-----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, Uc6HCJZlb/RTXMJ2QAnEqFkdKOKlBo6u3uDBpwEIqb0Kwqy0Im6qH1Rt7pqGvKvf pCGdaSqV+wjkd4keeNaqVg== 0000950154-96-000145.txt : 19960502 0000950154-96-000145.hdr.sgml : 19960502 ACCESSION NUMBER: 0000950154-96-000145 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19951231 FILED AS OF DATE: 19960501 SROS: NYSE FILER: COMPANY DATA: COMPANY CONFORMED NAME: KAUFMANN FUND INC CENTRAL INDEX KEY: 0000054771 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 132605091 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-01586 FILM NUMBER: 96554950 BUSINESS ADDRESS: STREET 1: 140 E 45TH ST 43RD FL CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2129220123 MAIL ADDRESS: STREET 1: 140 EAST 45TH ST STREET 2: 43RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: PAW GROWTH FUND INC DATE OF NAME CHANGE: 19701022 FORMER COMPANY: FORMER CONFORMED NAME: PHILIPS APPEL & WALDEN FUND INC DATE OF NAME CHANGE: 19680711 NSAR-A 1 N-SAR (3.0.A) PAGE 1 000 A000000 12/31/95 000 C000000 0000054771 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 THE KAUFMANN FUND, INC. 001 B000000 811-1586 001 C000000 2129220123 002 A000000 140 EAST 45TH STREET, 43RD FLOOR 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10017 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 10 020 A000001 RAS SECURITIES 020 C000001 708 020 A000002 MERRILL LYNCH PIERCE FENNER & SMITH, INC. 020 C000002 246 020 A000003 LEWCO SECURITIES 020 C000003 207 020 A000004 GOLDMAN CAPITAL 020 C000004 175 020 A000005 SOUTHEAST RESEARCH PARTNERS 020 C000005 172 020 A000006 WILLIAM BLAIR & CO. 020 C000006 153 020 A000007 AT BROD & CO. 020 C000007 146 020 A000008 INSTINET 020 C000008 127 020 A000009 MONTGOMERY SECURITIES 020 C000009 125 020 A000010 NUTMEG SECURITIES PAGE 2 020 C000010 119 021 000000 4531 022 A000001 MONTGOMERY SECURITIES 022 C000001 270891 022 D000001 90526 022 A000002 ALEX BROWN & SONS 022 C000002 202619 022 D000002 71918 022 A000003 MORGAN STANLEY & CO. 022 C000003 174757 022 D000003 86532 022 A000004 SMITH BARNEY-SHEARSON 022 C000004 99189 022 D000004 13400 022 A000005 LEWCO SECURITIES 022 C000005 79289 022 D000005 21256 022 A000006 ROBERTSON STEPHENS & CO. 022 C000006 65059 022 D000006 27663 022 A000007 COWEN & CO. 022 C000007 34445 022 D000007 54743 022 A000008 MERRILL LYNCH PIERCE FENNER & SMITH 022 C000008 63406 022 D000008 18212 022 A000009 WESSELS, ARNOLD & 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M000000 0 074 N000000 3318058 074 O000000 29309 074 P000000 0 074 Q000000 0 074 R010000 0 074 R020000 120701 074 R030000 0 074 R040000 4738 074 S000000 0 074 T000000 3163310 074 U010000 626600 074 U020000 0 074 V010000 5.05 074 V020000 0.00 074 W000000 0.0000 074 X000000 191498 074 Y000000 64500 075 A000000 0 075 B000000 2345162 076 000000 0.00 077 A000000 Y 077 B000000 Y 077 C000000 N 077 D000000 N 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 080 A000000 NATIONAL UNION FIRE INS. CO. OF PITTSBURGH 080 C000000 2100 081 A000000 N PAGE 7 081 B000000 0 082 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 0 086 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 LAWRENCE AURIANA TITLE PRESIDENT This report is signed on behalf of the registrant (or depositor or trustee). City of: New York State of: New York Date of: February __, 1996 Name of Registrant, Depositor, or Trustee THE KAUFMANN FUND, INC. By (Name & Title): /s/ Lawrence Auriana Witness (Name & Title): ___________________________________________ Sanville & Company CERTIFIED PUBLIC ACCOUNTANTS ROBERT F. SANVILLE, CPA MEMBERS OF MICHAEL T. BARANOWSKY, CPA AMERICAN INSTITUTE OF CERTIFIED PUBLIC ACCOUNTANTS 1514 OLD YORK ROAD PENNSYLVANIA INSTITUTE OF ABINGTON, PA 19001 CERTIFIED PUBLIC ACCOUNTANTS (215) 884-8460 FAX (215) 884-8686 To the Board of Directors of The Kaufmann Fund, Inc. In planning and performing our audit of the financial statements of The Kaufmann Fund, Inc. for the year ended December 31, 1995, we considered its internal control structure, including procedures 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 the internal control structure. The management of The Kaufmann Fund, Inc. is responsible for establishing and maintaining an internal control structure. In fulfilling this responsibility, estimates and judgements 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 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 December 31, 1995. This report is intended solely for the information and use of management and the Securities and Exchange Commission. Abington, Pennsylvania /s/ Sanville & Company January 31, 1996 Certified Public Accountants -----END PRIVACY-ENHANCED MESSAGE-----