EX-99.77O RULE 10F-3 8 g86103_2ex77o.txt RULE 10F-3 TRANSACTION REPORT 4-03 THRU 6-03 SCHEDULE A RULE 10F-3 TRANSACTIONS REPORT APRIL 1, 2003 THROUGH JUNE 30, 2003 AFFILIATED UNDERWRITER: BANC OF AMERICA SECURITIES, LLC
Type of Security* Date Principal/ Price Issuer (1), (2), Offering Purchase Shares Price/ Paid % of % of Fund (3), (4) Commenced Date Selling Broker** Purchased Par By Fund Issue Assets ------------------------------------------------------------------------------------------------------------------------------------ NATIONS FUNDS TRUST NATIONS ASSET ALLOCATION FUND BHP Billiton Finance 1 04/14/03 04/14/03 Citigroup 48,000 $99.890 $47,947 0.01% 0.02% Cox Enterprises Corporation 3 04/14/03 04/14/03 J.P. Morgan 38,000 $99.935 $37,975 0.01% 0.02% Wal-Mart 4.55% 5/1/13 1 04/22/03 04/22/03 Lehman Brothers 50,000 $99.753 $49,877 0.00% 0.02% Hartford Financial Services 1 05/19/03 05/19/03 Wachovia 46,000 $99.884 $45,947 0.02% 0.02% Daimler Chrysler 3.375% 6/4/08 1 05/28/03 05/28/03 Deutche Bank 243,000 $99.657 $242,167 0.01% 0.11% Rio Tinto Financial USA Ltd 1 06/12/03 06/12/03 J.P. Morgan 48,000 $99.978 $47,989 0.01% 0.02% Electronic Data Systems 1 06/25/03 06/25/03 Citigroup 24,000 $98.434 $23,624 0.01% 0.01% NATIONS BOND FUND BHP Billiton Finance 1 04/14/03 04/14/03 Citigroup 1,593,000 $99.890 $1,591,248 0.19% 0.06% Cox Enterprises Corporation 3 04/14/03 04/14/03 J.P. Morgan 1,261,000 $99.935 $1,260,180 0.25% 0.05% Wal-Mart 4.55% 5/1/13 1 04/22/03 04/22/03 Lehman Brothers 2,600,000 $99.753 $2,593,578 0.17% 0.10% Hartford Financial Services 1 05/19/03 05/19/03 Wachovia 1,605,000 $99.884 $1,603,138 0.64% 0.06% Daimler Chrysler 3.375% 6/4/08 1 05/28/03 05/28/03 Deutche Bank 7,908,000 $99.657 $7,880,876 0.32% 0.31% Rio Tinto Financial USA Ltd 1 06/12/03 06/12/03 J.P. Morgan 1,451,000 $99.978 $1,450,681 0.24% 0.06% Electronic Data Systems 1 06/25/03 06/25/03 Citigroup 758,000 $98.434 $746,130 0.19% 0.03% NATIONS CONVERTIBLE SECURITIES FUND Walt Disney Company Cv Salomon Senior Note 1 04/09/03 04/09/03 Smith Barney 11,800,000 $100.000 $11,800,000 1.03% 1.21% UnumProvident Corporation 8.25% CVBD 5/15/06 1 05/01/03 05/01/03 Goldman Sachs 83,960 $25.000 $20,990 0.42% 0.00% KV Pharmacutical 2.5% CVBD 5/15/33 144A 3 05/13/03 05/13/03 Deutche Bank 1,980,000 $100.000 $1,980,000 1.13% 0.18% Centerpoint Energy 3.75% Salomon 5/15/23 CVBD 3 05/14/03 05/14/03 Smith Barney 4,960,000 $100.000 $4,960,000 0.86% 0.44% Hartford Financial 7% 8/16/06 Pfd. 1 05/19/03 05/19/03 Goldman Sachs 59,700 $50.000 $29,850 0.50% 0.00% Wilson GreatBatch Tech Morgan 2.25% 6/15/13 CVBD 3 05/21/03 05/21/03 Stanley 2,475,000 $100.000 $2,475,000 1.83% 0.22% Lincare Holdings 3% 6/15/23 CVBD 3 06/06/03 06/06/03 J.P. Morgan 4,965,000 $100.000 $4,965,000 1.99% 0.41% Reliant Resources 5% CVBD due 8/15/10 3 06/19/03 06/19/03 Goldman Sachs 4,955,000 $100.000 $4,955,000 2.20% 0.40% General Motors 6.25% Morgan Series C 7/15/33 1 06/26/03 06/26/03 Stanley 16,762,500 $100.000 $16,762,500 0.01% 1.36% Sealed Air 3% CVBD 6/30/33 Morgan 144A 3 06/26/03 06/26/03 Stanley 9,940,000 $100.000 $9,940,000 2.65% 0.81% NATIONS INTERMEDIATE MUNICIPAL BOND FUND North Carolina Medical Center 4 06/27/03 06/27/03 Citigroup 3,505,000 $111.621 $3,912,316 1.98% 0.20% NATIONS LARGECAP INDEX FUND Lehman AES Corporation 1 06/20/03 06/03/03 Brothers 9,425 $6.925 $65,268 0.02% 0.01% NATIONS LARGECAP VALUE FUND Hartford Financial Services Group 1 05/19/03 05/19/03 Goldman Sachs 9,400 $45.500 $427,700 0.04% 0.46% NATIONS LARGECAP ENHANCED CORE FUND AES Corporation 1 06/03/03 06/03/03 ITG 11,038 $8.010 $88,411 0.00% 0.04% AES Corporation 1 06/03/03 06/03/03 ITG 162 $7.995 $1,295 0.03% 0.00% NATIONS MIDCAP VALUE FUND UnumProvident Corporation 1 05/01/03 05/01/03 Goldman Sachs 200,000 $10.875 $2,175,000 0.46% 0.67% UnumProvident Corporation Cv. Pfd. 1 05/01/03 05/01/03 Goldman Sachs 26,640 $25.000 $666,000 0.13% 0.20% Hartford Financial Services Group 1 05/19/03 05/19/03 Goldman Sachs 34,800 $45.500 $1,583,400 0.14% 0.46% Hartford Financial Services Group Cv Pfd 1 05/19/03 05/19/03 Goldman Sachs 14,100 $50.000 $705,000 0.12% 0.21% NATIONS SHORT-TERM INCOME FUND Hartford Financial Services 1 05/19/03 05/19/03 Wachovia 699,000 $99.884 $698,189 0.28% 0.07% NATIONS SMALL COMPANY FUND Chicago Bridge & Iron Credit Suisse Company N.V. 1 06/26/03 06/26/03 First Boston 175,000 $21.750 3,806,250 2.48% 0.56% NATIONS STRATEGIC INCOME FUND BHP Billiton Finance 1 04/14/03 04/14/03 Citigroup 84,000 $99.890 $83,908 0.01% 0.04% Cox Enterprises Corporation 3 04/14/03 04/14/03 J.P. Morgan 67,000 $99.935 $66,956 0.01% 0.03% Wal-Mart 4.55% 5/1/13 1 04/22/03 04/22/03 Lehman Brothers 142,000 $99.753 $141,649 0.01% 0.07% Hartford Financial Services 1 05/19/03 05/19/03 Wachovia 78,000 $99.884 $77,910 0.03% 0.04% Daimler Chrysler 3.375% 6/4/08 1 05/28/03 05/28/03 Deutche Bank 443,000 $99.657 $441,481 0.02% 0.19% Rio Tinto Financial USA Ltd 1 06/12/03 06/12/03 J.P. Morgan 87,000 $99.978 $86,981 0.01% 0.04% Electronic Data Systems 1 06/25/03 06/25/03 Citigroup 46,000 $98.434 $45,280 0.01% 0.02% NATIONS VALUE FUND Hartford Financial Services Group 1 05/19/03 05/19/03 Goldman Sachs 62,700 $45.500 $2,852,850 0.26% 0.47% CORPORATE BOND PORTFOLIO BHP Billiton Finance 1 04/14/03 04/14/03 Citigroup 34,000 $99.890 $33,963 0.00% 0.23% Cox Enterprises Corporation 3 04/14/03 04/14/03 J.P. Morgan 3,000 $99.935 $2,998 0.00% 0.02% Wal-Mart 4.55% 5/1/13 1 04/22/03 04/22/03 Lehman Brothers 15,000 $99.753 $14,963 0.00% 0.11% Hartford Financial Services 1 05/19/03 05/19/03 Wachovia 30,000 $99.884 $29,965 0.01% 0.21% Daimler Chrysler 3.375% 6/4/08 1 05/28/03 05/28/03 Deutche Bank 154,000 $99.657 $153,472 0.01% 1.07% Rio Tinto Financial USA Ltd 1 06/12/03 06/12/03 J.P. Morgan 26,000 $99.978 $25,994 0.00% 0.17% Electronic Data Systems 1 06/25/03 06/25/03 Citigroup 15,000 $98.434 $14,765 0.00% 0.10% HIGH INCOME PORTFOLIO Vivendi Universal Corporation 1 04/03/03 04/03/03 Goldman Sachs 144,000 $100.000 $144,000 0.02% 1.13% Deutche Bank Park Place Entertainment Corp 1 04/08/03 04/08/03 -Alex Brown 24,000 $100.000 $24,000 0.01% 0.19% CIBC Alpharma Inc. Sr. Notes 1 04/16/03 04/16/03 World Markets 23,000 $100.000 $23,000 0.01% 0.18% Equistar Chemicals Corporation Sr. Notes 10.625% 1 04/16/03 04/16/03 Citigroup 92,000 $100.000 $92,000 0.02% 0.72% Salomon Flextronics 1 05/05/03 05/05/03 Smith Barney 165,000 $100.000 $165,000 0.04% 1.49% Credit Suisse El Paso Production Holdings 1 05/20/03 05/20/03 First Boston 40,000 $100.000 $40,000 0.00% 0.36% Apogent Technologies 1 05/22/03 05/22/03 UBS Warburg 39,000 $101.000 $39,390 0.02% 0.36% Georgia Pacific 1 05/22/03 05/22/03 UBS Warburg 506,000 $100.000 $506,000 0.14% 4.58% Williams Company 8% 6/1/10 1 06/05/03 06/05/03 Lehman Brothers 63,000 $100.000 $63,000 0.01% 0.57% CBD Media, LLC 8.625% 6/1/2011 1 06/09/03 06/09/03 Lehman Brothers 19,000 $100.000 $19,000 0.01% 0.17% Tenneco Automotive Inc. 1 06/10/03 06/10/03 J.P. Morgan 20,000 $100.000 $20,000 0.01% 0.18% Centennial Cellular 10.125% Credit Suisse 6/15/2013 1 06/16/03 06/16/03 First Boston 102,000 $100.000 $102,000 0.02% 0.90% Domino's Inc Sr, sub notes 8.25% due 7/11/2011 1 06/18/03 06/18/03 J.P. Morgan 38,000 $99.278 $37,726 0.01% 0.33% American Color Graphics 1 06/19/03 06/19/03 Morgan Stanley 9,000 $100.000 $9,000 0.00% 0.08%
* 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 aggregated with purchases by any other investment company advised by the Adviser, and any purchases by another account with respect to which the Adviser has investment discretion if the Adviser exercised such investment discretion with respect to the purchase, shall 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).