-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, M4blGD/mVm4QJ9KoJPKQxWWZUrjuUHQYjWvGOpe+L4ADgLiCx9sxl6HOZTFcW3uV qQSxS/uM9Sn/SLz4xxB4ag== 0000903423-99-000339.txt : 19990830 0000903423-99-000339.hdr.sgml : 19990830 ACCESSION NUMBER: 0000903423-99-000339 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19990701 FILED AS OF DATE: 19990827 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: INCOME OPPORTUNITIES FUND 1999 INC CENTRAL INDEX KEY: 0000889166 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 223186364 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: SEC FILE NUMBER: 811-06716 FILM NUMBER: 99701367 BUSINESS ADDRESS: STREET 1: 800 SCUDDERS RD STREET 2: C/O MERRILL LYNCH ASSET MANAGEMENT CITY: PLAINSBORO STATE: NJ ZIP: 08536 BUSINESS PHONE: 6092822800 MAIL ADDRESS: STREET 1: C/O MERRILL LYNCH ASSET MANAGEMENT STREET 2: INFO SYSTEMS SECTION 2-B PO BOX 9011 CITY: PRINCETON STATE: NJ ZIP: 08543-9011 COMPANY DATA: COMPANY CONFORMED NAME: CREDIT SUISSE FIRST BOSTON INC CENTRAL INDEX KEY: 0000036121 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] OWNER IRS NUMBER: 132853402 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 BUSINESS ADDRESS: STREET 1: ELEVEN MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10010-3629 BUSINESS PHONE: 2123252000 MAIL ADDRESS: STREET 1: ELEVEN MADISON AVE CITY: NEW YORK STATE: NY ZIP: 10010-3629 FORMER COMPANY: FORMER CONFORMED NAME: CS FIRST BOSTON INC DATE OF NAME CHANGE: 19931118 FORMER COMPANY: FORMER CONFORMED NAME: CS FIRST BOSTON GROUP INC/DE DATE OF NAME CHANGE: 19931029 5 1 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0362 Expires: December 31, 2001 Estimated average burden hours per response ....... 1.0 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 5 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [_] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). [X] Form 3 Holdings Reported [X] Form 4 Transactions Reported ________________________________________________________________________________ 1. Name and Address of Reporting Person* Credit Suisse Group - -------------------------------------------------------------------------------- (Last) (First) (Middle) Paradeplatz 8, Postfach 1, CH-8070 - -------------------------------------------------------------------------------- (Street) Zurich, Switzerland - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Income Opportunities Fund 1999, Inc. (IOF) ________________________________________________________________________________ 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year July 1999 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Person to Issuer (Check all applicable) [_] Director [X] 10% Owner [_] Officer (give title below) [_] Other (specify below) ------------------------------ ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [X] Form filed by One Reporting Person [_] Form filed by More than One Reporting Person ________________________________________________________________________________ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
5. 6. 4. Amount of Owner- Securities Acquired (A) or Securities ship Disposed of (D) Beneficially Form: 7. (Instr. 3, 4 and 5) Owned at end Direct Nature of 2. 3. ----------------------------- of Issuer's (D) or Indirect 1. Transaction Transaction (A) Fiscal Year Indirect Beneficial Title of Security Date Code Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) (Instr. 8) (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ See Explanation See Explanation Common Stock, par value $0.01 04/02/98 3 44,700 of Responses (1) I of Responses (2) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock, par value $0.01 4 (See Attachment B) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
* If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number (Over) SEC 2270 (7-96) FORM 5 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. 10. Number Owner- of ship 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- Securities Date Securities Price Bene- ity: In- cise 3. Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- 4. or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Trans- of (D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date action (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ Code 4 and 5) Date Expira- Number ity Year (I) ship Security Secur- Day/ (Instr. ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) 8) (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses (1) Reporting Person owned 4,298,879 shares of Common Stock on 4/2/98, 6,014,697 shares at the end of the Issuer's fiscal year (12/31/98) and 9,361,697 shares on July 31, 1999. (2) See Attachment A /s/ William W. Chandler 8/26/99 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date By: William W. Chandler Director ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number. Page 2 Attachment A Explanation of Responses The securities reported herein are owned by Credit Suisse First Boston Corporation ("CSFBC"), a Massachusetts corporation and a broker-dealer registered under Section 15 of the Securities Exchange Act of 1934 (the "Exchange Act"). CSFBC is a wholly-owned subsidiary of Credit Suisse First Boston Inc., a Delaware corporation ("CSFBI"). Credit Suisse First Boston, a Swiss bank (the "Bank"), owns a majority of the voting stock, and all of the non-voting stock, of CSFBI. The ultimate parent company of the Bank and CSFBI, and the owner of the remainder of the voting stock of CSFBI, is Credit Suisse Group, a corporation formed under the laws of Switzerland. Attachment B Page: 1 Statement of Changes in Beneficial Ownership
- ------------------------------------------------------------------------------------------------------------------------------------ Title of Security Transaction Transaction Amount (A) or Price Amount of Securities (D) Nature of Indirect (Instr. 3) * Date(mm/dd/yy) Code (Instr.#) (D) Owned at End of or Beneficial Ownership Issuer's Fiscal Year (I) - ------------------------------------------------------------------------------------------------------------------------------------ IOF Common Stock 4/02/98 P 44,700 (A) 9.56 I ** IOF Common Stock 4/03/98 P 4,000 (A) 9.56 I ** IOF Common Stock 4/03/98 P 30,700 (A) 9.56 I ** IOF Common Stock 4/06/98 P 22,600 (A) 9.56 I ** IOF Common Stock 4/07/98 P 23,600 (A) 9.56 I ** IOF Common Stock 4/08/98 P 48,200 (A) 9.56 I ** IOF Common Stock 4/09/98 P 600 (A) 9.56 I ** IOF Common Stock 4/16/98 P 2,700 (A) 9.56 I ** IOF Common Stock 4/17/98 P 4,800 (A) 9.56 I ** IOF Common Stock 4/20/98 P 26,500 (A) 9.56 I ** IOF Common Stock 4/20/98 P 91,500 (A) 9.56 I ** IOF Common Stock 4/21/98 P 41,000 (A) 9.56 I ** IOF Common Stock 4/22/98 P 31,500 (A) 9.56 I ** IOF Common Stock 4/22/98 P 500 (A) 9.56 I ** IOF Common Stock 4/23/98 P 17,400 (A) 9.56 I ** IOF Common Stock 4/24/98 P 17,800 (A) 9.56 I ** IOF Common Stock 4/27/98 P 18,200 (A) 9.56 I ** IOF Common Stock 4/28/98 P 10,700 (A) 9.56 I ** IOF Common Stock 4/29/98 P 34,400 (A) 9.56 I ** IOF Common Stock 5/08/98 P 18,400 (A) 9.56 I ** IOF Common Stock 5/11/98 P 9,000 (A) 9.56 I ** IOF Common Stock 5/12/98 P 6,800 (A) 9.56 I ** IOF Common Stock 5/13/98 P 31,700 (A) 9.56 I ** IOF Common Stock 5/14/98 P 7,600 (A) 9.56 I ** IOF Common Stock 5/14/98 P 33,100 (A) 9.56 I ** IOF Common Stock 5/15/98 P 9,200 (A) 9.56 I ** IOF Common Stock 5/18/98 P 17,200 (A) 9.56 I ** IOF Common Stock 5/19/98 P 8,600 (A) 9.56 I ** IOF Common Stock 5/27/98 P 1,800 (A) 9.56 I ** IOF Common Stock 5/29/98 P 5,600 (A) 9.56 I ** IOF Common Stock 6/09/98 P 10,400 (A) 9.56 I ** IOF Common Stock 6/10/98 P 3,100 (A) 9.56 I ** IOF Common Stock 6/15/98 P 3,200 (A) 9.62 I ** IOF Common Stock 6/15/98 P 14,400 (A) 9.62 I ** IOF Common Stock 6/16/98 P 13,700 (A) 9.62 I ** IOF Common Stock 6/17/98 P 9,700 (A) 9.62 I ** IOF Common Stock 6/18/98 P 43,000 (A) 9.56 I ** IOF Common Stock 6/19/98 P 17,300 (A) 9.56 I ** IOF Common Stock 6/22/98 P 8,300 (A) 9.56 I ** IOF Common Stock 6/22/98 P 1,200 (A) 9.56 I ** IOF Common Stock 6/23/98 P 66,700 (A) 9.56 I ** IOF Common Stock 6/24/98 P 6,000 (A) 9.56 I ** IOF Common Stock 6/25/99 P 18,500 (A) 9.56 I ** IOF Common Stock 6/26/98 P 9,400 (A) 9.56 I ** IOF Common Stock 6/29/98 P 13,400 (A) 9.56 I ** IOF Common Stock 6/30/98 P 4,400 (A) 9.56 I ** IOF Common Stock 7/01/98 P 4,700 (A) 9.56 I ** IOF Common Stock 7/10/98 P 46,400 (A) 9.62 I ** IOF Common Stock 8/07/98 P 2,300 (A) 9.56 I ** IOF Common Stock 8/10/98 P 10,600 (A) 9.56 I ** IOF Common Stock 8/11/98 P 6,400 (A) 9.56 I ** IOF Common Stock 8/12/98 P 15,200 (A) 9.56 I ** IOF Common Stock 8/13/98 P 13,700 (A) 9.56 I ** IOF Common Stock 8/14/98 P 700 (A) 9.56 I ** IOF Common Stock 8/17/98 P 10,200 (A) 9.56 I ** IOF Common Stock 8/18/98 P 28,700 (A) 9.56 I ** IOF Common Stock 8/19/98 P 13,600 (A) 9.56 I ** IOF Common Stock 8/19/98 P 11,200 (A) 9.56 I ** IOF Common Stock 8/20/98 P 5,400 (A) 9.56 I ** IOF Common Stock 9/24/98 P 36,900 (A) 9.62 I ** IOF Common Stock 9/25/98 P 16,900 (A) 9.62 I ** IOF Common Stock 9/28/98 P 6,500 (A) 9.62 I ** IOF Common Stock 9/29/98 P 7,900 (A) 9.62 I ** IOF Common Stock 9/30/98 P 7,400 (A) 9.62 I ** IOF Common Stock 10/01/98 P 14,700 (A) 9,62 I ** IOF Common Stock 10/08/98 P 2,200 (A) 9.62 I ** IOF Common Stock 10/08/98 P 8,700 (A) 9.62 I ** IOF Common Stock 10/09/98 P 1,600 (A) 9.62 I ** IOF Common Stock 10/12/98 P 18,000 (A) 9.62 I ** IOF Common Stock 10/13/98 P 36,000 (A) 9.62 I ** IOF Common Stock 10/14/98 P 2,900 (A) 9.62 I ** IOF Common Stock 10/15/98 P 15,900 (A) 9.62 I ** IOF Common Stock 10/16/98 P 6,800 (A) 9.62 I ** IOF Common Stock 10/19/98 P 8,500 (A) 9.62 I ** IOF Common Stock 10/20/98 P 7,100 (A) 9.62 I ** IOF Common Stock 11/02/98 P 65,200 (A) 9.68 I ** IOF Common Stock 11/03/98 P 23,500 (A) 9.68 I ** IOF Common Stock 11/04/98 P 7,100 (A) 9.68 I ** IOF Common Stock 11/05/98 P 3,200 (A) 9.68 I ** IOF Common Stock 11/09/98 P 32,800 (A) 9.68 I ** IOF Common Stock 11/10/98 P 23,500 (A) 9.68 I ** IOF Common Stock 11/11/98 P 11,300 (A) 9.68 I ** IOF Common Stock 11/12/98 P 31,400 (A) 9.68 I ** IOF Common Stock 11/25/98 P 43,800 (A) 9.62 I ** IOF Common Stock 11/27/98 P 1,500 (A) 9.62 I ** IOF Common Stock 11/30/98 P 8,800 (A) 9.62 I ** IOF Common Stock 12/01/98 P 19,700 (A) 9.62 I ** IOF Common Stock 12/02/98 P 9,200 (A) 9.62 I ** IOF Common Stock 12/03/98 P 4,700 (A) 9.62 I ** IOF Common Stock 12/04/98 P 9,400 (A) 9.62 I ** IOF Common Stock 12/07/98 P 1,900 (A) 9.62 I ** IOF Common Stock 12/08/98 P 64,200 (A) 9.68 I ** IOF Common Stock 12/16/98 P 36,600 (A) 9.68 I ** IOF Common Stock 12/17/98 P 38,200 (A) 9.68 I ** IOF Common Stock 12/18/98 P 7,600 (A) 9.68 I ** IOF Common Stock 12/18/98 P 24,200 (A) 9.68 I ** IOF Common Stock 12/21/98 P 21,400 (A) 9.68 I ** IOF Common Stock 12/22/98 P 9,500 (A) 9.68 I ** IOF Common Stock 12/23/98 P 10,800 (A) 9.68 I ** IOF Common Stock 12/24/98 P 21,000 (A) 9.68 6,028,297 I ** IOF Common Stock 1/04/99 P 52,600 (A) 9.68 I ** IOF Common Stock 1/05/99 P 68,700 (A) 9.68 I ** IOF Common Stock 1/05/99 P 99,000 (A) 9.68 I ** IOF Common Stock 1/05/99 P 46,400 (A) 9.68 I ** IOF Common Stock 1/06/99 P 25,000 (A) 9.68 I ** IOF Common Stock 1/07/99 P 1,000 (A) 9.68 I ** IOF Common Stock 1/07/99 P 4,300 (A) 9.68 I ** IOF Common Stock 1/11/99 P 10,600 (A) 9.68 I ** IOF Common Stock 1/12/99 P 16,600 (A) 9.68 I ** IOF Common Stock 1/13/99 P 23,900 (A) 9.68 I ** IOF Common Stock 1/14/99 P 12,300 (A) 9.68 I ** IOF Common Stock 1/15/99 P 10,300 (A) 9.68 I ** IOF Common Stock 1/19/99 P 19,700 (A) 9.68 I ** IOF Common Stock 1/20/99 P 12,100 (A) 9.68 I ** IOF Common Stock 1/20/99 P 5,600 (A) 9.68 I ** IOF Common Stock 1/21/99 P 11,700 (A) 9.68 I ** IOF Common Stock 1/22/99 P 35,000 (A) 9.68 I ** IOF Common Stock 1/25/99 P 11,000 (A) 9.68 I ** IOF Common Stock 1/26/99 P 900 (A) 9.68 I ** IOF Common Stock 1/27/99 P 9,500 (A) 9.75 I ** IOF Common Stock 1/28/99 P 18,500 (A) 9.75 I ** IOF Common Stock 1/29/99 P 22,100 (A) 9.75 I ** IOF Common Stock 2/01/99 P 31,200 (A) 9.75 I ** IOF Common Stock 2/02/99 P 12,000 (A) 9.75 I ** IOF Common Stock 2/03/99 P 20,600 (A) 9.75 I ** IOF Common Stock 2/03/99 P 5,700 (A) 9.75 I ** IOF Common Stock 2/04/99 P 17,000 (A) 9.75 I ** IOF Common Stock 2/05/99 P 19,500 (A) 9.75 I ** IOF Common Stock 2/08/99 P 12,700 (A) 9.75 I ** IOF Common Stock 2/09/99 P 18,500 (A) 9.75 I ** IOF Common Stock 2/10/99 P 10,000 (A) 9.75 I ** IOF Common Stock 2/11/99 P 700 (A) 9.75 I ** IOF Common Stock 2/12/99 P 22,500 (A) 9.75 I ** IOF Common Stock 2/16/99 P 56,600 (A) 9.75 I ** IOF Common Stock 2/17/99 P 27,600 (A) 9.75 I ** IOF Common Stock 2/17/99 P 19,900 (A) 9.75 I ** IOF Common Stock 2/18/99 P 39,900 (A) 9.75 I ** IOF Common Stock 2/19/99 P 17,100 (A) 9.75 I ** IOF Common Stock 2/22/99 P 16,400 (A) 9.75 I ** IOF Common Stock 2/22/99 P 14,400 (A) 9.75 I ** IOF Common Stock 2/23/99 P 47,300 (A) 9.75 I ** IOF Common Stock 2/24/99 P 27,700 (A) 9.75 I ** IOF Common Stock 2/25/99 P 7,600 (A) 9.75 I ** IOF Common Stock 2/26/99 P 6,300 (A) 9.68 I ** IOF Common Stock 3/01/99 P 11,500 (A) 9.68 I ** IOF Common Stock 3/02/99 P 10,500 (A) 9.68 I ** IOF Common Stock 3/03/99 P 14,500 (A) 9.68 I ** IOF Common Stock 3/04/99 P 8,500 (A) 9.68 I ** IOF Common Stock 3/05/99 P 22,000 (A) 9.68 I ** IOF Common Stock 3/08/99 P 8,700 (A) 9.68 I ** IOF Common Stock 3/09/99 P 19,200 (A) 9.68 I ** IOF Common Stock 3/10/99 P 26,100 (A) 9.68 I ** IOF Common Stock 3/22/99 P 21,900 (A) 9.68 I ** IOF Common Stock 3/22/99 P 15,200 (A) 9.68 I ** IOF Common Stock 3/23/99 P 29,000 (A) 9.81 I ** IOF Common Stock 3/23/99 P 99,000 (A) 9.81 I ** IOF Common Stock 3/23/99 P 99,000 (A) 9.81 I ** IOF Common Stock 3/24/99 P 40,000 (A) 9.81 I ** IOF Common Stock 3/24/99 P 8,800 (A) 9.75 I ** IOF Common Stock 3/25/99 P 50,000 (A) 9.81 I ** IOF Common Stock 3/25/99 P 25,000 (A) 9.81 I ** IOF Common Stock 3/25/99 P 23,300 (A) 9.75 I ** IOF Common Stock 3/26/99 P 7,300 (A) 9.75 I ** IOF Common Stock 3/29/99 P 12,600 (A) 9.75 I ** IOF Common Stock 3/30/99 P 6,500 (A) 9.75 I ** IOF Common Stock 3/30/99 P 9,900 (A) 9.75 I ** IOF Common Stock 3/31/99 P 38,200 (A) 9.75 I ** IOF Common Stock 4/01/99 P 17,200 (A) 9.75 I ** IOF Common Stock 4/12/99 P 23,000 (A) 9.75 I ** IOF Common Stock 4/19/99 P 40,600 (A) 9.87 I ** IOF Common Stock 4/19/99 P 99,000 (A) 9.87 I ** IOF Common Stock 4/19/99 P 99,000 (A) 9.87 I ** IOF Common Stock 4/19/99 P 99,000 (A) 9.87 I ** IOF Common Stock 4/19/99 P 7,200 (A) 9.81 I ** IOF Common Stock 4/20/99 P 12,500 (A) 9.81 I ** IOF Common Stock 4/21/99 P 32,400 (A) 9.81 I ** IOF Common Stock 4/22/99 P 17,700 (A) 9.81 I ** IOF Common Stock 4/22/99 P 46,900 (A) 9.81 I ** IOF Common Stock 4/23/99 P 23,000 (A) 9.81 I ** IOF Common Stock 4/26/99 P 19,300 (A) 9.81 I ** IOF Common Stock 4/27/99 P 16,300 (A) 9.81 I ** IOF Common Stock 4/28/99 P 8,900 (A) 9.81 I ** IOF Common Stock 4/29/99 P 13,800 (A) 9.81 I ** IOF Common Stock 5/07/99 P 26,600 (A) 9.81 I ** IOF Common Stock 5/10/99 P 33,700 (A) 9.81 I ** IOF Common Stock 5/11/99 P 21,400 (A) 9.81 I ** IOF Common Stock 5/12/99 P 15,900 (A) 9.81 I ** IOF Common Stock 5/13/99 P 36,100 (A) 9.81 I ** IOF Common Stock 5/14/99 P 14,400 (A) 9.81 I ** IOF Common Stock 5/17/99 P 21,800 (A) 9.81 I ** IOF Common Stock 5/18/99 P 55,000 (A) 9.87 I ** IOF Common Stock 5/18/99 P 17,500 (A) 9.81 I ** IOF Common Stock 5/19/99 P 10,600 (A) 9.81 I ** IOF Common Stock 5/26/99 P 8,600 (A) 9.81 I ** IOF Common Stock 5/27/99 P 20,100 (A) 9.81 I ** IOF Common Stock 5/28/99 P 14,600 (A) 9.81 I ** IOF Common Stock 6/01/99 P 18,300 (A) 9.81 I ** IOF Common Stock 6/02/99 P 12,000 (A) 9.81 I ** IOF Common Stock 6/03/99 P 11,800 (A) 9.81 I ** IOF Common Stock 6/04/99 P 7,800 (A) 9.81 I ** IOF Common Stock 6/07/99 P 9,500 (A) 9.81 I ** IOF Common Stock 6/07/99 P 5,800 (A) 9.81 I ** IOF Common Stock 6/08/99 P 18,000 (A) 9.81 I ** IOF Common Stock 6/09/99 P 18,900 (A) 9.81 I ** IOF Common Stock 6/10/99 P 10,200 (A) 9.81 I ** IOF Common Stock 6/11/99 P 42,400 (A) 9.81 I ** IOF Common Stock 6/18/99 P 2,800 (A) 9.81 I ** IOF Common Stock 6/21/99 P 67,400 (A) 9.81 I ** IOF Common Stock 6/22/99 P 5,100 (A) 9.81 I ** IOF Common Stock 6/22/99 P 28,800 (A) 9.81 I ** IOF Common Stock 6/23/99 P 9,400 (A) 9.81 I ** IOF Common Stock 6/23/99 P 29,700 (A) 9.81 I ** IOF Common Stock 6/24/99 P 54,800 (A) 9.81 I ** IOF Common Stock 6/24/99 P 19,500 (A) 9.81 I ** IOF Common Stock 6/25/99 P 16,400 (A) 9.81 I ** IOF Common Stock 6/28/99 P 28,500 (A) 9.81 I ** IOF Common Stock 6/29/99 P 1,100 (A) 9.81 I ** IOF Common Stock 6/29/99 P 99,000 (A) 9.81 I ** IOF Common Stock 6/29/99 P 34,600 (A) 9.81 I ** IOF Common Stock 6/30/99 P 300 (A) 9.75 I ** IOF Common Stock 6/30/99 P 97,900 (A) 9.81 I ** IOF Common Stock 7/01/99 P 9,300 (A) 9.75 I ** IOF Common Stock 7/07/99 P 72,800 (A) 9.81 I ** IOF Common Stock 7/08/99 P 17,900 (A) 9.81 I ** IOF Common Stock 7/09/99 P 17,900 (A) 9.81 I ** IOF Common Stock 7/09/99 P 8,300 (A) 9.81 I ** IOF Common Stock 7/12/99 P 76,600 (A) 9.81 I ** IOF Common Stock 7/13/99 P 11,300 (A) 9.75 I ** IOF Common Stock 7/13/99 P 1,500 (A) 9.75 I ** IOF Common Stock 7/13/99 P 300 (A) 9.81 I ** IOF Common Stock 7/13/99 P 3,000 (A) 9.75 I ** IOF Common Stock 7/14/99 P 17,700 (A) 9.75 I ** IOF Common Stock 7/15/99 P 13,600 (A) 9.75 I **
- ------------------------- * "IOF Common Stock" is an abbreviation of Income Opportunities Fund 1999, Inc. Common Stock. ** See Explanation of Responses. -----END PRIVACY-ENHANCED MESSAGE-----