EX-99.77O RULE 10F-3 3 acswrite.htm Unassociated Document
 
 

 

Transactions pursuant to rule 10f3
             
               
Name of Issuer
Date of Purchase
Number of Securities Purchased (Par)
Dollar Amount of Purchase
Price per Unit
Name(s) of Underwriter(s) or Dealer(s) From Whom Purchased
Affiliated Broker
Other Members of the Underwriting Syndicate
               
XPO Logistics
8/14/2014
3,411,000
3,411,000
100
Credit Suisse
Morgan Stanley
Credit Suisse, Morgan Stanley, Citigroup, Deutsche Bank Securities
               
Clear Channel Communications
9/5/2014
4,000,000
4,000,000
100
GSCO
Morgan Stanley
Goldman Sachs & Co, Morgan Stanley, Citigroup, Credit Suisse, Deutsche Bank Securities, Wells Fargo, Lion Tree
               
Gates Global
6/12/2014
8,000,000
8,000,000
100
Citi
Morgan Stanley
Citigroup, Credit Suisse, Goldman Sachs & Co, Morgan Stanley, Deutsche Bank Securities, UBS Investment Bank, Macquarie Capital, Blackstone Capital Markets
               
Gates Global
6/12/2014
5,000,000
5,000,000
100
Citi
Morgan Stanley
Citigroup, Credit Suisse, Goldman Sachs & Co, Morgan Stanley, Deutsche Bank Securities, UBS Investment Bank, Macquarie Capital, Blackstone Capital Markets
               
Acadia Healthcare
6/17/2014
1,000,000
1,000,000
100
BOFA
Mitsubishi UFJ Securities
BOFA, Merrill Lynch, Jefferies, Fifthe Third Securities, Regions Securities LLC, Capital One Securities, Credit Agricole CIB, Mitsubishi UFJ Securities, UBS Investment Bank
               
AmSurg Corp
7/1/2014
6,754,000
6,754,000
100
Citi
Mitsubishi UFJ Securities
Citigroup, Suntrust Robinson Humphrey, BOFA, Merrill Lynch, Jefferies, Wells Fargo Securities, Fifth Third Securities, JP Morgan, Mitsubishi UFJ Securities, KeyBanc Capital Markets, US Bancorp, Barclays, BBVA, Deutsche Bank Securities, Goldman Sachs & Co, FTN Financial Securities Corp, Raymond James
               
Kindred Healthcare
12/11/2014
                                                     2,599,000.00
                              2,599,000.00
100
CitiGroup
Morgan Stanley
Citigroup,JP morgan, Guggenheim, Morgan Stanley, BMO Capital Markets Deutsche Bank, Humphrey
               
HCA Inc
1/13/2015
                                                     1,733,000.00
                              1,733,000.00
100
Wells Fargo
Morgan Stanley
Wells Fargo, Barclays, BOFA, Merrill Lynch, Citigroup, Credit Suisse, Goldman Sachs, Morgan Stanley,RBC, Suntrust, Humphrey, UBS, Credit Agricole, CIB, Mizuho , Nikko
               
Valeant Pharmaceuticals
1/15/2015
5,000,000.00
5,000,000.00
100
Barclays
Morgan Stanley
Barclays, RBC, Deutsche Bank, DNB Markets, HSBC, MUFG, Morgan Stanley, Citigroup, Morgan SunTrust, Robinson Humphrey.
               
Altice Financing
1/30/2015
1,800,000.00
1,800,000.00
100
Goldman Sachs
Morgan Stanley
JP Morgan, Goldman Sachs, Credit Suisse, Deutsche Bank, Morgan Stanley, BNP, Credit Agricole, CIB, Citigroup,HSBC, Nomura, RBC, Societe Generale, Unicredit.
               
Altice Finco
1/30/2015
240,000.00
240,000.00
100
Goldman Sachs
Morgan Stanley
JP Morgan, Goldman Sachs, Credit Suisse, Deutsche Bank, Morgan Stanley, BNP, Credit Agricole, CIB, Citigroup,HSBC, Nomura, RBC, Societe Generale, Unicredit.
               
Altice SA
1/30/2015
760,000.00
760,000.00
100
Goldman Sachs
Morgan Stanley
JP Morgan, Goldman Sachs, Credit Suisse, Deutsche Bank, Morgan Stanley, BNP, Credit Agricole, CIB, Citigroup,HSBC, Nomura, RBC, Societe Generale, Unicredit.
               
Altice SA
1/30/2015
                                                         250,000.00
                                  250,000.00
100
Goldman Sachs
Morgan Stanley
JP Morgan, Goldman Sachs, Credit Suisse, Deutsche Bank, Morgan Stanley, BNP, Credit Agricole, CIB, Citigroup,HSBC, Nomura, RBC, Societe Generale, Unicredit.
               
Altice Financing
1/30/2015
2,000,000.00
2,000,000.00
100
Goldman Sachs
Morgan Stanley
JP Morgan, Goldman Sachs, Credit Suisse, Deutsche Bank, Morgan Stanley, BNP, Credit Agricole, CIB, Citigroup,HSBC, Nomura, RBC, Societe Generale, Unicredit.
               
iHeart Communications
2/19/2015
                                                     2,590,000.00
                              2,590,000.00
100
Goldman Sachs
Morgan Stanley
Goldman Sachs, Citigroup, Morgan Stanley, Credit Suisse, Deutsche Bank, Wells Fargo
               
Acadia Healthcare
2/5/2015
                                                     4,000,000.00
                              4,000,000.00
100
Bofa
Mittsubishi
Bofa, Merrill Lynch, Jefferies, Citigroup, Deutsche Bank, Fifth Third Securities, RBC, Credit Agricole, CIB, MUFG
               
Peabody Energy
3/5/2015
                                        8,687,000.00
                              8,475,558.42
97.566000
Bofa
Mittsubishi & Morgan Stanley
Bofa, Morgan Stanley, BNP, Credit Agricole, CIB, Credit Suisse,HSBC, jp MORGAN, PNC, RBS, BB&T, BBVA, Deutsche Bank, Fifth Third, Goldman, MUFG, SMBC, Wells Fargo, Westpac
               
Carrizo Oil & Gas
4/14/2015
                                          868,000.00
                         868,000.00
100
Credit Suisse
Mittsubishi
RBC Capital Markets Wells Fargo Securities Citigroup Credit Suisse, BBVA Capital One Securities Credit Agricole CIB,SOCIETE GENERALE MUFG Regions Securities LLC, IBERIA Capital Partners L.L.C. KeyBanc Capital Markets
               
Communications Sales
4/16/2015
                                          870,000.00
                         870,000.00
100
Bofa
Mittsubishi & Morgan Stanley
BofA Merrill Lynch J.P. Morgan Barclays Citigroup Credit Suisse Goldman, Sachs & Co. Morgan Stanley RBC Capital Markets SunTrust Robinson Humphrey Wells Fargo Securities BNP PARIBAS Deutsche Bank Securities MUFG+
               
JLL/Delta Dutch
4/29/2015
                                        1,729,000.00
                      1,729,000.00
100
JP Morgan
Mittsubishi & Morgan Stanley
J.P. Morgan UBS Investment Bank Jefferies KeyBanc Capital Markets Morgan Stanley
               
Concordia Healthcare
4/13/2015
                                        1,740,000.00
                      1,740,000.00
100
RBC
Morgan Stanley
RBC, Morgan Stanley, TD
               
Sandridge
5/28/2015
8750000
8750000
100
Barclays
Morgan Stanley
Barclays Morgan Stanley RBC Capital Markets Capital One Securities Natixis RBS SunTrust Robinson Humphrey UBS Investment Bank
               
Endo Finance
6/24/2015
                                                     4,000,000.00
                              4,000,000.00
100
Barclays
Morgan Stanley
Barclays Deutsche Bank Securities Credit Suisse Citigroup BofA Merrill Lynch DNB Markets Jefferies Morgan Stanley RBC Capital Markets SMBC Nikko
               
CCO Safari II, LLC
7/9/2015
                                                     1,000,000.00
                              1,000,000.00
100
Goldman Sachs
Mittsubishi
Goldman, Sachs & Co. BofA Merrill Lynch Credit Suisse Deutsche Bank Securities UBS Investment Bank Credit Agricole CIB Mizuho Securities USA Inc. MUFG RBC Capital Markets Scotiabank SMBC Nikko SunTrust Robinson Humphrey TD Securities US Bancorp Wells Fargo Securities
               
Frontier Communication
9/11/2015
                                                         819,000.00
                                  819,000.00
100
JPM
Morgan Stanley
J.P. Morgan BofA Merrill Lynch Citigroup Co-managers Barclays Credit Suisse Morgan Stanley Mizuho Securities Deutsche Bank Securities Goldman, Sachs & Co. UBS Investment Ban
               
Frontier Communication
9/11/2015
                                                         819,000.00
                                  819,000.00
100
JPM
Morgan Stanley
J.P. Morgan BofA Merrill Lynch Citigroup Co-managers Barclays Credit Suisse Morgan Stanley Mizuho Securities Deutsche Bank Securities Goldman, Sachs & Co. UBS Investment Ban
               
Frontier Communication
9/11/2015
                                        3,277,000.00
                      3,277,000.00
100
JPM
Morgan Stanley
J.P. Morgan BofA Merrill Lynch Citigroup Co-managers Barclays Credit Suisse Morgan Stanley Mizuho Securities Deutsche Bank Securities Goldman, Sachs & Co. UBS Investment Ban
               
Greatbatch, Inc
10/20/2015
                                          680,000.00
                         680,000.00
100
Credit Suisse
Mittsubishi
Credit Suisse KeyBanc Capital Markets Fifth Third Securities MUFG