-----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, Pcl6nGm1nDCG6A3E0UgZrA7XlAkPvr8cGVbK5m4YVGEZDIpI+jyBFWq5FsO6UBAV wU83nbnHG1v6MX3Vd/WoDA== 0001004726-02-000435.txt : 20021129 0001004726-02-000435.hdr.sgml : 20021128 20021129164209 ACCESSION NUMBER: 0001004726-02-000435 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20020930 FILED AS OF DATE: 20021129 EFFECTIVENESS DATE: 20021129 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BARR ROSENBERG SERIES TRUST CENTRAL INDEX KEY: 0000832545 STATE OF INCORPORATION: CA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-05547 FILM NUMBER: 02845112 BUSINESS ADDRESS: STREET 1: 3435 STELZER RD STREET 2: C/O FURMAN SELZ CITY: COLUMBUS STATE: OH ZIP: 43219 BUSINESS PHONE: 2128083942 MAIL ADDRESS: STREET 1: C/O FURMAN SELZ STREET 2: 237 PARK AVE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: ROSENBERG SMALL CAPITALIZATION FUND DATE OF NAME CHANGE: 19881030 FORMER COMPANY: FORMER CONFORMED NAME: ROSENBERG SERIES TRUST DATE OF NAME CHANGE: 19920703 NSAR-A 1 answer.fil PAGE 1 000 A000000 09/30/2002 000 C000000 0000832545 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 BARR ROSENBERG SERIES TRUST 001 B000000 811-5547 001 C000000 6144708000 002 A000000 3435 STELZER ROAD 002 B000000 COLUMBUS 002 C000000 OH 002 D010000 43219 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 10 007 C010100 1 007 C020100 AXA ROSENBERG U.S. SMALL CAPITALIZATION FUND 007 C030100 N 007 C010200 2 007 C010300 3 007 C020300 AXA ROSENBERG INT'L SMALL CAPITALIZATION FUND 007 C030300 N 007 C010400 4 007 C020400 AXA ROSENBERG VALUE LONG/SHORT 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B020300 N 070 C010300 N 070 C020300 N 070 D010300 N 070 D020300 N 070 E010300 N 070 E020300 N 070 F010300 Y 070 F020300 N 070 G010300 Y 070 G020300 N 070 H010300 N 070 H020300 N 070 I010300 N 070 I020300 N 070 J010300 Y 070 J020300 N PAGE 15 070 K010300 Y 070 K020300 N 070 L010300 Y 070 L020300 Y 070 M010300 Y 070 M020300 Y 070 N010300 Y 070 N020300 N 070 O010300 Y 070 O020300 N 070 P010300 N 070 P020300 N 070 Q010300 Y 070 Q020300 N 070 R010300 N 070 R020300 N 071 A000300 39934 071 B000300 47444 071 C000300 32138 071 D000300 68 072 A000300 6 072 B000300 3 072 C000300 525 072 D000300 0 072 E000300 0 072 F000300 177 072 G000300 27 072 H000300 0 072 I000300 1 072 J000300 115 072 K000300 0 072 L000300 0 072 M000300 5 072 N000300 19 072 O000300 0 072 P000300 0 072 Q000300 43 072 R000300 5 072 S000300 0 072 T000300 11 072 U000300 0 072 V000300 0 072 W000300 24 072 X000300 427 072 Y000300 149 072 Z000300 251 072AA000300 0 072BB000300 423 072CC010300 0 072CC020300 3856 072DD010300 0 PAGE 16 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Q000500 0 072 R000500 0 072 S000500 0 072 T000500 0 072 U000500 0 072 V000500 0 072 W000500 0 072 X000500 0 072 Y000500 0 072 Z000500 0 072AA000500 0 072BB000500 0 072CC010500 0 072CC020500 0 072DD010500 0 072DD020500 0 072EE000500 0 073 A010500 0.0000 073 A020500 0.0000 073 B000500 0.0000 073 C000500 0.0000 074 A000500 0 074 B000500 0 074 C000500 0 074 D000500 0 074 E000500 0 074 F000500 0 PAGE 23 074 G000500 0 074 H000500 0 074 I000500 0 074 J000500 0 074 K000500 0 074 L000500 0 074 M000500 0 074 N000500 0 074 O000500 0 074 P000500 0 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 0 074 S000500 0 074 T000500 0 074 U010500 0 074 U020500 0 074 V010500 0.00 074 V020500 0.00 074 W000500 0.0000 074 X000500 0 074 Y000500 0 075 A000500 0 075 B000500 0 076 000500 0.00 015 A000601 CUSTODIAL TRUST COMPANY 015 B000601 C 015 C010601 PRINCETON 015 C020601 NJ 015 C030601 08540 015 C040601 6231 015 E010601 X 024 000600 N 028 A010600 187 028 A020600 0 028 A030600 0 028 A040600 0 028 B010600 86 028 B020600 0 028 B030600 0 028 B040600 1683 028 C010600 1899 028 C020600 0 028 C030600 0 028 C040600 64 028 D010600 1759 028 D020600 0 028 D030600 0 028 D040600 320 PAGE 24 028 E010600 1830 028 E020600 0 028 E030600 0 028 E040600 2249 028 F010600 2267 028 F020600 0 028 F030600 0 028 F040600 310 028 G010600 8028 028 G020600 0 028 G030600 0 028 G040600 4625 028 H000600 1 029 000600 Y 030 A000600 0 030 B000600 5.50 030 C000600 0.00 031 A000600 0 031 B000600 0 032 000600 0 033 000600 0 034 000600 Y 035 000600 1 036 A000600 N 036 B000600 0 037 000600 Y 038 000600 2 039 000600 N 040 000600 Y 041 000600 Y 042 A000600 0 042 B000600 0 042 C000600 100 042 D000600 0 042 E000600 0 042 F000600 0 042 G000600 0 042 H000600 0 043 000600 2 044 000600 0 045 000600 Y 046 000600 N 047 000600 Y 048 000600 1.000 048 A010600 0 048 A020600 0.000 048 B010600 0 048 B020600 0.000 048 C010600 0 048 C020600 0.000 048 D010600 0 PAGE 25 048 D020600 0.000 048 E010600 0 048 E020600 0.000 048 F010600 0 048 F020600 0.000 048 G010600 0 048 G020600 0.000 048 H010600 0 048 H020600 0.000 048 I010600 0 048 I020600 0.000 048 J010600 0 048 J020600 0.000 048 K010600 0 048 K020600 0.000 049 000600 N 050 000600 N 051 000600 N 052 000600 N 053 A000600 Y 053 B000600 Y 053 C000600 N 055 A000600 Y 055 B000600 N 056 000600 Y 057 000600 N 066 A000600 Y 066 B000600 N 066 C000600 Y 066 D000600 N 066 E000600 N 066 F000600 N 066 G000600 N 067 000600 N 068 A000600 N 068 B000600 N 069 000600 N 070 A010600 Y 070 A020600 Y 070 B010600 Y 070 B020600 N 070 C010600 N 070 C020600 N 070 D010600 N 070 D020600 N 070 E010600 N 070 E020600 N 070 F010600 N 070 F020600 N 070 G010600 N 070 G020600 N PAGE 26 070 H010600 N 070 H020600 N 070 I010600 N 070 I020600 N 070 J010600 Y 070 J020600 N 070 K010600 Y 070 K020600 N 070 L010600 Y 070 L020600 N 070 M010600 N 070 M020600 N 070 N010600 Y 070 N020600 N 070 O010600 Y 070 O020600 N 070 P010600 N 070 P020600 N 070 Q010600 Y 070 Q020600 N 070 R010600 Y 070 R020600 Y 071 A000600 36737 071 B000600 33582 071 C000600 11213 071 D000600 123 072 A000600 6 072 B000600 95 072 C000600 87 072 D000600 0 072 E000600 0 072 F000600 63 072 G000600 9 072 H000600 0 072 I000600 8 072 J000600 24 072 K000600 0 072 L000600 0 072 M000600 1 072 N000600 15 072 O000600 0 072 P000600 0 072 Q000600 26 072 R000600 3 072 S000600 0 072 T000600 2 072 U000600 0 072 V000600 0 072 W000600 78 072 X000600 229 072 Y000600 71 PAGE 27 072 Z000600 24 072AA000600 1066 072BB000600 0 072CC010600 817 072CC020600 0 072DD010600 0 072DD020600 0 072EE000600 0 073 A010600 0.0000 073 A020600 0.0000 073 B000600 0.0000 073 C000600 0.0000 074 A000600 0 074 B000600 1894 074 C000600 13919 074 D000600 0 074 E000600 0 074 F000600 13083 074 G000600 0 074 H000600 0 074 I000600 0 074 J000600 121 074 K000600 0 074 L000600 99 074 M000600 35 074 N000600 29151 074 O000600 552 074 P000600 3 074 Q000600 0 074 R010600 0 074 R020600 12734 074 R030600 0 074 R040600 34 074 S000600 0 074 T000600 15828 074 U010600 1015 074 U020600 284 074 V010600 12.07 074 V020600 12.19 074 W000600 0.0000 074 X000600 87 074 Y000600 0 075 A000600 0 075 B000600 12577 076 000600 0.00 015 A000701 STATE STREET BANK & TRUST CO. 015 B000701 C 015 C010701 BOSTON 015 C020701 MA 015 C030701 02102 015 E010701 X PAGE 28 024 000700 N 028 A010700 16 028 A020700 0 028 A030700 0 028 A040700 0 028 B010700 559 028 B020700 0 028 B030700 0 028 B040700 215 028 C010700 488 028 C020700 0 028 C030700 0 028 C040700 576 028 D010700 383 028 D020700 0 028 D030700 0 028 D040700 484 028 E010700 168 028 E020700 0 028 E030700 0 028 E040700 231 028 F010700 86 028 F020700 0 028 F030700 0 028 F040700 135 028 G010700 1702 028 G020700 0 028 G030700 0 028 G040700 1641 028 H000700 0 029 000700 N 030 A000700 0 030 B000700 0.00 030 C000700 0.00 031 A000700 0 031 B000700 0 032 000700 0 033 000700 0 034 000700 Y 035 000700 0 036 A000700 N 036 B000700 0 037 000700 Y 038 000700 16 039 000700 N 040 000700 Y 041 000700 Y 042 A000700 0 042 B000700 0 042 C000700 100 042 D000700 0 PAGE 29 042 E000700 0 042 F000700 0 042 G000700 0 042 H000700 0 043 000700 0 044 000700 0 045 000700 Y 046 000700 N 047 000700 Y 048 000700 0.850 048 A010700 0 048 A020700 0.000 048 B010700 0 048 B020700 0.000 048 C010700 0 048 C020700 0.000 048 D010700 0 048 D020700 0.000 048 E010700 0 048 E020700 0.000 048 F010700 0 048 F020700 0.000 048 G010700 0 048 G020700 0.000 048 H010700 0 048 H020700 0.000 048 I010700 0 048 I020700 0.000 048 J010700 0 048 J020700 0.000 048 K010700 0 048 K020700 0.000 049 000700 N 050 000700 N 051 000700 N 052 000700 N 053 A000700 Y 053 B000700 Y 053 C000700 N 055 A000700 N 055 B000700 N 056 000700 Y 057 000700 N 066 A000700 Y 066 B000700 N 066 C000700 Y 066 D000700 N 066 E000700 N 066 F000700 N 066 G000700 N 067 000700 N PAGE 30 068 A000700 N 068 B000700 Y 069 000700 N 070 A010700 Y 070 A020700 N 070 B010700 N 070 B020700 N 070 C010700 N 070 C020700 N 070 D010700 N 070 D020700 N 070 E010700 N 070 E020700 N 070 F010700 Y 070 F020700 N 070 G010700 N 070 G020700 N 070 H010700 N 070 H020700 N 070 I010700 N 070 I020700 N 070 J010700 Y 070 J020700 N 070 K010700 Y 070 K020700 N 070 L010700 Y 070 L020700 Y 070 M010700 Y 070 M020700 Y 070 N010700 Y 070 N020700 N 070 O010700 Y 070 O020700 N 070 P010700 N 070 P020700 N 070 Q010700 Y 070 Q020700 N 070 R010700 N 070 R020700 N 071 A000700 12106 071 B000700 12523 071 C000700 7459 071 D000700 84 072 A000700 6 072 B000700 0 072 C000700 112 072 D000700 0 072 E000700 0 072 F000700 33 072 G000700 6 072 H000700 0 PAGE 31 072 I000700 7 072 J000700 76 072 K000700 0 072 L000700 0 072 M000700 1 072 N000700 19 072 O000700 0 072 P000700 0 072 Q000700 45 072 R000700 2 072 S000700 0 072 T000700 0 072 U000700 0 072 V000700 0 072 W000700 2 072 X000700 191 072 Y000700 139 072 Z000700 60 072AA000700 0 072BB000700 40 072CC010700 0 072CC020700 1578 072DD010700 0 072DD020700 0 072EE000700 0 073 A010700 0.0000 073 A020700 0.0000 073 B000700 0.0000 073 C000700 0.0000 074 A000700 0 074 B000700 111 074 C000700 0 074 D000700 0 074 E000700 0 074 F000700 6163 074 G000700 0 074 H000700 0 074 I000700 29 074 J000700 77 074 K000700 20 074 L000700 29 074 M000700 42 074 N000700 6471 074 O000700 30 074 P000700 0 074 Q000700 0 074 R010700 0 074 R020700 0 074 R030700 0 074 R040700 36 074 S000700 0 PAGE 32 074 T000700 6405 074 U010700 1119 074 U020700 3 074 V010700 5.70 074 V020700 5.67 074 W000700 0.0000 074 X000700 16 074 Y000700 0 075 A000700 0 075 B000700 7701 076 000700 0.00 015 A000801 CUSTODIAL TRUST COMPANY 015 B000801 C 015 C010801 PRINCETON 015 C020801 NJ 015 C030801 08540 015 C040801 6231 015 E010801 X 024 000800 N 028 A010800 4 028 A020800 0 028 A030800 0 028 A040800 0 028 B010800 7 028 B020800 0 028 B030800 0 028 B040800 4 028 C010800 1 028 C020800 0 028 C030800 0 028 C040800 0 028 D010800 2 028 D020800 0 028 D030800 0 028 D040800 0 028 E010800 31 028 E020800 0 028 E030800 0 028 E040800 0 028 F010800 12 028 F020800 0 028 F030800 0 028 F040800 31 028 G010800 57 028 G020800 0 028 G030800 0 028 G040800 35 028 H000800 0 029 000800 N 030 A000800 0 030 B000800 0.00 PAGE 33 030 C000800 0.00 031 A000800 0 031 B000800 0 032 000800 0 033 000800 0 034 000800 Y 035 000800 2 036 A000800 N 036 B000800 0 037 000800 Y 038 000800 0 039 000800 N 040 000800 Y 041 000800 Y 042 A000800 0 042 B000800 0 042 C000800 100 042 D000800 0 042 E000800 0 042 F000800 0 042 G000800 0 042 H000800 0 043 000800 0 044 000800 0 045 000800 Y 046 000800 N 047 000800 Y 048 000800 0.500 048 A010800 0 048 A020800 0.000 048 B010800 0 048 B020800 0.000 048 C010800 0 048 C020800 0.000 048 D010800 0 048 D020800 0.000 048 E010800 0 048 E020800 0.000 048 F010800 0 048 F020800 0.000 048 G010800 0 048 G020800 0.000 048 H010800 0 048 H020800 0.000 048 I010800 0 048 I020800 0.000 048 J010800 0 048 J020800 0.000 048 K010800 0 048 K020800 0.000 049 000800 N PAGE 34 050 000800 N 051 000800 N 052 000800 N 053 A000800 Y 053 B000800 Y 053 C000800 N 055 A000800 N 055 B000800 N 056 000800 Y 057 000800 N 066 A000800 Y 066 B000800 N 066 C000800 Y 066 D000800 N 066 E000800 N 066 F000800 N 066 G000800 N 067 000800 N 068 A000800 N 068 B000800 N 069 000800 N 070 A010800 Y 070 A020800 Y 070 B010800 N 070 B020800 N 070 C010800 N 070 C020800 N 070 D010800 N 070 D020800 N 070 E010800 N 070 E020800 N 070 F010800 Y 070 F020800 N 070 G010800 N 070 G020800 N 070 H010800 N 070 H020800 N 070 I010800 N 070 I020800 N 070 J010800 Y 070 J020800 N 070 K010800 Y 070 K020800 N 070 L010800 Y 070 L020800 N 070 M010800 N 070 M020800 N 070 N010800 Y 070 N020800 N 070 O010800 Y 070 O020800 N PAGE 35 070 P010800 N 070 P020800 N 070 Q010800 Y 070 Q020800 N 070 R010800 N 070 R020800 N 071 A000800 4378 071 B000800 4270 071 C000800 3857 071 D000800 44 072 A000800 6 072 B000800 0 072 C000800 32 072 D000800 0 072 E000800 0 072 F000800 10 072 G000800 3 072 H000800 0 072 I000800 6 072 J000800 1 072 K000800 0 072 L000800 0 072 M000800 1 072 N000800 19 072 O000800 0 072 P000800 0 072 Q000800 37 072 R000800 1 072 S000800 0 072 T000800 0 072 U000800 0 072 V000800 0 072 W000800 2 072 X000800 80 072 Y000800 66 072 Z000800 18 072AA000800 0 072BB000800 299 072CC010800 0 072CC020800 789 072DD010800 0 072DD020800 0 072EE000800 0 073 A010800 0.0000 073 A020800 0.0000 073 B000800 0.0000 073 C000800 0.0000 074 A000800 0 074 B000800 39 074 C000800 0 074 D000800 0 PAGE 36 074 E000800 0 074 F000800 3167 074 G000800 0 074 H000800 0 074 I000800 0 074 J000800 10 074 K000800 10 074 L000800 5 074 M000800 41 074 N000800 3272 074 O000800 8 074 P000800 0 074 Q000800 0 074 R010800 0 074 R020800 0 074 R030800 0 074 R040800 13 074 S000800 0 074 T000800 3251 074 U010800 549 074 U020800 0 074 V010800 5.84 074 V020800 0.00 074 W000800 0.0000 074 X000800 7 074 Y000800 0 075 A000800 0 075 B000800 3819 076 000800 0.00 015 A000901 CUSTODIAL TRUST COMPANY 015 B000901 C 015 C010901 PRINCETON 015 C020901 NJ 015 C030901 08540 015 C040901 6231 015 E010901 X 024 000900 N 028 A010900 25 028 A020900 0 028 A030900 0 028 A040900 2 028 B010900 80 028 B020900 0 028 B030900 0 028 B040900 116 028 C010900 1174 028 C020900 0 028 C030900 0 028 C040900 0 028 D010900 3251 028 D020900 0 PAGE 37 028 D030900 0 028 D040900 496 028 E010900 2241 028 E020900 0 028 E030900 0 028 E040900 2568 028 F010900 2218 028 F020900 0 028 F030900 0 028 F040900 219 028 G010900 8988 028 G020900 0 028 G030900 0 028 G040900 3401 028 H000900 20 029 000900 Y 030 A000900 1 030 B000900 5.50 030 C000900 0.00 031 A000900 0 031 B000900 0 032 000900 1 033 000900 0 034 000900 Y 035 000900 2 036 A000900 N 036 B000900 0 037 000900 Y 038 000900 0 039 000900 N 040 000900 Y 041 000900 Y 042 A000900 0 042 B000900 0 042 C000900 100 042 D000900 0 042 E000900 0 042 F000900 0 042 G000900 0 042 H000900 0 043 000900 1 044 000900 0 045 000900 Y 046 000900 N 047 000900 Y 048 000900 1.500 048 A010900 0 048 A020900 0.000 048 B010900 0 048 B020900 0.000 048 C010900 0 PAGE 38 048 C020900 0.000 048 D010900 0 048 D020900 0.000 048 E010900 0 048 E020900 0.000 048 F010900 0 048 F020900 0.000 048 G010900 0 048 G020900 0.000 048 H010900 0 048 H020900 0.000 048 I010900 0 048 I020900 0.000 048 J010900 0 048 J020900 0.000 048 K010900 0 048 K020900 0.000 049 000900 N 050 000900 N 051 000900 N 052 000900 N 053 A000900 Y 053 B000900 Y 053 C000900 N 055 A000900 Y 055 B000900 N 056 000900 Y 057 000900 N 066 A000900 Y 066 B000900 N 066 C000900 Y 066 D000900 N 066 E000900 N 066 F000900 N 066 G000900 N 067 000900 N 068 A000900 N 068 B000900 N 069 000900 N 070 A010900 Y 070 A020900 Y 070 B010900 N 070 B020900 N 070 C010900 N 070 C020900 N 070 D010900 N 070 D020900 N 070 E010900 N 070 E020900 N 070 F010900 Y 070 F020900 N PAGE 39 070 G010900 N 070 G020900 N 070 H010900 N 070 H020900 N 070 I010900 N 070 I020900 N 070 J010900 Y 070 J020900 N 070 K010900 Y 070 K020900 N 070 L010900 Y 070 L020900 N 070 M010900 Y 070 M020900 N 070 N010900 Y 070 N020900 N 070 O010900 Y 070 O020900 N 070 P010900 N 070 P020900 N 070 Q010900 Y 070 Q020900 N 070 R010900 Y 070 R020900 Y 071 A000900 31179 071 B000900 23547 071 C000900 11345 071 D000900 94 072 A000900 6 072 B000900 99 072 C000900 66 072 D000900 0 072 E000900 0 072 F000900 104 072 G000900 10 072 H000900 0 072 I000900 7 072 J000900 9 072 K000900 0 072 L000900 0 072 M000900 11 072 N000900 8 072 O000900 0 072 P000900 0 072 Q000900 20 072 R000900 17 072 S000900 0 072 T000900 1 072 U000900 1 072 V000900 0 072 W000900 85 PAGE 40 072 X000900 273 072 Y000900 111 072 Z000900 4 072AA000900 1512 072BB000900 0 072CC010900 1117 072CC020900 0 072DD010900 0 072DD020900 0 072EE000900 0 073 A010900 0.0000 073 A020900 0.0000 073 B000900 0.0000 073 C000900 0.0000 074 A000900 0 074 B000900 2646 074 C000900 16065 074 D000900 0 074 E000900 0 074 F000900 16282 074 G000900 0 074 H000900 0 074 I000900 0 074 J000900 216 074 K000900 0 074 L000900 103 074 M000900 40 074 N000900 35352 074 O000900 698 074 P000900 5 074 Q000900 0 074 R010900 0 074 R020900 15884 074 R030900 0 074 R040900 22 074 S000900 0 074 T000900 18743 074 U010900 1252 074 U020900 239 074 V010900 12.48 074 V020900 12.44 074 W000900 0.0000 074 X000900 39 074 Y000900 0 075 A000900 0 075 B000900 13778 076 000900 0.00 015 A001001 STATE STREET BANK & TRUST CO. 015 B001001 C 015 C011001 BOSTON 015 C021001 MA PAGE 41 015 C031001 02102 015 E011001 X 024 001000 N 028 A011000 43 028 A021000 0 028 A031000 0 028 A041000 0 028 B011000 96 028 B021000 0 028 B031000 0 028 B041000 3 028 C011000 145 028 C021000 0 028 C031000 0 028 C041000 1 028 D011000 170 028 D021000 0 028 D031000 0 028 D041000 8 028 E011000 1155 028 E021000 0 028 E031000 0 028 E041000 320 028 F011000 1018 028 F021000 0 028 F031000 0 028 F041000 79 028 G011000 2626 028 G021000 0 028 G031000 0 028 G041000 410 028 H001000 1044 029 001000 Y 030 A001000 2 030 B001000 5.50 030 C001000 0.00 031 A001000 0 031 B001000 0 032 001000 2 033 001000 0 034 001000 Y 035 001000 2 036 A001000 N 036 B001000 0 037 001000 Y 038 001000 0 039 001000 N 040 001000 Y 041 001000 Y 042 A001000 0 042 B001000 0 PAGE 42 042 C001000 100 042 D001000 0 042 E001000 0 042 F001000 0 042 G001000 0 042 H001000 0 043 001000 1 044 001000 0 045 001000 Y 046 001000 N 047 001000 Y 048 001000 0.900 048 A011000 0 048 A021000 0.000 048 B011000 0 048 B021000 0.000 048 C011000 0 048 C021000 0.000 048 D011000 0 048 D021000 0.000 048 E011000 0 048 E021000 0.000 048 F011000 0 048 F021000 0.000 048 G011000 0 048 G021000 0.000 048 H011000 0 048 H021000 0.000 048 I011000 0 048 I021000 0.000 048 J011000 0 048 J021000 0.000 048 K011000 0 048 K021000 0.000 049 001000 N 050 001000 N 051 001000 N 052 001000 N 053 A001000 Y 053 B001000 Y 053 C001000 N 055 A001000 N 055 B001000 N 056 001000 Y 057 001000 N 066 A001000 Y 066 B001000 N 066 C001000 Y 066 D001000 N 066 E001000 N 066 F001000 N PAGE 43 066 G001000 N 067 001000 N 068 A001000 N 068 B001000 N 069 001000 N 070 A011000 Y 070 A021000 N 070 B011000 N 070 B021000 N 070 C011000 N 070 C021000 N 070 D011000 N 070 D021000 N 070 E011000 N 070 E021000 N 070 F011000 Y 070 F021000 N 070 G011000 N 070 G021000 N 070 H011000 N 070 H021000 N 070 I011000 N 070 I021000 N 070 J011000 Y 070 J021000 N 070 K011000 Y 070 K021000 N 070 L011000 Y 070 L021000 N 070 M011000 N 070 M021000 N 070 N011000 Y 070 N021000 N 070 O011000 Y 070 O021000 N 070 P011000 N 070 P021000 N 070 Q011000 Y 070 Q021000 N 070 R011000 N 070 R021000 N 071 A001000 6150 071 B001000 3671 071 C001000 3058 071 D001000 53 072 A001000 6 072 B001000 0 072 C001000 28 072 D001000 0 072 E001000 0 072 F001000 16 PAGE 44 072 G001000 3 072 H001000 0 072 I001000 8 072 J001000 21 072 K001000 0 072 L001000 0 072 M001000 1 072 N001000 21 072 O001000 0 072 P001000 0 072 Q001000 42 072 R001000 2 072 S001000 0 072 T001000 1 072 U001000 0 072 V001000 0 072 W001000 16 072 X001000 131 072 Y001000 110 072 Z001000 7 072AA001000 0 072BB001000 66 072CC011000 0 072CC021000 556 072DD011000 0 072DD021000 0 072EE001000 0 073 A011000 0.0000 073 A021000 0.0000 073 B001000 0.0000 073 C001000 0.0000 074 A001000 1 074 B001000 209 074 C001000 0 074 D001000 0 074 E001000 0 074 F001000 4649 074 G001000 0 074 H001000 0 074 I001000 0 074 J001000 49 074 K001000 21 074 L001000 3 074 M001000 40 074 N001000 4972 074 O001000 199 074 P001000 0 074 Q001000 0 074 R011000 0 074 R021000 0 074 R031000 0 PAGE 45 074 R041000 6 074 S001000 0 074 T001000 4767 074 U011000 367 074 U021000 14 074 V011000 9.52 074 V021000 9.49 074 W001000 0.0000 074 X001000 8 074 Y001000 0 075 A001000 0 075 B001000 3482 076 001000 0.00 015 A001101 STATE STREET BANK & TRUST CO. 015 B001101 C 015 C011101 BOSTON 015 C021101 MA 015 C031101 02102 015 E011101 X 024 001100 N 028 A011100 0 028 A021100 0 028 A031100 0 028 A041100 0 028 B011100 0 028 B021100 0 028 B031100 0 028 B041100 0 028 C011100 1 028 C021100 0 028 C031100 0 028 C041100 0 028 D011100 0 028 D021100 0 028 D031100 0 028 D041100 1 028 E011100 30 028 E021100 0 028 E031100 0 028 E041100 0 028 F011100 0 028 F021100 0 028 F031100 0 028 F041100 28 028 G011100 31 028 G021100 0 028 G031100 0 028 G041100 29 028 H001100 0 029 001100 N 030 A001100 0 PAGE 46 030 B001100 0.00 030 C001100 0.00 031 A001100 0 031 B001100 0 032 001100 0 033 001100 0 034 001100 Y 035 001100 0 036 A001100 N 036 B001100 0 037 001100 Y 038 001100 0 039 001100 N 040 001100 Y 041 001100 Y 042 A001100 0 042 B001100 0 042 C001100 100 042 D001100 0 042 E001100 0 042 F001100 0 042 G001100 0 042 H001100 0 043 001100 0 044 001100 0 045 001100 Y 046 001100 N 047 001100 Y 048 001100 0.750 048 A011100 0 048 A021100 0.000 048 B011100 0 048 B021100 0.000 048 C011100 0 048 C021100 0.000 048 D011100 0 048 D021100 0.000 048 E011100 0 048 E021100 0.000 048 F011100 0 048 F021100 0.000 048 G011100 0 048 G021100 0.000 048 H011100 0 048 H021100 0.000 048 I011100 0 048 I021100 0.000 048 J011100 0 048 J021100 0.000 048 K011100 0 048 K021100 0.000 PAGE 47 049 001100 N 050 001100 N 051 001100 N 052 001100 N 053 A001100 Y 053 B001100 Y 053 C001100 N 055 A001100 N 055 B001100 N 056 001100 Y 057 001100 N 066 A001100 Y 066 B001100 N 066 C001100 Y 066 D001100 N 066 E001100 N 066 F001100 N 066 G001100 N 067 001100 N 068 A001100 N 068 B001100 Y 069 001100 N 070 A011100 Y 070 A021100 N 070 B011100 N 070 B021100 N 070 C011100 N 070 C021100 N 070 D011100 N 070 D021100 N 070 E011100 N 070 E021100 N 070 F011100 Y 070 F021100 N 070 G011100 Y 070 G021100 N 070 H011100 N 070 H021100 N 070 I011100 N 070 I021100 N 070 J011100 Y 070 J021100 N 070 K011100 Y 070 K021100 N 070 L011100 Y 070 L021100 Y 070 M011100 Y 070 M021100 Y 070 N011100 Y 070 N021100 N 070 O011100 Y PAGE 48 070 O021100 N 070 P011100 N 070 P021100 N 070 Q011100 Y 070 Q021100 N 070 R011100 N 070 R021100 N 071 A001100 11480 071 B001100 11466 071 C001100 6679 071 D001100 107 072 A001100 6 072 B001100 0 072 C001100 125 072 D001100 0 072 E001100 0 072 F001100 25 072 G001100 5 072 H001100 0 072 I001100 6 072 J001100 56 072 K001100 0 072 L001100 0 072 M001100 1 072 N001100 20 072 O001100 0 072 P001100 0 072 Q001100 38 072 R001100 2 072 S001100 0 072 T001100 0 072 U001100 0 072 V001100 0 072 W001100 14 072 X001100 167 072 Y001100 125 072 Z001100 82 072AA001100 0 072BB001100 448 072CC011100 0 072CC021100 1502 072DD011100 0 072DD021100 0 072EE001100 0 073 A011100 0.0000 073 A021100 0.0000 073 B001100 0.0000 073 C001100 0.0000 074 A001100 17 074 B001100 0 074 C001100 0 PAGE 49 074 D001100 0 074 E001100 0 074 F001100 5266 074 G001100 0 074 H001100 0 074 I001100 14 074 J001100 84 074 K001100 20 074 L001100 22 074 M001100 49 074 N001100 5472 074 O001100 16 074 P001100 0 074 Q001100 0 074 R011100 0 074 R021100 0 074 R031100 0 074 R041100 0 074 S001100 0 074 T001100 5456 074 U011100 750 074 U021100 0 074 V011100 7.27 074 V021100 0.00 074 W001100 0.0000 074 X001100 3 074 Y001100 0 075 A001100 0 075 B001100 6779 076 001100 0.00 024 001200 N 028 A011200 0 028 A021200 0 028 A031200 0 028 A041200 0 028 B011200 0 028 B021200 0 028 B031200 0 028 B041200 0 028 C011200 11084 028 C021200 0 028 C031200 0 028 C041200 0 028 D011200 0 028 D021200 0 028 D031200 0 028 D041200 0 028 E011200 33 028 E021200 0 028 E031200 0 028 E041200 0 PAGE 50 028 F011200 0 028 F021200 0 028 F031200 0 028 F041200 0 028 G011200 11117 028 G021200 0 028 G031200 0 028 G041200 0 028 H001200 0 029 001200 N 030 A001200 0 030 B001200 0.00 030 C001200 0.00 031 A001200 0 031 B001200 0 032 001200 0 033 001200 0 034 001200 Y 035 001200 0 036 A001200 N 036 B001200 0 037 001200 Y 038 001200 0 039 001200 N 040 001200 Y 041 001200 Y 042 A001200 0 042 B001200 0 042 C001200 100 042 D001200 0 042 E001200 0 042 F001200 0 042 G001200 0 042 H001200 0 043 001200 0 044 001200 0 045 001200 Y 046 001200 N 047 001200 Y 048 001200 0.750 048 A011200 0 048 A021200 0.000 048 B011200 0 048 B021200 0.000 048 C011200 0 048 C021200 0.000 048 D011200 0 048 D021200 0.000 048 E011200 0 048 E021200 0.000 048 F011200 0 PAGE 51 048 F021200 0.000 048 G011200 0 048 G021200 0.000 048 H011200 0 048 H021200 0.000 048 I011200 0 048 I021200 0.000 048 J011200 0 048 J021200 0.000 048 K011200 0 048 K021200 0.000 049 001200 N 050 001200 N 051 001200 N 052 001200 N 053 A001200 Y 053 B001200 Y 053 C001200 N 055 A001200 N 055 B001200 N 056 001200 Y 057 001200 N 066 A001200 Y 066 B001200 N 066 C001200 Y 066 D001200 N 066 E001200 N 066 F001200 N 066 G001200 N 067 001200 N 068 A001200 N 068 B001200 N 069 001200 N 070 A011200 Y 070 A021200 Y 070 B011200 N 070 B021200 N 070 C011200 N 070 C021200 N 070 D011200 N 070 D021200 N 070 E011200 N 070 E021200 N 070 F011200 Y 070 F021200 N 070 G011200 N 070 G021200 N 070 H011200 N 070 H021200 N 070 I011200 N 070 I021200 N PAGE 52 070 J011200 Y 070 J021200 N 070 K011200 Y 070 K021200 N 070 L011200 Y 070 L021200 N 070 M011200 N 070 M021200 N 070 N011200 Y 070 N021200 Y 070 O011200 Y 070 O021200 N 070 P011200 N 070 P021200 N 070 Q011200 Y 070 Q021200 N 070 R011200 N 070 R021200 N 071 A001200 15112 071 B001200 4038 071 C001200 9999 071 D001200 39 072 A001200 6 072 B001200 0 072 C001200 53 072 D001200 0 072 E001200 0 072 F001200 21 072 G001200 7 072 H001200 0 072 I001200 4 072 J001200 15 072 K001200 0 072 L001200 0 072 M001200 1 072 N001200 9 072 O001200 0 072 P001200 0 072 Q001200 16 072 R001200 2 072 S001200 0 072 T001200 0 072 U001200 0 072 V001200 0 072 W001200 1 072 X001200 76 072 Y001200 48 072 Z001200 26 072AA001200 0 072BB001200 504 072CC011200 0 PAGE 53 072CC021200 1565 072DD011200 0 072DD021200 0 072EE001200 0 073 A011200 0.0000 073 A021200 0.0000 073 B001200 0.0000 073 C001200 0.0000 074 A001200 62 074 B001200 0 074 C001200 0 074 D001200 0 074 E001200 0 074 F001200 8994 074 G001200 0 074 H001200 0 074 I001200 0 074 J001200 85 074 K001200 11 074 L001200 13 074 M001200 37 074 N001200 9202 074 O001200 128 074 P001200 0 074 Q001200 0 074 R011200 0 074 R021200 0 074 R031200 0 074 R041200 0 074 S001200 0 074 T001200 9074 074 U011200 1108 074 U021200 3 074 V011200 8.16 074 V021200 8.15 074 W001200 0.0000 074 X001200 7 074 Y001200 0 075 A001200 0 075 B001200 9840 076 001200 0.00 028 A011800 0 028 A021800 0 028 A031800 0 028 A041800 0 028 B011800 0 028 B021800 0 028 B031800 0 028 B041800 0 028 C011800 0 028 C021800 0 PAGE 54 028 C031800 0 028 C041800 0 028 D011800 0 028 D021800 0 028 D031800 0 028 D041800 0 028 E011800 0 028 E021800 0 028 E031800 0 028 E041800 0 028 F011800 0 028 F021800 0 028 F031800 0 028 F041800 0 028 G011800 0 028 G021800 0 028 G031800 0 028 G041800 0 028 H001800 0 SIGNATURE STEVE PIERCE TITLE VICE PRESIDENT EX-99.77Q3 CERT 3 prescert93002.txt Certification I, Richard L. Saalfeld, certify that: 1. I have reviewed this report on Form N-SAR of the Barr Rosenberg Series Trust; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the financial information included in this report, and the financial statements on which the financial information is based, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report; 4. The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in rule 30a-2(c) under the Investment Company Act) for the registrant and have: a) designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; b) evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this report (the "Evaluation Date"); and c) presented in this report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date; 5. The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of the registrant's board of trustees (or persons performing the equivalent functions): a) all significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize, and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and b) any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and 6. The registrant's other certifying officers and I have indicated in this report whether or not there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses. /s/ Richard Saalfeld___President_________________ [Signature] and [Title] 11/26/02____________________________________ Date EX-99.77Q3 CERT 4 treascert93002.txt Certification I, Troy A. Sheets, certify that: 1. I have reviewed this report on Form N-SAR of the Barr Rosenberg Series Trust: 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the financial information included in this report, and the financial statements on which the financial information is based, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report; 4. The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in rule 30a-2(c) under the Investment Company Act) for the registrant and have: a) designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; b) evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this report (the "Evaluation Date"); and c) presented in this report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date; 5. The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of the registrant's board of trustees (or persons performing the equivalent functions): a) all significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize, and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and b) any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and 6. The registrant's other certifying officers and I have indicated in this report whether or not there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses. _/s/ Troy A. Sheets ______________________ [Signature] and [Title] _11/26/02______________________________ Date EX-99.77Q3 CERT 5 seventysevenqexhibit.txt The certifying officers, whose certifications are included herewith, have evaluated the registrant's disclosure controls and procedures within 90 days of the filing date of this report. In their opinion, based on their evaluation, the registrant's disclosure controls and procedures are adequately designed, and are operating effectively to ensure, that material information relating to the registrant, including its consolidated subsidiaries, is made known to them by others within those entities, particularly during the period in which this report is being prepared. Further, in their opinion, the registrant's disclosure controls and procedures are adequately designed, and are operating effectively to ensure, that information required to be disclosed by the registrant in the reports it files or submits under the Securities Exchange Act of 1934 is recorded, processed, summarized and reported within the time periods specified in the Securities and Exchange Commission's rules and forms. There are no significant deficiencies or material weaknesses in the registrant's internal controls as of the date of their most recent evaluation, and there have been no significant changes in the registrant's internal controls or in other factors that could significantly affect these controls subsequent to the date of their most recent evaluation. The Empire Builder Tax-Free Bond Fund 3435 Stelzer Rd. Columbus, Ohio 43219 -----END PRIVACY-ENHANCED MESSAGE-----