EX-99 3 tppex77o.txt SCHEDULE A TRANSACTIONS SUBJECT TO RULE 10F-3 PROCEDURES Fund: Transamerica Partners Core Bond Portfolio Security Description: Corporate Bond Issuer: Chesapeake Energy Corporation Offering Type: US Registered (US Registered, Eligible Muni, Eligible Foreign, 144A)
IN COMPLIANCE REQUIRED INFORMATION ANSWER APPLICABLE RESTRICTION (YES/NO) --------------------------------------- ----------------- --------------------------------- ------------- 1. Offering Date 08/09/2010 None N/A 2. Trade Date 08/09/2010 Must be the same as #1 YES 3. Unit Price of Offering 100% None N/A 4. Price Paid per Unit 100% Must not exceed #3 YES 5. Years of Issuer's Operations MORE THAN 3 Must be at least three years * YES 6. Underwriting Type FIRM Must be firm YES 7. Underwriting Spread 1.625% Sub-Adviser determination to be YES made 8. Total Price paid by the Fund USD 2,710,000 None N/A 9. Total Size of Offering USD 1,400,000,000 None N/A 10. Total Price Paid by the Fund plus Total USD 120,000,000 #10 divided by #9 must not exceed YES Price Paid for same securities 25% ** purchased by the same Sub-Adviser for other investment companies 11. Underwriter(s) from whom the Fund CREDIT SUISSE Must not include Sub-Adviser YES purchased (attach a list of ALL SECURITIES (USA) affiliates *** syndicate members) LLC 12. If the affiliate was lead or co-lead YES Must be "Yes" or "N/A" YES manager, was the instruction listed below given to the broker(s) named in #11? ****
The Sub-Adviser has no reasonable cause to believe that the underwriting commission, spread or profit is NOT reasonable and fair compared to underwritings of similar securities during a comparable period of time. In determining which securities are comparable, the Sub-Adviser has considered the factors set forth in the Fund's 10f-3 procedures. (s) ---------------------------------------- Artemis Brannigan Vice President, Portfolio Compliance BlackRock Investment Management, LLC * Not applicable to munis. In the case of munis, (i) the issue must have one investment grade rating or (ii) if the issuer or the revenue source has been in operation for less than three years, the issue must have one of the three highest ratings. Circle (i) or (ii), whichever is met. ** If an eligible Rule 144A offering, must not exceed 25% of the total amount of same class sold to QIBs in the Rule 144A offering PLUS the amount of the offering of the same class in any concurrent public offering *** For munis purchased from syndicate manager, check box to confirm that the purchase was not designated as a group sale. [ ] **** The Sub-Adviser's affiliate cannot receive any credit for the securities purchased on behalf of the Fund. SCHEDULE A TRANSACTIONS SUBJECT TO RULE 10F-3 PROCEDURES Fund: Transamerica Partners Core Bond Portfolio Security Description: Corporate Bond Issuer: Peabody Energy Corporation Offering Type: US Registered (US Registered, Eligible Muni, Eligible Foreign, 144A)
IN COMPLIANCE REQUIRED INFORMATION ANSWER APPLICABLE RESTRICTION (YES/NO) --------------------------------------- ----------------- --------------------------------- ------------- 1. Offering Date 08/11/2010 None N/A 2. Trade Date 08/11/2010 Must be the same as #1 YES 3. Unit Price of Offering 100% None N/A 4. Price Paid per Unit 100% Must not exceed #3 YES 5. Years of Issuer's Operations MORE THAN 3 Must be at least three years * YES 6. Underwriting Type FIRM Must be firm YES 7. Underwriting Spread 1.25% Sub-Adviser determination to be YES made 8. Total Price paid by the Fund USD 4,095,000 None N/A 9. Total Size of Offering USD 650,000,000 None N/A 10. Total Price Paid by the Fund plus Total USD 80,000,000 #10 divided by #9 must not exceed YES Price Paid for same securities 25% ** purchased by the same Sub-Adviser for other investment companies 11. Underwriter(s) from whom the Fund BANC OF AMERICA Must not include Sub-Adviser YES purchased (attach a list of ALL SECURITIES LLC affiliates *** syndicate members) 12. If the affiliate was lead or co-lead YES Must be "Yes" or "N/A" YES manager, was the instruction listed below given to the broker(s) named in #11? ****
The Sub-Adviser has no reasonable cause to believe that the underwriting commission, spread or profit is NOT reasonable and fair compared to underwritings of similar securities during a comparable period of time. In determining which securities are comparable, the Sub-Adviser has considered the factors set forth in the Fund's 10f-3 procedures. (s) ---------------------------------------- Artemis Brannigan Vice President, Portfolio Compliance BlackRock Investment Management, LLC * Not applicable to munis. In the case of munis, (i) the issue must have one investment grade rating or (ii) if the issuer or the revenue source has been in operation for less than three years, the issue must have one of the three highest ratings. Circle (i) or (ii), whichever is met. ** If an eligible Rule 144A offering, must not exceed 25% of the total amount of same class sold to QIBs in the Rule 144A offering PLUS the amount of the offering of the same class in any concurrent public offering *** For munis purchased from syndicate manager, check box to confirm that the purchase was not designated as a group sale. [ ] **** The Sub-Adviser's affiliate cannot receive any credit for the securities purchased on behalf of the Fund. SCHEDULE A TRANSACTIONS SUBJECT TO RULE 10F-3 PROCEDURES Fund: Transamerica Partners Core Bond Portfolio Security Description: Corporate Bond Issuer: NBC Universal, Inc. Offering Type: 144A (US Registered, Eligible Muni, Eligible Foreign, 144A)
IN COMPLIANCE REQUIRED INFORMATION ANSWER APPLICABLE RESTRICTION (YES/NO) --------------------------------------- ----------------- --------------------------------- ------------- 1. Offering Date 09/27/2010 None N/A 2. Trade Date 09/27/2010 Must be the same as #1 YES 3. Unit Price of Offering 99.975% None N/A 4. Price Paid per Unit 99.975% Must not exceed #3 YES 5. Years of Issuer's Operations MORE THAN 3 Must be at least three years * YES 6. Underwriting Type FIRM Must be firm YES 7. Underwriting Spread 0.45% Sub-Adviser determination to be YES made 8. Total Price paid by the Fund USD 4,425,000 None N/A 9. Total Size of Offering USD 2,000,000,000 None N/A 10. Total Price Paid by the Fund plus Total USD 315,000,000 #10 divided by #9 must not exceed YES Price Paid for same securities 25% ** purchased by the same Sub-Adviser for other investment companies 11. Underwriter(s) from whom the Fund MORGAN STANLEY Must not include Sub-Adviser YES purchased (attach a list of ALL & CO. affiliates *** syndicate members) 12. If the affiliate was lead or co-lead YES Must be "Yes" or "N/A" YES manager, was the instruction listed below given to the broker(s) named in #11? ****
The Sub-Adviser has no reasonable cause to believe that the underwriting commission, spread or profit is NOT reasonable and fair compared to underwritings of similar securities during a comparable period of time. In determining which securities are comparable, the Sub-Adviser has considered the factors set forth in the Fund's 10f-3 procedures. (s) ---------------------------------------- Artemis Brannigan Vice President, Portfolio Compliance BlackRock Investment Management, LLC * Not applicable to munis. In the case of munis, (i) the issue must have one investment grade rating or (ii) if the issuer or the revenue source has been in operation for less than three years, the issue must have one of the three highest ratings. Circle (i) or (ii), whichever is met. ** If an eligible Rule 144A offering, must not exceed 25% of the total amount of same class sold to QIBs in the Rule 144A offering PLUS the amount of the offering of the same class in any concurrent public offering *** For munis purchased from syndicate manager, check box to confirm that the purchase was not designated as a group sale. [ ] **** The Sub-Adviser's affiliate cannot receive any credit for the securities purchased on behalf of the Fund. SCHEDULE A TRANSACTIONS SUBJECT TO RULE 10F-3 PROCEDURES Fund: Transamerica JPMorgan Partners Balanced Fund Security Description: Apache Corporation (APA) Secondary Issuer: Apache Corporation (APA) Secondary (CUSIP # 03741110) Offering Type: US Registered
IN COMPLIANCE REQUIRED INFORMATION ANSWER APPLICABLE RESTRICTION (YES/NO) --------------------------------------- ----------------- --------------------------------- ------------- 1. Offering Date 07/23/2010 None YES 2. Trade Date 07/23/2010 Must be the same as #1 YES 3. Unit Price of Offering $88.00 None YES 4. Price Paid per Unit $88.00 Must not exceed #3 YES 5. Years of Issuer's Operations MORE THAN 3 Must be at least three years * YES 6. Underwriting Type FIRM Must be firm YES 7. Underwriting Spread $2.64 Sub-Adviser determination to be YES made 8. Total Price paid by the Fund $79,200 None YES 9. Total Size of Offering $1,963,280,000 None YES 10. Total Price Paid by the Fund plus Total $45,698,400 #10 divided by #9 must not exceed YES Price Paid for same securities 25% ** purchased by the same Sub-Adviser for other investment companies 11. Underwriter(s) from whom the Fund GOLDMAN SACHS AND Must not include Sub-Adviser YES purchased (attach a list of ALL COMPANY NEW YORK affiliates *** syndicate members) 12. If the affiliate was lead or co-lead YES Must be "Yes" or "N/A" YES manager, was the instruction listed below given to the broker(s) named in #11? ****
The Sub-Adviser has no reasonable cause to believe that the underwriting commission, spread or profit is NOT reasonable and fair compared to underwritings of similar securities during a comparable period of time. In determining which securities are comparable, the Sub-Adviser has considered the factors set forth in the Fund's 10f-3 procedures. (s) --------------------------------------- Donna Nascimento, Vice President J.P. Morgan Investment Management, Inc. * Not applicable to munis. In the case of munis, (i) the issue must have one investment grade rating or (ii) if the issuer or the revenue source has been in operation for less than three years, the issue must have one of the three highest ratings. Circle (i) or (ii), whichever is met. ** If an eligible Rule 144A offering, must not exceed 25% of the total amount of same class sold to QIBs in the Rule 144A offering PLUS the amount of the offering of the same class in any concurrent public offering *** For munis purchased from syndicate manager, check box to confirm that the purchase was not designated as a group sale. [ ] **** The Sub-Adviser's affiliate cannot receive any credit for the securities purchased on behalf of the Fund. SCHEDULE A TRANSACTIONS SUBJECT TO RULE 10F-3 PROCEDURES Fund: Transamerica Partners Balanced Fund Security Description: General Motors Company (GM) IPO Issuer: General Motors Company (GM) IPO CUSIP # 37045V10 Offering Type: US Registered
IN COMPLIANCE REQUIRED INFORMATION ANSWER APPLICABLE RESTRICTION (YES/NO) --------------------------------------- ----------------- --------------------------------- ------------- 1. Offering Date 11/18/2010 None YES 2. Trade Date 11/18/2010 Must be the same as #1 YES 3. Unit Price of Offering $33.00 None YES 4. Price Paid per Unit $33.00 Must not exceed #3 YES 5. Years of Issuer's Operations MORE THAN 3 Must be at least three years * YES 6. Underwriting Type FIRM Must be firm YES 7. Underwriting Spread $0.25 Sub-Adviser determination to be YES made 8. Total Price paid by the Fund $267,300 None YES 9. Total Size of Offering 15,774,000,000 None YES 10. Total Price Paid by the Fund plus Total $173,853,900 #10 divided by #9 must not exceed YES Price Paid for same securities 25% ** purchased by the same Sub-Adviser for other investment companies 11. Underwriter(s) from whom the Fund MORGAN STANLEY Must not include Sub-Adviser YES purchased (attach a list of ALL AND COMPANY affiliates *** syndicate members) 12. If the affiliate was lead or co-lead YES Must be "Yes" or "N/A" YES manager, was the instruction listed below given to the broker(s) named in #11? ****
The Sub-Adviser has no reasonable cause to believe that the underwriting commission, spread or profit is NOT reasonable and fair compared to underwritings of similar securities during a comparable period of time. In determining which securities are comparable, the Sub-Adviser has considered the factors set forth in the Fund's 10f-3 procedures. (s) --------------------------------------- Donna Nascimento, Vice President J.P. Morgan Investment Management, Inc. * Not applicable to munis. In the case of munis, (i) the issue must have one investment grade rating or (ii) if the issuer or the revenue source has been in operation for less than three years, the issue must have one of the three highest ratings. Circle (i) or (ii), whichever is met. ** If an eligible Rule 144A offering, must not exceed 25% of the total amount of same class sold to QIBs in the Rule 144A offering PLUS the amount of the offering of the same class in any concurrent public offering *** For munis purchased from syndicate manager, check box to confirm that the purchase was not designated as a group sale. [ ] **** The Sub-Adviser's affiliate cannot receive any credit for the securities purchased on behalf of the Fund. SCHEDULE A TRANSACTIONS SUBJECT TO RULE 10F-3 PROCEDURES Fund: Transamerica Partners Balanced Security Description: HCP, Inc. (HCP) Secondary Issuer: HCP, Inc. (HCP) Secondary CUSIP # 40414L10 Offering Type: US Registered
IN COMPLIANCE REQUIRED INFORMATION ANSWER APPLICABLE RESTRICTION (YES/NO) --------------------------------------- ----------------- --------------------------------- ------------- 1. Offering Date 12/14/2010 None YES 2. Trade Date 12/14/2010 Must be the same as #1 YES 3. Unit Price of Offering $32.00 None YES 4. Price Paid per Unit $32.00 Must not exceed #3 YES 5. Years of Issuer's Operations MORE THAN 3 Must be at least three years * YES 6. Underwriting Type FIRM Must be firm YES 7. Underwriting Spread $1.28 Sub-Adviser determination to be YES made 8. Total Price paid by the Fund $25,600 None YES 9. Total Size of Offering 1,280,000,000 None YES 10. Total Price Paid by the Fund plus Total $76,320,000 #10 divided by #9 must not exceed YES Price Paid for same securities 25% ** purchased by the same Sub-Adviser for other investment companies 11. Underwriter(s) from whom the Fund CITIGROUP GLOBAL Must not include Sub-Adviser YES purchased (attach a list of ALL MARKETS affiliates *** syndicate members) 12. If the affiliate was lead or co-lead YES Must be "Yes" or "N/A" YES manager, was the instruction listed below given to the broker(s) named in #11? ****
The Sub-Adviser has no reasonable cause to believe that the underwriting commission, spread or profit is NOT reasonable and fair compared to underwritings of similar securities during a comparable period of time. In determining which securities are comparable, the Sub-Adviser has considered the factors set forth in the Fund's 10f-3 procedures. (s) --------------------------------------- Donna Nascimento, Vice President J.P. Morgan Investment Management, Inc. * Not applicable to munis. In the case of munis, (i) the issue must have one investment grade rating or (ii) if the issuer or the revenue source has been in operation for less than three years, the issue must have one of the three highest ratings. Circle (i) or (ii), whichever is met. ** If an eligible Rule 144A offering, must not exceed 25% of the total amount of same class sold to QIBs in the Rule 144A offering PLUS the amount of the offering of the same class in any concurrent public offering *** For munis purchased from syndicate manager, check box to confirm that the purchase was not designated as a group sale. [ ] **** The Sub-Adviser's affiliate cannot receive any credit for the securities purchased on behalf of the Fund. SCHEDULE A TRANSACTIONS SUBJECT TO RULE 10F-3 PROCEDURES Fund: Transamerica Partners Mid Value Security Description: LPL Investment Holdings Inc. (LPLA) IPO Issuer: LPL Investment Holdings Inc. (LPLA) IPO CUSIP # 50213H10 Offering Type: US Registered
IN COMPLIANCE REQUIRED INFORMATION ANSWER APPLICABLE RESTRICTION (YES/NO) --------------------------------------- ----------------- --------------------------------- ------------- 1. Offering Date 11/18/2010 None YES 2. Trade Date 11/18/2010 Must be the same as #1 YES 3. Unit Price of Offering $30.00 None YES 4. Price Paid per Unit $30.00 Must not exceed #3 YES 5. Years of Issuer's Operations MORE THAN 3 Must be at least three years * YES 6. Underwriting Type FIRM Must be firm YES 7. Underwriting Spread $1.58 Sub-Adviser determination to be YES made 8. Total Price paid by the Fund $774,000 None YES 9. Total Size of Offering 469,724,460 None YES 10. Total Price Paid by the Fund plus Total $28,164,000 #10 divided by #9 must not exceed YES Price Paid for same securities 25% ** purchased by the same Sub-Adviser for other investment companies 11. Underwriter(s) from whom the Fund GOLDMAN SACHS AND Must not include Sub-Adviser YES purchased (attach a list of ALL COMPANY NEW YORK affiliates *** syndicate members) 12. If the affiliate was lead or co-lead YES Must be "Yes" or "N/A" YES manager, was the instruction listed below given to the broker(s) named in #11? ****
The Sub-Adviser has no reasonable cause to believe that the underwriting commission, spread or profit is NOT reasonable and fair compared to underwritings of similar securities during a comparable period of time. In determining which securities are comparable, the Sub-Adviser has considered the factors set forth in the Fund's 10f-3 procedures. (s) --------------------------------------- Donna Nascimento, Vice President J.P. Morgan Investment Management, Inc. * Not applicable to munis. In the case of munis, (i) the issue must have one investment grade rating or (ii) if the issuer or the revenue source has been in operation for less than three years, the issue must have one of the three highest ratings. Circle (i) or (ii), whichever is met. ** If an eligible Rule 144A offering, must not exceed 25% of the total amount of same class sold to QIBs in the Rule 144A offering PLUS the amount of the offering of the same class in any concurrent public offering *** For munis purchased from syndicate manager, check box to confirm that the purchase was not designated as a group sale. [ ] **** The Sub-Adviser's affiliate cannot receive any credit for the securities purchased on behalf of the Fund. SCHEDULE A TRANSACTIONS SUBJECT TO RULE 10F-3 PROCEDURES Fund: Transamerica Partners Mid Value Security Description: Dollar General Corporation (DG) Secondary Issuer: Dollar General Corporation (DG) Secondary Offering Type: US Registered (CUSIP # 25667710)
IN COMPLIANCE REQUIRED INFORMATION ANSWER APPLICABLE RESTRICTION (YES/NO) --------------------------------------- ----------------- --------------------------------- ------------- 1. Offering Date 12/08/2010 None YES 2. Trade Date 12/08/2010 Must be the same as #1 YES 3. Unit Price of Offering $30.50 None YES 4. Price Paid per Unit $30.50 Must not exceed #3 YES 5. Years of Issuer's Operations MORE THAN 3 Must be at least three years * YES 6. Underwriting Type FIRM Must be firm YES 7. Underwriting Spread $1.04 Sub-Adviser determination to be YES made 8. Total Price paid by the Fund $969,900 None YES 9. Total Size of Offering 762,500,000 None YES 10. Total Price Paid by the Fund plus Total $18,300,000 #10 divided by #9 must not exceed YES Price Paid for same securities 25% ** purchased by the same Sub-Adviser for other investment companies 11. Underwriter(s) from whom the Fund CITIGROUP GLOBAL Must not include Sub-Adviser YES purchased (attach a list of ALL MARKETS affiliates *** syndicate members) 12. If the affiliate was lead or co-lead YES Must be "Yes" or "N/A" YES manager, was the instruction listed below given to the broker(s) named in #11? ****
The Sub-Adviser has no reasonable cause to believe that the underwriting commission, spread or profit is NOT reasonable and fair compared to underwritings of similar securities during a comparable period of time. In determining which securities are comparable, the Sub-Adviser has considered the factors set forth in the Fund's 10f-3 procedures. (s) --------------------------------------- Donna Nascimento, Vice President J.P. Morgan Investment Management, Inc. * Not applicable to munis. In the case of munis, (i) the issue must have one investment grade rating or (ii) if the issuer or the revenue source has been in operation for less than three years, the issue must have one of the three highest ratings. Circle (i) or (ii), whichever is met. ** If an eligible Rule 144A offering, must not exceed 25% of the total amount of same class sold to QIBs in the Rule 144A offering PLUS the amount of the offering of the same class in any concurrent public offering *** For munis purchased from syndicate manager, check box to confirm that the purchase was not designated as a group sale. [ ] **** The Sub-Adviser's affiliate cannot receive any credit for the securities purchased on behalf of the Fund. SCHEDULE A TRANSACTIONS SUBJECT TO RULE 10F-3 PROCEDURES Fund: Transamerica Partners Mid Value Security Description: HCP, Inc. (HCP) Secondary Issuer: HCP, Inc. (HCP) Secondary Offering Type: US Registered (CUSIP # 40414L10)
IN COMPLIANCE REQUIRED INFORMATION ANSWER APPLICABLE RESTRICTION (YES/NO) --------------------------------------- ----------------- --------------------------------- ------------- 1. Offering Date 12/14/2010 None YES 2. Trade Date 12/14/2010 Must be the same as #1 YES 3. Unit Price of Offering $32.00 None YES 4. Price Paid per Unit $32.00 Must not exceed #3 YES 5. Years of Issuer's Operations MORE THAN 3 Must be at least three years * YES 6. Underwriting Type FIRM Must be firm YES 7. Underwriting Spread $1.28 Sub-Adviser determination to be YES made 8. Total Price paid by the Fund $771,200 None YES 9. Total Size of Offering 1,280,000,000 None YES 10. Total Price Paid by the Fund plus Total $76,320,000 #10 divided by #9 must not exceed YES Price Paid for same securities 25% ** purchased by the same Sub-Adviser for other investment companies 11. Underwriter(s) from whom the Fund CITIGROUP GLOBAL Must not include Sub-Adviser YES purchased (attach a list of ALL MARKETS affiliates *** syndicate members) 12. If the affiliate was lead or co-lead YES Must be "Yes" or "N/A" YES manager, was the instruction listed below given to the broker(s) named in #11? ****
The Sub-Adviser has no reasonable cause to believe that the underwriting commission, spread or profit is NOT reasonable and fair compared to underwritings of similar securities during a comparable period of time. In determining which securities are comparable, the Sub-Adviser has considered the factors set forth in the Fund's 10f-3 procedures. (s) --------------------------------------- Donna Nascimento, Vice President J.P. Morgan Investment Management, Inc. * Not applicable to munis. In the case of munis, (i) the issue must have one investment grade rating or (ii) if the issuer or the revenue source has been in operation for less than three years, the issue must have one of the three highest ratings. Circle (i) or (ii), whichever is met. ** If an eligible Rule 144A offering, must not exceed 25% of the total amount of same class sold to QIBs in the Rule 144A offering PLUS the amount of the offering of the same class in any concurrent public offering *** For munis purchased from syndicate manager, check box to confirm that the purchase was not designated as a group sale. [ ] **** The Sub-Adviser's affiliate cannot receive any credit for the securities purchased on behalf of the Fund.