EX-99.77O RULE 10F-3 3 rule10f3.htm rule10f3.htm
 
Transactions effected pursuant to Rule 10F3.
                               
   
R.J.
Form
Yrs. In
      
Date Offering
Purchase
  
Securities
Share amount
$ Amount
Total
  
Fund:
  
 Involved?
  Rec'd?
 Business:
Cusip
         Security:
Date of Purchase:
 commenced:
 price:
Commission:
 acquired from:
purchased
purchased:
Offering:
Spread
ESCG
Secondary Offering
No
N/A
N/A
89969Q104
TUMI Holdings, Inc.
November 9, 2012
November 9, 2012
21.10
0
Goldman Sachs New York
700,000
$14,770,000
  
0.000
ESCF
Secondary Offering
No
N/A
N/A
81618T100
Select Income REIT
December 5, 2012
December 5, 2012
24.00
0
Morgan Stanley and Co., Inc.
19,085
$458,040
  
0.000
EIEF
Secondary Offering
No
N/A
N/A
4741714
Remy Cointreau
December 12, 2012
December 12, 2013
87.00 EUR
 42.15 EUR
Credit Suisse Securities (Europe) LT
323
$28,199
  
0.000
ESCG
IPO
No
N/A
N/A
87265H109
Tri Pointe Homes, Inc.
January 31, 2013
January 31, 2013
17.00
0
Citigroup Global Mkts, Inc.
50,000
$850,000
  
0.000
ESCG
Secondary Offering
No
N/A
N/A
87817A107
Team Health Holdings, Inc.
February 12, 2013
February 12, 2013
33.40
0
Citigroup Global Mkts, Inc.
101,179
$3,379,379
  
0.000
EIEF
Secondary Offering
No
N/A
N/A
B1VP0K0
Rexel EUR5
February 14, 2013
February 14, 2013
16.00 EUR
39.91 EUR
UBS AG
1,663
$26,701.13 EUR
    
ESCG
IPO
No
N/A
N/A
04316A108
Artisan Partners Asset MGMT Inc
March 7, 2013
March 7, 2013
30.00
0
Goldman Sachs New York
62,000
$1,860,000
  
0.000
ESCG
Secondary Offering
YES
Yes
20+ yrs
245077102
Del Friscos Restaurant Corp.
March 8, 2013
March 8, 2013
17.00
0.51
Deutsche Bank SECS, Inc.
150,000
$2,550,000
80,750,000.00
0.030
ESCG
IPO
No
N/A
N/A
72348P104
Pinnacle Foods, Inc.
March 28, 2013
March 28, 2013
20.00
0
Barclays Capital, Inc.
60,000
$1,200,000
  
0.000
ESCG
IPO
No
N/A
N/A
30040P103
Evertec, Inc.
April 12, 2013
April 12, 2013
20.00
0
JPMorgan Clearing Corp
200,000
$4,000,000
  
0.000
ESCG
IPO
No
N/A
N/A
81282V100
Seaworld Entertainment, Inc.
April 19, 2013
April 19, 2013
27.00
0
JP Morgan Bank
220,392
$5,950,584
  
0.000
EMCG
IPO
YES
Yes
3+ Years
74876Y101
Quintiles Transnational Hldgs, Inc.
May 9, 2013
May 9, 2013
40.00
1.2
Barclays Capital, Inc.
63,566
$2,542,640
23,684,210.00
0.030
ESCG
Secondary Offering
No
N/A
N/A
85375C101
Standard Pacific Corp
May 15, 2013
May 15, 2013
9.50
0
Credit Suisse Securities LLC
450,000
$4,275,000
  
0.000
ESCG
IPO
No
N/A
N/A
87336U105
Tableau Software, Inc.
May 17, 2013
May 17, 2013
31.00
0
Goldman Sachs New York
30,000
$930,000
  
0.000
ESCG
IPO
YES
Yes
3+ Years
37518B102
Gigamon, Inc.
June 12, 2013
June 12, 2013
19.00
0.798
Goldman Sachs New York
250,000
$4,750,000
2,432,000,000.00
0.042
ESCG
IPO
No
N/A
N/A
65540B105
Noodles & Co.
June 27, 2013
June 27, 2013
18.00
0
Morgan Stanley & Co., Inc.
5,000
$90,000
  
0.000
ESCG
Secondary Offering
No
N/A
N/A
966244105
Whitewave Foods Co.
July 17, 2013
July 17, 2013
17.75
0
Merrill Lynch
500,000
$8,875,000
  
0.000
ESCG
IPO
No
N/A
N/A
85208M102
Sprouts Farmers Markets, Inc.
August 1, 2013
August 1, 2013
18.00
0
Goldman Sachs New York
38,520
$693,360
  
0.000
EMCG
Secondary Offering
No
N/A
N/A
G66721104
Norwegian Cruise Line HLDGS LTD.
August 9, 2013
August 9, 2013
29.75
0
UBS Securities LLC
38,139
$1,134,635
  
0.000
ESCG
IPO
No
N/A
N/A
29413U103
Envision Healthcare Hldgs Inc.
August 14, 2013
August 14, 2013
23.00
0
Goldman Sachs New York
200,000
$4,600,000
  
0.000
ESCG
Secondary Offering
YES
Yes
5+ Years
25278X109
Diamondback Energy, Inc.
August 15, 2013
August 15, 2013
40.25
0.966
Credit Suisse Securities (USA) LLC
275,000
$11,068,750
161,000,000.00
0.024
ESCG
Secondary Offering
No
N/A
N/A
896215209
Trimas Corp
September 11, 2013
September 11, 2013
35.40
0
Deutsche Bank Secs, Inc.
650,000
$23,010,000
  
0.000
ESCS
Secondary Offering
No
N/A
N/A
29101U209
Emerald Oil, Inc.
September 27, 2013
September 27, 2013
6.70
0
Credit Suisse Securities (USA) LLC
17,390
$116,513
  
0.000
ESCF
IPO
No
N/A
N/A
74736A103
QTS Realty Trust, Inc. REIT
October 9, 2013
October 9, 2013
21.00
0
Goldman Sachs New York
31,825
$668,325
  
0.000
ESCG
IPO
No
N/A
N/A
784178303
SFX Entertainment, Inc.
October 9, 2013
October 9, 2013
13.00
0
UBS AG Stamford, CT
400,000
$5,200,000
  
0.000
EMCG
IPO
No
N/A
N/A
03674X106
Antero Resources Corp
October 10, 2013
October 10, 2013
44.00
0
Baclays Capital, Inc.
18,268
$803,792
  
0.000