EX-99.77O 7 ex77o.txt
-------------------------------------------------------------------------------------------------------------------------------- Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002 DeAM GROWTH OPPORTUNITY FUND -------------------------------------------------------------------------------------------------------------------------------- Security Purchased Comparison Security Comparison Security -------------------------------------------------------------------------------------------------------------------------------- Issuer AMN HEALTHCARE SERVICES, INC. CROSS COUNTRY, INC. EXULT, INC. -------------------------------------------------------------------------------------------------------------------------------- Underwriters BofA, JP Morgan, UBS, Suntrust Merrill, Salomon, Merrill, Goldman, Salomon, Capital Markets, Wells Fargo, CIBC BofA, CIBC World BofA, Bear Stearns, Lazard World Markets, CS First Boston, Markets, Suntrust Freres, Robertson Stephens, Deutsche Bank, First Southwest, Capital Markets US Bancorp Piper Jaffray, Lehman Brothers, Merrill, Salomon Robert W. Baird & Co., Jolston Merchant Partners, Nueberger Berman, Roth Capital Partners, CE Unterberg Towbin, Utendahl Capital Partners -------------------------------------------------------------------------------------------------------------------------------- Years of continuous operation, >3 Years >3 Years >3 Years including predecessors -------------------------------------------------------------------------------------------------------------------------------- Security Common Stock Common Stock Common Stock -------------------------------------------------------------------------------------------------------------------------------- Is the affiliate a manager or No n/a n/a co-manager of offering? -------------------------------------------------------------------------------------------------------------------------------- Name of underwriter or dealer from Bank of America n/a n/a which purchased -------------------------------------------------------------------------------------------------------------------------------- Firm commitment underwriting? Yes Yes Yes -------------------------------------------------------------------------------------------------------------------------------- Trade date/Date of Offering 5/17/2002 3/26/2002 8/1/2001 -------------------------------------------------------------------------------------------------------------------------------- Total dollar amount of offering sold $ 310,000,000.00 $ 240,750,000 $ 160,080,000 to QIBs -------------------------------------------------------------------------------------------------------------------------------- Total dollar amount of any concurrent n/a n/a n/a public offering -------------------------------------------------------------------------------------------------------------------------------- Total $ 310,000,000 $ 240,750,000 $ 160,080,000 -------------------------------------------------------------------------------------------------------------------------------- Public offering price $ 31.00 $ 26.75 $ 13.34 -------------------------------------------------------------------------------------------------------------------------------- Price paid if other than public same n/a n/a offering price -------------------------------------------------------------------------------------------------------------------------------- First Day Close $33.00 (+6.45%) n/a n/a -------------------------------------------------------------------------------------------------------------------------------- Unrealized gain/loss at 6/30/02 $2,807 (12.93%) n/a n/a -------------------------------------------------------------------------------------------------------------------------------- Underwriting spread or commission $1.519 (4.90%) $1.34 (5.01%) $0.68 (5.1%) -------------------------------------------------------------------------------------------------------------------------------- Shares purchased 700 n/a n/a -------------------------------------------------------------------------------------------------------------------------------- Amount of purchase $ 21,700.00 n/a n/a -------------------------------------------------------------------------------------------------------------------------------- % of offering purchased by fund 0.0070% n/a n/a -------------------------------------------------------------------------------------------------------------------------------- % of offering purchased by associated 1.44% n/a n/a funds -------------------------------------------------------------------------------------------------------------------------------- Total (must be less than 25%) 1.45% n/a n/a -------------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002 DeAM GROWTH OPPORTUNITY FUND --------------------------------------------------------------------------------------------------------------------------------- Security Purchased Comparison Security Comparison Security --------------------------------------------------------------------------------------------------------------------------------- Issuer AEROPOSTALE, INC. DELIA*S CORP. COACH, INC. --------------------------------------------------------------------------------------------------------------------------------- Underwriters Bear Stearns, Merrill, BofA, US Bancorp US Bancorp Piper Jaffray, Goldman Sachs, Morgan Piper Jaffray, First Union, CIBC World Lazard Freres & Co. Stanley, Prudential, MR Beal Markets, CS First Boston, Jeffries & & Co., Bear Stearns, William Co., Lazard Freres & Co., JP Morgan, Blair & Co., Ramirez & Co., Prudential, RBC Dain Rauscher, UBS, Salomon, Wachovia, The Thomas Weisel Partners, Investec PMG Williams Capital Group Capital, Buckingham Research Group, C.T. Unterberg, Towbin, Chatsworth, Friedman, Billings, Ramsey & Co., Gerard Klauer Mattison & Co., Ladenburg Thalmann & Co., Neuberger & Berman, Suntrust Capital Markets, Wedbush Morgan, William Blair & Company --------------------------------------------------------------------------------------------------------------------------------- Years of continuous operation, >3 Years >3 Years >3 Years including predecessors --------------------------------------------------------------------------------------------------------------------------------- Security Common Stock Common Stock Common Stock --------------------------------------------------------------------------------------------------------------------------------- Is the affiliate a manager or No n/a n/a co-manager of offering? --------------------------------------------------------------------------------------------------------------------------------- Name of underwriter or dealer US Bancorp Piper Jaffray n/a n/a from which purchased --------------------------------------------------------------------------------------------------------------------------------- Firm commitment underwriting? Yes Yes Yes --------------------------------------------------------------------------------------------------------------------------------- Trade date/Date of Offering 5/15/2002 6/15/2001 10/11/2000 --------------------------------------------------------------------------------------------------------------------------------- Total dollar amount of offering $ 255,000,000.00 $ 27,500,000.00 $ 118,050,000.00 sold to QIBs --------------------------------------------------------------------------------------------------------------------------------- Total dollar amount of any n/a n/a n/a concurrent public offering --------------------------------------------------------------------------------------------------------------------------------- Total $ 255,000,000 $ 27,500,000 $ 118,050,000 --------------------------------------------------------------------------------------------------------------------------------- Public offering price $ 18.00 $ 5.50 $ 16.00 --------------------------------------------------------------------------------------------------------------------------------- Price paid if other than public same n/a n/a offering price --------------------------------------------------------------------------------------------------------------------------------- First Day Close $27.75 (+54.17%) n/a n/a --------------------------------------------------------------------------------------------------------------------------------- Realized gain/loss on sale of $1,967 (54.63%) n/a n/a security --------------------------------------------------------------------------------------------------------------------------------- Underwriting spread or commission $1.26 (7.00%) $0.33 (6.00%) $1.12 (7.00%) --------------------------------------------------------------------------------------------------------------------------------- Shares purchased 200 n/a n/a --------------------------------------------------------------------------------------------------------------------------------- Amount of purchase $ 3,600.00 n/a n/a --------------------------------------------------------------------------------------------------------------------------------- % of offering purchased by fund 0.0014% n/a n/a --------------------------------------------------------------------------------------------------------------------------------- % of offering purchased by 1.21% n/a n/a associated funds --------------------------------------------------------------------------------------------------------------------------------- Total (must be less than 25%) 1.21% n/a n/a ---------------------------------------------------------------------------------------------------------------------------------