THE CHASE VISTA SMALL CAP OPPORTUNITIES FUND
Section 10f-3 Transactions
The following securities were purchased pursuant
to Rule 10f-3 and all requirements of the
Affiliated Underwriting Procedures of the Fund.
Trade
Date Issue
12/15/99 Z-Tel Technologies Inc. (ZTEL) Common Stock
Shares Price Amount
5,000 $17.00 $85,000.00
% of Issue
Spread Spread Fund's for all
Amount % % of issue Chase Vista Funds
$1.19 N/A 0.08333% 0.08333%
Broker
Thomas Weissel Partners LLC
Underwriters of Z-Tel Technologies Inc. (ZTEL) Common Stock
U.S. Underwriters Number of Shares
Weisel Partners LLC 2,040,000
Credit Suisse First Boston Corp. 2,040,000
J.C. Bradford & Co. 680,000
Stephens Inc. 680,000
Bear, Stearns & Co. Inc. 60,000
Deutsche Banc, Alex.Brown 60,000
First Union Securities, Inc. 60,000
Hambrecht & Quist LLC 60,000
Merrill Lynch, Pierce, Fenner & Smith Inc. 60,000
Salomon Smith Barney Inc. 60,000
Dain Rauscher Wessels 40,000
Gerard Klauer Mattison & Co., Inc. 40,000
Legg Mason Wood Walker, Inc. 40,000
U.S. Bancorp Piper Jaffray Inc. 40,000
Raymond James & Associates Inc. 40,000
Total 6,000,000
THE CHASE VISTA SMALL CAP OPPORTUNITIES FUND
Section 10f-3 Transactions
The following securities were purchased pursuant
to Rule 10f-3 and all requirements of the
Affiliated Underwriting Procedures of the Fund.
Trade
Date Issue
02/14/00 Diversa Corp. (DVSA) Common Stock
Shares Price Amount
595 $24.00 $14,280.00
% of Issue
Spread Spread Fund's for all
Amount % % of issue Chase Vista Funds
$1.68 N/A 0.00821% 0.01641%
Broker
Bear, Stearns & Co. Inc.
Underwriters of Diversa Corp. (DVSA) Common Stock
U.S. Underwriters Number of Shares
Bear, Stearns & Co. Inc. 2,360,000
Chase Securities Inc. 1,770,000
Deutsche Bank Securities Inc. 1,770,000
Donaldson, Lufkin & Jenrette Securities Corp. 100,000
ING Barings LLC 100,000
Merrill Lynch, Pierce, Fenner & Smith Inc. 100,000
Morgan Stanley & Co., Inc. 100,000
FleetBoston Robertson Stephens Inc. 100,000
Salomon Smith Barney Inc. 100,000
SG Cowen Securities Corp. 100,000
Warburg Dillon Read LLC 100,000
Aegis Capital Corp. 50,000
Dain Rauscher Wessels 50,000
Gerard Klauer Mattison & Co., LLC 50,000
Janney Montgomery Scott LLC 50,000
Josephthal & Co., Inc. 50,000
JWGenesis Securities, Inc. 50,000
Needham & Company, Inc. 50,000
Pacific Growth Equities, Inc. 50,000
Punk, Ziegel & Company, LP 50,000
Stephens Inc. 50,000
Tucker Anthony Inc. 50,000
Total 7,250,000
THE CHASE VISTA SMALL CAP OPPORTUNITIES FUND
Section 10f-3 Transactions
The following securities were purchased pursuant
to Rule 10f-3 and all requirements of the
Affiliated Underwriting Procedures of the Fund.
Trade
Date Issue
03/01/00 Palm, Inc. (PALM) Common Stock
Shares Price Amount
28,400 $38.00 $1,079,200.00
% of Issue
Spread Spread Fund's for all
Amount % % of issue Chase Vista Funds
$1.995 N/A 0.12348% 0.12348%
Broker
Goldman, Sachs & Co.
Underwriters of Palm, Inc. (PALM) Common Stock
U.S. Underwriters Number of Shares
Goldman, Sachs & Co. 7,245,000
Morgan Stanley & Co., Inc. 7,245,000
Merrill Lynch, Pierce, Fenner & Smith Inc. 4,140,000
FleetBoston Robertson Stephens Inc. 2,070,000
Banc of America Securities LLC 240,000
SG Cowen Securities Corp. 240,000
Salomon Smith Barney Inc. 240,000
SoundView Technology Group, Inc. 240,000
Chase Securities Inc. 240,000
Credit Lyonnais Securities (USA) Inc. 240,000
Deutsche Bank Securities Inc. 240,000
Fidelity Capital Markets 155,000
HSBC Securities (USA) Inc. 155,000
Sanford C. Bernstein & Co., Inc. 155,000
U.S. Bancorp Piper Jaffray Inc. 155,000
Total 23,000,000
THE CHASE VISTA SMALL CAP OPPORTUNITIES FUND
Section 10f-3 Transactions
The following securities were purchased pursuant
to Rule 10f-3 and all requirements of the
Affiliated Underwriting Procedures of the Fund.
Trade
Date Issue
02/25/00 Hotel Reservations Network Inc. (ROOM) Common
Stock
Shares Price Amount
12,250 $16.00 $196,000.00
% of Issue
Spread Spread Fund's for all
Amount % % of issue Chase Vista Funds
$1.12 N/A 0.22685% 0.22685%
Broker
Donaldson Lufkin & Jennrette
Underwriters of Hotel Reservations Network Inc. (ROOM) Common
Stock
U.S. Underwriters Number of Shares
Donaldson, Lufkin & Jenrette Securities Corp. 1,452,502
Allen & Company Inc. 899,166
Bear, Stearns & Co. Inc. 899,166
Thomas Weisel Partners LLC 899,166
DLJDIRECT Inc. 100,000
Chase H&Q 50,000
Credit Suisse First Boston Corp. 50,000
A.G. Edwards & Sons, Inc. 50,000
Goldman, Sachs & Co. 50,000
ING Barings LLC 50,000
Lazard Freres & Co., LLC 50,000
Merrill Lynch, Pierce, Fenner & Smith Inc. 50,000
PaineWebber Inc. 50,000
Prudential Securities Inc. 50,000
Salomon Smith Barney Inc. 50,000
SG Cowen Securities Corp. 50,000
Adams, Harkness & Hill, Inc. 25,000
George K. Baum & Co. 25,000
William Blair & Co., LLC 25,000
J.C. Bradford & Co. 25,000
The Chapman Company 25,000
Dain Rauscher Wessels 25,000
Fahnestock & Co., Inc. 25,000
First Albany Corp. 25,000
First Southwest Company 25,000
Gabelli & Co. Inc. 25,000
Gerard Klauer Mattison & Co., Inc. 25,000
Janney Montgomery Scott LLC 25,000
Johnston, Lemon & Co., Inc. 25,000
Morgan Keegan & Company, Inc. 25,000
Needham & Co., Inc. 25,000
Parker/Hunter Inc. 25,000
U.S. Bancorp Piper Jaffray Inc. 25,000
Raymond James & Associates Inc. 25,000
Ryan, Beck & Co., Inc. 25,000
Sanders Morris Harris 25,000
Sands Brothers & Co. LTD 25,000
Stephens Inc. 25,000
Sutro & Co., Inc. 25,000
Tucker Anthony Cleary Gull 25,000
Total 5,400,000
THE CHASE VISTA SMALL CAP OPPORTUNITIES FUND
Section 10f-3 Transactions
The following securities were purchased pursuant
to Rule 10f-3 and all requirements of the
Affiliated Underwriting Procedures of the Fund.
Trade
Date Issue
02/04/00 eOn Communications Corp. (EONC) Common Stock
Shares Price Amount
34,700 $12.00 $416,400.00
% of Issue
Spread Spread Fund's for all
Amount % % of issue Chase Vista Funds
$0.84 N/A 0.96389% 0.96389%
Broker
Needham & Co., Inc.
Underwriters of eOn Communications Corp. (EONC) Common Stock
U.S. Underwriters Number of Shares
Needham & Co., Inc 1,344,000
A.G. Edwards & Sons, Inc. 940,800
WR Hambrecht + Co., LLC 403,200
Banc of America Securities LLC 96,000
CIBC World Market Inc. 96,000
Chase H&Q 96,000
ING Barings LLC 96,000
Adams, Harkness & Hill, Inc. 66,000
J.C. Bradford & Co. 66,000
Dain Rauscher Wessels 66,000
Morgan Keegan & Co., Inc. 66,000
Sanders Morris Mundy Inc. 66,000
Smeets Securities NV 66,000
Stifel, Nicolaus & Co., Inc. 66,000
U.S. Bancorp Piper Jaffray Inc. 66,000
Total 3,600,000
THE CHASE VISTA SMALL CAP OPPORTUNITIES FUND
Section 10f-3 Transactions
The following securities were purchased pursuant
to Rule 10f-3 and all requirements of the
Affiliated Underwriting Procedures of the Fund.
Trade
Date Issue
02/04/00 eMerge Interactive, Inc. (EMRG) Common Stck
Shares Price Amount
6,900 $12.00 $82,800.00
% of Issue
Spread Spread Fund's for all
Amount % % of issue Chase Vista Funds
$1.05 N/A 0.08625% 0.08625%
Broker
Needham & Co., Inc.
Underwriters of eMerge Interactive, Inc. (EMRG) Common Stock
U.S. Underwriters Number of Shares
Adams, Harkness & Hill, Inc. 1,400,000
First Union Securities, Inc. 1,400,000
FAC/Equities 700,000
Banc of America Securities LLC 100,000
Hambrecht & Quist LLC 100,000
Deutsche Bank Securities Inc. 100,000
Lehman Brothers 100,000
J.P. Morgan Securities Inc. 100,000
Prudential Securities Inc. 100,000
Thomas Weisel Partners LLC 100,000
First Montauk Securities Corp. 50,000
Janney Montgomery Scott LLC 50,000
Legg Mason Wood Walker, Inc. 50,000
Parker/Hunter Inc. 50,000
Pennsylvania Merchant Group 50,000
Wedbush Morgan Securities 50,000
Total 4,500,000
THE CHASE VISTA SMALL CAP OPPORTUNITIES FUND
Section 10f-3 Transactions
The following securities were purchased pursuant
to Rule 10f-3 and all requirements of the
Affiliated Underwriting Procedures of the Fund.
Trade
Date Issue
01/31/00 Sequenom, Inc. (SQNM) Common Stock
Shares Price Amount
1,000 $26.00 $26,000.00
% of Issue
Spread Spread Fund's for all
Amount % % of issue Chase Vista Funds
$1.82 N/A 0.01905% 0.01905%
Broker
Warburg Dillon Read LLC
Underwriters of Sequenom, Inc. (SQNM) Common Stock
U.S. Underwriters Number of Shares
Warburg Dillon Read LLC 2,075,000
FleetBoston Robertson Stephens Inc. 1,037,500
SG Cowen Securities Corp. 1,037,500
Banc of America Securities LLC 100,000
Bear, Stearns & Co. Inc. 100,000
Cantor Fitzgerald & Co. 100,000
Deutsche Bank Securities Inc. 100,000
Donaldson, Lufkin & Jenrette Securities 100,000
Dresdner Kleinwort Benson North America LLC 100,000
Hambrecht & Quist LLC 100,000
ING Barings LLC 100,000
Lehman Brothers 100,000
Merrill Lynch, Pierce, Fenner & Smith Inc. 100,000
Morgan Stanley & Co., Inc. 100,000
Total 5,250,000
THE CHASE VISTA SMALL CAP OPPORTUNITIES FUND
Section 10f-3 Transactions
The following securities were purchased pursuant
to Rule 10f-3 and all requirements of the
Affiliated Underwriting Procedures of the Fund.
Trade
Date Issue
03/02/00 UTStarcom, Inc. (UTSI) Common Stock
Shares Price Amount
3,550 $18.00 $63,900
% of Issue
Spread Spread Fund's for all
Amount % % of issue Chase Vista Funds
$1.26 N/A 0.03550% 0.03550%
Broker
Merrill Lynch & Co.
Underwriters of UTStarcom, Inc. (UTSI) Common Stock
U.S. Underwriters Number of Shares
Merrill Lynch, Pierce, Fenner & Smith Inc. 3,600,000
Banc of America Securities LLC 2,160,000
U.S. Bancorp Piper Jaffray Inc. 1,440,000
Credit Suisse First Boston Corp. 110,000
Deutsche Bank Securities Inc. 110,000
FleetBoston Robertson Stephens Inc. 110,000
Hambrecht & Quist LLC 110,000
First Analysis Securities Corp. 90,000
Laidlaw Global Securities, Inc. 90,000
Ramirez & Co., Inc. 90,000
Sutro & Co., Inc. 90,000
Total 8,000,000
THE CHASE VISTA SMALL CAP OPPORTUNITIES FUND
Section 10f-3 Transactions
The following securities were purchased pursuant
to Rule 10f-3 and all requirements of the
Affiliated Underwriting Procedures of the Fund.
Trade
Date Issue
04/07/00 Tanox, Inc. (TNOX) Common Stock
Shares Price Amount
35,750 $28.50 $1,018,875.00
% of Issue
Spread Spread Fund's for all
Amount % % of issue Chase Vista Funds
$1.99 N/A 0.47667% 0.47667%
Broker
CIBC World Markets
Underwriters of Tanox, Inc. (TNOX) Common Stock
U.S. Underwriters Number of Shares
CIBC World Markets Corp. 2,835,000
FleetBoston Robertson Stephens Inc. 1,449,000
Warburg Dillon Read LLC 1,449,000
Adams, Harkness & Hill, Inc. 441,000
KBC Securities Inc. 126,000
Chase H&Q 100,000
Lehman Brothers Inc. 100,000
PaineWebber Inc. 100,000
Prudential Securities Inc. 100,000
SG Cowen Securities Corp. 100,000
U.S. Bancorp Piper Jaffray Inc. 100,000
Dain Rauscher Wessels 50,000
Davenport & Co. of Virginia, Inc. 50,000
Dominick & Dominick LLC 50,000
Gerard Klauer Mattison & Co., LLC 50,000
Josephthal & Co., Inc. 50,000
Legg Mason Wood Walker, Inc. 50,000
Needham & Co., Inc. 50,000
Pennsylvania Merchant Group 50,000
Ragen Mackenzie Inc. 50,000
The Robinson-Humphrey Co., LLC 50,000
Sanders Morris Harris 50,000
Stephens Inc. 50,000
Total 7,500,000
