EX-99.77O 2 attachment10f-3.txt
---------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Security Name of Selling Other Members Nature of Purchase Underwriting Total Description Syndicate Member In Syndicate Underwriting Price Compensation Offering ---------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- Community Health Systems, Inc High Yield Bond JP Morgan SEE NEXT TAB Competitive Bidding $100.00 2.00% $ 300,000,000.00 ---------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- Las Vegas Sands Corp (due 2015)High Yield Bond Goldman Sachs SEE NEXT TAB Competitive Bidding $99.09 1.15% $ 250,000,000.00 ---------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- Host Marriott High Yield Bond Goldman Sachs SEE NEXT TAB Competitive Bidding $10.00 1.50% $ 650,000,000.00 --------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- Levi (Floating Rate Note) High Yield Bond Bank of America SEE NEXT TAB Competitive Bidding $100.00 2.00% $ 380,000,000.00 ---------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- HCA Inc 6 3/8 (due 01/15/15) High Yield Bond JP Morgan SEE NEXT TAB Competitive Bidding $99.67 1.25% $ 750,000,000.00 ---------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- SunGard Data Systems Inc. High Yield Bond Deutsche Bank SEE NEXT TAB Negotiated Purchase $100.00 0.23% $1,600,000,000.00 (due 08/15/13)-------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- Nell AF SARL High Yield Bond Merrill Lynch SEE NEXT TAB Negotiated Purchase $100.00 2.75% $ 615,000,000.00 (Senior Notes mat=8/15/15)-------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- Dresser-Rand Group Inc High Yield Bond Morgan Stanley SEE NEXT TAB Competitive Bidding $100.00 2.50% $ 420,000,000.00 (mat=11/1/2014)------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- MGM Mirage (mat=09/01/2012) High Yield Bond Bank of America SEE NEXT TAB Competitive Bidding $100.00 0.65% $ 550,000,000.00 ----------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Amount to be FUND Purchase Trade Total Assets Sum Of Actual FIRMPurchase CUSIP Purchased by as % of Total Date of Fund* Amount Received as of Total Fund Offering (All Citi) Offering (<25%) ---------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- Community Health Systems, Inc $ 250,000.00 0.08% 12/09/04 $ 117,668,336.00 $ 9,382,000.00 3.13% 203668AB4 ---------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- Las Vegas Sands Corp (due 2015)$ 425,000.00 0.17% 02/03/05 $ 117,936,071.00 $ 40,000,000.00 16.00% 517834AA5 ---------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- Host Marriott $ 25,000.00 0.00% 03/03/05 $ 124,998,338.00 $ 17,665,000.00 2.72% 44108EAX6 ---------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- Levi (Floating Rate Note) $ 125,000.00 0.03% 03/07/05 $ 125,506,586.00 $ 14,000,000.00 3.68% 52736RAS1 ---------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- HCA Inc 6 3/8 (due 01/15/15) $ 225,000.00 0.03% 11/16/04 $ 113,788,112.00 $ 20,000,000.00 2.67% 404119AP4 ---------------------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- SunGard Data Systems Inc. $ 175,000.00 0.01% 07/27/05 $ 132,994,896.00 $ 16,450,000.00 1.03% 867363AF0 (due 08/15/13)-------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- Nell AF SARL $ 300,000.00 0.05% 08/04/05 $ 132,314,439.00 $ 15,420,000.00 2.51% 64016AAA3 (Senior Notes mat=8/15/15) ------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- Dresser-Rand Group Inc $ 125,000.00 0.03% 10/14/04 $ 110,596,739.00 $ 8,610,000.00 2.05% 261608AA1 (mat=11/1/2014)------------------------------------------------------------------------------------------------------------------- ---------------------------------------------------------------------------------------------------------------------------------- MGM Mirage (mat=09/01/2012) $ 675,000.00 0.12% 08/11/04 $ 108,702,231.00 $ 54,750,000.00 9.95% 552953AK7 ----------------------------------------------------------------------------------------------------------------------------------
*Note: As of the transaction date. Includes accrued interest. **PLEASE NOTE THAT ALL ISSUERS PASSED THE 3 YEAR TEST** SCHEDULE 1 10F-3 REPORT Great West - Maxim Salomon High Yield Bond Portfolio - Syndicate Reporting Supplement August 1st, 2004 through October 31st, 2005
Issuer Trade Date Joint / Lead Manager(s) Co-Manager(s) Selling Group ------ ----------- ---------------------- ------------- ------------- Community Health Systems, Inc 12/09/04 JP Morgan Securities Banc of America Securities LLC N/A Citigroup Goldman Sachs & Co Keybanc Capital Markets Merrill Lynch & Co Natcity Investments Raymond James & Associates Inc SunTrust Robinson Humphrey Wachovia Securities Inc Las Vegas Sands Corp (due 2015) 02/03/05 Goldman Sachs & Co Citigroup N/A JP Morgan Securities Lehman Brothers Merrill Lynch & Co Scotia Capital Inc UBS Financial Services Inc. Host Marriott 03/03/05 Citigroup Banc of America Securities LLC N/A Deutsche Bank Securities Inc Bank of New York Securities Goldman Sachs & Co Bear Stearns & Co Inc Calyon New York RBS Securities Corp Scotia Capital Inc Societe Generale Wachovia Securities Inc Levi (Floating Rate Note) 03/07/05 Banc of America Securities LLC Bear Stearns & Co Inc N/A Citigroup Credit Suisse First Boston Corp Goldman Sachs & Co JP Morgan Scotia Capital Inc HCA Inc 6 3/8 (due 01/15/15) 11/16/04 JP Morgan Securities Banc of America Securities LLC N/A Merrill Lynch & Co BNY Capital Markets Calyon Securities USA Inc Citigroup Deutsche Bank Securities Inc Keybanc Capital Markets Mizuho International PLC Scotia Capital Inc Suntrust Capital Markets Wachovia Capital Markets SunGard Data Systems Inc. 07/27/05 Citigroup RBC Capital Markets N/A (due 08/15/13) Deutsche Bank Securities Inc BNY Capital Markets, Inc. Goldman Sachs & Co JP Morgan Securities Morgan Stanley Banc of America Securities LLC Nell AF SARL 08/04/05 Credit Suisse First Boston(Eur) ABNeAmro N/A (Senior Notes mat=8/15/15) Merrill Lynch International Ltd Citigroup Global Markets Ltd Deutsche Bank AG London Dresser-Rand Group Inc 10/14/04 Morgan Stanley Bear Stearns & Co Inc N/A (mat=11/ 1/2014) Citigroup Natexis Banque UBS MGM Mirage (mat=09/01/2012) 08/11/04 Banc of America Securities LLC Barclays Capital N/A Citigroup BNP Paribas CIBC World Markets Commerzbank AG Deutsche Bank Securities Inc JP Morgan Keybanc Capital Markets Piper Jaffray & Co Scotia Capital Inc Wachovia Securities Inc Wells Fargo Brokerage Services LLC