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Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002
XxXX
GROWTH OPPORTUNITY FUND
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Security Purchased Comparison Security Comparison Security
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Issuer AMN HEALTHCARE SERVICES, INC. CROSS COUNTRY, INC. EXULT, INC.
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Underwriters BofA, XX Xxxxxx, UBS, Suntrust Merrill, Salomon, Merrill, Goldman, Salomon,
Capital Markets, Xxxxx Fargo, CIBC BofA, CIBC World BofA, Bear Xxxxxxx, Lazard
World Markets, CS First Boston, Markets, Suntrust Freres, Xxxxxxxxx Xxxxxxxx,
Deutsche Bank, First Southwest, Capital Markets US Bancorp Xxxxx Xxxxxxx,
Xxxxxx Brothers, Xxxxxxx, Xxxxxxx Xxxxxx X. Xxxxx & Co.,
Jolston Merchant Partners,
Xxxxxxxxx Xxxxxx, Xxxx
Capital Partners, XX
Xxxxxxxxx Xxxxxx, Xxxxxxxx
Capital Partners
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Years of continuous operation, >3 Years >3 Years >3 Years
including predecessors
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Security Common Stock Common Stock Common Stock
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Is the affiliate a manager or No n/a n/a
co-manager of offering?
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Name of underwriter or dealer from Bank of America n/a n/a
which purchased
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Firm commitment underwriting? Yes Yes Yes
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Trade date/Date of Offering 5/17/2002 3/26/2002 8/1/2001
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Total dollar amount of offering sold $ 310,000,000.00 $ 240,750,000 $ 160,080,000
to QIBs
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Total dollar amount of any concurrent n/a n/a n/a
public offering
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Total $ 310,000,000 $ 240,750,000 $ 160,080,000
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Public offering price $ 31.00 $ 26.75 $ 13.34
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Price paid if other than public same n/a n/a
offering price
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First Day Close $33.00 (+6.45%) n/a n/a
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Unrealized gain/loss at 6/30/02 $2,807 (12.93%) n/a n/a
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Underwriting spread or commission $1.519 (4.90%) $1.34 (5.01%) $0.68 (5.1%)
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Shares purchased 700 n/a n/a
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Amount of purchase $ 21,700.00 n/a n/a
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% of offering purchased by fund 0.0070% n/a n/a
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% of offering purchased by associated 1.44% n/a n/a
funds
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Total (must be less than 25%) 1.45% 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
GROWTH OPPORTUNITY FUND
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Security Purchased Comparison Security Comparison Security
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Issuer AEROPOSTALE, INC. XXXXX*S CORP. COACH, INC.
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Underwriters Bear Stearns, Merrill, BofA, US Bancorp US Bancorp Xxxxx Xxxxxxx, Xxxxxxx Xxxxx, Xxxxxx
Xxxxx Jaffray, First Union, CIBC World Lazard Freres & Co. Xxxxxxx, Prudential, XX Xxxx
Markets, CS First Boston, Xxxxxxxx & & Co., Bear Xxxxxxx, Xxxxxxx
Co., Lazard Freres & Co., XX Xxxxxx, Xxxxx & Co., Xxxxxxx & Co.,
Prudential, RBC Xxxx Xxxxxxxx, UBS, Salomon, Wachovia, The
Xxxxxx Xxxxxx Partners, Investec PMG Xxxxxxxx Capital Group
Capital, Buckingham Research Group,
C.T. Unterberg, Towbin, Chatsworth,
Friedman, Billings, Xxxxxx & Co.,
Xxxxxx Xxxxxx Xxxxxxxx & Co., Ladenburg
Xxxxxxxx & Co., Xxxxxxxxx & Xxxxxx,
Suntrust Capital Markets, Wedbush
Xxxxxx, Xxxxxxx Xxxxx & Company
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Years of continuous operation, >3 Years >3 Years >3 Years
including predecessors
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Security Common Stock Common Stock Common Stock
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Is the affiliate a manager or No n/a n/a
co-manager of offering?
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Name of underwriter or dealer US Bancorp Xxxxx Xxxxxxx n/a n/a
from which purchased
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Firm commitment underwriting? Yes Yes Yes
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Trade date/Date of Offering 5/15/2002 6/15/2001 10/11/2000
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Total dollar amount of offering $ 255,000,000.00 $ 27,500,000.00 $ 118,050,000.00
sold to QIBs
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Total dollar amount of any n/a n/a n/a
concurrent public offering
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Total $ 255,000,000 $ 27,500,000 $ 118,050,000
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Public offering price $ 18.00 $ 5.50 $ 16.00
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Price paid if other than public same n/a n/a
offering price
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First Day Close $27.75 (+54.17%) n/a n/a
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Realized gain/loss on sale of $1,967 (54.63%) n/a n/a
security
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Underwriting spread or commission $1.26 (7.00%) $0.33 (6.00%) $1.12 (7.00%)
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Shares purchased 200 n/a n/a
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Amount of purchase $ 3,600.00 n/a n/a
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% of offering purchased by fund 0.0014% n/a n/a
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% of offering purchased by 1.21% n/a n/a
associated funds
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Total (must be less than 25%) 1.21% n/a n/a
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