EX-99.77O RULE 10F-3 2 n4jd10f3200504.txt 10F3 Report Name - 10F-3 Fund - Salomon Brothers Capital and Income Fund Period : 11/01/04 through 04/30/05 ID : 225 Issuer Name : Fortis Insurance N.V. (AIZ) Trade Date : 01/20/05 Selling Dealer : Morgan Stanley Total Shares Purchased : 1,000.00 Purchase Price : 1,000.00 % Received by Fund : 0.129% % of Issue (1) : 0.904% Other Participant Accounts (2) : 6,000.00 Issue Amount (2) : 774,149.00 Total Received All Funds (2) : 7,000.00 (1) Represents purchases by all affiliated mutual funds and discretionary accounts; may not exceed 25% of the principal amount of the offering. (2) Includes purchases by other affiliated mutual funds and discretionary accounts. Report Name : 10F-3 Syndicate Supplement Issuer : Fortis Insurance N.V. (Fortis) Trade Date : 01/20/05 Joint/Lead Manager(s) : Morgan Stanley Co-Manager(s) : Merrill Lynch & Co UBS Investment Bank Citigroup Credit Suisse First Boston Goldman Sachs & Co JP Morgan Lehman Brothers Selling Group : N/A ID : 231 Issuer Name : Assurant (AIZ) Trade Date : 01/20/05 Selling Dealer : Morgan Stanley Total Shares Purchased : 22,300.00 Purchase Price : 30.6 % Received by Fund : 0.082% % of Issue (1) : 3.316% Other Participant Accounts (2) : 879,700.00 Issue Amount (2) : 27,200,000.00 Total Received All Funds (2) : 902,000.00 (1) Represents purchases by all affiliated mutual funds and discretionary accounts; may not exceed 25% of the principal amount of the offering. (2) Includes purchases by other affiliated mutual funds and discretionary accounts. Report Name : 10F-3 Syndicate Supplement Issuer : Assurant (AIZ) Trade Date : 01/20/05 Joint/Lead Manager(s) : Morgan Stanley Citigroup Credit Suisse First Boston Corp Lehman Brothers Merrill Lynch & Co Co-Manager(s) : Cochran Caronia & Co Fortis Securities Fox-Pitt Kelton Inc Goldman Sachs & Co JP Morgan Securities Keybanc Capital Markets Raymond James & Associates Inc SunTrust Robinson Humphrey UBS Selling Group : N/A ID : 264 Issuer Name : Las Vegas Sands Corp (2015) Trade Date : 02/03/05 Selling Dealer : Goldman Sachs Total Shares Purchased : 550,000.00 Purchase Price : 99.08 % Received by Fund : 0.220% % of Issue (1) : 16.000% Other Participant Accounts (2) : 39,450,000.00 Issue Amount (2) : 250,000,000.00 Total Received All Funds (2) : 40,000,000.00 (1) Represents purchases by all affiliated mutual funds and discretionary accounts; may not exceed 25% of the principal amount of the offering. (2) Includes purchases by other affiliated mutual funds and discretionary accounts. Report Name : 10F-3 Syndicate Supplement Issuer : Las Vegas Sands Corp (due 2015) Trade Date : 02/03/05 Joint/Lead Manager(s) : Goldman Sachs & Co Co-Manager(s) : Citigroup JP Morgan Securities Lehman Brothers Merrill Lynch & Co Scotia Capital Inc UBS Selling Group : N/A ID : 268 Issuer Name : Tribal Gaming (Mohegan-2015) Trade Date : 02/03/05 Selling Dealer : Bank of America Total Shares Purchased : 350,000.00 Purchase Price : 100 % Received by Fund : 0.233% % of Issue (1) : 13.333% Other Participant Accounts (2) : 19,650,000.00 Issue Amount (2) : 150,000,000.00 Total Received All Funds (2) : 20,000,000.00 (1) Represents purchases by all affiliated mutual funds and discretionary accounts; may not exceed 25% of the principal amount of the offering. (2) Includes purchases by other affiliated mutual funds and discretionary accounts. Report Name : 10F-3 Syndicate Supplement Issuer : Tribal Gaming (Mohegan) (due 2015) Trade Date : 02/03/05 Joint/Lead Manager(s) : Banc of America Securities LLC Citigroup SG Corporate & Investment Banking Co-Manager(s) : Calyon Securities USA Inc Commerzbank AG Key Capital Markets Inc RBS Greenwich Capital Wells Fargo Securities Selling Group : N/A ID : 287 Issuer Name : FTD Group, Inc. (FTD) Trade Date : 02/08/05 Selling Dealer : Goldman Sachs Total Shares Purchased : 3,500.00 Purchase Price : 13 % Received by Fund : 0.027% % of Issue (1) : 0.191% Other Participant Accounts (2) : 21,500.00 Issue Amount (2) : 13,100,000.00 Total Received All Funds (2) : 25,000.00 (1) Represents purchases by all affiliated mutual funds and discretionary accounts; may not exceed 25% of the principal amount of the offering. (2) Includes purchases by other affiliated mutual funds and discretionary accounts. Report Name : 10F-3 Syndicate Supplement Issuer : FTD Group, Inc. (FTD) Trade Date : 02/08/05 Joint/Lead Manager(s) : Citigroup Goldman Sachs & Co Co-Manager(s) : Merrill Lynch & Co Piper Jaffray & Co William Blair & Co LLC Selling Group : N/A ID : 300 Issuer Name : Huntsman Corporation (HUN) Trade Date : 02/10/05 Selling Dealer : CS First Boston Total Shares Purchased : 1,300.00 Purchase Price : 23 % Received by Fund : 0.002% % of Issue (1) : 0.162% Other Participant Accounts (2) : 96,200.00 Issue Amount (2) : 60,200,000.00 Total Received All Funds (2) : 97,500.00 (1) Represents purchases by all affiliated mutual funds and discretionary accounts; may not exceed 25% of the principal amount of the offering. (2) Includes purchases by other affiliated mutual funds and discretionary accounts. Report Name : 10F-3 Syndicate Supplement Issuer : Huntsman Corporation (HUN) Trade Date : 02/10/05 Joint/Lead Manager(s) : Citigroup Credit Suisse First Boston Corp Deutsche Bank Securities Inc Merrill Lynch & Co Co-Manager(s) : CIBC World Markets Jefferies & Co JP Morgan Securities Lehman Brothers Natexis Bleichroeder Inc Scotia Capital Inc UBS WR Hambrecht + Co LLC Selling Group : Blaylock & Partners CMG Institutional Trading LLC Muriel Siebert & Co Inc Samuel A Ramirez & Co Williams Capital Group LP ID : 308 Issuer Name : Wright Express Trade Date : 02/15/05 Selling Dealer : JP Morgan Total Shares Purchased : 50,000.00 Purchase Price : 18 % Received by Fund : 0.125% % of Issue (1) : 2.978% Other Participant Accounts (2) : 1,141,300.00 Issue Amount (2) : 40,000,000.00 Total Received All Funds (2) : 1,191,300.00 (1) Represents purchases by all affiliated mutual funds and discretionary accounts; may not exceed 25% of the principal amount of the offering. (2) Includes purchases by other affiliated mutual funds and discretionary accounts. Report Name : 10F-3 Syndicate Supplement Issuer : Wright Express (WXS) Trade Date : 02/15/05 Joint/Lead Manager(s) : Credit Suisse First Boston Corp JP Morgan Securities Merrill Lynch & Co Co-Manager(s) : Banc of America Securities LLC Citigroup Deutsche Bank Securities Inc Goldman Sachs & Co Lehman Brothers UBS Wachovia Securities Inc Selling Group : Harris Nesbitt Lazard Freres & Co LLC Suntrust Capital Markets Wells Fargo Williams Capital Group LP ID : 340 Issuer Name : Levi (Floating Rate) Trade Date : 03/07/05 Selling Dealer : Bank of America Total Shares Purchased : 150,000.00 Purchase Price : 100 % Received by Fund : 0.039% % of Issue (1) : 3.684% Other Participant Accounts (2) : 13,850,000.00 Issue Amount (2) : 380,000,000.00 Total Received All Funds (2) : 14,000,000.00 (1) Represents purchases by all affiliated mutual funds and discretionary accounts; may not exceed 25% of the principal amount of the offering. (2) Includes purchases by other affiliated mutual funds and discretionary accounts. Report Name : 10F-3 Syndicate Supplement Issuer : Levi (Floating Rate Note) Trade Date : 03/07/05 Joint/Lead Manager(s) : Banc of America Securities LLC Citigroup Goldman Sachs & Co JP Morgan Scotia Capital Inc Co-Manager(s) : Bear Stearns & Co Inc Credit Suisse First Boston Corp Selling Group : N/A ID : 375 Issuer Name : Halliburton Trade Date : 03/17/05 Selling Dealer : JP Morgan Total Shares Purchased : 178,000.00 Purchase Price : 42.5 % Received by Fund : 0.299% % of Issue (1) : 0.419% Other Participant Accounts (2) : 71,500.00 Issue Amount (2) : 59,500,000.00 Total Received All Funds (2) : 249,500.00 (1) Represents purchases by all affiliated mutual funds and discretionary accounts; may not exceed 25% of the principal amount of the offering. (2) Includes purchases by other affiliated mutual funds and discretionary accounts. Report Name : 10F-3 Syndicate Supplement Issuer : Halliburton (HAL) Trade Date : 03/17/05 Joint/Lead Manager(s) : Citigroup Goldman Sachs & Co JP Morgan Securities Co-Manager(s) : Merrill Lynch & Co Morgan Stanley UBS Credit Suisse First Boston Corp Deutsche Bank Securities Inc Dresdner Kleinwort Benson N.A. Lehman Brothers Simmons & Co Wachovia Securities Inc Selling Group : N/A ID : 81 Issuer Name : Nine Towns Trade Date : 12/02/04 Selling Dealer : JP Morgan Total Shares Purchased : 1,000.00 Purchase Price : 11 % Received by Fund : 0.010% % of Issue (1) : 0.100% Other Participant Accounts (2) : 9,000.00 Issue Amount (2) : 10,000,000.00 Total Received All Funds (2) : 10,000.00 (1) Represents purchases by all affiliated mutual funds and discretionary accounts; may not exceed 25% of the principal amount of the offering. (2) Includes purchases by other affiliated mutual funds and discretionary accounts. Report Name : 10F-3 Syndicate Supplement Issuer : Nine Towns Trade Date : 12/02/04 Joint/Lead Manager(s) : JP Morgan Securities Co-Manager(s) : Citigroup Lehman Brothers Selling Group : Jefferies Broadview ID : I03 Issuer Name : Community Health Systems Trade Date : 11/15/04 Selling Dealer : JP Morgan Total Shares Purchased : 50,000.00 Purchase Price : 100 % Received by Fund : 0.017% % of Issue (1) : 0.019% Other Participant Accounts (2) : 6,950.00 Issue Amount (2) : 300,000,000.00 Total Received All Funds (2) : 56,950.00 (1) Represents purchases by all affiliated mutual funds and discretionary accounts; may not exceed 25% of the principal amount of the offering. (2) Includes purchases by other affiliated mutual funds and discretionary accounts. Report Name : 10F-3 Syndicate Supplement Issuer : Community Health Systems Trade Date : 12/09/04 Joint/Lead Manager(s) : JP Morgan Securities Co-Manager(s) : Banc of America Securities LLC Citigroup Goldman Sachs & Co Keybanc Capital Markets Merrill Lynch & Co Natcity Investments Raymond James & Associates Inc SunTrust Robinson Humphrey Wachovia Securities Inc Selling Group : N/A ID : I04 Issuer Name : Las Vegas Sands Corp Trade Date : 12/14/04 Selling Dealer : Goldman Sachs Total Shares Purchased : 8,300.00 Purchase Price : 29 % Received by Fund : 0.035% % of Issue (1) : 0.415% Other Participant Accounts (2) : 91,200.00 Issue Amount (2) : 24,000,000.00 Total Received All Funds (2) : 99,500.00 (1) Represents purchases by all affiliated mutual funds and discretionary accounts; may not exceed 25% of the principal amount of the offering. (2) Includes purchases by other affiliated mutual funds and discretionary accounts. Report Name : 10F-3 Syndicate Supplement Issuer : Las Vegas Sands Corp. Trade Date : 12/14/04 Joint/Lead Manager(s) : Goldman Sachs & Co Co-Manager(s) : Citigroup Jefferies & Co JP Morgan Securities Lehman Brothers Merrill Lynch & Co UBS Selling Group : ABN Amro Rothschild CIBC World Markets Commerzbank Capital Markets Corp Ramirez & Co Inc Scotia Capital Inc Utendahl Capital Partners LP