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 | Global Small Cap | ||||
Issuer | FREEE KK | ||||
Ticker/Sedol | 4478.T (BKLFVR7) | ||||
Principal Amount (US$) | $321,950,905 | ||||
Principal Amount (Foreign$) | JPY 34,952,600,000 | ||||
Amount Purchased (US$) | $35,002.07 | ||||
Amount Purchased (Foreign$) | JPY 3,800,000 | ||||
Trade Date | 12/09/2019 | ||||
Price (US$) | $18.42 | ||||
Price-Foreign | JPY 2,000 | ||||
Underwriter | Bank of America Merrill | ||||
Other Syndicate Members: | Daiwa Securities Group, Morgan Stanley, Nomura Securities | ||||
Underwriting Spread | 6.49% | ||||
Currency | JPY |
Fund | Global Small Cap | ||||
Issuer | Array Technologies Inc | ||||
Ticker/Sedol | ARRY (04271T100) | ||||
Principal Amount (US$) | $990,000,000 | ||||
Principal Amount (Foreign$) | N/A | ||||
Amount Purchased (US$) | $110,352 | ||||
Amount Purchased (Foreign$) | N/A | ||||
Trade Date | 10/15/2020 | ||||
Price (US$) | $22.00 | ||||
Price-Foreign | N/A | ||||
Underwriter | Goldman Sachs | ||||
Other Syndicate Members: | Morgan Stanley & Co. LLC, BofA Securities, Inc., Robert W. Baird & Co Incorporated, Guggenheim Securities, LLC, Piper Sandler & Co., William Blair & Company L.L.C., Telsey Advisory Group, Loop Capital Markets LLC, Samuel A. Ramirez & Company, Inc., Amerivet Securities, Inc., Nomura Securities International, Inc., Jefferies & Company, Inc. | ||||
Underwriting Spread | 5.50% | ||||
Currency | USD |
Fund | Global Small Cap | ||||
Issuer | Leslie’s Inc | ||||
Ticker/Sedol | LESL (527064109) | ||||
Principal Amount (US$) | $680,000,000 | ||||
Principal Amount (Foreign$) | N/A | ||||
Amount Purchased (US$) | $52,462 | ||||
Amount Purchased (Foreign$) | N/A | ||||
Trade Date | 10/29/2020 | ||||
Price (US$) | $17.00 | ||||
Price-Foreign | N/A | ||||
Underwriter | Goldman Sachs | ||||
Other Syndicate Members: | Morgan Stanley & Co. LLC, BofA Securities, Inc., Robert W. Baird & Co Incorporated, Guggenheim Securities, LLC, Piper Sandler & Co., William Blair & Company L.L.C., Telsey Advisory Group, Loop Capital Markets LLC, Samuel A. Ramirez & Company, Inc., Amerivet Securities, Inc., Nomura Securities International, Inc., Jefferies & Company, Inc. | ||||
Underwriting Spread | 3.45% | ||||
Currency | USD |