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 | Emerging Markets Small Cap Fund |
| Issuer | Future Supply Chain Solutions Ltd |
| Ticker/Sedol | FUTE.NS / BD6G4R7 |
| Principal Amount (US$) | $100,974,542 |
| Principal Amount (Foreign$) | 6,496,954,480 |
| Amount Purchased (US$) | $8,896 |
| Amount Purchased (Foreign$) | 572,368 |
| Trade Date | 12/14/2017 |
| Price (US$) | $10.32 |
| Price-Foreign | 664.00 |
| Underwriter | Edelweiss Securities Limited |
| Other Syndicate Members: | CITIC CLSA Securities, Nomura, IDFC Securities Limited, IIFL Holdings Limited, Yes Securities (India) Limited, Link Intime India Private Limited, Sharekhan Limited |
| Underwriting Spread | 0% |
| Currency | INR |
| Fund | Global Small Cap Fund |
| Issuer | Playags Inc |
| Ticker/Sedol | AGS |
| Principal Amount (US$) | $91,375,000 |
| Principal Amount (Foreign$) | N/A |
| Amount Purchased (US$) | $42,549 |
| Amount Purchased (Foreign$) | 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 Gaming Group, Williams Capital Group LP |
| Underwriting Spread | 4.75% |
| Currency | USD |