Securities Purchased Pursuant to Rule 10F3
Morgan Grenfell Smaller Companies Fund for Fourth Quarter 1999
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Security Purchased Comparison Security Comparison Security
Issuer PlanetRX.com Inc. Barnesandnoble.com EToys Inc.\
Underwriters Goldman, BancBoston Robertson n/a n/a
Stephens, Hambrecht & Quist,
Wm. Blair, Bear Stearns, CIBC
World Markets, DBSI, Gruntal,
Edwards D. Jones & Co., C.L.
King & Associates, Merril Lynch,
JP Morgan, Morgan Keegan &
Co., SSB Inc.
Years of continuous
operation, including
predecessors > 3 years > 3 years > 3 years
Security PLRX BNBN ETYS
Is the affiliate a
manager or co-manager
of offering? no no no
Name of underwriter
or dealer from
which purchased Goldman n/a n/a
Firm commitment
underwriting? yes yes yes
Trade date/Date of
Offering 10/6/1999 5/25/1999 5/20/1999
Total dollar amount
of offering sold
to QIBs $10,338,810.00 $- $-
Total dollar amount
of any concurrent
public offering $6,000,000.00 $450,000,000 $166,400,000
Total $16,338,810.00 $450,000,000 $166,400,000
Public offering price $16.00 $18.00 $20.00
Price paid if other
than public offering
price same n/a n/a
Underwriting spread
or commission $1.12 (7%) $1.08 (6%) $1.35 (6.75%)
Shares purchased 100 n/a n/a
$ amount of purchase $1,600.00 n/a n/a
% of offering purchased
by fund 0.00061% n/a n/a
% of offering purchased
by associated funds 0.00857% n/a n/a
Total (must be less
than 25%) 0.00918% n/a n/a
2 of 8
Security Purchased Comparison Security Comparison Security
Issuer Allied Riser Communications Verio Inc. Digex Inc.
Underwriters Goldman, Merril Lynch, DLJ, n/a n/a
Thomas Weisel, Banc of America,
Bear Stearns, DB Securities,
Hambrecht & Quist, Edward D.
Jones, J.C. Bradford, Dain
Rauscher Wessels, Doley
Securities, Stephens Inc.,
Stifel, Wit Capital
Years of continuous
operation, including
predecessors > 3 years > 3 years > 3 years
Security ARCC VRIO DIGX
Is the affiliate a
manager or co-manager
of offering? no no no
Name of underwriter or
dealer from which
purchased Goldman n/a n/a
Firm commitment
underwriting? yes yes yes
Trade date/Date of
Offering 10/29/1999 5/12/1998 7/30/1999
Total dollar amount
of offering sold
to QIBs $- $- $-
Total dollar amount
of any concurrent
public offering $283,500,000.00 $126,500,000 $170,000,000
Total $283,500,000.00 $126,500,000 $170,000,000
Public offering price $18.00 $23.00 $17.00
Price paid if other
than public offering
price same n/a n/a
Underwriting spread
or commission $1.08 (6%) $1.50 (6.52%) $1.19 (7%)
Shares purchased 2,700 n/a n/a
$ amount of purchase $48,600.00 n/a n/a
% of offering purchased
by fund 0.01714% n/a n/a
% of offering purchased
by associated funds 0.36381% n/a n/a
Total (must be less
than 25%) 0.38095% n/a n/a
3 of 8
Security Purchased Comparison Security Comparison Security
Issuer PC Tel Broadcom Corporation HI/FN Inc.
Underwriters Banc of America, Warburg Dillon n/a n/a
Read, Needham & Co., BancBoston
Robertson Stephens, DB Alex. Brown,
Hambrecht & Quist, Lehman Brothers,
Dain Rauscher Wessels, John G.
Kinnard, Pacific Crest Securities,
Pacific Growth Equities, Sandler
O'Neil and Partners, H.C.
Wainright & Co.
Years of continuous
operation, including
predecessors > 3 years > 3 years > 3 years
Security PCTI BRCM HIFN
Is the affiliate a
manager or co-manager
of offering? no yes no
Name of underwriter or
dealer from which
purchased Montgomery, Warburg, Neeham n/a n/a
Firm commitment
underwriting? yes yes yes
Trade date/Date of
Offering 10/22/1999 4/16/1998 10/26/1999
Total dollar amount of
offering sold to QIBs $- $- $-
Total dollar amount of
any concurrent
public offering $78,200,000.00 $84,000,000 $66,000,000
Total $78,200,000.00 $84,000,000 $66,000,000
Public offering price 17.00 24.00 33
Price paid if other
than public
offering price same n/a n/a
Underwriting spread
or commission $1.19 (7%) $1.68 (7%) $1.98 (6%)
Shares purchased 100 n/a n/a
$ amount of purchase $1,700.00 n/a n/a
% of offering purchased
by fund 0.00217% n/a n/a
% of offering purchased
by associated funds 0.10435% n/a n/a
Total (must be
less than 25%) 0.10652% n/a n/a
4 of 8
Security Purchased Comparison Security Comparison Security
Issuer Spanish Broadcasting Radio Unica Univision Communications
Underwriters Lehman Brothers, Merrill, Bear n/a n/a
Stears, BancBoston Robertson
Stephens, DB Securities, Lazard
Freres, Morgan Stanley, Prudential
Securities, Salomon Smith Barney,
Wasserstein Perella Securities,
Gabelli & Co., First Union
Securities, Neuberger & Berman,
Raymond James & Assoc., Sutro
& Co., The Chapman Company,
Chatsworth Securities,
Guzman & Co., Pryor
McClendon, Ramirez & Co.
Years of continuous
operation, including
predecessors > 3 years > 3 years > 3 years
Security SBSA UNCA UVN
Is the affiliate a
manager or co-manager
of offering? no no no
Name of underwriter or
dealer from which
purchased Lehman Brothers n/a n/a
Firm commitment
underwriting? yes yes yes
Trade date/Date of
Offering 10/28/1999 10/19/1999 9/27/1996
Total dollar amount
of offering sold to
QIBs $- $- $-
Total dollar amount
of any concurrent
public offering $435,748,000.00 $109,440,000.00 $187,910,000
Total $435,748,000.00 $109,440,000.00 $187,910,000
Public offering price $20.00 $16.00 $23.00
Price paid if other
than public offering
price same n/a n/a
Underwriting spread or
commission $1.25 (6.25%) $1.12 (7%) $1.55 (6.74%)
Shares purchased 600 n/a n/a
$ amount of purchase $12,000.00 n/a n/a
% of offering purchased
by fund 0.00275% n/a n/a
% of offering purchased
by associated funds 0.06839% n/a n/a
Total (must be less
than 25%) 0.07114% n/a n/a
5 of 8
Security Purchased Comparison Security Comparison Security
Issuer Radio Unica Spanish Broadcasting Univision Communications
Underwriters Salomon Smith Barney, Bear n/a n/a
Stearns, DLJ, CIBC World Markets,
BancBoston Robertson Stephens,
Credit Lyonnais Securities,
Credit Suisse First Boston,
DB Securities, AG Edwards,
ING Barings, Lazard Freres & Co.,
Merrill Lynch, Morgan Stanely
& Co., PaineWebber Inc.,
Prudential Securities Inc.,
Schroder & Co. Inc., Wasserstein
Perella Securities, Guzman & Co.,
Samuel A. Ramirez & Co.,
Raymond James & Assoc.,
Robinson-Humphrey
Years of continuous
operation, including
predecessors > 3 years > 3 years > 3 years
Security UNCA SBSA UVN
Is the affiliate a
manager or co-manager
of offering? no no no
Name of underwriter or
dealer from which
purchased Salomon Smith Barney, Bear n/a n/a
Stearns, Oppenheimer
Firm commitment? yes yes yes
Trade date/Date of
Offering 10/19/1999 10/28/1999 9/27/1996
Total dollar amount of
offering sold to QIBs $-
Total dollar amount of
any concurrent
public offering $109,440,000.00 $435,748,000 $187,910,000
Total $109,440,000.00 $435,748,000.00 $187,910,000
Public offering price $16.00 $20.00 $23.00
Price paid if other
than public offering
price same n/a n/a
Underwriting spread or
commission $1.12 (7%) $1.25 (6.25%) $1.55 (6.74%)
Shares purchased 600 n/a n/a
$ amount of purchase $9,600.00 n/a n/a
% of offering purchased
by fund 0.00877% n/a n/a
% of offering purchased
by associated funds 0.21784% n/a n/a
Total (must be less
than 25%) 0.22661% n/a n/a
6 of 8
Security Purchased Comparison Security Comparison Security
Issuer Quintus Corporation Kana Communications Onyx Software
Underwriters DLJ, Dain Rausher, SG Cowen, Goldman Sachs, Hambrecht & Credit Suisse First Boston,
DLJdirect, Allen, Bear Stearns, Quist, Wit Capital, and SG Cowen, Piper Jaffray and
DBAB, AG Edwards, First Union, others others (including DBSI)
Goldman Sachs, H&Q, Lehman Bros,
Merrill Lynch, SSB, SoundView
Tech, CE Unterberg Towbin,
Arnhold & S Bleichroeder, Robert
W. Baird, JC Bradford, Chapman
Co, Crowell, Weedon, Fahnestock,
Gerard Klauer Mattison, Gruntal,
Hoak Breedlove Wesneski, Johnston,
Lemon, Kaufman Bros, CL King,
Legg Mason, McDonald Inv, Moors &
Cabot, Nutmeg Sec, Pennsylvania
Merchant Group, Raymond James,
Sanders Morris Mundy, Sands Bros,
Sutro, Tucker Anthony, Piper
Jaffray, Wachovia
Yrs of continuous
oper., incl
predecessors >3 years >3 years >3years
Security QNTS KANA ONXS
Is the affiliate a
manager or co-manager
of offering? no no no
Name of underwriter
or dealer from
which purchased Donaldson, Lufkin & Jenrette n/a n/a
Firm commitment? yes yes yes
Trade date/Offering
Date 11/16/1999 9/22/1999 2/15/1999
Total dollar amount of
offering sold to QIBs $-
Total dollar amount of
any concurrent public
offering $81,000,000.00 $49,500,000 $40,300,000
Total $81,000,000.00 $49,500,000 $40,300,000
Public offering price $18.00 $15.00 $13.00
Price paid if other
than public offering
price same n/a n/a
Underwriting spread or
commission $1.26 (7%) $1.05 (7%) $.91 (7%)
Shares purchased 200 n/a n/a
$ amount of purchase $3,600.00 n/a n/a
% of offering purchased
by fund 0.00444% n/a n/a
% of offering purch
by assoc funds 0.05556% n/a n/a
Total (must be
less than 25%) 0.06000% n/a n/a
7 of 8
Security Purchased Comparison Security Comparison Security
Issuer GetThere.com, Inc. pcOrder Digital River
Underwriters DLJ, SSB, Bear Stearns, WR Goldman Sachs, Credit Suisse BT Alex Brown,
Hambrecht, Allen & Co, Robertson First Boston, SG Cowen, and Bancamerica Robertson
Stephens, DBAB, AG Edwards, First others Stephens, Bear Stearns
Union, SG Cowen, CE Unterberg and others
Towbin, Thomas Weisel, Adams
Harkness & Hill, Robert W Baird,
JC Bradford, Crowell Weedon,
DA Davidson, Fahnstock, Wachovia,
Janney Montgomery Scott, Johnston
Lemon, CL King, Legg Mason,
McDonald Inv, Morgan Keegan,
Needham, Parker/Hunter, Penn
Merchant, Ragen Mackenzie,
Raymond James, Sanders Morris
Mundy, Sands Bros, Scott &
Stringfellow, Seidler, Sutro,
Tucker Anthony
Years of continuous
operation, including
predecessors >3 years >3 years >3 years
Security GTHR PCOR DRIV
Is the affiliate a
manager or co-manager
of offering? no no yes
Name of underwriter or
dealer from which
purchased Donaldson, Lufkin & Jenrette n/a n/a
Firm commitment? yes yes yes
Trade date/Date of
Offering 11/23/1999 2/26/1999 8/11/1998
Total dollar amount
of offering sold to
QIBs - $-
Total dollar amount
of any concurrent
public offering $80,000,000.00 $46,200,000 $25,500,000
Total $80,000,000.00 $46,200,000 $25,500,000
Public offering price $16.00 $21.00 $8.50
Price paid if other
than public offering
price same n/a n/a
Underwriting spread or
commission 1.12 (7)% $1.47 (7%) $.595 (7%)
Shares purchased 300 n/a n/a
$ amount of purchase $4,800.00 n/a n/a
% of offering purchased
by fund 0.00600% n/a n/a
% of offering purchased
by associated funds 0.11200% n/a n/a
Total (must be less
than 25%) 0.11800% n/a n/a
8 of 8
Security Purchased Comparison Security Comparison Security
Issuer Tritel, Inc. Telecorp PCS Triton PCS Holdings
Underwriters Goldman Sachs, Merrill Lynch, Salomon Smith Barney, Lehman Bros., Morgan Stanley, Lehman
Bear Stearns & Co., DLJ, DBAB, Merrill Lynch and others. Bros, Salomon Smith
Banc of America Securities, Barney, First Union
JC Bradford, DBSI, AG Edwards, Securities, JP Morgan
First Union, Guzman & Co., and others
JJB Hilliard WL Lyons,
Edward D Jones & Co., JP Morgan
Securities, Morgan Keagan & Co.,
Raymond James, Robinson-Humphrey,
Stifel Nicolaus & Co, Sun Trust
Equitable, Wit Capital
Years of continuous
operation, including
predecessors >3 >3 >2
Security TTEL TLCP TPCS
Is the affiliate a
manager or co-manager
of offering? Yes yes no
Name of underwriter
or dealer from which
purchased Goldman Sachs n/a n/a
Firm commitment
underwriting? Yes yes yes
Trade date/Date of
Offering 12/13/1999 11/23/1999 10/27/1999
Total dollar amount of
offering sold to QIBs $- $- $-
Total dollar amount of
any concurrent public
offering $168,750,000.00 $184,000,000 $180,000,000
Total $168,750,000.00 $184,000,000 $180,000,000
Public offering price 18.00 20.00 18.00
Price paid if other
than public offering
price same n/a n/a
Underwriting spread or
commission $1.26 (7%) $1.35 (6.75%) $1.26 (7%)
Shares purchased 500 n/a n/a
$ amount of purchase $9,000.00 n/a n/a
% of offering purchased
by fund 0.005% n/a n/a
% of offering purchased
by associated funds 0.349% n/a n/a
Total (must be
less than 25%) 0.354% n/a n/a
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