-----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, NsDQ8tThKmSoPoUJ6e2l3oc8hfAoTHdkwTY0YkGQuUhk4TbNHpqsPp+65pt2bepk VbVRjTUHH6HneNqFzFbk/w== 0000950147-01-500468.txt : 20010307 0000950147-01-500468.hdr.sgml : 20010307 ACCESSION NUMBER: 0000950147-01-500468 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20001231 FILED AS OF DATE: 20010305 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PILGRIM ADVISORY FUNDS INC CENTRAL INDEX KEY: 0000944689 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 954532342 STATE OF INCORPORATION: MD FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: SEC FILE NUMBER: 811-09040 FILM NUMBER: 1561255 BUSINESS ADDRESS: STREET 1: 2 RENAISSANCE SQUARE 12TH FLR STREET 2: 40 NORTH CENTRAL CITY: PHOENIX STATE: AZ ZIP: 85004-4424 BUSINESS PHONE: 6024178100 MAIL ADDRESS: STREET 1: 2 RENAISSANCE SQUARE 12TH FLR STREET 2: 40 NORTH CENTRAL CITY: PHOENIX STATE: AZ ZIP: 85004 NSAR-A 1 0001.txt N-SAR (6.1) PAGE 1 000 A000000 12/31/2000 000 C000000 0000944689 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 U 001 A000000 PILGRIM ADVISORY FUNDS, INC. 001 B000000 811-09040 001 C000000 4804773000 002 A000000 7337 E. DOUBLETREE RANCH ROAD 002 B000000 SCOTTSDALE 002 C000000 AZ 002 D010000 85258 002 D020000 2034 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 2 007 C010100 1 007 C020100 PILGRIM LARGECAP LEADERS FUND 007 C030100 Y 007 C010200 2 007 C020200 PILGRIM MIDCAP VALUE FUND 007 C030200 Y 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A00AA01 ING PILGRIM INVESTMENTS, INC. 008 B00AA01 A 008 C00AA01 801-8178 008 D01AA01 SCOTTSDALE 008 D02AA01 AZ 008 D03AA01 85258 008 D04AA01 2034 010 A00AA01 ING PILGRIM GROUP, INC. 010 C01AA01 SCOTTSDALE 010 C02AA01 AZ 010 C03AA01 85258 010 C04AA01 2034 011 A00AA01 ING PILGRIM SECURITIES, INC. 011 B00AA01 8-8272 PAGE 2 011 C01AA01 SCOTTSDALE 011 C02AA01 AZ 011 C03AA01 85258 011 C04AA01 2034 012 A00AA01 ING PILGRIM GROUP, INC. 012 B00AA01 85-00535 012 C01AA01 SCOTTSDALE 012 C02AA01 AZ 012 C03AA01 85258 012 C04AA01 2034 013 A00AA01 KPMG LLP 013 B01AA01 LOS ANGELES 013 B02AA01 CA 013 B03AA01 90017 014 A00AA01 ING PILGRIM SECURITIES, INC. 014 B00AA01 8-38545 014 A00AA02 WASHINGTON SQUARE SECURITIES, INC. 014 B00AA02 8-00000 014 A00AA03 PRIMEVEST FINANCIAL SERVICES, INC. 014 B00AA03 8-00000 014 A00AA04 GRANITE INVESTMENT SERVICES 014 B00AA04 8-00000 014 A00AA05 FINANCIAL NORTHEASTERN SECURITIES 014 B00AA05 8-00000 014 A00AA01 ING PILGRIM SECURITIES, INC. 014 B00AA01 8-38545 014 A00AA02 WASHINGTON SQUARE SECURITIES, INC. 014 B00AA02 8-00000000 014 A00AA03 PRIMVEST FINANCIAL SERVICES, INC. 014 B00AA03 8-00000000 014 A00AA04 GRANITE INVESTMENT SERVICES 014 B00AA04 8-00000000 014 A00AA05 FINANCIAL NORTHEASTERN SECURITIES 014 B00AA05 8-00000000 014 A00AA06 BARING INVESTMENT SERVICES 014 B00AA06 8-00000000 014 A00AA07 COMPULIFE INVESTOR SERVICES, INC. 014 B00AA07 8-00000000 014 A00AA08 DIRECTED SERVICES, INC. 014 B00AA08 8-00000000 014 A00AA09 FURMAN SELZ FIN. SERVICES 014 B00AA09 8-00000000 014 A00AA10 ING NETWORK SECURITIES 014 B00AA10 8-00000000 014 A00AA11 ING (US) SEC., FUTURES & OPTIONS INC 014 B00AA11 8-00000000 014 A00AA12 ING AMERICA EQUITIES, INC. 014 B00AA12 8-00000000 014 A00AA13 ING BARING LLC 014 B00AA13 8-00000000 014 A00AA14 ING FUNDS DISTRIBUTORS, INC. 014 B00AA14 8-00000000 PAGE 3 014 A00AA15 ING INSURANCE AGENCY, INC. 014 B00AA15 8-00000000 014 A00AA16 ING TT&S(US) SEC. INC. 014 B00AA16 8-00000000 014 A00AA17 LOCUST STREET SEC., INC. 014 B00AA17 8-00000000 014 A00AA18 MUTI-FINANCIAL SECURITIES, CORP. 014 B00AA18 8-00000000 014 A00AA19 UNITED VARIABLE SERVICES INC. 014 B00AA19 8-00000000 014 A00AA20 VESTAX SECURITIES CORP. 014 B00AA20 8-00000000 014 A00AA21 BANCWEST INVESTMENT SERVICES 014 B00AA21 8-00000000 014 A00AA22 GURANTY BROKERAGE SERVICES, INC. 014 B00AA22 8-00000000 014 A00AA23 LEXINGTON FUNDS DISTRIBUTOR, INC. 014 B00AA23 8-00000000 014 A00AA24 AELTUS CAPITAL, NC. 014 B00AA24 8-00000000 014 A00AA25 AETNA INVESTMENT SERVICES, INC. 014 B00AA25 8-00000000 014 A00AA26 FINANCIAL NETWORK INVESTMENT CORP. 014 B00AA26 8-00000000 014 A00AA27 SYSTEMIZED BENEFIT ADMINISTRATOR, INC. 014 B00AA27 8-00000000 015 A00AA01 STATE STREET KANSAS CITY 015 B00AA01 C 015 C01AA01 KANSAS CITY 015 C02AA01 MO 015 C03AA01 64105 015 E01AA01 X 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 72 019 C00AA00 INGPILGRIM 020 A000001 AUTRANET, INC. 020 B000001 13-2961507 020 C000001 29 020 A000002 BEAR STEARNS SECURITIES CORP. 020 B000002 13-3299429 020 C000002 4 020 A000003 BOSTON INSTITUTIONAL SERVICES 020 C000003 2 020 A000004 INSTINET 020 C000004 2 020 A000005 MERRILL LYNCH 020 C000005 1 020 A000006 SALOMON BROTHERS, SMITH BARNEY 020 C000006 1 020 C000007 0 PAGE 4 020 C000008 0 020 C000009 0 020 C000010 0 021 000000 44 022 A000001 STATE STREET BANK 022 C000001 467591 022 D000001 0 022 A000002 MERRILL LYNCH, PIERCE, FENNER 022 C000002 82575 022 D000002 346 022 A000003 CITIBANK 022 C000003 5638 022 D000003 0 022 A000004 BEAR STEARNS & CO. 022 C000004 2679 022 D000004 0 022 A000005 BANKERS TRUST AND CO. 022 C000005 1830 022 D000005 0 022 A000006 SALOMON SMITH BARNEY 022 C000006 187 022 D000006 423 022 A000007 LEHMAN BROTHERS AND CO. 022 C000007 104 022 D000007 448 022 A000008 RYAN BECK 022 C000008 238 022 D000008 0 022 A000009 MORGAN STANLEY & CO. 022 C000009 0 022 D000009 187 022 A000010 KEEFE BRUYETTE & WOODS, INC. 022 C000010 150 022 D000010 0 023 C000000 561109 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G000100 0 042 H000100 100 043 000100 143 044 000100 0 045 000100 Y 046 000100 N 047 000100 Y 048 000100 0.850 048 A010100 0 048 A020100 0.000 048 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 0 048 K020100 0.000 049 000100 N 050 000100 N 051 000100 N 052 000100 N 053 A000100 N 055 A000100 N PAGE 8 055 B000100 N 056 000100 Y 057 000100 N 066 A000100 Y 066 B000100 N 066 C000100 Y 066 D000100 N 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 Y 070 B010100 N 070 B020100 N 070 C010100 Y 070 C020100 N 070 D010100 Y 070 D020100 N 070 E010100 Y 070 E020100 N 070 F010100 Y 070 F020100 N 070 G010100 Y 070 G020100 N 070 H010100 Y 070 H020100 N 070 I010100 N 070 I020100 N 070 J010100 Y 070 J020100 N 070 K010100 Y 070 K020100 N 070 L010100 Y 070 L020100 Y 070 M010100 Y 070 M020100 Y 070 N010100 N 070 N020100 N 070 O010100 Y 070 O020100 N 070 P010100 Y 070 P020100 N 070 Q010100 Y 070 Q020100 N 070 R010100 Y 070 R020100 N 071 A000100 5586 PAGE 9 071 B000100 7626 071 C000100 35776 071 D000100 16 072 A000100 6 072 B000100 46 072 C000100 437 072 D000100 0 072 E000100 0 072 F000100 160 072 G000100 0 072 H000100 0 072 I000100 31 072 J000100 4 072 K000100 3 072 L000100 8 072 M000100 2 072 N000100 26 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 0 072 S000100 2 072 T000100 143 072 U000100 0 072 V000100 0 072 W000100 15 072 X000100 394 072 Y000100 0 072 Z000100 89 072AA000100 4 072BB000100 0 072CC010100 507 072CC020100 0 072DD010100 0 072DD020100 0 072EE000100 0 073 A010100 0.0000 073 A020100 0.0000 073 B000100 1.1350 073 C000100 0.0000 074 A000100 11 074 B000100 2988 074 C000100 0 074 D000100 0 074 E000100 0 074 F000100 35199 074 G000100 0 074 H000100 0 074 I000100 0 074 J000100 0 074 K000100 0 PAGE 10 074 L000100 187 074 M000100 46 074 N000100 38431 074 O000100 101 074 P000100 26 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 59 074 S000100 0 074 T000100 38245 074 U010100 659 074 U020100 1485 074 V010100 15.00 074 V020100 14.35 074 W000100 0.0000 074 X000100 4 074 Y000100 0 075 A000100 0 075 B000100 37342 076 000100 0.00 080 A000100 NATIONAL UNION FIRE INC CO OF PITTSBURGH, PA 080 C000100 12000 081 A000100 Y 081 B000100 70 082 A000100 Y 082 B000100 50 083 A000100 N 083 B000100 0 084 A000100 N 084 B000100 0 085 A000100 Y 085 B000100 N 024 000200 N 028 A010200 242 028 A020200 0 028 A030200 0 028 A040200 2629 028 B010200 288 028 B020200 0 028 B030200 0 028 B040200 1825 028 C010200 235 028 C020200 0 028 C030200 0 028 C040200 1154 028 D010200 275 028 D020200 0 028 D030200 0 028 D040200 482 PAGE 11 028 E010200 9101 028 E020200 1655 028 E030200 0 028 E040200 678 028 F010200 1854 028 F020200 0 028 F030200 0 028 F040200 909 028 G010200 11995 028 G020200 1655 028 G030200 0 028 G040200 7677 028 H000200 11995 029 000200 Y 030 A000200 16 030 B000200 5.75 030 C000200 0.00 031 A000200 2 031 B000200 0 032 000200 14 033 000200 0 034 000200 Y 035 000200 39 036 A000200 N 036 B000200 0 037 000200 N 038 000200 0 039 000200 N 040 000200 Y 041 000200 Y 042 A000200 0 042 B000200 0 042 C000200 0 042 D000200 0 042 E000200 0 042 F000200 0 042 G000200 0 042 H000200 100 043 000200 106 044 000200 0 045 000200 Y 046 000200 N 047 000200 Y 048 000200 0.850 048 A010200 0 048 A020200 0.000 048 B010200 0 048 B020200 0.000 048 C010200 0 048 C020200 0.000 048 D010200 0 PAGE 12 048 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 Y 053 B000200 Y 053 C000200 N 055 A000200 N 055 B000200 N 056 000200 Y 057 000200 N 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 Y 069 000200 N 070 A010200 Y 070 A020200 Y 070 B010200 Y 070 B020200 N 070 C010200 Y 070 C020200 N 070 D010200 Y 070 D020200 N 070 E010200 Y 070 E020200 N 070 F010200 Y 070 F020200 N 070 G010200 Y 070 G020200 N PAGE 13 070 H010200 Y 070 H020200 N 070 I010200 N 070 I020200 N 070 J010200 Y 070 J020200 N 070 K010200 Y 070 K020200 N 070 L010200 Y 070 L020200 Y 070 M010200 Y 070 M020200 Y 070 N010200 N 070 N020200 N 070 O010200 Y 070 O020200 N 070 P010200 Y 070 P020200 N 070 Q010200 Y 070 Q020200 N 070 R010200 N 070 R020200 N 071 A000200 11436 071 B000200 7725 071 C000200 27901 071 D000200 28 072 A000200 6 072 B000200 102 072 C000200 164 072 D000200 0 072 E000200 0 072 F000200 125 072 G000200 0 072 H000200 0 072 I000200 34 072 J000200 3 072 K000200 11 072 L000200 14 072 M000200 2 072 N000200 22 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 0 072 S000200 2 072 T000200 106 072 U000200 3 072 V000200 0 072 W000200 1 072 X000200 323 072 Y000200 5 PAGE 14 072 Z000200 -52 072AA000200 0 072BB000200 453 072CC010200 1603 072CC020200 0 072DD010200 0 072DD020200 0 072EE000200 0 073 A010200 0.0000 073 A020200 0.0000 073 B000200 1.0800 073 C000200 0.0000 074 A000200 1957 074 B000200 7639 074 C000200 0 074 D000200 0 074 E000200 0 074 F000200 34266 074 G000200 0 074 H000200 0 074 I000200 0 074 J000200 481 074 K000200 0 074 L000200 23 074 M000200 23 074 N000200 44389 074 O000200 7645 074 P000200 25 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 242 074 S000200 0 074 T000200 36477 074 U010200 1187 074 U020200 1149 074 V010200 13.67 074 V020200 13.08 074 W000200 0.0000 074 X000200 4 074 Y000200 0 075 A000200 0 075 B000200 29142 076 000200 0.00 080 A000200 NATIONAL UNION FIRE INC CO OF PITTSBURGH, PA 080 C000200 12000 081 A000200 Y 081 B000200 70 082 A000200 Y 082 B000200 50 PAGE 15 083 A000200 N 083 B000200 0 084 A000200 N 084 B000200 0 085 A000200 Y 085 B000200 N SIGNATURE MICHAEL ROLAND TITLE CFO EX-99.77.C 2 ex-77c.txt SHAREHOLDERS' MEETING RESULT Exhibit 77(c) A special meeting of shareholders of the Pilgrim Funds (listed below) was held in Phoenix, Arizona on August 18,2000. A brief description of each matter voted upon as well as the results are outlined below:
SHARES SHARES VOTED AGAINST SHARES BROKER VOTED FOR OR WITHHELD ABSTAINED NON-VOTE TOTAL --------- ----------- --------- -------- ---------- 1. To approve new Investment Management Agreements between the Funds and Pilgrim Investments, Inc. ("Pilgrim"), to reflect the acquisition of Pilgrim by ING Groep N.V. ("ING"), with no change in the advisory fees payable to Pilgrim; Pilgrim Balanced Fund 5,852,446 244,621 -- -- 6,097,067 Pilgrim Bank and Thrift Fund 17,395,838 722,384 -- -- 18,118,222 Pilgrim Convertible Fund 14,114,046 320,397 -- -- 14,434,443 Pilgrim Government Securities Income Fund 7,930,229 550,166 -- -- 8,480,395 Pilgrim High Yield Fund 48,691,093 1,967,797 -- -- 50,658,890 Pilgrim High Yield Fund II 15,876,094 456,032 -- -- 16,332,126 Pilgrim LargeCap Growth Fund 13,427,843 254,416 -- -- 13,682,259 Pilgrim LargeCap Leaders Fund 1,934,352 45,755 -- -- 1,980,107 Pilgrim MagnaCap Fund 16,148,978 792,273 -- -- 16,941,251 Pilgrim MidCap Growth Fund 16,788,788 344,196 -- -- 17,132,984 Pilgrim MidCap Value Fund 1,626,116 37,455 -- -- 1,663,571 Pilgrim Money Market Fund 58,049,711 255,420 -- -- 58,305,131 Pilgrim SmallCap Growth Fund 23,486,117 435,892 -- -- 23,922,009 Pilgrim Strategic Income Fund 701,286 16,777 -- -- 718,063 2. For shareholders of Pilgrim Convertible Fund and Pilgrim LargeCap Growth Fund to approve a new Sub-Advisory Agreement between Pilgrim and Nicholas-Applegate Capital Management ("NACM") to reflect the acquisition of Pilgrim by ING, with no change in the sub-advisory fees payable to NACM. Pilgrim Convertible Fund 14,115,264 319,179 -- -- 14,434,443 Pilgrim LargeCap Growth Fund 13,429,517 252,742 -- -- 13,682,259
EX-99.77.Q 3 ex77q.txt EXHIBIT INDEX Exhibit 77(q)(1) PILGRIM ADVISORY FUNDS, INC. on behalf of Pilgrim MidCap Value Fund Pilgrim LargeCap Leaders Fund (collectively the "Funds") (e)(1) Form of Investment Management Agreement between PAF, on behalf of the Funds, and ING Pilgrim Investments is incorporated by reference to Post-Effective Amendment No. 14 to the Registration Statement on Form N-1A as filed on November 1, 2000. -----END PRIVACY-ENHANCED MESSAGE-----