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Name | Symbol | Market | Type |
---|---|---|---|
Eagle Growth And Income Trust, Class C (MM) | NASDAQ:HIGCX | NASDAQ | Fund |
Price Change | % Change | Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 0 | - |
Investment Portfolio
|
(UNAUDITED)
|
01.31.2013
|
Common stocks—95.3%
|
Shares
|
Value
|
||||||
Domestic—84.1%
|
||||||||
Aerospace/defense—2.7%
|
||||||||
United Technologies Corp.
|
113,499 | $9,939,107 | ||||||
Banks—9.0%
|
||||||||
JPMorgan Chase & Co.
|
332,888 | 15,662,381 | ||||||
The PNC Financial Services Group, Inc.
|
98,765 | 6,103,677 | ||||||
Wells Fargo & Co.
|
325,530 | 11,338,210 | ||||||
Beverages—5.1%
|
||||||||
PepsiCo, Inc.
|
129,224 | 9,413,969 | ||||||
The Coca-Cola Co.
|
254,247 | 9,468,158 | ||||||
Chemicals—2.4%
|
||||||||
E.I. du Pont de Nemours and Co.
|
182,583 | 8,663,563 | ||||||
Cosmetics/personal care—3.0%
|
||||||||
The Procter & Gamble Co.
|
147,526 | 11,088,054 | ||||||
Electrical components & equipment—3.1%
|
||||||||
Emerson Electric Co.
|
200,742 | 11,492,480 | ||||||
Electronics—2.7%
|
||||||||
Honeywell International, Inc.
|
144,112 | 9,834,203 | ||||||
Entertainment—3.0%
|
||||||||
Regal Entertainment Group
, Class A
|
742,261 | 11,081,957 | ||||||
Food—5.5%
|
||||||||
General Mills, Inc.
|
259,021 | 10,863,341 | ||||||
Sysco Corp.
|
298,767 | 9,491,827 | ||||||
Healthcare products—3.3%
|
||||||||
St. Jude Medical, Inc.
|
300,305 | 12,222,414 | ||||||
Miscellaneous manufacturer—3.0%
|
||||||||
3M Co.
|
111,369 | 11,198,153 | ||||||
Oil & gas—9.2%
|
||||||||
Chevron Corp.
|
109,427 | 12,600,519 | ||||||
ConocoPhillips
|
154,913 | 8,984,954 | ||||||
Exxon Mobil Corp.
|
137,002 | 12,326,070 | ||||||
Pharmaceuticals—6.1%
|
||||||||
Johnson & Johnson
|
149,600 | 11,058,432 | ||||||
Pfizer, Inc.
|
411,449 | 11,224,329 | ||||||
Real estate investment trusts (REITs)—6.1%
|
||||||||
American Campus Communities, Inc.
|
112,581 | 5,242,897 | ||||||
Digital Realty Trust, Inc.
|
69,011 | 4,686,537 | ||||||
ProLogis, Inc.
|
125,980 | 5,026,602 | ||||||
Simon Property Group, Inc.
|
46,212 | 7,402,238 | ||||||
Retail—4.7%
|
||||||||
McDonald's Corp.
|
77,169 | 7,353,434 | ||||||
The Home Depot, Inc.
|
146,620 | 9,811,810 | ||||||
Semiconductors—3.3%
|
||||||||
Applied Materials, Inc.
|
930,320 | 12,010,431 | ||||||
Software—3.0%
|
||||||||
Microsoft Corp.
|
394,691 | 10,842,162 | ||||||
Telecommunications—4.5%
|
||||||||
AT&T, Inc.
|
242,407 | 8,433,340 | ||||||
CenturyLink, Inc.
|
202,896 | 8,207,143 | ||||||
Toys/games/hobbies—2.8%
|
||||||||
Mattel, Inc.
|
269,123 | 10,127,098 | ||||||
Transportation—1.6%
|
||||||||
Norfolk Southern Corp.
|
84,392 | 5,812,077 | ||||||
Total domestic common stocks (cost $271,852,611)
|
309,011,567 | |||||||
Foreign—11.2%
|
||||||||
Banks—2.5%
|
||||||||
Bank of Montreal
|
147,874 | $9,348,594 | ||||||
Electronics—2.9%
|
||||||||
Tyco International Ltd.
|
356,649 | 10,781,499 | ||||||
Oil & gas—2.8%
|
||||||||
Total S.A.
, Sponsored ADR
|
186,120 | 10,104,455 | ||||||
Pharmaceuticals—3.0%
|
||||||||
GlaxoSmithKline PLC
, Sponsored ADR
|
239,350 | 10,916,753 | ||||||
Total foreign common stocks (cost $37,554,437)
|
41,151,301 | |||||||
Total common stocks (cost $309,407,048)
|
350,162,868 | |||||||
Total investment portfolio (cost $309,407,048) 95.3%
|
350,162,868 | |||||||
Other assets in excess of liabilities 4.7%
|
17,432,030 | |||||||
Net assets 100.0%
|
$367,594,898 | |||||||
ADR—American depository receipt
|
Sector allocation
|
||
Sector
|
Percent of net assets
|
|
Consumer, non-cyclical
|
26.0%
|
|
Financial
|
17.6%
|
|
Industrial
|
16.0%
|
|
Energy
|
12.0%
|
|
Consumer, cyclical
|
10.5%
|
|
Technology
|
6.3%
|
|
Communications
|
4.5%
|
|
Basic materials
|
2.4%
|
Notes to Investment Portfolio
|
(UNAUDITED)
|
01.31.2013
|
●
|
The
Eagle Growth & Income Fund
(“Growth & Income Fund”) primarily seeks long-term capital appreciation and, secondarily, seeks current income.
|
●
|
Class A shares are sold at a maximum front-end sales charge of 4.75%. Class A share investments greater than $1 million, which are not sold subject to a sales charge, may be subject to a contingent deferred sales charge (“CDSC”) of up to 1% of the lower of net asset value (“NAV”) or purchase price if redeemed within 18 months of purchase.
|
●
|
Class C shares are sold subject to a CDSC of 1% of the lower of NAV or purchase price if redeemed within one year of purchase.
|
●
|
Class I, Class R-3, Class R-5, and Class R-6 shares are each sold without a front-end sales charge or a CDSC to qualified buyers.
|
●
|
The quotation may be stale;
|
●
|
The quotation may be unreliable because the security is not actively traded;
|
●
|
Trading on the security halted before the close of the trading market;
|
●
|
Security is newly issued;
|
●
|
Issuer-specific events occurred after the security halted trading; or
|
●
|
Because of the passage of time between the close of the market on which the security trades and the close of the NYSE.
|
●
|
A merger or insolvency;
|
●
|
Events which affect a geographical area or an industry segment, such as political events or natural disasters; or
|
●
|
Market events, such as a significant movement in the U.S. markets.
|
Notes to Investment Portfolio
|
(UNAUDITED)
|
01.31.2013
|
●
|
Domestic exchange-traded equity securities
| Market quotations are generally available and reliable for domestic exchange-traded equity securities. If the prices provided by the pricing service and independent quoted prices are unreliable, the Valuation Committee will fair value the security using the Procedures.
|
●
|
Foreign equity securities
| If market quotations are available and reliable for foreign exchange-traded equity securities, the securities will be valued at the market quotations. Because trading hours for certain foreign securities end before the NYSE Close, closing market quotations may become unreliable. Consequently, fair valuation of portfolio securities may occur on a daily basis. The Fund may fair value a security if certain events occur between the time trading ends on a particular security and the Fund’s NAV calculation. The Fund may also fair value a particular security if the events are significant and make the closing price unreliable. If an issuer-specific event has occurred that Eagle determines, in its judgment, is likely to have affected the closing price of a foreign security, the Fund will price the security at fair value. Eagle also utilizes a screening process from a pricing vendor to indicate the degree of certainty, based on historical data, that the closing price in the principal market where a foreign security trades is not the current market value as of the NYSE close. Securities and other assets quoted in foreign currencies are valued in U.S. dollars based on exchange rates provided by a pricing service. The pricing vendor, pricing methodology or degree of certainty may change from time to time. Securities primarily traded on foreign markets may trade on days that are not business days of the Fund. Because the NAV of a Fund’s shares is determined only on business days of the Fund, the value of the portfolio securities of a Fund that invests in foreign securities may change on days when shareholders would not be able to purchase or redeem shares of the Fund.
|
●
|
Fixed income securities
| Government bonds, corporate bonds, asset-backed bonds, municipal bonds and convertible securities, including high yield or junk bonds, normally are valued on the basis of prices provided by independent pricing services. Prices provided by the pricing services may be determined without exclusive reliance on quoted prices, and may reflect appropriate factors such as institution-size trading in similar groups of securities, developments related to special securities, dividend rate, maturity and other market data. If the prices provided by the pricing service and independent quoted prices are unreliable, the Valuation Committee will fair value the security using the Procedures.
|
●
|
Short-term securities
| The amortized cost method of security valuation is used by the Fund (as set forth in Rule 2a-7 under the Investment Company Act of 1940, as amended) for short-term investments (investments that have a maturity date of 60 days or less). The amortized cost of an instrument is determined by valuing it at cost as of the time of purchase and thereafter accreting/ amortizing any purchase discount/premium at a constant rate until maturity. Amortized cost approximates fair value.
|
●
|
Futures and options
| Futures and options are valued on the basis of market quotations, if available. If the prices provided by the pricing service and independent quoted prices are unreliable, the Valuation Committee will fair value the security using the Procedures. At January 31, 2013, the Fund did not hold any futures or options.
|
●
|
Investment Companies
| Investments in other investment companies are valued at their reported NAV. In addition, investments in exchange traded funds are valued on the basis of market quotations, if available. If the prices provided by the pricing service and independent quoted prices are unreliable, the Valuation Committee will fair value the security using the Procedures.
|
Notes to Investment Portfolio
|
(UNAUDITED)
|
01.31.2013
|
Quoted prices in
active markets
for identical
assets
(Level 1)
|
Significant
other
observable
inputs
(Level 2)
|
Total
|
||||||||||
Growth & Income Fund
|
||||||||||||
Domestic common stocks (a)
|
$309,011,567 | $— | $309,011,567 | |||||||||
Foreign common stocks (a)
|
41,151,301 | — | 41,151,301 | |||||||||
Total investment portfolio
|
$350,162,868 | $— | $350,162,868 |
(a)
|
Please see the investment portfolio for detail by industry.
|
Notes to Investment Portfolio
|
(UNAUDITED)
|
01.31.2013
|
Identified cost
|
||||
Growth & Income Fund
|
$309,581,560 |
Unrealized
appreciation
|
Unrealized
depreciation
|
Net unrealized
appreciation
(depreciation)
|
||||||||||
Growth & Income Fund
|
$42,523,769 | $(1,942,461 | ) | $40,581,308 |
(a)
|
Based on an evaluation of the disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940), the Principal Executive Officer and Principal Financial Officer of
Eagle Growth & Income Fund
have concluded that such disclosure controls and procedures are effective as of a date within 90 days of the filing date of this Form N-Q.
|
(b)
|
There was no change in the internal controls over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) of
Eagle Growth & Income Fund
that occurred during the registrant’s last fiscal quarter that has materially affected, or is reasonably likely to materially affect, its internal controls over financial reporting.
|
(a)
|
Certifications of the
Principal Executive Officer and Principal Financial Officer of
Eagle
Growth & Income Fund
as required by Rule 30a-2(a) under the Investment Company Act of 1940.
|
EAGLE GROWTH & INCOME FUND | |||
Date:
March 28, 2013
|
|||
/s/ Susan L. Walzer
|
|
||
Susan L. Walzer
|
|||
Principal Executive Officer
|
EAGLE GROWTH & INCOME FUND | |||
Date:
March 28, 2013
|
|||
/s/ Susan L. Walzer
|
|
||
Susan L. Walzer
|
|||
Principal Executive Officer
|
|||
Date:
March 28, 2013
|
|
||
/s/ Carolyn Gill
|
|
||
Carolyn Gill
|
|||
Principal Financial Officer
|
1 Year Eagle Growth And Income Trust, Class C (MM) Chart |
1 Month Eagle Growth And Income Trust, Class C (MM) Chart |
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