Principal
|
Security
|
||||||||||||
Amount
|
Description
|
Value
|
(a)
|
||||||||||
U.S. Government Agency Obligations (71.7%):
|
|||||||||||||
Federal Home Loan Mortgage Corporation (65.9%):
|
|||||||||||||
$ | 17,918,000 |
0.09%, 07/05/11
|
$ | 17,917,831 | |||||||||
40,000,000 |
0.07%, 07/27/11
|
39,997,862 | |||||||||||
10,000,000 |
0.14%, 08/09/11
|
9,998,483 | |||||||||||
12,000,000 |
0.14%, 08/10/11
|
11,998,133 | |||||||||||
18,000,000 |
0.07%, 08/29/11
|
17,997,935 | |||||||||||
29,960,000 |
0.06%, 10/24/11
|
29,954,258 | |||||||||||
41,078,000 |
0.10%, 11/02/11
|
41,063,851 | |||||||||||
168,928,353 | |||||||||||||
Federal National Mortgage Association (5.8%):
|
|||||||||||||
10,000,000 |
0.14%, 10/12/11
|
9,995,994 | |||||||||||
5,000,000 |
0.12%, 11/23/11
|
4,997,583 | |||||||||||
14,993,577 | |||||||||||||
Total U.S. Government Agency Obligations
|
183,921,930 | ||||||||||||
Commercial Paper (9.7%)
|
|||||||||||||
Finance (9.7%):
|
|||||||||||||
10,000,000 |
Prudential, 0.12%, 07/01/11
|
10,000,000 | |||||||||||
10,000,000 |
Toyota Motor Credit, 0.15%, 07/08/11
|
9,999,708 | |||||||||||
5,000,000 |
Salvation, VRDO*, 0.22%, 08/01/11
|
5,000,000 | |||||||||||
Total Commercial Paper
|
24,999,708 | ||||||||||||
Municipal Securities (18.6%):
|
|||||||||||||
10,000,000 |
District of Columbia, University Revenue Bonds (George Washington University), VRDO*, 0.09%, 09/15/29
|
10,000,000 | |||||||||||
11,600,000 |
Hartford, Connecticut Redevelopment Agency, Multi Family Mortgage Revenue Refunding, Underwood Tower Project, VRDO*, 0.18%, 06/01/20
|
11,600,000 | |||||||||||
5,100,000 |
Missouri State Health & Educational Facilities Authority, Refunding, St. Louis University, Series A-1, VRDO*, 0.03%, 10/01/35
|
5,100,000 | |||||||||||
8,265,000 |
Nevada Housing Division Multi-Unit Housing, Sierra Pointe Apartments, Series 2005, VRDO*, 0.08%, 04/15/38
|
8,265,000 | |||||||||||
11,170,000 |
New York State Dormitory Authority Revenues, State Supported Debt, Rochester, VRDO*, 0.03%, 07/01/31
|
11,170,000 | |||||||||||
1,500,000 |
New York State Housing Finance Agency Revenue, Victory Housing, Series 2000-A, VRDO*, 0.07%, 11/01/33
|
1,500,000 | |||||||||||
Total Municipal Securities
|
47,635,000 | ||||||||||||
Total Investments (Amortized Cost $256,556,638†) - 100.0%
|
256,556,638 | ||||||||||||
Other assets less liabilities - 0.0%
|
(25,304 | ) | |||||||||||
NET ASSETS - 100.0%
|
$ | 256,531,334 | |||||||||||
____________
|
|||||||||||||
* Variable interest rate- subject to periodic change.
|
|||||||||||||
† Cost for Federal income tax and financial reporting purposes is identical.
|
|||||||||||||
Abbreviation:
|
|||||||||||||
VRDO- Variable Rate Demand Obligations. VRDOs are payable upon demand within the same day for securities with daily liquidity or seven days for securities with weekly liquidity.
|
|||||||||||||
Percent of
|
|||||||||||||
Portfolio Distribution
|
Investments
|
||||||||||||
U.S. Government Agency Obligations
|
71.7 | % | |||||||||||
Commercial Paper
|
9.7 | ||||||||||||
Municipal Securities
|
18.6 | ||||||||||||
100.0 | % |
Valuation Inputs
|
|
Investments in Securities
|
|||
Level 1 – Quoted Prices
|
$ | - | |||
Level 2 – Other Significant Observable Inputs-Short-Term Instruments+
|
256,556,638 | ||||
Level 3 – Significant Unobservable Inputs
|
- | ||||
Total
|
$ | 256,556,638 | |||
+See schedule of investments for a detailed listing of securities.
|
Principal
|
||||||||||||||||
Amount
|
Municipal Securities (98.0%)
|
Value
|
(a)
|
|||||||||||||
$ | 1,115,000 |
Colorado Educational & Cultural Facilities Authority Revenue Bond - Boulder Country Day School, VRDO*, 0.180%, 09/01/26
|
$ | 1,115,000 | ||||||||||||
2,400,000 |
Colorado Educational & Cultural Facilities Authority Revenue Bond - National Jewish Federation Board, VRDO*, 0.050%, 07/01/29
|
2,400,000 | ||||||||||||||
915,000 |
Colorado Educational & Cultural Facilities Authority Revenue Bond - National Jewish Federation Board, VRDO*, 0.050%, 02/01/35
|
915,000 | ||||||||||||||
2,010,000 |
District of Columbia Revenue American Geophysical Union, VRDO*, 0.160%, 09/01/23
|
2,010,000 | ||||||||||||||
2,200,000 |
Jacksonville, FL, Industrial Development Revenue University of Florida Health Science Center, VRDO*, 0.120%, 07/01/19
|
2,200,000 | ||||||||||||||
1,100,000 |
Miami-Dade County, FL, Health Facilities Authority Hospital Revenue Refunding, Miami Children's Hospital, Series A, Prerefunded to 08/15/11 @101 AMBAC Insured, 5.625%, 08/15/14
|
1,118,239 | ||||||||||||||
1,000,000 |
Orange County, FL, Housing Financial Authority Post Apartment Homes, FNMA Insured VRDO*, 0.100%, 06/01/25
|
1,000,000 | ||||||||||||||
1,000,000 |
Orlando, FL, Utilities Commission Water & Electric Revenue Refunding, Prerefunded to 10/01/11 @101, 5.250%, 10/01/20
|
1,022,412 | ||||||||||||||
1,350,000 |
Hawaii State, Series CH, NPFG-IBC Insured, 4.750%, 11/01/11
|
1,369,202 | ||||||||||||||
1,630,000 |
Hawaii State, Series CM, ETM, FGIC-NPFG Insured, 6.000%, 12/01/11
|
1,668,194 | ||||||||||||||
1,140,000 |
Hawaii State, Series CV, FGIC-NPFG Insured, 5.500%, 08/01/11
|
1,145,028 | ||||||||||||||
1,500,000 |
Hawaii State, Series CX, Prerefunded to 02/01/12 @100, AGM Insured, 5.500%, 02/01/15
|
1,545,594 | ||||||||||||||
1,685,000 |
Hawaii State, Series CX, Prerefunded to 02/01/12 @100, AGM Insured, 5.500%, 02/01/21
|
1,734,576 | ||||||||||||||
725,000 |
Hawaii State, Series CY, AGM Insured, 5.500%, 02/01/12
|
746,437 | ||||||||||||||
705,000 |
Hawaii State, Series CZ, ETM, AGM Insured, 5.250%, 07/01/11
|
705,000 | ||||||||||||||
675,000 |
Hawaii State, Series DF, AMBAC Insured, 5.000%, 07/01/12
|
706,183 | ||||||||||||||
2,000,000 |
Hawaii State, Series DG, Refunding, AMBAC Insured, 5.000%, 07/01/12
|
2,089,860 | ||||||||||||||
13,255,000 |
Hawaii State Department of Budget and Finance Special Purpose Revenue Refunding Queens Health System, Series B, Bank of America Insured VRDO*, 0.070%, 07/01/29
|
13,255,000 | ||||||||||||||
400,000 |
Hawaii State Highway Revenue, Prerefunded to 07/01/11 @100 AGM Insured, 5.250%, 07/01/12
|
400,000 | ||||||||||||||
1,000,000 |
Hawaii State Highway Revenue, Prerefunded to 07/01/11 @100 AGM Insured, 5.375%, 07/01/17
|
1,000,000 | ||||||||||||||
2,300,000 |
Hawaii State Housing Finance & Development Corp., Multi Family, Lokahi Kau, FHLMC Insured VRDO*, 0.070%, 12/01/41
|
2,300,000 | ||||||||||||||
700,000 |
Honolulu City & County, HI, Refunding, Series B, NPFG Insured, 5.000%, 07/01/11
|
700,000 | ||||||||||||||
4,245,000 |
Honolulu City & County, HI, Series A, Prerefunded to 09/01/11 @100 AGM Insured, 5.250%, 09/01/22
|
4,279,371 | ||||||||||||||
3,500,000 |
Honolulu City & County, HI, Series A, Prerefunded to 09/01/11 @100, AGM Insured, 5.375%, 09/01/18
|
3,529,350 | ||||||||||||||
1,975,000 |
University of Hawaii Revenue, Series B-2, 2.500%, 10/01/11
|
1,984,409 | ||||||||||||||
600,000 |
Chicago, IL, Refunding Series A-2, ETM, AMBAC Insured, 6.125%, 01/01/12
|
616,510 | ||||||||||||||
1,500,000 |
Illinois State First Series, Prerefunded to 11/01/11 @100 FGIC Insured, 5.375%, 11/01/13
|
1,525,391 | ||||||||||||||
1,500,000 |
Illinois State For Future Issues, First Series, Prerefunded to 11/01/11 @100, FGIC-NPFG Insured, 5.375%, 11/01/19
|
1,525,839 | ||||||||||||||
2,000,000 |
Indiana Financial Authority Health System Revenue, Sisters St. Francis Health, VRDO*, 0.050%, 09/01/48
|
2,000,000 | ||||||||||||||
2,000,000 |
Indiana State Financial Authority Environmental Revenue Refunding, Duke Energy, VRDO*, 0.030%, 10/01/40
|
2,000,000 | ||||||||||||||
2,600,000 |
Breckenridge County, KY, Lease Program Revenue VRDO*, 0.070%, 02/01/31
|
2,600,000 | ||||||||||||||
2,800,000 |
Louisville & Jefferson County, KY, Visitors & Convention, Refunding, AGM Insured, VRDO*, 0.050%, 12/01/22
|
2,800,000 | ||||||||||||||
5,395,000 |
Louisiana Public Facilities Authority Revenue, Christus Health, AGM Insured, 3.000%, 07/01/11
|
5,395,000 | ||||||||||||||
3,000,000 |
Bloomington, MN, Bristol Apartments Multi-Family Revenue Bond FNMA Insured VRDO*, 0.130%, 11/15/32
|
3,000,000 | ||||||||||||||
1,495,000 |
Inver Grove Heights, MN, Senior Housing Revenue FNMA Insured VRDO*, 0.080%, 05/15/35
|
1,495,000 | ||||||||||||||
6,245,000 |
Oak Park Heights, MN, VSSA Boutwells Landing Multi-Family Revenue Bond, FHLMC Insured VRDO*, 0.080%, 11/01/35
|
6,245,000 | ||||||||||||||
1,395,000 |
Plymouth, MN, Parkside II Multi-Family Housing FNMA Insured VRDO*, 0.080%, 04/15/33
|
1,395,000 | ||||||||||||||
2,000,000 |
St. Paul, MN, Housing & Redevelopment Authority, Multi Family Housing, Highland Ridge Project, FHLMC Insured VRDO*, 0.080%, 10/01/33
|
2,000,000 | ||||||||||||||
825,000 |
Cape Girardeau County, MO, Industrial Development Authority Healthcare Refunding, Southeast Missouri Hospital Association, Prerefunded to 06/01/12 @100, 5.750%, 06/01/32
|
864,534 | ||||||||||||||
6,000,000 |
Kansas City, MO, Industrial Development Authority Revenue Bond, (Ewing Marion Kaufman Foundation) VRDO*, 0.080%, 04/01/27
|
6,000,000 | ||||||||||||||
1,840,000 |
Missouri State Health & Educational Facilities Authority Revenue, Washington University, Series A, VRDO*, 0.030%, 02/15/34
|
1,840,000 |
2,655,000 |
St. Louis, MO, Airport Revenue, Airport Development Program, Series 2001A, Prerefunded to 07/01/11 @100 NPFG Insured, 5.625%, 07/01/15
|
2,655,000 | ||||||||||||||
1,600,000 |
New Jersey Health Care Facilities Financing Authority Revenue, Meridian, AGM Insured, VRDO*, 0.050%, 07/01/38
|
1,600,000 | ||||||||||||||
2,500,000 |
New Jersey Health Care Facilities Financing Authority Revenue, Southern Ocean County Hospital, VRDO*, 0.050%, 07/01/36
|
2,500,000 | ||||||||||||||
1,500,000 |
New Jersey State Transportation TR Fund Authority For Future Issue, Transportation System B, Prerefunded to 12/15/11 @100, NPFG Insured, 6.000%, 12/15/14
|
1,539,221 | ||||||||||||||
1,575,000 |
New Jersey State Transportation TR Fund Authority For Future Issue, Refunding, Transportation System Series B, Prerefunded to 12/15/11 @100, NPFG Insured, 5.000%, 12/15/21
|
1,609,011 | ||||||||||||||
1,800,000 |
North Carolina Medical Catholic Health East VRDO*, 0.070%, 11/15/28
|
1,800,000 | ||||||||||||||
4,555,000 |
Union County, NC, Enterprise System, AGM Insured VRDO*, 0.140%, 06/01/21
|
4,555,000 | ||||||||||||||
900,000 |
Columbus, OH, City School District, Linden Elementary Construction, Prerefunded to 12/01/11 @100, AGM Insured, 5.000%, 12/01/28
|
917,644 | ||||||||||||||
2,050,000 |
Hamilton County, OH, Hospital Facilities Revenue, Children's Hospital Medical Center, VRDO*, 0.070%, 05/15/37
|
2,050,000 | ||||||||||||||
1,000,000 |
Ohio State Higher Education, Series B, Prerefunded to 11/01/11 @100, 5.000%, 11/01/15
|
1,016,041 | ||||||||||||||
1,530,000 |
Oklahoma Development Finance Authority Revenue Refunding AGM Insured VRDO*, 0.050%, 08/15/33
|
1,530,000 | ||||||||||||||
5,000,000 |
Oregon State Facilities Authority Revenue Peacehealth VRDO*, 0.060%, 05/01/47
|
5,000,000 | ||||||||||||||
1,100,000 |
Emmaus, PA, General Authority VRDO*, 0.110%, 03/01/24
|
1,100,000 | ||||||||||||||
3,880,000 |
Luzerne County, PA, Series A, AGM Insured, VRDO*, 0.110%, 11/15/26
|
3,880,000 | ||||||||||||||
2,455,000 |
Philadelphia, PA Authority for Industrial Development Lease Revenue, Series B, Prerefunded to 10/01/11 @101, AGM Insured, 5.500%, 10/01/16
|
2,511,170 | ||||||||||||||
1,000,000 |
Puerto Rico Public Finance Corp., Commonwealth, Series E, Prerefunded to 02/01/12 @100, 5.500%, 08/01/29
|
1,030,391 | ||||||||||||||
4,410,000 |
Puerto Rico Sales Tax Financing Corp., Sales Tax Revenue First Sub-Series A, VRDO*, Prerefunded to 08/01/11 @100, 5.000%, 08/01/39
|
4,427,139 | ||||||||||||||
1,800,000 |
Bexar County, TX, Housing Financial Corp., Multi Family Housing Revenue, Northwest Trails Apartments, FNMA Insured VRDO*, 0.080%, 12/15/34
|
1,800,000 | ||||||||||||||
2,000,000 |
Harris County, TX, Cultural Educational Facilities Financial Corp., Texas Medical Center, VRDO*, 0.040%, 09/01/31
|
2,000,000 | ||||||||||||||
4,000,000 |
Utah County, UT, Hospital Revenue IHC Health Services Inc., Series B, VRDO*, 0.070%, 05/15/35
|
4,000,000 | ||||||||||||||
1,800,000 |
Washington State Housing Finance Commission, Northwest School Project, VRDO*, 0.110%, 06/01/32
|
1,800,000 | ||||||||||||||
Total Investments (Amortized Cost $141,561,746††) - 98.0%
|
141,561,746 | |||||||||||||||
Other assets less liabilities- 2.0%
|
2,928,235 | |||||||||||||||
NET ASSETS-100.0%
|
$ | 144,489,981 | ||||||||||||||
____________
|
||||||||||||||||
* Variable rate demand obligations (VRDOs) are payable upon demand within the same day for securities with daily liquidity or seven days for securities with weekly liquidity.
|
||||||||||||||||
† Prerefunded bonds are bonds for which U.S. Government Obligations have been placed in escrow to retire the bonds at their earliest call date.
|
||||||||||||||||
†† Cost for Federal income tax and financial reporting purposes is identical.
|
||||||||||||||||
Percent of
|
||||||||||||||||
Portfolio Distribution
|
Investments
|
|||||||||||||||
Colorado
|
3.1 | % |
|
|||||||||||||
District of Columbia
|
1.4 | |||||||||||||||
Florida
|
3.8 | |||||||||||||||
Hawaii
|
27.7 | |||||||||||||||
Illinois
|
2.6 | |||||||||||||||
Indiana
|
2.8 | |||||||||||||||
Kentucky
|
3.8 | |||||||||||||||
Louisiana
|
3.8 | |||||||||||||||
Minnesota
|
10.0 | |||||||||||||||
Missouri
|
8.0 | |||||||||||||||
New Jersey
|
5.1 | |||||||||||||||
North Carolina
|
4.5 | |||||||||||||||
Ohio
|
2.8 | |||||||||||||||
Oklahoma
|
1.1 | |||||||||||||||
Oregon
|
3.5 | |||||||||||||||
Pennsylvania
|
5.3 | |||||||||||||||
Puerto Rico
|
3.9 | |||||||||||||||
Texas
|
2.7 | |||||||||||||||
Utah
|
2.8 | |||||||||||||||
Washington
|
1.3 | |||||||||||||||
100.0 | % |
|
||||||||||||||
PORTFOLIO ABBREVIATIONS:
|
||||||||||||||||
AGM - Assured Guaranty Municipal Corp.
|
||||||||||||||||
AMBAC - American Municipal Bond Assurance Corp.
|
||||||||||||||||
ETM - Escrowed to Maturity
|
||||||||||||||||
FGIC - Financial Guaranty Insurance Corporation
|
||||||||||||||||
FHLMC - Federal Home Loan Mortgage Corp.
|
||||||||||||||||
FNMA - Federal National Mortgage Association
|
||||||||||||||||
NPFG - National Public Finance Guarantee
|
||||||||||||||||
NR - Not Rated
|
||||||||||||||||
VRDO - Variable Rate Demand Obligation
|
||||||||||||||||
See accompanying notes to financial statements.
|
Valuation Inputs
|
|
Investments in Securities
|
|||
Level 1 – Quoted Prices
|
$ | - | |||
Level 2 – Other Significant Observable Inputs- Short-Term Instruments+
|
141,561,746 | ||||
Level 3 – Significant Unobservable Inputs
|
- | ||||
Total
|
$ | 141,561,746 | |||
+See schedule of investments for a detailed listing of securities.
|
Principal
|
Security
|
||||||||||||
Amount
|
Description
|
Value
|
(a)
|
||||||||||
U.S. Government Agency Obligations (97.5%):
|
|||||||||||||
Federal Home Loan Mortgage Corporation (68.2%):
|
|||||||||||||
$ | 36,000,000 |
0.08%, 07/05/11
|
$ | 35,999,666 | |||||||||
38,000,000 |
0.20%, 07/11/11
|
37,997,889 | |||||||||||
100,000,000 |
0.07%, 07/27/11
|
99,994,656 | |||||||||||
25,000,000 |
0.14%, 08/09/11
|
24,996,208 | |||||||||||
18,000,000 |
0.14%, 08/10/11
|
17,997,200 | |||||||||||
50,000,000 |
0.03%, 08/12/11
|
49,998,250 | |||||||||||
60,000,000 |
0.07%, 08/29/11
|
59,993,117 | |||||||||||
50,000,000 |
0.05%, 09/12/11
|
49,994,931 | |||||||||||
60,000,000 |
0.08%, 09/19/11
|
59,990,000 | |||||||||||
40,000,000 |
0.10%, 11/07/11
|
39,985,667 | |||||||||||
40,000,000 |
0.10%, 11/14/11
|
39,984,284 | |||||||||||
516,931,868 | |||||||||||||
Federal National Mortgage Association (29.3%):
|
|||||||||||||
90,340,000 |
0.08%, 08/24/11
|
90,329,837 | |||||||||||
80,000,000 |
0.09%, 09/13/11
|
79,985,200 | |||||||||||
30,000,000 |
0.14%, 10/12/11
|
29,987,983 | |||||||||||
22,000,000 |
0.12%, 11/23/11
|
21,989,367 | |||||||||||
222,292,387 | |||||||||||||
Total Investments (Amortized Cost $739,224,255†) - 97.5%
|
739,224,255 | ||||||||||||
Other assets less liabilities - 2.5%
|
18,592,009 | ||||||||||||
NET ASSETS - 100.0%
|
$ | 757,816,264 | |||||||||||
____________
|
|||||||||||||
† Cost for Federal income tax and financial reporting purposes is identical.
|
|||||||||||||
Percent of
|
|||||||||||||
Portfolio Distribution
|
Investments
|
||||||||||||
U. S. Government Agency Obligations
|
100.0 | % |
Valuation Inputs
|
|
Investments in Securities
|
|||
Level 1 – Quoted Prices
|
$ | - | |||
Level 2 – Other Significant Observable Inputs-Short-Term Instruments+
|
739,224,255 | ||||
Level 3 – Significant Unobservable Inputs
|
- | ||||
Total
|
$ | 739,224,255 | |||
+See schedule of investments for a detailed listing of securities.
|
PACIFIC CAPITAL CASH ASSETS TRUST
|
|||
By:
|
|
||
Diana P. Herrmann
|
|||
Vice Chair, President and Trustee
|
|||
August 24, 2011
|
By:
|
|
||
Diana P. Herrmann
|
|||
Vice Chair, President and Trustee
|
|||
August 24, 2011
|
|||
By:
|
|
||
Joseph P. DiMaggio
|
|||
Chief Financial Officer and Treasurer
|
|||
August 24, 2011
|
1.
|
I have reviewed this report on Form N-Q of Pacific Capital Cash Assets Trust;
|
2.
|
Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
|
3.
|
Based on my knowledge, the schedules of investments included in this report fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed;
|
4.
|
The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:
|
(a)
|
Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
|
(b)
|
Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
|
(c)
|
Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and
|
(d)
|
Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and
|
5.
|
The registrant's other certifying officer(s) and I have disclosed to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):
|
(a)
|
All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and
|
(b)
|
Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
|
/s/ Diana P. Herrmann
|
||
Diana P. Herrmann
|
||
Vice Chair, President and Trustee
|
1.
|
I have reviewed this report on Form N-Q of Pacific Capital Cash Assets Trust;
|
2.
|
Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
|
3.
|
Based on my knowledge, the schedules of investments included in this report fairly present in all material respects the investments of the registrant as of the end of the fiscal quarter for which the report is filed;
|
4.
|
The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:
|
(a)
|
Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
|
(b)
|
Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles;
|
(c)
|
Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report, based on such evaluation; and
|
(d)
|
Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the registrant's most recent fiscal quarter that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and
|
5.
|
The registrant's other certifying officer(s) and I have disclosed to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):
|
(a)
|
All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and
|
(b)
|
Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
|
/s/ Joseph P. DiMaggio
|
||
Joseph P. DiMaggio
|
||
Chief Financial Officer and Treasurer
|