-----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, VRVE/nwqPUJynIn6UZJp8mmXpxSCyCq5+X6Np5h9YbCoOtREakfHRWWl1QMmMSFR ASgDI7+KqO7FIIAi+/5P4Q== 0000950147-01-500477.txt : 20010308 0000950147-01-500477.hdr.sgml : 20010308 ACCESSION NUMBER: 0000950147-01-500477 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20001231 FILED AS OF DATE: 20010306 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PILGRIM INVESTMENT FUNDS INC/MD CENTRAL INDEX KEY: 0000061448 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 136066974 STATE OF INCORPORATION: MD FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: SEC FILE NUMBER: 811-01939 FILM NUMBER: 1562275 BUSINESS ADDRESS: STREET 1: TWO RENAISSANCE SQUARE 40 N CENTRAL STREET 2: STE 1200 CITY: PHOENIX STATE: AZ ZIP: 85004-4424 BUSINESS PHONE: 6024178100 MAIL ADDRESS: STREET 1: TWO RENAISSANCE SQ STREET 2: 40 N CENTRAL STE 1200 CITY: PHOENIX STATE: AZ ZIP: 85004-4424 FORMER COMPANY: FORMER CONFORMED NAME: PILGRIM INVESTMENT FUNDS INC DATE OF NAME CHANGE: 19950503 FORMER COMPANY: FORMER CONFORMED NAME: PILGRIM MAGNACAP FUND INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: MAGNACAP FUND INC DATE OF NAME CHANGE: 19850701 NSAR-A 1 0001.txt N-SAR (6.1) PAGE 1 000 A000000 12/31/2000 000 C000000 0000061448 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 U 001 A000000 PILGRIM INVESTMENT FUNDS, INC. 001 B000000 811-01939 001 C000000 4804773000 002 A000000 7337 E. DOUBLETREE RANCH ROAD 002 B000000 SCOTTSDALE 002 C000000 AZ 002 D010000 85258 002 D020000 2034 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 2 007 C010100 1 007 C020100 PILGRIM HIGH YIELD FUND 007 C030100 N 007 C010200 2 007 C020200 PILGRIM MAGNA CAP FUND 007 C030200 N 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 A00AA01 ING PILGRIM INVESTMENTS, INC. 008 B00AA01 A 008 C00AA01 801-8178 008 D01AA01 SCOTTSDALE 008 D02AA01 AZ 008 D03AA01 85258 008 D04AA01 2034 010 A00AA01 ING PILGRIM GROUP, INC 010 C01AA01 SCOTTSDALE 010 C02AA01 AZ 010 C03AA01 85258 010 C04AA01 2034 011 A00AA01 ING PILGRIM SECURITIES, INC. 011 B00AA01 8-8272 PAGE 2 011 C01AA01 SCOTTSDALE 011 C02AA01 AZ 011 C03AA01 85258 011 C04AA01 2034 012 A00AA01 ING PILGRIM GROUP, INC 012 B00AA01 85-00535 012 C01AA01 SCOTTSDALE 012 C02AA01 AZ 012 C03AA01 85258 012 C04AA01 2034 013 A00AA01 KPMG LLP 013 B01AA01 LA 013 B02AA01 CA 013 B03AA01 90017 014 A00AA01 ING PILGRIM SECURITIES, INC. 014 B00AA01 8-38545 014 A00AA02 WASHINGTON SQUARE SECURITIES, INC. 014 B00AA02 8-00000000 014 A00AA03 PRIMVEST FINANCIAL SERVICES, INC. 014 B00AA03 8-00000000 014 A00AA04 GRANITE INVESTMENT SERVICES 014 B00AA04 8-00000000 014 A00AA05 FINANCIAL NORTHEASTERN SECURITIES 014 B00AA05 8-00000000 014 A00AA06 BARING INVESTMENT SERVICES 014 B00AA06 8-00000000 014 A00AA07 COMPULIFE INVESTOR SERVICES, INC. 014 B00AA07 8-00000000 014 A00AA08 DIRECTED SERVICES, INC. 014 B00AA08 8-00000000 014 A00AA09 FURMAN SELZ FIN. SERVICES 014 B00AA09 8-00000000 014 A00AA10 ING NETWORK SECURITIES 014 B00AA10 8-00000000 014 A00AA11 ING (US) SEC., FUTURES & OPTIONS INC 014 B00AA11 8-00000000 014 A00AA12 ING AMERICA EQUITIES, INC. 014 B00AA12 8-00000000 014 A00AA13 ING BARING LLC 014 B00AA13 8-00000000 014 A00AA14 ING FUNDS DISTRIBUTORS, INC. 014 B00AA14 8-00000000 014 A00AA15 ING INSURANCE AGENCY, INC. 014 B00AA15 8-00000000 014 A00AA16 ING TT&S(US) SEC. INC. 014 B00AA16 8-00000000 014 A00AA17 LOCUST STREET SEC., INC. 014 B00AA17 8-00000000 014 A00AA18 MUTI-FINANCIAL SECURITIES, CORP. 014 B00AA18 8-00000000 014 A00AA19 UNITED VARIABLE SERVICES INC. PAGE 3 014 B00AA19 8-00000000 014 A00AA20 VESTAX SECURITIES CORP. 014 B00AA20 8-00000000 014 A00AA21 BANCWEST INVESTMENT SERVICES 014 B00AA21 8-00000000 014 A00AA22 GURANTY BROKERAGE SERVICES, INC. 014 B00AA22 8-00000000 014 A00AA23 LEXINGTON FUNDS DISTRIBUTOR, INC. 014 B00AA23 8-00000000 014 A00AA24 AELTUS CAPITAL, NC. 014 B00AA24 8-00000000 014 A00AA25 AETNA INVESTMENT SERVICES, INC. 014 B00AA25 8-00000000 014 A00AA26 FINANCIAL NETWORK INVESTMENT CORP. 014 B00AA26 8-00000000 014 A00AA27 SYSTEMIZED BENEFIT ADMINISTRATOR, INC. 014 B00AA27 8-00000000 015 A00AA01 STATE STREET KANSAS CITY 015 B00AA01 C 015 C01AA01 KANSAS CITY 015 C02AA01 MO 015 C03AA01 64105 015 E01AA01 X 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 72 019 C00AA00 INGPILGRIM 020 A000001 AUTRANET INC 020 C000001 147 020 A000002 MORGAN STANLEY AND CO., INC 020 C000002 33 020 A000003 LEHMAN BROTHERS AND CO. 020 C000003 21 020 A000004 BERSTEIN SANFORD & CO 020 C000004 20 020 A000005 CIBC WORLD MARKETS CORP 020 C000005 15 020 A000006 BEAR STEARNS AND CO 020 C000006 13 020 A000007 SALOMON BROS., SMITH BARNEY 020 C000007 13 020 A000008 MERRILL LYNCH AND CO., INC 020 C000008 11 020 A000009 PRUDENTIAL SECURITIES INC. 020 C000009 9 020 A000010 BOSTON INSTITOTIONAL SERVICES INC 020 C000010 7 021 000000 337 022 A000001 MERRILL LYNCH AND CO., INC. 022 C000001 4115648 022 D000001 10418 PAGE 4 022 A000002 GENERAL ELECTRIC CREDIT CORP. 022 C000002 854723 022 D000002 0 022 A000003 BANKERS TRUST CO. 022 C000003 238464 022 D000003 0 022 A000004 DONALDSON, LUFKIN & JENRETTE 022 C000004 23447 022 D000004 14606 022 A000005 BEAR STEARNS AND CO. 022 C000005 24901 022 D000005 12951 022 A000006 DEUTSCHE BANK ALEX BROWN, INC. 022 C000006 17503 022 D000006 19436 022 A000007 BANK OF AMERICA 022 C000007 11750 022 D000007 14366 022 A000008 LEHMAN BROTHERS AND CO. 022 C000008 12663 022 D000008 10713 022 A000009 TORONTO DOMINION BANK 022 C000009 8628 022 D000009 12668 022 A000010 SALOMON BROS., SMITH BARNEY 022 C000010 12603 022 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B040100 18564 028 C010100 4486 028 C020100 938 028 C030100 0 028 C040100 12080 028 D010100 5308 028 D020100 860 PAGE 6 028 D030100 0 028 D040100 15388 028 E010100 5783 028 E020100 818 028 E030100 0 028 E040100 13955 028 F010100 7075 028 F020100 792 028 F030100 0 028 F040100 13075 028 G010100 45059 028 G020100 5362 028 G030100 0 028 G040100 91714 028 H000100 25777 029 000100 Y 030 A000100 95 030 B000100 4.75 030 C000100 0.00 031 A000100 15 031 B000100 0 032 000100 80 033 000100 0 034 000100 Y 035 000100 612 036 A000100 N 036 B000100 0 037 000100 N 038 000100 0 039 000100 N 040 000100 Y 041 000100 Y 042 A000100 0 042 B000100 0 042 C000100 0 042 D000100 0 042 E000100 0 042 F000100 0 042 G000100 0 042 H000100 100 043 000100 1004 044 000100 0 045 000100 Y 046 000100 N 047 000100 Y 048 000100 0.600 048 A010100 0 048 A020100 0.000 048 B010100 0 048 B020100 0.000 048 C010100 0 PAGE 7 048 C020100 0.000 048 D010100 0 048 D020100 0.000 048 E010100 0 048 E020100 0.000 048 F010100 0 048 F020100 0.000 048 G010100 0 048 G020100 0.000 048 H010100 0 048 H020100 0.000 048 I010100 0 048 I020100 0.000 048 J010100 0 048 J020100 0.000 048 K010100 0 048 K020100 0.000 062 A000100 Y 062 B000100 0.0 062 C000100 0.0 062 D000100 0.0 062 E000100 0.0 062 F000100 0.0 062 G000100 0.0 062 H000100 0.0 062 I000100 4.4 062 J000100 0.0 062 K000100 0.0 062 L000100 0.0 062 M000100 0.0 062 N000100 0.0 062 O000100 0.0 062 P000100 91.3 062 Q000100 0.0 062 R000100 0.0 063 A000100 0 063 B000100 7.1 064 A000100 N 064 B000100 N 066 A000100 N 067 000100 N 068 A000100 N 068 B000100 N 069 000100 N 070 A010100 Y 070 A020100 Y 070 B010100 N 070 B020100 N 070 C010100 Y 070 C020100 N 070 D010100 N PAGE 8 070 D020100 N 070 E010100 Y 070 E020100 N 070 F010100 N 070 F020100 N 070 G010100 N 070 G020100 N 070 H010100 N 070 H020100 N 070 I010100 N 070 I020100 N 070 J010100 Y 070 J020100 Y 070 K010100 Y 070 K020100 N 070 L010100 Y 070 L020100 Y 070 M010100 N 070 M020100 N 070 N010100 N 070 N020100 N 070 O010100 Y 070 O020100 N 070 P010100 Y 070 P020100 N 070 Q010100 Y 070 Q020100 N 070 R010100 Y 070 R020100 N 071 A000100 155771 071 B000100 193641 071 C000100 219801 071 D000100 71 072 A000100 6 072 B000100 15201 072 C000100 0 072 D000100 0 072 E000100 0 072 F000100 765 072 G000100 0 072 H000100 0 072 I000100 177 072 J000100 39 072 K000100 20 072 L000100 36 072 M000100 12 072 N000100 41 072 O000100 0 072 P000100 2 072 Q000100 0 072 R000100 25 PAGE 9 072 S000100 15 072 T000100 1004 072 U000100 0 072 V000100 0 072 W000100 65 072 X000100 2201 072 Y000100 110 072 Z000100 13110 072AA000100 0 072BB000100 69395 072CC010100 8597 072CC020100 0 072DD010100 15885 072DD020100 0 072EE000100 0 073 A010100 0.2925 073 A020100 0.2752 073 B000100 0.0000 073 C000100 0.0000 074 A000100 24 074 B000100 0 074 C000100 13059 074 D000100 181972 074 E000100 0 074 F000100 0 074 G000100 0 074 H000100 0 074 I000100 0 074 J000100 1108 074 K000100 0 074 L000100 6051 074 M000100 69 074 N000100 202283 074 O000100 1207 074 P000100 189 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B000200 0 042 C000200 0 042 D000200 0 PAGE 11 042 E000200 0 042 F000200 0 042 G000200 0 042 H000200 100 043 000200 962 044 000200 0 045 000200 Y 046 000200 N 047 000200 Y 048 000200 0.000 048 A010200 30000 048 A020200 1.000 048 B010200 220000 048 B020200 0.750 048 C010200 250000 048 C020200 0.625 048 D010200 0 048 D020200 0.000 048 E010200 0 048 E020200 0.000 048 F010200 0 048 F020200 0.000 048 G010200 0 048 G020200 0.000 048 H010200 0 048 H020200 0.000 048 I010200 0 048 I020200 0.000 048 J010200 0 048 J020200 0.000 048 K010200 500000 048 K020200 0.500 062 A000200 N 062 B000200 0.0 062 C000200 0.0 062 D000200 0.0 062 E000200 0.0 062 F000200 0.0 062 G000200 0.0 062 H000200 0.0 062 I000200 0.0 062 J000200 0.0 062 K000200 0.0 062 L000200 0.0 062 M000200 0.0 062 N000200 0.0 062 O000200 0.0 062 P000200 0.0 062 Q000200 0.0 062 R000200 0.0 066 A000200 Y PAGE 12 066 B000200 N 066 C000200 Y 066 D000200 N 066 E000200 N 066 F000200 N 066 G000200 N 067 000200 N 068 A000200 N 068 B000200 N 069 000200 N 070 A010200 Y 070 A020200 Y 070 B010200 Y 070 B020200 N 070 C010200 N 070 C020200 N 070 D010200 Y 070 D020200 N 070 E010200 Y 070 E020200 N 070 F010200 Y 070 F020200 N 070 G010200 Y 070 G020200 N 070 H010200 Y 070 H020200 N 070 I010200 N 070 I020200 N 070 J010200 Y 070 J020200 N 070 K010200 Y 070 K020200 N 070 L010200 Y 070 L020200 Y 070 M010200 N 070 M020200 N 070 N010200 Y 070 N020200 N 070 O010200 Y 070 O020200 N 070 P010200 Y 070 P020200 N 070 Q010200 Y 070 Q020200 N 070 R010200 Y 070 R020200 N 071 A000200 110310 071 B000200 144489 071 C000200 395905 071 D000200 28 PAGE 13 072 A000200 6 072 B000200 511 072 C000200 3114 072 D000200 0 072 E000200 0 072 F000200 1493 072 G000200 0 072 H000200 0 072 I000200 268 072 J000200 26 072 K000200 60 072 L000200 74 072 M000200 15 072 N000200 39 072 O000200 0 072 P000200 4 072 Q000200 0 072 R000200 18 072 S000200 12 072 T000200 962 072 U000200 0 072 V000200 0 072 W000200 24 072 X000200 2995 072 Y000200 0 072 Z000200 630 072AA000200 22097 072BB000200 0 072CC010200 0 072CC020200 6793 072DD010200 1736 072DD020200 0 072EE000200 47091 073 A010200 0.0877 073 A020200 0.0041 073 B000200 1.8760 073 C000200 0.0000 074 A000200 20 074 B000200 15198 074 C000200 0 074 D000200 0 074 E000200 0 074 F000200 387728 074 G000200 0 074 H000200 0 074 I000200 0 074 J000200 215 074 K000200 0 074 L000200 592 074 M000200 69 074 N000200 403822 PAGE 14 074 O000200 0 074 P000200 244 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 2037 074 S000200 0 074 T000200 401541 074 U010200 20229 074 U020200 5737 074 V010200 14.47 074 V020200 14.09 074 W000200 0.0000 074 X000200 31152 074 Y000200 0 075 A000200 0 075 B000200 412146 076 000200 0.00 SIGNATURE MICHAEL ROLAND TITLE CFO EX-99.77.C 2 ex77-c.txt MATTERS SUBMITTED TO SECURITY HOLDERS Exhibit 77(c) FOR PILGRIM INVESTMENT FUNDS, INC. on behalf of Pilgrim MagnaCap Fund Pilgrim High Yield Fund MATTERS SUBMITTED TO A VOTE OF SECURITY HOLDERS A Special Meeting of Shareholders of Pilgrim Investment Funds, Inc. ("PIF") was held on August 18, 2000, for the purpose of: (1)(i) approving a new Investment Management Agreement between PIF, on behalf of Pilgrim MagnaCap Fund, and ING Pilgrim Investments, LLC ("ING Pilgrim Investments"); and (1)(ii) approving a new Investment Management Agreement between PIF, on behalf of Pilgrim High Yield Fund, and ING Pilgrim Investments. EX-99.77.Q.1 3 ex-q1.txt EXHIBITS Exhibit (q)(1) FOR PILGRIM INVESTMENT FUNDS, INC. on behalf of Pilgrim MagnaCap Fund Pilgrim High Yield Fund EXHIBITS (e)(1) Form of Investment Management Agreement between PIF, on behalf of Pilgrim MagnaCap Fund, and ING Pilgrim Investments is incorporated by reference to Post-Effective Amendment No. 47 to the Registration Statement on Form N-1A as filed on November 2, 2000. (e)(2) Form of Investment Management Agreement between PIF, on behalf of Pilgrim High Yield Fund, and ING Pilgrim Investments is incorporated by reference to Post-Effective Amendment No. 47 to the Registration Statement on Form N-1A as filed on November 2, 2000. -----END PRIVACY-ENHANCED MESSAGE-----