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Previous: MORGAN GRENFELL INVESTMENT TRUST /MD/, NSAR-B, 2001-01-11 |
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MICROCAP Fund - 10f3
Transactions - Annual 2000
<Table>
<Caption>
|
Security Purchased |
Comparison Security |
Comparison Security |
|
|
<C> |
<C> |
<C> |
|
|
Issuer |
Sunrise Telecom Inc. |
Agilent Technologies (IPO Spin-off) |
Rhythm NetConnections (SE) |
|
Underwriters |
Chase Securities, CIBC World Markets, US Bancorp Piper Jaffray, FleetBoston Robertson Stephens, Bear Stearns, Dain Rauscher Wessels, DB Alex Brown, Lehman Bros, PaineWebber, Wit SoundView, Thomas Weisel Partners, Gerard Klauer Mattison, Parker/Hunter, Robinson Humphrey, Sands Bros, CE Unterberg Towbin |
Morgan Stanley Dean Witter, Goldman Sachs, CS First Boston, Merrill Lynch, Salomon Smith Barney, etc. including Deutsche Bank Securities Inc. |
Merrill Lynch, Salomon Smith Barney, Hambrecht & Quist, Thomas Weisel, etc., including Deutsche Bank Securities Inc. |
|
Years of continuous operation, including predecessors |
>3 |
>3 |
>2 |
|
Security |
SRTI |
A |
RTHM |
|
|
|||
|
Is the affiliate a manager or co-manager of offering? |
No |
No |
No |
|
Name of underwriter or dealer from which purchased |
Chase Hambrecht & Quist |
n/a |
n/a |
|
Firm commitment underwriting? |
yes |
yes |
yes |
|
Trade date/Date of Offering |
7/13/2000 |
11/17/1999 |
8/11/1999 |
|
Total dollar amount of offering sold to QIBs |
$ - |
$ - |
$ - |
|
Total dollar amount of any concurrent public offering |
$ 60,000,000 |
$ 2,160,000,000 |
$ 114,893,998.00 |
|
Total |
$ 60,000,000 |
$ 2,160,000,000 |
$ 114,893,998 |
|
Public offering price |
$ 15.00 |
$ 30.00 |
$ 29.00
|
|
Price paid if other than public offering price |
same |
n/a |
n/a |
|
Underwriting spread or commission |
$1.05 (7%) |
$1.275 (4.25%) |
$1.38 (4.75%) |
|
Shares purchased |
300 |
n/a |
n/a |
|
$ amount of purchase |
$ 4,500.00 |
n/a |
n/a |
|
% of offering purchased by fund |
0.008% |
n/a |
n/a |
|
% of offering purchased by associated funds* |
0.120% |
n/a |
n/a |
|
Total |
0.128% |
n/a |
n/a |
|
*Small Cap Active Equity |
|
|