NSAR ITEM 77O
VK Technology Fund
10f-3 Transactions
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UNDERWRITING # UNDERWRITING PURCHASED FROM AMOUNT OF SHARES % OF DATE OF
PURCHASED UNDERWRITING PURCHASE
<S> <C> <C> <C> <C> <C>
1 Palm Inc. Merrill Lynch 18,700 0.08% 03/01/00
2 Asiainfo Holdings, Inc. DLJ 2,100 0.04% 03/02/00
3 SG Cowen 5,300 0.25% 03/02/00
Medaraex, Inc.
4 FirstWorld Communications, Inc. Bear Stearns 43,500 0.44% 03/07/00
5 GT Group Telecom Inc. Goldman Sachs 33,200 0.18% 03/09/00
6 Digitas Inc. DB Alex Brown 4,500 0.05% 03/13/00
7 Silicon Laboratories Inc. Salomon Smith Barney 2,300 0.07% 03/23/00
8 Viasystems Group, Inc. Hambrecht & Quist 243,900 0.55% 03/23/00
9 i3 Mobile, Inc. Hambrecht & Quist 24,900 0.49% 04/06/00
10 SINA.com Robertson Stephens 2,300 0.06% 04/13/00
11 Stratos Lightwave, Inc. Oppenheimer 35,900 0.41% 06/26/00
12 Capstone Turbine Corp. Merrill Lynch 19,200 0.21% 06/28/00
13 Dialog Semiconductor DB Alex Brown 47,900 0.56% 06/28/00
14 Axcelis Technologies, Inc. S.C. Bernstein 84,400 0.55% 07/10/00
15 DeCODE genetics, Inc. Lehman Bros. 4,900 0.05% 07/17/00
16 Tycom Ltd Wit Captial Soundview 19,500 0.03% 07/26/00
17 Mainspring Communications, Inc. Thomas Wisel 4,900 0.12% 07/26/00
18 OPNET Technologies, Inc. Friedman Billings 4,800 0.12% 08/01/00
19 California Pizza Kitchen, Inc. DB Alex Brown 4,800 0.09% 08/01/00
20 Speechworks International Inc J.P. Morgan 12,100 0.25% 08/01/00
21 Entravision Communications Corp. CS First Boston 295,100 0.64% 08/02/00
22 Giganet Ltd. Robertson Stephens 7,200 0.14% 08/04/00
23 Active Power, Inc. Merrill Lynch 34,00 0.42% 08/07/00
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Other Firms participating in Underwriting:
Underwriting for #1. Underwriting for #2 Underwriting for #3
Morgan Stanley & Co. Incorporated Morgan Stanley & Co. Incorporated Morgan Stanley & Co. Incorporated
Dain Rauscher Wessels Deutsche Bank Securities Inc. Hambrecht & Quist LLC D
Deutsche Bank Securities Inc. Donaldson, Lufkin & Jenrette Inc. Dain Rauscher Wessel
Banc of America Securities LLC China International Capital Corp. Ltd Deutsche Bank Securities, Inc.
Friedman, Billings, Ramsey & Co. Dain Rauscher Wessels Warburg Dillon Read LLC
First Union Securities, Inc. Cruttenden Roth Incorporated
Edward D. Jones & Co., Ltd First Union Securities, Inc.
Legg Mason Wood Walker, Incorp. Janney Montgomery Scott LLc
Brad Peery Inc Edward D. Jones & Co. L.P.
Soundview Technology Group, Inc. Josephthal & Co. LLC
Thomas Weisel Partners LLC Miller Tabak & Co. LLC
Prudential Securities Incorporated
H.C. Wainwright & Co.
Underwriting for #4. Underwriting for #5. Underwriting for #6.
Lehman Brothers Inc Goldman, Sachs & Co. Morgan Stanley & Co. Incorporated
Bear, Stearns & Co. Inc. Salomon Smith Barney Inc. Deutsche Bank Securities Inc.
CIBC World Markets Corp Inc. Salomon Smith Barney Inc. Salomon Smith Barney Inc.
Deutsche Bank Securities Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. Banc of America Securities LLC.
PaineWebber Incorproated Morgan Stanley & Co. Inc. Bear, Stearns & Co.
Fidelity Capital Markets RBC Dominion Securities Corporation Adams, Harkness & Hill, Inc.
CIBC World Markets Corp. BMO Nesbitt Burns Inc. Robert W. Baird & Co. Incorporated
Donaldson, Lufkin & Jenrette Securities Corp National Bank Financial Inc. First Union Securities, Inc.
Goldman, Sachs & Co. Scotia Capital ( USA) Inc. FleetBoston Robertson Stephens Inc.
WR Hambrecht & Co TD Securities Inc. ING Barings LLC
ING Barings LLC Prudential Securities Corporation
Merrill Lynch, Pierce, Fenner & Smith Incorporated SG Cowen Securities Corporation
Morgan Stanley & Co. Incorporated
Salomon Smith Barney Inc.
C.L. King & Associates, Inc.
Kirkpatrick, Pettis, Smith Polian Inc.
Legg Mason Wood Walker, Inc.
Pacific Crest Securities
Sands Brothers & Co., Ltd
Wm Smith Securities, Incorporated
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<S> <C> <C>
Underwriting for #8. Underwriting for #9.
Underwriting for #7
Morgan Stanley & Co Incoporated Morgan Stanley & Co. Incorporated Deutsche Bank Securities Inc.
Lehman Brothers Inc. Credit Suisse First Boston Corporation Chase Securities Inc.
Salomon Smith Barney Inc. Chase Securities Credit Suisse First Boston Corporation
Dain Rauscher Wessels Banc of America Securites LLC Banc of America Securities LLC
Deutsche Bank Securities Inc. Bear, Stearns & Co. Inc. Bear Stearns & Co. Inc.
A.G. Edwards & Sons, Inc. Deutsche Bank Securities Inc. CIBC World Markets Corp.
First Union Securities, Inc. Goldman, Sachs & Co. Donaldson, Lufkin & Jenrette Securities Corp.
Edward D. Jones & Co. L.P. Salomon Smith Barney Inc. FleetBoston Robertson Stephens Inc.
SG Cowen Securities Corporation SoundView Technology Group Inc. Merrill Lynch, Pierce, Fenner & Smith Inc.
Tejas Securities Group, Inc. Morgan Stanley & Co. Incorporated
Thomas Weisel Partners LLC Wit Soundview
U.S. Bancorp. Piper Jaffray Inc. Dain Rauscher Wessels
Gabelli & Company, Inc.
Gerard Klauer Mattison & Co., Inc.
C.L. King & Associates, Inc.
Brad Peery Inc.
U.S. Bancorp Piper Jaffray Inc.
Shields & Company
First Security Van Kasper
Wedbush Morgan Securities Inc.
Underwriting for #l0. Underwriting for #11 Underwriting for #12
Morgan Stanley & Co. Incorporated Lehman Brothers Inc. Goldman Sachs & Co.
China International Capital Corporation Limited CIBC World Markets Corp. Merrill Lynch, Pierce, Fenner & Smith Inc.
Chase Securities Inc. U.S. Bancorp Piper Jaffray Inc. Morgan Stanley & Co. Inc.
FleetBoston Robertson Stephens Inc. Robert W. Baird & Co. Incorporated A.G. Edwards & Sons, Inc.
Core Pacific Yamaichi Internationa Limited Tucker Anthony Incorporated CIBC World Markets Corp
A.G. Edward & Sons, Inc. Fidelity Captial Markets Edward D. Jones & Co.
First Union Securities, Inc. Banc Of America Securities LLC Legg Mason Wood Walker, Incorporated
Janney Montgomery Scott LLC Bear, Stearns & Co. Inc. Robert W. Baird & Co. Incorporated
Edward D. Jones & Co. L.P. Chase Securities Inc. Salomon Smith Barney Inc.
McDonald Investments, Inc. A.G. Edwards & Sons Inc. The Williams Capital Group, L.P.
Raymond James & Associates, Inc. FleetBoston Robertson Stephens Inc. Wit SoundView Corporation
J.P. Morgan Securities Inc.
Morgan Stanley & Co. Incorporated
SG Cowen Securities Corpration
Dain Rauscher Incorporated
Gruntal & Co., LLC
Edward D. Jones & Co. L.P.
Raymond James & Associates
Wachovia Securities, Inc.
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<S> <C> <C>
Underwriting for #13. Underwriting for #14. Underwriting for #15.
Goldman, Sachs & Co Salomon Smith Barney Inc. Morgan Stanley & Co. Incorporated
Deutsche Bank Akteingesellschaft Morgan Stanley & Co. Lehman Brothers
FleetBoston Roberston Stephens Inc. Bear, Stearns & Co. Inc.
Morgan Stanley Goldman, Sachs & Co.
Lehman Brothers
Underwriting for #16
Goldman Sachs & Co. UBS Warburg LLC May Davis Group Inc.
Salomon Smith Barney Inc. ABN AMRO Incorporated Ramirez & Co. Inc.
Merrill Lynch, Pierce, Fenner & Smith Incorp. A.G. Edwards & Sons Scotia Capital (USA) Inc.
Bear, Stearns & Co. Inc. Sanford C. Bernstein Sturdivant & Co., Inc.
Credit Suisse First Boston Corporation Blaylock & Partners The Williams Capital Group
Donaldson, Lufkin & Jenrette Securities Corp. The Buckingham Research Group Incorporated
Lehman Brothers Inc. Credit Lyonnais Securities
J.P. Morgan Securities Inc. INC Barings LLC
Morgan Stanley & Co. Incorporated McDonald Investments Inc.
Banc of America Securities Neuberger Berman, LLC
Chase Securities Inc. Wasserstein Perella Securities, Inc.
M.R. Beal & Company
Deutsche Bank Securities Inc. Commerzbank Capital Markets Corporation
Underwriting for #17
Morgan Stanley & Co. Incorporated Legg Mason Wood Walker, Inc.
Chase Securities Inc. Lehman Brothers Inc.
Thomas Wiesel Partners LLC McDonald Invesment
FAC/Equities SunTrust Equitable Securities Corporation
Advest Inc
Robt W. Baird & Co. Incorporated
Friedman, Billings, Ramsey
Janney Montgomery Scott
Edward D. Jones
Underwriting for #18. Underwriting for #19 Underwriting for #20
Morgan Stanley & Co. Incorporated Banc of America Securities LLC Chase Securities Inc
FleetBoston Robertson Stephens Inc. Deutsche Bank Securities Inc. J.P.Morgan Securities Inc.
Friedman Billings Ramsey & Co FleetBoston Robertson Stephens Inc. U.S. Bancorp Piper Jaffray Inc.
Banc of America Securities Credit Suisse Furst Boston Corporation Bear Stearns & Co. Inc.
Chase Securities Inc. Dain Rauscher Incorporated Dain Rauscher Wessel
Dain Rauscher Wessel Donaldson, Lufkin, & Jenrette Securities Donaldson, Lufkin & Jenrette Securities
Legg Mason Wood Walker, Incorporated Merill Lynch, Pierce, Fenner & Smith Incorporated Morgan Stanley Dean Witter
McDonald Investments Inc. Morgan Stanley & Co. Incorporated S.G. Cowen SEcurities
Brad Peery Inc. U.S. Bancorp Piper Jaffray Inc. Adams Harkness & Hill
Roth Capital Partners, Inc. Advest, Inc.
Ferris, Baker Watts, Inc. Chastsworth Securities LLC
Hoak Breedlove Wesneski & Co. Fidelity Capital Markets
John G. Kinnard & Company First Analysis Securities Corporation
Morgan Keegan & Co. Ladenburg, Tahlmann & Co. Inc.
Pacific Crest Securities Tucker Anthoney Cleary Gull
Sandler O'Neill & Partners
Southwest Securities, Inc.
H. C. Wainwright & Co., Inc.
Wedbush Morgan Securities, Inc.
Underwriting for #21. Underwriting for #22 Underwriting for #23
Donaldson, Lufkin & Jenrette
Securities Corporation Morgan Stanley & Co. Incorporated Goldman, Sachs & Co.
Cred Suisse First Boston Corporation Lehman Brothers Inc. Merrill Lynch, Pierce Fenner & Smith Incorp
Merrill Lynch, Pierce, Fenner & Smith Inc FleetBoston Robertson Stephens Morgan Stanely & Co
Salomon Smith Barney Dain Rauscher Wessel CIBC World Markets
Bear, Stearns & Co. A.G. Edwards & Sons, Inc A.G. Edwards & Sons
DLJdirect Inc. First Union Securities Edward D. Jones
Allen & Co Edward D. Jones Wit SoundView Corporation
Banc of America Securities Needham & Company Inc. Adams, Harkness & Hill, Inc.
Chase Securities Prudential Securities Incorporated Morgan Keegan & Co.
CIBC world Markets Corp Sutro & Co. Incorporated H.C. Wainwright & Co.
Deutsche Bank Securities Tucker Anthony Incorporated
A.G. Edward & Sons
First Union Secrutieis
FleetBoston Robertson Stephen
Lazard Frerer
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NSAR ITEM 77O
VK Tax Managed Equity Growth Fund
10f-3 Transactions
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UNDERWRITING # UNDERWRITING PURCHASED FROM AMOUNT OF SHARES % OF DATE OF
PURCHASED UNDERWRITING PURCHASE
<S> <C> <C> <C> <C> <C>
1 Stratos Lightwave, Inc. Lehman Bros. 100 0.001% 06/26/00
2 Capstone Turbine Corporation Goldman Sachs 100 0.001% 06/28/00
3 DeCode Genetics Lehman Bros. 100 0.001% 07/17/00
4 Tycom Warburg Dillon Read 400 0.011% 07/26/00
5 Active Power, Inc. Goldman Sachs 100 0.001% 08/07/00
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Other Underwriters in the syndicate for #1 Other Underwriters in the syndicate for #2 Other Underwriters in the syndicate for
------------------------------------------- --------------------------------------------- ---------------------------------------
#3
Lehman Brothers Inc. Goldman, Sachs & Co. Morgan Stanley & Co. Incorporated
U.S. Bancorp Piper Jaffray Inc. Merrill Lynch, Pierce, Fenner & Smith Lehman Brothers Inc.
Robert W. Baird & Co. Morgan Stanley & Co. Inc.
Tucker Anthony Incorporated A.G. Edwards & Sons
Fidelity Capital Markets. CIBC World Markets
Banc of America Securities LLC Edward D. Jones & Co.
Bear, Stearns & Co. Legg Mason Wood Walker, Incorporated
Chase Securities Inc. Robert W. Baird & Co. Incorporated
A.G. Edwards & Sons, Inc. Salomon Smith Barney Inc.
FleetBoston Robertson Stephens Inc. The Williams Capital Group
J.P. Morgan Securities Inc. Wit SoundView Corporation
Morgan Stanley & Co. Incorp.
SG Cowen Securities Corporation
Dain Rauscher Incorporated
Gruntal & Co. LLC
Edward D. Jones & Co.
Raymond James & Associates, Inc.
Wachovia Securities, Inc.
Lehman Brothers
Merrill Lynch & Co.
Morgan Stanley Dean Witter
Painewebber Incorporated
Purdential Securities
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Underwriter for #4 Underwriter for #5 Underwriter for #5
------------------- ------------------ ------------------
Goldman, Sachs & Co. Goldman, Sachs & Co.
Salomon Smith Barney Inc. Merrill Lynch, Pierce, Fenner
Bear, Stearns & Co. Inc. Morgan Stanley & Co.
Credit Suisse First Boston Corporation CIBC World Markets Corp.
Donaldson, Lufkin & Jenrette Securities A.G. Edwards & Sons
Lehman Brothers Inc. Edward D. Jones & Sons
J.P. Morgan Securities Inc. Wit SoundView Corp
Morgan Stanley & Co. Adams, Harkness & Hill
Banc of America Securities FAC/Equities
Chase Securities Frost Securities Inc.
Deutsche Bank Securities Morgan Keegan & Co
UBS Warburg H. C. Wainwright & Co. Inc.
ABN AMRO incorporated
A.G. Edwards & Sons, Inc
Sanford C. Bernstein
The Buckingham Research Group
Credit Lyonnais Securities
IngBarings
McDonald Investments Inc.
Neuberger Berman LLC
Wasserstein Perella Securities, Inc.
Wit Sound View Corporation
MR Beal & Company
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