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Previous: FIDELITY ADVISOR SERIES VII, NSAR-B, EX-99, 2000-09-27 |
Next: INTERNATIONAL RECTIFIER CORP /DE/, 10-K405, 2000-09-27 |
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FORM NSAR Q77.O Transactions effected pursuant to Rule 10F3 Fidelity Advisor Series VII |
|||||||||||||||||
|
Series Number |
Fund |
Trade Date |
Settle Date |
Security Name: |
Size of Offering: |
Aggregate Offering Value |
Price: |
Shares Purchased |
Transaction Value |
Underwriter Fidelity Purchased From |
Underwriting Members:(1) |
Underwriting Members:(2) |
Underwriting Members:(3) |
Underwriting Members:(4) |
Underwriting Members:(5) |
Underwriting Members:(6) |
|
|
4 |
FA HEALTH CARE FUND |
08-Dec-99 |
13-Dec-99 |
Preview Systems, Inc. |
3,800,000 |
79,800,000 |
21.00 |
100 |
2,100 |
BancBoston Robertson Stephens Inc. |
BancBoston Robertson Stephens Inc. |
Dain Rauscher Wessels |
SoundView Technology Group, Inc. |
E*Offering Corp |
Fidelity Capital Markets |
||
|
4 |
FA HEALTH CARE FUND |
05-Apr-00 |
10-Apr-00 |
Ulticom |
4,250,000 |
55,250,000 |
13.00 |
100 |
2,600 |
LEHM |
Lehman Brothers |
Chase H&Q |
US Bancorp Piper Jaffrey |
Fid Capital MKTS |
0 |
0 |
|
|
4 |
FA HEALTH CARE FUND |
06-Dec-99 |
10-Dec-99 |
Harris Interactive |
5,800,000 |
81,200,000 |
14.00 |
400 |
5,600 |
Lehman Brothers Inc. |
Lehman Brothers Inc. |
U.S. Bancorp Piper Jaffray Inc. |
Volpe Brown Whelan & Company, LLC |
E*Offering Corp. |
Fidelity Capital Markets |
||
|
4 |
FA HEALTH CARE FUND |
07-Dec-99 |
10-Dec-99 |
HealthCentral.com |
7,500,000 |
82,500,000 |
11.00 |
900 |
9,900 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
Hambrecht & Quist LLC |
Pacific Growth Equities, Inc. |
Wit Capital Corporation |
Fidelity Capital Markets |
|
|
|
4 |
FA HEALTH CARE FUND |
15-Feb-00 |
18-Feb-00 |
Chordiant Software |
4,500,000 |
81,000,000 |
18.00 |
200 |
88,200 |
RSSF |
FleetBoston Robertson Stephens Inc. |
Dain Rauscher Incorporated |
Thomas Weisel Partners LLC |
0 |
0 |
0 |
|
|
4 |
FA HEALTH CARE FUND |
08-Dec-99 |
13-Dec-99 |
NetRatings |
4,000,000 |
68,000,000 |
17.00 |
100 |
1,700 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
Banc of America Securities LLC |
CIBC World Markets Corp. |
C.E. Unterberg, Towbin |
Fidelity Capital Markets |
|
|
|
4 |
FA HEALTH CARE FUND |
10-Feb-00 |
15-Feb-00 |
Xcare.net, Inc. |
5,000,000 |
90,000,000 |
18.00 |
200 |
1,800 |
RSSF |
FleetBoston Robertson Stephens Inc. |
SG Cowen Securities Corporation |
E*Offering Corp. |
Advest, Inc. |
0 |
0 |
|
|
4 |
FA HEALTH CARE FUND |
03-Feb-00 |
09-Feb-00 |
Dobson Communications Corporation |
25,000,000 |
550,000,000 |
22.00 |
1,000 |
44,000 |
LEHM |
Lehman Brothers Inc. |
Salomon Smith Barney Inc. |
Banc of America Securities LLC |
Deutsche Bank Securities Inc. |
Goldman, Sachs & Co. |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
|
|
4 |
FA HEALTH CARE FUND |
04-Feb-00 |
09-Feb-00 |
FirePond, Inc. |
5,000,000 |
110,000,000 |
22.00 |
100 |
44,000 |
RSSF |
FleetBoston Robertson Stephens Inc. |
Dain Rauscher Incorporated |
SG Cowen Securities Corporation |
E*Offering Corp. |
0 |
0 |
|
|
4 |
FA HEALTH CARE FUND |
03-Feb-00 |
09-Feb-00 |
Therma Wave, Inc. |
9,000,000 |
180,000,000 |
20.00 |
300 |
224,000 |
LEHM |
Banc of America Securities LLC |
Lehman Brothers Inc. |
Fidelity Capital Markets |
0 |
0 |
0 |
|
|
4 |
FA HEALTH CARE FUND |
20-Jul-00 |
26-Jul-00 |
Telarian |
4,200,000 |
67,200,000 |
16.00 |
200 |
4,800 |
LEHM |
Lehman |
SG Cowen |
WIT Sound View |
FCM |
0 |
0 |
|
|
4 |
FA HEALTH CARE FUND |
12-Apr-00 |
18-Apr-00 |
Nuance |
4,400,000 |
74,800,000 |
17.00 |
400 |
34,000 |
GSCO |
Goldman Sachs |
Thomas Weisal Ptn. |
Dain Rauscher Wessel |
Wit Sondview |
Fid. Capital MKTS |
0 |
|
|
4 |
FA HEALTH CARE FUND |
12-May-00 |
17-May-00 |
SEQUOIA SOFTWARE CORP |
4,200,000 |
33,600,000 |
8.00 |
600 |
15,200 |
LEHM |
Lehman Brothers |
SG Cowen |
Wit Sound View |
Fidelity Capital Markets |
0 |
0 |
|
|
4 |
FA HEALTH CARE FUND |
26-Jun-00 |
30-Jun-00 |
Stratos Lightwave |
8,750,000 |
183,750,000 |
21.00 |
400 |
10,500 |
LEHM |
Lehman Brothers |
CIBC World Mkt. |
US Bancorp |
Robert Baird |
Tucker Anthony |
Fid. Capital Markets |
|
|
5 |
FA FINANCIAL SERVICES FUND |
05-Apr-00 |
10-Apr-00 |
Ulticom |
4,250,000 |
55,250,000 |
13.00 |
100 |
2,600 |
LEHM |
Lehman Brothers |
Chase H&Q |
US Bancorp Piper Jaffrey |
Fid Capital MKTS |
0 |
0 |
|
|
5 |
FA FINANCIAL SERVICES FUND |
15-Feb-00 |
18-Feb-00 |
Chordiant Software |
4,500,000 |
81,000,000 |
18.00 |
100 |
88,200 |
RSSF |
FleetBoston Robertson Stephens Inc. |
Dain Rauscher Incorporated |
Thomas Weisel Partners LLC |
0 |
0 |
0 |
|
|
5 |
FA FINANCIAL SERVICES FUND |
10-Feb-00 |
15-Feb-00 |
Xcare.net, Inc. |
5,000,000 |
90,000,000 |
18.00 |
100 |
1,800 |
RSSF |
FleetBoston Robertson Stephens Inc. |
SG Cowen Securities Corporation |
E*Offering Corp. |
Advest, Inc. |
0 |
0 |
|
|
5 |
FA FINANCIAL SERVICES FUND |
03-Feb-00 |
09-Feb-00 |
Dobson Communications Corporation |
25,000,000 |
550,000,000 |
22.00 |
500 |
44,000 |
LEHM |
Lehman Brothers Inc. |
Salomon Smith Barney Inc. |
Banc of America Securities LLC |
Deutsche Bank Securities Inc. |
Goldman, Sachs & Co. |
Merrill Lynch, Pierce, Fenner & amp; Smith Incorporated |
|
|
5 |
FA FINANCIAL SERVICES FUND |
04-Feb-00 |
09-Feb-00 |
FirePond, Inc. |
5,000,000 |
110,000,000 |
22.00 |
100 |
44,000 |
RSSF |
FleetBoston Robertson Stephens Inc. |
Dain Rauscher Incorporated |
SG Cowen Securities Corporation |
E*Offering Corp. |
0 |
0 |
|
|
5 |
FA FINANCIAL SERVICES FUND |
03-Feb-00 |
09-Feb-00 |
Therma Wave, Inc. |
9,000,000 |
180,000,000 |
20.00 |
100 |
224,000 |
LEHM |
Banc of America Securities LLC |
Lehman Brothers Inc. |
Fidelity Capital Markets |
0 |
0 |
0 |
|
|
5 |
FA FINANCIAL SERVICES FUND |
20-Jul-00 |
26-Jul-00 |
Telarian |
4,200,000 |
67,200,000 |
16.00 |
100 |
4,800 |
LEHM |
Lehman |
SG Cowen |
WIT Sound View |
FCM |
0 |
0 |
|
|
5 |
FA FINANCIAL SERVICES FUND |
12-Apr-00 |
18-Apr-00 |
Nuance |
4,400,000 |
74,800,000 |
17.00 |
200 |
34,000 |
GSCO |
Goldman Sachs |
Thomas Weisal Ptn. |
Dain Rauscher Wessel |
Wit Sondview |
Fid. Capital MKTS |
0 |
|
|
5 |
FA FINANCIAL SERVICES FUND |
12-May-00 |
17-May-00 |
SEQUOIA SOFTWARE CORP |
4,200,000 |
33,600,000 |
8.00 |
200 |
15,200 |
LEHM |
Lehman Brothers |
SG Cowen |
Wit Sound View |
Fidelity Capital Markets |
0 |
0 |
|
|
5 |
FA FINANCIAL SERVICES FUND |
26-Jun-00 |
30-Jun-00 |
Stratos Lightwave |
8,750,000 |
183,750,000 |
21.00 |
200 |
10,500 |
LEHM |
Lehman Brothers |
CIBC World Mkt. |
US Bancorp |
Robert Baird |
Tucker Anthony |
Fid. Capital Markets |
|
|
6 |
FA CYCLICAL INDUSTRIES FUND |
08-Dec-99 |
13-Dec-99 |
Preview Systems, Inc. |
3,800,000 |
79,800,000 |
21.00 |
100 |
2,100 |
BancBoston Robertson Stephens Inc. |
BancBoston Robertson Stephens Inc. |
Dain Rauscher Wessels |
SoundView Technology Group, Inc. |
E*Offering Corp |
Fidelity Capital Markets |
||
|
6 |
FA CYCLICAL INDUSTRIES FUND |
22-Nov-99 |
29-Nov-99 |
deltathree.com |
6,000,000 |
90,000,000 |
15.00 |
100 |
1,500 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
Merrill Lynch, Pierce, Fenner & Smith Inc. |
U.S. Bancorp Piper Jaffray Inc. |
Lazard Freres & Co. LLC |
Fidelity Capital Markets |
||
|
6 |
FA CYCLICAL INDUSTRIES FUND |
05-Apr-00 |
10-Apr-00 |
Ulticom |
4,250,000 |
55,250,000 |
13.00 |
100 |
2,600 |
LEHM |
Lehman Brothers |
Chase H&Q |
US Bancorp Piper Jaffrey |
Fid Capital MKTS |
0 |
0 |
|
|
6 |
FA CYCLICAL INDUSTRIES FUND |
19-Nov-99 |
24-Nov-99 |
Mediaplex |
6,000,000 |
72,000,000 |
12.00 |
100 |
1,200 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
SG Cowen Securities Corporation |
U.S. Bancorp Piper Jaffray Inc. |
Fidelity Capital Markets |
|
||
|
6 |
FA CYCLICAL INDUSTRIES FUND |
15-Feb-00 |
18-Feb-00 |
Chordiant Software |
4,500,000 |
81,000,000 |
18.00 |
100 |
88,200 |
RSSF |
FleetBoston Robertson Stephens Inc. |
Dain Rauscher Incorporated |
Thomas Weisel Partners LLC |
0 |
0 |
0 |
|
|
6 |
FA CYCLICAL INDUSTRIES FUND |
08-Dec-99 |
13-Dec-99 |
NetRatings |
4,000,000 |
68,000,000 |
17.00 |
100 |
1,700 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
Banc of America Securities LLC |
CIBC World Markets Corp. |
C.E. Unterberg, Towbin |
Fidelity Capital Markets |
|
|
|
6 |
FA CYCLICAL INDUSTRIES FUND |
10-Feb-00 |
15-Feb-00 |
Xcare.net, Inc. |
5,000,000 |
90,000,000 |
18.00 |
100 |
1,800 |
RSSF |
FleetBoston Robertson Stephens Inc. |
SG Cowen Securities Corporation |
E*Offering Corp. |
Advest, Inc. |
0 |
0 |
|
|
6 |
FA CYCLICAL INDUSTRIES FUND |
03-Feb-00 |
09-Feb-00 |
Dobson Communications Corporation |
25,000,000 |
550,000,000 |
22.00 |
500 |
44,000 |
LEHM |
Lehman Brothers Inc. |
Salomon Smith Barney Inc. |
Banc of America Securities LLC |
Deutsche Bank Securities Inc. |
Goldman, Sachs & Co. |
Merrill Lynch, Pierce, Fenner & amp; Smith Incorporated |
|
|
6 |
FA CYCLICAL INDUSTRIES FUND |
04-Feb-00 |
09-Feb-00 |
FirePond, Inc. |
5,000,000 |
110,000,000 |
22.00 |
100 |
44,000 |
RSSF |
FleetBoston Robertson Stephens Inc. |
Dain Rauscher Incorporated |
SG Cowen Securities Corporation |
E*Offering Corp. |
0 |
0 |
|
|
6 |
FA CYCLICAL INDUSTRIES FUND |
03-Feb-00 |
09-Feb-00 |
Therma Wave, Inc. |
9,000,000 |
180,000,000 |
20.00 |
100 |
224,000 |
LEHM |
Banc of America Securities LLC |
Lehman Brothers Inc. |
Fidelity Capital Markets |
0 |
0 |
0 |
|
|
6 |
FA CYCLICAL INDUSTRIES FUND |
20-Jul-00 |
26-Jul-00 |
Telarian |
4,200,000 |
67,200,000 |
16.00 |
100 |
4,800 |
LEHM |
Lehman |
SG Cowen |
WIT Sound View |
FCM |
0 |
0 |
|
|
6 |
FA CYCLICAL INDUSTRIES FUND |
12-Apr-00 |
18-Apr-00 |
Nuance |
4,400,000 |
74,800,000 |
17.00 |
100 |
34,000 |
GSCO |
Goldman Sachs |
Thomas Weisal Ptn. |
Dain Rauscher Wessel |
Wit Sondview |
Fid. Capital MKTS |
0 |
|
|
6 |
FA CYCLICAL INDUSTRIES FUND |
12-May-00 |
17-May-00 |
SEQUOIA SOFTWARE CORP |
4,200,000 |
33,600,000 |
8.00 |
100 |
15,200 |
LEHM |
Lehman Brothers |
SG Cowen |
Wit Sound View |
Fidelity Capital Markets |
0 |
0 |
|
|
6 |
FA CYCLICAL INDUSTRIES FUND |
26-Jun-00 |
30-Jun-00 |
Stratos Lightwave |
8,750,000 |
183,750,000 |
21.00 |
100 |
10,500 |
LEHM |
Lehman Brothers |
CIBC World Mkt. |
US Bancorp |
Robert Baird |
Tucker Anthony |
Fid. Capital Markets |
|
|
8 |
FA TELECOM AND UTIL GROWTH FND |
05-Apr-00 |
10-Apr-00 |
Ulticom |
4,250,000 |
55,250,000 |
13.00 |
100 |
2,600 |
LEHM |
Lehman Brothers |
Chase H&Q |
US Bancorp Piper Jaffrey |
Fid Capital MKTS |
0 |
0 |
|
|
8 |
FA TELECOM AND UTIL GROWTH FND |
28-Jan-00 |
02-Feb-00 |
SBA Communications |
9,000,000 |
243,000,000 |
27.00 |
115,000 |
3,105,000 |
Lehman Brothers Inc. |
Lehman Brothers Inc. |
Deutsche Bank Securities Inc. |
Salomon Smith Barney, Inc. |
Raymond James & Associates, Inc. |
Fidelity Capital Markets |
|
|
|
8 |
FA TELECOM AND UTIL GROWTH FND |
03-Feb-00 |
09-Feb-00 |
Dobson Communications Corporation |
25,000,000 |
550,000,000 |
22.00 |
1,000 |
44,000 |
LEHM |
Lehman Brothers Inc. |
Salomon Smith Barney Inc. |
Banc of America Securities LLC |
Deutsche Bank Securities Inc. |
Goldman, Sachs & Co. |
Merrill Lynch, Pierce, Fenner & amp; Smith Incorporated |
|
|
8 |
FA TELECOM AND UTIL GROWTH FND |
26-Apr-00 |
01-May-00 |
Time Warner Telecom |
15,289,842 |
764,492,100 |
50.00 |
8,000 |
300,000 |
LEHM |
Lehman Brothers |
Morgan Stanley |
Bear Stearns |
DLJ |
Fid. Capital MKTS |
0 |
|
|
8 |
FA TELECOM AND UTIL GROWTH FND |
20-Jul-00 |
26-Jul-00 |
Telarian |
4,200,000 |
67,200,000 |
16.00 |
200 |
4,800 |
LEHM |
Lehman |
SG Cowen |
WIT Sound View |
FCM |
0 |
0 |
|
|
8 |
FA TELECOM AND UTIL GROWTH FND |
12-Apr-00 |
18-Apr-00 |
Nuance |
4,400,000 |
74,800,000 |
17.00 |
300 |
34,000 |
GSCO |
Goldman Sachs |
Thomas Weisal Ptn. |
Dain Rauscher Wessel |
Wit Sondview |
Fid. Capital MKTS |
0 |
|
|
8 |
FA TELECOM AND UTIL GROWTH FND |
12-May-00 |
17-May-00 |
SEQUOIA SOFTWARE CORP |
4,200,000 |
33,600,000 |
8.00 |
400 |
15,200 |
LEHM |
Lehman Brothers |
SG Cowen |
Wit Sound View |
Fidelity Capital Markets |
0 |
0 |
|
|
8 |
FA TELECOM AND UTIL GROWTH FND |
26-Apr-00 |
02-May-00 |
AT&T WIRELESS GROUP |
360,000,000 |
10,620,000,000 |
30.00 |
400,000 |
51,625,000 |
MOTC |
Goldman Sachs |
Marrill Lynch |
Salomon Brothers |
Fid. Capital MKTS |
0 |
0 |
|
|
8 |
FA TELECOM AND UTIL GROWTH FND |
26-Jun-00 |
30-Jun-00 |
Stratos Lightwave |
8,750,000 |
183,750,000 |
21.00 |
300 |
10,500 |
LEHM |
Lehman Brothers |
CIBC World Mkt. |
US Bancorp |
Robert Baird |
Tucker Anthony |
Fid. Capital Markets |
|
|
9 |
FA TECHNOLOGY FUND |
08-Dec-99 |
13-Dec-99 |
Preview Systems, Inc. |
3,800,000 |
79,800,000 |
21.00 |
500 |
10,500 |
BancBoston Robertson Stephens Inc. |
BancBoston Robertson Stephens Inc. |
Dain Rauscher Wessels |
SoundView Technology Group, Inc. |
E*Offering Corp |
Fidelity Capital Markets |
||
|
9 |
FA TECHNOLOGY FUND |
08-Dec-99 |
13-Dec-99 |
Preview Systems, Inc. |
3,800,000 |
79,800,000 |
21.00 |
100 |
2,100 |
BancBoston Robertson Stephens Inc. |
BancBoston Robertson Stephens Inc. |
Dain Rauscher Wessels |
SoundView Technology Group, Inc. |
E*Offering Corp |
Fidelity Capital Markets |
||
|
9 |
FA TECHNOLOGY FUND |
09-Dec-99 |
15-Dec-99 |
Tularik |
6,950,000 |
97,300,000 |
14.00 |
1,300 |
18,200 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
Hambrecht & Quist LLC |
J.P. Morgan Securities Inc. |
Warburg Dillon Read LLC |
BZ Bank Limited |
Fidelity Capital Markets |
|
|
9 |
FA TECHNOLOGY FUND |
22-Nov-99 |
29-Nov-99 |
deltathree.com |
6,000,000 |
90,000,000 |
15.00 |
400 |
6,000 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
Merrill Lynch, Pierce, Fenner & amp; Smith Inc. |
U.S. Bancorp Piper Jaffray Inc. |
Lazard Freres & Co. LLC |
Fidelity Capital Markets |
||
|
9 |
FA TECHNOLOGY FUND |
06-Dec-99 |
10-Dec-99 |
Harris Interactive |
5,800,000 |
81,200,000 |
14.00 |
900 |
12,600 |
Lehman Brothers Inc. |
Lehman Brothers Inc. |
U.S. Bancorp Piper Jaffray Inc. |
Volpe Brown Whelan & Company, LLC |
E*Offering Corp. |
Fidelity Capital Markets |
||
|
9 |
FA TECHNOLOGY FUND |
07-Dec-99 |
10-Dec-99 |
HealthCentral.com |
7,500,000 |
82,500,000 |
11.00 |
1,000 |
11,000 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
Hambrecht & Quist LLC |
Pacific Growth Equities, Inc. |
Wit Capital Corporation |
Fidelity Capital Markets |
|
|
|
9 |
FA TECHNOLOGY FUND |
19-Nov-99 |
24-Nov-99 |
Mediaplex |
6,000,000 |
72,000,000 |
12.00 |
1,000 |
12,000 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
SG Cowen Securities Corporation |
U.S. Bancorp Piper Jaffray Inc. |
Fidelity Capital Markets |
|
||
|
9 |
FA TECHNOLOGY FUND |
15-Feb-00 |
18-Feb-00 |
Chordiant Software |
4,500,000 |
81,000,000 |
18.00 |
1,200 |
88,200 |
RSSF |
FleetBoston Robertson Stephens Inc. |
Dain Rauscher Incorporated |
Thomas Weisel Partners LLC |
0 |
0 |
0 |
|
|
9 |
FA TECHNOLOGY FUND |
12-Nov-99 |
17-Nov-99 |
NetCreations Inc. |
3,300,000 |
42,900,000 |
13.00 |
700 |
9,100 |
Friedman, Billings, Ramsey & amp; Co., Inc. |
Friedman, Billings, Ramsey & amp; Co., Inc. |
C.E. Unterberg, Towbin |
fbr.com, a division of FBR Investment Services, Inc. |
Fidelity Capital Markets |
|
||
|
9 |
FA TECHNOLOGY FUND |
08-Dec-99 |
13-Dec-99 |
NetRatings |
4,000,000 |
68,000,000 |
17.00 |
600 |
10,200 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
Banc of America Securities LLC |
CIBC World Markets Corp. |
C.E. Unterberg, Towbin |
Fidelity Capital Markets |
|
|
|
9 |
FA TECHNOLOGY FUND |
25-Jan-00 |
31-Jan-00 |
Alteon WebSystems |
5,000,000 |
517,500,000 |
104.00 |
15,000 |
1,552,500 |
Lehman Brothers Inc. |
Lehman Brothers Inc. |
FleetBoston Robertson Stephens Inc. |
Thomas Weisel Partners LLC |
Dain Rauscher Incorporated |
Fidelity Capital Markets |
|
|
|
9 |
FA TECHNOLOGY FUND |
10-Feb-00 |
15-Feb-00 |
Xcare.net, Inc. |
5,000,000 |
90,000,000 |
18.00 |
1,400 |
1,800 |
RSSF |
FleetBoston Robertson Stephens Inc. |
SG Cowen Securities Corporation |
E*Offering Corp. |
Advest, Inc. |
0 |
0 |
|
|
9 |
FA TECHNOLOGY FUND |
03-Feb-00 |
09-Feb-00 |
Dobson Communications Corporation |
25,000,000 |
550,000,000 |
22.00 |
4,000 |
44,000 |
LEHM |
Lehman Brothers Inc. |
Salomon Smith Barney Inc. |
Banc of America Securities LLC |
Deutsche Bank Securities Inc. |
Goldman, Sachs & Co. |
Merrill Lynch, Pierce, Fenner & amp; Smith Incorporated |
|
|
9 |
FA TECHNOLOGY FUND |
04-Feb-00 |
09-Feb-00 |
FirePond, Inc. |
5,000,000 |
110,000,000 |
22.00 |
900 |
44,000 |
RSSF |
FleetBoston Robertson Stephens Inc. |
Dain Rauscher Incorporated |
SG Cowen Securities Corporation |
E*Offering Corp. |
0 |
0 |
|
|
9 |
FA TECHNOLOGY FUND |
03-Feb-00 |
09-Feb-00 |
Therma Wave, Inc. |
9,000,000 |
180,000,000 |
20.00 |
2,100 |
224,000 |
LEHM |
Banc of America Securities LLC |
Lehman Brothers Inc. |
Fidelity Capital Markets |
0 |
0 |
0 |
|
|
9 |
FA TECHNOLOGY FUND |
05-Apr-00 |
10-Apr-00 |
Ulticom |
4,250,000 |
55,250,000 |
13.00 |
1,000 |
2,600 |
LEHM |
Lehman Brothers |
Chase H&Q |
US Bancorp Piper Jaffrey |
Fid Capital MKTS |
0 |
0 |
|
|
9 |
FA TECHNOLOGY FUND |
20-Jul-00 |
26-Jul-00 |
Telarian |
4,200,000 |
67,200,000 |
16.00 |
1,600 |
4,800 |
LEHM |
Lehman |
SG Cowen |
WIT Sound View |
FCM |
0 |
0 |
|
|
9 |
FA TECHNOLOGY FUND |
07-Jul-00 |
12-Jul-00 |
InfoVista |
6,000,000 |
73,320,000 |
12.00 |
3,200 |
68,432 |
LEHM |
Lehman |
BNP Paribas |
CE Unterberg |
FCM |
0 |
0 |
|
|
9 |
FA TECHNOLOGY FUND |
12-Apr-00 |
18-Apr-00 |
Nuance |
4,400,000 |
74,800,000 |
17.00 |
3,100 |
34,000 |
GSCO |
Goldman Sachs |
Thomas Weisal Ptn. |
Dain Rauscher Wessel |
Wit Sondview |
Fid. Capital MKTS |
0 |
|
|
9 |
FA TECHNOLOGY FUND |
12-May-00 |
17-May-00 |
SEQUOIA SOFTWARE CORP |
4,200,000 |
33,600,000 |
8.00 |
4,000 |
15,200 |
LEHM |
Lehman Brothers |
SG Cowen |
Wit Sound View |
Fidelity Capital Markets |
0 |
0 |
|
|
9 |
FA TECHNOLOGY FUND |
26-Jun-00 |
30-Jun-00 |
Stratos Lightwave |
8,750,000 |
183,750,000 |
21.00 |
1,500 |
10,500 |
LEHM |
Lehman Brothers |
CIBC World Mkt. |
US Bancorp |
Robert Baird |
Tucker Anthony |
Fid. Capital Markets |
|
|
10 |
FA NATURAL RESOURCES |
08-Dec-99 |
13-Dec-99 |
Preview Systems, Inc. |
3,800,000 |
79,800,000 |
21.00 |
100 |
2,100 |
BancBoston Robertson Stephens Inc. |
BancBoston Robertson Stephens Inc. |
Dain Rauscher Wessels |
SoundView Technology Group, Inc. |
E*Offering Corp |
Fidelity Capital Markets |
||
|
10 |
FA NATURAL RESOURCES |
09-Dec-99 |
15-Dec-99 |
Tularik |
6,950,000 |
97,300,000 |
14.00 |
200 |
2,800 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
Hambrecht & Quist LLC |
J.P. Morgan Securities Inc. |
Warburg Dillon Read LLC |
BZ Bank Limited |
Fidelity Capital Markets |
|
|
10 |
FA NATURAL RESOURCES |
05-Apr-00 |
10-Apr-00 |
Ulticom |
4,250,000 |
55,250,000 |
13.00 |
100 |
2,600 |
LEHM |
Lehman Brothers |
Chase H&Q |
US Bancorp Piper Jaffrey |
Fid Capital MKTS |
0 |
0 |
|
|
10 |
FA NATURAL RESOURCES |
22-Nov-99 |
29-Nov-99 |
deltathree.com |
6,000,000 |
90,000,000 |
15.00 |
100 |
1,500 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
Merrill Lynch, Pierce, Fenner & amp; Smith Inc. |
U.S. Bancorp Piper Jaffray Inc. |
Lazard Freres & Co. LLC |
Fidelity Capital Markets |
||
|
10 |
FA NATURAL RESOURCES |
26-Jun-00 |
30-Jun-00 |
Stratos Lightwave |
8,750,000 |
183,750,000 |
21.00 |
100 |
10,500 |
LEHM |
Lehman Brothers |
CIBC World Mkt. |
US Bancorp |
Robert Baird |
Tucker Anthony |
Fid. Capital Markets |
|
|
10 |
FA NATURAL RESOURCES |
20-Jul-00 |
26-Jul-00 |
Telarian |
4,200,000 |
67,200,000 |
16.00 |
100 |
4,800 |
LEHM |
Lehman |
SG Cowen |
WIT Sound View |
FCM |
0 |
0 |
|
|
10 |
FA NATURAL RESOURCES |
06-Dec-99 |
10-Dec-99 |
Harris Interactive |
5,800,000 |
81,200,000 |
14.00 |
200 |
2,800 |
Lehman Brothers Inc. |
Lehman Brothers Inc. |
U.S. Bancorp Piper Jaffray Inc. |
Volpe Brown Whelan & Company, LLC |
E*Offering Corp. |
Fidelity Capital Markets |
||
|
10 |
FA NATURAL RESOURCES |
07-Dec-99 |
10-Dec-99 |
HealthCentral.com |
7,500,000 |
82,500,000 |
11.00 |
200 |
2,200 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
Hambrecht & Quist LLC |
Pacific Growth Equities, Inc. |
Wit Capital Corporation |
Fidelity Capital Markets |
|
|
|
10 |
FA NATURAL RESOURCES |
19-Nov-99 |
24-Nov-99 |
Mediaplex |
6,000,000 |
72,000,000 |
12.00 |
100 |
1,200 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
SG Cowen Securities Corporation |
U.S. Bancorp Piper Jaffray Inc. |
Fidelity Capital Markets |
|
||
|
10 |
FA NATURAL RESOURCES |
15-Feb-00 |
18-Feb-00 |
Chordiant Software |
4,500,000 |
81,000,000 |
18.00 |
100 |
88,200 |
RSSF |
FleetBoston Robertson Stephens Inc. |
Dain Rauscher Incorporated |
Thomas Weisel Partners LLC |
0 |
0 |
0 |
|
|
10 |
FA NATURAL RESOURCES |
12-Nov-99 |
17-Nov-99 |
NetCreations Inc. |
3,300,000 |
42,900,000 |
13.00 |
100 |
1,300 |
Friedman, Billings, Ramsey & Co., Inc. |
Friedman, Billings, Ramsey & Co., Inc. |
C.E. Unterberg, Towbin |
fbr.com, a division of FBR Investment Services, Inc. |
Fidelity Capital Markets |
|
||
|
10 |
FA NATURAL RESOURCES |
08-Dec-99 |
13-Dec-99 |
NetRatings |
4,000,000 |
68,000,000 |
17.00 |
100 |
1,700 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
Banc of America Securities LLC |
CIBC World Markets Corp. |
C.E. Unterberg, Towbin |
Fidelity Capital Markets |
|
|
|
10 |
FA NATURAL RESOURCES |
10-Feb-00 |
15-Feb-00 |
Xcare.net, Inc. |
5,000,000 |
90,000,000 |
18.00 |
100 |
1,800 |
RSSF |
FleetBoston Robertson Stephens Inc. |
SG Cowen Securities Corporation |
E*Offering Corp. |
Advest, Inc. |
0 |
0 |
|
|
10 |
FA NATURAL RESOURCES |
03-Feb-00 |
09-Feb-00 |
Dobson Communications Corporation |
25,000,000 |
550,000,000 |
22.00 |
500 |
44,000 |
LEHM |
Lehman Brothers Inc. |
Salomon Smith Barney Inc. |
Banc of America Securities LLC |
Deutsche Bank Securities Inc. |
Goldman, Sachs & Co. |
Merrill Lynch, Pierce, Fenner & Smith Incorporated |
|
|
10 |
FA NATURAL RESOURCES |
04-Feb-00 |
09-Feb-00 |
FirePond, Inc. |
5,000,000 |
110,000,000 |
22.00 |
100 |
44,000 |
RSSF |
FleetBoston Robertson Stephens Inc. |
Dain Rauscher Incorporated |
SG Cowen Securities Corporation |
E*Offering Corp. |
0 |
0 |
|
|
10 |
FA NATURAL RESOURCES |
03-Feb-00 |
09-Feb-00 |
Therma Wave, Inc. |
9,000,000 |
180,000,000 |
20.00 |
100 |
224,000 |
LEHM |
Banc of America Securities LLC |
Lehman Brothers Inc. |
Fidelity Capital Markets |
0 |
0 |
0 |
|
|
10 |
FA NATURAL RESOURCES |
12-Apr-00 |
18-Apr-00 |
Nuance |
4,400,000 |
74,800,000 |
17.00 |
200 |
34,000 |
GSCO |
Goldman Sachs |
Thomas Weisal Ptn. |
Dain Rauscher Wessel |
Wit Sondview |
Fid. Capital MKTS |
0 |
|
|
10 |
FA NATURAL RESOURCES |
12-May-00 |
17-May-00 |
SEQUOIA SOFTWARE CORP |
4,200,000 |
33,600,000 |
8.00 |
200 |
15,200 |
LEHM |
Lehman Brothers |
SG Cowen |
Wit Sound View |
Fidelity Capital Markets |
0 |
0 |
|
|
|
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