-----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, QReRPdgjpNleysSmVD1kdwgNGRoFjkZG1FYoMGJZQGrvdfLGjW8zZT4NHsNjhyYl EnN9r3QRFARmN1wU2BIoWw== /in/edgar/work/0000355348-00-000358/0000355348-00-000358.txt : 20001130 0000355348-00-000358.hdr.sgml : 20001130 ACCESSION NUMBER: 0000355348-00-000358 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 9 CONFORMED PERIOD OF REPORT: 20000930 FILED AS OF DATE: 20001129 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PRUDENTIAL SMALL CO FUND INC 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: SEC FILE NUMBER: 811-03084 FILM NUMBER: 780226 BUSINESS ADDRESS: STREET 1: 100 MULBERRY ST CITY: NEWARK STATE: NJ ZIP: 07102 BUSINESS PHONE: 2122141250 MAIL ADDRESS: STREET 1: ONE SEAPORT PLZ STREET 2: ONE SEAPORT PLZ CITY: NEW YORK STATE: NY ZIP: 10292 FORMER COMPANY: FORMER CONFORMED NAME: PRUDENTIAL SMALL CO VALUE FUND INC DATE OF NAME CHANGE: 19971202 FORMER COMPANY: FORMER CONFORMED NAME: PRUDENTIAL SMALL COMPANIES FUND INC DATE OF NAME CHANGE: 19961216 FORMER COMPANY: FORMER CONFORMED NAME: PRUDENTIAL GROWTH OPPORTUNITY FUND INC DATE OF NAME CHANGE: 19950523 NSAR-B 1 0001.txt N-SAR (6.1) PAGE 1 000 B000000 09/30/2000 000 C000000 000318531 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 PRUDENTIAL SMALL COMPANY FUND, INC. 001 B000000 811-5354 001 C000000 9733677525 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 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 INVESTMENTS FUND MANAGEMENT LLC 008 B000001 A 008 C000001 801-31104 008 D010001 NEWARK 008 D020001 NJ 008 D030001 07102 008 A000002 JENNISON ASSOCIATES LLC 008 B000002 S 008 C000002 801-07343 008 D010002 NEW YORK 008 D020002 NY 008 D030002 00000 008 A000003 THE PRUDENTIAL INVESTMENT CORPORATION 008 B000003 S 008 C000003 801-228080 008 D010003 NEWARK 008 D020003 NJ 008 D030003 07102 PAGE 2 010 A000001 PRUDENTIAL INVESTMENTS FUND MANAGEMENT LLC 010 B000001 811-31104 010 C010001 NEWARK 010 C020001 NJ 010 C030001 07102 011 A000001 PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC 011 B000001 8-27154 011 C010001 NEW YORK 011 C020001 NY 011 C030001 10292 012 A000001 PRUDENTIAL MUTUAL FUND SERVICES LLC 012 B000001 84-4110019 012 C010001 NEW BRUNSWICK 012 C020001 NJ 012 C030001 08906 013 A000001 PRICEWATERHOUSECOOPERS LLP 013 B010001 NEW YORK 013 B020001 NY 013 B030001 10036 014 A000001 PRUDENTIAL SECURITIES INCORPORATED 014 B000001 8-27154 014 A000002 PRUCO SECURITIES CORP. 014 B000002 8-16402 014 A000003 PRUDENTIAL INVESTMENT MANAGEMENT SVCS LLC 014 B000003 8-36540 015 A000001 STATE STREET BANK AND TRUST CO. 015 B000001 C 015 C010001 NORTH QUINCY 015 C020001 MA 015 C030001 02171 015 E010001 X 015 A000002 CITIBANK, N.A. 015 B000002 S 015 C010002 BUENOS AIRES 015 D010002 ARGENTINA 015 E040002 X 015 A000003 WESTPAC BANKING CORP. 015 B000003 S 015 C010003 SYDNEY 015 D010003 AUSTRALIA 015 E040003 X 015 A000004 ERSTE BANK DER OESTERREICHISCHEN SPARKASSENAG 015 B000004 S 015 C010004 VIENNA 015 D010004 AUSTRIA 015 E040004 X 015 A000005 FORTIS BANK NV-SA 015 B000005 S 015 C010005 BRUSSELS 015 D010005 BELGIUM 015 E040005 X PAGE 3 015 A000006 CITIBANK, N.A. 015 B000006 S 015 C010006 SAO PAULO 015 D010006 BRAZIL 015 E040006 X 015 A000007 STATE STREET TRUST COMPANY, CANADA 015 B000007 S 015 C010007 TORONTO 015 D010007 CANADA 015 E040007 X 015 A000008 CITIBANK, N.A. 015 B000008 S 015 C010008 SANTIAGO 015 D010008 CHILE 015 E040008 X 015 A000009 CESKOSLOVENSKA OBCHODNI BANKA A.S. 015 B000009 S 015 C010009 PRAGUE 015 D010009 CZECH REPUBLIC 015 E040009 X 015 A000010 DEN DANSKE BANK 015 B000010 S 015 C010010 COPENHAGEN 015 D010010 DENMARK 015 E040010 X 015 A000011 MERITA BANK PLC 015 B000011 S 015 C010011 HELSINKI 015 D010011 FINLAND 015 E040011 X 015 A000012 BNP PARIBAS,SA 015 B000012 S 015 C010012 PARIS 015 D010012 FRANCE 015 E040012 X 015 A000013 DRESDNER BANK AG 015 B000013 S 015 C010013 FRANKFURT 015 D010013 GERMANY 015 E040013 X 015 A000014 STANDARD CHARTERED BANK 015 B000014 S 015 C010014 HONG KONG 015 D010014 HONG KONG 015 E040014 X 015 A000015 CITIBANK RT. 015 B000015 S 015 C010015 BUDAPEST 015 D010015 HUNGARY 015 E040015 X 015 A000016 STANDARD CHARTERED BANK PAGE 4 015 B000016 S 015 C010016 JAKARTA 015 D010016 INDONESIA 015 E040016 X 015 A000017 BANK OF IRELAND 015 B000017 S 015 C010017 DUBLIN 015 D010017 IRELAND 015 E040017 X 015 A000018 BNP PARIBAS, ITALIAN BRANCH 015 B000018 S 015 C010018 MILAN 015 D010018 ITALY 015 E040018 X 015 A000019 THE HONG KONG AND SHANGHAI BANKING CORP. LTD 015 B000019 S 015 C010019 SEOUL 015 D010019 KOREA 015 E040019 X 015 A000021 STANDARD CHARTERED BANK 015 B000021 S 015 C010021 KUALA LUMPUR 015 D010021 MALAYSIA 015 E040021 X 015 A000022 CITIBANK MEXICO, S.A. 015 B000022 S 015 C010022 MEXICO CITY 015 D010022 MEXICO 015 E040022 X 015 A000023 FORTIS BANK (NEDERLAND), N.V. 015 B000023 S 015 C010023 AMSTERDAM 015 D010023 NETHERLANDS 015 E040023 X 015 A000024 ANZ BANKING GROUP (NEW ZEALAND) LIMITED 015 B000024 S 015 C010024 WELLINGTON 015 D010024 NEW ZEALAND 015 E040024 X 015 A000025 CHRISTIANIA BANK OG KREDITKASSE 015 B000025 S 015 C010025 OSLO 015 D010025 NORWAY 015 E040025 X 015 A000026 STANDARD CHARTERED BANK 015 B000026 S 015 C010026 MANILA 015 D010026 PHILIPPINES 015 E040026 X 015 A000027 CITIBANK (POLAND), S.A. 015 B000027 S PAGE 5 015 C010027 WARSAW 015 D010027 POLAND 015 E040027 X 015 A000028 BANCO COMERICAL PORTUGUES 015 B000028 S 015 C010028 LISBON 015 D010028 PORTUGAL 015 E040028 X 015 A000029 THE DEVELOPMENT BANK OF SINGAPORE LTD. 015 B000029 S 015 C010029 SINGAPORE 015 D010029 SINGAPORE 015 E040029 X 015 A000030 BANCO SANTANDER, CENTRAL HISPANO S.A. 015 B000030 S 015 C010030 MADRID 015 D010030 SPAIN 015 E040030 X 015 A000031 SKANDINAVISKA ENSKILDA BANKEN 015 B000031 S 015 C010031 STOCKHOLM 015 D010031 SWEDEN 015 E040031 X 015 A000032 UBS AG 015 B000032 S 015 C010032 ZURICH 015 D010032 SWITZERLAND 015 E040032 X 015 A000033 STANDARD CHARTERED BANK 015 B000033 S 015 C010033 BANGKOK 015 D010033 THAILAND 015 E040033 X 015 A000034 CITIBANK, N.A. 015 B000034 S 015 C010034 ISTANBUL 015 D010034 TURKEY 015 E040034 X 015 A000037 CITITRUST COLUMBIA S.A. SOCIEDAD FIDUCIARIA 015 B000037 S 015 C010037 BOGATA 015 D010037 COLUMBIA 015 E040037 X 015 A000038 NATIONAL BANK OF GREECE S.A. 015 B000038 S 015 C010038 ATHENS 015 D010038 GREECE 015 E040038 X 015 A000039 BANK HAPOALIM B.M. 015 B000039 S 015 C010039 TEL AVIV PAGE 6 015 D010039 ISRAEL 015 E040039 X 015 A000040 DEUTSCHE BANK AG 015 B000040 S 015 C010040 KARACHI 015 D010040 PAKISTAN 015 E040040 X 015 A000041 CITIBANK, N.A. 015 B000041 S 015 C010041 LIMA 015 D010041 PERU 015 E040041 X 015 A000043 STANDARD BANK OF SOUTH AFRICA LTD. 015 B000043 S 015 C010043 JOHANNESBURG 015 D010043 SOUTH AFRICA 015 E040043 X 015 A000044 CENTRAL TRUST OF CHINA 015 B000044 S 015 C010044 TAIPEI 015 D010044 TAIWAN 015 E040044 X 015 A000045 CITIBANK, N.A. 015 B000045 S 015 C010045 MONTEVIDEO 015 D010045 URUGUAY 015 E040045 X 015 A000046 CITIBANK, N.A. 015 B000046 S 015 C010046 CARACAS 015 D010046 VENEZUELA 015 E040046 X 015 A000047 THE FUJI BANK, LIMITED 015 B000047 S 015 C010047 TOKYO 015 D010047 JAPAN 015 E040047 X 015 A000048 DEUTSCHE BANK AG 015 B000048 S 015 C010048 MUMBAI 015 D010048 INDIA 015 E040048 X 015 A000049 THE SUMITOMO BANK, LIMITED 015 B000049 S 015 C010049 TOKYO 015 D010049 JAPAN 015 E040049 X 015 A000050 THE EUROCLEAR SYSTEM 015 B000050 S 015 C010050 N/A 015 D010050 TRANSNATIONAL PAGE 7 015 E040050 X 015 A000051 STANDARD CHARTERED BANK 015 B000051 S 015 C010051 DHAKA 015 D010051 BANGLADESH 015 E040051 X 015 A000052 THE CYPRUS POPULAR BANK LTD 015 B000052 S 015 C010052 NICOSIA 015 D010052 CYPRUS 015 E040052 X 015 A000053 CITIBANK, N.A. 015 B000053 S 015 C010053 QUITO 015 D010053 ECUADOR 015 E040053 X 015 A000054 EGYPTIAN BRITISH BANK, SAE 015 B000054 S 015 C010054 CAIRO 015 D010054 EGYPT 015 E040054 X 015 A000055 BARCLAYS BANK OF GHANA LIMITED 015 B000055 S 015 C010055 ACCRA 015 D010055 GHANA 015 E040055 X 015 A000056 THE HONGKONG & SHANGHAI BANKING CORP. LTD. 015 B000056 S 015 C010056 MUMBAI 015 D010056 INDIA 015 E040056 X 015 A000057 SOCIETE GENERALE DE BANQUES 015 B000057 S 015 C010057 ABIDJAN 015 D010057 IVORY COAST 015 E040057 X 015 A000059 HSBC BANK MIDDLE EAST 015 B000059 S 015 C010059 AMMAN 015 D010059 JORDAN 015 E040059 X 015 A000060 BARCLAYS BANK OF KENYA LIMITED 015 B000060 S 015 C010060 NAIROBI 015 D010060 KENYA 015 E040060 X 015 A000062 HSBC BANK MIDDLE EAST 015 B000062 S 015 C010062 BEIRUT 015 D010062 LEBANON 015 E040062 X PAGE 8 015 A000063 BANQUE COMMERCIALE DU MAROC 015 B000063 S 015 C010063 CASABLANCA 015 D010063 MOROCCO 015 E040063 X 015 A000064 CREDIT SUISSE FIRST BOSTON AO, MOSCOW 015 B000064 S 015 C010064 MOSCOW 015 D010064 RUSSIA 015 E040064 X 015 A000065 CESKOSLOVENSKA OBCHODNA BANKA A.S. 015 B000065 S 015 C010065 BRATISLAVA 015 D010065 SLOVAK REPUBLIC 015 E040065 X 015 A000066 THE HONGKONG & SHANGHAI BANKING CORP. LTD. 015 B000066 S 015 C010066 COLOMBO 015 D010066 SRI LANKA 015 E040066 X 015 B000067 S 018 000000 Y 019 A000000 Y 019 B000000 124 019 C000000 PRUDENTIAL 020 A000001 WEEDEN & CO. L.P. 020 B000001 13-3364318 020 C000001 260 020 A000002 CREDIT SUISSE FIRST BOSTON CORP. 020 B000002 13-5659485 020 C000002 191 020 A000003 BEAR, STEARNS & CO. INC. 020 B000003 13-3299429 020 C000003 174 020 A000004 DONALDSON,LUFKIN & JENRETTE SECURITIES CORP. 020 B000004 13-2741729 020 C000004 150 020 A000005 LEHMAN BROTHERS INC. 020 B000005 13-2518466 020 C000005 129 020 A000006 BRIDGE TRADING COMPANY 020 B000006 43-1450530 020 C000006 120 020 A000007 JEFFERIES & COMPANY, INC. 020 B000007 95-2622900 020 C000007 93 020 A000008 SALOMON SMITH BARNEY INC. 020 B000008 11-2418191 020 C000008 85 020 A000009 B-TRADE SERVICES LLC 020 C000009 85 PAGE 9 020 A000010 GOLDMAN, SACHS & CO. 020 B000010 13-5108880 020 C000010 75 021 000000 2683 022 A000001 BEAR, STEARNS & CO. INC. 022 B000001 13-3299429 022 C000001 2182269 022 D000001 11459 022 A000002 SALOMON SMITH BARNEY INC. 022 B000002 13-3082694 022 C000002 1614413 022 D000002 3530 022 A000003 USB WARBURG 022 B000003 13-3340045 022 C000003 1559387 022 D000003 454 022 A000004 CREDIT SUISSE FIRST BOSTON CORP. 022 B000004 13-5659485 022 C000004 1476123 022 D000004 14538 022 A000005 ABN AMRO INCORPORATED 022 B000005 13-3227985 022 C000005 1066719 022 D000005 0 022 A000006 LEHMAN BROTHERS INC. 022 B000006 13-2518466 022 C000006 581149 022 D000006 4721 022 A000007 MORGAN (J.P.) SECURITIES, INC. 022 B000007 13-3224016 022 C000007 440609 022 D000007 6965 022 A000008 DEUTSCHE BANC ALEX.BROWN 022 B000008 13-2730828 022 C000008 359463 022 D000008 1843 022 A000009 GOLDMAN, SACHS & CO. 022 B000009 13-5108880 022 C000009 342424 022 D000009 3981 022 A000010 GREENWICH CAPITAL MARKETS, INC. 022 C000010 253904 022 D000010 0 023 C000000 10620661 023 D000000 186436 024 000000 Y 025 A000001 BEAR, STEARNS & CO. INC. 025 B000001 13-3299949 025 C000001 D 025 D000001 5141 025 A000002 CREDIT SUISSE FIRST BOSTON CORP. PAGE 10 025 B000002 13-5659485 025 C000002 D 025 D000002 3428 025 A000003 SALOMON SMITH BARNEY, INC. 025 B000003 13-3082694 025 C000003 D 025 D000003 1679 025 A000004 DELETE 025 D000004 0 025 A000005 DELETE 025 D000005 0 025 D000006 0 025 D000007 0 025 D000008 0 026 A000000 N 026 B000000 N 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 31862 028 A020000 0 028 A030000 0 028 A040000 49088 028 B010000 39277 028 B020000 0 028 B030000 0 028 B040000 43698 028 C010000 38116 028 C020000 0 028 C030000 0 028 C040000 49551 028 D010000 31123 028 D020000 0 028 D030000 0 028 D040000 35025 028 E010000 44667 028 E020000 0 028 E030000 0 028 E040000 46404 028 F010000 31069 028 F020000 0 028 F030000 0 028 F040000 46919 028 G010000 216114 028 G020000 0 028 G030000 0 PAGE 11 028 G040000 270685 028 H000000 157529 029 000000 Y 030 A000000 110 030 B000000 5.00 030 C000000 0.00 031 A000000 24 031 B000000 0 032 000000 0 033 000000 86 034 000000 Y 035 000000 939 036 A000000 N 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 0 043 000000 3414 044 000000 0 045 000000 Y 046 000000 N 047 000000 Y 048 000000 0.700 048 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 PAGE 12 048 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 N 054 A000000 Y 054 B000000 Y 054 C000000 N 054 D000000 N 054 E000000 N 054 F000000 N 054 G000000 N 054 H000000 Y 054 I000000 N 054 J000000 Y 054 K000000 N 054 L000000 N 054 M000000 N 054 N000000 N 054 O000000 N 055 A000000 N 055 B000000 N 056 000000 N 057 000000 N 058 A000000 N 059 000000 Y 060 A000000 Y 060 B000000 Y 061 000000 1000 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 PAGE 13 063 A000000 0 063 B000000 0.0 066 A000000 Y 066 C000000 Y 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 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 Y 070 Q020000 N 070 R010000 Y 070 R020000 N 071 A000000 570923 071 B000000 781404 071 C000000 620537 071 D000000 92 072 A000000 12 072 B000000 2614 072 C000000 6655 PAGE 14 072 D000000 0 072 E000000 0 072 F000000 4575 072 G000000 0 072 H000000 0 072 I000000 2145 072 J000000 130 072 K000000 0 072 L000000 275 072 M000000 20 072 N000000 85 072 O000000 0 072 P000000 0 072 Q000000 0 072 R000000 25 072 S000000 47 072 T000000 3414 072 U000000 0 072 V000000 0 072 W000000 19 072 X000000 10735 072 Y000000 0 072 Z000000 -1466 072AA000000 0 072BB000000 0 072CC010000 40909 072CC020000 0 072DD010000 0 072DD020000 0 072EE000000 0 073 A010000 0.0000 073 A020000 0.0000 073 B000000 0.0000 073 C000000 0.0000 074 A000000 0 074 B000000 19916 074 C000000 0 074 D000000 0 074 E000000 0 074 F000000 600194 074 G000000 0 074 H000000 0 074 I000000 0 074 J000000 17144 074 K000000 0 074 L000000 1234 074 M000000 13 074 N000000 638501 074 O000000 14671 074 P000000 619 074 Q000000 0 PAGE 15 074 R010000 0 074 R020000 0 074 R030000 0 074 R040000 7300 074 S000000 0 074 T000000 615911 074 U010000 15355 074 U020000 28746 074 V010000 0.00 074 V020000 0.00 074 W000000 0.0000 074 X000000 95564 074 Y000000 0 075 A000000 0 075 B000000 693524 076 000000 0.00 077 A000000 Y 077 B000000 Y 077 C000000 N 077 D000000 Y 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 Y 077 P000000 N 077 Q010000 Y 077 Q020000 N 077 Q030000 N 078 000000 N 080 A000000 ICI MUTUAL INSURANCE COMPANY 080 C000000 70000 081 A000000 Y 081 B000000 124 082 A000000 N 082 B000000 0 083 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 PAGE 16 086 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 GRACE TORRES TITLE TREASURER EX-99 2 0002.txt AUDITOR'S LETTER To the Shareholders and Board of Directors of Prudential Small Company Fund, Inc. (2) Report of Independent Accountants To the Shareholders and Board of Directors of Prudential Small Company Fund, Inc. In planning and performing our audit of the financial statements of Prudential Small Company Fund, Inc. (the "Fund") for the year ended September 30, 2000, 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 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 judgments 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 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 control, 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 controls may become inadequate because of changes in conditions or that the effectiveness of their 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 error or fraud 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 internal control and its operation, including controls for safeguarding securities, that we consider to be material weaknesses as defined above as of September 30, 2000. This report is intended solely for the information and use of the Board of Directors, management and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. PricewaterhouseCoopers LLP November 22, 2000 EX-27 3 0003.txt FINANCIAL DATA SCHEDULE CLASS A WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 0000318531 PRUDENTIAL SMALL COMPANIES FUND, INC. 002 SMALL COMPANIES FUND (CLASS B) YEAR SEP-30-2000 SEP-30-2000 579,201,118 620,110,272 18,378,561 12,759 0 0 14,671,474 0 7,919,428 0 0 615,506,591 44,100,035 48,435,365 0 0 (40,505,055) 0 40,909,154 (92,535,400) 6,654,757 2,614,035 0 10,735,202 (1,466,410) (30,404,991) 114,018,267 82,146,866 0 0 0 0 465,954,260 (717,545,426) 0 (169,444,300) (539,335) (69,484,960) 0 0 4,574,665 0 10,735,202 250,061,000 11.28 (0.08) 1.77 0.00 0.00 0.00 12.97 2.12 [AVG-DEBT-OUTSTANDING] 0 [AVG-DEBT-PER-SHARE] 0.00
EX-27 4 0004.txt FINANCIAL DATA SCHEDULE CLASS B WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 0000318531 PRUDENTIAL SMALL COMPANIES FUND, INC. 001 SMALL COMPANIES FUND (CLASS A) YEAR SEP-30-2000 SEP-30-2000 579,201,118 620,110,272 18,378,561 12,759 0 0 14,671,474 0 7,919,428 0 0 615,506,591 44,100,035 48,435,365 0 0 (40,505,055) 0 40,909,154 (92,535,400) 6,654,757 2,614,035 0 10,735,202 (1,466,410) (30,404,991) 114,018,267 82,146,866 0 0 0 0 465,954,260 (717,545,426) 0 (169,444,300) (539,335) (69,484,960) 0 0 4,574,665 0 10,735,202 284,681,000 12.54 0.01 1.97 0.00 0.00 0.00 14.52 1.37 [AVG-DEBT-OUTSTANDING] 0 [AVG-DEBT-PER-SHARE] 0.00
EX-27 5 0005.txt FINANCIAL DATA SCHEDULE CLASS C WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 0000318531 PRUDENTIAL SMALL COMPANIES FUND, INC. 003 SMALL COMPANIES FUND (CLASS C) YEAR SEP-30-2000 SEP-30-2000 579,201,118 620,110,272 18,378,561 12,759 0 0 14,671,474 0 7,919,428 0 0 615,506,591 44,100,035 48,435,365 0 0 (40,505,055) 0 40,909,154 (92,535,400) 6,654,757 2,614,035 0 10,735,202 (1,466,410) (30,404,991) 114,018,267 82,146,866 0 0 0 0 465,954,260 (717,545,426) 0 (169,444,300) (539,335) (69,484,960) 0 0 4,574,665 0 10,735,202 20,159,000 11.28 (0.08) 1.77 0.00 0.00 0.00 12.97 2.12 [AVG-DEBT-OUTSTANDING] 0 [AVG-DEBT-PER-SHARE] 0.00
EX-27 6 0006.txt FINANCIAL DATA SCHEDULE CLASS Z WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 0000318531 PRUDENTIAL SMALL COMPANIES FUND, INC. 004 SMALL COMPANIES FUND (CLASS Z) YEAR SEP-30-2000 SEP-30-2000 579,201,118 620,110,272 18,378,561 12,759 0 0 14,671,474 0 7,919,428 0 0 615,506,591 44,100,035 48,435,365 0 0 (40,505,055) 0 40,909,154 (92,535,400) 6,654,757 2,614,035 0 10,735,202 (1,466,410) (30,404,991) 114,018,267 82,146,866 0 0 0 0 465,954,260 (717,545,426) 0 (169,444,300) (539,335) (69,484,960) 0 0 4,574,665 0 10,735,202 98,623,000 12.70 0.04 2.00 0.00 0.00 0.00 14.74 1.12 [AVG-DEBT-OUTSTANDING] 0 [AVG-DEBT-PER-SHARE] 0.00
EX-99 7 0007.txt EXHIBIT 77D-1 For the fiscal year ended 9/30/00. File number 811-3084 Prudential Small Company Fund, Inc. SUB-ITEM 77D Policies With Respect to Security Investment Supplement Dated May, 2000 Prospectus Dated November 29, 1999 The name of the Fund is changing from Prudential Small Company Value Fund, Inc. to "Prudential Small Company Fund, Inc." effective May 30, 2000. The following supplements the information contained in the Prospectus on page 1 under "Risk/Return Summary - Investment Objective and Principal Strategies" and on page 7 under "How the Fund Invests - Investment Objective and Policies": We invest in a combination of growth and value stocks. The portfolio manager chooses a blend of both value and growth stocks with a primary focus on finding stocks with above average growth prospects which can be purchased at below average earnings multiples or discounts to their intrinsic value. This approach is often referred to as GARP, or "growth at a reasonable price". We currently consider small companies to be those with a market capitalization less than the largest market capitalization found in the Standard & Poor's 600 SmallCap Index. The portfolio is well-diversified and typically includes stocks representing all of the sectors in the Index. T: \george\N-SAR\SCF\11-00\77D EX-99 8 0008.txt EXHIBIT 77D-2 5 For the fiscal year ended September 30, 2000. File number: 811-03084 Prudential Small Company Fund, Inc. SUB-ITEM 77D Policies With Respect to Security Investment Prudential Mutual Funds Supplement dated August 30, 2000 The following information supplements the Prospectus of each of the Funds listed below. ANNUAL OR SPECIAL MEETING OF SHAREHOLDERS (All Funds except Prudential Balanced Fund, Prudential Global Genesis Fund, Inc. and Prudential International Bond Fund, Inc.) On August 22, 2000, subject to shareholder approval, the Board of Directors/Trustees approved the proposals summarized below. The proposals will be submitted for approval by shareholders of the Funds at an Annual or Special Meeting of Shareholders scheduled to be held on December 14, 2000. Election of Directors/Trustees All Funds, except Prudential Diversified Funds, Prudential Europe Growth Fund, Inc., Prudential Natural Resources Fund, Inc., Prudential Pacific Growth Fund, Inc. and Prudential World Fund, Inc. The Board of Directors/Trustees approved a proposal to elect Saul F. Fenster, Delayne Dedrick Gold, Robert F. Gunia, Douglas H. McCorkindale, W. Scott McDonald, Thomas T. Mooney, Stephen P. Munn, David R. Odenath, Jr., Richard A. Redeker, Robin B. Smith, John R. Strangfeld, Louis A. Weil, III and Clay T. Whitehead as Directors/Trustees of each of the Funds. Prudential Europe Growth Fund, Inc., Prudential Natural Resources Fund, Inc., Prudential Pacific Growth Fund, Inc. and Prudential World Fund, Inc. The Board of Directors approved a proposal to elect Delayne Dedrick Gold, Robert F. Gunia, Robert E. LaBlanc, David R. Odenath, Jr., Robin B. Smith, Stephen Stoneburn, John R. Strangfeld, Nancy H. Teeters and Clay T. Whitehead as Directors of each of the Funds. How the Fund is Managed - Manager All Funds. The Board of Directors/Trustees approved a proposal under which the Board may authorize Prudential Investments Fund Management LLC (PIFM or the Manager), subject to certain conditions, to enter into or amend subadvisory agreements without obtaining further shareholder approval. One of the conditions is that shareholders must first approve the grant of this ongoing authority to the Board of Directors/Trustees. The implementation of this proposal also is conditioned upon the receipt of exemptive relief from the Securities and Exchange Commission. Subject to the satisfaction of these two conditions, which cannot be assured, the Manager would be permitted, with Board approval, to employ new subadvisers for a Fund (including subadvisers affiliated with PIFM), change the terms of a Fund's subadvisory agreements or enter into new subadvisory agreements with existing subadvisers. Shareholders of a Fund would continue to have the right to terminate a subadvisory agreement for a Fund at any time by a vote of the majority of the outstanding voting securities of the Fund. Shareholders would be notified of any subadviser changes or other material amendments to subadvisory agreements that occur under these arrangements. The Board of Directors/Trustees also approved a new investment advisory contract with PIFM. If shareholders approves this new contract, PIFM would be permitted to allocate and reallocate a Fund's assets among the Fund's subadvisers, including The Prudential Investment Corporation (PIC), Jennison Associates LLC (Jennison) and unaffiliated subadvisers, without obtaining further shareholder approval. How the Fund is Managed - Investment Adviser(s) All Funds except Prudential Real Estate Securities Fund. The Board of Directors/Trustees approved an interim subadvisory agreement with Jennison, a direct, wholly-owned subsidiary of PIC, to manage up to 100% of the total assets of each Fund as designated by the Manager. Jennison has served as an investment adviser to investment companies since 1990. Its address is 466 Lexington Avenue, New York, NY 10017. As of June 30, 2000, Jennison managed approximately $63.5 billion in assets. PIFM, the Fund's Manager, has responsibility for all investment advisory services, supervises Jennison and pays Jennison for its services. The Board of Directors/Trustees also approved a new subadvisory agreement with Jennison to manage up to 100% of the total assets of each Fund as designated by the Manager and subject to Board approval. This agreement would take effect only after shareholder approval. Borrowing All Funds. If approved by shareholders, each applicable Fund's investment restriction regarding borrowing would be modified to allow borrowing of up to 33-1/3% of a Fund's total assets and to delete the requirement that such borrowing can be made only from banks. Investment in Securities of Other Investment Companies All Funds. If approved by shareholders, each applicable Fund's investment restriction regarding the purchase of shares of investment companies would be modified to permit each Fund to invest in the shares of other registered investment companies as permitted under applicable law or by an order of the Commission. To the extent that a Fund does invest in securities of other investment companies, shareholders may be subject to duplicate management and advisory fees. Securities Lending All Funds. If approved by shareholders, each applicable Fund's investment restriction regarding securities lending would be modified to permit each Fund to make loans of portfolio securities in amounts up to 33-1/3% of the Fund's total assets and as permitted by an order of the Commission. How the Fund is Managed - Portfolio Manager(s) Prudential Equity Fund, Inc. Jeffrey P. Siegel, Bradley L. Goldberg, CFA, and David A. Kiefer, CFA, are the portfolio managers of the Fund effective August 24, 2000. Mr. Siegel is an Executive Vice President of Jennison since June 1999. Previously he was at TIAA-CREF from 1988-1999, where he held positions as a portfolio manager and analyst. Prior to joining TIAA-CREF, Mr. Siegel was an analyst for Equitable Capital Management and held positions at Chase Manhattan Bank and First Fidelity Bank. Mr. Siegel earned a B.A. from Rutgers University. Mr. Goldberg, an Executive Vice President of Jennison, joined Jennison in 1974 where he also serves as Chairman of the Asset Allocation Committee. Prior to joining Jennison, he served as Vice President and Group Head in the Investment Research Division of Bankers Trust Company. He earned a B.S. from the University of Illinois and an M.B.A. from New York University. Mr. Goldberg holds a Chartered Financial Analyst (C.F.A.) designation. Mr. Kiefer is a Senior Vice President of Jennison since August 2000. Previously, he was a Managing Director of PIC and has been with Prudential since 1986. Mr. Kiefer earned a B.S. from Princeton University and an M.B.A. from Harvard Business School. He holds a Chartered Financial Analyst (C.F.A.) designation. Prudential 20/20 Focus Fund Bradley L. Goldberg, CFA is the portfolio manager of the value sleeve of the Fund effective September 2000. Mr. Goldberg's professional background is discussed above. Prudential Equity Income Fund Thomas Kolefas, CFA and Bradley L. Goldberg, CFA, are the portfolio managers of the Fund. Mr. Kolefas has managed the Fund since May 2000. Mr. Kolefas is a Senior Vice President of Jennison since September 2000. Previously, he was a Managing Director and Senior Portfolio Manager of PIC. He joined Prudential in May 2000 from Loomis Sayles Co., L.P., where he headed the Large/Mid Cap Value Team. Prior to 1996, Mr. Kolefas was employed by Mackay Shields Financial as a portfolio manager for five years. Mr. Kolefas earned a B.S. and an M.B.A. from New York University and holds a Chartered Financial Analyst (C.F.A.) designation. Mr. Goldberg is expected to begin managing the portfolio in September 2000. His professional background is discussed above. Prudential Sector Funds, Inc. - Prudential Utility Fund David A. Kiefer, CFA, Eric S. Philo, CFA, and Shaun Hong are the portfolio managers of the Fund effective September 2000. Mr. Kiefer has managed the Fund since 1994; his professional background is discussed above. Eric S. Philo joined Jennison in May 1996 after 13 years with Goldman, Sachs & Company. At Goldman, Mr. Philo initially followed a variety of companies and industries, including capital goods, retailing, specialty and industrial chemicals, defense electronics, and printing. During his last nine years there, he followed publishing and media companies. While at Goldman, he was elected to Institutional Investor's All- Star Team every year since 1987 and was elected to The Wall Street Journal All-Star Stock Picking Team annually since its inception in 1993, ranking number one in his sector in 1994 and 1995. Mr. Philo is the primary author of a piece on publishing and the Internet entitled CyberPublishing: A New Frontier in Content Liquidity (July 1995). He earned a B.A. from George Washington University and an M.B.A from Columbia University Graduate School of Business. He holds a CFA designation. Shaun Hong is a Vice President of Jennison since September 2000. Previously he was a Vice President and equity research analyst of PIC. Prior to Prudential, Mr. Hong was employed as an analyst at Equinox Capital Management following the utility, consumer products, commodities and technology sectors from 1994-1999. Mr. Hong earned a B.S. from Carnegie Mellon University. He holds a CFA designation. OTHER MATTERS (Prudential Balanced fund, Prudential Global Genesis Fund, Inc. and Prudential International Bond Fund, Inc.) Shareholders of Prudential Balanced Fund, Prudential Global Genesis Fund, Inc. and Prudential International Bond Fund, Inc. are each expected to vote on a proposal to reorganize or merge their Fund into another Prudential mutual fund prior to the shareholder meetings described above. If shareholders of these Funds do not approve the proposed reorganization or merger, shareholders of each Fund will likely be solicited to vote on the matters described above under "ANNUAL OR SPECIAL MEETING OF SHAREHOLDERS". Listed below are the names of the Prudential Mutual Funds and the dates of the Prospectus to which this Supplement relates. Name of the Fund Prospectus Date Prudential Balanced Fund October 4, 1999 Prudential Diversified Funds October 13, 1999 Prudential Equity Fund, Inc. March 1, 2000 Prudential Equity Income Fund January 20, 2000 Prudential Europe Growth Fund, Inc. June 30, 2000 Prudential Global Total Return Fund, Inc. March 8, 2000 Prudential Index Series Fund November 18, 1999 Prudential Stock Index Fund Prudential International Bond Fund, Inc. March 8, 2000 Prudential Natural Resources Fund, Inc. July 31, 2000 Prudential Pacific Growth Fund, Inc. January 19, 2000 Prudential Real Estate Securities Fund June 2, 2000 Prudential Sector Funds, Inc. March 30, 2000 Prudential Financial Services Fund Prudential Health Sciences Fund Prudential Technology Fund Prudential Small Company Fund, Inc. November 29, 1999 Prudential Tax-Managed Funds December 30, 1999 Prudential Tax-Managed Equity Fund Prudential Tax-Managed Small-Cap Fund, Inc. May 31, 2000 Prudential U.S. Emerging Growth Fund, Inc. January 20, 2000 Prudential Utility Fund (a series of February 1, 2000 Prudential Sector Funds, Inc.) Prudential 20/20 Focus Fund March 31, 2000 Prudential World Fund, Inc. Prudential Global Growth Fund February 2, 2000 Prudential International Value Fund February 2, 2000 Prudential Jennison International Growth Fund January 10, 2000 The Prudential Investment Portfolios, Inc. Prudential Active Balanced Fund December 2, 1999 Prudential Jennison Equity Opportunity Fund December 2, 1999 Prudential Jennison Growth Fund December 2, 1999 t: \george\supplements\all funds\8-30-00 EX-99 9 0009.txt EXHIBIT 77-0 For the fiscal year ended 9/30/00 File number 811-3084 Prudential Small Company Fund, Inc. SUB-ITEM 77 0 EXHIBITS Transactions Effected Pursuant to Rule 10f-3 Ia. 1. Name of Issuer Nuance Communication 2. Date of Purchase 4/12/2000 3. Number of Securities Purchased 1,500 4. Dollar Amount of Purchase $25,500 5. Price Per Unit $17.00 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased: Goldman Sachs 7. Other Members of the Underwriting Syndicate Goldman Sachs & Co. Thomas Weisel Partners LLC Dain Rauscher Sessels Wit SoundView First Union Securities,Inc. Edward Jones Merrill Lynch, Peirce, Fenner & Smith Prudential Securities Incorporated Robert W. Baird & Co., Inc. William Blair & Company Fidelity Capital Markets McDonald Investments Inc. Sands Brothers & Co. Ltd. Stephens Inc. Sturdivant & Co. SunTrust Equitable Securities Ib. 1. Name of Issuer US Unwired 2. Date of Purchase 5/18/2000 3. Number of Securities Purchased 162,400 4. Dollar Amount of Purchase $1,786,400 5. Price Per Unit $11.00 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased: DLJ 7. Other Members of the Underwriting Syndicate Donaldson, Lufkin & Jenrette Credit Suisse First Boston First Union Securities, Inc. DLJdirect Inc. Advest, Inc. Allen & Company Anderson & Strudwick Kercheville & Company Inc. Asli & Co. LLC Robert W. Baird & Company George K. Baum & Company Blackford Securities BNY Capital Markets, Inc. J.C. Bradford & Co. The Chapman Company Chase M&Q Coburn & Meredith Inc. Deutsche Bank Securities Inc. A.G. Edwards & Sons, Inc. Fahnestock & Co. Inc. Fac/Equities FIA Capital Group Inc. Finbro Management Gabelli & Company Gerard Klauer Mattison & Co., Inc. Gruntal & Co., LLC Hoak Bredlove Wesneski & Co. HSBC Brokerage (USA) Inc. Johnson, Lemon & Co. Edward D. Jones & Co. Kaufman Bros.L.P. C.L. King & Associates Lebenthal & Co. Legg Mason Wood Walker Lehman Brothers Inc. Linsco/Private Ledger Financial Services Merrill Lynch, Pierce, Fener & Smith Middle Gate Securities Morgan Stanley & Co. National Commercial Bank Noyes Partners Inc. Nutmeg Securities Ormes Capital Markets Polaris Financial Services Prudential Securities Raymond James & Associates Salomon, Smith and Barney Sanders Morris Harris Sands Brothers & Co. Sander Securities Spencer Clarke LLC Stephens Inc. S.V. International C.E. Unterberg, Towin Wachovia Securities Westcott Securities Ic. 1. Name of Issuer Manufacturers Services, Ltd. 2. Date of Purchase 6/23/2000 3. Number of Securities Purchased 62,600 4. Dollar Amount of Purchase $1,001,600 5. Price Per Unit $16.00 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased: DLJ 7. Other Members of the Underwriting Syndicate Donaldson, Lufkin & Jenrette Banc of America Securities FleetBoston Robertson Stephens Inc. Thomas Weisel Partners LLC DLJdirect Inc. Adams, Harkness & Hill, Inc. Advest, Inc. Anderson & Strudwick Kercheville & Company Inc. Astel & Co. LLC Robert W. Baird & Company Blackford Securities The Chapman Company Chase M&Q CIBC World Markets Corp Coburn & Meredith Inc. Dain Rauscher Wessels A.G. Edwards & Sons, Inc. Fahnestock & Co. Inc. Fac/Equities FIA Capital Group Inc. Finbro Management Gruntal & Co., LLC HSBC Brokerage (USA) Inc. Johnson, Lemon & Co. Lehman Brothers Inc. McDonald Investments Merrill Lynch, Pierce, Fenner & Smith Middle Gate Securities Morgan Stanley & Co. National Commercial Bank Needham & Company Noyes Partners Inc. Nutmeg Securities Pennsylvania Merchant Group Polaris Financial Services Prudential Securities Ragen Mackenzie Incorporated Raymond James & Associates Salomon, Smith and Barney Sanders Morris Harris Sands Brothers & Co. Sander Securities S.G. Cowen Securities The Shemano Group, Inc. Spencer Clarke LLC Stephens Inc. Suntrust Equitable Securities S.V. International Tucker Anthony Cleary Gull C.E. Unterberg, Towin Wachovia Securities UBS Warburg LLC Westcott Securities Wiley Bros-Aintree Capital, LLC Id. 1. Name of Issuer Omnivision Technoligies, Inc. 2. Date of Purchase 7/14//2000 3. Number of Securities Purchased 600 4. Dollar Amount of Purchase $7,800 5. Price Per Unit $13.00 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased: Robert Stephens & Co. 7. Other Members of the Underwriting Syndicate FleetBoston Robertson Stephens Inc. Prudential Securities Incorporated Needham & Company, Inc. Ie. 1. Name of Issuer Genaissance Pharmaceuticals 2. Date of Purchase 8/2/2000 3. Number of Securities Purchased 2,600 4. Dollar Amount of Purchase $33,800 5. Price Per Unit $13.00 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased: Deutsche Bank Alex Brown 7. Other Members of the Underwriting Syndicate Deutsche Banc Alex. Brown Bear, Stearns & Co. Inc. Salomon Smith Barney UBS Warburg LLC If. 1. Name of Issuer Resonate, Inc. 2. Date of Purchase 8/2/2000 3. Number of Securities Purchased 2,600 4. Dollar Amount of Purchase $54,600 5. Price Per Unit $21.00 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased: Goldman Sachs & Co. 7. Other Members of the Underwriting Syndicate Goldman, Sachs & Co. Chase Securities Inc. Dain Rauscher Incorporated Wit SoundView Corporation CIBC World Markets Corp. Gruntal & Co., LLC Legg Mason Wood Walker Prudential Securities C.E. Untergerg, Towbin Co. C.L. King & Associates, Inc. t: \george\N-SAR\SCF\11-00\770 -----END PRIVACY-ENHANCED MESSAGE-----