EX-99.77O RULE 10F-3 8 b55450ex77o2.txt TRANSACTIONS REPORT 8-1-2004 THROUGH 12-31-2004 RULE 10F-3 TRANSACTIONS REPORT OCTOBER 1, 2004 THROUGH DECEMBER 31, 2004 AFFILIATED UNDERWRITER: BANC OF AMERICA SECURITIES, LLC
TYPE OF SECURITY* DATE OFFERING PURCHASE PRINCIPAL/ SHARES ISSUER (1),(2),(3),(4) COMMENCED DATE SELLING BROKER** PURCHASED ----------------------------------- ----------------- ------------- --------- -------------------------- ----------------- NATIONS FUNDS TRUST NATIONS BOND FUND CWL 2004-11 A FLTR 03/25/2033 1 10/25/04 10/25/04 Countrywide Securities 15,000,000 Flextronics Intl LTD 6.25% 11/15/2014 3 11/09/04 11/09/04 Credit Suisse First Boston 500,000 Wynn Las Vegas LLC 6.625% 12/01/2014 3 11/22/04 11/22/04 Deutsche Bank 500,000 WDAC Subsidiary Corp 3 11/30/04 11/30/04 JP Morgan Chase 500,000 Carrol's Corp 9.0% 01/15/2013 3 12/09/04 12/09/04 JP Morgan Chase 80,000 Community Health Services 6.5% 12/15/2012 3 12/09/04 12/09/04 JP Morgan Chase 95,000 Aventine Renewable Energy 12/15/2011 3 12/10/04 12/10/04 Morgan Stanley 50,000 Church & Dwight 6.0% 12/15/2012 3 12/15/04 12/15/04 JP Morgan Chase 90,000 Landry's Restaurants Inc 7.5% 12/15/2014 3 12/15/04 12/15/04 Wachovia Securities, Inc 160,000 Reliant Energy Inc 6.75% 12/15/2014 3 12/14/04 12/14/04 Goldman Sachs & Co 160,000 NATIONS CALIFORNIA TAX-EXEMPT RESERVES CA Daily-UNIV-A-3 Floater 05/01/2034 4 10/21/04 10/21/04 Lehman Brothers Inc. 5,700,000 NATIONS CONVERTIBLE SECURITIES FUND Dov Pharmaceuticals, Inc. 2.5% CVBD Due 01/15/2025 3 12/17/04 12/17/04 CitiGroup Financial 1,500,000 NATIONS MIDCAP VALUE FUND DreamWorks Animation SKG, Inc. 1 10/27/04 10/27/04 JP Morgan Chase 150,000 Nalco Holding Company 1 11/10/04 11/10/04 Goldman Sachs & Co 100,000 PRICE PAID BY PRICE/PAR FUND % OF ISSUE % OF FUND ASSETS ----------- ------------- ---------- ---------------- NATIONS FUNDS TRUST NATIONS BOND FUND CWL 2004-11 A FLTR 03/25/2033 $ 100.000 $15,000,000 4.42% 0.71% Flextronics Intl LTD 6.25% 11/15/2014 $ 100.000 $ 500,000 0.10% 0.02% Wynn Las Vegas LLC 6.625% 12/01/2014 $ 100.000 $ 500,000 0.04% 0.02% WDAC Subsidiary Corp $ 100.000 $ 500,000 0.25% 0.02% Carrol's Corp 9.0% 01/15/2013 $ 100.000 $ 80,000 0.04% 0.00% Community Health Services 6.5% 12/15/2012 $ 100.000 $ 95,000 0.03% 0.00% Aventine Renewable Energy 12/15/2011 $ 100.000 $ 50,000 0.03% 0.00% Church & Dwight 6.0% 12/15/2012 $ 100.000 $ 90,000 0.04% 0.00% Landry's Restaurants Inc 7.5% 12/15/2014 $ 100.000 $ 160,000 0.04% 0.01% Reliant Energy Inc 6.75% 12/15/2014 $ 100.000 $ 160,000 0.02% 0.01% NATIONS CALIFORNIA TAX-EXEMPT RESERVES CA Daily-UNIV-A-3 Floater 05/01/2034 $ 100.000 $ 5,700,000 0.57% 0.31% NATIONS CONVERTIBLE SECURITIES FUND Dov Pharmaceuticals, Inc. 2.5% CVBD Due 01/15/2025 $ 100.000 $ 1,500,000 2.31% 0.07% NATIONS MIDCAP VALUE FUND DreamWorks Animation SKG, Inc. $ 28.000 $ 4,200,000 0.52% 0.78% Nalco Holding Company $ 15.000 $ 1,500,000 0.23% 0.27%
* 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). RULE 10F-3 TRANSACTIONS REPORT OCTOBER 1, 2004 THROUGH DECEMBER 31, 2004 AFFILIATED UNDERWRITER: BANC OF AMERICA SECURITIES, LLC
TYPE OF SECURITY* DATE OFFERING PURCHASE PRINCIPAL/ SHARES ISSUER (1),(2),(3),(4) COMMENCED DATE SELLING BROKER** PURCHASED ----------------------------------- ----------------- ------------- --------- -------------------------- ----------------- NATIONS MUNICIPAL RESERVES CA Daily-UNIV-A-5 Floater 05/01/2034 4 10/21/04 10/21/04 Morgan Stanley 1,000,000 State of Oregon Full Faith and Credit TANs 4 10/27/04 10/27/04 Salomon Smith Barney, Inc. 40,000,000 Connecticut Housing Finance Authority 11/15/2027 4 11/09/04 11/09/04 Salomon Smith Barney, Inc. 21,750,000 NATIONS SHORT-TERM INCOME FUND Washington Mutual Inc 4.2% 01/15/2010 1 12/13/04 12/13/04 Lehman Brothers Inc 6,000,000 NATIONS SMALL COMPANY FUND MarketAxess Holdings, Inc. 1 11/04/04 11/04/04 Credit Suisse First Boston 9,200 NATIONS SMALLCAP VALUE FUND New York + Co Inc USD 0.01 1 10/06/04 10/06/04 Bear Stearns & Co Inc. 48,300 Atmos Energy 1 10/21/04 10/21/04 Merrill Lynch 21,300 NATIONS TAX-EXEMPT RESERVES State of Oregon Full Faith and Credit TANs 4 10/27/04 10/27/04 Salomon Smith Barney, Inc. 20,000,000 CA Daily-UNIV-A-3 Floater 05/01/2034 4 10/21/04 10/21/04 Lehman Brothers Inc. 55,455,000 NATIONS INTERMEDIATE MUNICIPAL FUND New Jersey Economic Dev Auth 5.5 6/15/2016 4 10/06/04 10/07/04 CitiGroup Financial 5,500,000 HIGH YIELD BOND PORTFOLIO - CORE FUND Flextronics Intl LTD 6.25% 11/15/2014 3 11/09/04 11/09/04 Credit Suisse First Boston 500,000 Wynn Las Vegas LLC 6.625% 12/01/2014 3 11/22/04 11/22/04 Deutsche Bank 500,000 Carrol's Corp 9.0% 01/15/2013 3 12/09/04 12/09/04 JP Morgan Chase 65,000 Community Health Services 6.5% 12/15/2012 3 12/09/04 12/09/04 JP Morgan Chase 80,000 Aventine Renewable Energy 12/15/2011 3 12/10/04 12/10/04 Morgan Stanley 40,000 Church & Dwight 6.0% 12/15/2012 3 12/15/04 12/15/04 JP Morgan Chase 75,000 Landry's Restaurants Inc 7.5% 12/15/2014 3 12/15/04 12/15/04 Wachovia Securities, Inc 130,000 Reliant Energy Inc 6.75% 12/15/2014 3 12/14/04 12/14/04 Goldman Sachs & Co 135,000 PRICE PAID BY PRICE/PAR FUND % OF ISSUE % OF FUND ASSETS ----------- ------------- ---------- ---------------- NATIONS MUNICIPAL RESERVES CA Daily-UNIV-A-5 Floater 05/01/2034 $ 100.000 $ 1,000,000 0.10% 0.02% State of Oregon Full Faith and Credit TANs $ 100.803 $40,321,200 5.08% 0.76% Connecticut Housing Finance Authority 11/15/2027 $ 100.000 $21,750,000 17.40% 0.41% NATIONS SHORT-TERM INCOME FUND Washington Mutual Inc 4.2% 01/15/2010 $ 99.847 $ 5,990,820 1.00% 0.54% NATIONS SMALL COMPANY FUND MarketAxess Holdings, Inc. $ 11.000 $ 101,200 0.18% 0.02% NATIONS SMALLCAP VALUE FUND New York + Co Inc USD 0.01 $ 17.000 $ 821,100 0.48% 0.47% Atmos Energy $ 24.750 $ 527,175 0.15% 0.30% NATIONS TAX-EXEMPT RESERVES State of Oregon Full Faith and Credit TANs $ 100.803 $20,160,600 2.54% 0.69% CA Daily-UNIV-A-3 Floater 05/01/2034 $ 100.000 $55,455,000 5.55% 1.86% NATIONS INTERMEDIATE MUNICIPAL FUND New Jersey Economic Dev Auth 5.5 6/15/2016 $ 104.372 $ 5,740,460 0.39% 0.33% HIGH YIELD BOND PORTFOLIO - CORE FUND Flextronics Intl LTD 6.25% 11/15/2014 $ 100.000 $ 500,000 0.10% 0.69% Wynn Las Vegas LLC 6.625% 12/01/2014 $ 100.000 $ 500,000 0.04% 0.69% Carrol's Corp 9.0% 01/15/2013 $ 100.000 $ 65,000 0.04% 0.09% Community Health Services 6.5% 12/15/2012 $ 100.000 $ 80,000 0.03% 0.11% Aventine Renewable Energy 12/15/2011 $ 100.000 $ 40,000 0.03% 0.06% Church & Dwight 6.0% 12/15/2012 $ 100.000 $ 75,000 0.03% 0.10% Landry's Restaurants Inc 7.5% 12/15/2014 $ 100.000 $ 130,000 0.03% 0.18% Reliant Energy Inc 6.75% 12/15/2014 $ 100.000 $ 135,000 0.02% 0.19%
* 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).