-----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, CL9fgh43S6buFCSMaOZpiUtJBrA4xqRBTffpkNwHnsw7/BMENMJY2bFkH4iwVsRX vp+I+IeDCUTfAOg+iBp0oQ== 0000828990-96-000001.txt : 19960529 0000828990-96-000001.hdr.sgml : 19960529 ACCESSION NUMBER: 0000828990-96-000001 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 19960331 FILED AS OF DATE: 19960528 SROS: NONE FILER: COMPANY DATA: COMPANY CONFORMED NAME: HIGH YIELD PLUS FUND INC CENTRAL INDEX KEY: 0000828990 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-05468 FILM NUMBER: 96572871 BUSINESS ADDRESS: STREET 1: 199 WATER ST CITY: NEW YORK STATE: NY ZIP: 10292 BUSINESS PHONE: 2122141250 MAIL ADDRESS: STREET 1: ONE SEAPORT PLAZA CITY: NEW YORK STATE: NY ZIP: 10292 NSAR-B 1 N-SAR (3.0.A) PAGE 1 000 B000000 03/31/96 000 C000000 0000828990 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 3.0.a 000 J000000 A 001 A000000 THE HIGH YIELD PLUS FUND, INC. 001 B000000 811-5468 001 C000000 2122141250 002 A000000 199 WATER STREET 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10292 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 008 B000001 A 008 C000001 801-15908 008 D010001 BOSTON 008 D020001 MA 008 D030001 02109 010 A000001 PRUDENTIAL MUTUAL FUND MANAGEMENT, INC. 010 B000001 811-31104 010 C010001 NEW YORK 010 C020001 NY 010 C030001 10292 011 A000001 PRUDENTIAL SECURITIES INCORPORATED 011 B000001 8-27154 011 C010001 NEW YORK 011 C020001 NY 011 C030001 10292 012 A000001 STATE STREET BANK AND TRUST COMPANY 012 B000001 84-111111 012 C010001 NORTH QUINCY PAGE 2 012 C020001 MA 012 C030001 02171 013 A000001 DELOITTE & TOUCHE, LLP 013 B010001 NEW YORK 013 B020001 NY 013 B030001 10281 015 A000001 STATE STREET BANK AND TRUST COMPANY 015 B000001 C 015 C010001 NORTH QUINCY 015 C020001 MA 015 C030001 02171 015 E010001 X 015 A000002 CITIBANK, N.A. 015 B000002 S 015 C010002 BUENOS AIRES 015 D010002 ARGENTINA 015 E040002 X 015 A000003 WESTPAC BANKING CORP. 015 B000003 S 015 C010003 SYDNEY 015 D010003 AUSTRALIA 015 E040003 X 015 A000004 GIROCREDIT & BANK AKTIENGESELLSCHAFT DER SPAR 015 B000004 S 015 C010004 VIENNA 015 D010004 AUSTRIA 015 E040004 X 015 A000005 STANDARD CHARTERED BANK 015 B000005 S 015 C010005 DHAKA 015 D010005 BANGLADESH 015 E040005 X 015 A000006 GENERALE BANK 015 B000006 S 015 C010006 BRUSSELS 015 D010006 BELGIUM 015 E040006 X 015 A000007 CITIBANK, N.A. 015 B000007 S 015 C010007 SAO PAULO 015 D010007 BRAZIL 015 E040007 X 015 A000008 CANADA TRUSTCO MORTGAGE COMPANY 015 B000008 S 015 C010008 TORONTO 015 D010008 CANADA 015 E040008 X 015 A000009 CITIBANK, N.A. - CHILE 015 B000009 S 015 C010009 SANTIAGO 015 D010009 CHILE PAGE 3 015 E040009 X 015 A000010 THE HONGKONG & SHANGHAI BANKING CORPORATION L 015 B000010 S 015 C010010 SHANGHAI 015 D010010 CHINA 015 E040010 X 015 A000011 CITITRUST COLUMBIA S.A. 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A010000 COMMON STOCK 087 A020000 422906100 087 A030000 HYP 088 A000000 N 088 B000000 N 088 C000000 N 088 D000000 N SIGNATURE GRACE TORRES TITLE TREASURER EX-27 2 HIGH YIELD PLUS FUND NSAR EX-27
6 0000828990 HIGH YIELD PLUS FUND, INC. YEAR MAR-31-1996 MAR-31-1996 107,710,428 109,533,928 4,389,069 98,473 0 114,021,470 1,795,616 0 18,134,579 19,930,195 501,189 102,478,850 11,143,807 11,039,440 0 (10,712,264) 0 1,823,500 0 93,590,086 80,979 11,499,290 0 2,130,941 9,449,328 757,420 5,744,996 15,951,744 0 (9,436,822) 0 0 0 0 871,960 7,386,882 488,683 (11,469,684) 0 0 0 1,195,799 2,130,941 92,855,000 7.85 1.43 0.00 (0.84) 0.00 0.00 8.44 2.29 17,000,000 0.00
EX-99 3 HIGH YIELD PLUS FUND NSAR INTERNAL CONTROL LETTER PRINT ON COMPAQ The Board of Directors of The High Yield Plus Fund, Inc.: In planning and performing our audit of the financial statements of The High Yield Plus Fund, Inc. for the year ended March 31, 1996, we considered its internal control structure, including procedures 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 the internal control structure. The management of the Fund is responsible for establishing and maintaining an internal control structure. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of internal control structure policies and procedures. Two of the objectives of an internal control structure are to provide management with reasonable, but not absolute, assurance that assets are safeguarded against loss from unauthorized use or disposition and that transactions are executed in accordance with management's authorization and recorded properly to permit preparation of financial statements in conformity with generally accepted accounting principles. Because of inherent limitations in any internal control structure, errors or irregularities may occur and not be detected. Also, projection of any evaluation of the structure 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 the internal control structure would not necessarily disclose all matters in the internal control structure that might be material weaknesses under standards established by the American Institute of Certified Public Accountants. A material weakness is a condition in which the design or operation of the specific internal control structure elements does not reduce to a relatively low level the risk that errors or irregularities in amounts that would be material in relation to the financial statements being audited may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. However, we noted no matters involving the internal control structure, including procedures for safeguarding securities, that we consider to be material weaknesses as defined above as of March 31, 1996. This report is intended solely for the information and use of management and the Securities and Exchange Commission. May 9, 1996 EX-99 4 HIGH YIELD PLUS FUND NSAR SUB-ITEM 77Q [nsar]hyp-77q.ex For the year ended March 31, 1996 File No. 811-5468 SUB-ITEM 77Q2 The information called for by Item 405 of Regulation S-K [17CRF 229.405] is set forth below. Based upon a review of the forms of beneficial ownership submitted to the Fund for the year ended March 31, 1996, reports of beneficial ownership with respect to the Fund's shares inadvertently were not filed on a timely basis on behalf of the following persons: No. of Late No. of Name Reports Transactions Eugene C. Dorsey 1 None (Director of the Fund) -----END PRIVACY-ENHANCED MESSAGE-----