EX-99.77O RULE 10F-3 2 summarya.txt Rule 10f-3 Transactions* July 1, 2009 through September 30, 2009 1.The following 10f-3 transaction was effected for the RidgeWorth Intermediate Bond Fund, RidgeWorth Investment Grade Bond Fund, RidgeWorth Seix High Yield Fund and RidgeWorth Total Return Bond Fund Issuer/Security: Acco 10.625%, 3/15; Cusip 00081TAC2 Date of Purchase: 9/21/09 Date Offering Commenced: 9/21/09 Name of Broker/Dealer from Whom Purchased: Credit Suisse Name of Affiliated Dealer in Syndicate: STRH Members of the Syndicate: Bank of America, BMO, CSFB, DB, Barclays, Barrington Research, CJS, SunTrust Robinson Humphrey Aggregate Principal Amount of Purchase: $8,000,000 Aggregate Principal Amount of Offering: $460,000,000 Purchase Price: $98.502 Commission/ Spread/ Profit: 2.50% 2.The following 10f-3 transaction was effected for the RidgeWorth Short Term Bond Fund Issuer/Security: Barclays Bank PLC 5.20 7/10/14; Cusip 06739FFZ9 Date of Purchase: 7/7/09 Date Offering Commenced: 7/7/09 Name of Broker/Dealer from Whom Purchased: Barclays Name of Affiliated Dealer in Syndicate: SunTrust Robinson Humphrey Members of the Syndicate: Citigroup Global Markets, Commerzbank AG, Daiwa Securities America Inc, Keybanc Capital Markets, Lloyds TSB Bank, RBC Capital Markets, SunTrust Robinson Humphrey, US Bancorp Investments, Wells Fargo Securities Aggregate Principal Amount of Purchase: $2,500,000,000 Aggregate Principal Amount of Offering: $2,000,000 Purchase Price: $99.883 Commission/ Spread/ Profit: 0.33% 3.The following 10f-3 transaction was effected for the RidgeWorth High Income Fund, RidgeWorth Intermediate Bond Fund, RidgeWorth Investment Grade Bond Fund, RidgeWorth Seix Floating Rate High Income Fund, RidgeWorth Seix High Yield Fund and RidgeWorth Total Return Bond Fund Issuer/Security: Cablevision 8.625%, 9/15/17; Cusip 12686CAX7 Date of Purchase: 9/9/09 Date Offering Commenced: 9/9/09 Name of Broker/Dealer from Whom Purchased: JPMorgan Name of Affiliated Dealer in Syndicate: SunTrust Robinson Humphrey Members of the Syndicate: Bank of America, Citi, CSFB, DB, Goldman, JPMorgan, Barclays, BMO, Fortis, Mitsubishi, Morgan Stanley, Natixis, RBS, Scotia, TD, US Bancorp, SunTrust Robinson Humphrey Aggregate Principal Amount of Purchase: $20,000,000 Aggregate Principal Amount of Offering: $900,000,000 Purchase Price: $98.596 Commission/ Spread/ Profit: 2.00% 4.The following 10f-3 transaction was effected for the RidgeWorth Corporate Bond Fund Issuer/Security: Century Link 6.15%, 9/15/19; Cusip 156700AN6 Date of Purchase: 9/14/09 Date Offering Commenced: 9/14/09 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, Barclays, JPMorgan, Wells Fargo, Mitsubishi, Morgan Stanley, DB, Morgan Keegan, US Bancorp, SunTrust Robinson Humphrey Aggregate Principal Amount of Purchase: $5,000.000 Aggregate Principal Amount of Offering: $250,000,000 Purchase Price: $99.891 Commission/ Spread/ Profit: 0.40% 5.The following 10f-3 transaction was effected for the RidgeWorth High Income Fund, RidgeWorth Intermediate Bond Fund, RidgeWorth Investment Grade Bond Fund, RidgeWorth Seix Floating Rate High Income Fund, RidgeWorth Seix High Yield Fund and RidgeWorth Total Return Bond Fund Issuer/Security: Commercial Barge Line 12.5%, 7/17; Cusip 20162UAA3 Date of Purchase: 7/1/09 Date Offering Commenced: 7/1/09 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, UBS, Fifth Third, PNC, RBS, SunTrust Robinson Humphrey Aggregate Principal Amount of Purchase: $15,000,000 Aggregate Principal Amount of Offering: $200,000,000 Purchase Price: $95.181 Commission/ Spread/ Profit: 2.50% 6.The following 10f-3 transaction was effected for the RidgeWorth Intermediate Bond Fund, RidgeWorth Investment Grade Bond Fund, RidgeWorth Seix High Yield Fund and RidgeWorth Total Return Bond Fund Issuer/Security: Concho Resources 8.625%, 10/1/17; Cusip 20605PAA9 Date of Purchase: 9/15/09 Date Offering Commenced: 9/15/09 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, BNP, JP Morgan, Wells Fargo, Calyon, DB, ING, Keybanc, Mitsubishi, UFX, Natixis, Raymond James, Scotia, SunTrust Robinson Humphrey Aggregate Principal Amount of Purchase: $10,000,000 Aggregate Principal Amount of Offering: $300,000,000 Purchase Price: $98.578 Commission/ Spread/ Profit: 2.50% 7.The following 10f-3 transaction was effected for the RidgeWorth Intermediate Bond Fund, RidgeWorth Investment Grade Bond Fund, RidgeWorth Corporate Bond Fund and RidgeWorth Total Return Bond Fund Issuer/Security: Enterprise Products 5.25%, 1/31/20; Cusip 29379VAFO Date of Purchase: 9/24/09 Date Offering Commenced: 9/24/09 Name of Broker/Dealer from Whom Purchased: JPMorgan Name of Affiliated Dealer in Syndicate: SunTrust Robinson Humphrey Members of the Syndicate: Bank of America, BNP, JPMorgan, Mizuho, Morgan Stanley, DB, DnB, ING, RBS, Scotia, Sumitomo, UBS, Wells Fargo, SunTrust Robinson Humphrey Aggregate Principal Amount of Purchase: $30,000,000 Aggregate Principal Amount of Offering: $500,000,000 Purchase Price: $99.355 Commission/ Spread/ Profit: 1.30% 8.The following 10f-3 transaction was effected for the RidgeWorth High Income Fund, RidgeWorth Intermediate Bond Fund, RidgeWorth Investment Grade Bond Fund, RidgeWorth Seix Floating Rate High Income Fund, RidgeWorth High Yield Fund and RidgeWorth Total Return Bond Fund Issuer/Security: Gannett 9.375%, 11/15/17; Cusip 364725AP6 Date of Purchase: 9/28/09 Date Offering Commenced: 9/28/09 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, Barclays, Citi, JPMorgan, Lloyds, Mitsubishi, Mizuho, SunTrust Robinson Humphrey Aggregate Principal Amount of Purchase: $20,000,000 Aggregate Principal Amount of Offering: $250,000,000 Purchase Price: $98.582 Commission/ Spread/ Profit: 1.70% 9.The following 10f-3 transaction was effected for the RidgeWorth High Income Fund, RidgeWorth Intermediate Bond Fund, RidgeWorth Investment Grade Bond Fund, RidgeWorth Seix Floating Rate High Income Fund, RidgeWorth Seix High Yield Fund and RidgeWorth Total Return Bond Fund Issuer/Security: Gannett 8.75%, 11/15/14; Cusip 364725AM3 Date of Purchase: 9/29/09 Date Offering Commenced: 9/29/09 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, Barclays, Citi, JPMorgan, Lloyds, Mitsubishi, Mizuho, SunTrust Robinson Humphrey Aggregate Principal Amount of Purchase: $10,000,000 Aggregate Principal Amount of Offering: $250,000,000 Purchase Price: $98.465 Commission/ Spread/ Profit: 1.70% 10.The following 10f-3 transaction was effected for the RidgeWorth High Income Fund, RidgeWorth Intermediate Bond Fund, RidgeWorth Investment Grade Bond Fund, RidgeWorth Seix High Yield Fund and RidgeWorth Total Return Bond Fund Issuer/Security: Jabil 7.75% 7/15/16; Cusip 466313AE3 Date of Purchase: 7/31/09 Date Offering Commenced: 7/31/09 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, Citi, JPMorgan, RBS, CSFB, RBC, UBS, SunTrust Robinson Humphrey Aggregate Principal Amount of Purchase: $10,000,000 Aggregate Principal Amount of Offering: $312,000,000 Purchase Price: $96.143 Commission/ Spread/ Profit: 2.00% 11.The following 10f-3 transaction was effected for the RidgeWorth High Income Fund, RidgeWorth Intermediate Bond Fund, RidgeWorth Investment Grade Bond Fund, RidgeWorth Seix Floating Rate High Income Fund, RidgeWorth Seix High Yield Fund and RidgeWorth Total Return Bond Fund Issuer/Security: Mediacomm 9.125%, 8/19; Cusip 58445MAK8 Date of Purchase: 8/11/09 Date Offering Commenced: 8/11/09 Name of Broker/Dealer from Whom Purchased: JPMorgan Name of Affiliated Dealer in Syndicate: SunTrust Robinson Humphrey Members of the Syndicate: Bank of America, Citi, CSFB, JPMorgan, Wells Fargo, SunTrust Robinson Humphrey Aggregate Principal Amount of Purchase: $ 25,000,000 Aggregate Principal Amount of Offering: $350,000,000 Purchase Price: $97.622 Commission/ Spread/ Profit: 1.68% 12.The following 10f-3 transaction was effected for the RidgeWorth High Grade Municipal Bond Fund Issuer/Security: Metro Washington Airport 5.00%, 2039; Cusip 592643AC4 Date of Purchase: 8/5/09 Date Offering Commenced: 8/5/09 Name of Broker/Dealer from Whom Purchased: Citi Name of Affiliated Dealer in Syndicate: SunTrust Robinson Humphrey Members of the Syndicate: Barclays, Davenport, Estrhino, Loop Cap, Morgan Stanley,JPMorgan, Merrill Lynch, Mesirow, Rice, Siebert, SunTrust Robinson Humphrey Aggregate Principal Amount of Purchase: $1,924,600 Aggregate Principal Amount of Offering: $198,000,000 Purchase Price: $96.23 Commission/ Spread/ Profit: 0.50% 13.The following 10f-3 transaction was effected for the RidgeWorth High Income Fund, RidgeWorth Intermediate Bond Fund, RidgeWorth Investment Grade Bond Fund, RidgeWorth Seix High Yield Fund and RidgeWorth Total Return Bond Fund Issuer/Security: Ryland Group 8.4%, 5/15/17; Cusip 783764AN3 Date of Purchase: 4/30/09 Date Offering Commenced: 4/30/09 Name of Broker/Dealer from Whom Purchased: Citigroup Name of Affiliated Dealer in Syndicate: SunTrust Robinson Humphrey Members of the Syndicate: Citigroup, Barclays, Morgan Keegan, SunTrust Robinson Humphrey Aggregate Principal Amount of Purchase: $14,000,000 Aggregate Principal Amount of Offering: $230,000,000 Purchase Price: $98.006 Commission/ Spread/ Profit: 1.37% 14.The following 10f-3 transaction was effected for the RidgeWorth High Income Fund, RidgeWorth Intermediate Bond Fund, RidgeWorth Investment Grade Bond Fund, RidgeWorth Seix Floating Rate High Income Fund, RidgeWorth Six High Yield Fund and RidgeWorth Total Return Bond Fund Issuer/Security: QVC 7.5%, 10/1/19; Cusip 747262AA1 Date of Purchase: 9/22/09 Date Offering Commenced: 9/22/09 Name of Broker/Dealer from Whom Purchased: Wachovia Name of Affiliated Dealer in Syndicate: SunTrust Robinson Humphrey Members of the Syndicate: Barclays, Calyon, Fortis, Mizuho, RBS, Wells Fargo, BNP, Citigroup, Commerzbank, Daiwa, Mitsubishi, Scotia, UBS, SunTrust Robinson Humphrey Aggregate Principal Amount of Purchase: $35,000,000 Aggregate Principal Amount of Offering: $1,000,000,000 Purchase Price: $98.278 Commission/ Spread/ Profit: 1.75% 15.The following 10f-3 transaction was effected for the RidgeWorth High Income Fund, RidgeWorth Intermediate Bond Fund, RidgeWorth Investment Grade Bond Fund, RidgeWorth Seix Floating Rate High Income Fund, RidgeWorth Seix High Yield Fund and RidgeWorth Total Return Bond Fund Issuer/Security: Qwest Communications 8%, 10/1/17; Cusip 749121BZ1 Date of Purchase: 9/14/09 Date Offering Commenced: 9/14/19 Name of Broker/Dealer from Whom Purchased: Citigroup Name of Affiliated Dealer in Syndicate: SunTrust Robinson Humphrey Members of the Syndicate: Bank of America, Barclays, Citi, CSFB, DB, Goldman, UBS, US Bancorp, Wells Fargo, SunTrust Robinson Humphrey Aggregate Principal Amount of Purchase: $30,000,000 Aggregate Principal Amount of Offering: $550,000,000 Purchase Price: $98.244 Commission/ Spread/ Profit: 1.50% 16.The following 10f-3 transaction was effected for the RidgeWorth Corporate Bond Fund Issuer/Security: Willis 7%, 9/22/19; Cusip 970648AE1 Date of Purchase: 9/22/09 Date Offering Commenced: 9/22/09 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, JPMorgan, RBS, Barclays, ING, Lloyds, Mitsubishi, Morgan Stanley, Scotia, SunTrust Robinson Humphrey Aggregate Principal Amount of Purchase: $5,000,000 Aggregate Principal Amount of Offering: $300,000,000 Purchase Price: $99.503 Commission/ Spread/ Profit: 0.40% * Rule 10f-3 prohibits purchases of securities from an underwriting syndicate in which an affiliate is a member unless: (1) The securities are: (a) part of a registered public offering, (b) Eligible Municipal Securities, (c) part of an issue of government securities, (d) sold in an Eligible Foreign Offering, or (e) sold in an Eligible Rule 144A Offering. (2) The securities are purchased: (a) prior to the end of the first day on which any sales were made (or in the case of rights, on or before the fourth day before the rights offering terminated); (b) at a price not more than that paid by other purchasers of securities (except in an Eligible Foreign Offering, for any rights to purchase that are required by law to be granted to existing security holders); and (c) as part of a firm commitment underwriting. (3) The commission, spread or profit are reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.(4) The issuer and it predecessors have been in continuous operation for at least 3 years (except for Eligible Municipal Securities). (5) The amount of securities purchased by all Funds and other investment companies advised by the adviser does not exceed 25% of the principal amount of the offering or if part of an Eligible Rule 144A Offering, 25% of the total of (i) the principal amount of the offering of such class sold by underwriters or members of the selling syndicate to qualified institutional buyers plus (ii) the principal amount of the offering of such class in any concurrent public offering.(6) No affiliated underwriter is a direct or indirect participant in or beneficiary of the sale, or with respect to Eligible Municipal Securities, the purchase is not designated as a group sale or otherwise allocated to the account of an affiliated underwriter.