-----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, R8APh66L5WMx2bNkXhW/LglbZQCob6pATCbwTEhOOA6KvuoKIELeS+8ICNgVDJ1V 11aSi//rGgOoDW5+2BMcfw== 0000898432-07-000019.txt : 20070103 0000898432-07-000019.hdr.sgml : 20070101 20070103163530 ACCESSION NUMBER: 0000898432-07-000019 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20061031 FILED AS OF DATE: 20070103 DATE AS OF CHANGE: 20070103 EFFECTIVENESS DATE: 20070103 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HERITAGE SERIES TRUST CENTRAL INDEX KEY: 0000897111 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-07470 FILM NUMBER: 07505146 BUSINESS ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST PETERSBURG STATE: FL ZIP: 33716 BUSINESS PHONE: 8135733800

0000897111 S000008481 Diversified Growth Fund

C000023254 Class A HAGAX

C000023255 Class B HAGBX

C000023256 Class C HAGCX

C000023257 Class I HAGIX

C000023258 Class R3 HAREX

C000023259 Class R5 HARSX

0000897111 S000008482 Small Cap Stock Fund

C000023260 Class A HRSCX

C000023261 Class B HRSBX

C000023262 Class C HSCCX

C000023263 Class I HSIIX

C000023264 Class R3 HSRRX

C000023265 Class R5 HSRSX

0000897111 S000008483 Mid Cap Stock Fund

C000023267 Class A HMCAX

C000023268 Class B HMCBX

C000023269 Class C HMCCX

C000023270 Class I HMCJX

C000023271 Class R3 HMRRX

C000023272 Class R5 HMRSX

0000897111 S000008485 Core Equity Fund

C000023274 Class A HTCAX

C000023275 Class C HTCCX

C000023276 Class I HTCIX

C000023277 Class R3 HTCRX

C000023278 Class R5 HTCSX

0000897111 S000008486 International Equity Fund

C000023279 Class A HEIAX

C000023280 Class B HEIBX

C000023281 Class C HEICX

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B000100 0 042 C000100 100 042 D000100 0 042 E000100 0 042 F000100 0 042 G000100 0 042 H000100 0 043 000100 1719 044 000100 0 053 A000100 Y 053 B000100 Y 066 A000100 Y 066 C000100 Y 070 A010100 Y 070 A020100 Y 070 B010100 N 070 B020100 N 070 C010100 N 070 C020100 N 070 D010100 N 070 D020100 N 070 E010100 Y 070 E020100 N 070 F010100 Y 070 F020100 N 070 G010100 N 070 G020100 N 070 H010100 N 070 H020100 N 070 I010100 N 070 I020100 N 070 J010100 Y PAGE 6 070 J020100 N 070 K010100 Y 070 K020100 N 070 L010100 Y 070 L020100 Y 070 M010100 Y 070 M020100 N 070 N010100 Y 070 N020100 N 070 O010100 N 070 O020100 N 070 P010100 N 070 P020100 N 070 Q010100 N 070 Q020100 N 070 R010100 N 070 R020100 N 071 A000100 165732 071 B000100 190109 071 C000100 337735 071 D000100 49 072 A000100 12 072 B000100 1274 072 C000100 1656 072 D000100 0 072 E000100 0 072 F000100 2293 072 G000100 454 072 H000100 0 072 I000100 441 072 J000100 16 072 K000100 0 072 L000100 47 072 M000100 44 072 N000100 87 072 O000100 0 072 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4193 072 D000300 0 072 E000300 0 072 F000300 1690 072 G000300 226 072 H000300 0 072 I000300 168 072 J000300 176 072 K000300 0 072 L000300 21 072 M000300 44 072 N000300 63 072 O000300 0 072 P000300 0 072 Q000300 58 072 R000300 43 072 S000300 33 072 T000300 1204 072 U000300 0 072 V000300 0 072 W000300 19 072 X000300 3745 072 Y000300 0 072 Z000300 686 072AA000300 24242 072BB000300 6436 072CC010300 22349 072CC020300 0 072DD010300 345 072DD020300 41 072EE000300 11215 073 A010300 0.0000 073 A020300 0.0000 073 B000300 2.0423 073 C000300 0.0000 074 A000300 4954 074 B000300 678 074 C000300 0 074 D000300 0 074 E000300 978 074 F000300 191455 074 G000300 0 074 H000300 0 PAGE 10 074 I000300 10380 074 J000300 22658 074 K000300 0 074 L000300 1113 074 M000300 82 074 N000300 232298 074 O000300 17323 074 P000300 323 074 Q000300 0 074 R010300 0 074 R020300 0 074 R030300 0 074 R040300 418 074 S000300 0 074 T000300 214234 074 U010300 3227 074 U020300 4235 074 V010300 0.00 074 V020300 0.00 074 W000300 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B000500 1224 072 C000500 7912 072 D000500 0 072 E000500 0 072 F000500 6860 072 G000500 1478 072 H000500 0 072 I000500 1384 072 J000500 40 072 K000500 0 072 L000500 158 072 M000500 44 072 N000500 132 072 O000500 0 072 P000500 0 072 Q000500 96 072 R000500 40 072 S000500 33 072 T000500 5749 072 U000500 0 PAGE 12 072 V000500 0 072 W000500 47 072 X000500 16061 072 Y000500 0 072 Z000500 -6925 072AA000500 227157 072BB000500 77905 072CC010500 24495 072CC020500 0 072DD010500 0 072DD020500 0 072EE000500 71749 073 A010500 0.0000 073 A020500 0.0000 073 B000500 1.9609 073 C000500 0.0000 074 A000500 1 074 B000500 64660 074 C000500 0 074 D000500 0 074 E000500 0 074 F000500 1291056 074 G000500 0 074 H000500 0 074 I000500 0 074 J000500 49235 074 K000500 0 074 L000500 4945 074 M000500 45 074 N000500 1409942 074 O000500 69547 074 P000500 1445 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 2815 074 S000500 0 074 T000500 1336135 074 U010500 32085 074 U020500 13379 074 V010500 0.00 074 V020500 0.00 074 W000500 0.0000 074 X000500 78622 074 Y000500 0 075 A000500 0 075 B000500 1167733 076 000500 0.00 028 A010600 3776 028 A020600 0 PAGE 13 028 A030600 0 028 A040600 3993 028 B010600 3171 028 B020600 0 028 B030600 0 028 B040600 4319 028 C010600 2320 028 C020600 0 028 C030600 0 028 C040600 4617 028 D010600 2201 028 D020600 0 028 D030600 1 028 D040600 7592 028 E010600 1656 028 E020600 0 028 E030600 0 028 E040600 5725 028 F010600 2041 028 F020600 0 028 F030600 0 028 F040600 6081 028 G010600 15165 028 G020600 0 028 G030600 1 028 G040600 32327 028 H000600 736 030 A000600 75 030 B000600 4.75 030 C000600 0.00 031 A000600 10 031 B000600 0 032 000600 22 033 000600 43 035 000600 26 036 B000600 0 037 000600 Y 038 000600 2 042 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 1212 044 000600 0 053 A000600 Y 053 B000600 Y 055 A000600 Y PAGE 14 066 A000600 Y 066 C000600 Y 070 A010600 Y 070 A020600 Y 070 B010600 Y 070 B020600 N 070 C010600 Y 070 C020600 N 070 D010600 Y 070 D020600 N 070 E010600 Y 070 E020600 N 070 F010600 Y 070 F020600 N 070 G010600 Y 070 G020600 N 070 H010600 Y 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 Y 070 M010600 Y 070 M020600 N 070 N010600 Y 070 N020600 N 070 O010600 N 070 O020600 N 070 P010600 N 070 P020600 N 070 Q010600 N 070 Q020600 N 070 R010600 N 070 R020600 N 071 A000600 244482 071 B000600 254566 071 C000600 219437 071 D000600 111 072 A000600 12 072 B000600 283 072 C000600 1545 072 D000600 0 072 E000600 0 072 F000600 1438 072 G000600 280 072 H000600 0 072 I000600 281 PAGE 15 072 J000600 10 072 K000600 0 072 L000600 32 072 M000600 44 072 N000600 81 072 O000600 0 072 P000600 0 072 Q000600 96 072 R000600 39 072 S000600 32 072 T000600 1212 072 U000600 0 072 V000600 0 072 W000600 29 072 X000600 3574 072 Y000600 0 072 Z000600 -1746 072AA000600 40868 072BB000600 19450 072CC010600 2131 072CC020600 0 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54-0796506 025 C000804 E 025 D000804 5855 025 D000805 0 025 D000806 0 025 D000807 0 025 D000808 0 028 A010800 8307 028 A020800 0 028 A030800 0 028 A040800 1602 028 B010800 6410 028 B020800 0 028 B030800 0 028 B040800 2539 028 C010800 4531 028 C020800 0 028 C030800 0 028 C040800 1779 028 D010800 5691 028 D020800 0 028 D030800 0 028 D040800 1908 028 E010800 5624 028 E020800 0 028 E030800 0 028 E040800 1481 028 F010800 5626 PAGE 17 028 F020800 0 028 F030800 0 028 F040800 1775 028 G010800 36189 028 G020800 0 028 G030800 0 028 G040800 11084 028 H000800 778 030 A000800 59 030 B000800 4.75 030 C000800 0.00 031 A000800 8 031 B000800 0 032 000800 5 033 000800 46 035 000800 3 036 B000800 0 037 000800 Y 038 000800 1 042 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 179 044 000800 0 066 A000800 Y 066 C000800 Y 070 A010800 Y 070 A020800 Y 070 B010800 Y 070 B020800 N 070 C010800 Y 070 C020800 N 070 D010800 Y 070 D020800 N 070 E010800 Y 070 E020800 N 070 F010800 Y 070 F020800 N 070 G010800 Y 070 G020800 N 070 H010800 Y 070 H020800 N 070 I010800 N 070 I020800 N 070 J010800 Y 070 J020800 N PAGE 18 070 K010800 Y 070 K020800 N 070 L010800 Y 070 L020800 Y 070 M010800 Y 070 M020800 N 070 N010800 Y 070 N020800 N 070 O010800 N 070 O020800 N 070 P010800 N 070 P020800 N 070 Q010800 N 070 Q020800 N 070 R010800 N 070 R020800 N 071 A000800 145972 071 B000800 38055 071 C000800 89048 071 D000800 43 072 A000800 12 072 B000800 442 072 C000800 1466 072 D000800 0 072 E000800 0 072 F000800 606 072 G000800 108 072 H000800 0 072 I000800 165 072 J000800 8 072 K000800 0 072 L000800 24 072 M000800 42 072 N000800 78 072 O000800 0 072 P000800 0 072 Q000800 94 072 R000800 38 072 S000800 34 072 T000800 179 072 U000800 0 072 V000800 0 072 W000800 41 072 X000800 1417 072 Y000800 181 072 Z000800 672 072AA000800 2543 072BB000800 1290 072CC010800 12754 072CC020800 0 072DD010800 0 PAGE 19 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 17358 074 C000800 0 074 D000800 0 074 E000800 0 074 F000800 147092 074 G000800 0 074 H000800 0 074 I000800 0 074 J000800 0 074 K000800 0 074 L000800 1145 074 M000800 22 074 N000800 165617 074 O000800 0 074 P000800 123 074 Q000800 0 074 R010800 0 074 R020800 0 074 R030800 0 074 R040800 193 074 S000800 0 074 T000800 165301 074 U010800 1394 074 U020800 8581 074 V010800 0.00 074 V020800 0.00 074 W000800 0.0000 074 X000800 14409 074 Y000800 0 075 A000800 0 075 B000800 99651 076 000800 0.00 SIGNATURE K.C. CLARK TITLE PRIN. EXEC. OFFICER EX-99.77B 2 exhibit_9977b.txt PRICEWATERHOUSECOOPERS LLP [LOGO] Suite 1500 101 E. Kennedy Blvd. Tampa FL 33602 Telephone (813) 229 0221 Facsimile (813) 229 3646 www.pwc.com REPORT OF INDEPENDENT REGISTERED CERTIFIED PUBLIC ACCOUNTING FIRM To the Board of Trustees and Shareholders of Heritage Series Trust In planning and performing our audit of the financial statements of Heritage Series Trust (the "Company") as of and for the year ended October 31, 2006, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Company's internal control over financial reporting, including control activities for 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 Company's internal control over financial reporting. Accordingly, we express no such opinion. The management of the Company 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. Such internal control over financial reporting includes policies and procedures that provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a 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 control deficiency 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 significant deficiency is a control deficiency, or combination of control deficiencies, that adversely affects the company's ability to initiate, authorize, record, process or report external financial data reliably in accordance with generally accepted accounting principles such that there is more than a remote likelihood that a misstatement of the company's annual or interim financial statements that is more than inconsequential will not be prevented or detected. A material weakness is a control deficiency, PricewaterhouseCoopers LLP [LOGO] or combination of control deficiencies, that results in more than a remote likelihood that a material misstatement of the annual or interim financial statements will not be prevented or detected. Our consideration of the Company'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 over financial reporting that might be significant deficiencies or material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Company's internal control over financial reporting and its operation, including controls for safeguarding securities, that we consider to be material weaknesses as defined above as of October 31, 2006. This report is intended solely for the information and use of management and the Board of Trustees of Heritage Series 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/ PRICEWATERHOUSE COOPERS LLP December 22, 2006 EX-99.77I 3 exh99-77i.txt Sub Item 77I Terms of new or amended securities 811-7470, Heritage Series Trust Each series of the Heritage Series Trust ("the Trust"), except the International Fund, issued three new classes of shares in the Trust, Class I, Class R-3 and Class R-5 shares. The description of each class is incorporated by reference to the Trust's Post-Effective Amendment No. 38, as filed with the Securities and Exchange Commission on December 29, 2005 (Accession No. 898432-5-1049). EX-99.77O 4 exhibit99-77o.txt IPO

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