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MG Smaller Companies Fund - 10f3
Transactions - Q1 2000
<Table>
<Caption>
|
Security Purchased <C> |
Comparison Security <C> |
Comparison Security <C> |
|
|
Issuer |
Niku Corporation |
TriZetto Group |
USInternetworking, Inc. |
|
Underwriters |
Goldman Sachs, Dain Rauscher, Thomas Weisel Partners, US Bancorp Piper Jaffray, Bear Stearns, DBSI, First Union, FleetBoston Robertson Stephens, JC Bradford, CL King, McDonald Investment, Sands Bros, Tucker Anthony, CE Unterberg Towbin, WR Hambrecht |
Bear Stearns, DLJ, Adams Harkness Hill, Wit Capital, etc., including DBSI |
CS First Boston, Merrill Lynch, JP Morgan, Legg Mason, E*Offering, CE Unterberg Towbin, Wasserstein Perella, etc. |
|
Years of continuous operation, including predecessors |
>3 |
>3 |
>3 |
|
Security |
NIKU |
TZIX |
USIX |
|
Is the affiliate a manager or co-manager of offering? |
No |
No |
No |
|
Name of underwriter or dealer from which purchased |
Goldman Sachs |
n/a |
n/a |
|
Firm commitment? |
Yes |
Yes |
Yes
|
|
Trade date/Date of Offering |
2/28/2000 |
10/7/1999 |
2/17/2000 |
|
|
|||
|
Total dollar amount of offering sold to QIBs |
$ - |
$ - |
$ - |
|
Total dollar amount of any concurrent public offering |
$ 192,000,000.00 |
$ 37,800,000 |
$ 378,000,000 |
|
Total |
$ 192,000,000.00 |
$ 37,800,000 |
$ 378,000,000 |
|
Public offering price |
24.00 |
9.00 |
63.00 |
|
Price paid if other than public offering price |
- |
n/a |
n/a
|
|
Underwriting spread or commission |
$1.68 (7%) |
$0.63 (7%) |
$2.99 (4.75%) |
|
Shares purchased |
500
|
n/a |
n/a |
|
$ amount of purchase |
$ 12,000.00 |
n/a |
n/a |
|
% of offering purchased by fund |
0.01% |
n/a |
n/a |
|
% of offering purchased by associated funds* |
0.08% |
n/a |
n/a |
|
Total (Must be less than 25%) |
0.09% |
n/a |
n/a |
|
|