|
(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.
|
Rule 10f-3 Transactions*
|
||
October 1, 2012 through March 31, 2013 Reported Transactions
|
||
1. The following 10f-3 transaction was effected for the
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix High Yld
|
||
Issuer/Security:
|
40416GAC2
|
HTZ6.25 10/15/22
|
Date of Purchase:
|
10/1/2012
|
|
Date Offering Commenced:
|
10/1/2012
|
|
Name of Broker/Dealer from Whom Purchased:
|
Barclays
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
Barclays Capital, Bank of America, BMO Capital Markets, BNP Paribas, Credit Agricole Securities, Deutsche Bank,
|
||
Natixis, RBS Securities, Wells Fargo Securities, Fifth Third Bank, PNC Capital Markets, Scotia Capital, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$4,000,000
|
|
Aggregate Principal Amount of Offering:
|
$500,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.5000%
|
|
2. The following 10f-3 transaction was effected for the
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix High Yld
|
||
Issuer/Security:
|
40416GAA6
|
HTZ5.875 10/15/20
|
Date of Purchase:
|
10/1/2012
|
|
Date Offering Commenced:
|
10/1/2012
|
|
Name of Broker/Dealer from Whom Purchased:
|
Barclays
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
Barclays Capital, Bank of America, BMO Capital Markets, BNP Paribas, Credit Agricole Securities, Deutsche Bank,
|
||
Natixis, RBS Securities, Wells Fargo Securities, Fifth Third Bank, PNC Capital Markets, Scotia Capital, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$6,000,000
|
|
Aggregate Principal Amount of Offering:
|
$700,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.500%
|
|
3. The following 10f-3 transaction was effected for the
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix High Yld
|
||
Issuer/Security:
|
228227BC7
|
CCI5.25 01/15/23
|
Date of Purchase:
|
10/3/2012
|
|
Date Offering Commenced:
|
10/3/2012
|
|
Name of Broker/Dealer from Whom Purchased:
|
Bank of America Merrill Lynch
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
Bank of America Merrill Lynch, Barclays Capital, Citigroup Global Markets, Credit Agricole Securities, Deutsche Bank Securities, JP Morgan,
|
||
Mitsubishi UFJ Financial, Morgan Stanley, RBC Capital Markets, TD Securities, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$7,000,000
|
|
Aggregate Principal Amount of Offering:
|
$1,650,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.000%
|
|
4. The following 10f-3 transaction was effected for the
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth Seix Float Rt
|
||
Issuer/Security:
|
532776AV3
|
TVL6.375 01/15/21
|
Date of Purchase:
|
10/4/2012
|
|
Date Offering Commenced:
|
10/4/2012
|
|
Name of Broker/Dealer from Whom Purchased:
|
JP Morgan Securities
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
JP Morgan Securities, Deutsche Bank, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
|
Aggregate Principal Amount of Offering:
|
$290,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
2.500%
|
|
5. The following 10f-3 transaction was effected for the
|
||
RidgeWorth High Income
|
||
Issuer/Security:
|
40415RAJ4
|
HDSUPP 11.5 7/15/20
|
Date of Purchase:
|
10/9/2012
|
|
Date Offering Commenced:
|
10/9/2012
|
|
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, Credit Suisse, Deutsche Bank Securities, Goldman Sachs, JP Morgan Securities, UBS Securities,
|
||
Wells Fargo Securities, BB&T Capital Markets, Raymond James, Robert W Baird, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$5,000,000
|
|
Aggregate Principal Amount of Offering:
|
$1,000,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.500%
|
|
6. The following 10f-3 transaction was effected for the
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth Seix Float Rt
|
||
Issuer/Security:
|
126634AA2
|
CVI6.5 11/01/22
|
Date of Purchase:
|
10/10/2012
|
|
Date Offering Commenced:
|
10/10/2012
|
|
Name of Broker/Dealer from Whom Purchased:
|
Credit Suisse
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
Credit Suisse, Barclays Capital, Citigroup Global Markets, Credit Suisse, Jefferies, UBS Securities, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$17,000,000
|
|
Aggregate Principal Amount of Offering:
|
$500,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.500%
|
|
7. The following 10f-3 transaction was effected for the
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix High Yld
|
||
Issuer/Security:
|
449934AB4
|
RX 6 11/01/20
|
Date of Purchase:
|
10/16/2012
|
|
Date Offering Commenced:
|
10/16/2012
|
|
Name of Broker/Dealer from Whom Purchased:
|
Goldman Sachs
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
Goldman Sachs, Bank of America Merrill Lynch, Barclays Capital, Deutsche Bank Securities, Goldman Sachs, HSBC Securities, JP Morgan Securities,
|
||
Wells Fargo Securities, Fifth Third Securities, Mizuho Securities, RBC Capital Market, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$6,000,000
|
|
Aggregate Principal Amount of Offering:
|
$500,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.750%
|
|
8. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth Seix Float Rt
|
||
Issuer/Security:
|
404121AF2
|
HCA4.75 05/01/23
|
Date of Purchase:
|
10/16/2012
|
|
Date Offering Commenced:
|
10/16/2012
|
|
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, Citigroup Global Markets, Deutsche Bank Securities, Goldman Sachs, JP Morgan Securities,
|
||
Wells Fargo Securities, Credit Agricole Securities, Credit Suisse, Mizuho Securities, Morgan Stanley, RBC Capital Markets, UBS Investment Bank,
|
||
Fifth Third Bank, SMBC Nikko Securities, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$20,000,000
|
|
Aggregate Principal Amount of Offering:
|
$1,250,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.125%
|
|
9. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Total Return
|
||
RidgeWorth Core Bd Fd
|
||
RidgeWorth Intermed BF
|
||
Ridgeworth Corp Bond Fd
|
||
Issuer/Security:
|
6174824M3
|
MS 4.875 11/01/22
|
Date of Purchase:
|
10/18/2012
|
|
Date Offering Commenced:
|
10/18/2012
|
|
Name of Broker/Dealer from Whom Purchased:
|
Morgan Stanley
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
Morgan Stanley, Banca IMI, BB&T Capital Markets, BNY Mellon Capital Markets, Commerz Markets, Credit Agricole Securities, KKR Capital Markets,
|
||
Lebenthal & Co., Loop Capital Markets, Mitsubishi UFJ Securities, nabSecurities, Natixis Securities, RBC Capial Markets, RBS Securities,
|
||
Santander Investment Securities, Scotia Capital, Skandinaviska Enskilda Bank, TD Securities, US Bancorp Investments, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
|
Aggregate Principal Amount of Offering:
|
$2,000,000,000
|
|
Purchase Price:
|
$99.646
|
|
Commission/ Spread/ Profit:
|
0.450%
|
|
10. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth High Income
|
||
Issuer/Security:
|
737446AA2
|
POST 7.375 02/22
|
Date of Purchase:
|
10/22/2012
|
|
Date Offering Commenced:
|
10/22/2012
|
|
Name of Broker/Dealer from Whom Purchased:
|
Credit Suisse
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
Barclays Capital
|
|
Barclays Capital, Credit Suisse Securities, JP Morgan Securities, Wells Fargo Securities, STRH
|
Credit Suisse Securities USA L
|
|
Aggregate Principal Amount of Purchase:
|
$9,000,000
|
|
Aggregate Principal Amount of Offering:
|
$250,000,000
|
|
Purchase Price:
|
$106.000
|
|
Commission/ Spread/ Profit:
|
1.500%
|
|
11. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix Float Rt
|
||
Issuer/Security:
|
40537QAC4
|
HKUS 8.875 05/21
|
Date of Purchase:
|
10/23/2012
|
|
Date Offering Commenced:
|
10/23/2012
|
|
Name of Broker/Dealer from Whom Purchased:
|
Wells Fargo
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
Wells Fargo & Co
|
|
Wells Fargo, Barclays Capital, Goldman Sachs, JP Morgan Securities, Wells Fargo, Bank of America Merrill Lynch, BMO Capital Markets,
|
||
Capital One Financial Corp, Comerica Securities, Credit Suisse, Deutsche Bank Securities, ING Investments, KeyBanc Capital Markets,
|
||
National Bank Financial, RBC Capital Markets, RBS Securities, Scotia Capital, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
|
Aggregate Principal Amount of Offering:
|
$750,000,000
|
|
Purchase Price:
|
$99.247
|
|
Commission/ Spread/ Profit:
|
2.500%
|
|
12. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix Float Rt
|
||
Issuer/Security:
|
726505AP5
|
PXP6.875 02/15/23
|
Date of Purchase:
|
10/23/2012
|
|
Date Offering Commenced:
|
10/23/2012
|
|
Name of Broker/Dealer from Whom Purchased:
|
JP Morgan
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
JP Morgan, Barcalys Capital, BMO Capital Markets, Citigroup Global Markets, Wells Fargo Securities, Bank of America Merrill Lynch,
|
||
RBC Capital Markets, Scotiabanc, TD Securities, BNP Paribas, Capital One Southcoast, CIBC Bank, Comerica Securities, Deutsche Bank Securities,
|
||
Fifth Third Securities, Goldman Sachs, ING Capital, Mizuho Securities, UBS Investment Bank, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$50,000,000
|
|
Aggregate Principal Amount of Offering:
|
$1,500,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.500%
|
|
13. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix High Yld
|
||
Issuer/Security:
|
84763BAC0
|
SPB6 ⅝ 11/15/22
|
Date of Purchase:
|
11/1/2012
|
|
Date Offering Commenced:
|
11/1/2012
|
|
Name of Broker/Dealer from Whom Purchased:
|
Barclays
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
Barclays Capital, Deutsche Bank Securities, Bank of Tokyo-Mitsubishi UFJ, Jefferies, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$4,000,000
|
|
Aggregate Principal Amount of Offering:
|
$570,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
2.250%
|
|
14. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix High Yld
|
||
Issuer/Security:
|
84763BAA4
|
SPB6.375 11/15/20
|
Date of Purchase:
|
11/1/2012
|
|
Date Offering Commenced:
|
11/1/2012
|
|
Name of Broker/Dealer from Whom Purchased:
|
Barclays
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
Barclays Capital, Deutsche Bank Securities, Bank of Tokyo-Mitsubishi UFJ, Jefferies, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$4,000,000
|
|
Aggregate Principal Amount of Offering:
|
$520,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
2.250%
|
|
15. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix High Yld
|
||
Issuer/Security:
|
81211KAS9
|
SEE 6 1/2 12/01/20
|
Date of Purchase:
|
11/15/2012
|
|
Date Offering Commenced:
|
11/15/2012
|
|
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 Agricole Indosuez, Morgan Stanley, RBS Securities, HSBC Securities,
|
||
Mizuho Securities, Scotia Capital, SMBC Nikko Securities America, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$6,000,000
|
|
Aggregate Principal Amount of Offering:
|
$420,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.500%
|
|
16. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth High Income
|
||
Issuer/Security:
|
40412CAC5
|
HCA 6 1/4 02/15/21
|
Date of Purchase:
|
12/3/2012
|
|
Date Offering Commenced:
|
12/3/2012
|
|
Name of Broker/Dealer from Whom Purchased:
|
Citigroup
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
Citigroup Global Markets, Bank of America Merrill Lynch, Barclays Capital, Credit Suisse Securities, Deutsche Bank Securities, JP Morgan Securities,
|
||
Morgan Stanley, Wells Fargo Securities, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$7,000,000
|
|
Aggregate Principal Amount of Offering:
|
$1,000,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.125%
|
|
17. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix Float Rt
|
||
Issuer/Security:
|
62886EAG3
|
NCR 4.625 02/15/21
|
Date of Purchase:
|
12/4/2012
|
|
Date Offering Commenced:
|
12/4/2012
|
|
Name of Broker/Dealer from Whom Purchased:
|
JP Morgan
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
JP Morgan Securities, Bank of America Merrill Lynch, Wells Fargo Securities, BNP Paribas, Fifth Third Securities, HSBC Securities,
|
||
US Bancorp Investments, Bank of Tokyo-Mitsubishi UFJ, KeyBanc Capital Markets, Mizuho Securities, Morgan Stanley, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$25,000,000
|
|
Aggregate Principal Amount of Offering:
|
$500,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.125%
|
|
18. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth High Income
|
||
Issuer/Security:
|
693656AA8
|
PVH4.5 12/15/22
|
Date of Purchase:
|
12/6/2012
|
|
Date Offering Commenced:
|
12/6/2012
|
|
Name of Broker/Dealer from Whom Purchased:
|
Barclays
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
Barclays, Bank of America Merrill Lynch, Citigroup Global Markets, Credit Suisse Securities, RBC Capital Markets, Credit Agricole Securities,
|
||
HSBC Securities, RBS Securities, Scotia Capital, SMBC Nikko Securities America, TD Securities, US Bancorp, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$6,000,000
|
|
Aggregate Principal Amount of Offering:
|
$700,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
2.000%
|
|
19. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth High Income
|
||
Issuer/Security:
|
00164VAC7
|
AMCX 4.75 12/22
|
Date of Purchase:
|
12/10/2012
|
|
Date Offering Commenced:
|
12/10/2012
|
|
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, Citigroup Global Markets, Credit Agricole Securities, Credit Suisse Securities,
|
||
Deutsche Bank Securities, Goldman Sachs, Guggenheim Securities, JP Morgan Securities, Morgan Stanley, RBC Capital Markets,
|
||
RBS Securities, Scotia Capital USA, UBS Securities, US Bancorp Investments, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$5,000,000
|
|
Aggregate Principal Amount of Offering:
|
$600,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.750%
|
|
20. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth High Income
|
||
Issuer/Security:
|
185401AD8
|
CLEAVB8.75 12/19
|
Date of Purchase:
|
12/11/2012
|
|
Date Offering Commenced:
|
12/11/2012
|
|
Name of Broker/Dealer from Whom Purchased:
|
Royal Bank of Canada
|
|
Name of Affiliated Dealer in Syndicate:
|
||
Members of the Syndicate:
|
||
RBC Capital Markets, UBS Securities, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$5,000,000
|
|
Aggregate Principal Amount of Offering:
|
$300,000,000
|
|
Purchase Price:
|
$99.361
|
|
Commission/ Spread/ Profit:
|
2.500%
|
|
21. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Total Return
|
||
RidgeWorth Core Bd Fd
|
||
RidgeWorth Intermed BF
|
||
Ridgeworth Corp Bond Fd
|
||
Issuer/Security:
|
14987BAC7
|
CCI 3.849 04/23
|
Date of Purchase:
|
12/11/2012
|
|
Date Offering Commenced:
|
12/11/2012
|
|
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, Credit Agricole Securities, JP Morgan, Morgan Stanley, RBC Capital Markets, Royal Bank of Scotland,
|
||
TD Securities, Citigroup Global Markets, Deutsche Bank Securities, Mitsubishi UFJ Securities, PNC Capital Markets, SMBC Nikko Capital Markets, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
|
Aggregate Principal Amount of Offering:
|
$1,000,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
0.500%
|
|
22. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix Float Rt
|
||
Issuer/Security:
|
1248EPAZ6
|
CHTR 5.125 02/23
|
Date of Purchase:
|
12/12/2012
|
|
Date Offering Commenced:
|
12/12/2012
|
|
Name of Broker/Dealer from Whom Purchased:
|
Deutsche
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
Barclays Capital
|
|
Deutsche Bank Securities, Barclays Capital, Citigroup Global Markets, Credit Suisse Securities, JP Morgan Securities, Merrill Lynch Pierce Fenner,
|
Citigroup Global Markets Inc
|
|
Morgan Stanley, UBS Securities, Goldman Sachs, Guggenheim Securities, Morgan Joseph Triartisan, RBC Capital Markets, US Bancorp
|
Credit Suisse Securities USA LL
|
|
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
|
Aggregate Principal Amount of Offering:
|
$1,000,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.200%
|
|
23. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Mid-Cap Value Fund
|
||
Issuer/Security:
|
Equity Residential
|
|
Date of Purchase:
|
11/28/2012
|
|
Date Offering Commenced:
|
11/26/2012
|
|
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, Deutsche Bank, Wells Fargo, Barclays, Citi, JP Morgan, RBC, MCIFJ, PNC, Piper Jaffrey, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$5,475,000
|
|
Aggregate Principal Amount of Offering:
|
$1,196,287,500
|
|
Purchase Price:
|
$54.750
|
|
Commission/ Spread/ Profit:
|
0.986%
|
|
24. The following 10f-3 transaction was effected for the
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth Seix Float Rt
|
||
Issuer/Security:
|
97381WAY0
|
WIN6 3/8 08/01/23
|
Date of Purchase:
|
1/8/2013
|
|
Date Offering Commenced:
|
1/8/2013
|
|
Name of Broker/Dealer from Whom Purchased:
|
Wells Fargo
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
Wells Fargo, Bank of America Merrill Lynch, Barclays Capital, Deutsche Bank Securities, Goldman Sachs,
|
||
Mitsubishi UFJ Securities, Morgan Stanley, Wells Fargo Securities, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
|
Aggregate Principal Amount of Offering:
|
$700,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.7500%
|
|
25. The following 10f-3 transaction was effected for the
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix Float Rt
|
||
Issuer/Security:
|
40415RAL9
|
HDSUPP 10.5 01/15/21
|
Date of Purchase:
|
1/9/2013
|
|
Date Offering Commenced:
|
1/9/2013
|
|
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, Barclays Capital, Credit Suisse, Deutsche Bank Securities, Goldman Sachs, JP Morgan Securities,
|
||
UBS Securities, Wells Fargo Securities, BB&T Capital Markets, Raymond James Morgan Keegan, Robert W Baird, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$4,800,000
|
|
Aggregate Principal Amount of Offering:
|
$950,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.500%
|
|
26. The following 10f-3 transaction was effected for the
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix Float Rt
|
||
Issuer/Security:
|
40537QAC4
|
HKUS 8.875 05/15/21
|
Date of Purchase:
|
1/9/2013
|
|
Date Offering Commenced:
|
1/9/2013
|
|
Name of Broker/Dealer from Whom Purchased:
|
Wells Fargo
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
Barcalys Capital, Goldman Sachs, JP Morgan, RBC Capital Markets, Wells Fargo & Co., Bank of America Merrill Lynch,
|
||
BMO Capital Markets, Capital One Southcoast, Comerica Securities, Credit Agricole Securities, Credit Suisse, Deutsche Bank Securities,
|
||
ING Financial Markets, KeyBanc Capital Markets, Natixis Securities North America, RBS Securities, Scotia Capital USA, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$7,000,000
|
|
Aggregate Principal Amount of Offering:
|
$1,350,000,000
|
|
Purchase Price:
|
$105.000
|
|
Commission/ Spread/ Profit:
|
1.750%
|
|
27. The following 10f-3 transaction was effected for the
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth High Income
|
||
Issuer/Security:
|
50015QAD2
|
KOG5.5 01/15/21
|
Date of Purchase:
|
1/10/2013
|
|
Date Offering Commenced:
|
1/10/2013
|
|
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 Corp
|
|
BMO Capital Markets, Credit Suisse Securities, KeyBanc Capital Markets, RBC Capital Markets, Scotia Capital, Wells Fargo Securities,
|
||
Barclays Capital, Comerica Securities, Deutsche Bank Securities, US Bancorp Investments, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$4,000,000
|
|
Aggregate Principal Amount of Offering:
|
$350,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.750%
|
|
28. The following 10f-3 transaction was effected for the
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix Float Rt
|
||
Issuer/Security:
|
049296AA4
|
ARP 7.75 01/15/21
|
Date of Purchase:
|
1/16/2013
|
|
Date Offering Commenced:
|
1/16/2013
|
|
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, Citigroup Global Markets, Deutsche Bank Securities, JP Morgan Securities, Wells Fargo Securities,
|
||
ABN Amro Bank, Banco Santander, Comerica Inc., Coughlin and Co., Natixis Securities N.A., RBC Capital Markets, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$25,000,000
|
|
Aggregate Principal Amount of Offering:
|
$275,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
2.250%
|
|
29. The following 10f-3 transaction was effected for the
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth High Income
|
||
Issuer/Security:
|
368682AQ3
|
GY 7.125 03/15/21
|
Date of Purchase:
|
1/18/2013
|
|
Date Offering Commenced:
|
1/18/2013
|
|
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, Wells Fargo Securities, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$7,000,000
|
|
Aggregate Principal Amount of Offering:
|
$460,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
2.250%
|
|
30. The following 10f-3 transaction was effected for the
|
||
RidgeWorth High Income
|
||
Issuer/Security:
|
88033GBX7
|
THC4.5 04/01/21
|
Date of Purchase:
|
1/22/2013
|
|
Date Offering Commenced:
|
1/22/2013
|
|
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, Barclays Capital, Citigroup Global Markets, Wells Fargo Securities, Bank of Nova Scotia,
|
||
Morgan Stanley, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$5,000,000
|
|
Aggregate Principal Amount of Offering:
|
$850,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.380%
|
|
31. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth High Income
|
||
Issuer/Security:
|
04939MAH2
|
APL5.875 08/01/23
|
Date of Purchase:
|
1/28/2013
|
|
Date Offering Commenced:
|
1/28/2013
|
|
Name of Broker/Dealer from Whom Purchased:
|
Bank America
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
Bank of Americal Merrill Lynch, Citigroup Global Markets, Deutsche Bank Securities, JP Morgan, Wells Fargo Securities,
|
||
ABN AMRO Securities, Capital One Bank, Comerica Securities, Sumitomo Mitsui Banking Corp, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
|
Aggregate Principal Amount of Offering:
|
$650,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.750%
|
|
32. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix Float Rt
|
||
Issuer/Security:
|
40415RAN5
|
HDSUPP7.5 07/20
|
Date of Purchase:
|
1/29/2013
|
|
Date Offering Commenced:
|
1/29/2013
|
|
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, Barclays Capital, Credit Suisse, Deutsche Bank Securities, Goldman Sachs, JP Morgan, UBS Securities,
|
||
Wells Fargo Securities, BB&T Capital Markets, Raymond James Morgan Keegan, RW Baird, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
|
Aggregate Principal Amount of Offering:
|
$1,275,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.500%
|
|
33. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth High Income
|
||
Issuer/Security:
|
573334AC3
|
MMLP 7.25 02/21
|
Date of Purchase:
|
2/6/2013
|
|
Date Offering Commenced:
|
2/6/2013
|
|
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, RBC Capital Markets, RBS Securities, Wells Fargo Securities, ABN AMRO Securities, BB&T Capital Markets,
|
||
Citigroup Global Markets, Comerica Securities, Natixis Securities, Rayman James Morgan Keegan, UBS Securities, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$5,000,000
|
|
Aggregate Principal Amount of Offering:
|
$250,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.690%
|
|
34. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth High Income
|
||
RidgeWorth Seix Float Rt
|
||
Issuer/Security:
|
75281AAP4
|
RRC 5 03/15/23
|
Date of Purchase:
|
3/5/2013
|
|
Date Offering Commenced:
|
3/5/2013
|
|
Name of Broker/Dealer from Whom Purchased:
|
JP Morgan
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
Barclays Capital, Credit Suisse Securities, Deutsche Bank Securities, JP Morgan Securities, Merrill Lynch Pierce Fenner,
|
||
Wells Fargo Securities, BB&T Capital Markets, BMO Capital Markets, BOSC Inc., Capital One Southcaost, CIBC World Markets,
|
||
Citigroup Global Markets, Comerica Securities, Credit Agricole Securities, KeyBanc Capital Markets, Mitsubishi UFJ Securities,
|
||
Natixis Securities, PNC Capital Markets, RBC Capital Markets, Scotia Capital, SG Americas Securities, UBS Securities,
|
||
US Bancorp Investments, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$20,000,000
|
|
Aggregate Principal Amount of Offering:
|
$750,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.500%
|
|
35. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth High Income
|
||
Issuer/Security:
|
81211KAU4
|
SEE5.25 04/01/23
|
Date of Purchase:
|
3/7/2013
|
|
Date Offering Commenced:
|
3/7/2013
|
|
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, BNP Paribas, Citigroup Global Markets, JP Morgan, Rabo Securities, HSBC Securities, Mizuho Securities,
|
||
Scotia Capital, SMBC Nikko Securities, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$5,000,000
|
|
Aggregate Principal Amount of Offering:
|
$425,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.500%
|
|
36. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth High Income
|
||
Issuer/Security:
|
36159RAF0
|
GEO5.125 04/01/23
|
Date of Purchase:
|
3/12/2013
|
|
Date Offering Commenced:
|
3/12/2013
|
|
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, Barclays Capital, JP Morgan, Wells Fargo, BNP Paribas, Fifth Third Bank, HSBC Securities,
|
||
Regions Bank, TD Securities, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$3,000,000
|
|
Aggregate Principal Amount of Offering:
|
$300,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.750%
|
|
37. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth High Income
|
||
Issuer/Security:
|
959319AF1
|
WNR6.25 04/01/21
|
Date of Purchase:
|
3/12/2013
|
|
Date Offering Commenced:
|
3/12/2013
|
|
Name of Broker/Dealer from Whom Purchased:
|
Deutsche
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
Bank of America Merrill Lynch, Credit Suisse, Deutsche Bank Securities, Goldman Sachs, RBS, Barclays Capital,
|
||
Credit Agricole Securities, PNC Capital Markets, RB International Markets, Regions Financial, US Bancorp Investments, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$7,000,000
|
|
Aggregate Principal Amount of Offering:
|
$350,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
1.875%
|
|
38. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth Seix High Yld
|
||
RidgeWorth High Income
|
||
Issuer/Security:
|
71672VAA7
|
PDH6.25 04/01/20
|
Date of Purchase:
|
3/22/2013
|
|
Date Offering Commenced:
|
3/22/2013
|
|
Name of Broker/Dealer from Whom Purchased:
|
Morgan Stanley
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
Barcalys Capital, Citigroup Global Markets, Goldman Sachs, Morgan Stanely, Stifel Nicolaus, UBS Securities, Wells Fargo Securities,
|
||
Nomura Securities, STRH
|
||
Aggregate Principal Amount of Purchase:
|
$7,000,000
|
|
Aggregate Principal Amount of Offering:
|
$365,000,000
|
|
Purchase Price:
|
$100.000
|
|
Commission/ Spread/ Profit:
|
2.000%
|
|
39. The following 10f-3 transaction was effected for the RidgeWorth
|
||
RidgeWorth North Carolina Tax-Exempt Bond Fund
|
||
Issuer/Security:
|
658289E74
|
NCSU at Raleigh Gen Rev-Ser A
|
Date of Purchase:
|
2/12/2013
|
|
Date Offering Commenced:
|
2/13/2013
|
|
Name of Broker/Dealer from Whom Purchased:
|
Wells Fargo Securiteis
|
|
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
|
Members of the Syndicate:
|
||
Aggregate Principal Amount of Purchase:
|
$2,000,000
|
|
Aggregate Principal Amount of Offering:
|
$132,440,000
|
|
Purchase Price:
|
$118.297
|
|
Commission/ Spread/ Profit:
|
0.269%
|