Rule 10f-3 Transactions*
|
||||
October 1, 2011 through March 31, 2012 Reported Transactions
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||||
1. The following 10f-3 transaction was effected for the
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||||
RidgeWorth High Income
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||||
RidgeWorth Seix Float Rt
|
||||
Issuer/Security:
|
07370UAA8
|
EM 11 12/31/19
|
||
Date of Purchase:
|
10/14/2011
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|||
Date Offering Commenced:
|
10/14/2011
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|||
Name of Broker/Dealer from Whom Purchased:
|
Barclays
|
|||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||
Members of the Syndicate:
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||||
Bank of America Merrill Lynch, Citigroup Global Markets, Goldman Sachs, Barclays Capital, STRH
|
||||
Aggregate Principal Amount of Purchase:
|
$6,500,000
|
|||
Aggregate Principal Amount of Offering:
|
$375,000,000
|
|||
Purchase Price:
|
$100.000
|
|||
Commission/ Spread/ Profit:
|
2.500%
|
|||
2. The following 10f-3 transaction was effected for the
|
||||
RidgeWorth High Income
|
||||
RidgeWorth Seix High Yld
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||||
RidgeWorth Seix Float Rt
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||||
Issuer/Security:
|
17004RAA8
|
KCI 10.5 11/18
|
||
Date of Purchase:
|
10/25/2011
|
|||
Date Offering Commenced:
|
10/25/2011
|
|||
Name of Broker/Dealer from Whom Purchased:
|
Morgan Stanley
|
|||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||
Members of the Syndicate:
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||||
Bank of America Merrill Lynch, Credit Suisse, Morgan Stanley, RBC Capital Markets, UBS Securities, STRH
|
||||
Aggregate Principal Amount of Purchase:
|
$20,000,000
|
|||
Aggregate Principal Amount of Offering:
|
$1,750,000,000
|
|||
Purchase Price:
|
$98.198
|
|||
Commission/ Spread/ Profit:
|
2.250%
|
|||
3. The following 10f-3 transaction was effected for the
|
||||
RidgeWorth High Income
|
||||
RidgeWorth Seix High Yld
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||||
RidgeWorth Seix Float Rt
|
||||
Issuer/Security:
|
165258AA2
|
CHKOIL6.625 11/19
|
||
Date of Purchase:
|
10/25/2011
|
|||
Date Offering Commenced:
|
10/25/2011
|
|||
Name of Broker/Dealer from Whom Purchased:
|
Bank America
|
|||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||
Members of the Syndicate:
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||||
Bank of America Merrill Lynch, Citigroup Global markets, Credit Agricole Corp, Credit Suisse,
|
||||
Goldman Sachs, Barclays Capital, Capital One Southcoast, Comerican Securities, First of Michigan,
|
||||
Morgan Stanley, RBC Capital Markets, UBS Securities, Wells Fargo Securities, STRH
|
||||
Aggregate Principal Amount of Purchase:
|
$7,000,000
|
|||
Aggregate Principal Amount of Offering:
|
$650,000,000
|
|||
Purchase Price:
|
$100.000
|
|||
Commission/ Spread/ Profit:
|
2.000%
|
|||
4. The following 10f-3 transaction was effected for the
|
||||
RidgeWorth High Income
|
||||
RidgeWorth Seix High Yld
|
||||
RidgeWorth Seix Float Rt
|
||||
Issuer/Security:
|
570506AP0
|
MWE6.25 06/15/22
|
||
Date of Purchase:
|
10/25/2011
|
|||
Date Offering Commenced:
|
10/25/2011
|
|||
Name of Broker/Dealer from Whom Purchased:
|
Barclays
|
|||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||
Members of the Syndicate:
|
||||
Barclays Capital, BNP Paribas, JP Morgan, US Bancorp, Capital One Southcoast, Comerica Securities,
|
||||
Natixis Securities, SMBC Nikko Capital Markets, STRH
|
||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
|||
Aggregate Principal Amount of Offering:
|
$700,000,000
|
|||
Purchase Price:
|
$100.000
|
|||
Commission/ Spread/ Profit:
|
1.500%
|
|||
5. The following 10f-3 transaction was effected for the
|
||||
RidgeWorth High Income
|
||||
RidgeWorth Seix High Yld
|
||||
Issuer/Security:
|
421933AK8
|
HMA7.375 01/15/20
|
||
Date of Purchase:
|
11/8/2011
|
|||
Date Offering Commenced:
|
11/8/2011
|
|||
Name of Broker/Dealer from Whom Purchased:
|
Deutsche
|
|||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||
Members of the Syndicate:
|
||||
Barclays Capital, Citigroup Global Markets, Deutsche Bank Securities, JP Morgan, Morgan Stanley,
|
||||
RBS Securities, Wells Fargo Securities, STRH
|
||||
Aggregate Principal Amount of Purchase:
|
$5,000,000
|
|||
Aggregate Principal Amount of Offering:
|
$875,000,000
|
|||
Purchase Price:
|
$100.000
|
|||
Commission/ Spread/ Profit:
|
2.000%
|
|||
6. The following 10f-3 transaction was effected for the
|
||||
RidgeWorth High Income
|
||||
RidgeWorth Seix High Yld
|
||||
Issuer/Security:
|
12543DAK6
|
CYH 8 11/15/19
|
||
Date of Purchase:
|
11/14/2011
|
|||
Date Offering Commenced:
|
11/14/2011
|
|||
Name of Broker/Dealer from Whom Purchased:
|
Credit Suisse
|
|||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||
Members of the Syndicate:
|
||||
Citigroup Global Markets, Credit Suisse, JP Morgan, Merrill Lynch, Wells Fargo Securities, Credit Agricole
|
||||
Securities US, Goldman Sachs, Morgan Stanley, RBC Capital Markets, Scotia Capital, STRH
|
||||
Aggregate Principal Amount of Purchase:
|
$20,000,000
|
|||
Aggregate Principal Amount of Offering:
|
$1,000,000,000
|
|||
Purchase Price:
|
$100.000
|
|||
Commission/ Spread/ Profit:
|
1.650%
|
|||
7. The following 10f-3 transaction was effected for the
|
||||
RidgeWorth High Income
|
||||
RidgeWorth Seix High Yld
|
||||
Issuer/Security:
|
35802XAF0
|
FMEGR 5.875 01/22
|
||
Date of Purchase:
|
1/17/2012
|
|||
Date Offering Commenced:
|
1/17/2012
|
|||
Name of Broker/Dealer from Whom Purchased:
|
Bank of America
|
|||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||
Members of the Syndicate:
|
||||
Bank of America Merrill Lynch, Barclays Bank, Deutsche Bank, JP Morgan, Scotia Capital,
|
||||
Wells Fargo Securities, BNP Paribas Securities, BNY Mellon Capital Markets, Commerz Markets,
|
||||
DNB Markets, HSBC Securities, Mizuho Securities, Morgan Stanley, RBS Securities
|
||||
Santander Investment Securities, STRH
|
||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
|||
Aggregate Principal Amount of Offering:
|
$700,000,000
|
|||
Purchase Price:
|
$100.000
|
|||
Commission/ Spread/ Profit:
|
0.750%
|
|||
8. The following 10f-3 transaction was effected for the
|
||||
RidgeWorth High Income
|
||||
RidgeWorth Seix High Yld
|
||||
Issuer/Security:
|
35802XAD5
|
FMEGR 5.625 07/19
|
||
Date of Purchase:
|
1/17/2012
|
|||
Date Offering Commenced:
|
1/17/2012
|
|||
Name of Broker/Dealer from Whom Purchased:
|
Bank of America
|
|||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||
Members of the Syndicate:
|
||||
Bank of America Merrill Lynch, Barclays Bank, Deutsche Bank, JP Morgan, Scotia Capital,
|
||||
Wells Fargo Securities, BNP Paribas Securities, BNY Mellon Capital Markets, Commerz Markets,
|
||||
DNB Markets, HSBC Securities, Mizuho Securities, Morgan Stanley, RBS Securities
|
||||
Santander Investment Securities, STRH
|
||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
|||
Aggregate Principal Amount of Offering:
|
$800,000,000
|
|||
Purchase Price:
|
$100.000
|
|||
Commission/ Spread/ Profit:
|
0.750%
|
|||
9. The following 10f-3 transaction was effected for the
|
||||
RidgeWorth High Income
|
||||
RidgeWorth Seix High Yld
|
||||
Issuer/Security:
|
737446AA2
|
PSTHLD7 ⅜ 02/22
|
||
Date of Purchase:
|
1/27/2012
|
|||
Date Offering Commenced:
|
1/27/2012
|
|||
Name of Broker/Dealer from Whom Purchased:
|
Barclays
|
|||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||
Members of the Syndicate:
|
||||
Barclays Capital, Credit Suisse Securities, JP Morgan Securities, Wells Fargo Securities,
|
||||
PNC Capital Markets, STRH
|
||||
Aggregate Principal Amount of Purchase:
|
$4,000,000
|
|||
Aggregate Principal Amount of Offering:
|
$775,000,000
|
|||
Purchase Price:
|
$100.000
|
|||
Commission/ Spread/ Profit:
|
1.500%
|
|||
10. The following 10f-3 transaction was effected for the
|
||||
RidgeWorth Seix High Yld
|
||||
Issuer/Security:
|
55342UAD6
|
MPW6.375 02/15/22
|
||
Date of Purchase:
|
2/3/2012
|
|||
Date Offering Commenced:
|
2/3/2012
|
|||
Name of Broker/Dealer from Whom Purchased:
|
JP Morgan
|
|||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||
Members of the Syndicate:
|
||||
Bank of America Merrill Lynch, Deutsche Bank Securities, JP Morgan, RBC Dominion Securities,
|
||||
KeyBanc Capital Markets, Morgan Keegan & Co., Raymond James & Associates, STRH
|
||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
|||
Aggregate Principal Amount of Offering:
|
$200,000,000
|
|||
Purchase Price:
|
$100.000
|
|||
Commission/ Spread/ Profit:
|
1.750%
|
|||
11. The following 10f-3 transaction was effected for the
|
||||
RidgeWorth Seix High Yld
|
||||
Issuer/Security:
|
404121AE5
|
HCA5.875 03/15/22
|
||
Date of Purchase:
|
2/7/2012
|
|||
Date Offering Commenced:
|
2/7/2012
|
|||
Name of Broker/Dealer from Whom Purchased:
|
Goldman Sachs
|
|||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||
Members of the Syndicate:
|
||||
Barclays Capital, Citigroup Global Markets, Credit Suisse Securities, Deutsche Bank Securities,
|
||||
Goldman Sachs, JP Morgan Securities, Merrill Lynch, Morgan Stanley, Wells Fargo Securities,
|
||||
Credit Agricole Securities, RBC Capital Markets, STRH
|
||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
|||
Aggregate Principal Amount of Offering:
|
$1,350,000,000
|
|||
Purchase Price:
|
$100.000
|
|||
Commission/ Spread/ Profit:
|
1.125%
|
|||
12. The following 10f-3 transaction was effected for the
|
||||
RidgeWorth High Income
|
||||
RidgeWorth Seix High Yld
|
||||
Issuer/Security:
|
75281AAN9
|
RRC 5 08/15/22
|
||
Date of Purchase:
|
2/24/2012
|
|||
Date Offering Commenced:
|
2/24/2012
|
|||
Name of Broker/Dealer from Whom Purchased:
|
Bank of America
|
|||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||
Members of the Syndicate:
|
||||
Barclays Capital, Deutsche Bank Securities, JP Morgan Securities, Merrill Lynch, Wells Fargo Securities,
|
||||
BMO Capital Markets, BNP Paribas Securities, Bosc Inc, Capital One Southcoast, Citigroup Global Markets,
|
||||
Comerica Securities, Credit Agricole Securities, Credit Suisse Securities, KeyBanc Capital Markets,
|
||||
Lloyds Securities, Mitsubishi UFJ Securities, Natixis Securities, RBC Capital Markets, Scotia Capital,
|
||||
SG Americas Securities, UBS Securities, US Bancorp Investments, STRH
|
||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
|||
Aggregate Principal Amount of Offering:
|
$600,000,000
|
|||
Purchase Price:
|
$100.000
|
|||
Commission/ Spread/ Profit:
|
1.750%
|
|||
13. The following 10f-3 transaction was effected for the
|
||||
RidgeWorth High Income
|
||||
RidgeWorth Seix High Yld
|
||||
Issuer/Security:
|
74733VAB6
|
QEP5 ⅜ 10/01/22
|
||
Date of Purchase:
|
2/27/2012
|
|||
Date Offering Commenced:
|
2/27/2012
|
|||
Name of Broker/Dealer from Whom Purchased:
|
Wells Fargo
|
|||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||
Members of the Syndicate:
|
||||
BMO Capital Markets, Deutsche Bank Securities, JP Morgan Securities, Wells Fargo Securities,
|
||||
Citigroup Global Markets, Goldman Sachs, Mitsubishi UFJ Securities, TD Securities,
|
||||
US Bancorp Investments, STRH
|
||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
|||
Aggregate Principal Amount of Offering:
|
$500,000,000
|
|||
Purchase Price:
|
$100.000
|
|||
Commission/ Spread/ Profit:
|
1.250%
|
|||
14. The following 10f-3 transaction was effected for the RidgeWorth
|
||||
RidgeWorth High Income
|
||||
RidgeWorth Seix High Yld
|
||||
RidgeWorth Seix Float Rt
|
||||
Issuer/Security:
|
31620MAG1
|
FIS 5 03/15/22
|
||
Date of Purchase:
|
3/5/2012
|
|||
Date Offering Commenced:
|
3/5/2012
|
|||
Name of Broker/Dealer from Whom Purchased:
|
Bank of America
|
|||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||
Members of the Syndicate:
|
||||
Bank of America Merrill Lynch, Citigroup Global Markets, Credit Suisse, Deutsche Bank, JP Morgan,
|
||||
Wells Fargo Securities, HSBC Securities, RBS Securities, US Bancorp Investments, BB&T Capital Markets,
|
||||
BNP Paribas Securities, Credit Agricole Securities, Morgan Keegan, PNC Capital Markets, STRH
|
||||
Aggregate Principal Amount of Purchase:
|
$35,000,000
|
|||
Aggregate Principal Amount of Offering:
|
$700,000,000
|
|||
Purchase Price:
|
$100.000
|
|||
Commission/ Spread/ Profit:
|
1.250%
|
|||
15. The following 10f-3 transaction was effected for the RidgeWorth
|
||||
RidgeWorth High Income
|
||||
RidgeWorth Seix High Yld
|
||||
RidgeWorth Seix Float Rt
|
||||
Issuer/Security:
|
055381AS6
|
BEAV 5.25 04/22
|
||
Date of Purchase:
|
3/8/2012
|
|||
Date Offering Commenced:
|
3/8/2012
|
|||
Name of Broker/Dealer from Whom Purchased:
|
Credit Suisse
|
|||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||
Members of the Syndicate:
|
||||
Citigroup Gobal Markets, Credit Suisse, Goldman Sachs, JP Morgan Securities, UBS, Wells Fargo Securities,
|
||||
Jefferies & Co., Morgan Stanley, RBC Capital Markets, STRH
|
||||
Aggregate Principal Amount of Purchase:
|
$25,000,000
|
|||
Aggregate Principal Amount of Offering:
|
$500,000,000
|
|||
Purchase Price:
|
$100.000
|
|||
Commission/ Spread/ Profit:
|
1.750%
|
|||
16. The following 10f-3 transaction was effected for the RidgeWorth
|
||||
RidgeWorth High Income
|
||||
RidgeWorth Seix High Yld
|
||||
Issuer/Security:
|
676220AG1
|
ODP9.75 03/15/19
|
||
Date of Purchase:
|
3/9/2012
|
|||
Date Offering Commenced:
|
3/9/2012
|
|||
Name of Broker/Dealer from Whom Purchased:
|
Citigroup
|
|||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||
Members of the Syndicate:
|
||||
Bank of America Merrill Lynch, Citigroup Global Markets, JP Morgan, Morgan Stanley, Wells Fargo
|
||||
Securities, US Bancorp, Fifth Third Securities, PNC Capital Markets, RB International Markets,
|
||||
RBS Securities, STRH
|
||||
Aggregate Principal Amount of Purchase:
|
$12,000,000
|
|||
Aggregate Principal Amount of Offering:
|
$250,000,000
|
|||
Purchase Price:
|
$100.000
|
|||
Commission/ Spread/ Profit:
|
0.250%
|
|||