Asset Class
|
Investment Range
(Percentage of the
Aggressive Growth Allocation Strategy’s Assets)
|
Underlying Equity Funds
|
70-90%
|
U.S. Equities
|
|
International Equities
|
|
Emerging Market Equities
|
|
(All Market Capitalizations)
|
|
Underlying Fixed Income Funds
|
10-30%
|
U.S. Investment Grade Bonds
|
|
U.S. High Yield Bonds
|
|
U.S. Floating Rate Securities (including bank loans)
|
|
International Bonds
|
|
Emerging Market Bonds
|
|
Underlying Money Market Investments
|
0-20%
|
Rule 10f-3 Transactions*
|
||||||
April 1, 2012 through September 30, 2012 Reported Transactions
|
||||||
1. The following 10f-3 transaction was effected for the following RidgeWorth Funds:
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
29977HAC4
|
EPENEG6.875 05/19
|
||||
Date of Purchase:
|
4/10/2012
|
|||||
Date Offering Commenced:
|
4/10/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Citigroup
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
BMO Capital Markets, Citigroup Global Markets, Credit Suisse, Deutsche Bank Securities, JP Morgan,
|
||||||
Nomura Securities International, RBC Capital Markets, UBS Securities LLC, Apollo Global Management,
|
||||||
Banco Bilbao, Capital One Southcoast, CIBC World Markets, Comerica Securities, DNB Markets,
|
||||||
ING Financial Markets, Lloyds Securities, Mitsubishi UFJ Securities, Mizuho Securities USA, RBS Securities,
|
||||||
Scotia Capital USA, SG Americas Securities, SMBC Nikko Capital Markets, TD Securities, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$750,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
2.500%
|
|||||
2. The following 10f-3 transaction was effected for the following RidgeWorth Funds:
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
29977HAA8
|
EPENEG9.375 05/20
|
||||
Date of Purchase:
|
4/10/2012
|
|||||
Date Offering Commenced:
|
4/10/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Citigroup
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
BMO Capital Markets, Citigroup Global Markets, Credit Suisse, Deutsche Bank Securities, JP Morgan,
|
||||||
Nomura Securities International, RBC Capital Markets, UBS Securities LLC, Apollo Global Management,
|
||||||
Banco Bilbao, Capital One Southcoast, CIBC World Markets, Comerica Securities, DNB Markets,
|
||||||
ING Financial Markets, Lloyds Securities, Mitsubishi UFJ Securities, Mizuho Securities USA, RBS Securities,
|
||||||
Scotia Capital USA, SG Americas Securities, SMBC Nikko Capital Markets, TD Securities, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$2,000,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
2.500%
|
|||||
3. The following 10f-3 transaction was effected for the following RidgeWorth Funds:
|
||||||
RidgeWorth Total Return
|
||||||
RidgeWorth Core Bd Fd
|
||||||
RidgeWorth Intermed BF
|
||||||
Ridgeworth Corp Bond Fd
|
||||||
Issuer/Security:
|
053332AM4
|
AZO 3.7 04/15/22
|
||||
Date of Purchase:
|
4/17/2012
|
|||||
Date Offering Commenced:
|
4/17/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
JP Morgan
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
JP Morgan, US Bancorp, Wells Fargo Securities, Barclays Capital, Merrill Lynch, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$500,000,000
|
|||||
Purchase Price:
|
$99.984
|
|||||
Commission/ Spread/ Profit:
|
0.650%
|
|||||
4. The following 10f-3 transaction was effected for the following RidgeWorth Funds:
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
Issuer/Security:
|
608871AA7
|
MWV6.75 04/30/20
|
||||
Date of Purchase:
|
4/20/2012
|
|||||
Date Offering Commenced:
|
4/20/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Barclays
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Barclays Capital, BMO Capital Markets, Merrill Lynch, Banco Bilbao, PNC Capital Markets, Scotia Capital,
|
||||||
Barrington Research Associates, CJS Securities, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$3,500,000
|
|||||
Aggregate Principal Amount of Offering:
|
$500,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
2.000%
|
|||||
5. The following 10f-3 transaction was effected for the following RidgeWorth Funds:
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
Issuer/Security:
|
750323AC1
|
RTSX 8 ⅞ 01/17
|
||||
Date of Purchase:
|
4/26/2012
|
|||||
Date Offering Commenced:
|
4/26/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Wells Fargo
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Barclays Capital, Morgan Stanley, Wells Fargo Securities, Imperial Capital, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$350,000,000
|
|||||
Purchase Price:
|
$99.527
|
|||||
Commission/ Spread/ Profit:
|
1.750%
|
|||||
6. The following 10f-3 transaction was effected for the following RidgeWorth Funds:
|
||||||
RidgeWorth Total Return
|
||||||
RidgeWorth Core Bd Fd
|
||||||
RidgeWorth Intermed BF
|
||||||
Ridgeworth Corp Bond Fd
|
||||||
Issuer/Security:
|
78406T201
|
EIX 5.625 pfd
|
||||
Date of Purchase:
|
5/10/2012
|
|||||
Date Offering Commenced:
|
5/10/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Morgan Stanley
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Citigroup Global Markets, Morgan Stanley, RBC Capital Markets, UBS Securities, BNP Paribas,
|
||||||
BNY Mellon Capital Markets, Siebert Capital Markets, US Bancorp, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$600,000
|
|||||
Aggregate Principal Amount of Offering:
|
$19,000,000
|
|||||
Purchase Price:
|
$25.000
|
|||||
Commission/ Spread/ Profit:
|
2.000%
|
|||||
7. The following 10f-3 transaction was effected for the following RidgeWorth Funds:
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
98919UAA5
|
ZAYOGR8.125 01/20
|
||||
Date of Purchase:
|
6/14/2012
|
|||||
Date Offering Commenced:
|
6/14/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Morgan Stanley
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Barclays Bank, Morgan Stanley, Goldman Sachs, RBC Capital Markets, UBS Securities, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$23,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$750,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
1.750%
|
|||||
8. The following 10f-3 transaction was effected for the following RidgeWorth Funds:
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
98919UAC1
|
ZAYOGR 10.125 20
|
||||
Date of Purchase:
|
6/14/2012
|
|||||
Date Offering Commenced:
|
6/14/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Morgan Stanley
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Barclays Bank, Morgan Stanley, Goldman Sachs, RBC Capital Markets, UBS Securities, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$18,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$500,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
2.250%
|
|||||
9. The following 10f-3 transaction was effected for the following RidgeWorth Funds:
|
||||||
RidgeWorth Total Return
|
||||||
RidgeWorth Core Bd Fd
|
||||||
RidgeWorth Intermed BF
|
||||||
Ridgeworth Corp Bond Fd
|
||||||
Issuer/Security:
|
20030NBD2
|
CMCSA 3 ⅛ 07/22
|
||||
Date of Purchase:
|
6/26/2012
|
|||||
Date Offering Commenced:
|
6/26/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Wells Fargo
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
BofA Merrill Lynch, Citigroup Global Markets, Wells Fargo Securities, Deutsche Bank Securities,
|
||||||
JP Morgan, Morgan Stanley, UBS Securities, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$1,000,000,000
|
|||||
Purchase Price:
|
$99.914
|
|||||
Commission/ Spread/ Profit:
|
0.450%
|
|||||
10. The following 10f-3 transaction was effected for the following RidgeWorth Funds:
|
||||||
RidgeWorth Seix High Yld
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
40537QAA8
|
HALCON9.75 07/20
|
||||
Date of Purchase:
|
6/29/2012
|
|||||
Date Offering Commenced:
|
6/29/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Barclays
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Barclays Capital, BMO Capital Markets, Goldman Sachs, JP Morgan Securities, RBC Capital Markets,
|
||||||
Wells Fargo Securities, Capital One Soutcoast, Global Hunter Securities, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$8,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$1,000,000,000
|
|||||
Purchase Price:
|
$98.646
|
|||||
Commission/ Spread/ Profit:
|
2.000%
|
|||||
11. The following 10f-3 transaction was effected for the following RidgeWorth Funds:
|
||||||
RidgeWorth Viriginia Intermediate Bond
|
||||||
Issuer/Security:
|
42605PDF9
|
Henrico Count VA EDA Revenue
|
||||
Date of Purchase:
|
4/4/2012
|
|||||
Date Offering Commenced:
|
4/19/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Davenport & Co.
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Davenport & Co., BB&T Capital Markets, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$1,250,000
|
|||||
Aggregate Principal Amount of Offering:
|
$23,755,000
|
|||||
Purchase Price:
|
$97.272
|
|||||
Commission/ Spread/ Profit:
|
1.065%
|
|||||
12. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
12543DAQ3
|
CYH7.125 07/15/20
|
||||
Date of Purchase:
|
7/9/2012
|
|||||
Date Offering Commenced:
|
7/9/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Credit Suisse
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Bank of America Merrill Lynch, Citigroup Global Markets, Credit Agricole Securities, Credit Suisse
|
||||||
Goldman Sachs, JP Morgan, Morgan Stanley, RBC Capital Markets, Wells Fargo, Deutsche Bank Securities,
|
||||||
Fifth Third Bank, Mitsubishi UFJ Securities, Scotia Capital, UBS Securities, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$35,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$1,200,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
1.4657%
|
|||||
13. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
78401FAE7
|
SBAC 5.75 07/20
|
||||
Date of Purchase:
|
7/10/2012
|
|||||
Date Offering Commenced:
|
7/10/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
JP Morgan
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Barclays Capital, Citigroup Global Markets, Deutsche Bank Securities, J P Morgan Securities, RBS Securities,
|
||||||
TD Securities, Wells Fargo Securities, Raymond James Morgan Keegan, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$25,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$800,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
1.600%
|
|||||
14. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
96758GAA4
|
WOWFIN 10 1/4 07/19
|
||||
Date of Purchase:
|
7/12/2012
|
|||||
Date Offering Commenced:
|
7/12/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Credit Suisse
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Credit Suisse Securities, Mitsubishi UFJ Securities, Morgan Stanley, RBC Capital Markets, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$30,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$725,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
2.500%
|
|||||
15. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
Issuer/Security:
|
96758GAC0
|
WOWFIN 13 3/8 10/19
|
||||
Date of Purchase:
|
7/12/2012
|
|||||
Date Offering Commenced:
|
7/12/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Credit Suisse
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Credit Suisse, Mitsubishi UFJ Securities, Morgan Stanley, RBC Capital Markets, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$5,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$295,000,000
|
|||||
Purchase Price:
|
$98.337
|
|||||
Commission/ Spread/ Profit:
|
2.500%
|
|||||
16. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
Issuer/Security:
|
698657AM5
|
PTRY 8.375 08/20
|
||||
Date of Purchase:
|
7/25/2012
|
|||||
Date Offering Commenced:
|
7/25/2012
|
|||||
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, BMO Capital Markets, RBC Dominion Securities, Wells Fargo, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$5,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$250,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
2.000%
|
|||||
17. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth Intermed BF
|
||||||
Issuer/Security:
|
494550BM7
|
KMP3.45 02/15/23
|
||||
Date of Purchase:
|
8/8/2012
|
|||||
Date Offering Commenced:
|
8/8/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Wells Fargo
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Citigroup Global Markets, Deutsche Bank Securities, Mitsubishi UFJ Securities, RBS Securities, Wells Fargo,
|
||||||
DnB NOR Bank ASA/New York, ING Bank, Natixis, Scotia Capital, Sumitomo Mitsui Banking, TD Securities, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$12,500,000
|
|||||
Aggregate Principal Amount of Offering:
|
$625,000,000
|
|||||
Purchase Price:
|
$99.958
|
|||||
Commission/ Spread/ Profit:
|
0.450%
|
|||||
18. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth Total Return
|
||||||
RidgeWorth Core Bd Fd
|
||||||
Ridgeworth Corp Bond Fd
|
||||||
Issuer/Security:
|
494550BN5
|
KMP 5 08/15/42
|
||||
Date of Purchase:
|
8/8/2012
|
|||||
Date Offering Commenced:
|
8/8/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Wells Fargo
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
Citigroup Global Markets Inc
|
|||||
Citigroup Global Markets, Deutsche Bank Securities, Mitsubishi UFJ Securities, RBS Securities, Wells Fargo,
|
Deutsche Bank Securities Inc
|
|||||
DnB NOR Bank ASA/New York, ING Bank, Natixis, Scotia Capital, Sumitomo Mitsui Banking, TD Securities, STRH
|
Mitsubishi UFJ Securities USA
|
|||||
Aggregate Principal Amount of Purchase:
|
$25,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$625,000,000
|
|||||
Purchase Price:
|
$99.958
|
|||||
Commission/ Spread/ Profit:
|
0.750%
|
|||||
19. The following 10f-3 transaction was effected for the RidgeWorth
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
12543DAR1
|
CYH5.125 08/15/18
|
||||
Date of Purchase:
|
8/8/2012
|
|||||
Date Offering Commenced:
|
8/8/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Credit Suisse
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Citigroup Global Markets, Credit Agricole Securities, Credit Suisse Securities, Goldman Sachs, JP Morgan, Merrill Lynch,
|
||||||
Morgan Stanley, RBC Capital Markets, Wells Fargo Securities, Deutsche Bank Securities, Fifth Third Securities,
|
||||||
Mitsubishi UFJ Securities, Scotia Capital USA, UBS Securities, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$40,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$1,600,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
1.375%
|
|||||
20. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
Issuer/Security:
|
1248EPAY9
|
CHTR 5.25 09/22
|
||||
Date of Purchase:
|
8/8/2012
|
|||||
Date Offering Commenced:
|
8/8/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Citigroup
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Citigroup Global Markets, Barclays Capital, Credit Suisse Securities, Deutsche Bank Securities, JP Morgan Securities,
|
||||||
Merrill Lynch, Morgan Stanley, UBS Securities, Goldman Sachs, Morgan Joseph Triartsan, RBC Capital Markets,
|
||||||
US Bancorp, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$1,250,000,000
|
|||||
Purchase Price:
|
$99.026
|
|||||
Commission/ Spread/ Profit:
|
1.200%
|
|||||
21. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth Seix High Yld
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
23918KAP3
|
DVA5.75 08/15/22
|
||||
Date of Purchase:
|
8/14/2012
|
|||||
Date Offering Commenced:
|
8/14/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
JP Morgan
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
JP Morgan, Bank of America Merrill Lynch, Barclays Capital, Credit Suisse Securities, Goldman Sachs, JP Morgan,
|
||||||
Morgan Stanley, Wells Fargo Securities, Credit Agricole Securities, Mitsubishi UFJ Securities, Scotia Capital USA,
|
||||||
SMBC Nikko Capital Markets, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$25,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$1,250,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
1.500%
|
|||||
22. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth Seix High Yld
|
||||||
RidgeWorth High Income
|
||||||
Issuer/Security:
|
58446VAF8
|
MCCC 6.375 04/23
|
||||
Date of Purchase:
|
8/14/2012
|
|||||
Date Offering Commenced:
|
8/14/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
JP Morgan
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
JP Morgan, Bank of America Merrill Lynch, Citigroup Global Markets, Credit Suisse, Deutsche Bank Securities,
|
||||||
RBC Dominion Securities, Wells Fargo, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$300,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
1.625%
|
|||||
23. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth Intermed BF
|
||||||
Issuer/Security:
|
94973VBA4
|
WLP 3.3 01/15/23
|
||||
Date of Purchase:
|
9/5/2012
|
|||||
Date Offering Commenced:
|
9/5/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Citigroup
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Citigroup Global Markets, Credit Suisse Securities, Deutsche Bank Securities, Merrill Lynch, UBS Securities,
|
||||||
Wells Fargo Securities, BB&T Capital Markets, BNY Mellon Capital Markets, Fifth Third Securities, Huntington Investment Co.,
|
||||||
JP Morgan Securities, Mitsubishi UFJ Securities, Mizuho Securities, Morgan Stanley, PNC Capital Markets,
|
||||||
SMBC Nikko Capital Markets, US Bancorp Investments, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$1,000,000,000
|
|||||
Purchase Price:
|
$99.663
|
|||||
Commission/ Spread/ Profit:
|
0.650%
|
|||||
24. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth Total Return
|
||||||
RidgeWorth Core Bd Fd
|
||||||
Ridgeworth Corp Bond Fd
|
||||||
Issuer/Security:
|
94973VBB2
|
WLP4.65 01/15/43
|
||||
Date of Purchase:
|
9/5/2012
|
|||||
Date Offering Commenced:
|
9/5/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Deutsche
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Citigroup Global Markets, Credit Suisse Securities, Deutsche Bank Securities, Merrill Lynch, UBS Securities,
|
||||||
Wells Fargo Securities, BB&T Capital Markets, BNY Mellon Capital Markets, Fifth Third Securities, Huntington Investment Co.,
|
||||||
JP Morgan Securities, Mitsubishi UFJ Securities, Mizuho Securities, Morgan Stanley, PNC Capital Markets,
|
||||||
SMBC Nikko Capital Markets, US Bancorp Investments, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$25,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$1,000,000,000
|
|||||
Purchase Price:
|
$99.421
|
|||||
Commission/ Spread/ Profit:
|
0.875%
|
|||||
25. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
62886EAE8
|
NCR 5 07/15/22
|
||||
Date of Purchase:
|
9/12/2011
|
|||||
Date Offering Commenced:
|
9/12/2011
|
|||||
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
|
|||||
Bank of America Merrill Lynch, JP Morgan, Morgan Stanley, RBC Capital Markets, BNP Paribas, Fifth Third Securities,
|
JP Morgan
|
|||||
Mitsubishi UFJ Securities, Mizuho Securities, Wells Fargo Securities, STRH
|
Morgan Stanley
|
|||||
Aggregate Principal Amount of Purchase:
|
$12,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$600,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
1.375%
|
|||||
26. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
59804VAA3
|
MPO 10.75 10/20
|
||||
Date of Purchase:
|
9/13/2012
|
|||||
Date Offering Commenced:
|
9/13/2012
|
|||||
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, Goldman Sachs, Morgan Stanley, Natixis, RBC Capital Markets,
|
||||||
RBS Securities, Societe Generale Securities, Capital One Southcoast, KeyBanc Capital Markets, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$8,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$600,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
2.500%
|
|||||
27. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
12686CBB4
|
CVC5.875 09/15/22
|
||||
Date of Purchase:
|
9/13/2012
|
|||||
Date Offering Commenced:
|
9/13/2012
|
|||||
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 Capital, BNP Paribas, Credit Agricole, Deutsche Bank Securities, Goldman Sachs,
|
||||||
Guggenheim Capital Markets, JP Morgan Securities, Natixis, Nomura Securities, RBC Capital Markets, UBS Securities,
|
||||||
US Bancorp, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$750,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
2.000%
|
|||||
28. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
319963BE3
|
FDC6.75 11/01/20
|
||||
Date of Purchase:
|
9/13/2012
|
|||||
Date Offering Commenced:
|
9/13/2012
|
|||||
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
|
|||||
Bank of America Merrill Lynch, Citigroup Global Markets, Credit Suisse, Deutsche Bank Securities, HSBC Securities,
|
Citigroup Global Markets Inc
|
|||||
Goldman Sachs, KKR Capital Markets, Scotia Capital, Sterne Agee & Leach, Wells Fargo, STRH
|
Credit Suisse
|
|||||
Aggregate Principal Amount of Purchase:
|
$25,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$2,150,000,000
|
|||||
Purchase Price:
|
$100.750
|
|||||
Commission/ Spread/ Profit:
|
1.200%
|
|||||
29. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
110394AE3
|
BRS6.25 10/15/22
|
||||
Date of Purchase:
|
9/27/2012
|
|||||
Date Offering Commenced:
|
9/27/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Credit Suisse
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
Merrill Lynch Pierce Fenner & S
|
|||||
Merrill Lynch, Citigroup Global Markets, Credit Suisse Securities, JP Morgan Securities, Wells Fargo Securities,
|
Citigroup Global Markets Inc
|
|||||
HSBC Securities, US Bancorp Investments, STRH
|
Credit Suisse Securities USA LL
|
|||||
Aggregate Principal Amount of Purchase:
|
$12,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$450,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
1.500%
|
|||||
30. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
87311XAC2
|
TWTC 5.375 10/22
|
||||
Date of Purchase:
|
9/27/2012
|
|||||
Date Offering Commenced:
|
9/27/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Credit Suisse
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Credit Suisse Securities, Wells Fargo Securities, Morgan Stanley, UBS Securities, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$17,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$480,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
1.750%
|
|||||
31. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
Issuer/Security:
|
75886AAG3
|
RGP5.5 04/15/23
|
||||
Date of Purchase:
|
9/27/2012
|
|||||
Date Offering Commenced:
|
9/27/2012
|
|||||
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, Barclays Capital, Citigroup Global Markets, Credit Suisse Securities, JP Morgan Securities,
|
||||||
RBS Securities, Wells Fargo Securities, Comerican Securities, Natixis, STHR
|
||||||
Aggregate Principal Amount of Purchase:
|
$8,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$700,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
1.750%
|
|||||
32. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
52602EAD4
|
LPS5.75 04/15/23
|
||||
Date of Purchase:
|
9/28/2012
|
|||||
Date Offering Commenced:
|
9/28/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Wells Fargo
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
Bank of America Merrill Lynch
|
|||||
Goldman Sachs & Co
|
||||||
JP Morgan Securities
|
||||||
US Bancorp Investments Inc
|
||||||
Wells Fargo Securities LLC
|
||||||
Aggregate Principal Amount of Purchase:
|
$20,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$600,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
1.375%
|
|||||
33. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
Issuer/Security:
|
04939MAG4
|
APL6.625 10/01/20
|
||||
Date of Purchase:
|
9/25/2012
|
|||||
Date Offering Commenced:
|
9/25/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Wells Fargo
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Bank of America Merrill Lynch, Citigroup Global Markets, Deutsche Bank Securities, JP Morgan Securities,
|
||||||
Wells Fargo Securities, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$6,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$325,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
1.750%
|
|||||
34. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix High Yld
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
319963BE3
|
FDC6.75 11/01/20
|
||||
Date of Purchase:
|
8/2/2012
|
|||||
Date Offering Commenced:
|
8/2/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Deutsche
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Citigroup Global Markets, Credit Suisse, Deutsche Bank Securities, HSBC Securities, Wells Fargo Securities,
|
||||||
Bank of America Merrill Lynch, Goldman Sachs, KKR Capital Markets, PNC Capital Markets,
|
||||||
Scotia Capital, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$12,500,000
|
|||||
Aggregate Principal Amount of Offering:
|
$1,300,000,000
|
|||||
Purchase Price:
|
$99.193
|
|||||
Commission/ Spread/ Profit:
|
1.500%
|
|||||
35. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
94354EAA2
|
WAVHOL8.125 09/20
|
||||
Date of Purchase:
|
8/9/2012
|
|||||
Date Offering Commenced:
|
8/9/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Deutsche
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Deutsche Bank Securities, RBC Dominion Securities, Wells Fargo, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$7,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$250,000,000
|
|||||
Purchase Price:
|
$100.000
|
|||||
Commission/ Spread/ Profit:
|
2.500%
|
|||||
36. The following 10f-3 transaction was effected for the
|
||||||
RidgeWorth High Income
|
||||||
RidgeWorth Seix Float Rt
|
||||||
Issuer/Security:
|
94354EAA2
|
WAVHOL8.125 09/20
|
||||
Date of Purchase:
|
9/27/2012
|
|||||
Date Offering Commenced:
|
9/27/2012
|
|||||
Name of Broker/Dealer from Whom Purchased:
|
Deutsche
|
|||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|||||
Members of the Syndicate:
|
||||||
Deutsche Bank Securities, RBC Dominion Securities, Wells Fargo, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$5,000,000
|
|||||
Aggregate Principal Amount of Offering:
|
$275,000,000
|
|||||
Purchase Price:
|
$102.000
|
|||||
Commission/ Spread/ Profit:
|
2.500%
|
|
(2)
|
No gain or loss will be recognized by the Selling Fund upon the transfer of all of its assets to the Acquiring Fund solely in exchange for Acquiring Fund Shares and the assumption by the Acquiring Fund of all of the liabilities of the Selling Fund or upon the distribution of Acquiring Fund Shares to shareholders of the Selling Fund;
|
|
(3)
|
No gain or loss will be recognized by the Acquiring Fund upon the receipt of the assets of the Selling Fund solely in exchange for Acquiring Fund Shares and the assumption by the Acquiring Fund of the liabilities of the Selling Fund;
|
|
(4)
|
The tax basis of the assets of the Selling Fund received by the Acquiring Fund will be the same as the tax basis of such assets to the Selling Fund immediately prior to the exchange;
|
|
(5)
|
The holding period of the assets of the Selling Fund received by the Acquiring Fund will include the holding period during which such assets were held by the Selling Fund;
|
|
(6)
|
No gain or loss will be recognized by the shareholders of the Selling Fund upon the exchange of their shares of the Selling Fund for Acquiring Fund Shares (including fractional shares to which they may be entitled);
|
|
(7)
|
The aggregate tax basis of Acquiring Fund Shares received by each shareholder of the Selling Fund (including fractional shares to which they may be entitled) will be the same as the aggregate tax basis of the Selling Fund shares exchanged therefor; and
|
|
(8)
|
The holding period of the Acquiring Fund Shares received by the shareholders of the Selling Fund (including fractional shares to which they may be entitled) will include the holding period of the Selling Fund shares surrendered in exchange therefor, provided that the Selling Fund shares were held as a capital asset as of the Effective Time of the Reorganization.
|