-----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, DKT0uBkc1LTlYhP6zkQ0Ybem0mdSKJTLze0gymQvfKwYFeqvuBdxuS/0fZxQg7v/ ZKp8A6gXcxcUlM9Nv8EZhw== 0000898430-01-504037.txt : 20020413 0000898430-01-504037.hdr.sgml : 20020413 ACCESSION NUMBER: 0000898430-01-504037 CONFORMED SUBMISSION TYPE: 24F-2NT PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20011031 FILED AS OF DATE: 20011221 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TCW GALILEO FUNDS INC CENTRAL INDEX KEY: 0000892071 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: MD FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 24F-2NT SEC ACT: 1933 Act SEC FILE NUMBER: 033-52272 FILM NUMBER: 1820725 BUSINESS ADDRESS: STREET 1: 865 S FIGUEROA ST STE 1800 CITY: LOS ANGELES STATE: CA ZIP: 90017 BUSINESS PHONE: 2132440000 FORMER COMPANY: FORMER CONFORMED NAME: TCW FUNDS INC DATE OF NAME CHANGE: 19930714 24F-2NT 1 d24f2nt.txt FORM 24F-2 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 24F-2 Annual Notice of Securities Sold Pursuant to Rule 24f-2 Read instructions at end of Form before preparing Form. Please print or type. - -------------------------------------------------------------------------------- 1. Name and address of issuer: TCW Galileo Funds, Inc. 865 South Figueroa Street Los Angeles, California 90017 - -------------------------------------------------------------------------------- 2. Name of each series or class of funds for which this notice is filed: Galileo High Yield Bond Fund Galileo Earnings Momentum Fund Galileo Core Fixed Income Fund Galileo Large Cap Growth Fund Galileo Total Return Mortgage Backed Galileo Large Cap Value Fun Securities Fund Galileo Aggressive Growth Equities Fund Galileo Mortgage Backed Securities Fund Galileo Small Cap Growth Fund Galileo Money Market Fund Galileo Small Cap Value Fund Galileo Convertible Securities Fund Galileo Value Opportunities Fund Galileo Select Equities Fund Galileo Asia Pacific Equities Fund Galileo Select International Equities Galileo Emerging Markets Equities Fund Fund Galileo Emerging Markets Income Fund Galileo Japanese Equities Fund Galileo European Equities Fund Galileo Flexible Income Fund Galileo Technology Fund Galileo Focused Large Cap Value Fund Galileo Growth Insights Fund Galileo Health Sciences Fund
- -------------------------------------------------------------------------------- 3. Investment Company Act File Number: 811-7170 Securities Act File Number: 33-52272 - -------------------------------------------------------------------------------- 4. Last day of fiscal year for which this notice is filed: October 31, 2001 - -------------------------------------------------------------------------------- 5. Check box if this notice is being filed more than 180 days after the close of the issuer's fiscal year for purposes of reporting securities sold after the close of the fiscal year but before termination of the issuer's 24f-2 declaration: [ ] - -------------------------------------------------------------------------------- 6. Date of termination of issuer's declaration under rule 24f-2(a)(1), if applicable (see instruction A.6): - -------------------------------------------------------------------------------- 7. Number and amount of securities of the same class or series which had been registered under the Securities Act of 1933 other than pursuant to rule 24f-2 in a prior fiscal year, but which remained unsold at the beginning of the fiscal year: 0 - -------------------------------------------------------------------------------- 8. Number and amount of securities registered during the fiscal year other than pursuant to rule 24f-2: 0 - -------------------------------------------------------------------------------- 9. Number and aggregate sale price of securities sold during the fiscal year: 3,370,046,356 shares $5,400,641,553 aggregate sales price - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 10. Number and aggregate sale price of securities sold during the fiscal year in reliance upon registration pursuant to rule 24f-2: 3,370,046,356 shares $5,400,641,553 aggregate sales price - -------------------------------------------------------------------------------- 11. Number and aggregate sale price of securities issued during the fiscal year in connection with dividend reinvestment plans, if applicable (see instruction B.7): 18,571,710 shares $133,222,236 aggregate reinvested dividends - -------------------------------------------------------------------------------- 12. Calculation of registration fee: (i) Aggregate sale price of securities sold during the fiscal year in reliance on rule 24f-2 (from Item 10): $ 5,400,641,553 ------------------- (ii) Aggregate price of shares issued in connection with dividend reinvestment plans (from Item 11, if applicable): + 133,222,236 ------------------- (iii) Aggregate price of shares redeemed or repurchased during the fiscal year (if applicable): - 4,298,824,859 ------------------- (iv) Aggregate price of shares redeemed or repurchased and previously applied as a reduction to filing fees pursuant to rule 24e-2 (if applicable): + 0 ------------------- (v) Net aggregate price of securities sold and issued during the fiscal year in reliance on rule 24f-2 [line (i), plus line (ii), less line (iii), plus line (iv)] (if applicable): $ 1,235,038,930 ------------------- (vi) Multiplier prescribed by Section 6(b) of the Securities Act of 1933 or other applicable law or regulation (see Instruction C.6): x .000239 ------------------- (vii) Fee due [line (i) or line (v) multiplied by line (vi)]: $ 295,174.30 =================== Instructions: Issuers should complete lines (ii), (iii), (iv), and (v) only if the form is being filed within 60 days after the close of the issuer's fiscal year. See Instruction C.3. - -------------------------------------------------------------------------------- 13. Check box if fees are being remitted to the Commission's lockbox depository as described in section 3a of the Commission's Rules of Informal and Other Procedures (17 CFR 202.3a). [X] Date of mailing or wire transfer of filing fees to the Commission's lockbox depository: December 20, 2001 - -------------------------------------------------------------------------------- SIGNATURES This report has been signed below by the following persons on behalf of the issuer and in the capacities and on the dates indicated. By (Signature and Title)* /s/ Philip K. Holl ------------------------------------------------------ Philip K. Holl, Secretary ------------------------------------------------------ Date December 21, 2001 ---------------------------- *Please print the name and title of the signing officer below the signature. - -------------------------------------------------------------------------------- EX-99.1 3 dex991.txt OPINION OF PHILLIP K. HOLL EXHIBIT 99.1 TCW INVESTMENT MANAGEMENT COMPANY 865 South Figueroa Street, Suite 1800 Los Angeles, California 90017 (213) 244-0000 Telephone (213) 244-0645 Facsimile December 21, 2001 Board of Directors TCW Galileo Funds, Inc. 865 South Figueroa Street Los Angeles, California 90017 Re: TCW GALILEO FUNDS, INC. ----------------------- Gentlemen: At your request, I have examined the Form of Rule 24F-2 (the "Form") proposed to be filed by you with the Securities and Exchange Commission. The Form states that during the fiscal year ended October 31, 2001, you issued and sold the following number of shares of Common Stock, $.001 par value, of the following portfolios (the "Shares"), in reliance upon your registration of an indefinite number of shares of the following portfolios pursuant to Rule 24f-2 under the Investment Company Act of 1940, as amended:
Number Name of Shares - ---- ------------- TCW Galileo High Yield Bond Fund 24,128,253 TCW Galileo Core Fixed Income Fund 3,778,200 TCW Galileo Total Return Mortgage Backed Securities Fund 2,123,093 TCW Galileo Mortgage Backed Securities Fund 927,025 TCW Galileo Money Market Fund 3,230,166,207 TCW Galileo Covertible Securities Fund 3,949,244 TCW Galileo Select Equities Fund 51,360,758 TCW Galileo Large Cap Growth Fund 1,059,912 TCW Galileo Large Cap Value Fund 5,568,504 TCW Galileo Small Cap Growth Fund 11,668,702 TCW Galileo Small Cap Value Fund 303,808 TCW Galileo Value Opportunities Fund 27,680,636
December 21, 2001 Board of Directors Page 2
Number Name of Shares - ---- ------------- TCW Galileo Earnings Momentum Fund 1,095,040 TCW Galileo Aggressive Growth Equities Fund 8,430,820 TCW Galileo Flexible Income Fund 211,270 TCW Galileo Focused Large Cap Value Fund 104,499 TCW Galileo Growth Insights Fund 473,477 TCW Galileo Health Sciences Fund 50,001 TCW Galileo Technology Fund 1,278,043 TCW Galileo Asia Pacific Equities Fund 266,587 TCW Galileo Emerging Markets Equities Fund 2,461,946 TCW Galileo Emerging Markets Income Fund 1,128,172 TCW Galileo Select International Equities Fund 6,761,568 TCW Galileo Japanese Equities Fund 1,125,847 TCW Galileo European Equities Fund 2,516,152 ---------- Total: 3,388,618,066 ==============
I am familiar with the proceedings taken by you in connection with the authorization, issuance and sale of the Shares. Based upon my examination and upon my knowledge of your corporate activities, and assuming, without independent verification, that the Shares were sold in compliance with applicable Blue Sky laws and in the manner referred to in your Registration Statement on Form N-1A filed under the Securities Act of 1933, as amended, it is my opinion that the Shares constituted validly issued, fully paid and nonassessable shares of your Common Stock. I am a member of the bars of Maryland and New Jersey. I consent to the filing of this opinion as an exhibit to the Form. Respectfully submitted, /s/ Philip K. Holl Philip K. Holl PKH/rp -----END PRIVACY-ENHANCED MESSAGE-----