EX-99.77O 7 ex770-por.txt RULE 10F-3 ACQUISITION OF SECURITIES Exhibit 99.77.O
------------------------------------------------------------------------------------------------------------------------ Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002 ------------------------------------------------------------------------------------------------------------------------ DeAM Scudder Income Fund ------------------------------------------------------------------------------------------------------------------------ Security Purchased Comparison Security Comparison Security ------------------------------------------------------------------------------------------------------------------------ Issuer METALDYNE CORP SUN INTERNATIONAL HOTELS ENCOMPASS SERVICES CORP ------------------------------------------------------------------------------------------------------------------------ JP Morgan, BofA, Banc One, Credit, Lyonnais, CSFB,DBSI,JP Morgan,Comercia Credit Suisse, DBAB, First Underwriters Sec.,Nat City Invest. Wachovia Bear Stearns, DBAB Union, Merrill, Salomon Smith ------------------------------------------------------------------------------------------------------------------------ Years of continuous > 3 years > 3 years > 3 years operation, including predecessors ------------------------------------------------------------------------------------------------------------------------ Security METALD 11%,6/15/2012 SIHUS 8.875,% 8/15/2011 ESR 10.5%,5/1/2009 ------------------------------------------------------------------------------------------------------------------------ Is the affiliate a manager or co-manager of offering? Co-Manager Co-Manager Co-Manager ------------------------------------------------------------------------------------------------------------------------ Name of underwriter or dealer from which purchased CSFB n/a n/a ------------------------------------------------------------------------------------------------------------------------ Firm commitment underwriting? yes yes yes ------------------------------------------------------------------------------------------------------------------------ Trade date/Date of Offering 6/13/2002 8/9/2001 6/14/2001 ------------------------------------------------------------------------------------------------------------------------ Total dollar amount of offering sold to QIBs $ 250,000,000 $ 200,000,000 $ 135,000,000 ------------------------------------------------------------------------------------------------------------------------ Total dollar amount of any concurrent public offering $ - $ - ------------------------------------------------------------------------------------------------------------------------ Total $ 250,000,000 $ 200,000,000 $ 135,000,000 ------------------------------------------------------------------------------------------------------------------------ Public offering price 100.00 100.00 98.26 ------------------------------------------------------------------------------------------------------------------------ Price paid if other than public offering price n/a n/a n/a ------------------------------------------------------------------------------------------------------------------------ Underwriting spread or commission 3% 3% 3% ------------------------------------------------------------------------------------------------------------------------ Rating B3/B Ba3/B+ B2/B+ ------------------------------------------------------------------------------------------------------------------------ Current yield 11.00% 8.88% 10.84% ------------------------------------------------------------------------------------------------------------------------ Total par value purchased 165,000 n/a n/a ------------------------------------------------------------------------------------------------------------------------ $ amount of purchase 165,000 n/a n/a ------------------------------------------------------------------------------------------------------------------------ % of offering purchased by fund 0.07% n/a n/a ------------------------------------------------------------------------------------------------------------------------ % of offering purchased by associated funds 4.63% n/a n/a ------------------------------------------------------------------------------------------------------------------------ Total 4.70% n/a n/a ------------------------------------------------------------------------------------------------------------------------ --------------------------------------------------------------------------------------------------------------------------------- Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002 DeAM Scudder Income Fund --------------------------------------------------------------------------------------------------------------------------------- Security Purchased Comparison Security Comparison Security --------------------------------------------------------------------------------------------------------------------------------- Issuer KANSAS CITY SOUTHERN LAND O LAKES INC STATION CASINOS INC --------------------------------------------------------------------------------------------------------------------------------- BofA, DBAB, Dresdner Kleinwort Morgan Stanley,Banc One,DBSI,JP JP Morgan, Bank of Tokyo, asserstein, Bear Stearns, CIBC Underwriters Morgan,Scotia Capital Suntrust, US Bancorp W World, Wells Fargo, ABN Amro --------------------------------------------------------------------------------------------------------------------------------- Years of continuous operation, including predecessors > 3 years > 3 years > 3 years --------------------------------------------------------------------------------------------------------------------------------- Security KSU 7.5%,6/15/2009 LLAKES 8.75%, 11/15/2011 STN 8.375,% 2/15/2008 --------------------------------------------------------------------------------------------------------------------------------- Is the affiliate a manager or co-manager of offering? Co-Manager n/a Co-Manager --------------------------------------------------------------------------------------------------------------------------------- Name of underwriter or dealer from which purchased Morgan Stanley n/a n/a --------------------------------------------------------------------------------------------------------------------------------- Firm commitment underwriting? yes yes yes --------------------------------------------------------------------------------------------------------------------------------- Trade date/Date of Offering 6/5/2002 11/8/2001 2/2/2001 --------------------------------------------------------------------------------------------------------------------------------- Total dollar amount of offering sold to QIBs $200,000,000 $350,000,000 --------------------------------------------------------------------------------------------------------------------------------- Total dollar amount of any concurrent public offering $- $- $400,000,000 --------------------------------------------------------------------------------------------------------------------------------- Total $200,000,000 $350,000,000 $400,000,000 --------------------------------------------------------------------------------------------------------------------------------- Public offering price 100.00 100.00 100.00 --------------------------------------------------------------------------------------------------------------------------------- Price paid if other than public offering price n/a n/a n/a --------------------------------------------------------------------------------------------------------------------------------- Underwriting spread or commission 1.75% 2% 1.50% --------------------------------------------------------------------------------------------------------------------------------- Rating Ba2/BB- Ba3/BB Ba3/BB- --------------------------------------------------------------------------------------------------------------------------------- Current yield 7.50% 8.75% 8.375% --------------------------------------------------------------------------------------------------------------------------------- Total par value purchased 90,000 n/a n/a --------------------------------------------------------------------------------------------------------------------------------- $ amount of purchase 90,000 n/a n/a --------------------------------------------------------------------------------------------------------------------------------- % of offering purchased by fund 0.05% n/a n/a --------------------------------------------------------------------------------------------------------------------------------- % of offering purchased by associated funds 3.42% n/a n/a --------------------------------------------------------------------------------------------------------------------------------- Total 3.468% n/a n/a --------------------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------------- Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002 DeAM Scudder Income Fund -------------------------------------------------------------------------------------------------------------------------- Security Purchased Comparison Security Comparison Security -------------------------------------------------------------------------------------------------------------------------- Issuer ENCORE ACQUISITION CO COMPASS MINERALS GROUP STEWART ENTERPRISES -------------------------------------------------------------------------------------------------------------------------- Underwriters DBSI,CSFB,BNP,Comercia Bank,Fleet,Fortis,Frost Credit Suisse, JP Morgan, BofA, DBAB, Credit Securities,Goldman,Wachovia Credit Lyonnais, DBAB Lyonnais, Suntrust -------------------------------------------------------------------------------------------------------------------------- Years of continuous operation, including predecessors > 3 years > 3 years > 3 years -------------------------------------------------------------------------------------------------------------------------- Security EAC 8.375%,6/15/2012 COMPAS 10%,8/15/2011 STEI 10.75%,7/1/2008 -------------------------------------------------------------------------------------------------------------------------- Is the affiliate a manager or co-manager of offering? Co-Manager Co-Manager Co-Manager -------------------------------------------------------------------------------------------------------------------------- Name of underwriter or dealer from which purchased CSFB n/a n/a -------------------------------------------------------------------------------------------------------------------------- Firm commitment underwriting? yes yes yes -------------------------------------------------------------------------------------------------------------------------- Trade date/Date of Offering 6/19/2002 11/15/2001 6/19/2001 -------------------------------------------------------------------------------------------------------------------------- Total dollar amount of offering sold to QIBs $150,000,000 $ 250,000,000 $ 300,000,000 -------------------------------------------------------------------------------------------------------------------------- Total dollar amount of any concurrent public offering $ - $ - $ - -------------------------------------------------------------------------------------------------------------------------- Total $ 150,000,000 $ 250,000,000 $ 300,000,000 -------------------------------------------------------------------------------------------------------------------------- Public offering price 100.00 100.00 100.00 -------------------------------------------------------------------------------------------------------------------------- Price paid if other than public offering price n/a n/a n/a -------------------------------------------------------------------------------------------------------------------------- Underwriting spread or commission 2.50% 2.6% 2.75% -------------------------------------------------------------------------------------------------------------------------- Rating B2/B B3/B B2/B -------------------------------------------------------------------------------------------------------------------------- Current yield 8.38% 10.00% 10.75% -------------------------------------------------------------------------------------------------------------------------- Total par value purchased 55,000 n/a n/a -------------------------------------------------------------------------------------------------------------------------- $ amount of purchase 55,000 n/a n/a -------------------------------------------------------------------------------------------------------------------------- % of offering purchased by fund 0.04% n/a n/a -------------------------------------------------------------------------------------------------------------------------- % of offering purchased by associated funds 0.66% n/a n/a -------------------------------------------------------------------------------------------------------------------------- Total 0.70% n/a n/a -------------------------------------------------------------------------------------------------------------------------- --------------------------------------------------------------------------------------------------------------------------------- Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002 DeAM Scudder Income Fund --------------------------------------------------------------------------------------------------------------------------------- Security Purchased Comparison Security Comparison Security --------------------------------------------------------------------------------------------------------------------------------- Issuer ARVINMERITOR DANA CORPORATION SMITHFIELD FOODS INC --------------------------------------------------------------------------------------------------------------------------------- Underwriters DBAB, JP Morgan, BancofA, Bony, DBSI,Merrill Lynch, BofA, Banc Credit Suisse, HSBC, Salomon, One, Comercia, Credit Lyonnais, BNP, Comerica, First Union, HSBC Securities, UBS McDonald, TD, UBS JP Morgan --------------------------------------------------------------------------------------------------------------------------------- Years of continuous operation, including predecessors > 3 years > 3 years > 3 years --------------------------------------------------------------------------------------------------------------------------------- Security ARM 6.625%,6/15/2007 DCN 9%, 8/15/2011 SFD 8%, 10/15/2009 --------------------------------------------------------------------------------------------------------------------------------- Is the affiliate a manager or co-manager of offering? Manager Co-Manager 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 6/26/2002 8/1/2001 10/17/2001 --------------------------------------------------------------------------------------------------------------------------------- Total dollar amount of offering sold to QIBs $ - $ 575,000,000 $ 300,000,000 --------------------------------------------------------------------------------------------------------------------------------- Total dollar amount of any concurrent public offering $200,000,000 $ - --------------------------------------------------------------------------------------------------------------------------------- Total $200,000,000 $ 575,000,000 $ 300,000,000 --------------------------------------------------------------------------------------------------------------------------------- Public offering price 99.68 100.00 100.00 --------------------------------------------------------------------------------------------------------------------------------- Price paid if other than public offering price n/a n/a n/a --------------------------------------------------------------------------------------------------------------------------------- Underwriting spread or commission 1.375% 1.625% 1.50% --------------------------------------------------------------------------------------------------------------------------------- Rating Baa3/BBB- Ba1/BBB- Ba2/BB+ --------------------------------------------------------------------------------------------------------------------------------- Current yield 6.65% 9.00% 8.00% --------------------------------------------------------------------------------------------------------------------------------- Total par value purchased 3,125,000 n/a n/a --------------------------------------------------------------------------------------------------------------------------------- $ amount of purchase 3,115,125 n/a n/a --------------------------------------------------------------------------------------------------------------------------------- % of offering purchased by 1.56% n/a n/a fund --------------------------------------------------------------------------------------------------------------------------------- % of offering purchased by 3.14% n/a n/a associated funds --------------------------------------------------------------------------------------------------------------------------------- Total 4.705% n/a n/a --------------------------------------------------------------------------------------------------------------------------------- SECURITIES PURCHASED PURSUANT TO RULE 10f-3 Name of Fund Scudder Income Fund ------------------------------------------------------------------------------------------------------------------------------ Security Purchased Comparison Security Comparison Security ------------------------------------------------------------------------------------------------------------------------------ Cusip 397624AA5 20451BAA5 827048AC ------------------------------------------------------------------------------------------------------------------------------ Issuer GREIF BROS CORPORATION COMPASS MINERALS GROUP SILGAN HOLDINGS INC ------------------------------------------------------------------------------------------------------------------------------ DBSI, Salomon, Huntington Corp, ING, Keybank, Merrill, Credit Suisse, JP Morgan, DBAB, Morgan Stanley, Underwriters Natcity, Suntrust, US Bancorp Credit Lyonnais, DBAB Salomon, Fleet ------------------------------------------------------------------------------------------------------------------------------ Years of continuous operation, including predecessors > 3 years > 3 years > 3 years ------------------------------------------------------------------------------------------------------------------------------ Security GBCOA 8.875%,8/1/2012 COMPAS 10%,8/15/2011 SLGN 9%,6/1/2009 ------------------------------------------------------------------------------------------------------------------------------ Is the affiliate a manager or co-manager of offering? Joint Lead Co-man Jt. Lead ------------------------------------------------------------------------------------------------------------------------------ Name of underwriter or dealer from which purchased Salomon Brothers n/a n/a ------------------------------------------------------------------------------------------------------------------------------ Firm commitment underwriting? yes yes yes ------------------------------------------------------------------------------------------------------------------------------ Trade date/Date of Offering 7/25/2002 11/15/2001 4/23/2002 ------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------ Total dollar amount of $ 250,000,000 $ 250,000,000 $ 200,000,000 offering sold to QIBs ------------------------------------------------------------------------------------------------------------------------------ Total dollar amount of any $ - $ - $ - concurrent public offering ------------------------------------------------------------------------------------------------------------------------------ Total $ 250,000,000 $ 250,000,000 $ 200,000,000 ------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------ Public offering price 99.19 100.00 103.00 ------------------------------------------------------------------------------------------------------------------------------ Price paid if other than n/a n/a n/a public offering price ------------------------------------------------------------------------------------------------------------------------------ Underwriting spread or 2.08% 2.6% 1.75% commission ------------------------------------------------------------------------------------------------------------------------------ Rating B2/B+ B3/B B1/B ------------------------------------------------------------------------------------------------------------------------------ Current yield 8.95% 10.00% 8.74% ------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------ Total par value purchased 85,000 n/a n/a ------------------------------------------------------------------------------------------------------------------------------ $ amount of purchase 84,308 n/a n/a ------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------ % of offering purchased by 0.034% n/a n/a fund ------------------------------------------------------------------------------------------------------------------------------ % of offering purchased by 3.95% n/a n/a associated funds ------------------------------------------------------------------------------------------------------------------------------ Total 3.98% n/a n/a ------------------------------------------------------------------------------------------------------------------------------ SECURITIES PURCHASED PURSUANT TO RULE 10f-3 Name of Fund Scudder High Yield Opportunity ------------------------------------------------------------------------------------------------------------------------------ Security Purchased Comparison Security Comparison Security ------------------------------------------------------------------------------------------------------------------------------ Cusip 397624AA5 20451BAA5 827048AC ------------------------------------------------------------------------------------------------------------------------------ Issuer GREIF BROS CORPORATION COMPASS MINERALS GROUP SILGAN HOLDINGS INC ------------------------------------------------------------------------------------------------------------------------------ DBSI, Salomon, Huntington Corp, ING, Keybank, Merrill, Credit Suisse, JP Morgan, DBAB, Morgan Stanley, Underwriters Natcity, Suntrust, US Bancorp Credit Lyonnais, DBAB Salomon, Fleet ------------------------------------------------------------------------------------------------------------------------------ Years of continuous operation, including predecessors > 3 years > 3 years > 3 years ------------------------------------------------------------------------------------------------------------------------------ Security GBCOA 8.875%,8/1/2012 COMPAS 10%,8/15/2011 SLGN 9%,6/1/2009 ------------------------------------------------------------------------------------------------------------------------------ Is the affiliate a manager or co-manager of offering? Joint Lead C0-Man Jt-Lead ------------------------------------------------------------------------------------------------------------------------------ Name of underwriter or dealer from which purchased Salomon Brothers n/a n/a ------------------------------------------------------------------------------------------------------------------------------ Firm commitment underwriting? yes yes yes ------------------------------------------------------------------------------------------------------------------------------ Trade date/Date of Offering 7/25/2002 11/15/2001 4/23/2002 ------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------ Total dollar amount of offering sold to QIBs $ 250,000,000 $ 250,000,000 $ 200,000,000 ------------------------------------------------------------------------------------------------------------------------------ Total dollar amount of any $ - $ - $ - concurrent public offering ------------------------------------------------------------------------------------------------------------------------------ Total $ 250,000,000 $ 250,000,000 $ 200,000,000 ------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------ Public offering price 99.19 100.00 103.00 ------------------------------------------------------------------------------------------------------------------------------ Price paid if other than public offering price n/a n/a n/a ------------------------------------------------------------------------------------------------------------------------------ Underwriting spread or commission 2.08% 2.6% 1.75% ------------------------------------------------------------------------------------------------------------------------------ Rating B2/B+ B3/B B1/B ------------------------------------------------------------------------------------------------------------------------------ Current yield 8.95% 10.00% 8.74% ------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------ Total par value purchased 405,000 n/a n/a ------------------------------------------------------------------------------------------------------------------------------ $ amount of purchase 401,703 n/a n/a ------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------ % of offering purchased by fund 0.16% n/a n/a ------------------------------------------------------------------------------------------------------------------------------ % of offering purchased by associated funds 3.82% n/a n/a ------------------------------------------------------------------------------------------------------------------------------ Total 3.98% n/a n/a ------------------------------------------------------------------------------------------------------------------------------