-----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, DJyW24btDraty7k1xu2BzCb87xjSboLCWIhdhojbL6rTh1i0Z6ouv3xPvDBXSu8S HbZCajqqaqRmPSBJ38M+nQ== 0000917713-01-000005.txt : 20010131 0000917713-01-000005.hdr.sgml : 20010131 ACCESSION NUMBER: 0000917713-01-000005 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20001130 FILED AS OF DATE: 20010130 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANCE TECHNOLOGY FUND INC CENTRAL INDEX KEY: 0000350181 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133056623 STATE OF INCORPORATION: NY FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: SEC FILE NUMBER: 811-03131 FILM NUMBER: 1518350 BUSINESS ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 BUSINESS PHONE: 2013194105 MAIL ADDRESS: STREET 1: ALLIANCE CAPITAL MANAGEMENT LP STREET 2: 1345 AVENUE OF THE AMERICAS 31ST FL CITY: NEW YORK STATE: NY ZIP: 10105 NSAR-B 1 0001.txt N-SAR (6.1) PAGE 1 000 B000000 11/30/2000 000 C000000 0000350181 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 ALLIANCE TECHNOLOGY FUND, INC. 001 B000000 811-03131 001 C000000 2013194105 002 A000000 500 PLAZA DRIVE 002 B000000 SECAUCUS 002 C000000 NJ 002 D010000 07094 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 007 C010100 1 007 C010200 2 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A000001 ALLIANCE CAPITAL MANAGEMENT L.P. 008 B000001 A 008 C000001 801-32361 008 D010001 NEW YORK 008 D020001 NY 008 D030001 10105 011 A000001 ALLIANCE FUND DISTRIBUTORS, INC. 011 B000001 8-30851 011 C010001 NEW YORK 011 C020001 NY 011 C030001 10105 012 A000001 ALLIANCE FUND SERVICES, INC. 012 B000001 84-0001187 012 C010001 SECAUCUS 012 C020001 NJ 012 C030001 07096 013 A000001 ERNST & YOUNG LLP 013 B010001 NEW YORK 013 B020001 NY PAGE 2 013 B030001 10019 014 A000001 DONALDSON, LUFKIN & JENRETTE SECURITIES CORP. 014 B000001 8-00017574 014 A000002 SANFORD C. BERNSTEIN & CO., LLC 014 B000002 8-00052942 015 A000001 STATE STREET BANK AND TRUST CO. 015 B000001 S 015 C010001 BOSTON 015 C020001 MA 015 C030001 02110 015 E010001 X 018 000000 Y 019 A000000 Y 019 B000000 52 019 C000000 ALLIANCECA 020 A000001 DONALDSON, LUFKIN & JENRETTE SECURITIES CORP. 020 B000001 13-2741729 020 C000001 1122 020 A000002 CREDIT SUISSE FIRST BOSTON CORP. 020 B000002 13-5659485 020 C000002 979 020 A000003 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. 020 B000003 13-5674085 020 C000003 976 020 A000004 SALOMON SMITH BARNEY, INC. 020 B000004 13-2998183 020 C000004 678 020 A000005 BANC AMERICA SECURITY LLC 020 C000005 424 020 A000006 MORGAN STANLEY & CO., INC. 020 B000006 13-2655998 020 C000006 396 020 A000007 LEHMAN BROTHERS, INC. 020 B000007 13-2518466 020 C000007 308 020 A000008 LEGG MASON WOOD WALKER, INC. 020 B000008 52-0902557 020 C000008 244 020 A000009 GOLDMAN, SACHS & CO. 020 B000009 13-5108880 020 C000009 240 020 A000010 INSTINET 020 C000010 227 021 000000 7071 022 A000001 STATE STREET BANK & TRUST CO. 022 B000001 04-1867445 022 C000001 172827522 022 D000001 0 022 A000002 PRUDENTIAL FUNDING CORP. 022 C000002 947023 022 D000002 0 PAGE 3 022 A000003 CHASE MANHATTAN BANK 022 C000003 498410 022 D000003 99639 022 A000004 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. 022 B000004 13-5674085 022 C000004 461382 022 D000004 78981 022 A000005 BANC AMERICA SECURITY LLC 022 C000005 226340 022 D000005 231165 022 A000006 GOLDMAN, SACHS & CO. 022 B000006 13-5108880 022 C000006 273381 022 D000006 181461 022 A000007 CREDIT SUISSE FIRST BOSTON CORP. 022 B000007 13-5659485 022 C000007 365750 022 D000007 82983 022 A000008 MORGAN STANLEY & CO., INC. 022 B000008 13-2655998 022 C000008 314384 022 D000008 103326 022 A000009 LEHMAN BROTHERS, INC. 022 B000009 13-2518466 022 C000009 218741 022 D000009 188492 022 A000010 SBC WARBURG, DILLON, READ, INC. 022 B000010 13-3340045 022 C000010 347353 022 D000010 56124 023 C000000 178119918 023 D000000 1641845 024 000000 N 025 D000001 0 025 D000002 0 025 D000003 0 025 D000004 0 025 D000005 0 025 D000006 0 025 D000007 0 025 D000008 0 026 A000000 Y 026 B000000 Y 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 Y 027 000000 Y PAGE 4 028 A010000 1983380 028 A020000 13 028 A030000 0 028 A040000 1794605 028 B010000 1679354 028 B020000 3 028 B030000 0 028 B040000 1562043 028 C010000 2003540 028 C020000 1 028 C030000 0 028 C040000 1593525 028 D010000 1582697 028 D020000 2 028 D030000 0 028 D040000 1343071 028 E010000 1452722 028 E020000 2 028 E030000 0 028 E040000 1464637 028 F010000 1326368 028 F020000 0 028 F030000 0 028 F040000 1306999 028 G010000 10028061 028 G020000 21 028 G030000 0 028 G040000 9064880 028 H000000 8090552 029 000000 Y 030 A000000 47461 030 B000000 4.25 030 C000000 4.25 031 A000000 2202 031 B000000 0 032 000000 45259 033 000000 0 034 000000 Y 035 000000 7933 036 A000000 Y 036 B000000 0 037 000000 N 038 000000 0 039 000000 N 040 000000 Y 041 000000 Y 042 A000000 0 042 B000000 0 042 C000000 100 042 D000000 0 042 E000000 0 PAGE 5 042 F000000 0 042 G000000 0 042 H000000 0 043 000000 87624 044 000000 8875 045 000000 Y 046 000000 N 047 000000 Y 048 000000 0.000 048 A010000 10000000 048 A020000 1.000 048 B010000 2500000 048 B020000 0.975 048 C010000 2500000 048 C020000 0.950 048 D010000 2500000 048 D020000 0.925 048 E010000 2500000 048 E020000 0.900 048 F010000 2500000 048 F020000 0.875 048 G010000 0 048 G020000 0.000 048 H010000 0 048 H020000 0.000 048 I010000 0 048 I020000 0.000 048 J010000 0 048 J020000 0.000 048 K010000 22500000 048 K020000 0.850 049 000000 N 050 000000 N 051 000000 N 052 000000 N 053 A000000 N 054 A000000 Y 054 B000000 Y 054 C000000 N 054 D000000 N 054 E000000 N 054 F000000 N 054 G000000 Y 054 H000000 N 054 I000000 N 054 J000000 N 054 K000000 N 054 L000000 N 054 M000000 Y 054 N000000 N 054 O000000 N PAGE 6 055 A000000 N 055 B000000 N 056 000000 Y 057 000000 N 058 A000000 N 059 000000 Y 060 A000000 Y 060 B000000 Y 061 000000 250 062 A000000 N 062 B000000 0.0 062 C000000 0.0 062 D000000 0.0 062 E000000 0.0 062 F000000 0.0 062 G000000 0.0 062 H000000 0.0 062 I000000 0.0 062 J000000 0.0 062 K000000 0.0 062 L000000 0.0 062 M000000 0.0 062 N000000 0.0 062 O000000 0.0 062 P000000 0.0 062 Q000000 0.0 062 R000000 0.0 063 A000000 0 063 B000000 0.0 066 A000000 Y 066 B000000 N 066 C000000 N 066 D000000 Y 066 E000000 N 066 F000000 N 066 G000000 N 067 000000 N 068 A000000 N 068 B000000 N 069 000000 N 070 A010000 Y 070 A020000 N 070 B010000 Y 070 B020000 N 070 C010000 Y 070 C020000 N 070 D010000 Y 070 D020000 N 070 E010000 N 070 E020000 N 070 F010000 Y PAGE 7 070 F020000 N 070 G010000 Y 070 G020000 N 070 H010000 Y 070 H020000 N 070 I010000 Y 070 I020000 N 070 J010000 Y 070 J020000 N 070 K010000 N 070 K020000 N 070 L010000 Y 070 L020000 Y 070 M010000 Y 070 M020000 N 070 N010000 N 070 N020000 N 070 O010000 N 070 O020000 N 070 P010000 N 070 P020000 N 070 Q010000 N 070 Q020000 N 070 R010000 N 070 R020000 N 071 A000000 7505598 071 B000000 4857315 071 C000000 10490388 071 D000000 46 072 A000000 12 072 B000000 46995 072 C000000 13713 072 D000000 0 072 E000000 0 072 F000000 115594 072 G000000 140 072 H000000 0 072 I000000 19446 072 J000000 730 072 K000000 0 072 L000000 1801 072 M000000 107 072 N000000 1251 072 O000000 0 072 P000000 0 072 Q000000 0 072 R000000 76 072 S000000 62 072 T000000 87624 072 U000000 0 072 V000000 0 PAGE 8 072 W000000 238 072 X000000 227069 072 Y000000 0 072 Z000000 -166361 072AA000000 577469 072BB000000 0 072CC010000 0 072CC020000 2425332 072DD010000 0 072DD020000 0 072EE000000 280325 073 A010000 0.0000 073 A020000 0.0000 073 B000000 4.0400 073 C000000 0.0000 074 A000000 1 074 B000000 0 074 C000000 1244320 074 D000000 0 074 E000000 0 074 F000000 7566369 074 G000000 0 074 H000000 0 074 I000000 0 074 J000000 89083 074 K000000 0 074 L000000 59039 074 M000000 0 074 N000000 8958812 074 O000000 0 074 P000000 26846 074 Q000000 0 074 R010000 0 074 R020000 0 074 R030000 0 074 R040000 37842 074 S000000 0 074 T000000 8894124 074 U010000 27812 074 U020000 69463 074 V010000 95.32 074 V020000 89.59 074 W000000 0.0000 074 X000000 753030 074 Y000000 0 075 A000000 0 075 B000000 11303789 076 000000 0.00 077 A000000 Y 077 B000000 Y 077 C000000 N PAGE 9 077 D000000 N 077 E000000 N 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 Y 077 P000000 N 077 Q010000 Y 077 Q020000 N 077 Q030000 N 078 000000 N 080 A000000 ICI MUTUAL INSURANCE CO. 080 B000000 GULF INSURANCE COMPANY, CHUBB 080 C000000 89000 081 A000000 Y 081 B000000 126 082 A000000 N 082 B000000 0 083 A000000 N 083 B000000 0 084 A000000 N 084 B000000 0 085 A000000 Y 085 B000000 N 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 SIGNATURE CATHY WHITE TITLE VICE PRESIDENT EX-99 2 0002.txt [DESCRIPTION]Report of 10f-3 Transactions Securities Purchased in Underwritings Involving Transactions with Donaldson, Lufkin, & Jenrette Securities Corporation Subject to Rule 10f-3 Under the Investment Company Act of 1940 ALLIANCE TECHNOLOGY FUND 10f-3 TRANSACTIONS FOR THE PERIOD JUNE 1, 2000 THROUGH NOVEMBER 30, 2000
Total % of Shares Shares Offering Shares Date Shares % of FundPrice perPurchased bOffered PurchasedPurchased Held Security* PurchasedPurchasedAssets Share Fund Group (000) By Group(From 11/30/00 Network Engines 07/13/00 5,900 0.00% $17.00 34,400 6,500 0.53% Robertson Stephens 0 SMTC Corp. 07/20/00 17,900 0.00% $16.00 113,900 11,000 1.04% Lehman Brothers 0 Tycom LTD 07/26/00 1,305,3000.00% $32.00 3,996,400 61,130 6.54% Goldman Sachs 0 Corvis Corp. 07/27/00 81,500 0.00% $36.00 264,300 27,500 0.96% Credit Suisse First Bos0 Speechworks International 08/01/00 2,200 0.00% $20.00 11,000 4,750 0.23% Lewco Securities 0 Vastera Inc. 09/28/00 11,700 0.00% $14.00 61,200 6,000 1.02% DB Clearing Services 0 Transmeta Corp. 11/06/00 13,900 0.00% $21.00 85,700 13,000 0.66% Morgan Stanley 0 Transmeta Corp. 11/06/00 2,000 0.00% $21.00 85,700 13,000 0.66% SG Cowen Securities 0
* Unless otherwise indicated, the securities were part of an issue registered under the Securities Act of 1933 and offered to the public. **Indicates the purchase of an Eligible Rule 144A Security. 1) Purchases by all Alliance Funds, including the Fund, may not exceed: (a) if purchased in an offering other than an Eligible Rule 144A Offering, 25% of the principal amount of the offering of such class; or (b) if purchased in an Eligible Rule 144A Offering, 25% of the total of (i) the principal amount of the offering of such class sold by underwriters or members of the selling syndicate to qualified institutional buyers, plus (ii) the principal amount of the offering of such class in any concurrent public offering. EX-99 3 0003.txt Report of Independent Auditors To the Shareholders and Board of Directors of Alliance Technology Fund, Inc. In planning and performing our audit of the financial statements of Alliance Technology Fund, Inc. for the year ended November 30, 2000, we considered its internal control, including control activities for safeguarding securities, to determine our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, and not to provide assurance on internal control. The management of Alliance Technology Fund, Inc. is responsible for establishing and maintaining internal control. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of internal control. Generally, internal controls that are relevant to an audit pertain to the entity's objective of preparing financial statements for external purposes that are fairly presented in conformity with generally accepted accounting principles. Those internal controls include the safeguarding of assets against unauthorized acquisition, use, or disposition. Because of inherent limitations in any internal control, misstatements due to errors or fraud may occur and not be detected. Also, projections of any evaluation of internal control to future periods are subject to the risk that internal control may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. Our consideration of internal control would not necessarily disclose all matters in internal control that might be material weaknesses under standards established by the American Institute of Certified Public Accountants. A material weakness is a condition in which the design or operation of one or more of the specific internal control components does not reduce to a relatively low level the risk that errors or fraud in amounts that would be material in relation to the financial statements being audited may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. However, we noted no matters involving internal control, including control activities for safeguarding securities, and its operation that we consider to be material weaknesses as defined above as of November 30, 2000. This report is intended solely for the information and use of the Board of Directors and management of Alliance Technology Fund, Inc., and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. ERNST & YOUNG LLP January 9, 2001 -----END PRIVACY-ENHANCED MESSAGE-----