-----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, K60gLYhLVwtwJ0+kgH0GQrJlrsPUdgevhpm91hCBPCEtQ7SoPhogxja6DuX2WfaJ ita/wDxZx87ae9k8VPMVug== 0000906352-02-000009.txt : 20021230 0000906352-02-000009.hdr.sgml : 20021230 20021230135925 ACCESSION NUMBER: 0000906352-02-000009 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20021031 FILED AS OF DATE: 20021230 EFFECTIVENESS DATE: 20021230 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST EAGLE SOGEN FUNDS INC CENTRAL INDEX KEY: 0000906352 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-07762 FILM NUMBER: 02871520 BUSINESS ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 BUSINESS PHONE: 2126983133 MAIL ADDRESS: STREET 1: 1345 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10105 FORMER COMPANY: FORMER CONFORMED NAME: SOGEN FUNDS INC DATE OF NAME CHANGE: 19930714 NSAR-B 1 answer.fil PAGE 1 000 B000000 10/31/2002 000 C000000 0000906352 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 FIRST EAGLE SOGEN FUNDS, INC. 001 B000000 811-7762 001 C000000 8003342143 002 A000000 1345 AVENUE OF THE AMERICAS 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10105 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 4 007 C010100 1 007 C020100 FIRST EAGLE SOGEN GLOBAL FUND 007 C030100 N 007 C010200 2 007 C020200 FIRST EAGLE SOGEN OVERSEAS FUND 007 C030200 N 007 C010300 3 007 C020300 FIRST EAGLE SOGEN GOLD FUND 007 C030300 N 007 C010400 4 007 C010500 5 007 C020500 FIRST EAGLE U.S. VALUE FUND 007 C030500 N 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A00AA01 ARNHOLD AND S. 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SOFIA BRANCH 015 B000108 S 015 C010108 SOFIA 015 D010108 BULGARIA 015 E040108 X 015 A000109 ROYAL BANK OF CANADA 015 B000109 S 015 C010109 TORONTO 015 D010109 CANADA 015 E040109 X 015 A000110 BANKBOSTON N.A. 015 B000110 S 015 C010110 SANTIAGO 015 D010110 CHILE 015 E040110 X 015 A000111 STANDARD CHARTERED BANK HONG KONG 015 B000111 S 015 C010111 SHANGHAI 015 D010111 CHINA 015 E040111 X 015 A000112 STANDARD CHARTERED BANK HONG KONG 015 B000112 S 015 C010112 SHENZHEN 015 D010112 CHINA 015 E040112 X 015 A000113 CESKOSLOVENSKA OBCHODNI BANKA 015 B000113 S 015 C010113 PRAGUE 015 D010113 CZECH REPUBLIC 015 E040113 X PAGE 7 015 A000114 DANSKE BANK 015 B000114 S 015 C010114 COPENHAGEN 015 D010114 DENMARK 015 E040114 X 015 A000115 CITIBANK N.A. 015 B000115 S 015 C010115 CAIRO 015 D010115 EGYPT 015 E040115 X 015 A000116 CLEARSTREAM 015 B000116 S 015 C010116 LUXEMBOURG 015 D010116 EUROMARKETS 015 E040116 X 015 A000117 EUROCLEAR BANK 015 B000117 S 015 C010117 BRUSSELS 015 D010117 EUROMARKETS 015 E040117 X 015 A000118 NORDEA BANK FINLAND PLC 015 B000118 S 015 C010118 HELSINKI 015 D010118 FINLAND 015 E040118 X 015 A000119 BNP PARIBAS SECURITIES SERVICES 015 B000119 S 015 C010119 PARIS 015 D010119 FRANCE 015 E040119 X 015 A000120 DEUTSCHE BANK 015 B000120 S 015 C010120 FRANKFURT 015 D010120 GERMANY 015 E040120 X 015 A000121 DRESDNER BANK 015 B000121 S 015 C010121 FRANKFURT 015 D010121 GERMANY 015 E040121 X 015 A000122 BNP PARIBAS SECURITIES SERVICES 015 B000122 S 015 C010122 ATHENS 015 D010122 GREECE 015 E040122 X 015 A000123 HONGKONG SHANGHAI BANKING CORPORATION 015 B000123 S 015 C010123 HONG KONG 015 D010123 HONG KONG 015 E040123 X 015 A000124 HVB BANK HUNGARY RT. PAGE 8 015 B000124 S 015 C010124 BUDAPEST 015 D010124 HUNGARY 015 E040124 X 015 A000125 HONGKONG AND SHANGHAI BANKING CORPORATION 015 B000125 S 015 C010125 MUMBAI 015 D010125 INDIA 015 E040125 X 015 A000126 HONGKONG AND SHANGHAI BANKING CORPORATION 015 B000126 S 015 C010126 JAKARTA 015 D010126 INDONESIA 015 E040126 X 015 A000127 AIB/BNY TRUST COMPANY LIMITED 015 B000127 S 015 C010127 DUBLIN 015 D010127 IRELAND 015 E040127 X 015 A000128 BANK LEUMI LE-ISRAEL B.M. 015 B000128 S 015 C010128 TEL AVIV 015 D010128 ISRAEL 015 E040128 X 015 A000129 INTESABCI 015 B000129 S 015 C010129 PARMA 015 D010129 ITALY 015 E040129 X 015 A000130 BANK OF TOKYO-MITSUBISHI LIMITED 015 B000130 S 015 C010130 TOKYO 015 D010130 JAPAN 015 E040130 X 015 A000131 BANQUE ET CAISSE D'EPARGNE DE L'ETAT 015 B000131 S 015 C010131 LUXEMBOURG 015 D010131 LUXEMBOURG 015 E040131 X 015 A000132 HONGKONG BANK MALAYSIA BERHAD 015 B000132 S 015 C010132 KUALA LUMPUR 015 D010132 MALAYSIA 015 E040132 X 015 A000133 BANCO NACIONAL DE MEXICO (BANAMEX) 015 B000133 S 015 C010133 MEXICO CITY 015 D010133 MEXICO 015 E040133 X 015 A000134 FORTIS BANK (NEDERLAND) N.V. 015 B000134 S PAGE 9 015 C010134 AMSTERDAM 015 D010134 NETHERLANDS 015 E040134 X 015 A000135 NATIONAL AUSTRALIA BANK NEW ZEALAND-NAT'L NOM 015 B000135 S 015 C010135 AUCKLAND 015 D010135 NEW ZEALAND 015 E040135 X 015 A000136 DEN NORSKE BANK 015 B000136 S 015 C010136 OSLO 015 D010136 NORWAY 015 E040136 X 015 A000137 STANDARD CHARTERED BANK 015 B000137 S 015 C010137 KARACHI 015 D010137 PAKISTAN 015 E040137 X 015 A000138 HONGKONG AND SHANGHAI BANKING CORPORATION 015 B000138 S 015 C010138 MANILA 015 D010138 PHILIPPINES 015 E040138 X 015 A000139 BANK HANDLOWY WARSZAWIE S.A. 015 B000139 S 015 C010139 WARSAW 015 D010139 POLAND 015 E040139 X 015 A000140 BANCO COMERCIAL PORTUGUES 015 B000140 S 015 C010140 LISBON 015 D010140 PORTUGAL 015 E040140 X 015 A000141 ING BANK (EURASIA) ZAO 015 B000141 S 015 C010141 MOSCOW 015 D010141 RUSSIA 015 E040141 X 015 A000142 UNITED 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S 015 C010151 LONDON 015 D010151 UNITED KINGDOM 015 E040151 X 015 A000152 THE BANK OF NEW YORK 015 B000152 S 015 C010152 LONDON 015 D010152 UNITED KINGDOM 015 E040152 X 015 A000153 CITIBANK N.A. 015 B000153 S 015 C010153 CARACAS 015 D010153 VENEZUELA 015 E040153 X 024 000100 Y 025 A000101 HSBC BANK USA 025 B000101 13-2774727 025 C000101 D PAGE 11 025 D000101 18706 025 A000102 UBS WARBURG 025 B000102 13-3340045 025 C000102 D 025 D000102 7713 025 D000103 0 025 D000104 0 025 D000105 0 025 D000106 0 025 D000107 0 025 D000108 0 028 A010100 66053 028 A020100 0 028 A030100 0 028 A040100 12557 028 B010100 59913 028 B020100 0 028 B030100 0 028 B040100 18860 028 C010100 59474 028 C020100 0 028 C030100 0 028 C040100 33599 028 D010100 51704 028 D020100 0 028 D030100 0 028 D040100 19588 028 E010100 42893 028 E020100 0 028 E030100 0 028 E040100 26628 028 F010100 51089 028 F020100 0 028 F030100 0 028 F040100 31460 028 G010100 331126 028 G020100 0 028 G030100 0 028 G040100 142692 028 H000100 62357 029 000100 Y 030 A000100 1027 030 B000100 5.00 030 C000100 0.00 031 A000100 438 031 B000100 0 032 000100 589 033 000100 0 034 000100 Y 035 000100 24 036 A000100 N PAGE 12 036 B000100 0 037 000100 Y 038 000100 196 039 000100 N 040 000100 Y 041 000100 Y 042 A000100 0 042 B000100 0 042 C000100 100 042 D000100 0 042 E000100 0 042 F000100 0 042 G000100 0 042 H000100 0 043 000100 4736 044 000100 0 045 000100 Y 046 000100 N 047 000100 Y 048 000100 0.000 048 A010100 25000 048 A020100 1.000 048 B010100 0 048 B020100 0.000 048 C010100 0 048 C020100 0.000 048 D010100 0 048 D020100 0.000 048 E010100 0 048 E020100 0.000 048 F010100 0 048 F020100 0.000 048 G010100 0 048 G020100 0.000 048 H010100 0 048 H020100 0.000 048 I010100 0 048 I020100 0.000 048 J010100 0 048 J020100 0.000 048 K010100 25000 048 K020100 0.750 049 000100 N 050 000100 N 051 000100 N 052 000100 N 053 A000100 N 055 A000100 N 055 B000100 N 056 000100 Y 057 000100 N PAGE 13 066 A000100 Y 066 B000100 N 066 C000100 N 066 D000100 Y 066 E000100 N 066 F000100 N 066 G000100 N 067 000100 N 068 A000100 N 068 B000100 N 069 000100 N 070 A010100 Y 070 A020100 N 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 070 J020100 Y 070 K010100 Y 070 K020100 Y 070 L010100 Y 070 L020100 Y 070 M010100 Y 070 M020100 Y 070 N010100 Y 070 N020100 N 070 O010100 Y 070 O020100 N 070 P010100 N 070 P020100 N 070 Q010100 Y 070 Q020100 N 070 R010100 N 070 R020100 N 071 A000100 707077 071 B000100 337635 071 C000100 1709852 071 D000100 20 PAGE 14 072 A000100 12 072 B000100 35436 072 C000100 29163 072 D000100 0 072 E000100 0 072 F000100 13974 072 G000100 0 072 H000100 0 072 I000100 2586 072 J000100 1355 072 K000100 0 072 L000100 290 072 M000100 129 072 N000100 57 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 152 072 S000100 1619 072 T000100 4736 072 U000100 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PAGE 16 015 B000207 S 015 C010207 SAO PAULO 015 D010207 BRAZIL 015 E040207 X 015 A000208 ING BANK N.V. SOFIA BRANCH 015 B000208 S 015 C010208 SOFIA 015 D010208 BULGARIA 015 E040208 X 015 A000209 ROYAL BANK OF CANADA 015 B000209 S 015 C010209 TORONTO 015 D010209 CANADA 015 E040209 X 015 A000210 BANKBOSTON N.A. 015 B000210 S 015 C010210 SANTIAGO 015 D010210 CHILE 015 E040210 X 015 A000211 STANDARD CHARTERED BANK HONG KON 015 B000211 S 015 C010211 SHANGHAI 015 D010211 CHINA 015 E040211 X 015 A000212 STANDARD CHARTERED BANK HONG KONG 015 B000212 S 015 C010212 SHENZHEN 015 D010212 CHINA 015 E040212 X 015 A000213 CESKOSLOVENSKA OBCHODNI BANKA 015 B000213 S 015 C010213 PRAGUE 015 D010213 CZECH REPUBLIC 015 E040213 X 015 A000214 DANSKE BANK 015 B000214 S 015 C010214 COPENHAGEN 015 D010214 DENMARK 015 E040214 X 015 A000215 CITIBANK N.A. 015 B000215 S 015 C010215 CAIRO 015 D010215 EGYPT 015 E040215 X 015 A000216 CLEARSTREAM 015 B000216 S 015 C010216 LUXEMBOURG 015 D010216 EUROMARKETS 015 E040216 X 015 A000217 EUROCLEAR BANK 015 B000217 S PAGE 17 015 C010217 BRUSSELS 015 D010217 EUROMARKETS 015 E040217 X 015 A000218 NORDA BANK FINLAND PLC 015 B000218 S 015 C010218 HELSINKI 015 D010218 FINLAND 015 E040218 X 015 A000219 BNP PARIBAS SECURITIES SERVICES 015 B000219 S 015 C010219 PARIS 015 D010219 FRANCE 015 E040219 X 015 A000220 DEUTSCHE BANK 015 B000220 S 015 C010220 FRANKFURT 015 D010220 GERMANY 015 E040220 X 015 A000221 DRESDNER BANK 015 B000221 S 015 C010221 FRANKFURT 015 D010221 GERMANY 015 E040221 X 015 A000222 BNP PARIBAS SECURITIES SERVICES 015 B000222 S 015 C010222 ATHENS 015 D010222 GREECE 015 E040222 X 015 A000223 HONGKONG SHANGHAI BANKING CORPORATION 015 B000223 S 015 C010223 HONG KONG 015 D010223 HONG KONG 015 E040223 X 015 A000224 HVB BANK HUNGARY RT 015 B000224 S 015 C010224 BUDAPEST 015 D010224 HUNGARY 015 E040224 X 015 A000225 HONGKONG AND SHANGHAI BANKING CORPORATION 015 B000225 S 015 C010225 MUMBAI 015 D010225 INDIA 015 E040225 X 015 A000226 HONGKONG AND SHANGHAI BANKING CORPORATION 015 B000226 S 015 C010226 JAKARTA 015 D010226 INDONESIA 015 E040226 X 015 A000227 AIB/BNY TRUST COMPANY LIMITED 015 B000227 S 015 C010227 DUBLIN PAGE 18 015 D010227 IRELAND 015 E040227 X 015 A000228 BANK LEUMI-ISRAEL B.M. 015 B000228 S 015 C010228 TEL AVIV 015 D010228 ISRAEL 015 E040228 X 015 A000229 INTESABCI 015 B000229 S 015 C010229 PARMA 015 D010229 ITALY 015 E040229 X 015 A000230 BANK OF TOKYO-MITSUBISHI LIMITED 015 B000230 S 015 C010230 TOKYO 015 D010230 JAPAN 015 E040230 X 015 A000231 BANQUE ET CAISSE D'EPARGNE DE L'ETAT 015 B000231 S 015 C010231 LUXEMBOURG 015 D010231 LUXEMBOURG 015 E040231 X 015 A000232 HONGKONG BANK MALAYSIA BERHAD 015 B000232 S 015 C010232 KUALA LUMPUR 015 D010232 MALAYSIA 015 E040232 X 015 A000233 BANCO NACIONAL DE MEXICO (BANAMEX) 015 B000233 S 015 C010233 MEXICO CITY 015 D010233 MEXICO 015 E040233 X 015 A000234 FORTIS BANK A(NEDERLAND) N.V. 015 B000234 S 015 C010234 AMSTERDAM 015 D010234 NETHERLANDS 015 E040234 X 015 A000235 NATIONAL AUSTRALIA BANK NEW ZEALAND-NAT'L NOM 015 B000235 S 015 C010235 AUCKLAND 015 D010235 NEW ZEALAND 015 E040235 X 015 A000236 DEN NORSKE BANK 015 B000236 S 015 C010236 OSLO 015 D010236 NORWAY 015 E040236 X 015 A000237 HONGKONG AND SHANGHAI BANKING CORPORATION 015 B000237 S 015 C010237 MANILA 015 D010237 PHILIPPINES PAGE 19 015 E040237 X 015 A000238 STANDARD CHARTERED BANK 015 B000238 S 015 C010238 KARACHI 015 D010238 PAKISTAN 015 E040238 X 015 A000239 BANK HANDLOWY WARSZAWIE S.A. 015 B000239 S 015 C010239 WARSAW 015 D010239 POLAND 015 E040239 X 015 A000240 BANCO COMERCIAL PORTUGUES 015 B000240 S 015 C010240 LISBON 015 D010240 PORTUGAL 015 E040240 X 015 A000241 ING BANK (EURASIA) ZAO 015 B000241 S 015 C010241 MOSCOW 015 D010241 RUSSIA 015 E040241 X 015 A000242 UNITED OVERSEAS BANK 015 B000242 S 015 C010242 SINGAPORE 015 D010242 SINGAPORE 015 E040242 X 015 A000243 STANDARD CHARTERED BANK OF SOUTH AFRICA 015 B000243 S 015 C010243 JOHANNESBURG 015 D010243 SOUTH AFRICA 015 E040243 X 015 A000244 STANDARD CHARTERED BANK 015 B000244 S 015 C010244 SEOUL 015 D010244 SOUTH KOREA 015 E040244 X 015 A000245 CITIBANK N.A. 015 B000245 S 015 C010245 CARACAS 015 D010245 VENEZUELA 015 E040245 X 015 A000246 BANCO BILBAO VIZCAYA ARGENTARIA 015 B000246 S 015 C010246 MADRIC 015 D010246 SPAIN 015 E040246 X 015 A000247 SKANDINAVISKA ENSKILDA BANKEN 015 B000247 S 015 C010247 STOCKHOLM 015 D010247 SWEDEN 015 E040247 X PAGE 20 015 A000248 CREDIT SUISSE FIRST BOSTON 015 B000248 S 015 C010248 ZURICH 015 D010248 SWITZERLAND 015 E040248 X 015 A000249 HONGKONG AND SHANGHAI BANKING CORPORATION 015 B000249 S 015 C010249 TAIPEI 015 D010249 TAIWAN 015 E040249 X 015 A000250 STANDARD CHARTERED BANK 015 B000250 S 015 C010250 BANGKOK 015 D010250 THAILAND 015 E040250 X 015 A000251 GARANTI BANK 015 B000251 S 015 C010251 ISTANBUL 015 D010251 TURKEY 015 E040251 X 015 A000252 BANK ONE 015 B000252 S 015 C010252 LONDON 015 D010252 UNITED KINGDOM 015 E040252 X 015 A000253 THE BANK OF NEW YORK 015 B000253 S 015 C010253 LONDON 015 D010253 UNITED KINGDOM 015 E040253 X 024 000200 Y 025 A000201 HSBC BANK USA 025 B000201 13-2774727 025 C000201 D 025 D000201 17822 025 A000202 UBS WARBURG 025 B000202 13-3340045 025 C000202 D 025 D000202 7679 025 D000203 0 025 D000204 0 025 D000205 0 025 D000206 0 025 D000207 0 025 D000208 0 028 A010200 100508 028 A020200 0 028 A030200 0 028 A040200 15647 028 B010200 128505 028 B020200 0 PAGE 21 028 B030200 0 028 B040200 17025 028 C010200 125591 028 C020200 0 028 C030200 0 028 C040200 24435 028 D010200 69789 028 D020200 0 028 D030200 0 028 D040200 41003 028 E010200 39706 028 E020200 0 028 E030200 0 028 E040200 21083 028 F010200 63287 028 F020200 0 028 F030200 0 028 F040200 37161 028 G010200 527386 028 G020200 0 028 G030200 0 028 G040200 156354 028 H000200 40480 029 000200 Y 030 A000200 373 030 B000200 5.00 030 C000200 0.00 031 A000200 245 031 B000200 0 032 000200 128 033 000200 0 034 000200 Y 035 000200 21 036 A000200 N 036 B000200 0 037 000200 Y 038 000200 408 039 000200 N 040 000200 Y 041 000200 Y 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 1732 044 000200 0 045 000200 Y PAGE 22 046 000200 N 047 000200 Y 048 000200 0.750 048 A010200 0 048 A020200 0.000 048 B010200 0 048 B020200 0.000 048 C010200 0 048 C020200 0.000 048 D010200 0 048 D020200 0.000 048 E010200 0 048 E020200 0.000 048 F010200 0 048 F020200 0.000 048 G010200 0 048 G020200 0.000 048 H010200 0 048 H020200 0.000 048 I010200 0 048 I020200 0.000 048 J010200 0 048 J020200 0.000 048 K010200 0 048 K020200 0.000 049 000200 N 050 000200 N 051 000200 N 052 000200 N 053 A000200 N 055 A000200 N 055 B000200 N 056 000200 Y 057 000200 N 066 A000200 Y 066 B000200 N 066 C000200 N 066 D000200 Y 066 E000200 N 066 F000200 N 066 G000200 N 067 000200 N 068 A000200 N 068 B000200 Y 069 000200 N 070 A010200 Y 070 A020200 N 070 B010200 N 070 B020200 N 070 C010200 N 070 C020200 N PAGE 23 070 D010200 N 070 D020200 N 070 E010200 Y 070 E020200 N 070 F010200 Y 070 F020200 N 070 G010200 N 070 G020200 N 070 H010200 N 070 H020200 N 070 I010200 Y 070 I020200 N 070 J010200 Y 070 J020200 N 070 K010200 Y 070 K020200 Y 070 L010200 Y 070 L020200 Y 070 M010200 Y 070 M020200 Y 070 N010200 Y 070 N020200 N 070 O010200 Y 070 O020200 N 070 P010200 N 070 P020200 N 070 Q010200 Y 070 Q020200 N 070 R010200 Y 070 R020200 N 071 A000200 570 071 B000200 73 071 C000200 693 071 D000200 11 072 A000200 12 072 B000200 4080 072 C000200 14110 072 D000200 0 072 E000200 0 072 F000200 5807 072 G000200 0 072 H000200 0 072 I000200 1198 072 J000200 922 072 K000200 0 072 L000200 86 072 M000200 48 072 N000200 52 072 O000200 0 072 P000200 0 072 Q000200 0 PAGE 24 072 R000200 78 072 S000200 671 072 T000200 1732 072 U000200 0 072 V000200 0 072 W000200 107 072 X000200 10701 072 Y000200 0 072 Z000200 7489 072AA000200 4184 072BB000200 7733 072CC010200 18879 072CC020200 0 072DD010200 0 072DD020200 0 072EE000200 0 073 A010200 0.0000 073 A020200 0.0000 073 B000200 0.0000 073 C000200 0.0000 074 A000200 51 074 B000200 0 074 C000200 76478 074 D000200 93156 074 E000200 35809 074 F000200 833608 074 G000200 0 074 H000200 0 074 I000200 0 074 J000200 263 074 K000200 0 074 L000200 13798 074 M000200 0 074 N000200 1053163 074 O000200 7111 074 P000200 846 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 4560 074 S000200 0 074 T000200 1040646 074 U010200 61459 074 U020200 22137 074 V010200 0.00 074 V020200 0.00 074 W000200 0.0000 074 X000200 37120 074 Y000200 0 075 A000200 0 PAGE 25 075 B000200 772802 076 000200 0.00 015 A000301 THE BANK OF NEW YORK 015 B000301 C 015 C010301 NEW YORK 015 C020301 NY 015 C030301 10286 015 E010301 X 015 A000302 CITIBANK ARGENTINA 015 B000302 S 015 C010302 BUENOS AIRES 015 D010302 ARGENTINA 015 E040302 X 015 A000303 NATIONAL AUSTRALIA BANK 015 B000303 S 015 C010303 MELBOURNE 015 D010303 AUSTRALIA 015 E040303 X 015 A000304 BANK AUSTRIA CREDITANSTALT AG 015 B000304 S 015 C010304 VIENNA 015 D010304 AUSTRIA 015 E040304 X 015 A000305 BANQUE BRUXELLES LAMBERT 015 B000305 S 015 C010305 BRUSSELS 015 D010305 BELGIUM 015 E040305 X 015 A000306 THE BANK OF BERMUDA 015 B000306 S 015 C010306 HAMILTON 015 D010306 BERMUDA 015 E040306 X 015 A000307 BANKBOSTON N.A. 015 B000307 S 015 C010307 SAO PAULO 015 D010307 BRAZIL 015 E040307 X 015 A000308 BANKBOSTON N.A. 015 B000308 S 015 C010308 SAO PAULO 015 D010308 BRAZIL 015 E040308 X 015 A000309 ING BANK N.V. SOFIA BRANCH 015 B000309 S 015 C010309 SOFIA 015 D010309 BULGARIA 015 E040309 X 015 A000310 ROYAL BANK OF CANADA 015 B000310 S 015 C010310 TORONTO PAGE 26 015 D010310 CANADA 015 E040310 X 015 A000311 BANKBOSTON N.A. 015 B000311 S 015 C010311 SANTIAGO 015 D010311 CHILE 015 E040311 X 015 A000312 STANDARD CHARTERED BANK HONG KONG 015 B000312 S 015 C010312 SHANGHAI 015 D010312 CHINA 015 E040312 X 015 A000313 STANDARD CHARTERED BANK HONG KONG 015 B000313 S 015 C010313 SHENZHEN 015 D010313 CHINA 015 E040313 X 015 A000314 CESKOSLOVENSKA OBCHODNI BANKA 015 B000314 S 015 C010314 PRAGUE 015 D010314 CZECH REPUBLIC 015 E040314 X 015 A000315 DANSKE BANK 015 B000315 S 015 C010315 COPENHAGEN 015 D010315 DENMARK 015 E040315 X 015 A000316 CITIBANK N.A. 015 B000316 S 015 C010316 CAIRO 015 D010316 EGYPT 015 E040316 X 015 A000317 CLEARSTREAM 015 B000317 S 015 C010317 LUXEMBOURG 015 D010317 EUROMARKETS 015 E040317 X 015 A000318 EUROCLEAR BANK 015 B000318 S 015 C010318 BRUSSELS 015 D010318 EUROMARKETS 015 E040318 X 015 A000319 NORDEA BANK FINLAND PLC 015 B000319 S 015 C010319 HELSINKI 015 D010319 FINLAND 015 E040319 X 015 A000320 BNP PARIBAS SECURITIES SERVICES 015 B000320 S 015 C010320 PARIS 015 D010320 FRANCE PAGE 27 015 E040320 X 015 A000321 DEUTSCHE BANK 015 B000321 S 015 C010321 FRANKFURT 015 D010321 GERMANY 015 E040321 X 015 A000322 DRESDNER BANK 015 B000322 S 015 C010322 FRANKFURT 015 D010322 GERMANY 015 E040322 X 015 A000323 BNP PARIBAS SECURITIES SERVICES 015 B000323 S 015 C010323 ATHENS 015 D010323 GREECE 015 E040323 X 015 A000324 HONGKONG SHANGHAI BANKING CORPORATION 015 B000324 S 015 C010324 HONG KONG 015 D010324 HONG KONG 015 E040324 X 015 A000325 HVB BANK HUNGARY RT 015 B000325 S 015 C010325 BUDAPEST 015 D010325 HUNGARY 015 E040325 X 015 A000326 HONG AND SHANGHAI BANKING CORPORATION 015 B000326 S 015 C010326 MUMBAI 015 D010326 INDIA 015 E040326 X 015 A000327 HONGKONG AND SHANGHAIN BANKING CORPORATION 015 B000327 S 015 C010327 JAKARTA 015 D010327 INDONESIA 015 E040327 X 015 A000328 AIB/BNY TRUST COMPANY LIMITED 015 B000328 S 015 C010328 DUBLIN 015 D010328 IRELAND 015 E040328 X 015 A000329 BANK LEUMI LE-ISRAEL B.M. 015 B000329 S 015 C010329 TEL AVIV 015 D010329 ISRAEL 015 E040329 X 015 A000330 INTESABCI 015 B000330 S 015 C010330 PARMA 015 D010330 ITALY 015 E040330 X PAGE 28 015 A000331 BANK OF TOKYO-MITSUBISHI LIMITED 015 B000331 S 015 C010331 TOKYO 015 D010331 JAPAN 015 E040331 X 015 A000332 BANQUE ET CAISSE D'EPARGNE DE L'ETAT 015 B000332 S 015 C010332 LUXEMBOURG 015 D010332 LUXEMBOURG 015 E040332 X 015 A000333 HONGKONG BANK MALAYSIA BERHAD 015 B000333 S 015 C010333 KUALA LUMPUR 015 D010333 MALAYSIA 015 E040333 X 015 A000334 BANCO NACIONAL DE MEXICO (BANAMEX) 015 B000334 S 015 C010334 MEXICO CITY 015 D010334 MEXICO 015 E040334 X 015 A000335 FORTIS BANK (NEDERLAND) N.V. 015 B000335 S 015 C010335 AMSTERDAM 015 D010335 NETHERLANDS 015 E040335 X 015 A000336 NATIONAL AUSTRALIA BANK NEW ZEALAND-NAT'L NOM 015 B000336 S 015 C010336 AUCKLAND 015 D010336 NEW ZEALAND 015 E040336 X 015 A000337 DEN NORSKE BANK 015 B000337 S 015 C010337 OSLO 015 D010337 NORWAY 015 E040337 X 015 A000338 HONGKONG AND SHANGHAI BANKING CORPORATION 015 B000338 S 015 C010338 MANILA 015 D010338 PHILIPPINES 015 E040338 X 015 A000339 STANDARD CHARTERED BANK 015 B000339 S 015 C010339 KARACHI 015 D010339 PAKISTAN 015 E040339 X 015 A000340 BANK HANDLOWY WARSZAWIE S.A. 015 B000340 S 015 C010340 WARSAW 015 D010340 POLAND 015 E040340 X 015 A000341 BANCO COMERCIAL PORTUGUES PAGE 29 015 B000341 S 015 C010341 LISBON 015 D010341 PORTUGAL 015 E040341 X 015 A000342 ING BANK (EURASIA) ZAO 015 B000342 S 015 C010342 MOSCOW 015 D010342 RUSSIA 015 E040342 X 015 A000343 UNITED OVERSEAS BANK 015 B000343 S 015 C010343 SINGAPORE 015 D010343 SINGAPORE 015 E040343 X 015 A000344 STANDARD CHARTERED BANK OF SOUTH AFRICA 015 B000344 S 015 C010344 JOHANNESBURG 015 D010344 SOUTH AFRICA 015 E040344 X 015 A000345 STANDARD CHARTERED BANK 015 B000345 S 015 C010345 SEOUL 015 D010345 SOUTH KOREA 015 E040345 X 015 A000346 CITIBANK N.A 015 B000346 S 015 C010346 CARACAS 015 D010346 VENEZUELA 015 E040346 X 015 A000347 BANCO BILBAO VIZCAYA ARGENTARIA 015 B000347 S 015 C010347 MADRID 015 D010347 SPAIN 015 E040347 X 015 A000348 SKANDINAVISKA ENSKILDA BANKEN 015 B000348 S 015 C010348 STOCKHOLM 015 D010348 SWEDEN 015 E040348 X 015 A000349 CREDIT SUISSE FIRST BOSTON 015 B000349 S 015 C010349 ZURICH 015 D010349 SWITZERLAND 015 E040349 X 015 A000350 HONGKONG AND SHANGHAI BANKING CORPORATION 015 B000350 S 015 C010350 TAIPEI 015 D010350 TAIWAN 015 E040350 X 015 A000351 STANDARD CHARTERED BANK 015 B000351 S PAGE 30 015 C010351 BANGKOK 015 D010351 THAILAND 015 E040351 X 015 A000352 GARANTI BANK 015 B000352 S 015 C010352 ISTANBUL 015 D010352 TURKEY 015 E040352 X 015 A000353 BANK ONE 015 B000353 S 015 C010353 LONDON 015 D010353 UNITED KINGDOM 015 E040353 X 015 A000354 THE BANK OF NEW YORK 015 B000354 S 015 C010354 LONDON 015 D010354 UNITED KINGDOM 015 E040354 X 024 000300 Y 025 A000301 HSBC BANK USA 025 B000301 13-2774727 025 C000301 D 025 D000301 6545 025 A000302 UBS WARBURG 025 B000302 13-3340045 025 C000302 D 025 D000302 2705 025 D000303 0 025 D000304 0 025 D000305 0 025 D000306 0 025 D000307 0 025 D000308 0 028 A010300 16760 028 A020300 0 028 A030300 0 028 A040300 2952 028 B010300 14719 028 B020300 0 028 B030300 0 028 B040300 5271 028 C010300 19163 028 C020300 0 028 C030300 0 028 C040300 11199 028 D010300 9897 028 D020300 0 028 D030300 0 028 D040300 2300 028 E010300 20081 028 E020300 0 PAGE 31 028 E030300 0 028 E040300 4782 028 F010300 7709 028 F020300 0 028 F030300 0 028 F040300 5739 028 G010300 88329 028 G020300 0 028 G030300 0 028 G040300 32243 028 H000300 42583 029 000300 Y 030 A000300 342 030 B000300 5.00 030 C000300 0.00 031 A000300 242 031 B000300 0 032 000300 100 033 000300 0 034 000300 Y 035 000300 10 036 A000300 N 036 B000300 0 037 000300 Y 038 000300 272 039 000300 N 040 000300 Y 041 000300 Y 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 115 044 000300 0 045 000300 Y 046 000300 N 047 000300 Y 048 000300 0.750 048 A010300 0 048 A020300 0.000 048 B010300 0 048 B020300 0.000 048 C010300 0 048 C020300 0.000 048 D010300 0 048 D020300 0.000 048 E010300 0 PAGE 32 048 E020300 0.000 048 F010300 0 048 F020300 0.000 048 G010300 0 048 G020300 0.000 048 H010300 0 048 H020300 0.000 048 I010300 0 048 I020300 0.000 048 J010300 0 048 J020300 0.000 048 K010300 0 048 K020300 0.000 049 000300 N 050 000300 N 051 000300 N 052 000300 N 053 A000300 N 055 A000300 Y 055 B000300 N 056 000300 Y 057 000300 N 066 A000300 Y 066 B000300 N 066 C000300 N 066 D000300 Y 066 E000300 N 066 F000300 N 066 G000300 N 067 000300 N 068 A000300 Y 068 B000300 Y 069 000300 N 070 A010300 Y 070 A020300 N 070 B010300 N 070 B020300 N 070 C010300 N 070 C020300 N 070 D010300 N 070 D020300 N 070 E010300 Y 070 E020300 N 070 F010300 Y 070 F020300 N 070 G010300 Y 070 G020300 N 070 H010300 N 070 H020300 N 070 I010300 Y 070 I020300 N PAGE 33 070 J010300 Y 070 J020300 Y 070 K010300 N 070 K020300 N 070 L010300 Y 070 L020300 Y 070 M010300 Y 070 M020300 Y 070 N010300 Y 070 N020300 N 070 O010300 Y 070 O020300 N 070 P010300 N 070 P020300 N 070 Q010300 Y 070 Q020300 N 070 R010300 Y 070 R020300 N 071 A000300 66465 071 B000300 1840 071 C000300 43058 071 D000300 4 072 A000300 12 072 B000300 190 072 C000300 618 072 D000300 0 072 E000300 0 072 F000300 344 072 G000300 0 072 H000300 0 072 I000300 162 072 J000300 55 072 K000300 0 072 L000300 5 072 M000300 2 072 N000300 17 072 O000300 0 072 P000300 0 072 Q000300 0 072 R000300 48 072 S000300 18 072 T000300 115 072 U000300 0 072 V000300 0 072 W000300 2 072 X000300 768 072 Y000300 0 072 Z000300 40 072AA000300 263 072BB000300 73 072CC010300 6062 PAGE 34 072CC020300 0 072DD010300 156 072DD020300 0 072EE000300 0 073 A010300 0.0700 073 A020300 0.0000 073 B000300 0.0000 073 C000300 0.0000 074 A000300 1 074 B000300 0 074 C000300 6624 074 D000300 10527 074 E000300 7839 074 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SIGNATURE WINNIE CHIN TITLE ASSISTANT TREASURER EX-99.77B 3 sogen.txt Independent Auditors' Report To the Shareholders and Board of Directors of the First Eagle SoGen Funds, Inc.: In planning and performing our audits of the financial statements of First Eagle SoGen Funds, Inc., consisting of First Eagle SoGen Global Fund, First Eagle SoGen Overseas Fund, First Eagle U.S. Value Fund and First Eagle SoGen Gold Fund (the "Funds") for the year ended October 31, 2002, we considered its internal control, including control activities for safeguarding securities, in order to determine our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, not to provide assurance on internal control. The management of the Funds is responsible for establishing and maintaining internal control. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. Generally, controls that are relevant to an audit pertain to the entity's objective of preparing financial statements for external purposes that are fairly presented in conformity with accounting principles generally accepted in the United States of America. Those controls include the safeguarding of assets against unauthorized acquisition, use, or disposition. Because of inherent limitations in internal control, error or fraud may occur and not be detected. Also, projection of any evaluation of internal control 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 internal control would not necessarily disclose all matters in internal control 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 one or more of the internal control components does not reduce to a relatively low level the risk that misstatements caused by error or fraud 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 internal control and its operation, including controls for safeguarding securities, that we consider to be material weaknesses as defined above as of October 31, 2002. This report is intended solely for the information and use of management, the Board of Directors of the Funds and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. [GRAPHIC OMITTED][GRAPHIC OMITTED] New York, New York December 20, 2002 EX-99.77Q3 CERT 4 item77q3.txt Item 77q(3): The certifying officers, whose certifications are included herewith, have evaluated the registrant's disclosure controls and procedures within 90 days of the filing date of this report. In their opinion, based on their evaluation, the registrant's disclosure controls and procedures are adequately designed, and are operating effectively to ensure, that material information relating to the registrant, including its consolidated subsidiaries, is made known to them by others within those entities, particularly during the period in which this report is being prepared. Further, in their opinion, the registrant's disclosure controls and procedures are adequately designed, and are operating effectively to ensure, that information required to be disclosed by the registrant in the reports it files or submits under the Securities Exchange Act of 1934 is recorded, processed, summarized and reported within the time periods specified in the Securities and Exchange Commission's rules and forms. There are no significant deficiencies or material weaknesses in the registrant's internal controls as of the date of their most recent evaluation, and there have been no significant changes in the registrant's internal controls or in other factors that could significantly affect these controls subsequent to the date of their most recent evaluation. I, John P. Arnhold, certify that: 1. I have reviewed this report on Form N-SAR of First Eagle SoGen Funds, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the financial information included in this report, and the financial statements on which the financial information is based, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report; 4. The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in rule 30a-2(c) under the Investment Company Act) for the registrant and have: a) designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; b) evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this report (the "Evaluation Date"); and c) presented in this report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date; 5. The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of the registrant's board of trustees (or persons performing the equivalent functions): a) all significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize, and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and b) any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and 6. The registrant's other certifying officers and I have indicated in this report whether or not there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses. /s/ John P. Arnhold Co-President - ----------------------------------- [Signature] and [Title] December 27, 2002 Date I, Robert Bruno, certify that: 1. I have reviewed this report on Form N-SAR of First Eagle SoGen Funds, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the financial information included in this report, and the financial statements on which the financial information is based, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report; 4. The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in rule 30a-2(c) under the Investment Company Act) for the registrant and have: a) designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; b) evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this report (the "Evaluation Date"); and c) presented in this report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date; 5. The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of the registrant's board of trustees (or persons performing the equivalent functions): a) all significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize, and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and b) any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and 6. The registrant's other certifying officers and I have indicated in this report whether or not there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses. /s/ Robert Bruno Treasurer - ------------------------------ [Signature] and [Title] December 27, 2002 Date First Eagle SoGen Funds, Inc. 1345 Avenue of the Americas New York, New York 10105 -----END PRIVACY-ENHANCED MESSAGE-----