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Previous: MORGAN STANLEY DEAN WITTER EASTERN EUROPE FUND INC, NSAR-A/A, EX-99, 2000-08-30 |
Next: MORGAN STANLEY DEAN WITTER EASTERN EUROPE FUND INC, NSAR-A/A, EX-99, 2000-08-30 |
<TABLE>
*Morgan Stanley Dean Witter Invesment Management Advised Funds
Rule 10f-3 Transactions (Purchase of Securities by Portfolio From an
Underwriting Syndicate in which an Affiliate is a Member) 1
May 1, 2000 through July 31, 2000
<C> <C> <C> <C> <C>
PRICE
PARTICIPATING TRADE PER AMOUNT
UNDERWRITING PORTFOLIO(s) DATE SHAREPURCHASED
Community Health Systems MSDWIF Small Company Growth 6/8/00 13.00 43,000
EGG PLC UIF International Magnum Portfo6/12/00 1.60 16,300
MSDWIF International Magnum Fund 1.60 45,500
61,800
China Unicom Limited UIF Asian Equity Portfolio 6/15/00 19.99 13,200
UIF Emerging Markets Portfolio 19.99 184,400
MSDWIF Asian Equity Fund 19.99 91,800
MSDWIF Emerging Markets Fund 19.99 969,000
CEF MSDW Emerging Markets Fund 19.99 278,300
1,536,700
ASM Lithography Holding N.UIF Equity Growth Portfolio 6/16/00 38.15 11,000
UIF Technology Portfolio 38.15 14,300
MSDWIF Equity Growth Fund 38.15 88,300
MSDWIF Technology Fund 38.15 34,200
147,800
Telmex ADR UIF Emerging Markets Portfolio 6/19/00 53.25 11,500
MSDWIF Emerging Markets Fund 53.25 53,400
MSDWIF Latin American Fund 53.25 4,900
CEF MSDW Emerging Markets Fund 53.25 15,900
CEF Latin American Discovery Fund 53.25 49,300
135,000
Phoenix Satellite Television
Holdings Ltd. UIF Asian Equity Portfolio 6/25/0HK$ 1.08 79,000
UIF Emerging Markets Portfolio HK$ 1.08 943,000
MSDWIF Asian Equity Fund HK$ 1.08 550,000
MSDWIF Emerging Markets Fund HK$ 1.08 4,978,000
CEF MSDW Eastern Europe Fund HK$ 1.08 2,000,000
CEF MSDW Emerging Markets Fund HK$ 1.08 1,416,000
9,966,000
Stratos Lightwave, Inc. UIF Equity Growth Portfolio 6/26/00 21.00 3,000
UIF Technology Portfolio 21.00 1,100
MSDWIF Equity Growth Fund 21.00 24,300
MSDWIF Focus Equity Fund 21.00 2,800
MSDWIF Small Company Growth 21.00 2,700
MSDWIF Technology Fund 21.00 52,500
86,400
Genuity, Inc. UIF Equity Growth Portfolio 6/27/00 11.00 17,900
UIF Equity Growth Portfolio 11.00 200
UIF Equity Growth Portfolio 11.00 100
UIF Equity Growth Portfolio 11.00 400
UIF Technology Portfolio 11.00 6,000
UIF Technology Portfolio 11.00 12,000
UIF Technology Portfolio 11.00 6,000
UIF Technology Portfolio 11.00 6,000
UIF Technology Portfolio 11.00 1,600
UIF Technology Portfolio 11.00 300
UIF Technology Portfolio 11.00 100
UIF Technology Portfolio 11.00 700
UIF Mid Cap Growth Portfolio 11.00 2,100
MSDWIF Equity Growth Fund 11.00 200
MSDWIF Equity Growth Fund 11.00 1,100
MSDWIF Equity Growth Fund 11.00 3,300
MSDWIF Equity Growth Fund 11.00 143,800
MSDWIF Small Company Growth 11.00 100
MSDWIF Small Company Growth 11.00 300
MSDWIF Small Company Growth 11.00 900
MSDWIF Small Company Growth 11.00 40,600
MSDWIF Technology Fund 11.00 100
MSDWIF Technology Fund 11.00 600
MSDWIF Technology Fund 11.00 1,700
MSDWIF Technology Fund 11.00 16,500
MSDWIF Technology Fund 11.00 28,700
MSDWIF Technology Fund 11.00 30,000
321,300
Capstone Turbine Corp. UIF Equity Growth Portfolio 6/28/00 16.00 1,900
UIF Technology Portfolio 16.00 700
MSDWIF Equity Growth Fund 16.00 14,900
MSDWIF Small Company Growth 16.00 1,700
MSDWIF Technology Fund 16.00 1,600
20,800
Tycom Ltd. UIF Mid Cap Growth Portfolio 7/27/00 32.00 300
PURCHASED AMOUNT OF %
FROM OFFER UW
Merrill Lynch, Montgomery 18,750,000 0.23%
Securities, Hambrecht & Quist,
CS First Boston, Goldman Sachs
Goldman Sachs 148,000,000 0.01%
Goldman Sachs 0.03%
0.04%
Jardine Felmming 233,617,000 0.01%
Jardine Felmming 0.08%
Jardine Felmming 0.04%
Jardine Felmming 0.41%
Jardine Felmming 0.12%
0.66%
Credit Swiss First Boston 60,000,000 0.02%
ABN Amro 0.02%
Goldman Sachs 0.15%
Merrill Lynch 0.06%
0.25%
Salomon Smith Barney 27,649,306 0.04%
Salomon Smith Barney 0.19%
Salomon Smith Barney 0.02%
Salomon Smith Barney 0.06%
Salomon Smith Barney 0.18%
0.49%
Merrill Lynch 727,060,000 0.01%
Merrill Lynch 0.13%
Merrill Lynch 0.08%
Merrill Lynch 0.68%
Merrill Lynch 0.28%
Merrill Lynch 0.19%
1.37%
Lehman 8,750,000 0.03%
CIBC 0.01%
Piper Jaffrey 0.28%
Lehman 0.03%
Lehman 0.03%
Lehman 0.60%
0.98%
Deutsche Bank Securities I 173,913,000 0.01%
Warburg Dillion Read, NY - ETC 0.00%
ABN Amro Inc, Chicago 0.00%
Williams Capital 0.00%
Goldman Sachs, New York 0.00%
Merrill Lynch, New York 0.01%
Bear Stearns, New York 0.00%
Donaldson Lufkin Jenrette, NY 0.00%
Deutsche Bank Securities Inc., NY 0.00%
Warburg Dillion Read, NY - ETC 0.00%
ABN Amro Inc, Chicago 0.00%
Williams Capital 0.00%
Salomon Smith Barney 0.00%
ABN Amro 0.00%
Warburg Dillon Reed 0.00%
Williams Capital 0.00%
Salomon Smith Barney 0.08%
ABN Amro 0.00%
Warburg Dillon Reed 0.00%
Williams Capital 0.00%
Salomon Smith Barney 0.02%
ABN Amro 0.00%
Warburg Dillon Reed 0.00%
Williams Capital 0.00%
Hambrecht & Quist 0.01%
JP Morgan Securities 0.02%
CS First Boston 0.02%
0.17%
Goldman Sachs 9,090,909 0.02%
Goldman Sachs 0.01%
Merrill Lynch 0.16%
Goldman Sachs 0.02%
Merrill Lynch 0.02%
0.23%
Goldman, Sachs & Co. 0.00%
1) All prices in U.S. Dollar unless otherwise noted
2) All transactions were completed in accordance with Rule 10f-3 and Board approved Rule 10f-3 procedures.
* Morgan Stanley Dean Witter Institutional Funds, Inc. ("MSDWIF")
The Universal Institutional Funds, Inc. ("UIF")
The Proprietary Registered Closed-End Funds ("CEF")
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