Exhibit 77.o
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Rule 10f-3 Acquisition of Securities from an Affiliate - April 1, 2002 through June 30, 2002
XxXX
SMALLCAP FUND, INC.
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Security Purchased Comparison Security Comparison Security
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Issuer Altiris, Inc. Netflix, Inc. Commerce One, Inc.
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Underwriters CS First Boston, Deutsche Bank, Xxxxxxx Xxxxx, Xxxxxx Xxxxxx, CS First Boston, DLJ , US
UBS Warburg, XX Xxxxxxxx, XX US Bancorp Piper Xxxxxxx, Xxxxx Bancorp Piper Jaffray,
Xxxxxxx, Invemed, Investec PMG & Co., XX Xxxxx, Xxxxxxxx BancBoston Xxxxxxxxx
Capital, Xxxxxx Xxxxxxxxxx Capital Partners Xxxxxxxx, XX Xxxxxxx,
Xxxxx, Pacific Crest, Invemed, Moors & Cabot,
Prudential, RBC Xxxx Xxxxxxxx, Xxxxxxx Xxxxxx, SoundView
Xxxxxxx Xxxxxx Xxxxxx, Technology
SoundView Technology
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Years of continuous operation, >3 >3 >3
including predecessors
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Security ATRS NFLX CMRC
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Is the affiliate a manager or co-lead n/a n/a
co-manager?
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Name of underwriter or dealer from CS First Boston n/a n/a
which purchased
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Firm commitment? Yes Yes Yes
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Trade date/Date of Offering 5/22/2002 5/22/2002 5/5/1999
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Total dollar amount of offering $- $- $-
sold to QIBs
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Total dollar amount of any $50,000,000.00 $82,500,000 $69,300,000
concurrent public offering
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Total $50,000,000.00 $82,500,000 $69,300,000
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Public offering price $10.00 15.00 21.00
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Price paid if other than public n/a n/a n/a
offering price
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Realized Gain/Loss on Sale of $5, 356.16 n/a n/a
Security (-9.92%)
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Unrealized Gain/Loss at 6/30/02 n/a n/a n/a
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Underwriting spread or commission $.70 (7%) $1.05 (7%) $1.47 (7%)
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Shares purchased n/a n/a
5,400
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$ amount of purchase $54,000.00 n/a n/a
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% of offering purchased by fund 0.108% n/a n/a
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% of offering purchased by 0.326% n/a n/a
associated funds*
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Total 0.434% n/a n/a
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Rule 10f-3 Acquisition of Securities from an Affiliate - January 1, 2002 through March 31, 2002
XxXX (MGIT)
SMALLCAP FUND, INC.
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Security Purchased Comparison Security Comparison Security
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Issuer HEARTLAND EXPRESS, INC. KNIGHT TRANSPORTATION SWIFT TRANSPORTATION
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Underwriters Bear Xxxxxxx, DBAB, BB&T Credit Suisse First Boston, Credit Suisse First
Capital Markets, Xxxxxx Xxxxxx Bear Xxxxxxx, BB&T Capital Boston, Xxxxxx Xxxxxx
& Company, Xxxxxxxx Markets, Xxxxxx Xxxxxx, XX
Xxxxxxx & Sons
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Years of continuous operation, >3 >3 >3
including predecessors
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Security HTLD KNGT SWFT
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Is the affiliate a manager or co-manager No No
co-manager?
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Name of underwriter or dealer from Bear Xxxxxxx n/a n/a
which purchased
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Firm commitment? Yes Yes
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Trade date/Date of Offering 1/18/2002 11/1/2001 6/21/2001
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Total dollar amount of offering $- $- $-
sold to QIBs
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Total dollar amount of any $92,250,000 $73,500,000 $-
concurrent public offering
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Total $92,250,000 $73,500,000 $19,200,000
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Public offering price $30.75 $24.50 $16.00
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Price paid if other than public n/a n/a n/a
offering price
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Realized Gain/Loss on Sale of n/a n/a n/a
Security
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Unrealized Gain/Loss at 3/31/02 $113,295 (-35.09%) n/a n/a
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Underwriting spread or commission $1.461 (4.75%) $1.225 (5%) $0.80 (5%)
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Shares purchased n/a n/a
10,500
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$ amount of purchase $322,875 n/a n/a
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% of offering purchased by fund 0.350% n/a n/a
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% of offering purchased by 0.787% n/a n/a
associated funds*
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Total 1.137% n/a n/a
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Rule 10f-3 Acquisition of Securities from an Affiliate - January 1, 2002
through March 31, 2002
XxXX (MGIT)
SMALLCAP FUND, INC.
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Security Purchased Comparison Security Comparison Security
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Issuer WCI COMMUNITIES, INC. NEWMARK HOMES CORPORATION XXXXXX AUTOMOTIVE GROUP
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Underwriters XXX Xxxxxxx, XX First Boston, Xxxx Xxxxxxxx, Xxxxxxx Xxxxxxx Xxxxx, Xxxxxxx Xxxxx,
DBAB, XX Xxxxxxx, Xxxxxx Global Securities Xxxxxxx Xxxxx Xxxxxx, Xxxxxxx
Xxxxxxxxxx Xxxxx, Xxxx Xxxxx, Xxxxx, Xxxxxxxx
McDonald Investments, Xxxxxxxx
Xxxxx, Xxxxxx Xxxxxxxx
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Years of continuous operation, >3 >3 >3
including predecessors
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Security WCI NHCH ABG
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Is the affiliate a manager or co-manager No No
co-manager of offering?
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Name of underwriter or dealer from UBS Warburg 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 3/12/2002 3/12/1998 3/13/2002
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Total dollar amount of offering sold to n/a n/a n/a
QIBs
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Total dollar amount of any concurrent $ 131,100,000 $ 19,530,000 $ 127,050,000
public offering
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Total $ 131,100,000 $ 19,530,000 $ 127,050,000
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Public offering price $ 19.00 $ 10.50 $ 16.50
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Realized Gain/Loss on Sale of Security $ 42,984.40 (+27.59%) n/a n/a
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Realized Gain/Loss at 3/31/02 n/a n/a n/a
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Price paid if other than public n/a n/a n/a
offering price
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Underwriting spread or commission $ 1.33 (7%) $ 0.735 (7%) $ 1.16 (7%)
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Shares purchased n/a n/a
8,200
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$ amount of purchase $ 155,800 n/a n/a
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% of offering purchased by fund 0.119% n/a n/a
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% of offering purchased by associated 0.255% n/a n/a
funds*
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Total 0.374% n/a n/a
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