-----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, OE8mosQ8qF90XvGolyF879HEKmrzBuxdG4raeg2T1p6c/HBeV9VlnUmvBjCaFyjC TERYg305hZeJipcBfeGPUQ== 0000940400-99-000328.txt : 19991028 0000940400-99-000328.hdr.sgml : 19991028 ACCESSION NUMBER: 0000940400-99-000328 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 19990831 FILED AS OF DATE: 19991027 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WARBURG PINCUS LONG SHORT MARKET NEUTRAL FUND INC CENTRAL INDEX KEY: 0001067476 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: MD FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: SEC FILE NUMBER: 811-08925 FILM NUMBER: 99735093 BUSINESS ADDRESS: STREET 1: 466 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017-3147 BUSINESS PHONE: 2127166081 MAIL ADDRESS: STREET 1: 466 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017-3147 NSAR-B 1 N-SAR (6.1) PAGE 1 000 B000000 08/31/1999 000 C000000 0001067476 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 WARBURG PINCUS LONG-SHORT MARKET NEUTRAL FUND 001 B000000 811-08925 001 C000000 3027911640 002 A000000 400 BELLEVUE PKWY. 002 B000000 WILMINGTON 002 C000000 DE 002 D010000 19809 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 007 C010100 1 007 C010200 2 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A000001 CREDIT SUISSE ASSET MANAGEMENT, LLC 008 B000001 A 008 C000001 801-37170 008 D010001 NEW YORK 008 D020001 NY 008 D030001 10022 010 A000001 PFPC INC. 010 B000001 85-1196 010 C010001 WILMINGTON 010 C020001 DE 010 C030001 19809 010 A000002 COUNSELLORS SERVICE 010 B000002 801-28496 010 C010002 NEW YORK 010 C020002 NY 010 C030002 10022 012 A000001 BOSTON FINANCIAL DATA SERVICE 012 B000001 84-00896 012 C010001 QUINCY PAGE 2 012 C020001 MA 012 C030001 02171 013 A000001 PRICEWATERHOUSECOOPERS LLP 013 B010001 PHILADELPHIA 013 B020001 PA 013 B030001 19101 015 A000001 CUSTODIAL TRUST COMPANY 015 B000001 C 015 C010001 PRINCETON 015 C020001 NJ 015 C030001 08540 015 E010001 X 018 000000 Y 019 A000000 Y 019 B000000 50 019 C000000 WARBURG PI 020 A000001 D.E. SHAW 020 B000001 00-0000000 020 C000001 43 020 A000002 INVESTMENT TECHNOLOGY GROUP 020 B000002 00-0000000 020 C000002 29 020 A000003 BEAR STEARNS & CO., INC. 020 B000003 13-3299429 020 C000003 25 020 A000004 MERRILL LYNCH, FENNER & SMITH, INC. 020 B000004 13-5674085 020 C000004 3 020 A000005 PRUDENTIAL SECURITIES, INC. 020 B000005 22-3347336 020 C000005 2 020 A000006 S.G. WARBURG & CO. 020 B000006 13-3340045 020 C000006 1 020 A000007 BROWN (ALEX) AND SONS, INC. 020 B000007 52-1319768 020 C000007 1 020 C000008 0 020 C000009 0 020 C000010 0 021 000000 104 022 A000001 BEAR, STEARNS & CO. INC. 022 B000001 13-3299429 022 C000001 2520 022 D000001 2433 022 A000002 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. 022 B000002 13-5674085 022 C000002 0 022 D000002 589 022 A000003 PRUDENTIAL SECURITIES INC. 022 B000003 22-2347336 PAGE 3 022 C000003 0 022 D000003 359 022 A000004 BROWN (ALEX) & SONS INC. 022 B000004 52-1319768 022 C000004 0 022 D000004 152 022 A000005 S.G. WARBURG & CO., INC. 022 B000005 13-3340045 022 C000005 6 022 D000005 175 022 A000006 MORGAN STANLEY & CO. 022 B000006 13-2655998 022 C000006 11 022 D000006 0 022 C000007 0 022 D000007 0 022 C000008 0 022 D000008 0 022 C000009 0 022 D000009 0 022 C000010 0 022 D000010 0 023 C000000 2537 023 D000000 3708 024 000000 Y 025 A000001 BEAR STEARNS & CO. 025 B000001 13-3299429 025 C000001 D 025 D000001 267 025 A000002 MERILL LYNCH, PIERCE, FENNER & SMITH, INC. 025 B000002 13-5674085 025 C000002 E 025 D000002 30 025 D000003 0 025 D000004 0 025 D000005 0 025 D000006 0 025 D000007 0 025 D000008 0 026 A000000 N 026 B000000 Y 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 Y 028 A010000 1463 028 A020000 0 PAGE 4 028 A030000 0 028 A040000 1690 028 B010000 46943 028 B020000 0 028 B030000 0 028 B040000 26311 028 C010000 13856 028 C020000 0 028 C030000 0 028 C040000 30116 028 D010000 1863 028 D020000 0 028 D030000 0 028 D040000 7571 028 E010000 815 028 E020000 0 028 E030000 0 028 E040000 16903 028 F010000 251 028 F020000 0 028 F030000 0 028 F040000 350 028 G010000 65191 028 G020000 0 028 G030000 0 028 G040000 82941 028 H000000 0 029 000000 N 030 A000000 0 030 B000000 0.00 030 C000000 0.00 031 A000000 0 031 B000000 0 032 000000 0 033 000000 0 034 000000 N 035 000000 0 036 B000000 0 037 000000 N 038 000000 0 039 000000 N 040 000000 Y 041 000000 Y 042 A000000 0 042 B000000 0 042 C000000 0 042 D000000 100 042 E000000 0 042 F000000 0 042 G000000 0 042 H000000 0 PAGE 5 043 000000 26 044 000000 0 045 000000 Y 046 000000 N 047 000000 Y 048 000000 1.500 048 A010000 0 048 A020000 0.000 048 B010000 0 048 B020000 0.000 048 C010000 0 048 C020000 0.000 048 D010000 0 048 D020000 0.000 048 E010000 0 048 E020000 0.000 048 F010000 0 048 F020000 0.000 048 G010000 0 048 G020000 0.000 048 H010000 0 048 H020000 0.000 048 I010000 0 048 I020000 0.000 048 J010000 0 048 J020000 0.000 048 K010000 0 048 K020000 0.000 049 000000 N 050 000000 N 051 000000 N 052 000000 N 053 A000000 Y 053 B000000 Y 053 C000000 N 054 A000000 Y 054 B000000 Y 054 C000000 Y 054 D000000 N 054 E000000 N 054 F000000 N 054 G000000 Y 054 H000000 N 054 I000000 N 054 J000000 N 054 K000000 N 054 L000000 Y 054 M000000 Y 054 N000000 N 054 O000000 N 055 A000000 N PAGE 6 055 B000000 N 056 000000 N 057 000000 N 058 A000000 N 059 000000 Y 060 A000000 Y 060 B000000 Y 061 000000 2500 062 A000000 N 062 B000000 0.0 062 C000000 0.0 062 D000000 0.0 062 E000000 0.0 062 F000000 0.0 062 G000000 0.0 062 H000000 0.0 062 I000000 0.0 062 J000000 0.0 062 K000000 0.0 062 L000000 0.0 062 M000000 0.0 062 N000000 0.0 062 O000000 0.0 062 P000000 0.0 062 Q000000 0.0 062 R000000 0.0 063 A000000 0 063 B000000 0.0 066 A000000 Y 066 B000000 N 066 C000000 Y 066 D000000 N 066 E000000 N 066 F000000 N 066 G000000 N 067 000000 N 068 A000000 N 068 B000000 N 069 000000 N 070 A010000 Y 070 A020000 Y 070 B010000 Y 070 B020000 N 070 C010000 Y 070 C020000 N 070 D010000 Y 070 D020000 N 070 E010000 Y 070 E020000 N 070 F010000 Y 070 F020000 N PAGE 7 070 G010000 Y 070 G020000 N 070 H010000 Y 070 H020000 N 070 I010000 Y 070 I020000 N 070 J010000 Y 070 J020000 N 070 K010000 Y 070 K020000 N 070 L010000 Y 070 L020000 N 070 M010000 Y 070 M020000 N 070 N010000 Y 070 N020000 N 070 O010000 Y 070 O020000 N 070 P010000 Y 070 P020000 N 070 Q010000 N 070 Q020000 N 070 R010000 N 070 R020000 N 071 A000000 121663 071 B000000 120164 071 C000000 17052 071 D000000 705 072 A000000 12 072 B000000 897 072 C000000 267 072 D000000 0 072 E000000 0 072 F000000 291 072 G000000 31 072 H000000 0 072 I000000 11 072 J000000 67 072 K000000 0 072 L000000 3 072 M000000 13 072 N000000 43 072 O000000 0 072 P000000 2 072 Q000000 0 072 R000000 13 072 S000000 21 072 T000000 26 072 U000000 0 072 V000000 0 072 W000000 258 PAGE 8 072 X000000 779 072 Y000000 115 072 Z000000 500 072AA000000 9549 072BB000000 10679 072CC010000 0 072CC020000 686 072DD010000 30 072DD020000 91 072EE000000 212 073 A010000 0.0736 073 A020000 0.0718 073 B000000 0.1266 073 C000000 0.0000 074 A000000 0 074 B000000 267 074 C000000 0 074 D000000 0 074 E000000 0 074 F000000 6768 074 G000000 0 074 H000000 0 074 I000000 0 074 J000000 0 074 K000000 0 074 L000000 25 074 M000000 7887 074 N000000 14947 074 O000000 0 074 P000000 0 074 Q000000 0 074 R010000 0 074 R020000 7078 074 R030000 0 074 R040000 83 074 S000000 0 074 T000000 7786 074 U010000 415 074 U020000 133 074 V010000 14.21 074 V020000 14.19 074 W000000 0.0000 074 X000000 32 074 Y000000 0 075 A000000 0 075 B000000 19636 076 000000 0.00 077 A000000 Y 077 B000000 Y 077 C000000 Y 077 D000000 N PAGE 9 077 E000000 N 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 N 077 Q020000 N 077 Q030000 N 078 000000 N 080 A000000 GULF INSURANCE COMPANY 080 C000000 6000 081 A000000 Y 081 B000000 12 082 A000000 Y 082 B000000 25 083 A000000 N 083 B000000 0 084 A000000 N 084 B000000 0 085 A000000 Y 085 B000000 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 MARY JANE MALONEY TITLE MANAGER EX-27 2
6 0001067476 WARBURG, PINCUS LONG-SHORT MARKET NEUTRAL FUND 001 INSTITUTIONAL CLASS YEAR AUG-31-1999 AUG-31-1999 7423238 7034604 25016 7886630 0 14946250 0 0 7160669 7160669 0 9323548 415181 412744 385836 0 (1446371) 0 (477432) 7785581 267022 897074 0 (664502) 499594 (1129974) (685565) (1315945) 0 (30279) (52082) 0 40468228 (39525343) 82361 1483299 9716 (106990) 0 0 291148 2475 779112 9260030 15.27 .39 (1.25) (.07) (.13) 0 14.21 3.33

EX-27 3
6 0001067476 WARBURG, PINCUS LONG-SHORT MARKET NEUTRAL FUND 002 COMMON CLASS YEAR AUG-31-1999 AUG-31-1999 7423238 7034604 25016 7886630 0 14946250 0 0 7160669 7160669 0 9323548 132798 0 385836 0 (1446371) 0 (477432) 7785581 267022 897074 0 (664502) 499594 (1129974) (685565) (1315945) 0 (90662) (159858) 0 51387127 (49530584) 250336 1483299 9716 (106990) 0 0 291148 2475 779112 10376212 15.19 .32 (1.12) (.07) (.13) 0 14.19 3.39

EX-99 4 EXHIBIT INDEX EXHIBIT A: Attachment to item 77B: Accountants report on internal control EXHIBIT B: Attachment to item 77C: Submission of matters to a vote of Security holders. - ------------------------------------------------------------------ EXHIBIT A: REPORT OF INDEPENDENT ACCOUNTANTS To the Board of Trustees and Shareholders of Warburg, Pincus Long-Short Market Neutral Fund, Inc.: In planning and performing our audit of the financial statements and financial highlights of Warburg, Pincus Long-Short Market Neutral Fund, Inc. (the "Fund") for the year ended August 31, 1999, 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 financial highlights and to comply with the requirements of Form N-SAR, not to provide assurance on internal control. The management of the Fund is responsible for establishing and maintaining internal control. In fulfilling this responsibility, estimates and judgements 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 and financial highlights for external purposes that are fairly presented in conformity with generally accepted accounting principles. Those controls include the safeguarding of assets against unauthorized acquisition, use or disposition. Because of inherent limitations in internal controls, errors 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 errors or fraud in amounts that would be material in relation to the financial statements and financial highlights 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 over safeguarding securities, that we consider to be material weaknesses as defined above as of August 31, 1999. This report is intended solely for the information and use of management, the Board of Directors of the Fund, and the Securities and Exchange Commission. PricewaterhouseCoopers LLP October 7, 1999 EXHIBIT B: Warburg, Pincus Long-Short Market Neutral Fund, Inc. Registration No. 333-60687 Sub-Item 77C: Submission of matter to a vote of security holders (a) A special meeting was held on May 21, 1999. (b) At the special meeting held on May 21, 1999, the following persons were elected as directors of the Fund, constituting the entire Board of Directors: Richard H. Francis, Jack W. Fritz, Jeffrey E. Garten, James S. Pasman, Jr., William W. Priest, Steven N. Rappaport, Arnold M. Reichman and Alexander B. Trowbridge. (c) The aforementioned directors were elected at the special meeting held on May 21, 1999 by the following shareholder votes: For Withheld R.H. Francis 1,006,652.5040 0.0000 J.W. Fritz 1,006,652.5040 0.0000 J.E. Garten 1,006,652.5040 0.0000 J.S. Pasman 1,006,652.5040 0.0000 W.W. Priest 1,006,652.5040 0.0000 S.N. Rappaport 1,006,652.5040 0.0000 A.M. Reichman 1,006,652.5040 0.0000 A.B. Trowbridge 1,006,652.5040 0.0000 (d) Not applicable ~~-----END PRIVACY-ENHANCED MESSAGE-----~~