EX-99.77O RULE 10F-3 2 rule10f-3.htm rule10f-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
       4768962
RWE AG NPV
December 8, 2011
December 8, 2011
26 EUR
94.03 EUR
Deutsche Bank Securities, Inc.
 2,411
62,780.03 EUR
   0.000
EIEF
IPO
       4768962
RWE AG NPV
December 22, 2011
December 22, 2011
26 EUR
16.73 EUR
Deutsche Bank Securities, Inc.
 429
11,170.73 EUR
   0.000
EIEF
IPO
No
     N/A
B7QNZW8
Ziggo NV EUR1
March 21, 2012
March 21, 2012
18.50 EUR
  
UBS AG (London Equities), London
765 EUR
18,693.33 EUR
   0.000
EIGB
New Issue
No
 N/A N/A
26884LAB5
EQT Corp. 4.875% 15/NOV/2021
November 2, 2011
November 2, 2011
 99.09  
Deutsche Bank Securities, Inc.
 500,000   $495,425   0.000
EIGB
New Issue
No
 N/A N/A
302491AR6
FMC Corp SR NT 3.95% 01/FEB/2022
November 17, 2011
November 17, 2011
 99.58  
Banc of America Securities, LLC.
 500,000   $497,875   0.000
EIGB
New Issue
No
 N/A N/A
05565QBX5
BP Capital Markets 1.7% 05/DEC/2014
December 1, 2011
December 1, 2011
 99.99  
Morgan Stanley & Co, Inc.
 1,000,000   $999,940   0.000
EIGB
New Issue
No
 N/A N/A
278865AK6
Ecolab Inc 3.0% 08/DEC/2016
December 5, 2011
December 5, 2011
 99.80  
Bank America (SPEC)
 750,000   $748,515   0.000
EIGB
New Issue
No
 N/A N/A
78573AAB6
SABMILLER Holdings, Inc. 2.45% 15/JAN/2017 144A
January 10, 2012
January 10, 2012
 99.81  
Bank America NYC
 1,000,000   $998,090   0.000
EIGB
New Issue
No
 N/A N/A
902133AL1
Tyco Electronics Group S A
January 31, 2012
January 31, 2012
 99.80  
JP Morgan Secs Inc., - Fixed Income
 1,000,000   $997,960   0.000
EIGB
New Issue
No
 N/A N/A
04044TAG1
Aristotle Holding Inc. 2.10% 12/FEB/2015
February 6, 2012
February 6, 2012
 99.51  
Citigroup Global Markets
 1,000,000   $995,080   0.000
EIGB
New Issue
No
 N/A N/A
055921AB6
BMC Software Inc. 4.25% 15/FEB/2022
February 8, 2012
February 8, 2012
 99.47  
Banc of America Securities LLC
 750,000   $746,010   0.000
EIGB
New Issue
No
 N/A N/A
845467AF6
Southwestern Energy Co 4.1% 15/MAR/2022
February 29, 2012
February 29, 2012
 99.88  
JP Morgan Sec's Inc.- Fixed Income
 1,000,000 $ $998,770   0.000
EIGB
New Issue
No
 N/A N/A
05531FAK9
BB&T Corporation SR NT-C 2.15% 22/MAR/2017
March 15, 2012
March 15, 2012
 99.78  
Deutsche Bank AG
 500,000   $498,915   0.000
EIGB
New Issue
No
 N/A N/A
76720AAB2
Rio Tinto FIN USA LTD 2% 22/MAR/2017
March 19, 2012
March 19, 2012
 99.87  
Credit Suisse First Boston LLC
 250,000 $ $249,680   0.000
EIGB
New Issue
No
 N/A N/A
423012AA1
Heineken NV 3.4% BDS 01/APR/2022
March 29, 2012
March 29, 2012
 99.73  
JP Morgan Secs Inc., - Fixed Income
 500,000 $ $498,655   0.000
EMCG
Secondary Offering
No
 N/A N/A 19075F106
Cobalt International Energy, Inc.
February 24, 2012
February 24, 2012
 28.00  
Goldman Sachs & Co.
 132,881 $ $3,720,668   0.000
EMCG
Secondary Offering
No
 N/A N/A 44980X109
IPG Photonics Corp.
March 1, 2012
March 1, 2012
 54.30  
Merrill Lynch
 43,302 $ $2,351,299   0.000
EMCG
Secondary Offering
No
 N/A N/A 44980X109
IPG Photonics Corp.
March 1, 2012
March 1, 2012
 54.30  
Needham & Company
 742 $ $40,291   0.000
EMCG
New Issue
No
 N/A N/A 848637104
Splunk Inc
April 18, 2012
April 18, 2012
 17.00  
Morgan Stanley & Co. Inc.
 34,371 $ $584,307   0.000
EMCS
Secondary Offering
No
 N/A N/A 19075F106
Cobalt International Energy, Inc.
February 24, 2012
February 24, 2012
 28.00  
Goldman Sachs & Co.
 228,106 $ $6,386,968   0.000
ESCF
IPO
No
 N/A N/A 63861C109
Nationstar MTG Holdings, Inc.
March 7, 2012
March 7, 2012
 14.00  
Merrill Lynch
 22,285 $ $311,990   0.000
ESCG
Secondary Offering
No
 N/A N/A L7257P106
Pacific Drilling SA NPV Reg S
November 10, 2011
November 10, 2011
 8.25  
Morgan Stanley & Co Inc.
 500,000 $ $4,125,000   0.000
ESCG
IPO
No
 N/A N/A 45882D109
Intermolecular, Inc.
November 17, 2011
November 17, 2011
 10.00  
Morgan Stanley & Co, Inc.
 650,000 $ $6,500,000   0.000
ESCG
Secondary Offering
No
 N/A N/A 90187B101
Two Harbors Investment Corp.
January 11, 2012
January 11, 2012
 9.17  
Credit Suisse First Boston LLC
 41,798 $ $383,288   0.000
ESCG
Secondary Offering
No
 N/A N/A 90187B101
Two Harbors Investment Corp.
January 11, 2012
January 11, 2012
 9.17  
First Clearing LLC (FCCORP)
 1,500 $ $13,755   0.000
ESCG
Secondary Offering
No
 N/A N/A 44980X109
IPG Photonics Corp.
March 1, 2012
March 1, 2012
 54.30  
Merrill Lynch
 114,648 $ $6,225,386   0.000
ESCG
Secondary Offering
No
 N/A N/A 44980X109
IPG Photonics Corp.
March 1, 2012
March 1, 2012
 54.30  
Needham & Company
 1,965 $ $106,700   0.000
ESCG
Secondary Offering
No
 N/A N/A 928551100
Vivus, Inc.
March 1, 2012
March 1, 2012
 22.50  
JPMorgan Clearing Corp.
 187,101 $ $4,209,773   0.000
                               
EIEF
Secondary Offering
No
 N/A N/A
IBE SM
Iberdola SA
April 18, 2012
April 18, 2012
3.62 EUR
26.88 EUR
Societe Generale
 4,950
17,919 EUR
   0.000