-----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, CcPo60J9FifSVLc1Y0HUernz8ZzgU2/uZ9jWYCjhpIVT1QTRoFbm2SGDGCMfuVj+ cwhNAnYpGUO6ACTfNSNRrQ== 0000898432-07-000531.txt : 20070629 0000898432-07-000531.hdr.sgml : 20070629 20070629165233 ACCESSION NUMBER: 0000898432-07-000531 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20070430 FILED AS OF DATE: 20070629 DATE AS OF CHANGE: 20070629 EFFECTIVENESS DATE: 20070629 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-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-07470 FILM NUMBER: 07951640 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 NSAR-A 1 answer.fil PAGE 1 000 A000000 04/30/2007 000 C000000 0000897111 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 HERITAGE SERIES TRUST 001 B000000 811-7470 001 C000000 7275678143 002 A000000 880 CARRILLON PARKWAY 002 B000000 ST. 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L000800 13 072 M000800 18 072 N000800 37 072 O000800 0 072 P000800 0 072 Q000800 47 072 R000800 17 072 S000800 28 072 T000800 108 072 U000800 0 072 V000800 0 072 W000800 26 072 X000800 1084 072 Y000800 59 072 Z000800 808 072AA000800 4611 072BB000800 104 072CC010800 6828 072CC020800 0 072DD010800 0 072DD020800 0 072EE000800 1258 073 A010800 0.0782 073 A020800 0.0000 073 B000800 0.0000 073 C000800 0.0000 074 A000800 1 074 B000800 13327 074 C000800 0 074 D000800 0 074 E000800 0 074 F000800 191655 074 G000800 0 074 H000800 0 PAGE 20 074 I000800 0 074 J000800 3735 074 K000800 0 074 L000800 1197 074 M000800 81 074 N000800 209996 074 O000800 2676 074 P000800 174 074 Q000800 0 074 R010800 0 074 R020800 0 074 R030800 0 074 R040800 453 074 S000800 0 074 T000800 206693 074 U010800 1577 074 U020800 963 074 V010800 17.40 074 V020800 17.21 074 W000800 0.0000 074 X000800 16886 074 Y000800 0 075 A000900 0 075 B000900 183337 076 000900 0.00 SIGNATURE MATHEW J. CALABRO TITLE PRIN. EXEC. OFFICER EX-99.77C 2 exhibit.txt SHAREHOLDER RESULTS RESULTS OF SHAREHOLDER MEETING On November 6, 2006, a special shareholder meeting of the Trusts and Funds was held to consider several proposals as listed below. At that meeting, shareholders of Growth and Income Trust and Heritage Income Trust approved the proposals. Because the remaining Funds and Trusts did not reach a quorum or had an insufficient number of votes to pass one or more proposals, those Funds and Trusts adjourned until November 21, 2006. At the November 21st meeting, shareholders of the Capital Appreciation Trust and Heritage Series Trust approved the proposal regarding the election and re-election of the Board of Trustees. In addition, shareholders of the Capital Appreciation Trust, Core Equity Fund, Diversified Growth Fund and Mid Cap Stock Fund approved the other proposals. The International Equity Fund and Small Cap Stock Fund adjourned until December 11, 2006, when shareholders approved the remaining proposals. Re-elected to the Board of Trustees of the Trusts were C. Andrew Graham, Keith B. Jarrett, William J. Meurer, James L. Pappas and Deborah L. Talbot as independent Trustees and Thomas A. James and Richard K. Riess as interested Trustees. Lincoln Kinnicutt was elected to the Board of Trustees of the Heritage Growth and Income Trust, Heritage Series Trust and the Heritage Income Trust. There were no votes cast against any of the nominees. The following is a summary of the shareholder votes cast for each nominee:
CAPITAL GROWTH HERITAGE HERITAGE APPRECIATION & INCOME INCOME SERIES TRUST TRUST TRUST TRUST FOR ABSTAINED FOR ABSTAINED FOR ABSTAINED FOR ABSTAINED C. Andrew Graham 11,299,568 283,146 4,580,574 123,231 4,655,495 79,816 41,198,999 2,255,622 Keith B. Jarrett 11,299,165 283,549 4,584,947 118,858 4,656,673 78,638 41,226,763 2,227,859 William J. Meurer 11,302,925 279,789 4,584,947 118,858 4,657,608 77,703 41,236,739 2,217,883 James L. Pappas 11,301,955 280,759 4,584,947 118,858 4,656,867 78,444 41,237,082 2,217,539 David M. Phillips 11,301,605 281,109 4,574,928 128,877 4,654,823 80,488 41,214,541 2,240,080 Deborah L. Talbot 11,304,433 278,281 4,579,301 124,504 4,655,745 79,567 41,214,447 2,240,174 Lincoln Kinnicutt N/A N/A 4,584,947 118,858 4,653,128 82,183 41,216,356 2,238,265 Thomas A. James 11,301,216 281,498 4,580,574 123,231 4,655,103 80,208 41,239,641 2,214,981 Richard K. Riess 11,302,063 280,651 4,581,184 122,621 4,653,536 81,776 41,212,291 2,242,330 There were 0 votes against.
The following is each additional matter submitted to shareholder vote and a summary of the voting results:
CAPITAL CORE DIVERSIFIED GROWTH HIGH INTERNATIONAL MID CAP SMALL CAP APPRECIATION EQUITY GROWTH & INCOME YIELD EQUITY STOCK STOCK BOND TRUST FUND FUND TRUST FUND FUND FUND FUND 1. RE-CLASSIFYING THE INVESTMENT OBJECTIVE AS NON- FUNDAMENTAL For 8,157,873 33,288,078 3,149,922 3,341,781 3,509,299 2,726,001 16,681,602 4,468,357 Against 275,200 97,619 239,940 102,740 100,854 139,026 621,181 258,307 Abstained 394,002 133,612 144,517 170,830 135,407 449,149 700,490 209,164 2. MODERNIZING THE FUNDAMENTAL INVESTMENT POLICIES OF THE FUNDS IN REGARDS TO: A. BORROWING For 8,187,925 3,288,371 3,132,871 3,367,529 3,502,699 2,752,550 16,716,577 4,572,754 Against 249,576 100,675 247,650 81,059 116,001 123,781 603,295 150,952 Abstained 389,574 167,481 144,749 129,544 135,971 437,846 683,402 212,121 B. COMMODITIES For 8,175,435 3,304,629 3,141,307 3,381,200 3,502,950 2,772,358 16,731,319 4,579,326 Against 270,360 85,815 242,566 57,938 105,310 106,377 593,635 146,379 Abstained 381,281 166,083 141,396 138,994 146,419 435,442 678,319 210,123 C. CONCENTRATION For 8,266,603 3,293,445 3,155,625 3,386,455 3,529 2,776,913 16,807,477 4,595,716 Against 215,227 86,273 228,367 56,637 81,340 94,517 513,681 124,766 Abstained 378,245 176,809 141,278 135,042 144,247 442,746 682,115 215,346 D. DIVERSIFICATION For 8,238,094 3,298,139 3,170,521 3,385,087 3,514,732 2,792,416 16,831,814 4,619,441 Against 212,067 84,759 221,548 64,476 94,197 87,507 496,408 105,567 Abstained 376,914 173,629 133,200 127,570 145,742 434,254 675,051 210,820 E. LOANS, REPURCHASE AGREEMENTS AND LOANS OF PORTFOLIO SECURITIES For 8,197,887 3,297,551 3,149,703 3,386,121 3,500,804 2,773,100 16,755,910 4,591,634 Against 240,432 81,609 238,721 53,639 111,978 104,194 552,589 132,821 Abstained 388,755 177,367 136,845 138,372 141,889 436,883 694,774 211,373 F. REAL ESTATE For 8,223,567 3,324,276 3,161,599 3,407,791 3,504,604 2,775,506 16,845,818 4,646,460 Against 224,028 73,637 230,529 55,704 104,206 105,773 505,392 117,287 Abstained 379,480 158,614 133,141 114,637 145,860 432,898 652,064 202,081 G. SENIOR SECURITIES For 8,218,483 3,315,430 3,161,976 3,384,138 3,513,891 2,788,920 16,845,908 4,610,460 Against 229,107 77,872 231,113 69,606 103,133 94,402 506,061 127,816 Abstained 379,485 163,225 132,180 124,389 137,647 430,855 651,305 197,552 H. UNDERWRITING For 8,209,309 3,317,834 3,158,167 3,380,054 3,504,532 2,767,428 16,810,248 4,613,221 Against 233,105 75,099 230,777 62,343 112,056 104,619 530,069 123,598 Abstained 384,661 163,594 136,325 135,735 138,083 442,129 662,956 199,009 I. OIL, GAS AND OTHER MINERAL PROGRAMS For 8,236,579 3,321,778 N/A 3,395,678 3,532 2,784,181 N/A 4,609,141 Against 223,105 74,941 N/A 64,420 88,422 92,745 N/A 128,726 Abstained 384,661 159,808 N/A 118,032 133,928 437,251 N/A 197,961 J. MARGIN PURCHASES For N/A N/A N/A 3,361,148 3,505,564 2,764,078 N/A N/A Against N/A N/A N/A 77,537 109,891 111,065 N/A N/A Abstained N/A N/A N/A 139,448 139,216 439,034 N/A N/A
CAPITAL CORE DIVERSIFIED GROWTH HIGH INTERNATIONAL MID CAP SMALL CAP APPRECIATION EQUITY GROWTH & INCOME YIELD BOND EQUITY STOCK STOCK TRUST FUND FUND TRUST FUND FUND FUND FUND K. SHORT SALES For N/A N/A N/A N/A 3,504,206 2,765,216 N/A N/A Against N/A N/A N/A N/A 103,832 104,875 N/A N/A Abstained N/A N/A N/A N/A 146,632 444,086 N/A N/A L. AFFILIATED TRANSACTIONS For N/A N/A N/A N/A 35,431,923 N/A N/A N/A Against N/A N/A N/A N/A 76,361 N/A N/A N/A Abstained N/A N/A N/A N/A 135,118 N/A N/A N/A 3. APPROVING AN INVESTMENT ADVISORY AGREEMENT BETWEEN HERITAGE AND THE FUNDS For 8,276,407 3,325,416 3,315,831 3,403,286 3,547,237 2,787,532 16,918,199 4,637,056 Against 176,789 69,456 77,009 52,536 76,684 83,219 440,160 107,510 Abstained 373,879 161,655 132,429 122,311 130,750 443,426 644,915 191,262 4. APPROVING A SUBADVISORY AGREEMENT BETWEEN HERITAGE AND GOLDMAN SACHS INVESTMENT MANAGEMENT, L.P. For 8,250,964 N/A N/A N/A N/A N/A N/A N/A Against 201,559 N/A N/A N/A N/A N/A N/A N/A Abstained 374,552 N/A N/A N/A N/A N/A N/A N/A 5. APPROVING A SUBADVISORY AGREEMENT BETWEEN HERITAGE AND EAGLE For 8,255,573 3,332,422 3,310,487 3,379,823 N/A N/A 16,888,674 4,616,855 Against 186,651 65,515 84,319 56,306 N/A N/A 465,871 119,395 Abstained 384,851 158,590 130,463 142,003 N/A N/A 648,728 199,578 6. APPROVING A SUBADVISORY AGREEMENT BETWEEN HERITAGE AND AWAD For N/A N/A N/A N/A N/A N/A N/A 4,613,768 Against N/A N/A N/A N/A N/A N/A N/A 118,225 Abstained N/A N/A N/A N/A N/A N/A N/A 203,836 7. APPROVING MANAGER'S STRUCTURE WHICH WOULD ALLOW HERITAGE AND THE BOARD TO ENTER INTO, TERMINATE OR MATERIALLY AMEND SUBADVISORY AGREEMENTS WITHOUT OBTAINING FUTURE SHAREHOLDER APPROVAL For 8,164,031 N/A N/A N/A N/A N/A 16,671,082 4,586,071 Against 283,233 N/A N/A N/A N/A N/A 643,891 148,994 Abstained 379,811 N/A N/A N/A N/A N/A 688,300 200,763
EX-99.77O 3 exhibit77o.txt 10F3 IPO
TRANSACTIONS EFFECTED PURSUANT TO RULE 10F3. Series R.J. FORM YRS. IN DATE OF DATE OFFERING PURCHASE # FUND INVOLVED? REC'D? BUSINESS: SECURITY" PURCHASE: COMMENCED: PRICE COMMISSION: 1 HST-SC IPO YES YES 3+ yrs. Edge Petroleum Corp 25-Jan-07 25-Jan-07 13.25 1 HST-SC IPO YES YES 3+ yrs Switch & Data Inc 8-Feb-07 8-Feb-07 17 1 HST-SC IPO YES YES 3+ yrs Switch & Data Inc 8-Feb-07 8-Feb-07 17 5 HST-MC IPO YES YES 3+ yrs Range Resources Corporation 18-Apr-07 18-Feb-07 36.28 6 HST-DG IPO YES YES 3+ yrs Metro PCS Communications, Inc. 19-Apr-07 19-Apr-07 23
Series SECURITIES AMOUNT TOTAL FUND ACQUIRED FROM: PURCHASED: OFFERING: 1 HST-SC JP Morgan 1,201,974 0 1 HST-SC Deutsche Bank Securities 152,320 0 1 HST-SC Signal Hill 9,095 0 5 HST-MC JP Morgan Chase & Co 306,385 0 6 HST-DG Bear Stearns 658,145 0 EX-99.77Q1 4 exhibit77q1e.txt INVESTMENT ADVISORY AGREEMENT Exhibit for N-SAR ITEM 77 Q1(E) 1. Investment Advisory Agreement among Heritage Series Trust (the "Trust"), Heritage Income Trust, Heritage Capital Appreciation Trust and Income Trust, Heritage Growth and Income Trust and Heritage Asset Management, Inc. is incorporated by reference to Post-Effective Amendment No. 40 to the Trust's Registration Statement on Form N-1A filed on December 29, 2006 (SEC Accession No. 0001193125-06-261817). 2. Subadvisory agreement between Heritage Asset Management, Inc. and Eagle Asset Management, Inc. is incorporated by reference to Post-Effective Amendment No. 40 to the Trust's Registration Statement on Form N-1A filed on December 29, 2006 (SEC Accession No. 0001193125-06-261817). 3. Subadvisory agreement between Heritage Asset Management, Inc. and Awad Asset Management is incorporated by reference to Post-Effective Amendment No. 40 to the Trust's Registration Statement on Form N-1A filed on December 29, 2006 (SEC Accession No. 0001193125-06-261817). 4. Subadvisory agreement between Heritage Asset Management, Inc. and Julius Baer Investment Management is incorporated by reference to Post-Effective Amendment No. 40 to the Trust's Registration Statement on Form N-1A filed on December 29, 2006 (SEC Accession No. 0001193125-06-261817). -----END PRIVACY-ENHANCED MESSAGE-----