-----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, PcL/YD3m1+iwSyOUCHUlpQ+zqXRnLd8WCqaVmuCRcQE5/h2cuodPw8IDsgjeUIpX fuUsTGJFABHXQFdfwDhwZQ== 0000898432-96-000565.txt : 19961231 0000898432-96-000565.hdr.sgml : 19961231 ACCESSION NUMBER: 0000898432-96-000565 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 13 CONFORMED PERIOD OF REPORT: 19961031 FILED AS OF DATE: 19961227 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: HERITAGE SERIES TRUST CENTRAL INDEX KEY: 0000897111 STANDARD INDUSTRIAL CLASSIFICATION: [] 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: 96686963 BUSINESS ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST PETERSBURG STATE: FL ZIP: 33716 BUSINESS PHONE: 8135733800 NSAR-B 1 N-SAR (3.0.A) PAGE 1 000 B000000 10/31/96 000 C000000 0000897111 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 3.0.a 000 J000000 U 001 A000000 HERITAGE SERIES TRUST 001 B000000 811-7470 001 C000000 8135738143 002 A000000 880 CARILLON PARKWAY 002 B000000 ST. PETERSBURG 002 C000000 FL 002 D010000 33716 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 4 007 C010100 1 007 C020100 SMALL CAP STOCK FUND 007 C030100 N 007 C010200 2 007 C020200 VALUE EQUITY FUND 007 C030200 N 007 C010300 3 007 C020300 EAGLE INTERNATIONAL EQUITY PORTFOLIO 007 C030300 N 007 C010400 4 007 C020400 GROWTH EQUITY FUND 007 C030400 N 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 020 A000001 ROBINSON HUMPHREY COMPANY, INC. 020 B000001 58-1472560 020 C000001 68 020 A000002 RAYMOND JAMES 020 B000002 59-1237041 020 C000002 60 020 A000003 NATWEST SECURITIES CORPORATION 020 B000003 13-3341706 020 C000003 48 020 A000004 SMITH BARNEY, INC. 020 B000004 13-1912900 PAGE 2 020 C000004 31 020 A000005 SOUTHCOAST CAPITAL CORPORATION 020 B000005 72-1164960 020 C000005 22 020 A000006 JEFFRIES & CO., INC. 020 B000006 59-2622900 020 C000006 18 020 A000007 GOLDMAN SACHS,& CO. 020 B000007 13-5108880 020 C000007 15 020 A000008 PAINE WEBBER CAPITAL MARKETS 020 B000008 13-2638166 020 C000008 12 020 A000009 INSTINET CORPORATION 020 B000009 13-3443395 020 C000009 11 020 A000010 MONTGOMERY SECURITIES 020 B000010 94-1701676 020 C000010 11 021 000000 484 022 A000001 STATE STREET BANK AND TRUST COMPANY 022 B000001 04-1867445 022 C000001 2358661 022 D000001 0 022 A000002 BREAN MURRAY, FOSTER SECURITIES INC. 022 B000002 13-2760052 022 C000002 14527 022 D000002 7117 022 A000003 SMITH BARNEY INC. 022 B000003 13-1912900 022 C000003 6566 022 D000003 6581 022 A000004 JEFFRIES & CO., INC. 022 B000004 59-2622900 022 C000004 6908 022 D000004 1902 022 A000005 ROBINSON HUMPHREY COMPANY, INC. 022 B000005 58-1472560 022 C000005 4084 022 D000005 1660 022 A000006 NATWEST SECURITIES CORPORATION 022 B000006 13-3341706 022 C000006 4419 022 D000006 634 022 A000007 MERRILL LYNCH, PIERCE, FENNER, INC. 022 B000007 13-5674085 022 C000007 1436 022 D000007 3306 022 A000008 BLAIR (WILLIAM) & COMPANY 022 B000008 36-2214610 022 C000008 3408 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066 G000100 N 067 000100 N 068 A000100 N 068 B000100 N 069 000100 N 071 A000100 105169 071 B000100 69814 071 C000100 87639 071 D000100 80 072 A000100 12 072 B000100 401 072 C000100 722 072 D000100 0 072 E000100 0 072 F000100 827 072 G000100 0 072 H000100 0 072 I000100 66 072 J000100 29 072 K000100 0 072 L000100 21 072 M000100 5 072 N000100 39 072 O000100 0 072 P000100 0 PAGE 6 072 Q000100 38 072 R000100 16 072 S000100 23 072 T000100 343 072 U000100 10 072 V000100 0 072 W000100 6 072 X000100 1423 072 Y000100 0 072 Z000100 -300 072AA000100 14936 072BB000100 4924 072CC010100 13069 072CC020100 0 072DD010100 35 072DD020100 0 072EE000100 2897 073 A010100 0.0113 073 A020100 0.0000 073 B000100 0.8410 073 C000100 0.0000 074 A000100 0 074 B000100 4205 074 C000100 0 074 D000100 1422 074 E000100 0 074 F000100 114071 074 G000100 0 074 H000100 0 074 I000100 0 074 J000100 1658 074 K000100 0 074 L000100 733 074 M000100 26 074 N000100 122115 074 O000100 952 074 P000100 169 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 215 074 S000100 0 074 T000100 120779 074 U010100 3979 074 U020100 1048 074 V010100 24.08 074 V020100 23.84 074 W000100 0.0000 074 X000100 10335 074 Y000100 0 PAGE 7 075 A000100 0 075 B000100 93448 076 000100 0.00 008 A000201 HERITAGE ASSET MANAGEMENT, INC. 008 B000201 A 008 C000201 801-25067 008 D010201 ST. PETERSBURG 008 D020201 FL 008 D030201 33716 008 A000202 DREMAN VALUE ADVISORS, INC. 008 B000202 S 008 C000202 801-05385 008 D010202 NEW YORK 008 D020202 NY 008 D030202 10017 028 A010200 852 028 A020200 0 028 A030200 0 028 A040200 267 028 B010200 1077 028 B020200 0 028 B030200 0 028 B040200 331 028 C010200 553 028 C020200 0 028 C030200 0 028 C040200 397 028 D010200 318 028 D020200 0 028 D030200 0 028 D040200 778 028 E010200 405 028 E020200 0 028 E030200 0 028 E040200 236 028 F010200 782 028 F020200 0 028 F030200 0 028 F040200 581 028 G010200 3987 028 G020200 0 028 G030200 0 028 G040200 2590 028 H000200 3229 029 000200 Y 030 A000200 28 030 B000200 4.75 030 C000200 1.00 031 A000200 2 031 B000200 0 032 000200 0 PAGE 8 033 000200 26 034 000200 Y 035 000200 1 036 A000200 N 036 B000200 0 042 A000200 0 042 B000200 0 042 C000200 100 042 D000200 0 042 E000200 0 042 F000200 0 042 G000200 0 042 H000200 0 043 000200 114 044 000200 0 066 A000200 Y 066 B000200 N 066 C000200 Y 066 D000200 N 066 E000200 N 066 F000200 N 066 G000200 N 067 000200 N 068 A000200 N 068 B000200 N 069 000200 N 071 A000200 33103 071 B000200 27090 071 C000200 20999 071 D000200 129 072 A000200 12 072 B000200 63 072 C000200 506 072 D000200 0 072 E000200 0 072 F000200 92 072 G000200 0 072 H000200 0 072 I000200 21 072 J000200 29 072 K000200 0 072 L000200 20 072 M000200 15 072 N000200 34 072 O000200 0 072 P000200 0 072 Q000200 30 072 R000200 20 072 S000200 38 072 T000200 114 072 U000200 11 PAGE 9 072 V000200 0 072 W000200 4 072 X000200 428 072 Y000200 0 072 Z000200 141 072AA000200 3089 072BB000200 1429 072CC010200 1267 072CC020200 0 072DD010200 77 072DD020200 19 072EE000200 545 073 A010200 0.1092 073 A020200 0.0658 073 B000200 0.5516 073 C000200 0.0000 074 A000200 2 074 B000200 1235 074 C000200 0 074 D000200 0 074 E000200 0 074 F000200 24001 074 G000200 0 074 H000200 0 074 I000200 0 074 J000200 852 074 K000200 0 074 L000200 89 074 M000200 44 074 N000200 26223 074 O000200 410 074 P000200 73 074 Q000200 0 074 R010200 66 074 R020200 0 074 R030200 0 074 R040200 0 074 S000200 0 074 T000200 25674 074 U010200 760 074 U020200 512 074 V010200 20.27 074 V020200 20.06 074 W000200 0.0000 074 X000200 2390 074 Y000200 0 075 A000200 0 075 B000200 22403 076 000200 0.00 028 A010300 1504 028 A020300 0 PAGE 10 028 A030300 0 028 A040300 251 028 B010300 1288 028 B020300 0 028 B030300 0 028 B040300 515 028 C010300 1470 028 C020300 0 028 C030300 0 028 C040300 120 028 D010300 793 028 D020300 0 028 D030300 0 028 D040300 88 028 E010300 985 028 E020300 0 028 E030300 0 028 E040300 167 028 F010300 1256 028 F020300 0 028 F030300 0 028 F040300 324 028 G010300 7296 028 G020300 0 028 G030300 0 028 G040300 1465 028 H000300 1359 029 000300 Y 030 A000300 24 030 B000300 4.75 030 C000300 0.00 031 A000300 1 031 B000300 0 032 000300 0 033 000300 23 034 000300 Y 035 000300 0 036 A000300 N 036 B000300 0 042 A000300 0 042 B000300 0 042 C000300 100 042 D000300 0 042 E000300 0 042 F000300 0 042 G000300 0 042 H000300 0 043 000300 178 044 000300 0 066 A000300 Y 066 B000300 N PAGE 11 066 C000300 Y 066 D000300 N 066 E000300 N 066 F000300 N 066 G000300 N 067 000300 N 068 A000300 N 068 B000300 Y 069 000300 N 071 A000300 24151 071 B000300 10226 071 C000300 17353 071 D000300 59 072 A000300 12 072 B000300 81 072 C000300 404 072 D000300 0 072 E000300 0 072 F000300 55 072 G000300 0 072 H000300 0 072 I000300 8 072 J000300 113 072 K000300 0 072 L000300 26 072 M000300 4 072 N000300 48 072 O000300 0 072 P000300 0 072 Q000300 0 072 R000300 23 072 S000300 15 072 T000300 178 072 U000300 10 072 V000300 0 072 W000300 4 072 X000300 484 072 Y000300 0 072 Z000300 1 072AA000300 1141 072BB000300 728 072CC010300 732 072CC020300 0 072DD010300 0 072DD020300 8 072EE000300 254 073 A010300 0.0000 073 A020300 0.0000 073 B000300 0.4687 073 C000300 0.0000 074 A000300 0 PAGE 12 074 B000300 2078 074 C000300 0 074 D000300 261 074 E000300 0 074 F000300 23996 074 G000300 0 074 H000300 0 074 I000300 0 074 J000300 63 074 K000300 0 074 L000300 215 074 M000300 69 074 N000300 26682 074 O000300 627 074 P000300 80 074 Q000300 0 074 R010300 61 074 R020300 0 074 R030300 0 074 R040300 0 074 S000300 0 074 T000300 25914 074 U010300 194 074 U020300 976 074 V010300 0.00 074 V020300 0.00 074 W000300 22.2500 074 X000300 729 074 Y000300 0 075 A000300 0 075 B000300 18978 076 000300 0.00 028 A010400 853 028 A020400 0 028 A030400 0 028 A040400 123 028 B010400 573 028 B020400 0 028 B030400 0 028 B040400 76 028 C010400 1008 028 C020400 0 028 C030400 0 028 C040400 122 028 D010400 1142 028 D020400 0 028 D030400 0 028 D040400 309 028 E010400 1204 028 E020400 0 028 E030400 0 PAGE 13 028 E040400 121 028 F010400 1573 028 F020400 0 028 F030400 0 028 F040400 200 028 G010400 6353 028 G020400 0 028 G030400 0 028 G040400 951 028 H000400 3405 029 000400 Y 030 A000400 45 030 B000400 4.75 030 C000400 1.00 031 A000400 5 031 B000400 0 032 000400 0 033 000400 40 034 000400 Y 035 000400 2 036 A000400 N 036 B000400 0 042 A000400 0 042 B000400 0 042 C000400 100 042 D000400 0 042 E000400 0 042 F000400 0 042 G000400 0 042 H000400 0 043 000400 45 044 000400 0 066 A000400 Y 066 B000400 N 066 C000400 Y 066 D000400 N 066 E000400 N 066 F000400 N 066 G000400 N 067 000400 N 068 A000400 N 068 B000400 N 069 000400 N 071 A000400 16015 071 B000400 2410 071 C000400 10311 071 D000400 23 072 A000400 12 072 B000400 33 072 C000400 116 072 D000400 0 PAGE 14 072 E000400 0 072 F000400 1 072 G000400 0 072 H000400 0 072 I000400 7 072 J000400 13 072 K000400 0 072 L000400 11 072 M000400 8 072 N000400 38 072 O000400 0 072 P000400 0 072 Q000400 25 072 R000400 19 072 S000400 15 072 T000400 45 072 U000400 6 072 V000400 0 072 W000400 1 072 X000400 189 072 Y000400 0 072 Z000400 -40 072AA000400 62 072BB000400 116 072CC010400 2449 072CC020400 0 072DD010400 0 072DD020400 0 072EE000400 0 073 A010400 0.0000 073 A020400 0.0000 073 B000400 0.0000 073 C000400 0.0000 074 A000400 1 074 B000400 1275 074 C000400 0 074 D000400 0 074 E000400 0 074 F000400 15999 074 G000400 0 074 H000400 0 074 I000400 0 074 J000400 369 074 K000400 0 074 L000400 13 074 M000400 34 074 N000400 17691 074 O000400 329 074 P000400 55 074 Q000400 0 074 R010400 61 PAGE 15 074 R020400 0 074 R030400 0 074 R040400 0 074 S000400 0 074 T000400 17246 074 U010400 684 074 U020400 290 074 V010400 17.74 074 V020400 17.61 074 W000400 0.0000 074 X000400 1539 074 Y000400 0 075 A000400 0 075 B000400 10285 076 000400 0.00 SIGNATURE STEPHEN G. HILL TITLE PRESIDENT EX-27.1 2 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 1 SMALL CAP STOCK FUND - CLASS A SHARES 1 YEAR OCT-31-1996 OCT-31-1995 OCT-31-1996 $97,636,723 $119,697,044 $2,391,060 $27,089 $0 $122,115,193 $951,795 $0 $384,530 $1,336,325 $0 $89,120,060 5,026,541 3,278,424 $0 $0 $9,598,487 $0 $22,060,321 $120,778,868 $721,777 $401,205 $0 $1,422,602 ($299,620) $10,012,029 $13,069,090 $22,781,499 $0 $35,074 $2,897,313 $0 2,652,073 (1,039,739) 135,783 $58,952,815 $30,996 $2,768,507 $0 $0 $827,233 $0 $1,111,001 $78,830,531 $18.86 ($0.05) $6.12 $0.01 $0.84 $0.00 $24.08 1.41 $0 $0

EX-27.2 3
6 1 SMALL CAP STOCK FUND - CLASS C SHARES 1 YEAR OCT-31-1996 OCT-31-1995 OCT-31-1996 $97,636,723 $119,697,044 $2,391,060 $27,089 $0 $122,115,193 $951,795 $0 $384,530 $1,336,325 $0 $89,120,060 5,026,541 3,278,424 $0 $0 $9,598,487 $0 $22,060,321 $120,778,868 $721,777 $401,205 $0 $1,422,602 ($299,620) $10,012,029 $13,069,090 $22,781,499 $0 $35,074 $2,897,313 $0 2,652,073 (1,039,739) 135,783 $58,952,815 $30,996 $2,768,507 $0 $0 $827,233 $0 $311,601 $14,617,901 $18.79 ($0.22) $6.10 $0.00 $0.83 $0.00 $23.84 2.13 $0 $0

EX-27.3 4 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 2 VALUE EQUITY FUND - CLASS A SHARES 1 YEAR OCT-31-1996 OCT-31-1995 OCT-31-1996 $23,173,452 $25,235,809 $940,825 $46,480 $0 $26,223,114 $410,256 $0 $139,111 $549,367 $0 $21,858,178 1,271,984 899,285 $102,173 $0 $1,651,039 $0 $2,062,357 $25,673,747 $505,575 $63,210 $0 $427,596 $141,189 $1,660,050 $1,267,164 $3,068,403 $0 $95,491 $545,122 $0 575,253 (235,062) 32,508 $9,502,941 $56,475 $536,111 $0 $0 $91,958 $0 $242,333 $14,683,944 $18.00 $0.17 $2.76 $0.11 $0.55 $0.00 $20.27 1.65 $0 $0

EX-27.4 5
6 2 VALUE EQUITY FUND - CLASS C SHARES 1 YEAR OCT-31-1996 OCT-31-1995 OCT-31-1996 $23,173,452 $25,235,809 $940,825 $46,480 $0 $26,223,114 $410,256 $0 $139,111 $549,367 $0 $21,858,178 1,271,984 899,285 $102,173 $0 $1,651,039 $0 $2,062,357 $25,673,747 $505,575 $63,210 $0 $427,596 $141,189 $1,660,050 $1,267,164 $3,068,403 $0 $95,491 $545,122 $0 575,253 (235,062) 32,508 $9,502,941 $56,475 $536,111 $0 $0 $91,958 $0 $185,264 $7,718,748 $17.92 $0.02 $2.74 $0.07 $0.55 $0.00 $20.06 2.40 $0 $0

EX-27.5 6 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 3 EAGLE INTERNATIONAL EQUITY PORTFOLIO - CLASS A SHARES 1 YEAR OCT-31-1996 OCT-31-1995 OCT-31-1996 $25,783,498 $26,335,207 $278,093 $68,909 $0 $26,682,209 $626,669 $0 $141,254 $767,923 $0 $24,823,156 1,170,011 479,563 $230,207 $0 $166,663 $0 $694,260 $25,914,286 $404,020 $81,403 $0 $484,023 $1,400 $413,185 $731,979 $1,146,564 $0 $7,915 $254,085 $0 750,590 (72,059) 11,917 $15,943,727 $0 $244,285 $0 $0 $0 $0 $31,008 $1,573,393 $21.11 $0.10 $1.04 $0.00 $0.00 $0.00 $22.25 1.97 $0 $0

EX-27.6 7 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 3 EAGLE INTERNATIONAL EQUITY PORTFOLIO - CLASS C SHARES 1 YEAR OCT-31-1996 OCT-31-1995 OCT-31-1996 $25,783,498 $26,335,207 $278,093 $68,909 $0 $26,682,209 $626,669 $0 $141,254 $767,923 $0 $24,823,156 1,170,011 479,563 $230,207 $0 $166,663 $0 $694,260 $25,914,286 $404,020 $81,403 $0 $484,023 $1,400 $413,185 $731,979 $1,146,564 $0 $7,915 $254,085 $0 750,590 (72,059) 11,917 $15,943,727 $0 $244,285 $0 $0 $0 $0 $14,692 $540,417 $21.11 ($0.07) $1.08 $0.00 $0.00 $0.00 $22.12 2.72 $0 $0

EX-27.7 8
6 3 EAGLE INTERNATIONAL EQUITY PORTFOLIO - EAGLE CLASS 1 YEAR OCT-31-1996 OCT-31-1995 OCT-31-1996 $25,783,498 $26,335,207 $278,093 $68,909 $0 $26,682,209 $626,669 $0 $141,254 $767,923 $0 $24,823,156 1,170,011 479,563 $230,207 $0 $166,663 $0 $694,260 $25,914,286 $404,020 $81,403 $0 $484,023 $1,400 $413,185 $731,979 $1,146,564 $0 $7,915 $254,085 $0 750,590 (72,059) 11,917 $15,943,727 $0 $244,285 $0 $0 $0 $0 $438,324 $16,863,929 $20.79 ($0.01) $1.84 $0.01 $0.47 $0.00 $22.14 2.60 $0 $0

EX-27.8 9 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 4 GROWTH EQUITY FUND - CLASS A SHARES 1 YEAR OCT-31-1996 NOV-16-1995 OCT-31-1996 $14,825,586 $17,274,188 $381,589 $35,331 $0 $17,691,108 $329,330 $0 $115,313 $444,643 $0 $14,852,184 974,243 140 $0 $0 ($54,321) $0 $2,448,602 $17,246,465 $116,274 $33,225 $0 $188,983 ($39,484) ($54,321) $2,448,602 $2,354,797 $0 $0 $0 $0 1,083,178 (109,075) 0 $17,244,465 $0 $0 $0 $0 $0 $0 $127,292 $7,714,535 $14.29 ($0.03) $3.48 $0.00 $0.00 $0.00 $17.74 1.65 $0 $0

EX-27.9 10
6 4 GROWTH EQUITY FUND - CLASS C SHARES 1 YEAR OCT-31-1996 NOV-16-1995 OCT-31-1996 $14,825,586 $17,274,188 $381,589 $35,331 $0 $17,691,108 $329,330 $0 $115,313 $444,643 $0 $14,852,184 974,243 140 $0 $0 ($54,321) $0 $2,448,602 $17,246,465 $116,274 $33,225 $0 $188,983 ($39,484) ($54,321) $2,448,602 $2,354,797 $0 $0 $0 $0 1,083,178 (109,075) 0 $17,244,465 $0 $0 $0 $0 $0 $0 $61,691 $2,570,427 $14.29 ($0.15) $3.47 $0.00 $0.00 $0.00 $17.61 2.40 $0 $0

EX-99.77(B) 11 For period ended 10-31-96 File Number 811-7470 Sub-Item 77.B Series 1 ,2, 3, 4 Suite 2800 Telephone (813) 223-7577 400 North Ashley Street P.O.Box 2640 Tampa, FL 33601-2640 ______________________________________________________________________________ PRICE WATERHOUSE LLP December 16, 1996 To the Board of Trustees of Heritage Series Trust In planning and performing our audit of the financial statements of the Heritage Series Trust (the "Trust") for the year ended October 31, 1996, we considered its internal control structure, including procedures for safeguarding securities, in order to determine our auditing procedures for the purposes of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, and not to provide assurance on the internal control structure. The management of the Trust is responsible for establishing and maintaining an internal control structure. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of internal control structure policies and procedures. Two of the objectives of an internal control structure are to provide management with reasonable, but not absolute, assurance that assets are appropriately safeguarded against loss from unauthorized use or disposition and that transactions are executed in accordance with management's authorization and recorded properly to permit preparation of financial statements in conformity with generally accepted accounting principles. Because of inherent limitations in any internal control structure, errors or irregularities may occur and may not be detected. Also, projection of any evaluation of the structure to future periods is subject to the risk that it may become inadequate because of changes in conditions or that the effectiveness of the design and operation may deteriorate. Our consideration of the internal control structure would not necessarily disclose all matters in the internal control structure that might be material weaknesses under standards established by the American Institute of Certified Public Accountants. A material weakness is a condition in which the design or operation of the specific internal control structure elements does not reduce to a relatively low level the risk that errors or irregularities in amounts that would be material in relation to the financial statements being audited may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. However, we noted no matters involving the internal control structure, including procedures for safeguarding securities, that we consider to be material weaknesses as defined above as of October 31, 1996. This report is intended solely for the information and use of management and the Securities and Exchange Commission. /s/ Price Waterhouse LLP - ------------------------------- Price Waterhouse LLP EX-99.77(C) 12 For period ending 10-31-96 File Number 811-7470 77.C. Matters submitted to a vote of securities holders. The following matters were submitted to a vote of securities holders at a special meeting of shareholders of Heritage Series Trust - Value Equity Fund (the "Fund") held on May 24, 1996: (1) Approval of the Subadvisory Agreement between Heritage Asset Management, Inc. and Dreman Value Advisors, Inc.: 588,124.098 shares were voted in favor of, 19,989.757 shares were voted against, and 40,043.613 abstained from voting on the motion to approve the Subadvisory Agreement between Heritage Asset Management, Inc. and Dreman Value Advisors, Inc. EX-99.77(O) 13
For period ending 10-31-96 File Number 811-7470 Series 1, 3, 4 Item 77.O Transactions effected pursuant to Rule 10f-3. HERITAGE SERIES TRUST - SMALL CAP STOCK FUND: DATE SECURITIES DATE OF OFFERING PURCHASE ACQUIRED AMOUNT TOTAL SECURITY: PURCHASE: COMMENCED: PRICE: COMMISSION: FROM: PURCHASED: OFFERING: 1. Autonomous Technologies 5/01/96 5/01/96 8.00 $0.32 Hanifen Immoff $160,000 $20,000,000 2. Forensic Technologies 5/09/96 5/09/96 8.50 $0.36 Utterberg Harris $850,000 $15,300,000 Donaldson, Lufkin, 3. Excel Communications 5/10/96 5/10/96 15.00 $0.60 Jenrette $75,000 $150,000,000 4. General Surgical Innovations 5/10/96 5/10/96 15.00 $0.59 Ocwen & Co. $30,000 $37,500,000 5. Trico Marine Services 5/16/96 5/16/96 16.00 $0.67 Schroder Wertheim $40,000 $41,600,000 6. Wyndham Hotel Corp 5/21/96 5/21/96 16.00 $0.67 Smith Barney $112,000 $58,400,000 7. Cardiogenesis Corp 5/22/96 5/22/96 20.00 $0.84 Bear Stearns $100,000 $60,000,000 8. Security First Friedman Billings Network Bank 5/23/96 5/23/96 20.00 $0.70 & Ramsey $200,000 $48,000,000 9. Suburban Lodges of America 5/23/96 5/23/96 17.00 $0.48 Montgomery Sec. $85,000 $51,000,000 10. Thermo Optek 6/07/96 6/07/96 13.50 $0.52 Natwest $135,000 $40,500,000 11. Collaborative Clinical Research 6/11/96 6/11/96 13.50 $0.55 McDonald & Co. $27,000 $24,300,000 12. Strayer Education Inc. 7/25/96 7/25/96 10.00 $0.40 Legg Mason $850,000 $30,000,000 Friedman Billings 13. First Alliance Corp 7/26/96 7/26/96 17.00 $0.61 & Ramsey $340,000 $59,500,000 14. R & G Financial Friedman Billings Corp, Class B 8/22/96 8/22/96 14.50 $0.60 & Ramsey $290,000 $33,350,000 15. Gradal Industries, Inc. 8/28/96 8/28/96 10.00 $0.42 McDonald & Co. $40,000 $35,000,000 16. RMH Teleservices Inc. 9/19/96 9/19/96 15.00 $0.52 Smith Barney $625,000 $35,000,000 17. Ocwen Financial Friedman Billings Corp. 9/25/96 9/25/96 15.00 $0.63 & Ramsey $150,000 $30,000,000 18. United Auto Group Inc. 10/23/96 10/23/96 30.00 $1.22 J.P. Morgan $210,000 $165,000,000

HERITAGE SERIES TRUST - GROWTH EQUITY FUND DATE SECURITIES DATE OF OFFERING PURCHASE ACQUIRED AMOUNT TOTAL SECURITY: PURCHASE: COMMENCED: PRICE: COMMISSION: FROM: PURCHASED: OFFERING: 1. Associates First 5/07/96 5/07/96 29.00 $0.80 Goldman Sachs $290,000 $1,943,000,000 Capital Corp.

HERITAGE SERIES TRUST - VALUE EQUITY FUND DATE SECURITIES DATE OF OFFERING PURCHASE ACQUIRED AMOUNT TOTAL SECURITY: PURCHASE: COMMENCED: PRICE: COMMISSION: FROM: PURCHASED: OFFERING: 1. Associates First 5/07/96 5/07/96 29.00 $0.80 Goldman Sachs $290,000 $1,943,000,000 Capital Corp.
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