-----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, IuxlsiIIOVr+s5hseMbs9xcghcjOp79VBWVTdMddY2SwkXI+0x7FGxAU3ldaBeFK ImH9IOZVWwE48708WROyaA== 0000896346-99-000002.txt : 19991130 0000896346-99-000002.hdr.sgml : 19991130 ACCESSION NUMBER: 0000896346-99-000002 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 19990930 FILED AS OF DATE: 19991129 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TCW DW TERM TRUST 2003 CENTRAL INDEX KEY: 0000896346 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: MA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: SEC FILE NUMBER: 811-07448 FILM NUMBER: 99765738 BUSINESS ADDRESS: STREET 1: TWO WORLD TRADE CENTER STREET 2: 72ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10048 BUSINESS PHONE: 2123922550 MAIL ADDRESS: STREET 1: TWO WORLD TRADE CENTER STREET 2: 72ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10048 NSAR-A 1 N-SAR (6.1) PAGE 1 000 A000000 09/30/1999 000 C000000 0000896346 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 TCW/DW TERM TRUST 2003 001 B000000 811-7448 001 C000000 2123922550 002 A000000 TWO WORLD TRADE CENTER 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10048 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 10 007 C011100 11 007 C011200 12 007 C011300 13 007 C011400 14 007 C011500 15 007 C011600 16 007 C011700 17 007 C011800 18 007 C011900 19 007 C012000 20 007 C012100 21 007 C012200 22 007 C012300 23 007 C012400 24 007 C012500 25 007 C012600 26 007 C012700 27 007 C012800 28 007 C012900 29 PAGE 2 007 C013000 30 007 C013100 31 007 C013200 32 007 C013300 33 007 C013400 34 007 C013500 35 007 C013600 36 007 C013700 37 007 C013800 38 007 C013900 39 007 C014000 40 007 C014100 41 007 C014200 42 007 C014300 43 007 C014400 44 007 C014500 45 007 C014600 46 007 C014700 47 007 C014800 48 007 C014900 49 007 C015000 50 007 C015100 51 007 C015200 52 007 C015300 53 007 C015400 54 007 C015500 55 007 C015600 56 007 C015700 57 007 C015800 58 007 C015900 59 007 C016000 60 007 C016100 61 007 C016200 62 007 C016300 63 007 C016400 64 007 C016500 65 007 C016600 66 007 C016700 67 007 C016800 68 007 C016900 69 007 C017000 70 008 A000001 TCW FUNDS MANAGEMENT, INC. 008 B000001 A 008 C000001 801-29075 008 D010001 LOS ANGELES 008 D020001 CA 008 D030001 90017 010 A000001 MSDW SERVICES COMPANY INC. 010 C010001 NEW YORK 010 C020001 NY 010 C030001 10048 PAGE 3 012 A000001 MORGAN STANLEY DEAN WITTER TRUST FSB 012 B000001 84-1785 012 C010001 JERSEY CITY 012 C020001 NJ 012 C030001 07311 013 A000001 PRICEWATERHOUSECOOPERS LLP 013 B010001 NEW YORK 013 B020001 NY 013 B030001 10036 014 A000001 TCW BROKERAGE SERVICES 014 B000001 8-31114 015 A000001 THE BANK OF NEW YORK 015 B000001 C 015 C010001 NEW YORK 015 C020001 NY 015 C030001 10286 015 E010001 X 018 000000 Y 019 A000000 Y 019 B000000 3 019 C000000 TCW/WITTER 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 BANK OF NEW YORK (THE) 022 B000001 13-5160382 022 C000001 530262 022 D000001 0 022 A000002 BEAR, STEARNS & CO. 022 B000002 13-3299429 022 C000002 75480 022 D000002 1057 022 A000003 CS FIRST BOSTON CORP.BANK 022 B000003 13-5659485 022 C000003 73353 022 D000003 0 022 A000004 HSBC SECURITIES INC. 022 B000004 13-2650272 022 C000004 41234 022 D000004 0 022 A000005 GOLDMAN SACHS & CO. 022 B000005 13-5108880 022 C000005 19492 PAGE 4 022 D000005 0 022 A000006 MERRILL LYNCH, PIERCE FENNER & SMITH INC. 022 B000006 13-5674085 022 C000006 9999 022 D000006 0 022 A000007 ZIONS FIRST BOSTON CORP 022 B000007 13-5659485 022 C000007 9994 022 D000007 0 022 A000008 MORGAN (J.P) SECURITIES INC. 022 B000008 13-3224016 022 C000008 3000 022 D000008 0 022 C000009 0 022 D000009 0 022 C000010 0 022 D000010 0 023 C000000 762815 023 D000000 1057 024 000000 Y 025 A000001 BANK OF NEW YORK (THE) 025 B000001 13-5160382 025 C000001 D 025 D000001 5000 025 D000002 0 025 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 N 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 PAGE 5 028 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 0 028 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 0.260 048 A010000 0 048 A020000 0.000 048 B010000 0 048 B020000 0.000 048 C010000 0 048 C020000 0.000 048 D010000 0 048 D020000 0.000 PAGE 6 048 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 0 048 K020000 0.000 049 000000 N 050 000000 N 051 000000 N 052 000000 N 053 A000000 N 054 A000000 Y 054 B000000 Y 054 C000000 Y 054 D000000 N 054 E000000 N 054 F000000 N 054 G000000 Y 054 H000000 Y 054 I000000 N 054 J000000 Y 054 K000000 N 054 L000000 Y 054 M000000 Y 054 N000000 N 054 O000000 Y 055 A000000 N 055 B000000 N 056 000000 N 057 000000 N 058 A000000 N 059 000000 Y 060 A000000 Y 060 B000000 Y 061 000000 0 062 A000000 Y 062 B000000 0.0 062 C000000 0.6 062 D000000 0.6 062 E000000 0.0 062 F000000 0.0 062 G000000 0.0 062 H000000 0.0 PAGE 7 062 I000000 0.0 062 J000000 0.0 062 K000000 0.0 062 L000000 0.0 062 M000000 0.0 062 N000000 90.4 062 O000000 15.8 062 P000000 0.0 062 Q000000 35.2 062 R000000 0.0 063 A000000 0 063 B000000 5.1 064 A000000 Y 064 B000000 N 066 A000000 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 Y 070 C020000 N 070 D010000 N 070 D020000 N 070 E010000 Y 070 E020000 N 070 F010000 N 070 F020000 N 070 G010000 Y 070 G020000 N 070 H010000 N 070 H020000 N 070 I010000 N 070 I020000 N 070 J010000 Y 070 J020000 N 070 K010000 Y 070 K020000 N 070 L010000 Y 070 L020000 N 070 M010000 Y 070 M020000 N 070 N010000 Y 070 N020000 N 070 O010000 Y 070 O020000 Y 070 P010000 Y 070 P020000 N PAGE 8 070 Q010000 Y 070 Q020000 N 070 R010000 Y 070 R020000 N 071 A000000 75480 071 B000000 57698 071 C000000 1248156 071 D000000 5 072 A000000 6 072 B000000 46618 072 C000000 0 072 D000000 0 072 E000000 0 072 F000000 1150 072 G000000 1725 072 H000000 0 072 I000000 163 072 J000000 24 072 K000000 0 072 L000000 61 072 M000000 12 072 N000000 38 072 O000000 0 072 P000000 9759 072 Q000000 0 072 R000000 27 072 S000000 10 072 T000000 0 072 U000000 0 072 V000000 0 072 W000000 74 072 X000000 13043 072 Y000000 0 072 Z000000 33575 072AA000000 41 072BB000000 0 072CC010000 33232 072CC020000 0 072DD010000 27357 072DD020000 0 072EE000000 0 073 A010000 0.3150 073 A020000 0.0000 073 B000000 0.0000 073 C000000 0.0000 074 A000000 1581 074 B000000 5000 074 C000000 5497 074 D000000 1222000 074 E000000 0 074 F000000 0 PAGE 9 074 G000000 0 074 H000000 0 074 I000000 0 074 J000000 0 074 K000000 0 074 L000000 7424 074 M000000 20 074 N000000 1241522 074 O000000 0 074 P000000 213 074 Q000000 0 074 R010000 374545 074 R020000 0 074 R030000 0 074 R040000 2372 074 S000000 0 074 T000000 864392 074 U010000 85923 074 U020000 0 074 V010000 10.06 074 V020000 0.00 074 W000000 0.0000 074 X000000 17078 074 Y000000 451526 075 A000000 0 075 B000000 880010 076 000000 9.13 077 A000000 Y 077 B000000 N 077 C000000 N 077 D000000 N 077 E000000 Y 077 F000000 N 077 G000000 N 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 C000000 0 081 B000000 0 082 B000000 0 083 B000000 0 PAGE 10 084 B000000 0 086 A010000 0 086 A020000 0 086 B010000 1544 086 B020000 14415 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 SHARES OF BENEFICIAL INTEREST 087 A020000 872340108 087 A030000 TMT 088 A000000 N 088 B000000 N 088 C000000 N 088 D000000 N SIGNATURE BARRY FINK TITLE VICE PRESIDENT EX-99 2 TCW/DW TERM TRUST 2003 Item 77E Legal Proceedings Four purported class action lawsuits have been filed in the Superior Court for the State of California, County of Orange, against some of the Trustees and officers, one of the underwriters, the lead representative of the underwriters, the Adviser, the Manager and other defendants - - but not against the Trust - by certain shareholders of the Trust and other trusts for which the defendants act in similar capacities. These plaintiffs generally allege violations of state statutory and common law in connection with the marketing of the Trust to customers of one of the underwriters. Damages, including punitive damages, are sought in an unspecified amount. On or about October 20, 1995, the plaintiffs filed an amended complaint consolidating these four actions. The defendants thereafter filed answers and affirmative defenses to the consolidated amended complaint. The defendants' answers deny all of the material allegations of the plaintiffs' complaint. In 1996, the plaintiffs voluntarily dismissed, without prejudice, their claims against the two defendants who were independent Trustees of the Trust. In March 1997, all of the remaining defendants in the litigation filed motions for judgment on the pleadings, seeking dismissal of all of the claims asserted against them. The defendants' motions were fully briefed by all parties and were the subject of a hearing before the Court on April 18, 1997. In July 1997, the Court denied the motion for judgment on the pleadings. In August 1997, plaintiffs filed a motion for class certification. In their motion, the plaintiffs requested certification of a "nationwide" class of Term Trust purchasers. On June 1, 1998, the Court granted in part and denied in part the plaintiffs' motion for class certification. The Court ruled that plaintiffs' motion was "granted as to [a California] statewide class," but was "denied as to a nationwide class." On October 13, 1998, three separate class actions alleging similar claims on behalf of the residents of the states of Florida, New Jersey and New York were filed in the state courts of those states. The defendants removed the Florida action to federal court and the plaintiffs' motion to remand the action to state court was denied. Motions to dismiss were filed by the defendants in the Florida action on August 30, 1999, in the New Jersey action on July 26, 1999 and in the New York action on September 10, 1999. The New Jersey motion was denied by the court on September 27, 1999 and the defendants have filed a motion to vacate. The motions to dismiss in Florida and New York are pending. Certain of the defendants in these suits have asserted their right to indemnification from the Trusts. The ultimate outcome of these matters is not presently determinable, and no provision has been made in the Trust's financial statements for the effect, if any, of such matters. Paraleg/NSAR/77e.2002 EX-27 3 WARNING: THE EDGAR SYSTEM ENCOUNTERED ERROR(S) WHILE PROCESSING THIS SCHEDULE.
6 TCW/DW TERM TRUST 2003 12-MOS MARCH 31, 2000 SEPTEMBER 30, 1999 1,248,551,084 1,232,497,429 7,423,689 1,601,014 0 1,241,522,132 0 0 (377,130,576) (377,130,576) 0 831,980,241 85,923,340 87,467,540 51,687,736 0 (3,222,766) 0 (16,053,655) 864,391,556 0 46,618,172 0 (13,042,812) 33,575,360 41,609 (33,231,813) 385,156 0 (27,357,235) 0 0 0 (1,544,200) 0 (41,387,341) 45,469,611 (3,264,375) 0 0 (2,875,747) (9,759,105) (13,042,812) 880,009,938 10.36 0.40 (0.38) (0.32) 0 0 10.06 2.96%
-----END PRIVACY-ENHANCED MESSAGE-----