EX-99.77O RULE 10F-3 5 rule10f3.htm rule10f3.htm
 
   
Transactions effected pursuant to Rule 10F3.
                               
     
R.J.
Involved?
Form
Rec'd?
Yrs. In
Business:
    Security:   Date of
Purchase:
Date Offering
commenced:
Purchase
price:
  
Commission:
Securities
acquired
from:
Share amount
purchased
$ Amount
purchased:
Total
Offering:
  
Spread
 
EIEF
Secondary Offering
No
N/A
N/A
Erste Group Bank AG AG NPV
November 17, 2009
November 17, 2009
29.00
  
Auerbach Grayson
3,789
$109,881
  
0.00%
 
EIEF
Secondary Offering
No
N/A
N/A
Manulife Financial Corp Com NPV
November 19, 2009
November 19, 2009
19.00
  
Scotia Capital
3,295
$62,605
  
0.00%
 
EIEF
IPO
No
N/A
N/A
CFAO NPV
December 2, 2009
December 2, 2009
26 EUR
  
Goldman Sachs
2,397
62,322 EUR
  
#VALUE!
 
EIEF
Secondary Offering
No
N/A
N/A
Mitsubishi UFJ Fin Grp. Inc. NPV
December 14, 2009
December 22, 2009
428.00
  
Morgan Stanley
16,500
$7,062,000
  
0.00%
 
EIEF
IPO
No
  N/A
N/A
China Pacific Insurance GR-H
December 18, 2010
December 18, 2010
28.00 HKD
4,872
UBS Stamford
17,400
492,603.05 HKD
  
#VALUE!
 
 
EIEF
Secondary Offering
No
N/A
N/A
Continental AG NPV
January 12, 2010
January 12, 2010
40 EUR
  
JP Morgan LDN
291
11,640 EUR
  
#VALUE!
 
EIEF
IPO
  No
N/A
N/A
UNITED CO RUSAL COMSTK
January 22, 2010
January 22, 2010
10.8 HKD
  
CSFB Europe London
96,000
1,048,298.11 HDK
    #VALUE!
 
EIEF
IPO
No
N/A
N/A
Brenntag AG NPV
March 29, 2010
March 29, 2010
50 EUR
  
Goldman Sachs & Co.
545
$27,250
  
#VALUE!
   EIEF  Secondary
Offering		  No  N/A  N/A  Hypermarcas S.A. COM NPV  April 1, 2010  April 1, 2010  21.00 BRL    CSFB Europe London  3,204  67,284 BRL    #VALUE!
   EIEF
IPO
  No
N/A
N/A
 Amadeus IT Hldgs SA EURO .001
April 28, 2010
April 28, 2010
  11.00 EUR  
Morgan Stanley
  4,691  51,601 EUR    
#VALUE!
 
EIEF
IPO
No
N/A
N/A
Grupo Commercial Chedraui SA
April 30, 2010
April 30, 2010
34 MXN
  
Lazard
532
18,088 MXN
  
#VALUE!
   EIEF  IPO  No  N/A  N/A
Indofood CBP Sukses Makmur
September 21, 2010
September 21, 2010
5,395.00 IDR
  
CSFB Europe LTD.
46,500
$251,971,317
  
#VALUE!
 
EIEF
IPO
No
N/A
N/A
Pandora A/S DKK1
October 5, 2010
October 5, 2010
210.00
  
Morgan Stanley
1,701
$357,210
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Shell Int'l Fin 1.875% 03/25/13
March 18, 2010
March 18, 2010
99.88
  
Barclays
250,000
$249,703
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
FHLB 1.125% 05/18/12
March 18, 2010
March 18, 2010
99.96
  
Castle Oak
500,000
$499,820
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Anheuser-Busch 3.625% 4/15/2015
March 24, 2010
March 24, 2010
99.80
  
Bank of America
250,000
$249,493
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
PSEG Power LLC 2.50% 4/15/2013
March 29, 2010
March 29, 2010
99.89
  
Morgan Stanley
250,000
$249,723
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
FPL Group Capital Inc. 2.55% 11/15/2013
May 13, 2010
May 13, 2010
99.93
  
Barclays
250,000
$249,835
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
L-3 Communications Corp. 4.75% 7/15/2020
May 18, 2010
May 18, 2010
99.68
  
Bank America
250,000
$249,198
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Intl BK Recon Develop
May 18, 2010
May 18, 2010
99.55
  
Cr Suis 1st Bost
900,000
$895,914
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Asian Development Bank 1.625% 7/15/2013
May 26, 2010
May 26, 2010
99.63
  
UBS Financial
250,000
$249,065
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Nordic Investment Bank 2.5 % 7/15/2015
May 27, 2010
May 27, 2010
99.76
  
Cr Suis 1st Bost
500,000
$498,800
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Providence of Ontario 2.7% 06/16/15
June 9, 2010
June 9, 2010
99.95
  
Barclays
250,000
$249,885
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
TEVA Pharmaceutical Finance III, LLC
June 15, 2010
June 15, 2010
99.88
  
Cr Suis 1st Bost
500,000
$499,380
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Inter-America Dev Bank 2.25% 7/15/2015
June 18, 2010
June 18, 2010
99.43
  
Morgan Stanley
500,000
$497,130
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Bank of Montreal 2.125% 06/28/2013
June 21, 2010
June 21, 2010
99.94
  
Morgan Stanley
250,000
$249,855
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Covidien Int'l Fi 2.8% 06/15/2015
June 21, 2010
June 21, 2010
99.81
  
Morgan Stanley
250,000
$249,530
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Campbell Soup Co. 3.05% 7/15/2017
June 30, 2010
June 30, 2010
99.71
  
Barclays
250,000
$249,278
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Oracle Corp. 3.875% 07/15/2010
July 12, 2010
July 12, 2010
99.78
  
Bank of America
500,000
$498,895
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Bank of Nova Scotia 1.45% 7/26/2013
July 15, 2010
July 15, 2010
99.86
  
Barclays
500,000
$499,300
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Noble Holding Intl Ltd. 3/45% 08/01/2015
July 21, 2010
July 21, 2010
100.00
  
Barclays
250,000
$250,000
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Toronto Dominion Bank 2.20% 7/29/2015
July 22, 2010
July 22, 2010
99.86
  
RBS Securities
1,000,000
$998,590
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
FDIC 2010-R1-A 2. 18405/25/50
July 28, 2010
July 28, 2010
100.00
  
Deutsche Bank
1,000,000
$999,975
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
IBM Corp 1.00% 08/05/2013
August 2, 2010
August 2, 2010
99.59
  
Barclays
250,000
$248,978
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Omnicom Group, Inc. 4.45% 08/15/2020
August 2, 2010
August 2, 2010
99.65
  
Chase Sec TX
250,000
$249,135
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Sara Lee Corp 2.75% 09/15/2015
August 30, 2010
August 30, 2010
99.94
  
Bank America
250,000
$249,848
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
KFW Notes 2.75% 09/08/2020
August 31, 2010
August 31, 2010
99.29
  
Deutsche Bank
750,000
$744,675
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Landwirtch Rentenbank Mtn ISIN 2.375% 09/13/17
September 2, 2010
September 2, 2010
99.44
  
Morgan Stanley
250,000
$248,593
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Allergan Inc. 3.375% 9/15/2020
September 7, 2010
September 7, 2010
99.70
  
Bank America
500,000
$498,485
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
AON Corp. 3.5% 09/30/2015
September 7, 2010
September 7, 2010
99.52
  
Cr Suis 1st Bost
250,000
$248,793
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Hewlett-Packard Co.
September 8, 2010
September 8, 2010
100.00
  
Citigroup
500,000
$500,000
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Symantec Corp 2.75% 09/15/2015
September 13, 2010
September 13, 2010
99.94
  
Morgan Stanley
500,000
$499,675
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Fiserv Inc.3.125% BDS 10/01/2015
September 14, 2010
September 14, 2010
99.77
  
Wachovia Securities
250,000
$249,433
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Mattel, Inc. 4.35% BDS 10/01/2020
September 23, 2010
September 23, 2010
99.78
  
Bank of America
250,000
$249,438
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Stadshypotek AB 1.45% 09/30/2013
September 23, 2010
September 23, 2010
99.98
  
Morgan Stanley
1,000,000
$999,800
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Celgene Corp 2.45% 10/15/2015
October 4, 2010
October 4, 2010
99.85
  
Morgan Stanley
500,000
$499,270
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
DNB NOR Boligkredit AS 2.1% 10/14/2015
October 6, 2010
October 6, 2010
99.91
  
Barclays Bank
1,000,000
$999,100
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Private Export Funding 2.25% 12/15/2017
October 6, 2010
October 6, 2010
99.75
  
RBS Securities Inc.
625,000
$623,444
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Raytheon Company 1.625% 10/15/2015
October 13, 2010
October 13, 2010
99.56
  
Credit Suisse 1st Bos
500,000
$497,810
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
E-Bay Inc SR NT 1.625% 10/15/2015
October 21, 2010
October 21, 2010
99.63
  
Banc of America SEC LLC
250,000
$249,075
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Rio Tinto Fin(USA) 1.875% BDS 11/02/2015
October 28, 2010
October 28, 2010
99.92
  
Morgan Stanley
250,000
$249,798
  
0.00%
 
EIGB
New Issue
No
N/A
N/A
Colgate-Palmolive Co. 2.95% MTN 11/01/2020
October 29, 2010
October 29, 2010
98.33
  
Citigroup Global Markets Inc/Salomon
250,000
$245,825
  
0.00%
 
EMCG
IPO
Yes
Yes
30+
CBOE Holdings, Inc.
June 15, 2010
June 15, 2010
29.00
1.1745
Green Street Advisors
10,000
$290,000
339,300,000.00
4.05%
 
ESCG
IPO
No
N/A
N/A
Fortinet, Inc.
November 18, 2009
November 18, 2009
12.50
  
Morgan Stanley
9,245
$115,563
  
0.00%
 
ESCG
Secondary Offering
No
N/A
N/A
American Axle and Manu. Hldgs.
December 10, 2009
December 10, 2009
7.20
  
JP Morgan Chase
245,927
$1,770,674
  
0.00%
 
ESCG
Secondary Offering
No
N/A
N/A
American Axle and Manu. Hldgs.
December 10, 2009
December 10, 2009
7.20
  
McDonald & Co.
984
$7,085
  
0.00%
 
ESCG
Secondary Offering
No
N/A
N/A
Arvinmeritor, Inc.
February 26, 2010
February 26, 2010
10.50
  
JP Morgan Chase
89,031
$934,826
  
0.00%
 
ESCG
IPO
Yes
Yes
20+
SS&C Technologies, Inc.
March 31, 2010
March 31, 2010
15.00
  
J.P. Morgan Chase & Co.
9,044
$135,660
  
0.00%
 
ESCV
Secondary Offering
No
N/A
N/A
SWS Group, Inc.
December 4, 2009
December 4, 2009
11.50
  
Merrill Lynch
15,200
$174,800
  
0.00%
 
ESCV
Secondary Offering
No
N/A
N/A
Cowen Group Inc.
December 15, 2009
December 15, 2009
5.00
  
Credit Suisse Cash Desk
30,565
$152,825
  
0.00%
 
ESCV
Secondary Offering
No
N/A
N/A
Cowen Group Inc.
December 15, 2009
December 15, 2009
5.00
  
Sandler O'Neil
3,670
$18,350
  
0.00%
 
ESCV
IPO
No
N/A
N/A
Kraton Performance Polymers
December 17, 2009
December 17, 2009
13.50
  
Credit Suisse 1st Boston
18,305
$247,118
  
0.00%
 
ESCV
Secondary Offering
No
N/A
N/A
Government Properties Income Tr
January 15, 2010
January 15, 2010
21.50
  
Janney Montgomery
3,695
$79,443
  
0.00%
 
ESCV
Secondary Offering
Yes
Yes
5+
First Financial Bancorp
January 28, 2010
January 28, 2010
15.14
0.4542
Barclays Capital
2,105
$31,870
85,000,000.00
3.00%
 
ESCV
Secondary Offering
No
N/A
N/A
Crude Carriers, Corp.
March 12, 2010
March 12, 2010
19.00
  
UBS Stepouts
15,920
$302,480
  
0.00%