-----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, MYtZ9g4IFY/ISZP3n9QYoRPWhtx0IjFY+06l4G/CNSnZvWdCeAdlVZUUtQJNxOSX E7lRLN9ueA44i4wlSybWow== 0000914248-04-000002.txt : 20040227 0000914248-04-000002.hdr.sgml : 20040227 20040227142420 ACCESSION NUMBER: 0000914248-04-000002 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20031231 FILED AS OF DATE: 20040227 EFFECTIVENESS DATE: 20040227 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SPECIAL SITUATIONS FUND III L P CENTRAL INDEX KEY: 0000914248 IRS NUMBER: 133737427 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-08110 FILM NUMBER: 04634397 BUSINESS ADDRESS: STREET 1: 153 E 53 ST 51ST FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128325300 MAIL ADDRESS: STREET 1: 153 EAST 53RD STREET 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 NSAR-B 1 answer.fil PAGE 1 000 B000000 12/31/2003 000 C000000 0000914248 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 SPECIAL SITUATIONS FUND III, L.P. 001 B000000 811-8110 001 C000000 2122076500 002 A000000 153 EAST 53RD STREET, 55TH FLOOR 002 B000000 NEW YORK 002 C000000 NY 002 D010000 10022 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 20 008 A000001 MGP ADVISERS LIMITED PARTNERSHIP 008 B000001 A 008 C000001 801-24027 008 D010001 NEW YORK 008 D020001 NY 008 D030001 10022 010 A000001 AWM INVESTMENT COMPANY, INC. 010 C010001 NEW YORK 010 C020001 NY PAGE 2 010 C030001 10022 013 A000001 ANCHIN, BLOCK & ANCHIN 013 B010001 NEW YORK 013 B020001 NY 013 B030001 10018 015 A000001 FLEET NATIONAL BANK 015 B000001 C 015 C010001 BOSTON 015 C020001 MA 015 C030001 02110 015 E010001 X 018 000000 Y 019 A000000 N 019 B000000 0 020 A000001 WILLIAMS FINANCIAL GROUP 020 B000001 75-2237860 020 C000001 276 020 A000002 FIRST ALBANY CORPORATION 020 B000002 14-1391446 020 C000002 165 020 A000003 CHARLES SCHWAB 020 B000003 94-1737782 020 C000003 143 020 A000004 KNIGHT SECURITIES 020 B000004 22-3660471 020 C000004 122 020 A000005 JONES & ASSOCIATES 020 B000005 95-3583143 020 C000005 100 020 A000006 CANTOR FITZGERALD 020 B000006 13-3680184 020 C000006 97 020 A000007 SPEAR LEEDS & KELLOG 020 B000007 13-5515160 020 C000007 66 020 A000008 SUSQUEHANA 020 B000008 13-3247006 020 C000008 52 020 A000009 C.E. 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0 075 B000000 319839 076 000000 0.00 077 A000000 Y 077 B000000 Y 078 000000 N 080 A000000 NATL UNION FIRE INS. CO. OF PITTSBURGH PA 080 C000000 750 081 A000000 N PAGE 9 081 B000000 0 082 A000000 N 082 B000000 0 083 A000000 N 083 B000000 0 084 A000000 N 084 B000000 0 085 A000000 N 085 B000000 N 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 AUSTIN W. MARXE TITLE INDIVIDUAL G. P. EX-99.77B ACCT LTTR 3 ssfintcontroldec03.txt INDEPENDENT AUDITORS' REPORT To the General Partners of Special Situations Fund III, L.P. In planning and performing our audit of the financial statements of Special Situations Fund III, L.P. for the year ended December 31, 2003, we considered its internal control, including control activities 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 internal control. The management of Special Situations Fund III, L.P. is responsible for establishing and maintaining internal control. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. Generally, controls that are relevant to an audit pertain to the entity's objective of preparing financial statements for external purposes that are fairly presented in conformity with generally accepted accounting principles. These controls include the safeguarding of assets against unauthorized acquisition, use, or disposition. Because of inherent limitations in internal control, error or fraud may occur and not be detected. Also, projection of any evaluation of internal control 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 internal control would not necessarily disclose all matters in the internal control 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 one or more of the internal control components does not reduce to a relatively low level the risk that misstatements caused by error or fraud 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 and its operation, including controls for safeguarding securities that we consider to be material weaknesses as defined above as of December 31, 2003. This report is intended solely for the information and use of management and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. Anchin, Block & Anchin LLP New York, New York February 6, 2004 pep/7652/327102/ind aud rpt on int control structure -----END PRIVACY-ENHANCED MESSAGE-----