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Previous: BT INVESTMENT PORTFOLIOS, NSAR-B, EX-99, 2001-01-11 |
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SMALLCap Portfolio - 10f3
Transactions - Annual 2000
<Table>
<Caption>
|
Security Purchased <C> |
Comparison Security <C> |
Comparison Security <C> |
|
|
Issuer |
WJ Communications Inc. |
Stanford Micro Devices |
RF Micro Devices |
|
Underwriters |
Chase, CIBC, Thomas Weisel, Bank of America, CS First Boston, Dain Rauscher, Deutsche Bank, DLJ, Merrill Lynch, Salomon Smith Barney, Adams Harkness Hill, Robert Baird, First Security Van Kasper, Hoak Breedlove Wesneski, Legg Mason, Needham, Tucker Anthony |
Deutsche Banc Alex Brown, Banc of America Securities, CIBS World Markets, Robertson Stephens |
Montgomery Securities, Hambrecht & Quist, Oppenheimer, etc., including Alex Brown and Deutsche Morgan Grenfell |
|
Years of continuous operation, including predecessors |
>3 |
>3 |
>3 |
|
Security |
WJCI |
SMDI |
RFMD |
|
Is the affiliate a manager or co-manager of offering? |
co-manager |
co-manager |
No |
|
Name of underwriter or dealer from which purchased
|
Chase Hambrecht & Quist/Oppenheimer & Co. |
n/a |
n/a |
|
Firm commitment underwriting? |
yes |
yes |
Yes |
|
Trade date/Date of Offering |
8/18/2000 |
5/24/2000 |
6/3/1997 |
|
Total dollar amount of offering sold to QIBs |
$ - |
$ - |
$ - |
|
Total dollar amount of any concurrent public offering |
$ 86,400,000.00 |
$ 48,000,000 |
$ 36,444,000 |
|
Total |
$ 86,400,000.00 |
$ 48,000,000 |
$ 36,444,000 |
|
Public offering price |
$ 16.00 |
$ 12.00 |
$ 12.00 |
|
Price paid if other than public offering price |
same |
n/a |
n/a |
|
Underwriting spread or commission |
$1.12 (7%) |
$0.84 (7%) |
$0.84 (7%) |
|
Shares purchased |
9,800 |
n/a |
n/a |
|
$ amount of purchase |
$ 156,800.00 |
n/a |
n/a |
|
% of offering purchased by fund |
0.181% |
n/a |
n/a |
|
% of offering purchased by associated funds |
0.107% |
n/a |
n/a |
|
Total |
0.288% |
n/a |
n/a |
|
|