SOURCE CAPITAL /DE/ — Regulatory Filings 1997

Aug 29, 1997

PAGE 1 000 A000000 06/30/97 000 C000000 0000091847 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 3.0.a 000 J000000 A 001 A000000 SOURCE CAPITAL, INC 001 B000000 811-1731 001 C000000 3109965429 002 A000000 11400 WEST OLYMPIC BOULEVARD, SUITE 1200 002 B000000 LOS ANGELES 002 C000000 CA 002 D010000 90064 002 D020000 1507 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 10 008 A000001 FIRST PACIFIC ADVISORS, INC 008 B000001 A 008 C000001 801-39512 008 D010001 LOS ANGELES 008 D020001 CA 008 D030001 90064 008 D040001 1507 012 A000001 CHASEMELLON SHAREHOLDER SERVICES L.L.C. 012 B000001 85-0005005 012 C010001 RIDGEFIELD PARK 012 C020001 NJ 012 C030001 07660 013 A000001 ERNST & YOUNG LLP 013 B010001 LOS ANGELES 013 B020001 CA 013 B030001 90071 015 A000001 STATE STREET BANK AND TRUST COMPANY 015 B000001 C PAGE 2 015 C010001 BOSTON 015 C020001 MA 015 C030001 02105 015 E010001 X 018 000000 Y 019 A000000 N 019 B000000 0 020 A000001 RUSSELL (FRANK) SECURITIES, INCORPORATED 020 B000001 91-0604934 020 C000001 20 020 A000002 SCHRODER WERTHEIM & CO. INCORPORATED 020 B000002 13-2697272 020 C000002 11 020 A000003 GOLDMAN, SACHS & CO., INC. 020 B000003 13-5108880 020 C000003 7 020 A000004 MIDWEST RESOURCES 020 B000004 39-1605225 020 C000004 7 020 A000005 DEAN WITTER REYNOLDS, INC. 020 B000005 94-1671384 020 C000005 5 020 A000006 LIPPER ANALYTICAL SECURITIES CORPORATION 020 B000006 13-2792478 020 C000006 5 020 A000007 DONALDSON LUFKIN & JENRETTE SECURITIES CORP 020 B000007 13-2741729 020 C000007 5 020 A000008 BEAR, STEARNS & CO., INC 020 B000008 13-3299429 020 C000008 4 020 A000009 INSTINET CORPORATION 020 B000009 13-3443395 020 C000009 4 020 A000010 C.J. LAWRENCE/DEUTSCHE MORGAN GRENFELL 020 B000010 13-2730828 020 C000010 4 021 000000 110 022 A000001 MERRIL LYNCH PIERCE, FENNER AND SMITH, INC. 022 B000001 13-5674085 022 C000001 140166 022 D000001 15449 022 A000002 STATE STREET BANK & TRUST COMPANY, N.A. 022 B000002 04-1867445 022 C000002 139268 022 D000002 0 022 A000003 GOLDMAN SACHS & CO., INC. 022 B000003 13-5108880 022 C000003 8435 022 D000003 0 022 A000004 JEFFRIES & COMPANY, INC. PAGE 3 022 B000004 95-2622900 022 C000004 7167 022 D000004 386 022 A000005 DONALDSON LUFKIN & JENRETTE SECURITIES CORP. 022 B000005 13-2741729 022 C000005 1704 022 D000005 5777 022 A000006 FORUM CAPITAL MARKETS, L.P. 022 B000006 06-1351111 022 C000006 0 022 D000006 7123 022 A000007 FURMAN, SELZ, LLC 022 B000007 13-3856626 022 C000007 5000 022 D000007 0 022 A000008 CLEARY, GULL, REILAND, & MC DEVITT INC. 022 B000008 39-1567700 022 C000008 4714 022 D000008 0 022 A000009 FIRST ALBANY CORPOTATION 022 B000009 14-1391446 022 C000009 1256 022 D000009 2489 022 A000010 RAYMOND JAMES & ASSOCIATES, INC. 022 B000010 59-1237041 022 C000010 3020 022 D000010 0 023 C000000 318713 023 D000000 38831 024 000000 N 025 D000001 0 025 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 Y 026 D000000 Y 026 E000000 Y 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 N 028 A010000 0 028 A020000 0 028 A030000 0 PAGE 4 028 A040000 0 028 B010000 0 028 B020000 0 028 B030000 0 028 B040000 0 028 C010000 0 028 C020000 0 028 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 0.000 048 A010000 100000 PAGE 5 048 A020000 0.725 048 B010000 100000 048 B020000 0.700 048 C010000 0 048 C020000 0.000 048 D010000 0 048 D020000 0.000 048 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 200000 048 K020000 0.675 049 000000 N 050 000000 N 051 000000 N 052 000000 N 053 A000000 Y 053 B000000 Y 053 C000000 N 054 A000000 Y 054 B000000 Y 054 C000000 Y 054 D000000 N 054 E000000 N 054 F000000 N 054 G000000 Y 054 H000000 N 054 I000000 N 054 J000000 Y 054 K000000 N 054 L000000 N 054 M000000 Y 054 N000000 N 054 O000000 N 055 A000000 N 055 B000000 N 056 000000 Y 057 000000 N 058 A000000 N 059 000000 Y 060 A000000 Y 060 B000000 Y PAGE 6 061 000000 0 062 A000000 N 062 B000000 0.0 062 C000000 0.0 062 D000000 0.0 062 E000000 0.0 062 F000000 0.0 062 G000000 0.0 062 H000000 0.0 062 I000000 0.0 062 J000000 0.0 062 K000000 0.0 062 L000000 0.0 062 M000000 0.0 062 N000000 0.0 062 O000000 0.0 062 P000000 0.0 062 Q000000 0.0 062 R000000 0.0 063 A000000 0 063 B000000 0.0 066 A000000 Y 066 B000000 N 066 C000000 N 066 D000000 N 066 E000000 N 066 F000000 N 066 G000000 Y 067 000000 N 068 A000000 N 068 B000000 N 069 000000 N 070 A010000 Y 070 A020000 Y 070 B010000 Y 070 B020000 N 070 C010000 N 070 C020000 N 070 D010000 N 070 D020000 N 070 E010000 N 070 E020000 N 070 F010000 N 070 F020000 N 070 G010000 N 070 G020000 N 070 H010000 N 070 H020000 N 070 I010000 N 070 I020000 N 070 J010000 Y PAGE 7 070 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 N 070 P010000 Y 070 P020000 N 070 Q010000 N 070 Q020000 N 070 R010000 Y 070 R020000 N 071 A000000 57443 071 B000000 79191 071 C000000 361186 071 D000000 16 072 A000000 6 072 B000000 3589 072 C000000 2116 072 D000000 0 072 E000000 0 072 F000000 1354 072 G000000 0 072 H000000 0 072 I000000 127 072 J000000 25 072 K000000 0 072 L000000 120 072 M000000 40 072 N000000 16 072 O000000 33 072 P000000 0 072 Q000000 0 072 R000000 29 072 S000000 4 072 T000000 0 072 U000000 0 072 V000000 0 072 W000000 13 072 X000000 1761 072 Y000000 0 072 Z000000 3944 072AA000000 27684 072BB000000 124 072CC010000 12312 072CC020000 0 PAGE 8 072DD010000 4903 072DD020000 0 072EE000000 0 073 A010000 0.6700 073 A020000 0.0000 073 B000000 0.0000 073 C000000 1.1800 074 A000000 1 074 B000000 159 074 C000000 39056 074 D000000 62564 074 E000000 7503 074 F000000 302001 074 G000000 0 074 H000000 0 074 I000000 0 074 J000000 956 074 K000000 0 074 L000000 1738 074 M000000 0 074 N000000 413978 074 O000000 0 074 P000000 239 074 Q000000 0 074 R010000 0 074 R020000 0 074 R030000 0 074 R040000 280 074 S000000 54153 074 T000000 359306 074 U010000 7306 074 U020000 0 074 V010000 49.18 074 V020000 0.00 074 W000000 0.0000 074 X000000 22922 074 Y000000 0 075 A000000 0 075 B000000 389800 076 000000 47.00 077 A000000 N 078 000000 N 080 C000000 0 081 B000000 0 082 B000000 0 083 B000000 0 084 B000000 0 086 A010000 74 086 A020000 3364 086 B010000 0 086 B020000 0 PAGE 9 086 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 COMMON STOCK 087 A020000 836144-10 087 A030000 SOR 087 B010000 $2.40 CUMULATIVE PREFERRED STOCK 087 B020000 836144-20 087 B030000 SOR+ 088 D000000 Y SIGNATURE CHRIS THOMAS TITLE ASST TREASURER