EX-99 5 smcogrkosmos.htm Unassociated Document
 
 

 

         
 
Fund Name
MassMutual Select Small Company Growth Fund
   
 
Series Number
(Series 23)
   
 
Name of Affiliate member of underwriting or selling syndicate
Jefferies
   
         
 
(A) if part of an issue registered under the Securities Act of 1933 that is being offered to the public,
Yes
   
 
(B) part of an issue of governmental securities, as defined in section 2(a)(16) of the Investment Company Act of 1940,
   
 
(C) if Eligible Municipal Securities,
     
 
(D) if Securities sold in an Eligible Foreign Offering,
     
 
(E) if Securities sold in an Eligible Rule 144A Offering
     
         
 
Issuer/Name of Security
Kosmos Energy Ltd. (KOS)
   
 
Description of Security
Common Stock
   
         
 
Date Purchased
5/10/2011
   
         
 
Underwriter(s) from whom purchased
Citigroup
   
         
 
Syndicate Member(s)
Citi (Global Coordinator)
   
   
Barclays Capital (Global Coordinator)
   
   
Credit Suisse
   
   
BNP Paribas
   
   
Societe Generale
   
   
Credit Agricole CIB (Co-Manager)
   
   
Howard Weil Inc. (Co-Manager)
   
   
HSBC (Co-Manager)
   
   
Jefferies (Co-Manager)
   
   
Natixis (Co-Manager)
   
   
RBC Capital Markets (Co-Manager)
   
         
(X)
Aggregate Principal amount or Number of Shares
107 shares
   
 
Aggregate Purchase Price
$1,926.00
   
(Y)
Aggregate principal amount of such class of securities being offered
$594,000,000
   
         
 
Purchase Price per Unit
$18.00
   
         
 
Date First Offered:
5/10/2011
   
 
Price paid by each other purchaser in the offering or in any concurrent offering prior to close of first full business day on which sales are made.
$18.00
   
 
Commission, spread or profit (%)
6% / 1.08 selling concession
   
         
 
The advisor/sub advisor certifies that the following information contained herein is complete and accurate and the following conditions have been satisfied:
 
The purchase price did not exceed the price paid by each other purchaser in the offering or in any concurrent offering prior to close of first full business day on which sales are made.
 
The underwriting was a Firm Commitment Underwriting:
     
 
The commission, spread, or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period
 
For securities that are not municipal securities - The issuer has been in continuous operation for not less than three years, including the operations of any predecessors.
 
For municipal securities only - The issue of securities has received an investment grade rating from a NRSRO  or, if the issuer or entity supplying the revenues from which the issue is to be paid has been in operation less than three years (including the
 
The amount of such securities purchased by all of the investment companies advised by the advisor and the relevant sub-advisor(s) to the Fund purchasing such securities did not exceed 25% of  (X) or (Y).
 
No Affiliated Underwriter was a direct or indirect participant in the sale.
     
 
Each transaction specified in this report has been effected in compliance with SEC Rule 10f-3.