- Annual Report (unit investment trust) (NSAR-U/A)
25 Febrero 2009 - 3:47PM
Edgar (US Regulatory)
FORM N-SAR
SEMI-ANNUAL REPORT
FOR REGISTERED INVESTMENT COMPANIES
Report
for six month period ending: /
/ (a)
or
fiscal year ending:
12
/31/08
(b)
Is this
a transition report? (Y/N)
N
Is this
an amendment to a previous filing? (Y/N)
Y
Those
items or sub-items with a box [ ] after the item number should be completed
only if the answer has changed from the previous filing on this form.
1.
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A.
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Registrant Name: MIDCAP SPDR TRUST,
SERIES 1
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B.
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File Number: 811-8972
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C.
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Telephone Number: (212) 298-1703
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2.
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A.
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Street: 101 Barclay st.
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B.
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City: New
York
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C. State: NY
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D. Zip Code: 10286
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Zip Ext:
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E.
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Foreign Country:
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Foreign Postal
Code:
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3.
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Is this the first filing on this form by Registrant?
(Y/N)
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N
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4.
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Is this the last filing on this form by
Registrant? (Y/N)
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N
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5.
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Is Registrant a small business investment company
(SBIC)? (Y/N)
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N
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[If answer is Y (Yes), complete only items 89
through 110.]
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6.
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Is Registrant a unit investment trust (UIT)? (Y/N)
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Y
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[If answer is Y (Yes) complete only items 111
through 132.]
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7.
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A.
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Is Registrant a series or multiple portfolio
company? (Y/N)
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N
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[If answer is N (No), go to item 8.]
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B.
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How many separate series or portfolios did
Registrant have at the end of the period?
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1
For period ending
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12/31/08
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If filing more than one
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File number:
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811-8972
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page
2,X box:
o
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C.
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List the name of each series or portfolio and
give a consecutive number to each series or portfolio starting with the
number 1. USE THIS SAME NUMERICAL DESIGNATION FOR EACH SERIES OR
PORTFOLIO IN THE SERIES INFORMATION BLOCK IN THE TOP RIGHT CORNER OF THE
SCREENS SUBMITTED IN THIS FILING AND IN ALL SUBSEQUENT FILINGS ON THIS FORM.
THIS INFORMATION IS REQUIRED EACH TIME THE FORM IS FILED.
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Series
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Is this the
last filing
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Number
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Series Name
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for this series?
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(Y/N)
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(NOTE: See item
D(8) of the general instructions to the form for information on how
to complete the form for series companies.)
2
For period ending
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12/31/08
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If filing more than one
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File number:
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811-8972
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page
47,X
box:
o
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UNIT
INVESTMENT TRUSTS
111.
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A.
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x
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Depositor Name: THE DEPOSITORY TRUST COMPANY
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B.
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x
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File Number (If any):
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C.
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x
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City: NEW
YORK
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C. State: NY
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D. Zip Code: 10004
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Zip Ext:
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x
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Foreign Country:
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Foreign Postal Code:
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112.
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A.
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x
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Depositor Name: PDR SERVICES LLC
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B.
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x
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File Number (If any):
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C.
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x
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City: NEW
YORK
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C. State: NY
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D. Zip Code: 10005
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Zip Ext:
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x
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Foreign Country:
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Foreign Postal Code:
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3
For period ending
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12/31/08
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If filing more than one
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File number:
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811-8972
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page
48,X
box:
o
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113.
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A.
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x
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Trustee Name: THE BANK OF NEW YORK MELLON
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B.
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x
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City: BROOKLYN
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C. State: NY
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D. Zip Code: 11217
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Zip Ext:
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x
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Foreign Country:
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Foreign Postal Code:
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114.
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A.
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x
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Principal Underwriter Name: ALPS DISTRIBUTORS,
INC.
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B.
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x
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File Number (If any):
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C.
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x
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City: DENVER
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C. State: CO
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D. Zip Code: 80203
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Zip Ext:
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x
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Foreign Country:
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Foreign Postal Code:
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115.
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A.
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x
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Independent Public Accountant Name: PRICEWATERHOUSE COOPERS LLP
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B.
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x
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File Number (If any):
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C.
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x
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City: NEW YORK
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C. State: NY
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D. Zip Code: 10017
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Zip Ext:
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x
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Foreign Country:
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Foreign Postal Code:
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4
For period ending
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12/31/08
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If filing more than one
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File number:
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811-8972
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page 49,X
box:
o
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116.
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Family of investment
companies information:
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A.
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x
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Is Registrant part of a
family of investment companies? (Y/N)
N
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B.
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x
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Identify the family in
10 letters:
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(NOTE:In filing this
form, use this identification consistently for all investment companies in
family.
This designation is for purposes of this form only.)
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117.
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A.
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x
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Is Registrant a
separate account of an insurance company? (Y/N)
N
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If answer is Y (Yes),
are any of the following types of contracts funded by the Registrant?:
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B.
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x
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Variable annuity
contracts? (Y/N)
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C.
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x
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Scheduled premium
variable life contracts? (Y/N)
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D.
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x
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Flexible premium
variable life contracts? (Y/N)
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E.
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x
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Other types of
insurance products registered under the Securities Act of 1933 ? (Y/ N)
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118.
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x
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State the number of
series existing at the end of the period that had securities registered under
the Securities Act of 1933
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1
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119.
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x
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State the number of new
series for which registration statements under the Securities Act of 1933
became effective during the period
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0
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120.
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x
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State the total value
of the portfolio securities on the date of deposit for the new series included
in item 119 ($000s omitted)
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$
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0
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121.
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x
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State the number of
series for which a current prospectus was in existence at the end of the
period
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1
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122.
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x
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State the number of
existing series for which additional units were registered under the Securities
Act of 1933 during the current period
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0
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5
For period ending
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12/31/08
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If filing more than one
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File number:
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811-8972
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page
50,X
box:
o
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123.
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x
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State the total value of the additional units
considered in answering item 122 ($000s omitted)
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$
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290,559
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124.
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x
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State the total value of units of prior
series that were placed in the portfolios of subsequent series during
the current period (the value of these units is to be measured on the date
they were placed in the subsequent series) ($000s omitted)
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$
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0
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125.
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x
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State the total dollar amount of sales loads
collected (before reallowances to other brokers or dealers) by Registrants
principal underwriter and any underwriter which is an affiliated person of
the principal underwriter during the current period solely from the sale of
units of all series of Registrant ($000s omitted)
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$
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0
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126.
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Of the amount shown in item 125, state the total
dollar amount of sales loads collected from secondary market operations in
Registrants units (include the sales loads, if any, collected on units of a
prior series placed in the portfolio of a subsequent series.) ($000s
omitted)
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$
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0
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127.
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List opposite the appropriate description below the
number of series whose portfolios are invested primarily (based upon a
percentage of NAV) in each type of security shown, the aggregate total assets
at market value as of a date at or near the end of the current period of each
such group of series and the total income distributions made by each
such group of series during the current period (excluding distributions
of realized gains, if any):
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Number
of
Series
Investing
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Total Assets
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Total Income
Distributions
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($000s
omitted)
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($000s omitted)
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A.
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U.S. Treasury direct issue
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$
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$
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B.
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U.S. Government agency
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$
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$
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C.
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State and municipal tax-free
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$
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$
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D.
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Public utility debt
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$
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$
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E.
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Brokers or dealers debt or debt of brokers or
dealers parent
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$
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$
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F.
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All other corporate intermediate &
long-term debt
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$
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$
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G.
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All other corporate short-term debt
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$
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$
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H.
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Equity securities of brokers or dealers or parents
of brokers or dealers
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$
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$
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I.
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Investment company equity series
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$
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$
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J.
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All other equity securities
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1
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$
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6,782,510
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$
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113,059
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K.
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Other securities
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$
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0
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$
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L.
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Total assets of all series of registrant
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1
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$
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6,782,510
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$
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113,059
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6
For period ending
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12/31/08
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If filing more than one
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File number:
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811-8972
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page
51,X
box:
o
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128.
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x
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Is the timely payment of principal and interest on
any of the portfolio securities held by any of Registrants series at
the end of the current period insured or guaranteed by an entity other than
the issuer? (Y/N)
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[If answer is N (No), go to item 131.]
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N
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129.
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x
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Is the issuer of any instrument covered in item 128
delinquent or in default as to payment of principal or interest at the end of
the current period? (Y/N)
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[If answer is N (No), go to item 131.]
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130.
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x
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In computations of NAV or offering price per unit,
is any part of the value attributed to instruments identified in item
129 derived from insurance or guarantees? (Y/N)
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131.
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Total expenses incurred by all series of
Registrant during the current reporting period ($000s omitted)
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$
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19,701
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132.
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x
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List the 811 (Investment Company Act of 1940)
registration number for all Series of Registrant that are being included
in this filing:
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811-8972
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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811-
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7
This
report is signed on behalf of the registrant (or depositor or trustee).
City of: New York
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State of: NY
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Date: 2/20/2009
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Name of
Registrant, Depositor, or Trustee:
By:
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Cindy Teitler, VP
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Witness:
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Kam Chan, VP
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Name and Title
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Name and Title
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8
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