EX-99.77O 7 ex770-sec.txt Exhibit 99.77.O
------------------------------------------------------------------------------------------------------------------------ Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002 DeAM Scudder Development Fund ------------------------------------------------------------------------------------------------------------------------ Security Purchased Comparison Security Comparison Security ------------------------------------------------------------------------------------------------------------------------ Issuer Altiris Inc Netflix Inc. Commerce One Inc. ------------------------------------------------------------------------------------------------------------------------ CS First Boston, US Bancorp Merrill Lynch, Thomas Piper Jaffray, BancBoston Weisel, US Bancorp Piper Robertson Stephens, AG Jaffray, Allen & Co. SG Edwards, Invemed Assos, Moor Credit Suisse First Cowen, Utendahl Capital & Cabot, Charles Schwab, Underwriters Boston, UBS,Deutsche Bank Partners SoundView Technology. ------------------------------------------------------------------------------------------------------------------------ Years of continuous operation, including predecessors > 3 years > 3 years > 3 years ------------------------------------------------------------------------------------------------------------------------ Security Common Stock Common Stock Common Stock ------------------------------------------------------------------------------------------------------------------------ Is the affiliate a manager or co-manager of offering? Co-Manager N/A N/A ------------------------------------------------------------------------------------------------------------------------ Name of underwriter or dealer from which purchased Credit Suisse First Boston N/A N/A ------------------------------------------------------------------------------------------------------------------------ Firm commitment underwriting? Yes Yes Yes ------------------------------------------------------------------------------------------------------------------------ Trade date/Date of Offering 5/22/2002 5/22/2002 5/5/1999 ------------------------------------------------------------------------------------------------------------------------ Total dollar amount of offering sold to QIBs $- ------------------------------------------------------------------------------------------------------------------------ Total dollar amount of any concurrent public offering $ 50,000,000 $82,500,000.00 $69,300,000.00 ------------------------------------------------------------------------------------------------------------------------ Total $ 50,000,000 $82,500,000.00 $69,300,000.00 ------------------------------------------------------------------------------------------------------------------------ Public offering price 10.00 $15.00 $21.00 ------------------------------------------------------------------------------------------------------------------------ Price paid if other than public offering price N/A N/A N/A ------------------------------------------------------------------------------------------------------------------------ Realized Gain/Loss on Sale of Security ($12,874.82) N/A N/A ------------------------------------------------------------------------------------------------------------------------ Unrealized Gain/Loss at 6/30/02 N/A N/A N/A ------------------------------------------------------------------------------------------------------------------------ Underwriting spread or commission 7.00% 7.00% 7.00% ------------------------------------------------------------------------------------------------------------------------ Total shares purchased 13,000 N/A N/A ------------------------------------------------------------------------------------------------------------------------ $ amount of purchase 130,000 N/A N/A ------------------------------------------------------------------------------------------------------------------------ % of offering purchased by fund 0.26% N/A N/A ------------------------------------------------------------------------------------------------------------------------ % of offering purchased by associated funds 0.96% N/A N/A ------------------------------------------------------------------------------------------------------------------------ Total 1.22% N/A N/A ------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------- Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002 DeAM Scudder Development Fund ------------------------------------------------------------------------------------------------------------------------------- Security Purchased Comparison Security Comparison Security ------------------------------------------------------------------------------------------------------------------------------- Issuer Premcor Inc. Sunoco Logistics ExpressJet ------------------------------------------------------------------------------------------------------------------------------- Morgan Stanley & Co, Credit Credit Suisse First Suisse First Boston, Goldman Boston, Banc of America, CS First Boston, Merrill Lynch, Sachs, Deutsche Bank, Bear Goldman Sachs, Deutsche Raymond James, Saloman Smith Underwriters Sterns. Salomon Smith Barney Bank Barney ------------------------------------------------------------------------------------------------------------------------------- Years of continuous operation, including predecessors > 3 years > 3 Years > 3 years ------------------------------------------------------------------------------------------------------------------------------- Security Common Stock Common Units Common Stock ------------------------------------------------------------------------------------------------------------------------------- Is the affiliate a manager or co-manager of offering? Co-Manager No No ------------------------------------------------------------------------------------------------------------------------------- Name of underwriter or dealer from which purchased Morgan Stanley & Co N/A N/A ------------------------------------------------------------------------------------------------------------------------------- Firm commitment underwriting? Yes N/A N/A ------------------------------------------------------------------------------------------------------------------------------- Trade date/Date of Offering 4/26/2002 2/8/2002 4/23/2002 ------------------------------------------------------------------------------------------------------------------------------- Total dollar amount of offering sold to QIBs N/A N/A N/A ------------------------------------------------------------------------------------------------------------------------------- Total dollar amount of any concurrent public offering $345,000,000.00 $101,250,000.00 $480,000,000.00 ------------------------------------------------------------------------------------------------------------------------------- Total $345,000,000.00 $101,250,000.00 $480,000,000.00 ------------------------------------------------------------------------------------------------------------------------------- Public offering price $24.00 $20.25 $16.00 ------------------------------------------------------------------------------------------------------------------------------- Realized Gain/Loss on Sale of Security $89,430.00 N/A N/A ------------------------------------------------------------------------------------------------------------------------------- Unrealized Gain/Loss at 6/30/02 N/A N/A N/A ------------------------------------------------------------------------------------------------------------------------------- Price paid if other than public offering price N/A N/A N/A ------------------------------------------------------------------------------------------------------------------------------- Underwriting spread or commission 6.25% 6.70% 6.38% ------------------------------------------------------------------------------------------------------------------------------- Total shares purchased 27,100 N/A N/A ------------------------------------------------------------------------------------------------------------------------------- $ amount of purchase $650,400 N/A N/A ------------------------------------------------------------------------------------------------------------------------------- % of offering purchased by fund 0.15% N/A N/A ------------------------------------------------------------------------------------------------------------------------------- % of offering purchased by associated funds 0.41% N/A N/A ------------------------------------------------------------------------------------------------------------------------------- Total 0.56% N/A N/A ------------------------------------------------------------------------------------------------------------------------------- ------------------------------------------------------------------------------------------------------------------------------- Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002 DeAM Scudder Development Fund ------------------------------------------------------------------------------------------------------------------------------- Security Purchased Comparison Security Comparison Security ------------------------------------------------------------------------------------------------------------------------------- Issuer Heritage Property Investors Weingarten Realty Pan Pacific Retail PPTYS Inc Investors ------------------------------------------------------------------------------------------------------------------------------- Merrill Lynch, Deutsche Bank, Golman Sachs, Morgan Stanley, Prudential Securities, UBS Warburg, Legg Mason, Bancamerica, Donaldson Lufkin Underwriters Wachovia Securities Edward D. Jones & Co. Stephens, Salomon Smith Barney ------------------------------------------------------------------------------------------------------------------------------- Years of continuous operation, including predecessors > 3 years > 3 years > 3 years ------------------------------------------------------------------------------------------------------------------------------- Security Common Stock Common Stock Common Stock ------------------------------------------------------------------------------------------------------------------------------- Is the affiliate a manager or co-manager of offering? Syndicate Member N/A N/A ------------------------------------------------------------------------------------------------------------------------------- Name of underwriter or dealer from which purchased Merrill Lynch N/A N/A ------------------------------------------------------------------------------------------------------------------------------- Firm commitment underwriting? Yes Yes Yes ------------------------------------------------------------------------------------------------------------------------------- Trade date/Date of Offering 4/22/2002 5/7/2001 5/18/1998 ------------------------------------------------------------------------------------------------------------------------------- Total dollar amount of offering sold to QIBs $ - ------------------------------------------------------------------------------------------------------------------------------- Total dollar amount of any concurrent public offering $ 450,000,000 $ 25,710,000 $ 42,250,000 ------------------------------------------------------------------------------------------------------------------------------- Total $ 450,000,000 $ 25,710,000 $ 42,250,000 ------------------------------------------------------------------------------------------------------------------------------- Public offering price $ 25.000 $ 48.850 $ 21.125 ------------------------------------------------------------------------------------------------------------------------------- Realized Gain/Loss on Sale of Security $1,772.34 N/A N/A ------------------------------------------------------------------------------------------------------------------------------- Unrealized Gain/Loss at 6/30/02 N/A N/A N/A ------------------------------------------------------------------------------------------------------------------------------- Price paid if other than public offering price N/A N/A N/A ------------------------------------------------------------------------------------------------------------------------------- Underwriting spread or commission 6.25% 5.00% 5.25% ------------------------------------------------------------------------------------------------------------------------------- Total shares purchased 27,100 N/A N/A ------------------------------------------------------------------------------------------------------------------------------- $ amount of purchase $677,500 N/A N/A ------------------------------------------------------------------------------------------------------------------------------- % of offering purchased by fund 0.15% N/A N/A ------------------------------------------------------------------------------------------------------------------------------- % of offering purchased by associated funds 0.41% N/A N/A ------------------------------------------------------------------------------------------------------------------------------- Total 0.56% N/A N/A -------------------------------------------------------------------------------------------------------------------------------