EX-99 3 smallcogrowthxoom.htm Unassociated Document
 
 

 

         
 
Fund Name
MassMutual Select Small Company Growth Fund
   
 
Series Number
(Series 23)
   
 
Name of Affiliate member of underwriting or selling syndicate
Raymond James
   
         
 
(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
XOOM Corporation
   
 
Description of Security
Common Stock
   
         
 
Date Purchased
02/15/13
   
         
 
Underwriter(s) from whom purchased
Barclays
   
         
 
Syndicate Member(s)
Barclays
   
   
Needham & Company
   
   
Raymond James
   
   
Baird
   
         
 
Aggregate Principal amount or Number of Shares
12
   
 
Aggregate Purchase Price
$192.00
   
 
Aggregate principal amount of such class of securities being offered
$101,200,000.00
   
         
 
Purchase Price per Unit
$16.00
   
         
 
Date First Offered:
02/15/13
   
 
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.
$16.00
   
 
Commission, spread or profit (%)
7.00%; $0.07
   
         
 
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.