-----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, KILc0qsdjla7mYE/hA5HDVSY/8RYbjgkg1CUJN8Sp4T6TBSSGxPwddVUdt6qMjZF PddvoU9s6mDoVsJOqPLHFQ== 0000919893-03-000006.txt : 20030227 0000919893-03-000006.hdr.sgml : 20030227 20030227145232 ACCESSION NUMBER: 0000919893-03-000006 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 5 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20030227 EFFECTIVENESS DATE: 20030227 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TEMPLETON DRAGON FUND INC CENTRAL INDEX KEY: 0000919893 IRS NUMBER: 650473580 STATE OF INCORPORATION: MD FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-08394 FILM NUMBER: 03583145 BUSINESS ADDRESS: STREET 1: 700 CENTRAL AVE CITY: ST PETERSBURG STATE: FL ZIP: 33701 BUSINESS PHONE: 8138238712 NSAR-B 1 answer.fil TDF NSAR FYE 12/31/02 PAGE 1 000 B000000 12/31/2002 000 C000000 919893 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 TEMPLETON DRAGON FUND, INC. 001 B000000 811-8874 001 C000000 9545277591 002 A000000 500 E. 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0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 087 A010000 COMMON STOCK 087 A020000 88018T101 087 A030000 TDF 088 A000000 N 088 B000000 N 088 C000000 N 088 D000000 N SIGNATURE BRUCE ROSENBERG TITLE TREASURER EX-99.77B ACCT LTTR 3 pwc1202.txt PWC INTERNAL CONTROL LETTER Report of Independent Accountants To the Board of Directors and Shareholders of Templeton Dragon Fund, Inc. In planning and performing our audit of the financial statements of Templeton Dragon Fund, Inc. (the "Fund") for the year ended December 31, 2002, 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 the Fund 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. Those controls include the safeguarding of assets against unauthorized acquisition, use or disposition. Because of inherent limitations in internal control, errors 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 controls may become inadequate because of changes in conditions or that the effectiveness of their design and operation may deteriorate. Our consideration of internal control would not necessarily disclose all matters in 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 internal control and its operation, including controls for safeguarding securities, that we consider to be material weaknesses as defined above as of December 31, 2002. This report is intended solely for the information and use of the Board of Directors, 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. PricewaterhouseCoopers LLP San Francisco, California January 30, 2003 EX-99.77C VOTES 4 tdf77c1202.txt MATTERS SUBMITTED TO SHAREHOLDERS TEMPLETON DRAGON FUND, INC. QUESTION 77C- MATTER SUBMITTED TO A VOTE OF SECURITY HOLDERS The Annual Meeting of Shareholders of the Templeton Dragon Fund, Inc. (the "Fund") was held at the Fund's offices, 500 E. Broward Blvd., Fort Lauderdale, Florida, on May 3, 2002 and reconvened on May 29, 2002. The purpose of the meeting was to elect five (5) Directors of the Fund, to approve an Agreement and Plan of Reorganization that provides for the reorganization of the Fund from a Maryland corporation to a Delaware business trust, to approve amendments to certain of the Fund's fundamental investment restrictions (including three (3) sub-proposals), and to approve the elimination of certain of the Fund's fundamental investment restrictions. At the meeting on May 3, 2002, the following persons were elected by the shareholders to serve as Directors of the Fund: Harris J. Ashton, Nicholas F. Brady, Frank J. Crothers, S. Joseph Fortunato and Constantine D. Tseretopoulos.* At the reconvened meeting on May 29, 2002, Shareholders approved an Agreement and Plan of Reorganization that provides for the reorganization of the Fund from a Maryland corporation to a Delaware business trust, amendments to certain of the Fund's fundamental investment restrictions (including three (3) sub-proposals), and the elimination of certain of the Fund's fundamental investment restrictions. No other business was transacted at the meetings. The results of the voting at the Annual Meeting is as follows: Proposal 1. The election of five (5) Directors:
% OF % OF % OF % OF OUTSTANDING VOTED OUTSTANDING VOTED TERM EXPIRING 2004: FOR SHARES SHARES WITHHELD SHARES SHARES - -------------------------------------------------------------------------------------------------------------- Harris J. Ashton ............ 27,809,350 57.06% 78.76% 7,501,357 15.39% 21.24% Nicholas F. Brady ........... 27,872,807 57.19% 78.94% 7,437,900 15.26% 21.06% Frank J. Crothers............ 28,330,328 58.12% 80.23% 6,980,379 14.32% 19.77% S. Joseph Fortunato.......... 27,833,625 57.11% 78.82% 7,477,082 15.34% 21.18% Constantine D. Tseretopoulos 28,262,543 57.99% 80.04% 7,048,164 14.46% 19.96%
* MARTIN L. FLANAGAN, ANDREW H. HINES, JR., EDITH E. HOLIDAY, CHARLES B. JOHNSON, BETTY P. KRAHMER, GORDON S. MACKLIN AND FRED R. MILLSAPS ARE DIRECTORS OF THE FUND WHO ARE CURRENTLY SERVING AND WHOSE TERMS OF OFFICE CONTINUED AFTER THE ANNUAL MEETING OF SHAREHOLDERS. The results of the voting at the Annual Meeting Reconvened are as follows: Proposal 2. The approval of an Agreement and Plan of Reorganization that provides for the reorganization of the Fund from a Maryland corporation to a Delaware business trust: % OF % OF OUTSTANDING VOTED SHARES VOTED SHARES SHARES - ------------------------------------------------------------------ For ................... 28,816,142 59.12% 77.35% Against ............... 7,842,816 16.09% 21.05% Abstain ............... 595,807 1.22% 1.60% Broker Non-Votes ...... 4,232,811 8.68% -- - ------------------------------------------------------------------ TOTAL ................. 41,487,576 85.11% 100.00% Proposal 3. The approval of amendments to certain of the Fund's fundamental investment restrictions (includes three (3) Sub-Proposals): Proposal 3a: To amend the Fund's fundamental investment restriction regarding industry concentration: % OF % OF OUTSTANDING VOTED SHARES VOTED SHARES SHARES - -------------------------------------------------------------------- For ................... 33,958,996 69.67% 91.15% Against ............... 2,589,426 5.31% 6.95% Abstain ............... 706,438 1.45% 1.90% Broker Non-Votes ...... 4,232,716 8.68% -- - -------------------------------------------------------------------- TOTAL ................. 41,487,576 85.11% 100.00% Proposal 3b: To amend the Fund's fundamental investment restriction regarding borrowing and issuing senior securities: % OF % OF OUTSTANDING VOTED SHARES VOTED SHARES SHARES - -------------------------------------------------------------------- For ................... 25,406,494 52.13% 68.20% Against ............... 11,109,963 22.79% 29.82% Abstain ............... 738,399 1.51% 1.98% Broker Non-Votes ...... 4,232,720 8.68% -- - -------------------------------------------------------------------- TOTAL ................. 41,487,576 85.11% 100.00% Proposal 3c: To amend the Fund's fundamental investment restriction regarding investments in commodities: % OF % OF OUTSTANDING VOTED SHARES VOTED SHARES SHARES - -------------------------------------------------------------------- For ................... 24,586,388 50.44% 65.99% Against ............... 11,949,755 24.52% 32.08% Abstain ............... 718,716 1.47% 1.93% Broker Non-Votes ...... 4,232,717 8.68% -- - -------------------------------------------------------------------- TOTAL ................. 41,487,576 85.11% 100.00% Proposal 4: The approval of the elimination of certain of the Fund's fundamental investment restrictions: % OF % OF OUTSTANDING VOTED SHARES VOTED SHARES SHARES - -------------------------------------------------------------------- For ................... 27,971,892 57.38% 75.08% Against ............... 8,568,375 17.58% 23.00% Abstain ............... 714,592 1.47% 1.92% Broker Non-Votes ...... 4,232,717 8.68% -- - -------------------------------------------------------------------- TOTAL ................. 41,487,576 85.11% 100.00% EX-99.77J REVALUATN 5 exh77j1202.txt TENDER OFFER EXHIBIT 77 J - REVALUATION OF ASSETS OR RESTATEMENT OF CAPITAL SHARE ACCOUNT On July 11, 2002, the Fund completed a tender offer of 4,364,926 shares of its common stock. The cost of the shares tendered and related offering expenses of $41,248,550 and $200,525, respectively, were charged to capital shares. EX-99.77Q3 CERT 6 exh77q3cert.txt CEO & CFO CERTIFICATION I, Bruce S. Rosenberg, certify that: 1. I have reviewed this report on Form N-SAR of TEMPLETON DRAGON FUND; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the financial information included in this report, and the financial statements on which the financial information is based, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report; 4. The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in rule 30a-2(c) under the Investment Company Act) for the registrant and have: a) designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; b) evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this report (the "Evaluation Date"); and c) presented in this report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date; 5. The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions); a) all significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize, and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and b) any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and 6. The registrant's other certifying officers and I have indicated in this report whether or not there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions, with regard to significant deficiencies and material weaknesses. February 14, 2003 /s/BRUCE S. ROSENBERG Bruce S. Rosenberg Treasurer and Chief Financial Officer I, Jimmy D. Gambill, certify that: 1. I have reviewed this report on Form N-SAR of TEMPLETON DRAGON FUND; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report; 3. Based on my knowledge, the financial information included in this report, and the financial statements on which the financial information is based, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report; 4. The registrant's other certifying officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in rule 30a-2(c) under the Investment Company Act) for the registrant and have: a) designed such disclosure controls and procedures to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared; b) evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this report (the "Evaluation Date"); and c) presented in this report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date; 5. The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions); a) all significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize, and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and b) any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and 6. The registrant's other certifying officers and I have indicated in this report whether or not there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions, with regard to significant deficiencies and material weaknesses. February 10, 2003 /s/JIMMY D. GAMBILL Jimmy D. Gambill Senior Vice President and Chief Executive Officer - Finance and Administration -----END PRIVACY-ENHANCED MESSAGE-----