EX-99.77O RULE 10F-3 3 plan10f-3.htm plan10f-3.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
 
EIEF
IPO
No
N/A
N/A
759892102
Renren Inc. ADR
May 5, 2011
May 5, 2011
14.00
  
Deutsche Bank Securities, Inc.
239
$3,346
  
0.000
 
EIEF
IPO
No
N/A
N/A
N97284108
Yandex NV
May 24, 2011
May 24, 2011
25.00
  
Morgan Stanley & Co., Inc.
2,036
$50,900
  
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
 
EIGB
New Issue
No
N/A
N/A
02209SAL7
Altria Group, Inc. 4.75% 05/MAY/2021
May 2, 2011
May 2, 2011
99.58
  
Goldman Sachs & Co.
250,000
$248,938
  
0.000
 
EIGB
New Issue
No
N/A
N/A
709631AD7
Pentair, Inc. 5.00% 15/MAY/2021
May 2, 2011
May 2, 2011
99.80
  
JP Morgan Secs, Inc. - Fixed Income
500,000
$499,020
  
0.000
 
EIGB
New Issue
No
N/A
N/A
38259PAB8
Google, Inc. 3.625% BDS 19/MAY/2021
May 17, 2011
May 17, 2011
99.24
  
Goldman Sachs & Co.
1,000,000
$992,370
  
0.000
 
EIGB
New Issue
No
N/A
N/A
91159HHA1
US Bancorp 4.125% BDS 24/MAY/2021
May 19, 2011
May 19, 2011
100.03
  
Pershing LLC
250,000
$250,083
  
0.000
 
EIGB
New Issue
No
N/A
N/A
84650WAB2
Sparebank 1 Boligkreditt 2.625% 27/MAY/2017 144A
May 23, 2011
May 23, 2011
99.96
  
Barclays Capital Inc.
1,000,000
$999,560
  
0.000
 
EIGB
New Issue
No
N/A
N/A
369550AR9
General Dynamics Corp. 3.875% 15/JUL/2021
July 6, 2011
July 5, 2011
99.84
  
Chase Securities Inc.
500,000
$499,175
  
0.000
 
EIGB
New Issue
No
N/A
N/A
68323AAU8
Ontario Province 0% BDS 16/JUL/2018
July 7, 2011
July 7, 2011
99.93
  
Oppenheimer & Co Inc
1,500,000
$1,498,965
  
0.000
 
EIGB
New Issue
No
N/A
N/A
571748AR3
Marsh & McLennan Cos.
July 12, 2011
July 12, 2011
99.85
  
Citigroup Global Markets, Inc./Salomon
250,000
$249,628
  
0.000
 
EIGB
New Issue
No
N/A
N/A
459200GX3
IBM Corp 1.95% 22/JUL/2016
July 19, 2011
July 19, 2011
99.43
  
Goldman Sachs & Co.
1,000,000
$994,280
  
0.000
 
EIGB
New Issue
No
N/A
N/A
06415CAA7
Bank of Nova Scotia Covered BD 2.15% 03/Aug/2016
July 26, 2011
July 26, 2011
99.95
  
Pershing LLC
1,000,000
$999,530
  
0.000
 
EIGB
New Issue
No
N/A
N/A
009158AQ9
Air Prods & Chems 2% BDS 02/AUG/2016
July 28, 2011
July 28, 2011
99.47
  
Deutsche Bank Securities, Inc.
250,000
$248,678
  
0.000
 
EIGB
New Issue
No
N/A
N/A
191216AT7
Coca-Cola Co./The 3.3% 01/SEP/2021
August 3, 2011
August 3, 2011
99.91
  
Citigroup Global Markets, Inc/Salomon
1,000,000
$999,130
  
0.000
 
EIGB
New Issue
No
N/A
N/A
883556BA9
Thermo Fisher Scientific, Inc. 2.25% 15/AUG/2016
August 9, 2011
August 9, 2011
99.83
  
Banc of America Securities, LLC.
500,000
$499,130
  
0.000
 
EIGB
New Issue
No
N/A
N/A
94973VAV9
Wellpoint Inc 2.375% 15/FEB/2017
August 10, 2011
August 10, 2011
99.53
  
Citigroup Global Markets, Inc.
500,000
$497,650
  
0.000
 
EIGB
New Issue
No
N/A
N/A
918204AV0
VF Corp 3.50% 01/SEP/2021
August 17, 2011
August 17, 2011
99.69
  
Banc of America Securities, LLC.
250,000
$249,225
  
0.000
 
EIGB
New Issue
No
N/A
N/A
713448BV9
Pepsico Inc 0.8% 25/AUG2014 (REVERSAL)
August 22, 2011
August 22, 2011
99.46
  
Morgan Stanley & Co Inc
1,000,000
$994,620
  
0.000
 
EIGB
New Issue
No
N/A
N/A
713448BV9
Pepsico Inc 0.8% 25/AUG2014 (REBOOK)
August 22, 2011
August 22, 2011
99.61
  
Morgan Stanley & Co Inc
1,000,000
$996,090
  
0.000
 
EIGB
New Issue
No
N/A
N/A
94106LAX7
Waste Management Inc 2.6% 01/SEP/2016
August 24, 2011
August 24, 2011
99.99
  
JPMorgan Clearing Corp.
250,000
$249,978
  
0.000
 
EIGB
New Issue
No
N/A
N/A
90327QCV9
USAA Capital Corp 1.05% 30/SEP/2014 144AL
August 30, 2011
August 30, 2011
99.90
  
Deutsche Bank Securities, Inc.
1,000,000
$998,980
  
0.000
 
EIGB
New Issue
No
N/A
N/A
233851AE4
Daimler Finance NA LLC VAR 13/SEPT/2013
September 7, 2011
September 7, 2011
100.00
  
Chase Securities, Inc.
1,000,000
$1,000,000
  
0.000
 
EIGB
New Issue
No
N/A
N/A
863667AC5
Stryker Corp.
September 13, 2011
September 13, 2011
99.81
  
A.G. Edwards & Sons, Inc.
250,000
$249,535
  
0.000
 
EIGB
New Issue
No
N/A
N/A
458140AJ9
Intel Corp.
September 14, 2011
September 14, 2011
99.76
  
Goldman Sachs & Co.
750,000
$748,215
  
0.000
 
EIGB
New Issue
No
N/A
N/A
693476BM4
PNC Funding, Corp.
September 14, 2011
September 14, 2011
99.88
  
Bear Stearns & Co.
300,000
$299,637
  
0.000
 
EIGB
New Issue
No
N/A
N/A
36962G5H3
General Electric Capital Corp 3.35% 17/OCT/2016
October 12, 2011
October 12, 2011
99.88
  
Banc of America Securities, LLC.
1,000,000
$998,810
  
0.000
 
EIGB
New Isasue
No
N/A
N/A
832696AB4
Smucker J.M. Co.
October 13, 2011
October 13, 2011
99.81
  
Bank America (SPEC)
250,000
$249,520
  
0.000
 
EIGB
New Issue
No
N/A
N/A
61945CAA1
Mosaic, Co. 3.75% 15/NOV/2021
October 17, 2011
October 17, 2011
99.09
  
Banc of America Securities, LLC.
1,000,000
$990,880
  
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
 
EMCG
IPO
No
N/A
N/A
759892102
Renren Inc. ADR
May 5, 2011
May 5, 2011
14.00
  
Deutsche Bank Securities, Inc.
44,482
$622,748
  
0.000
 
EMCG
IPO
No
N/A
N/A
53578a108
Linkedin Corp
May 18, 2011
May 18, 2011
45.00
  
Morgan Stanley, Inc.
12,651
$569,295
  
0.000
 
EMCG
IPO
No
N/A
N/A
36112J107
Fusion-IO Inc.
June 8, 2011
June 8, 2011
19.00
  
Morgan Stanley & Co., Inc.
32,019
$608,361
  
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
 
EMCS
IPO
YES
Yes
3+ Yrs
265504100
Dunkin Brands Group, Inc.
July 27, 2011
July 27, 2011
19.00
  
Barclays Capital, Inc.
24,650
$468,350
  
0.000
 
EMCS
IPO
No
N/A
N/A
Y0486S104
Avago Technologies, LTD.
September 28, 2011
September 28, 2011
33.20
  
Citigroup Global Markets, Inc.
65,585
$2,177,422
  
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
 
ESCG
Secondary Offering
No
N/A
N/A
747316107
Quaker Chemical Corp.
May 5, 2011
May 5, 2011
40.50
  
Janney Montgomery Scott, Inc.
1,000
$40,500
  
0.000
 
ESCG
Secondary Offering
No
N/A
N/A
747316107
Quaker Chemical Corp.
May 5, 2011
May 5, 2011
40.50
  
Jefferies & Company, Inc.
119,516
$4,840,398
  
0.000
 
ESCG
IPO
No
N/A
N/A
698354107
Pandora Media, Inc.
June 14, 2011
June 14, 2011
16.00
  
Morgan Stanley, Inc.
79,914
$1,278,624
  
0.000
 
ESCG
IPO
YES
Yes
3+ Yrs
83083J104
Skullcandy, Inc. (REVERSAL)
July 19, 2011
July 19, 2011
20.00
  
Merrill Lynch
59,975
$1,199,500
  
0.000
 
ESCG
IPO
YES
Yes
3+ Yrs
83083J104
Skullcandy, Inc. (REVERSAL)
July 19, 2011
July 19, 2011
20.00
  
US Bancorp Piper Jaffray, Inc.
3,000
$60,000
  
0.000
 
ESCG
IPO
YES
Yes
3+ Yrs
83083J104
Skullcandy, Inc. (REBOOK)
July 19, 2011
July 19, 2011
20.00
  
Merrill Lynch Pierce Fenner & Smith
59,975
$1,199,500
  
0.000
 
ESCG
IPO
YES
Yes
3+ Yrs
83083J104
Skullcandy, Inc. (REBOOK)
July 19, 2011
July 19, 2011
20.00
  
Piper Jaffray & Co.
3,000
$60,000
  
0.000
 
ESCG
IPO
YES
Yes
3+ Yrs
265504100
Dunkin Brands Group, Inc.
July 27, 2011
July 27, 2011
19.00
  
Barclays Capital, Inc.
10,000
$190,000
  
0.000
 
ESCG
Secondary Offering
No
N/A
N/A
79546E104
Sally Beauty Holdings, Inc.
October 12, 2011
October 12, 2011
16.75
  
JPMorgan Bank
290,000
$4,857,500
  
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