Pursuant to the Fund’s procedures adopted under Rule 10f-3, the Fund’s Board of Directors/Trustees receives a quarterly report in the form of a checklist as to the satisfaction of the applicable conditions of paragraph (c)(1) through (c)(8) of Rule 10f-3.
Fund | Balanced |
Issuer | Goodgreen Trust |
Ticker/Sedol | 38218GAA0 |
Principal Amount (US$) | $340,434,829 |
Principal Amount (Foreign$) | N/A |
Amount Purchased (US$) | $874,909.61 |
Amount Purchased (Foreign$) | N/A |
Trade Date | 4/20/2018 |
Price (US$) | $99.98967 |
Price-Foreign | N/A |
Underwriter | Deutsche Bank Securities Inc |
Other Syndicate Members: | CIT Capital Securities LLC, Nomura Securities International Inc, SunTrust Robinson Humphrey Inc |
Underwriting Spread | .5% |
Currency | USD |
Fund | Small Cap Growth |
Issuer | Playags Inc |
Ticker/Sedol | AGS |
Principal Amount (US$) | $164,000,000 |
Principal Amount (Foreign$) | N/A |
Amount Purchased (US$) | $3,850,128 |
Amount Purchased (Foreign$) | N/A |
Trade Date | 1/26/2018 |
Price (US$) | $16.00 |
Price-Foreign | N/A |
Underwriter | Deutsche Bank |
Other Syndicate Members: | Credit Suisse, Jefferies LLC, Bank of America Merrill, Nomura Securities, Macquarie Securities, Citigroup Capital Markets, SunTrust Robinson Humphrey, Apollo Global Management, Roth Capital Partners, Stiffel Nicholas Capital, Union Gamine Group, Williams Capital Group LP |
Underwriting Spread | 6.5% |
Currency | USD |
Fund | Small Cap Growth |
Issuer | Playags Inc |
Ticker/Sedol | AGS |
Principal Amount (US$) | $91,375,000 |
Principal Amount (Foreign$) | N/A |
Amount Purchased (US$) | $838,736.50 |
Amount Purchased (Foreign$) | N/A |
Trade Date | 5/10/2018 |
Price (US$) | $21.50 |
Price-Foreign | N/A |
Underwriter | Deutsche Bank |
Other Syndicate Members: | Credit Suisse, Jefferies LLC, Bank of America Merrill, Nomura Securities, Macquarie Securities, Citigroup Capital Markets, SunTrust Robinson Humphrey, Apollo Global Management, Roth Capital Partners, Stiffel Nicholas Capital, Union Gamine Group, Williams Capital Group LP |
Underwriting Spread | 4.75% |
Currency | USD |