EX-99.77O RULE 10F-3 3 g73040ex77o.txt RULE 10F-3 TRANSACTION REPORT Schedule A RULE 10F-3 TRANSACTIONS REPORT ------------------------------ April 1, 2001 through September 30, 2001 Affiliated Underwriter: Banc of America Securities, LLC
Type of Security* Date 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 (Part of Nations Funds Trust after 6/8/01) Public Service Electric Group Power, 6.875%, 04/15/2006 1 04/09/01 04/09/01 Morgan Stanley 500,000 99.48 $497,405 0.10% 0.14% Premedia, 8.875%, 05/15/2011 1 05/03/01 05/03/01 Salomon Smith 100,000 98.54 $98,537 0.02% 0.03% Barney Boeing Capital, 5.65%, 05/15/2006 1 05/03/01 05/03/01 CS First Boston 700,000 99.82 $698,726 0.07% 0.19% Worldcom, Inc., 7.50%, 05/15/2011 1 05/09/01 05/09/01 JP Morgan Chase 750,000 98.90 $741,780 0.02% 0.20% Adelphia Communications, 10.25%, 06/15/2011 1 06/07/01 06/07/01 Salomon Smith 460,000 100.00 $460,000 0.05% 0.12% Barney Harrahs Operating Co., Inc., 7.125%, 06/01/2007 1 06/07/01 06/07/01 Salomon Smith 295,000 99.57 $293,743 0.06% 0.08% Barney Ryland Group, 9.125%, 06/15/2011 1 06/08/01 06/08/01 USB Warburg 85,000 100.00 $85,000 0.06% 0.02% Wellpoint Health Network, 6.375%, 06/15/2006 1 06/12/01 06/12/01 Salomon Smith 387,000 99.77 $386,118 0.09% 0.08% Barney Potlatch Corp, 10%, 07/15/2011 1 06/26/01 06/26/01 Goldman Sachs 160,000 100.00 $160,000 0.06% 0.04% PSEG Energy, 8.5%, 06/15/2011 1 06/27/01 06/27/01 Lehman Bros 320,000 99.82 $319,434 0.06% 0.04% CALIFORNIA TAX EXEMPT RESERVES San Diego Cnty School District Tax & Revenue Anticipation Note 1 06/11/01 06/11/01 Merrill Lynch 30,000,000 $100.82 $30,244,800 13.32% 1.88% State of California Revenue Anticipation Note, 3.25%, 06/28/2002 4 09/27/01 09/27/01 Lehman Bros 25,000,000 100.74 $25,185,250 0.44% 1.48% State of California Revenue Anticipation Note, Series C 4 09/27/01 09/27/01 Lehman Bros 10,000,000 100.00 $10,000,000 0.18% 0.59% NATIONS CONVERTIBLE SECURITIES Heller Financial 1 04/26/01 04/26/01 JP Morgan 250,000 25.00 $62,500 0.14% 0.01% Cephalon Inc., 5.25%, 05/01/2006 3 05/02/01 05/02/01 Bank Boston 4,000,000 100.00 $4,000,000 1.33% 0.83% RC Trust I (Raytheon), 8.25% 1 05/03/01 05/03/01 CS First Boston 100,000 50.00 $50,000 0.67% 0.01% Citizens Communication Co. 1 06/13/01 06/13/01 Morgan Stanley 250,000 25.00 $62,500 1.56% 0.01% MONEY MARKET RESERVES WFS Financial 2001-B A(1) Owners Trust 1 05/17/01 05/17/01 Salomon Smith 50,000,000 100.00 $50,000,000 21.74% 0.46% Barney BMW 2001-A A(1) Vehicle Owners Trust 1 05/18/01 05/18/01 JP Morgan/Chase 50,000,000 100.00 $50,000,000 15.20% 0.47% Honda Auto Receivables Owner Trust 2001-2 AI 1 07/24/01 07/24/01 Merrill Lynch 29,000,000 100.00 $29,000,000 0.66% 0.24% CASH RESERVES Honda Auto Receivables Owner Trust 2001-2 AI 1 07/24/01 07/24/01 Salomon Smith 52,000,000 100.00 $52,000,000 1.18% 0.09% Barney MUNICIPAL RESERVES State of California 2001-02 Revenue Anticipation Notes, BMS Index Notes, Series A 4 09/25/01 09/25/01 Lehman Bros 5,000,000 100.74 $5,037,050 0.13% 0.24% State of California 2001-02 Revenue Anticipation Notes, BMS Index Notes, Series B 4 09/25/01 09/25/01 Lehman Bros 5,000,000 100.00 $5,000,000 0.50% 0.24% State of California 2001-02 Revenue Anticipation Notes, BMS Index Notes, Series C 4 09/25/01 09/25/01 Lehman Bros 30,000,000 100.00 $30,000,000 3.53% 1.43%
* 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 of 1940, as amended. ** The Selling Broker is not affiliated with the Affiliated 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).