0000791049-12-000028.txt : 20121128
0000791049-12-000028.hdr.sgml : 20121128
20121128140908
ACCESSION NUMBER: 0000791049-12-000028
CONFORMED SUBMISSION TYPE: NSAR-B
PUBLIC DOCUMENT COUNT: 3
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20121128
DATE AS OF CHANGE: 20121128
EFFECTIVENESS DATE: 20121128
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-B
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-04626
FILM NUMBER: 121228568
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
0000791049
S000006648
TAX-FREE TRUST OF OREGON
C000018137
Tax-Free Trust of Oregon Class A
ORTFX
C000018138
Tax-Free Trust of Oregon Class C
ORTCX
C000018139
Tax-Free Trust of Oregon Class I
ORTIX
C000018140
Tax-Free Trust of Oregon Class Y
ORTYX
NSAR-B
1
answer.fil
THE CASCADES TRUST 9/30/12 FORM N-SAR-B
PAGE 1
000 B000000 09/30/2012
000 C000000 0000791049
000 D000000 N
000 E000000 NF
000 F000000 Y
000 G000000 N
000 H000000 N
000 I000000 6.1
000 J000000 U
001 A000000 THE CASCADES TRUST
001 B000000 811-4626
001 C000000 2126976666
002 A000000 380 MADISON AVENUE, STE. 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 Y
007 B000000 1
007 C010100 1
007 C020100 TAX-FREE TRUST OF OREGON
007 C030100 N
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 A00AA01 AQUILA INVESTMENT MANAGEMENT LLC.
008 B00AA01 A
008 C00AA01 801-221199
008 D01AA01 NEW YORK
008 D02AA01 NY
008 D03AA01 10017
008 D04AA01 2511
008 A00AA02 KIRKPATRICK PETTIS CAPITAL MANAGEMENT,INC.
008 B00AA02 S
008 C00AA02 801-000000
008 D01AA02 LAKE OSWEGO
008 D02AA02 OR
008 D03AA02 97035
010 A00AA01 AQUILA INVESTMENT MANAGEMENT LLC
010 B00AA01 801-22119
010 C01AA01 NEW YORK
PAGE 2
010 C02AA01 NY
010 C03AA01 10017
010 C04AA01 2511
011 A00AA01 AQUILA DISTRIBUTORS, INC.
011 B00AA01 8-13173
011 C01AA01 NEW YORK
011 C02AA01 NY
011 C03AA01 10017
011 C04AA01 2511
012 A00AA01 BNY MELLON
012 B00AA01 84-01761
012 C01AA01 WESTBOROUGH
012 C02AA01 MA
012 C03AA01 01581
013 A00AA01 TAIT, WELLER & BAKER LLC
013 B01AA01 PHILADELPHIA
013 B02AA01 PA
013 B03AA01 19103
015 A00AA01 JP MORGAN CHASE BANK, N.A.
015 B00AA01 C
015 C01AA01 COLUMBUS
015 C02AA01 OH
015 C03AA01 43240
015 E01AA01 X
018 00AA00 Y
019 A00AA00 Y
019 B00AA00 11
019 C00AA00 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 SEATTLE NORTHWEST SECURITIES
022 B000001 91-1172183
022 C000001 13920
022 D000001 6760
022 A000002 WILLIAM BLAIR & CO. INC.
022 B000002 13-2518466
022 C000002 6849
022 D000002 0
022 A000003 MCDONALD & CO. SECURITIES
022 B000003 N/A
022 C000003 0
022 D000003 2701
PAGE 3
022 A000004 RBC DAIN RAUSCHER INC.
022 B000004 41-0212020
022 C000004 4160
022 D000004 1033
022 A000005 KIRKPATRICK PETTIS
022 B000005 47-0301070
022 C000005 2019
022 D000005 2616
022 A000006 BMO CAPITAL MARKETS
022 B000006 N/A
022 C000006 2322
022 D000006 0
022 A000007 PERSHING LLC
022 B000007 13-2741729
022 C000007 14458
022 D000007 3513
022 A000008 JP MORGAN CHASE
022 B000008 62-0136910
022 C000008 4429
022 D000008 0
022 A000009 JANNEY MONTGOMERY SCOTT
022 B000009 23-0731260
022 C000009 8933
022 D000009 3203
022 A000010 SAMUEL A. RAMIREZ & CO.
022 B000010 13-2695511
022 C000010 8113
022 D000010 0
023 C000000 78548
023 D000000 37474
024 00AA00 N
025 D00AA01 0
025 D00AA02 0
025 D00AA03 0
025 D00AA04 0
025 D00AA05 0
025 D00AA06 0
025 D00AA07 0
025 D00AA08 0
026 A000000 N
026 B000000 N
026 C000000 N
026 D000000 Y
026 E000000 N
026 F000000 N
026 G010000 N
026 G020000 N
026 H000000 N
027 000000 Y
028 A01AA00 6583
028 A02AA00 852
PAGE 4
028 A03AA00 0
028 A04AA00 5036
028 B01AA00 7537
028 B02AA00 830
028 B03AA00 0
028 B04AA00 5057
028 C01AA00 8176
028 C02AA00 902
028 C03AA00 0
028 C04AA00 3681
028 D01AA00 8346
028 D02AA00 884
028 D03AA00 0
028 D04AA00 3511
028 E01AA00 7338
028 E02AA00 840
028 E03AA00 0
028 E04AA00 3879
028 F01AA00 5700
028 F02AA00 1064
028 F03AA00 0
028 F04AA00 4244
028 G01AA00 43680
028 G02AA00 5372
028 G03AA00 0
028 G04AA00 25408
028 H00AA00 22476
029 00AA00 Y
030 A00AA00 1251
030 B00AA00 4.00
030 C00AA00 0.00
031 A00AA00 227
031 B00AA00 0
032 00AA00 1024
033 00AA00 0
034 00AA00 Y
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036 B00AA00 0
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038 00AA00 0
039 00AA00 N
040 00AA00 Y
041 00AA00 Y
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042 B00AA00 0
042 C00AA00 10
042 D00AA00 90
042 E00AA00 0
042 F00AA00 0
042 G00AA00 0
PAGE 5
042 H00AA00 0
043 00AA00 918
044 00AA00 0
045 00AA00 Y
046 00AA00 N
047 00AA00 Y
048 00AA00 4.000
048 A01AA00 0
048 A02AA00 0.000
048 B01AA00 0
048 B02AA00 0.000
048 C01AA00 0
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048 E01AA00 0
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048 F01AA00 0
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048 G01AA00 0
048 G02AA00 0.000
048 H01AA00 0
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048 I01AA00 0
048 I02AA00 0.000
048 J01AA00 0
048 J02AA00 0.000
048 K01AA00 0
048 K02AA00 0.000
049 00AA00 N
050 00AA00 N
051 00AA00 N
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053 A00AA00 Y
053 B00AA00 Y
053 C00AA00 N
054 A00AA00 Y
054 B00AA00 Y
054 C00AA00 Y
054 D00AA00 N
054 E00AA00 N
054 F00AA00 N
054 G00AA00 N
054 H00AA00 Y
054 I00AA00 N
054 J00AA00 Y
054 K00AA00 N
054 L00AA00 Y
054 M00AA00 Y
054 N00AA00 N
054 O00AA00 Y
PAGE 6
055 A00AA00 N
055 B00AA00 N
056 00AA00 Y
057 00AA00 N
058 A00AA00 N
059 00AA00 Y
060 A00AA00 N
060 B00AA00 N
061 00AA00 1000
062 A00AA00 Y
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062 C00AA00 0.0
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062 O00AA00 98.6
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063 A00AA00 0
063 B00AA00 12.3
064 A00AA00 Y
064 B00AA00 N
066 A00AA00 N
067 00AA00 N
068 A00AA00 N
068 B00AA00 N
069 00AA00 N
070 A01AA00 N
070 A02AA00 N
070 B01AA00 N
070 B02AA00 N
070 C01AA00 Y
070 C02AA00 N
070 D01AA00 N
070 D02AA00 N
070 E01AA00 Y
070 E02AA00 N
070 F01AA00 N
070 F02AA00 N
070 G01AA00 N
070 G02AA00 N
070 H01AA00 N
PAGE 7
070 H02AA00 N
070 I01AA00 N
070 I02AA00 N
070 J01AA00 N
070 J02AA00 N
070 K01AA00 N
070 K02AA00 N
070 L01AA00 N
070 L02AA00 N
070 M01AA00 N
070 M02AA00 N
070 N01AA00 N
070 N02AA00 N
070 O01AA00 Y
070 O02AA00 N
070 P01AA00 N
070 P02AA00 N
070 Q01AA00 N
070 Q02AA00 N
070 R01AA00 N
070 R02AA00 N
071 A00AA00 78548
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PAGE 8
072AA00AA00 2523
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072DD02AA00 779
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074 T00AA00 540495
074 U01AA00 36353
074 U02AA00 3272
074 V01AA00 11.30
074 V02AA00 11.52
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076 00AA00 0.00
077 A000000 Y
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077 D000000 N
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077 F000000 N
077 G000000 N
PAGE 9
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 A00AA00 ICI MUTUAL INSURANCE COMPANY
080 C00AA00 8000
081 A00AA00 Y
081 B00AA00 10
082 A00AA00 Y
082 B00AA00 50
083 A00AA00 N
083 B00AA00 0
084 A00AA00 N
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085 A00AA00 Y
085 B00AA00 N
086 A010000 0
086 A020000 0
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086 E010000 0
086 E020000 0
086 F010000 0
086 F020000 0
SIGNATURE RANDALL S. FILLMORE
TITLE CHIEF COMPLIANCE OFR
EX-99.77B ACCT LTTR
3
tfto93012twb.txt
INDPENDENT REGISTERED PUBIC ACCOUNTING FIRM LETTER
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Shareholders and Board of Trustees
Tax-Free Trust of Oregon
New York, New York
In planning and performing our audits of the financial
statements of Tax-Free Trust of Oregon (the 'Fund') as of
and for the year ended September 30, 2012, in accordance
with the standards of the Public Company Accounting
Oversight Board (United States), we considered its
internal control over financial reporting, including
control activities for safeguarding securities, as a basis
for designing our auditing procedures for the purpose of
expressing our opinion on the financial statements and to
comply with the requirements of Form N-SAR, but not for
the purpose of expressing an opinion on the effectiveness
of the Fund's internal control over financial reporting.
Accordingly, we express no such opinion.
The management of the Fund is responsible for establishing
and maintaining effective internal control over financial
reporting. In fulfilling this responsibility, estimates
and judgments by management are required to assess the
expected benefits and related costs of controls. A
company's internal control over financial reporting is a
process designed to provide reasonable assurance regarding
the reliability of financial reporting and the preparation
of financial statements for external purposes in accordance
with accounting principles generally accepted in the
United States of America. Such internal control includes
policies and procedures that provide reasonable assurance
regarding prevention or timely detection of unauthorized
acquisition, use or disposition of a company's assets that
could have a material effect on the financial statements.
Because of inherent limitations, internal control over
financial reporting may not prevent or detect misstatements.
Also, projections of any evaluation of effectiveness to
future periods are subject to the risk that controls may
become inadequate because of changes in conditions, or that
the degree of compliance with the policies or procedures
may deteriorate.
A control deficiency exists when the design or operation of
a control does not allow management or employees, in the
normal course of performing their assigned functions, to
prevent or detect misstatements on a timely basis. A
significant deficiency is a control deficiency, or
combination of control deficiencies, that adversely affects
the company's ability to initiate, authorize, record,
process or report financial data reliably in accordance
with accounting principles generally accepted in the United
States of America such that there is more than a remote
likelihood that a misstatement of the company's annual or
interim financial statements that is more than inconsequential
will not be prevented or detected. 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.
Shareholders and Board of Trustees
Tax-Free Trust of Oregon
Page Two
Our consideration of the Fund's internal control over
financial reporting was for the limited purpose described
in the first paragraph and would not necessarily disclose
all deficiencies in internal control that might be
significant deficiencies or material weaknesses under
standards established by the Public Company Accounting
Oversight Board (United States). However, we noted no
deficiencies in the Fund's internal control over financial
reporting and its operation, including controls for
safeguarding securities, which we consider to be material
weaknesses, as defined above, as of September 30, 2012.
This report is intended solely for the information and use
of management, Shareholders and Board of Trustees of the
Fund and the Securities and Exchange Commission, and is
not intended to be and should not be used by anyone other
than these specified parties.
TAIT, WELLER & BAKER LLP
Philadelphia, Pennsylvania
November 27, 2012
EX-99.77C VOTES
4
tftoshrmtg4-12.txt
SHAREHOLDER MEETING RESULTS
Shareholder Meeting Results (unaudited)
The Annual Meeting of Shareholders of Tax-Free Trust
of Oregon (the 'Trust') was held on April 11, 2012.
The holders of shares representing 89% of the total
net asset value of the shares entitled to vote were
present in person or by proxy. At the meeting, the
following matters were voted upon and approved by
the shareholders (the resulting votes for are presented
below).
1. To elect Trustees
Dollar Amount of Votes:
Trustee For Withheld
Gary C. Cornia $448,086,491 $3,267,874
James A. Gardner $446,528,626 $4,825,740
Diana P. Herrmann $448,441,529 $2,912,837
Edmund P. Jensen $447,688,663 $3,665,703
John W. Mitchell $448,074,358 $3,280,008
Ralph R. Shaw $446,416,758 $4,937,607
Nancy Wilgenbusch $448,364,831 $2,989,535
2. To ratify the selection of Tait, Weller & Baker LLP
as the Trust's independent registered public accounting firm
Dollar Amount of Votes:
For Against Abstain
$445,094,000 $200,977 $6,059,390