-----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, MyKlrgZmRFiTIlFcuPe28VVediMEczaExbBTMQ1j0BgsGmcoSJkqi1EZApfAOaj/ rJiswvABoTRxSCDY5p+VFg== 0000950154-98-000011.txt : 19980302 0000950154-98-000011.hdr.sgml : 19980302 ACCESSION NUMBER: 0000950154-98-000011 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971231 FILED AS OF DATE: 19980227 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-B SEC ACT: SEC FILE NUMBER: 811-01586 FILM NUMBER: 98553339 BUSINESS ADDRESS: STREET 1: 140 E 45TH ST 43RD FL STREET 2: STE 2624 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-B 1 N-SAR (3.0.A) PAGE 1 000 B000000 12/31/97 000 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 10 019 B000000 0 020 A000001 INSTINET 020 C000001 718 020 A000002 RAS SECURITIES 020 C000002 706 020 A000003 SMITH BARNEY INC. 020 C000003 565 020 A000004 MONTGOMERY SECURITIES 020 C000004 470 020 A000005 MORGAN STANLEY & CO., INC. 020 C000005 407 020 A000006 MERRILL LYNCH PIERCE FENNER & SMITH, INC. 020 C000006 351 020 A000007 SOUTHEAST RESEARCH PARTNERS 020 C000007 349 020 A000008 DONALDSON LUFKIN & JENRETTE INC. 020 C000008 288 020 A000009 ARNOLD & S. BLEICHROEDER, INC. 020 C000009 287 PAGE 2 020 A000010 BEAR STEARNS SECURITIES CORP. 020 C000010 263 021 000000 10107 022 A000001 STATE STREET BANK & TRUST COMPANY 022 C000001 72640666 022 D000001 0 022 A000002 MONTGOMERY SECURITIES 022 C000002 293304 022 D000002 359024 022 A000003 MORGAN STANLEY 022 C000003 356678 022 D000003 292748 022 A000004 ALEX BROWN & SONS 022 C000004 390392 022 D000004 171405 022 A000005 SMITH BARNEY INC. 022 C000005 104996 022 D000005 135137 022 A000006 GOLDMAN SACHS & CO. 022 C000006 143876 022 D000006 68226 022 A000007 LEWCO SECURITIES FOR HAMBRECHT 022 C000007 80178 022 D000007 94954 022 A000008 MERRILL LYNCH PIERCE FENNER & SMITH 022 C000008 112563 022 D000008 51411 022 A000009 DONALDSON LUFKIN & JENRETTE INC. 022 C000009 126402 022 D000009 32231 022 A000010 COWEN & CO. 022 C000010 72145 022 D000010 73691 023 C000000 77255313 023 D000000 1711629 025 D000001 0 025 D000002 0 025 D000003 0 025 D000004 0 025 D000005 0 025 D000006 0 025 D000007 0 025 D000008 0 027 000000 Y 028 A010000 80818 028 A020000 0 028 A030000 0 028 A040000 122743 028 B010000 80351 028 B020000 0 028 B030000 0 PAGE 3 028 B040000 100618 028 C010000 93762 028 C020000 0 028 C030000 0 028 C040000 63661 028 D010000 104063 028 D020000 0 028 D030000 0 028 D040000 88346 028 E010000 68703 028 E020000 182826 028 E030000 0 028 E040000 81467 028 F010000 73697 028 F020000 0 028 F030000 0 028 F040000 95325 028 G010000 501394 028 G020000 182826 028 G030000 0 028 G040000 552160 028 H000000 0 030 A000000 0 030 B000000 0.00 030 C000000 0.00 031 A000000 0 031 B000000 0 032 000000 0 033 000000 0 035 000000 0 036 B000000 0 038 000000 2484 042 A000000 0 042 B000000 0 042 C000000 0 042 D000000 0 042 E000000 0 042 F000000 0 042 G000000 100 042 H000000 0 043 000000 16150 044 000000 0 048 000000 0.000 048 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 PAGE 4 048 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 0.000 055 A000000 N 055 B000000 N 061 000000 0 062 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 Y 066 C000000 N 066 D000000 N 066 E000000 N 066 F000000 N 066 G000000 N 071 A000000 3388315 071 B000000 3335638 071 C000000 5164995 071 D000000 65 072 A000000 12 072 B000000 41631 072 C000000 6965 PAGE 5 072 D000000 0 072 E000000 2025 072 F000000 85090 072 G000000 0 072 H000000 0 072 I000000 4655 072 J000000 701 072 K000000 0 072 L000000 325 072 M000000 218 072 N000000 585 072 O000000 0 072 P000000 395 072 Q000000 0 072 R000000 451 072 S000000 99 072 T000000 20955 072 U000000 0 072 V000000 0 072 W000000 331 072 X000000 113805 072 Y000000 6589 072 Z000000 -56595 072AA000000 802333 072BB000000 503201 072CC010000 433053 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 611 074 B000000 484419 074 C000000 68565 074 D000000 97519 074 E000000 31600 074 F000000 5213511 074 G000000 0 074 H000000 0 074 I000000 0 074 J000000 188457 074 K000000 1052 074 L000000 98879 074 M000000 309911 074 N000000 6494524 074 O000000 115440 074 P000000 0 074 Q000000 0 PAGE 6 074 R010000 0 074 R020000 87554 074 R030000 0 074 R040000 283369 074 S000000 0 074 T000000 6008161 074 U010000 942699 074 U020000 0 074 V010000 6.37 074 V020000 0.00 074 W000000 0.0000 074 X000000 273233 074 Y000000 43870 075 A000000 0 075 B000000 5662194 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 078 000000 N 080 A000000 NATIONAL UNION FIRE INS. CO OF PITTSBURGH, PA 080 C000000 2500 081 A000000 N 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 PAGE 7 086 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 OLGA MENDEZ TITLE OPERATIONS MANAGER Sanville & Company CERTIFIED PUBLIC ACCOUNTANTS 1514 OLD YORK ROAD ABINGTON, PA 19001 (215) 884-8460 FAX (215) 884-8686 MEMBERS OF ROBERT F. SANVILLE, CPA AMERICAN INSTITUTE OF MICHAEL T. BARANOWSKY, CPA CERTIFIED PUBLIC ACCOUNTANTS PENNSYLVANIA INSTITUTE OF CERTIFIED PUBLIC ACCOUNTANTS 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, 1997, 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 risks 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, 1997. This report is intended solely for the information and use of management and the Securities and Exchange Commission. Abington, Pennsylvania [SANVILLE & COMPANY] February 16, 1998 Certified Public Accountants -----END PRIVACY-ENHANCED MESSAGE-----