-----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, DXo9zKEHgbyrHL0FllbmQkC8kxlWWkwdBnBnDLDFZAYqvhJYjYcoA7ToN9+a+sGu vsJP5AH9/9fGRGMYkGsL8Q== 0000898432-08-000624.txt : 20080630 0000898432-08-000624.hdr.sgml : 20080630 20080630172722 ACCESSION NUMBER: 0000898432-08-000624 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20080430 FILED AS OF DATE: 20080630 DATE AS OF CHANGE: 20080630 EFFECTIVENESS DATE: 20080630 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HERITAGE SERIES TRUST CENTRAL INDEX KEY: 0000897111 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-07470 FILM NUMBER: 08926949 BUSINESS ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST PETERSBURG STATE: FL ZIP: 33716 BUSINESS PHONE: 727-567-8143 MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: FL ZIP: 33716 0000897111 S000008481 Diversified Growth Fund C000023254 Class A HAGAX 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 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 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 C000023281 Class C HEICX NSAR-A 1 answer.fil PAGE 1 000 A000000 04/30/2008 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 CARILLON PARKWAY 002 B000000 ST. 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CALABRO TITLE PRIN. EXEC. OFFICER EX-99.77O 2 exh99-770.txt
IPO TRANSACTIONS EFFECTED PURSUANT TO RULE 10F3. DATE Series R.J. FORM YRS IN. DATE OF OFFERING PURCHASE # FUND: INVOLVED REC'D? BUSINESS: SECURITY PURCHASE: COMMENCED: PRICE: COMMISSION: 1 HST-SC IPO No N/A N/A Giant Interactive Group 1-Nov-07 1-Nov-07 $ 15.50 1 HST-SC IPO No N/A N/A Giant Interactive Group 1-Nov-07 1-Nov-07 $ 15.50 1 HST-SC IPO Yes Yes 3+ Yrs. Neutral Tandem Inc. 1-Nov-07 1-Nov-07 $ 14.00 0.588 1 HST-SC IPO No N/A N/A American Public Education 9-Nov-07 9-Nov-07 $ 20.00 1 HST-SC IPO No N/A N/A American Public Education 9-Nov-07 9-Nov-07 $ 20.00 1 HST-SC IPO No N/A N/A Chimera Investment Corp 16-Nov-07 16-Nov-07 $ 15.00 1 HST-SC IPO No N/A N/A Chimera Investment Corp 16-Nov-07 16-Nov-07 $ 15.00 1 HST-SC IPO No N/A N/A K12 Incorporated 13-Dec-07 13-Dec-07 $ 18.00 1 HST-SC Offering No N/A N/A American Public Education 14-Feb-08 14-Feb-08 $ 35.50 3 HST-Int'l IPO No N/A N/A Hamburger Hafen UND Logistik AG NPv 5-Nov-07 5-Nov-07 $ 53.00 3 HST-Int'l IPO No N/A N/A Novorossiysk Sea Trade Port Spon GDR Repr 1 Ord Shs 144A 6-Nov-07 6-Nov-07 $ 19.20 3 HST-Int'l IPO No N/A N/A Sanofi-Aventis EUR2 15-Nov-07 15-Nov-07 60.5 EUR 3 HST-Int'l IPO No N/A N/A DP World LTD COM 21-Nov-07 21-Nov-07 $ 1.30 3 HST-Int'l IPO No N/A N/A Iberdrola Renovables SA EUR.5 12-Dec-07 12-Dec-07 5.3 EUR 3 HST-Int'l IPO No N/A N/A SUEZ EUR2 14-Jan-08 14-Jan-08 $ 45.00 3 HST-Int'l IPO No N/A N/A Open Investments GDR Reach Repr 1/8 ORD RVB 1000 30-Jan-08 30-Jan-08 34.00
IPO TRANSACTIONS EFFECTED PURSUANT TO RULE 10F3. (cont'd) Series SECURITIES SHARE AMOUNT AMOUNT TOTAL # FUND: ACQUIRED FROM: PURCHASED: PURCHASED: OFFERING: 1 HST-SC IPO CIBC Oppenheimer 340 5,270.00 886,560,000.00 1 HST-SC IPO UBS Securities 25,325 392,537.50 886,560,000.00 1 HST-SC IPO Morgan Stanley 3,280 45,920.00 93,098,600.00 1 HST-SC IPO First Analysis 165 3,300.00 93,750,000.00 1 HST-SC IPO William Blair 2,455 49,100.00 93,750,000.00 1 HST-SC IPO Merrill Lynch 97,648 1,464,720.00 500,000,000.00 500,000,000.00 1 HST-SC IPO Keefe Bruyette 1,952 29,280.00 500,000,000.00 1 HST-SC IPO Cr Suis 1st Bost 4,030 72,540.00 108,000,000.00 1 HST-SC Offering William Blair 31,350 1,112,925.00 93,750,000.00 3 HST-Int'l IPO JP Morgan LDN 1,012 53,636.00 1,017,600,000.00 3 HST-Int'l IPO Troika 12,647 242,822.40 864,000,000.00 3 HST-Int'l IPO JP Morgan LDN 7,714 466,697 EUR 1,501,240,000.00 3 HST-Int'l IPO Deutsch Bank Cash Desk 258,666 336,265.80 4,963,400,000.00 3 HST-Int'l IPO JP Morgan 57,396 304198.8 EUR 4,070,463,000.00 3 HST-Int'l IPO Deutsch Bank Cash Desk 2,569 115605 EUR 1,105,120,000.00 3 HST-Int'l IPO Troika 9,847 342,676.60 490,680,000.00
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