EX-99.77O RULE 10F-3 3 77O.txt RULE 10F-3 For period ending November 30, 2012 Exhibit 77O File number 811-8765 Form 10f-3 Rule 144A Securities FUND: Managed High Yield Plus Fund Inc. Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc. 1. Issuer: Penn Virginia Resource 8.375% due 06/01/2020 2. Date of Purchased: 05/11/2012 3. Date of offering commenced: 05/11/2012 4. Underwriter(s) from whom purchased: RBC Dain Rauscher 5. Affiliated Underwriter managing or participating in syndicate: UBS Investment Bank 6. Aggregate principal amount or number of shares purchased: $4,000,000.00 (firmwide) 7. Aggregate principal amount or total number of shares of offering: $600,000,000.00 8. Purchase price (net of fees and expenses): $100.00 9. Initial public offering price: $100.00 10. Commission, spread or profit: 2.5% 11. Have the following conditions been satisfied? YES NO a. The securities are sold in an offering exempt from registration under Section 4(2) of the Securities Act of 1933, Rule 144A or Regulation D. X b. The securities are sold to persons reasonably believed to be qualified institutional buyers (QIBs). X c. The securities are reasonable believed to be eligible for resale to other QIBs. X d. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated). X e. The securities were purchased at a price not more than the price paid by each other purchaser in the offering or any concurrent offering. X f. The underwriting was a firm commitment underwriting. X g. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period. X h. The issuer of the securities and any predecessor has been in continuous operation for not less than three years. X i. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering. X j. No Affiliated Underwriter benefited directly or indirectly from the purchase. X Note: Refer to Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, Affiliated Underwriter is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable. Approved: /s/Matthew A. Iannucci Date: 05/15/2012 Print Name: Matthew A. Iannucci For period ending November 30, 2012 Exhibit 77O File number 811-8765 Form 10f-3 Registered Domestic Securities and Government Securities FUND: Managed High Yield Plus Fund Inc. Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc. 1. Issuer: CHS/Community Health Systems 7.125% due 07/15/2020 2. Date of Purchased: 07/09/2012 3. Date of offering commenced: 07/09/2012 4. Underwriter(s) from whom purchased: CS First Boston Corp. 5. Affiliated Underwriter managing or participating in syndicate: UBS Investment Bank 6. Aggregate principal amount or number of shares purchased: $5,340,000 firmwide 7. Aggregate principal amount or total number of shares of offering: $1,200,000,000.00 8. Purchase price (net of fees and expenses): $100.00 9. Initial public offering price: $100.00 10. Commission, spread or profit: 1.46% 11. Have the following conditions been satisfied? YES NO a. The securities are part of an issue registered under the Securities Act of 1933 that is being offered to the public, or is part of an issue of government securities (as defined in section 2(a)(16) of the 1940 Act). X b. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated). X c. The securities purchased at a price not more then the price paid by each other purchaser in the offering. X d. The underwriting was a firm commitment underwriting. X e. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period. X f. The issuer of the securities and any predecessor has been in continuous operative for not less than three years. X g. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering. X h. No Affiliated Underwriter benefitted directly or indirectly from the purchase. X Note: Refer to Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, Affiliated Underwriter is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable. Approved: /s/Craig G. Ellinger Date: 08/07/2012 Print Name: Craig G. Ellinger For period ending November 30, 2012 Exhibit 77O File number 811-8765 Form 10f-3 Registered Domestic Securities and Government Securities FUND: Managed High Yield Plus Fund Inc. Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc. 1. Issuer: MarkWest Energy Partners L.P. 5.5% due 02/15/2023 2. Date of Purchased: 08/06/2012 3. Date of offering commenced: 08/06/2012 4. Underwriter(s) from whom purchased: Wells Fargo Securities LLC 5. Affiliated Underwriter managing or participating in syndicate: UBS Investment Bank 6. Aggregate principal amount or number of shares purchased: $4,950,750 firmwide 7. Aggregate principal amount or total number of shares of offering: $495,075,000.00 8. Purchase price (net of fees and expenses): $99.015 9. Initial public offering price: $99.015 10. Commission, spread or profit: 1.5% 11. Have the following conditions been satisfied? YES NO a. The securities are part of an issue registered under the Securities Act of 1933 that is being offered to the public, or is part of an issue of government securities (as defined in section 2(a)(16) of the 1940 Act). X b. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated). X c. The securities purchased at a price not more then the price paid by each other purchaser in the offering. X d. The underwriting was a firm commitment underwriting. X e. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period. X f. The issuer of the securities and any predecessor has been in continuous operative for not less than three years. X g. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering. X h. No Affiliated Underwriter benefitted directly or indirectly from the purchase. X Note: Refer to Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, Affiliated Underwriter is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable. Approved: /s/Matthew A. Iannucci Date: 08/13/2012 Print Name: Matthew A. Iannucci For period ending November 30, 2012 Exhibit 77O File number 811-8765 Form 10f-3 Registered Domestic Securities and Government Securities FUND: Managed High Yield Plus Fund Inc. Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc. 1. Issuer: SandRidge Energy, Inc. 7.5% due 02/15/2023 2. Date of Purchased: 08/06/2012 3. Date of offering commenced: 08/06/2012 4. Underwriter(s) from whom purchased: Barclays Capital Inc. 5. Affiliated Underwriter managing or participating in syndicate: UBS Investment Bank 6. Aggregate principal amount or number of shares purchased: $5,970,000 firmwide 7. Aggregate principal amount or total number of shares of offering: $820,875,000.00 8. Purchase price (net of fees and expenses): $99.50 9. Initial public offering price: $99.50 10. Commission, spread or profit: 1.375% 11. Have the following conditions been satisfied? YES NO a. The securities are sold in an offering exempt from registration under Section 4(2) of the Securities Act of 1933, Rule 144A or Regulation D. X b. The securities are sold to persons reasonably believed to be qualified institutional buyers (QIBs). X c. The securities are reasonable believed to be eligible for resale to other QIBs. X d. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated). X e. The securities were purchased at a price not more than the price paid by each other purchaser in the offering or any concurrent offering. X f. The underwriting was a firm commitment underwriting. X g. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period. X h. The issuer of the securities and any predecessor has been in continuous operation for not less than three years. X i. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering. X j. No Affiliated Underwriter benefited directly or indirectly from the purchase. X Note: Refer to Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, Affiliated Underwriter is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable. Approved: /s/Matthew A. Iannucci Date: 08/13/2012 Print Name: Matthew A. Iannucci For period ending November 30, 2012 Exhibit 77O File number 811-8765 Form 10f-3 Rule 144A Securities FUND: Managed High Yield Plus Fund Inc. Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc. 1. Issuer: EP Energy LLC, Everest Acquisition Finance Inc. 7.75% due 09/01/2022 2. Date of Purchased: 08/08/2012 3. Date of offering commenced: 08/08/2012 4. Underwriter(s) from whom purchased: Citigroup Global Markets Holdings Inc. 5. Affiliated Underwriter managing or participating in syndicate: UBS Investment Bank 6. Aggregate principal amount or number of shares purchased: $250,000 firmwide 7. Aggregate principal amount or total number of shares of offering: $300,000,000.00 8. Purchase price (net of fees and expenses): $100.00 9. Initial public offering price: $100.00 10. Commission, spread or profit: 1.5% 11. Have the following conditions been satisfied? YES NO a. The securities are sold in an offering exempt from registration under Section 4(2) of the Securities Act of 1933, Rule 144A or Regulation D. X b. The securities are sold to persons reasonably believed to be qualified institutional buyers (QIBs). X c. The securities are reasonable believed to be eligible for resale to other QIBs. X d. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated). X e. The securities were purchased at a price not more than the price paid by each other purchaser in the offering or any concurrent offering. X f. The underwriting was a firm commitment underwriting. X g. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period. X h. The issuer of the securities and any predecessor has been in continuous operation for not less than three years. X i. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering. X j. No Affiliated Underwriter benefited directly or indirectly from the purchase. X Note: Refer to Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, Affiliated Underwriter is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable. Approved: /s/Matthew A. Iannucci Date: 08/10/2012 Print Name: Matthew A. Iannucci For period ending November 30, 2012 Exhibit 77O File number 811-8765 Form 10f-3 Registered Domestic Securities and Government Securities FUND: Managed High Yield Plus Fund Inc. Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc. 1. Issuer: CHS/Community Health Systems 1.125% due 07/15/2020 2. Date of Purchased: 08/08/2012 3. Date of offering commenced: 08/08/2012 4. Underwriter(s) from whom purchased: CS First Boston Corp. 5. Affiliated Underwriter managing or participating in syndicate: UBS Investment Bank 6. Aggregate principal amount or number of shares purchased: $5,000,000 firmwide 7. Aggregate principal amount or total number of shares of offering: $1,600,000,000.00 8. Purchase price (net of fees and expenses): $100.00 9. Initial public offering price: $100.00 10. Commission, spread or profit: 1.375% 11. Have the following conditions been satisfied? YES NO a. The securities are part of an issue registered under the Securities Act of 1933 that is being offered to the public, or is part of an issue of government securities (as defined in section 2(a)(16) of the 1940 Act). X b. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated). X c. The securities purchased at a price not more then the price paid by each other purchaser in the offering. X d. The underwriting was a firm commitment underwriting. X e. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period. X f. The issuer of the securities and any predecessor has been in continuous operative for not less than three years. X g. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering. X h. No Affiliated Underwriter benefitted directly or indirectly from the purchase. X Note: Refer to Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, Affiliated Underwriter is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable. Approved: /s/Matthew A. Iannucci Date: 08/13/2012 Print Name: Matthew A. Iannucci For period ending November 30, 2012 Exhibit 77O File number 811-8765 Form 10f-3 Rule 144A Securities FUND: Managed High Yield Plus Fund Inc. Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc. 1. Issuer: Nuance Communications Inc. 5.375% due 08/15/2020 2. Date of Purchased: 08/09/2012 3. Date of offering commenced: 08/09/2012 4. Underwriter(s) from whom purchased: Barclays Capital Inc. 5. Affiliated Underwriter managing or participating in syndicate: UBS Investment Bank 6. Aggregate principal amount or number of shares purchased: $4,625,000 firmwide 7. Aggregate principal amount or total number of shares of offering: $600,000,000.00 8. Purchase price (net of fees and expenses): $100.00 9. Initial public offering price: $100.00 10. Commission, spread or profit: 1.375% 11. Have the following conditions been satisfied? YES NO a. The securities are sold in an offering exempt from registration under Section 4(2) of the Securities Act of 1933, Rule 144A or Regulation D. X b. The securities are sold to persons reasonably believed to be qualified institutional buyers (QIBs). X c. The securities are reasonable believed to be eligible for resale to other QIBs. X d. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated). X e. The securities were purchased at a price not more than the price paid by each other purchaser in the offering or any concurrent offering. X f. The underwriting was a firm commitment underwriting. X g. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period. X h. The issuer of the securities and any predecessor has been in continuous operation for not less than three years. X i. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering. X j. No Affiliated Underwriter benefited directly or indirectly from the purchase. X Note: Refer to Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, Affiliated Underwriter is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable. Approved: /s/Matthew A. Iannucci Date: 08/13/2012 Print Name: Matthew A. Iannucci For period ending November 30, 2012 Exhibit 77O File number 811-8765 Form 10f-3 Registered Domestic Securities and Government Securities FUND: Managed High Yield Plus Fund Inc. Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc. 1. Issuer: D.R. Horton Inc. 4.375% due 09/15/2022 2. Date of Purchased: 09/11/2012 3. Date of offering commenced: 09/11/2012 4. Underwriter(s) from whom purchased: RBS Securities 5. Affiliated Underwriter managing or participating in syndicate: UBS Investment Bank 6. Aggregate principal amount or number of shares purchased: $6,375,000 firmwide 7. Aggregate principal amount or total number of shares of offering: $350,000,000.00 8. Purchase price (net of fees and expenses): $100.00 9. Initial public offering price: $100.00 10. Commission, spread or profit: 0.8% 11. Have the following conditions been satisfied? YES NO a. The securities are part of an issue registered under the Securities Act of 1933 that is being offered to the public, or is part of an issue of government securities (as defined in section 2(a)(16) of the 1940 Act). X b. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated). X c. The securities purchased at a price not more then the price paid by each other purchaser in the offering. X d. The underwriting was a firm commitment underwriting. X e. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period. X f. The issuer of the securities and any predecessor has been in continuous operative for not less than three years. X g. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering. X h. No Affiliated Underwriter benefitted directly or indirectly from the purchase. X Note: Refer to Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, Affiliated Underwriter is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable. Approved: /s/Matthew Iannucci Date: 09/24/2012 Print Name: Matthew Iannucci For period ending November 30, 2012 Exhibit 77O File number 811-8765 Form 10f-3 Registered Domestic Securities and Government Securities FUND: Managed High Yield Plus Fund Inc. Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc. 1. Issuer: International Lease Finance Corp. 5.875% due 08/15/2022 2. Date of Purchased: 08/16/2012 3. Date of offering commenced: 08/16/2012 4. Underwriter(s) from whom purchased: Citigroup Global Markets Holdings 5. Affiliated Underwriter managing or participating in syndicate: UBS Investment Bank 6. Aggregate principal amount or number of shares purchased: $7,000,000 firmwide 7. Aggregate principal amount or total number of shares of offering: $750,000,000.00 8. Purchase price (net of fees and expenses): $100.00 9. Initial public offering price: $100.00 10. Commission, spread or profit: 1.0% 11. Have the following conditions been satisfied? YES NO a. The securities are part of an issue registered under the Securities Act of 1933 that is being offered to the public, or is part of an issue of government securities (as defined in section 2(a)(16) of the 1940 Act). X b. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated). X c. The securities purchased at a price not more then the price paid by each other purchaser in the offering. X d. The underwriting was a firm commitment underwriting. X e. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period. X f. The issuer of the securities and any predecessor has been in continuous operative for not less than three years. X g. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering. X h. No Affiliated Underwriter benefitted directly or indirectly from the purchase. X Note: Refer to Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, Affiliated Underwriter is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable. Approved: /s/Matthew Iannucci Date: 09/11/2012 Print Name: Matthew Iannucci