Securities Purchased Pursuant to Rule 10F3
Smaller Companies Fund January to March 2000
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Security Purchased Comparison Security Comparison Security
Issuer Eloquent, Inc. Primus Knowledge Solutions, Concur Technologies, Inc.
Inc.
Underwriters US Bancorp Piper Jaffray, Banc of BancBoston Robertson Stephens BancBoston Robertson
America Sec, Thomas Weisel, Chase Hambrecht & Quist, US Bancorp Stephens, Hambrecht & Quist,
Sec, CIBC World Markets, DBSI, DLJ, Piper Jaffray, FAC/Equities, US Bancorp Piper Jaffray,
E*Offering, FleetBoston Robertson etc. Volpe Brown Whelan & Co,
Stephens, Lehman Bros, Morgan FAC/Equities, etc.
Stanley, Prudential Sec, Salomon
Smith Barney, SG Cowen,
Nessuah Zannex
Years of continuous
operation, including
predecessors >3 >3 >3
Security ELOQ PKSI CNQR
Is the affiliate a
manager or co-manager
of offering? No No No
Name of underwriter or
dealer from which
purchased US Bancorp Piper Jaffray n/a n/a
Firm commitment? Yes Yes Yes
Trade date/Date of
Offering 2/17/2000 6/30/1999 4/16/1999
Total dollar amount of
offering sold to QIBs $- $- $-
Total dollar amount of
any concurrent public
offering $72,000,000.00 $45,650,000 $134,850,000
Total $72,000,000.00 $45,650,000 $134,850,000
Public offering price 16.00 11.00 43.50
Price paid if other
than public offering
price - n/a n/a
Underwriting spread or
commission $1.12 (7%) $0.77 (7%) $2.28 (5.24%)
Shares purchased 100 n/a n/a
$ amount of purchase $1,600.00 n/a n/a
% of offering purchased
by fund 0.002% n/a n/a
% of offering purchased
by associated funds* 0.013% n/a n/a
Total (Must be less
than 25%) 0.016% n/a n/a
2 of 3 Security Purchased Comparison Security Comparison Security
Issuer Niku Corporation TriZetto Group USInternetworking, Inc.
Underwriters Goldman Sachs, Dain Rauscher, Bear Stearns, DLJ, Adams CS First Boston, Merrill
Thomas Weisel Partners, US Harkness Hill, Wit Capital, Lynch, JP Morgan, Legg Mason,
Bancorp Piper Jaffray, Bear etc., including DBSI E*Offering, CE Unterberg
Stearns, DBSI, First Union, Towbin, Wasserstein Perella,
FleetBoston Robertson Stephens, etc.
JC Bradford, CL King, McDonald
Investment, Sands Bros, Tucker
Anthony, CE Unterberg Towbin,
WR Hambrecht
Years of continuous
operation, including
predecessors >3 >3 >3
Security NIKU TZIX USIX
Is the affiliate a
manager or co-manager
of offering? No No No
Name of underwriter
or dealer from which
purchased Goldman Sachs n/a n/a
Firm commitment? Yes Yes Yes
Trade date/Date of
Offering 2/28/2000 10/7/1999 2/17/2000
Total dollar amount of
offering sold to QIBs $- $- $-
Total dollar amount of
any concurrent
public offering $192,000,000.00 $37,800,000 $378,000,000
Total $192,000,000.00 $37,800,000 $378,000,000
Public offering price 24.00 9.00 63.00
Price paid if other
than public offering
price - n/a n/a
Underwriting spread
or commission $1.68 (7%) $0.63 (7%) $2.99 (4.75%)
Shares purchased 500 n/a n/a
$ amount of purchase $12,000.00 n/a n/a
% of offering purchased
by fund 0.01% n/a n/a
% of offering purchased
by associated funds* 0.08% n/a n/a
Total (Must be less
than 25%) 0.09% n/a n/a
3 of 3 Security Purchased Comparison Security Comparison Security
Issuer Websense, Inc. N2H2, Inc. Webtrends
Underwriters Chase Sec, SG Cowen, Wit CIBC World Markets, US Dain Rauscher Wessels,
SoundView, FleetBoston Robertson Bancorp Piper Jaffray, etc., BancBoston Robertson Stephens,
Stephens, Banc of America Sec, including DBSI SoundView Technology Group,
CIBC World Markets, DBSI, SSB, etc.
Warburg Dillon Read, Crowell
Weedon & Co, Dain Rauscher Wessels,
E*Offering Corp, First Albany,
First Security Van Kasper,
Pacific Crest Sec, Pacific
Growth Sec, Torrey Pines Sec,
Tucker Anthony
Years of continuous
operation, including
predecessors >3 >3 >3
Security WBSN NTWO WEBT
Is the affiliate a
manager or co-manager
of offering? No No No
Name of underwriter or
dealer from which
purchased Chase H&Q n/a n/a
Firm commitment? Yes Yes Yes
Trade date/Date of
Offering 3/27/2000 7/29/1999 5/12/1999
Total dollar amount
of offering sold to
QIBs $- $- $-
Total dollar amount
of any concurrent
public offering $72,000,000.00 $65,000,000 $94,875,000
Total $72,000,000.00 $65,000,000 $94,875,000
Public offering price 18.00 13.00 33.00
Price paid if other
than public offering
price n/a n/a
Underwriting spread or
commission $1.26 (7%) $0.91 (7%) $1.73 (5.24%)
Shares purchased 100 n/a n/a
$ amount of purchase $1,800.00 n/a n/a
% of offering purchased
by fund 0.003% n/a n/a
% of offering purchased
by associated funds* 0.108% n/a n/a
Total (Must be less
than 25%) 0.110% n/a n/a
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