EX-99 5 rule10f3trans.htm Unassociated Document
 
 
 

Rule 10f-3 Transactions*
October 1, 2011 through March 31, 2012 Reported Transactions
         
         
1.  The following 10f-3 transaction was effected for the
      
 
RidgeWorth High Income
    
 
RidgeWorth Seix Float Rt
    
Issuer/Security:
07370UAA8
EM 11 12/31/19
  
Date of Purchase:
10/14/2011
      
Date Offering Commenced:
10/14/2011
      
Name of Broker/Dealer from Whom Purchased:
Barclays
      
Name of Affiliated Dealer in Syndicate:
SunTrust Robinson Humphrey
    
Members of the Syndicate:
        
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
    
 
RidgeWorth Seix Float Rt
    
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:
        
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
    
 
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:
        
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%