Rule 10f-3 Transactions*
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April 1, 2011 through September 30, 2011 Reported Transactions
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1. The following 10f-3 transaction was effected for the RidgeWorth High Income, High Yield and Floating
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Rate High Income Funds
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Issuer/Security:
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55342UAA2
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MPW6 ⅞ 05/01/21
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Date of Purchase:
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4/19/2011
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Date Offering Commenced:
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4/19/2011
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Name of Broker/Dealer from Whom Purchased:
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JP Morgan
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Name of Affiliated Dealer in Syndicate:
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SunTrust Robinson Humphrey
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Members of the Syndicate:
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Bank of America Merrill Lynch, Deutsche Bank Securities, JP Morgan, RBC Capital Markets,
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KeyBanc Capital Markets, BBVA Securities, Morgan Keegan, Raymond James, Standard Chartered Bank, STRH
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Aggregate Principal Amount of Purchase:
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$25,000,000
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Aggregate Principal Amount of Offering:
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$450,000,000
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Purchase Price:
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$100.000
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Commission/ Spread/ Profit:
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2.250%
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2. The following 10f-3 transaction was effected for the RidgeWorth High Income, Floating Rate High Income and
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High Yield Funds
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Issuer/Security:
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75886AAF5
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RGNC 6 ½ 07/21
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Date of Purchase:
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5/23/2011
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Date Offering Commenced:
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5/23/2011
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Name of Broker/Dealer from Whom Purchased:
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Morgan Stanley
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Name of Affiliated Dealer in Syndicate:
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SunTrust Robinson Humphrey
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Members of the Syndicate:
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Bank of America Merrill Lynch, Credit Suisse, JP Morgan, Morgan Stanley, RBS Securities, Wells Fargo,
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Deutsche Bank, Comerica, Natixis, Scotia Capital, US Bancorp, STRH
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Aggregate Principal Amount of Purchase:
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$8,000,000
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Aggregate Principal Amount of Offering:
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$500,000,000
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Purchase Price:
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$100.000
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Commission/ Spread/ Profit:
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1.750%
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3. The following 10f-3 transaction was effected for the RidgeWorth High Income and High Yield Funds
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Issuer/Security:
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929160AR0
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VMC7.5 06/15/21
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Date of Purchase:
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6/3/2011
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Date Offering Commenced:
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6/3/2011
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Name of Broker/Dealer from Whom Purchased:
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Bank America
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Name of Affiliated Dealer in Syndicate:
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SunTrust Robinson Humphrey
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Members of the Syndicate:
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Bank of America Merrill Lynch, Goldman Sachs, Morgan Keegan, US Bancorp, Banco Bilboa Vizcaya Argentaria,
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BB&T Capital Markets, Mizuho Securities, Williams Capital Group, STRH
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Aggregate Principal Amount of Purchase:
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$7,000,000
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Aggregate Principal Amount of Offering:
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$600,000,000
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Purchase Price:
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$100.000
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Commission/ Spread/ Profit:
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1.500%
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4. The following 10f-3 transaction was effected for the RidgeWorth Total Return Bond, Investment Grade Bond,
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Intermediate Bond and Corporate Bond Funds
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Issuer/Security:
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337738AL2
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FISV 4 ¾ 06/21
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Date of Purchase:
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6/6/2011
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Date Offering Commenced:
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6/6/2011
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Name of Broker/Dealer from Whom Purchased:
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JP Morgan
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Name of Affiliated Dealer in Syndicate:
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SunTrust Robinson Humphrey
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Members of the Syndicate:
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Bank of America Merrill Lynch, JP Morgan, Mitsubishi UFJ Securities, STRH
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Aggregate Principal Amount of Purchase:
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$20,000,000
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Aggregate Principal Amount of Offering:
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$400,000,000
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Purchase Price:
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$100.000
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Commission/ Spread/ Profit:
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0.650%
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5. The following 10f-3 transaction was effected for the RidgeWorth Total Return Bond, Investment Grade Bond,
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Intermediate Bond and Corporate Bond Funds
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Issuer/Security:
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87233QAA6
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TCLP 4.65 06/21
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Date of Purchase:
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6/14/2011
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Date Offering Commenced:
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6/14/2011
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Name of Broker/Dealer from Whom Purchased:
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JP Morgan
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Name of Affiliated Dealer in Syndicate:
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SunTrust Robinson Humphrey
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Members of the Syndicate:
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JP Morgan, Deutsche Bank, HSBC Securities, RBS Securities, STRH
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Aggregate Principal Amount of Purchase:
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$18,000,000
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Aggregate Principal Amount of Offering:
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$350,000,000
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Purchase Price:
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$99.834
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Commission/ Spread/ Profit:
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0.650%
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6. The following 10f-3 transaction was effected for the RidgeWorth Total Return Bond, Investment Grade Bond,
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Intermediate Bond and Corporate Bond Funds
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Issuer/Security:
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235851AM4
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DHR 3.9 06/23/21
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Date of Purchase:
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6/20/2011
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Date Offering Commenced:
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6/20/2011
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Name of Broker/Dealer from Whom Purchased:
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Bank America
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Name of Affiliated Dealer in Syndicate:
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SunTrust Robinson Humphrey
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Members of the Syndicate:
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Bank of America Merrill Lynch, BNP Paribas, Deutsche Bank, HSBC Securities, Wells Fargo, Banca IMI,
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Mitsubishi UFJ Securities, Scotia Capital, STRH
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Aggregate Principal Amount of Purchase:
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$15,000,000
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Aggregate Principal Amount of Offering:
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$600,000,000
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Purchase Price:
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$99.975
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Commission/ Spread/ Profit:
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0.650%
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7. The following 10f-3 transaction was effected for the RidgeWorth High Income and High Yield Funds
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Issuer/Security:
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00164VAA1
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CVC7.75 07/15/21
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Date of Purchase:
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6/22/2011
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Date Offering Commenced:
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6/22/2011
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Name of Broker/Dealer from Whom Purchased:
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Bank America
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Name of Affiliated Dealer in Syndicate:
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SunTrust Robinson Humphrey
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Members of the Syndicate:
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Bank of America Merrill Lynch, Barclays Capital, Citigroup Global Markets, Credit Agricole Corp, Credit Suisse,
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Goldman Sachs, JP Morgan, Morgan Stanley, RBS Securities, UBS Securities, US Bancorp, BNP Paribas,
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Deutsche Bank, Guggenheim Securities, Nomura, RBC Capital Markets, STRH
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Aggregate Principal Amount of Purchase:
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$5,000,000
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Aggregate Principal Amount of Offering:
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$700,000,000
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Purchase Price:
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$100.000
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Commission/ Spread/ Profit:
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2.000%
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8. The following 10f-3 transaction was effected for the RidgeWorth Large-Cap Value and Mid-Cap Value Funds
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Issuer/Security:
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69351T106
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PPL Corporation
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Date of Purchase:
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4/11/2011
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Date Offering Commenced:
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4/11/2011
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Name of Broker/Dealer from Whom Purchased:
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Credit Suisse
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Name of Affiliated Dealer in Syndicate:
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SunTrust Robinson Humphrey
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Members of the Syndicate:
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Bank of America Merrill Lynch, Credit Suisse, Morgan Stanley, Wells Fargo, Barclays, Citi, JP Morgan, UBS,
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Barish Landis Bank, Deutsche Bank, Goldman Sachs, Santander, Bank of Novia Scotia, MUFG, Royal Bank of
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Scotland, BNP, Credit Agricole, Mizuho, PNC, Bank of NY, KeyBanc, RBC, US Bank, STRH
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Aggregate Principal Amount of Purchase:
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$6,325,000
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Aggregate Principal Amount of Offering:
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$2,024,000,000
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Purchase Price:
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$25.300
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Commission/ Spread/ Profit:
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0.4554 per share
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9. The following 10f-3 transaction was effected for the
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RidgeWorth High Income Fund
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Issuer/Security:
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30066AAA3
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EXAM 9 07/15/19
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Date of Purchase:
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7/14/2011
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Date Offering Commenced:
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7/14/2011
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Name of Broker/Dealer from Whom Purchased:
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Bank America
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Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
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Members of the Syndicate:
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Bank of America Merrill Lynch, Barclays Capital, Credit Suisse Securities, Goldman, Wells Fargo, STRH
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Aggregate Principal Amount of Purchase:
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$5,000,000
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Aggregate Principal Amount of Offering:
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$250,000,000
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Purchase Price:
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$100.000
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Commission/ Spread/ Profit:
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2.250%
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10. The following 10f-3 transaction was effected for the
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RidgeWorth High Income Fund
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RidgeWorth Seix High Yield Fund
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Issuer/Security:
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681904AM0
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OCR7 ¾ 06/1/20
|
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Date of Purchase:
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9/15/2011
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Date Offering Commenced:
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9/15/2011
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Name of Broker/Dealer from Whom Purchased:
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JP Morgan
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Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
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Members of the Syndicate:
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Bank of America Merrill Lynch, Barclays Capital, Goldman Sachs, JP Morgan, STRH
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Aggregate Principal Amount of Purchase:
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$2,000,000
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Aggregate Principal Amount of Offering:
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$550,000,000
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Purchase Price:
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$100.000
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Commission/ Spread/ Profit:
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1.750%
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11. The following 10f-3 transaction was effected for the
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RidgeWorth High Income Fund
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RidgeWorth Seix High Yield Fund
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Issuer/Security:
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06846NAC8
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BBG7 5/8 10/19-17
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||
Date of Purchase:
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9/20/2011
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Date Offering Commenced:
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9/20/2011
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Name of Broker/Dealer from Whom Purchased:
|
Bank America
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Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
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Members of the Syndicate:
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||||
Deutsche Bank, JP Morgan, Merrill Lynch, Wells Fargo, Banco Bilbao Vizcaya Argentaria, Barclays Capital,
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BMO Capital Markets, BNP Paribas, Bosc Inc., Comerica Securities, Credit Suisse Securities, Goldman Sachs,
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Howard Weil, Lloyds Securities, Mitsubishi UFJ Securities, Scotia Capital, US Bancorp Investments, STRH
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||||
Aggregate Principal Amount of Purchase:
|
$5,000,000
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Aggregate Principal Amount of Offering:
|
$400,000,000
|
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Purchase Price:
|
$100.000
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Commission/ Spread/ Profit:
|
1.750%
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