EX-99.77O 2 exh99-770.txt
IPO TRANSACTIONS EFFECTED PURSUANT TO RULE 10F3. DATE Series R.J. FORM YRS IN. DATE OF OFFERING PURCHASE # FUND: INVOLVED REC'D? BUSINESS: SECURITY PURCHASE: COMMENCED: PRICE: COMMISSION: 1 HST-SC IPO No N/A N/A Giant Interactive Group 1-Nov-07 1-Nov-07 $ 15.50 1 HST-SC IPO No N/A N/A Giant Interactive Group 1-Nov-07 1-Nov-07 $ 15.50 1 HST-SC IPO Yes Yes 3+ Yrs. Neutral Tandem Inc. 1-Nov-07 1-Nov-07 $ 14.00 0.588 1 HST-SC IPO No N/A N/A American Public Education 9-Nov-07 9-Nov-07 $ 20.00 1 HST-SC IPO No N/A N/A American Public Education 9-Nov-07 9-Nov-07 $ 20.00 1 HST-SC IPO No N/A N/A Chimera Investment Corp 16-Nov-07 16-Nov-07 $ 15.00 1 HST-SC IPO No N/A N/A Chimera Investment Corp 16-Nov-07 16-Nov-07 $ 15.00 1 HST-SC IPO No N/A N/A K12 Incorporated 13-Dec-07 13-Dec-07 $ 18.00 1 HST-SC Offering No N/A N/A American Public Education 14-Feb-08 14-Feb-08 $ 35.50 3 HST-Int'l IPO No N/A N/A Hamburger Hafen UND Logistik AG NPv 5-Nov-07 5-Nov-07 $ 53.00 3 HST-Int'l IPO No N/A N/A Novorossiysk Sea Trade Port Spon GDR Repr 1 Ord Shs 144A 6-Nov-07 6-Nov-07 $ 19.20 3 HST-Int'l IPO No N/A N/A Sanofi-Aventis EUR2 15-Nov-07 15-Nov-07 60.5 EUR 3 HST-Int'l IPO No N/A N/A DP World LTD COM 21-Nov-07 21-Nov-07 $ 1.30 3 HST-Int'l IPO No N/A N/A Iberdrola Renovables SA EUR.5 12-Dec-07 12-Dec-07 5.3 EUR 3 HST-Int'l IPO No N/A N/A SUEZ EUR2 14-Jan-08 14-Jan-08 $ 45.00 3 HST-Int'l IPO No N/A N/A Open Investments GDR Reach Repr 1/8 ORD RVB 1000 30-Jan-08 30-Jan-08 34.00
IPO TRANSACTIONS EFFECTED PURSUANT TO RULE 10F3. (cont'd) Series SECURITIES SHARE AMOUNT AMOUNT TOTAL # FUND: ACQUIRED FROM: PURCHASED: PURCHASED: OFFERING: 1 HST-SC IPO CIBC Oppenheimer 340 5,270.00 886,560,000.00 1 HST-SC IPO UBS Securities 25,325 392,537.50 886,560,000.00 1 HST-SC IPO Morgan Stanley 3,280 45,920.00 93,098,600.00 1 HST-SC IPO First Analysis 165 3,300.00 93,750,000.00 1 HST-SC IPO William Blair 2,455 49,100.00 93,750,000.00 1 HST-SC IPO Merrill Lynch 97,648 1,464,720.00 500,000,000.00 500,000,000.00 1 HST-SC IPO Keefe Bruyette 1,952 29,280.00 500,000,000.00 1 HST-SC IPO Cr Suis 1st Bost 4,030 72,540.00 108,000,000.00 1 HST-SC Offering William Blair 31,350 1,112,925.00 93,750,000.00 3 HST-Int'l IPO JP Morgan LDN 1,012 53,636.00 1,017,600,000.00 3 HST-Int'l IPO Troika 12,647 242,822.40 864,000,000.00 3 HST-Int'l IPO JP Morgan LDN 7,714 466,697 EUR 1,501,240,000.00 3 HST-Int'l IPO Deutsch Bank Cash Desk 258,666 336,265.80 4,963,400,000.00 3 HST-Int'l IPO JP Morgan 57,396 304198.8 EUR 4,070,463,000.00 3 HST-Int'l IPO Deutsch Bank Cash Desk 2,569 115605 EUR 1,105,120,000.00 3 HST-Int'l IPO Troika 9,847 342,676.60 490,680,000.00