EX-99.77O RULE 10F-3 10 attach77o.txt 77O Strategic Partners Asset Allocation Funds - Strategic Partners Conservative Growth Fund - Strategic Partners Moderate Growth Fund - Strategic Partners High Growth Fund For the fiscal year ended 7/31/02 File number 811-08915 Strategic Partners Conservative Growth Fund SUB-ITEM 77 0 EXHIBITS Transactions Effected Pursuant to Rule 10f-3 1. Name of Issuer Anthem, Inc. 2. Date of Purchase 10/29/01 3. Number of Securities Purchased 2,000 4. Dollar Amount of Purchase $72,000.00 5. Price Per Unit $36.00 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased Goldman Sachs 7. Other Members of the Underwriting Syndicate Merrill Lynch & Co. Goldman, Sachs & Co. Morgan Stanley JP Morgan Banc of America Securities LLC Credit Suisse First Boston Lehman Brothers UBS Warburg ABN AMRO Rothschild LLC Dresdner Kleinwort Wasserstein A.G. Edwards & Sons, Inc. McDonald Investments Inc. Utendahl Capital Partners, L.P. BNY Capital Markets, Inc Dain Rauscher Incorporated Epoch Securities, Inc. First Union Securities, Inc. Edward D. Jones & Co., L.P. Keefe, Bruyette & Woods, Inc. Prudential Securities Incorporated Sandler O'Neill& Partners, L.P. SunTrust Capital Markets, Inc. Wells Fargo Van Kasper, LLC Advest, Inc. Robert W. Baird & Co. Incorporated William Blair & Company, LLC Blaylock & Partners, L.P. Dowling & Partners, L.P. C.L. King & Associates, Inc. Legg Mason Wood Walker, Incorporated Loop Capital Markets, LLC Melvin Securities, L.L.C. NatCity Investments, Inc. Neuberget Berman, LLC Ramirez & Co., Inc. Stephens Inc. Stifel, Nicholaus & Company, Incorporated May Davis Group, Inc. 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 of Rule 10f-3 of the Investment Company Act. Strategic Partners Moderate Growth Fund For the fiscal year ended 7/31/02 File number 811-08915 SUB-ITEM 77 0 EXHIBITS Transactions Effected Pursuant to Rule 10f-3 1. Name of Issuer Anthem, Inc. 2. Date of Purchase 10/29/01 3. Number of Securities Purchased 5,600 4. Dollar Amount of Purchase $201,600.00 5. Price Per Unit $36.00 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased Goldman Sachs 7. Other Members of the Underwriting Syndicate Merrill Lynch & Co. Goldman, Sachs & Co. Morgan Stanley JP Morgan Banc of America Securities LLC Credit Suisse First Boston Lehman Brothers UBS Warburg ABN AMRO Rothschild LLC Dresdner Kleinwort Wasserstein A.G. Edwards & Sons, Inc. McDonald Investments Inc. Utendahl Capital Partners, L.P. BNY Capital Markets, Inc Dain Rauscher Incorporated Epoch Securities, Inc. First Union Securities, Inc. Edward D. Jones & Co., L.P. Keefe, Bruyette & Woods, Inc. Prudential Securities Incorporated Sandler O'Neill& Partners, L.P. SunTrust Capital Markets, Inc. Wells Fargo Van Kasper, LLC Advest, Inc. Robert W. Baird & Co. Incorporated William Blair & Company, LLC Blaylock & Partners, L.P. Dowling & Partners, L.P. C.L. King & Associates, Inc. Legg Mason Wood Walker, Incorporated Loop Capital Markets, LLC Melvin Securities, L.L.C. NatCity Investments, Inc. Neuberget Berman, LLC Ramirez & Co., Inc. Stephens Inc. Stifel, Nicholaus & Company, Incorporated May Davis Group, Inc. 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 of Rule 10f-3 of the Investment Company Act. Strategic Partners High Growth Fund For the fiscal year ended 7/31/02 File number 811-08915 SUB-ITEM 77 0 EXHIBITS Transactions Effected Pursuant to Rule 10f-3 1. Name of Issuer Anthem, Inc. 2. Date of Purchase 10/29/01 3. Number of Securities Purchased 5,300 4. Dollar Amount of Purchase $190,800.00 5. Price Per Unit $36.00 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased Goldman Sachs 7. Other Members of the Underwriting Syndicate Merrill Lynch & Co. Goldman, Sachs & Co. Morgan Stanley JP Morgan Banc of America Securities LLC Credit Suisse First Boston Lehman Brothers UBS Warburg ABN AMRO Rothschild LLC Dresdner Kleinwort Wasserstein A.G. Edwards & Sons, Inc. McDonald Investments Inc. Utendahl Capital Partners, L.P. BNY Capital Markets, Inc Dain Rauscher Incorporated Epoch Securities, Inc. First Union Securities, Inc. Edward D. Jones & Co., L.P. Keefe, Bruyette & Woods, Inc. Prudential Securities Incorporated Sandler O'Neill& Partners, L.P. SunTrust Capital Markets, Inc. Wells Fargo Van Kasper, LLC Advest, Inc. Robert W. Baird & Co. Incorporated William Blair & Company, LLC Blaylock & Partners, L.P. Dowling & Partners, L.P. C.L. King & Associates, Inc. Legg Mason Wood Walker, Incorporated Loop Capital Markets, LLC Melvin Securities, L.L.C. NatCity Investments, Inc. Neuberget Berman, LLC Ramirez & Co., Inc. Stephens Inc. Stifel, Nicholaus & Company, Incorporated May Davis Group, Inc. 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 of Rule 10f-3 of the Investment Company Act. Strategic Partners Conservative Growth Fund For the fiscal year ended 7/31/02 File number 811-08915 SUB-ITEM 77 0 EXHIBITS Transactions Effected Pursuant to Rule 10f-3 1. Name of Issuer CarAmerica 2. Date of Purchase 12/13/01 3. Number of Securities Purchased 11,100 4. Dollar Amount of Purchase $314,907.00 5. Price Per Unit $28.37 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased Goldman Sachs 7. Other Members of the Underwriting Syndicate Goldman, Sachs, & Co. Salomon Smith Barney Inc. First Union Securities, Inc. Legg Mason Wood Walker, Incorporated Banc of America Securities LLC Deutsche Banc Alex. Brown Inc. A.G. Edwards & Sons, Inc. Commerzbank Capital Markets Corporation Credit Suisse First Boston Corporation Prudential Securities Incorporated 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 of Rule 10f-3 of the Investment Company Act. Strategic Partners Moderate Growth Fund For the six month period ended 7/31/02 File number 811-08915 SUB-ITEM 77 0 EXHIBITS Transactions Effected Pursuant to Rule 10f-3 1. Name of Issuer CarAmerica 2. Date of Purchase 12/13/01 3. Number of Securities Purchased 30,600 4. Dollar Amount of Purchase $868,122.00 5. Price Per Unit $28.37 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased Goldman Sachs 7. Other Members of the Underwriting Syndicate Goldman, Sachs, & Co. Salomon Smith Barney Inc. First Union Securities, Inc. Legg Mason Wood Walker, Incorporated Banc of America Securities LLC Deutsche Banc Alex. Brown Inc. A.G. Edwards & Sons, Inc. Commerzbank Capital Markets Corporation Credit Suisse First Boston Corporation Prudential Securities Incorporated 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 of Rule 10f-3 of the Investment Company Act. Strategic Partners High Growth Fund For the fiscal year ended 7/31/02 File number 811-08915 SUB-ITEM 77 0 EXHIBITS Transactions Effected Pursuant to Rule 10f-3 1. Name of Issuer CarAmerica 2. Date of Purchase 12/13/01 3. Number of Securities Purchased 28,500 4. Dollar Amount of Purchase $808,545.00 5. Price Per Unit $28.37 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased Goldman Sachs 7. Other Members of the Underwriting Syndicate Goldman, Sachs, & Co. Salomon Smith Barney Inc. First Union Securities, Inc. Legg Mason Wood Walker, Incorporated Banc of America Securities LLC Deutsche Banc Alex. Brown Inc. A.G. Edwards & Sons, Inc. Commerzbank Capital Markets Corporation Credit Suisse First Boston Corporation Prudential Securities Incorporated 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 of Rule 10f-3 of the Investment Company Act. Strategic Partners Moderate Growth Fund For the fiscal year ended 7/31/02 File number 811-08915 SUB-ITEM 77 0 EXHIBITS Transactions Effected Pursuant to Rule 10f-3 1. Name of Issuer Principal Financial Group, Inc. 2. Date of Purchase 10/22/01 3. Number of Securities Purchased 10,991.89 4. Dollar Amount of Purchase $203,350.00 5. Price Per Unit $18.50 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased Goldman Sachs 7. Other Members of the Underwriting Syndicate Goldman, Sachs, & Co. Credit Suisse First Boston Corporation Merrill Lynch, Pierce, Fenner & Smith Incorporated Salomon Smith Barney Inc. Banc of America Securities LLC Bear, Stearns & Co. Inc. A.G. Edwards & Sons, Inc. Fox-Pitt, Kelton Inc. J.P. Morgan Securities Inc. Lehman Brothers Inc. Samuel A. Ramirez & Company, Inc. UBS Warburg LLC ABN AMRO Rothschild LLC Sanford C. Bernstein & Co., Inc. Dain Rauscher Incorporated Epoch Securities, Inc. First Union Securities, Inc. Keefe, Bruyette & Woods, Inc. Prudential Securities Incorporated Putnam Lovell Securities Inc. RBC Dominion Securities Corporation Robertson Stephens, Inc. Sandler O'Neill & Partners, L.P. Utendahl Capital Partners, L.P. Wells Fargo Van Kasper, LLC The Williams Capital Group, L.P. BNY Capital Markets, Inc. M.R. Beal & Company Chatsworth Securities LLC Doley Securities, Inc. Guzman & Company Legg Mason Wood Walker, Incorporated Mitchell Securities Corporation of Orgegon Neuberger Berman, LLC Raymond James & Associates, Inc. Muriel Siebert & Co., Inc. Sturdivant & Co., Inc. 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 of Rule 10f-3 of the Investment Company Act. Strategic Partners High Growth Fund For the fiscal year ended 7/31/02 File number 811-08915 SUB-ITEM 77 0 EXHIBITS Transactions Effected Pursuant to Rule 10f-3 1. Name of Issuer Principal Financial Group, Inc. 2. Date of Purchase 10/22/01 3. Number of Securities Purchased 10,400 4. Dollar Amount of Purchase $192,400.00 5. Price Per Unit $18.50 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased Goldman Sachs 7. Other Members of the Underwriting Syndicate Goldman, Sachs, & Co. Credit Suisse First Boston Corporation Merrill Lynch, Pierce, Fenner & Smith Incorporated Salomon Smith Barney Inc. Banc of America Securities LLC Bear, Stearns & Co. Inc. A.G. Edwards & Sons, Inc. Fox-Pitt, Kelton Inc. J.P. Morgan Securities Inc. Lehman Brothers Inc. Samuel A. Ramirez & Company, Inc. UBS Warburg LLC ABN AMRO Rothschild LLC Sanford C. Bernstein & Co., Inc. Dain Rauscher Incorporated Epoch Securities, Inc. First Union Securities, Inc. Keefe, Bruyette & Woods, Inc. Prudential Securities Incorporated Putnam Lovell Securities Inc. RBC Dominion Securities Corporation Robertson Stephens, Inc. Sandler O'Neill & Partners, L.P. Utendahl Capital Partners, L.P. Wells Fargo Van Kasper, LLC The Williams Capital Group, L.P. BNY Capital Markets, Inc. M.R. Beal & Company Chatsworth Securities LLC Doley Securities, Inc. Guzman & Company Legg Mason Wood Walker, Incorporated Mitchell Securities Corporation of Orgegon Neuberger Berman, LLC Raymond James & Associates, Inc. Muriel Siebert & Co., Inc. Sturdivant & Co., Inc. 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 of Rule 10f-3 of the Investment Company Act. Strategic Partners Conservative Growth Fund For the fiscal year ended 7/31/02 File number 811-08915 SUB-ITEM 77 0 EXHIBITS Transactions Effected Pursuant to Rule 10f-3 1. Name of Issuer Lowes Corporation Carolina Group Stock 2. Date of Purchase 1/31/02 3. Number of Securities Purchased 5,800 4. Dollar Amount of Purchase $162,400 5. Price Per Unit $28.00 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased Merrill Lynch; Neuberger & Berman LLC; UBS Warburg; Morgan Stanley; JP Morgan 7. Other Members of the Underwriting Syndicate Salomon Smith Barney Morgan Stanley & Co. Credit Suisse First Boston Goldman, Sachs & Co. Merrill Lynch Lehman Brothers Banc of America Securities LLC J.P. Morgan Securities Inc. UBS Warburg LLC Bear, Stearns & Co. Inc. Blaylock & Partners, L.P. Deutsche Banc Alex. Brown Dresdner Kleinwort Wasserstein Securities A.G. Edwards & Son, Inc. Janney Montgomery Scott LLC Jefferies & Co. Legg Mason Wood Walker Neuberger & Berman, LLC Sanford C. Bernstein & Co. Dominick & Dominick LLC Midwest Research Samuel A. Ramirez & Co. Sanders Morris Harris Muriel Siebert & Co. 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 of Rule 10f-3 of the Investment Company Act. Strategic Partners Moderate Growth Fund For the fiscal year ended 7/31/02 File number 811-08915 SUB-ITEM 77 0 EXHIBITS Transactions Effected Pursuant to Rule 10f-3 1. Name of Issuer Lowes Corporation Carolina Group Stock 2. Date of Purchase 1/31/02 3. Number of Securities Purchased 234,000 4. Dollar Amount of Purchase $6,552,000 5. Price Per Unit $28.00 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased Merrill Lynch; Neuberger & Berman LLC; UBS Warburg; Morgan Stanley; JP Morgan 7. Other Members of the Underwriting Syndicate Salomon Smith Barney Morgan Stanley & Co. Credit Suisse First Boston Goldman, Sachs & Co. Merrill Lynch Lehman Brothers Banc of America Securities LLC J.P. Morgan Securities Inc. UBS Warburg LLC Bear, Stearns & Co. Inc. Blaylock & Partners, L.P. Deutsche Banc Alex. Brown Dresdner Kleinwort Wasserstein Securities A.G. Edwards & Son, Inc. Janney Montgomery Scott LLC Jefferies & Co. Legg Mason Wood Walker Neuberger & Berman, LLC Sanford C. Bernstein & Co. Dominick & Dominick LLC Midwest Research Samuel A. Ramirez & Co. Sanders Morris Harris Muriel Siebert & Co. 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 of Rule 10f-3 of the Investment Company Act. Strategic Partners Conservative Growth Fund For the fiscal year ended 7/31/02 File number 811-08915 SUB-ITEM 77 0 EXHIBITS Transactions Effected Pursuant to Rule 10f-3 1. Name of Issuer Premcor Inc. 2. Date of Purchase 4/29/02 3. Number of Securities Purchased 1,100 4. Dollar Amount of Purchase $26,400 5. Price Per Unit $24.00 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased Morgan Stanley; Goldman Sachs; Credit Suisse First Boston; Salomon Smith Barney; Deutsche Bank and Bear Stearns 7. Other Members of the Underwriting Syndicate Morgan Stanley & Co. Incorporated Credit Suisse First Boston Corporation Goldman, Sachs & Co. Salomon Smith Barney Inc. Deutsche Bank Securities Inc. Bear, Stearns & Co. Inc. Credit Lyonnais Securities (USA) Inc. Fahnestock & Co. Inc. Friedman, Billings, Ramsey & Co., Inc. Petrie Parkman & Co. Prudential Securities Incorporated Raymond James & Associates, Inc. Roberson Stephens, Inc. Smith, Moore & Co. TD Securities (USA) Inc. 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 of Rule 10f-3 of the Investment Company Act. Strategic Partners Moderate Growth Fund For the fiscal year ended 7/31/02 File number 811-08915 SUB-ITEM 77 0 EXHIBITS Transactions Effected Pursuant to Rule 10f-3 1. Name of Issuer Premcor Inc. 2. Date of Purchase 4/29/02 3. Number of Securities Purchased 3,000 4. Dollar Amount of Purchase $72,000 5. Price Per Unit $24.00 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased Morgan Stanley; Goldman Sachs; Credit Suisse First Boston; Salomon Smith Barney; Deutsche Bank and Bear Stearns 7. Other Members of the Underwriting Syndicate Morgan Stanley & Co. Incorporated Credit Suisse First Boston Corporation Goldman, Sachs & Co. Salomon Smith Barney Inc. Deutsche Bank Securities Inc. Bear, Stearns & Co. Inc. Credit Lyonnais Securities (USA) Inc. Fahnestock & Co. Inc. Friedman, Billings, Ramsey & Co., Inc. Petrie Parkman & Co. Prudential Securities Incorporated Raymond James & Associates, Inc. Roberson Stephens, Inc. Smith, Moore & Co. TD Securities (USA) Inc. 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 of Rule 10f-3 of the Investment Company Act. Strategic Partners High Growth Fund For the fiscal year ended 7/31/02 File number 811-08915 SUB-ITEM 77 0 EXHIBITS Transactions Effected Pursuant to Rule 10f-3 1. Name of Issuer Premcor Inc. 2. Date of Purchase 4/29/02 3. Number of Securities Purchased 2,700 4. Dollar Amount of Purchase $64,800 5. Price Per Unit $24.00 6. Name(s) of Underwriter(s) or Dealer(s) From whom Purchased Morgan Stanley; Goldman Sachs; Credit Suisse First Boston; Salomon Smith Barney; Deutsche Bank and Bear Stearns 7. Other Members of the Underwriting Syndicate Morgan Stanley & Co. Incorporated Credit Suisse First Boston Corporation Goldman, Sachs & Co. Salomon Smith Barney Inc. Deutsche Bank Securities Inc. Bear, Stearns & Co. Inc. Credit Lyonnais Securities (USA) Inc. Fahnestock & Co. Inc. Friedman, Billings, Ramsey & Co., Inc. Petrie Parkman & Co. Prudential Securities Incorporated Raymond James & Associates, Inc. Roberson Stephens, Inc. Smith, Moore & Co. TD Securities (USA) Inc. 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 of Rule 10f-3 of the Investment Company Act. 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