-----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, PsqFhMxsJvHI5TWgobBcsUSMupCaCQCOi2PNr7CKkEkGkRanIgCHgG1nXkW3RzMG EfDqQaxJDHzoG5eREpngmQ== /in/edgar/work/0000950147-00-001643/0000950147-00-001643.txt : 20001031 0000950147-00-001643.hdr.sgml : 20001031 ACCESSION NUMBER: 0000950147-00-001643 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 5 CONFORMED PERIOD OF REPORT: 20000831 FILED AS OF DATE: 20001030 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PILGRIM PRIME RATE TRUST CENTRAL INDEX KEY: 0000826020 STANDARD INDUSTRIAL CLASSIFICATION: [0000 ] IRS NUMBER: 956874587 STATE OF INCORPORATION: MA FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: SEC FILE NUMBER: 811-05410 FILM NUMBER: 749275 BUSINESS ADDRESS: STREET 1: TWO RENAISSANCE SQ STREET 2: 40 N CENTRAL 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 PRIME RATE TRUST DATE OF NAME CHANGE: 19920703 NSAR-A 1 0001.txt NSAR-A OF PILGRIM PRIME RATE TRUST PAGE 1 000 A000000 08/31/2000 000 C000000 000826020 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 PRIME RATE TRUST 001 B000000 811-5410 001 C000000 4804772168 002 A000000 7337 E. 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ROLAND TITLE CFO EX-27 2 0002.txt FINANCIAL DATA SCHEDULE
6 826020 PILGRIM PRIME RATE TRUST 1000 U.S. DOLLARS 6-MOS FEB-28-2001 MAR-01-2000 AUG-31-2000 1.0 1716130 1664799 21325 988 975 1688087 0 0 500437 500437 0 1290372 136511 136036 11307 0 (62698) 0 (51331) 1187650 23 83725 3146 28269 58625 9802 (43033) 25393 0 59249 0 0 76 0 399 (29689) 11932 (72500) 0 0 6969 17919 28269 1728096 8.95 0.43 (0.24) (0.44) 0 0 8.70 1.17
EX-99.77.C 3 0003.txt ANNUAL MEETING RESULTS An Annual Meeting of Shareholders of Pilgrim Prime Rate Trust (the "Trust") was held on August 25, 2000 at 8:00 a.m., local time, at the offices of the Trust, 40 North Central Avenue, Suite 1200, Phoenix, Arizona 85004 for the following purposes: 1. To elect eleven trustees ("Trustees") to serve until their successors are elected and qualified; SHARES VOTED SHARES AGAINST OR VOTED FOR WITHHELD TOTAL --------- -------- ----- Al Burton 75,182,969 1,733,138 76,916,107 Paul S. Doherty 75,296,917 1,619,190 76,916,107 Robert B. Goode, Jr. 75,257,437 1,658,670 76,916,107 Alan L. Gosule 75,306,147 1,609,960 76,916,107 Walter H. May 75,349,678 1,566,429 76,916,107 Jock Patton 75,325,016 1,591,091 76,916,107 David W.C. Putnam 75,323,945 1,592,162 76,916,107 John R. Smith 75,108,393 1,807,714 76,916,107 Robert W. Stallings 75,337,378 1,578,729 76,916,107 John G. Turner 75,329,020 1,587,087 76,916,107 David W. Wallace 75,120,574 1,795,533 76,916,107 The following persons were elected at the Meeting and currently serve as the Board of Trustees of the Trust: Al Burton, Paul S. Doherty, Robert B. Goode, Alan L. Gosule, Walter H. May, Jock Patton, David W.C. Putnam, John R. Smith, Robert W. Stallings, John G. Turner and David W. Wallace. 2. To approve the following amendments in connection with the Trust's ability to issue a preferred class of shares ("Preferred Shares"): a. To approve amendments to the Trust's Agreement and Declaration of Trust; AFFIRMATIVE VOTES NEGATIVE VOTES ----------------- -------------- 54,688,727 4,052,134 b. To approve amendments to the Trust's fundamental investment policies; AFFIRMATIVE VOTES NEGATIVE VOTES ----------------- -------------- 54,190,090 4,602,707 c. To approve amendments to the Investment Management Agreement between the Trust and Pilgrim Investments, Inc. ("Pilgrim Investments"); AFFIRMATIVE VOTES NEGATIVE VOTES ----------------- -------------- 53,970,551 4,766,922 3. To approve a new Investment Management Agreement between the Trust and Pilgrim Investments to reflect the acquisition of Pilgrim Investments by ING Groep N.V. ("ING"), with no change in the advisory fees payable to Pilgrim Investments: AFFIRMATIVE VOTES NEGATIVE VOTES ----------------- -------------- 55,030,820 3,470,147 4. To ratify the appointment of KPMG LLP as independent auditors for the Trust for the fiscal year ending February 28, 2001. AFFIRMATIVE VOTES NEGATIVE VOTES ----------------- -------------- 74,221,896 806,566 EX-99.77.I 4 0004.txt TERMS OF NEW OR AMENDED SECURITIES On July 26, 2000, the Board of Directors approved an Amendment to the Agreement and Declaration of Trust to add the Preferred Shares. The Amendment to the Agreement and Declaration of Trust designating Preferred Shares is incorporated by reference to Post-Effective Amendment No. 38 to the Registration Statement on Form N-2 as filed on October 23, 2000. EX-99.Q.1 5 0005.txt EXHIBITS (a) Form of Amendment to the Agreement and Declaration of Trust designating Preferred Shares and an Amendment to the Bylaws is incorporated by reference to Post-Effective Amendment No. 38 to the Registrant's Registration Statement filed on Form N-2 as filed October 23, 2000. (e) Form of Investment Management Agreement between the Trust and Pilgrim Investments, Inc. is incorporated by reference to Post-Effective No. 38 to the Registrant's Registration Statement filed on Form N-2 as filed October 23, 2000. -----END PRIVACY-ENHANCED MESSAGE-----