-----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, HK/HY5c1eYeycNVK0D8cnuFSY9TutpKFYPbaW5B1Xhjr4KueUz4Vt1bD8+SV87V3 nND3GZdBCXxlsroBWcddgQ== 0000791049-03-000009.txt : 20030528 0000791049-03-000009.hdr.sgml : 20030528 20030528154514 ACCESSION NUMBER: 0000791049-03-000009 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20030331 FILED AS OF DATE: 20030528 EFFECTIVENESS DATE: 20030528 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CASCADES TRUST CENTRAL INDEX KEY: 0000791049 IRS NUMBER: 136868231 STATE OF INCORPORATION: MA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-04626 FILM NUMBER: 03721696 BUSINESS ADDRESS: STREET 1: 380 MADISON AVE STE 2300 CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2126976666 MAIL ADDRESS: STREET 1: 380 MADISON AVENUE STREET 2: # 2300 CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: TAX FREE TRUST OF OREGON DATE OF NAME CHANGE: 19890810 NSAR-A 1 answer.fil TAX-FREE TRUST OF OREGON 3/31/03 SEMI-ANNUAL NSAR PAGE 1 000 A000000 03/31/2003 000 C000000 0000791049 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 THE CASCADES TRUST 001 B000000 811-4626 001 C000000 2126976666 002 A000000 380 MADISON AVENUE #2300 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10017 002 D020000 2511 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 US BANCORP ASSET MANAGEMENT, INC. 008 B000001 S 008 C000001 801-000000 008 D010001 PORTLAND 008 D020001 OR 008 D030001 97204 008 A000002 AQUILA MANAGEMENT CORPORATION 008 B000002 A 008 C000002 801-22119 008 D010002 NEW YORK 008 D020002 NY 008 D030002 10017 008 D040002 2511 010 A000001 AQUILA MANAGEMENT CORPORATION 010 B000001 801-22119 010 C010001 NEW YORK 010 C020001 NY 010 C030001 10017 PAGE 2 010 C040001 2511 011 A000001 AQUILA DISTRIBUTORS, INC. 011 B000001 8-13173 011 C010001 NEW YORK 011 C020001 NY 011 C030001 10017 012 A000001 PFPC, INC. 012 B000001 85-11196 012 C010001 WILMINGTON 012 C020001 DE 012 C030001 19809 013 A000001 KPMG LLP 013 B010001 NEW YORK 013 B020001 NY 013 B030001 10154 015 A000001 BANK ONE TRUST COMPANY, N.A. 015 B000001 C 015 C010001 COLUMBUS 015 C020001 OH 015 C030001 43240 015 E010001 X 018 000000 Y 019 A000000 Y 019 B000000 16 019 C000000 AQUILAMGMT 020 C000001 0 020 C000002 0 020 C000003 0 020 C000004 0 020 C000005 0 020 C000006 0 020 C000007 0 020 C000008 0 020 C000009 0 020 C000010 0 021 000000 0 022 A000001 RBC DOMINION SECURITIES 022 B000001 13-5033225 022 C000001 28536 022 D000001 10090 022 A000002 SALOMON SMITH BARNEY 022 B000002 11-2418191 022 C000002 5638 022 D000002 1428 022 A000003 STEPHENS, INC. 022 B000003 71-0211822 022 C000003 2765 022 D000003 3948 022 A000004 SEATTLE NORTHWEST SECURITIES 022 B000004 91-1172183 022 C000004 3916 PAGE 3 022 D000004 2587 022 A000005 BANK AMERICA 022 B000005 56-2058405 022 C000005 5810 022 D000005 0 022 A000006 PAINE WEBBER JACKSON & CURTIS 022 B000006 13-2638166 022 C000006 3092 022 D000006 0 022 A000007 WELLS FARGO 022 B000007 41-1996485 022 C000007 0 022 D000007 2045 022 A000008 STRAND ATKINSON & WILLIAMS 022 B000008 N/A 022 C000008 0 022 D000008 245 022 A000009 MORGAN STANLEY 022 B000009 13-2655998 022 C000009 222 022 D000009 0 022 A000010 D.A. 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3174 074 V010000 10.99 074 V020000 10.98 074 W000000 0.0000 074 X000000 6922 074 Y000000 0 075 A000000 0 075 B000000 405377 076 000000 0.00 077 A000000 Y 077 B000000 N 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 PAGE 9 077 M000000 N 077 N000000 N 077 O000000 N 077 P000000 N 077 Q010000 Y 077 Q020000 N 077 Q030000 Y 078 000000 N 080 C000000 0 081 B000000 0 082 B000000 0 083 B000000 0 084 B000000 0 086 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 ROBERT ANDERSON TITLE COMPLIANCE OFFICER EX-99.77Q3 CERT 3 certtfto.txt CERTIFICATION LANGUAGE SUB-ITEM 77Q3 (a) (i) Based upon their evaluation of the registrant's disclosure controls and procedures as conducted within 90 days of the filing date of this report, the registrant's chief executive officer and chief financial officer have concluded that those disclosure controls and procedures provide reasonable assurance that the material information required to be disclosed by the registrant in the reports it files or submits under the Securities Exchange Act of 1934, as amended (the "1934 Act"), is recorded, processed, summarized and reported in substantial compliance with the 1934 Act and the Commission's rules and forms thereunder. (ii) There were no significant changes in the registrant's internal controls or in other factors that could significantly affect these controls subsequent to the date of their last evaluation. (iii) CERTIFICATIONS I, Lacy B. Herrmann, certify that: 1. I have reviewed this report on Form N-SAR of The Cascades 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 financial information included in this report, and the financial statements on which the financial information is based, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report; 4. The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in rule 30a-2(c) under the Investment Company Act) for the registrant and have: a) designed such disclosure controls and procedures 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) evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this report ("Evaluation Date"); and c) presented in this report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date; 5. The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, 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 in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize, and report financial data and have identified for the registrant's auditors any material weakness in internal controls; and (b) any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and 6. The registrant's other certifying officers and I have indicated in this report whether or not there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses. Date: May 28, 2003 /s/ Lacy B. Herrmann - ---------------------- Title: Chairman of the Board I, Diana P. Herrmann, certify that: 1. I have reviewed this report on Form N-SAR of The Cascades 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 financial information included in this report, and the financial statements on which the financial information is based, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report; 4. The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in rule 30a-2(c) under the Investment Company Act) for the registrant and have: a) designed such disclosure controls and procedures 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) evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this report ("Evaluation Date"); and c) presented in this report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date; 5. The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, 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 in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize, and report financial data and have identified for the registrant's auditors any material weakness in internal controls; and (b) any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and 6. The registrant's other certifying officers and I have indicated in this report whether or not there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses. Date: May 28, 2003 /s/ Diana P. Herrmann - ---------------------- Title: President I, Joseph P. DiMaggio, certify that: 1. I have reviewed this report on Form N-SAR of The Cascades 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 financial information included in this report, and the financial statements on which the financial information is based, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report; 4. The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in rule 30a-2(c) under the Investment Company Act) for the registrant and have: a) designed such disclosure controls and procedures 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) evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this report ("Evaluation Date"); and c) presented in this report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date; 5. The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, 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 in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize, and report financial data and have identified for the registrant's auditors any material weakness in internal controls; and (b) any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and 6. The registrant's other certifying officers and I have indicated in this report whether or not there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses. Date: May 28, 2003 /s/ Joseph P. DiMaggio - ------------------------ Title: Treasurer -----END PRIVACY-ENHANCED MESSAGE-----