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Previous: FIDELITY FINANCIAL TRUST, NSAR-A, EX-99, 2000-07-27 |
Next: FIDELITY FINANCIAL TRUST, NSAR-A, EX-99, 2000-07-27 |
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FORM NSAR |
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Q77.O Transactions effected pursuant to Rule 10F3 |
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Fidelity Financial Trust |
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Series Number |
Fund 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) |
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1 |
73 |
RETIREMENT GROWTH |
09-Dec-99 |
15-Dec-99 |
Tularik |
6,950,000 |
97,300,000 |
14.00 |
4,600 |
64,400 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
Hambrecht & Quist LLC |
J.P. Morgan Securities Inc. |
Warburg Dillon Read LLC |
BZ Bank Limited |
Fidelity Capital Markets |
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1 |
73 |
RETIREMENT GROWTH |
18-Feb-00 |
24-Feb-00 |
Keynote Systems, Inc. |
5,740,000 |
499,380,000 |
87.00 |
177,500 |
36,844,500 |
RSSF |
FleetBoston Robertson Stephens Inc. |
Hambrecht & Quist LLC |
Dain Rauscher Incorporated |
SoundView Technology Group, Inc. |
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1 |
73 |
RETIREMENT GROWTH |
06-Dec-99 |
10-Dec-99 |
Harris Interactive |
5,800,000 |
81,200,000 |
14.00 |
3,400 |
47,600 |
Lehman Brothers Inc. |
Lehman Brothers Inc. |
U.S. Bancorp Piper Jaffray Inc. |
Volpe Brown Whelan & Company, LLC |
E*Offering Corp. |
Fidelity Capital Markets |
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1 |
73 |
RETIREMENT GROWTH |
07-Dec-99 |
10-Dec-99 |
HealthCentral.com |
7,500,000 |
82,500,000 |
11.00 |
3,700 |
40,700 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
Hambrecht & Quist LLC |
Pacific Growth Equities, Inc. |
Wit Capital Corporation |
Fidelity Capital Markets |
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1 |
73 |
RETIREMENT GROWTH |
15-Feb-00 |
18-Feb-00 |
Chordiant Software |
4,500,000 |
81,000,000 |
18.00 |
1,600 |
88,200 |
RSSF |
FleetBoston Robertson Stephens Inc. |
Dain Rauscher Incorporated |
Thomas Weisel Partners LLC |
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1 |
73 |
RETIREMENT GROWTH |
08-Dec-99 |
13-Dec-99 |
NetRatings |
4,000,000 |
68,000,000 |
17.00 |
1,100 |
18,700 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
Banc of America Securities LLC |
CIBC World Markets Corp. |
C.E. Unterberg, Towbin |
Fidelity Capital Markets |
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1 |
73 |
RETIREMENT GROWTH |
10-Feb-00 |
15-Feb-00 |
Xcare.net, Inc. |
5,000,000 |
90,000,000 |
18.00 |
1,900 |
1,800 |
RSSF |
FleetBoston Robertson Stephens Inc. |
SG Cowen Securities Corporation |
E*Offering Corp. |
Advest, Inc. |
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1 |
73 |
RETIREMENT GROWTH |
03-Feb-00 |
09-Feb-00 |
Dobson Communications Corporation |
25,000,000 |
550,000,000 |
22.00 |
11,000 |
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 |
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1 |
73 |
RETIREMENT GROWTH |
04-Feb-00 |
09-Feb-00 |
FirePond, Inc. |
5,000,000 |
110,000,000 |
22.00 |
1,200 |
44,000 |
RSSF |
FleetBoston Robertson Stephens Inc. |
Dain Rauscher Incorporated |
SG Cowen Securities Corporation |
E*Offering Corp. |
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1 |
73 |
RETIREMENT GROWTH |
03-Feb-00 |
09-Feb-00 |
Therma Wave, Inc. |
9,000,000 |
180,000,000 |
20.00 |
3,000 |
224,000 |
LEHM |
Banc of America Securities LLC |
Lehman Brothers Inc. |
Fidelity Capital Markets |
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1 |
73 |
RETIREMENT GROWTH |
05-Apr-00 |
10-Apr-00 |
Ulticom |
4,250,000 |
55,250,000 |
13.00 |
1,200 |
2,600 |
LEHM |
Lehman Brothers |
Chase H&Q |
US Bancorp Piper Jaffrey |
Fid Capital MKTS |
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1 |
73 |
RETIREMENT GROWTH |
08-Dec-99 |
13-Dec-99 |
Preview Systems, Inc. |
3,800,000 |
79,800,000 |
21.00 |
900 |
18,900 |
BancBoston Robertson Stephens Inc. |
BancBoston Robertson Stephens Inc. |
Dain Rauscher Wessels |
SoundView Technology Group, Inc. |
E*Offering Corp |
Fidelity Capital Markets |
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1 |
73 |
RETIREMENT GROWTH |
12-Apr-00 |
18-Apr-00 |
Nuance |
4,400,000 |
74,800,000 |
17.00 |
3,800 |
34,000 |
GSCO |
Goldman Sachs |
Thomas Weisal Ptn. |
Dain Rauscher Wessel |
Wit Sondview |
Fid. Capital MKTS |
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1 |
73 |
RETIREMENT GROWTH |
12-May-00 |
17-May-00 |
SEQUOIA SOFTWARE CORP |
4,200,000 |
33,600,000 |
8.00 |
4,700 |
15,200 |
LEHM |
Lehman Brothers |
SG Cowen |
Wit Sound View |
Fidelity Capital Markets |
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2 |
308 |
FID CONVERTIBLE SECURITIES FD |
08-Dec-99 |
13-Dec-99 |
Preview Systems, Inc. |
3,800,000 |
79,800,000 |
21.00 |
200 |
4,200 |
BancBoston Robertson Stephens Inc. |
BancBoston Robertson Stephens Inc. |
Dain Rauscher Wessels |
SoundView Technology Group, Inc. |
E*Offering Corp |
Fidelity Capital Markets |
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2 |
308 |
FID CONVERTIBLE SECURITIES FD |
05-Apr-00 |
10-Apr-00 |
Ulticom |
4,250,000 |
55,250,000 |
13.00 |
300 |
2,600 |
LEHM |
Lehman Brothers |
Chase H&Q |
US Bancorp Piper Jaffrey |
Fid Capital MKTS |
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2 |
308 |
FID CONVERTIBLE SECURITIES FD |
12-Apr-00 |
18-Apr-00 |
Nuance |
4,400,000 |
74,800,000 |
17.00 |
800 |
34,000 |
GSCO |
Goldman Sachs |
Thomas Weisal Ptn. |
Dain Rauscher Wessel |
Wit Sondview |
Fid. Capital MKTS |
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2 |
308 |
FID CONVERTIBLE SECURITIES FD |
06-Dec-99 |
10-Dec-99 |
Harris Interactive |
5,800,000 |
81,200,000 |
14.00 |
700 |
9,800 |
Lehman Brothers Inc. |
Lehman Brothers Inc. |
U.S. Bancorp Piper Jaffray Inc. |
Volpe Brown Whelan & Company, LLC |
E*Offering Corp. |
Fidelity Capital Markets |
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2 |
308 |
FID CONVERTIBLE SECURITIES FD |
07-Dec-99 |
10-Dec-99 |
HealthCentral.com |
7,500,000 |
82,500,000 |
11.00 |
700 |
7,700 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
Hambrecht & Quist LLC |
Pacific Growth Equities, Inc. |
Wit Capital Corporation |
Fidelity Capital Markets |
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2 |
308 |
FID CONVERTIBLE SECURITIES FD |
15-Feb-00 |
18-Feb-00 |
Chordiant Software |
4,500,000 |
81,000,000 |
18.00 |
300 |
88,200 |
RSSF |
FleetBoston Robertson Stephens Inc. |
Dain Rauscher Incorporated |
Thomas Weisel Partners LLC |
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2 |
308 |
FID CONVERTIBLE SECURITIES FD |
08-Dec-99 |
13-Dec-99 |
NetRatings |
4,000,000 |
68,000,000 |
17.00 |
200 |
3,400 |
Lehman Brothers, Inc. |
Lehman Brothers, Inc. |
Banc of America Securities LLC |
CIBC World Markets Corp. |
C.E. Unterberg, Towbin |
Fidelity Capital Markets |
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2 |
308 |
FID CONVERTIBLE SECURITIES FD |
10-Feb-00 |
15-Feb-00 |
Xcare.net, Inc. |
5,000,000 |
90,000,000 |
18.00 |
400 |
1,800 |
RSSF |
FleetBoston Robertson Stephens Inc. |
SG Cowen Securities Corporation |
E*Offering Corp. |
Advest, Inc. |
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2 |
308 |
FID CONVERTIBLE SECURITIES FD |
03-Feb-00 |
09-Feb-00 |
Dobson Communications Corporation |
25,000,000 |
550,000,000 |
22.00 |
2,500 |
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 |
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2 |
308 |
FID CONVERTIBLE SECURITIES FD |
04-Feb-00 |
09-Feb-00 |
FirePond, Inc. |
5,000,000 |
110,000,000 |
22.00 |
300 |
44,000 |
RSSF |
FleetBoston Robertson Stephens Inc. |
Dain Rauscher Incorporated |
SG Cowen Securities Corporation |
E*Offering Corp. |
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2 |
308 |
FID CONVERTIBLE SECURITIES FD |
03-Feb-00 |
09-Feb-00 |
Therma Wave, Inc. |
9,000,000 |
180,000,000 |
20.00 |
600 |
224,000 |
LEHM |
Banc of America Securities LLC |
Lehman Brothers Inc. |
Fidelity Capital Markets |
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2 |
308 |
FID CONVERTIBLE SECURITIES FD |
12-May-00 |
17-May-00 |
SEQUOIA SOFTWARE CORP |
4,200,000 |
33,600,000 |
8.00 |
1,000 |
15,200 |
LEHM |
Lehman Brothers |
SG Cowen |
Wit Sound View |
Fidelity Capital Markets |
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3 |
319 |
EQUITY-INCOME II |
15-Feb-00 |
18-Feb-00 |
Chordiant Software |
4,500,000 |
81,000,000 |
18 |
2,900 |
88,200 |
RSSF |
FleetBoston Robertson Stephens Inc. |
Dain Rauscher Incorporated |
Thomas Weisel Partners LLC |
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3 |
319 |
EQUITY-INCOME II |
10-Feb-00 |
15-Feb-00 |
Xcare.net, Inc. |
5,000,000 |
90,000,000 |
18 |
3,700 |
1,800 |
RSSF |
FleetBoston Robertson Stephens Inc. |
SG Cowen Securities Corporation |
E*Offering Corp. |
Advest, Inc. |
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3 |
319 |
EQUITY-INCOME II |
03-Feb-00 |
09-Feb-00 |
Dobson Communications Corporation |
25,000,000 |
550,000,000 |
22 |
22,500 |
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 |
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3 |
319 |
EQUITY-INCOME II |
04-Feb-00 |
09-Feb-00 |
FirePond, Inc. |
5,000,000 |
110,000,000 |
22 |
2,600 |
44,000 |
RSSF |
FleetBoston Robertson Stephens Inc. |
Dain Rauscher Incorporated |
SG Cowen Securities Corporation |
E*Offering Corp. |
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3 |
319 |
EQUITY-INCOME II |
03-Feb-00 |
09-Feb-00 |
Therma Wave, Inc. |
9,000,000 |
180,000,000 |
20 |
6,200 |
224,000 |
LEHM |
Banc of America Securities LLC |
Lehman Brothers Inc. |
Fidelity Capital Markets |
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3 |
319 |
EQUITY-INCOME II |
26-Apr-00 |
01-May-00 |
Time Warner Telecom |
15,289,842 |
764,492,100 |
50 |
97,000 |
300,000 |
LEHM |
Lehman Brothers |
Morgan Stanley |
Bear Stearns |
DLJ |
Fid. Capital MKTS |
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3 |
319 |
EQUITY-INCOME II |
05-Apr-00 |
10-Apr-00 |
Ulticom |
4,250,000 |
55,250,000 |
13 |
2,100 |
2,600 |
LEHM |
Lehman Brothers |
Chase H&Q |
US Bancorp Piper Jaffrey |
Fid Capital MKTS |
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3 |
319 |
EQUITY-INCOME II |
12-Apr-00 |
18-Apr-00 |
Nuance |
4,400,000 |
74,800,000 |
17 |
6,500 |
34,000 |
GSCO |
Goldman Sachs |
Thomas Weisal Ptn. |
Dain Rauscher Wessel |
Wit Sondview |
Fid. Capital MKTS |
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3 |
319 |
EQUITY-INCOME II |
17-Apr-00 |
20-Apr-00 |
Dynegy Inc |
11,000,000 |
612,040,000 |
56 |
90,000 |
645,424 |
FBCO |
Lehman |
ABN AMRO |
Banc of America |
CIBC World |
Credit Suisse |
Merrill Lynch |
Pain webber |
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3 |
319 |
EQUITY-INCOME II |
12-May-00 |
17-May-00 |
SEQUOIA SOFTWARE CORP |
4,200,000 |
33,600,000 |
8 |
8,800 |
15,200 |
LEHM |
Lehman Brothers |
SG Cowen |
Wit Sound View |
Fidelity Capital Markets |
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3 |
319 |
EQUITY-INCOME II |
26-Apr-00 |
02-May-00 |
AT&T WIRELESS GROUP |
360,000,000 |
10,620,000,000 |
30 |
1,750,000 |
51,625,000 |
MOTC |
Goldman Sachs |
Marrill Lynch |
Salomon Brothers |
Fid. Capital MKTS |
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