EX-99.77O RULE 10F-3 3 g73039ex77o.txt RULE 10F-3 TRANSACTION REPORT Schedule A RULE 10F-3 TRANSACTIONS REPORT ------------------------------ April 1, 2001 through September 30, 2001 Affiliated Underwriter: Banc of America Securities, LLC
Type of Security* Date Principal/ Price % of (1),(2), Offering Purchase Shares Paid % of Fund Issuer (3),(4) Commenced Date Selling Broker** Purchased Price By Fund Issue Assets ------------------------------------------------------------------------------------------------------------------------------------ NATIONS FUNDS TRUST NATIONS MARSICO INTERNATIONAL OPPORTUNITIES Instinet Group Inc. 1 05/17/01 05/17/01 CS First Boston 36,975 14.50 $5,361 0.01% 0.07% Odyssey Re Holdings Corp 1 06/14/01 06/14/01 JP Morgan 90,360 18.00 $16,265 0.03% 0.21% Accenture, Ltd 1 07/18/01 07/18/01 Goldman Sachs 9,696 $14.50 $140,592 0.01% 1.82% NATIONS MARSICO 21ST CENTURY Global Power Equipment Group 1 05/17/01 05/17/01 Salomon Smith 47,440 20.00 $9,488 0.03% 0.01% Barney Instinet Group Inc. 1 05/17/01 05/17/01 CS First Boston 206,306 14.50 $29,914 0.05% 0.03% Odyssey Re Holdings Corp, 1 06/14/01 06/14/01 JP Morgan 425,844 18.00 $76,652 0.14% 0.08% Accenture, Ltd 1 07/18/01 07/18/01 Goldman Sachs 46,454 $14.50 $673,583 0.04% 0.84% FINANCIAL SERVICES Instinet Group Inc. 1 05/17/01 05/17/01 CS First Boston 6,000 $14.50 $87,000 0.02% 1.63% NATIONS ASSET ALLOCATION Airgas, Inc. 9.125%, 10/01/2011 3 07/25/01 07/25/01 Goldman Sachs 70,000 100.00 $70,000 0.03% 0.02% Ryland Corporate, 8%, 08/15/2006 1 08/13/01 08/13/01 CS First Boston 120,000 100.00 $120,000 0.12% 0.03% Verizon New England, 6.50%, 09/15/2011 1 08/15/01 08/15/01 Deutsche Banc 399,000 99.77 $398,098 0.04% 0.09% Alex Brown Conagra Foods, 6.75%, 09/15/2011 1 09/05/01 09/05/01 Merrill Lynch 262,000 99.95 $261,864 0.26% 0.06% Cinergy Corporation, 6.25%, 09/02/2004 1 09/06/01 09/06/01 Barclays Capital 288,000 99.99 $287,963 0.06% 0.06%
* The following designations identify whether the securities are: (1) part of a Registered Offering; (2) part of an Eligible Foreign Offering; (3) part of an Eligible Rule 144A Offering; or (4) Eligible Municipal Securities, as such terms are defined in the Procedures for Investment Pursuant to Rule 10f-3 under the Investment Company Act of 1940, as amended. ** The Selling Broker is not affiliated with the Affiliated Underwriter. The amount of securities of any class purchased by a Fund and any other investment companies advised by a Sub-Adviser or Adviser to the Funds may not exceed (i) 25% of the principal amount of the offering of such class or (ii) if an Eligible Rule 144A offering, 25% of the total of the principal amount of the offering of such class sold to qualified institutional buyers plus the principal amount of the offering of such class in any concurrent public offering. The securities were offered in a firm commitment underwriting (unless a rights offering) and the securities purchased were of an issuer who had been in continuous operations for not less than three years, including predecessors (except for Eligible Municipal Securities).