0000950147-01-501615.txt : 20011008
0000950147-01-501615.hdr.sgml : 20011008
ACCESSION NUMBER: 0000950147-01-501615
CONFORMED SUBMISSION TYPE: NSAR-A
PUBLIC DOCUMENT COUNT: 4
CONFORMED PERIOD OF REPORT: 20010326
FILED AS OF DATE: 20010919
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: PILGRIM ADVISORY FUNDS INC
CENTRAL INDEX KEY: 0000944689
STANDARD INDUSTRIAL CLASSIFICATION: []
IRS NUMBER: 954532342
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: NSAR-A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-09040
FILM NUMBER: 1740220
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
answer.fil
NSAR-A OF PILGRIM ADVISORY FUNDS, INC.
PAGE 1
000 A000000 03/26/2001
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 8003343444
002 A000000 7337 E. DOUBLETREE RANCH ROAD
002 B000000 SCOTTSDALE
002 C000000 AZ
002 D010000 85258
003 000000 N
004 000000 N
005 000000 N
006 000000 N
007 A000000 Y
007 B000000 1
007 C010100 1
007 C020100 PILGRIM LARGE CAP LEADERS FUND
007 C030100 Y
007 C010200 2
007 C020200 PILGRIM MID CAP 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, LLC
008 B00AA01 A
008 C00AA01 801-08178
008 D01AA01 SCOTTSDALE
008 D02AA01 AZ
008 D03AA01 85258
010 A00AA01 ING PILGRIM GROUP LLC
010 C01AA01 SCOTTSDALE
010 C02AA01 AZ
010 C03AA01 85258
011 A00AA01 ING PILGRIM SECURITIES, INC.
011 B00AA01 8-8272
011 C01AA01 SCOTTSDALE
011 C02AA01 AZ
011 C03AA01 85258
PAGE 2
012 A00AA01 ING PILGRIM GROUP, LLC
012 B00AA01 85-00535
012 C01AA01 SCOTTSDALE
012 C02AA01 AZ
012 C03AA01 85258
013 A00AA01 KPMG
013 B01AA01 LOS ANGELES
013 B02AA01 CA
013 B03AA01 90071
014 A00AA01 ING PILGRIM SECURITIES, INC.
014 B00AA01 8-38545
014 A00AA02 WASHINGTON SQUARE SECURITIES, INC.
014 B00AA02 8-00000000
014 A00AA03 PRIMEVEST 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 SERVICE
014 B00AA06 8-00000000
014 A00AA07 COMPULIFE INVESTOR SERVICES
014 B00AA07 8-00000000
014 A00AA08 DIRECTED SERVICES, INC.
014 B00AA08 8-00000000
014 A00AA09 FURMAN SELZ FINANCIAL 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
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 SECURITIES, INC.
014 B00AA17 8-00000000
014 A00AA18 MULTI-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
PAGE 3
014 A00AA22 GURANTY BROKERAGE SERVICES, INC.
014 B00AA22 8-00000000
014 A00AA23 LEXINGTON FUNDS DISTRIBUTOR, INC.
014 B00AA23 8-00000000
014 A00AA24 AELTUS CAPITAL, INC.
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 BANK
015 B00AA01 C
015 C01AA01 KANSAS CITY
015 C02AA01 MO
015 C03AA01 64105
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020 C000002 10
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020 A000004 RAFFENSPERGER HUGHES
020 C000004 5
020 A000005 GOLDMAN SACHS & CO.
020 C000005 4
020 A000006 BEAR STERNS SECURITIEIS
020 C000006 3
020 A000007 ABN AMRO
020 C000007 2
020 A000008 JOHNSON RICE & CO.
020 C000008 1
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PAGE 4
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049 00AA00 N
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053 B00AA00 Y
053 C00AA00 N
054 A00AA00 Y
PAGE 5
054 B00AA00 N
054 C00AA00 N
054 D00AA00 N
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054 F00AA00 N
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054 H00AA00 Y
054 I00AA00 N
054 J00AA00 Y
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054 L00AA00 N
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PAGE 6
077 I000000 N
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PAGE 7
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PAGE 8
048 G020100 0.000
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066 A000100 Y
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PAGE 9
070 P020100 N
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PAGE 10
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PAGE 11
028 F040200 0
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028 G040200 1326
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030 B000200 5.75
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PAGE 12
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048 H020200 0.000
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048 I020200 0.000
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066 A000200 Y
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067 000200 N
068 A000200 N
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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 N
070 E020200 N
070 F010200 Y
070 F020200 N
070 G010200 Y
070 G020200 N
070 H010200 Y
070 H020200 N
070 I010200 N
070 I020200 N
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070 K010200 Y
070 K020200 N
070 L010200 Y
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PAGE 13
070 Q010200 N
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PAGE 14
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SIGNATURE MIKE ROLAND
TITLE CFO, SVP
EX-99.77.C
3
ex77c.txt
MATTERS SUBMITTED TO A VOTE OF SECURITY HOLDERS
Exhibit 77(c)
MATTERS SUBMITTED TO A VOTE OF SECURITY HOLDERS
A Special Meeting of Shareholders of Pilgrim LargeCap Leaders Fund ("LargeCap
Leaders"), a series of the Registrant, was held on March 15, 2001, for the
purpose of approving the reorganization of LargeCap Leaders into the Pilgrim
MagnaCap Fund, a series of Pilgrim Investment Funds, Inc., whereby LargeCap
leaders would transfer its assets to the Pilgrim MagnaCap Fund in exchange for
the applicable class of Shares of the Pilgrim MagnaCap Fund and assumption by
Pilgrim MagnaCap Fund of Large Cap Leaders' liabilities (For: 1,174,456,
Against: 23,913).
A Special Meeting of Shareholders of Pilgrim MidCap Value Fund ("MidCap Value"),
a series of the Registrant, was held on February 23, 2001, for the purpose of
approving the reorganization of MidCap Value into the Pilgrim MagnaCap Fund, a
series of Pilgrim Investment Funds, Inc., whereby MidCap Value would transfer
its assets to the Pilgrim MagnaCap Fund in exchange for the applicable class of
Shares of the Pilgrim MagnaCap Fund and assumption by Pilgrim MagnaCap Fund of
MidCap Value's liabilities (For: 1,362,340, Against: 49,581).
EX-99.77.D
4
ex77d.txt
POLICIES WITH RESPECT TO SECURITY INVESTMENTS
Exhibit 77(d)
POLICIES WITH RESPECT TO SECURITY INVESTMENTS
Effective November 16, 2000, the Fund revised its principal investment strategy
to read as follows:
The Fund normally invests at least 65% of its net assets in equity
securities of large U.S. companies that the portfolio managers believe have
above-average prospects for growth. The equity securities in which the Fund
may invest include common and preferred stock, warrants, and convertible
securities. The Fund considers a company to be large if its market
capitalization corresponds at the time of purchase to the upper 90% of the
S&P 500 Index. As of October 19th, 2000, this meant market capitalizations
in the range of $10 billion to $571 billion. Capitalization of companies in
the S&P 500 Index will change with market conditions.
The portfolio managers emphasize a growth approach by searching for
companies that they believe are managing change advantageously and may be
poised to exceed growth expectations. The portfolio managers focus on both
a "bottom-up" analysis that evaluates the financial condition and
competitiveness of individual companies and a "top-down" thematic approach
and a sell discipline. The portfolio managers seek to identify themes that
reflect the major social, economic and technological trends that they
believe are likely to shape the future of business and commerce over the
next three to five years, and seek to provide a framework for identifying
the industries and companies they believe may benefit most. This "top-down"
approach is combined with rigorous fundamental research (a "bottom-up"
approach) to guide stock selection and portfolio structure.
EX-99.77.Q.1
5
ex77q1.txt
EXHIBITS
Exhibit 77(q)(1)
EXHIBITS
(b) Text of revised principal investment strategy of Pilgrim LargeCap Leaders
Fund - filed as a supplement dated November 16, 2000, to the Class A, B, C, M
and T U.S. Equity Funds and Equity & Income Funds Prospectus dated November 1,
2000, as filed on November 17, 2000 and incorporated herein by reference.
(e)(1) Form of Investment Management Agreement between the Registrant, on behalf
of the Funds, and Pilgrim Investments, Inc. - filed as an exhibit to
Post-Effective Amendment No. 15 to the Registrant's Form N-1A Registration
Statement on December 22, 2000 and incorporated herein by reference.