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 | AC Alternatives Income Fund |
Issuer | Star Asia Investments |
Ticker/Sedol | 3468.T |
Principal Amount (US$) | $54,833,460 |
Principal Amount (Foreign$) | 6,011,122,576 |
Amount Purchased (US$) | $29,206 |
Amount Purchased (Foreign$) | 3,201,720 |
Trade Date | 01/23/18 |
Price (US$) | $973.536 |
Price-Foreign | 106,724 |
Underwriter | SMBC NIKKO Securities Inc |
Other Syndicate Members: | Nomura Securities Co Ltd, Mizuho Securities Co, Ltd |
Underwriting Spread | 1.744% |
Currency | JPY |
Fund | AC Alternatives Income Fund |
Issuer | VICI Properties Inc |
Ticker/Sedol | VICI |
Principal Amount (US$) | $1,210,000,000 |
Principal Amount (Foreign$) | N/A |
Amount Purchased (US$) | $61,340 |
Amount Purchased (Foreign$) | N/A |
Trade Date | 02/01/18 |
Price (US$) | $20 |
Price-Foreign | N/A |
Underwriter | Morgan Stanley |
Other Syndicate Members: | Barclays, Credit Suisse, Citizens Capital Markets, Citigroup, UBS Investment Bank, Wells Fargo Securities, Nomura, BOFA Merrill Lynch, Deutsche Bank Securities, Stifel, Union Gaming, Goldman Sachs |
Underwriting Spread | 5.75% |
Currency | USD |
Fund | Global Real Estate |
Issuer | GLP J-REIT |
Ticker/Sedol | 3281.T |
Principal Amount (US$) | $572,338,877 |
Principal Amount (Foreign$) | 61,703,854,380 |
Amount Purchased (US$) | $962,749.54 |
Amount Purchased (Foreign$) | 103,794,027.96 |
Trade Date | 02/14/18 |
Price (US$) | $1014.488 |
Price-Foreign | 109,372 |
Underwriter | CITIGROUP CAPITAL MARKETS LTD |
Other Syndicate Members: | Nomura Securities Co Ltd / Nomura International PLC, MIZUHO International PLC, SMBC NIKKO Capital Markets Ltd |
Underwriting Spread | 3.15% |
Currency | JPY |
Fund | NT Global Real Estate |
Issuer | GLP J-REIT |
Ticker/Sedol | 3281.T |
Principal Amount (US$) | $572,338,877 |
Principal Amount (Foreign$) | 61,703,854,380 |
Amount Purchased (US$) | $4,892,877.80 |
Amount Purchased (Foreign$) | 527,501,155.88 |
Trade Date | 02/14/18 |
Price (US$) | $1014.488 |
Price-Foreign | 109,372 |
Underwriter | CITIGROUP CAPITAL MARKETS LTD |
Other Syndicate Members: | Nomura Securities Co Ltd / Nomura International PLC, MIZUHO International PLC, SMBC NIKKO Capital Markets Ltd |
Underwriting Spread | 3.15% |
Currency | JPY |
Fund | Global Real Estate |
Issuer | Invesco Office J-REIT |
Ticker/Sedol | 3298.T |
Principal Amount (US$) | $274,137,732 |
Principal Amount (Foreign$) | 29,372,487,300 |
Amount Purchased (US$) | $419,361.19 |
Amount Purchased (Foreign$) | 44,932,454.70 |
Trade Date | 04/16/18 |
Price (US$) | $125.745 |
Price-Foreign | 13,473 |
Underwriter | SMBC Nikko Securities |
Other Syndicate Members: | Nomura Securities, Citigroup |
Underwriting Spread | 1.648% |
Currency | JPY |
Fund | NT Global Real Estate |
Issuer | Invesco Office J-REIT |
Ticker/Sedol | 3298.T |
Principal Amount (US$) | $274,137,732 |
Principal Amount (Foreign$) | 29,372,487,300 |
Amount Purchased (US$) | $2,169,738.35 |
Amount Purchased (Foreign$) | 232,476,615.52 |
Trade Date | 04/16/18 |
Price (US$) | $125.745 |
Price-Foreign | 13,473 |
Underwriter | SMBC Nikko Securities |
Other Syndicate Members: | Nomura Securities, Citigroup |
Underwriting Spread | 1.648% |
Currency | JPY |
Fund | AC Alternatives Income Fud |
Issuer | Invesco Office J-REIT |
Ticker/Sedol | 3298.T |
Principal Amount (US$) | $274,137,732 |
Principal Amount (Foreign$) | 29,372,487,300 |
Amount Purchased (US$) | $61,993 |
Amount Purchased (Foreign$) | 6,642,189 |
Trade Date | 04/16/18 |
Price (US$) | $125.745 |
Price-Foreign | 13,473 |
Underwriter | SMBC Nikko Securities |
Other Syndicate Members: | Nomura Securities, Citigroup |
Underwriting Spread | 1.648% |
Currency | JPY |
Fund | AC Alternatives Income Fud |
Issuer | H-Food Holdings, LLC |
Ticker/Sedol | 40422KAB7 |
Principal Amount (US$) | $1,142,137,500 |
Principal Amount (Foreign$) | N/A |
Amount Purchased (US$) | $51,462 |
Amount Purchased (Foreign$) | N/A |
Trade Date | 05/17/18 |
Price (US$) | $99.75 |
Price-Foreign | N/A |
Underwriter | Goldman Sachs |
Other Syndicate Members: | Barclays Bank PLC, Antares Capital LP and Credit Suisse Loan Funding LLC, Nomura Securities International, Inc., Jefferies Finance LLC, RBC Capital Markets, LLC |
Underwriting Spread | N/A |
Currency | USD |
Fund | AC Alternatives Income Fud |
Issuer | Nippon REIT Investment Corporation |
Ticker/Sedol | 3296.T |
Principal Amount (US$) | $161,890,121 |
Principal Amount (Foreign$) | 17,871,859,950 |
Amount Purchased (US$) | $116,888 |
Amount Purchased (Foreign$) | 12,903,870 |
Trade Date | 06/20/18 |
Price (US$) | $2783.052 |
Price-Foreign | 307,235 |
Underwriter | Morgan Stanley & Co International PLC |
Other Syndicate Members: | Mitsubishi UFJ Morgan Stanley Securities Co, Ltd, Nomura Securities Co, Ltd |
Underwriting Spread | 3.59% |
Currency | JPY |
Fund | Global Real Estate |
Issuer | Invincible Investment Corp |
Ticker/Sedol | 8963.T |
Principal Amount (US$) | $393,927,281 |
Principal Amount (Foreign$) | 43,716,080,000 |
Amount Purchased (US$) | $358,040.71 |
Amount Purchased (Foreign$) | 39,733,567.80 |
Trade Date | 07/25/18 |
Price (US$) | $412.489 |
Price-Foreign | 45,776 |
Underwriter | Morgan Stanley & Co International PLC / Mitsubishi UFJ Morgan Stanley Securities |
Other Syndicate Members: | MIZUHO International PLC / Mizuho Securities Co Ltd SMBC NIKKO Capital Markets Ltd / SMBC Nikko Securities Inc Nomura Securities Co Ltd / Nomura International PLC Citigroup Global Markets Ltd / Citigroup Japan Holdings Corp |
Underwriting Spread | 3.253% |
Currency | JPY |
Fund | NT Global Real Estate |
Issuer | Invincible Investment Corp |
Ticker/Sedol | 8963.T |
Principal Amount (US$) | $393,927,281 |
Principal Amount (Foreign$) | 43,716,080,000 |
Amount Purchased (US$) | $2,052,546.75 |
Amount Purchased (Foreign$) | 227,781,375.64 |
Trade Date | 07/25/18 |
Price (US$) | $412.489 |
Price-Foreign | 45,776 |
Underwriter | Morgan Stanley & Co International PLC / Mitsubishi UFJ Morgan Stanley Securities |
Other Syndicate Members: | MIZUHO International PLC / Mizuho Securities Co Ltd SMBC NIKKO Capital Markets Ltd / SMBC Nikko Securities Inc Nomura Securities Co Ltd / Nomura International PLC Citigroup Global Markets Ltd / Citigroup Japan Holdings Corp |
Underwriting Spread | 3.253% |
Currency | JPY |
Fund | Global Real Estate |
Issuer | GLP J-REIT |
Ticker/Sedol | 3281.T |
Principal Amount (US$) | $417,923,915 |
Principal Amount (Foreign$) | 46,145,069,070 |
Amount Purchased (US$) | $76,649.64 |
Amount Purchased (Foreign$) | 8,463,270.00 |
Trade Date | 08/21/2018 |
Price (US$) | $970.249 |
Price-Foreign | 107,130 |
Underwriter | Citigroup Global Markets LTD |
Other Syndicate Members: | Nomura Securities Co Ltd, Nomura International PLC, Mizuho International PLC, SMBC Nikko Capital Markets Ltd, Citigroup Global Markets Japan Inc, SMBC Nikko Securities Inc, Mizuho Securities Co |
Underwriting Spread | 3.14% |
Currency | JPY |
Fund | NT Global Real Estate |
Issuer | GLP J-REIT |
Ticker/Sedol | 3281.T |
Principal Amount (US$) | $417,923,915 |
Principal Amount (Foreign$) | 46,145,069,070 |
Amount Purchased (US$) | $437,582.12 |
Amount Purchased (Foreign$) | 48,315,629.78 |
Trade Date | 08/21/2018 |
Price (US$) | $970.249 |
Price-Foreign | 107,130 |
Underwriter | Citigroup Global Markets LTD |
Other Syndicate Members: | Nomura Securities Co Ltd, Nomura International PLC, Mizuho International PLC, SMBC Nikko Capital Markets Ltd, Citigroup Global Markets Japan Inc, SMBC Nikko Securities Inc, Mizuho Securities Co |
Underwriting Spread | 3.14% |
Currency | JPY |
Fund | AC Alternatives Income Fund |
Issuer | Star Asia Investment Corp |
Ticker/Sedol | 3468.T |
Principal Amount (US$) | $64,489,906.77 |
Principal Amount (Foreign$) | 7,159,347,000 |
Amount Purchased (US$) | $45,933 |
Amount Purchased (Foreign$) | 5,099,250 |
Trade Date | 08/30/2018 |
Price (US$) | $918.660 |
Price-Foreign | 101,985 |
Underwriter | SMBC Nikko Securities |
Other Syndicate Members: | Nomura Securities Co Ltd, Mizuho Securities Co Ltd |
Underwriting Spread | 3.437% |
Currency | JPY |
Fund | AC Alternatives Income Fund |
Issuer | Specialty Building Products Holdings, LLC |
Ticker/Sedol | LX175632 |
Principal Amount (US$) | $492,500,000 |
Principal Amount (Foreign$) | N/A |
Amount Purchased (US$) | $170,997 |
Amount Purchased (Foreign$) | N/A |
Trade Date | 09/25/2018 |
Price (US$) | $98.50 |
Price-Foreign | N/A |
Underwriter | SunTrust Bank |
Other Syndicate Members: | Merrill Lynch, Pierce Fenner & Smith Incorporated, Nomura Securities International, Inc. |
Underwriting Spread | n/a |
Currency | USD |
Fund | Global Real Estate |
Issuer | Tokyu Fudosan Holdings Corp |
Ticker/Sedol | 3289.T |
Principal Amount (US$) | $613,304,968 |
Principal Amount (Foreign$) | 69,190,000,000 |
Amount Purchased (US$) | $516,848.82 |
Amount Purchased (Foreign$) | 58,308,300.00 |
Trade Date | 10/22/18 |
Price (US$) | $5.575 |
Price-Foreign | 629 |
Underwriter | Mizuho |
Other Syndicate Members: | Nomura International PLC, Daiwa, Mitsubishi UFJ Morgan Stanley, Citigroup Capital Markets |
Underwriting Spread | 4.127% |
Currency | JPY |
Fund | NT Global Real Estate |
Issuer | Tokyu Fudosan Holdings Corp |
Ticker/Sedol | 3289.T |
Principal Amount (US$) | $613,304,968 |
Principal Amount (Foreign$) | 69,190,000,000 |
Amount Purchased (US$) | $2,939,961 |
Amount Purchased (Foreign$) | 331,671,700 |
Trade Date | 10/22/18 |
Price (US$) | $5.575 |
Price-Foreign | 629 |
Underwriter | Mizuho |
Other Syndicate Members: | Nomura International PLC, Daiwa, Mitsubishi UFJ Morgan Stanley, Citigroup Capital Markets |
Underwriting Spread | 4.127% |
Currency | JPY |