0000844779-18-000160.txt : 20180425
0000844779-18-000160.hdr.sgml : 20180425
20180425115943
ACCESSION NUMBER: 0000844779-18-000160
CONFORMED SUBMISSION TYPE: NSAR-A
PUBLIC DOCUMENT COUNT: 29
CONFORMED PERIOD OF REPORT: 20180228
FILED AS OF DATE: 20180425
DATE AS OF CHANGE: 20180425
EFFECTIVENESS DATE: 20180425
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: BLACKROCK CORE BOND TRUST
CENTRAL INDEX KEY: 0001160864
IRS NUMBER: 522346891
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: NSAR-A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-10543
FILM NUMBER: 18773389
BUSINESS ADDRESS:
STREET 1: 100 BELLEVUE PARKWAY
STREET 2: MUTUAL FUND DEPARTMENT
CITY: WILMINGTON
STATE: DE
ZIP: 19809
BUSINESS PHONE: 888-825-2257
MAIL ADDRESS:
STREET 1: 100 BELLEVUE PARKWAY
STREET 2: MUTUAL FUND DEPARTMENT
CITY: WILMINGTON
STATE: DE
ZIP: 19809
NSAR-A
1
answer.fil
PAGE 1
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PAGE 3
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PAGE 4
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PAGE 8
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PAGE 12
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SIGNATURE NEAL J. ANDREWS
TITLE CFO
EX-99.77O RULE 10F-3
2
77o6.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES CORE TOTAL USD BOND MARKET ETF (ISHIUSB)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Multi-Asset Income - High Yield Portfolio (BR-INC-HY)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock Credit Allocation Income Trust (Preferred Sleeve) (BTZ-PREF)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Debt Strategies Fund, Inc. (DSU)
BlackRock Corporate High Yield Fund, Inc. (HYT)
Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 09-06-2017
Offering Commencement:
Security Type: BND/CORP
Issuer Steel Dynamics, Inc. (2025)
Selling Underwriter Merrill Lynch,Pierce,Fenner & Smith Incorporated
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
List of Underwriter(s) Merrill Lynch,Pierce,Fenner & Smith
Incorporated,J.P. Morgan Securities LLC,Goldman
Sachs & Co. LLC,Morgan Stanley & Co. LLC,Deutsche
Bank Securities Inc,BMO Capital Markets Corp,PNC
Capital Markets LLC,U.S. Bancorp
Investments,Inc,Wells Fargo Securities,LLC
TRANSACTION DETAILS
Date of Purchase 09-06-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $100 Total Commission, Spread or Profit 1.250%
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
1. Aggregate Principal Amount Purchased (a+b) $ 27,750,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 15,870,000
b. Other BlackRock Clients $ 11,880,000
2. Aggregate Principal Amount of Offering $350,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.0793
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Arushi Bhasin Date: 09-13-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 09-13-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2
of the Rule 10f-3 Report form. It is the sum of
the Funds' participation in the offering by the
Funds and other accounts managed by BlackRock
divided by the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other
than the United States and
(a) the offering is subject to regulation in
such country by a "foreign financial
regulatory authority," as defined in
Section 2(a)(50) of the Investment Company
Act of 1940;
(b) the securities were offered at a fixed
price to all purchasers in the offering
(except for any rights to purchase
securities that are required by law to be
granted to existing security holders of the
issuer);
(c) financial statements, prepared and audited
as required or permitted by the appropriate
foreign financial regulatory authority in
such country, for the two years prior to
the offering, were made available to the
public and prospective purchasers in
connection with the offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national
of any foreign country, or a corporation or
other organization incorporated or
organized under the laws of any foreign
country, it (1) has a class of securities
registered pursuant to section 12(b) or
12(g) of the Securities Exchange Act of
1934 or is required to file reports
pursuant to section 15(d) of that act, and
(2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d)
of that act for a period of at least 12
months immediately preceding the sale of
securities (or for such shorter period that
the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c) either
(1) are subject to no greater than moderate
credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may not
be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
3
77o7.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES EDGE U.S. FIXED INCOME BALANCED RISK ETF (ISHFIBR)
ISHARES GLOBAL HIGH YIELD CORPORATE BOND ETF (ISHGHYG)
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF (ISHHYLD)
ISHARES CORE TOTAL USD BOND MARKET ETF (ISHIUSB)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds, BlackRock Global Long/Short Credit Fund (BR-GC)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Multi-Asset Income - High Yield Portfolio (BR-INC-HY)
BlackRock Multi-Asset Income - Passive High Yield Portfolio (BR-INC-PHY)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock Credit Allocation Income Trust (Preferred Sleeve) (BTZ-PREF)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Debt Strategies Fund, Inc. (DSU)
BlackRock Corporate High Yield Fund, Inc. (HYT)
Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 09-08-2017
Offering Commencement:
Security Type: BND/CORP
Issuer United Rentals (North America), Inc. (2025)
Selling Underwriter Morgan Stanley & Co. LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
List of Underwriter(s) Morgan Stanley & Co. LLC,Wells Fargo Securities,
LLC,Merrill Lynch,Pierce,Fenner & Smith
Incorporated,Citigroup Global Markets Inc. ,Scotia
Capital (USA) Inc. ,MUFG Securities Americas Inc.
,Barclays Capital Inc. ,Deutsche Bank Securities Inc.
,J.P. Morgan Securities LLC,SunTrust Robinson
Humphrey, Inc. ,BMO Capital Markets Corp. ,PNC Capital
Markets LLC,TD Securities (USA) LLC
TRANSACTION DETAILS
Date of Purchase 09-08-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $100 Total Commission, Spread or Profit 1.250%
1. Aggregate Principal Amount Purchased (a+b) $ 75,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 41,139,000
b. Other BlackRock Clients $ 33,861,000
2. Aggregate Principal Amount of Offering $750,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.1000
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[X] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[_] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Arushi Bhasin Date: 09-19-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 09-19-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2
of the Rule 10f-3 Report form. It is the sum of
the Funds' participation in the offering by the
Funds and other accounts managed by BlackRock
divided by the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other
than the United States and
(a) the offering is subject to regulation in
such country by a "foreign financial
regulatory authority," as defined in
Section 2(a)(50) of the Investment Company
Act of 1940;
(b) the securities were offered at a fixed
price to all purchasers in the offering
(except for any rights to purchase
securities that are required by law to be
granted to existing security holders of the
issuer);
(c) financial statements, prepared and audited
as required or permitted by the appropriate
foreign financial regulatory authority in
such country, for the two years prior to
the offering, were made available to the
public and prospective purchasers in
connection with the offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national
of any foreign country, or a corporation or
other organization incorporated or
organized under the laws of any foreign
country, it (1) has a class of securities
registered pursuant to section 12(b) or
12(g) of the Securities Exchange Act of
1934 or is required to file reports
pursuant to section 15(d) of that act, and
(2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d)
of that act for a period of at least 12
months immediately preceding the sale of
securities (or for such shorter period that
the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c) either
(1) are subject to no greater than moderate
credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may not
be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
4
77o8.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES GLOBAL HIGH YIELD CORPORATE BOND ETF (ISHGHYG)
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF (ISHHYLD)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Multi-Asset Income - High Yield Portfolio (BR-INC-HY)
BlackRock Multi-Asset Income - Passive High Yield Portfolio (BR-INC-PHY)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock Credit Allocation Income Trust (Preferred Sleeve) (BTZ-PREF)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Debt Strategies Fund, Inc. (DSU)
BlackRock Corporate High Yield Fund, Inc. (HYT)
Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 09-08-2017
Offering Commencement:
Security Type: BND/CORP
Issuer United Rentals (North America), Inc. (2028)
Selling Underwriter Morgan Stanley & Co.LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
List of Underwriter(s) Morgan Stanley & Co. LLC,Wells Fargo Securities,
LLC,Merrill Lynch,Pierce,Fenner & Smith
Incorporated,Citigroup Global Markets Inc. ,Scotia
Capital (USA) Inc. ,MUFG Securities Americas Inc.
,Barclays Capital Inc. ,Deutsche Bank Securities Inc.
,J.P. Morgan Securities LLC,SunTrust Robinson
Humphrey, Inc. ,BMO Capital Markets Corp. ,PNC
Capital Markets LLC,TD Securities (USA) LLC
TRANSACTION DETAILS
Date of Purchase 09-08-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $100.25 Total Commission, Spread or Profit 1.250%
1. Aggregate Principal Amount Purchased (a+b) $ 95,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 55,305,000
b. Other BlackRock Clients $ 39,695,000
2. Aggregate Principal Amount of Offering $750,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.1266
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[X] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[_] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase
all of the securities being offered, except those purchased by
others pursuant to a rights offering, if the underwriters purchased
any of the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in,
[_] NO or benefited directly or indirectly from, the transaction.
Completed by: Arushi Bhasin Date: 09-19-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 09-19-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2
of the Rule 10f-3 Report form. It is the sum of
the Funds' participation in the offering by the
Funds and other accounts managed by BlackRock
divided by the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other
than the United States and
(a) the offering is subject to regulation in
such country by a "foreign financial
regulatory authority," as defined in
Section 2(a)(50) of the Investment Company
Act of 1940;
(b) the securities were offered at a fixed
price to all purchasers in the offering
(except for any rights to purchase
securities that are required by law to be
granted to existing security holders of the
issuer);
(c) financial statements, prepared and audited
as required or permitted by the appropriate
foreign financial regulatory authority in
such country, for the two years prior to
the offering, were made available to the
public and prospective purchasers in
connection with the offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national
of any foreign country, or a corporation or
other organization incorporated or
organized under the laws of any foreign
country, it (1) has a class of securities
registered pursuant to section 12(b) or
12(g) of the Securities Exchange Act of
1934 or is required to file reports
pursuant to section 15(d) of that act, and
(2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d)
of that act for a period of at least 12
months immediately preceding the sale of
securities (or for such shorter period that
the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c) either
(1) are subject to no greater than moderate
credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may not
be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
5
77o9.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF (ISHHYLD)
BlackRock 2022 Global Income Opportunity Trust (BGIO)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Multi-Asset Income - High Yield Portfolio (BR-INC-HY)
BlackRock Multi-Asset Income - Passive High Yield Portfolio (BR-INC-PHY)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock Credit Allocation Income Trust (BTZ-PREF)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Debt Strategies Fund, Inc. (DSU)
BlackRock Corporate High Yield Fund, Inc. (HYT)
: Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
UBS PACE Intermediate Fixed Income Investments Portfolio (UBS-PACE)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 10-05-2017
Offering Commencement:
Security Type: BND/CORP
Issuer Parsley Energy, LLC and Parsley Finance Corp. (2027)
Selling Underwriter Credit Suisse Securities (USA) LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[X] Other: UBS Securities LLC for UBS-PACE
List of Underwriter(s) Credit Suisse Securities (USA) LLC, Wells Fargo
Securities, LLC, BMO Capital Markets Corp., J.P.
Morgan Securities LLC, BBVA Securities Inc., RBC
Capital Markets, LLC, Scotia Capital (USA) Inc., US
Bancorp Investments, Inc., BOK Financial
Securities, Inc., Capital One Securities, Inc.,
CIBC World Markets Corp., Citigroup Global Markets
Inc., Morgan Stanley & Co. LLC., PNC Capital
Markets LLC., UBS Securities LLC
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TRANSACTION DETAILS
Date of Purchase 10-05-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $100 Total Commission, Spread or Profit 1.000%
1. Aggregate Principal Amount Purchased (a+b) $ 41,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 22,877,000
b. Other BlackRock Clients $ 18,123,000
2. Aggregate Principal Amount of Offering $700,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.05857
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 10-11-2017
----------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven Delaura Date: 10-11-2017
----------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2
of the Rule 10f-3 Report form. It is the sum of
the Funds' participation in the offering by the
Funds and other accounts managed by BlackRock
divided by the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other
than the United States and
(a) the offering is subject to regulation in
such country by a "foreign financial
regulatory authority," as defined in
Section 2(a)(50) of the Investment Company
Act of 1940;
(b) the securities were offered at a fixed
price to all purchasers in the offering
(except for any rights to purchase
securities that are required by law to be
granted to existing security holders of the
issuer);
(c) financial statements, prepared and audited
as required or permitted by the appropriate
foreign financial regulatory authority in
such country, for the two years prior to
the offering, were made available to the
public and prospective purchasers in
connection with the offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national
of any foreign country, or a corporation or
other organization incorporated or
organized under the laws of any foreign
country, it (1) has a class of securities
registered pursuant to section 12(b) or
12(g) of the Securities Exchange Act of
1934 or is required to file reports
pursuant to section 15(d) of that act, and
(2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d)
of that act for a period of at least 12
months immediately preceding the sale of
securities (or for such shorter period that
the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c) either
(1) are subject to no greater than moderate
credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may not
be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
6
77o10.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
BlackRock 2022 Global Income Opportunity Trust (BGIO)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Dynamic High Income - Preferred Stock Portfolio (BR-DHI-PS)
BlackRock Funds, BlackRock Global Long/Short Credit Fund (BR-GC)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Multi-Asset Income - High Yield Portfolio (BR-INC-HY)
BlackRock Multi-Asset Income - Preferred Stock Portfolio (BR-INC-PS)
BlackRock Managed Income - Preferred Stock Portfolio (BR-MI-PS)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
Strategic Income Opportunities Fund (BR-SIP)
BlackRock Strategic Global Bond Fund, Inc(BR-WI)
BlackRock Global Long Short Credit Fund - High Yield Sleeve . (BRGC-HY)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Debt Strategies Fund, Inc(DSU)
BlackRock Corporate High Yield Fund, Inc. .( HYT)
Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 10-18-2017
Offering Commencement:
Security Type: BND/CORP
Issuer The Goldman Sachs Group, Inc. (2049)
Selling Underwriter Goldman Sachs & Co. LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
List of Underwriter(s) Goldman Sachs & Co. LLC,BB&T Capital Markets,a
division of BB&T Securities,LLC,BMO Capital Markets
Corp.,BNY Mellon Capital Markets,LLC,Citigroup Global
Markets Inc.,Fifth Third Securities,Inc.,J.P. Morgan
Securities LLC,KeyBanc Capital Markets Inc.,Merrill
Lynch,Pierce,Fenner & Smith Incorporated,Mizuho
Securities USA LLC,Morgan Stanley & Co. LLC,PNC
Capital Markets LLC,RBC Capital Markets,LLC,Scotia
Capital (USA) Inc.,SMBC Nikko Securities
America,Inc.,SunTrust Robinson Humphrey,Inc.,TD
Securities (USA) LLC,U.S. Bancorp
Investments,Inc.,Wells Fargo Securities,LLC,Academy
Securities,Inc.,CastleOak Securities,L.P.,Drexel
Hamilton,LLC,Mischler Financial Group,Inc.
TRANSACTION DETAILS
Date of Purchase 10-18-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $100 Total Commission, Spread or Profit 1.500%
1. Aggregate Principal Amount Purchased (a+b) $ 250,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client
purchase) $ 150,803,000
b. Other BlackRock Clients $ 99,197,000
2. Aggregate Principal Amount of Offering $1,500,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.1666
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[X] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[_] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Arushi Bhasin Date: 10-31-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 10-31-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a) the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b) the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c) financial statements, prepared and audited as
required or permitted by the appropriate
foreign financial regulatory authority in such
country, for the two years prior to the
offering, were made available to the public and
prospective purchasers in connection with the
offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under
the laws of any foreign country, it (1) has a
class of securities registered pursuant to
section 12(b) or 12(g) of the Securities
Exchange Act of 1934 or is required to file
reports pursuant to section 15(d) of that act,
and (2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d) of
that act for a period of at least 12 months
immediately preceding the sale of securities
(or for such shorter period that the issuer was
required to file such material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c) either
(1) are subject to no greater than moderate
credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may not
be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
7
77o11.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds, BlackRock Global Long/Short Credit Fund (BR-GC)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Multi-Asset Income- European High Yield Portfolio (BR-INC-EHY)
BlackRock Credit Strategies Income - European Investment Grade (BR-MSBEUIG)
Strategic Income Opportunities Fund (BR-SIP)
BlackRock Debt Strategies Fund, Inc. (DSU)
BlackRock Corporate High Yield Fund, Inc. (HYT)
Master Total Return Portfolio of Master Bond LLC (MF-BOND)
: Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 10-23-2017
Offering Commencement:
Security Type: BND/CORP
Issuer Verizon Communications Inc. (2026)
Selling Underwriter Deutsche Bank AG, London Branch
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) Barclays Bank PLC, Credit Suisse Securities
(Europe) Limited, Deutsche Bank AG, London Branch,
Banco Santander, S.A., Citigroup Global Markets
Limited, Mizuho International plc, ICBC Standard
Bank Plc, PNC Capital Markets LLC, Societe
Generale, Blaylock Van, LLC, The Williams Capital
Group, L.P.
TRANSACTION DETAILS
Date of Purchase 10-23-2017
Purchase Price/Share (Pounds)99.681
(PER SHARE / % OF PAR) Or Total Commission, Spread or
$131.56 Profit 0.400%
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
1. Aggregate Principal Amount Purchased (a+b) (Pounds) 45,000,000 or
$ 59,391,000
a. US Registered Funds
(Appendix attached with individual (Pounds) 21,450,000 or
Fund/Client purchase) $ 28,309,710
b. Other BlackRock Clients (Pounds) 23,550,000 or
$ 31,081,290
2. Aggregate Principal Amount of Offering (Pounds)1,250,000,000 or
$ 1,649,750,000
FUNDRATIO
[Divide Sum of#1 by #2]
Must be less than 0.25 0.036
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[X] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[_] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase
all of the securities being offered, except those purchased by
others pursuant to a rights offering, if the underwriters purchased
any of the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in,
[_] NO or benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 10-26-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 10-26-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a) the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b) the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c) financial statements, prepared and audited as
required or permitted by the appropriate
foreign financial regulatory authority in such
country, for the two years prior to the
offering, were made available to the public and
prospective purchasers in connection with the
offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under
the laws of any foreign country, it (1) has a
class of securities registered pursuant to
section 12(b) or 12(g) of the Securities
Exchange Act of 1934 or is required to file
reports pursuant to section 15(d) of that act,
and (2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d) of
that act for a period of at least 12 months
immediately preceding the sale of securities
(or for such shorter period that the issuer was
required to file such material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income
under certain provisions of the Internal
Revenue Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value
within a reasonably short period of time;
and
(c) either
(1) are subject to no greater than
moderate credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying
the revenues or other payments from
which the issue is to be paid, has
been in continuous operation for less
than three years, including the
operation of any predecessors, the
securities are subject to a minimal or
low amount of credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration
under Section 4(2) of the Securities Act
of 1933, Rule 144A thereunder, or Rules
501-508 thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to
include qualified institutional buyers, as
defined in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to
other QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered
under the Securities Act of 1933 that
are being offered to the public.
EX-99.77O RULE 10F-3
8
77o13.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES US & INTL HIGH YIELD CORP BOND ETF (ISHGHYG)
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF (ISHHYLD)
ISHARES CORE TOTAL USD BOND MARKET ETF (ISHIUSB)
ISHARES BROAD USD HIGH YIELD CORPORATE BOND ETF (ISHUSHY)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Multi-Asset Income - High Yield Portfolio (BR-INC-HY)
BlackRock Multi-Asset Income - Passive High Yield Portfolio (BR-INC-PHY)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Debt Strategies Fund, Inc. (DSU)
BlackRock Corporate High Yield Fund, Inc. (HYT)
: Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 11-14-2017
Offering Commencement:
Security Type: BND/CORP
Issuer Lennar Corporation (2027)
Selling Underwriter Citigroup Global Markets Inc
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) Citigroup Global Markets Inc., Deutsche Bank
Securities Inc., Goldman Sachs & Co. LLC, Merrill
Lynch, Pierce, Fenner & Smith Incorporated, Mizuho
Securities USA LLC, RBC Capital Markets, LLC, Wells
Fargo Securities, LLC, PNC Capital Markets LLC
TRANSACTION DETAILS
Date of Purchase 11-14-2017
Purchase Price/Share $100 Total Commission, Spread or Profit 0.650%
(PER SHARE / % OF PAR)
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
1. Aggregate Principal Amount Purchased (a+b) $ 76,500,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 36,910,000
b. Other BlackRock Clients $ 39,590,000
2. Aggregate Principal Amount of Offering $900,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.085
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 11-21-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 11-21-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a) the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b) the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c) financial statements, prepared and audited as
required or permitted by the appropriate
foreign financial regulatory authority in such
country, for the two years prior to the
offering, were made available to the public and
prospective purchasers in connection with the
offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under
the laws of any foreign country, it (1) has a
class of securities registered pursuant to
section 12(b) or 12(g) of the Securities
Exchange Act of 1934 or is required to file
reports pursuant to section 15(d) of that act,
and (2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d) of
that act for a period of at least 12 months
immediately preceding the sale of securities
(or for such shorter period that the issuer was
required to file such material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income
under certain provisions of the Internal
Revenue Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value
within a reasonably short period of time;
and
(c) either
(1) are subject to no greater than
moderate credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying
the revenues or other payments from
which the issue is to be paid, has
been in continuous operation for less
than three years, including the
operation of any predecessors, the
securities are subject to a minimal or
low amount of credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration
under Section 4(2) of the Securities Act
of 1933, Rule 144A thereunder, or Rules
501-508 thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to
include qualified institutional buyers, as
defined in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to
other QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
9
77o14.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES US & INTL HIGH YIELD CORP BOND ETF (ISHGHYG)
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF (ISHHYLD)
BlackRock 2022 Global Income Opportunity Trust (BGIO)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Multi-Asset Income - High Yield Portfolio (BR-INC-HY)
BlackRock Multi-Asset Income - Passive High Yield Portfolio (BR-INC-PHY)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
Strategic Income Opportunities Fund (BR-SIP)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock Credit Allocation Income Trust (BTZ-PREF)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Debt Strategies Fund, Inc. (DSU)
BlackRock Corporate High Yield Fund, Inc. (HYT)
Master Total Return Portfolio of Master Bond LLC (MF-BOND)
: Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
Advanced Series Trust - AST BlackRock/Loomis Sayles Bond Portfolio
(SMF_PRUTR)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 11-28-2017
Offering Commencement:
Security Type: BND/CORP
Issuer Endeavor Energy Resources, L.P. (2026)
Selling Underwriter Goldman Sachs & Co. LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) Goldman Sachs & Co. LLC, Credit Suisse Securities
(USA) LLC, MUFG Securities Americas Inc., Wells
Fargo Securities, LLC, BMO Capital Markets Corp.,
Citigroup Global Markets Inc., Merrill Lynch,
Pierce, Fenner & Smith Incorporated, PNC Capital
Markets LLC, BB&T Capital Markets, a division of
BB&T Securities, LLC, CIBC World Markets Corp.,
Credit Agricole Securities (USA) Inc., Natixis
Securities Americas LLC, Regions Securities LLC,
Scotia Capital (USA) Inc.
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TRANSACTION DETAILS
Date of Purchase 11-28-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $100 Total Commission, Spread or Profit 1.15%
1. Aggregate Principal Amount Purchased (a+b) $ 30,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 17,768,000
b. Other BlackRock Clients $ 12,232,000
2. Aggregate Principal Amount of Offering $500,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.06
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering.. [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering...... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering........ [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 11-30-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven Delaura Date: 11-30-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a) the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b) the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c) financial statements, prepared and audited as
required or permitted by the appropriate
foreign financial regulatory authority in such
country, for the two years prior to the
offering, were made available to the public and
prospective purchasers in connection with the
offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under
the laws of any foreign country, it (1) has a
class of securities registered pursuant to
section 12(b) or 12(g) of the Securities
Exchange Act of 1934 or is required to file
reports pursuant to section 15(d) of that act,
and (2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d) of
that act for a period of at least 12 months
immediately preceding the sale of securities
(or for such shorter period that the issuer was
required to file such material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income
under certain provisions of the Internal
Revenue Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value
within a reasonably short period of time;
and
(c) either
(1) are subject to no greater than
moderate credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying
the revenues or other payments from
which the issue is to be paid, has
been in continuous operation for less
than three years, including the
operation of any predecessors, the
securities are subject to a minimal or
low amount of credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration
under Section 4(2) of the Securities Act
of 1933, Rule 144A thereunder, or Rules
501-508 thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to
include qualified institutional buyers, as
defined in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to
other QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered
under the Securities Act of 1933 that
are being offered to the public.
EX-99.77O RULE 10F-3
10
77o15.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES 0-5 YEAR HIGH YIELD CORPORATE BOND ETF(ISHSHYG)
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF(ISHHYLD)
BlackRock Funds II, High Yield Bond Portfolio(BR-HIYLD)
BlackRock Low Duration Bond Portfolio(BR-LO)
Strategic Income Opportunities Fund(BR-SIP)
AST BlackRock Global Strategies Portfolio (US High Yield)(PRU-AA-HY)
Advanced Series Trust - AST BlackRock/Loomis Sayles Bond
Portfolio(SMF_PRUTR)
BlackRock Core Bond Trust - High Yield(BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield(BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield(BLW-HYLD)
BlackRock Multi-Asset Income - High Yield Portfolio(BR-INC-HY)
BlackRock Multi-Asset Income - Passive High Yield Portfolio(BR-INC-PHY)
BlackRock Credit Strategies Income - High Yield(BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve(BRGC-HY)
BlackRock Credit Allocation Income Trust(BTZ-PREF)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc(BVA-HI)
BlackRock High Yield V.I. Fund(BVA-HY)
BlackRock Debt Strategies Fund, Inc.(DSU)
BlackRock Corporate High Yield Fund, Inc.(HYT)
Master Total Return Portfolio of Master Bond LLC(MF-BOND)
: Brighthouse Funds Trust I - BlackRock High Yield Portfolio(MIST-HY)
JNL/BlackRock Global Long Short Credit Fund(SMF_CC-GC)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 01-09-2018
Offering Commencement:
Security Type: BND/CORP
Issuer Sunoco LP (2023)
Selling Underwriter Credit Suisse Securities (USA) LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) Credit Suisse Securities (USA) LLC,RBC Capital
Markets,LLC.,BBVA Securities Inc,Citigroup Global
Markets Inc,Credit Agricole Securities (USA)
Inc,Deutsche Bank Securities Inc.,Goldman Sachs &
Co. LLC.,Merrill Lynch,Pierce,Fenner &
Smith,Incorporated,Mizuho Securities USA LLC,Morgan
Stanley & Co. LLC,MUFG Securities Americas
Inc.,Natixis Securities Americas LLC,PNC Capital
Markets LLC,SMBC Nikko Securities America,Inc,TD
Securities (USA) LLC
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TRANSACTION DETAILS
Date of Purchase 01-09-2018
Purchase Price/Share
(PER SHARE / % OF PAR) $100 Total Commission, Spread or Profit 1.00%
1. Aggregate Principal Amount Purchased (a+b) $ 57,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client
purchase) $ 35,626,000
b. Other BlackRock Clients $ 21,374,000
2. Aggregate Principal Amount of Offering $1,000,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.057
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in,
[_] NO or benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 01-10-2018
-------------------------------- -------------
Global Syndicate Team Member
Approved by: Betsy Mathews Date: 02-28-2018
-------------------------------- -------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a) the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b) the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c) financial statements, prepared and audited as
required or permitted by the appropriate
foreign financial regulatory authority in such
country, for the two years prior to the
offering, were made available to the public and
prospective purchasers in connection with the
offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under
the laws of any foreign country, it (1) has a
class of securities registered pursuant to
section 12(b) or 12(g) of the Securities
Exchange Act of 1934 or is required to file
reports pursuant to section 15(d) of that act,
and (2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d) of
that act for a period of at least 12 months
immediately preceding the sale of securities
(or for such shorter period that the issuer was
required to file such material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income
under certain provisions of the Internal
Revenue Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value
within a reasonably short period of time;
and
(c) either
(1) are subject to no greater than
moderate credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying
the revenues or other payments from
which the issue is to be paid, has
been in continuous operation for less
than three years, including the
operation of any predecessors, the
securities are subject to a minimal or
low amount of credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration
under Section 4(2) of the Securities Act
of 1933, Rule 144A thereunder, or Rules
501-508 thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to
include qualified institutional buyers, as
defined in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to
other QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
11
77o16.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF(ISHHYLD)
BlackRock Core Bond Trust - High Yield(BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield(BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield(BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio(BR-HIYLD)
BlackRock Multi-Asset Income - High Yield Portfolio(BR-INC-HY)
BlackRock Multi-Asset Income - Passive High Yield Portfolio(BR-INC-PHY)
BlackRock Credit Strategies Income - High Yield(BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve(BRGC-HY)
BlackRock Credit Allocation Income Trust(BTZ-PREF)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc(BVA-HI)
BlackRock High Yield V.I. Fund(BVA-HY)
BlackRock Debt Strategies Fund, Inc.(DSU)
BlackRock Corporate High Yield Fund, Inc.(HYT)
: Brighthouse Funds Trust I - BlackRock High Yield Portfolio(MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield)(PRU-AA-HY)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 01-09-2018
Offering Commencement:
Security Type: BND/CORP
Issuer Sunoco LP (2026)
Selling Underwriter Credit Suisse Securities (USA) LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) Credit Suisse Securities (USA) LLC,RBC Capital
Markets,LLC.,BBVA Securities Inc,Citigroup Global
Markets Inc,Credit Agricole Securities (USA)
Inc,Deutsche Bank Securities Inc.,Goldman Sachs &
Co. LLC.,Merrill Lynch,Pierce,Fenner &
Smith,Incorporated,Mizuho Securities USA LLC,Morgan
Stanley & Co. LLC,MUFG Securities Americas
Inc.,Natixis Securities Americas LLC,PNC Capital
Markets LLC,SMBC Nikko Securities America,Inc,TD
Securities (USA) LLC
TRANSACTION DETAILS
Date of Purchase 01-09-2018
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
Purchase Price/Share
(PER SHARE / % OF PAR) $100 Total Commission, Spread or Profit 1.00%
1. Aggregate Principal Amount Purchased (a+b) $ 12,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 6,990,000
b. Other BlackRock Clients $ 5,010,000
2. Aggregate Principal Amount of Offering $800,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.015
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 01-10-2018
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Betsy Mathews Date: 02-28-2018
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2
of the Rule 10f-3 Report form. It is the sum of
the Funds' participation in the offering by the
Funds and other accounts managed by BlackRock
divided by the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other
than the United States and
(a) the offering is subject to regulation in
such country by a "foreign financial
regulatory authority," as defined in
Section 2(a)(50) of the Investment Company
Act of 1940;
(b) the securities were offered at a fixed
price to all purchasers in the offering
(except for any rights to purchase
securities that are required by law to be
granted to existing security holders of the
issuer);
(c) financial statements, prepared and audited
as required or permitted by the appropriate
foreign financial regulatory authority in
such country, for the two years prior to
the offering, were made available to the
public and prospective purchasers in
connection with the offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national
of any foreign country, or a corporation or
other organization incorporated or
organized under the laws of any foreign
country, it (1) has a class of securities
registered pursuant to section 12(b) or
12(g) of the Securities Exchange Act of
1934 or is required to file reports
pursuant to section 15(d) of that act, and
(2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d)
of that act for a period of at least 12
months immediately preceding the sale of
securities (or for such shorter period that
the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c) either
(1) are subject to no greater than moderate
credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may not
be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
12
77o17.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES US & INTL HIGH YIELD CORP BOND ETF(ISHGHYG)
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF(ISHHYLD)
ISHARES BROAD USD HIGH YIELD CORPORATE BOND ETF(ISHUSHY)
: Brighthouse Funds Trust I - BlackRock High Yield Portfolio(MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield)(PRU-AA-HY)
BlackRock 2022 Global Income Opportunity Trust(BGIO)
BlackRock Core Bond Trust - High Yield(BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield(BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield(BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio(BR-HIYLD)
BlackRock Multi-Asset Income - High Yield Portfolio(BR-INC-HY)
BlackRock Credit Strategies Income - High Yield(BR-MSBHY)
Strategic Income Opportunities Fund(BR-SIP)
BlackRock Global Long Short Credit Fund - High Yield Sleeve(BRGC-HY)
BlackRock Credit Allocation Income Trust(BTZ-PREF)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc(BVA-HI)
BlackRock High Yield V.I. Fund(BVA-HY)
BlackRock Debt Strategies Fund, Inc.(DSU)
BlackRock Corporate High Yield Fund, Inc.(HYT)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 01-09-2018
Offering Commencement:
Security Type: BND/CORP
Issuer Sunoco LP (2028)
Selling Underwriter Credit Suisse Securities (USA) LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) Credit Suisse Securities (USA) LLC,RBC
Capital Markets,LLC.,BBVA Securities
Inc,Citigroup Global Markets Inc,Credit
Agricole Securities (USA) Inc,Deutsche Bank
Securities Inc.,Goldman Sachs & Co.
LLC.,Merrill Lynch,Pierce,Fenner &
Smith,Incorporated,Mizuho Securities USA
LLC,Morgan Stanley & Co. LLC,MUFG Securities
Americas Inc.,Natixis Securities Americas
LLC,PNC Capital Markets LLC,SMBC Nikko
Securities America,Inc,TD Securities (USA) LLC
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TRANSACTION DETAILS
Date of Purchase 01-09-2018
Purchase Price/Share
(PER SHARE / % OF PAR) $100 Total Commission, Spread or Profit 1.00%
1. Aggregate Principal Amount Purchased (a+b) $ 28,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 15,859,000
b. Other BlackRock Clients $ 12,141,000
2. Aggregate Principal Amount of Offering $400,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.07
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in,
[_] NO or benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 01-10-2018
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Betsy Mathews Date: 02-28-2018
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2
of the Rule 10f-3 Report form. It is the sum of
the Funds' participation in the offering by the
Funds and other accounts managed by BlackRock
divided by the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other
than the United States and
(a) the offering is subject to regulation in
such country by a "foreign financial
regulatory authority," as defined in
Section 2(a)(50) of the Investment Company
Act of 1940;
(b) the securities were offered at a fixed
price to all purchasers in the offering
(except for any rights to purchase
securities that are required by law to be
granted to existing security holders of the
issuer);
(c) financial statements, prepared and audited
as required or permitted by the appropriate
foreign financial regulatory authority in
such country, for the two years prior to
the offering, were made available to the
public and prospective purchasers in
connection with the offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national
of any foreign country, or a corporation or
other organization incorporated or
organized under the laws of any foreign
country, it (1) has a class of securities
registered pursuant to section 12(b) or
12(g) of the Securities Exchange Act of
1934 or is required to file reports
pursuant to section 15(d) of that act, and
(2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d)
of that act for a period of at least 12
months immediately preceding the sale of
securities (or for such shorter period that
the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c) either
(1) are subject to no greater than moderate
credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may not
be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
13
77o18.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES US & INTL HIGH YIELD CORP BOND ETF(ISHGHYG)
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF(ISHHYLD)
ISHARES CORE TOTAL USD BOND MARKET ETF(ISHIUSB)
ISHARES BROAD USD HIGH YIELD CORPORATE BOND ETF(ISHUSHY)
BlackRock Core Bond Trust - High Yield(BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield(BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield(BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio(BR-HIYLD)
BlackRock Multi-Asset Income - High Yield Portfolio(BR-INC-HY)
BlackRock Multi-Asset Income - Passive High Yield Portfolio(BR-INC-PHY)
BlackRock Credit Strategies Income - High Yield(BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve(BRGC-HY)
BlackRock Credit Allocation Income Trust(BTZ-PREF)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc(BVA-HI)
BlackRock High Yield V.I. Fund(BVA-HY)
BlackRock Debt Strategies Fund, Inc.(DSU)
BlackRock Corporate High Yield Fund, Inc.(HYT)
: Brighthouse Funds Trust I - BlackRock High Yield Portfolio(MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield)(PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund(SMF_CC-GC)
Global Atlantic BlackRock High Yield Portfolio(SMF_GA-HY)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 01-18-2018
Offering Commencement:
Security Type: BND/CORP
Issuer Extraction Oil & Gas, Inc. (2026)
Selling Underwriter Credit Suisse Securities (USA) LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) Credit Suisse Securities (USA) LLC, Barclays
Capital Inc, Goldman Sachs & Co. LLC, SunTrust
Robinson Humphrey, Inc, Wells Fargo Securities,
LLC, ABN AMRO Securities (USA) LLC, KeyBanc Capital
Markets Inc, Citigroup Global Markets Inc, The
Huntington Investment Company, PNC Capital Markets
LLC, RBC Capital Markets, LLC, Intrepid Partners,
LLC, Capital One Securities, Inc, Merrill Lynch,
Pierce, Fenner & Smith Incorporated
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TRANSACTION DETAILS
Date of Purchase 01-18-2018
Purchase Price/Share
(PER SHARE / % OF PAR) $100 Total Commission, Spread or Profit 0.1375%
1. Aggregate Principal Amount Purchased (a+b) $ 53,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 29,015,000
b. Other BlackRock Clients $ 23,985,000
2. Aggregate Principal Amount of Offering $750,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.07066
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 01-24-2018
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 01-24-2018
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a) the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b) the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c) financial statements, prepared and audited as
required or permitted by the appropriate
foreign financial regulatory authority in such
country, for the two years prior to the
offering, were made available to the public and
prospective purchasers in connection with the
offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under
the laws of any foreign country, it (1) has a
class of securities registered pursuant to
section 12(b) or 12(g) of the Securities
Exchange Act of 1934 or is required to file
reports pursuant to section 15(d) of that act,
and (2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d) of
that act for a period of at least 12 months
immediately preceding the sale of securities
(or for such shorter period that the issuer was
required to file such material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income
under certain provisions of the Internal
Revenue Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value
within a reasonably short period of time;
and
(c) either
(1) are subject to no greater than
moderate credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying
the revenues or other payments from
which the issue is to be paid, has
been in continuous operation for less
than three years, including the
operation of any predecessors, the
securities are subject to a minimal or
low amount of credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration
under Section 4(2) of the Securities Act
of 1933, Rule 144A thereunder, or Rules
501-508 thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to
include qualified institutional buyers, as
defined in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to
other QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
14
77o19.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES US & INTL HIGH YIELD CORP BOND ETF (ISHGHYG)
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF (ISHHYLD)
ISHARES CORE TOTAL USD BOND MARKET ETF (ISHIUSB)
ISHARES BROAD USD HIGH YIELD CORPORATE BOND ETF (ISHUSHY)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Multi-Asset Income - High Yield Portfolio (BR-INC-HY)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock Credit Allocation Income Trust (BTZ-PREF)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Debt Strategies Fund, Inc. (DSU)
BlackRock Corporate High Yield Fund, Inc. (HYT)
: Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 01-31-2018
Offering Commencement:
Security Type: BND/CORP
Issuer Scientific Games International, Inc. (2025)
Selling Underwriter J.P. Morgan Securities LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) J.P. Morgan Securities LLC, Deutsche Bank
Securities, Merrill Lynch, Pierce, Fenner & Smith
Incorporated, Fifth Third Securities, Credit Suisse
Securities (USA) LLC, Citizens Capital Markets,
Inc., PNC Capital Markets LLC, Macquarie Capital
(USA) Inc., Goldman Sachs & Co. LLC,
TRANSACTION DETAILS
Date of Purchase 01-31-2018
Purchase Price/Share
(PER SHARE / % OF PAR) $100 Total Commission, Spread or Profit 1.250%
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
1. Aggregate Principal Amount Purchased (a+b) $ 60,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 36,463,000
b. Other BlackRock Clients $ 23,537,000
2. Aggregate Principal Amount of Offering $900,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.0666
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 02-06-2018
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 02-06-2018
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2
of the Rule 10f-3 Report form. It is the sum of
the Funds' participation in the offering by the
Funds and other accounts managed by BlackRock
divided by the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other
than the United States and
(a) the offering is subject to regulation in
such country by a "foreign financial
regulatory authority," as defined in
Section 2(a)(50) of the Investment Company
Act of 1940;
(b) the securities were offered at a fixed
price to all purchasers in the offering
(except for any rights to purchase
securities that are required by law to be
granted to existing security holders of the
issuer);
(c) financial statements, prepared and audited
as required or permitted by the appropriate
foreign financial regulatory authority in
such country, for the two years prior to
the offering, were made available to the
public and prospective purchasers in
connection with the offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national
of any foreign country, or a corporation or
other organization incorporated or
organized under the laws of any foreign
country, it (1) has a class of securities
registered pursuant to section 12(b) or
12(g) of the Securities Exchange Act of
1934 or is required to file reports
pursuant to section 15(d) of that act, and
(2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d)
of that act for a period of at least 12
months immediately preceding the sale of
securities (or for such shorter period that
the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c) either
(1) are subject to no greater than moderate
credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may not
be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
15
77o20.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES CORE TOTAL USD BOND MARKET ETF (ISHIUSB)
ISHARES BROAD USD HIGH YIELD CORPORATE BOND ETF (ISHUSHY)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Multi-Asset Income - High Yield Portfolio (BR-INC-HY)
BlackRock Multi-Asset Income - Passive High Yield Portfolio (BR-INC-PHY)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock Credit Allocation Income Trust (BTZ-PREF)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Debt Strategies Fund, Inc. (DSU)
BlackRock Corporate High Yield Fund, Inc. (HYT)
Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
Global Atlantic BlackRock High Yield Portfolio (SMF_GA-HY)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 02-01-2018
Offering Commencement:
Security Type: BND/CORP
Issuer Indigo Natural Resources LLC (2026)
Selling Underwriter J.P. Morgan Securities, LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) J.P. Morgan, Wells Fargo Securities,BofA Merrill
Lynch,BMO Capital Markets, Citigroup, Credit
Suisse, Goldman Sachs & Co., BBVA, Comerica
Securities, US Bancorp, Huntington Capital Markets,
ABN AMRO, BOK Financial Securities, Inc., Fifth
Third Securities, PNC Capital Markets LLC,
Ramirez & Co.,Inc., IBERIA Capital Partners L.L.C.,
CIBC Capital Markets
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TRANSACTION DETAILS
Date of Purchase 02-01-2018
Purchase Price/Share
(PER SHARE / % OF PAR) $100.00 Total Commission, Spread or Profit 1.875%
1. Aggregate Principal Amount Purchased (a+b) $ 35,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 15,137,000
b. Other BlackRock Clients $ 19,863,000
2. Aggregate Principal Amount of Offering $650,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.0538
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Arushi Bhasin Date: 02-05-2018
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 02-05-2018
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2
of the Rule 10f-3 Report form. It is the sum of
the Funds' participation in the offering by the
Funds and other accounts managed by BlackRock
divided by the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other
than the United States and
(a) the offering is subject to regulation in
such country by a "foreign financial
regulatory authority," as defined in
Section 2(a)(50) of the Investment Company
Act of 1940;
(b) the securities were offered at a fixed
price to all purchasers in the offering
(except for any rights to purchase
securities that are required by law to be
granted to existing security holders of the
issuer);
(c) financial statements, prepared and audited
as required or permitted by the appropriate
foreign financial regulatory authority in
such country, for the two years prior to
the offering, were made available to the
public and prospective purchasers in
connection with the offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national
of any foreign country, or a corporation or
other organization incorporated or
organized under the laws of any foreign
country, it (1) has a class of securities
registered pursuant to section 12(b) or
12(g) of the Securities Exchange Act of
1934 or is required to file reports
pursuant to section 15(d) of that act, and
(2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d)
of that act for a period of at least 12
months immediately preceding the sale of
securities (or for such shorter period that
the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c) either
(1) are subject to no greater than moderate
credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may not
be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
16
77o21.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES INTERNATIONAL HIGH YIELD BOND ETF (ISHHYXU)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds, BlackRock Global Long/Short Credit Fund (BR-GC)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Multi-Asset Income- European High Yield Portfolio (BR-INC-EHY)
BlackRock Credit Strategies Income - European High Yield (BR-MSBEUHY)
Strategic Income Opportunities Fund (BR-SIP)
BlackRock Debt Strategies Fund, Inc.( DSU)
BlackRock Corporate High Yield Fund, Inc. (HYT)
Master Total Return Portfolio of Master Bond LLC (MF-BOND)
Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 02-28-2018
Offering Commencement:
Security Type: BND/CORP
Issuer Equinix, Inc (2024)
Selling Underwriter HSBC Securities (USA) Inc
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) Barclays Bank plc,HSBC Securities (USA) Inc.,ING
Bank N.V.,London Branch,Merrill Lynch
International,Citigroup Global Markets
Inc. ,Goldman Sachs & Co. LLC,J.P. Morgan
Securities plc,MUFG Securities EMEA plc,RBC Europe
Limited,TD Securities (USA) LLC,Wells Fargo
Securities International Limited,BNP Paribas,Mizuho
International plc,Morgan Stanley & Co.
International plc,PNC Capital Markets
LLC,Scotiabank Europe plc,SMBC Nikko Capital
Markets Limited,U.S. Bancorp Investments,Inc.
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TRANSACTION DETAILS
Date of Purchase 02-28-2018
Purchase Price/Share (Euro) 100 or
(PER SHARE / % OF PAR) $122.12 Total Commission, Spread or Profit 1.000%
1. Aggregate Principal Amount Purchased (a+b) (Euro) 39,000,000 or
$ 47,626,800
a. US Registered Funds
(Appendix attached with individual Fund/Client (Euro) 7,567,000 or
purchase) $ 9,240,820.40
b. Other BlackRock Clients (Euro) 31,433,000 or
$ 38,385,979.60
2. Aggregate Principal Amount of Offering (Euro)750,000,000 or
$ 915,900,00
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.0520
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[X] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[_] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Arushi Bhasin Date: 03-06-2018
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 03-06-2018
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a) the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b) the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c) financial statements, prepared and audited as
required or permitted by the appropriate
foreign financial regulatory authority in such
country, for the two years prior to the
offering, were made available to the public and
prospective purchasers in connection with the
offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under
the laws of any foreign country, it (1) has a
class of securities registered pursuant to
section 12(b) or 12(g) of the Securities
Exchange Act of 1934 or is required to file
reports pursuant to section 15(d) of that act,
and (2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d) of
that act for a period of at least 12 months
immediately preceding the sale of securities
(or for such shorter period that the issuer was
required to file such material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income
under certain provisions of the Internal
Revenue Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value
within a reasonably short period of time;
and
(c) either
(1) are subject to no greater than
moderate credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying
the revenues or other payments from
which the issue is to be paid, has
been in continuous operation for less
than three years, including the
operation of any predecessors, the
securities are subject to a minimal or
low amount of credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration
under Section 4(2) of the Securities Act
of 1933, Rule 144A thereunder, or Rules
501-508 thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to
include qualified institutional buyers, as
defined in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to
other QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
17
77o22.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Corporate High Yield Fund, Inc. (HYT)
: Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 09-06-2017
Offering Commencement:
Security Type: BND/CORP
Issuer Iron Mountain Incorporated (2027)
Selling Underwriter J.P. Morgan Securities LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) J.P. Morgan Securities LLC, Wells Fargo Securities,
LLC, Merrill Lynch, Pierce, Fenner & Smith
Incorporated, Citizens Capital Markets, Inc.,
Morgan Stanley & Co. LLC, RBC Capital Markets, LLC,
Barclays Capital Inc., Goldman Sachs & Co. LLC,
Scotia Capital (USA) Inc., MUFG Securities Americas
Inc., PNC Capital Markets LLC., SunTrust Robinson
Humphrey, Inc., TD Securities (USA) LLC
TRANSACTION DETAILS
Date of Purchase 09-06-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $100.00 Total Commission, Spread or Profit 1.250%
1. Aggregate Principal Amount Purchased (a+b) $20,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 6,702,000
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
b. Other BlackRock Clients $ 13,298,000
2. Aggregate Principal Amount of Offering $1,000,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.02
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[X] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[_] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 09-08-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 09-08-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2
of the Rule 10f-3 Report form. It is the sum of
the Funds' participation in the offering by the
Funds and other accounts managed by BlackRock
divided by the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other
than the United States and
(a) the offering is subject to regulation in
such country by a "foreign financial
regulatory authority," as defined in
Section 2(a)(50) of the Investment Company
Act of 1940;
(b) the securities were offered at a fixed
price to all purchasers in the offering
(except for any rights to purchase
securities that are required by law to be
granted to existing security holders of the
issuer);
(c) financial statements, prepared and audited
as required or permitted by the appropriate
foreign financial regulatory authority in
such country, for the two years prior to
the offering, were made available to the
public and prospective purchasers in
connection with the offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national
of any foreign country, or a corporation or
other organization incorporated or
organized under the laws of any foreign
country, it (1) has a class of securities
registered pursuant to section 12(b) or
12(g) of the Securities Exchange Act of
1934 or is required to file reports
pursuant to section 15(d) of that act, and
(2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d)
of that act for a period of at least 12
months immediately preceding the sale of
securities (or for such shorter period that
the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income
under certain provisions of the Internal
Revenue Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value
within a reasonably short period of time;
and
(c) either
(1) are subject to no greater than
moderate credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying
the revenues or other payments from
which the issue is to be paid, has
been in continuous operation for less
than three years, including the
operation of any predecessors, the
securities are subject to a minimal or
low amount of credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration
under Section 4(2) of the Securities Act
of 1933, Rule 144A thereunder, or Rules
501-508 thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to
include qualified institutional buyers, as
defined in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to
other QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
18
77o23.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Corporate High Yield Fund, Inc. (HYT)
Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 09-15-2017
Offering Commencement:
Security Type: BND/CORP
Issuer Wabash National Corporation (2025)
Selling Underwriter Morgan Stanley & Co. LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
List of Underwriter(s) Morgan Stanley & Co. LLC,Wells Fargo
Securities,LLC,BMO Capital Markets Corp,Citizens
Capital Markets,Inc.,PNC Capital Markets LLC .
TRANSACTION DETAILS
Date of Purchase 09-15-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $100 Total Commission, Spread or Profit 1.250%
1. Aggregate Principal Amount Purchased (a+b) $ 28,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 13,795,000
b. Other BlackRock Clients $ 14,205,000
2. Aggregate Principal Amount of Offering $325,000,000
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.086154
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Arushi Bhasin Date: 09-25-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 09-25-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2
of the Rule 10f-3 Report form. It is the sum of
the Funds' participation in the offering by the
Funds and other accounts managed by BlackRock
divided by the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other
than the United States and
(a) the offering is subject to regulation in
such country by a "foreign financial
regulatory authority," as defined in
Section 2(a)(50) of the Investment Company
Act of 1940;
(b) the securities were offered at a fixed
price to all purchasers in the offering
(except for any rights to purchase
securities that are required by law to be
granted to existing security holders of the
issuer);
(c) financial statements, prepared and audited
as required or permitted by the appropriate
foreign financial regulatory authority in
such country, for the two years prior to
the offering, were made available to the
public and prospective purchasers in
connection with the offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national
of any foreign country, or a corporation or
other organization incorporated or
organized under the laws of any foreign
country, it (1) has a class of securities
registered pursuant to section 12(b) or
12(g) of the Securities Exchange Act of
1934 or is required to file reports
pursuant to section 15(d) of that act, and
(2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d)
of that act for a period of at least 12
months immediately preceding the sale of
securities (or for such shorter period that
the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c) either
(1) are subject to no greater than moderate
credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may not
be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
19
77o24.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES CORE TOTAL USD BOND MARKET ETF (ISHIUSB)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock Corporate High Yield Fund, Inc. (HYT)
Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 09-22-2017
Offering Commencement:
Security Type: BND/CORP
Issuer CB Escrow Corp. (2025)
Selling Underwriter Morgan Stanley & Co. LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
List of Underwriter(s) Morgan Stanley & Co. LLC, Barclays Capital Inc, PNC
Capital Markets LLC, Citigroup Global Markets Inc,
Regions Securities LLC, Citizens Capital Markets,Inc
TRANSACTION DETAILS
Date of Purchase 09-22-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $100.00 Total Commission, Spread or Profit 1.500%
1. Aggregate Principal Amount Purchased (a+b) $25,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $15,693,000
b. Other BlackRock Clients $ 9,307,000
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
2. Aggregate Principal Amount of Offering $350,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.07143
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase
all of the securities being offered, except those purchased by
others pursuant to a rights offering, if the underwriters purchased
any of the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in,
[_] NO or benefited directly or indirectly from, the transaction.
Completed by: Arushi Bhasin Date: 10-05-2017
--------------------------------- -----------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 10-05-2017
--------------------------------- -----------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a) the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b) the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c) financial statements, prepared and audited as
required or permitted by the appropriate
foreign financial regulatory authority in such
country, for the two years prior to the
offering, were made available to the public and
prospective purchasers in connection with the
offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under
the laws of any foreign country, it (1) has a
class of securities registered pursuant to
section 12(b) or 12(g) of the Securities
Exchange Act of 1934 or is required to file
reports pursuant to section 15(d) of that act,
and (2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d) of
that act for a period of at least 12 months
immediately preceding the sale of securities
(or for such shorter period that the issuer was
required to file such material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income
under certain provisions of the Internal
Revenue Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value
within a reasonably short period of time;
and
(c) either
(1) are subject to no greater than
moderate credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying
the revenues or other payments from
which the issue is to be paid, has
been in continuous operation for less
than three years, including the
operation of any predecessors, the
securities are subject to a minimal or
low amount of credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration
under Section 4(2) of the Securities Act
of 1933, Rule 144A thereunder, or Rules
501-508 thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to
include qualified institutional buyers, as
defined in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to
other QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
20
77o28.txt
LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES CORE TOTAL USD BOND MARKET ETF (ISHIUSB)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Corporate High Yield Fund, Inc. (HYT)
: Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 10-04-2017
Offering Commencement:
Security Type: BND/CORP
Issuer Hologic, Inc. (2025)
Selling Underwriter Goldman Sachs & Co. LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) Goldman Sachs & Co. LLC, J.P. Morgan Securities
LLC, Merrill Lynch, Pierce, Fenner & Smith
Incorporated, MUFG Securities Americas Inc.,
Citigroup Global Markets Inc., HSBC Securities
(USA) Inc., DNB Markets, Inc., SMBC Nikko
Securities America, Inc., Wells Fargo Securities,
LLC, Morgan Stanley & Co. LLC, Fifth Third
Securities, Inc., Scotia Capital (USA) Inc., PNC
Capital Markets LLC, TD Securities (USA) LLC,
Mizuho Securities USA LLC, Citizens Capital
Markets, Inc., KeyBanc Capital Markets Inc., Janney
Montgomery Scott LLC
TRANSACTION DETAILS
Date of Purchase 10-04-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $100 Total Commission, Spread or Profit 1.250%
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
1. Aggregate Principal Amount Purchased (a+b) $ 14,000,000
a. US Registered Funds (Appendix attached with individual
Fund/Client purchase) $ 6,704,000
b. Other BlackRock Clients $ 7,296,000
2. Aggregate Principal Amount of Offering $350,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.04
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
agreement
[_] NO under which the underwriters were committed to purchase all of the
securities being offered, except those purchased by others pursuant
to a rights offering, if the underwriters purchased any of the
securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 10-10-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 10-10-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a) the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b) the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c) financial statements, prepared and audited as
required or permitted by the appropriate
foreign financial regulatory authority in such
country, for the two years prior to the
offering, were made available to the public and
prospective purchasers in connection with the
offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under
the laws of any foreign country, it (1) has a
class of securities registered pursuant to
section 12(b) or 12(g) of the Securities
Exchange Act of 1934 or is required to file
reports pursuant to section 15(d) of that act,
and (2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d) of
that act for a period of at least 12 months
immediately preceding the sale of securities
(or for such shorter period that the issuer was
required to file such material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income
under certain provisions of the Internal
Revenue Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value
within a reasonably short period of time;
and
(c) either
(1) are subject to no greater than
moderate credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying
the revenues or other payments from
which the issue is to be paid, has
been in continuous operation for less
than three years, including the
operation of any predecessors, the
securities are subject to a minimal or
low amount of credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration
under Section 4(2) of the Securities Act
of 1933, Rule 144A thereunder, or Rules
501-508 thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to
include qualified institutional buyers, as
defined in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to
other QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
21
77o29.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES US & INTL HIGH YIELD CORP BOND ETF (ISHGHYG)
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF (ISHHYLD)
ISHARES CORE TOTAL USD BOND MARKET ETF (ISHIUSB)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Corporate High Yield Fund, Inc. (HYT)
: Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 10-05-2017
Offering Commencement:
Security Type: BND/CORP
Issuer Gulfport Energy Corporation (2026)
Selling Underwriter J.P. Morgan Securities LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) J.P. Morgan Securities LLC, Scotia Capital (USA)
Inc., KeyBanc Capital Markets Inc., PNC Capital
Markets LLC, Barclays Capital Inc., Credit Suisse
Securities (USA) LLC, BBVA Securities Inc., U.S.
Bancorp Investments, Inc., Commonwealth Bank of
Australia, ABN AMRO Securities (USA) LLC, BOK
Financial Securities, Inc., CIBC World Markets
Corp., Fifth Third Securities, Inc., IBERIA Capital
Partners L.L.C., Morgan Stanley & Co. LLC, Samuel
A. Ramirez & Company, Inc.
TRANSACTION DETAILS
Date of Purchase 10-05-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $100 Total Commission, Spread or Profit 1.000%
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
1. Aggregate Principal Amount Purchased (a+b) $42,000,000
a. US Registered Funds (Appendix attached with individual
Fund/Client purchase) $20,549,000
b. Other BlackRock Clients $21,451,000
2. Aggregate Principal Amount of Offering $450,000,000
Fund Ratio
[Divide Sum of #1 by #2
]Must be less than 0.25 0.09333
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 10-10-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 10-10-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a) the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b) the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c) financial statements, prepared and audited as
required or permitted by the appropriate
foreign financial regulatory authority in such
country, for the two years prior to the
offering, were made available to the public and
prospective purchasers in connection with the
offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under
the laws of any foreign country, it (1) has a
class of securities registered pursuant to
section 12(b) or 12(g) of the Securities
Exchange Act of 1934 or is required to file
reports pursuant to section 15(d) of that act,
and (2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d) of
that act for a period of at least 12 months
immediately preceding the sale of securities
(or for such shorter period that the issuer was
required to file such material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income
under certain provisions of the Internal
Revenue Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value
within a reasonably short period of time;
and
(c) either
(1) are subject to no greater than
moderate credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying
the revenues or other payments from
which the issue is to be paid, has
been in continuous operation for less
than three years, including the
operation of any predecessors, the
securities are subject to a minimal or
low amount of credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration
under Section 4(2) of the Securities Act
of 1933, Rule 144A thereunder, or Rules
501-508 thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to
include qualified institutional buyers, as
defined in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to
other QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
22
77o33.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Corporate High Yield Fund, Inc. (HYT)
: Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 10-30-2017
Offering Commencement:
Security Type: BND/CORP
Issuer Consol Mining Corp (2025)
Selling Underwriter J.P. Morgan Securities LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) J.P. Morgan Securities LLC, Merill Lynch, Pierce,,
Fenner & Smith Incorporated, Credit Suisse
Securities (USA), LLC, Citigroup Global Markets
Inc., PNC Capital Markets LLC, Goldman Sachs & Co.
LLC, The Huntington Investment Company, Stifel,
Nicolaus & Company Incorporated, Clarksons Platou
Securities, Inc., Seaport Global Securities LLC,
FBR Capital Markets & Co.
TRANSACTION DETAILS
Date of Purchase 10-30-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $100 Total Commission, Spread or Profit 2.0%
1. Aggregate Principal Amount Purchased (a+b) $65,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $34,460,000
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
b. Other BlackRock Clients $ 30,540,000
2. Aggregate Principal Amount of Offering $300,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.216
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Alisha Khan Date: 11-13-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Betsy Mathews Date: 12-20-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page
1 of 2 of the Rule 10f-3 Report form.
It is the sum of the Funds'
participation in the offering by the
Funds and other accounts managed by
BlackRock divided by the total amount
of the offering.
Eligible Foreign Offering The securities are sold in a public
offering conducted under the laws of a
country other than the United States
and
(a) the offering is subject to
regulation in such country by a
"foreign financial regulatory
authority," as defined in
Section 2(a)(50) of the Investment
Company Act of 1940;
(b) the securities were offered at a
fixed price to all purchasers in
the offering (except for any
rights to purchase securities that
are required by law to be granted
to existing security holders of
the issuer);
(c) financial statements, prepared and
audited as required or permitted
by the appropriate foreign
financial regulatory authority in
such country, for the two years
prior to the offering, were made
available to the public and
prospective purchasers in
connection with the offering; and
(d) if the issuer is a "domestic
issuer," i.e., other than a
foreign government, a national of
any foreign country, or a
corporation or other organization
incorporated or organized under
the laws of any foreign country,
it (1) has a class of securities
registered pursuant to section
12(b) or 12(g) of the Securities
Exchange Act of 1934 or is
required to file reports pursuant
to section 15(d) of that act, and
(2) has filed all the material
required to be filed pursuant to
section 13(a) or 15(d) of that act
for a period of at least 12 months
immediately preceding the sale of
securities (or for such shorter
period that the issuer was
required to file such material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c) either
(1) are subject to no greater than moderate
credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may not
be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
23
77o34.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF (ISHHYLD)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Multi-Asset Income - Passive High Yield Portfolio (BR-INC-PHY)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund--High Yield Sleeve (BRGC-HY)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Corporate High Yield Fund, Inc. (HYT)
Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
Global Atlantic BlackRock High Yield Portfolio (SMF_GA-HY)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 11-06-2017
Offering Commencement:
Security Type: BND/CORP
Issuer QEP Resources, Inc. (2026)
Selling Underwriter Wells Fargo Securities,LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) Wells Fargo Securities,LLC,BMO Capital Markets
Corp.,Citigroup Global Markets Inc.,Deutsche Bank
Securities Inc.,J.P. Morgan Securities LLC,MUFG
Securities Americas Inc.,U.S. Bancorp
Investments,Inc.,Fifth Third Securities,Inc.,SMBC
Nikko Securities America,Inc.,TD Securities (USA)
LLC,Goldman Sachs & Co. LLC,PNC Capital Markets LLC
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TRANSACTION DETAILS
Date of Purchase 11-06-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $100.00 Total Commission, Spread or Profit 1.250%
1. Aggregate Principal Amount Purchased (a+b) $ 17,750,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 9,937,000
b. Other BlackRock Clients $ 7,813,000
2. Aggregate Principal Amount of Offering $500,000,000
FUND RATIO
[Divide Sum of #1 by #2
]Must be less than 0.25 0.035
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[X] U.S. Registered Public Offering [Issuer must have 3 years of continuous
operations]
[_] Eligible Rule 144A Offering [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Arushi Bhasin Date: 11-17-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 11-17-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a) the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b) the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c) financial statements, prepared and audited as
required or permitted by the appropriate
foreign financial regulatory authority in such
country, for the two years prior to the
offering, were made available to the public and
prospective purchasers in connection with the
offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under
the laws of any foreign country, it (1) has a
class of securities registered pursuant to
section 12(b) or 12(g) of the Securities
Exchange Act of 1934 or is required to file
reports pursuant to section 15(d) of that act,
and (2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d) of
that act for a period of at least 12 months
immediately preceding the sale of securities
(or for such shorter period that the issuer was
required to file such material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income
under certain provisions of the Internal
Revenue Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value
within a reasonably short period of time;
and
(c) either
(1) are subject to no greater than
moderate credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying
the revenues or other payments from
which the issue is to be paid, has
been in continuous operation for less
than three years, including the
operation of any predecessors, the
securities are subject to a minimal or
low amount of credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration
under Section 4(2) of the Securities Act
of 1933, Rule 144A thereunder, or Rules
501-508 thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to
include qualified institutional buyers, as
defined in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to
other QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered
under the Securities Act of 1933 that
are being offered to the public.
EX-99.77O RULE 10F-3
24
77o35.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES CORE TOTAL USD BOND MARKET ETF (ISHIUSB)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Corporate High Yield Fund, Inc. (HYT)
: Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
Global Atlantic BlackRock High Yield Portfolio (SMF_GA-HY)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 11-08-2017
Offering Commencement:
Security Type: BND/CORP
Issuer Kratos Defense & Security Solutions, Inc. (2025)
Selling Underwriter Goldman Sachs & Co. LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) Goldman Sachs & Co. LLC, J.P. Morgan Securities
LLC, SunTrust Robinson Humphrey, Inc., PNC Capital
Markets LLC
TRANSACTION DETAILS
Date of Purchase 11-08-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $100 Total Commission, Spread or Profit 1.50%
1. Aggregate Principal Amount Purchased (a+b) $29,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $13,590,000
b. Other BlackRock Clients $15,410,000
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
2. Aggregate Principal Amount of Offering $300,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.09667
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 11-16-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 11-16-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2
of the Rule 10f-3 Report form. It is the sum of
the Funds' participation in the offering by the
Funds and other accounts managed by BlackRock
divided by the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other
than the United States and
(a) the offering is subject to regulation in
such country by a "foreign financial
regulatory authority," as defined in
Section 2(a)(50) of the Investment Company
Act of 1940;
(b) the securities were offered at a fixed
price to all purchasers in the offering
(except for any rights to purchase
securities that are required by law to be
granted to existing security holders of the
issuer);
(c) financial statements, prepared and audited
as required or permitted by the appropriate
foreign financial regulatory authority in
such country, for the two years prior to
the offering, were made available to the
public and prospective purchasers in
connection with the offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national
of any foreign country, or a corporation or
other organization incorporated or
organized under the laws of any foreign
country, it (1) has a class of securities
registered pursuant to section 12(b) or
12(g) of the Securities Exchange Act of
1934 or is required to file reports
pursuant to section 15(d) of that act, and
(2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d)
of that act for a period of at least 12
months immediately preceding the sale of
securities (or for such shorter period that
the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c) either
(1) are subject to no greater than moderate
credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may not
be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
25
77o36.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Corporate High Yield Fund, Inc. (HYT)
: Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of Offering Commencement: 11-14-2017
Security Type: BND/CORP
Issuer Lennar Corporation (2020)
Selling Underwriter Citigroup Global Markets Inc
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) Citigroup Global Markets Inc., Deutsche Bank
Securities Inc., Goldman Sachs & Co. LLC,
Merrill Lynch, Pierce, Fenner & Smith
Incorporated, Mizuho Securities USA LLC, RBC
Capital Markets, LLC, Wells Fargo Securities,
LLC, PNC Capital Markets LLC
TRANSACTION DETAILS
Date of Purchase 11-14-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $100 Total Commission, Spread or Profit 0.400%
1. Aggregate Principal Amount Purchased (a+b) $30,000,000
a. US Registered Funds (Appendix attached with individual
Fund/Client purchase) $19,238,000
b. Other BlackRock Clients $10,762,000
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
2. Aggregate Principal Amount of Offering $300,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.10
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering [Issuer must have 3 years of
continuous operations]
[X] Eligible Rule 144A Offering [Issuer must have 3 years of
continuous operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering [Issuer must have 3 years of
continuous operations]
[_] Government Securities Offering [Issuer must have 3 years of
continuous operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 11-21-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 11-21-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a) the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b) the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c) financial statements, prepared and audited as
required or permitted by the appropriate
foreign financial regulatory authority in such
country, for the two years prior to the
offering, were made available to the public and
prospective purchasers in connection with the
offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under
the laws of any foreign country, it (1) has a
class of securities registered pursuant to
section 12(b) or 12(g) of the Securities
Exchange Act of 1934 or is required to file
reports pursuant to section 15(d) of that act,
and (2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d) of
that act for a period of at least 12 months
immediately preceding the sale of securities
(or for such shorter period that the issuer was
required to file such material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in
section 103(c)(2) of Title 26) the
interest on which is excludable from gross
income under certain provisions of the
Internal Revenue Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value
within a reasonably short period of time;
and
(c) either
(1) are subject to no greater than
moderate credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying
the revenues or other payments from
which the issue is to be paid, has
been in continuous operation for less
than three years, including the
operation of any predecessors, the
securities are subject to a minimal or
low amount of credit risk.
Also, purchases of municipal securities may
not be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration
under Section 4(2) of the Securities Act
of 1933, Rule 144A thereunder, or
Rules 501-508 thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to
include qualified institutional buyers, as
defined in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to
other QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
26
77o37.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES US & INTL HIGH YIELD CORP BOND ETF(ISHGHYG)
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF (ISHHYLD)
ISHARES CORE TOTAL USD BOND MARKET ETF (ISHIUSB)
ISHARES BROAD USD HIGH YIELD CORPORATE BOND ETF (ISHUSHY)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Multi-Asset Income - Passive High Yield Portfolio (BR-INC-PHY)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Corporate High Yield Fund, Inc. (HYT)
Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
Global Atlantic BlackRock High Yield Portfolio (SMF_GA-HY)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 11-14-2017
Offering Commencement:
Security Type: BND/CORP
Issuer PDC Energy, Inc. (2026)
Selling Underwriter Merrill Lynch,Pierce,Fenner & Smith Incorporated
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) Merrill Lynch, Pierce, Fenner & Smith
Incorporated., Wells Fargo Securities, LLC, BMO
Capital Markets Corp., J.P. Morgan Securities LLC.,
TD Securities (USA) LLC., BBVA Securities Inc.,
Capital One Securities, Inc., Scotia Capital (USA)
Inc., U.S. Bancorp Investments, Inc., BOK Financial
Securities, Inc., CIBC World Markets Corp.,
Comerica Securities, Inc., Credit Agricole
Securities (USA) Inc., KeyBanc Capital Markets
Inc., Natixis Securities Americas LLC ., WoodRock
Securities L.P.,ABN AMRO Securities (USA) LLC,
Fifth Third Securities, Inc., Goldman Sachs & Co.
LLC, PNC Capital Markets LLC .
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TRANSACTION DETAILS
Date of Purchase 11-14-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $100.00 Total Commission, Spread or Profit 1.00%
1. Aggregate Principal Amount Purchased (a+b) $ 30,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 17,065,000
b. Other BlackRock Clients $ 12,935,000
2. Aggregate Principal Amount of Offering $600,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.05
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Arushi Bhasin Date: 11-21-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 11-21-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2
of the Rule 10f-3 Report form. It is the sum of
the Funds' participation in the offering by the
Funds and other accounts managed by BlackRock
divided by the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other
than the United States and
(a) the offering is subject to regulation in
such country by a "foreign financial
regulatory authority," as defined in
Section 2(a)(50) of the Investment Company
Act of 1940;
(b) the securities were offered at a fixed
price to all purchasers in the offering
(except for any rights to purchase
securities that are required by law to be
granted to existing security holders of the
issuer);
(c) financial statements, prepared and audited
as required or permitted by the appropriate
foreign financial regulatory authority in
such country, for the two years prior to
the offering, were made available to the
public and prospective purchasers in
connection with the offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national
of any foreign country, or a corporation or
other organization incorporated or
organized under the laws of any foreign
country, it (1) has a class of securities
registered pursuant to section 12(b) or
12(g) of the Securities Exchange Act of
1934 or is required to file reports
pursuant to section 15(d) of that act, and
(2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d)
of that act for a period of at least 12
months immediately preceding the sale of
securities (or for such shorter period that
the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c) either
(1) are subject to no greater than moderate
credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may not
be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public The securities offered are registered under the
Offering. Securities Act of 1933 that are being offered
to the public.
EX-99.77O RULE 10F-3
27
77o38.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES EDGE U.S. FIXED INCOME BALANCED RISK ETF (ISHFIBR)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Corporate High Yield Fund, Inc. (HYT)
Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
Global Atlantic BlackRock High Yield Portfolio (PRU-AA-HY)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 11-17-2017
Offering Commencement:
Security Type: BND/CORP
Issuer Match Group, Inc.. (2027)
Selling Underwriter J.P. MORGAN SECURITIES LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) J.P. Morgan, BofA Merrill Lynch, Deutsche Bank
Securities, BNP PARIBAS, Barclays, BMO Capital
Markets, SOCIETE GENERALE, Goldman Sachs & Co. LLC,
Fifth Third Securities, PNC Capital Markets LLC,
Citigroup
TRANSACTION DETAILS
Date of Purchase 11-17-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $99.027 Total Commission, Spread or Profit 1.125%
1. Aggregate Principal Amount Purchased (a+b) $20,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client $ 6,873,000
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
purchase)
b. Other BlackRock Clients $ 13,127,000
2. Aggregate Principal Amount of Offering $450,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.044
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase
all of the securities being offered, except those purchased by
others pursuant to a rights offering, if the underwriters purchased
any of the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in,
[_] NO or benefited directly or indirectly from, the transaction.
Completed by: Arushi Bhasin Date: 12-04-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 12-04-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2
of the Rule 10f-3 Report form. It is the sum of
the Funds' participation in the offering by the
Funds and other accounts managed by BlackRock
divided by the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other
than the United States and
(a) the offering is subject to regulation in
such country by a "foreign financial
regulatory authority," as defined in
Section 2(a)(50) of the Investment Company
Act of 1940;
(b) the securities were offered at a fixed
price to all purchasers in the offering
(except for any rights to purchase
securities that are required by law to be
granted to existing security holders of the
issuer);
(c) financial statements, prepared and audited
as required or permitted by the appropriate
foreign financial regulatory authority in
such country, for the two years prior to
the offering, were made available to the
public and prospective purchasers in
connection with the offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national
of any foreign country, or a corporation or
other organization incorporated or
organized under the laws of any foreign
country, it (1) has a class of securities
registered pursuant to section 12(b) or
12(g) of the Securities Exchange Act of
1934 or is required to file reports
pursuant to section 15(d) of that act, and
(2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d)
of that act for a period of at least
12 months immediately preceding the sale of
securities (or for such shorter period that
the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in
section 103(c)(2) of Title 26) the interest
on which is excludable from gross income
under certain provisions of the Internal
Revenue Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c) either
(1) are subject to no greater than moderate
credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may not
be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public The securities offered are registered under the
Offering. Securities Act of 1933 that are being offered
to the public.
EX-99.77O RULE 10F-3
28
77o40.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
ISHARES US & INTL HIGH YIELD CORP BOND ETF (ISHGHYG)
ISHARES IBOXX $ HIGH YIELD CORPORATE BOND ETF (ISHHYLD)
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Multi-Asset Income - Passive High Yield Portfolio (BR-INC-PHY)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Corporate High Yield Fund, Inc. (HYT)
: Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
JNL/BlackRock Global Long Short Credit Fund (SMF_CC-GC)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 11-28-2017
Offering Commencement:
Security Type: BND/CORP
Issuer Endeavor Energy Resources, L.P. (2028)
Selling Underwriter Goldman Sachs & Co. LLC
[X] PNC Capital Markets LLC
Affiliated Underwriter(s) [_] Other:
List of Underwriter(s) Goldman Sachs & Co. LLC, Credit Suisse Securities
(USA) LLC, MUFG Securities Americas Inc., Wells
Fargo Securities, LLC, BMO Capital Markets Corp.,
Citigroup Global Markets Inc., Merrill Lynch,
Pierce, Fenner & Smith Incorporated, PNC Capital
Markets LLC, BB&T Capital Markets, a division of
BB&T Securities, LLC, CIBC World Markets Corp.,
Credit Agricole Securities (USA) Inc., Natixis
Securities Americas LLC, Regions Securities LLC,
Scotia Capital (USA) Inc.
TRANSACTION DETAILS
Date of Purchase 11-28-2017
Purchase Price/Share
(PER SHARE / % OF PAR) $100 Total Commission, Spread or Profit 1.15%
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
1. Aggregate Principal Amount Purchased (a+b) $ 29,000,000
a. US Registered Funds (Appendix attached with individual
Fund/Client purchase) $ 18,618,000
b. Other BlackRock Clients $ 10,382,000
2. Aggregate Principal Amount of Offering $500,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25............................................ 0.058
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Dipankar Banerjee Date: 11-30-2017
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven Delaura Date: 11-30-2017
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2 of
the Rule 10f-3 Report form. It is the sum of the
Funds' participation in the offering by the Funds
and other accounts managed by BlackRock divided by
the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other than
the United States and
(a) the offering is subject to regulation in such
country by a "foreign financial regulatory
authority," as defined in Section 2(a)(50) of
the Investment Company Act of 1940;
(b) the securities were offered at a fixed price to
all purchasers in the offering (except for any
rights to purchase securities that are required
by law to be granted to existing security
holders of the issuer);
(c) financial statements, prepared and audited as
required or permitted by the appropriate
foreign financial regulatory authority in such
country, for the two years prior to the
offering, were made available to the public and
prospective purchasers in connection with the
offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national of
any foreign country, or a corporation or other
organization incorporated or organized under
the laws of any foreign country, it (1) has a
class of securities registered pursuant to
section 12(b) or 12(g) of the Securities
Exchange Act of 1934 or is required to file
reports pursuant to section 15(d) of that act,
and (2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d) of
that act for a period of at least 12 months
immediately preceding the sale of securities
(or for such shorter period that the issuer was
required to file such material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or
obligations guaranteed as to
principal or interest by, a State
or any political subdivision
thereof, or any agency or
instrumentality of a State or any
political subdivision thereof, or
any municipal corporate
instrumentality of one or more
States, or any security which is an
industrial development bond (as
defined in section 103(c)(2) of
Title 26) the interest on which is
excludable from gross income under
certain provisions of the Internal
Revenue Code;
(b) are sufficiently liquid that they
can be sold at or near their
carrying value within a reasonably
short period of time; and
(c) either
(1) are subject to no greater than
moderate credit risk; or
(2) if the issuer of the municipal
securities, or the entity
supplying the revenues or
other payments from which the
issue is to be paid, has been
in continuous operation for
less than three years,
including the operation of any
predecessors, the securities
are subject to a minimal or
low amount of credit risk.
Also, purchases of municipal securities
may not be designated as group sales or
otherwise allocated to the account of
any prohibited seller (i.e., an
affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering
where
(a) the securities are offered or sold
in transactions exempt from
registration under Section 4(2) of
the Securities Act of 1933, Rule
144A thereunder, or Rules 501-508
thereunder;
(b) the securities were sold to persons
that the seller and any person
acting on behalf of the seller
reasonably believe to include
qualified institutional buyers, as
defined in Rule 144A ("QIBs"); and
(c) the seller and any person acting on
behalf of the seller reasonably
believe that the securities are
eligible for resale to other QIBs
pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as
to principal or interest by the United
States, or by a person controlled or
supervised by and acting as an
instrumentality of the Government of
the United States pursuant to authority
granted by the Congress of the United
States; or any certificate of deposit
for any of the foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.
EX-99.77O RULE 10F-3
29
77o41.txt
[LOGO OF BLACKROCK]
Rule 10f-3 Transaction Form
Acquisition of Securities During Affiliated Underwritings
PARTICIPATING FUNDS
.. U.S. Registered Funds (Name of Fund, Aladdin Ticker):
BlackRock Core Bond Trust - High Yield (BHK-HYLD)
BlackRock Multi-Sector Income Trust - High Yield (BIT-HYLD)
BlackRock Limited Duration Income Trust - High Yield (BLW-HYLD)
BlackRock Funds II, High Yield Bond Portfolio (BR-HIYLD)
BlackRock Credit Strategies Income - High Yield (BR-MSBHY)
BlackRock Global Long Short Credit Fund - High Yield Sleeve (BRGC-HY)
BlackRock High Yield Portfolio of BlackRock Series Fund, Inc (BVA-HI)
BlackRock High Yield V.I. Fund (BVA-HY)
BlackRock Corporate High Yield Fund, Inc. (HYT)
Brighthouse Funds Trust I - BlackRock High Yield Portfolio (MIST-HY)
AST BlackRock Global Strategies Portfolio (US High Yield) (PRU-AA-HY)
Global Atlantic BlackRock High Yield Portfolio (SMF_GA-HY)
THE OFFERING
KEY CHARACTERISTICS (COMPLETE ALL FIELDS)
Date of 01-31-2018
Offering Commencement:
Security Type: BND/CORP
Issuer American Woodmark Corporation (2026)
Selling Underwriter Wells Fargo Securities, LLC
Affiliated Underwriter(s) [X] PNC Capital Markets LLC
[_] Other:
List of Underwriter(s) Wells Fargo Securities, LLC, BMO Capital Markets
Corp, Citizens Capital Markets, Inc, SunTrust
Robinson Humphrey, Inc, BBVA Securities Inc,
Capital One Securities, Inc, Fifth Third Securities
Inc, MUFG Securities Americas Inc, PNC Capital
Markets LLC, Regions Securities LLC, U.S. Bancorp
Investments, Inc
TRANSACTION DETAILS
Date of Purchase 01-31-2018
Purchase Price/Share
(PER SHARE / % OF PAR) $100.00 Total Commission, Spread or Profit 1.250%
Page 1 of 2
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
1. Aggregate Principal Amount Purchased (a+b) $ 16,000,000
a. US Registered Funds
(Appendix attached with individual Fund/Client purchase) $ 6,759,000
b. Other BlackRock Clients $ 9,241,000
2. Aggregate Principal Amount of Offering $350,000,000
FUND RATIO
[Divide Sum of #1 by #2]
Must be less than 0.25 0.0457143
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
LEGAL REQUIREMENTS
OFFERING TYPE (CHECK ONE)
The securities fall into one of the following transaction types (see
Definitions):
[_] U.S. Registered Public Offering... [Issuer must have 3 years of continuous
operations]
[X] Eligible Rule 144A Offering....... [Issuer must have 3 years of continuous
operations]
[_] Eligible Municipal Securities
[_] Eligible Foreign Offering......... [Issuer must have 3 years of continuous
operations]
[_] Government Securities Offering.... [Issuer must have 3 years of continuous
operations]
TIMING AND PRICE (CHECK ONE OR BOTH)
[X] The securities were purchased before the end of the first day on which any
sales were made, at a price that was not more than the price paid by each
other purchaser of securities in that offering or in any concurrent
offering of the securities; and
[_] If the securities are offered for subscription upon exercise of rights, the
securities were purchased on or before the fourth day before the day on
which the rights offering terminated.
FIRM COMMITMENT OFFERING (CHECK ONE)
[X] YES The securities were offered pursuant to an underwriting or similar
[_] NO agreement under which the underwriters were committed to purchase all
of the securities being offered, except those purchased by others
pursuant to a rights offering, if the underwriters purchased any of
the securities.
NO BENEFIT TO AFFILIATED UNDERWRITER (CHECK ONE)
[X] YES No affiliated underwriter was a direct or indirect participant in, or
[_] NO benefited directly or indirectly from, the transaction.
Completed by: Arushi Bhasin Date: 02-09-2018
-------------------------------- ------------
Global Syndicate Team Member
Approved by: Steven DeLaura Date: 02-09-2018
-------------------------------- ------------
Global Syndicate Team Member
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
DEFINITIONS
TERM DEFINITION
Fund Ratio Number appearing at the bottom of page 1 of 2
of the Rule 10f-3 Report form. It is the sum of
the Funds' participation in the offering by the
Funds and other accounts managed by BlackRock
divided by the total amount of the offering.
Eligible Foreign Offering The securities are sold in a public offering
conducted under the laws of a country other
than the United States and
(a) the offering is subject to regulation in
such country by a "foreign financial
regulatory authority," as defined in
Section 2(a)(50) of the Investment Company
Act of 1940;
(b) the securities were offered at a fixed
price to all purchasers in the offering
(except for any rights to purchase
securities that are required by law to be
granted to existing security holders of the
issuer);
(c) financial statements, prepared and audited
as required or permitted by the appropriate
foreign financial regulatory authority in
such country, for the two years prior to
the offering, were made available to the
public and prospective purchasers in
connection with the offering; and
(d) if the issuer is a "domestic issuer," i.e.,
other than a foreign government, a national
of any foreign country, or a corporation or
other organization incorporated or
organized under the laws of any foreign
country, it (1) has a class of securities
registered pursuant to section 12(b) or
12(g) of the Securities Exchange Act of
1934 or is required to file reports
pursuant to section 15(d) of that act, and
(2) has filed all the material required to
be filed pursuant to section 13(a) or 15(d)
of that act for a period of at least 12
months immediately preceding the sale of
securities (or for such shorter period that
the issuer was required to file such
material)
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
Eligible Municipal Securities The securities:
(a) are direct obligations of, or obligations
guaranteed as to principal or interest by,
a State or any political subdivision
thereof, or any agency or instrumentality
of a State or any political subdivision
thereof, or any municipal corporate
instrumentality of one or more States, or
any security which is an industrial
development bond (as defined in section
103(c)(2) of Title 26) the interest on
which is excludable from gross income under
certain provisions of the Internal Revenue
Code;
(b) are sufficiently liquid that they can be
sold at or near their carrying value within
a reasonably short period of time; and
(c) either
(1) are subject to no greater than moderate
credit risk; or
(2) if the issuer of the municipal
securities, or the entity supplying the
revenues or other payments from which
the issue is to be paid, has been in
continuous operation for less than
three years, including the operation of
any predecessors, the securities are
subject to a minimal or low amount of
credit risk.
Also, purchases of municipal securities may not
be designated as group sales or otherwise
allocated to the account of any prohibited
seller (i.e., an affiliated underwriter).
Eligible Rule 144A Offering The securities are sold in an offering where
(a) the securities are offered or sold in
transactions exempt from registration under
Section 4(2) of the Securities Act of 1933,
Rule 144A thereunder, or Rules 501-508
thereunder;
(b) the securities were sold to persons that
the seller and any person acting on behalf
of the seller reasonably believe to include
qualified institutional buyers, as defined
in Rule 144A ("QIBs"); and
(c) the seller and any person acting on behalf
of the seller reasonably believe that the
securities are eligible for resale to other
QIBs pursuant to Rule 144A.
Government Securities Offering The security is issued or guaranteed as to
principal or interest by the United States, or
by a person controlled or supervised by and
acting as an instrumentality of the Government
of the United States pursuant to authority
granted by the Congress of the United States;
or any certificate of deposit for any of the
foregoing.
Rule 10f-3 Report - Definitions [LOGO OF BLACKROCK]
TERM DEFINITION
U.S. Registered Public Offering. The securities offered are registered under
the Securities Act of 1933 that are being
offered to the public.