EX-99 3 table.txt
FACE VALUE BOND / ISSUER/ NOTE/ # OF AMOUNT SECURITY BOND/ PURCHASE SHARES SHARE PAID TRUST FUND NAME CUSIP DESCRIPTION EQUITY DATE SELLING BROKER PURCHASED PRICE BY FUND ----------------------------------------------------------------------------------------------------------------------------------- Columbia Funds Columbia 19259PAF9 Coinstar Note 9/10/2009 Morgan Stanley 500,000 100.0000 500,000 Series Trust Convertible Incorporated Securities Fund 4.000% 09/01/2014 Columbia Funds Columbia 367905AE6 Gaylord Note 9/24/2009 Deutsche Bank 1,500,000 100.0000 1,500,000 Series Trust Convertible Entertainment Securities Fund 3.750% 10/01/2014 Columbia Funds Columbia 90213B208 Dole Food Automatic Equity 10/22/2009 Goldman Sachs 640,000 12.5000 8,000,000 Series Trust Convertible Securities Fund Columbia Funds Columbia 63934EAL2 Navistar Note 10/22/2009 JPMorgan 1,000,000 100.0000 1,000,000 Series Trust Convertible International Securities Fund Corporation 3.000% 10/15/2014 Columbia Funds Columbia Large 693475105 PNC Financial Equity 2/3/2010 JPMorgan 30,000 54.0000 1,620,000 Series Trust Cap Core Fund Services Group Columbia Funds Columbia Marsico 19624R106 Colony Financial Equity 9/23/2009 Morgan Stanley 186 20.0000 3,723 Series Trust Global Fund Incorporated Columbia Funds Columbia Marsico 19624R106 Colony Financial Equity 9/23/2009 Goldman Sachs 186 20.0000 3,723 Series Trust Global Fund Incorporated Columbia Funds Columbia Marsico 19624R106 Colony Financial Equity 9/23/2009 UBS Securities 93 20.0000 1,861 Series Trust Global Fund Incorporated Columbia Funds Columbia Marsico 19624R106 Colony Financial Equity 9/23/2009 Calyon 47 20.0000 931 Series Trust Global Fund Incorporated Securities Columbia Funds Columbia Marsico 19624R106 Colony Financial Equity 9/23/2009 HSBC Securities 47 20.0000 931 Series Trust Global Fund Incorporated Columbia Funds Columbia Marsico 19624R106 Colony Financial Equity 9/23/2009 JPM Securities 47 20.0000 931 Series Trust Global Fund Incorporated Columbia Funds Columbia Marsico 19624R106 Colony Financial Equity 9/23/2009 Keefe, 47 20.0000 931 Series Trust Global Fund Incorporated Bruyette & Woods Columbia Funds Columbia Marsico 19624R106 Colony Financial Equity 9/23/2009 RBC Capital 47 20.0000 931 Series Trust Global Fund Incorporated Markets Columbia Funds Columbia Marsico BRPDGRACNOR8 PDG Realty SA Equity 10/2/2009 UBS Securities 895 7.8100 6,990 Series Trust Global Fund Empreendimentos Columbia Funds Columbia Marsico BRPDGRACNOR8 PDG Realty SA Equity 10/2/2009 Banco Itau 627 7.8100 4,898 Series Trust Global Fund Empreendimentos Columbia Funds Columbia Marsico BRPDGRACNOR8 PDG Realty SA Equity 10/2/2009 Goldman Sachs 269 7.8100 2,098 Series Trust Global Fund Empreendimentos Columbia Funds Columbia Marsico BRPDGRACNOR8 PDG Realty SA Equity 10/2/2009 Banco Safra 70 7.8100 545 Series Trust Global Fund Empreendimentos Columbia Funds Columbia Marsico BRPDGRACNOR8 PDG Realty SA Equity 10/2/2009 Banco 70 7.8100 545 Series Trust Global Fund Empreendimentos Votorantim Columbia Funds Columbia Marsico BRPDGRACNOR8 PDG Realty SA Equity 10/2/2009 Banco Modal 70 7.8100 545 Series Trust Global Fund Empreendimentos Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 Morgan Stanley 587 22.0000 12,915 Series Trust Global Fund Incorporated Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 William Blair 146 22.0000 3,220 Series Trust Global Fund Incorporated Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 Keefe, 77 22.0000 1,698 Series Trust Global Fund Incorporated Bruyette & Woods Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 Wells Fargo 3 22.0000 60 Series Trust Global Fund Incorporated Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 JPMorgan 141 22.0000 3,103 Series Trust Global Fund Incorporated Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 Fox-Pitt Kelton 3 22.0000 57 Series Trust Global Fund Incorporated Columbia Funds Columbia Marsico 781295100 Rue21 Incorporated Equity 11/12/2009 Goldman Sachs 352 19.0000 6,688 Series Trust Global Fund Columbia Funds Columbia Marsico 781295100 Rue21 Incorporated Equity 11/12/2009 JPMorgan 258 19.0000 4,902 Series Trust Global Fund Columbia Funds Columbia Marsico 781295100 Rue21 Incorporated Equity 11/12/2009 Piper Jaffray 145 19.0000 2,756 Series Trust Global Fund & Co Columbia Funds Columbia Marsico 19624R106 Colony Financial Equity 9/23/2009 Morgan Stanley 156,462 20.0000 3,129,244 Series Trust 21st Century Fund Incorporated Columbia Funds Columbia Marsico 19624R106 Colony Financial Equity 9/23/2009 Goldman Sachs 156,462 20.0000 3,129,244 Series Trust 21st Century Fund Incorporated Columbia Funds Columbia Marsico 19624R106 Colony Financial Equity 9/23/2009 UBS Securities 78,228 20.0000 1,564,564 Series Trust 21st Century Fund Incorporated Columbia Funds Columbia Marsico 19624R106 Colony Financial Equity 9/23/2009 Calyon 39,115 20.0000 782,294 Series Trust 21st Century Fund Incorporated Securities Columbia Funds Columbia Marsico 19624R106 Colony Financial Equity 9/23/2009 HSBC Securities 39,115 20.0000 782,294 Series Trust 21st Century Fund Incorporated Columbia Funds Columbia Marsico 19624R106 Colony Financial Equity 9/23/2009 JPM Securities 39,115 20.0000 782,294 Series Trust 21st Century Fund Incorporated Columbia Funds Columbia Marsico 19624R106 Colony Financial Equity 9/23/2009 Keefe, 39,115 20.0000 782,294 Series Trust 21st Century Fund Incorporated Bruyette & Woods Columbia Funds Columbia Marsico 19624R106 Colony Financial Equity 9/23/2009 RBC Capital 39,115 20.0000 782,294 Series Trust 21st Century Fund Incorporated Markets Columbia Funds Columbia Marsico BRPDGRACNOR8 PDG Realty SA Equity 10/2/2009 UBS Securities 734,320 7.8100 5,735,040 Series Trust 21st Century Fund Empreendimentos Columbia Funds Columbia Marsico BRPDGRACNOR8 PDG Realty SA Equity 10/2/2009 Banco Itau 514,590 7.8100 4,018,950 Series Trust 21st Century Fund Empreendimentos Columbia Funds Columbia Marsico BRPDGRACNOR8 PDG Realty SA Equity 10/2/2009 Goldman Sachs 220,359 7.8100 1,721,003 Series Trust 21st Century Fund Empreendimentos Columbia Funds Columbia Marsico BRPDGRACNOR8 PDG Realty SA Equity 10/2/2009 Banco Safra 57,244 7.8100 447,072 Series Trust 21st Century Fund Empreendimentos Columbia Funds Columbia Marsico BRPDGRACNOR8 PDG Realty SA Equity 10/2/2009 Banco 57,244 7.8100 447,072 Series Trust 21st Century Fund Empreendimentos Votorantim Columbia Funds Columbia Marsico BRPDGRACNOR8 PDG Realty SA Equity 10/2/2009 Banco Modal 57,244 7.8100 447,072 Series Trust 21st Century Fund Empreendimentos Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 Morgan Stanley 479,574 22.0000 10,550,634 Series Trust 21st Century Fund Incorporated Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 William Blair 119,565 22.0000 2,630,433 Series Trust 21st Century Fund Incorporated Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 Keefe, 63,067 22.0000 1,387,479 Series Trust 21st Century Fund Incorporated Bruyette & Woods Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 Wells Fargo 2,234 22.0000 49,140 Series Trust 21st Century Fund Incorporated Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 JPMorgan 115,229 22.0000 2,535,047 Series Trust 21st Century Fund Incorporated Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 Fox-Pitt Kelton 2,102 22.0000 46,251 Series Trust 21st Century Fund Incorporated Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 Citigroup 2,420,265 100.0000 242,026,518 Series Trust 21st Century Fund 4.250% 11/15/2016 Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 JPMorgan 2,420,265 100.0000 242,026,518 Series Trust 21st Century Fund 4.250% 11/15/2016 Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 Barclays 2,420,246 100.0000 242,024,593 Series Trust 21st Century Fund 4.250% 11/15/2016 Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 Deutsche Bank 2,420,246 100.0000 242,024,593 Series Trust 21st Century Fund 4.250% 11/15/2016 Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 Goldman Sachs 2,420,246 100.0000 242,024,593 Series Trust 21st Century Fund 4.250% 11/15/2016 Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 Morgan Stanley 2,420,246 100.0000 242,024,593 Series Trust 21st Century Fund 4.250% 11/15/2016 Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 RBS Securities 2,420,246 100.0000 242,024,593 Series Trust 21st Century Fund 4.250% 11/15/2016 Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 BNP Paribas 481,300 100.0000 48,130,000 Series Trust 21st Century Fund 4.250% 11/15/2016 Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 HSBC Securities 481,300 100.0000 48,130,000 Series Trust 21st Century Fund 4.250% 11/15/2016 Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 Credit Suisse 238,725 100.0000 23,872,480 Series Trust 21st Century Fund 4.250% 11/15/2016 Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 UBS Securities 238,725 100.0000 23,872,480 Series Trust 21st Century Fund 4.250% 11/15/2016 Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 Calyon 159,792 100.0000 15,979,160 Series Trust 21st Century Fund 4.250% 11/15/2016 Securities Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 RBC Capital 159,792 100.0000 15,979,160 Series Trust 21st Century Fund 4.250% 11/15/2016 Markets Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 BNY Mellon 159,792 100.0000 15,979,160 Series Trust 21st Century Fund 4.250% 11/15/2016 Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 Wells Fargo 55,831 100.0000 5,583,080 Series Trust 21st Century Fund 4.250% 11/15/2016 Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 Scotia Capital 55,831 100.0000 5,583,080 Series Trust 21st Century Fund 4.250% 11/15/2016 Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 Comerica 55,831 100.0000 5,583,080 Series Trust 21st Century Fund 4.250% 11/15/2016 Securities Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 PNC Capital 55,831 100.0000 5,583,080 Series Trust 21st Century Fund 4.250% 11/15/2016 Markets Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 Commerzbank 55,831 100.0000 5,583,080 Series Trust 21st Century Fund 4.250% 11/15/2016 Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 BMO Capital 55,831 100.0000 5,583,080 Series Trust 21st Century Fund 4.250% 11/15/2016 Markets Columbia Funds Columbia Marsico 345370CN8 Ford Motor Company Note 11/3/2009 ANZ Securities 55,831 100.0000 5,583,080 Series Trust 21st Century Fund 4.250% 11/15/2016 Columbia Funds Columbia Marsico 781295100 Rue 21, Equity 2/25/2010 Goldman Sachs 199,676 28.5000 5,690,766 Series Trust 21st Century Fund Incorporated Columbia Funds Columbia Marsico 781295100 Rue 21, Equity 2/25/2010 JPMorgan 132,436 28.5000 3,774,431 Series Trust 21st Century Fund Incorporated Columbia Funds Columbia Marsico 781295100 Rue 21, Equity 2/25/2010 Barclays 51,476 28.5000 1,467,064 Series Trust 21st Century Fund Incorporated Columbia Funds Columbia Marsico 781295100 Rue 21, Equity 2/25/2010 Credit Suisse 51,476 28.5000 1,467,064 Series Trust 21st Century Fund Incorporated Columbia Funds Columbia Marsico 781295100 Rue 21, Equity 2/25/2010 Piper Jaffray 51,476 28.5000 1,467,064 Series Trust 21st Century Fund Incorporated & Co Columbia Funds Columbia Marsico KYG981491007 Wynn Macau Equity 9/30/2009 UBS Securities 8,241,483 1.3006 10,719,203 Series Trust Focused Equities Fund Columbia Funds Columbia Marsico KYG981491007 Wynn Macau Equity 9/30/2009 JPMorgan 8,241,483 1.3006 10,719,203 Series Trust Focused Equities Fund Columbia Funds Columbia Marsico KYG981491007 Wynn Macau Equity 9/30/2009 Morgan Stanley 8,241,483 1.3006 10,719,203 Series Trust Focused Equities Fund Columbia Funds Columbia Marsico KYG981491007 Wynn Macau Equity 9/30/2009 Deutsche Bank 6,041,426 1.3006 7,857,721 Series Trust Focused Equities Fund Columbia Funds Columbia Marsico KYG981491007 Wynn Macau Equity 9/30/2009 ABN AMRO 1,431,783 1.3006 1,862,234 Series Trust Focused Equities Fund Columbia Funds Columbia Marsico KYG981491007 Wynn Macau Equity 9/30/2009 BNP Paribas 1,047,646 1.3006 1,362,611 Series Trust Focused Equities Fund Columbia Funds Columbia Marsico KYG981491007 Wynn Macau Equity 9/30/2009 CLSA Limited 838,117 1.3006 1,090,088 Series Trust Focused Equities Fund Columbia Funds Columbia Marsico KYG981491007 Wynn Macau Equity 9/30/2009 Guoco Capital 419,058 1.3006 545,044 Series Trust Focused Equities Limited Fund Columbia Funds Columbia Marsico KYG981491007 Wynn Macau Equity 9/30/2009 Societe 419,058 1.3006 545,044 Series Trust Focused Equities Generale Fund Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 Morgan Stanley 115,379 22.0000 2,538,343 Series Trust Growth Fund Incorporated Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 William Blair 28,766 22.0000 632,847 Series Trust Growth Fund Incorporated Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 Keefe, 15,173 22.0000 333,809 Series Trust Growth Fund Incorporated Bruyette & Woods Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 Wells Fargo 537 22.0000 11,823 Series Trust Growth Fund Incorporated Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 JPMorgan 27,723 22.0000 609,899 Series Trust Growth Fund Incorporated Columbia Funds Columbia Marsico 92345Y106 Verisk Analytics Equity 10/6/2009 Fox-Pitt Kelton 506 22.0000 11,127 Series Trust Growth Fund Incorporated Columbia Funds Columbia Marsico 05967A107 Banco Santander Equity 10/7/2009 Santander 599,514 13.4033 8,035,471 Series Trust Growth Fund Brasil SA Columbia Funds Columbia Marsico 05967A107 Banco Santander Equity 10/7/2009 Credit Suisse 589,161 13.4033 7,896,702 Series Trust Growth Fund Brasil SA Columbia Funds Columbia Marsico 05967A107 Banco Santander Equity 10/7/2009 UBS Securities 210,425 13.4033 2,820,385 Series Trust Growth Fund Brasil SA Columbia Funds Columbia Marsico 693475105 PNC Financial Equity 2/3/2010 JPMorgan 238,685 54.0000 12,888,981 Series Trust Growth Fund Services Group Columbia Funds Columbia Marsico 693475105 PNC Financial Equity 2/3/2010 Morgan Stanley 238,685 54.0000 12,888,981 Series Trust Growth Fund Services Group Columbia Funds Columbia Marsico 693475105 PNC Financial Equity 2/3/2010 PNC Capital 102,780 54.0000 5,550,146 Series Trust Growth Fund Services Group Markets Columbia Funds Columbia Marsico 693475105 PNC Financial Equity 2/3/2010 Citigroup 19,874 54.0000 1,073,213 Series Trust Growth Fund Services Group Columbia Funds Columbia Marsico 693475105 PNC Financial Equity 2/3/2010 Barclays 19,874 54.0000 1,073,213 Series Trust Growth Fund Services Group Columbia Funds Columbia Marsico 693475105 PNC Financial Equity 2/3/2010 Sandler O'Neill 9,969 54.0000 538,343 Series Trust Growth Fund Services Group Columbia Funds Columbia Marsico 693475105 PNC Financial Equity 2/3/2010 UBS Securities 9,969 54.0000 538,343 Series Trust Growth Fund Services Group Columbia Funds Columbia Marsico 693475105 PNC Financial Equity 2/3/2010 Keefe, 3,345 54.0000 180,606 Series Trust Growth Fund Services Group Bruyette & Woods Columbia Funds Columbia Marsico 151290889 Cemex SAB de CV Equity 9/22/2009 JPMorgan 186,113 12.5000 2,326,418 Series Trust International Opportunities Fund Columbia Funds Columbia Marsico 151290889 Cemex SAB de CV Equity 9/22/2009 Santander 92,864 12.5000 1,160,801 Series Trust International Opportunities Fund Columbia Funds Columbia Marsico 151290889 Cemex SAB de CV Equity 9/22/2009 HSBC Securities 53,175 12.5000 664,691 Series Trust International Opportunities Fund Columbia Funds Columbia Marsico 151290889 Cemex SAB de CV Equity 9/22/2009 Calyon 53,175 12.5000 664,691 Series Trust International Securities Opportunities Fund Columbia Funds Columbia 151290889 Cemex SAB de CV Equity 9/22/2009 JPMorgan 108,612 12.5000 1,357,653 Series Trust Multi-Advisor International Equity Fund Columbia Funds Columbia 151290889 Cemex SAB de CV Equity 9/22/2009 Santander 54,194 12.5000 677,421 Series Trust Multi-Advisor International Equity Fund Columbia Funds Columbia 151290889 Cemex SAB de CV Equity 9/22/2009 HSBC Securities 31,032 12.5000 387,901 Series Trust Multi-Advisor International Equity Fund Columbia Funds Columbia 151290889 Cemex SAB de CV Equity 9/22/2009 Calyon 31,032 12.5000 387,901 Series Trust Multi-Advisor Securities International Equity Fund Columbia Funds Columbia Small 03739T108 A123 Systems Equity 9/23/2009 Morgan Stanley 45,768 13.5000 617,868 Series Trust Cap Growth Fund II Incorporated Columbia Funds Columbia Small 92849E101 Vitamin Shoppe Equity 10/27/2009 Barclays 41,622 17.0000 707,574 Series Trust Cap Growth Fund II Incorporated Columbia Funds Columbia Small 384701108 Graham Packaging Equity 2/10/2010 Citigroup 431,155 10.0000 4,311,550 Series Trust Cap Value Fund II Company, Incorporated