EX-99.77O RULE 10F-3 2 rule-10f3.htm rule-10f3.htm

Transactions effected pursuant to Rule 10F3.
                               
Fund:
Type
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
EMCG
IPO
No
N/A
N/A
90184L102
Twitter, Inc.
November 7, 2013
November 7, 2013
26.00
0
Goldman Sachs New York
76,207
$1,981,382
  
0.000
ESCG
Secondary Offering
Yes
Yes
5+ Years
25278X109
Diamondback Energy, Inc.
November 7, 2013
November 7, 2013
53.46
0
Credit Suisse Securities (USA) LLC
100,000
$5,346,000
  
0.000
EMCG
Secondary Offering
No
N/A
N/A
402635304
Gulfport Energy, Corp
November 7, 2013
November 7, 2013
56.75
0
Credit Suisse Securities (USA) LLC
91,448
$5,189,674
  
0.000
EMCG
Secondary Offering
No
N/A
N/A
402635304
Gulfport Energy, Corp
November 7, 2013
November 7, 2013
56.75
0
First Clearing Secs NY
1,524
$86,487
  
0.000
ESCG
IPO
No
N/A
N/A
44157R109
Houghton Mifflin Harcourt Co
November 14, 2013
November 14, 2013
12.00
0
Morgan Stanley & Co., Inc.
600,000
$7,200,000
  
0.000
ESCG
Secondary Offering
No
N/A
N/A
65540B105
Noodles & Co.
December 5, 2013
December 5, 2013
39.50
0
Morgan Stanley & Co, Inc.
750,000
$29,625,000
  
0.000
EIGB
Secondary Issue
No
N/A
N/A
03027XAC4
American Tower Corp NEW SR NT 3.4% 15/FEB/2019
January 7, 2014
January 7, 2014
102.94
0
RBC Dain Rauscher, Inc.
250,000
$257,350
  
0.000
ESCG
Secondary Offering
No
N/A
N/A
492515101
KERYX Biopharmaceuticals
January 23, 2014
January 23, 2014
14.50
0
JP Morgan Clearing Corp NY
200,000
$2,900,000
  
0.000
ESCG
IPO
No
N/A
N/A
46090K109
Intrawest Resorts Holdings Inc
January 31, 2014
January 31, 2014
12.00
0
Bank of New York (BONY)/Goldman
1,100,000
$13,200,000
  
0.000
ESCF
IPO
Yes
Yes
3+ Years
87482X101
Talmer Bancorp, Inc.
February 11, 2014
February 11, 2014
13.00
0
Stifel Nicolays & Co. New York
29,716
$386,308
  
0.000
ESCG
Secondary Issue
No
N/A
N/A
683745103
Ophthotech Corp
February 11, 2014
February 11, 2014
31.50
0
Morgan Stanley & Co. Inc.
50,512
$1,591,136
  
0.000
EMCG
IPO
No
N/A
N/A
44970B109
IMS Health Holdings, Inc.
April 4, 2014
April 4, 2014
20.00
0
Morgan Stanley & Co, Inc.
76,103
$1,522,060
  
0.000
EMCG
Secondary Offering
No
N/A
N/A
02005N100
Ally Financial, Inc.
April 9, 2014
April 9, 2014
25.00
0
Morgan Stanley & Co. Inc.
364,706
$9,117,650
  
0.000