AFFILIATED UNDERWRITING CHECKLIST FOR 40-Act
FUNDS:
(This checklist can be found in Excel at
l:\cheklist\funds.xls)
This Checklist must be completed in order to ensure compliance with the 40-Act
requirements applicable to participations in affiliated underwritings for
40-Act funds. Please complete this Checklist immediately after participating
in an affiliated underwriting on behalf of each 40-Act Fund and forward it to
Lauren Teetsel in the New York Compliance Department for review,
record-keeping and reporting purposes. The Compliance Department in New York
must receive this Checklist from all MSDWIM offices that engage in affiliated
underwriting transactions for the 40-Act Funds they manage.
Note: A red herring prospectus must be included with the Checklist and a final
prospectus must be forwarded to the New York Compliance Department for
regulatory record retention purposes.
----------------------------------------------------------------------------
Issuer: Active Power, Inc./ACPW Fund(s) List below(please use GIM2 acronyms or
proper fund names)
Offering Date: 08/07/2000 No. of Securities Offered: 8,000,000
(# of shares or # of bonds)
Affiliated Broker: MS&Co. Price Per Unit: $17.00
----------------------------------------------------------------------------
The securities to be purchased are: Check One
[X]Registered under the Securities Act of 1933 [ ] Eligible Rule 144A securities
[ ] Municipal Securities [ ] Offered in an Eligible Foreign Offering
YES NO
----------------------------------------------------------------------------
1 Are the securities being offered pursuant to a firm commitment
underwriting? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
2 Will transaction be executed away from Morgan Stanley Dean Witter
and not allocated to Morgan Stanley Dean Witter
if it is a "pot trde"? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
3 Has the executing dealer represented that Morgan Stanley
Dean Witter will not receive compensation in connection
with the transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
4 Will the securities be purchased at not more than the public
offering price and no later than the close of the first full
business day on which any sales are made? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
5 Is the commission or spread to be received by the
underwriters reasonable and fair compared to that
received in comparable transactions? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
6 If not a municipal issuer, has the issuer
(including predecessors)been in continuous operation
for at least three years? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
7 If a municipal issuer, (1) does the issue have an investment
grade rating from at least one Nationally Recognized
Statistical Rating Organization, or (2) if the issuer
has less than three (3) years of continuous operations,
does the issue have one of the three highest
ratings from one such rating organization? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
8 If the transaction is intended for a third-party
40-Act Fund, has it adopted affiliated underwriting
procedures that permit it to engage in
this transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
9 Is the total principal amount of securities purchased by
MSDWIM/MAS for all 40-Act Funds no more than 10%
of the total offering? X
-----------------
** Do not include offshore funds (i.e. SICAVs) in this calculation.**
SHOW CALCULATION HERE:
Total Units Offered: 8,000,000
Price per 17.00
Unit:
10% of Total Offering: 13,600,000.00
40-Act Units Offer Total Selling Broker
Fund To Buy Price Value
*SEE LEGEND
00071281 1,500 17.00 $25,500 GSCO
00071928 0 17.00 $0
00081087 12,900 17.00 $219,300 GSCO
255 100 17.00 $1,700 GSCO
391486 12,200 17.00 $207,400 GSCO
391548 1,200 17.00 $20,400 GSCO
391822 750 17.00 $12,750 MLCO
391822 750 17.00 $12,750 CIBC
52297 1,000 17.00 $17,000 MLCO
8716 100 17.00 $1,700 GSCO
89902549 1,500 17.00 $25,500 GSCO
89902551 5,100 17.00 $86,700 CIBC
ESTF0004 2,700 17.00 $45,900 CIBC
JL50 100 17.00 $1,700 GSCO
JU3I 100 17.00 $1,700 MLCO
MTEC 1,300 17.00 $22,100 MLCO
PRINAGGR 3,900 17.00 $66,300 Merrill Lynch
PRINCON 200 17.00 $3,400 Goldman Sachs
PRINLCV 0 17.00 $0
PRINPART 700 17.00 $11,900 Goldman Sachs
PRINSCG 0 17.00 $0
UFEG 1,700 17.00 $28,900 MLCO
UFTECH 600 17.00 $10,200 GSCO
--------------------------------
Total 48,400
Shares
Total Purchased by $822,800
all 40-Act Funds
Total % of Deal 0.61%
Purchased by all Funds
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
10 Has a copy of this completed checklist been forwarded to
Lauren Teetsel in MSDWIM Compliance? X
----------------------------------------------------------------------------
/Phillip Friedman/
Portfolio Manager's or designee's Signature
**************************************
MSDWIM Compliance*: YES NO
----------------------------------------------------------------------------
11 Has a copy of this Checklist been forwarded to
Chase Global Fund Services (fax# 617-557-8610)
for MSDWIM-sponsored 40-Act Funds and to the
appropriate outside administrators for third-party Funds?
----------------------------------------------------------------------------
* Compliance personnel at the MSDWIM office executing these trades is
responsible for ensuring that the appropriate outside administrator receives
a copy of the Checklist (Chase for proprietary funds)
*LEGEND
GIMS ACRONYM ACCOUNT NAME
00071281 MSDWIF - SMALL COMPANY GROWTH PORTFOLIO
00071928 MSDWIF - VALUE EQUITY PORTFOLIO
00081087 MSDWIF - EQUITY GROWTH PORTFOLIO
255 LSA VARIABLE SERIES TRUST - FOCUSED EQUITY FUND
*391486 MSDW GROWTH FUND
*391548 MSDW SELECT DIMENSIONS GROWTH PORTFOLIO
*391822 MSDW TAX MANAGED GROWTH FUND
52297 VAN KAMPEN SERIES FUND INC. - EQUITY GROWTH FUND
8716 CIGNA CHARTER LARGE COMPANY STOCK GROWTH FUND
89902549 MSDWIF - FOCUS EQUITY PORTFOLIO
89902551 VAN KAMPEN SERIES FUND INC. - FOCUS EQUITY FUND
ESTF0004 ENDEAVOR ASSET ALLOCATION PORTFOLIO
JL50 VAN KAMPEN TAX MANAGED EQUITY GROWTH FUND
JU31 SUNAMERICA
MTEC MSDWIF - TECHNOLOGY PORTFOLIO
PRINAGGR PRINCIPAL AGGRESSIVE GROWTH FUND
PRINCON PRINCIPAL ASSET ALLOCATION FUND - CONCENTRATED
PRINLCV PRINCIPAL ASSET ALLOCATION FUND - LARGE CAP VALUE
PRINSCG PRINCIPAL ASSET ALLOCATION FUND - SMALL CAP GROWTH
PRINPART PRINCIPAL PARTNERS AGGRESSIVE GROWTH FUND
UFEG UNIVERSAL INSTITUTIONAL FUNDS INC. - EQUITY GROWTH PORTFOLIO
UFTECH UNIVERSAL INSTITUTIONAL FUNDS INC. - TECHNOLOGY PORTFOLIO
* Dean Witter
Adviser's Funds
<PAGE>
AFFILIATED UNDERWRITING CHECKLIST FOR 40-Act
FUNDS:
(This checklist can be found in Excel at
l:\cheklist\funds.xls)
This Checklist must be completed in order to ensure compliance with the
40-Act requirements applicable to participations in affiliated underwritings
for 40-Act funds. Please complete this Checklist immediately after
participating in an affiliated underwriting on behalf of each 40-Act Fund and
forward it to Lauren Teetsel in the New York Compliance Department for
review, record-keeping and reporting purposes. The Compliance Department in
New York must receive this Checklist from all MSDWIM offices that engage in
affiliated underwriting transactions for the 40-Act Funds they manage.
Note: A red herring prospectus must be included with the Checklist and a
final prospectus must be forwarded to the New York Compliance Department for
regulatory record retention purposes.
-------------------------------------------------------------------------
Issuer: Advanced Switching/ASCX Fund(s) List below(please use GIM2 acronyms or
proper fund names)
Offering Date: 10/04/2000 No. of Securities Offered: 6,250,000
(# of shares or # of bonds)
Affiliated Broker: MS&Co. Price Per Unit: $15.00
----------------------------------------------------------------------------
The securities to be purchased are: Check One
[X]Registered under the Securities Act of 1933 [ ] Eligible Rule 144A securities
[ ] Municipal Securities [ ] Offered in an Eligible Foreign Offering
YES NO
----------------------------------------------------------------------------
1 Are the securities being offered pursuant to a firm commitment
underwriting? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
2 Will transaction be executed away from Morgan Stanley Dean Witter
and not allocated to Morgan Stanley Dean Witter
if it is a "pot trde"? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
3 Has the executing dealer represented that Morgan Stanley
Dean Witter will not receive compensation in connection
with the transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
4 Will the securities be purchased at not more than the public
offering price and no later than the close of the first full
business day on which any sales are made? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
5 Is the commission or spread to be received by the
underwriters reasonable and fair compared to that
received in comparable transactions? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
6 If not a municipal issuer, has the issuer
(including predecessors)been in continuous operation
for at least three years? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
7 If a municipal issuer, (1) does the issue have an investment
grade rating from at least one Nationally Recognized
Statistical Rating Organization, or (2) if the issuer
has less than three (3) years of continuous operations,
does the issue have one of the three highest
ratings from one such rating organization? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
8 If the transaction is intended for a third-party
40-Act Fund, has it adopted affiliated underwriting
procedures that permit it to engage in
this transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
9 Is the total principal amount of securities purchased by
MSDWIM/MAS for all 40-Act Funds no more than 10%
of the total offering? X
-----------------
** Do not include offshore funds (i.e. SICAVs) in this calculation.**
SHOW CALCULATION HERE:
Total Units Offered: 6,250,000
Price per 15.00
Unit:
10% of Total 9,375,000.00
Offering:
40-Act Units Offer Total Selling Broker
Fund To Buy Price Value
*SEE LEGEND
00071281 300 15.00 $4,500 RSSF
00071928 0 15.00 $0
00081087 2,700 15.00 $40,500 RSSF
255 0 15.00 $0
391486 2,400 15.00 $36,000 HMQT
391548 300 15.00 $4,500 HMQT
391822 300 15.00 $4,500 HMQT
52297 200 15.00 $3,000 HMQT
8716 0 15.00 $0 -
89902549 300 15.00 $4,500 HMQT
89902551 1,000 15.00 $15,000 RSSF
ESTF0004 500 15.00 $7,500 HMQT
JL50 0 15.00 $0 -
JU3I 100 15.00 $1,500 HMQT
MTEC 300 15.00 $4,500 HMQT
PRINAGGR 800 15.00 $12,000 Robertson Stephens
PRINCON 0 15.00 $0 -
PRINLCV 0 15.00 $0 -
PRINPART 100 15.00 $1,500 Hambrecht & Quist
PRINSCG 0 15.00 $0 -
UFEG 400 15.00 $6,000 HMQT
UFTECH 100 15.00 $1,500 HMQT
Total 9,800
Shares
Total Purchased by $147,000
all 40-Act Funds
Total % of Deal 0.16%
Purchased by all
Funds
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
10 Has a copy of this completed checklist been forwarded to
Lauren Teetsel in MSDWIM Compliance? X
----------------------------------------------------------------------------
/Phillip Friedman/
Portfolio Manager's or designee's Signature
**************************************
MSDWIM Compliance*: YES NO
----------------------------------------------------------------------------
11 Has a copy of this Checklist been forwarded to
Chase Global Fund Services (fax# 617-557-8610)
for MSDWIM-sponsored 40-Act Funds and to the
appropriate outside administrators for third-party Funds?
----------------------------------------------------------------------------
* Compliance personnel at the MSDWIM office executing these trades is
responsible for ensuring that the appropriate outside administrator receives
a copy of the Checklist (Chase for proprietary funds)
*LEGEND
GIMS ACRONYM ACCOUNT NAME
00071281 MSDWIF - SMALL COMPANY GROWTH PORTFOLIO
00071928 MSDWIF - VALUE EQUITY PORTFOLIO
00081087 MSDWIF - EQUITY GROWTH PORTFOLIO
255 LSA VARIABLE SERIES TRUST - FOCUSED EQUITY FUND
*391486 MSDW GROWTH FUND
*391548 MSDW SELECT DIMENSIONS GROWTH PORTFOLIO
*391822 MSDW TAX MANAGED GROWTH FUND
52297 VAN KAMPEN SERIES FUND INC. - EQUITY GROWTH FUND
8716 CIGNA CHARTER LARGE COMPANY STOCK GROWTH FUND
89902549 MSDWIF - FOCUS EQUITY PORTFOLIO
89902551 VAN KAMPEN SERIES FUND INC. - FOCUS EQUITY FUND
ESTF0004 ENDEAVOR ASSET ALLOCATION PORTFOLIO
JL50 VAN KAMPEN TAX MANAGED EQUITY GROWTH FUND
JU31 SUNAMERICA
MTEC MSDWIF - TECHNOLOGY PORTFOLIO
PRINAGGR PRINCIPAL AGGRESSIVE GROWTH FUND
PRINCON PRINCIPAL ASSET ALLOCATION FUND - CONCENTRATED
PRINLCV PRINCIPAL ASSET ALLOCATION FUND - LARGE CAP VALUE
PRINSCG PRINCIPAL ASSET ALLOCATION FUND - SMALL CAP GROWTH
PRINPART PRINCIPAL PARTNERS AGGRESSIVE GROWTH FUND
UFEG UNIVERSAL INSTITUTIONAL FUNDS INC. - EQUITY GROWTH PORTFOLIO
UFTECH UNIVERSAL INSTITUTIONAL FUNDS INC. - TECHNOLOGY PORTFOLIO
* Dean Witter
Adviser's Funds
<PAGE>
AFFILIATED UNDERWRITING CHECKLIST FOR
40-Act FUNDS:
(This checklist can be found in Excel at
l:\cheklist\funds.xls)
This Checklist must be completed in order to ensure compliance with the
40-Act requirements applicable to participations in affiliated underwritings
for 40-Act funds. Please complete this Checklist immediately after
participating in an affiliated underwriting on behalf of each 40-Act Fund and
forward it to Lauren Teetsel in the New York Compliance Department for
review, record-keeping and reporting purposes. The Compliance Department in
New York must receive this Checklist from all MSDWIM offices that engage in
affiliated underwriting transactions for the 40-Act Funds they manage.
Note: A red herring prospectus must be included with the Checklist and a
final prospectus must be forwarded to the New York Compliance Department for
regulatory record retention purposes.
----------------------------------------------------------------------------
Issuer: Coach Inc./COH Fund(s) List below(please use GIM2 acronyms or
proper fund names)
Offering Date: 10/04/2000 No. of Securities Offered: 7,380,000
(# of shares or # of bonds)
Affiliated Broker: MS&Co. Price Per Unit: $16.00
----------------------------------------------------------------------------
The securities to be purchased are: Check One
[X]Registered under the Securities Act of 1933 [ ] Eligible Rule 144A securities
[ ] Municipal Securities [ ] Offered in an Eligible Foreign Offering
YES NO
----------------------------------------------------------------------------
1 Are the securities being offered pursuant to a firm commitment
underwriting? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
2 Will transaction be executed away from Morgan Stanley Dean Witter
and not allocated to Morgan Stanley Dean Witter
if it is a "pot trde"? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
3 Has the executing dealer represented that Morgan Stanley
Dean Witter will not receive compensation in connection
with the transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
4 Will the securities be purchased at not more than the public
offering price and no later than the close of the first full
business day on which any sales are made? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
5 Is the commission or spread to be received by the
underwriters reasonable and fair compared to that
received in comparable transactions? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
6 If not a municipal issuer, has the issuer
(including predecessors)been in continuous operation
for at least three years? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
7 If a municipal issuer, (1) does the issue have an investment
grade rating from at least one Nationally Recognized
Statistical Rating Organization, or (2) if the issuer
has less than three (3) years of continuous operations,
does the issue have one of the three highest
ratings from one such rating organization? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
8 If the transaction is intended for a third-party
40-Act Fund, has it adopted affiliated underwriting
procedures that permit it to engage in
this transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
9 Is the total principal amount of securities purchased by
MSDWIM/MAS for all 40-Act Funds no more than 10%
of the total offering? X
-----------------
** Do not include offshore funds (i.e. SICAVs) in this calculation.**
SHOW CALCULATION HERE:
Total Units 7,380,000
Offered:
Price per 16.00
Unit:
10% of Total 11,808,000.00
Offering:
40-Act Units Offer Total Selling Broker
Fund To Buy Price Value
*SEE LEGEND
00071281 2,600 16.00 $41,600 GSCO
00071928 16.00 $0
000810871 9,200 16.00 $307,200 GSCO
255 100 16.00 $1,600 GSCO/PRUS
391486 18,500 16.00 $296,000 PRUS
391548 2,000 16.00 $32,000 PRUS
391822 2,300 16.00 $36,800 PRUS
52297 1,500 16.00 $24,000 PRUS
8716 200 16.00 $3,200 PRUS
89902549 2,200 16.00 $35,200 GSCO
89902551 7,600 16.00 $121,600 GSCO
ESTF0004 3,900 16.00 $62,400 GSCO
JL50 200 16.00 $3,200 GSCO
JU3I 600 16.00 $9,600 GSCO
MTEC 2,100 16.00 $33,600 GSCO
PRINAGGR 5,800 16.00 $92,800 Goldman Sachs
PRINCON 300 16.00 $4,800 Goldman Sachs
PRINLCV 16.00 $0
PRINPART 1,000 16.00 $16,000 Wachovia Security
PRINSCG 100 16.00 $1,600 Goldman Sachs
UFEG 2,700 16.00 $43,200 GSCO
UFTECH 900 $16.00 $14,400 GSCO
---------------------------
Total 73,800
Shares
Total Purchased by $1,180,800
all 40-Act Funds
Total % of Deal 1.00%
Purchased by all
Funds
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
10 Has a copy of this completed checklist been forwarded to
Lauren Teetsel in MSDWIM Compliance? X
----------------------------------------------------------------------------
/Phillip Friedman/
Portfolio Manager's or designee's Signature
**************************************
MSDWIM Compliance*: YES NO
----------------------------------------------------------------------------
11 Has a copy of this Checklist been forwarded to
Chase Global Fund Services (fax# 617-557-8610)
for MSDWIM-sponsored 40-Act Funds and to the
appropriate outside administrators for third-party Funds?
----------------------------------------------------------------------------
* Compliance personnel at the MSDWIM office executing these trades is
responsible for ensuring that the appropriate outside administrator receives
a copy of the Checklist (Chase for proprietary funds)
*LEGEND
GIMS ACRONYM ACCOUNT NAME
00071281 MSDWIF - SMALL COMPANY GROWTH PORTFOLIO
00071928 MSDWIF - VALUE EQUITY PORTFOLIO
00081087 MSDWIF - EQUITY GROWTH PORTFOLIO
255 LSA VARIABLE SERIES TRUST - FOCUSED EQUITY FUND
*391486 MSDW GROWTH FUND
*391548 MSDW SELECT DIMENSIONS GROWTH PORTFOLIO
*391822 MSDW TAX MANAGED GROWTH FUND
52297 VAN KAMPEN SERIES FUND INC. - EQUITY GROWTH FUND
8716 CIGNA CHARTER LARGE COMPANY STOCK GROWTH FUND
89902549 MSDWIF - FOCUS EQUITY PORTFOLIO
89902551 VAN KAMPEN SERIES FUND INC. - FOCUS EQUITY FUND
ESTF0004 ENDEAVOR ASSET ALLOCATION PORTFOLIO
JL50 VAN KAMPEN TAX MANAGED EQUITY GROWTH FUND
JU31 SUNAMERICA
MTEC MSDWIF - TECHNOLOGY PORTFOLIO
PRINAGGR PRINCIPAL AGGRESSIVE GROWTH FUND
PRINCON PRINCIPAL ASSET ALLOCATION FUND - CONCENTRATED
PRINLCV PRINCIPAL ASSET ALLOCATION FUND - LARGE CAP VALUE
PRINSCG PRINCIPAL ASSET ALLOCATION FUND - SMALL CAP GROWTH
PRINPART PRINCIPAL PARTNERS AGGRESSIVE GROWTH FUND
UFEG UNIVERSAL INSTITUTIONAL FUNDS INC. - EQUITY GROWTH PORTFOLIO
UFTECH UNIVERSAL INSTITUTIONAL FUNDS INC. - TECHNOLOGY PORTFOLIO
* Dean Witter Adviser's
Funds
<PAGE>
AFFILIATED UNDERWRITING CHECKLIST FOR 40-Act
FUNDS:
(This checklist can be found in Excel at
l:\cheklist\funds.xls)
This Checklist must be completed in order to ensure compliance with the
40-Act requirements applicable to participations in affiliated
underwritings for 40-Act funds. Please complete this Checklist
immediately after participating in an affiliated underwriting on behalf
of each 40-Act Fund and forward it to Lauren Teetsel in the New York
Compliance Department for review, record-keeping and reporting purposes.
The Compliance Department in New York must receive this Checklist from
all MSDWIM offices that engage in affiliated underwriting transactions
for the 40-Act Funds they manage.
Note: A red herring prospectus must be included with the Checklist and a
final prospectus must be forwarded to the New York Compliance Department
for regulatory record retention purposes.
----------------------------------------------------------------------------
Issuer: Curon Medical/CURN Fund(s) List below(please use GIM2 acronyms or
proper fund names)
Offering Date: 09/22/2000 No. of Securities Offered: 5,000,000
(# of shares or # of bonds)
Affiliated Broker: MS&Co. Price Per Unit: $11.00
----------------------------------------------------------------------------
The securities to be purchased are: Check One
[X]Registered under the Securities Act of 1933 [ ] Eligible Rule 144A securities
[ ] Municipal Securities [ ] Offered in an Eligible Foreign Offering
YES NO
----------------------------------------------------------------------------
1 Are the securities being offered pursuant to a firm commitment
underwriting? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
2 Will transaction be executed away from Morgan Stanley Dean Witter
and not allocated to Morgan Stanley Dean Witter
if it is a "pot trde"? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
3 Has the executing dealer represented that Morgan Stanley
Dean Witter will not receive compensation in connection
with the transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
4 Will the securities be purchased at not more than the public
offering price and no later than the close of the first full
business day on which any sales are made? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
5 Is the commission or spread to be received by the
underwriters reasonable and fair compared to that
received in comparable transactions? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
6 If not a municipal issuer, has the issuer
(including predecessors)been in continuous operation
for at least three years? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
7 If a municipal issuer, (1) does the issue have an investment
grade rating from at least one Nationally Recognized
Statistical Rating Organization, or (2) if the issuer
has less than three (3) years of continuous operations,
does the issue have one of the three highest
ratings from one such rating organization? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
8 If the transaction is intended for a third-party
40-Act Fund, has it adopted affiliated underwriting
procedures that permit it to engage in
this transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
9 Is the total principal amount of securities purchased by
MSDWIM/MAS for all 40-Act Funds no more than 10%
of the total offering? X
-----------------
** Do not include offshore funds (i.e. SICAVs) in this calculation.**
SHOW CALCULATION HERE:
Total Units Offered: 5,000,000
Price per 11.00
Unit:
10% of Total Offering: $5,500,000.00
40-Act Units Offer Total Selling Broker
Fund To Buy Price Value
*SEE LEGEND
00071281 3,700 11.00 $40,700 CIBC
00071928 0 11.00 $0 -
00081087 28,100 11.00 $309,100 CIBC
255 200 11.00 $2,200 WARR
391486 27,500 11.00 $302,500 COWN
391548 2,900 11.00 $31,900 WARR
391822 3,400 11.00 $37,400 WARR
52297 2,200 11.00 $24,200 COWN
8716 200 11.00 $2,200 WARR
89902549 3,400 11.00 $37,400 WARR
89902551 11,200 11.00 $123,200 WARR
ESTF0004 5,800 11.00 $63,800 WARR
JL50 300 11.00 $3,300 WARR
JU3I 700 11.00 $7,700 WARR
MTEC 3,200 11.00 $35,200 WARR
PRINAGGR 8,600 11.00 $94,600 Warburg Dillon Read
PRINCON 400 11.00 $4,400 Warburg Dillon Read
PRINLCV 0 11.00 $0 -
PRINPART 1,500 11.00 $16,500 Warburg Dillon Read
PRINSCG 0 11.00 $0 -
UFEG 4,000 11.00 $44,000 WARR
UFTECH 1,400 11.00 $15,400 WARR
--------------------------------
Total 108,700
Shares
Total Purchased by $1,195,700
all 40-Act Funds
Total % of Deal 2.17%
Purchased by all Funds
------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
10 Has a copy of this completed checklist been forwarded to
Lauren Teetsel in MSDWIM Compliance? X
----------------------------------------------------------------------------
/Phillip Friedman/
Portfolio Manager's or designee's Signature
**************************************
MSDWIM Compliance*: YES NO
----------------------------------------------------------------------------
11 Has a copy of this Checklist been forwarded to
Chase Global Fund Services (fax# 617-557-8610)
for MSDWIM-sponsored 40-Act Funds and to the
appropriate outside administrators for third-party Funds?
----------------------------------------------------------------------------
* Compliance personnel at the MSDWIM office executing these trades is
responsible for ensuring that the appropriate outside administrator receives
a copy of the Checklist (Chase for proprietary funds)
*LEGEND
GIMS ACRONYM ACCOUNT NAME
00071281 MSDWIF - SMALL COMPANY GROWTH PORTFOLIO
00071928 MSDWIF - VALUE EQUITY PORTFOLIO
00081087 MSDWIF - EQUITY GROWTH PORTFOLIO
255 LSA VARIABLE SERIES TRUST - FOCUSED EQUITY FUND
*391486 MSDW GROWTH FUND
*391548 MSDW SELECT DIMENSIONS GROWTH PORTFOLIO
*391822 MSDW TAX MANAGED GROWTH FUND
52297 VAN KAMPEN SERIES FUND INC. - EQUITY GROWTH FUND
8716 CIGNA CHARTER LARGE COMPANY STOCK GROWTH FUND
89902549 MSDWIF - FOCUS EQUITY PORTFOLIO
89902551 VAN KAMPEN SERIES FUND INC. - FOCUS EQUITY FUND
ESTF0004 ENDEAVOR ASSET ALLOCATION PORTFOLIO
JL50 VAN KAMPEN TAX MANAGED EQUITY GROWTH FUND
JU31 SUNAMERICA
MTEC MSDWIF - TECHNOLOGY PORTFOLIO
PRINAGGR PRINCIPAL AGGRESSIVE GROWTH FUND
PRINCON PRINCIPAL ASSET ALLOCATION FUND - CONCENTRATED
PRINLCV PRINCIPAL ASSET ALLOCATION FUND - LARGE CAP VALUE
PRINSCG PRINCIPAL ASSET ALLOCATION FUND - SMALL CAP GROWTH
PRINPART PRINCIPAL PARTNERS AGGRESSIVE GROWTH FUND
UFEG UNIVERSAL INSTITUTIONAL FUNDS INC. - EQUITY GROWTH PORTFOLIO
UFTECH UNIVERSAL INSTITUTIONAL FUNDS INC. - TECHNOLOGY PORTFOLIO
* Dean Witter
Adviser's Funds
<PAGE>
AFFILIATED UNDERWRITING CHECKLIST FOR 40-Act
FUNDS:
(This checklist can be found in Excel at
l:\cheklist\funds.xls)
This Checklist must be completed in order to ensure compliance with the
40-Act requirements applicable to participations in affiliated
underwritings for 40-Act funds. Please complete this Checklist immediately
after participating in an affiliated underwriting on behalf of each 40-Act
Fund and forward it to Lauren Teetsel in the New York Compliance
Department for review, record-keeping and reporting purposes. The
Compliance Department in New York must receive this Checklist from all
MSDWIM offices that engage in affiliated underwriting transactions for the
40-Act Funds they manage.
Note: A red herring prospectus must be included with the Checklist and a
final prospectus must be forwarded to the New York Compliance Department
for regulatory record retention purposes.
---------------------------------------------------------------------------
Issuer:Genaissance Pharmaceuticals Fund(s) List below(please use GIM2 acronyms
Inc./GNSC or proper fund names)
Offering Date: 08/02/2000 No. of Securities Offered: 6,000,000
(# of shares or # of bonds)
Affiliated Broker: MS&Co. Price Per Unit: $13.00
----------------------------------------------------------------------------
The securities to be purchased are: Check One
[X]Registered under the Securities Act of 1933 [ ] Eligible Rule 144A securities
[ ] Municipal Securities [ ] Offered in an Eligible Foreign Offering
YES NO
----------------------------------------------------------------------------
1 Are the securities being offered pursuant to a firm commitment
underwriting? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
2 Will transaction be executed away from Morgan Stanley Dean Witter
and not allocated to Morgan Stanley Dean Witter
if it is a "pot trde"? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
3 Has the executing dealer represented that Morgan Stanley
Dean Witter will not receive compensation in connection
with the transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
4 Will the securities be purchased at not more than the public
offering price and no later than the close of the first full
business day on which any sales are made? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
5 Is the commission or spread to be received by the
underwriters reasonable and fair compared to that
received in comparable transactions? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
6 If not a municipal issuer, has the issuer
(including predecessors)been in continuous operation
for at least three years? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
7 If a municipal issuer, (1) does the issue have an investment
grade rating from at least one Nationally Recognized
Statistical Rating Organization, or (2) if the issuer
has less than three (3) years of continuous operations,
does the issue have one of the three highest
ratings from one such rating organization? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
8 If the transaction is intended for a third-party
40-Act Fund, has it adopted affiliated underwriting
procedures that permit it to engage in
this transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
9 Is the total principal amount of securities purchased by
MSDWIM/MAS for all 40-Act Funds no more than 10%
of the total offering? X
-----------------
** Do not include offshore funds (i.e. SICAVs) in this calculation.**
SHOW CALCULATION HERE:
Total Units Offered: 6,000,000
Price per 13.00
Unit:
10% of Total Offering: 7,800,000.00
40-Act Units Offer Total Selling Broker
Fund To Buy Price Value
*SEE LEGEND
00071281 $0
00071928 $0
00081087 $0
255 $0
391486 $0
391548 $0
391822 $0
52297 $0
8716 $0
89902549 $0
89902551 $0
ESTF0004 $0
JL50 $0
JU3I $0
MTEC $0
PRINAGGR $0
PRINCON $0
PRINLCV $0
PRINPART $0
PRINSCG $0
UFEG $0
UFTECH $0
-------------------------------
Total 143,500
Shares
Total Purchased by $1,865,500
all 40-Act Funds
Total % of Deal 2.39%
Purchased by all Funds
--------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
10 Has a copy of this completed checklist been forwarded to
Lauren Teetsel in MSDWIM Compliance? X
----------------------------------------------------------------------------
/Phillip Friedman/
Portfolio Manager's or designee's Signature
**************************************
MSDWIM Compliance*: YES NO
----------------------------------------------------------------------------
11 Has a copy of this Checklist been forwarded to
Chase Global Fund Services (fax# 617-557-8610)
for MSDWIM-sponsored 40-Act Funds and to the
appropriate outside administrators for third-party Funds?
----------------------------------------------------------------------------
* Compliance personnel at the MSDWIM office executing these trades is
responsible for ensuring that the appropriate outside administrator receives
a copy of the Checklist (Chase for proprietary funds)
*LEGEND
GIMS ACRONYM ACCOUNT NAME
00071281 MSDWIF - SMALL COMPANY GROWTH PORTFOLIO
00071928 MSDWIF - VALUE EQUITY PORTFOLIO
00081087 MSDWIF - EQUITY GROWTH PORTFOLIO
255 LSA VARIABLE SERIES TRUST - FOCUSED EQUITY FUND
*391486 MSDW GROWTH FUND
*391548 MSDW SELECT DIMENSIONS GROWTH PORTFOLIO
*391822 MSDW TAX MANAGED GROWTH FUND
52297 VAN KAMPEN SERIES FUND INC. - EQUITY GROWTH FUND
8716 CIGNA CHARTER LARGE COMPANY STOCK GROWTH FUND
89902549 MSDWIF - FOCUS EQUITY PORTFOLIO
89902551 VAN KAMPEN SERIES FUND INC. - FOCUS EQUITY FUND
ESTF0004 ENDEAVOR ASSET ALLOCATION PORTFOLIO
JL50 VAN KAMPEN TAX MANAGED EQUITY GROWTH FUND
JU31 SUNAMERICA
MTEC MSDWIF - TECHNOLOGY PORTFOLIO
PRINAGGR PRINCIPAL AGGRESSIVE GROWTH FUND
PRINCON PRINCIPAL ASSET ALLOCATION FUND - CONCENTRATED
PRINLCV PRINCIPAL ASSET ALLOCATION FUND - LARGE CAP VALUE
PRINSCG PRINCIPAL ASSET ALLOCATION FUND - SMALL CAP GROWTH
PRINPART PRINCIPAL PARTNERS AGGRESSIVE GROWTH FUND
UFEG UNIVERSAL INSTITUTIONAL FUNDS INC. - EQUITY GROWTH PORTFOLIO
UFTECH UNIVERSAL INSTITUTIONAL FUNDS INC. - TECHNOLOGY PORTFOLIO
* Dean Witter
Adviser's Funds
Account Shares Price Net Broker Symbol
255 200 13 $2,600.00 DEUTSCHE BANK SECURITIES GNSC
INC, NY
8716 300 13 $3,900.00 BEAR STEARNS, NEW YORK GNSC
52297 3000 13 $39,000.00 BEAR STEARNS, NEW YORK GNSC
71281 4600 13 $59,800.00 DEUTSCHE BANK SECURITIES GNSC
INC, NY
81087 28000 13 $364,000.00 SALOMON SMITH BARNEY, NY - GNSC
ETC
81087 10000 13 $130,000.00 WARBURG DILLON READ, NY GNSC
ETC
391486 36200 13 $470,600.00 BEAR STEARNS, NEW YORK GNSC
391548 3700 13 $48,100.00 DEUTSCHE BANK SECURITIES GNSC
INC, NY
391822 4500 13 $58,500.00 DEUTSCHE BANK SECURITIES GNSC
INC, NY
89902549 4600 13 $59,800.00 DEUTSCHE BANK SECURITIES GNSC
INC, NY
89902551 15000 13 $195,000.00 DEUTSCHE BANK SECURITIES GNSC
INC, NY
ESTF0004 8100 13 $105,300.00 DEUTSCHE BANK SECURITIES GNSC
INC, NY
JL50 200 13 $2,600.00 DEUTSCHE BANK SECURITIES GNSC
INC, NY
JU3I 300 13 $3,900.00 SALOMON SMITH BARNEY, NY - GNSC
ETC
MTEC 3700 13 $48,100.00 DEUTSCHE BANK SECURITIES GNSC
INC, NY
PRINAGGR 11700 13 $152,100.00 SALOMON SMITH BARNEY, NY - GNSC
ETC
PRINCON 600 13 $7,800.00 DEUTSCHE BANK SECURITIES GNSC
INC, NY
PRINPART 2000 13 $26,000.00 DEUTSCHE BANK SECURITIES GNSC
INC, NY
PRINSCG 100 13 $1,300.00 DEUTSCHE BANK SECURITIES GNSC
INC, NY
UFEG 5100 13 $66,300.00 DEUTSCHE BANK SECURITIES GNSC
INC, NY
UFTECH 1600 13 $20,800.00 DEUTSCHE BANK SECURITIES GNSC
INC, NY
143500 $1,865,500.00
<PAGE>
AFFILIATED UNDERWRITING CHECKLIST FOR
40-Act FUNDS:
(This checklist can be found in Excel at
l:\cheklist\funds.xls)
This Checklist must be completed in order to ensure compliance with the
40-Act requirements applicable to participations in affiliated underwritings
for 40-Act funds. Please complete this Checklist immediately after
participating in an affiliated underwriting on behalf of each 40-Act Fund and
forward it to Lauren Teetsel in the New York Compliance Department for
review, record-keeping and reporting purposes. The Compliance Department in
New York must receive this Checklist from all MSDWIM offices that engage in
affiliated underwriting transactions for the 40-Act Funds they manage.
Note: A red herring prospectus must be included with the Checklist and a
final prospectus must be forwarded to the New York Compliance Department for
regulatory record retention purposes.
--------------------------------------------------------------------------
Issuer: Informas/INMX Fund(s) List below(please use GIM2 acronyms or
proper fund names)
Offering Date: 10/03/2000 No. of Securities Offered: 5,000,000
(# of shares or # of bonds)
Affiliated Broker: MS&Co. Price Per Unit: $16.00
----------------------------------------------------------------------------
The securities to be purchased are: Check One
[X]Registered under the Securities Act of 1933 [ ] Eligible Rule 144A securities
[ ] Municipal Securities [ ] Offered in an Eligible Foreign Offering
YES NO
----------------------------------------------------------------------------
1 Are the securities being offered pursuant to a firm commitment
underwriting? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
2 Will transaction be executed away from Morgan Stanley Dean Witter
and not allocated to Morgan Stanley Dean Witter
if it is a "pot trde"? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
3 Has the executing dealer represented that Morgan Stanley
Dean Witter will not receive compensation in connection
with the transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
4 Will the securities be purchased at not more than the public
offering price and no later than the close of the first full
business day on which any sales are made? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
5 Is the commission or spread to be received by the
underwriters reasonable and fair compared to that
received in comparable transactions? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
6 If not a municipal issuer, has the issuer
(including predecessors)been in continuous operation
for at least three years? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
7 If a municipal issuer, (1) does the issue have an investment
grade rating from at least one Nationally Recognized
Statistical Rating Organization, or (2) if the issuer
has less than three (3) years of continuous operations,
does the issue have one of the three highest
ratings from one such rating organization? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
8 If the transaction is intended for a third-party
40-Act Fund, has it adopted affiliated underwriting
procedures that permit it to engage in
this transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
9 Is the total principal amount of securities purchased by
MSDWIM/MAS for all 40-Act Funds no more than 10%
of the total offering? X
-----------------
** Do not include offshore funds (i.e. SICAVs) in this calculation.**
SHOW CALCULATION HERE:
Total Units 5,000,000
Offered:
Price per 16.00
Unit:
10% of Total 8,000,000.00
Offering:
40-Act Units Offer Total Selling Broker
Fund To Buy Price Value
*SEE LEGEND
00071281 1,000 16.00 $16,000 ADAM
00071928 16.00 0
00081087 7,500 16.00 $120,000 PIPR
255 16.00 $0
391486 7,300 16.00 $116,800 ADAM
391548 800 16.00 $12,800 BEST
391822 900 16.00 $14,400 BEST
52297 600 16.00 $9,600 BEST
8716 100 16.00 $1,600 BEST
89902549 900 16.00 $14,400 BEST
89902551 3,000 16.00 $48,000 BEST
ESTF000 1,500 16.00 $24,000 BEST
JL50 100 16.00 $1,600 BEST
JU3I 200 16.00 $3,200 BEST
MTEC 800 16.00 $12,800 BEST
PRINAGGR 2,300 16.00 $36,800 Bear Stearns
PRINCON 100 16.00 $1,600 Bear Stearns
PRINLCV 16.00 $0 -
PRINPART 400 16.00 $6,400 Bear Stearns
PRINSCG 16.00 $0 -
UFEG 1,100 16.00 $17,600 BEST
UFTECH 400 16.00 $6,400 BEST
Total 29,000
Shares
Total Purchased by $464,000
all 40-Act Funds
Total % of Deal 0.58%
Purchased by all
Funds
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
10 Has a copy of this completed checklist been forwarded to
Lauren Teetsel in MSDWIM Compliance? X
----------------------------------------------------------------------------
/Phillip Friedman/
Portfolio Manager's or designee's Signature
**************************************
MSDWIM Compliance*: YES NO
----------------------------------------------------------------------------
11 Has a copy of this Checklist been forwarded to
Chase Global Fund Services (fax# 617-557-8610)
for MSDWIM-sponsored 40-Act Funds and to the
appropriate outside administrators for third-party Funds?
----------------------------------------------------------------------------
* Compliance personnel at the MSDWIM office executing these trades is
responsible for ensuring that the appropriate outside administrator receives
a copy of the Checklist (Chase for proprietary funds)
*LEGEND
GIMS ACRONYM ACCOUNT NAME
00071281 MSDWIF - SMALL COMPANY GROWTH PORTFOLIO
00071928 MSDWIF - VALUE EQUITY PORTFOLIO
00081087 MSDWIF - EQUITY GROWTH PORTFOLIO
255 LSA VARIABLE SERIES TRUST - FOCUSED EQUITY FUND
*391486 MSDW GROWTH FUND
*391548 MSDW SELECT DIMENSIONS GROWTH PORTFOLIO
*391822 MSDW TAX MANAGED GROWTH FUND
52297 VAN KAMPEN SERIES FUND INC. - EQUITY GROWTH FUND
8716 CIGNA CHARTER LARGE COMPANY STOCK GROWTH FUND
89902549 MSDWIF - FOCUS EQUITY PORTFOLIO
89902551 VAN KAMPEN SERIES FUND INC. - FOCUS EQUITY FUND
ESTF0004 ENDEAVOR ASSET ALLOCATION PORTFOLIO
JL50 VAN KAMPEN TAX MANAGED EQUITY GROWTH FUND
JU31 SUNAMERICA
MTEC MSDWIF - TECHNOLOGY PORTFOLIO
PRINAGGR PRINCIPAL AGGRESSIVE GROWTH FUND
PRINCON PRINCIPAL ASSET ALLOCATION FUND - CONCENTRATED
PRINLCV PRINCIPAL ASSET ALLOCATION FUND - LARGE CAP VALUE
PRINSCG PRINCIPAL ASSET ALLOCATION FUND - SMALL CAP GROWTH
PRINPART PRINCIPAL PARTNERS AGGRESSIVE GROWTH FUND
UFEG UNIVERSAL INSTITUTIONAL FUNDS INC. - EQUITY GROWTH PORTFOLIO
UFTECH UNIVERSAL INSTITUTIONAL FUNDS INC. - TECHNOLOGY PORTFOLIO
* Dean Witter Adviser's
Funds
<PAGE>
AFFILIATED UNDERWRITING CHECKLIST FOR
40-Act FUNDS:
(This checklist can be found in Excel at
l:\cheklist\funds.xls)
This Checklist must be completed in order to ensure compliance with the
40-Act requirements applicable to participations in affiliated underwritings
for 40-Act funds. Please complete this Checklist immediately after
participating in an affiliated underwriting on behalf of each 40-Act Fund and
forward it to Lauren Teetsel in the New York Compliance Department for
review, record-keeping and reporting purposes. The Compliance Department in
New York must receive this Checklist from all MSDWIM offices that engage in
affiliated underwriting transactions for the 40-Act Funds they manage.
Note: A red herring prospectus must be included with the Checklist and a
final prospectus must be forwarded to the New York Compliance Department for
regulatory record retention purposes.
----------------------------------------------------------------------------
Issuer: Insprire Fund(s) List below(please use GIM2 acronyms or
Pharmaceuticals Inc./ISPH proper fund names)
Offering Date: 08/03/2000 No. of Securities Offered: 5,500,000
(# of shares or # of bonds)
Affiliated Broker: MS&Co. Price Per Unit: $12.00
----------------------------------------------------------------------------
The securities to be purchased are: Check One
[X]Registered under the Securities Act of 1933 [ ] Eligible Rule 144A securities
[ ] Municipal Securities [ ] Offered in an Eligible Foreign Offering
YES NO
----------------------------------------------------------------------------
1 Are the securities being offered pursuant to a firm commitment
underwriting? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
2 Will transaction be executed away from Morgan Stanley Dean Witter
and not allocated to Morgan Stanley Dean Witter
if it is a "pot trde"? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
3 Has the executing dealer represented that Morgan Stanley
Dean Witter will not receive compensation in connection
with the transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
4 Will the securities be purchased at not more than the public
offering price and no later than the close of the first full
business day on which any sales are made? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
5 Is the commission or spread to be received by the
underwriters reasonable and fair compared to that
received in comparable transactions? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
6 If not a municipal issuer, has the issuer
(including predecessors)been in continuous operation
for at least three years? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
7 If a municipal issuer, (1) does the issue have an investment
grade rating from at least one Nationally Recognized
Statistical Rating Organization, or (2) if the issuer
has less than three (3) years of continuous operations,
does the issue have one of the three highest
ratings from one such rating organization? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
8 If the transaction is intended for a third-party
40-Act Fund, has it adopted affiliated underwriting
procedures that permit it to engage in
this transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
9 Is the total principal amount of securities purchased by
MSDWIM/MAS for all 40-Act Funds no more than 10%
of the total offering? X
-----------------
** Do not include offshore funds (i.e. SICAVs) in this calculation.**
SHOW CALCULATION HERE:
Total Units Offered: 5,500,000
Price per 12.00
Unit:
10% of Total 6,600,000.00
Offering:
40-Act Units Offer Total Selling Broker
Fund To Buy Price Value
*SEE LEGEND
00071281 200 12.00 $2,400 DEUTSCHE BANK (DBKS)
00071928 12.00 $0
00081087 2,100 12.00 $25,200 PIPER JEFFREY (PIPR)
255 12.00 $0
391486 1,900 12.00 $22,800 HAMBRECHT & QUIST
(HMQT)
391548 200 12.00 $2,400 DBKS
391822 200 12.00 $2,400 DBKS
52297 100 12.00 $1,200 DBKS
8716 12.00 $0
89902549 200 12.00 $2,400 DBKS
89902551 800 12.00 $9,600 HMQT
ESTF0004 400 12.00 $4,800 DBKS
JL50 12.00 $0
JU3I 12.00 $0
MTEC 200 12.00 $2,400 DBKS
PRINAGGR 600 12.00 $7,200 Deutsche Bank
PRINCON 12.00 $0
PRINLCV 12.00 $0
PRINPART 100 12.00 $1,200 Deutsche Bank
PRINSCG 12.00 $0
UFEG 300 12.00 $3,600 HMQT,PIPR
UFTECH 100 12.00 $1,200 HMQT
Total 7,400
Shares
Total Purchased by $88,800
all 40-Act Funds
Total % of Deal 0.13%
Purchased by all
Funds
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
10 Has a copy of this completed checklist been forwarded to
Lauren Teetsel in MSDWIM Compliance? X
----------------------------------------------------------------------------
/Phillip Friedman/
Portfolio Manager's or designee's Signature
**************************************
MSDWIM Compliance*: YES NO
----------------------------------------------------------------------------
11 Has a copy of this Checklist been forwarded to
Chase Global Fund Services (fax# 617-557-8610)
for MSDWIM-sponsored 40-Act Funds and to the
appropriate outside administrators for third-party Funds?
----------------------------------------------------------------------------
* Compliance personnel at the MSDWIM office executing these trades is
responsible for ensuring that the appropriate outside administrator receives
a copy of the Checklist (Chase for proprietary funds)
*LEGEND
GIMS ACRONYM ACCOUNT NAME
00071281 MSDWIF - SMALL COMPANY GROWTH PORTFOLIO
00071928 MSDWIF - VALUE EQUITY PORTFOLIO
00081087 MSDWIF - EQUITY GROWTH PORTFOLIO
255 LSA VARIABLE SERIES TRUST - FOCUSED EQUITY FUND
*391486 MSDW GROWTH FUND
*391548 MSDW SELECT DIMENSIONS GROWTH PORTFOLIO
*391822 MSDW TAX MANAGED GROWTH FUND
52297 VAN KAMPEN SERIES FUND INC. - EQUITY GROWTH FUND
8716 CIGNA CHARTER LARGE COMPANY STOCK GROWTH FUND
89902549 MSDWIF - FOCUS EQUITY PORTFOLIO
89902551 VAN KAMPEN SERIES FUND INC. - FOCUS EQUITY FUND
ESTF0004 ENDEAVOR ASSET ALLOCATION PORTFOLIO
JL50 VAN KAMPEN TAX MANAGED EQUITY GROWTH FUND
JU31 SUNAMERICA
MTEC MSDWIF - TECHNOLOGY PORTFOLIO
PRINAGGR PRINCIPAL AGGRESSIVE GROWTH FUND
PRINCON PRINCIPAL ASSET ALLOCATION FUND - CONCENTRATED
PRINLCV PRINCIPAL ASSET ALLOCATION FUND - LARGE CAP VALUE
PRINSCG PRINCIPAL ASSET ALLOCATION FUND - SMALL CAP GROWTH
PRINPART PRINCIPAL PARTNERS AGGRESSIVE GROWTH FUND
UFEG UNIVERSAL INSTITUTIONAL FUNDS INC. - EQUITY GROWTH PORTFOLIO
UFTECH UNIVERSAL INSTITUTIONAL FUNDS INC. - TECHNOLOGY PORTFOLIO
* Dean Witter
Adviser's Funds
<PAGE>
AFFILIATED UNDERWRITING CHECKLIST FOR
40-Act FUNDS:
(This checklist can be found in Excel at
l:\cheklist\funds.xls)
This Checklist must be completed in order to ensure compliance with the
40-Act requirements applicable to participations in affiliated underwritings
for 40-Act funds. Please complete this Checklist immediately after
participating in an affiliated underwriting on behalf of each 40-Act Fund and
forward it to Lauren Teetsel in the New York Compliance Department for
review, record-keeping and reporting purposes. The Compliance Department in
New York must receive this Checklist from all MSDWIM offices that engage in
affiliated underwriting transactions for the 40-Act Funds they manage.
Note: A red herring prospectus must be included with the Checklist and a
final prospectus must be forwarded to the New York Compliance Department for
regulatory record retention purposes.
---------------------------------------------------------------------------
Issuer: Proton Energy Fund(s) List below(please use GIM2 acronyms or
Systems/PRTN proper fund names)
Offering Date: 09/28/2000 No. of Securities Offered: 7,000,000
(# of shares or # of bonds)
Affiliated Broker: MS&Co. Price Per Unit: $17.00
----------------------------------------------------------------------------
The securities to be purchased are: Check One
[X]Registered under the Securities Act of 1933 [ ] Eligible Rule 144A securities
[ ] Municipal Securities [ ] Offered in an Eligible Foreign Offering
YES NO
----------------------------------------------------------------------------
1 Are the securities being offered pursuant to a firm commitment
underwriting? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
2 Will transaction be executed away from Morgan Stanley Dean Witter
and not allocated to Morgan Stanley Dean Witter
if it is a "pot trde"? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
3 Has the executing dealer represented that Morgan Stanley
Dean Witter will not receive compensation in connection
with the transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
4 Will the securities be purchased at not more than the public
offering price and no later than the close of the first full
business day on which any sales are made? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
5 Is the commission or spread to be received by the
underwriters reasonable and fair compared to that
received in comparable transactions? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
6 If not a municipal issuer, has the issuer
(including predecessors)been in continuous operation
for at least three years? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
7 If a municipal issuer, (1) does the issue have an investment
grade rating from at least one Nationally Recognized
Statistical Rating Organization, or (2) if the issuer
has less than three (3) years of continuous operations,
does the issue have one of the three highest
ratings from one such rating organization? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
8 If the transaction is intended for a third-party
40-Act Fund, has it adopted affiliated underwriting
procedures that permit it to engage in
this transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
9 Is the total principal amount of securities purchased by
MSDWIM/MAS for all 40-Act Funds no more than 10%
of the total offering? X
-----------------
** Do not include offshore funds (i.e. SICAVs) in this calculation.**
SHOW CALCULATION HERE:
Total Units Offered: 7,000,000
Price per 17.00
Unit:
10% of Total $11,900,000.00
Offering:
40-Act Units Offer Total Selling Broker
Fund To Buy Price Value
*SEE LEGEND
00071281 1,000 17.00 $17,000 FBCO
00071928 0 17.00 $0 -
00081087 7,100 17.00 $120,700 FBCO
255 0 17.00 $0 -
391486 6,900 17.00 $117,300 SBSH
391548 800 17.00 $13,600 FBCO
391822 900 17.00 $15,300 FBCO
52297 600 17.00 $10,200 FBCO
8716 100 17.00 $1,700 FBCO
89902549 0 17.00 $0 -
89902551 0 17.00 $0 -
ESTF0004 1,500 17.00 $25,500 SBSH
JL50 100 17.00 $1,700 FBCO
JU3I 200 17.00 $3,400 FBCO
MTEC 800 17.00 $13,600 FBCO
PRINAGGR 2,200 17.00 $37,400 Solomon Smith Barney
PRINCON 100 17.00 $1,700 Solomon Smith Barney
PRINLCV 0 17.00 $0 -
PRINPART 400 17.00 $6,800 Solomon Smith Barney
PRINSCG 0 17.00 $0 -
UFEG 1,000 17.00 $17,000 SBSH
UFTECH 400 17.00 $6,800 SBSH
Total 24,100
Shares
Total Purchased by $409,700
all 40-Act Funds
Total % of Deal 0.34%
Purchased by all
Funds
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
10 Has a copy of this completed checklist been forwarded to
Lauren Teetsel in MSDWIM Compliance? X
----------------------------------------------------------------------------
/Phillip Friedman/
Portfolio Manager's or designee's Signature
**************************************
MSDWIM Compliance*: YES NO
----------------------------------------------------------------------------
11 Has a copy of this Checklist been forwarded to
Chase Global Fund Services (fax# 617-557-8610)
for MSDWIM-sponsored 40-Act Funds and to the
appropriate outside administrators for third-party Funds?
----------------------------------------------------------------------------
* Compliance personnel at the MSDWIM office executing these trades is
responsible for ensuring that the appropriate outside administrator receives
a copy of the Checklist (Chase for proprietary funds)
*LEGEND
GIMS ACRONYM ACCOUNT NAME
00071281 MSDWIF - SMALL COMPANY GROWTH PORTFOLIO
00071928 MSDWIF - VALUE EQUITY PORTFOLIO
00081087 MSDWIF - EQUITY GROWTH PORTFOLIO
255 LSA VARIABLE SERIES TRUST - FOCUSED EQUITY FUND
*391486 MSDW GROWTH FUND
*391548 MSDW SELECT DIMENSIONS GROWTH PORTFOLIO
*391822 MSDW TAX MANAGED GROWTH FUND
52297 VAN KAMPEN SERIES FUND INC. - EQUITY GROWTH FUND
8716 CIGNA CHARTER LARGE COMPANY STOCK GROWTH FUND
89902549 MSDWIF - FOCUS EQUITY PORTFOLIO
89902551 VAN KAMPEN SERIES FUND INC. - FOCUS EQUITY FUND
ESTF0004 ENDEAVOR ASSET ALLOCATION PORTFOLIO
JL50 VAN KAMPEN TAX MANAGED EQUITY GROWTH FUND
JU31 SUNAMERICA
MTEC MSDWIF - TECHNOLOGY PORTFOLIO
PRINAGGR PRINCIPAL AGGRESSIVE GROWTH FUND
PRINCON PRINCIPAL ASSET ALLOCATION FUND - CONCENTRATED
PRINLCV PRINCIPAL ASSET ALLOCATION FUND - LARGE CAP VALUE
PRINSCG PRINCIPAL ASSET ALLOCATION FUND - SMALL CAP GROWTH
PRINPART PRINCIPAL PARTNERS AGGRESSIVE GROWTH FUND
UFEG UNIVERSAL INSTITUTIONAL FUNDS INC. - EQUITY GROWTH PORTFOLIO
UFTECH UNIVERSAL INSTITUTIONAL FUNDS INC. - TECHNOLOGY PORTFOLIO
* Dean Witter
Adviser's Funds
<PAGE>
AFFILIATED UNDERWRITING CHECKLIST FOR
40-Act FUNDS:
(This checklist can be found in Excel at
l:\cheklist\funds.xls)
This Checklist must be completed in order to ensure compliance with the
40-Act requirements applicable to participations in affiliated underwritings
for 40-Act funds. Please complete this Checklist immediately after
participating in an affiliated underwriting on behalf of each 40-Act Fund and
forward it to Lauren Teetsel in the New York Compliance Department for
review, record-keeping and reporting purposes. The Compliance Department in
New York must receive this Checklist from all MSDWIM offices that engage in
affiliated underwriting transactions for the 40-Act Funds they manage.
Note: A red herring prospectus must be included with the Checklist and a
final prospectus must be forwarded to the New York Compliance Department for
regulatory record retention purposes.
---------------------------------------------------------------------------
Issuer: Southern Fund(s) List below(please use GIM2 acronyms or
Energy, Inc./SOE proper fund names)
Offering Date: 09/26/2000 No. of Securities Offered: 58,000,000
(# of shares or # of bonds)
Affiliated Broker: MS&Co. Price Per Unit: $22.00
----------------------------------------------------------------------------
The securities to be purchased are: Check One
[X]Registered under the Securities Act of 1933 [ ] Eligible Rule 144A securities
[ ] Municipal Securities [ ] Offered in an Eligible Foreign Offering
YES NO
----------------------------------------------------------------------------
1 Are the securities being offered pursuant to a firm commitment
underwriting? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
2 Will transaction be executed away from Morgan Stanley Dean Witter
and not allocated to Morgan Stanley Dean Witter
if it is a "pot trde"? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
3 Has the executing dealer represented that Morgan Stanley
Dean Witter will not receive compensation in connection
with the transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
4 Will the securities be purchased at not more than the public
offering price and no later than the close of the first full
business day on which any sales are made? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
5 Is the commission or spread to be received by the
underwriters reasonable and fair compared to that
received in comparable transactions? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
6 If not a municipal issuer, has the issuer
(including predecessors)been in continuous operation
for at least three years? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
7 If a municipal issuer, (1) does the issue have an investment
grade rating from at least one Nationally Recognized
Statistical Rating Organization, or (2) if the issuer
has less than three (3) years of continuous operations,
does the issue have one of the three highest
ratings from one such rating organization? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
8 If the transaction is intended for a third-party
40-Act Fund, has it adopted affiliated underwriting
procedures that permit it to engage in
this transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
9 Is the total principal amount of securities purchased by
MSDWIM/MAS for all 40-Act Funds no more than 10%
of the total offering? X
-----------------
** Do not include offshore funds (i.e. SICAVs) in this calculation.**
SHOW CALCULATION HERE:
Total Units Offered: 58,000,000
Price per 22.00
Unit:
10% of Total $127,600,000.00
Offering:
40-Act Units Offer Total Selling Broker
Fund To Buy Price Value
*SEE LEGEND
00071281 5,300 22.00 $116,600 FBCO
00071928 0 22.00 $0 -
00081087 30,000 22.00 $660,000 GSCO
00081087 7,500 22.00 $165,000 LEHM
00081087 1,100 22.00 $24,200 FBCO
255 200 22.00 $4,400 -
391486 38,100 22.00 $838,200 GSCO
391548 4,100 22.00 $90,200 MONT
391822 4,700 22.00 $103,400 SBSH
52297 3,100 22.00 $68,200 MONT
8716 300 22.00 $6,600 JPMS
89902549 4,600 22.00 $101,200 GSCO
89902551 15,400 22.00 $338,800 GSCO
ESTF0004 8,000 22.00 $176,000 GSCO
JL50 400 22.00 $8,800 JPMS
JU3I 1,200 22.00 $26,400 JPMS
MTEC 4,500 22.00 $99,000 GSCO
PRINAGGR 11,900 22.00 $261,800 Goldman Sachs
PRINCON 600 22.00 $13,200 CS First Boston
PRINLCV 0 22.00 $0 -
PRINPART 2,100 22.00 $46,200 Solomon Smith
Barney
PRINSCG 100 22.00 $2,200 ABN Amro
UFEG 5,600 22.00 $123,200 JPMS
UFTECH 2,000 22.00 $44,000 WLMS
---------------------------------------------
Total 150,800
Shares
Total Purchased by $3,317,600
all 40-Act Funds
Total % of Deal 0.26%
Purchased by all
Funds
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
10 Has a copy of this completed checklist been forwarded to
Lauren Teetsel in MSDWIM Compliance? X
----------------------------------------------------------------------------
/Phillip Friedman/
Portfolio Manager's or designee's Signature
**************************************
MSDWIM Compliance*: YES NO
----------------------------------------------------------------------------
11 Has a copy of this Checklist been forwarded to
Chase Global Fund Services (fax# 617-557-8610)
for MSDWIM-sponsored 40-Act Funds and to the
appropriate outside administrators for third-party Funds?
----------------------------------------------------------------------------
* Compliance personnel at the MSDWIM office executing these trades is
responsible for ensuring that the appropriate outside administrator receives
a copy of the Checklist (Chase for proprietary funds)
*LEGEND
GIMS ACRONYM ACCOUNT NAME
00071281 MSDWIF - SMALL COMPANY GROWTH PORTFOLIO
00071928 MSDWIF - VALUE EQUITY PORTFOLIO
00081087 MSDWIF - EQUITY GROWTH PORTFOLIO
255 LSA VARIABLE SERIES TRUST - FOCUSED EQUITY FUND
*391486 MSDW GROWTH FUND
*391548 MSDW SELECT DIMENSIONS GROWTH PORTFOLIO
*391822 MSDW TAX MANAGED GROWTH FUND
52297 VAN KAMPEN SERIES FUND INC. - EQUITY GROWTH FUND
8716 CIGNA CHARTER LARGE COMPANY STOCK GROWTH FUND
89902549 MSDWIF - FOCUS EQUITY PORTFOLIO
89902551 VAN KAMPEN SERIES FUND INC. - FOCUS EQUITY FUND
ESTF0004 ENDEAVOR ASSET ALLOCATION PORTFOLIO
JL50 VAN KAMPEN TAX MANAGED EQUITY GROWTH FUND
JU31 SUNAMERICA
MTEC MSDWIF - TECHNOLOGY PORTFOLIO
PRINAGGR PRINCIPAL AGGRESSIVE GROWTH FUND
PRINCON PRINCIPAL ASSET ALLOCATION FUND - CONCENTRATED
PRINLCV PRINCIPAL ASSET ALLOCATION FUND - LARGE CAP VALUE
PRINSCG PRINCIPAL ASSET ALLOCATION FUND - SMALL CAP GROWTH
PRINPART PRINCIPAL PARTNERS AGGRESSIVE GROWTH FUND
UFEG UNIVERSAL INSTITUTIONAL FUNDS INC. - EQUITY GROWTH PORTFOLIO
UFTECH UNIVERSAL INSTITUTIONAL FUNDS INC. - TECHNOLOGY PORTFOLIO
* Dean Witter
Adviser's Funds
<PAGE>
AFFILIATED UNDERWRITING CHECKLIST FOR
40-Act FUNDS:
(This checklist can be found in Excel at
l:\cheklist\funds.xls)
This Checklist must be completed in order to ensure compliance with the
40-Act requirements applicable to participations in affiliated underwritings
for 40-Act funds. Please complete this Checklist immediately after
participating in an affiliated underwriting on behalf of each 40-Act Fund and
forward it to Lauren Teetsel in the New York Compliance Department for
review, record-keeping and reporting purposes. The Compliance Department in
New York must receive this Checklist from all MSDWIM offices that engage in
affiliated underwriting transactions for the 40-Act Funds they manage.
Note: A red herring prospectus must be included with the Checklist and a
final prospectus must be forwarded to the New York Compliance Department for
regulatory record retention purposes.
---------------------------------------------------------------------------
Issuer: W-H Energy Fund(s) List below(please use GIM2 acronyms or
Services proper fund names)
Offering Date: 10/10/2000 No. of Securities Offered: 10,000,000
(# of shares or # of bonds)
Affiliated Broker: MS&Co. Price Per Unit: $16.50
----------------------------------------------------------------------------
The securities to be purchased are: Check One
[X]Registered under the Securities Act of 1933 [ ] Eligible Rule 144A securities
[ ] Municipal Securities [ ] Offered in an Eligible Foreign Offering
YES NO
----------------------------------------------------------------------------
1 Are the securities being offered pursuant to a firm commitment
underwriting? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
2 Will transaction be executed away from Morgan Stanley Dean Witter
and not allocated to Morgan Stanley Dean Witter
if it is a "pot trde"? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
3 Has the executing dealer represented that Morgan Stanley
Dean Witter will not receive compensation in connection
with the transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
4 Will the securities be purchased at not more than the public
offering price and no later than the close of the first full
business day on which any sales are made? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
5 Is the commission or spread to be received by the
underwriters reasonable and fair compared to that
received in comparable transactions? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
6 If not a municipal issuer, has the issuer
(including predecessors)been in continuous operation
for at least three years? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
7 If a municipal issuer, (1) does the issue have an investment
grade rating from at least one Nationally Recognized
Statistical Rating Organization, or (2) if the issuer
has less than three (3) years of continuous operations,
does the issue have one of the three highest
ratings from one such rating organization? X
----------------------------------------------------------------------------
YES NO N/A
----------------------------------------------------------------------------
8 If the transaction is intended for a third-party
40-Act Fund, has it adopted affiliated underwriting
procedures that permit it to engage in
this transaction? X
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
9 Is the total principal amount of securities purchased by
MSDWIM/MAS for all 40-Act Funds no more than 10%
of the total offering? X
-----------------
** Do not include offshore funds (i.e. SICAVs) in this calculation.**
SHOW CALCULATION HERE:
Total Units Offered: 10,000,000
Price per 16.50
Unit:
10% of Total $16,500,000.00
Offering:
40-Act Units Offer Total Selling Broker
Fund To Buy Price Value
*SEE LEGEND
00071281 2,500 16.50 $41,250 FBCO
00071928 0 16.50 $0 DLJ
00081087 18,450 16.50 $304,425 FBCO
00081087 75 16.50 $1,238 DLJ
00081087 38 16.50 $627 WARR
00081087 37 16.50 $611 SIMM
255 100 16.50 $1,650 WARR
391486 18,400 16.50 $303,600 FBCO
391548 2,000 16.50 $33,000 DLJ
391822 2,300 16.50 $ 37,950 DLJ
52297 1,500 16.50 $24,750 DLJ
8716 200 16.50 $3,300 FBCO
89902549 2,300 16.50 $ 37,950 DLJ
89902551 7,600 16.50 $125,400 SIMM
ESTF0004 3,800 16.50 $ 62,700 FBCO
JL50 200 16.50 $3,300 SIMM
JU3I 600 16.50 $ 9,900 SIMM
MTEC 1,900 16.50 $31,350 WARR
PRINAGGR 5,700 16.50 $ 94,050 Warburg Dillon Read
PRINCON 300 16.50 $ 4,950 CS First Boston
PRINLCV 0 16.50 $0 -
PRINPART 1,100 16.50 $18,150 DLJ
PRINSCG 100 16.50 $1,650 DLJ
UFEG 2,700 16.50 $ 44,550 FBCO
UFTECH 900 16.50 $14,850 FBCO
---------------------------------------------
Total 72,800
Shares
Total Purchased by $1,201,200
all 40-Act Funds
Total % of Deal 0.73%
Purchased by all
Funds
----------------------------------------------------------------------------
YES NO
----------------------------------------------------------------------------
10 Has a copy of this completed checklist been forwarded to
Lauren Teetsel in MSDWIM Compliance? X
----------------------------------------------------------------------------
/Phillip Friedman/
Portfolio Manager's or designee's Signature
**************************************
MSDWIM Compliance*: YES NO
----------------------------------------------------------------------------
11 Has a copy of this Checklist been forwarded to
Chase Global Fund Services (fax# 617-557-8610)
for MSDWIM-sponsored 40-Act Funds and to the
appropriate outside administrators for third-party Funds?
----------------------------------------------------------------------------
* Compliance personnel at the MSDWIM office executing these trades is
responsible for ensuring that the appropriate outside administrator receives
a copy of the Checklist (Chase for proprietary funds)
*LEGEND
GIMS ACRONYM ACCOUNT NAME
00071281 MSDWIF - SMALL COMPANY GROWTH PORTFOLIO
00071928 MSDWIF - VALUE EQUITY PORTFOLIO
00081087 MSDWIF - EQUITY GROWTH PORTFOLIO
255 LSA VARIABLE SERIES TRUST - FOCUSED EQUITY FUND
*391486 MSDW GROWTH FUND
*391548 MSDW SELECT DIMENSIONS GROWTH PORTFOLIO
*391822 MSDW TAX MANAGED GROWTH FUND
52297 VAN KAMPEN SERIES FUND INC. - EQUITY GROWTH FUND
8716 CIGNA CHARTER LARGE COMPANY STOCK GROWTH FUND
89902549 MSDWIF - FOCUS EQUITY PORTFOLIO
89902551 VAN KAMPEN SERIES FUND INC. - FOCUS EQUITY FUND
ESTF0004 ENDEAVOR ASSET ALLOCATION PORTFOLIO
JL50 VAN KAMPEN TAX MANAGED EQUITY GROWTH FUND
JU31 SUNAMERICA
MTEC MSDWIF - TECHNOLOGY PORTFOLIO
PRINAGGR PRINCIPAL AGGRESSIVE GROWTH FUND
PRINCON PRINCIPAL ASSET ALLOCATION FUND - CONCENTRATED
PRINLCV PRINCIPAL ASSET ALLOCATION FUND - LARGE CAP VALUE
PRINSCG PRINCIPAL ASSET ALLOCATION FUND - SMALL CAP GROWTH
PRINPART PRINCIPAL PARTNERS AGGRESSIVE GROWTH FUND
UFEG UNIVERSAL INSTITUTIONAL FUNDS INC. - EQUITY GROWTH PORTFOLIO
UFTECH UNIVERSAL INSTITUTIONAL FUNDS INC. - TECHNOLOGY PORTFOLIO
* Dean Witter
Adviser's Funds
