-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: keymaster@town.hall.org Originator-Key-Asymmetric: MFkwCgYEVQgBAQICAgADSwAwSAJBALeWW4xDV4i7+b6+UyPn5RtObb1cJ7VkACDq pKb9/DClgTKIm08lCfoilvi9Wl4SODbR1+1waHhiGmeZO8OdgLUCAwEAAQ== MIC-Info: RSA-MD5,RSA, nHaqAtSQO+xYua7nlWW0Zl7rCBvQUA7polkCyEDqmPiWLfXu9wT0xyqN0QQxY+30 7IgC1LZ+NWt4zGCsyHKw9w== 0000318531-94-000004.txt : 19941129 0000318531-94-000004.hdr.sgml : 19941129 ACCESSION NUMBER: 0000318531-94-000004 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 6 CONFORMED PERIOD OF REPORT: 19940930 FILED AS OF DATE: 19941128 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: PRUDENTIAL GROWTH OPPORTUNITY FUND CENTRAL INDEX KEY: 0000318531 STANDARD INDUSTRIAL CLASSIFICATION: 0000 IRS NUMBER: 133040042 STATE OF INCORPORATION: MD FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-03084 FILM NUMBER: 94562138 BUSINESS ADDRESS: STREET 1: 199 WATER ST CITY: NEW YORK STATE: NY ZIP: 10292 BUSINESS PHONE: 2122141250 MAIL ADDRESS: STREET 2: ONE SEAPORT PLZ CITY: NEW YORK STATE: NY ZIP: 10292 FORMER COMPANY: FORMER CONFORMED NAME: PRUDENTIAL BACHE GROWTH OPPORTUNITY FUND INC DATE OF NAME CHANGE: 19920601 FORMER COMPANY: FORMER CONFORMED NAME: PRUDENTIAL BACHE NEW DECADE GROWTH FUND INC DATE OF NAME CHANGE: 19850714 FORMER COMPANY: FORMER CONFORMED NAME: CHANCELLOR NEW DECADE GROWTH FUND INC DATE OF NAME CHANGE: 19840205 NSAR-B 1 N-SAR (3.0.A) PAGE 1 000 B000000 09/30/94 000 C000000 0000318531 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 3.0.a 000 J000000 A 001 A000000 PRUDENTIAL GROWTH OPPORTUNITY FUND 001 B000000 811-3084 001 C000000 2122141250 002 A000000 199 WATER STREET 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10292 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 PRUDENTIAL MUTUAL FUND MANAGEMENT, INC. 008 B000001 A 008 C000001 801-31104 008 D010001 NEW YORK 008 D020001 NY 008 D030001 10292 008 A000002 THE PRUDENTIAL INVESTMENT CORPORATION 008 B000002 S 008 C000002 801-000000 008 D010002 NEWARK 008 D020002 NJ 008 D030002 07101 011 A000001 PRUDENTIAL SECURITIES INCORPORATED 011 B000001 8-27154 011 C010001 NEW YORK 011 C020001 NY 011 C030001 10292 011 A000005 PRUDENTIAL MUTUAL FUND DISTRIBUTORS,INC. 011 B000005 8-38739000 PAGE 2 011 C010005 NEW YORK 011 C020005 NY 011 C030005 10292 012 A000001 PRUDENTIAL MUTUAL FUND SERVICES, INC. 012 B000001 84-4110019 012 C010001 NEW BRUNSWICK 012 C020001 NJ 012 C030001 08906 013 A000001 PRICE WATERHOUSE LLP 013 B010001 NEW YORK 013 B020001 NY 013 B030001 10036 014 A000001 PRUDENTIAL SECURITIES INCORPORATED 014 B000001 8-27154 015 A000001 STATE STREET BANK AND TRUST COMPANY 015 B000001 C 015 C010001 NORTH QUINCY 015 C020001 MA 015 C030001 02171 015 E010001 X 018 000000 Y 019 A000000 Y 019 B000000 70 019 C000000 PRUDENTIAL 020 A000001 WEEDEN & CO. L.P. 020 B000001 13-3364318 020 C000001 97 020 A000002 BEAR, STEARNS & CO., INC. 020 B000002 13-3299429 020 C000002 72 020 A000003 BROWN (ALEX) & SONS, INC. 020 B000003 52-1319768 020 C000003 60 020 A000004 LEHMAN, INC. 020 B000004 13-2518466 020 C000004 56 020 A000005 CANTOR FITZGERALD & CO., INC. 020 B000005 13-3680184 020 C000005 52 020 A000006 JEFFERIES & CO. 020 B000006 95-2622900 020 C000006 45 020 A000007 DONALDSON, LUFKIN & JENRETTE SECURITIES INC. 020 B000007 13-2741729 020 C000007 44 020 A000008 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. 020 B000008 13-5674085 020 C000008 40 020 A000009 SMITH BARNEY, INC. 020 B000009 13-1912900 020 C000009 39 PAGE 3 020 A000010 SALOMON BROTHERS, INC. 020 B000010 13-3082694 020 C000010 35 021 000000 1211 022 A000001 GOLDMAN SACHS & CO. 022 B000001 13-5108880 022 C000001 1251827 022 D000001 17013 022 A000002 MORGAN (J.P.) 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COTE' TITLE TREASURER EX-99 2 GROWTH OPPORTUNITY FUND NSAR ATTACH #77C (9/94) For period ending (a) September 30, 1994 File number (c) 811-3084 SUB-ITEM 77C Submission of Matters to a Vote of Security Holders A Special Meeting of Shareholders was called for June 23, 1994, adjourned and held on July 19, 1994. At such meeting the shareholders elected the entire slate of directors, ratified the selection of independent accountants and voted on the following proposals: (a) approval or disapproval of an amendment of the Fund's Articles of Incorporation to permit a conversion feature for Class B shares. Affirmative Negative votes cast votes cast 21,895,751 601,064 (b) approval or disapproval of an an amended and restated Class A Distribution and Service Plan. Affirmative Negative votes cast votes cast Class A 6,019,543 124,816 Class B 15,414,445 700,708 (c) approval or disapproval of an amended and restated Class B Distribution and Service Plan. Affirmative Negative votes cast votes cast Class B 15,506,510 699,429 (d) approval or disapproval of the elimination of the Fund's investment restriction regarding restricted and illiquid securities. Affirmative Negative votes cast votes cast 20,605,335 1,585,508 (e) approval or disapproval of an amendment of the Fund's investment restriction limiting the Fund's ability to purchase any security if the Fund would hold more than 10% of any class of securities of an issuer. Affirmative Negative votes cast votes cast 20,869,768 1,373,439 (f) approval or disapproval of the elimination of the Fund's investment restriction limiting the Fund's ability to invest in securities of any issuer in which officers and Directors of the Fund or officers and directors of its investment adviser own more than a specified interest. Affirmative Negative votes cast votes cast 20,224,169 1,981,959 (g) approval or disapproval of an amendment of the Fund's Articles of Incorporation to change the name of the Fund to "Prudential Growth Opportunity Fund, Inc." Affirmative Negative votes cast votes cast 22,082,264 398,360 gof-shv.ex EX-99 3 GROWTH OPPORTUNITY FUND NSAR ATTACH #77I (9/94) For period ending (a) September 30, 1994 File number (c) 811-3084 SUB-ITEM 77I New Securities Effective August 1, 1994, the Fund amended its Articles of Incorporation to add a conversion feature for Class B shares and to create a third class of shares, designated Class C shares. The conversion feature added to Class B shares will result in Class B shares automatically converting to Class A shares after a specified number of years. The new Class C shares represent an interest in the same assets of the Fund as the Class A and Class B shares and are identical to the currently existing Class A and Class B shares except that they (i) are subject to a Rule 12b-1 fee of up to 1% of the average daily net assets of the Class C shares and to a contingent deferred sales charge of up to 1% for redemptions made within one year of purchase, (ii) have exclusive voting rights with respect to its Distribution and Service Plan, (iii) have a different exchange privilege, and (iv) do not have a conversion feature. EX-99 4 GROWTH OPPORTUNITY FUND NSAR ATTACH #77O (9/94) For period ending (a) September 30, 1994 File Number (c) 811-3084 SUB-ITEM 77O Transactions Effected Pursuant to Rule 10f-3 1. Name of Issuer: GFC Financial (Common Stock) 2. Date of Purchase: 5/16/94 3. Face Amount Purchased: $696,159 4. Dollar Amount of Purchase: $696,159 5. Price Per Unit: $29.13 6. Name(s) of Underwriter(s) or Dealer(s) from whom Purchased: Merrill Lynch, Pierce, Fenner & Smith Inc. 7. Other Underwriters in Syndicate: Bear, Stearns & Co. Inc. Cowen & Company CS First Boston Corporation Dain Bosworth Incorporated Dean Witter Reynolds Inc. Edward D. Jones & Co. Goldman Sachs & Co. Interstate/Johnson Lane Corporation Janney Montgomery Scott Inc. J.C. Bradford & Co. Kemper Securities Inc. Legg Mason Wood Walker Incorporated Lehman Brothers, Inc. Morgan Stanley & Co. Incorporated PaineWebber Incorporated Piper Jaffray Incorporated Prudential Securities Incorporated Raymond James & Associates, Inc. Robert W. Baird & Co. Incorporated Salomon Brothers Inc. Sanford C. Bernstein & Co., Inc. Smith Barney Shearson Inc. The Robinson-Humphrey Company, Inc. Wheat, First Securities, Inc. For period ending (a) September 30, 1994 File Number (c) 811-3084 SUB-ITEM 77O Transactions Effected Pursuant to Rule 10f-3 1. Name of Issuer: Tower Automotive, Inc. (Common Stock) 2. Date of Purchase: 8/11/94 3. Face Amount Purchased: $977,500 4. Dollar Amount of Purchase: $977,500 5. Price Per Unit: $11.50 6. Name(s) of Underwriter(s) or Dealer(s) from whom Purchased: Kidder, Peabody & Co. Incorporated 7. Other Underwriters in Syndicate: A.G. Edwards & Sons, Inc. Arnhold and S. Bleichroeder, Inc. C.L. King & Associates Cleary Gull Reiland & McDevitt Inc. Dain Bosworth Incorporated Dean Witter Reynolds Inc. Dillon, Read & Co., Inc. Donaldson, Lufkin & Jenrette Securities Corporation Fahnestock & Co., Inc. First of Michigan Corporation Furman Selz Incorporated Gabelli & Co. John G. Kinnard & Company Inc. Kemper Securities Inc. Legg Mason Wood Walker Incorporated Lehman Brothers, Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. McDonald & Company Securities, Inc. Oppenheimer & Co., Inc. PaineWebber Incorporated Piper Jaffray Incorporated Prudential Securities Incorporated Robert W. Baird & Co. Incorporated Roney & Co. Salomon Brothers Inc. Sanders Morris Mundy Inc. Scott & Stringfellow Investment Corp. Smith Barney Inc. Stifel, Nicolaus & Company Incorporated The Chicago Corporation The Ohio Company William Blair & Company For period ending (a) September 30, 1994 File Number (c) 811-3084 SUB-ITEM 77O Transactions Effected Pursuant to Rule 10f-3 1. Name of Issuer: Reliance Steel & Aluminum Co. (Common Stock) 2. Date of Purchase: 9/15/94 3. Face Amount Purchased: $530,700 4. Dollar Amount of Purchase: $530,700 5. Price Per Unit: $14.50 6. Name(s) of Underwriter(s) or Dealer(s) from whom Purchased: Donaldson Lufkin & Jenrette Securities Corporation 7. Other Underwriters in Syndicate: A.G. Edwards & Sons, Inc. Advest, Inc. Alex Brown & Sons Inc. Bear, Stearns & Co. Inc. Black & Company Inc. C.J. Lawrence / Deutsche Bank Securities Corp. C.L. King & Associates Crowell, Weedon & Co. CS First Boston Corporation Dean Witter Reynolds Inc. Dillon, Read & Co., Inc. Fahnestock & Co., Inc. First of Michigan Corporation First Southwest Co. Goldman Sachs & Co. Interstate/Johnson Lane Corporation Janney Montgomery Scott Inc. J.C. Bradford & Co. J.P. Morgan Securities, Inc. Johnston Lemon & Co. Inc. Kidder, Peabody & Co. Incorporated Ladenburg, Thalmann & Co. Inc. Laidlaw Equitites Inc. Lazard Freres & Co. Legg Mason Wood Walker Incorporated Lehman Brothers, Inc. Luther Smith & Small Inc. McDonald & Company Securities, Inc. Montgomery Securities Morgan Stanley & Co. Incorporated Oppenheimer & Co., Inc. PaineWebber Incorporated Parker/Hunter Incorporated Pennsylvania Merchant Group Ltd. Principal Financial Securities Inc. Prudential Securities Incorporated Ragen MacKenzie Incorporated Robert W. Baird & Co. Incorporated Roney & Co. Salomon Brothers Inc. Sands Brothers & Co. Ltd. Smith Barney Inc. The Chicago Corporation The Robinson-Humphrey Company, Inc. The Seidler Companies Incorporated Wedbush Morgan Securities Wertheim Schroder & Co. Incorporated Wheat, First Securities, Inc. EX-99 5 GROWTH OPPORTUNITY FUND NSAR ATTACH #77Q (9/94) Exhibit 77Q-1(a) ARTICLES OF AMENDMENT OF PRUDENTIAL-BACHE GROWTH OPPORTUNITY FUND, INC. PRUDENTIAL-BACHE GROWTH OPPORTUNITY FUND, INC., a Maryland corporation having its principal offices in Baltimore, Maryland and New York, New York (the "Corporation"), hereby certifies to the State Department of Assessments and Taxation of Maryland that: FIRST: Article I of the Corporation's Charter is hereby amended in its entirety to read as follows: The name of the corporation (hereinafter called the "Corporation") is Prudential Growth Opportunity Fund, Inc. SECOND: Article IV, Section 1 of the Corporation's Charter is hereby amended in its entirety to read as follows: ARTICLE IV Common Stock Section 1. The total number of shares of capital stock which the Corporation shall have authority to issue is 750,000,000 shares of the par value of $.01 per share and of the aggregate par value of $7,500,000 to be divided initially into three classes, consisting of 250,000,000 shares of Class A Common Stock, 250,000,000 shares of Class B Common Stock and 250,000,000 shares of Class C Common Stock. (a) Each share of Class A, Class B and Class C Common Stock of the Corporation shall represent the same interest in the Corporation and have identical voting, dividend, liquidation and other rights except that (i) Expenses related to the distribution of each class of shares shall be borne solely by such class; (ii) The bearing of such expenses solely by shares of each class shall be appropriately reflected (in the manner determined by the Board of Directors) in the net asset value, dividends, distribution and liquidation rights of the shares of such class; (iii) The Class A Common Stock shall be subject to a front-end sales load and a Rule 12b-1 distribution fee as determined by the Board of Directors from time to time; (iv) The Class B Common Stock shall be subject to a contingent deferred sales charge and a Rule 12b-1 distribution fee as determined by the Board of Directors from time to time; and (v) The Class C Common Stock shall be subject to a contingent deferred sales charge and a Rule 12b-1 distribution fee as determined by the Board of Directors from time to time. All shares of each particular class shall represent an equal proportionate interest in that class, and each share of any particular class shall be equal to each other share of that class. (b) Each share of the Class B Common Stock of the Corporation shall be converted automatically, and without any action or choice on the part of the holder thereof, into shares (including fractions thereof) of the Class A Common Stock of the Corporation (computed in the manner hereinafter described), at the applicable net asset value per share of each Class, at the time of the calculation of the net asset value of such Class B Common Stock at such times, which may vary between shares originally issued for cash and shares purchased through the automatic reinvestment of dividends and distributions with respect to Class B Common Stock (each "Conversion Date"), determined by the Board of Directors in accordance with applicable laws, rules, regulations and interpretations of the Securities and Exchange Commission and the National Association of Securities Dealers, Inc. and pursuant to such procedures as may be established from time to time by the Board of Directors and disclosed in the Corporation's then current prospectus for such Class A and Class B Common Stock. (c) The number of shares of the Class A Common Stock of the Corporation into which a share of the Class B Common Stock is converted pursuant to Paragraph (1)(b) hereof shall equal the number (including for this purpose fractions of a share) obtained by dividing the net asset value per share of the Class B Common Stock for purposes of sales and redemptions thereof at the time of the calculation of the net asset value on the Conversion Date by the net asset value per share of the Class A Common Stock for purposes of sales and redemptions thereof at the time of the calculation of the net asset value on the Conversion Date. (d) On the Conversion Date, the shares of the Class B Common Stock of the Corporation converted into shares of the Class A Common Stock will cease to accrue dividends and will no longer be outstanding and the rights of the holders thereof will cease (except the right to receive declared but unpaid dividends to the Conversion Date). (e) The Board of Directors shall have full power and authority to adopt such other terms and conditions concerning the conversion of shares of the Class B Common Stock to shares of the Class A Common Stock as they deem appropriate; provided such terms and conditions are not inconsistent with the terms contained in this Section 1 and subject to any restrictions or requirements under the Investment Company Act of 1940 and the rules, regulations and interpretations thereof promulgated or issued by the Securities and Exchange Commission or any conditions or limitations contained in an order issued by the Securities and Exchange Commission applicable to the Corporation, or any restrictions or requirements under the Internal Revenue Code of 1986, as amended, and the rules, regulations and interpretations promulgated or issued thereunder. THIRD: (a) As of immediately before the amendment the total number of shares of stock of all classes which the Corporation has authority to issue is 500,000,000 Shares, all of which are Common Stock (par value $ .01 per share). (b) As amended, the total number of shares of stock of all classes which the Corporation has authority to issue is 750,000,000 shares, all of which are Common Stock (par value $ .01 per share). (c) The aggregate par value of all shares having a par value is $5,000,000 before the amendment and $7,500,000 as amended. (d) A description, as amended, of the Class A Common Stock, Class B Common Stock and Class C Common Stock is as set forth above. FOURTH: The foregoing amendments to the Charter of the Corporation have been advised by the Board of Directors and approved by a majority of the shareholders of the Corporation. FIFTH: The foregoing amendments to the Charter of the Corporation shall become effective at 9:00 a.m. on August 1, 1994. IN WITNESS WHEREOF, PRUDENTIAL-BACHE GROWTH OPPORTUNITY FUND, INC. has caused these presents to be signed in its name and on its behalf by its President and attested by its Secretary on July 27, 1994. PRUDENTIAL-BACHE GROWTH OPPORTUNITY FUND, INC. By /s/ Lawrence C. McQuade Lawrence C. McQuade President Attest: /s/ S. Jane Rose S. Jane Rose Secretary The undersigned, President of PRUDENTIAL-BACHE GROWTH OPPORTUNITY FUND, INC., who executed on behalf of said corporation the foregoing amendments to the Charter of which this certificate is made a part, hereby acknowledges in the name and on behalf of said corporation, the foregoing amendments to the Charter to be the corporate act of said corporation and further certifies that, to the best of his knowledge, information and belief, the matters and facts set forth therein with respect to the approval thereof are true in all material respects, under the penalties of perjury. /s/ Lawrence C. McQuade Lawrence C. McQuade EX-99 6 GROWTH OPPORTUNITY FUND NSAR AUDIT OPINION (9/94) November 15, 1994 To the Board of Directors of Prudential Growth Opportunity Fund, Inc. In planning and performing our audit of the financial statements of Prudential Growth Opportunity Fund, Inc. (the "Fund") for the year ended September 30, 1994, we considered its internal control structure, including procedures for safeguarding securities, in order to determine our auditing procedures for the purposes of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, and not to provide assurance on the internal control structure. The management of the Fund is responsible for establishing and maintaining an internal control structure. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of internal control structure policies and procedures. Two of the objectives of an internal control structure are to provide management with reasonable, but not absolute, assurance that assets are appropriately safeguarded against loss from unauthorized use or disposition and that transactions are executed in accordance with management's authorization and recorded properly to permit preparation of financial statements in conformity with generally accepted accounting principles. Because of inherent limitations in any internal control structure, errors or irregularities may occur and not be detected. Also, projection of any evaluation of the structure 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 the internal control structure would not necessarily disclose all matters in the internal control structure 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 the specific internal control structure elements does not reduce to a relatively low level the risk that errors or irregularities 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 the internal control structure, including procedures for safeguarding securities, that we consider to be material weaknesses as defined above as of September 30, 1994. This report is intended solely for the information and use of management and the Securities and Exchange Commission. PRICE WATERHOUSE LLP -----END PRIVACY-ENHANCED MESSAGE-----