EX-99.77O RULE 10F-3 14 10f3certsequity.txt Schedule A TRANSACTIONS SUBJECT TO RULE 10f-3 PROCEDURES Fund: Transamerica Long/Short Strategy Security: See Attached Issuer: See Attached Offering Type: US Registered
In Compliance REQUIRED INFORMATION ANSWER APPLICABLE RESTRICTION (Yes/No) ------------------------ ------------- ------------------------------ ------------- 1. Offering Date See Attached None YES 2. Trade Date See Attached Must be the same as #1 YES 3. Unit Price of Offering See Attached None YES 4. Price Paid per Unit See Attached Must not exceed #3 YES 5. Years of Issuer's More than 3 Must be at least three years * YES Operations 6. Underwriting Type Firm Must be firm YES 7. Underwriting Spread See Attached Sub-Adviser determination to YES be made 8. Total Price paid by the See Attached None YES Fund 9. Total Size of Offering See Attached None 10. Total Price Paid by the See Attached #10 divided by #9 must not YES Fund plus Total Price exceed 25% ** Paid for same securities purchased by the same Sub-Adviser for other investment companies 11. Underwriter(s) from whom See attached Must not include Sub-Adviser YES the Fund purchased affiliates *** (attach a list of all syndicate members) 12. If the affiliate was Yes Must be "Yes" or "N/A" YES lead or co-lead manager, was the instruction listed below given to the broker(s) named in #11? ****
The Sub-Adviser has no reasonable cause to believe that the underwriting commission, spread or profit is NOT reasonable and fair compared to underwritings of similar securities during a comparable period of time. In determining which securities are comparable, the Sub-Adviser has considered the factors set forth in the Fund's 10f-3 procedures. /s/ Anna K. Jensen ------------------------------------ Anna K. Jensen, Vice President J.P. Morgan Investment Management, Inc. * Not applicable to munis. In the case of munis, (i) the issue must have one investment grade rating or (ii) if the issuer or the revenue source has been in operation for less than three years, the issue must have one of the three highest ratings. Circle (i) or (ii), whichever is met. ** If an eligible Rule 144A offering, must not exceed 25% of the total amount of same class sold to QIBs in the Rule 144A offering PLUS the amount of the offering of the same class in any concurrent public offering *** For munis purchased from syndicate manager, check box to confirm that the purchase was not designated as a group sale. [ ] **** The Sub-Adviser's affiliate cannot receive any credit for the securities purchased on behalf of the Fund. Schedule A TRANSACTIONS SUBJECT TO RULE 10f-3 PROCEDURES Fund: Transamerica Mid Cap Value Security: See Attached Issuer: See Attached Offering Type: US Registered
In Compliance REQUIRED INFORMATION ANSWER APPLICABLE RESTRICTION (Yes/No) ------------------------ ------------- ------------------------------ ------------- 1. Offering Date See Attached None YES 2. Trade Date See Attached Must be the same as #1 YES 3. Unit Price of Offering See Attached None YES 4. Price Paid per Unit See Attached Must not exceed #3 YES 5. Years of Issuer's More than 3 Must be at least three years * YES Operations 6. Underwriting Type Firm Must be firm YES 7. Underwriting Spread See Attached Sub-Adviser determination to YES be made 8. Total Price paid by the See Attached None YES Fund 9. Total Size of Offering See Attached None 10. Total Price Paid by the See Attached #10 divided by #9 must not YES Fund plus Total Price exceed 25% ** Paid for same securities purchased by the same Sub-Adviser for other investment companies 11. Underwriter(s) from whom See attached Must not include Sub-Adviser YES the Fund purchased affiliates *** (attach a list of all syndicate members) 12. If the affiliate was Yes Must be "Yes" or "N/A" YES lead or co-lead manager, was the instruction listed below given to the broker(s) named in #11? ****
The Sub-Adviser has no reasonable cause to believe that the underwriting commission, spread or profit is NOT reasonable and fair compared to underwritings of similar securities during a comparable period of time. In determining which securities are comparable, the Sub-Adviser has considered the factors set forth in the Fund's 10f-3 procedures. /s/ Anna K. Jensen ------------------------------------ Anna K. Jensen, Vice President J.P. Morgan Investment Management, Inc. * Not applicable to munis. In the case of munis, (i) the issue must have one investment grade rating or (ii) if the issuer or the revenue source has been in operation for less than three years, the issue must have one of the three highest ratings. Circle (i) or (ii), whichever is met. ** If an eligible Rule 144A offering, must not exceed 25% of the total amount of same class sold to QIBs in the Rule 144A offering PLUS the amount of the offering of the same class in any concurrent public offering *** For munis purchased from syndicate manager, check box to confirm that the purchase was not designated as a group sale. [ ] **** The Sub-Adviser's affiliate cannot receive any credit for the securities purchased on behalf of the Fund.