EX-99.77O RULE 10F-3 6 variableltddurationtenfthree.txt MORGAN STANLEY VARIABLE INVESTMENT SERIES LIMITED DURATION 10F3 Morgan Stanley Variable Investment Series - Limited Duration Portfolio Item 77O- Transactions effected pursuant to Rule 10f-3 Securities Purchased: Takeda Pharmaceutical Co. Ltd. 1.031% due 3/17/2015 Purchase/Trade Date: 7/9/2012 Offering Price of Shares: $100.000 Total Amount of Offering: $1,500,000,000 Amount Purchased by Fund: $200,000 Percentage of Offering Purchased by Fund: 0.013 Percentage of Fund's Total Assets: 0.37 Brokers: Nomura, JP Morgan, BofA Merrill Lynch, Citigroup, Morgan Stanley Purchased from: Nomura Securities Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Westpac Banking Corp. 1.375% due 7/17/2015 Purchase/Trade Date: 7/10/2012 Offering Price of Shares: $99.962 Total Amount of Offering: $1,500,000,000 Amount Purchased by Fund: $200,000 Percentage of Offering Purchased by Fund: 0.013 Percentage of Fund's Total Assets:0.37 Brokers: JP Morgan Securities plc, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Westpac Banking Corp. Purchased from: Merrill Lynch Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Ecolab Inc. 1.000% due 8/9/2015 Purchase/Trade Date: 8/6/2012 Offering Price of Shares: $99.950 Total Amount of Offering: $500,000,000 Amount Purchased by Fund: $85,000 Percentage of Offering Purchased by Fund: 0.017 Percentage of Fund's Total Assets: 0.16 Brokers: BofA Merrill Lynch, Credit Suisse, JP Morgan, Mitsubishi UFJ Securities, SMBC Nikko, RBS, Wells Fargo Securities, US Bancorp, Citigroup Purchased from: Merrill Lynch Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Enterprise Products Operating LLC 1.250% due 8/13/2015 Purchase/Trade Date: 8/6/2012 Offering Price of Shares: $99.941 Total Amount of Offering: $650,000,000 Amount Purchased by Fund: $115,000 Percentage of Offering Purchased by Fund: 0.018 Percentage of Fund's Total Assets: 0.22 Brokers: Citigroup, Barclays, BofA Merrill Lynch, Deutsche Bank Securities, Mizuho Securities, SunTrust Robinson Humphrey, DNB Markets, RBS, Scotiabank, Wells Fargo Securities, Credit Suisse, Mitsubishi UFJ Securities, Morgan Stanley, RBC Capital Markets, UBS Investment Bank, US Bancorp Purchased from: Barclays Capital Inc. Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Bank of Montreal 1.400% due 9/11/2017 Purchase/Trade Date: 9/4/2012 Offering Price of Shares: $99.846 Total Amount of Offering: $1,000,000,000 Amount Purchased by Fund: $195,000 Percentage of Offering Purchased by Fund: 0.020 Percentage of Fund's Total Assets: 0.38 Brokers: BMO Capital Markets Corp., Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Inc., Morgan Stanley & Co. Inc., Wells Fargo Securities LLC, Barclays Capital, Goldman Sachs & Co., HSBC Securities, JP Morgan Securities, RBS Securities Inc., UBS Securities LLC Purchased from: Merrill Lynch Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Wellpoint Inc. 1.875% due 1/15/2018 Purchase/Trade Date: 9/5/2012 Offering Price of Shares: $99.772 Total Amount of Offering: $625,000,000 Amount Purchased by Fund: $240,000 Percentage of Offering Purchased by Fund: 0.038 Percentage of Fund's Total Assets: 0.46 Brokers: Citigroup, Credit Suisse, Deutsche Bank Securities, BofA Merrill Lynch, UBS Investment Bank, Wells Fargo Securities, JP Morgan, Morgan Stanley, SunTrust Robinson Humphrey, US Bancorp, BB& T Capital Markets, BNY Mellon Capital Makrets, LLC, Fifth Third Securities, Inc., Huntington Investment Company, Mitsubishi UFJ Securities, Mizuho Securities, PNC Capital Markets LLC, SMBC Nikko Purchased from: Credit Suisse Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Vodafone Group PLC 1.250% due 9/26/2017 Purchase/Trade Date: 9/19/2012 Offering Price of Shares: $99.691 Total Amount of Offering: $1,000,000,000 Amount Purchased by Fund: $275,000 Percentage of Offering Purchased by Fund: 0.028 Percentage of Fund's Total Assets: 0.53 Brokers: Barclays, Goldman Sachs & Co. Mitsubishi UFJ Securities, Morgan Stanley Purchased from: Barclays Capital Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Canadian Imperial Bank of Commerce 0.950% due 10/1/2015 Purchase/Trade Date: 9/24/2012 Offering Price of Shares: $99.970 Total Amount of Offering: $1,000,000,000 Amount Purchased by Fund: $150,000 Percentage of Offering Purchased by Fund: 0.015 Percentage of Fund's Total Assets: 0.29 Brokers: CIBC World Markets, Citigroup Global Markets Inc., UBS Securities LLC, Wells Fargo Securities LLC, Barclays Capital, Credit Suisse Securities USA LLC, Deutsche Bank Securities Inc., Goldman Sachs & Co., HSBC Securities, JP Morgan Securities, Merrill Lynch, Pierce, Fenner & Smith Inc., Morgan Stanley & Co. Inc. Purchased from: Wells Fargo Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Credit Agricole SA 3.000% due 10/1/2017 Purchase/Trade Date: 9/24/2012 Offering Price of Shares: $99.982 Total Amount of Offering: $1,000,000,000 Amount Purchased by Fund: $250,000 Percentage of Offering Purchased by Fund: 0.025 Percentage of Fund's Total Assets: 0.48 Brokers: Credit Agricole SA, Deutsche Bank Securities Inc., JP Morgan Securities, Morgan Stanley Purchased from: Deutsche Bank Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Hyundai Capital America Inc. 2.125% due 10/2/2017 Purchase/Trade Date: 9/24/2012 Offering Price of Shares: $99.863 Total Amount of Offering: $500,000,000 Amount Purchased by Fund: $255,000 Percentage of Offering Purchased by Fund: 0.051 Percentage of Fund's Total Assets: 0.49 Brokers: Citigroup, JP Morgan, Morgan Stanley Purchased from: JP Morgan Securities Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: GDF Suez S.A. 1.625% due 10/10/2017 Purchase/Trade Date: 10/2/2012 Offering Price of Shares: $99.352 Total Amount of Offering: $750,000,000 Amount Purchased by Fund: $225,000 Percentage of Offering Purchased by Fund: 0.030 Percentage of Fund's Total Assets: 0.44 Brokers: JP Morgan, RBS, BofA Merrill Lynch, Citigroup, Mitsubishi UFJ Securities, BNP Paribas, Credit Agricole CIB, Natixis, Societe Generale Purchased from: JP Morgan Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Unitedhealth Group Incorporated 1.400% due 10/15/2017 Purchase/Trade Date: 10/17/2012 Offering Price of Shares: $99.880 Total Amount of Offering: $625,000,000 Amount Purchased by Fund: $85,000 Percentage of Offering Purchased by Fund: 0.014 Percentage of Fund's Total Assets: 0.17 Brokers: JP Morgan, BofA Merrill Lynch, Goldman, Sachs & Co., Morgan Stanley, UBS Investment Bank, Wells Fargo Securities, Barclays Capital, BNY Mellon Capital Markets, LLC, Citigroup, Deutsche Bank Securities, RBS, US Bancorp, BB&T Capital Markets, BMO Capital Marktes, Credit Suisse, Fifth Third Securities, Inc., KeyBanc Capital Markets, Loop Capital Markets, PNC Capital Markets LLC Purchased from: JP Morgan Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Unitedhealth Group Incorporated 2.750% due 2/15/2023 Purchase/Trade Date: 10/17/2012 Offering Price of Shares: $99.842 Total Amount of Offering: $625,000,000 Amount Purchased by Fund: $55,000 Percentage of Offering Purchased by Fund: 0.009 Percentage of Fund's Total Assets: 0.11 Brokers: JP Morgan, BofA Merrill Lynch, Goldman, Sachs & Co., Morgan Stanley, UBS Investment Bank, Wells Fargo Securities, Barclays Capital, BNY Mellon Capital Markets, LLC, Citigroup, Deutsche Bank Securities, RBS, US Bancorp, BB&T Capital Markets, BMO Capital Markets, Credit Suisse, Fifth Third Securities, Inc., KeyBanc Capital Markets, Loop Capital Markets, PNC Capital Markets LLC Purchased from: JP Morgan Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Verizon Communications Inc. 1.100% due 11/1/2017 Purchase/Trade Date: 11/2/2012 Offering Price of Shares: $99.788 Total Amount of Offering: $500,000,000 Amount Purchased by Fund: $225,000 Percentage of Offering Purchased by Fund: 0.045 Percentage of Fund's Total Assets: 0.45 Brokers: Barclays, BofA Merrill Lynch, JP Morgan, RBS, Citigroup, Goldman, Sachs & Co., RBC Capital Markets, Wells Fargo Securities, Credit Suisse, Deutsche Bank Securities, Mitsubishi UFJ Securities, Mizuho Securities, Santander, UBS Investment Bank, Lloyds Securities, SMBC Nikko, US Bancorp Purchased from: Royal Bank of Scotland Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Abbvie Inc. 1.200% due 11/5/2015 Purchase/Trade Date: 11/5/2012 Offering Price of Shares: $99.933 Total Amount of Offering: $3,500,000,000 Amount Purchased by Fund: $255,000 Percentage of Offering Purchased by Fund: 0.007 Percentage of Fund's Total Assets: 0.51 Brokers: Morgan Stanley, Barclays, BofA Merrill Lynch, JP Morgan, BNP Paribas, Societe Generale, Deutsche Bank Securities, RBS, Banca IMI, Goldman, Sachs & Co., Handelsbanken Capital Markets, HSBC, ING, Loop Capital Markets, Mitsubishi UFJ Securities, Mizuho Securities, RBC Capital Markets, Santander, Standard Chartered Bank, UBS Investment Bank, US Bancorp, The Williams Capital Group, L.P. Purchased from: JP Morgan Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Abbvie Inc. 1.750% due 11/6/2017 Purchase/Trade Date: 11/5/2012 Offering Price of Shares: $99.791 Total Amount of Offering: $4,000,000,000 Amount Purchased by Fund: $265,000 Percentage of Offering Purchased by Fund: 0.007 Percentage of Fund's Total Assets: 0.53 Brokers: Morgan Stanley, Barclays, BofA Merrill Lynch, JP Morgan, Deutsche Bank Securities, RBS, BNP Paribas, Societe Generale, Banca IMI, Goldman, Sachs & Co., Handelsbanken Capital Markets, HSBC, ING, Loop Capital Markets, Mitsubishi UFJ Securities, Mizuho Securities, RBC Capital Markets, Santander, Standard Chartered Bank, UBS Investment Bank, US Bancorp, The Williams Capital Group, L.P. Purchased from: Barclays Capital Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Principal Financial Group Inc. 1.850% due 11/15/2017 Purchase/Trade Date: 11/13/2012 Offering Price of Shares: $99.896 Total Amount of Offering: $300,000,000 Amount Purchased by Fund: $110,000 Percentage of Offering Purchased by Fund: 0.037 Percentage of Fund's Total Assets: 0.22 Brokers: Credit Suisse, Deutsche Bank Securities, Goldman Sachs & Co., UBS Investment Bank, BofA Merrill Lynch, Morgan Stanley, HSBC, RBS, Santander, The Williams Capital Group, L.P., Wells Fargo Securities Purchased from: UBS Securities Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Turlock Corporation (to be merged with and into Eaton) 1.500% due 11/2/2017 Purchase/Trade Date: 11/14/2012 Offering Price of Shares: $99.891 Total Amount of Offering: $1,000,000,000 Amount Purchased by Fund: $215,000 Percentage of Offering Purchased by Fund: 0.022 Percentage of Fund's Total Assets: 0.43 Brokers: Citigroup, Morgan Stanley, BofA Merrill Lynch, Deutsche Bank Securities, JP Morgan Purchased from: JP Morgan Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Amazon.com Inc. 1.200% due 11/29/2017 Purchase/Trade Date: 11/26/2012 Offering Price of Shares: $99.513 Total Amount of Offering: $1,000,000,000 Amount Purchased by Fund: $185,000 Percentage of Offering Purchased by Fund: 0.019 Percentage of Fund's Total Assets: 0.37 Brokers: Morgan Stanley, Goldman, Sachs & Co., HSBC, BofA Merrill Lynch Purchased from: Goldman Sachs Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Intel Corp. 1.350% due 12/15/2017 Purchase/Trade Date: 12/4/12 Offering Price of Shares: $99.894 Total Amount of Offering: $3,000,000,000 Amount Purchased by Fund: $125,000 Percentage of Offering Purchased by Fund: 0.004 Percentage of Fund's Total Assets: 0.25 Brokers: BofA Merrill Lynch, JP Morgan, Credit Suisse, Morgan Stanley, Needham & Company, Wells Fargo Securities Purchased from: Merrill Lynch Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO. Securities Purchased: Precision Castparts Corp. 0.700% due 12/20/2015 Purchase/Trade Date: 12/17/2012 Offering Price of Shares: $99.970 Total Amount of Offering: $500,000,000 Amount Purchased by Fund: $50,000 Percentage of Offering Purchased by Fund: 0.010 Percentage of Fund's Total Assets: 0.10 Brokers: BofA Merrill Lynch, Citigroup, Wells Fargo Securities, Mizuho Securities, US Bancorp, Mitsubishi UFJ Securities, PNC Capital Markets LLC, JP Morgan, Barclays, BNY Mellon Capital Markets, LLC, Sc otiabank Purchased from: Merrill Lynch Firm Commitment Underwriting: YES Issuer has over three years of continuous operations*: YES Percent of offering purchased by Fund and all other accounts advised by the adviser is less than 25%: YES The underwriting commission, spread and profit is reasonable and fair compared to the underwritings of similar securities: YES * Muni issuers must also have an investment grade rating from at least one NRSRO; or if less than three years of continuous operations, must have one of the three highest rating categories from at least one NRSRO.