EX-99 2 tpp77o.txt SCHEDULE A TRANSACTIONS SUBJECT TO RULE 10F-3 PROCEDURES Fund: Transamerica Partners Balanced Security Description: MET Secondary Issuer: MetLife, Inc (MET) Secondary Offering Type: US Registered
IN COMPLIANCE REQUIRED INFORMATION ANSWER APPLICABLE RESTRICTION (YES/NO) ----------------------------------------- ------------------- --------------------------------- ------------- 1. Offering Date 03/03/2011 None YES 2. Trade Date 03/03/2011 Must be the same as #1 YES 3. Unit Price of Offering $43.25 None YES 4. Price Paid per Unit $43.25 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 $0.22 Sub-Adviser determination to be YES made 8. Total Price paid by the Fund $129,750 None YES 9. Total Size of Offering $6,349,520,044 None YES 10. Total Price Paid by the Fund plus Total $109,007,300 #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 & CO. Must not include Sub-Adviser YES purchased (attach a list of ALL 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: (HCA) IPO Issuer: HCA Holdings, Inc (HCA) IPO Offering Type: US Registered
IN COMPLIANCE REQUIRED INFORMATION ANSWER APPLICABLE RESTRICTION (YES/NO) ----------------------------------------- ------------------- --------------------------------- ------------- 1. Offering Date 03/09/2011 None YES 2. Trade Date 03/09/2011 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 $1.09 Sub-Adviser determination to be YES made 8. Total Price paid by the Fund $2,334,000 None YES 9. Total Size of Offering $3,786,000,000 None YES 10. Total Price Paid by the Fund plus Total $45,000,000 #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 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) Secondary Issuer: HCP, Inc (HCP) Secondary Offering Type: US Registered
IN COMPLIANCE REQUIRED INFORMATION ANSWER APPLICABLE RESTRICTION (YES/NO) ----------------------------------------- ------------------- --------------------------------- ------------- 1. Offering Date 03/22/2011 None YES 2. Trade Date 03/22/2011 Must be the same as #1 YES 3. Unit Price of Offering $36.90 None YES 4. Price Paid per Unit $36.90 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 $1.11 Sub-Adviser determination to be YES made 8. Total Price paid by the Fund $619,920 None YES 9. Total Size of Offering $1,107,000,000 None YES 10. Total Price Paid by the Fund plus Total $26,689,770 #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 MERRILL LYNCH & CO Must not include Sub-Adviser YES purchased (attach a list of ALL INC 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: (PPL) Secondary Issuer: PPL Corporation (PPL) Secondary Offering Type: US Registered
IN COMPLIANCE REQUIRED INFORMATION ANSWER APPLICABLE RESTRICTION (YES/NO) ----------------------------------------- ------------------- --------------------------------- ------------- 1. Offering Date 04/11/2011 None YES 2. Trade Date 04/11/2011 Must be the same as #1 YES 3. Unit Price of Offering $25.30 None YES 4. Price Paid per Unit $25.30 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 $0.76 Sub-Adviser determination to be YES made 8. Total Price paid by the Fund $48,070 None YES 9. Total Size of Offering $2,024,000,000 None YES 10. Total Price Paid by the Fund plus Total $27,996,980 #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 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: (FSL) IPO Issuer: Freescale Semiconductor Holdings I, LTD (FSL) IPO Offering Type: US Registered
IN COMPLIANCE REQUIRED INFORMATION ANSWER APPLICABLE RESTRICTION (YES/NO) ----------------------------------------- ------------------- --------------------------------- ------------- 1. Offering Date 05/26/2011 None YES 2. Trade Date 05/26/2011 Must be the same as #1 YES 3. Unit Price of Offering $18.00 None YES 4. Price Paid per Unit $18.00 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 $0.81 Sub-Adviser determination to be YES made 8. Total Price paid by the Fund $86,400 None YES 9. Total Size of Offering $783,000,000 None YES 10. Total Price Paid by the Fund plus Total $92,655,000 #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 DEUTSCHE BANK Must not include Sub-Adviser YES purchased (attach a list of ALL SECURITIES 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