EX-99.77O RULE 10F-3 5 variablelimitedduration.txt VARIABLE LIMITED DURATION 10F-3 Morgan Stanley Variable Investment Series - Limited Duration Portfolio Item 77O- Transactions effected pursuant to Rule 10f-3 Securities Purchased: Oracle Corp. 2.375% due 1/15/2019 Purchase/Trade Date: 7/9/2013 Offering Price of Shares: $99.652 Total Amount of Offering: $1,500,000,000 Amount Purchased by Fund: $130,000 Percentage of Offering Purchased by Fund: 0.009 Percentage of Fund's Total Assets: 0.29 Brokers: BofA Merrill Lynch, Credit Suisse, HSBC, Citigroup, JP Morgan, Wells Fargo Securities, Mizuho Securities, Morgan Stanley, RBC Capital Markets 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: National Australia Bank Limited 2.300% due 7/25/2018 Purchase/Trade Date: 7/18/2013 Offering Price of Shares: $99.948 Total Amount of Offering: $750,000,000 Amount Purchased by Fund: $255,000 Percentage of Offering Purchased by Fund: 0.034 Percentage of Fund's Total Assets: 0.58 Brokers: Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, nabSecurities, 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: American Express Credit Corporation 1.300% due 7/29/2016 Purchase/Trade Date: 7/24/2013 Offering Price of Shares: $99.977 Total Amount of Offering: $1,000,000,000 Amount Purchased by Fund: $175,000 Percentage of Offering Purchased by Fund: 0.018 Percentage of Fund's Total Assets: 0.40 Brokers: Barclays Capital, Citigroup Global Markets Inc., Deutsche Bank Securities Inc., Wells Fargo Securities, LLC, Mitsubishi UFJ Securities (USA) Inc., Mizuho Securities, nabSecurities, LLC, U.S. Bancorp Investments Inc., ANZ Securities, Inc., TD Securities (USA) LLC, The Williams Capital Group, L.P., CastleOak Securities, L.P., Lebenthal & Co., LLC, Samuel A. Ramirez & Company, Inc. 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: Daimler Finance North America LLC 2.375% due 8/1/2018 Purchase/Trade Date: 7/24/2013 Offering Price of Shares: $99.752 Total Amount of Offering: $1,250,000,000 Amount Purchased by Fund: $250,000 Percentage of Offering Purchased by Fund: 0.020 Percentage of Fund's Total Assets: 0.56 Brokers: BNP Paribas Securities Corp., Citigroup Global Markets Inc., Deutsche Bank Securities Inc., HSBC Securities (USA) Inc., Mitsubishi UFJ Securities (USA), Inc. Purchased from: Deutsche Bank 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: Baidu, Inc. 3.250% due 8/6/2018 Purchase/Trade Date: 7/30/2013 Offering Price of Shares: $99.835 Total Amount of Offering: $1,000,000,000 Amount Purchased by Fund: $225,000 Percentage of Offering Purchased by Fund: 0.023 Percentage of Fund's Total Assets: 0.51 Brokers: JP Morgan, Goldman Sachs (Asia) L.L.C., ANZ, Bank of China, Morgan Stanley 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: Viacom Inc. 2.500% due 9/1/2018 Purchase/Trade Date: 8/12/2013 Offering Price of Shares: $99.423 Total Amount of Offering: $500,000,000 Amount Purchased by Fund: $175,000 Percentage of Offering Purchased by Fund: 0.035 Percentage of Fund's Total Assets: 0.40 Brokers: BofA Merrill Lynch, Citigroup, JP Morgan, RBS, Deutsche Bank Securities, Morgan Stanley, Wells Fargo Securities, BNP Paribas, Mizuho Securities, RBC Capital Markets, SMBC Nikko, Guggenheim Securities, Lloyds Securities, US Bancorp, BNY Mellon Capital Markets, LLC, The Williams Capital Grouo, L.P., Santander, Banca IMI 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: Fifth Third Auto Trust A3 0.880% due 10/16/2017 Purchase/Trade Date: 8/14/2013 Offering Price of Shares: $99.982 Total Amount of Offering: $389,000,000 Amount Purchased by Fund: $169,000 Percentage of Offering Purchased by Fund: 0.043 Percentage of Fund's Total Assets: 0.39 Brokers: Barclays, Citigroup, Credit Suisse, JP Morgan, Morgan Stanley, RBS 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: Abbey National Treasury Services 3.050% due 8/23/2018 Purchase/Trade Date: 8/20/2013 Offering Price of Shares: $99.779 Total Amount of Offering: $1,000,000,000 Amount Purchased by Fund: $120,000 Percentage of Offering Purchased by Fund: 0.012 Percentage of Fund's Total Assets: 0.28 Brokers: Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. LLC, Santander Investment Securities Inc., Wells Fargo 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: The Southern Company 2.450% due 9/1/2018 Purchase/Trade Date: 8/21/2013 Offering Price of Shares: $99.798 Total Amount of Offering: $500,000,000 Amount Purchased by Fund: $110,000 Percentage of Offering Purchased by Fund: 0.022 Percentage of Fund's Total Assets: 0.25 Brokers: JP Morgan, Morgan Stanley, US Bancorp, Wells Fargo Securities 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: The Toronto-Dominion Bank 2.625% due 9/10/2018 Purchase/Trade Date: 9/5/2013 Offering Price of Shares: $99.819 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: 0.52 Brokers: TD Securities, Citigroup, Goldman, Sachs & Co., Morgan Stanley Purchased from: Citibank 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 Auto Receivables Trust A3 1.010% due 2/15/2018 Purchase/Trade Date: 9/11/2013 Offering Price of Shares: $99.982 Total Amount of Offering: $419,000,000 Amount Purchased by Fund: $145,000 Percentage of Offering Purchased by Fund: 0.035 Percentage of Fund's Total Assets: 0.33 Brokers: JP Morgan, BNP Paribas, Citigroup, Societe Generale, Mitsubishi UFJ Securities, Mizuho Securities, RBC Capital Markets, RBS, SMBC Nikko, TD Securities 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. 3.650% due 9/14/2018 Purchase/Trade Date: 9/11/2013 Offering Price of Shares: $99.996 Total Amount of Offering: $4,750,000,000 Amount Purchased by Fund: $200,000 Percentage of Offering Purchased by Fund: 0.004 Percentage of Fund's Total Assets: 0.46 Brokers: Barclays, BofA Merrill Lynch, JP Morgan, Morgan Stanley, Citigroup, Credit Suisse, Mitsubishi UFJ Securities, Mizuho Securities, RBC Capital Markets, RBS, Wells Fargo Securities, Deutsche Bank Securities, Santander 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: World Omni Automobile Lease A3 1.090% due 12/15/2016 Purchase/Trade Date: 9/11/2013 Offering Price of Shares: $99.984 Total Amount of Offering: $215,000,000 Amount Purchased by Fund: $113,000 Percentage of Offering Purchased by Fund: 0.053 Percentage of Fund's Total Assets: 0.26 Brokers: Credit Suisse, BofA Merrill Lynch, Morgan Stanley 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: Commonwealth Bank of Australia 2.500% due 9/20/2018 Purchase/Trade Date: 9/16/2013 Offering Price of Shares: $99.897 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: 0.58 Brokers: Citigroup Global Markets Inc., JP Morgan Securities LLC, Morgan Stanley & Co. LLC, Commonwealth bank of Australia Purchased from: Citibank 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: Ventas Realty LP 1.550% due 9/26/2016 Purchase/Trade Date: 9/23/2013 Offering Price of Shares: $99.910 Total Amount of Offering: $550,000,000 Amount Purchased by Fund: $100,000 Percentage of Offering Purchased by Fund: 0.018 Percentage of Fund's Total Assets: 0.23 Brokers: BofA Merrill Lynch, Goldman, Sachs & Co., JP Morgan, UBS Investment Bank, Barclays, Credit Agricole CIB, Morgan Stanley, Jefferies, RBC Capital Markets, RBS, TD Securities, Wells Fargo Securities, BB&T Capital Markets, BBVA, BNP Paribas, Fifth Third Securities, Inc., Mitsubishi UFJ Securities, SMBC Nikko, The Williams Capital Group, L.P. 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: Edwards Lifesciences Corp. 2.875% due 10/15/2018 Purchase/Trade Date: 9/24/2013 Offering Price of Shares: $99.498 Total Amount of Offering: $600,000,000 Amount Purchased by Fund: $50,000 Percentage of Offering Purchased by Fund: 0.008 Percentage of Fund's Total Assets: 0.11 Brokers: BofA Merrill Lynch, Goldman, Sachs & Co., Morgan Stanley, JP Morgan, Wells Fargo Securities, Deutsche Bank Securities, HSBC, Mitsubishi UFJ Securities, Mizuho Securities, US Bank 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: Wells Fargo & Co. 2.150% due 1/15/2019 Purchase/Trade Date: 10/21/2013 Offering Price of Shares: $99.781 Total Amount of Offering: $1,500,000,000 Amount Purchased by Fund: $120,000 Percentage of Offering Purchased by Fund: 0.008 Percentage of Fund's Total Assets: 0.28 Brokers: Wells Fargo Securities, LLC, Citigroup Global Markets Inc., Credit Suisse Securities (USA) LLC, Goldman, Sachs & Co., JP Morgan Securities LLC, Morgan Stanley & Co. LLC, Apto Partners, LLC, Banca IMI S.p.A., Barclays Capital Inc., BBVA Securities Inc., Blaylock Robert Van, LLC, Deutsche Bank Securities Inc., Drexel Hamilton, LLC, HSBC Securities (USA) Inc., ING Financial Markets LLC, Lebenthal & Co., LLC, Lloyds Securities Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Natixis Securities Americas LLC, RBS Securities Inc., Santander Investment Securities Inc., UBS Securities LLC 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: ABN AMRO Bank N.V. 2.500% due 10/30/2018 Purchase/Trade Date: 10/23/2013 Offering Price of Shares: $99.841 Total Amount of Offering: $1,000,000,000 Amount Purchased by Fund: $230,000 Percentage of Offering Purchased by Fund: 0.023 Percentage of Fund's Total Assets: 0.54 Brokers: Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., HSBS Securities (USA) Inc. and Morgan Stanley & Co. LLC, ABN AMRO Bank N.V. 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: Altera Corporation 2.500% due 11/15/2018 Purchase/Trade Date: 10/29/2013 Offering Price of Shares: $99.469 Total Amount of Offering: $600,000,000 Amount Purchased by Fund: $100,000 Percentage of Offering Purchased by Fund: 0.017 Percentage of Fund's Total Assets: 0.23 Brokers: BofA Merrill Lynch, Morgan Stanley, Citigroup, JP Morgan, The Williams Capital Group, L.P., US Bancorp, Scotiabank 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: Volkswagen International Finance NV 1.125% due 11/18/2016 Purchase/Trade Date: 11/13/2013 Offering Price of Shares: $99.956 Total Amount of Offering: $500,000,000 Amount Purchased by Fund: $250,000 Percentage of Offering Purchased by Fund: 0.050 Percentage of Fund's Total Assets: 0.59 Brokers: Deutsche Bank Securities, Morgan Stanley, RBC Capital Markets Purchased from: Deutsche Bank 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: Thomson Reuters Corp. 1.300% due 2/23/2017 Purchase/Trade Date: 11/14/2013 Offering Price of Shares: $99.528 Total Amount of Offering: $550,000,000 Amount Purchased by Fund: $125,000 Percentage of Offering Purchased by Fund: 0.023 Percentage of Fund's Total Assets: 0.29 Brokers: Barclays, BofA Merrill Lynch, Goldman, Sachs & Co., JP Morgan, Deutsche Bank Securities, Morgan Stanley, RBS, BMO Capital Markets, Citigroup, HSBC, RBC Capital Markets, Standard Chartered Bank, TD Securities, Wells Fargo Securities Purchased from: Barclays 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: Lloyds TSB Bank PLC 2.300% due 11/27/2018 Purchase/Trade Date: 11/20/2013 Offering Price of Shares: $99.840 Total Amount of Offering: $1,000,000,000 Amount Purchased by Fund: $200,000 Percentage of Offering Purchased by Fund: 0.020 Percentage of Fund's Total Assets: 0.47 Brokers: Goldman, Sachs & Co., JP Morgan, Lloyds Securities, Morgan Stanley, UBS Investment Bank 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: Hilton USA Trust 2013-HLT 1.169% due 11/5/2030 Purchase/Trade Date: 11/22/2013 Offering Price of Shares: $100.000 Total Amount of Offering: $393,000,000 Amount Purchased by Fund: $100,000 Percentage of Offering Purchased by Fund: 0.025 Percentage of Fund's Total Assets: 0.23 Brokers: JP Morgan, Deutsche Bank Securities, BofA Merrill Lynch, Goldman, Sachs & Co., Morgan Stanley 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: Thermo Fisher Scientific Inc. 2.400% due 2/1/2019 Purchase/Trade Date: 12/4/2013 Offering Price of Shares: $99.796 Total Amount of Offering: $900,000,000 Amount Purchased by Fund: $210,000 Percentage of Offering Purchased by Fund: 0.023 Percentage of Fund's Total Assets: 0.49 Brokers: Barclays, JP Morgan, RBS, BofA Merrill Lynch, Credit Suisse, HSBC, Morgan Stanley, SMBC Nikko, Banca IMI, BNP Paribas, BNY Mellon Capital Markets, LLC, Citigroup, KeyBanc Capital Markets, Mitsubishi UFJ Securities, Mizuho Securities, Scotiabank, US Bancorp 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: John Deere Capital Corp. 1.950% due 12/13/2018 Purchase/Trade Date: 12/10/2013 Offering Price of Shares: $99.787 Total Amount of Offering: $750,000,000 Amount Purchased by Fund: $170,000 Percentage of Offering Purchased by Fund: 0.023 Percentage of Fund's Total Assets: 0.40 Brokers: Citigroup Global Markets Inc., Goldman, Sachs & Co., Mitsubishi UFJ Securities (USA), Inc., BBVA Securities Inc., Morgan Stanley & Co.; LLC, US Bancorp Investments, Inc. Purchased from: Citibank 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.