EX-99 2 spaaf_10f-3.txt STRATEGIC PARTNERS ASSET ALLOCATION FUND 10F-3 STRATEGIC PARTNERS ASSET ALLOCATION FUNDS For the six month period ended (a) 7/31/01 File number (c) 811-08915 SUB-ITEM 77 0 Transactions Effected Pursuant to Rule 10f-3 Strategic Partners Conservative Growth Fund 1. Name of Issuer Aquila Inc. 2. Date of Purchase 4/23/01 3. Number of Securities Purchased 800 4. Dollar Amount of Purchase $19,200 5. Price Per Unit $24.00 6. Name (s) of Underwriter (s) or Dealer (s) From whom Purchased Goldman Sachs 7. Other Members of the Underwriting Syndicate Lehman, Merrill Lynch, Salomon, Credit Lyonnais, JP Morgan, Banc of America, Dain Rauscher, Deutsche Banc Ales Brown, A.G. Edwards, Fidelity Capital Markets, First Union, Lazard, Prudential Securities, UBS Warburg, Robert W. Baird, Blaylock, Chatsworth, Fahnestock, Janney Montgomery, Edward D. Jones, Legg Mason, Neuberger, Petrie Parkman, Pryor Mclendon, Ragen MacKenzie, Raymond James, Sanders Morris, Security Investment Company of Kansas City, Simmons, Stifel Nicholas, Utendahl. 8. Board of Directors determine no less frequently than quarterly that all purchases made during the preceding quarter were effected in compliance with such procedures that are reasonably designed to provide that the purchase complies with all the conditions for Rule 10f-3 of the Investment Company Act. Strategic Partners Conservative Growth Fund 1. Name of Issuer CIT Group, Inc. 2. Date of Purchase 4/3/01 3. Number of Securities Purchased 2,990 4. Dollar Amount of Purchase $300,000 5. Price Per Unit $100.33 6. Name (s) of Underwriter (s) or Dealer (s) From whom Purchased Bank One Trust 7. Other Members of the Underwriting Syndicate N/A 8. Board of Directors determine no less frequently than quarterly that all purchases made during the preceding quarter were effected in compliance with such procedures that are reasonably designed to provide that the purchase complies with all the conditions for Rule 10f-3 of the Investment Company Act. Strategic Partners Moderate Growth Fund 1. Name of Issuer Aquila Inc. 2. Date of Purchase 4/23/01 3. Number of Securities Purchased 2,400 4. Dollar Amount of Purchase $57,600 5. Price Per Unit $24.00 6. Name (s) of Underwriter (s) or Dealer (s) From whom Purchased Goldman Sachs 7. Other Members of the Underwriting Syndicate Lehman, Merrill Lynch, Salomon, Credit Lyonnais, JP Morgan, Banc of America, Dain Rauscher, Deutsche Banc Ales Brown, A.G. Edwards, Fidelity Capital Markets, First Union, Lazard, Prudential Securities, UBS Warburg, Robert W. Baird, Blaylock, Chatsworth, Fahnestock, Janney Montgomery, Edward D. Jones, Legg Mason, Neuberger, Petrie Parkman, Pryor Mclendon, Ragen MacKenzie, Raymond James, Sanders Morris, Security Investment Company of Kansas City, Simmons, Stifel Nicholas, Utendahl. 8. Board of Directors determine no less frequently than quarterly that all purchases made during the preceding quarter were effected in compliance with such procedures that are reasonably designed to provide that the purchase complies with all the conditions for Rule 10f-3 of the Investment Company Act. Strategic Partners Moderate Growth Fund 1. Name of Issuer CIT Group, Inc. 2. Date of Purchase 4/3/01 3. Number of Securities Purchased 2,990 4. Dollar Amount of Purchase $300,000 5. Price Per Unit $100.33 6. Name (s) of Underwriter (s) or Dealer (s) From whom Purchased Bank One Trust 7. Other Members of the Underwriting Syndicate N/A 8. Board of Directors determine no less frequently than quarterly that all purchases made during the preceding quarter were effected in compliance with such procedures that are reasonably designed to provide that the purchase complies with all the conditions for Rule 10f-3 of the Investment Company Act. Strategic Partners High Growth Fund 1. Name of Issuer Aquila Inc. 2. Date of Purchase 4/23/01 3. Number of Securities Purchased 2,300 4. Dollar Amount of Purchase $55,200 5. Price Per Unit $24.00 6. Name (s) of Underwriter (s) or Dealer (s) From whom Purchased Goldman Sachs 7. Other Members of the Underwriting Syndicate Lehman, Merrill Lynch, Salomon, Credit Lyonnais, JP Morgan, Banc of America, Dain Rauscher, Deutsche Banc Ales Brown, A.G. Edwards, Fidelity Capital Markets, First Union, Lazard, Prudential Securities, UBS Warburg, Robert W. Baird, Blaylock, Chatsworth, Fahnestock, Janney Montgomery, Edward D. Jones, Legg Mason, Neuberger, Petrie Parkman, Pryor Mclendon, Ragen MacKenzie, Raymond James, Sanders Morris, Security Investment Company of Kansas City, Simmons, Stifel Nicholas, Utendahl. 8. Board of Directors determine no less frequently than quarterly that all purchases made during the preceding quarter were effected in compliance with such procedures that are reasonably designed to provide that the purchase complies with all the conditions for Rule 10f-3 of the Investment Company Act. Strategic Partners High Growth Fund 1. Name of Issuer Instinet Group 2. Date of Purchase 5/17/01 3. Number of Securities Purchased 8,400 4. Dollar Amount of Purchase $121,800 5. Price Per Unit $14.50 6. Name (s) of Underwriter (s) or Dealer (s) From whom Purchased CS First Boston 7. Other Members of the Underwriting Syndicate Credit Suisse, Deutsche Banc Alex Brown, Bear Stearns, JP Morgan, Merrill Lynch, Salomon, WR Hambrecht, Banc of America, William Blair, CIBC World Markets, Dain Rauscher, First Union, Prudential Securities, Robertson Stephens, SG Cowen, U.S. Bancorp, Thomas Weisel. 8. Board of Directors determine no less frequently than quarterly that all purchases made during the preceding quarter were effected in compliance with such procedures that are reasonably designed to provide that the purchase complies with all the conditions for Rule 10f-3 of the Investment Company Act. T:\CLUSTER 4\N-SARs\Asset Allocation Funds\2001\7-31-01 10f-3.doc