SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
________________________
FORM 11-K
(Mark One)
X ANNUAL REPORT PURSUANT TO SECTION 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934 (FEE REQUIRED)
For the year ended December 31, 1997
OR
TRANSITION REPORT PURSUANT TO SECTION 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934 (NO FEE REQUIRED)
For the transition period from ..... to .....
Commission file number 1-9769
A. Full title of the Plan and the address of the Plan, if different from
that of the issuer named below:
LANDS' END, INC. RETIREMENT PLAN
B. Name of issuer of the securities held pursuant to the Plan and the
address of its principal executive officer:
LANDS' END, INC.
LANDS END LANE
DODGEVILLE, WI 53595
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the
trustees (or other persons who administer the Plan) have duly caused this
annual report to be signed by the undersigned thereunto duly authorized.
LANDS' END, INC. RETIREMENT PLAN
By DONALD R. HUGHES
Donald R. Hughes
Vice President-Finance
Date: June 24, 1998
Consent of Independent Public Accountants
As independent public accountants, we hereby consent to the incorporation of
our report included in this Form 11-K into the previously filed Lands' End,
Inc. Form S-8 Registration Statement (No. 33-63461) for the Lands' End, Inc.
Retirement Plan.
ARTHUR ANDERSEN LLP
Milwaukee, Wisconsin,
June 23, 1998
LANDS' END, INC.
RETIREMENT PLAN
FINANCIAL STATEMENTS AS OF DECEMBER 31, 1997 AND 1996
TOGETHER WITH REPORT OF INDEPENDENT PUBLIC ACCOUNTANTS
LANDS' END, INC.
RETIREMENT PLAN
FINANCIAL STATEMENTS
DECEMBER 31, 1997 AND 1996
TABLE OF CONTENTS
REPORT OF INDEPENDENT PUBLIC ACCOUNTANTS
FINANCIAL STATEMENTS
Statements of Net Assets Available for Plan Benefits, with Fund
Information as of December 31, 1997 and 1996
Statements of Changes in Net Assets Available for Plan Benefits, with
Fund Information, for the Years Ended December 31, 1997 and 1996
NOTES TO FINANCIAL STATEMENTS
SCHEDULES SUPPORTING FINANCIAL STATEMENTS
Schedule I: Item 27(a)-Schedule of Assets Held for Investment
Purposes as of December 31, 1997
Schedule II: Item 27(d)-Schedule of Reportable Transactions for the
Year Ended December 31, 1997
REPORT OF INDEPENDENT PUBLIC ACCOUNTANTS
To the Plan Administrator of the
Lands' End, Inc. Retirement Plan:
We have audited the accompanying statements of net assets available for plan
benefits, with fund information, of Lands' End, Inc. Retirement Plan (the
"Plan") as of December 31, 1997 and 1996 and the related statements of
changes in net assets available for plan benefits, with fund information, for
the years then ended, as listed in the accompanying table of contents. These
financial statements and the supplemental schedules referred to below are the
responsibility of the plan administrator. Our responsibility is to express
an opinion on these financial statements and the supplemental schedules based
on our audits.
We conducted our audits in accordance with generally accepted auditing
standards. Those standards require that we plan and perform the audit to
obtain reasonable assurance about whether the financial statements are free
of material misstatement. An audit includes examining, on a test basis,
evidence supporting the amounts and disclosures in the financial statements.
An audit also includes assessing the accounting principles used and
significant estimates made by management, as well as evaluating the overall
financial statement presentation. We believe that our audits provide a
reasonable basis for our opinion.
In our opinion, the financial statements referred to above present fairly, in
all material respects, the net assets available for plan benefits of the Plan
as of December 31, 1997 and 1996, and the changes in its net assets available
for plan benefits for the years then ended, with fund information, in
conformity with generally accepted accounting principles.
Our audits were performed for the purpose of forming an opinion on the basic
financial statements taken as a whole. The supplemental schedules, as listed
in the accompanying table of contents, are presented for the purpose of
additional analysis and are not a required part of the basic financial
statements but are supplementary information required by the Department of
Labor Rules and Regulations for Reporting and Disclosure under the Employee
Retirement Income Security Act of 1974. The fund information in the
statements of net assets available for plan benefits and the statements of
changes in net assets available for plan benefits is presented for purposes
of additional analysis rather than to present the net assets available for
plan benefits and changes in net assets available for plan benefits of each
fund. The supplemental schedules, and fund information, have been subjected
to the auditing procedures applied in the audit of the basic financial
statements and, in our opinion, are fairly stated in all material respects in
relation to the basic financial statements taken as a whole.
ARTHUR ANDERSEN LLP
Milwaukee, Wisconsin,
April 28, 1998
LANDS' END, INC.
RETIREMENT PLAN
STATEMENT OF NET ASSETS AVAILABLE FOR PLAN BENEFITS, WITH FUND INFORMATION
AS OF DECEMBER 31, 1996
Fund Information
Lands' End, Partic-
Cash Fixed Inc. ipants'
(In thousands) Equiva- Income Balanced Equity Stock Loan
lents Fund Fund Fund Fund Fund Total
INVESTMENTS,
at fair value:
American Express Trust
U.S. Government
Securities Fund II $ 493 $ - $ - $ - $ - $ - $ 493
IDS Federal Income
Fund, Inc. - 9,151 - - - - 9,151
IDS Mutual Fund - - 16,054 - - - 16,054
IDS New Dimensions
Fund, Inc. - - - 34,771 - - 34,771
Lands' End, Inc.
Stock Fund - - - - 129 - 129
Total Investments 493 9,151 16,054 34,771 129 - 60,598
LOANS TO PARTICIPANTS - - - - - 1,136 1,136
EMPLOYER CONTRIBUTION
RECEIVABLE 50 539 727 1,507 50 - 2,873
NET ASSETS AVAILABLE
FOR PLAN BENEFITS $ 543 $9,690 $16,781 $36,278 $ 179 $1,136 $64,607
<FN>
The accompanying notes to financial statements are an integral part of this statement.
</FN>
LANDS' END, INC.
RETIREMENT PLAN
STATEMENT OF NET ASSETS AVAILABLE FOR PLAN BENEFITS, WITH FUND INFORMATION
AS OF DECEMBER 31, 1997
Fund Information
Lands' End, Partic-
Cash Fixed Inc. ipants'
(In thousands) Equiva- Income Balanced Equity Stock Loan
lents Fund Fund Funds Fund Fund Total
INVESTMENTS,
at fair value:
American Express Trust
U.S. Government
Securities Fund II $ 625 $ - $ - $ - $ - $ - $ 625
IDS Federal Income
Fund, Inc. - 10,478 - - - - 10,478
IDS Mutual Fund - - 20,434 - - - 20,434
American Express Trust
Equity Index Fund I - - - 3,037 - - 3,037
IDS New Dimensions
Fund, Inc. - - - 47,102 - - 47,102
Templeton Foreign Fund - - - 1,398 - - 1,398
Lands' End, Inc.
Stock Fund - - - - 443 - 443
Total Investments 625 10,478 20,434 51,537 443 - 83,517
LOANS TO PARTICIPANTS - - - - - 1,574 1,574
EMPLOYER CONTRIBUTION
RECEIVABLE 78 769 895 2,217 107 - 4,066
NET ASSETS AVAILABLE
FOR PLAN BENEFITS $ 703 $11,247 $21,329 $53,754 $ 550 $1,574 $89,157
<FN>
The accompanying notes to financial statements are an integral part of this statement.
</FN>
LANDS' END, INC.
RETIREMENT PLAN
STATEMENTS OF CHANGES IN NET ASSETS AVAILABLE FOR PLAN BENEFITS, WITH FUND INFORMATION
FOR THE YEAR ENDED DECEMBER 31, 1996
Fund Information
Cash Fixed Lands' End, Partic-
Equiva- Income Balanced Equity Inc. ipants'
(In thousands) lents Fund Fund Fund Stock Fund Loan Fund Total
ADDITIONS TO NET ASSETS
ATTRIBUTED TO:
Investment income-
Net (depreciation)
appreciation in fair
value of investments $ - $ (183) $ 363 $ 5,106 $ 31 $ - $ 5,317
Interest and dividend income 13 568 1,534 1,371 - - 3,486
Total investment income 13 385 1,897 6,477 31 - 8,803
Contributions-
Employer contributions-
Matching 20 323 560 1,060 23 - 1,986
Profit sharing 50 539 727 1,507 50 - 2,873
Participants' contributions 50 814 1,478 2,874 60 - 5,276
Rollovers 1 138 78 59 - - 276
Total contributions 121 1,814 2,843 5,500 133 - 10,411
Total additions 134 2,199 4,740 11,977 164 - 19,214
BENEFITS PAID TO PARTICIPANTS (9) (285) (369) (941) (1) (20) (1,625)
FUND TRANSFERS 359 (739) (469) 851 (2) - -
LOANS ISSUED TO PARTICIPANTS (2) (75) (128) (346) (1) 552 -
LOAN PRINCIPAL REPAYMENTS 2 33 66 145 1 (247) -
NET INCREASE 484 1,133 3,840 11,686 161 285 17,589
NET ASSETS AVAILABLE
FOR PLAN BENEFITS:
Beginning of year 59 8,557 12,941 24,592 18 851 47,018
End of year $543 $9,690 $16,781 $36,278 $ 179 $1,136 $64,607
<FN>
The accompanying notes to financial statements are an integral part of these statements.
</FN>
LANDS' END, INC.
RETIREMENT PLAN
STATEMENTS OF CHANGES IN NET ASSETS AVAILABLE FOR PLAN BENEFITS, WITH FUND INFORMATION
FOR THE YEAR ENDED DECEMBER 31, 1997
Fund Information
Cash Fixed Lands' End, Partic-
Equiva- Income Balanced Equity Inc. ipants'
(In thousands) lents Fund Fund Funds Stock Fund Loan Fund Total
ADDITIONS TO NET ASSETS
ATTRIBUTED TO:
Investment income-
Net appreciation in fair
value of investments $ - $ 158 $ 208 $ 5,738 $ 82 $ - $ 6,186
Interest and dividend income 26 620 2,950 3,739 2 - 7,337
Total investment income 26 778 3,158 9,477 84 - 13,523
Contributions-
Employer contributions-
Matching 30 316 560 1,295 49 - 2,250
Profit sharing 78 769 895 2,217 107 - 4,066
Participants' contributions 85 776 1,456 3,498 140 - 5,955
Rollovers 30 9 60 538 - - 637
Total contributions 223 1,870 2,971 7,548 296 - 12,908
Total additions 249 2,648 6,129 17,025 380 - 26,431
BENEFITS PAID TO PARTICIPANTS (13) (346) (616) (887) (8) (11) (1,881)
FUND TRANSFERS (77) (681) (871) 1,632 (3) - -
LOANS ISSUED TO PARTICIPANTS (1) (96) (142) (455) (2) 696 -
LOAN PRINCIPAL REPAYMENTS 2 32 48 161 4 (247) -
NET INCREASE 160 1,557 4,548 17,476 371 438 24,550
NET ASSETS AVAILABLE
FOR PLAN BENEFITS:
Beginning of year 543 9,690 16,781 36,278 179 1,136 64,607
End of year $703 $11,247 $21,329 $53,754 $ 550 $1,574 $89,157
<FN>
The accompanying notes to financial statements are an integral part of these statements.
</FN>
LANDS' END, INC.
RETIREMENT PLAN
NOTES TO FINANCIAL STATEMENTS
DECEMBER 31, 1997 AND 1996
(1) Description of the Plan-
The following description of the Lands' End, Inc. Retirement Plan (the
"Plan") is provided for general information purposes only. More
complete information regarding the Plan's provisions may be found in the
plan document.
The Plan is a defined contribution plan and covers substantially all
employees of Lands' End, Inc. (the "Company") who are at least 19 years
of age as of the end of the Plan year and have completed 1,000 hours of
eligible service. The Plan is sponsored and administered by the
Company. The Plan is governed by the Employee Retirement Income
Security Act of 1974, as amended ("ERISA").
Participants contribute to the Plan through salary reductions in amounts
not exceeding 15 percent of participants' eligible compensation. Each
participant's account is credited with the participant's voluntary
contributions, the allocation of the Company contributions and Plan
earnings in accordance with the Plan agreement. The Plan provides for
employer matching and profit sharing contributions. Matching
contributions are made in amounts equal to 50 percent of participant
contributions, limited to three percent of participants' eligible
compensation. Profit sharing contributions are made at the discretion
of the Company's Board of Directors and are allocated to each
participant's account based on his or her eligible compensation level
(subject to certain Internal Revenue Service limits) in relation to all
participants' compensation. Participants are fully vested in
participant and employer contributions at all times.
Participants have the ability to self-direct their funds. The following
are descriptions of the funds:
American Express Trust U.S. Government Securities Fund II is invested
in U.S. Government and U.S. Agency securities and seeks to provide
maximum current income consistent with liquidity and conservation of
capital.
IDS Federal Income Fund, Inc. is an income fund. This fund is managed
to help protect the participants' money from loss, while seeking a
consistent rate of return.
IDS Mutual Fund is a balanced growth and income fund. This fund
focuses on securities of medium to large, well-established companies
that offer long-term capital appreciation and consistent income from
dividends and interest.
American Express Trust Equity Index Fund I is an equity fund. This
fund is invested primarily in common stocks of the Standard & Poor's
(S&P) 500 Stock Index to achieve a rate of return as close as possible
to the S&P 500 Index. This was a new fund option as of February 1,
1997.
IDS New Dimensions Fund, Inc. is an equity growth fund. Funds in this
group seek capital growth, primarily from common stocks. Income is
not an investment objective.
Templeton Foreign Fund is an international equity growth fund. This
fund seeks long-term capital growth through a flexible policy of
investing primarily in stocks of companies located outside the United
States. This was a new fund option as of February 1, 1997.
Lands' End, Inc. Stock Fund is a Company stock fund. This fund seeks
long-term capital growth from Lands' End, Inc. common stock and money
market investments. Income is not an investment objective.
(2) Summary of Significant Accounting Policies-
Basis of Accounting-
The financial statements have been prepared on the accrual basis of
accounting.
Investments-
Investments are stated at fair market value as determined by the
custodian by reference to published market data. Participant loans are
stated at unpaid principal value.
Net Appreciation (Depreciation) in Fair Market Value of Investments-
Net realized and unrealized appreciation (depreciation) is recorded in
the accompanying statements of changes in net assets as net appreciation
(depreciation) in fair market value of investments.
Administrative Expenses-
All administrative expenses for the Plan were paid by the Company,
except certain mutual fund expenses that were netted against
participants' investment yield.
Accounting Estimates-
The preparation of financial statements required the use of certain
estimates by management in determining the Plan's assets, revenues and
expenses. Actual results could differ those estimates.
(3) Funding Policy-
The Company's contributions to the Plan represent matching and profit
sharing contributions. Matching contributions are deposited at
specified intervals throughout the year. The employer contribution
receivable as of December 31, 1997 and 1996, represents the accrued
profit sharing contribution for the applicable year.
(4) Loans to Participants-
A participant may borrow the lesser of $50,000 or 50% of his or her
vested account balance with a minimum loan of $1,000. Effective
January 1, 1998, the Company created a second loan option under the Plan
permitting participants to borrow against their account balances for any
reason up to a maximum loan amount of $5,000. Loans are repayable
through payroll deductions over periods ranging up to 120 months. The
interest rate is determined by the Plan administrator based on
prevailing market conditions and is fixed over the term of the note.
Interest rates ranged from 7.0% to 11.0% and 7.0% to 12.5% during 1997
and 1996, respectively.
(5) Benefits Paid to Participants-
Benefits paid to participants represent the amounts paid to participants
who have terminated employment. The form of payment is a lump sum
distribution. Amounts currently payable to terminated participants
included in net assets available for plan benefits as of December 31,
1997 and 1996, was $86,684 and $102,209, respectively.
(6) Income Tax Status-
The Plan has obtained a determination letter from the Internal Revenue
Service dated May 16, 1994, approving the Plan as qualified for tax-
exempt status. Plan amendments adopted since the last tax determination
letter will be included in the Company's next filing. The Company's
management believes the Plan remains tax-exempt.
(7) Related Party Transactions-
The Plan periodically invests in common funds managed by the current
custodian, American Express Trust Company. Also, the Plan invests in
the Company's common stock. These transactions are not considered
prohibited transactions by statutory exemption under ERISA regulations.
(8) Plan Termination-
Although it has not expressed any intent to do so, the Company has the
right under the Plan to discontinue its contributions at any time and to
terminate the Plan subject to the provisions of ERISA.
(9) Reconciliation to Form 5500-
The difference between net assets and benefits paid in both the
financial statements and the Plan's Form 5500 is due to benefit
claims payable to terminated participants. This difference as of
December 31 is summarized as follows:
1997 1996
Net assets, per Form 5500 $89,069,994 $64,504,561
Benefit claims payable 86,684 102,209
Net assets, per Statement of Net
Assets Available for Plan Benefits $89,156,678 $64,606,770
Benefits paid to participants per
Form 550 $ 1,864,636 $ 1,623,511
Change in benefit claims payable 15,525 1,067
Benefits paid to participants per
Statement of Changes in Net Assets
Available for Plan Benefits $ 1,880,161 $ 1,624,578
SCHEDULE I
EI No. 36-2512786
Plan No. 001
LANDS' END, INC.
RETIREMENT PLAN
ITEM 27(a)-SCHEDULE OF ASSETS HELD FOR INVESTMENT PURPOSES
DECEMBER 31, 1997
Description Cost Fair Value
American Express Trust U.S. Government
Securities Fund II (*) $ 625,035 $ 625,035
IDS Federal Income Fund, Inc. (*) 10,428,928 10,478,330
IDS Mutual Fund (*) 19,500,246 20,433,695
American Express Trust Equity
Index Fund I (*) 2,743,526 3,037,254
IDS New Dimensions Fund, Inc. (*) 33,734,386 47,102,240
Templeton Foreign Fund 1,526,610 1,397,640
Lands' End, Inc. Stock Fund (*) 332,191 443,084
Total Investments $68,890,922 $83,517,278
Loan to Participants (interest rates
ranging from 7.0% - 11.0%) (*) $ 1,573,958 $ 1,573,958
(*) Represents a party in interest
SCHEDULE G INFORMATION - PART V
REPORTABLE TRANSACTIONS
LANDS' END RETIREMENT
FROM 1/1/97 TO 12/31/97
ACCOUNT DM0144200
DATE SHARES/ UNIT EXPENSE PRINCIPAL COST REALIZED
ACCOUNT BOUGHT/SOLD PAR VALUE PRICE INCURRED CASH ADJUSTMENT GAIN/LOSS
------- ----------- --------- ----- -------- --------- ---------- ---------
BEGINNING MARKET VALUE 61,731,592.71
COMPARATIVE VALUE (5%) 3,086,579.64
---------------------- ------------------
CATEGORY 1 - SINGLE TRANSACTION EXCEEDS 5% OF VALUE
ISSUE: 449444306 - IDS NEW DIMENSIONS FUND Y
DM0144200 12/30/97 B 150,661 23.336 0 3,515,830- * 3,515,830
GRAND TOTAL 0 3,515,830 3,515,830 0
------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------
CATEGORY 2 - SERIES OF TRANSACTIONS WITH SAME BROKER EXCEEDS 5% OF VALUE
*** NO TRANSACTIONS QUALIFIED FOR THIS SECTION ***
- ------------------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------
CATEGORY 3 - SERIES OF TRANSACTIONS IN SAME SECURITY EXCEEDS 5% OF VALUE
ISSUE: 44943K301 - IDS FEDERAL INCOME FUND Y
DATE SHARES/ UNIT EXPENSE PRINCIPAL COST REALIZED
ACCOUNT BOUGHT/SOLD PAR VALUE PRICE INCURRED CASH ADJUSTMENT GAIN/LOSS
------- ----------- --------- ----- -------- --------- ---------- ---------
DM0144200 01/02/97 B 3 4.979 0 14- 14
DM0144200 01/02/97 S 3,349 4.979 0 16,675 16,900 -225
DM0144200 01/03/97 B 0 4.964 0 0- 0
DM0144200 01/03/97 S 69 4.967 0 343 348 -5
DM0144200 01/03/97 B 3,981 4.976 0 19,810- 19,810
DM0144200 01/06/97 B 6 4.976 0 28- 28
DM0144200 01/06/97 S 4,321 4.976 0 21,499 21,802 -303
DM0144200 01/13/97 B 0 4.961 0 0- 0
DM0144200 01/13/97 B 4,635 4.963 0 23,004- 23,004
DM0144200 01/14/97 B 2,293 4.962 0 11,376- 11,376
DM0144200 01/15/97 S 281 4.975 0 1,400 1,420 -20
DM0144200 01/16/97 B 0 4.976 0 1- 1
DM0144200 01/16/97 S 937 4.977 0 4,662 4,727 -64
DM0144200 01/17/97 B 22 4.967 0 107- 107
DM0144200 01/17/97 S 1,732 4.967 0 8,602 8,738 -136
DM0144200 01/21/97 B 0 4.969 0 1- 1
DM0144200 01/21/97 B 5 4.970 0 23- 23
DM0144200 01/21/97 B 5,337 4.970 0 26,527- 26,527
DM0144200 01/21/97 B 25,994 4.970 0 129,191- 129,191
DM0144200 01/23/97 B 4 4.974 0 20- 20
DM0144200 01/23/97 S 873 4.974 0 4,341 4,402 -61
DM0144200 01/24/97 B 18 4.970 0 88- 88
DM0144200 01/24/97 S 3,625 4.970 0 18,018 18,287 -270
DM0144200 01/27/97 B 6 4.964 0 30- 30
DM0144200 01/27/97 S 259 4.964 0 1,287 1,307 -21
DM0144200 01/28/97 B 4,920 4.958 0 24,395- 24,395
DM0144200 01/30/97 B 0 4.969 0 1- 1
DM0144200 01/30/97 S 41 4.969 0 201 204 -3
DM0144200 01/31/97 B 10,992 4.975 0 54,685- 54,685
DM0144200 01/31/97 S 746 4.975 0 3,711 3,763 -51
DM0144200 02/03/97 B 4,517 4.984 0 22,512- 22,512
DM0144200 02/04/97 B 4 4.993 0 19- 19
DM0144200 02/04/97 S 4,690 4.993 0 23,419 23,656 -237
DM0144200 02/05/97 B 4 4.993 0 20- 20
DM0144200 02/05/97 S 2,995 4.993 0 14,956 15,108 -152
DM0144200 02/06/97 S 3,579 4.992 0 17,868 18,052 -185
DM0144200 02/06/97 B 4 4.992 0 22- 22
DM0144200 02/07/97 B 6 4.987 0 28- 28
DM0144200 02/07/97 S 4,078 4.987 0 20,335 20,566 -231
DM0144200 02/10/97 B 12 4.998 0 60- 60
DM0144200 02/10/97 S 7,065 4.998 0 35,310 35,632 -322
DM0144200 02/11/97 B 1 4.999 0 4- 4
DM0144200 02/11/97 S 6,347 4.999 0 31,727 32,010 -283
DM0144200 02/12/97 S 2,286 4.998 0 11,424 11,528 -104
DM0144200 02/12/97 B 2 4.998 0 10- 10
DM0144200 02/13/97 S 567 4.995 0 2,833 2,861 -28
DM0144200 02/14/97 B 8 5.000 0 42- 42
DM0144200 02/14/97 S 3,158 5.000 0 15,788 15,925 -138
DM0144200 02/18/97 B 3,712 5.010 0 18,595- 18,595
DM0144200 02/19/97 B 2 5.009 0 12- 12
DM0144200 02/19/97 S 5,075 5.009 0 25,420 25,595 -175
DM0144200 02/20/97 B 9 5.009 0 45- 45
DM0144200 02/20/97 S 2,435 5.009 0 12,197 12,281 -84
DM0144200 02/21/97 B 11,060 4.998 0 55,277- 55,277
DM0144200 02/24/97 B 6 5.000 0 28- 28
DM0144200 02/24/97 B 2,792 5.000 0 13,959- 13,959
DM0144200 02/25/97 B 2 4.998 0 8- 8
DM0144200 02/25/97 S 341 4.998 0 1,707 1,722 -15
DM0144200 02/26/97 B 5 4.995 0 26- 26
DM0144200 02/26/97 S 1,069 4.995 0 5,339 5,391 -52
DM0144200 02/27/97 B 2 4.975 0 8- 8
DM0144200 02/27/97 S 342 4.975 0 1,702 1,725 -23
DM0144200 02/28/97 B 9,287 4.973 0 46,183- 46,183
DM0144200 02/28/97 S 1,463 4.973 0 7,276 7,378 -102
DM0144200 03/03/97 B 5,018 4.975 0 24,966- 24,966
DM0144200 03/04/97 B 1 4.975 0 5- 5
DM0144200 03/04/97 S 1,178 4.974 0 5,857 5,938 -81
DM0144200 03/06/97 B 2 4.970 0 10- 10
DM0144200 03/06/97 S 1,640 4.970 0 8,149 8,268 -119
DM0144200 03/07/97 B 5 4.966 0 25- 25
DM0144200 03/07/97 S 4,051 4.966 0 20,115 20,426 -311
DM0144200 03/10/97 B 4,103 4.977 0 20,422- 20,422
DM0144200 03/11/97 B 0 4.979 0 0- 0
DM0144200 03/11/97 S 471 4.978 0 2,345 2,375 -30
DM0144200 03/12/97 S 4,307 4.974 0 21,423 21,719 -295
DM0144200 03/13/97 B 6 4.973 0 32- 32
DM0144200 03/13/97 S 2,937 4.973 0 14,605 14,809 -204
DM0144200 03/14/97 B 2 4.956 0 11- 11
DM0144200 03/14/97 S 221 4.956 0 1,095 1,114 -19
DM0144200 03/17/97 B 4 4.961 0 19- 19
DM0144200 03/17/97 B 10,502 4.961 0 52,101- 52,101
DM0144200 03/18/97 S 2,717 4.958 0 13,469 13,697 -228
DM0144200 03/18/97 B 10 4.958 0 49- 49
DM0144200 03/19/97 B 2 4.958 0 11- 11
DM0144200 03/19/97 B 20 4.958 0 99- 99
DM0144200 03/19/97 S 5,282 4.958 0 26,190 26,634 -444
DM0144200 03/20/97 S 101 4.954 0 500 509 -9
DM0144200 03/21/97 B 1 4.956 0 6- 6
DM0144200 03/21/97 S 301 4.956 0 1,491 1,517 -26
DM0144200 03/24/97 B 3,217 4.954 0 15,936- 15,936
DM0144200 03/25/97 B 29 4.958 0 146- 146
DM0144200 03/26/97 B 109,052 4.945 0 539,261- 539,261
DM0144200 03/31/97 B 9,412 4.952 0 46,610- 46,610
DM0144200 03/31/97 B 2,831 4.945 0 14,000- 14,000
DM0144200 03/31/97 B 4,093 4.952 0 20,267- 20,267
DM0144200 04/02/97 B 5 4.938 0 25- 25
DM0144200 04/02/97 S 4,794 4.938 0 23,675 24,144 -469
DM0144200 04/03/97 B 0 4.944 0 2- 2
DM0144200 04/03/97 B 9,127 4.943 0 45,116- 45,116
DM0144200 04/04/97 B 6 4.946 0 32- 32
DM0144200 04/04/97 B 27,898 4.946 0 137,984- 137,984
DM0144200 04/07/97 B 10 4.939 0 49- 49
DM0144200 04/07/97 S 2,475 4.939 0 12,224 12,459 -236
DM0144200 04/08/97 B 2,225 4.946 0 11,007- 11,007
DM0144200 04/10/97 B 1 4.941 0 7- 7
DM0144200 04/10/97 B 175 4.941 0 863- 863
DM0144200 04/11/97 B 3 4.937 0 16- 16
DM0144200 04/11/97 S 1,184 4.937 0 5,847 5,962 -115
DM0144200 04/14/97 B 5 4.929 0 26- 26
DM0144200 04/14/97 B 0 5.000 0 0- 0
DM0144200 04/14/97 S 6,959 4.929 0 34,299 35,030 -731
DM0144200 04/15/97 B 14 4.927 0 70- 70
DM0144200 04/15/97 S 4,137 4.927 0 20,385 20,829 -443
DM0144200 04/17/97 S 582 4.935 0 2,873 2,930 -58
DM0144200 04/17/97 B 3 4.935 0 13- 13
DM0144200 04/18/97 B 40 4.944 0 197- 197
DM0144200 04/18/97 S 13,256 4.944 0 65,537 66,732 -1,195
DM0144200 04/21/97 B 36 4.947 0 180- 180
DM0144200 04/21/97 S 4,635 4.947 0 22,929 23,333 -404
DM0144200 04/22/97 B 14 4.943 0 72- 72
DM0144200 04/22/97 S 3,089 4.943 0 15,269 15,550 -281
DM0144200 04/23/97 B 41 4.946 0 202- 202
DM0144200 04/23/97 S 10,299 4.946 0 50,940 51,848 -908
DM0144200 04/24/97 S 3 4.929 0 16 16 0
DM0144200 04/24/97 S 3 4.945 0 16 16 0
DM0144200 04/25/97 B 6 4.936 0 30- 30
DM0144200 04/25/97 S 1,137 4.936 0 5,610 5,722 -112
DM0144200 04/28/97 B 5 4.933 0 23- 23
DM0144200 04/28/97 B 3,097 4.933 0 15,277- 15,277
DM0144200 04/29/97 B 13 4.936 0 63- 63
DM0144200 04/29/97 S 2,524 4.936 0 12,458 12,705 -247
DM0144200 04/30/97 B 11,704 4.955 0 57,992- 57,992
DM0144200 04/30/97 S 32,276 4.955 0 159,927 162,461 -2,534
DM0144200 05/01/97 B 1 4.962 0 7- 7
DM0144200 05/01/97 S 4,107 4.962 0 20,380 20,673 -294
DM0144200 05/02/97 B 2 4.963 0 11- 11
DM0144200 05/02/97 S 1,901 4.963 0 9,433 9,567 -134
DM0144200 05/05/97 B 0 4.966 0 2- 2
DM0144200 05/05/97 B 9,173 4.966 0 45,555- 45,555
DM0144200 05/06/97 S 13,527 4.966 0 67,176 68,084 -909
DM0144200 05/07/97 B 1 4.968 0 3- 3
DM0144200 05/07/97 B 5,743 4.967 0 28,524- 28,524
DM0144200 05/08/97 B 1 4.960 0 7- 7
DM0144200 05/08/97 S 1,194 4.960 0 5,921 6,008 -87
DM0144200 05/12/97 B 5,554 4.965 0 27,576- 27,576
DM0144200 05/14/97 B 1 4.967 0 6- 6
DM0144200 05/14/97 B 8,063 4.967 0 40,047- 40,047
DM0144200 05/15/97 S 440 4.967 0 2,184 2,213 -29
DM0144200 05/16/97 B 1 4.968 0 6- 6
DM0144200 05/16/97 S 413 4.968 0 2,050 2,077 -27
DM0144200 05/19/97 B 0 4.967 0 1- 1
DM0144200 05/19/97 B 3,507 4.966 0 17,415- 17,415
DM0144200 05/20/97 B 2 4.965 0 12- 12
DM0144200 05/20/97 S 694 4.965 0 3,445 3,492 -47
DM0144200 05/21/97 B 4 4.968 0 20- 20
DM0144200 05/21/97 S 1,090 4.968 0 5,413 5,484 -70
DM0144200 05/27/97 B 3,806 4.969 0 18,912- 18,912
DM0144200 05/27/97 B 2 4.969 0 9- 9
DM0144200 05/28/97 B 4 4.962 0 19- 19
DM0144200 05/28/97 S 794 4.962 0 3,940 3,996 -56
DM0144200 05/29/97 S 211 4.962 0 1,046 1,061 -15
DM0144200 05/30/97 B 55 4.962 0 271- 271
DM0144200 05/30/97 B 9,830 4.966 0 48,815- 48,815
DM0144200 06/02/97 B 4,069 4.976 0 20,248- 20,248
DM0144200 06/04/97 B 1 4.981 0 5- 5
DM0144200 06/04/97 S 1,246 4.981 0 6,205 6,268 -63
DM0144200 06/05/97 B 1 4.984 0 6- 6
DM0144200 06/05/97 S 1,136 4.984 0 5,663 5,718 -54
DM0144200 06/06/97 B 0 4.983 0 2- 2
DM0144200 06/06/97 S 645 4.983 0 3,214 3,245 -32
DM0144200 06/09/97 B 4,693 4.992 0 23,425- 23,425
DM0144200 06/11/97 B 15 4.987 0 72- 72
DM0144200 06/11/97 S 9,236 4.987 0 46,061 46,475 -413
DM0144200 06/16/97 B 2 5.002 0 12- 12
DM0144200 06/16/97 B 3,016 5.002 0 15,084- 15,084
DM0144200 06/19/97 B 3 5.003 0 17- 17
DM0144200 06/19/97 S 1,460 5.003 0 7,306 7,347 -42
DM0144200 06/20/97 B 1 5.002 0 5- 5
DM0144200 06/20/97 S 1,370 5.002 0 6,853 6,894 -41
DM0144200 06/23/97 B 1 5.005 0 3- 3
DM0144200 06/23/97 B 3,846 5.005 0 19,250- 19,250
DM0144200 06/26/97 B 3 4.998 0 14- 14
DM0144200 06/26/97 S 652 4.998 0 3,261 3,283 -22
DM0144200 06/27/97 B 0 5.000 0 0- 0
DM0144200 06/27/97 S 12 4.994 0 62 62 0
DM0144200 06/30/97 B 9,112 4.999 0 45,551- 45,551
DM0144200 06/30/97 B 3,700 4.999 0 18,496- 18,496
DM0144200 07/01/97 B 1 4.993 0 4- 4
DM0144200 07/01/97 S 575 4.993 0 2,873 2,895 -22
DM0144200 07/02/97 B 1 5.000 0 3- 3
DM0144200 07/02/97 S 340 5.001 0 1,700 1,710 -10
DM0144200 07/03/97 B 8 5.001 0 42- 42
DM0144200 07/03/97 S 12,232 5.001 0 61,171 61,543 -372
DM0144200 07/07/97 B 7 5.012 0 34- 34
DM0144200 07/07/97 S 5,993 5.012 0 30,035 30,151 -116
DM0144200 07/08/97 B 3,700 5.016 0 18,562- 18,562
DM0144200 07/09/97 B 5 5.012 0 24- 24
DM0144200 07/09/97 S 3,888 5.012 0 19,488 19,564 -75
DM0144200 07/10/97 S 886 5.014 0 4,444 4,460 -15
DM0144200 07/14/97 B 6 5.019 0 30- 30
DM0144200 07/14/97 B 1,476 5.019 0 7,409- 7,409
DM0144200 07/15/97 B 2 5.017 0 8- 8
DM0144200 07/15/97 S 1,103 5.017 0 5,533 5,549 -16
DM0144200 07/18/97 B 2 5.021 0 8- 8
DM0144200 07/18/97 S 735 5.021 0 3,692 3,699 -8
DM0144200 07/21/97 B 3,935 5.017 0 19,742- 19,742
DM0144200 07/22/97 B 5 5.012 0 27- 27
DM0144200 07/22/97 S 1,517 5.012 0 7,603 7,632 -29
DM0144200 07/23/97 B 9 5.020 0 46- 46
DM0144200 07/23/97 S 1,079 5.020 0 5,418 5,431 -12
DM0144200 07/24/97 B 12 5.026 0 59- 59
DM0144200 07/24/97 B 10,244 5.026 0 51,486- 51,486
DM0144200 07/25/97 B 9 5.025 0 44- 44
DM0144200 07/25/97 S 1,943 5.025 0 9,765 9,778 -12
DM0144200 07/28/97 B 5,211 5.021 0 26,166- 26,166
DM0144200 07/29/97 B 9,340 5.024 0 46,924- 46,924
DM0144200 07/29/97 S 2,931 5.024 0 14,724 14,745 -21
DM0144200 07/30/97 B 1 5.030 0 7- 7
DM0144200 07/30/97 S 2,181 5.030 0 10,970 10,973 -3
DM0144200 07/31/97 B 0 5.036 0 2- 2
DM0144200 07/31/97 S 501 5.035 0 2,525 2,523 2
DM0144200 08/01/97 S 1,984 5.040 0 10,000 9,983 17
DM0144200 08/04/97 B 3 5.023 0 15- 15
DM0144200 08/04/97 B 432 5.023 0 2,172- 2,172
DM0144200 08/05/97 B 233 5.017 0 1,167- 1,167
DM0144200 08/06/97 S 100 5.016 0 500 502 -2
DM0144200 08/07/97 B 16 5.021 0 82- 82
DM0144200 08/07/97 S 8,333 5.021 0 41,840 41,925 -86
DM0144200 08/11/97 B 5 4.999 0 23- 23
DM0144200 08/11/97 B 2,377 4.999 0 11,884- 11,884
DM0144200 08/12/97 B 1,771 5.003 0 8,862- 8,862
DM0144200 08/15/97 B 3,317 5.013 0 16,628- 16,628
DM0144200 08/18/97 B 2 5.018 0 11- 11
DM0144200 08/18/97 B 3,239 5.018 0 16,252- 16,252
DM0144200 08/19/97 S 1,214 5.024 0 6,099 6,108 -9
DM0144200 08/20/97 B 5 5.021 0 24- 24
DM0144200 08/20/97 S 3,847 5.021 0 19,318 19,357 -39
DM0144200 08/21/97 B 14 5.019 0 70- 70
DM0144200 08/21/97 S 3,305 5.019 0 16,586 16,627 -40
DM0144200 08/22/97 S 98 5.012 0 493 495 -2
DM0144200 08/25/97 B 7,680 5.005 0 38,436- 38,436
DM0144200 08/26/97 B 2 5.002 0 12- 12
DM0144200 08/26/97 S 4,363 5.002 0 21,824 21,951 -127
DM0144200 08/28/97 B 1,199 5.003 0 6,000- 6,000
DM0144200 08/29/97 B 10,682 5.012 0 53,536- 53,536
DM0144200 08/29/97 S 1,124 5.012 0 5,632 5,653 -21
DM0144200 09/02/97 B 3,847 5.008 0 19,266- 19,266
DM0144200 09/05/97 B 2 5.010 0 8- 8
DM0144200 09/05/97 S 1,269 5.010 0 6,358 6,385 -27
DM0144200 09/08/97 B 1 5.006 0 5- 5
DM0144200 09/08/97 B 3,219 5.006 0 16,113- 16,113
DM0144200 09/10/97 B 1 5.010 0 5- 5
DM0144200 09/10/97 S 951 5.011 0 4,764 4,783 -19
DM0144200 09/15/97 B 2,227 5.018 0 11,174- 11,174
DM0144200 09/17/97 S 137 5.035 0 688 687 1
DM0144200 09/19/97 S 507 5.030 0 2,550 2,551 0
DM0144200 09/22/97 B 0 5.031 0 1- 1
DM0144200 09/22/97 B 3,826 5.030 0 19,247- 19,247
DM0144200 09/23/97 B 9 5.034 0 43- 43
DM0144200 09/23/97 B 507 5.030 0 2,550- 2,550
DM0144200 09/23/97 S 2,057 5.034 0 10,354 10,348 7
DM0144200 09/24/97 B 2,143 5.030 0 10,781- 10,781
DM0144200 09/25/97 B 7 5.036 0 37- 37
DM0144200 09/25/97 S 603 5.036 0 3,039 3,036 3
DM0144200 09/26/97 S 1,451 5.025 0 7,291 7,300 -8
DM0144200 09/29/97 B 9,340 5.031 0 46,987- 46,987
DM0144200 09/29/97 B 3,915 5.031 0 19,695- 19,695
DM0144200 10/02/97 B 438 5.038 0 2,206- 2,206
DM0144200 10/03/97 B 7 5.042 0 37- 37
DM0144200 10/03/97 B 2,432 5.042 0 12,265- 12,265
DM0144200 10/06/97 B 0 5.037 0 2- 2
DM0144200 10/06/97 B 3,636 5.038 0 18,320- 18,320
DM0144200 10/07/97 B 4 5.043 0 21- 21
DM0144200 10/07/97 S 3,011 5.043 0 15,185 15,149 37
DM0144200 10/08/97 B 97 5.046 0 490- 490
DM0144200 10/09/97 S 10,636 5.027 0 53,467 53,508 -41
DM0144200 10/09/97 B 23 5.027 0 115- 115
DM0144200 10/10/97 S 50 5.024 0 249 250 0
DM0144200 10/14/97 B 3,906 5.023 0 19,618- 19,618
DM0144200 10/14/97 S 17 5.023 0 84 84 0
DM0144200 10/15/97 B 2 5.033 0 10- 10
DM0144200 10/15/97 S 874 5.033 0 4,400 4,398 2
DM0144200 10/20/97 B 18 5.015 0 92- 92
DM0144200 10/20/97 S 2,991 5.015 0 14,999 15,046 -47
DM0144200 10/21/97 B 25 5.018 0 123- 123
DM0144200 10/21/97 S 6,276 5.018 0 31,491 31,572 -81
DM0144200 10/22/97 B 12 5.019 0 62- 62
DM0144200 10/22/97 S 2,829 5.019 0 14,200 14,233 -34
DM0144200 10/23/97 B 6 5.019 0 28- 28
DM0144200 10/23/97 S 7,969 5.019 0 39,995 40,089 -94
DM0144200 10/24/97 B 5 5.034 0 24- 24
DM0144200 10/24/97 B 14,249 5.034 0 71,729- 71,729
DM0144200 10/27/97 B 3 5.033 0 13- 13
DM0144200 10/27/97 B 23,726 5.033 0 119,415- 119,415
DM0144200 10/28/97 B 6 5.057 0 29- 29
DM0144200 10/28/97 B 10,330 5.057 0 52,241- 52,241
DM0144200 10/29/97 B 62 5.036 0 312- 312
DM0144200 10/29/97 B 9,768 5.036 0 49,192- 49,192
DM0144200 10/31/97 B 1 5.041 0 7- 7
DM0144200 10/31/97 S 8,248 5.041 0 41,580 41,498 82
DM0144200 10/31/97 S 863 5.049 0 4,359 4,343 15
DM0144200 11/03/97 B 10,956 5.041 0 55,229- 55,229
DM0144200 11/03/97 B 10,842 5.045 0 54,697- 54,697
DM0144200 11/04/97 S 3,586 5.039 0 18,071 18,043 28
DM0144200 11/05/97 B 1 5.035 0 7- 7
DM0144200 11/05/97 S 1,255 5.035 0 6,321 6,316 5
DM0144200 11/06/97 B 16 5.038 0 78- 78
DM0144200 11/06/97 S 11,477 5.038 0 57,822 57,744 78
DM0144200 11/07/97 B 6,892 5.043 0 34,758- 34,758
DM0144200 11/10/97 B 9 5.043 0 48- 48
DM0144200 11/10/97 S 29,109 5.043 0 146,796 146,454 343
DM0144200 11/13/97 B 14 5.044 0 72- 72
DM0144200 11/13/97 S 6,343 5.044 0 31,995 31,914 81
DM0144200 11/14/97 B 4,332 5.048 0 21,868- 21,868
DM0144200 11/17/97 B 17 5.045 0 86- 86
DM0144200 11/17/97 B 45 5.034 0 224- 224
DM0144200 11/17/97 S 3,086 5.045 0 15,570 15,527 42
DM0144200 11/18/97 B 13 5.047 0 65- 65
DM0144200 11/18/97 S 6,902 5.047 0 34,834 34,725 109
DM0144200 11/19/97 B 0 5.045 0 1- 1
DM0144200 11/19/97 S 946 5.048 0 4,777 4,761 16
DM0144200 11/20/97 S 424 5.050 0 2,143 2,135 8
DM0144200 11/21/97 B 9,261 5.047 0 46,743- 46,743
DM0144200 11/24/97 B 8 5.052 0 42- 42
DM0144200 11/24/97 B 2,166 5.052 0 10,942- 10,942
DM0144200 11/25/97 B 12,894 5.047 0 65,077- 65,077
DM0144200 11/26/97 B 7 5.045 0 34- 34
DM0144200 11/26/97 S 1,626 5.045 0 8,205 8,183 22
DM0144200 11/28/97 B 9,865 5.043 0 49,751- 49,751
DM0144200 11/28/97 S 1,018 5.043 0 5,132 5,120 12
DM0144200 12/01/97 S 9,230 5.038 0 46,503 46,443 60
DM0144200 12/03/97 S 232 5.045 0 1,171 1,168 3
DM0144200 12/04/97 B 0 5.049 0 2- 2
DM0144200 12/04/97 S 233 5.048 0 1,175 1,171 4
DM0144200 12/08/97 S 198 5.043 0 1,000 998 2
DM0144200 12/09/97 B 28 5.041 0 140- 140
DM0144200 12/09/97 B 4,425 5.043 0 22,317- 22,317
DM0144200 12/09/97 S 13,063 5.041 0 65,852 65,728 124
DM0144200 12/10/97 S 625 5.041 0 3,151 3,145 6
DM0144200 12/12/97 B 0 5.061 0 2- 2
DM0144200 12/12/97 B 11,418 5.061 0 57,784- 57,784
DM0144200 12/15/97 B 2 5.062 0 10- 10
DM0144200 12/15/97 S 7,149 5.062 0 36,188 35,971 217
DM0144200 12/16/97 S 38 5.058 0 194 193 1
DM0144200 12/17/97 B 99 5.057 0 503- 503
DM0144200 12/18/97 S 272 5.052 0 1,375 1,370 6
DM0144200 12/19/97 B 30 5.057 0 152- 152
DM0144200 12/22/97 B 13,025 5.059 0 65,892- 65,892
DM0144200 12/23/97 B 5,418 5.058 0 27,406- 27,406
DM0144200 12/26/97 B 8,987 5.055 0 45,428- 45,428
DM0144200 12/29/97 B 9,570 5.052 0 48,346- 48,346
DM0144200 12/29/97 B 3,932 5.052 0 19,865- 19,865
DM0144200 12/31/97 S 1,387 5.048 0 7,000 6,978 22
---- ---------- ---------- --------
SUB-TOTAL 0 5,371,880 5,387,041 -15,157
ISSUE: 449442409 - IDS MUTUAL FUND Y
DATE SHARES/ UNIT EXPENSE PRINCIPAL COST REALIZED
ACCOUNT BOUGHT/SOLD PAR VALUE PRICE INCURRED CASH ADJUSTMENT GAIN/LOSS
- -------- ----------- --------- ----- -------- --------- ---------- ---------
DM0144200 01/03/97 S 549 13.403 0 7,354 6,906 448
DM0144200 01/03/97 B 2,714 13.496 0 36,628- 36,628
DM0144200 01/06/97 S 12 13.496 0 167 156 11
DM0144200 01/07/97 S 2,418 13.487 0 32,616 30,442 2,174
DM0144200 01/09/97 S 403 13.475 0 5,436 5,079 358
DM0144200 01/13/97 B 3,973 13.531 0 53,753- 53,753
DM0144200 01/14/97 S 7 13.555 0 99 92 7
DM0144200 01/16/97 S 783 13.671 0 10,707 9,861 846
DM0144200 01/17/97 B 521 13.675 0 7,130- 7,130
DM0144200 01/21/97 B 2,949 13.736 0 40,502- 40,502
DM0144200 01/21/97 S 2,581 13.722 0 35,413 32,503 2,910
DM0144200 01/23/97 S 10,760 13.811 0 148,610 135,521 13,090
DM0144200 01/24/97 S 164 13.742 0 2,258 2,069 189
DM0144200 01/27/97 S 834 13.675 0 11,409 10,508 901
DM0144200 01/28/97 B 3,005 13.612 0 40,904- 40,904
DM0144200 01/29/97 S 2,311 13.578 0 31,383 29,116 2,267
DM0144200 01/30/97 S 120 13.623 0 1,635 1,512 123
DM0144200 01/31/97 S 541 13.718 0 7,426 6,819 607
DM0144200 02/03/97 B 2,866 13.740 0 39,375- 39,375
DM0144200 02/04/97 S 1,293 13.779 0 17,817 16,293 1,525
DM0144200 02/05/97 S 2,122 13.816 0 29,318 26,738 2,581
DM0144200 02/06/97 S 691 13.757 0 9,511 8,711 800
DM0144200 02/07/97 S 2,859 13.776 0 39,380 36,018 3,362
DM0144200 02/10/97 B 387 13.872 0 5,373- 5,373
DM0144200 02/11/97 B 1,874 13.897 0 26,049- 26,049
DM0144200 02/12/97 S 332 13.948 0 4,635 4,188 447
DM0144200 02/13/97 S 2,386 14.016 0 33,444 30,071 3,373
DM0144200 02/14/97 B 526 14.104 0 7,418- 7,418
DM0144200 02/18/97 B 2,696 14.104 0 38,027- 38,027
DM0144200 02/19/97 S 211 14.172 0 2,994 2,664 331
DM0144200 02/20/97 S 1,794 14.122 0 25,340 22,621 2,720
DM0144200 02/21/97 S 455 14.049 0 6,392 5,735 656
DM0144200 02/24/97 B 2,670 14.056 0 37,531- 37,531
DM0144200 02/25/97 S 368 14.125 0 5,203 4,645 558
DM0144200 02/26/97 B 36 14.165 0 512- 512
DM0144200 02/27/97 B 5,037 14.071 0 70,874- 70,874
DM0144200 02/28/97 S 2,185 14.014 0 30,620 27,565 3,055
DM0144200 03/03/97 B 759 13.988 0 10,619- 10,619
DM0144200 03/04/97 S 2,022 14.005 0 28,315 25,509 2,807
DM0144200 03/06/97 S 255 14.043 0 3,581 3,217 364
DM0144200 03/07/97 S 4,722 14.052 0 66,355 59,578 6,777
DM0144200 03/10/97 B 2,617 14.136 0 36,991- 36,991
DM0144200 03/11/97 B 24 14.217 0 343- 343
DM0144200 03/12/97 B 2,630 14.212 0 37,383- 37,383
DM0144200 03/13/97 S 94 14.151 0 1,336 1,192 144
DM0144200 03/14/97 S 1,085 13.978 0 15,167 13,698 1,469
DM0144200 03/17/97 B 23,758 14.050 0 333,793- 333,793
DM0144200 03/18/97 S 320 14.052 0 4,501 4,053 449
DM0144200 03/20/97 S 447 13.965 0 6,236 5,649 586
DM0144200 03/21/97 S 44 13.875 0 611 557 54
DM0144200 03/24/97 B 3,261 13.904 0 45,340- 45,340
DM0144200 03/25/97 B 94 13.983 0 1,315- 1,315
DM0144200 03/26/97 B 52,344 13.946 0 729,996- 729,996
DM0144200 03/27/97 S 110 13.946 0 1,533 1,398 135
DM0144200 03/31/97 B 13,302 13.621 0 181,182- 181,182
DM0144200 03/31/97 B 1,454 13.621 0 19,801- 19,801
DM0144200 03/31/97 S 359 13.946 0 5,000 4,560 440
DM0144200 04/01/97 S 58 13.514 0 784 738 46
DM0144200 04/02/97 S 940 13.523 0 12,707 11,952 755
DM0144200 04/03/97 S 141 13.621 0 1,922 1,795 127
DM0144200 04/03/97 S 2,548 13.454 0 34,279 32,408 1,871
DM0144200 04/04/97 S 9,062 13.408 0 121,501 115,262 6,239
DM0144200 04/07/97 S 1,058 13.436 0 14,213 13,455 758
DM0144200 04/08/97 S 496 13.503 0 6,697 6,308 389
DM0144200 04/10/97 B 345 13.475 0 4,648- 4,648
DM0144200 04/14/97 B 3,035 13.295 0 40,356- 40,356
DM0144200 04/15/97 S 2,971 13.285 0 39,465 37,790 1,675
DM0144200 04/17/97 S 26 13.498 0 355 335 20
DM0144200 04/18/97 B 3,341 13.495 0 45,092- 45,092
DM0144200 04/21/97 B 1,689 13.532 0 22,858- 22,858
DM0144200 04/22/97 S 945 13.464 0 12,718 12,020 699
DM0144200 04/23/97 S 9,628 13.574 0 130,691 122,509 8,182
DM0144200 04/24/97 S 1,342 13.544 0 18,171 17,071 1,100
DM0144200 04/25/97 B 323 13.511 0 4,363- 4,363
DM0144200 04/28/97 B 2,732 13.489 0 36,856- 36,856
DM0144200 04/29/97 S 497 13.562 0 6,744 6,328 416
DM0144200 04/30/97 B 2,556 13.754 0 35,154- 35,154
DM0144200 05/01/97 S 2,768 13.802 0 38,207 35,234 2,973
DM0144200 05/02/97 S 702 13.787 0 9,683 8,940 744
DM0144200 05/05/97 B 2,331 13.907 0 32,411- 32,411
DM0144200 05/06/97 S 18,262 14.066 0 256,878 232,485 24,392
DM0144200 05/07/97 S 396 14.080 0 5,580 5,046 535
DM0144200 05/08/97 S 60 13.977 0 838 763 75
DM0144200 05/12/97 B 1,681 14.070 0 23,655- 23,655
DM0144200 05/13/97 B 4 14.070 0 57- 57
DM0144200 05/13/97 S 634 14.201 0 9,001 8,070 931
DM0144200 05/14/97 S 2,830 14.160 0 40,071 36,030 4,041
DM0144200 05/15/97 B 32 14.208 0 451- 451
DM0144200 05/16/97 S 835 14.235 0 11,886 10,631 1,255
DM0144200 05/19/97 B 2,614 14.174 0 37,056- 37,056
DM0144200 05/21/97 S 281 14.225 0 4,000 3,581 419
DM0144200 05/22/97 S 456 14.213 0 6,477 5,803 673
DM0144200 05/27/97 B 2,760 14.278 0 39,414- 39,414
DM0144200 05/28/97 S 999 14.264 0 14,254 12,730 1,524
DM0144200 05/29/97 S 1,354 14.266 0 19,321 17,252 2,068
DM0144200 05/30/97 B 1 14.070 0 18- 18
DM0144200 05/30/97 S 4 14.254 0 57 51 6
DM0144200 06/02/97 B 2,555 14.331 0 36,623- 36,623
DM0144200 06/04/97 S 264 14.338 0 3,791 3,369 422
DM0144200 06/05/97 S 334 14.315 0 4,782 4,257 525
DM0144200 06/06/97 S 70 14.337 0 1,008 896 112
DM0144200 06/09/97 B 2,804 14.463 0 40,554- 40,554
DM0144200 06/11/97 S 2,916 14.517 0 42,329 37,164 5,164
DM0144200 06/16/97 B 1,964 14.757 0 28,985- 28,985
DM0144200 06/18/97 S 285 14.751 0 4,207 3,636 571
DM0144200 06/19/97 S 1,129 14.737 0 16,637 14,393 2,244
DM0144200 06/20/97 B 151 14.803 0 2,232- 2,232
DM0144200 06/23/97 B 2,904 14.814 0 43,013- 43,013
DM0144200 06/26/97 S 272 14.714 0 4,002 3,469 533
DM0144200 06/27/97 S 612 14.698 0 8,998 7,808 1,190
DM0144200 06/30/97 B 11,677 14.597 0 170,456- 170,456
DM0144200 06/30/97 B 2,448 14.597 0 35,731- 35,731
DM0144200 07/01/97 S 69 14.563 0 1,000 877 123
DM0144200 07/02/97 S 165 14.658 0 2,412 2,102 310
DM0144200 07/03/97 B 791 14.753 0 11,670- 11,670
DM0144200 07/07/97 S 63 14.899 0 940 806 134
DM0144200 07/08/97 S 615 14.887 0 9,155 7,857 1,298
DM0144200 07/09/97 S 1,363 14.946 0 20,372 17,414 2,958
DM0144200 07/14/97 B 1,497 14.970 0 22,404- 22,404
DM0144200 07/15/97 B 756 14.953 0 11,306- 11,306
DM0144200 07/18/97 S 286 15.041 0 4,295 3,649 646
DM0144200 07/21/97 B 2,367 14.930 0 35,342- 35,342
DM0144200 07/22/97 S 1,835 14.903 0 27,347 23,459 3,888
DM0144200 07/23/97 B 9 15.089 0 143- 143
DM0144200 07/24/97 S 288 15.089 0 4,343 3,679 663
DM0144200 07/25/97 S 348 15.134 0 5,265 4,447 818
DM0144200 07/28/97 B 2,226 15.111 0 33,637- 33,637
DM0144200 07/29/97 S 984 15.127 0 14,885 12,583 2,301
DM0144200 07/30/97 B 377 15.190 0 5,719- 5,719
DM0144200 07/31/97 S 63 15.267 0 969 812 157
DM0144200 08/01/97 B 131 15.277 0 2,000- 2,000
DM0144200 08/04/97 B 1,723 15.157 0 26,117- 26,117
DM0144200 08/05/97 B 77 15.178 0 1,167- 1,167
DM0144200 08/07/97 B 2,433 15.249 0 37,106- 37,106
DM0144200 08/08/97 S 817 15.197 0 12,418 10,457 1,961
DM0144200 08/11/97 B 2,530 15.038 0 38,046- 38,046
DM0144200 08/12/97 S 5,882 15.146 0 89,091 75,302 13,790
DM0144200 08/13/97 B 21,291 15.102 0 321,531- 321,531
DM0144200 08/14/97 S 812 15.053 0 12,218 10,421 1,796
DM0144200 08/15/97 S 979 15.082 0 14,771 12,575 2,196
DM0144200 08/18/97 B 2,361 14.950 0 35,300- 35,300
DM0144200 08/19/97 S 89 15.004 0 1,338 1,146 193
DM0144200 08/20/97 S 20,409 15.071 0 307,577 262,122 45,455
DM0144200 08/21/97 S 1,219 15.125 0 18,441 15,659 2,781
DM0144200 08/22/97 B 7 15.033 0 99- 99
DM0144200 08/25/97 B 1,463 15.015 0 21,968- 21,968
DM0144200 08/26/97 B 932 15.010 0 13,982- 13,982
DM0144200 08/27/97 S 136 14.998 0 2,045 1,752 293
DM0144200 08/28/97 S 468 15.018 0 7,027 6,012 1,015
DM0144200 08/29/97 S 236 14.984 0 3,541 3,036 505
DM0144200 09/02/97 B 2,430 14.930 0 36,273- 36,273
DM0144200 09/05/97 S 735 15.143 0 11,137 9,452 1,685
DM0144200 09/08/97 B 551 15.107 0 8,321- 8,321
DM0144200 09/10/97 S 250 15.186 0 3,791 3,209 582
DM0144200 09/15/97 B 22,801 15.156 0 345,566- 345,566
DM0144200 09/17/97 S 627 15.373 0 9,636 8,082 1,554
DM0144200 09/19/97 S 288 15.425 0 4,441 3,712 729
DM0144200 09/22/97 B 2,294 15.417 0 35,369- 35,369
DM0144200 09/23/97 B 288 15.425 0 4,441- 4,441
DM0144200 09/23/97 S 494 15.449 0 7,632 6,372 1,260
DM0144200 09/24/97 S 372 15.411 0 5,728 4,795 934
DM0144200 09/25/97 S 1 15.405 0 14 12 2
DM0144200 09/26/97 S 845 15.344 0 12,969 10,903 2,067
DM0144200 09/29/97 B 12,908 15.284 0 197,279- 197,279
DM0144200 09/29/97 B 2,348 15.284 0 35,894- 35,894
DM0144200 10/01/97 B 1 15.319 0 11- 11
DM0144200 10/02/97 S 1,979 15.411 0 30,503 25,586 4,917
DM0144200 10/03/97 B 201 15.439 0 3,106- 3,106
DM0144200 10/06/97 B 1,671 15.462 0 25,836- 25,836
DM0144200 10/07/97 S 72 15.533 0 1,121 933 188
DM0144200 10/09/97 S 7,792 15.441 0 120,322 100,758 19,564
DM0144200 10/10/97 B 51 15.394 0 782- 782
DM0144200 10/14/97 B 2,318 15.349 0 35,585- 35,585
DM0144200 10/14/97 S 21,409 15.389 0 329,460 276,918 52,542
DM0144200 10/15/97 S 830 15.435 0 12,806 10,731 2,074
DM0144200 10/20/97 B 2,349 15.309 0 35,955- 35,955
DM0144200 10/21/97 B 864 15.381 0 13,288- 13,288
DM0144200 10/22/97 S 568 15.439 0 8,767 7,349 1,419
DM0144200 10/23/97 S 2,735 15.399 0 42,116 35,393 6,723
DM0144200 10/24/97 S 877 15.303 0 13,421 11,349 2,072
DM0144200 10/27/97 B 347 15.268 0 5,294- 5,294
DM0144200 10/28/97 S 2,296 15.035 0 34,518 29,712 4,807
DM0144200 10/29/97 B 336 15.080 0 5,064- 5,064
DM0144200 10/31/97 S 104 15.126 0 1,575 1,348 227
DM0144200 10/31/97 S 355 15.067 0 5,342 4,588 753
DM0144200 11/03/97 B 2,392 15.120 0 36,175- 36,175
DM0144200 11/04/97 S 697 15.233 0 10,616 9,022 1,594
DM0144200 11/05/97 S 78 15.218 0 1,192 1,014 178
DM0144200 11/06/97 S 16 15.217 0 248 211 37
DM0144200 11/07/97 B 20,398 15.210 0 310,253- 310,253
DM0144200 11/10/97 B 3,114 15.148 0 47,178- 47,178
DM0144200 11/12/97 S 478 15.151 0 7,235 6,202 1,033
DM0144200 11/13/97 B 648 15.114 0 9,800- 9,800
DM0144200 11/14/97 S 203 15.145 0 3,077 2,639 438
DM0144200 11/17/97 B 58 15.303 0 887- 887
DM0144200 11/17/97 B 3,077 15.197 0 46,755- 46,755
DM0144200 11/18/97 S 303 15.323 0 4,645 3,939 706
DM0144200 11/19/97 S 452 15.308 0 6,922 5,875 1,047
DM0144200 11/20/97 B 1,122 15.352 0 17,222- 17,222
DM0144200 11/21/97 S 719 15.415 0 11,085 9,345 1,740
DM0144200 11/24/97 B 939 15.451 0 14,509- 14,509
DM0144200 11/26/97 S 594 15.385 0 9,139 7,721 1,418
DM0144200 11/28/97 S 331 15.377 0 5,089 4,301 788
DM0144200 12/01/97 B 2,616 15.397 0 40,279- 40,279
DM0144200 12/02/97 S 256 15.469 0 3,960 3,329 632
DM0144200 12/03/97 S 59 15.458 0 907 763 144
DM0144200 12/04/97 S 152 15.498 0 2,356 1,976 379
DM0144200 12/08/97 S 388 15.481 0 6,012 5,049 963
DM0144200 12/09/97 B 2,652 15.481 0 41,050- 41,050
DM0144200 12/09/97 B 607 15.449 0 9,376- 9,376
DM0144200 12/10/97 S 23 15.436 0 362 305 57
DM0144200 12/11/97 S 500 15.441 0 7,715 6,499 1,215
DM0144200 12/12/97 S 668 15.398 0 10,292 8,694 1,597
DM0144200 12/15/97 B 2,789 15.406 0 42,973- 42,973
DM0144200 12/16/97 S 31 15.471 0 476 400 76
DM0144200 12/18/97 S 405 15.478 0 6,267 5,269 998
DM0144200 12/19/97 B 4 15.455 0 63- 63
DM0144200 12/22/97 B 8,129 15.412 0 125,279- 125,279
DM0144200 12/23/97 S 923 15.445 0 14,257 12,026 2,231
DM0144200 12/24/97 S 228 15.337 0 3,500 2,974 527
DM0144200 12/26/97 S 799 15.303 0 12,221 10,407 1,813
DM0144200 12/29/97 B 2,529 15.310 0 38,722- 38,722
DM0144200 12/30/97 B 174,785 13.610 0 2,378,830- 2,378,830
DM0144200 12/30/97 S 985 13.610 0 13,412 12,909 502
DM0144200 12/31/97 B 1,008 13.700 0 13,805- 13,805
---- ----------- ---------- ---------
SUB-TOTAL 0 9,949,369 9,612,640 336,731
ISSUE: 449444306 - IDS NEW DIMENSIONS FUND Y
DATE SHARES/ UNIT EXPENSE PRINCIPAL COST REALIZED
ACCOUNT BOUGHT/SOLD PAR VALUE PRICE INCURRED CASH ADJUSTMENT GAIN/LOSS
- -------- ----------- --------- ----- -------- --------- ---------- ---------
DM0144200 01/02/97 B 20 21.405 0 424- 424
DM0144200 01/02/97 B 805 20.708 0 16,675- 16,675
DM0144200 01/03/97 S 484 20.530 0 9,934 7,407 2,528
DM0144200 01/03/97 B 3,694 20.932 0 77,316- 77,316
DM0144200 01/06/97 B 1,027 20.932 0 21,499- 21,499
DM0144200 01/06/97 S 11 20.932 0 236 174 62
DM0144200 01/07/97 S 1,604 20.982 0 33,651 24,573 9,078
DM0144200 01/09/97 S 1,374 21.009 0 28,866 21,052 7,814
DM0144200 01/13/97 B 5,404 21.221 0 114,672- 114,672
DM0144200 01/14/97 S 552 21.217 0 11,702 8,461 3,241
DM0144200 01/16/97 S 1,027 21.303 0 21,885 15,760 6,125
DM0144200 01/17/97 S 692 21.377 0 14,794 10,617 4,177
DM0144200 01/21/97 B 4,270 21.600 0 92,233- 92,233
DM0144200 01/21/97 S 4,328 21.670 0 93,778 66,456 27,322
DM0144200 01/23/97 B 6,964 21.962 0 152,951- 152,951
DM0144200 01/24/97 B 772 21.770 0 16,803- 16,803
DM0144200 01/27/97 S 1,645 21.496 0 35,371 25,319 10,053
DM0144200 01/28/97 B 3,610 21.343 0 77,045- 77,045
DM0144200 01/29/97 B 1,321 21.358 0 28,214- 28,214
DM0144200 01/30/97 B 76 21.465 0 1,635- 1,635
DM0144200 01/31/97 S 506 21.783 0 11,021 7,794 3,227
DM0144200 02/03/97 B 3,803 21.873 0 83,182- 83,182
DM0144200 02/04/97 S 933 21.846 0 20,381 14,385 5,996
DM0144200 02/05/97 S 660 21.869 0 14,434 10,177 4,257
DM0144200 02/06/97 S 1,482 21.550 0 31,938 22,852 9,087
DM0144200 02/07/97 B 995 21.618 0 21,511- 21,511
DM0144200 02/10/97 B 299 21.858 0 6,541- 6,541
DM0144200 02/11/97 B 3,299 21.586 0 71,202- 71,202
DM0144200 02/12/97 S 188 21.657 0 4,066 2,898 1,168
DM0144200 02/13/97 S 2,982 22.096 0 65,881 46,023 19,859
DM0144200 02/14/97 B 294 22.273 0 6,549- 6,549
DM0144200 02/18/97 B 2,074 22.185 0 46,017- 46,017
DM0144200 02/19/97 B 177 22.369 0 3,968- 3,968
DM0144200 02/20/97 S 420 22.326 0 9,374 6,485 2,889
DM0144200 02/21/97 S 3,397 22.028 0 74,833 52,472 22,361
DM0144200 02/24/97 B 3,711 21.907 0 81,301- 81,301
DM0144200 02/25/97 B 3,701 22.025 0 81,515- 81,515
DM0144200 02/26/97 S 327 21.983 0 7,192 5,062 2,129
DM0144200 02/27/97 B 834 21.854 0 18,220- 18,220
DM0144200 02/28/97 S 1,623 21.510 0 34,905 25,115 9,790
DM0144200 03/03/97 B 2,948 21.403 0 63,089- 63,089
DM0144200 03/04/97 B 354 21.477 0 7,609- 7,609
DM0144200 03/05/97 S 488 21.423 0 10,460 7,562 2,897
DM0144200 03/06/97 B 606 21.754 0 13,174- 13,174
DM0144200 03/07/97 S 1,318 21.617 0 28,481 20,410 8,071
DM0144200 03/10/97 B 3,686 21.707 0 80,012- 80,012
DM0144200 03/11/97 B 28 21.913 0 610- 610
DM0144200 03/12/97 S 176 21.822 0 3,832 2,723 1,109
DM0144200 03/13/97 S 1,684 21.639 0 36,449 26,116 10,333
DM0144200 03/14/97 S 804 21.324 0 17,154 12,472 4,681
DM0144200 03/17/97 S 2,578 21.411 0 55,201 39,973 15,228
DM0144200 03/18/97 S 36 21.398 0 774 561 213
DM0144200 03/19/97 B 148 21.273 0 3,146- 3,146
DM0144200 03/20/97 S 919 21.162 0 19,446 14,248 5,198
DM0144200 03/21/97 S 762 21.139 0 16,113 11,818 4,294
DM0144200 03/24/97 B 2,167 21.164 0 45,857- 45,857
DM0144200 03/26/97 B 68,020 21.220 0 1,443,388- 1,443,388
DM0144200 03/27/97 S 42 21.220 0 900 669 232
DM0144200 03/31/97 B 3,535 20.854 0 73,710- 73,710
DM0144200 03/31/97 S 283 21.220 0 6,000 4,451 1,549
DM0144200 04/01/97 S 32 20.363 0 647 500 147
DM0144200 04/02/97 S 3,498 20.489 0 71,669 55,063 16,606
DM0144200 04/03/97 S 138 20.854 0 2,883 2,176 707
DM0144200 04/03/97 S 1,361 20.218 0 27,507 21,417 6,090
DM0144200 04/04/97 S 2,867 20.317 0 58,239 45,124 13,115
DM0144200 04/07/97 B 6,896 20.587 0 141,975- 141,975
DM0144200 04/08/97 S 1,495 20.664 0 30,883 23,554 7,328
DM0144200 04/10/97 S 1,977 20.645 0 40,824 31,165 9,659
DM0144200 04/11/97 B 143 20.505 0 2,924- 2,924
DM0144200 04/14/97 B 4,283 19.976 0 85,548- 85,548
DM0144200 04/15/97 B 8 21.358 0 169- 169
DM0144200 04/15/97 S 2,199 20.182 0 44,385 34,684 9,701
DM0144200 04/16/97 S 8 20.366 0 169 131 38
DM0144200 04/17/97 B 74 20.483 0 1,518- 1,518
DM0144200 04/18/97 S 497 20.463 0 10,163 7,833 2,330
DM0144200 04/21/97 B 4,989 20.503 0 102,293- 102,293
DM0144200 04/22/97 B 8 20.366 0 169- 169
DM0144200 04/22/97 S 6,186 20.326 0 125,733 97,641 28,092
DM0144200 04/23/97 S 2,756 20.737 0 57,141 43,495 13,646
DM0144200 04/24/97 B 1,395 20.798 0 29,005- 29,005
DM0144200 04/25/97 S 2,451 20.768 0 50,899 38,695 12,204
DM0144200 04/28/97 B 3,828 20.563 0 78,705- 78,705
DM0144200 04/29/97 S 632 20.728 0 13,103 9,987 3,116
DM0144200 04/30/97 S 6,299 21.247 0 133,845 99,525 34,320
DM0144200 04/30/97 S 9 21.247 0 193 143 49
DM0144200 05/01/97 S 2,461 21.503 0 52,922 38,883 14,039
DM0144200 05/02/97 B 86 21.471 0 1,840- 1,840
DM0144200 05/05/97 B 992 21.894 0 21,711- 21,711
DM0144200 05/06/97 B 10,939 22.241 0 243,291- 243,291
DM0144200 05/07/97 S 1,482 22.183 0 32,882 23,483 9,399
DM0144200 05/08/97 B 1,680 21.926 0 36,847- 36,847
DM0144200 05/12/97 B 2,513 22.189 0 55,757- 55,757
DM0144200 05/12/97 S 241 22.060 0 5,317 3,822 1,495
DM0144200 05/13/97 B 3 22.189 0 66- 66
DM0144200 05/13/97 S 0 22.483 0 1 0 0
DM0144200 05/14/97 S 1,225 22.427 0 27,477 19,428 8,049
DM0144200 05/15/97 B 239 22.468 0 5,365- 5,365
DM0144200 05/16/97 S 529 22.679 0 12,000 8,391 3,609
DM0144200 05/19/97 B 3,718 22.350 0 83,089- 83,089
DM0144200 05/20/97 S 3,514 22.341 0 78,515 55,779 22,736
DM0144200 05/21/97 S 2,118 22.639 0 47,958 33,622 14,336
DM0144200 05/22/97 S 600 22.632 0 13,589 9,530 4,059
DM0144200 05/27/97 B 3,638 22.762 0 82,799- 82,799
DM0144200 05/28/97 B 218 22.855 0 4,984- 4,984
DM0144200 05/29/97 B 2 22.855 0 48- 48
DM0144200 05/29/97 S 460 22.771 0 10,475 7,308 3,167
DM0144200 05/30/97 B 1 22.189 0 20- 20
DM0144200 05/30/97 S 1,993 22.688 0 45,226 31,668 13,558
DM0144200 06/02/97 B 3,506 22.782 0 79,871- 79,871
DM0144200 06/04/97 S 563 22.606 0 12,735 8,957 3,778
DM0144200 06/05/97 S 263 22.548 0 5,921 4,175 1,746
DM0144200 06/06/97 B 2,093 22.660 0 47,434- 47,434
DM0144200 06/09/97 B 3,512 23.017 0 80,840- 80,840
DM0144200 06/11/97 S 1,892 23.100 0 43,716 30,133 13,584
DM0144200 06/13/97 S 421 23.484 0 9,894 6,708 3,186
DM0144200 06/16/97 S 1,038 23.715 0 24,622 16,531 8,091
DM0144200 06/19/97 S 800 23.569 0 18,846 12,732 6,115
DM0144200 06/20/97 S 350 23.827 0 8,342 5,574 2,767
DM0144200 06/23/97 B 3,376 23.884 0 80,623- 80,623
DM0144200 06/24/97 S 67 23.395 0 1,574 1,072 502
DM0144200 06/25/97 S 41 23.782 0 978 656 323
DM0144200 06/27/97 S 86 23.539 0 2,031 1,375 656
DM0144200 06/30/97 B 3,274 23.650 0 77,438- 77,438
DM0144200 07/01/97 B 14 23.540 0 338- 338
DM0144200 07/02/97 S 458 23.699 0 10,859 7,309 3,550
DM0144200 07/03/97 B 25 24.112 0 602- 602
DM0144200 07/07/97 B 310 24.455 0 7,577- 7,577
DM0144200 07/08/97 B 5,435 24.442 0 132,842- 132,842
DM0144200 07/09/97 S 614 24.631 0 15,113 9,804 5,309
DM0144200 07/10/97 B 129 24.459 0 3,156- 3,156
DM0144200 07/14/97 B 2,493 24.742 0 61,670- 61,670
DM0144200 07/15/97 B 71 24.886 0 1,774- 1,774
DM0144200 07/16/97 B 249 25.193 0 6,262- 6,262
DM0144200 07/17/97 B 198 25.592 0 5,069- 5,069
DM0144200 07/18/97 S 501 25.456 0 12,758 8,016 4,742
DM0144200 07/21/97 B 2,404 24.977 0 60,051- 60,051
DM0144200 07/22/97 B 982 24.869 0 24,420- 24,420
DM0144200 07/23/97 S 2,841 25.385 0 72,106 45,480 26,626
DM0144200 07/24/97 S 3,880 25.511 0 98,977 62,120 36,857
DM0144200 07/25/97 B 308 25.562 0 7,869- 7,869
DM0144200 07/28/97 B 2,642 25.439 0 67,205- 67,205
DM0144200 07/29/97 B 1,645 25.276 0 41,582- 41,582
DM0144200 07/30/97 B 133 25.457 0 3,381- 3,381
DM0144200 07/31/97 S 66 25.652 0 1,687 1,054 632
DM0144200 08/01/97 B 5 25.718 0 127- 127
DM0144200 08/04/97 B 2,633 25.560 0 67,306- 67,306
DM0144200 08/05/97 B 155 25.610 0 3,960- 3,960
DM0144200 08/06/97 B 1,114 25.709 0 28,642- 28,642
DM0144200 08/07/97 B 30 25.871 0 773- 773
DM0144200 08/08/97 S 3,897 25.662 0 100,000 62,571 37,429
DM0144200 08/11/97 B 3,104 25.198 0 78,206- 78,206
DM0144200 08/12/97 B 1,766 25.194 0 44,495- 44,495
DM0144200 08/13/97 S 12,866 24.857 0 319,813 206,911 112,902
DM0144200 08/14/97 B 493 24.799 0 12,218- 12,218
DM0144200 08/15/97 S 75 24.872 0 1,857 1,201 656
DM0144200 08/18/97 B 2,663 24.246 0 64,574- 64,574
DM0144200 08/19/97 B 773 24.501 0 18,948- 18,948
DM0144200 08/20/97 B 12,882 24.915 0 320,947- 320,947
DM0144200 08/21/97 B 1,144 25.271 0 28,917- 28,917
DM0144200 08/22/97 S 997 24.943 0 24,871 16,122 8,749
DM0144200 08/25/97 B 2,898 24.889 0 72,127- 72,127
DM0144200 08/26/97 S 807 24.818 0 20,019 13,054 6,965
DM0144200 08/27/97 S 203 24.603 0 5,000 3,289 1,711
DM0144200 08/28/97 S 1,015 24.608 0 24,973 16,423 8,550
DM0144200 08/29/97 S 1,405 24.349 0 34,199 22,730 11,470
DM0144200 09/02/97 B 3,257 24.332 0 79,252- 79,252
DM0144200 09/03/97 B 785 25.037 0 19,658- 19,658
DM0144200 09/04/97 S 1,404 25.033 0 35,152 22,751 12,401
DM0144200 09/05/97 S 52 25.119 0 1,305 841 463
DM0144200 09/08/97 B 668 25.099 0 16,772- 16,772
DM0144200 09/09/97 S 4,413 25.140 0 110,942 71,511 39,431
DM0144200 09/10/97 S 549 25.168 0 13,826 8,902 4,924
DM0144200 09/11/97 S 461 24.744 0 11,411 7,473 3,938
DM0144200 09/12/97 S 79 24.583 0 1,950 1,285 665
DM0144200 09/15/97 S 9,608 24.809 0 238,365 155,696 82,669
DM0144200 09/17/97 S 317 25.352 0 8,045 5,142 2,903
DM0144200 09/19/97 S 315 25.448 0 8,009 5,100 2,909
DM0144200 09/22/97 B 3,038 25.576 0 77,705- 77,705
DM0144200 09/23/97 B 315 25.448 0 8,009- 8,009
DM0144200 09/23/97 S 625 25.750 0 16,091 10,137 5,954
DM0144200 09/24/97 S 932 25.719 0 23,959 15,112 8,847
DM0144200 09/26/97 S 515 25.285 0 13,017 8,352 4,666
DM0144200 09/29/97 B 3,065 25.456 0 78,012- 78,012
DM0144200 09/30/97 S 1,944 25.615 0 49,792 31,565 18,227
DM0144200 10/02/97 S 358 25.570 0 9,146 5,808 3,338
DM0144200 10/03/97 B 623 25.741 0 16,028- 16,028
DM0144200 10/06/97 B 1,543 25.900 0 39,954- 39,954
DM0144200 10/07/97 S 862 26.098 0 22,505 14,013 8,493
DM0144200 10/09/97 B 2,439 26.198 0 63,903- 63,903
DM0144200 10/10/97 S 127 26.116 0 3,310 2,061 1,249
DM0144200 10/14/97 B 2,982 26.002 0 77,539- 77,539
DM0144200 10/14/97 B 10,017 26.067 0 261,119- 261,119
DM0144200 10/15/97 S 800 26.160 0 20,936 13,072 7,864
DM0144200 10/17/97 S 119 25.827 0 3,062 1,936 1,125
DM0144200 10/20/97 B 2,908 25.472 0 74,073- 74,073
DM0144200 10/21/97 S 56 25.791 0 1,447 917 530
DM0144200 10/22/97 B 800 26.171 0 20,945- 20,945
DM0144200 10/23/97 B 116 26.069 0 3,022- 3,022
DM0144200 10/24/97 B 138 25.573 0 3,530- 3,530
DM0144200 10/27/97 B 161 25.314 0 4,063- 4,063
DM0144200 10/28/97 S 564 23.560 0 13,297 9,230 4,066
DM0144200 10/29/97 S 440 24.760 0 10,888 7,192 3,696
DM0144200 10/31/97 B 837 24.709 0 20,682- 20,682
DM0144200 10/31/97 S 1,081 24.342 0 26,318 17,687 8,631
DM0144200 11/03/97 B 1,787 24.617 0 43,981- 43,981
DM0144200 11/04/97 B 1,137 25.238 0 28,687- 28,687
DM0144200 11/05/97 S 35 25.332 0 877 567 310
DM0144200 11/06/97 S 123 25.533 0 3,147 2,018 1,129
DM0144200 11/07/97 S 13,450 25.341 0 340,843 220,215 120,628
DM0144200 11/10/97 B 5,072 25.023 0 126,916- 126,916
DM0144200 11/12/97 S 92 24.807 0 2,292 1,515 777
DM0144200 11/13/97 B 194 24.255 0 4,696- 4,696
DM0144200 11/14/97 B 1,107 24.255 0 26,845- 26,845
DM0144200 11/14/97 S 1,092 24.542 0 26,791 17,905 8,885
DM0144200 11/17/97 B 48 25.573 0 1,232- 1,232
DM0144200 11/17/97 B 4,124 24.884 0 102,627- 102,627
DM0144200 11/18/97 S 5,258 25.348 0 133,268 86,340 46,928
DM0144200 11/19/97 B 2 25.088 0 43- 43
DM0144200 11/20/97 S 1,283 25.293 0 32,444 21,065 11,379
DM0144200 11/21/97 S 625 25.728 0 16,072 10,259 5,813
DM0144200 11/24/97 B 3,757 25.779 0 96,865- 96,865
DM0144200 11/25/97 B 150 25.264 0 3,779- 3,779
DM0144200 11/26/97 B 295 25.410 0 7,485- 7,485
DM0144200 11/28/97 S 438 25.465 0 11,156 7,204 3,952
DM0144200 12/01/97 B 3,359 25.570 0 85,887- 85,887
DM0144200 12/02/97 S 422 26.163 0 11,040 6,946 4,094
DM0144200 12/03/97 B 1 25.571 0 32- 32
DM0144200 12/03/97 S 23 26.044 0 607 384 223
DM0144200 12/04/97 S 105 26.221 0 2,762 1,734 1,028
DM0144200 12/05/97 B 630 26.181 0 16,486- 16,486
DM0144200 12/08/97 S 615 26.473 0 16,272 10,120 6,152
DM0144200 12/09/97 B 3,307 26.473 0 87,552- 87,552
DM0144200 12/09/97 B 531 26.493 0 14,064- 14,064
DM0144200 12/10/97 S 27 26.155 0 696 439 257
DM0144200 12/11/97 B 1,223 25.923 0 31,702- 31,702
DM0144200 12/12/97 S 1,901 25.465 0 48,417 31,356 17,061
DM0144200 12/15/97 B 3,510 25.303 0 88,808- 88,808
DM0144200 12/16/97 S 899 25.524 0 22,944 14,840 8,104
DM0144200 12/18/97 S 329 25.659 0 8,430 5,424 3,006
DM0144200 12/19/97 B 10 25.398 0 245- 245
DM0144200 12/22/97 B 10,591 25.146 0 266,331- 266,331
DM0144200 12/23/97 S 390 25.286 0 9,859 6,457 3,403
DM0144200 12/24/97 S 405 24.892 0 10,087 6,710 3,377
DM0144200 12/26/97 S 748 24.719 0 18,481 12,391 6,090
DM0144200 12/29/97 B 3,116 24.832 0 77,373- 77,373
DM0144200 12/30/97 B 17 23.336 0 395- 395
DM0144200 12/30/97 B 150,661 23.336 0 3,515,830- * 3,515,830
DM0144200 12/31/97 S 136 23.813 0 3,247 2,330 917
---- ---------- ---------- ---------
SUB-TOTAL 0 14,698,655 13,454,693 1,243,961
ISSUE: 990008476 - EQUITY INDEX I
DATE SHARES/ UNIT EXPENSE PRINCIPAL COST REALIZED
ACCOUNT BOUGHT/SOLD PAR VALUE PRICE INCURRED CASH ADJUSTMENT GAIN/LOSS
- -------- ----------- --------- ----- -------- --------- ---------- ---------
DM0144200 02/04/97 B 2,678 21.785 0 58,340- 58,340
DM0144200 02/05/97 B 431 21.859 0 9,412- 9,412
DM0144200 02/06/97 B 329 21.558 0 7,088- 7,088
DM0144200 02/07/97 B 1,245 21.614 0 26,912- 26,912
DM0144200 02/10/97 B 447 21.871 0 9,787- 9,787
DM0144200 02/11/97 B 267 21.758 0 5,804- 5,804
DM0144200 02/12/97 B 53 21.869 0 1,169- 1,169
DM0144200 02/13/97 B 3,260 22.243 0 72,514- 72,514
DM0144200 02/14/97 B 133 22.496 0 2,997- 2,997
DM0144200 02/18/97 B 969 22.403 0 21,702- 21,702
DM0144200 02/19/97 B 275 22.623 0 6,221- 6,221
DM0144200 02/20/97 B 188 22.521 0 4,232- 4,232
DM0144200 02/21/97 B 1,141 22.251 0 25,383- 25,383
DM0144200 02/24/97 B 64 22.222 0 1,412- 1,412
DM0144200 02/26/97 B 245 22.511 0 5,515- 5,515
DM0144200 02/28/97 B 307 22.046 0 6,764- 6,764
DM0144200 03/03/97 B 1,581 21.926 0 34,671- 34,671
DM0144200 03/04/97 B 582 22.055 0 12,840- 12,840
DM0144200 03/05/97 B 54 21.935 0 1,189- 1,189
DM0144200 03/06/97 B 376 22.242 0 8,353- 8,353
DM0144200 03/07/97 B 112 22.159 0 2,490- 2,490
DM0144200 03/10/97 B 82 22.336 0 1,831- 1,831
DM0144200 03/11/97 B 57 22.577 0 1,298- 1,298
DM0144200 03/12/97 B 694 22.513 0 15,615- 15,615
DM0144200 03/13/97 B 310 22.318 0 6,928- 6,928
DM0144200 03/14/97 B 1,682 21.915 0 36,851- 36,851
DM0144200 03/17/97 B 747 22.016 0 16,453- 16,453
DM0144200 03/18/97 B 392 22.087 0 8,652- 8,652
DM0144200 03/19/97 B 617 21.918 0 13,534- 13,534
DM0144200 03/24/97 B 277 21.765 0 6,026- 6,026
DM0144200 03/27/97 B 1,393 21.951 0 30,573- 30,573
DM0144200 03/31/97 B 513 21.489 0 11,015- 11,015
DM0144200 04/01/97 B 37 21.022 0 784- 784
DM0144200 04/02/97 B 230 21.097 0 4,844- 4,844
DM0144200 04/03/97 B 720 20.835 0 15,006- 15,006
DM0144200 04/07/97 B 844 21.052 0 17,758- 17,758
DM0144200 04/08/97 B 579 21.170 0 12,257- 12,257
DM0144200 04/10/97 B 632 21.134 0 13,352- 13,352
DM0144200 04/11/97 B 139 21.074 0 2,924- 2,924
DM0144200 04/14/97 B 1,645 20.499 0 33,729- 33,729
DM0144200 04/15/97 B 515 20.671 0 10,645- 10,645
DM0144200 04/17/97 B 81 21.222 0 1,709- 1,709
DM0144200 04/21/97 B 396 21.298 0 8,443- 8,443
DM0144200 04/22/97 B 4,157 21.134 0 87,846- 87,846
DM0144200 04/23/97 B 231 21.530 0 4,974- 4,974
DM0144200 04/24/97 B 478 21.500 0 10,276- 10,276
DM0144200 04/25/97 B 1,649 21.428 0 35,327- 35,327
DM0144200 04/28/97 B 195 21.269 0 4,146- 4,146
DM0144200 04/29/97 B 217 21.477 0 4,668- 4,668
DM0144200 04/30/97 B 3,164 22.063 0 69,799- 69,799
DM0144200 05/01/97 B 2,135 22.269 0 47,535- 47,535
DM0144200 05/02/97 B 468 22.197 0 10,390- 10,390
DM0144200 05/05/97 B 157 22.595 0 3,548- 3,548
DM0144200 05/06/97 B 311 23.076 0 7,174- 7,174
DM0144200 05/07/97 B 336 23.012 0 7,729- 7,729
DM0144200 05/08/97 B 1,626 22.677 0 36,871- 36,871
DM0144200 05/12/97 B 363 22.937 0 8,317- 8,317
DM0144200 05/13/97 B 386 23.296 0 9,002- 9,002
DM0144200 05/15/97 S 0 23.158 0 0 0 0
DM0144200 05/16/97 B 125 23.422 0 2,930- 2,930
DM0144200 05/19/97 B 174 23.089 0 4,018- 4,018
DM0144200 05/20/97 B 657 23.186 0 15,232- 15,232
DM0144200 05/27/97 B 170 23.566 0 4,004- 4,004
DM0144200 05/28/97 B 781 23.648 0 18,475- 18,475
DM0144200 05/29/97 B 533 23.582 0 12,567- 12,567
DM0144200 05/30/97 B 1,922 23.499 0 45,158- 45,158
DM0144200 06/02/97 B 162 23.617 0 3,829- 3,829
DM0144200 06/09/97 B 163 23.895 0 3,885- 3,885
DM0144200 06/11/97 S 225 24.103 0 5,431 4,955 476
DM0144200 06/12/97 B 165 24.226 0 4,000- 4,000
DM0144200 06/16/97 B 3,556 24.884 0 88,499- 88,499
DM0144200 06/17/97 B 180 24.905 0 4,489- 4,489
DM0144200 06/18/97 B 169 24.916 0 4,207- 4,207
DM0144200 06/20/97 B 366 25.016 0 9,149- 9,149
DM0144200 06/23/97 B 569 25.033 0 14,236- 14,236
DM0144200 06/24/97 B 161 24.475 0 3,952- 3,952
DM0144200 06/25/97 S 40 24.971 0 994 886 107
DM0144200 06/26/97 B 132 24.768 0 3,261- 3,261
DM0144200 06/27/97 B 219 24.626 0 5,398- 5,398
DM0144200 06/30/97 B 171 24.726 0 4,217- 4,217
DM0144200 07/02/97 B 91 24.836 0 2,250- 2,250
DM0144200 07/03/97 B 1,722 25.202 0 43,399- 43,399
DM0144200 07/07/97 B 588 25.553 0 15,017- 15,017
DM0144200 07/08/97 S 984 25.424 0 25,015 22,063 2,953
DM0144200 07/14/97 B 164 25.556 0 4,183- 4,183
DM0144200 07/16/97 S 243 25.811 0 6,262 5,442 820
DM0144200 07/17/97 S 194 26.118 0 5,069 4,354 715
DM0144200 07/21/97 B 719 25.526 0 18,351- 18,351
DM0144200 07/22/97 B 4,845 25.459 0 123,360- 123,360
DM0144200 07/23/97 B 2,842 26.047 0 74,021- 74,021
DM0144200 07/24/97 B 1,874 26.121 0 48,946- 48,946
DM0144200 07/25/97 B 388 26.223 0 10,181- 10,181
DM0144200 07/28/97 B 267 26.179 0 6,994- 6,994
DM0144200 07/29/97 B 272 26.115 0 7,102- 7,102
DM0144200 08/01/97 B 221 26.617 0 5,873- 5,873
DM0144200 08/04/97 B 695 26.419 0 18,352- 18,352
DM0144200 08/05/97 B 238 26.507 0 6,300- 6,300
DM0144200 08/07/97 B 200 26.789 0 5,352- 5,352
DM0144200 08/08/97 B 169 26.536 0 4,479- 4,479
DM0144200 08/11/97 B 276 26.045 0 7,183- 7,183
DM0144200 08/12/97 B 1,737 26.147 0 45,427- 45,427
DM0144200 08/13/97 B 66 25.856 0 1,718- 1,718
DM0144200 08/18/97 B 933 25.144 0 23,467- 23,467
DM0144200 08/20/97 B 230 25.853 0 5,948- 5,948
DM0144200 08/21/97 B 511 26.229 0 13,412- 13,412
DM0144200 08/22/97 B 917 25.830 0 23,676- 23,676
DM0144200 08/25/97 B 208 25.787 0 5,361- 5,361
DM0144200 08/26/97 B 768 25.693 0 19,729- 19,729
DM0144200 08/28/97 B 2,122 25.516 0 54,154- 54,154
DM0144200 08/29/97 S 7 25.239 0 173 160 13
DM0144200 09/02/97 B 219 25.127 0 5,496- 5,496
DM0144200 09/03/97 B 1,368 25.912 0 35,455- 35,455
DM0144200 09/04/97 B 2,170 25.924 0 56,259- 56,259
DM0144200 09/05/97 B 72 26.006 0 1,866- 1,866
DM0144200 09/08/97 B 872 25.959 0 22,642- 22,642
DM0144200 09/09/97 B 4,264 26.020 0 110,942- 110,942
DM0144200 09/10/97 S 45 26.089 0 1,174 1,064 110
DM0144200 09/11/97 B 444 25.681 0 11,411- 11,411
DM0144200 09/15/97 B 421 25.830 0 10,877- 10,877
DM0144200 09/16/97 B 5 25.716 0 123- 123
DM0144200 09/22/97 B 236 26.578 0 6,265- 6,265
DM0144200 09/23/97 B 850 26.716 0 22,719- 22,719
DM0144200 09/24/97 B 18 26.620 0 468- 468
DM0144200 09/25/97 B 121 26.405 0 3,199- 3,199
DM0144200 09/29/97 B 223 26.432 0 5,898- 5,898
DM0144200 09/30/97 B 80 26.660 0 2,146- 2,146
DM0144200 10/01/97 B 0 26.471 0 11- 11
DM0144200 10/02/97 B 518 26.719 0 13,833- 13,833
DM0144200 10/03/97 B 248 26.866 0 6,667- 6,667
DM0144200 10/06/97 B 2,154 26.993 0 58,141- 58,141
DM0144200 10/07/97 S 177 27.207 0 4,811 4,212 599
DM0144200 10/09/97 B 1,505 27.249 0 41,018- 41,018
DM0144200 10/13/97 B 221 27.063 0 5,990- 5,990
DM0144200 10/14/97 B 1,764 27.093 0 47,782- 47,782
DM0144200 10/17/97 B 115 26.732 0 3,062- 3,062
DM0144200 10/20/97 B 764 26.422 0 20,194- 20,194
DM0144200 10/21/97 S 259 26.743 0 6,932 6,212 719
DM0144200 10/22/97 B 787 27.202 0 21,396- 21,396
DM0144200 10/23/97 B 1,630 27.108 0 44,178- 44,178
DM0144200 10/24/97 S 2,680 26.612 0 71,310 64,438 6,872
DM0144200 10/27/97 S 1,806 26.362 0 47,604 43,424 4,179
DM0144200 10/28/97 B 165 24.554 0 4,056- 4,056
DM0144200 10/29/97 S 168 25.808 0 4,343 4,047 296
DM0144200 10/31/97 B 749 25.310 0 18,960- 18,960
DM0144200 11/03/97 B 270 25.617 0 6,913- 6,913
DM0144200 11/05/97 B 144 26.349 0 3,792- 3,792
DM0144200 11/06/97 B 2,238 26.412 0 59,114- 59,114
DM0144200 11/07/97 B 114 26.283 0 2,992- 2,992
DM0144200 11/10/97 B 2,106 25.994 0 54,741- 54,741
DM0144200 11/11/97 B 351 25.818 0 9,069- 9,069
DM0144200 11/13/97 B 29 25.404 0 743- 743
DM0144200 11/17/97 B 298 26.029 0 7,763- 7,763
DM0144200 11/18/97 B 4,886 26.531 0 129,627- 129,627
DM0144200 11/19/97 B 484 26.312 0 12,738- 12,738
DM0144200 11/20/97 B 2,566 26.491 0 67,979- 67,979
DM0144200 11/21/97 S 600 26.897 0 16,134 14,608 1,526
DM0144200 11/24/97 B 1,209 27.011 0 32,664- 32,664
DM0144200 11/25/97 S 644 26.552 0 17,103 15,707 1,397
DM0144200 11/26/97 S 8 26.672 0 218 199 19
DM0144200 11/28/97 S 179 26.700 0 4,779 4,364 415
DM0144200 12/01/97 B 2,717 26.807 0 72,833- 72,833
DM0144200 12/03/97 B 162 27.264 0 4,417- 4,417
DM0144200 12/04/97 B 15 27.411 0 424- 424
DM0144200 12/05/97 S 604 27.308 0 16,486 14,760 1,726
DM0144200 12/08/97 B 583 27.606 0 16,089- 16,089
DM0144200 12/09/97 B 1,859 27.564 0 51,233- 51,233
DM0144200 12/11/97 B 626 27.210 0 17,038- 17,038
DM0144200 12/12/97 S 2,237 26.800 0 59,960 54,891 5,070
DM0144200 12/15/97 B 2,562 26.757 0 68,554- 68,554
DM0144200 12/16/97 S 30 27.035 0 819 745 74
DM0144200 12/18/97 S 50 27.096 0 1,367 1,241 127
DM0144200 12/22/97 B 943 26.573 0 25,059- 25,059
DM0144200 12/23/97 S 226 26.768 0 6,040 5,552 489
DM0144200 12/24/97 S 63 26.362 0 1,669 1,558 111
DM0144200 12/26/97 S 518 26.181 0 13,562 12,744 818
DM0144200 12/29/97 B 295 26.285 0 7,753- 7,753
DM0144200 12/30/97 B 501 26.772 0 13,412- 13,412
DM0144200 12/31/97 S 130 27.266 0 3,558 3,212 346
---- ---------- ---------- ---------
SUB-TOTAL 0 3,355,179 3,325,204 29,977
GRAND TOTAL 0 33,375,083 31,779,578 1,595,512
--------------------------------------------------------------------------------------------
------------------------------------------------------------------------------------------
CATEGORY 4 - SINGLE TRANSACTION WITH ONE BROKER EXCEEDS 5% OF VALUE
*** NO TRANSACTIONS QUALIFIED FOR THIS SECTION ***
<FN>
F O O T N O T E S
-----------------
* = SINGLE TRANSACTION IS 5% REPORTABLE
B = BUY TRANSACTION
S = SELL TRANSACTION
R = REINVESTMENT TRANSACTION
</FN>