For the twelve month period ended (b) 5/31/00
File number (c) 811-5248
SUB-ITEM 77 0
EXHIBITS
Transactions Effected Pursuant to Rule 10f-3
1. Name of Issuer
Proxicom Inc.
2. Date of Purchase
10/8/99
3. Number of Securities Purchased
5,114
4. Dollar Amount of Purchase
$261,875
5. Price Per Unit
$52.38
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Thomas Weisel Partner LLC
7. Other Members of the Underwriting Syndicate
E*OFFERING
First Union Capital Markets Corp.
Friedman Billings Ramsey
Prudential Securities
Thomas Weisel Partners LLC
1. Name of Issuer
QuickLogic
2. Date of Purchase
10/15/99
3. Number of Securities Purchased
1,000
4. Dollar Amount of Purchase
$10,000
5. Price Per Unit
$10.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
view Financial Group/Robertson Stephens
7. Other Members of the Underwriting Syndicate
BancBoston Robertson Stephens Inc.
Bear. Stearns & Co. Inc.
SoundView Technology Group, Inc.
BancBoston Robertson Stephens
International Limited
Bear. Stearns International Limited
1. Name of Issuer
World Wrestling Federation Entertainment
2. Date of Purchase
10/18/99
3. Number of Securities Purchased
2,000
4. Dollar Amount of Purchase
$34,000
5. Price Per Unit
$17.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Bear.Sterns & C0. Inc.
7. Other Members of the Underwriting Syndicate
Allen & Company Incorporated
Bear.Stearns & Co. Inc.
Prudential Securities
Deutsche Bank Securities
Donaldson, Lufkin & Jenrette Securities
Corporation
Hambrecht & Quist
Credit Suisse
Merrill Lynch
Wit Capital
Banc of America
A.G. Edwards
ING Barings
SG Cowan
Wasserstein Perella
Advest
Axiom Partners
Blackford
J. C. Bradford
Joseph Charles
Chaisworth
Gabelli
Gaines Berland
Jefferies
Josephthal
Neuberger & Berman
Raymond James
Sanders Morris Mundy
Tucker Anthony
Wachovia
1. Name of Issuer
Radio Unica Communications
2. Date of Purchase
10/18//99
3. Number of Securities Purchased
400
4. Dollar Amount of Purchase
$6,400
5. Price Per Unit
$16.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Salomon Smith Barney
7. Other Members of the Underwriting Syndicate
A.G. Edwards & Sons
Bear.Stearns & Co. Inc.
Deutsche Bank Securities
ING Barings
Merrill Lynch, Pierce
Prudential Securities
Raymond James
Robinson-Humphrey
Salomon Smith Barney
Wasserstein Perella
CIBC World
Donaldson, Lufkin & Jenrette
BancBoston Robertson Stephens
Credit Lyonnais
Credit Suisse
Lazard Freres
Morgan Stanley
PaineWebber
Schroder
Guzman
Ramirez
Robinson-Humphrey
1. Name of Issuer
MCK Communications
2. Date of Purchase
10/22/99
3. Number of Securities Purchased
100
4. Dollar Amount of Purchase
$1,600
5. Price Per Unit
$16.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Robertson Stephens & Co. LLC
7. Other Members of the Underwriting Syndicate
BancBoston Robertson Stephens
Bear Stearns
Bank of America Securities
Dain Rauscher Wessels
Hambrecht & Quist
PaineWebber
Prudential Securities
Salomon Smith Barney
CIBC Oppenheimer
Deutsche Bank
Donaldson, Lufkin & Jenrette
Goldman, Sachs
Lehman Brothers
Merrill Lynch, Pierce, Fenner & Smith
Morgan Stanley
J.P. Morgan
SG Cowen
E*trade Securities
Suretrade
1. Name of Issuer
Emmis Communications A
2. Date of Purchase
10/26/99
3. Number of Securities Purchased
2,600
4. Dollar Amount of Purchase
$162,500
5. Price Per Unit
$62.50
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Donaldson, Lufkin & Jenrette
7. Other Members of the Underwriting Syndicate
BancBoston Robertson Stephens
CIBC World Markets
Goldman Sachs
Morgan Stanley & Co.
Prudential Securities
Donaldson, Lufkin & Jenrette
Credit Suisse
Deutsche Bank
Banc of America
First Union
A.G. Edwards & Sons
PaineWebber
Schroder
Kercheville
Coburn & Meredith
FIA Capital Group
Finbro Management
Linsco/Private Ledger
National Commercial Bank
Noyes
Royce
Santander
S.V. International
Wiley Brothers-Aintree
Credit Lyonnais
Lehman Brothers
J.P. Morgan
SG Cowan
Barrington Research Associates
1. Name of Issuer
Spanish Broadcasting System. Inc.
2. Date of Purchase
10/28/99
3. Number of Securities Purchased
7,800
4. Dollar Amount of Purchase
$156,000
5. Price Per Unit
$20.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Lehman Brothers
7. Other Members of the Underwriting Syndicate
BancBoston Robertson Stephens
Chatsworth Securities
Deutsche Bank Alex. Brown
Prudential Securities
Lehman Brothers
Merrill Lynch
CIBC World Markets
Bear Stearns
Lazard Freres
Morgan Stanley Dean Witter
Salomon Smith Barney
Wasserstein Perella
First Union Capital Markets
Gabelli
Raymond James
Neuberger & Berman
Sutro
Chapman
Guzman
Pryor, McClendon & Counts
Ramirez
1. Name of Issuer
CVC Inc.
2. Date of Purchase
11/11/99
3. Number of Securities Purchased
5,000
4. Dollar Amount of Purchase
$50,000
5. Price Per Unit
$10.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Lehman Brothers
7. Other Members of the Underwriting Syndicate
Prudential Securities
Lehman Brothers
SG Cowen
Warburg Dillon Read
1. Name of Issuer
Somera Communications Inc.
2. Date of Purchase
11/11/99
3. Number of Securities Purchased
1,200
4. Dollar Amount of Purchase
$14,400
5. Price Per Unit
$12.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Lehman Brothers
7. Other Members of the Underwriting Syndicate
Lehman Brothers Inc.
Dain Rauscher Wessels
Thomas Weisel Partners LLC
1. Name of Issuer
Sage Inc.
2. Date of Purchase
11/11/99
3. Number of Securities Purchased
200
4. Dollar Amount of Purchase
$2,400
5. Price Per Unit
$12.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Robertson Stephens
7. Other Members of the Underwriting Syndicate
Robertson Stephens
Prudential Securities
Needham & Company, Inc.
1. Name of Issuer
Metron Technology
2. Date of Purchase
11/18/99
3. Number of Securities Purchased
600
4. Dollar Amount of Purchase
$7,800
5. Price Per Unit
$13.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Banc of America Securities LLC
7. Other Members of the Underwriting Syndicate
Lehman Brothers
S.G. Cowen
U.S. BanCorp Piper Jaffray
Fidelity Capital Markets
Allen & Company
Banc of America
BancBoston Robertson Stephens
Donaldson, Lufkin & Jenrette
Hambrecht & Quist
Merrill Lynch
First Analysis Securities
Pacific Crest Securities
Volpe Brown Whelan
1. Name of Issuer
Exactis.com, Inc.
2. Date of Purchase
11/19/99
3. Number of Securities Purchased
300
4. Dollar Amount of Purchase
$4,200
5. Price Per Unit
$14.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Thomas Weisel Partners LLC
7. Other Members of the Underwriting Syndicate
Donaldson, Lufkin & Jenrette
Hambrecht & Quist
Thomas Weisel Partners
Dain Rauscher Wessels
Wit Capital
Bear Sterns
First Union
ING Furman Selz
Prudential Securities
Unterberg Towbin
Gruntal
Janco Partners
Legg Mason
Parker Hunter
Van Kasper
Wedbush Morgan
Petrie Parkman
1. Name of Issuer
LifeMinders.com
2. Date of Purchase
11/19/99
3. Number of Securities Purchased
400
4. Dollar Amount of Purchase
$5,600
5. Price Per Unit
$14.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Hambrecht & Quist
7. Other Members of the Underwriting Syndicate
Hambrecht & Quist
Thomas Weisel Partners
Wit Capital
PaineWebber
1. Name of Issuer
TeleCorp PCS, Inc.
2. Date of Purchase
11/22/99
3. Number of Securities Purchased
600
4. Dollar Amount of Purchase
$12,00
5. Price Per Unit
$20.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Salomon Smith Barney
7. Other Members of the Underwriting Syndicate
Salomon Smith Barney
Lehman Brothers
Deutsche Bank
Merrill Lynch, Pierce, Fenner & Smith
Banc of America
Prudential Securities
Robinson-Humphrey
1. Name of Issuer
Classic Communications
2. Date of Purchase
12/7/99
3. Number of Securities Purchased
2,600
4. Dollar Amount of Purchase
$65,000
5. Price Per Unit
$25.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Goldman Sachs & Co.
7. Other Members of the Underwriting Syndicate
Merrill Lynch, Pierce, Fenner & Smith
Goldman Sachs & Co.
Donaldson, Lufkin & Jenrette Securities
Corporation
1. Name of Issuer
Preview Systems
2. Date of Purchase
12/8/99
3. Number of Securities Purchased
100
4. Dollar Amount of Purchase
$2,100
5. Price Per Unit
$21.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Robertson Stephens
7. Other Members of the Underwriting Syndicate
BancBoston Robertson Stephens
Dain Rauscher Wessels
SoundView Technology Group
E*OFFERING Corp.
1. Name of Issuer
Agency.com
2. Date of Purchase
12/8/99
3. Number of Securities Purchased
100
4. Dollar Amount of Purchase
$2,600
5. Price Per Unit
$26.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Goldman Sachs & Co.
7. Other Members of the Underwriting Syndicate
Goldman Sachs & Co.
Salomon Smith Barney
Hambrecht & Quist
1. Name of Issuer
eCollege.com
2. Date of Purchase
12/14/99
3. Number of Securities Purchased
100
4. Dollar Amount of Purchase
$1,100
5. Price Per Unit
$11.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Banc of America Securities LLC
7. Other Members of the Underwriting Syndicate
Banc of America Securities
William Blair
Volpe Brown Whelan
Prudential Securities
1. Name of Issuer
GRIC Communications, Inc.
2. Date of Purchase
12/15/99
3. Number of Securities Purchased
5,900
4. Dollar Amount of Purchase
$82,600
5. Price Per Unit
$14.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
CIBC World Markets
7. Other Members of the Underwriting Syndicate
CIBC World Markets
U.S. BanCorp Piper Jaffray
Volpe Brown Whelan & Company
1. Name of Issuer
Infonet
2. Date of Purchase
12/15/99
3. Number of Securities Purchased
1,100
4. Dollar Amount of Purchase
$23,100
5. Price Per Unit
$21.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Merrill Lynch, SG Warburg, ABN AMRO
7. Other Members of the Underwriting Syndicate
Merrill Lynch, Pierce, Fenner & Smith
Warburg Dillon Read
ABN AMRO
Goldman Sachs
Lehman Brothers
Salomon Smith Barney
1. Name of Issuer
Maxygen
2. Date of Purchase
12/15/99
3. Number of Securities Purchased
200
4. Dollar Amount of Purchase
$3,200
5. Price Per Unit
$16.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Goldman Sachs & Co.
7. Other Members of the Underwriting Syndicate
Merrill Lynch, Pierce, Fenner & Smith
Warburg Dillon Read
Goldman Sachs
Salomon Smith Barney
BancBoston Robertson Stephens
Invemed Associates
Hambrecht & Quist
EDWARD D. JONES & CO.
Dain Rauscher
First Security Van Kaspar
Pacific Growth Equities
Punk, Ziegel & Company
Vector Securities
Wit Capital
1. Name of Issuer
Integrated Info Systems
2. Date of Purchase
3/17/00
3. Number of Securities Purchased
100
4. Dollar Amount of Purchase
$1,500
5. Price Per Unit
$15.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Robertson Stephens
7. Other Members of the Underwriting Syndicate
Credit Suisse
FleetBoston Robertson Stephens
E*OFFERING
Robertson Stephens
U.S. Bancorp Piper Jaffray
Robert W. Baird
Legg Mason Wood Walker
Chase H&Q
CIBC World Markets
Deutsche Bank
First Union
ING Barings
Lehman Brothers
Prudential Securities
Adams, Harkness & Hill
The Robinson-Humphrey Company
Sutro & Co.
1. Name of Issuer
ImproveNet
2. Date of Purchase
3/15/00
3. Number of Securities Purchased
100
4. Dollar Amount of Purchase
$1,500
5. Price Per Unit
$16.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Credit Suisse First Boston
7. Other Members of the Underwriting Syndicate
Credit Suisse
FleetBoston Robertson Stephens
E*OFFERING
U.S. Bancorp Piper Jaffray
Robert W. Baird
Legg Mason Wood Walker
Chase H&Q
CIBC World Markets
Deutsche Bank
First Union
Prudential Securities
William Blair
J.C. Bradford
Invemed
Salomon Smith Barney
SG Cowen
Wit Soundview
1. Name of Issuer
Radvision Ltd.
2. Date of Purchase
3/13/00
3. Number of Securities Purchased
400
4. Dollar Amount of Purchase
$8,000
5. Price Per Unit
$20.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Lehman
7. Other Members of the Underwriting Syndicate
Lehman Brothers
Salomon Smith Barney
FleetBoston Robertson Stephens
U.S. Bancorp Piper Jaffray
Chase H&Q
CIBC World Markets
Prudential Securities
Warburg Dillon Read
C.E. Unterberg, Towbin
Thomas Weisel
Dain Rauscher
Doft & Co.
Gruntal & Co.
Pacific Growth Equities
Raymond James & Associates
Merrill Weber Co.
Financial West Group
Chatsworth
1. Name of Issuer
Digitas
2. Date of Purchase
3/13/00
3. Number of Securities Purchased
300
4. Dollar Amount of Purchase
$7,200
5. Price Per Unit
$24.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Morgan Stanley
7. Other Members of the Underwriting Syndicate
Morgan Stanley
Salomon Smith Barney
Deutsche Bank
FleetBoston Robertson Stephens
Prudential Securities
Banc of America
Bear, Sterns
Adams, Harkness & Hill
Robert W. Baird
First Union
ING Barings
SG Cowen
1. Name of Issuer
Iprint.com
2. Date of Purchase
3/17/00
3. Number of Securities Purchased
100
4. Dollar Amount of Purchase
$1,000
5. Price Per Unit
$10.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Credit Suisse First Boston
7. Other Members of the Underwriting Syndicate
FleetBoston Robertson Stephens
Prudential Securities
Banc of America
Credit Suisse
U.S. Bancorp Piper Jaffray
W.R. Hambrecht
Dain Rauscher Wessels
First Union
Invemed Associates
Jefferies & Co.
Sands Brothers & Co.
Thomas Weisel Partners
Wit Soundview
1. Name of Issuer
Matrix One
2. Date of Purchase
2/29/00
3. Number of Securities Purchased
300
4. Dollar Amount of Purchase
$7,500
5. Price Per Unit
$25.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Goldman Sachs
7. Other Members of the Underwriting Syndicate
Goldman Sachs
Prudential Securities
U.S. Bancorp Piper Jaffray
Dain Rauscher Wessels
Adams, Harkness & Hill
Advest
Gruntal & Co.
Neuberger & Berman
1. Name of Issuer
Hotel Reservation
2. Date of Purchase
2/25/00
3. Number of Securities Purchased
600
4. Dollar Amount of Purchase
$9,600
5. Price Per Unit
$16.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
DLJ
7. Other Members of the Underwriting Syndicate
Donaldson, Lufkin & Jenrette
Prudential Securities
Allen & Co.
Bear Sterns
Thomas Weisel
Adams, Harkness & Hill
Anderson & Strudwick
Kerchevelle & Co.
Asiel & Co.
George Baum
William Blair
Blackford
J.C. Bradford
Chapman
Chase H&Q
Coburn & Meredith
Credit Suisse
Dain Rauscher
A.G. Edwards & Sons
Fahnestock
Fac/Equities
FIA Capital Group
Finbro
First Southwest
Gabelli
Gerard Klater Mattison
Goldman Sachs
HSBC Brokerage
ING Barings
Investec Ernst & Co.
Janney Montgomery Scott
Johnston, Lemon & Co.
Lazard Freres
Linsco Private Ledger
Merrill Lynch, Pierce, Fenner & Smith
Middlegate Securities
Morgan Keegan
National Commercial Bank
Needham & Co.
Noves Partners
Nutmeg Securities
PaineWebber
Parker/Hunter
U.S. Bancorp Piper Jaffray
Polaris Financial
Raymond James
Ryan, Beck & Co.
Salomon Smith Barney
Sanders Morris Harris
Sands Brothers
Santander
SG Cowen
W.M. Smith
Stephens Inc.
Sutro & Co.
S.V. International
Tucker Anthony
Wiley Brothers Aintree
1. Name of Issuer
Witness Systems
2. Date of Purchase
2/10/00
3. Number of Securities Purchased
500
4. Dollar Amount of Purchase
$10,000
5. Price Per Unit
$20.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Hambrecht & Quist
7. Other Members of the Underwriting Syndicate
Hambrecht & Quist
Adams, Harkness & Hill
Chase H&Q
U.S. Bancorp Piper Jaffray
Wit Soundview
CIBC World
Deutsche Bank Alex Brown
Donaldson, Lufkin & Jenrette
A.G. Edwards & Sons
Lehman Brothers
FleetBoston Robertson Stephens
E*OFFERING Corp.
First Albany
First Security Van Kaspar
Robinson-Humphrey
Sun Trust Equitable
Tucker Anthony Cleary Gull
Wachovia
1. Name of Issuer
Xcare.net
2. Date of Purchase
2/10/00
3. Number of Securities Purchased
100
4. Dollar Amount of Purchase
$1,800
5. Price Per Unit
$18.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Robertson Stephens
7. Other Members of the Underwriting Syndicate
FleetBoston Robertson Stephens
E*OFFERING Corp.
SG Cowen
Advest, Inc.
1. Name of Issuer
Landacorp
2. Date of Purchase
2/9/00
3. Number of Securities Purchased
400
4. Dollar Amount of Purchase
$4,000
5. Price Per Unit
$10.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Hambrecht & Quist
7. Other Members of the Underwriting Syndicate
Chase H&Q
Prudential Securities
SG Cowen
Banc of America
CIBC World
Deutsche Banc Alex Brown
Donaldson, Lufkin & Jenrette
A.G. Edwards & Sons
First Union
J.C. Bradford
Dain Rauscher Wessels
E*OFFERING Corp
First Southwest
First Security Van Kaspar
Needham & Co.
Robinson-Humphrey
Stephens Inc.
1. Name of Issuer
Fastnet
2. Date of Purchase
2/8/00
3. Number of Securities Purchased
12,100
4. Dollar Amount of Purchase
$145,200
5. Price Per Unit
$12.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Furman Selz LLC
7. Other Members of the Underwriting Syndicate
Prudential Securities
SG Cowen
Banc of America
CIBC Oppenheimer
ING Barings
SoundView Technology
First Albany
DLJ Direct
Bear, Stearns
FleetBoston Robertson Stephens
PaineWebber
Thomas Weisel Partners
Dominick & Dominick
Janney Montgomery Scott
Jefferies & Company
Kaufman Brothers
C.L. King & Associates
Pennsylvania Merchant Group
1. Name of Issuer
Antigenics
2. Date of Purchase
2/4/00
3. Number of Securities Purchased
400
4. Dollar Amount of Purchase
$7,200
5. Price Per Unit
$18.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
U.S. Bancorp Piper Jaffray
7. Other Members of the Underwriting Syndicate
Prudential Securities
SG Cowen
Banc of America
CIBC Oppenheimer
FleetBoston Robertson Stephens
U.S. Bancorp Piper Jaffray
Chase Securities
Lehman Brothers
Merrill Lynch, Pierce, Fenner & Smith
Morgan Stanley
Salomon Smith Barney
Nessuah Zannex
1. Name of Issuer
Emerg
2. Date of Purchase
2/4/00
3. Number of Securities Purchased
400
4. Dollar Amount of Purchase
$6,000
5. Price Per Unit
$15.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Adams, Harkness & Hill
7. Other Members of the Underwriting Syndicate
Adams, Harkness & Hill
First Union
FAC/Equities
Prudential Securities
Banc of America
Lehman Brothers
Hambrecht & Quist
Deutsche Bank
J.P. Morgan
Thomas Weisel Partners
First Montauk
Janney Montgomery
Legg Mason Wood Walker
Parker/Hunter
Pennsylvania Merchant Group
Wedbush Morgan
1. Name of Issuer
Dobson Communications
2. Date of Purchase
2/3/00
3. Number of Securities Purchased
300
4. Dollar Amount of Purchase
$6,600
5. Price Per Unit
$22.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Lehman Brothers
7. Other Members of the Underwriting Syndicate
First Union
Prudential Securities
Banc of America
Lehman Brothers
Deutsche Bank
J.P. Morgan
Salomon Smith Barney
Goldman, Sachs
Merrill Lynch
ABN Amro
Bear Stearns
CIBC World
Credit Suisse
Donaldson, Lufkin & Jenrette
A.G. Edwards & Sons
Fidelity Capital
Morgan Stanley Dean Witter
PaineWebber
Warburg Dillon Read
Wasserstein Perella
J.C. Bradford
Chatsworth
First Southwest
Gabelli & Company
Gruntal & Co.
Janco Partners
Edward D. Jones
J.J.B. Hilliard, W.L. Lyons Inc.
Needham & Co.
Neuberger & Berman
Raymond James
Robinson-Humphrey
Sands Brothers
1. Name of Issuer
HealthGate Data
2. Date of Purchase
1/25/00
3. Number of Securities Purchased
4,400
4. Dollar Amount of Purchase
$48,400
5. Price Per Unit
$11.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
S.G. Cowen & Company
7. Other Members of the Underwriting Syndicate
S.G. Cowen
Prudential Securities
Lehman Brothers
Deutsche Bank
Donaldson, Lufkin & Jenrette
Warburg Dillon Read
Wasserstein Perella
Gruntal & Co.
Raymond James
Robinson-Humphrey
Chase H&Q
ING Barings
Thomas Weisel
U.S. Bancorp Piper Jaffray
Scott & Stringfellow
Suntrust Equitable
Tucker Anthony
1. Name of Issuer
Intrabiotics
2. Date of Purchase
3/28/00
3. Number of Securities Purchased
1,100
4. Dollar Amount of Purchase
$16,500
5. Price Per Unit
$15.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Deutsche Bank
7. Other Members of the Underwriting Syndicate
S.G. Cowen
Prudential Securities
Deutsche Bank
Donaldson, Lufkin & Jenrette
Warburg Dillon Read
Adams, Harkness & Hill
Chase H&Q
FleetBoston Robertson Stephens
ING Barings
Merrill Lynch, Pierce, Fenner & Smith
J.P. Morgan
Morgan Stanley
Salomon Smith Barney
Dominick & Dominick
Fahnestock
First Security Van Kaspar
Gerard Klauer Mattison
C.L. King
Edgar M. Norris
Parker/Hunter
Ragen Mackenzie
1. Name of Issuer
Eprise
2. Date of Purchase
3/24/00
3. Number of Securities Purchased
100
4. Dollar Amount of Purchase
$1,500
5. Price Per Unit
$15.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Deutsche Bank
7. Other Members of the Underwriting Syndicate
S.G. Cowen
Prudential Securities
Deutsche Bank
FleetBoston Robertson Stephens
Edgar M. Norris
Dain Rauscher Wessels
Soundview Technology
Banc of America
Bear, Stearns
Chase H&Q
Chatsworth
Josephthal
Legg Mason Wood Walker
McDonald Investments
Raymond James
Suntrust Equitable
Tucker Anthony
C.E. Unterberg, Towbin
1. Name of Issuer
Insilicon
2. Date of Purchase
3/22/00
3. Number of Securities Purchased
100
4. Dollar Amount of Purchase
$1,200
5. Price Per Unit
$12.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
Robertson Stephens
7. Other Members of the Underwriting Syndicate
Prudential Securities Incorporated
FleetBoston Robertson Stephens
Needham & Company, Inc.
1. Name of Issuer
Breezecom
2. Date of Purchase
3/23/00
3. Number of Securities Purchased
2,300
4. Dollar Amount of Purchase
$46,000
5. Price Per Unit
$20.00
6. Name(s) of Underwriter(s) or Dealer(s)
From whom Purchased
CIBC World Markets
7. Other Members of the Underwriting Syndicate
Prudential Securities Incorporated
Needham & Company, Inc.
CIBC World Markets
Dain Rauscher Wessels
First Union
PaineWebber
S.G. Cowen
Warburg Dillon Read
Crowell, Weedon & Co.
Josephthal & Co.
Tucker Anthony
C.E. Unterberg, Towbin
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