0000940400-14-000823.txt : 20141224 0000940400-14-000823.hdr.sgml : 20141224 20141224141415 ACCESSION NUMBER: 0000940400-14-000823 CONFORMED SUBMISSION TYPE: NSAR-BT PUBLIC DOCUMENT COUNT: 6 CONFORMED PERIOD OF REPORT: 20141031 FILED AS OF DATE: 20141224 DATE AS OF CHANGE: 20141224 EFFECTIVENESS DATE: 20141224 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PRUDENTIAL INVESTMENT PORTFOLIOS 16 CENTRAL INDEX KEY: 0001067442 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: NSAR-BT SEC ACT: 1940 Act SEC FILE NUMBER: 811-08915 FILM NUMBER: 141309914 BUSINESS ADDRESS: STREET 1: GATEWAY CENTER THREE, 4TH FLOOR STREET 2: 100 MULBERRY STREET CITY: NEWARK STATE: NJ ZIP: 07102 BUSINESS PHONE: 9738026469 MAIL ADDRESS: STREET 1: GATEWAY CENTER THREE, 4TH FLOOR STREET 2: 100 MULBERRY STREET CITY: NEWARK STATE: NJ ZIP: 07102 FORMER COMPANY: FORMER CONFORMED NAME: TARGET ASSET ALLOCATION FUNDS DATE OF NAME CHANGE: 20061003 FORMER COMPANY: FORMER CONFORMED NAME: STRATEGIC PARTNERS ASSET ALLOCATION FUNDS DATE OF NAME CHANGE: 20010906 FORMER COMPANY: FORMER CONFORMED NAME: PRUDENTIAL DIVERSIFIED FUNDS DATE OF NAME CHANGE: 19980930 0001067442 S000004703 PRUDENTIAL INCOME BUILDER FUND C000012792 Class R PCLRX C000012793 Class A PCGAX C000012794 Class B PBCFX C000012795 Class C PCCFX C000012796 Class Z PDCZX 0001067442 S000004704 PRUDENTIAL DEFENSIVE EQUITY FUND C000012799 Class R SPMRX C000012800 Class A PAMGX C000012801 Class B DMGBX C000012802 Class C PIMGX C000012803 Class Z PDMZX NSAR-BT 1 pip16.fil PAGE 1 000 B000000 10/31/2014 000 C000000 0001067442 000 D000000 Y 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 Prudential Investment Portfolios 16 001 B000000 811-08915 001 C000000 8002251852 002 A000000 100 Mulberry Street 002 B000000 Newark 002 C000000 NJ 002 D010000 07102 002 D020000 4077 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 2 007 C010100 1 007 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B00AA00 0 083 A00AA00 N 083 B00AA00 0 084 A00AA00 N 084 B00AA00 0 085 A00AA00 Y 085 B00AA00 N 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 SIGNATURE PAUL LARSON TITLE SR DIRECTOR EX-99.77B ACCT LTTR 2 pip1677b1.txt Report of Independent Registered Public Accounting Firm The Board of Trustees Prudential Investment Portfolios 16: In planning and performing our audit of the financial statements of Prudential Defensive Equity Fund, a series of Prudential Investment Portfolios 16, (hereafter referred to as the "Fund"), as of and for the three-month period ended October 31, 2014, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Fund's internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Fund's internal control over financial reporting. Accordingly, we express no such opinion. Management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of the company's assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Fund's annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Fund's internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Fund's internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of October 31, 2014. This report is intended solely for the information and use of management and the Board of Trustees of the Fund and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /S/KPMG LLP New York, New York December 16, 2014 EX-99.77B ACCT LTTR 3 pip1677b2.txt Report of Independent Registered Public Accounting Firm The Board of Trustees Prudential Investment Portfolios 16: In planning and performing our audit of the financial statements of Prudential Income Builder Fund (formerly known as Target Conservative Allocation Fund), a series of Prudential Investment Portfolios 16, (hereafter referred to as the "Fund"), as of and for the three-month period ended October 31, 2014, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Fund's internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Fund's internal control over financial reporting. Accordingly, we express no such opinion. Management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of the company's assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Fund's annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Fund's internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Fund's internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of October 31, 2014. This report is intended solely for the information and use of management and the Board of Trustees of the Fund and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /S/KPMG LLP New York, New York December 16, 2014 EX-99.77C VOTES 4 pip1677c.txt Prudential Income Builder Fund Annual period ending 10/31/14 File No: 811-08915 SUB-ITEM 77-C Submission of Matters to a Vote of Security Holders Results of Proxy Voting (Unaudited) At a special meeting of shareholders held on August 14, 2014, shareholders of the Target Conservative Allocation Fund (the "Fund"), a series of the Prudential Investment Portfolios 16, voted to approve two (2) proposals. Proposal 1 To approve new subadvisory agreements between PI and each of the following affiliated subadvisers with respect to the Fund: (a) Quantitative Management Associates LLC ("QMA"); SHARES VOTED % OF VOTED % OF TOTAL FOR 3,994,107.934 75.363% 40.278% AGAINST 200,280.220 3.779% 2.020% ABSTAIN 327,341.221 6.176% 3.301% TOTAL 5,299,840.375 100.000% 53.446% (b) Jennison Associates LLC ("Jennison"); SHARES VOTED % OF VOTED % OF TOTAL FOR 4,020,305.441 75.857% 40.542% AGAINST 173,275.791 3.269% 1.747% ABSTAIN 328,148.143 6.192% 3.310% TOTAL 5,299,840.375 100.000% 53.446% (c) Prudential Fixed Income ("PFI"), a business unit of Prudential Investment Management, Inc. ("PIM"); and SHARES VOTED % OF VOTED % OF TOTAL FOR 4,008,117.096 75.627% 40.420% AGAINST 171,299.373 3.232% 1.727% ABSTAIN 342,312.906 6.459% 3.452% TOTAL 5,299,840.375 100.000% 53.446% (d) Prudential Real Estate Investors (PREI(r) or "PREI"), a business unit of PIM. SHARES VOTED % OF VOTED % OF TOTAL FOR 3,983,977.330 75.172% 40.176% AGAINST 192,043.479 3.624% 1.937% ABSTAIN 345,708.566 6.522% 3.486% TOTAL 5,299,840.375 100.000% 53.446% Proposal 2 To permit PI to enter into or make material changes to your Fund's subadvisory agreements with both unaffiliated subadvisers and subadvisers that are wholly-owned subsidiaries of the manager or a sister company of the manager ("wholly-owned subadvisers") without shareholder approval. SHARES VOTED % OF VOTED % OF TOTAL FOR 3,863,128.720 72.382% 38.685% AGAINST 349,943.191 6.603% 3.529% ABSTAIN 335,657.464 6.333% 3.385% TOTAL 5,299,840.375 100.000% 53.446% EX-99 5 pip1677q31.txt This page being FINANCIAL INFORMATION (Cont. from Screen 33) Pru Defensive Equity filed for series 1. EXPENSES (Negative answers are allowed For the period covered by this form on this screen for 72Z only) ($000's omitted) 72.Y) Expense reimbursements ----------------------------- $ 0 Z) Net investment income ------------------------------ $ 0 AA) Realized capital gains ----------------------- $ 0 BB) Realized capital losses ---------------------- $ 0 CC) 1. Net unrealized appreciation during the period --- $ 0 2. Net unrealized depreciation during the period --- $ 0 DD) 1. Total income dividends for which record date passed during the period ------------------------ $ 0 2. Dividends for a second class of open-end company shares -----------------------------------$ 0 EE) Total capital gains distributions for which record date passed during the period --------------- $ 0 73. Distributions per share for which record date passed during the period: NOTE: Show in fractions of a cent if so declared. " A) 1. Dividends from net investment income $ 0.000 " 2. Dividends for a second class of open-end company shares ------------$ 0.000 B) Distribution of capital gains ---------------$ 0.00 C) Other distributions --------------------------------- $ 0.00 SCREEN NUMBER: 34 This page being (Continued from Screen 35) filed for series 5. Condensed balance sheet data: As of the end of current reporting period (000's omitted except for per share amounts and number of accounts) 74.O) Payables for portfolio instruments purchased --------------- $ 0 P) Amounts owed to affiliated persons --------------------------$ 0 Q) Senior long-term debt ---------------------------------------$ 0 R) Other liabilities:1. Reverse repurchase agreements --------- $ 0 2. Short sales --------------------------- $ 0 3. Written options ----------------------- $ 0 4. All other liabilities ----------------- $ 0 S) Senior equity -----------------------------------------------$ 0 T) Net assets of common shareholders ---------------------------$ 0 U) 1. Number of shares outstanding -----------------------------$ 0 2. Number of shares outstanding of a second class of shares of open-end company --------------------------------------- 0 " V) 1. Net asset value per share(to nearest cent)$14.26, 14.15 " 2. Net asset value per share of a second class of open-end company shares (to nearest cent)$14.15, 14.23, 14.30 W) Mark-to-market net asset value per share for money market funds only (to 4 decimals) -----------------$ 0.0000 X) Total number of shareholder accounts ------------------------$ 0 Y) Total value of assets in segregated accounts ----------------$ 0 SCREEN NUMBER: 36 Because the electronic format for filing Form N-SAR does not provide "adequate space for responding to Items 73A 1&2 and 74V1&2 correctly, " the correct answers are as above. EX-99 6 pip1677q32.txt This page being FINANCIAL INFORMATION (Cont. from Screen 33) Pru Income Builder filed for series 1. EXPENSES (Negative answers are allowed For the period covered by this form on this screen for 72Z only) ($000's omitted) 72.Y) Expense reimbursements ----------------------------- $ 0 Z) Net investment income ------------------------------ $ 0 AA) Realized capital gains ----------------------- $ 0 BB) Realized capital losses ---------------------- $ 0 CC) 1. Net unrealized appreciation during the period --- $ 0 2. Net unrealized depreciation during the period --- $ 0 DD) 1. Total income dividends for which record date passed during the period ------------------------ $ 0 2. Dividends for a second class of open-end company shares -----------------------------------$ 0 EE) Total capital gains distributions for which record date passed during the period --------------- $ 0 73. Distributions per share for which record date passed during the period: NOTE: Show in fractions of a cent if so declared. " A) 1. Dividends from net investment income $ 0.07194, .02091 " 2. Dividends for a second class of open-end company shares ------------$ 0.02091, .04797, .09596 B) Distribution of capital gains ---------------$ 0.00 C) Other distributions --------------------------------- $ 0.00 SCREEN NUMBER: 34 This page being (Continued from Screen 35) filed for series 5. Condensed balance sheet data: As of the end of current reporting period (000's omitted except for per share amounts and number of accounts) 74.O) Payables for portfolio instruments purchased --------------- $ 0 P) Amounts owed to affiliated persons --------------------------$ 0 Q) Senior long-term debt ---------------------------------------$ 0 R) Other liabilities:1. Reverse repurchase agreements --------- $ 0 2. Short sales --------------------------- $ 0 3. Written options ----------------------- $ 0 4. All other liabilities ----------------- $ 0 S) Senior equity -----------------------------------------------$ 0 T) Net assets of common shareholders ---------------------------$ 0 U) 1. Number of shares outstanding -----------------------------$ 0 2. Number of shares outstanding of a second class of shares of open-end company --------------------------------------- 0 " V) 1. Net asset value per share(to nearest cent)$11.90, 11.74 " 2. Net asset value per share of a second class of open-end company shares (to nearest cent)$11.74, 11.89, 11.96 W) Mark-to-market net asset value per share for money market funds only (to 4 decimals) -----------------$ 0.0000 X) Total number of shareholder accounts ------------------------$ 0 Y) Total value of assets in segregated accounts ----------------$ 0 SCREEN NUMBER: 36 Because the electronic format for filing Form N-SAR does not provide "adequate space for responding to Items 73A 1&2 and 74V1&2 correctly, " the correct answers are as above.