Rule 10f-3 Transactions*
|
|||||||
April 1, 2013 through September 30, 2013 Reported Transactions
|
|||||||
1. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Total Return
|
|||||||
RidgeWorth Core Bd Fd
|
|||||||
RidgeWorth Intermed BF
|
|||||||
Ridgeworth Corp Bond Fd
|
|||||||
Issuer/Security:
|
26884ABA0
|
EQR 3 04/15/23
|
|||||
Date of Purchase:
|
4/3/2013
|
||||||
Date Offering Commenced:
|
4/3/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Citigroup
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Barclays Capital, Citigroup Global Markets, Morgan Stanley, RBC Capital Markets, Bank of New York, Capital One Financial,
|
|||||||
HSBC Securities, Mitsubishi UFJ Securities, Regions Bank, Scotia Capital, Sumitomo Bank, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$40,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$500,000,000
|
||||||
Purchase Price:
|
$99.110
|
||||||
Commission/ Spread/ Profit:
|
0.6500%
|
||||||
2. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
097793AA1
|
BCEI 6.75 04/21
|
|||||
Date of Purchase:
|
4/4/2013
|
||||||
Date Offering Commenced:
|
4/4/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Wells Fargo
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Wells Fargo Securities, BMO Capital Markets, JP Morgan Securities, KeyBanc Capital Markets, RBC Capital Markets,
|
|||||||
Capital One Bank, Credit Agricole Securities, Iberiabank, Scotia Capital, Societe Generale, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$3,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$300,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.904%
|
||||||
3. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
024747AC1
|
AMBCSC5.625 04/21
|
|||||
Date of Purchase:
|
4/4/2013
|
||||||
Date Offering Commenced:
|
4/4/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Deutsche
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Deutsche Bank Securities, Bank of America Merrill Lynch, UBS Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$6,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$500,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
2.000%
|
||||||
4. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Total Return
|
|||||||
RidgeWorth Core Bd Fd
|
|||||||
RidgeWorth Intermed BF
|
|||||||
Ridgeworth Corp Bond Fd
|
|||||||
Issuer/Security:
|
31620MAK2
|
FIS3.5 04/15/23
|
|||||
Date of Purchase:
|
4/10/2013
|
||||||
Date Offering Commenced:
|
4/10/2013
|
||||||
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 Securities, RBS Securities, Stifel Nicolaus, US Bancorp, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$1,000,000,000
|
||||||
Purchase Price:
|
$99.208
|
||||||
Commission/ Spread/ Profit:
|
0.650%
|
||||||
5. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
640820AB2
|
NESRH 7.875 05/18
|
|||||
Date of Purchase:
|
4/12/2013
|
||||||
Date Offering Commenced:
|
4/12/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Deutsche
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Deutsche Bank Securities, Wells Fargo, Moelis & Co., STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$2,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$300,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.625%
|
||||||
6. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
1248EPBE2
|
CHTR 5.75 01/24
|
|||||
Date of Purchase:
|
4/19/2013
|
||||||
Date Offering Commenced:
|
4/19/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Bank America
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Barclays Capital, Citigroup Global Markets, Credit Suisse Securities, Deutsche Bank Securities, JP Morgan Securities,
|
|||||||
Merrill Lynch Pierce Fenner, Morgan Stanley & Co., UBS Securities, Goldman Sachs, Guggenheim Securities, LionTree Advisors,
|
|||||||
Morgan Joseph Triartisan, RBC Capital Markets, US Bancorpo Investments, 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:
|
1.150%
|
||||||
7. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
82967NAL2
|
SIRI 4.625 05/23
|
|||||
Date of Purchase:
|
5/2/2013
|
||||||
Date Offering Commenced:
|
5/2/2013
|
||||||
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, Barclays Capital, Citigroup Global Markets, Deutsche Bank Securities, JP Morgan Securities,
|
|||||||
Morgan Stanley, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$12,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$500,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.125%
|
||||||
8. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
04939MAK5
|
APL4.75 11/15/21
|
|||||
Date of Purchase:
|
5/7/2013
|
||||||
Date Offering Commenced:
|
5/7/2013
|
||||||
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, Deutsche Bank Securities, JP Morgan Securities,
|
|||||||
Wells Fargho Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$8,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$400,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.960%
|
||||||
9. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
665531AB5
|
NOG 8 06/01/20
|
|||||
Date of Purchase:
|
5/8/2013
|
||||||
Date Offering Commenced:
|
5/8/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Royal Bank of Canada
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
BMO Capital Markets, RBC Capital Markets, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$5,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$500,000,000
|
||||||
Purchase Price:
|
$105.250
|
||||||
Commission/ Spread/ Profit:
|
2.450%
|
||||||
10. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
336130AA7
|
FIRSTQ4.625 05/15/21
|
|||||
Date of Purchase:
|
5/9/2013
|
||||||
Date Offering Commenced:
|
5/9/2013
|
||||||
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, JP Morgan Securities, RBS Securities, Wells Fargo Securities, Fifth Third Securities,
|
|||||||
HSBC Securities, PNC Capital Markets, RBC Capital Markets, Santander Investment Securities, 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%
|
||||||
11. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
12008RAG2
|
BLDR 7.625 06/01/21
|
|||||
Date of Purchase:
|
5/16/2013
|
||||||
Date Offering Commenced:
|
5/16/2013
|
||||||
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 Securities, KeyBanc Capital Markets, PNC Capital Markets, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$9,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$350,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
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:
|
05508WAA3
|
BGS4.625 06/01/21
|
|||||
Date of Purchase:
|
5/20/2013
|
||||||
Date Offering Commenced:
|
5/20/2013
|
||||||
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, RBC Capital Markets,
|
|||||||
RBS Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$700,000,000
|
||||||
Purchase Price:
|
$103.750
|
||||||
Commission/ Spread/ Profit:
|
1.500%
|
||||||
13. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
817565BX1
|
SCI 5.375 01/15/2022
|
|||||
Date of Purchase:
|
6/17/2013
|
||||||
Date Offering Commenced:
|
6/17/2013
|
||||||
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, JP Morgan, Wells Fargo Securities, BBVA Securities, Scotia Capital, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$425,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
2.250%
|
||||||
14. 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:
|
37331NAD3
|
GP3.734 07/15/23
|
|||||
Date of Purchase:
|
6/18/2013
|
||||||
Date Offering Commenced:
|
6/18/2013
|
||||||
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, Credit Suisse, Deutsche Bank Securities, JP Morgan,
|
|||||||
RBS Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$850,000,000
|
||||||
Purchase Price:
|
$99.997
|
||||||
Commission/ Spread/ Profit:
|
0.650%
|
||||||
15. 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:
|
10112RAW4
|
BXP 3.8 02/01/24
|
|||||
Date of Purchase:
|
6/18/2013
|
||||||
Date Offering Commenced:
|
6/18/2013
|
||||||
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, Deutsche Bank Securities, JP Morgan, Morgan Stanley, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$12,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$700,000,000
|
||||||
Purchase Price:
|
$99.694
|
||||||
Commission/ Spread/ Profit:
|
0.650%
|
||||||
16. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
92912EAA1
|
VRXCN 7.5 07/21
|
|||||
Date of Purchase:
|
6/27/2013
|
||||||
Date Offering Commenced:
|
6/27/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Goldman Sachs
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Barclays Capital, Goldman Sachs, JP Morgan Securities, Merrill Lynch Pierce Fenner, Morgan Stanley, RBC Capital Markets,
|
|||||||
DNB Markets, CIBC World Markets, HSBC Securities, Mitsubishi UFJ Securities, TD Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$1,625,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.250%
|
||||||
17. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
92912EAC7
|
VRXCN 6.75 08/18
|
|||||
Date of Purchase:
|
6/27/2013
|
||||||
Date Offering Commenced:
|
6/27/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Goldman Sachs
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Barclays Capital, Goldman Sachs, JP Morgan Securities, Merrill Lynch Pierce Fenner, Morgan Stanley, RBC Capital Markets,
|
|||||||
CIBC World Markets, DNB Markets, HSBC Securities, Mitsubishi UFJ Securities, TD Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$30,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$1,600,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.250%
|
||||||
18. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
Mid-Cap Value Fund
|
|||||||
Issuer/Security:
|
15271109
|
Alexandria Real Estate
|
|||||
Date of Purchase:
|
5/13/2013
|
||||||
Date Offering Commenced:
|
5/14/2013
|
||||||
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:
|
|||||||
Merrill Lynch Pierce Fenner, Citigroup Global Markets, JP Morgan Securities, RBS Securities, Scotia Capital, BB&T Capital Markets,
|
|||||||
BNY Mellon Capital Markets, RW Baird, Capital One Southcoast, Credit Agricole Securities, Evercore Group, Mitsubishi UFJ Securities,
|
|||||||
SMBC N ikko Capital Markets, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$3,675,000
|
||||||
Aggregate Principal Amount of Offering:
|
$485,100,000
|
||||||
Purchase Price:
|
$73.500
|
||||||
Commission/ Spread/ Profit:
|
1.760%
|
||||||
19. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
737446AD6
|
POST 7.375 02/22
|
|||||
Date of Purchase:
|
7/11/2013
|
||||||
Date Offering Commenced:
|
7/11/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Credit Suisse
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Barclyas Capital, BMO Capital Markets, Credit Suisse Securities, Goldman Sachs, JP Morgan Securities,
|
|||||||
Nomura Securities International, Wells Fargo Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$350,000,000
|
||||||
Purchase Price:
|
$105.750
|
||||||
Commission/ Spread/ Profit:
|
1.5000%
|
||||||
20. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
50015QAG5
|
KOG5.5 02/01/22
|
|||||
Date of Purchase:
|
7/23/2013
|
||||||
Date Offering Commenced:
|
7/23/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Credit Suisse
|
||||||
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, Capital One Southcoast, Citigroup Global Markets, Comerica Securities,
|
|||||||
Deutsche Bank Securities, JP Morgan Securities, Merrill Lynch Pierce Fenner, Mitsubishi UFJ Securities,
|
|||||||
US Bancorp Investments, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$400,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.500%
|
||||||
21. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
364725AX9
|
GCI5.125 07/15/20
|
|||||
Date of Purchase:
|
7/24/2013
|
||||||
Date Offering Commenced:
|
7/24/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
JP Morgan
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Barclays Capital, Citigroup Global Markets, JP Morgan, Mitsubishi UFJ Securities, US Bancorp, Fifth Third Securities,
|
|||||||
PNC Capital Markets, SMBC Nikko Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$8,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$600,000,000
|
||||||
Purchase Price:
|
$98.566
|
||||||
Commission/ Spread/ Profit:
|
1.148%
|
||||||
22. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
04941JAA0
|
ARP9.25 08/15/21
|
|||||
Date of Purchase:
|
7/25/2013
|
||||||
Date Offering Commenced:
|
7/25/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Deutsche
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Citigroup Global Markets, Deutsche Bank Securities, JP Morgan Securities, RBC Captial Markets, Wells Fargo Securities,
|
|||||||
ABN AMRO Securities, BBVA Securities, Capital One NA/US, Comerica Securities, Natixis Securities North America,
|
|||||||
Santander Investment Securities, Stifel Nicolaus & Co., STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$250,000,000
|
||||||
Purchase Price:
|
$99.297
|
||||||
Commission/ Spread/ Profit:
|
2.000%
|
||||||
23. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
88160QAC7
|
TLLP 6.125 10/15/21
|
|||||
Date of Purchase:
|
7/29/2013
|
||||||
Date Offering Commenced:
|
7/29/2013
|
||||||
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, Deutsche Bank Securities, Morgan Stanley, UBS Securities, Wells Fargo Securities,
|
|||||||
Barclays Capital, Citigroup Global Markets, JP Morgan Securities, RBC Capital Markets, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$8,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$550,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.375%
|
||||||
24. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Total Return
|
|||||||
RidgeWorth Core Bd Fd
|
|||||||
RidgeWorth Intermed BF
|
|||||||
Ridgeworth Corp Bond Fd
|
|||||||
Issuer/Security:
|
94973VBE6
|
WLP 2.3 07/15/18
|
|||||
Date of Purchase:
|
7/30/2013
|
||||||
Date Offering Commenced:
|
7/30/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Citigroup
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Citigroup Global Markets, JP Morgan Securities, Morgan Stanely, UBS Securities, Barclays Capital, BB&T Capital Markets,
|
|||||||
Credit Suisse Securities USA, Deutsche Bank Securities, Fifth Third Securities, Goldman Sach & Co., Mizuho Securities,
|
|||||||
PNC Capital Markets, SMBC Nikko Securities America, US Bancorp Investments, Wells Fargo Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$20,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$650,000,000
|
||||||
Purchase Price:
|
$99.579
|
||||||
Commission/ Spread/ Profit:
|
0.600%
|
||||||
25. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
608328BB5
|
TRIBAL9.75 09/01/21
|
|||||
Date of Purchase:
|
8/6/2013
|
||||||
Date Offering Commenced:
|
8/6/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Credit Suisse
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Credit Agricole Securities, Credit Suisse Securities, Goldman Sachs, Jefferies & Co., RBS Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$500,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.275%
|
||||||
26. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
146303AF9
|
CRI5.25 08/15/21
|
|||||
Date of Purchase:
|
8/7/2013
|
||||||
Date Offering Commenced:
|
8/7/2013
|
||||||
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, JP Morgan, BB&T Capital Markets, BMO Capital Markets, Fifth Third Securities, HSBC Securities,
|
|||||||
RBC Capital Markets, US Bancorp, Wells Fargo & Co., STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$5,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$400,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.450%
|
||||||
27. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
26153CAA1
|
DWA6.875 08/15/20
|
|||||
Date of Purchase:
|
8/7/2013
|
||||||
Date Offering Commenced:
|
8/7/2013
|
||||||
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, JP Morgan, Wells Fargo & Co., Loop Capital Markets, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$5,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$300,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
2.000%
|
||||||
28. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
16524RAC7
|
ACMP 5.875 04/15/21
|
|||||
Date of Purchase:
|
8/14/2013
|
||||||
Date Offering Commenced:
|
8/14/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Barclays
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Barclays Capital, BBVA Securities, Citigroup Global Markets, RBS Securities, Wells Fargo Securities, Capital One Southcoast,
|
|||||||
Comerica Securities, Credit Agricole Securities, Credit Suisse Securities, Deutsche Bank Securities, DNB Markts, Goldman Sachs,
|
|||||||
JP Morgan Securities, Merrill Lynch Pierce Fenner, Mitsubishi UFJ Securities, Morgan Stanley, RBC Capital Markets,
|
|||||||
Scotia Captial, SMBC Nikko Securities America, TD Securities, UBS Securities, US Bancorp Investments, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$6,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$750,000,000
|
||||||
Purchase Price:
|
$101.500
|
||||||
Commission/ Spread/ Profit:
|
1.250%
|
||||||
29. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
26613TAD2
|
DFT5.875 09/15/21
|
|||||
Date of Purchase:
|
9/12/2013
|
||||||
Date Offering Commenced:
|
9/12/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Goldman Sachs
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Goldman Sachs, Credit Suisse, KeyBanc Capital Markets, RBC Capital Markets, Raymond James, RBS Securities,
|
|||||||
Stifel Nicolaus, TAP Advisors, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$5,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$600,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
2.000%
|
||||||
30. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
00507VAE9
|
ATVI 6.125 09/15/23
|
|||||
Date of Purchase:
|
9/12/2013
|
||||||
Date Offering Commenced:
|
9/12/2013
|
||||||
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, JP Morgan Securities, Goldman Sachs, HSBC Securities, Mitsubishi UFJ Securities,
|
|||||||
RBC Capital Markets, US Bancorp Investments, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$750,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.750%
|
||||||
31. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
00507VAC3
|
ATVI 5.625 09/15/21
|
|||||
Date of Purchase:
|
9/12/2013
|
||||||
Date Offering Commenced:
|
9/12/2013
|
||||||
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, JP Morgan Securities, Goldman Sachs, HSBC Securities, Mitsubishi Securities USA,
|
|||||||
RBC Capital Markets, US Bancorp Investments, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$25,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$1,500,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.750%
|
||||||
32. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
87243QAA4
|
THC 6 10/01/20
|
|||||
Date of Purchase:
|
9/13/2013
|
||||||
Date Offering Commenced:
|
9/13/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Bank America
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Barclays Capital, Citigroup Global Markets, Merrill Lynch Pierce Fenner, Wells Fargo Securities, Morgan Stanley, Scotia Capital,
|
|||||||
STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$20,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$1,800,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.750%
|
||||||
33. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
87243QAC0
|
THC8.125 04/01/22
|
|||||
Date of Purchase:
|
9/13/2013
|
||||||
Date Offering Commenced:
|
9/13/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Bank America
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Barclays Capital, Citigroup Global Markets, Merrill Lynch Pierce Fenner, Wells Farto Securities, Morgan Stanley,
|
|||||||
Scotia Capital, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$30,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$2,800,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.500%
|
||||||
34. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
65336YAH6
|
NXST 6.875 11/15/20
|
|||||
Date of Purchase:
|
9/17/2013
|
||||||
Date Offering Commenced:
|
9/17/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Credit Suisee
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Barclays Capital, Credit Suisse Securities, Merrill Lynch Pierce Fenner, RBC Capital Markets, Wells Fargo Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$8,500,000
|
||||||
Aggregate Principal Amount of Offering:
|
$525,000,000
|
||||||
Purchase Price:
|
$100.250
|
||||||
Commission/ Spread/ Profit:
|
1.000%
|
||||||
35. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
36159RAH6
|
GEO5.875 01/15/22
|
|||||
Date of Purchase:
|
9/19/2013
|
||||||
Date Offering Commenced:
|
9/19/2013
|
||||||
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 Merill Lynch, Barclays Capital, BNP Paribas, JP Morgan Securities, Wells Fargo Securities, Fifth Third Securities,
|
|||||||
HSBC Securities, Regions Securities, TD Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$250,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.750%
|