1%

      

AllianceBernstein Fixed-Income Shares, Inc. - Government STIF Portfolio (c) (cost $1,172,548)

    1,172,548      1,172,548  
           

Total Investments Before Security Lending Collateral - 99.6%

      

(cost $697,626,080)

         852,561,079  
           

INVESTMENT OF CASH COLLATERAL FOR SECURITIES LOANED - 25.1%

      

Short-Terms - 25.1%

      

UBS Private Money Market Fund, LLC (cost $214,271,069)

    214,271,069      214,271,069  
           

Total Investments - 124.7%

      

(cost $911,897,149)

         1,066,832,148  

Other assets less liabilities - (24.7)%

         (211,180,998 )
           

Net Assets - 100.0%

       $ 855,651,150  
           
(a) Represents entire or partial securities out on loan.
(b) Non-income producing security.
(c) Investment in affiliated money market mutual fund.

Please note: The sector classifications presented herein are based on the sector categorization methodology of the Adviser.

Glossary:

ADR - American Depositary Receipt

ITEM 2. CONTROLS AND PROCEDURES.

(a) The registrant’s principal executive officer and principal financial officer have concluded that the registrant’s disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940, as amended) are effective at the reasonable assurance level based on their evaluation of these controls and procedures as of a date within 90 days of the filing date of this document.

(b) There were no significant changes in the registrant’s internal control over financial reporting that could significantly affect these controls subsequent to the date of their evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses.

 

ITEM 3. EXHIBITS.

The following exhibits are attached to this Form N-Q:

 

EXHIBIT NO.

   

DESCRIPTION OF EXHIBIT

11 (a) (1)

    Certification of Principal Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

11 (a) (2)

    Certification of Principal Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

(Registrant): AllianceBernstein Mid-Cap Growth Fund, Inc.

By:

  

/s/ Marc O. Mayer

  Marc O. Mayer
  President

Date:

   December 24, 2007

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.

 

By:

  

/s/ Marc O. Mayer

  Marc O. Mayer
  President

Date:

   December 24, 2007

By:

  

/s/ Joseph J. Mantineo

  Joseph J. Mantineo
  Treasurer and Chief Financial Officer

Date:

   December 24, 2007
 EX-99.CERT 2 dex99cert.htm CERTIFICATIONS Certifications

Exhibit 11 (a) (1)

CERTIFICATIONS

I, Marc O. Mayer, certify that:

1. I have reviewed this report on Form N-Q of AllianceBernstein Mid-Cap Growth Fund, Inc.;

2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

3. Based on my knowledge, the schedules of investments included in this report fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed;

4. The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:

(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

(b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, 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;

(c) Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and

(d) Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

5. The registrant’s other certifying officer(s) and I have disclosed to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

(a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize, and report financial information; and

(b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

/s/ Marc O. Mayer

Marc O. Mayer

President

Date: December 24, 2007

Exhibit 11 (a) (2)

CERTIFICATIONS

I, Joseph J. Mantineo, certify that:

1. I have reviewed this report on Form N-Q of AllianceBernstein Mid-Cap Growth Fund, Inc.;

2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;

3. Based on my knowledge, the schedules of investments included in this report fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed;

4. The registrant’s other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:

(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;

(b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, 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;

(c) Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and

(d) Disclosed in this report any change in the registrant’s internal control over financial reporting that occurred during the registrant’s most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and

5. The registrant’s other certifying officer(s) and I have disclosed to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):

(a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize, and report financial information; and

(b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant’s internal control over financial reporting.

 

/s/ Joseph J. Mantineo

Joseph J. Mantineo

Treasurer and Chief Financial Officer

Date: December 24, 2007

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