EX-99.77O RULE 10F-3 7 tppmidval110f3.htm Unassociated Document
 
 

 

Schedule A - 2014 Q1
TRANSACTIONS SUBJECT TO RULE 10f-3 PROCEDURES

Fund: Transamerica Partners Mid Value Portfolio                                                                                           Security:  See Attached

Issuer: See Attached                                                                                 Offering Type: US Registered



 
 
 
REQUIRED INFORMATION
 
 
 
ANSWER
 
 
APPLICABLE RESTRICTION
 
In Compliance
(Yes/No)
 
 
 1.
 
 2.
 
 3.
 
 4.
 
 5.
 
 6.
 
 7.
 
 8.
 
 9.
 
10.
 
 
 
 
11.
 
 
 
12.
 
 
Offering Date
 
Trade Date
 
Unit Price of Offering
 
Price Paid per Unit
 
Years of Issuer’s Operations
 
Underwriting Type
 
Underwriting Spread
 
Total Price paid by the Fund
 
Total Size of Offering
 
Total Price Paid by the Fund plus Total Price Paid for same securities purchased by the same Sub-Adviser for other investment companies
 
Underwriter(s) from whom the Fund purchased (attach a list of all syndicate members)
 
If the affiliate was lead or co-lead manager, was the instruction listed below given to the broker(s) named in #11? ****
 
 
See Attached
 
See Attached
 
See Attached
 
See Attached
 
More than 3
 
Firm
 
See Attached
 
See Attached
 
See Attached
 
 
See Attached
 
 
See attached
 
 
 
Yes
 
 
None
 
Must be the same as #1
 
None
 
Must not exceed #3
 
Must be at least three years *
 
Must be firm
 
Sub-Adviser determination to be made
 
None
 
None
 
 
 
#10 divided by #9 must not exceed
25% **
 
 
Must not include Sub-Adviser
affiliates ***
 
 
 
Must be “Yes” or “N/A”
 
YES
 
YES
 
YES
 
YES
 
 
YES
 
YES
 
YES
 
YES
 
 
 
 
YES
 
 
 
YES
 
 
 
YES

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.

[Missing Graphic Reference]
__________________________________
Anna K. Jensen, 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 – 2014 Q2
TRANSACTIONS SUBJECT TO RULE 10f-3 PROCEDURES

Fund: Transamerica Partners Mid Value Portfolio                                                                                           Security:  See Attached

Issuer: See Attached                                                                                 Offering Type: US Registered



 
 
 
REQUIRED INFORMATION
 
 
 
ANSWER
 
 
APPLICABLE RESTRICTION
 
In Compliance
(Yes/No)
 
 
 1.
 
 2.
 
 3.
 
 4.
 
 5.
 
 6.
 
 7.
 
 8.
 
 9.
 
10.
 
 
 
 
11.
 
 
 
12.
 
 
Offering Date
 
Trade Date
 
Unit Price of Offering
 
Price Paid per Unit
 
Years of Issuer’s Operations
 
Underwriting Type
 
Underwriting Spread
 
Total Price paid by the Fund
 
Total Size of Offering
 
Total Price Paid by the Fund plus Total Price Paid for same securities purchased by the same Sub-Adviser for other investment companies
 
Underwriter(s) from whom the Fund purchased (attach a list of all syndicate members)
 
If the affiliate was lead or co-lead manager, was the instruction listed below given to the broker(s) named in #11? ****
 
 
See Attached
 
See Attached
 
See Attached
 
See Attached
 
More than 3
 
Firm
 
See Attached
 
See Attached
 
See Attached
 
 
See Attached
 
 
See attached
 
 
 
Yes
 
 
None
 
Must be the same as #1
 
None
 
Must not exceed #3
 
Must be at least three years *
 
Must be firm
 
Sub-Adviser determination to be made
 
None
 
None
 
 
 
#10 divided by #9 must not exceed
25% **
 
 
Must not include Sub-Adviser
affiliates ***
 
 
 
Must be “Yes” or “N/A”
 
YES
 
YES
 
YES
 
YES
 
 
YES
 
YES
 
YES
 
YES
 
 
 
 
YES
 
 
 
YES
 
 
 
YES

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.

[Missing Graphic Reference]
__________________________________
Anna K. Jensen, 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 – 2014 Q3
TRANSACTIONS SUBJECT TO RULE 10f-3 PROCEDURES

Fund: Transamerica Partners Mid Value Portfolio                                                                                           Security:  See Attached

Issuer: See Attached                                                                                 Offering Type: US Registered



 
 
 
REQUIRED INFORMATION
 
 
 
ANSWER
 
 
APPLICABLE RESTRICTION
 
In Compliance
(Yes/No)
 
 
 1.
 
 2.
 
 3.
 
 4.
 
 5.
 
 6.
 
 7.
 
 8.
 
 9.
 
10.
 
 
 
 
11.
 
 
 
12.
 
 
Offering Date
 
Trade Date
 
Unit Price of Offering
 
Price Paid per Unit
 
Years of Issuer’s Operations
 
Underwriting Type
 
Underwriting Spread
 
Total Price paid by the Fund
 
Total Size of Offering
 
Total Price Paid by the Fund plus Total Price Paid for same securities purchased by the same Sub-Adviser for other investment companies
 
Underwriter(s) from whom the Fund purchased (attach a list of all syndicate members)
 
If the affiliate was lead or co-lead manager, was the instruction listed below given to the broker(s) named in #11? ****
 
 
See Attached
 
See Attached
 
See Attached
 
See Attached
 
More than 3
 
Firm
 
See Attached
 
See Attached
 
See Attached
 
 
See Attached
 
 
See attached
 
 
 
Yes
 
 
None
 
Must be the same as #1
 
None
 
Must not exceed #3
 
Must be at least three years *
 
Must be firm
 
Sub-Adviser determination to be made
 
None
 
None
 
 
 
#10 divided by #9 must not exceed
25% **
 
 
Must not include Sub-Adviser
affiliates ***
 
 
 
Must be “Yes” or “N/A”
 
YES
 
YES
 
YES
 
YES
 
 
YES
 
YES
 
YES
 
YES
 
 
 
 
YES
 
 
 
YES
 
 
 
YES

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.

[Missing Graphic Reference]
__________________________________
Anna K. Jensen, 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.