0001571049-17-003886.txt : 20170425 0001571049-17-003886.hdr.sgml : 20170425 20170425134137 ACCESSION NUMBER: 0001571049-17-003886 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170228 FILED AS OF DATE: 20170425 DATE AS OF CHANGE: 20170425 EFFECTIVENESS DATE: 20170425 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Voya PRIME RATE TRUST CENTRAL INDEX KEY: 0000826020 IRS NUMBER: 956874587 STATE OF INCORPORATION: MA FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-05410 FILM NUMBER: 17780595 BUSINESS ADDRESS: STREET 1: VOYA PRIME RATE TRUST STREET 2: 7337 E. DOUBLETREE RANCH ROAD, STE 100 CITY: SCOTTSDALE STATE: AZ ZIP: 85258 BUSINESS PHONE: 4804773000 MAIL ADDRESS: STREET 1: VOYA PRIME RATE TRUST STREET 2: 7337 E. DOUBLETREE RANCH ROAD, STE 100 CITY: SCOTTSDALE STATE: AZ ZIP: 85258 FORMER COMPANY: FORMER CONFORMED NAME: ING PRIME RATE TRUST DATE OF NAME CHANGE: 20020205 FORMER COMPANY: FORMER CONFORMED NAME: PILGRIM AMERICA PRIME RATE TRUST DATE OF NAME CHANGE: 19960518 FORMER COMPANY: FORMER CONFORMED NAME: PILGRIM PRIME RATE TRUST/ DATE OF NAME CHANGE: 19960518 NSAR-B 1 nsarb.fil NSAR-B PAGE 1 000 B000000 02/28/2017 000 C000000 0000826020 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 Voya Prime Rate Trust 001 B000000 811-5410 001 C000000 4804773000 002 A000000 7337 E Doubletree Ranch Rd, Suite 100 002 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 N 007 B000000 0 008 A000001 Voya Investments, LLC 008 B000001 A 008 C000001 801-48282 008 D010001 Scottsdale 008 D020001 AZ 008 D030001 85258 008 D040001 2034 008 A000002 Voya Investment Management Co. LLC 008 B000002 S 008 C000002 801-9046 008 D010002 New York 008 D020002 NY 008 D030002 10169 011 A000001 Voya Investments Distributor, LLC 011 B000001 8-48020 011 C010001 Scottsdale 011 C020001 AZ 011 C030001 85258 011 C040001 2034 012 A000001 BNY Mellon Investment Servicing (U.S.) Inc. 012 B000001 84-01761 012 C010001 Wilmington 012 C020001 DE 012 C030001 19809 013 A000001 KPMG LLP 013 B010001 BOSTON 013 B020001 MA 013 B030001 02111 PAGE 2 014 A000001 Voya America Equities, Inc. 014 B000001 8-00000000 014 A000002 Voya Financial Advisors, Inc. 014 B000002 8-00000000 014 A000003 Voya Financial Partners, LLC 014 B000003 8-00000000 014 A000004 Voya Investments Distributor, LLC 014 B000004 8-00000000 015 A000001 State Street Bank and Trust Company 015 B000001 C 015 C010001 Kanas City 015 C020001 MO 015 C030001 64105 015 E010001 X 018 000000 Y 019 A000000 Y 019 B000000 151 019 C000000 Voya-funds 021 000000 0 022 A000001 JP Morgan Chase 022 B000001 36-2669770 022 C000001 121159 022 D000001 15360 022 A000002 Credit Suisse 022 B000002 13-5659485 022 C000002 95342 022 D000002 18334 022 A000003 Bank of America Corp. 022 B000003 56-2058405 022 C000003 72803 022 D000003 23970 022 A000004 Goldman Sachs 022 B000004 13-5108880 022 C000004 46788 022 D000004 30797 022 A000005 Deutsche Bank 022 B000005 13-2518466 022 C000005 51595 022 D000005 25531 022 A000006 Morgan Stanley 022 B000006 94-1671384 022 C000006 58340 022 D000006 16474 022 A000007 Barclays 022 B000007 13-3551367 022 C000007 46191 022 D000007 25178 022 A000008 Citigroup 022 B000008 11-2418191 022 C000008 31568 022 D000008 25577 PAGE 3 022 A000009 Nomura Securities International 022 B000009 13-2650272 022 C000009 21791 022 D000009 0 022 A000010 Wells Fargo 022 B000010 41-0449260 022 C000010 14766 022 D000010 4761 023 C000000 625674 023 D000000 207139 024 000000 N 026 A000000 N 026 B000000 Y 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 N 045 000000 Y 046 000000 N 047 000000 Y 048 000000 1.050 048 A010000 0 048 A020000 0.000 048 B010000 0 048 B020000 0.000 048 C010000 0 048 C020000 0.000 048 D010000 0 048 D020000 0.000 048 E010000 0 048 E020000 0.000 048 F010000 0 048 F020000 0.000 048 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 0 048 K020000 0.000 049 000000 N 050 000000 N 051 000000 N 052 000000 N PAGE 4 053 A000000 Y 053 B000000 Y 053 C000000 N 054 A000000 Y 054 B000000 N 054 C000000 N 054 D000000 N 054 E000000 N 054 F000000 N 054 G000000 Y 054 H000000 Y 054 I000000 N 054 J000000 Y 054 K000000 N 054 L000000 N 054 M000000 Y 054 N000000 N 054 O000000 Y 055 A000000 N 055 B000000 Y 056 000000 Y 057 000000 N 058 A000000 N 059 000000 Y 060 A000000 Y 060 B000000 Y 061 000000 100 062 A000000 Y 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 0.2 062 M000000 0.0 062 N000000 0.0 062 O000000 0.0 062 P000000 0.0 062 Q000000 145.5 062 R000000 0.4 063 A000000 0 063 B000000 5.0 064 A000000 N 064 B000000 N 066 A000000 N 067 000000 N PAGE 5 068 A000000 N 068 B000000 N 069 000000 N 070 A010000 Y 070 A020000 N 070 B010000 N 070 B020000 N 070 C010000 N 070 C020000 N 070 D010000 N 070 D020000 N 070 E010000 Y 070 E020000 N 070 F010000 N 070 F020000 N 070 G010000 Y 070 G020000 N 070 H010000 N 070 H020000 N 070 I010000 N 070 I020000 N 070 J010000 N 070 J020000 N 070 K010000 N 070 K020000 N 070 L010000 Y 070 L020000 Y 070 M010000 Y 070 M020000 N 070 N010000 Y 070 N020000 N 070 O010000 Y 070 O020000 N 070 P010000 Y 070 P020000 Y 070 Q010000 N 070 Q020000 N 070 R010000 N 070 R020000 N 071 A000000 882030 071 B000000 809681 071 C000000 1211462 071 D000000 67 072 A000000 12 072 B000000 62960 072 C000000 59 072 D000000 0 072 E000000 1540 072 F000000 12362 072 G000000 0 072 H000000 0 PAGE 6 072 I000000 93 072 J000000 518 072 K000000 265 072 L000000 0 072 M000000 32 072 N000000 0 072 O000000 0 072 P000000 5187 072 Q000000 0 072 R000000 86 072 S000000 80 072 T000000 0 072 U000000 0 072 V000000 0 072 W000000 200 072 X000000 18823 072 Y000000 3 072 Z000000 45739 072AA000000 0 072BB000000 10319 072CC010000 76612 072CC020000 0 072DD010000 47070 072DD020000 0 072EE000000 0 073 A010000 0.3185 073 A020000 0.0000 073 B000000 0.0000 073 C000000 0.0000 074 A000000 2689 074 B000000 0 074 C000000 1935 074 D000000 1246920 074 E000000 0 074 F000000 0 074 G000000 0 074 H000000 0 074 I000000 3153 074 J000000 15008 074 K000000 0 074 L000000 4911 074 M000000 46 074 N000000 1274662 074 O000000 82956 074 P000000 953 074 Q000000 0 074 R010000 0 074 R020000 0 074 R030000 0 074 R040000 333615 074 S000000 0 PAGE 7 074 T000000 857138 074 U010000 147788 074 U020000 0 074 V010000 5.80 074 V020000 0.00 074 W000000 0.0000 074 X000000 40240 074 Y000000 0 075 A000000 0 075 B000000 1177295 076 000000 5.59 077 A000000 Y 077 B000000 Y 077 C000000 N 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 N 077 P000000 N 077 Q010000 N 077 Q020000 N 077 Q030000 N 078 000000 N 080 A000000 Great American 080 B000000 N/A 080 C000000 40000 081 A000000 Y 081 B000000 173 082 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 PAGE 8 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 087 A010000 COMMON STOCK 087 A020000 44977W106 087 A030000 PPR 088 A000000 N 088 B000000 N 088 C000000 N 088 D000000 N SIGNATURE Todd Modic TITLE CFO EX-99.77.B 2 t1701193_ex99-77b.htm EXHIBIT 99.77(B)

 

Exhibit 99.77(b)

 

Report of Independent Registered Public Accounting Firm

 

The Shareholders and Board of Trustees

Voya Prime Rate Trust

 

In planning and performing our audit of the financial statements of the Voya Prime Rate Trust (the “Trust”), as of and for the year ended February 28, 2017, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Trust’s internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Trust’s internal control over financial reporting. Accordingly, we express no such opinion.

 

Management of the Trust is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed 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. A company's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of the company's assets that could have a material effect on the financial statements.

 

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

 

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Trust’s annual or interim financial statements will not be prevented or detected on a timely basis.

 

Our consideration of the Trust’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Trust’s internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of February 28, 2017.

 

 

 

 

This report is intended solely for the information and use of management and the Board of Trustees of Voya Prime Rate Trust and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

 

/s/ KPMG LLP

 

Boston, Massachusetts

April 24, 2017