EX-99.77O 3 rule-10f3.txt
TRANSACTIONS EFFECTED PURSUANT TO RULE 10F3. DATE SHARE Series DATE OF OFFERING PURCHASE SECURITIES AMOUNT AMOUNT # FUND SECURITY: PURCHASE COMMENCED PRICE COMMISSION ACQUIRED FROM PURCHASED PURCHASED 1 ESCG Colfax Corp. 5/8/2008 5/8/2008 $ 18.00 Merrill Lynch 3,940 $ 70,920.00 1 ESCG MFA Mortgage Investments 5/29/2008 5/29/2008 $ 6.95 JMP Securities 1,965 $ 13,656.75 Inc 1 ESCG MFA Mortgage Investments 5/29/2008 5/29/2008 $ 6.95 Morgan Stanley 78,625 $ 546,443.75 Inc 1 ESCG Macrovision Solutions Corp. 6/6/2008 6/6/2008 $ 14.55 JP Morgan 9,675 $ 140,771.25 1 ESCG Britannia Bulk Holdings Inc. 6/18/2008 6/18/2008 $ 15.00 Base Bank of America 42,871 $ 643,065.00 1 ESCG Shuffle Master, Inc. 7/22/2008 7/22/2008 $ 4.25 Deutsche Bank 319,860 $ 1,359,405.00 1 ESCG Waste Connections 9/25/2008 9/25/2008 $ 32.50 0.78 JP Morgan Chase 17,010 $ 552,825.00 1 ESCG Community BK SYS INC COM 10/3/2008 10/3/2008 $ 20.75 0.68 Janney Montgomery 21,255 $ 441,041.25 1 ESCG Berkshire Hills Bancorp Inc. 10/9/2008 10/9/2008 $ 24.00 SDLR Sandler Oneil 21,467 $ 515,208.00 1 ESCG First Commonwealth Finl Corp 10/31/2008 10/31/2008 $ 10.00 Keefe Bruyette 97,630 $ 976,300.00 1 ESCG First Commonwealth Finl Corp 10/31/2008 10/31/2008 $ 10.00 Keefe Bruyette 30,000 $ 300,000.00 5 EMCS Waste Connections 9/25/2008 9/25/2008 $ 32.50 0.78 JP Morgan Chase 329,965 $ 10,723,862.50 5 EMCS Waste Connections 9/25/2008 9/25/2008 $ 32.50 0.78 First Analysis 12,435 $ 404,137.50 5 EMCS Reinsurance Group America 10/30/2008 10/30/2008 $ 33.89 Morgan Stanley 94,070 $ 3,188,032.30 Inc. 6 EMCG Equitable Res. Inc. 5/7/2008 5/7/2008 $ 67.75 Deutsche Bank Securities 5,630 $ 381,432.50 6 EMCG GT Solar International Inc. 7/24/2008 7/24/2008 $ 16.50 Credit Suis 1st Boston 20,280 $ 334,620.00 6 EMCG Waste Connections 9/25/2008 9/25/2008 $ 32.50 0.78 JP Morgan Chase 37,465 $ 1,217,612.50