0000898432-11-000814.txt : 20110629 0000898432-11-000814.hdr.sgml : 20110629 20110629162900 ACCESSION NUMBER: 0000898432-11-000814 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20110430 FILED AS OF DATE: 20110629 DATE AS OF CHANGE: 20110629 EFFECTIVENESS DATE: 20110629 FILER: COMPANY DATA: COMPANY CONFORMED NAME: EAGLE SERIES TRUST CENTRAL INDEX KEY: 0000897111 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-07470 FILM NUMBER: 11939271 BUSINESS ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST PETERSBURG STATE: FL ZIP: 33716 BUSINESS PHONE: 727-567-8143 MAIL ADDRESS: STREET 1: 880 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: FL ZIP: 33716 FORMER COMPANY: FORMER CONFORMED NAME: HERITAGE SERIES TRUST DATE OF NAME CHANGE: 19930714 0000897111 S000008481 Eagle Mid Cap Growth Fund C000023254 Class A HAGAX C000023256 Class C HAGCX C000023257 Class I HAGIX C000023258 Class R3 HAREX C000023259 Class R5 HARSX C000103747 Class R6 0000897111 S000008482 Eagle Small Cap Growth Fund C000023260 Class A HRSCX C000023262 Class C HSCCX C000023263 Class I HSIIX C000023264 Class R3 HSRRX C000023265 Class R5 HSRSX C000103748 Class R6 0000897111 S000008483 Eagle Mid Cap Stock Fund C000023267 Class A HMCAX C000023269 Class C HMCCX C000023270 Class I HMCJX C000023271 Class R3 HMRRX C000023272 Class R5 HMRSX C000103749 Class R6 0000897111 S000008485 Eagle Large Cap Core Fund C000023274 Class A HTCAX C000023275 Class C HTCCX C000023276 Class I HTCIX C000023277 Class R3 HTCRX C000023278 Class R5 HTCSX C000103750 Class R6 0000897111 S000008486 Eagle International Equity Fund C000023279 Class A HEIAX C000023281 Class C HEICX C000068916 Class I HEIJX C000068917 Class R-3 HEIRX C000068918 Class R-5 HEISX C000103751 Class R6 0000897111 S000023397 Eagle Small Cap Core Value Fund C000068585 Class A EGEAX C000068586 Class C EGECX C000068587 Class I EGEIX C000068588 Class R-3 EGERX C000068589 Class R-5 EGESX C000103752 Class R6 0000897111 S000026685 Eagle Investment Grade Bond Fund C000080094 Class A C000080095 Class C C000080096 Class I C000080097 Class R-3 C000080098 Class R-5 C000103753 Class R6 NSAR-A 1 answer.fil PAGE 1 000 A000000 04/30/2011 000 C000000 0000897111 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 EAGLE SERIES TRUST 001 B000000 811-7470 001 C000000 7275673526 002 A000000 880 CARILLON PARKWAY 002 B000000 ST. PETERSBURG 002 C000000 FL 002 D010000 33716 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 7 007 C010100 1 007 C020100 EAGLE SMALL CAP GROWTH FUND 007 C030100 N 007 C010200 2 007 C010300 3 007 C020300 EAGLE INTERNATIONAL EQUITY FUND 007 C030300 N 007 C010400 4 007 C010500 5 007 C020500 EAGLE MID CAP STOCK FUND 007 C030500 N 007 C010600 6 007 C020600 EAGLE MID CAP GROWTH FUND 007 C030600 N 007 C010700 7 007 C010800 8 007 C020800 EAGLE LARGE CAP CORE FUND 007 C030800 N 007 C010900 9 007 C020900 EAGLE SMALL CAP CORE VALUE FUND 007 C030900 N 007 C011000 10 007 C021000 EAGLE INVESTMENT GRADE BOND FUND 007 C031000 N 010 A00AA01 EAGLE ASSET MANAGEMENT, INC. 010 B00AA01 801-21343 010 C01AA01 ST. PETERSBURG 010 C02AA01 FL 010 C03AA01 33716 PAGE 2 011 A00AA01 EAGLE FUND DISTRIBUTORS, INC. 011 B00AA01 8-67244 011 C01AA01 ST. PETERSBURG 011 C02AA01 FL 011 C03AA01 33716 012 A00AA01 EAGLE FUND SERVICES, INC. 012 B00AA01 84-00000 012 C01AA01 ST. 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PETERSBURG 008 D020101 FL 008 D030101 33716 024 000100 N 028 A010100 77106 028 A020100 0 028 A030100 0 028 A040100 7665 028 B010100 51527 028 B020100 0 028 B030100 0 028 B040100 11250 028 C010100 57061 028 C020100 0 028 C030100 0 028 C040100 11321 028 D010100 127905 028 D020100 0 028 D030100 0 028 D040100 21979 028 E010100 68463 028 E020100 0 028 E030100 0 028 E040100 30749 028 F010100 102237 028 F020100 0 028 F030100 0 028 F040100 20560 028 G010100 484299 028 G020100 0 028 G030100 0 028 G040100 103524 028 H000100 7299 029 000100 Y 030 A000100 304 030 B000100 4.75 030 C000100 0.00 031 A000100 36 031 B000100 0 032 000100 223 033 000100 45 034 000100 Y 035 000100 2 036 A000100 N 036 B000100 0 037 000100 N 038 000100 0 039 000100 N 040 000100 Y 041 000100 Y PAGE 6 042 A000100 0 042 B000100 0 042 C000100 100 042 D000100 0 042 E000100 0 042 F000100 0 042 G000100 0 042 H000100 0 043 000100 868 044 000100 0 045 000100 Y 046 000100 N 047 000100 Y 048 000100 0.000 048 A010100 500000 048 A020100 0.600 048 B010100 500000 048 B020100 0.550 048 C010100 0 048 C020100 0.000 048 D010100 0 048 D020100 0.000 048 E010100 0 048 E020100 0.000 048 F010100 0 048 F020100 0.000 048 G010100 0 048 G020100 0.000 048 H010100 0 048 H020100 0.000 048 I010100 0 048 I020100 0.000 048 J010100 0 048 J020100 0.000 048 K010100 1000000 048 K020100 0.500 049 000100 N 050 000100 N 051 000100 N 052 000100 N 053 A000100 N 054 A000100 N 054 B000100 N 054 C000100 N 054 D000100 N 054 E000100 N 054 F000100 N 054 G000100 N 054 H000100 N 054 I000100 N 054 J000100 N PAGE 7 054 K000100 N 054 L000100 N 054 M000100 N 054 N000100 N 054 O000100 N 055 A000100 N 055 B000100 N 056 000100 Y 057 000100 N 058 A000100 N 059 000100 Y 060 A000100 Y 060 B000100 Y 061 000100 1000 062 A000100 N 062 B000100 0.0 062 C000100 0.0 062 D000100 0.0 062 E000100 0.0 062 F000100 0.0 062 G000100 0.0 062 H000100 0.0 062 I000100 0.0 062 J000100 0.0 062 K000100 0.0 062 L000100 0.0 062 M000100 0.0 062 N000100 0.0 062 O000100 0.0 062 P000100 0.0 062 Q000100 0.0 062 R000100 0.0 066 A000100 Y 066 B000100 N 066 C000100 Y 066 D000100 N 066 E000100 N 066 F000100 N 066 G000100 N 067 000100 N 068 A000100 N 068 B000100 N 069 000100 N 070 A010100 Y 070 A020100 N 070 B010100 N 070 B020100 N 070 C010100 N 070 C020100 N 070 D010100 N 070 D020100 N PAGE 8 070 E010100 Y 070 E020100 N 070 F010100 Y 070 F020100 N 070 G010100 N 070 G020100 N 070 H010100 N 070 H020100 N 070 I010100 N 070 I020100 N 070 J010100 Y 070 J020100 N 070 K010100 Y 070 K020100 N 070 L010100 Y 070 L020100 Y 070 M010100 Y 070 M020100 N 070 N010100 Y 070 N020100 N 070 O010100 N 070 O020100 N 070 P010100 N 070 P020100 N 070 Q010100 N 070 Q020100 N 070 R010100 N 070 R020100 N 071 A000100 476823 071 B000100 107649 071 C000100 741439 071 D000100 15 072 A000100 6 072 B000100 0 072 C000100 1664 072 D000100 0 072 E000100 0 072 F000100 2177 072 G000100 480 072 H000100 0 072 I000100 353 072 J000100 15 072 K000100 0 072 L000100 15 072 M000100 25 072 N000100 64 072 O000100 0 072 P000100 0 072 Q000100 28 072 R000100 20 072 S000100 20 PAGE 9 072 T000100 868 072 U000100 0 072 V000100 0 072 W000100 11 072 X000100 4076 072 Y000100 0 072 Z000100 -2412 072AA000100 11829 072BB000100 5718 072CC010100 169830 072CC020100 0 072DD010100 0 072DD020100 0 072EE000100 0 073 A010100 0.0000 073 A020100 0.0000 073 B000100 0.0000 073 C000100 0.0000 074 A000100 20579 074 B000100 0 074 C000100 0 074 D000100 0 074 E000100 0 074 F000100 1024724 074 G000100 0 074 H000100 0 074 I000100 0 074 J000100 3861 074 K000100 0 074 L000100 5215 074 M000100 92 074 N000100 1054471 074 O000100 12529 074 P000100 821 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 956 074 S000100 0 074 T000100 1040165 074 U010100 9308 074 U020100 15159 074 V010100 0.00 074 V020100 0.00 074 W000100 0.0000 074 X000100 31759 074 Y000100 0 075 A000100 0 075 B000100 754198 076 000100 0.00 PAGE 10 083 A000100 N 083 B000100 0 084 A000100 N 084 B000100 0 085 A000100 Y 085 B000100 N 008 A000301 ARTIO GLOBAL INVESTORS, INC. 008 B000301 S 008 C000301 801-34457 008 D010301 NEW YORK 008 D020301 NY 008 D030301 10017 008 A000302 EAGLE ASSET MANAGEMENT, INC. 008 B000302 A 008 C000302 801-21343 008 D010302 ST. PETERSBURG 008 D020302 FL 008 D030302 33716 024 000300 Y 025 A000301 BARCLAYS CAPITAL, INC. 025 B000301 13-4942190 025 C000301 E 025 D000301 208 025 A000302 HSBC HOLDINGS PLC 025 B000302 13-2650272 025 C000302 E 025 D000302 432 025 A000303 UBS AG 025 B000303 13-3873456 025 C000303 E 025 D000303 309 025 D000304 0 025 D000305 0 025 D000306 0 025 D000307 0 025 D000308 0 028 A010300 246 028 A020300 0 028 A030300 0 028 A040300 3501 028 B010300 301 028 B020300 1488 028 B030300 0 028 B040300 4094 028 C010300 500 028 C020300 0 028 C030300 0 028 C040300 2764 028 D010300 409 028 D020300 0 028 D030300 0 PAGE 11 028 D040300 2755 028 E010300 858 028 E020300 0 028 E030300 0 028 E040300 2492 028 F010300 538 028 F020300 0 028 F030300 0 028 F040300 2089 028 G010300 2852 028 G020300 1488 028 G030300 0 028 G040300 17695 028 H000300 288 029 000300 Y 030 A000300 11 030 B000300 4.75 030 C000300 0.00 031 A000300 1 031 B000300 0 032 000300 8 033 000300 2 034 000300 Y 035 000300 1 036 A000300 N 036 B000300 0 037 000300 N 038 000300 0 039 000300 N 040 000300 Y 041 000300 Y 042 A000300 0 042 B000300 0 042 C000300 100 042 D000300 0 042 E000300 0 042 F000300 0 042 G000300 0 042 H000300 0 043 000300 253 044 000300 0 045 000300 Y 046 000300 N 047 000300 Y 048 000300 0.000 048 A010300 100000 048 A020300 0.850 048 B010300 900000 048 B020300 0.650 048 C010300 0 048 C020300 0.000 PAGE 12 048 D010300 0 048 D020300 0.000 048 E010300 0 048 E020300 0.000 048 F010300 0 048 F020300 0.000 048 G010300 0 048 G020300 0.000 048 H010300 0 048 H020300 0.000 048 I010300 0 048 I020300 0.000 048 J010300 0 048 J020300 0.000 048 K010300 1000000 048 K020300 0.550 049 000300 N 050 000300 N 051 000300 N 052 000300 N 053 A000300 Y 053 B000300 Y 053 C000300 N 054 A000300 N 054 B000300 N 054 C000300 N 054 D000300 N 054 E000300 N 054 F000300 N 054 G000300 N 054 H000300 N 054 I000300 N 054 J000300 N 054 K000300 N 054 L000300 N 054 M000300 N 054 N000300 N 054 O000300 N 055 A000300 Y 055 B000300 N 056 000300 Y 057 000300 N 058 A000300 N 059 000300 Y 060 A000300 Y 060 B000300 Y 061 000300 1000 062 A000300 N 062 B000300 0.0 062 C000300 0.0 062 D000300 0.0 PAGE 13 062 E000300 0.0 062 F000300 0.0 062 G000300 0.0 062 H000300 0.0 062 I000300 0.0 062 J000300 0.0 062 K000300 0.0 062 L000300 0.0 062 M000300 0.0 062 N000300 0.0 062 O000300 0.0 062 P000300 0.0 062 Q000300 0.0 062 R000300 0.0 066 A000300 Y 066 B000300 N 066 C000300 Y 066 D000300 N 066 E000300 N 066 F000300 N 066 G000300 N 067 000300 N 068 A000300 N 068 B000300 Y 069 000300 N 070 A010300 Y 070 A020300 N 070 B010300 Y 070 B020300 N 070 C010300 Y 070 C020300 N 070 D010300 Y 070 D020300 N 070 E010300 Y 070 E020300 N 070 F010300 Y 070 F020300 N 070 G010300 Y 070 G020300 N 070 H010300 Y 070 H020300 N 070 I010300 N 070 I020300 N 070 J010300 Y 070 J020300 Y 070 K010300 Y 070 K020300 Y 070 L010300 Y 070 L020300 Y 070 M010300 Y 070 M020300 Y PAGE 14 070 N010300 Y 070 N020300 N 070 O010300 N 070 O020300 N 070 P010300 N 070 P020300 N 070 Q010300 N 070 Q020300 N 070 R010300 N 070 R020300 N 071 A000300 28617 071 B000300 44885 071 C000300 77689 071 D000300 37 072 A000300 6 072 B000300 0 072 C000300 575 072 D000300 0 072 E000300 0 072 F000300 328 072 G000300 58 072 H000300 0 072 I000300 63 072 J000300 106 072 K000300 0 072 L000300 5 072 M000300 25 072 N000300 48 072 O000300 0 072 P000300 0 072 Q000300 3 072 R000300 26 072 S000300 22 072 T000300 253 072 U000300 0 072 V000300 0 072 W000300 14 072 X000300 951 072 Y000300 133 072 Z000300 -243 072AA000300 6066 072BB000300 2656 072CC010300 4180 072CC020300 0 072DD010300 1590 072DD020300 0 072EE000300 0 073 A010300 0.0000 073 A020300 0.0000 073 B000300 0.0000 073 C000300 0.0000 PAGE 15 074 A000300 371 074 B000300 0 074 C000300 0 074 D000300 0 074 E000300 861 074 F000300 74968 074 G000300 0 074 H000300 0 074 I000300 269 074 J000300 1042 074 K000300 0 074 L000300 405 074 M000300 7 074 N000300 77923 074 O000300 147 074 P000300 141 074 Q000300 0 074 R010300 0 074 R020300 0 074 R030300 0 074 R040300 1167 074 S000300 0 074 T000300 76468 074 U010300 1537 074 U020300 1960 074 V010300 0.00 074 V020300 0.00 074 W000300 0.0000 074 X000300 5532 074 Y000300 0 075 A000300 0 075 B000300 77916 076 000300 0.00 083 A000300 N 083 B000300 0 084 A000300 N 084 B000300 0 085 A000300 Y 085 B000300 N 008 A000501 EAGLE ASSET MANAGEMENT, INC. 008 B000501 A 008 C000501 801-21343 008 D010501 ST. PETERSBURG 008 D020501 FL 008 D030501 33716 024 000500 N 028 A010500 18540 028 A020500 0 028 A030500 0 028 A040500 26950 028 B010500 21309 PAGE 16 028 B020500 0 028 B030500 0 028 B040500 40610 028 C010500 25357 028 C020500 0 028 C030500 0 028 C040500 39996 028 D010500 30482 028 D020500 0 028 D030500 0 028 D040500 42439 028 E010500 38854 028 E020500 0 028 E030500 0 028 E040500 177254 028 F010500 28072 028 F020500 0 028 F030500 0 028 F040500 34273 028 G010500 162614 028 G020500 0 028 G030500 0 028 G040500 361522 028 H000500 3792 029 000500 Y 030 A000500 162 030 B000500 4.75 030 C000500 0.00 031 A000500 19 031 B000500 0 032 000500 119 033 000500 24 034 000500 Y 035 000500 7 036 A000500 N 036 B000500 0 037 000500 N 038 000500 0 039 000500 N 040 000500 Y 041 000500 Y 042 A000500 0 042 B000500 0 042 C000500 100 042 D000500 0 042 E000500 0 042 F000500 0 042 G000500 0 042 H000500 0 043 000500 2225 044 000500 0 PAGE 17 045 000500 Y 046 000500 N 047 000500 Y 048 000500 0.000 048 A010500 500000 048 A020500 0.600 048 B010500 500000 048 B020500 0.550 048 C010500 0 048 C020500 0.000 048 D010500 0 048 D020500 0.000 048 E010500 0 048 E020500 0.000 048 F010500 0 048 F020500 0.000 048 G010500 0 048 G020500 0.000 048 H010500 0 048 H020500 0.000 048 I010500 0 048 I020500 0.000 048 J010500 0 048 J020500 0.000 048 K010500 1000000 048 K020500 0.500 049 000500 N 050 000500 N 051 000500 N 052 000500 N 053 A000500 N 054 A000500 N 054 B000500 N 054 C000500 N 054 D000500 N 054 E000500 N 054 F000500 N 054 G000500 N 054 H000500 N 054 I000500 N 054 J000500 N 054 K000500 N 054 L000500 N 054 M000500 N 054 N000500 N 054 O000500 N 055 A000500 N 055 B000500 N 056 000500 Y 057 000500 N 058 A000500 N PAGE 18 059 000500 Y 060 A000500 Y 060 B000500 Y 061 000500 1000 062 A000500 N 062 B000500 0.0 062 C000500 0.0 062 D000500 0.0 062 E000500 0.0 062 F000500 0.0 062 G000500 0.0 062 H000500 0.0 062 I000500 0.0 062 J000500 0.0 062 K000500 0.0 062 L000500 0.0 062 M000500 0.0 062 N000500 0.0 062 O000500 0.0 062 P000500 0.0 062 Q000500 0.0 062 R000500 0.0 066 A000500 Y 066 B000500 N 066 C000500 Y 066 D000500 N 066 E000500 N 066 F000500 N 066 G000500 N 067 000500 N 068 A000500 N 068 B000500 N 069 000500 N 070 A010500 Y 070 A020500 N 070 B010500 Y 070 B020500 N 070 C010500 Y 070 C020500 N 070 D010500 Y 070 D020500 N 070 E010500 Y 070 E020500 N 070 F010500 Y 070 F020500 N 070 G010500 Y 070 G020500 N 070 H010500 Y 070 H020500 N 070 I010500 N 070 I020500 N PAGE 19 070 J010500 Y 070 J020500 N 070 K010500 Y 070 K020500 N 070 L010500 Y 070 L020500 Y 070 M010500 Y 070 M020500 N 070 N010500 Y 070 N020500 N 070 O010500 N 070 O020500 N 070 P010500 N 070 P020500 N 070 Q010500 N 070 Q020500 N 070 R010500 N 070 R020500 N 071 A000500 1747715 071 B000500 1958670 071 C000500 1414886 071 D000500 124 072 A000500 6 072 B000500 0 072 C000500 7632 072 D000500 0 072 E000500 0 072 F000500 3944 072 G000500 969 072 H000500 0 072 I000500 967 072 J000500 33 072 K000500 0 072 L000500 60 072 M000500 25 072 N000500 81 072 O000500 0 072 P000500 0 072 Q000500 54 072 R000500 19 072 S000500 20 072 T000500 2225 072 U000500 0 072 V000500 0 072 W000500 26 072 X000500 8423 072 Y000500 0 072 Z000500 -791 072AA000500 256046 072BB000500 30658 072CC010500 0 PAGE 20 072CC020500 12996 072DD010500 0 072DD020500 0 072EE000500 0 073 A010500 0.0000 073 A020500 0.0000 073 B000500 0.0000 073 C000500 0.0000 074 A000500 0 074 B000500 0 074 C000500 0 074 D000500 0 074 E000500 0 074 F000500 1381385 074 G000500 0 074 H000500 0 074 I000500 0 074 J000500 96030 074 K000500 0 074 L000500 1918 074 M000500 70 074 N000500 1479403 074 O000500 71063 074 P000500 1636 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 2926 074 S000500 0 074 T000500 1403778 074 U010500 26166 074 U020500 22630 074 V010500 0.00 074 V020500 0.00 074 W000500 0.0000 074 X000500 66741 074 Y000500 0 075 A000500 0 075 B000500 1442043 076 000500 0.00 083 A000500 N 083 B000500 0 084 A000500 N 084 B000500 0 085 A000500 Y 085 B000500 N 008 A000601 EAGLE ASSET MANAGEMENT, INC. 008 B000601 A 008 C000601 801-21343 008 D010601 ST. PETERSBURG PAGE 21 008 D020601 FL 008 D030601 33716 024 000600 N 028 A010600 12650 028 A020600 0 028 A030600 0 028 A040600 2392 028 B010600 12376 028 B020600 0 028 B030600 0 028 B040600 4152 028 C010600 20374 028 C020600 0 028 C030600 0 028 C040600 4468 028 D010600 21281 028 D020600 0 028 D030600 0 028 D040600 5458 028 E010600 26963 028 E020600 0 028 E030600 0 028 E040600 4899 028 F010600 23846 028 F020600 0 028 F030600 0 028 F040600 4324 028 G010600 117490 028 G020600 0 028 G030600 0 028 G040600 25693 028 H000600 5626 029 000600 Y 030 A000600 220 030 B000600 4.75 030 C000600 0.00 031 A000600 27 031 B000600 0 032 000600 161 033 000600 32 034 000600 Y 035 000600 2 036 A000600 N 036 B000600 0 037 000600 N 038 000600 0 039 000600 N 040 000600 Y 041 000600 Y 042 A000600 0 042 B000600 0 PAGE 22 042 C000600 100 042 D000600 0 042 E000600 0 042 F000600 0 042 G000600 0 042 H000600 0 043 000600 573 044 000600 0 045 000600 Y 046 000600 N 047 000600 Y 048 000600 0.000 048 A010600 500000 048 A020600 0.600 048 B010600 500000 048 B020600 0.550 048 C010600 0 048 C020600 0.000 048 D010600 0 048 D020600 0.000 048 E010600 0 048 E020600 0.000 048 F010600 0 048 F020600 0.000 048 G010600 0 048 G020600 0.000 048 H010600 0 048 H020600 0.000 048 I010600 0 048 I020600 0.000 048 J010600 0 048 J020600 0.000 048 K010600 1000000 048 K020600 0.500 049 000600 N 050 000600 N 051 000600 N 052 000600 N 053 A000600 N 054 A000600 N 054 B000600 N 054 C000600 N 054 D000600 N 054 E000600 N 054 F000600 N 054 G000600 N 054 H000600 N 054 I000600 N 054 J000600 N 054 K000600 N 054 L000600 N PAGE 23 054 M000600 N 054 N000600 N 054 O000600 N 055 A000600 N 055 B000600 N 056 000600 Y 057 000600 N 058 A000600 N 059 000600 Y 060 A000600 Y 060 B000600 Y 061 000600 1000 062 A000600 N 062 B000600 0.0 062 C000600 0.0 062 D000600 0.0 062 E000600 0.0 062 F000600 0.0 062 G000600 0.0 062 H000600 0.0 062 I000600 0.0 062 J000600 0.0 062 K000600 0.0 062 L000600 0.0 062 M000600 0.0 062 N000600 0.0 062 O000600 0.0 062 P000600 0.0 062 Q000600 0.0 062 R000600 0.0 066 A000600 Y 066 B000600 N 066 C000600 Y 066 D000600 N 066 E000600 N 066 F000600 N 066 G000600 N 067 000600 N 068 A000600 N 068 B000600 N 069 000600 N 070 A010600 Y 070 A020600 N 070 B010600 Y 070 B020600 N 070 C010600 Y 070 C020600 N 070 D010600 Y 070 D020600 N 070 E010600 Y 070 E020600 N PAGE 24 070 F010600 Y 070 F020600 N 070 G010600 Y 070 G020600 N 070 H010600 Y 070 H020600 N 070 I010600 N 070 I020600 N 070 J010600 Y 070 J020600 N 070 K010600 Y 070 K020600 N 070 L010600 Y 070 L020600 Y 070 M010600 Y 070 M020600 N 070 N010600 Y 070 N020600 N 070 O010600 N 070 O020600 N 070 P010600 N 070 P020600 N 070 Q010600 N 070 Q020600 N 070 R010600 N 070 R020600 N 071 A000600 199343 071 B000600 114445 071 C000600 277519 071 D000600 41 072 A000600 6 072 B000600 0 072 C000600 948 072 D000600 0 072 E000600 0 072 F000600 840 072 G000600 203 072 H000600 0 072 I000600 123 072 J000600 8 072 K000600 0 072 L000600 7 072 M000600 25 072 N000600 54 072 O000600 0 072 P000600 0 072 Q000600 11 072 R000600 19 072 S000600 20 072 T000600 573 072 U000600 0 PAGE 25 072 V000600 0 072 W000600 12 072 X000600 1895 072 Y000600 0 072 Z000600 -947 072AA000600 27603 072BB000600 3358 072CC010600 29915 072CC020600 0 072DD010600 0 072DD020600 0 072EE000600 0 073 A010600 0.0000 073 A020600 0.0000 073 B000600 0.0000 073 C000600 0.0000 074 A000600 6660 074 B000600 0 074 C000600 0 074 D000600 0 074 E000600 0 074 F000600 353501 074 G000600 0 074 H000600 0 074 I000600 0 074 J000600 0 074 K000600 0 074 L000600 2305 074 M000600 40 074 N000600 362506 074 O000600 2271 074 P000600 350 074 Q000600 0 074 R010600 0 074 R020600 0 074 R030600 0 074 R040600 420 074 S000600 0 074 T000600 359465 074 U010600 6711 074 U020600 4109 074 V010600 0.00 074 V020600 0.00 074 W000600 0.0000 074 X000600 14275 074 Y000600 0 075 A000600 0 075 B000600 282766 076 000600 0.00 083 A000600 N 083 B000600 0 PAGE 26 084 A000600 N 084 B000600 0 085 A000600 Y 085 B000600 N 008 A000801 EAGLE ASSET MANAGEMENT, INC. 008 B000801 A 008 C000801 801-21343 008 D010801 ST. PETERSBURG 008 D020801 FL 008 D030801 33716 024 000800 Y 025 A000801 GOLDMAN SACHS & CO. 025 B000801 13-5108880 025 C000801 E 025 D000801 2952 025 A000802 JPMORGAN CHASE & CO. 025 B000802 13-3224022 025 C000802 E 025 D000802 6541 025 D000803 0 025 D000804 0 025 D000805 0 025 D000806 0 025 D000807 0 025 D000808 0 028 A010800 1707 028 A020800 0 028 A030800 0 028 A040800 2177 028 B010800 2241 028 B020800 779 028 B030800 0 028 B040800 2749 028 C010800 3232 028 C020800 0 028 C030800 0 028 C040800 2412 028 D010800 3108 028 D020800 0 028 D030800 0 028 D040800 2339 028 E010800 2741 028 E020800 0 028 E030800 0 028 E040800 2532 028 F010800 2238 028 F020800 0 028 F030800 0 028 F040800 2669 028 G010800 15267 028 G020800 779 PAGE 27 028 G030800 0 028 G040800 14878 028 H000800 41 029 000800 Y 030 A000800 2 030 B000800 4.75 030 C000800 0.00 031 A000800 0 031 B000800 0 032 000800 1 033 000800 2 034 000800 Y 035 000800 0 036 A000800 N 036 B000800 0 037 000800 N 038 000800 0 039 000800 N 040 000800 Y 041 000800 Y 042 A000800 0 042 B000800 0 042 C000800 100 042 D000800 0 042 E000800 0 042 F000800 0 042 G000800 0 042 H000800 0 043 000800 61 044 000800 0 045 000800 Y 046 000800 N 047 000800 Y 048 000800 0.600 048 A010800 0 048 A020800 0.000 048 B010800 0 048 B020800 0.000 048 C010800 0 048 C020800 0.000 048 D010800 0 048 D020800 0.000 048 E010800 0 048 E020800 0.000 048 F010800 0 048 F020800 0.000 048 G010800 0 048 G020800 0.000 048 H010800 0 048 H020800 0.000 048 I010800 0 PAGE 28 048 I020800 0.000 048 J010800 0 048 J020800 0.000 048 K010800 0 048 K020800 0.000 049 000800 N 050 000800 N 051 000800 N 052 000800 N 053 A000800 Y 053 B000800 Y 053 C000800 N 054 A000800 N 054 B000800 N 054 C000800 N 054 D000800 N 054 E000800 N 054 F000800 N 054 G000800 N 054 H000800 N 054 I000800 N 054 J000800 N 054 K000800 N 054 L000800 N 054 M000800 N 054 N000800 N 054 O000800 N 055 A000800 Y 055 B000800 N 056 000800 Y 057 000800 N 058 A000800 N 059 000800 Y 060 A000800 Y 060 B000800 Y 061 000800 1000 062 A000800 N 062 B000800 0.0 062 C000800 0.0 062 D000800 0.0 062 E000800 0.0 062 F000800 0.0 062 G000800 0.0 062 H000800 0.0 062 I000800 0.0 062 J000800 0.0 062 K000800 0.0 062 L000800 0.0 062 M000800 0.0 062 N000800 0.0 062 O000800 0.0 PAGE 29 062 P000800 0.0 062 Q000800 0.0 062 R000800 0.0 066 A000800 Y 066 B000800 N 066 C000800 Y 066 D000800 N 066 E000800 N 066 F000800 N 066 G000800 N 067 000800 N 068 A000800 N 068 B000800 N 069 000800 N 070 A010800 Y 070 A020800 N 070 B010800 Y 070 B020800 N 070 C010800 Y 070 C020800 N 070 D010800 Y 070 D020800 N 070 E010800 Y 070 E020800 N 070 F010800 Y 070 F020800 N 070 G010800 Y 070 G020800 N 070 H010800 Y 070 H020800 N 070 I010800 N 070 I020800 N 070 J010800 Y 070 J020800 N 070 K010800 Y 070 K020800 Y 070 L010800 Y 070 L020800 Y 070 M010800 Y 070 M020800 N 070 N010800 Y 070 N020800 N 070 O010800 N 070 O020800 N 070 P010800 N 070 P020800 N 070 Q010800 N 070 Q020800 N 070 R010800 N 070 R020800 N 071 A000800 28890 PAGE 30 071 B000800 25135 071 C000800 142410 071 D000800 18 072 A000800 6 072 B000800 0 072 C000800 1238 072 D000800 0 072 E000800 0 072 F000800 447 072 G000800 80 072 H000800 0 072 I000800 134 072 J000800 5 072 K000800 0 072 L000800 12 072 M000800 25 072 N000800 52 072 O000800 0 072 P000800 0 072 Q000800 5 072 R000800 18 072 S000800 21 072 T000800 61 072 U000800 0 072 V000800 0 072 W000800 8 072 X000800 868 072 Y000800 81 072 Z000800 451 072AA000800 2478 072BB000800 386 072CC010800 20888 072CC020800 0 072DD010800 817 072DD020800 0 072EE000800 0 073 A010800 0.0000 073 A020800 0.0000 073 B000800 0.0000 073 C000800 0.0000 074 A000800 10344 074 B000800 0 074 C000800 0 074 D000800 0 074 E000800 0 074 F000800 145671 074 G000800 0 074 H000800 0 074 I000800 4876 074 J000800 0 074 K000800 0 PAGE 31 074 L000800 399 074 M000800 0 074 N000800 161290 074 O000800 0 074 P000800 160 074 Q000800 0 074 R010800 0 074 R020800 0 074 R030800 0 074 R040800 297 074 S000800 0 074 T000800 160833 074 U010800 773 074 U020800 9777 074 V010800 0.00 074 V020800 0.00 074 W000800 0.0000 074 X000800 17868 074 Y000800 0 075 A000800 0 075 B000800 150222 076 000800 0.00 083 A000800 N 083 B000800 0 084 A000800 N 084 B000800 0 085 A000800 Y 085 B000800 N 008 A000901 EAGLE ASSET MANAGEMENT, INC. 008 B000901 A 008 C000901 801-21343 008 D010901 ST. PETERSBURG 008 D020901 FL 008 D030901 33716 008 A000902 EAGLE BOSTON INVESTMENT MANAGEMENT INC. 008 B000902 S 008 C000902 801-55776 008 D010902 ST. PETERSBURG 008 D020902 FL 008 D030902 33716 024 000900 N 028 A010900 761 028 A020900 0 028 A030900 0 028 A040900 988 028 B010900 1218 028 B020900 6048 028 B030900 0 028 B040900 1303 028 C010900 1896 028 C020900 0 PAGE 32 028 C030900 0 028 C040900 1555 028 D010900 1500 028 D020900 0 028 D030900 0 028 D040900 1174 028 E010900 2043 028 E020900 0 028 E030900 0 028 E040900 1345 028 F010900 1080 028 F020900 0 028 F030900 0 028 F040900 1800 028 G010900 8498 028 G020900 6048 028 G030900 0 028 G040900 8165 028 H000900 491 029 000900 Y 030 A000900 20 030 B000900 4.75 030 C000900 0.00 031 A000900 2 031 B000900 0 032 000900 17 033 000900 1 034 000900 Y 035 000900 0 036 A000900 N 036 B000900 0 037 000900 N 038 000900 0 039 000900 N 040 000900 Y 041 000900 Y 042 A000900 0 042 B000900 0 042 C000900 100 042 D000900 0 042 E000900 0 042 F000900 0 042 G000900 0 042 H000900 0 043 000900 43 044 000900 0 045 000900 Y 046 000900 N 047 000900 Y 048 000900 0.000 048 A010900 500000 PAGE 33 048 A020900 0.600 048 B010900 500000 048 B020900 0.550 048 C010900 0 048 C020900 0.000 048 D010900 0 048 D020900 0.000 048 E010900 0 048 E020900 0.000 048 F010900 0 048 F020900 0.000 048 G010900 0 048 G020900 0.000 048 H010900 0 048 H020900 0.000 048 I010900 0 048 I020900 0.000 048 J010900 0 048 J020900 0.000 048 K010900 1000000 048 K020900 0.500 049 000900 N 050 000900 N 051 000900 N 052 000900 N 053 A000900 Y 053 B000900 Y 053 C000900 N 054 A000900 N 054 B000900 N 054 C000900 N 054 D000900 N 054 E000900 N 054 F000900 N 054 G000900 N 054 H000900 N 054 I000900 N 054 J000900 N 054 K000900 N 054 L000900 N 054 M000900 N 054 N000900 N 054 O000900 N 055 A000900 N 055 B000900 N 056 000900 Y 057 000900 N 058 A000900 N 059 000900 Y 060 A000900 Y 060 B000900 Y PAGE 34 061 000900 1000 062 A000900 N 062 B000900 0.0 062 C000900 0.0 062 D000900 0.0 062 E000900 0.0 062 F000900 0.0 062 G000900 0.0 062 H000900 0.0 062 I000900 0.0 062 J000900 0.0 062 K000900 0.0 062 L000900 0.0 062 M000900 0.0 062 N000900 0.0 062 O000900 0.0 062 P000900 0.0 062 Q000900 0.0 062 R000900 0.0 066 A000900 Y 066 B000900 N 066 C000900 Y 066 D000900 N 066 E000900 N 066 F000900 N 066 G000900 N 067 000900 N 068 A000900 N 068 B000900 N 069 000900 N 070 A010900 Y 070 A020900 N 070 B010900 Y 070 B020900 N 070 C010900 Y 070 C020900 N 070 D010900 Y 070 D020900 N 070 E010900 Y 070 E020900 N 070 F010900 Y 070 F020900 N 070 G010900 Y 070 G020900 N 070 H010900 Y 070 H020900 N 070 I010900 N 070 I020900 N 070 J010900 Y 070 J020900 N 070 K010900 Y PAGE 35 070 K020900 Y 070 L010900 Y 070 L020900 N 070 M010900 Y 070 M020900 N 070 N010900 Y 070 N020900 N 070 O010900 N 070 O020900 N 070 P010900 N 070 P020900 N 070 Q010900 N 070 Q020900 N 070 R010900 N 070 R020900 N 071 A000900 23670 071 B000900 24098 071 C000900 77499 071 D000900 31 072 A000900 6 072 B000900 0 072 C000900 467 072 D000900 0 072 E000900 0 072 F000900 237 072 G000900 44 072 H000900 0 072 I000900 71 072 J000900 6 072 K000900 0 072 L000900 6 072 M000900 24 072 N000900 51 072 O000900 0 072 P000900 0 072 Q000900 3 072 R000900 19 072 S000900 20 072 T000900 43 072 U000900 0 072 V000900 0 072 W000900 7 072 X000900 531 072 Y000900 85 072 Z000900 21 072AA000900 10387 072BB000900 871 072CC010900 7709 072CC020900 0 072DD010900 39 072DD020900 0 PAGE 36 072EE000900 6284 073 A010900 0.0000 073 A020900 0.0000 073 B000900 1.7600 073 C000900 0.0000 074 A000900 2797 074 B000900 0 074 C000900 0 074 D000900 0 074 E000900 0 074 F000900 84830 074 G000900 0 074 H000900 0 074 I000900 412 074 J000900 492 074 K000900 0 074 L000900 214 074 M000900 0 074 N000900 88745 074 O000900 238 074 P000900 82 074 Q000900 0 074 R010900 0 074 R020900 0 074 R030900 0 074 R040900 265 074 S000900 0 074 T000900 88160 074 U010900 596 074 U020900 3321 074 V010900 0.00 074 V020900 0.00 074 W000900 0.0000 074 X000900 9602 074 Y000900 0 075 A000900 0 075 B000900 79614 076 000900 0.00 083 A000900 N 083 B000900 0 084 A000900 N 084 B000900 0 085 A000900 Y 085 B000900 N 008 A001001 EAGLE ASSET MANAGEMENT, INC. 008 B001001 A 008 C001001 801-21343 008 D011001 ST. PETERSBURG 008 D021001 FL 008 D031001 33716 024 001000 Y PAGE 37 025 A001001 BANK OF AMERICA CORP. 025 B001001 56-2058405 025 C001001 D 025 D001001 256 025 A001002 CREDIT SUISSE GROUP 025 B001002 13-2853402 025 C001002 D 025 D001002 951 025 A001003 GOLDMAN SACHS & CO. 025 B001003 13-5108880 025 C001003 D 025 D001003 829 025 A001004 JEFFERIES & CO., INC. 025 B001004 95-2622900 025 C001004 D 025 D001004 252 025 A001005 JPMORGAN CHASE & CO. 025 B001005 13-3224022 025 C001005 D 025 D001005 748 025 A001006 MORGAN STANLEY & CO., INC. 025 B001006 13-2655998 025 C001006 D 025 D001006 1440 025 A001007 UBS AG 025 B001007 13-3873456 025 C001007 D 025 D001007 524 025 D001008 0 028 A011000 5753 028 A021000 50 028 A031000 0 028 A041000 1331 028 B011000 3922 028 B021000 761 028 B031000 0 028 B041000 2784 028 C011000 2932 028 C021000 0 028 C031000 0 028 C041000 2321 028 D011000 2643 028 D021000 61 028 D031000 0 028 D041000 4031 028 E011000 3744 028 E021000 72 028 E031000 0 028 E041000 3700 028 F011000 2710 028 F021000 70 PAGE 38 028 F031000 0 028 F041000 6623 028 G011000 21704 028 G021000 1014 028 G031000 0 028 G041000 20790 028 H001000 870 029 001000 Y 030 A001000 25 030 B001000 3.75 030 C001000 0.00 031 A001000 4 031 B001000 0 032 001000 2 033 001000 19 034 001000 Y 035 001000 21 036 A001000 N 036 B001000 0 037 001000 N 038 001000 0 039 001000 N 040 001000 Y 041 001000 Y 042 A001000 0 042 B001000 0 042 C001000 100 042 D001000 0 042 E001000 0 042 F001000 0 042 G001000 0 042 H001000 0 043 001000 314 044 001000 0 045 001000 Y 046 001000 N 047 001000 Y 048 001000 0.300 048 A011000 0 048 A021000 0.000 048 B011000 0 048 B021000 0.000 048 C011000 0 048 C021000 0.000 048 D011000 0 048 D021000 0.000 048 E011000 0 048 E021000 0.000 048 F011000 0 048 F021000 0.000 048 G011000 0 PAGE 39 048 G021000 0.000 048 H011000 0 048 H021000 0.000 048 I011000 0 048 I021000 0.000 048 J011000 0 048 J021000 0.000 048 K011000 0 048 K021000 0.000 049 001000 N 050 001000 N 051 001000 N 052 001000 N 053 A001000 Y 053 B001000 Y 053 C001000 N 054 A001000 N 054 B001000 N 054 C001000 N 054 D001000 N 054 E001000 N 054 F001000 N 054 G001000 N 054 H001000 N 054 I001000 N 054 J001000 N 054 K001000 N 054 L001000 N 054 M001000 N 054 N001000 N 054 O001000 N 055 A001000 N 055 B001000 N 056 001000 Y 057 001000 N 058 A001000 N 059 001000 Y 060 A001000 Y 060 B001000 Y 061 001000 1000 062 A001000 Y 062 B001000 0.0 062 C001000 0.0 062 D001000 0.0 062 E001000 0.0 062 F001000 0.0 062 G001000 0.0 062 H001000 0.0 062 I001000 0.0 062 J001000 0.0 062 K001000 0.0 PAGE 40 062 L001000 0.0 062 M001000 19.8 062 N001000 6.6 062 O001000 0.0 062 P001000 47.0 062 Q001000 24.6 062 R001000 0.0 063 A001000 0 063 B001000 4.4 064 A001000 Y 066 A001000 N 067 001000 N 068 A001000 N 068 B001000 N 069 001000 N 070 A011000 Y 070 A021000 N 070 B011000 Y 070 B021000 N 070 C011000 Y 070 C021000 N 070 D011000 Y 070 D021000 N 070 E011000 Y 070 E021000 N 070 F011000 Y 070 F021000 N 070 G011000 Y 070 G021000 N 070 H011000 Y 070 H021000 N 070 I011000 N 070 I021000 N 070 J011000 Y 070 J021000 Y 070 K011000 Y 070 K021000 N 070 L011000 Y 070 L021000 Y 070 M011000 Y 070 M021000 N 070 N011000 Y 070 N021000 N 070 O011000 N 070 O021000 N 070 P011000 N 070 P021000 N 070 Q011000 N 070 Q021000 N 070 R011000 N 070 R021000 N PAGE 41 071 A001000 43227 071 B001000 40598 071 C001000 101410 071 D001000 40 072 A001000 6 072 B001000 1140 072 C001000 0 072 D001000 0 072 E001000 0 072 F001000 155 072 G001000 76 072 H001000 0 072 I001000 19 072 J001000 5 072 K001000 0 072 L001000 2 072 M001000 23 072 N001000 37 072 O001000 0 072 P001000 0 072 Q001000 4 072 R001000 21 072 S001000 14 072 T001000 314 072 U001000 27 072 V001000 0 072 W001000 4 072 X001000 701 072 Y001000 66 072 Z001000 505 072AA001000 367 072BB001000 361 072CC011000 0 072CC021000 1864 072DD011000 697 072DD021000 0 072EE001000 539 073 A011000 0.0000 073 A021000 0.0000 073 B001000 0.0759 073 C001000 0.0000 074 A001000 1064 074 B001000 0 074 C001000 0 074 D001000 98975 074 E001000 0 074 F001000 0 074 G001000 0 074 H001000 0 074 I001000 0 074 J001000 509 PAGE 42 074 K001000 0 074 L001000 1298 074 M001000 49 074 N001000 101895 074 O001000 0 074 P001000 86 074 Q001000 0 074 R011000 0 074 R021000 0 074 R031000 0 074 R041000 764 074 S001000 0 074 T001000 101045 074 U011000 3370 074 U021000 3467 074 V011000 0.00 074 V021000 0.00 074 W001000 0.0000 074 X001000 3296 074 Y001000 0 075 A001000 0 075 B001000 103847 076 001000 0.00 083 A001000 N 083 B001000 0 084 A001000 N 084 B001000 0 085 A001000 Y 085 B001000 N SIGNATURE SUSAN J. WALZER TITLE PRIN. EXEC. OFFICER EX-99.77O RULE 10F-3 2 a10f3.htm a10f3.htm
Transactions effected pursuant to Rule 10F3.
 
Fund:
  
R.J.
 Involved?
Form
  Rec'd?
Yrs. In
 Business:
Cusip
Security:
Date of Purchase:
Date Offering
commenced:
Purchase
 price:
Commission:
Securities
 acquired from:
Share amount
purchased
$ Amount
purchased:
Total
Offering:
Spread
EIEF
IPO
No
N/A
N/A
  
O'Key Group SA GDR
November 2, 2010
November 2, 2010
11.00
  
Euroclear
8,228
$90,508
  
0.000
EIEF
IPO
No
N/A
N/A
  
Mail.RU Group LTD GDR
November 5, 2010
November 5, 2010
27.70
  
778 Cedel Bank
937
$25,955
  
0.000
EIEF
IPO
No
N/A
N/A
  
L'Occitane Intl SA
December 13, 2010
December 13, 2010
21.14 HKD
  
UBS Securities Asia LTD
46,750
$991,834
    
EIEF
IPO
No
N/A
N/A
  
Changsha Zoomlion Heavy IN-H
December 17, 2010
December 17, 2010
14.98 HKD
  
JP Morgan
34,600
$524,056
    
EIEF
Secondary Offering
No
N/A
N/A
B1W7FX3
VTB Bank (JSC) GDR
February 14, 2011
February 14, 2011
6.25
  
Interstate Secs ** Euroclear**
58,803
$367,519
  
0.000
EIGB
New Issue
No
N/A
N/A
  
Becton Dickinson 3.125% NTS 11/12/2020
November 8, 2010
November 8, 2010
99.95
  
Goldman Sachs & Co.
750,000
$749,618
  
0.000
EIGB
New Issue
No
N/A
N/A
  
Plum Creek Timberlands LP GTD NT 4.7% 3/15/2021
November 8, 2010
November 8, 2010
99.93
  
Banc of America SEC LLC
500,000
$499,665
  
0.000
EIGB
New Issue
No
N/A
N/A
  
Potash Corp. of Saskatchewan Inc. 3.25% 12/01/2017
November 22, 2010
November 22, 2010
99.65
  
Bank America NYC
500,000
$498,260
  
0.000
EIGB
New Issue
No
N/A
N/A
  
St. Jude Medical Inc. 2.5% 01/15/2016
December 1, 2010
December 1, 2010
99.91
  
Merrill Lynch Pierce Fenner & Smith
500,000
$499,535
  
0.000
EIGB
New Issue
No
N/A
N/A
  
Occidental Petroleum Corp. 4.1% 02/01/2021
December 13, 2010
December 13, 2010
99.98
  
Barclays Cap. Inc.
250,000
$249,943
  
0.000
EIGB
New Issue
No
N/A
N/A
  
CR Bard Inc. 4.4% 15/Jan/2021
December 15, 2010
December 15, 2010
99.28
  
Banc of America SEC LLC
250,000
$248,205
  
0.000
EIGB
New Issue
No
N/A
N/A
298785FK7
European Investment Bank 2.25% 15/Mar/2016
January 4, 2011
January 4, 2011
99.51
  
Barclays Capital Inc./LE
1,000,000
$995,070
  
0.000
EIGB
New Issue
No
N/A
N/A
36962G4X9
General Electric Capital Corp. 2.1% 07/Jan/2014
January 4, 2011
January 4, 2011
99.95
  
Barclays Capital Inc./LE
500,000
$499,755
  
0.000
EIGB
New Issue
No
N/A
N/A
26138EAM1
Dr. Pepper Snapple Group, Inc. SR NT 2.9% 15/Jan/2016
January 6, 2011
January 6, 2011
99.89
  
Banc of America Securities, LLC.
750,000
$749,168
  
0.000
EIGB
New Issue
No
N/A
N/A
22546QAG2
Credit Suisse NY 0% BDS 14/JAN/2014
January 11, 2011
January 11, 2011
100.00
  
Credit Suisse First Boston LLC
250,000
$250,000
  
0.000
EIGB
New Issue
No
N/A
N/A
063679JJ4
Bank of Montreal 2.625% 25/JAN/2016
January 18, 2011
January 18, 2011
99.94
  
Barclays Capital , Inc.
1,000,000
$999,350
  
0.000
EIGB
New Issue
No
N/A
N/A
51511CAF5
Landwirtsch Rentenbank VAR 25/JAN/2014
January 20, 2011
January 20, 2011
100.00
  
Credit Suisse First Boston LLC
500,000
$500,000
  
0.000
EIGB
New Issue
No
N/A
N/A
89153UAB7
Total Capital Canada LTD
January 21, 2011
January 21, 2011
99.80
  
Banc of America Securities, LLC.
500,000
$498,980
  
0.000
EIGB
New Issue
No
N/A
N/A
478366AY3
Johnson Controls, Inc.
February 1, 2011
February 1, 2011
100.00
  
Banc of America Securities, LLC.
250,000
$250,000
  
0.000
EIGB
New Issue
No
N/A
N/A
652482BZ2
News America, Inc. 4.50% 15/Feb/2021 144A
February 9, 2011
February 9, 2011
99.38
  
JP Morgan Secs Inc. - Fixed Income
500,000
$496,900
  
0.000
EIGB
New Issue
No
N/A
N/A
617458AC8
MSC 2011-C1 A2 Monthly 3.884% 09/15/2047
February 10, 2011
February 10, 2011
101.00
  
Morgan Stanley & Co. Inc.
1,000,000
$1,010,000
  
0.000
EIGB
New Issue
No
N/A
N/A
97063PAA2
Willis Group Holdings LT PLC 4.125% 15/MAR/2016
March 14, 2011
March 14, 2011
99.49
  
Barclays Capital Inc.
250,000
$248,718
  
0.000
EIGB
New Issue
No
N/A
N/A
87020LAA4
Swedbank Hypotek AB 2.95% 28/Mar/2016
March 21, 2011
March 21, 2011
99.92
  
Barclays Capital Inc.
1,000,000
$999,170
  
0.000
EIGB
New Issue
No
N/A
N/A
65558AAA4
Nordea Eiendomskreditt A 1.875% 07/Apr/2014
March 29, 2011
March 29, 2011
99.68
  
Barclays Capital Inc.
1,000,000
$996,780
  
0.000
EIGB
New Issue
No
N/A
N/A
440452AE0
Hormel Foods Corp. 4.125% 15/APR/2021
April 4, 2011
April 4, 2011
99.72
  
Banc of America Securities, LLC.
500,000
$498,575
  
0.000
EIGB
New Issue
No
N/A
N/A
472319AK8
Jefferies Group 5.125% 4/13/2018
April 8, 2011
April 8, 2011
99.65
  
Jefferies
500,000
$498,260
  
0.000
EMCG
IPO
No
N/A
N/A
  
General Motors Co.
November 18, 2010
November 18, 2010
33.00
  
JPMorgan Clearing, Corp.
16,583
$547,239
  
0.000
EMCG
IPO
No
N/A
N/A
  
LPL Investment Holdings, Inc.
November 18, 2010
November 18, 2010
30.00
  
Goldman Sachs & Co.
11,349
$340,470
  
0.000
EMCG
IPO
No
N/A
N/A
  
LPL Investment Holdings, Inc.
November 18, 2010
November 18, 2010
30.00
  
JPMorgan Clearing, Corp.
45
$1,350
  
0.000
EMCG
Secondary Offering
Yes
Yes
5+ Yrs.
  
Cloud Peak Energy, Inc.
December 15, 2010
December 15, 2010
19.50
0.468
Morgan Stanley
107,643
$2,099,039
499,200,000.00
0.024
EMCG
IPO
No
N/A
N/A
N63218106
Nielsen Holdings BV
January 25, 2011
January 25, 2011
23.00
  
Morgan Stanley & Co, Inc.
29,559
$679,857
  
0.000
EMCG
Secondary Offering
No
N/A
N/A
N6596X109
NXP Semiconductors NV
March 31, 2011
March 31, 2011
30.00
  
Morgan Stanley & Co. Inc.
62,105
$1,863,150
  
0.000
EMCG
IPO
No
N/A
N/A
36191G107
GNC Holdings, Inc.
April 1, 2011
April 1, 2011
16.00
  
JPMorgan Clearing Corp.
204,630
$3,274,080
  
0.000
EMCS
IPO
No
N/A
N/A
  
LPL Investment Holdings, Inc.
November 18, 2010
November 18, 2010
30.00
  
Goldman Sachs & Co.
69,124
$2,073,720
  
0.000
EMCS
IPO
No
N/A
N/A
  
LPL Investment Holdings, Inc.
November 18, 2010
November 18, 2010
30.00
  
JPMorgan Clearing, Corp.
277
$8,310
  
0.000
ESCG
IPO
No
N/A
N/A
  
The Fresh Market, Inc.
November 4, 2010
November 4, 2010
22.00
  
Merrill Lynch Pierce Fenner & Smith
7,019
$154,418
  
0.000
ESCG
Secondary Offering
No
N/A
N/A
  
Vitamin Shoppe, Inc.
December 2, 2010
December 2, 2010
29.00
  
Barclays Capital Inc.
18,155
$526,495
  
0.000
ESCG
Secondary Offering
Yes
Yes
5+ Yrs.
470355207
James River Coal Terminal Co.
March 24, 2011
March 24, 2011
23.50
  
UBS Securities LLC
40,000
$940,000
  
0.000
ESCG
IPO
No
N/A
N/A
36191G107
GNC Holdings, Inc.
April 1, 2011
April 1, 2011
16.00
  
JPMorgan Clearing Corp.
367,490
$5,879,840
  
0.000
ESCG
IPO
No
N/A
N/A
90138A103
21Vianet Group Inc, ADR
April 21, 2011
April 21, 2011
15.00
  
JP Morgan Clearing, Corp.
70,000
$1,050,000
  
0.000
ESCG
Secondary Offering
No
N/A
N/A
35804H106
Fresh Market, Inc.
April 28, 2011
April 28, 2011
42.50
  
JP Morgan Clearing, Corp.
108,049
$4,592,083
  
0.000
ESCV
IPO
No
N/A
N/A
  
First Republic Bank San Francisco
December 8, 2010
December 8, 2010
25.50
  
Merrill Lynch Pierce Fenner & Smith
2,425
$61,838
  
0.000
ESCV
IPO
No
N/A
N/A
06652K103
Bankunited, Inc.
January 27, 2011
January 27, 2011
27.00
  
Morgan Stanley & Co, Inc.
48,500
$1,309,500
  
0.000