EX-99.77O 9 ex77o-ref.txt Exhibit 77o
------------------------------------------------------------------------------------------------------------------------------ Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002 DeAM RREEF Rreal Estate Securities Fund ------------------------------------------------------------------------------------------------------------------------------ Security Purchased Comparison Security Comparison Security ------------------------------------------------------------------------------------------------------------------------------ Issuer HERITAGE PROPERTY INVESTMENT RAMCO-GERSHENSON PROPERTIES GLIMCHER REALTY TRUST TRUST, INC. TRUST ------------------------------------------------------------------------------------------------------------------------------ Underwriters Duetsche Bank, Merrill Lynch, Deutsche Bank, McDonald Deutsche Bank, McDonald Goldman Sachs, Morgan Stanley, Investments, Robertson Investments UBS Warburg, Legg Mason Wood Stephens Walker, Wachovia Securities ------------------------------------------------------------------------------------------------------------------------------ Years of continuous operation, >3 >3 >3 including predecessors ------------------------------------------------------------------------------------------------------------------------------ Security HTG RPT GRT ------------------------------------------------------------------------------------------------------------------------------ Is the affiliate a manager or no yes yes co-manager of offering? ------------------------------------------------------------------------------------------------------------------------------ Name of underwriter or dealer Merrill Lynch n/a n/a from which purchased ------------------------------------------------------------------------------------------------------------------------------ Firm commitment underwriting? yes yes yes ------------------------------------------------------------------------------------------------------------------------------ Trade date/Date of Offering 4/23/2002 4/23/2002 6/27/2002 ------------------------------------------------------------------------------------------------------------------------------ Total dollar amount of offering $ - $ - $ - sold to QIBs ------------------------------------------------------------------------------------------------------------------------------ Total dollar amount of any $450,000,000 $73,500,000 $53,460,000 concurrent public offering ------------------------------------------------------------------------------------------------------------------------------ Total $450,000,000 $73,500,000 $53,460,000 ------------------------------------------------------------------------------------------------------------------------------ Public offering price $25.00 $17.50 $17.82 ------------------------------------------------------------------------------------------------------------------------------ Realized Gain/Loss on Sale of $ 110.01 (0.073%) n/a n/a Security ------------------------------------------------------------------------------------------------------------------------------ Unrealized Gain/Loss at 6/30/02 n/a n/a n/a ------------------------------------------------------------------------------------------------------------------------------ Price paid if other than public n/a n/a n/a offering price ------------------------------------------------------------------------------------------------------------------------------ Underwriting spread or commission* 1.56 (6.25%) 1.05 (6%) 0.89 (5%) ------------------------------------------------------------------------------------------------------------------------------ Shares purchased 6,000 n/a n/a ------------------------------------------------------------------------------------------------------------------------------ $ amount of purchase $150,000.00 n/a n/a ------------------------------------------------------------------------------------------------------------------------------ % of offering purchased by fund 0.00033% n/a n/a ------------------------------------------------------------------------------------------------------------------------------ % of offering purchased by n/a n/a n/a associated funds* ------------------------------------------------------------------------------------------------------------------------------ Total (must be less than 25%) 0.00033% n/a n/a ------------------------------------------------------------------------------------------------------------------------------
* Heritage Property Investment Trust was an initial public offering, while both Ramco-Gershenson Properties and Glimcher Realty Trust were secondary, follow-on offerings. RREEF has not purchased and IPO in over two years.