-----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, BaNBhuacydWGu99JC5a9WQYLUm8ZFZ40A25ZvMvLnlEHm1DH2CTe9PWTqL19Rxr+ oQFloJQ5LFdux9GvjvjAsg== 0000897436-05-000254.txt : 20050611 0000897436-05-000254.hdr.sgml : 20050611 20050527144438 ACCESSION NUMBER: 0000897436-05-000254 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20050331 FILED AS OF DATE: 20050527 DATE AS OF CHANGE: 20050527 EFFECTIVENESS DATE: 20050527 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST FINANCIAL FUND INC CENTRAL INDEX KEY: 0000790202 IRS NUMBER: 133341573 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-04605 FILM NUMBER: 05863425 BUSINESS ADDRESS: STREET 1: 1680 38TH STREET STREET 2: SUITE 800 CITY: BOULDER STATE: CO ZIP: 80301 BUSINESS PHONE: 3034445483 MAIL ADDRESS: STREET 1: 1680 38TH STREET STREET 2: SUITE 800 CITY: BOULDER STATE: CO ZIP: 80301 FORMER COMPANY: FORMER CONFORMED NAME: FIRST SAVINGS & BANKING INSTITUTIONS FUND INC DATE OF NAME CHANGE: 19860402 NSAR-B 1 answer.fil FIRST FINANCIAL ANSWER FILE PAGE 1 000 B000000 03/31/2005 000 C000000 0000790202 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 FIRST FINANCIAL FUND, INC. 001 B000000 811-4605 001 C000000 3034445483 002 A000000 1680 38TH STREET, SUITE 800 002 B000000 BOULDER 002 C000000 CO 002 D010000 80301 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 FUND ADMINISTRATIVE SERVICES, LLC 010 B000001 84-1282398 010 C010001 BOULDER 010 C020001 CO 010 C030001 80301 010 A000002 INVESTORS BANK & TRUST COMPANY 010 B000002 85-720 010 C010002 BOSTON 010 C020002 MA 010 C030002 02116 012 A000001 EQUISERVE TRUST COMPANY, NA 012 B000001 84-5601 012 C010001 PROVIDENCE PAGE 2 012 C020001 RI 012 C030001 02940 013 A000001 KPMG LLP 013 B010001 BOSTON 013 B020001 MA 013 B030001 02110 015 A000001 INVESTORS BANK & TRUST COMPANY 015 B000001 C 015 C010001 BOSTON 015 C020001 MA 015 C030001 02116 015 E010001 X 015 A000002 THE BANK OF BERMUDA LIMITED 015 B000002 S 015 C010002 HAMILTON 015 D010002 BERMUDA 015 E040002 X 015 A000003 ROYAL BANK OF CANADA 015 B000003 S 015 C010003 TORONTO 015 D010003 CANADA 015 E040003 X 015 A000004 BANK LEU LTD. 015 B000004 S 015 C010004 ZURICH 015 D010004 SWITZERLAND 015 E040004 X 018 000000 Y 019 A000000 N 019 B000000 0 020 A000001 FRIEDMAN, BILLINGS, RAMSEY & CO., INC 020 B000001 52-1630477 020 C000001 112 020 A000002 KEEFE, BRUYETTE AND WOODS, INC 020 B000002 13-1964616 020 C000002 109 020 A000003 LEHMAN BROTHERS INC 020 B000003 13-2518466 020 C000003 71 020 A000004 MORGAN STANLEY & CO., INC 020 B000004 13-2655998 020 C000004 61 020 A000005 SANDLER O'NEIL & PARTNERS, L.P. 020 B000005 13-3481277 020 C000005 59 020 A000006 CHAPDELAINE CORPORATE SECS 020 B000006 13-3492782 020 C000006 53 020 A000007 CITIGROUP GLOBAL MARKETS, INC 020 B000007 13-5674085 020 C000007 44 PAGE 3 020 A000008 MERRILL LYNCH PIERCE FENNER & SMITH INC 020 B000008 13-5674085 020 C000008 39 020 A000009 BANC OF AMERICA SECURITIES 020 B000009 56-2058405 020 C000009 39 020 A000010 KNIGHT SECURITIES 020 B000010 22-3660471 020 C000010 30 021 000000 971 022 A000001 GOLDMAN SACHS & CO 022 B000001 13-5108880 022 C000001 5546660 022 D000001 0 022 A000002 LEHMAN BROTHERS INC. 022 B000002 13-2518466 022 C000002 2023765 022 D000002 0 022 A000003 DEUTSCHE BANK SECURITIES INC 022 B000003 13-2730828 022 C000003 824075 022 D000003 0 022 A000004 PARIBAS CAPITAL MARKETS 022 B000004 XXXXXXXXXX 022 C000004 251900 022 D000004 0 022 A000005 ABN AMRO INC 022 B000005 13-3227945 022 C000005 171700 022 D000005 0 022 A000006 FRIEDMAN, BILLINGS, RAMSEY & CO., INC 022 B000006 52-1634077 022 C000006 33118 022 D000006 0 022 A000007 SALOMON SMITH BARNEY INC 022 B000007 11-2418191 022 C000007 15115 022 D000007 0 022 A000008 MERRILL LYNCH PIERCE FENNER & SMITH INC 022 B000008 13-5674085 022 C000008 13671 022 D000008 0 022 A000009 ROYAL BANK OF SCOTLAND PLC 022 B000009 XXXXXXXXXX 022 C000009 13036 022 D000009 0 022 A000010 CREDIT SUISSE FIRST BOSTON 022 B000010 13-5659485 022 C000010 8316 022 D000010 0 023 C000000 8945111 PAGE 4 023 D000000 7989 024 000000 Y 025 A000001 CITIGROUP, INC 025 B000001 13-5674085 025 C000001 E 025 D000001 6125 025 A000002 UBS AG 025 B000002 13-3873456 025 C000002 E 025 D000002 2169 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 Y 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 N 028 A010000 0 028 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 PAGE 5 028 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 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 PAGE 6 050 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 N 054 I000000 N 054 J000000 Y 054 K000000 N 054 L000000 N 054 M000000 Y 054 N000000 N 054 O000000 Y 055 A000000 N 055 B000000 Y 056 000000 Y 057 000000 N 058 A000000 N 059 000000 Y 060 A000000 Y 060 B000000 Y 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 PAGE 7 066 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 070 J020000 Y 070 K010000 N 070 K020000 N 070 L010000 Y 070 L020000 Y 070 M010000 Y 070 M020000 Y 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 328972 071 B000000 453491 071 C000000 417617 071 D000000 79 072 A000000 12 072 B000000 640 072 C000000 12604 PAGE 8 072 D000000 0 072 E000000 0 072 F000000 2819 072 G000000 694 072 H000000 0 072 I000000 32 072 J000000 330 072 K000000 0 072 L000000 107 072 M000000 139 072 N000000 0 072 O000000 0 072 P000000 145 072 Q000000 0 072 R000000 30 072 S000000 170 072 T000000 0 072 U000000 0 072 V000000 0 072 W000000 214 072 X000000 4680 072 Y000000 0 072 Z000000 8564 072AA000000 107241 072BB000000 0 072CC010000 0 072CC020000 44769 072DD010000 8661 072DD020000 0 072EE000000 107575 073 A010000 0.3800 073 A020000 0.0000 073 B000000 4.7200 073 C000000 0.0000 074 A000000 39 074 B000000 14000 074 C000000 0 074 D000000 0 074 E000000 0 074 F000000 373037 074 G000000 0 074 H000000 0 074 I000000 622 074 J000000 12742 074 K000000 0 074 L000000 622 074 M000000 202 074 N000000 401264 074 O000000 1707 074 P000000 643 074 Q000000 0 PAGE 9 074 R010000 0 074 R020000 0 074 R030000 0 074 R040000 282 074 S000000 0 074 T000000 398632 074 U010000 23063 074 U020000 0 074 V010000 17.28 074 V020000 0.00 074 W000000 0.0000 074 X000000 899 074 Y000000 0 075 A000000 0 075 B000000 441119 076 000000 18.02 077 A000000 Y 077 B000000 Y 078 000000 N 080 A000000 TRAVELERS CASUALITY AND SURETY COMPANY 080 C000000 1200 081 A000000 Y 081 B000000 2 082 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 0 087 A010000 COMMON STOCK 087 A020000 320228109 087 A030000 FF 088 A000000 N 088 B000000 N 088 C000000 N 088 D000000 N PAGE 10 SIGNATURE CARL JOHNS TITLE VICE PRESIDENT EX-99 2 internalctrl.txt INTERNAL CONTROL AUDIT LETTER Report of Independent Registered Public Accounting Firm Board of Directors and Shareholders First Financial Fund, Inc. In planning and performing our audit of the financial statements of First Financial Fund, Inc., for the year ended March 31, 2005, 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 First Financial Fund, Inc. 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 U.S. generally accepted accounting principles. Those controls include the safeguarding of assets against unauthorized acquisition, use, or disposition. Because of inherent limitations in internal control, error 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 it may become inadequate because of changes in conditions or that the effectiveness of the 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 the standards of the Public Company Accounting Oversight Board (United States). A material weakness is a significant deficiency, or combination of significant deficiencies, that results in more than a remote likelihood that a material misstatement of the annual or interim financial statements will not be prevented or detected. However, we noted no matters involving internal control and its operation, including controls for safeguarding securities, which we consider to be material weaknesses as defined above as of March 31, 2005. This report is intended solely for the information and use of management and the Board of Directors of First Financial Fund, Inc. and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. Boston, Massachusetts May 27, 2005 -----END PRIVACY-ENHANCED MESSAGE-----