0000791049-13-000023.txt : 20130530
0000791049-13-000023.hdr.sgml : 20130530
20130530083216
ACCESSION NUMBER: 0000791049-13-000023
CONFORMED SUBMISSION TYPE: NSAR-BT
PUBLIC DOCUMENT COUNT: 3
CONFORMED PERIOD OF REPORT: 20130331
FILED AS OF DATE: 20130530
DATE AS OF CHANGE: 20130530
EFFECTIVENESS DATE: 20130530
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-BT
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-04626
FILM NUMBER: 13879946
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-BT
1
answer.fil
TAX-FREE TRUST OF OREGON 3/31/2013 FORM NSAR-BT
PAGE 1
000 B000000 03/31/2013
000 C000000 0000791049
000 D000000 Y
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, 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
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007 C010300 3
007 C010400 4
007 C010500 5
007 C010600 6
007 C010700 7
007 C010800 8
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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
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022 A000001 MERRILL LYNCH
022 B000001 13-2740599
022 C000001 2380
022 D000001 0
022 A000002 WILLIAM BLAIR & CO. INC.
022 B000002 13-2518466
022 C000002 0
022 D000002 1339
022 A000003 MORGAN STANLEY
022 B000003 13-2740599
022 C000003 1335
022 D000003 0
PAGE 3
022 A000004 PIPER JAFFREY
022 B000004 41-0953246
022 C000004 1718
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022 A000005 RW BAIRD
022 B000005 39-6037917
022 C000005 1020
022 D000005 0
022 A000006 GEORGE K. BAUM
022 B000006 43-1661917
022 C000006 2604
022 D000006 0
022 A000007 PERSHING LLC
022 B000007 13-2741729
022 C000007 20009
022 D000007 0
022 A000008 WEDBUSCH MORGAN SECURITIES
022 B000008 95-2495390
022 C000008 4934
022 D000008 0
022 A000009 BANK OF NEW YORK
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PAGE 4
028 B01AA00 7996
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028 F04AA00 5688
028 G01AA00 44482
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028 G04AA00 31722
028 H00AA00 19494
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PAGE 5
044 00AA00 0
045 00AA00 Y
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048 K02AA00 0.000
049 00AA00 N
050 00AA00 N
051 00AA00 N
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054 F00AA00 N
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054 J00AA00 Y
054 K00AA00 N
054 L00AA00 Y
054 M00AA00 Y
054 N00AA00 N
054 O00AA00 Y
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055 B00AA00 N
PAGE 6
056 00AA00 Y
057 00AA00 N
058 A00AA00 N
059 00AA00 Y
060 A00AA00 N
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PAGE 7
070 I02AA00 N
070 J01AA00 N
070 J02AA00 N
070 K01AA00 N
070 K02AA00 N
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070 L02AA00 N
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PAGE 8
072CC01AA00 5675
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PAGE 9
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
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081 B00AA00 10
082 A00AA00 Y
082 B00AA00 50
083 A00AA00 N
083 B00AA00 0
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085 A00AA00 Y
085 B00AA00 N
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SIGNATURE RANDALL S. FILLMORE
TITLE CHIEF COMPLIANCE OFR
EX-99.77B ACCT LTTR
3
tftotwb3-31-13.txt
CERTIFIED PUBLIC ACCOINTING FIORM OPINION LETTER
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
Shareholders and Board of Trustees
Tax-Free Trust of Oregon
New York, New York
In planning and performing our audit of the financial
statements of the Tax-Free Trust of Oregon, as of and
for the year ended March 31, 2013, 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 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 generally accepted accounting
principles. A company's internal control over financial
reporting includes those policies and procedures that
(1) pertain to the maintenance of records that, in
reasonable detail, accurately and fairly reflect the
transactions and dispositions of the assets of the
company; (2) provide reasonable assurance that
transactions are recorded as necessary to permit
preparation of financial statements in accordance
with generally accepted accounting principles, and
that receipts and expenditures of the company are
being made only in accordance with authorizations
of management and directors of the company; and (3)
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 deficiency in internal control over financial
reporting 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 material weakness is a deficiency,
or combination of deficiencies, in internal control
over financial reporting, such that there is a
reasonable possibility that a material misstatement
of the company's annual or interim financial statements
will not be prevented or detected on a timely basis.
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
material weaknesses under standards established by
the Public Company Accounting Oversight Board
(United States). However, we noted no deficiencies
in 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 March 31, 2013.
This report is intended solely for the information and
use of management, Shareholders and Board of Trustees
of Tax-Free Trust of Oregon and the Securities and Exchange
Commission, and is not intended to be and should not be
used by anyone other than these specified parties.
/s/ TAIT, WELLER & BAKER LLP
---------------------------=
TAIT, WELLER & BAKER LLP
Philadelphia, Pennsylvania
May 29, 2013
EX-99.77C VOTES
4
TFTO4-18-13.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 18, 2013. The holders of shares r
epresenting 98% 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 $535,081,882 $4,081,150
James A. Gardner $535,485,696 $3,677,336
Diana P. Herrmann $535,754,203 $3,408,829
Edmund P. Jensen $535,037,053 $4,125,979
John W. Mitchell $533,779,723 $5,383,309
Ralph R. Shaw $533,463,449 $5,699,583
Nancy Wilgenbusch $535,526,204 $3,636,828
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
$515,044,701 $995,773 $23,122,558