EX-99.77ORULE10F-3 3 ex77o_ir.txt RULE 10F-3 TRANSACTIONS REPORT Schedule A RULE 10F-3 TRANSACTIONS REPORT January 1, 2001 through March 31, 2001 Affiliated Underwriter: Banc of America Securities, LLC
Type of Security* Principal/ Price % of (1),(2), Offering Purchase Shares Paid % of Fund Issuer (3),(4) Commenced Date Selling Broker** Purchased Price By Fund Issue Assets ------------------------------------------------------------------------------------------------------------------------------------ NATIONS MASTER INVESTMENT TRUST NATIONS HIGH YIELD BOND HCA - The Healthcare Company 7.875% 2011 1 01/23/01 01/23/01 Merrill Lynch 280,000 99.49 $278,568 0.06% 0.44% AT&T Wireless Services, Inc. 3 03/01/01 03/01/01 Salomon Smith Barney 875,000 99.65 $871,946 0.03% 0.92% NATIONS INTERMEDIATE BOND Comcast Cable Communications 1 01/10/01 01/10/01 Merrill Lynch 600,000 99.24 $595,410 0.06% 0.47% Cardinal Health 1 02/08/01 02/08/01 Deutsche Bank Alex Brown 600,000 99.83 $599,004 0.12% 0.43% Progress Energy 1 02/14/01 02/14/01 Salomon Smith Barney 325,000 99.86 $324,552 0.03% 0.23% Safeway Inc. 1 02/28/01 02/28/01 Morgan Stanley 400,000 99.81 $399,240 0.06% 0.26% AT&T Wireless Corp. 3 03/01/01 03/01/01 Merrill Lynch 650,000 99.96 $649,747 0.07% 0.42% American Cellular Corp. 3 03/09/01 03/09/01 Lehman Brothers, Inc. 95,000 99.26 $94,296 0.02% 0.06% Kellogg Co. 3 03/23/01 03/23/01 Salomon Smith Barney 675,000 99.71 $673,009 0.07% 0.45% NATIONS FUND TRUST NATIONS STRATEGIC INCOME Comcast Cable Communications 1 01/10/01 01/10/01 Merrill Lynch 400,000 99.24 $396,940 0.04% 0.11% Progress Energy 1 02/14/01 02/14/01 Salomon Smith Barney 200,000 99.86 $199,724 0.02% 0.06% American Cellular Corp. 3 03/09/01 03/09/01 Lehman Brothers, Inc. 625,000 99.26 $620,369 0.14% 0.18% Kellogg Co. 3 03/23/01 03/23/01 Salomon Smith Barney 200,000 99.71 $199,410 0.02% 0.06% NATIONS BOND Comcast Cable Communications 1 01/10/01 01/10/01 Merrill Lynch 3,570,000 99.24 $3,542,690 0.36% 0.14% Cardinal Health 1 02/08/01 02/08/01 Deutsche Bank Alex Brown 11,555,000 99.83 $11,535,819 2.31% 0.42% Progress Energy 1 02/14/01 02/14/01 Salomon Smith Barney 6,300,000 99.86 $6,291,306 0.50% 0.24% Safeway Inc. 1 02/28/01 02/28/01 Morgan Stanley 10,000,000 99.81 $9,981,000 1.43% 0.35% AT&T Wireless Corp. 3 03/01/01 03/01/01 Merrill Lynch 12,100,000 99.96 $12,095,281 1.21% 0.40% American Cellular Corp. 3 03/09/01 03/09/01 Lehman Brothers, Inc. 1,775,000 99.26 $1,761,847 0.39% 0.06% Kellogg Co. 3 03/23/01 03/23/01 Salomon Smith Barney 18,870,000 99.71 $18,814,334 1.89% 0.65% NATIONS BALANCED ASSETS Cardinal Health 1 02/08/01 02/08/01 Deutsche Bank Alex Brown 150,000 99.83 $149,751 0.03% 0.16% Progress Energy 1 02/14/01 02/14/01 Salomon Smith Barney 95,000 99.86 $94,869 0.01% 0.10% American Cellular Corp. 3 03/09/01 03/09/01 Lehman Brothers, Inc. 30,000 99.26 $29,778 0.01% 0.03% Kellogg Co. 3 03/23/01 03/23/01 Salomon Smith Barney 200,000 99.71 $199,410 0.02% 0.20% NATIONS SHORT-INTERMEDIATE GOVERNMENT FEDEX Corp 3 02/06/01 02/06/01 Merrill Lynch 8,000,000 99.89 $7,990,800 3.20% 1.33% NATIONS MIDCAP GROWTH Time Warner Telecom 1 01/26/01 01/26/01 Merrill Lynch 4,500 $73.82 $332,156 0.00% 0.08% KPMG Consulting, Inc 1 02/07/01 02/07/01 Morgan Stanley 177,000 $18.00 $3,186,000 0.58% 0.75%
Schedule A RULE 10F-3 TRANSACTIONS REPORT January 1, 2001 through March 31, 2001 Affiliated Underwriter: Banc of America Securities, LLC
Type of Security* Principal/ Price % of (1),(2), Offering Purchase Shares Paid % of Fund Issuer (3),(4) Commenced Date Selling Broker** Purchased Price By Fund Issue Assets ------------------------------------------------------------------------------------------------------------------------------------ NATIONS RESERVES NATIONS ASSET ALLOCATION Comcast Cable Communications 1 01/10/01 01/10/01 Merrill Lynch 400,000 99.24 $396,940 0.04% 0.10% Progress Energy 1 02/14/01 02/14/01 Salomon Smith Barney 350,000 99.86 $349,517 0.03% 0.09% AT&T Wireless Corp. 3 03/01/01 03/01/01 Merrill Lynch 750,000 99.96 $749,708 0.08% 0.19% American Cellular Corp. 3 03/09/01 03/09/01 Lehman Brothers, Inc. 110,000 99.26 $109,185 0.02% 0.03% NATIONS CONVERTIBLE SECURITIES Ciena Corp 3 02/05/01 02/05/01 Goldman Sachs 1,500,000 100.00 $1,500,000 0.25% 0.33% Cox Enterprises 3 02/15/01 02/15/01 Merrill Lynch 2,100,000 100.00 $2,100,000 0.47% 0.46% NATIONS FUND, INC. NATIONS SMALL COMPANY Exact Sciences 1 01/30/01 01/30/01 Merrill Lynch 109,100 $14.00 $1,527,400 2.73% 0.17% Triumph Group 1 03/08/01 03/08/01 Deutsche Banc Alex Brown 109,000 $37.50 $4,087,500 2.99% 0.54% NATIONS EQUITY INCOME Duke Power Preferred 1 03/13/01 03/13/01 Merrill Lynch 112,300 $25.00 $2,807,500 0.37% 0.67% ------------------------------------------------------------------------------------------------------------------------------------
RULE 10F-3 TRANSACTIONS REPORT January 1, 2001 through March 31, 2001 Affiliated Underwriter: Banc of America Securities, LLC
Type of Security* Principal/ Price % of (1),(2), Offering Purchase Shares Paid % of Fund Issuer (3),(4) Commenced Date Selling Broker** Purchased Price By Fund Issue Assets ------------------------------------------------------------------------------------------------------------------------------------ NATIONS MASTER INVESTMENT TRUST NATIONS MARSICO 21ST CENTURY Transmeta 1 11/06/00 11/06/00 Morgan Stanley 10,000 $21.00 $210,000 0.07% 0.19% NATIONS MARSICO GROWTH & INCOME Adolph Coors (RKY) 1 11/15/00 11/15/00 Goldman Sachs 37,723 $66.69 $2,515,652 0.68% 0.41% NATIONS RESERVES NATIONS CONVERTIBLE SECURITIES Corning Inc. 1 11/02/00 11/02/00 Goldman Sachs 53,914 $74.19 $4,000,000 1.47% 0.98% Teva Pharmaceutical 3 10/04/00 10/04/00 Lehman Bros 2,500,000 100.00 $2,500,000 0.50% 0.62% NATIONS MONEY MARKET RESERVES Honda Auto Receivables 1 10/13/00 10/25/00 JP Morgan 48,000,000 100.00 $48,000,000 16.11% 0.74%
Schedule A RULE 10F-3 TRANSACTIONS REPORT January 1, 2001 through March 31, 2001 Affiliated Underwriter: Banc of America Securities, LLC
Type of Security* Principal/ Price % of (1),(2), Offering Purchase Shares Paid % of Fund Issuer (3),(4) Commenced Date Selling Broker** Purchased Price By Fund Issue Assets ------------------------------------------------------------------------------------------------------------------------------------ BMW Vehicle Lease Trust 1 11/09/00 11/09/00 Soloman Smith Barney 25,000,000 100.00 $25,000,000 13.89% 0.32% WFS Financial 1 11/14/00 11/14/00 Soloman Smith Barney 30,000,000 100.00 $30,000,000 17.24% 0.37% Ikon Receivables 1 12/07/00 12/07/00 Chase Securities 38,600,000 100.00 $38,600,000 20.00% 0.38% NATIONS FUND TRUST NATIONS MIDCAP GROWTH FUND Transmeta 1 11/06/00 11/06/00 Morgan Stanley 5,500 $21.00 $115,500 0.04% 0.03% Adolor Corp 1 11/14/00 11/14/00 Merrill Lynch 30,250 $15.00 $453,750 0.50% 0.13% NATIONS FUND, INC. NATIONS SMALL COMPANY Plexus Corp. 1 10/13/00 10/13/00 Robertson Stephens 43,900 $50.00 $2,195,000 1.46% 0.24% Transmeta Corporation 1 11/06/00 11/06/00 SG Cowen 1,750 $21.00 $36,750 0.01% 0.004% ------------------------------------------------------------------------------------------------------------------------------------
* The following designations identify whether the securities are: (1) part of a Registered Offering; (2) part of an Eligible Foreign Offering; (3) part of an Eligible Rule 144A Offering; or (4) Eligible Municipal Securities, as such terms are defined in the Procedures for Investment Pursuant to Rule 10f-3 under the Investment Company Act fo 1940, as amended. ** The Selling Broker is not affiliated with the Affliliated Underwriter. The amount of securities of any class purchased by a Fund and any other investment companies advised by a Sub-Adviser or Adviser to the Funds may not exceed (i) 25% of the principal amount of the offering of such class or (ii) if an Eligible Rule 144A offering, 25% of the total of the principal amount of the offering of such class sold to qualified institutional buyers plus the principal amount of the offering of such class in any concurrent public offering. The securities were offered in a firm commitment underwriting (unless a rights offering) and the securities purchased were of an issuer who had been in continuous operations for not less than three years, including predecessors (except for Eligible Municipal Securities).