-----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, KTY8/J/uQl4Y6pY6GnaUOuBSLM1jwo+l3yazhRPvhfxrcU9vHhsdroAlTgD7ArKD haMIFW59XtPayFz27lYQ8g== 0000790202-98-000004.txt : 19981201 0000790202-98-000004.hdr.sgml : 19981201 ACCESSION NUMBER: 0000790202-98-000004 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 19980930 FILED AS OF DATE: 19981130 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST FINANCIAL FUND INC CENTRAL INDEX KEY: 0000790202 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133341573 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: SEC FILE NUMBER: 811-04605 FILM NUMBER: 98761136 BUSINESS ADDRESS: STREET 1: GATEWAY ENTER THREE 100 MULBERRY ST CITY: NEWARK STATE: NJ ZIP: 07102-4077 BUSINESS PHONE: 2013677530 MAIL ADDRESS: STREET 1: GATEWAY CENTER THREE 100 MULBERRY STREET CITY: NEWARK STATE: NJ ZIP: 07102-4077 FORMER COMPANY: FORMER CONFORMED NAME: FIRST SAVINGS & BANKING INSTITUTIONS FUND INC DATE OF NAME CHANGE: 19860402 NSAR-A 1 N-SAR (3.0.A) PAGE 1 000 A000000 09/30/98 000 C000000 0000790202 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 3.0.a 000 J000000 U 001 A000000 FIRST FINANCIAL FUND, INC. 001 B000000 811-4605 001 C000000 9733677530 002 A000000 100 MULBERRY STREET, 9TH FLOOR 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 WELLINGTON MANAGEMENT COMPANY, LLP 008 B000001 A 008 C000001 801-15908 008 D010001 BOSTON 008 D020001 MA 008 D030001 02109 010 A000001 PRUDENTIAL INVESTMENTS FUND MANAGEMENT LLC 010 B000001 811-31104 010 C010001 NEWARK 010 C020001 NJ 010 C030001 07102 010 C040001 4077 011 A000001 DELETE 012 A000001 STATE STREET BANK AND TRUST COMPANY 012 B000001 84-111111 012 C010001 NORTH QUINCY 012 C020001 MA 012 C030001 02171 PAGE 2 013 A000001 PRICEWATERHOUSECOOPERS LLP 013 B010001 NEW YORK 013 B020001 NY 013 B030001 10036 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 N 019 B000000 0 020 A000001 FRIEDMAN, BILLINGS, RAMSEY & CO., INC. 020 B000001 52-1630477 020 C000001 62 020 A000002 MONTGOMERY SECURITIES 020 B000002 94-1701676 020 C000002 57 020 A000003 CANTOR FITZGERALD & CO. 020 B000003 13-3680184 020 C000003 36 020 A000004 MORGAN STANLEY DEAN WITTER 020 C000004 21 020 A000005 STIFEL, NICOLAUS & CO., INC. 020 B000005 43-0538770 020 C000005 20 020 A000006 JONES & ASSOCIATES, INC. 020 C000006 15 020 A000007 BEAR, STEARNS & CO., INC. 020 B000007 13-3299429 020 C000007 15 020 A000008 LEHMAN BROTHERS, INC. 020 B000008 13-2518466 020 C000008 10 020 A000009 KEEFE BRUYETTE & WOODS, INC. 020 C000009 10 020 A000010 SANDLER O'NEIL 020 C000010 8 021 000000 297 022 A000001 PAINEWEBBER, INC. 022 B000001 13-2638166 022 C000001 275276 022 D000001 1807 022 A000002 LEHMAN BROTHERS, INC. 022 B000002 13-2518466 022 C000002 264586 022 D000002 0 022 A000003 PARIBAS CORP. 022 B000003 13-3235334 022 C000003 236822 PAGE 3 022 D000003 0 022 A000004 MORGAN (J.P.) SECURITIES, INC. 022 B000004 13-3224016 022 C000004 140390 022 D000004 0 022 A000005 SWISS BANK CORP. 022 C000005 132430 022 D000005 0 022 A000006 WARBURG DILLION READ LLC 022 C000006 104819 022 D000006 0 022 A000007 SANDLER O'NEIL 022 C000007 22097 022 D000007 13410 022 A000008 BEAR, STEARNS & CO., INC. 022 B000008 13-3299429 022 C000008 30323 022 D000008 1330 022 A000009 FRIEDMAN, BILLINGS, RAMSEY & CO., INC. 022 B000009 52-1630477 022 C000009 20161 022 D000009 7180 022 A000010 MONTGOMERY SECURITIES 022 B000010 94-1701676 022 C000010 18196 022 D000010 6649 023 C000000 1277377 023 D000000 60380 024 000000 Y 025 A000001 LEGG MASON WOOD WALKER, INC. 025 B000001 52-0902557 025 C000001 E 025 D000001 3684 025 D000002 0 025 D000003 0 025 D000004 0 025 D000005 0 025 D000006 0 025 D000007 0 025 D000008 0 026 A000000 N 026 B000000 Y 026 C000000 N 026 D000000 Y 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 N 028 A010000 0 PAGE 4 028 A020000 0 028 A030000 0 028 A040000 0 028 B010000 0 028 B020000 0 028 B030000 0 028 B040000 0 028 C010000 0 028 C020000 0 028 C030000 0 028 C040000 0 028 D010000 0 028 D020000 0 028 D030000 0 028 D040000 0 028 E010000 0 028 E020000 0 028 E030000 0 028 E040000 0 028 F010000 0 028 F020000 0 028 F030000 0 028 F040000 0 028 G010000 0 028 G020000 0 028 G030000 0 028 G040000 0 028 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 0 042 A000000 0 042 B000000 0 042 C000000 0 042 D000000 0 042 E000000 0 042 F000000 0 042 G000000 0 042 H000000 0 043 000000 0 044 000000 0 045 000000 Y 046 000000 N 047 000000 Y PAGE 5 048 000000 0.000 048 A010000 50000 048 A020000 0.750 048 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 0.000 048 J010000 0 048 J020000 0.000 048 K010000 50000 048 K020000 0.625 049 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 Y 054 H000000 Y 054 I000000 N 054 J000000 N 054 K000000 N 054 L000000 N 054 M000000 Y 054 N000000 N 054 O000000 N 055 A000000 Y 055 B000000 Y 056 000000 Y 057 000000 N 058 A000000 N 059 000000 Y 060 A000000 Y 060 B000000 Y PAGE 6 061 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 N 066 C000000 Y 066 D000000 N 066 E000000 N 066 F000000 N 066 G000000 N 067 000000 N 068 A000000 N 068 B000000 N 069 000000 N 070 A010000 Y 070 A020000 Y 070 B010000 N 070 B020000 N 070 C010000 N 070 C020000 N 070 D010000 Y 070 D020000 N 070 E010000 N 070 E020000 N 070 F010000 N 070 F020000 N 070 G010000 N 070 G020000 N 070 H010000 N 070 H020000 N 070 I010000 N 070 I020000 N 070 J010000 Y PAGE 7 070 J020000 Y 070 K010000 N 070 K020000 N 070 L010000 N 070 L020000 N 070 M010000 N 070 M020000 N 070 N010000 N 070 N020000 N 070 O010000 Y 070 O020000 Y 070 P010000 Y 070 P020000 N 070 Q010000 N 070 Q020000 N 070 R010000 N 070 R020000 N 071 A000000 137972 071 B000000 133645 071 C000000 378303 071 D000000 35 072 A000000 6 072 B000000 277 072 C000000 4447 072 D000000 0 072 E000000 0 072 F000000 1172 072 G000000 274 072 H000000 0 072 I000000 14 072 J000000 39 072 K000000 0 072 L000000 38 072 M000000 9 072 N000000 16 072 O000000 0 072 P000000 1158 072 Q000000 0 072 R000000 11 072 S000000 59 072 T000000 0 072 U000000 0 072 V000000 0 072 W000000 36 072 X000000 2826 072 Y000000 0 072 Z000000 1899 072AA000000 44114 072BB000000 0 072CC010000 0 072CC020000 162610 PAGE 8 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 14634 074 C000000 5 074 D000000 0 074 E000000 2688 074 F000000 294020 074 G000000 0 074 H000000 0 074 I000000 806 074 J000000 4801 074 K000000 0 074 L000000 1487 074 M000000 112 074 N000000 318553 074 O000000 635 074 P000000 1368 074 Q000000 0 074 R010000 0 074 R020000 0 074 R030000 0 074 R040000 45295 074 S000000 0 074 T000000 271255 074 U010000 20477 074 U020000 0 074 V010000 13.25 074 V020000 0.00 074 W000000 0.0000 074 X000000 1569 074 Y000000 0 075 A000000 0 075 B000000 365028 076 000000 12.69 077 A000000 Y 077 B000000 N 077 C000000 Y 077 D000000 N 077 E000000 N 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N PAGE 9 077 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 ICI MUTUAL INSURANCE COMPANY 080 C000000 65000 081 A000000 Y 081 B000000 86 082 A000000 Y 082 B000000 25 083 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 0 087 A010000 COMMON STOCK 087 A020000 320228109 087 A030000 FF 088 A000000 N 088 B000000 N 088 C000000 N 088 D000000 N SIGNATURE GRACE TORRES TITLE TREASURER EX-27 2 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE. 6-MOS MAR-31-1999 SEP-30-1998 341,156,727 312,152,786 6,287,866 112,760 0 318,553,412 635,440 45,000,000 1,662,608 47,298,048 0 234,071,678 20,477,040 20,477,040 2,807,694 0 63,379,933 0 (29,003,941) 271,255,364 4,447,434 277,413 0 2,826,080 1,898,767 44,114,488 (162,609,829) (116,596,574) 0 0 0 0 0 0 0 (116,596,574) 908,927 19,265,445 0 0 1,171,963 1,158,413 2,826,080 365,028,000 18.94 0.09 (5.78) 0.00 0.00 0.00 13.25 1.54 0 0.00

EX-99 3 \\njplazf11\pi-mf-admin\techsupp\techsupp\nsar\first financial\9_98\nsar-77c.1198.doc For the semi-annual period ended 8/30/98 File number 811-4605 SUB-ITEM 77C Submission of Matters to a Vote of Security Holders An Annual Meeting of Shareholders was held on August 27, 1998. At such meeting the shareholders approved the selection of auditors and the election of a director. Pursuant to Instruction 2 to this Sub-Item, information as to these matters has not been included in this Attachment. ~~-----END PRIVACY-ENHANCED MESSAGE-----~~