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Equity Appreciation Fund - 10f3
Transactions - 2000
<Table>
<Caption>
Security Purchased <C> |
Comparison Security <C> |
Comparison Security <C> |
|
Issuer |
McData Corporation |
Brocade Communication |
Gadzoox Networks |
Underwriters |
CS First Boston, Deutsche Bank Securities, Merrill Lynch, Bear Stearns, Buckingham Research Group, Dain Rauscher, E*Offering, FleetBoston Robertson Stephens, Gerard Klauer Mattison, Invemed, McDonald Investments, Morgan Keegan, Neeham, Stifel Nicolaus, SunTrust Equitable, CE Unterberg Towbin, Wasserstein Perella, Wedbush Morgan, Wit SoundView |
Morgan Stanley, BT Alex Brown, Dain Rauscher Wessels |
Credit Suisse First Boston, Hambrecht & Quist, Morgan Keegan & Co., etc., including Deutsche Bank Securities |
Years of continuous operation, including predecessors |
> 3 years |
> 3 years |
> 3 years |
Security |
MCDT |
BRCD |
ZOOX |
Is the affiliate a manager or co-manager of offering? |
Yes |
Yes |
No |
Name of underwriter or dealer from which purchased |
CS First Boston |
n/a |
n/a |
Firm commitment underwriting? |
yes |
yes |
yes |
Trade date/Date of Offering |
8/9/2000 |
5/24/1999 |
7/19/1999 |
Total amount of offering sold to QIBs |
$ - |
$ - |
$ - |
Total amount of any concurrent public offering |
$ 350,000,000 |
$ 61,750,000 |
$ 73,500,000 |
Total |
$ 1,291,500,000 |
$ 61,750,000 |
$ 73,500,000 |
Public offering price |
$ 28.00 |
$ 19.00 |
$ 21.00 |
Price paid if other than public offering price |
same |
n/a |
n/a |
Underwriting spread or commission |
$ 1.61 (5.75%) |
$ 1.33 (7%) |
$ 1.47 (7%) |
Shares purchased |
5,800 |
n/a |
n/a |
Amount of purchase |
$ 162,400 |
n/a |
n/a |
% of offering purchased by fund |
0.046% |
n/a |
n/a |
% of offering purchased by associated funds |
0.006% |
n/a |
n/a |
Total (must be less than 25%) |
0.052% |
n/a |
n/a |
|