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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 Xxxxxxx Xxxxx, Xxxxxx Xxxxxx, CS First Boston,
Bank, UBS Warburg, DA US Bancorp Xxxxx Xxxxxxx, DLJ, US Bancorp Xxxxx
Xxxxxxxx, XX Xxxxxxx, Invemed, Xxxxx & Co., XX Xxxxx, Jaffray, BancBoston
Investec PMG Capital, Xxxxxx Xxxxxxxx Capital Partners Xxxxxxxxx Xxxxxxxx,
Xxxxxxxxxx Xxxxx, Pacific Moors & Xxxxx, Xxxxxxx
Crest, Prudential, RBC Xxxx Xxxxxx, AG Edwards,
Rauscher, Xxxxxxx Xxxxxx Invemed, SoundView
Xxxxxx, SoundView Technology Technology
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Years of continuous operation,
including predecessors >3 >3 >3
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Security ATRS NFLX CMRC
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Is the affiliate a manager
or co-manager? co-lead n/a n/a
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Name of underwriter or
dealer from which purchased CS First Boston n/a n/a
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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 concurrent
public offering $ 50,000,000.00 $ 82,500,000 $ 69,300,000
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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
offering price n/a n/a n/a
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Realized Gain/Loss on Sale of
Security $ 5, 356.16 (-9.92%) n/a n/a
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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%) $1.47 (7%)
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Shares purchased 5,400 n/a n/a
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$ 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
associated funds* 0.326% n/a n/a
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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 WCI COMMUNITIES, INC. NEWMARK HOMES CORPORATION XXXXXX AUTOMOTIVE GROUP
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Underwriters UBS Warburg, CS First Xxxx Xxxxxxxx, Xxxxxxx Xxxxxxx Xxxxx, Xxxxxxx
Boston, DBAB, XX Xxxxxxx, Global Securities Xxxxx, Xxxxxxx Xxxxx
Xxxxxx Xxxxxxxxxx Xxxxx, Xxxxxx, Xxxxxxx Xxxxx,
Xxxx Xxxxx, XxXxxxxx Xxxxxxxx
Investments, Xxxxxxxx
Xxxxx, Xxxxxx Merchant
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Years of continuous
operation, including predecessors >3 >3 >3
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Security WCI NHCH ABG
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Is the affiliate a manager
or co-manager of offering? co-manager No No
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Name of underwriter or
dealer from which purchased UBS Warburg n/a n/a
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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 QIBs n/a n/a n/a
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Total dollar amount of any
concurrent public offering $ 131,100,000 $ 19,530,000 $ 127,050,000
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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 offering price n/a n/a n/a
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Underwriting spread or commission $ $.33 (7%) 0.$35 (7%) 1.16 (7%)
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Shares purchased 8,200 n/a n/a
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$ 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 funds* 0.255% n/a n/a
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Total 0.374% n/a n/a
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