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