Prudential U.S. Emerging Growth Fund, Inc.
For the fiscal period ended October 31, 2000.
File number : 811-07811
SUB-ITEM 77-0
EXHIBITS
Transactions Effected Pursuant to
Rule 10f-3
Ia.
1. Name of Issuer
Proxicom Inc.
2. Date of Purchase
10/8/1999
3. Number of Securities Purchased
5,000
4. Dollar Amount of Purchase
$261,875
5. Price Per Unit
$52.38
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Thomas Weisel Partner LLC
7. Other members of the Underwriting
Syndicate:
Thomas Weisel Partners LLC
First Union Capital Markets Corp.
Friedman Billings Ramsey
Prudential Securities Incorporated
E*OFFERING
Ib.
1. Name of Issuer
Quicklogic Corp.
2. Date of Purchase
10/15/1999
3. Number of Securities Purchased
3,700
4. Dollar Amount of Purchase
$37,000
5. Price Per Unit
$10.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Soundview Financial Group/Robertson
Stephens
7. Other members of the Underwriting Syndicate
Underwriter
BancBoston Robertson Stephens
Bear, Stearns & Co. Inc.
SoundView Technology Group, Inc.
International Underwriter
BancBoston Robertson Stephens
International Limited
Bear, Stearns International Limited
SoundView Technology Group, Inc.
Ic.
1. Name of Issuer
World Wrestling Federation Entertainment
2. Date of Purchase
10/18/1999
3. Number of Securities Purchased
16,000
4. Dollar Amount of Purchase
$272,000
5. Price Per Unit
$17.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Bear, Stearns & Co., Inc.
7. Other members of the Underwriting Syndicate
Bear, Stearns & Co., Inc.
Credit Suisse First Boston Corporation
Merrill Lynch, Pierce, Fenner & Smith
Incorporated
W Capital Corporation
Allen & Company Incorporated
Banc of America Securities LLC
Deutsche Bank Securities Inc.
Donaldson, Lufkin & Jenrette Securities
Corporation
A.G. Edwards & Sons, Inc.
Hambrechs & Quist LLC
ING Barings LLC
Prudential Securities Incorporated
SG Cowen Securities Corporation
Wasscrstein Pcrella Securities, Inc.
Advest, Inc.
Axiom Partners Inc.
Blackford Securities Corp.
J.C. Bradford & Co.
Joseph Charles & Associates, Inc.
Chalsworth Securities LLC
Gabelli & Company, Inc.
Gainca, Berland Inc.
Jefferies & Company
Josephhal & Co. Inc.
Neuberger & Berman
Raymond James & Associates, Inc.
Sanders Morris Mundy
Tucker Anthony Incorporated
Wechovia Securities, Inc.
Id.
1. Name of Issuer
Radio Unica Communications
2. Date of Purchase
10/18/1999
3. Number of Securities Purchased
2,400
4. Dollar Amount of Purchase
$38,400
5. Price Per Unit
$16.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Salomon Smith Barney
7. Other members of the Underwriting Syndicate
Salomon Smith Barney
Bear, Stearns & Co. Inc.
CIBC World Markets
Donaldson, Lufkin & Jenrette Securities
Ie.
1. Name of Issuer
MCK communications
2. Date of Purchase
10/22/1999
3. Number of Securities Purchased
1,400
4. Dollar Amount of Purchase
$22,400
5. Price Per Unit
$16.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Robertson Stephens & Co. LLC
7. Other members of the Underwriting Syndicate
Robertson Stephens
Dain Rauscher Wessels
Hambrecht & Quist LLC
Band of America Securities LLC
Bear, Stearns & Co. Inc.
CIBC Oppenheimer Corp.
Deutsche Bank Securities Inc.
Donaldson, Lufkin & Jenrette Securities
Corporation
Goldman, Sachs & Co.
Lehman Brothers
Merrill Lynch, Pierce, Fenner & Smith
Incorporated
Morgan Stanley & Co. Incorporated
J.P. Morgan Securities Inc.
PaineWebber Incorporated
Prudential Securities Incorporated
Salomon Smith Barney Inc.
SG Cowen Securities Corporation
E*trade Securities, Inc.
Suretrade
If.
1. Name of Issuer
Emmis Communications Corporation
2. Date of Purchase
10/26/1999
3. Number of Securities Purchased
10,900
4. Dollar Amount of Purchase
$681,250
5. Price Per Unit
$62.50
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Donaldson, Lufkin & Jenrette
7. Other members of the Underwriting Syndicate
Emmis Communications Corporation
Donaldson, Lufkin & Jenrette
Goldman, Sachs & Co.
Credit Suisse First Boston Corp.
Deutche Bank Securities Inc.
Morgan Stanley & Co. Incorporated
Bank of America Securities LLC
First Union Securities, Inc.
BancBoston Roberston Stephens Inc.
AG Edwards & Sons Inc.
PainsWebber Incorporated
Schroder & Co. Inc.
Kercheville & Company Inc.
Coburn & Meredith Inc.
FIA Capital Group, Inc.
Finbro Management S.A.
Linsco/Private Ledger Financial Services
National commercial Bank
Noyes Partners Inc.
Royce Investment Group, Inc.
Santander Securities
S.V. International
Wiley Bros.Aintree Capital LLC
CIBC World Markets
Credit Lyonnals Securities (USA) Inc.
Lehman Brothers Inc.
J.P. Morgan Securities Inc.
Prudential Securities Incorporated
SG Cowen Securities Corporation
Barrington Research Associates, Inc.
Ih.
1. Name of Issuer
Spanish Broadcasting System, Inc.
2. Date of Purchase
10/28/1999
3. Number of Securities Purchased
51,100
4. Dollar Amount of Purchase
$1,022,000
5. Price Per Unit
$20.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Lehman Brothers
7. Other members of the Underwriting Syndicate
Lehman Brothers
Merrill Lynch & Co.
CIBC World Markets Corp.
Bear Stearns & Co. Inc.
BancBoston Roberston Stephens, Inc.
Deutsche Banc Alex Brown
Lazard Frores & Co. LLC
Morgan Stanley Dean Witter
Prudential Securities Incorporated
Salomon Smith Barney Inc.
Wasserstein Perella Securities Inc.
First Union Capital Markets Corp.
Gabelli & Company, Inc.
Raymond James & Associates Inc.
Neuherger & Berman
Sutro & Company Inc.
Chapman Company
Chatsworth Securities LLC
Guzman & Company
Pryor, McClendon, Counts & Co. Inc.
Ramirez & Co., Inc.
Ii.
1. Name of Issuer
CVC Inc.
2. Date of Purchase
11/11/1999
3. Number of Securities Purchased
43,300
4. Dollar Amount of Purchase
$433,000
5. Price Per Unit
$10.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Lehman Brothers
7. Other members of the Underwriting
Syndicate
Lehman Brothers
Prudential Securities
SG Cowen
Warburg Dillon Read LLC
Ij.
1. Name of Issuer
Somera Communications Inc.
2. Date of Purchase
11/11/1999
3. Number of Securities Purchased
6,400
4. Dollar Amount of Purchase
$76,800
5. Price Per Unit
$12.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Lehman Brothers
7. Other members of the Underwriting Syndicate
Lehman Brothers Inc.
Dain Rauscher Wessels
Thomas Weisel Paertners LLC
Ik.
1. Name of Issuer
Sage Inc.
2. Date of Purchase
11/11/1999
3. Number of Securities Purchased
1,200
4. Dollar Amount of Purchase
$12,000
5. Price Per Unit
$12.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Robertson Stephens
7. Other members of the Underwriting Syndicate
Robertson Stephens
Prudential Securities
Needham & Company, Inc.
IL.
1. Name of Issuer
Metron Technology
2. Date of Purchase
11/18/1999
3. Number of Securities Purchased
5,000
4. Dollar Amount of Purchase
$65,000
5. Price Per Unit
$13.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Banc of America Securities LLC
7. Other members of the Underwriting Syndicate
Lehman Brothers
Banc of America Securities LLC
SG Cowen
U.S. Bancorp Piper Jaffray
Fidelity Capital Markets
Allen & Company Incorporated
BancBoston Robertson Stephens, Inc.
Donaldson, Lufkin & Jenrette Securities
Corporation
Flambrecht & Quist LLC
Merrill Lynch & Co.
First Analysis Securities Corporation
Pacific Crest Securities
Volpe Brown Whelan & Company, LLC
Im.
1. Name of Issuer
Exactis.com, Inc.
2. Date of Purchase
11/19/1999
3. Number of Securities Purchased
2,500
4. Dollar Amount of Purchase
$35,000
5. Price Per Unit
$14.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Thomas Weisel Partners LLC
7. Other members of the Underwriting Syndicate
Thomas Weisel Partners LLC
Dain Rauscher Wessels
Wit Capital
Major Syndicate Bracket
Bear Stearns
Donaldson, Lufkin Jenrette
First Union
Hambrecht & Quist
ING Furman Selz
Prudential Securities
Unterberg Towbin
Minor Syndicate Bracket
Gruntal
Janco Partners
Legg Mason
Parker Hunter
Van Kasper
Wedbush Morgan
Petrie Parkman
In.
1. Name of Issuer
LifeMinders.com
2. Date of Purchase
11/19/1999
3. Number of Securities Purchased
3,900
4. Dollar Amount of Purchase
$54,600
5. Price Per Unit
$14.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Hambrecht & Quist
7. Other members of the Underwriting Syndicate
Hambrecht & Quist
Thomas Weisel Partners LLC
PaineWebber Incorporated
Wit Capital Corporation
Io.
1. Name of Issuer
TeleCorp PCS, Inc.
2. Date of Purchase
11/22/1999
3. Number of Securities Purchased
3,200
4. Dollar Amount of Purchase
$64,000
5. Price Per Unit
$20.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Salomon Smith Barney
7. Other members of the Underwriting Syndicate
Salomon Smith Barney
Lehman Brothers
Deutsche Banc Alex. Brown
Merrill Lynch & Co.
Ip.
1. Name of Issuer
Classic Communications
2. Date of Purchase
12/7/1999
3. Number of Securities Purchased
25,600
4. Dollar Amount of Purchase
$640,000
5. Price Per Unit
$25.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Goldman Sachs & Co.
7. Other members of the Underwriting Syndicate
Goldman, Sachs & Co.
Merill Lynch, Pierce, Fenner & Smith
Donaldson, Lufkin & Jenrette Securities
Corporation
Iq.
1. Name of Issuer
Preview Systems
2. Date of Purchase
12/8/1999
3. Number of Securities Purchased
1,400
4. Dollar Amount of Purchase
$29,400
5. Price Per Unit
$21.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Robertson Stephens
7. Other members of the Underwriting Syndicate
BancBoston Robertson Stephens Inc.
Dain Rauscher Wessels
SoundView Technology Group Inc.
E*OFFERING Corp.
Ir.
1. Name of Issuer
Agency.com
2. Date of Purchase
12/8/1999
3. Number of Securities Purchased
1,600
4. Dollar Amount of Purchase
$41,600
5. Price Per Unit
$26.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Goldman Sachs & Co.
7. Other members of the Underwriting Syndicate
Goldman, Sachs & Co.
Salomon Smith Barney Inc.
Hambrecht & Quist LLC
Is.
1. Name of Issuer
NextCard
2. Date of Purchase
12/9/1999
3. Number of Securities Purchased
16,499
4. Dollar Amount of Purchase
$592,969
5. Price Per Unit
$35.94
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Donaldson Lufkin & Jenrette
7. Other members of the Underwriting Syndicate
Donaldson, Lufkin & Jenrette Securities
Corporation
Goldman, Sachs & Co.
Thomas Weisel Partners LLC
Prudential Securities
U.S. Bancorp Piper Jaffray
DLJdirect Inc.
It.
1. Name of Issuer
eCollege.com
2. Date of Purchase
12/14/1999
3. Number of Securities Purchased
1,400
4. Dollar Amount of Purchase
$15,400
5. Price Per Unit
$11.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Banc of America Securities LLC
7. Other members of the Underwriting Syndicate
Banc of America Securities LLC
William Blair & Company
Volpe Brown Whelan & Company
Iu.
1. Name of Issuer
GRIC Communications, Inc.
2. Date of Purchase
12/15/1999
3. Number of Securities Purchased
24,500
4. Dollar Amount of Purchase
$343,000
5. Price Per Unit
$14.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
CIBC World Markets
7. Other members of the Underwriting Syndicate
CIBC World Markets Corp.
U.S. Bancorp Piper Jaffray Inc.
Volpe Brown Whelan & Company, LLC
Iv.
1. Name of Issuer
Infonet
2. Date of Purchase
12/15/1999
3. Number of Securities Purchased
10,200
4. Dollar Amount of Purchase
$214,200
5. Price Per Unit
$21.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Merrill Lynch, SG Warburg, ABN Amro
7. Other members of the Underwriting Syndicate
Merrill Lynch, Pierce, Fenner & Smith
Warburg Dillon Read LLC
ABN AMRO Incorporated
Goldman, Sachs & Co.
Lehman Brothers Inc.
Salomon Smith Barney Inc.
Iw.
1. Name of Issuer
Maxy gen
2. Date of Purchase
12/15/1999
3. Number of Securities Purchased
2,600
4. Dollar Amount of Purchase
$41,600
5. Price Per Unit
$16.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Goldman, Sachs & Co.
Other members of the Underwriting Syndicate
Goldman, Sachs & Co.
Robertson Stephens
Invemed Associates
Hambrecht & Quist LLC
EDWARD D. JONES & CO., LP
Merrill Lynch, Pierce, Fenner & Smith
Salomon Smith Barney Inc.
Warburg Dillon Read LLC
Dain Rauscher Incorporated
First Security Van Kasper
Pacific Growth Equities, Inc.
Punk, Ziegel & Company, L.P.
Vector Securities International, Inc.
Wit Capital Corporation
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