Exhibit 77.o
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Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002
XxXX
Xxxxxxx High Yield Opportunity
---------------------------------------------------------------------------------------------------------------------------------
Security Purchased Comparison Security Comparison Security
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Issuer ENCORE ACQUISITION CO COMPASS MINERALS GROUP XXXXXXX ENTERPRISES
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Underwriters DBSI, CSFB, BNP, Comercia Bank, Credit Suisse, XX Xxxxxx, Bank of America, DBAB, Credit
Fleet Bank, Fortis, Frost Credit Lyonnais, DBAB Lyonnais, Suntrust Bank
Securities, Xxxxxxx Xxxxx,
Wachovia Bank
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Years of continuous > 3 years > 3 years > 3 years
operation, including
predecessors
---------------------------------------------------------------------------------------------------------------------------------
Security EAC 8.375%,6/15/2012 COMPAS 10%,8/15/2011 STEI 10.75%,7/1/2008
---------------------------------------------------------------------------------------------------------------------------------
Is the affiliate a manager Co-Manager Co-Manager Co-Manager
or co-manager of offering?
---------------------------------------------------------------------------------------------------------------------------------
Name of underwriter or CSFB N/A N/A
dealer from which purchased
---------------------------------------------------------------------------------------------------------------------------------
Firm commitment Yes Yes Yes
underwriting?
---------------------------------------------------------------------------------------------------------------------------------
Trade date/Date of Offering 6/19/2002 11/15/2001 6/19/2001
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of
offering sold to QIBs $150,000,000.00 $250,000,000.00 $300,000,000.00
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of any $0.00 $0.00 $0.00
concurrent public offering
---------------------------------------------------------------------------------------------------------------------------------
Total $150,000,000.00 $250,000,000.00 $300,000,000.00
---------------------------------------------------------------------------------------------------------------------------------
Public offering price $100.00 $100.00 $100.00
---------------------------------------------------------------------------------------------------------------------------------
Price paid if other than
public offering price N/A N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
Underwriting spread or 2.50% 2.60% 2.75%
commission
---------------------------------------------------------------------------------------------------------------------------------
Rating B2/B B3/B B2/B
---------------------------------------------------------------------------------------------------------------------------------
Current yield 8.38% 10.00% 10.75%
---------------------------------------------------------------------------------------------------------------------------------
Total par value purchased 95,000 N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
$ amount of purchase $95,000.00 N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by
fund 0.06% N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 0.64% N/A N/A
associated funds
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Total 0.70% N/A N/A
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Name of Fund Xxxxxxx High Yield Opportunity
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Security Purchased Comparison Security Comparison Security
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Cusip 000000XX0 00000XXX0 827048AC
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Issuer GREIF BROS CORPORATION COMPASS MINERALS GROUP SILGAN HOLDINGS INC
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Underwriters DBSI, Salomon, Huntington Corp, Credit Suisse, XX Xxxxxx, DBAB, Morgan Stanley, Salomon,
ING, Keybank, Xxxxxxx, Natcity,
Suntrust, US Bancorp Credit Lyonnais, DBAB Fleet
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Years of continuous > 3 years > 3 years > 3 years
operation, including
predecessors
---------------------------------------------------------------------------------------------------------------------------------
Security GBCOA 8.875%,8/1/2012 COMPAS 10%,8/15/2011 SLGN 9%,6/1/2009
---------------------------------------------------------------------------------------------------------------------------------
Is the affiliate a manager Joint Lead C0-Man Jt-Lead
or co-manager of offering?
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Name of underwriter or
dealer from which purchased Salomon Brothers n/a n/a
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Firm commitment yes yes yes
underwriting?
---------------------------------------------------------------------------------------------------------------------------------
Trade date/Date of Offering 7/25/2002 11/15/2001 4/23/2002
---------------------------------------------------------------------------------------------------------------------------------
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Total dollar amount of $250,000,000 $250,000,000 $200,000,000
offering sold to QIBs
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of any $ - $- $ -
concurrent public offering
---------------------------------------------------------------------------------------------------------------------------------
Total $250,000,000 $250,000,000 $200,000,000
---------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------------
Public offering price 99.19 100.00 103.00
---------------------------------------------------------------------------------------------------------------------------------
Price paid if other than n/a n/a n/a
public offering price
---------------------------------------------------------------------------------------------------------------------------------
Underwriting spread or 2.08% 2.6% 1.75%
commission
---------------------------------------------------------------------------------------------------------------------------------
Rating B2/B+ B3/B B1/B
---------------------------------------------------------------------------------------------------------------------------------
Current yield 8.95% 10.00% 8.74%
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Total par value purchased 405,000 n/a n/a
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$ amount of purchase 401,703 n/a n/a
---------------------------------------------------------------------------------------------------------------------------------
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 0.16% n/a n/a
fund
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 3.82% n/a n/a
associated funds
---------------------------------------------------------------------------------------------------------------------------------
Total 3.98% n/a n/a
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Rule 10f-3 Acquisition of Securities from an Affiliate - July 1, 2002 through September 30, 2002
Xxxxxxx High Yield Opportunity
---------------------------------------------------------------------------------------------------------------------------------
Security Purchased Comparison Security Comparison Security
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Issuer JEFFERSON SMURFIT CORP SILGAN HOLDINGS INC KANSAS CITY SOUTHERN
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Underwriters Xxxxxx Xxxxxxx, Bank of America, DBAB, Xxxxxx Xxxxxxx, Xxxxxx Xxxxxxx, Banc One, DBSI, JP
DBSI, XX Xxxxxx, Xxxxxxx, Bank Salomon, Fleet Bank Xxxxxx, Scotia Capital
of New York, Scotia Capital, XX
Xxxxx
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Years of continuous > 3 years > 3 years > 3 years
operation, including
predecessors
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Security SSCC 8.25%, 10/1/2012 SLGN 9%, 6/1/2009 KSU 7.5%, 6/15/2009
---------------------------------------------------------------------------------------------------------------------------------
Is the affiliate a manager Co-Manager Co-Manager Co-Manager
or co-manager of offering?
---------------------------------------------------------------------------------------------------------------------------------
Name of underwriter or Xxxxxx Xxxxxxx N/A N/A
dealer from which purchased
---------------------------------------------------------------------------------------------------------------------------------
Firm commitment Yes Yes Yes
underwriting?
---------------------------------------------------------------------------------------------------------------------------------
Trade date/Date of Offering 9/10/2002 4/23/2002 6/5/2002
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of $700,000,000 $200,000,000 $200,000,000
offering sold to QIBs
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of any $0 $0 $0
concurrent public offering
---------------------------------------------------------------------------------------------------------------------------------
Total $700,000,000 $200,000,000 $200,000,000
---------------------------------------------------------------------------------------------------------------------------------
Public offering price $100 $103 $100
---------------------------------------------------------------------------------------------------------------------------------
Price paid if other than N/A N/A N/A
public offering price
---------------------------------------------------------------------------------------------------------------------------------
Underwriting spread or 1.50% 1.75% 1.75%
commission
---------------------------------------------------------------------------------------------------------------------------------
Rating B2/B B1/B Ba2/BB-
---------------------------------------------------------------------------------------------------------------------------------
Current yield 8.25% 8.74% 7.50%
---------------------------------------------------------------------------------------------------------------------------------
Total par value purchased $50,000 N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
$ amount of purchase $50,000 N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 0.01% N/A N/A
fund
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 0.47% N/A N/A
associated funds
---------------------------------------------------------------------------------------------------------------------------------
Total 0.48% N/A N/A
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Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002
XxXX
Xxxxxxx High Yield Opportunity
---------------------------------------------------------------------------------------------------------------------------------
Security Purchased Comparison Security Comparison Security
---------------------------------------------------------------------------------------------------------------------------------
Issuer KANSAS CITY SOUTHERN LAND O LAKES INC STATION CASINOS INC
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Underwriters Xxxxxx Xxxxxxx, Banc One, DBSI, XX Xxxxxx, Bank of Tokyo, Bank of America, DBAB, Dresdner
XX Xxxxxx, Scotia Capital Suntrust, US Bancorp Kleinwort Xxxxxxxxxxx, Bear Xxxxxxx,
CIBC World, Xxxxx Fargo, ABN Amro
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Years of continuous > 3 years > 3 years > 3 years
operation, including
predecessors
---------------------------------------------------------------------------------------------------------------------------------
Security KSU 7.5%,6/15/2009 LLAKES 8.75%, 11/15/2011 STN 8.375,% 2/15/2008
---------------------------------------------------------------------------------------------------------------------------------
Is the affiliate a manager Co-Manager N/A Co-Manager
or co-manager of offering?
---------------------------------------------------------------------------------------------------------------------------------
Name of underwriter or
dealer from which purchased Xxxxxx Xxxxxxx N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
Firm commitment Yes Yes Yes
underwriting?
---------------------------------------------------------------------------------------------------------------------------------
Trade date/Date of Offering 6/5/2002 11/8/2001 2/2/2001
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of
offering sold to QIBs $200,000,000.00 $350,000,000.00 $0.00
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of any $0.00 $0.00 $400,000,000.00
concurrent public offering
---------------------------------------------------------------------------------------------------------------------------------
Total $200,000,000.00 $350,000,000.00 $400,000,000.00
---------------------------------------------------------------------------------------------------------------------------------
Public offering price $100.00 $100.00 $100.00
---------------------------------------------------------------------------------------------------------------------------------
Price paid if other than
public offering price N/A N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
Underwriting spread or 1.75% 2.00% 1.50%
commission
---------------------------------------------------------------------------------------------------------------------------------
Rating Ba2/BB- Ba3/BB Ba3/BB-
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Current yield 7.50% 8.75% 8.375%
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Total par value purchased 230,000 N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
$ amount of purchase $230,000.00 N/A N/A
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% of offering purchased by
fund 0.12% N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 3.35% N/A N/A
associated funds
---------------------------------------------------------------------------------------------------------------------------------
Total 3.47% N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
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Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002
XxXX
Xxxxxxx High Yield Opportunity
---------------------------------------------------------------------------------------------------------------------------------
Security Purchased Comparison Security Comparison Security
---------------------------------------------------------------------------------------------------------------------------------
Issuer METALDYNE CORP SUN INTERNATIONAL HOTELS ENCOMPASS SERVICES CORP
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Underwriters CSFB, DBSI, XX Xxxxxx, Comercia Bear Xxxxxxx, DBAB XX Xxxxxx, Bank of America, Banc
Sec., Naionalt City Investments, One, Credit Lyonnais, Credit Suisse,
Wachovia Bank DBAB, First Union Bank, Xxxxxxx
Xxxxx, Xxxxxxx Xxxxx Xxxxxx
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Years of continuous > 3 years > 3 years > 3 years
operation, including
predecessors
---------------------------------------------------------------------------------------------------------------------------------
Security METALD 11%,6/15/2012 SIHUS 8.875,% 8/15/2011 ESR 10.5%,5/1/2009
---------------------------------------------------------------------------------------------------------------------------------
Is the affiliate a manager Co-Manager Co-Manager Co-Manager
or co-manager of offering?
---------------------------------------------------------------------------------------------------------------------------------
Name of underwriter or
dealer from which purchased CSFB N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
Firm commitment Yes Yes Yes
underwriting?
---------------------------------------------------------------------------------------------------------------------------------
Trade date/Date of Offering 6/13/2002 8/9/2001 6/14/2001
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of
offering sold to QIBs $250,000,000.00 $200,000,000.00 $135,000,000.00
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of any $0.00 $0.00 $0.00
concurrent public offering
---------------------------------------------------------------------------------------------------------------------------------
Total $250,000,000.00 $200,000,000.00 $135,000,000.00
---------------------------------------------------------------------------------------------------------------------------------
Public offering price $100.00 $100.00 $98.26
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Price paid if other than
public offering price N/A N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
Underwriting spread or 3.00% 3.00% 3.00%
commission
---------------------------------------------------------------------------------------------------------------------------------
Rating B3/B Ba3 /B+ B2/B+
---------------------------------------------------------------------------------------------------------------------------------
Current yield 11.00% 8.88% 10.84%
---------------------------------------------------------------------------------------------------------------------------------
Total par value purchased 405,000 N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
$ amount of purchase $405,000.00 N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 0.16% N/A N/A
fund
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 4.54% N/A N/A
associated funds
---------------------------------------------------------------------------------------------------------------------------------
Total 4.70% N/A N/A
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Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002
XxXX
Xxxxxxx Income Fund
---------------------------------------------------------------------------------------------------------------------------------
Security Purchased Comparison Security Comparison Security
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Issuer ARVINMERITOR XXXX CORPORATION SMITHFIELD FOODS INC
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Underwriters DBSI,Xxxxxxx Xxxxx, BofA, Banc DBAB, XX Xxxxxx, BancofA, XX Xxxxxx
Bony, Credit Suisse, HSBC,
One, Comercia, Credit Lyonnais, Salomon, BNP, Comerica, First
HSBC Securities, UBS Union, XxXxxxxx, XX, UBS
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Years of continuous > 3 years > 3 years > 3 years
operation, including
predecessors
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Security ARM 6.625%,6/15/2007 DCN 9%, 8/15/2011 SFD 8%, 10/15/2009
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Is the affiliate a manager Manager Co-Manager n/a
or co-manager of offering?
---------------------------------------------------------------------------------------------------------------------------------
Name of underwriter or Xxxxxxx Xxxxx n/a n/a
dealer from which purchased
---------------------------------------------------------------------------------------------------------------------------------
Firm commitment yes yes yes
underwriting?
---------------------------------------------------------------------------------------------------------------------------------
Trade date/Date of Offering 6/26/2002 8/1/2001 10/17/2001
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of $- $575,000,000 $300,000,000
offering sold to QIBs
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of any $200,000,000 $-
concurrent public offering
---------------------------------------------------------------------------------------------------------------------------------
Total $200,000,000 $575,000,000 $300,000,000
---------------------------------------------------------------------------------------------------------------------------------
Public offering price 99.68 100.00 100.00
---------------------------------------------------------------------------------------------------------------------------------
Price paid if other than n/a n/a n/a
public offering price
---------------------------------------------------------------------------------------------------------------------------------
Underwriting spread or 1.375% 1.625% 1.50%
commission
---------------------------------------------------------------------------------------------------------------------------------
Rating Baa3/BBB- Ba1/BBB- Ba2/BB+
---------------------------------------------------------------------------------------------------------------------------------
Current yield 6.65% 9.00% 8.00%
---------------------------------------------------------------------------------------------------------------------------------
Total par value purchased 3,125,000 n/a n/a
---------------------------------------------------------------------------------------------------------------------------------
$ amount of purchase 3,115,125 n/a n/a
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 1.56% n/a n/a
fund
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 3.14% n/a n/a
associated funds
---------------------------------------------------------------------------------------------------------------------------------
Total 4.705% n/a n/a
---------------------------------------------------------------------------------------------------------------------------------
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Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002
XxXX
Xxxxxxx Income Fund
---------------------------------------------------------------------------------------------------------------------------------
Security Purchased Comparison Security Comparison Security
---------------------------------------------------------------------------------------------------------------------------------
Issuer ENCORE ACQUISITION CO COMPASS MINERALS GROUP XXXXXXX ENTERPRISES
---------------------------------------------------------------------------------------------------------------------------------
Underwriters DBSI,CSFB,BNP,Comercia Credit Suisse, XX Xxxxxx,BofA, DBAB, Credit Lyonnais, Suntrust
Bank,Fleet,Fortis,Frost Credit Lyonnais, DBAB
Securities,Goldman,Wachovia
---------------------------------------------------------------------------------------------------------------------------------
Years of continuous > 3 years > 3 years > 3 years
operation, including
predecessors
---------------------------------------------------------------------------------------------------------------------------------
Security EAC 8.375%,6/15/2012 COMPAS 10%,8/15/2011 STEI 10.75%,7/1/2008
---------------------------------------------------------------------------------------------------------------------------------
Is the affiliate a manager Co-Manager Co-Manager Co-Manager
or co-manager of offering?
---------------------------------------------------------------------------------------------------------------------------------
Name of underwriter or CSFB n/a n/a
dealer from which purchased
---------------------------------------------------------------------------------------------------------------------------------
Firm commitment yes yes yes
underwriting?
---------------------------------------------------------------------------------------------------------------------------------
Trade date/Date of Offering 6/19/2002 11/15/2001 6/19/2001
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of $150,000,000 $250,000,000 $300,000,000
offering sold to QIBs
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of any $- $- $-
concurrent public offering
---------------------------------------------------------------------------------------------------------------------------------
Total $150,000,000 $250,000,000 $300,000,000
---------------------------------------------------------------------------------------------------------------------------------
Public offering price 100.00 100.00 100.00
---------------------------------------------------------------------------------------------------------------------------------
Price paid if other than
public offering price n/a n/a n/a
---------------------------------------------------------------------------------------------------------------------------------
Underwriting spread or 2.50% 2.6% 2.75%
commission
---------------------------------------------------------------------------------------------------------------------------------
Rating B2/B B3/B B2/B
---------------------------------------------------------------------------------------------------------------------------------
Current yield 8.38% 10.00% 10.75%
---------------------------------------------------------------------------------------------------------------------------------
Total par value purchased 55,000 n/a n/a
---------------------------------------------------------------------------------------------------------------------------------
$ amount of purchase 55,000 n/a n/a
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by
fund 0.04% n/a n/a
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by
associated funds 0.66% n/a n/a
---------------------------------------------------------------------------------------------------------------------------------
Total 0.70% n/a n/a
---------------------------------------------------------------------------------------------------------------------------------
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Rule 10f-3 Acquisition of Securities from an Affiliate - July 1, 2002 through September 30, 2002
Xxxxxxx Income Fund
---------------------------------------------------------------------------------------------------------------------------------
Security Purchased Comparison Security Comparison Security
---------------------------------------------------------------------------------------------------------------------------------
Issuer XXXXX BROS CORPORATION COMPASS MINERALS GROUP METALDYNE CORP
---------------------------------------------------------------------------------------------------------------------------------
Underwriters DBSI, Salomon, Huntington, ING, Credit Suisse, XX Xxxxxx, CSFB, DBSI, XX Xxxxxx, Comercia,
Keybank, Xxxxxxx, Natcity, Credit Lyonnais, DBSI Natcity, Wachovia
Suntrust, US Bancorp
---------------------------------------------------------------------------------------------------------------------------------
Years of continuous > 3 years > 3 years > 3 years
operation, including
predecessors
---------------------------------------------------------------------------------------------------------------------------------
Security GBCOA 8.875%, 8/1/2012 COMPAS 10%, 8/15/2011 METALD 11%, 6/15/2012
---------------------------------------------------------------------------------------------------------------------------------
Is the affiliate a manager Joint Lead Co-Manager Joint Lead
or co-manager of offering?
---------------------------------------------------------------------------------------------------------------------------------
Name of underwriter or Xxxxxxx X/A N/a
dealer from which purchased
---------------------------------------------------------------------------------------------------------------------------------
Firm commitment Yes Yes Yes
underwriting?
---------------------------------------------------------------------------------------------------------------------------------
Trade date/Date of Offering 7/25/2002 11/15/2001 6/13/2002
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of $250,000,000 $250,000,000 $250,000,000
offering sold to QIBs
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of any $0 $0 $0
concurrent public offering
---------------------------------------------------------------------------------------------------------------------------------
Total $250,000,000 $250,000,000 $250,000,000
---------------------------------------------------------------------------------------------------------------------------------
Public offering price 99.19 100.00 100.00
---------------------------------------------------------------------------------------------------------------------------------
Price paid if other than N/A N/A N/A
public offering price
---------------------------------------------------------------------------------------------------------------------------------
--------------------------------------
Underwriting spread or 2.08% 2.60% 3.00%
commission
---------------------------------------------------------------------------------------------------------------------------------
Rating B2/B+ B3/B B3/B
---------------------------------------------------------------------------------------------------------------------------------
Current yield 8.95% 10.00% 11.00%
---------------------------------------------------------------------------------------------------------------------------------
Total par value purchased $85,000 N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
$ amount of purchase $84,308 N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 0.03% N/A N/A
fund
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 3.95% N/A N/A
associated funds
---------------------------------------------------------------------------------------------------------------------------------
Total 3.98% N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
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Rule 10f-3 Acquisition of Securities from an Affiliate - July 1, 2002 through September 30, 2002
Xxxxxxx Income Fund
---------------------------------------------------------------------------------------------------------------------------------
Security Purchased Comparsion Security Comparison Security
---------------------------------------------------------------------------------------------------------------------------------
Issuer JEFFERSON SMURFIT CORP SILGAN HOLDINGS INC KANSAS CITY SOUTHERN
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Underwriters Xxxxxx Xxxxxxx, Bank of America, DBAB, Xxxxxx Xxxxxxx, Xxxxxx Xxxxxxx, Banc One, DBSI, JP
DBSI, XX Xxxxxx, Xxxxxxx, Bank Salomon, Fleet Bank Xxxxxx, Scotia Capital
of New York, Scotia Capital, XX
Xxxxx
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Years of continuous > 3 years > 3 years > 3 years
operation, including
predecessors
---------------------------------------------------------------------------------------------------------------------------------
Security SSCC 8.25%, 10/1/2012 SLGN 9%, 6/1/2009 KSU 7.5%, 6/15/2009
---------------------------------------------------------------------------------------------------------------------------------
Is the affiliate a manager Co-Manager Co-Manager Co-Manager
or co-manager of offering?
---------------------------------------------------------------------------------------------------------------------------------
Name of underwriter or Xxxxxx Xxxxxxx N/A N/A
dealer from which purchased
---------------------------------------------------------------------------------------------------------------------------------
Firm commitment Yes Yes Yes
underwriting?
---------------------------------------------------------------------------------------------------------------------------------
Trade date/Date of Offering 9/10/2002 4/23/2002 6/5/2002
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of $700,000,000 $200,000,000 $200,000,000
offering sold to QIBs
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of any $0 $0 $0
concurrent public offering
---------------------------------------------------------------------------------------------------------------------------------
Total $700,000,000 $200,000,000 $200,000,000
---------------------------------------------------------------------------------------------------------------------------------
Public offering price $100 $103 $100
---------------------------------------------------------------------------------------------------------------------------------
Price paid if other than N/A N/A N/A
public offering price
---------------------------------------------------------------------------------------------------------------------------------
Underwriting spread or 1.50% 1.75% 1.75%
commission
---------------------------------------------------------------------------------------------------------------------------------
Rating B2/B B1/B Ba2/BB-
---------------------------------------------------------------------------------------------------------------------------------
Current yield 8.25% 8.74% 7.50%
---------------------------------------------------------------------------------------------------------------------------------
Total par value purchased $585,000 N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
$ amount of purchase $585,000 N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 0.08% N/A N/A
fund
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 0.40% N/A N/A
associated funds
---------------------------------------------------------------------------------------------------------------------------------
Total 0.48% N/A N/A
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Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002
XxXX
Xxxxxxx Income Fund
---------------------------------------------------------------------------------------------------------------------------------
Security Purchased Comparison Security Comparison Security
---------------------------------------------------------------------------------------------------------------------------------
Issuer KANSAS CITY SOUTHERN LAND O LAKES INC STATION CASINOS INC
---------------------------------------------------------------------------------------------------------------------------------
Underwriters Xxxxxx Xxxxxxx,Banc One,DBSI,JP XX Xxxxxx, Bank of Tokyo, BofA, DBAB, Dresdner Kleinwort
Morgan,Scotia Capital Suntrust, US Bancorp Xxxxxxxxxxx, Bear Xxxxxxx, CIBC
World, Xxxxx Fargo, ABN Amro
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Years of continuous > 3 years > 3 years > 3 years
operation, including
predecessors
---------------------------------------------------------------------------------------------------------------------------------
Security KSU 7.5%,6/15/2009 LLAKES 8.75%, 11/15/2011 STN 8.375,% 2/15/2008
---------------------------------------------------------------------------------------------------------------------------------
Is the affiliate a manager Co-Manager n/a Co-Manager
or co-manager of offering?
---------------------------------------------------------------------------------------------------------------------------------
Name of underwriter or
dealer from which purchased Xxxxxx Xxxxxxx n/a n/a
---------------------------------------------------------------------------------------------------------------------------------
Firm commitment yes yes yes
underwriting?
---------------------------------------------------------------------------------------------------------------------------------
Trade date/Date of Offering 6/5/2002 11/8/2001 2/2/2001
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of $200,000,000 $350,000,000
offering sold to QIBs
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of any $- $- $400,000,000
concurrent public offering
---------------------------------------------------------------------------------------------------------------------------------
Total $200,000,000 $350,000,000 $400,000,000
---------------------------------------------------------------------------------------------------------------------------------
Public offering price 100.00 100.00 100.00
---------------------------------------------------------------------------------------------------------------------------------
Price paid if other than
public offering price n/a n/a n/a
---------------------------------------------------------------------------------------------------------------------------------
Underwriting spread or 1.75% 2% 1.50%
commission
---------------------------------------------------------------------------------------------------------------------------------
Rating Ba2/BB- Ba3/BB Ba3/BB-
---------------------------------------------------------------------------------------------------------------------------------
Current yield 7.50% 8.75% 8.375%
---------------------------------------------------------------------------------------------------------------------------------
Total par value purchased 90,000 n/a n/a
---------------------------------------------------------------------------------------------------------------------------------
$ amount of purchase 90,000 n/a n/a
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by
fund 0.05% n/a n/a
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 3.42% n/a n/a
associated funds
---------------------------------------------------------------------------------------------------------------------------------
Total 3.468% n/a n/a
---------------------------------------------------------------------------------------------------------------------------------
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Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002
XxXX
Xxxxxxx Income Fund
------------------------------------------------------------------------------------------------------------------------------------
Security Purchased Comparison Security Comparison Security
------------------------------------------------------------------------------------------------------------------------------------
Issuer METALDYNE CORP SUN INTERNATIONAL HOTELS ENCOMPASS SERVICES CORP
------------------------------------------------------------------------------------------------------------------------------------
Underwriters CSFB,DBSI,XX Xxxxxx,Comercia Sec.,Xxx Xxxx Xxxxxxx, DBAB XX Xxxxxx, BofA, Banc One, Credit
City Invest. Xxxxxxxx Xxxxxxxx, Credit Suisse, DBAB, First
Union, Xxxxxxx, Xxxxxxx Xxxxx
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Years of continuous > 3 years > 3 years > 3 years
operation, including
predecessors
-----------------------------------------------------------------------------------------------------------------------------------
Security METALD 11%,6/15/2012 SIHUS 8.875,% 8/15/2011 ESR 10.5%,5/1/2009
-----------------------------------------------------------------------------------------------------------------------------------
Is the affiliate a manager Co-Manager Co-Manager Co-Manager
or co-manager of offering?
-----------------------------------------------------------------------------------------------------------------------------------
Name of underwriter or
dealer from which purchased CSFB n/a n/a
-----------------------------------------------------------------------------------------------------------------------------------
Firm commitment underwriting? yes yes yes
-----------------------------------------------------------------------------------------------------------------------------------
Trade date/Date of Offering 6/13/2002 8/9/2001 6/14/2001
-----------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of
offering sold to QIBs $250,000,000 $200,000,000 $135,000,000
-----------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of any $- $-
concurrent public offering
-----------------------------------------------------------------------------------------------------------------------------------
Total $250,000,000 $200,000,000 $135,000,000
-----------------------------------------------------------------------------------------------------------------------------------
Public offering price 100.00 100.00 98.26
-----------------------------------------------------------------------------------------------------------------------------------
Price paid if other than n/a n/a n/a
public offering price
-----------------------------------------------------------------------------------------------------------------------------------
Underwriting spread or 3% 3% 3%
commission
-----------------------------------------------------------------------------------------------------------------------------------
Rating B3/B Ba3 /B+ B2/B+
-----------------------------------------------------------------------------------------------------------------------------------
Current yield 11.00% 8.88% 10.84%
-----------------------------------------------------------------------------------------------------------------------------------
Total par value purchased 165,000 n/a n/a
-----------------------------------------------------------------------------------------------------------------------------------
$ amount of purchase 165,000 n/a n/a
-----------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 0.07% n/a n/a
fund
-----------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 4.63% n/a n/a
associated funds
-----------------------------------------------------------------------------------------------------------------------------------
Total 4.70% n/a n/a
-----------------------------------------------------------------------------------------------------------------------------------
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Rule 10f-3 Acquisition of Securities from an Affiliate - July 1, 2002 through September 30, 2002
Xxxxxxx Income Fund
---------------------------------------------------------------------------------------------------------------------------------
Security Purchased Comparison Security Comparison Security
---------------------------------------------------------------------------------------------------------------------------------
Issuer WFS FINANCIAL OWNER TRUST MMCA AUTOMOBILE TRUST ANRC AUTO OWNER TRUST
---------------------------------------------------------------------------------------------------------------------------------
Underwriters Salomon, Bank of America, CSFB, XX Xxxxxx, DBSI, Xxxxxxx, Bank of America, First Union, JP
DBSI Xxxxxx Xxxxxxx, Xxxxxxx Xxxxxx, Xxxxxxx
---------------------------------------------------------------------------------------------------------------------------------
Years of continuous > 3 years > 3 years > 3 years
operation, including
predecessors
---------------------------------------------------------------------------------------------------------------------------------
Security WESTO 3.5%, 2/20/2010 MMCA 2.88875%, 4/16/2007 ANRC 4.32%, 6/16/2008
---------------------------------------------------------------------------------------------------------------------------------
Is the affiliate a manager Co-Manager Co-Manager N/A
or co-manager of offering?
---------------------------------------------------------------------------------------------------------------------------------
Name of underwriter or Xxxxxxx X/A N/A
dealer from which purchased
---------------------------------------------------------------------------------------------------------------------------------
Firm commitment Yes Yes Yes
underwriting?
---------------------------------------------------------------------------------------------------------------------------------
Trade date/Date of Offering 8/8/2002 10/3/2001 9/21/0/1
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of $0.00 $0.00 $0.00
offering sold to QIBs
---------------------------------------------------------------------------------------------------------------------------------
Total dollar amount of any $278,125,000 $339,400,000 $163,000
concurrent public offering
---------------------------------------------------------------------------------------------------------------------------------
Total $278,125,000 $339,400,000 $163,000
---------------------------------------------------------------------------------------------------------------------------------
Public offering price $99.98 $100.00 $99.99
---------------------------------------------------------------------------------------------------------------------------------
Price paid if other than N/A N/A N/A
public offering price
---------------------------------------------------------------------------------------------------------------------------------
Underwriting spread or 2.20% 2.45% 2.50%
commission
---------------------------------------------------------------------------------------------------------------------------------
Rating Aaa/AAA Aaa/AAA Aaa/AAA
---------------------------------------------------------------------------------------------------------------------------------
Current yield 3.50% 2.89% 4.32%
---------------------------------------------------------------------------------------------------------------------------------
Total par value purchased $11,220,000 N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
$ amount of purchase $11,217,848 N/A N/A
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 4.03% N/A N/A
fund
---------------------------------------------------------------------------------------------------------------------------------
% of offering purchased by 2.00% N/A N/A
associated funds
---------------------------------------------------------------------------------------------------------------------------------
Total 6.03% N/A N/A
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