-----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, BLmxOob3y8Nnxo2uWsb/Ll9F34R9WV7h4SWI6mycNav5tdid4c37VooVjeMyejej j9hTbuGMjurFw7hVW5dOvA== 0000950147-99-000166.txt : 19990302 0000950147-99-000166.hdr.sgml : 19990302 ACCESSION NUMBER: 0000950147-99-000166 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 8 CONFORMED PERIOD OF REPORT: 19981231 FILED AS OF DATE: 19990301 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: 99554198 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 N-SAR (3.0) PAGE 1 000 A000000 12/31/98 000 C000000 0000061448 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 3.0 000 J000000 U 001 A000000 PILGRIM INVESTMENT FUNDS, INC. 001 B000000 811-1939 001 C000000 6024178100 002 A000000 40 NORTH CENTRAL AVENUE, SUITE 1200 002 B000000 PHOENIX 002 C000000 AZ 002 D010000 85004 002 D020000 4408 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 2 007 C010100 1 007 C020100 PILGRIM MAGNACAP FUND 007 C030100 N 007 C010200 2 007 C020200 PILGRIM HIGH YIELD 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 PILGRIM INVESTMENTS,INC. 008 B00AA01 A 008 C00AA01 801-48282 008 D01AA01 PHOENIX 008 D02AA01 AZ 008 D03AA01 85004 008 D04AA01 4408 010 A00AA01 PILGRIM GROUP, INC. 010 C01AA01 PHOENIX 010 C02AA01 AZ 010 C03AA01 85004 010 C04AA01 4408 011 A00AA01 PILGRIM SECURITIES INC. 011 B00AA01 8-48020 PAGE 2 011 C01AA01 PHOENIX 011 C02AA01 AZ 011 C03AA01 85004 011 C04AA01 4408 012 A00AA01 PILGRIM GROUP, INC. 012 B00AA01 85- 012 C01AA01 PHOENIX 012 C02AA01 AZ 012 C03AA01 85004 012 C04AA01 4408 013 A00AA01 KPMG LLP 013 B01AA01 LOS ANGELES 013 B02AA01 CA 013 B03AA01 90017 015 A00AA01 INVESTORS FIDUCIARY TRUST COMPANY 015 B00AA01 C 015 C01AA01 KANSAS CITY 015 C02AA01 MO 015 C03AA01 64105 015 E01AA01 X 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 8 019 C00AA00 PILGRIMINV 020 A000001 AUTRANET 020 B000001 13-2961507 020 C000001 97 020 A000002 MORGAN STANLEY 020 B000002 13-2655998 020 C000002 45 020 A000003 MERRILL LYNCH 020 B000003 13-5674085 020 C000003 27 020 A000004 PRUDENTIAL SECURITIES 020 B000004 13-2308901 020 C000004 24 020 A000005 GOLDMAN SACHS 020 B000005 13-5108880 020 C000005 24 020 A000006 LIPPER ANALYTICAL 020 B000006 13-2792478 020 C000006 18 020 A000007 LEHMAN BROTHERS 020 B000007 13-2518466 020 C000007 14 020 A000008 BERNSTEIN & CO. 020 B000008 13-2625874 020 C000008 11 020 A000009 OPPENHEIMER 020 B000009 13-2798343 020 C000009 11 PAGE 3 020 A000010 PUTNAM LOVELL 020 B000010 95-4108888 020 C000010 10 021 000000 329 022 A000001 MERRILL LYNCH 022 B000001 13-5674085 022 C000001 5318470 022 D000001 25734 022 A000002 GENERAL ELECTRIC CAPITAL 022 B000002 06-1362678 022 C000002 1552068 022 D000002 0 022 A000003 FORD MOTOR CREDIT 022 C000003 427427 022 D000003 0 022 A000004 DONALDSON LUFKIN JENRETTE 022 B000004 13-2741729 022 C000004 77297 022 D000004 37755 022 A000005 MORGAN STANLEY 022 B000005 13-2655998 022 C000005 34315 022 D000005 7531 022 A000006 SALOMON BROTHERS 022 B000006 13-3082694 022 C000006 26189 022 D000006 8098 022 A000007 CIBC 022 C000007 24129 022 D000007 9653 022 A000008 JP MORGAN 022 B000008 13-3224016 022 C000008 26656 022 D000008 14365 022 A000009 GOLDMAN SACHS 022 B000009 13-5108880 022 C000009 13947 022 D000009 13578 022 A000010 NATIONSBANC 022 B000010 75-0520130 022 C000010 11163 022 D000010 12438 023 C000000 7581882 023 D000000 221985 024 00AA00 N 026 A000000 N 026 B000000 Y 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N PAGE 4 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 Y 077 A000000 Y 077 Q010000 Y 077 Q020000 N 077 Q030000 N 028 A010100 31323 028 A020100 0 028 A030100 0 028 A040100 38475 028 B010100 33730 028 B020100 487 028 B030100 0 028 B040100 30054 028 C010100 21427 028 C020100 0 028 C030100 0 028 C040100 21856 028 D010100 16357 028 D020100 0 028 D030100 0 028 D040100 14575 028 E010100 17119 028 E020100 0 028 E030100 0 028 E040100 17812 028 F010100 27486 028 F020100 38207 028 F030100 0 028 F040100 25530 028 G010100 147442 028 G020100 38694 028 G030100 0 028 G040100 148302 028 H000100 126905 029 000100 Y 030 A000100 276 030 B000100 5.75 030 C000100 0.00 031 A000100 46 031 B000100 0 032 000100 230 033 000100 0 034 000100 Y 035 000100 79 036 A000100 Y 036 B000100 0 037 000100 N 038 000100 0 PAGE 5 039 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 958 044 000100 0 045 000100 Y 046 000100 N 047 000100 Y 048 000100 0.000 048 A010100 30000 048 A020100 1.000 048 B010100 220000 048 B020100 0.750 048 C010100 250000 048 C020100 0.625 048 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 500000 048 K020100 0.500 049 000100 N 050 000100 N 051 000100 N 052 000100 N 053 A000100 N 054 A000100 Y 054 B000100 N 054 C000100 N 054 D000100 N 054 E000100 N 054 F000100 N 054 G000100 Y PAGE 6 054 H000100 Y 054 I000100 N 054 J000100 Y 054 K000100 N 054 L000100 N 054 M000100 Y 054 N000100 N 054 O000100 N 055 A000100 N 055 B000100 N 056 000100 Y 057 000100 N 058 A000100 N 059 000100 Y 060 A000100 Y 060 B000100 Y 061 000100 1000 062 A000100 N 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 0.0 062 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 0.0 062 Q000100 0.0 062 R000100 0.0 063 A000100 0 063 B000100 0.0 066 A000100 Y 066 B000100 N 066 C000100 Y 066 D000100 N 066 E000100 N 066 F000100 N 066 G000100 N 067 000100 N 068 A000100 N 068 B000100 N 069 000100 N 070 A010100 Y 070 A020100 Y 070 B010100 Y PAGE 7 070 B020100 N 070 C010100 Y 070 C020100 N 070 D010100 Y 070 D020100 N 070 E010100 N 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 N 070 J020100 N 070 K010100 N 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 N 070 Q020100 N 070 R010100 N 070 R020100 N 071 A000100 122006 071 B000100 146637 071 C000100 389582 071 D000100 31 072 A000100 6 072 B000100 777 072 C000100 2860 072 D000100 0 072 E000100 0 072 F000100 1524 072 G000100 0 072 H000100 0 072 I000100 385 072 J000100 84 072 K000100 53 072 L000100 33 072 M000100 15 072 N000100 41 PAGE 8 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 25 072 S000100 33 072 T000100 958 072 U000100 0 072 V000100 0 072 W000100 26 072 X000100 3177 072 Y000100 0 072 Z000100 461 072AA000100 20679 072BB000100 0 072CC010100 2846 072CC020100 0 072DD010100 714 072DD020100 0 072EE000100 41408 073 A010100 0.0361 073 A020100 0.0000 073 B000100 1.6241 073 C000100 0.0000 074 A000100 14 074 B000100 0 074 C000100 30259 074 D000100 0 074 E000100 0 074 F000100 424334 074 G000100 0 074 H000100 0 074 I000100 0 074 J000100 6284 074 K000100 0 074 L000100 1812 074 M000100 72 074 N000100 462775 074 O000100 970 074 P000100 7 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 880 074 S000100 0 074 T000100 460918 074 U010100 21541 074 U020100 5925 074 V010100 16.28 074 V020100 16.03 074 W000100 0.0000 PAGE 9 074 X000100 35760 074 Y000100 0 075 A000100 0 075 B000100 421832 076 000100 0.00 028 A010200 62135 028 A020200 822 028 A030200 0 028 A040200 38257 028 B010200 40999 028 B020200 861 028 B030200 0 028 B040200 24526 028 C010200 20049 028 C020200 929 028 C030200 0 028 C040200 10485 028 D010200 21510 028 D020200 949 028 D030200 0 028 D040200 7122 028 E010200 47270 028 E020200 992 028 E030200 0 028 E040200 3778 028 F010200 41683 028 F020200 3078 028 F030200 0 028 F040200 13652 028 G010200 233646 028 G020200 7631 028 G030200 0 028 G040200 97820 028 H000200 119075 029 000200 Y 030 A000200 832 030 B000200 4.75 030 C000200 0.00 031 A000200 139 031 B000200 0 032 000200 693 033 000200 0 034 000200 Y 035 000200 118 036 A000200 Y 036 B000200 0 037 000200 N 038 000200 0 039 000200 N 040 000200 Y 041 000200 Y PAGE 10 042 A000200 0 042 B000200 0 042 C000200 0 042 D000200 0 042 E000200 0 042 F000200 0 042 G000200 0 042 H000200 100 043 000200 1152 044 000200 0 045 000200 Y 046 000200 N 047 000200 Y 048 000200 0.600 048 A010200 0 048 A020200 0.000 048 B010200 0 048 B020200 0.000 048 C010200 0 048 C020200 0.000 048 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 0 048 K020200 0.000 049 000200 N 050 000200 N 051 000200 N 052 000200 N 053 A000200 Y 053 B000200 Y 054 A000200 Y 054 B000200 N 054 C000200 N 054 D000200 N 054 E000200 N 054 F000200 N 054 G000200 Y 054 H000200 Y 054 I000200 N PAGE 11 054 J000200 Y 054 K000200 N 054 L000200 N 054 M000200 Y 054 N000200 N 054 O000200 N 055 A000200 N 055 B000200 N 056 000200 Y 057 000200 N 058 A000200 N 059 000200 Y 060 A000200 Y 060 B000200 Y 061 000200 1000 062 A000200 Y 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 7.0 062 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 89.6 062 Q000200 0.0 062 R000200 0.0 063 A000200 0 063 B000200 7.9 064 A000200 N 064 B000200 N 066 A000200 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 N 070 D020200 N 070 E010200 N PAGE 12 070 E020200 N 070 F010200 N 070 F020200 N 070 G010200 N 070 G020200 N 070 H010200 N 070 H020200 N 070 I010200 N 070 I020200 N 070 J010200 Y 070 J020200 Y 070 K010200 N 070 K020200 N 070 L010200 Y 070 L020200 N 070 M010200 N 070 M020200 N 070 N010200 Y 070 N020200 N 070 O010200 Y 070 O020200 N 070 P010200 N 070 P020200 N 070 Q010200 N 070 Q020200 N 070 R010200 N 070 R020200 N 071 A000200 338600 071 B000200 194511 071 C000200 278447 071 D000200 70 072 A000200 6 072 B000200 16289 072 C000200 0 072 D000200 0 072 E000200 0 072 F000200 949 072 G000200 0 072 H000200 0 072 I000200 219 072 J000200 56 072 K000200 29 072 L000200 21 072 M000200 8 072 N000200 56 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 9 072 S000200 15 072 T000200 1152 PAGE 13 072 U000200 0 072 V000200 0 072 W000200 15 072 X000200 2529 072 Y000200 194 072 Z000200 13954 072AA000200 0 072BB000200 15220 072CC010200 0 072CC020200 18409 072DD010200 5363 072DD020200 8506 072EE000200 0 073 A010200 0.3244 073 A020200 0.2962 073 B000200 0.0000 073 C000200 0.0000 074 A000200 2487 074 B000200 0 074 C000200 26814 074 D000200 345501 074 E000200 0 074 F000200 0 074 G000200 0 074 H000200 0 074 I000200 0 074 J000200 6716 074 K000200 36 074 L000200 7915 074 M000200 98 074 N000200 389567 074 O000200 2468 074 P000200 3 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 1648 074 S000200 0 074 T000200 385448 074 U010200 20641 074 U020200 37979 074 V010200 6.17 074 V020200 6.16 074 W000200 0.0000 074 X000200 26630 074 Y000200 0 075 A000200 0 075 B000200 313903 076 000200 0.00 PAGE 14 SIGNATURE MIKE J ROLAND TITLE CHIEF FINANCIAL OFFI EX-99.1 2 SUPPLEMENT TO PROSPECTUS SUPPLEMENT DATED NOVEMBER 1, 1998 TO THE PROSPECTUS FOR THE PILGRIM FUNDS DATED NOVEMBER 1, 1998 The Board of Directors of the Funds has approved a change in the name of each Fund (except Pilgrim Government Securities Income Fund), to be effective on November 16, 1998. The Prospectus for the Funds dated November 1, 1998 reflects the new names of each Fund effective on November 16, 1998. The following table shows the name of each Fund as in effect prior to November 16, 1998, and the new names which will become effective on November 16, 1998: NAME PRIOR TO NOVEMBER 16, 1998 NAME EFFECTIVE ON NOVEMBER 16, 1998 - ------------------------------- ----------------------------------- Pilgrim America MagnaCap Fund Pilgrim MagnaCap Fund Pilgrim America Masters LargeCap Pilgrim LargeCap Leaders Fund Value Fund Pilgrim America Masters MidCap Value Fund Pilgrim MidCap Value Fund Pilgrim America Bank and Thrift Fund Pilgrim Bank and Thrift Fund Pilgrim America Masters Asia-Pacific Pilgrim Asia-Pacific Equity Fund Equity Fund Pilgrim America High Yield Fund Pilgrim High Yield Fund Pilgrim Government Securities Pilgrim Government Securities Income Fund Income Fund Each Fund listed above is a series of a registered investment company. The Board of Directors has also approved a change to the name of each such investment company, also to be effective on November 16, 1998. On that date, the name of Pilgrim America Masters Series, Inc. becomes Pilgrim Advisory Funds, Inc., the name of Pilgrim America Investment Funds, Inc. becomes Pilgrim Investment Funds, Inc., and the name of Pilgrim America Bank and Thrift Fund, Inc. becomes Pilgrim Bank and Thrift Fund, Inc. The Prospectus reflects the names of each investment company as they will become effective on November 16, 1998. EX-27.11 3 FINANCIAL DATA SCHEDULE
6 061448 PILGRIM INVESTMENT FUNDS, INC. 011 PILGRIM MAGNACAP FUND CLASS A 1,000 U.S. DOLLAR 6-MOS JUN-30-1999 JUL-01-1998 DEC-31-1998 1 333534 454593 8096 86 0 462775 970 0 887 1857 0 314749 21541 20429 0 254 25364 0 121059 350703 2860 777 0 3177 460 20679 2846 23985 0 714 31525 0 7666 8461 1907 19697 0 46093 0 0 1524 0 3185 326269 17.07 0.03 0.84 0.04 1.62 0 16.28 1.34 0 0

EX-27.12 4 FINANCIAL DATA SCHEDULE
6 061448 PILGRIM INVESTMENT FUNDS, INC. 012 PILGRIM MAGNACAP FUND CLASS B 1,000 7.S. DOLLAR 6-MOS JUN-30-1999 JUL-01-1998 DEC-31-1998 1 333534 454593 8096 86 0 462775 970 0 887 1857 0 314749 5925 4615 0 254 25364 0 121059 94968 2860 777 0 3177 460 20679 2846 23985 0 0 8517 0 1276 496 530 19697 0 46093 0 0 1524 0 3185 81607 16.86 (0.01) 0.80 0 1.62 0 16.03 2.04 0 0

EX-27.13 5 FINANCIAL DATA SCHEDULE
6 061448 PILGRIM INVESTMENT FUNDS, INC. 013 PILGRIM MAGNACAP FUND CLASS M 1,000 U.S. DOLLAR 6-MOS JUN-30-1999 JUL-01-1998 DEC-31-1998 1 333534 454593 8096 86 0 462775 970 0 887 1857 460918 0 944 866 0 254 25364 0 121059 15247 2860 777 0 3177 460 20679 2846 23985 0 0 1366 0 106 116 88 19697 0 46093 0 0 1524 0 3185 13956 16.95 0 0.82 0 1.62 0 16.15 1.79 0 0

EX-27.21 6 FINANCIAL DATA SCHEDULE
6 061448 PILGRIM INVESTMENT FUNDS, INC. 021 PILGRIM HIGH YIELD FUND CLASS A 1,000 U.S. DOLLAR 6-MOS JUN-30-1999 JUL-01-1998 DEC-31-1998 1 391059 372315 14667 2585 0 389567 2468 0 1651 4119 0 428102 20641 14769 409 0 0 24319 (18744) 127392 0 16289 0 2335 13954 (15220) (18409) (19675) 0 4998 0 365 16760 11354 466 108936 1300 0 0 9099 949 0 2554 106820 6.94 0.29 (0.74) 0.29 0.03 0 6.17 1.00 0 0

EX-27.22 7 FINANCIAL DATA SCHEDULE
6 061448 PILGRIM INVESTMENT FUNDS, INC. 022 PILGRIM HIGH YIELD FUND CLASS B 1,000 U.S. DOLLAR 6-MOS JUN-30-1999 JUL-01-1998 DEC-31-1998 1 391059 372315 14667 2585 0 389567 2468 0 1651 4119 0 428102 37979 22305 409 0 0 24319 (18744) 233916 0 16289 0 2335 13954 (15220) (18409) (19675) 0 8035 0 471 18004 2974 644 108936 1300 0 0 9099 949 0 2554 186314 6.92 0.23 (0.74) 0.23 0.02 0 6.16 1.75 0 0

EX-27.23 8 FINANCIAL DATA SCHEDULE
6 061448 PILGRIM INVESTMENT FUNDS, INC. 023 PILGRIM HIGH YIELD FUND CLASS M 1,000 U.S. DOLLARS 6-MOS JUN-30-1999 JUL-01-1998 DEC-31-1998 1 391059 372315 14667 2585 0 389567 2468 0 1651 4119 0 428102 3917 2858 409 0 0 24319 (18744) 24140 0 16289 0 2335 13954 (15220) (18409) (19675) 0 921 0 55 1414 448 93 108936 1300 0 0 9099 949 0 2554 20769 6.92 0.28 (0.74) 0.28 0.02 0 6.16 1.50 0 0

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