EX-99.77O RULE 10F-3 2 PIP1677o.txt 10f-3 Exhibit Compliance Detail Issuer Name + CUSIP # Chuy Holdings, Inc. (CHUY) Trade Date 01/24/2013 List of Underwriters Jefferies & Company, Inc Robert W. Baird & Co. Incorporated KeyBanc Capital Markets Inc Raymond James & Associates, Inc Stephens Inc Was the security: 33 Act Registration, Eligible Municipal Security, Eligible Government offerinq, Foreiqn Offerinq, or Eliqible 144A offerinq? No Was security offered under a firm commitment underwriting? (Must be 'YES') Yes Is an affiliated b/d a Sr. Manager or Co-Manaqer? No If yes, did the affiliate benefit directly or indirectly (Must be NO) No Name of Affiliate: Raymond James & Associates, Inc. Underwriter(s) or Dealer(s) from Whom Purchased (Non-affiliates): Jefferies / Baird Sector or Industry: Restaurants Date of First Offering: 01/24/2013 Ratings: N/A Maturity Date: N/A Coupon: N/A Unit Price: $25.00 Underwriting Spread per Unit: 1.00 Gross Spread as a % of Price: 4.00% Yield: N/A Yield to Maturity: N/A Principal Amount of Offering: $112,500,000 Subordination Features: N/A Years of Continued Operation> 3: Yes The Sub-adviser attests that the commission, spread or profit with respect to the transaction described is reasonable and fair compared to the commissions, spread or profit received by others in connection with the underwritings of similar securities during a comparable period of time. The Sub-adviser attests that the Total Percentage Purchased by Sub- adviser including all funds and private advisory accounts over which sub-adviser has investment discretion did not exceed 25%. [If an eligible 144A offering, must be less than 25% of the "144A offering plus any concurrent public offering] PLEASE INDICATE PERCENTAGE 6.11% LIST EACH PARTICIPATING FUND PI LLC FUND NAME Target Conservative Allocation Fund (Eagle sleeve) Percent of Offering Purchased by Fund 0.0046% Dollar Value of Offering Purchased by Fund $5,250.00 PI LLC FUND NAME Target Growth Allocation Fund (Eagle sleeve) Percent of Offering Purchased by Fund 0.0121% Dollar Value of Offering Purchased by Fund $13,625.00 PI LLC FUND NAME Target Moderate Allocation Fund (Eagle sleeve) Percent of Offering Purchased by Fund 0.0130% Dollar Value of Offering Purchased by Fund $14,625.00 PI LLC FUND NAME Target Small Cap Growth Fund (Eagle sleeve) Percent of Offering Purchased by Fund 0.2108% Dollar Value of Offering Purchased by Fund $237,250.00 Total Purchased for Prudential Funds which Sub-Adviser Manages Percent of Offering Purchased by Fund .2045% Dollar Value of Offering Purchased by Fund $270,750.00 Total Percent Purchased by all PI LLC Funds and private advisory accounts over which subadviser has investment discretion [To be completed by PI] 1.4971% Issuer Name + CUSIP # Chuy Holdings, Inc. (CHUY) Secondary Offering Trade Date 04/12/2013 List of Underwriters Jefferies LLC Robert W. Baird KeyBanc Capital Markets Raymond James & Assoc Stephens Inc. Was the security: 33 Act Registration, Eligible Municipal Security, Eligible Government offering, Foreign Offering, or Eligible 144A offering? Yes Was security offered under a firm commitment underwriting? (Must be 'YES') Yes Is an affiliated b/d a Sr. Manager or Co-Manager? No If yes, did the affiliate benefit directly or indirectly (Must be NO) N/A Name of Affiliate: Raymond James & Associates, Inc. Underwriter(s) or Dealer(s) from Whom Purchased (Non-affiliates): Jefferies Sector or Industry: Restaurants Date of First Offering: 04/12/2013 (Secondary Offering) Ratings: N/A Maturity Date: N/A Coupon: N/A Unit Price: $33.00 Underwriting Spread per Unit: 0.792 Gross Spread as a % of Price: 2.40% Yield: N/A Yield to Maturity: N/A Principal Amount of Offering: $99,000,000 Subordination Features: N/A Years of Continued Operation> 3: Yes The Sub-adviser attests that the commission, spread or profit with respect to the transaction described is reasonable and fair compared to the commissions, spread or profit received by others in connection with the underwritings of similar securities during a comparable period of time. The Sub-adviser attests that the Total Percentage Purchased by Sub- adviser including all funds and private advisory accounts over which sub-adviser has investment discretion did not exceed 25%. [If an eligible 144A offering, must be less than 25% of the "144A offering plus any concurrent public offering] PLEASE INDICATE PERCENTAGE 4.17% LIST EACH PARTICIPATING FUND PI LLC FUND NAME Target Conservative Allocation Fund (Eagle sleeve) Percent of Offering Purchased by Fund 0.0026% Dollar Value of Offering Purchased by Fund $2,640.00 PI LLC FUND NAME Target Growth Allocation Fund (Eagle sleeve) Percent of Offering Purchased by Fund 0.0080% Dollar Value of Offering Purchased by Fund $7,920.00 PI LLC FUND NAME Target Moderate Allocation Fund (Eagle sleeve) Percent of Offering Purchased by Fund 0.0080% Dollar Value of Offering Purchased by Fund $7,920.00 PI LLC FUND NAME Target Small Cap Growth Fund (Eagle sleeve) Percent of Offering Purchased by Fund 0.1346% Dollar Value of Offering Purchased by Fund $133,320.00 Total Purchased for Prudential Funds which Sub-Adviser Manages Percent of Offering Purchased by Fund .1532% Dollar Value of Offering Purchased by Fund $151,800.00 Total Percent Purchased by all PI LLC Funds and private advisory accounts over which subadviser has investment discretion [To be completed by PI] 1.0497% Issuer Name + CUSIP # PGT, Inc. (PGTI) Secondary Trade Date 0512112013 List of Underwriters Credit Suisse Raymond James Deutsche Bank Securities RBC Capital Markets SunTrust Robinson Humphrey Was the security: 33 Act Registration, Eligible Municipal Security, Eligible Government offering, Foreign Offering, or Eligible 144A offering? Yes Was security offered under a firm commitment underwriting? (Must be 'YES') Yes Is an affiliated bid a Sr. Manager or Co-Manager? Yes If yes, did the affiliate benefit directly or indirectly (Must be NO) No Name of Affiliate: Raymond James & Associates, Inc. Underwriter(s) or Dealer(s) from Whom Purchased (Non-affiliates): Credit Suisse Sector or Industry: General Building Materials: Windows and Doors Date of First Offering: 0512112013 Ratings: N/A Maturity Date: N/A Coupon: N/A Unit Price: $7.75 Underwriting Spread per Unit: 0.3875 Gross Spread as a % of Price: 5.00% Yield: N/A Yield to Maturity: N/A Principal Amount of Offering: 85,250,000 Subordination Features: N/A Years of Continued Operation> 3: Yes The Sub-adviser attests that the commission, spread or profit with respect to the transaction described is reasonable and fair compared to the commissions, spread or profit received by others in connection with the underwritings of similar securities during a comparable period of time. The Sub-adviser attests that the Total Percentage Purchased by Sub- adviser including all funds and private advisory accounts over which sub-adviser has investment discretion did not exceed 25%. [If an eligible 144A offering, must be less than 25% of the "144A offering plus any concurrent public offering] PLEASE INDICATE PERCENTAGE 11.36% LIST EACH PARTICIPATING FUND PI LLC FUND NAME Target Conservative Allocation Fund (Eagle sleeve) Percent of Offering Purchased by Fund .0089% Dollar Value of Offering Purchased by Fund $7,587.25 PI LLC FUND NAME Target Growth Allocation Fund (Eagle sleeve) Percent of Offering Purchased by Fund .0247% Dollar Value of Offering Purchased by Fund $21,118.75 PI LLC FUND NAME Target Small Cap Growth Portfolio (Eagle sleeve) Percent of Offering Purchased by Fund .4087% Dollar Value of Offering Purchased by Fund $348,494.25 Total Purchased for Prudential Funds which Sub-Adviser Manages Percent of Offering Purchased by Fund .4423% Dollar Value of Offering Purchased by Fund 377,200.25 Total Percent Purchased by all PI LLC Funds and private advisory accounts over which subadviser has investment discretion [To be completed by PI] 3.014%