Rule 10f-3 Transactions*
|
|||||||
October 1, 2013 through March 31, 2014 Reported Transactions
|
|||||||
1. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
053810AD9
|
AVIV 6 10/15/21
|
|||||
Date of Purchase:
|
10/10/2013
|
||||||
Date Offering Commenced:
|
10/10/2013
|
||||||
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:
|
|||||||
Bank of America Merrill Lynch, Citigroup Global Markets, Goldman Sachs, Morgan Stanley, Credit Agricole Securities,
|
|||||||
RBC Capital Markets, RBS Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$4,500,000
|
||||||
Aggregate Principal Amount of Offering:
|
$250,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.7500%
|
||||||
2. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
018804AQ7
|
ATK5.25 10/01/21
|
|||||
Date of Purchase:
|
10/22/2013
|
||||||
Date Offering Commenced:
|
10/22/2013
|
||||||
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:
|
|||||||
Bank of America Merrill Lynch, Mitsubishi UFJ Securities USA, RBC Capital Markets, US Bancorp Investments, Wells Fargo, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$3,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$300,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
0.875%
|
||||||
3. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
226373AG3
|
CMLP 6.125 03/01/22
|
|||||
Date of Purchase:
|
10/22/2013
|
||||||
Date Offering Commenced:
|
10/22/2013
|
||||||
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, Barclays Bank, Citigroup Global Markets, JP Morgan Securities, Morgan Stanley, RBC Capital Markets,
|
|||||||
RBS Securities, Wells Fargo Securities, Credit Suisse Securities, Mitsubishi UFJ Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$600,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.750%
|
||||||
4. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
361841AA7
|
PENN 4.375 11/01/18
|
|||||
Date of Purchase:
|
10/23/2013
|
||||||
Date Offering Commenced:
|
10/23/2013
|
||||||
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:
|
|||||||
Bank of America Merrill Lynch, Credit Agricole Securities USA, Fifth Third Securities, Goldman Sachs, JP Morgan Securities,
|
|||||||
Nomura Securities International, RBS Securities, UBS Securities, Wells Fargo Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$17,750,000
|
||||||
Aggregate Principal Amount of Offering:
|
$550,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.130%
|
||||||
5. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
361841AC3
|
PENN 4.875 11/01/20
|
|||||
Date of Purchase:
|
10/23/2013
|
||||||
Date Offering Commenced:
|
10/23/2013
|
||||||
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:
|
|||||||
Bank of America Merill Lynch, Credit Agricole Securities USA, Fifth Third Securities, Goldman Sachs, JP Morgan Securities,
|
|||||||
Nomura Securities International, RBS Securities, UBS Securities, Wells Fargo Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$37,250,000
|
||||||
Aggregate Principal Amount of Offering:
|
$1,000,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.130%
|
||||||
6. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
361841AE9
|
PENN 5.375 11/01/23
|
|||||
Date of Purchase:
|
10/23/2013
|
||||||
Date Offering Commenced:
|
10/23/2013
|
||||||
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:
|
|||||||
Bank of America Merill Lynch, Credit Agricole Securities USA, Fifth Third Securities, Goldman Sachs, JP Morgan Securities,
|
|||||||
Nomura Securities International, RBS Securities, UBS Securities, Wells Fargo Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$500,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.130%
|
||||||
7. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
16961UAA4
|
JCG7.75 05/01/19
|
|||||
Date of Purchase:
|
10/28/2013
|
||||||
Date Offering Commenced:
|
10/28/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Goldman Sachs
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Bank of America Merrill Lynch, Goldman Sachs, Morgan Stanley, Wells Fargo Securities, HSBC Securities, Mizuho Securities,
|
|||||||
TPG 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:
|
1.500%
|
||||||
8. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
49456BAA9
|
KMI 5 02/15/21
|
|||||
Date of Purchase:
|
10/31/2013
|
||||||
Date Offering Commenced:
|
10/31/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Barclays
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Barclays, Citi, JP Morgan, RBS, Royal Bank of Canada, Swiss Credit Bank, UBS, Wells Fargo Securities, DNB Markets,
|
|||||||
Mitsubishi UFJ Securities, Natixis Securities, Scotia Capital USA, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$7,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$750,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
0.750%
|
||||||
9. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
892234AA3
|
TOWNSQ9 04/01/19
|
|||||
Date of Purchase:
|
11/8/2013
|
||||||
Date Offering Commenced:
|
11/8/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
RBC Capital Markets
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
RBC Capital Markets, STRH
|
||||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$145,900,000
|
||||||
Purchase Price:
|
$106.250
|
||||||
Commission/ Spread/ Profit:
|
1.594%
|
||||||
10. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
737446AE4
|
POST 6.75 12/01/21
|
|||||
Date of Purchase:
|
11/13/2013
|
||||||
Date Offering Commenced:
|
11/13/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Goldman Sachs
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
Barclays Capital
|
||||||
Barclays Capital, Credit Suisse Securities, Goldman Sachs, JP Morgan Securities, Nomura Securities International, Rabo Securities USA,
|
|||||||
Wells Fargo Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$525,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.500%
|
||||||
11. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
91911KAD4
|
VRXCN 5.625 12/21
|
|||||
Date of Purchase:
|
11/15/2013
|
||||||
Date Offering Commenced:
|
11/15/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Goldman Sachs
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
Bank of America Merrill Lynch
|
||||||
Bank of America Merrill Lynch, Goldman Sachs, JP Morgan, Barclays Capital, Citigroup Global Markets, DNB Nor Markets,
|
|||||||
Morgan Stanley, RBC Capital Markets, CIBC World Markets, DBS Bank, HSBC Securities, Mitsubishi UFJ Securities, TD Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$900,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
0.950%
|
||||||
12. 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:
|
6174467X1
|
MS 5.00 11/24/25
|
|||||
Date of Purchase:
|
11/19/2013
|
||||||
Date Offering Commenced:
|
11/19/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Morgan Stanley
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Morgan Stanley, Mitsubishi UFJ Securities, ANZ Securities, Banca IMI, Barclays Capital, Blaylock Robert Van, BMO Capital Markets,
|
|||||||
BNY Mellon Capital Markets, Capital One Southcoast, Credit Agricole Securities, Drexel Hamilton, Fifth Third Securities,
|
|||||||
KeyBanc Capital Markets, Lebenthal & Co., Lloyds Securities, nabSecurities, RBS Securities, Regions Securities, Santander Investment
|
|||||||
Securities, TD Securities USA, US Bancorp Investments, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$35,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$2,000,000,000
|
||||||
Purchase Price:
|
$99.545
|
||||||
Commission/ Spread/ Profit:
|
0.450%
|
||||||
13. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
22546DAB2
|
CS 7.5 12/11/49
|
|||||
Date of Purchase:
|
12/4/2013
|
||||||
Date Offering Commenced:
|
12/4/2013
|
||||||
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, Barclays Capital, ING Bank NV, Lloyds Bank, Natixis, Wells Fargo Securities, Banco Santander,
|
|||||||
Bank of New York Mellon, Bank of America Merrill Lynch, BB Securities, BMO Capital Markets, Bradesco Securities, Capital One
|
|||||||
Securities, CIBC World Markets, Citigroup Global Markets, Commerzbank AG, Credit Agricole Securities, Deutsche Bank Securities,
|
|||||||
Morgan Stanley, Nordea Capital Markets, RBC Capital Markets, Scotiabank UK, Societe Generale, Swedbank AB/NY, TD Securities,
|
|||||||
US Bancorp Investments, VTB Capital, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$2,250,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
2.000%
|
||||||
14. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
628865AA5
|
NCR5.875 12/15/21
|
|||||
Date of Purchase:
|
12/5/2013
|
||||||
Date Offering Commenced:
|
12/5/2013
|
||||||
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, Merrill Lynch Pierce Fenner, RBC Capital Markets, Wells Fargo Securities, BBVA Securities, BNP Paribas
|
|||||||
Securities, Fifth Third Securities, HSBC Securities, Mitsubishi Securities, Mizuho Securities, Santander Investment Securities
|
|||||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$400,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.250%
|
||||||
15. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
628865AC1
|
NCR6.375 12/15/23
|
|||||
Date of Purchase:
|
12/5/2013
|
||||||
Date Offering Commenced:
|
12/5/2013
|
||||||
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, RBC Capital Markets, Wells Fargo Securities, BBVA Securities, BNP Paribas
|
|||||||
Securities, Fifth Third Securities, HSBC Securities, Mitsubishi UFJ Securities, Mizuho 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:
|
1.250%
|
||||||
16. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
795435AF3
|
SLXP 6 01/15/21
|
|||||
Date of Purchase:
|
12/12/2013
|
||||||
Date Offering Commenced:
|
12/12/2013
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Jefferies
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Jefferies & Co., Fifth Third Securities, Natixis Securities, PNC Capital Markets, RBS Securities, SMBC Nikko Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$3,500,000
|
||||||
Aggregate Principal Amount of Offering:
|
$750,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
2.250%
|
||||||
17. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
513075BF7
|
LAMR 5 ⅜ 01/15/24
|
|||||
Date of Purchase:
|
1/7/2014
|
||||||
Date Offering Commenced:
|
1/7/2014
|
||||||
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, Wells Fargo Securities, Merrill Lynch Pierce Fenner, RBS Securities, Scotia Capital USA, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$510,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.2500%
|
||||||
18. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
516806AC0
|
LPI5.625 01/15/22
|
|||||
Date of Purchase:
|
1/13/2014
|
||||||
Date Offering Commenced:
|
1/13/2014
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Bank America
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
Citigroup Global Markets Inc
|
||||||
Citigroup Global Marekts, Credit Suisse Securities USA, Goldman Sachs, Merrill Lynch Pierce Fenner, Wells Fargo Securities, BMO Capital Markets, Capital One Securities,
|
|||||||
JP Morgan Securities, Scotia Capital USA, SG Americas Securities, Barclays Capital, BB&T Capital Markets, BBVA Securities, Bosc Inc, Comerica Securities,
|
|||||||
ING Financial Markets, Mitsubishi UFJ Securities, Bank of America, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$3,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$450,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.500%
|
||||||
19. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
RidgeWorth Total Return
|
|||||||
RidgeWorth Core Bd Fd
|
|||||||
RidgeWorth Intermed BF
|
|||||||
Ridgeworth Corp Bond Fd
|
|||||||
Issuer/Security:
|
46625HJQ4
|
JPM6.75 08/29/49
|
|||||
Date of Purchase:
|
1/14/2013
|
||||||
Date Offering Commenced:
|
1/14/2013
|
||||||
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, ABN AMRO Securities, BNY Mellon Capital Markets, Capital One Southcoast, CastleOak Securities, Comerica Securities, Credit Agricole Securities,
|
|||||||
ING Financial Markets, KBC Securities, Lebenthal & Co., Natixis Securities, Ramirez & Co., RBS Securities, Regions Securities, Santander Investment Securities,
|
|||||||
SG Americas Securities, Williams Capital Group, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$60,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$2,000,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.250%
|
||||||
20. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
30283FAB7
|
CYH6.875 02/01/22
|
|||||
Date of Purchase:
|
1/15/2014
|
||||||
Date Offering Commenced:
|
1/15/2014
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Bank America
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Bank of America Merrill Lynch, Citigroup Global Markets, Credit Suisse, Goldman Sachs, JP Morgan, RBC Capital Markets, UBS Securities, Wells Fargo, BBVA Securities,
|
|||||||
Credit Agricole Securities, Deutsche Bank Securities, Fifth Third Securities, Mitsubishi UFJ Securities, Scotia Capital USA, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$45,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$3,000,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
2.000%
|
||||||
21. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
30283FAA9
|
CYH5.125 08/01/21
|
|||||
Date of Purchase:
|
1/15/2014
|
||||||
Date Offering Commenced:
|
1/15/2014
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Bank America
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Bank of America Merrill Lynch, Citigroup Global Markets, Credit Suisse, Goldman Sachs, JP Morgan, RBC Capital Markets, UBS Securities, Wells Fargo, BBVA Securities,
|
|||||||
Credit Agricole Securities, Deutsche Bank Securities, Fifth Third Securities, Mitsubishi UFJ Securities, Scotia Capital USA, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$15,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$1,000,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.750%
|
||||||
22. 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:
|
61746BDM5
|
MS 2.5 01/24/19
|
|||||
Date of Purchase:
|
1/21/2014
|
||||||
Date Offering Commenced:
|
1/21/2014
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Morgan Stanley
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Morgan Stanley, ABN AMRO Securities, ANZ Securities, Banca IMI, BBVA Securities, BMO Capital Markets, BNY Mellon Capital Markets, Cabrera Capital Markets,
|
|||||||
Capital One Southcoast, Fifth Third Securities, KBC Securities, KeyBanc Capital Markets, Lloyds Securities, Mischler Financial Group, Mitsubishi UFJ Securities, nabSecurities,
|
|||||||
Natixis Securities, RBC Capital Markets, Santander Investment Securities, Scotia Capital, SG Americas Securities, TD Securities, US Bancorp Investments, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$25,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$2,000,000,000
|
||||||
Purchase Price:
|
$99.632
|
||||||
Commission/ Spread/ Profit:
|
0.350%
|
||||||
23. The following 10f-3 transaction was effected for the
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
75886AAL2
|
RGP5.875 03/01/22
|
|||||
Date of Purchase:
|
2/4/2014
|
||||||
Date Offering Commenced:
|
2/4/2014
|
||||||
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, Citigroup Global Markets, Credit Suisse Securities, JP Morgan Securities, Merrill Lynch Pierce Fennder, Natixis Securities, PNC Capital Markets,
|
|||||||
RBC Capital Markets, RBS Securities, Scotia Capital, UBS Securities, Wells Fargo Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$5,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$900,000,000
|
||||||
Purchase Price:
|
$98.423
|
||||||
Commission/ Spread/ Profit:
|
1.500%
|
||||||
24. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
09069NAD0
|
BIOS 8.875 02/15/21
|
|||||
Date of Purchase:
|
2/6/2014
|
||||||
Date Offering Commenced:
|
2/6/2014
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Jefferies
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Jefferies & Co., Morgan Stanley, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$7,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$200,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
2.500%
|
||||||
25. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
252603AA3
|
DMND 7 03/15/19
|
|||||
Date of Purchase:
|
2/13/2014
|
||||||
Date Offering Commenced:
|
2/13/2014
|
||||||
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, Barclays Capital, BMO Capital Markets, Wells Fargo Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$3,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$230,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
2.000%
|
||||||
26. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
89469AAB0
|
THS4.875 03/15/22
|
|||||
Date of Purchase:
|
2/25/2014
|
||||||
Date Offering Commenced:
|
2/25/2014
|
||||||
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, BMO Capital Markets, JP Morgan Securities, Merrill Lynch Pierce Fennder, Wells Fargo Securities, Barclays Capital, KeyBanc Capital Markets
|
|||||||
Aggregate Principal Amount of Purchase:
|
$4,500,000
|
||||||
Aggregate Principal Amount of Offering:
|
$400,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.500%
|
||||||
27. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
RidgeWorth Seix Float Rt
|
|||||||
Issuer/Security:
|
404119BM0
|
HCA3.75 03/15/19
|
|||||
Date of Purchase:
|
3/3/2014
|
||||||
Date Offering Commenced:
|
3/3/2014
|
||||||
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, Credit Suisse, Deutsche Bank Securities, Goldman Sachs, JP Morgan, Morgan Stanley,
|
|||||||
RBC Capital Markets, UBS Securities, Wells Fargo, Credit Agricole Securities, Fifth Third Securities, Mizuho Securities, SMBC Nikko Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$30,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$1,500,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.000%
|
||||||
28. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
00434NAB1
|
ACMP 4.875 03/15/24
|
|||||
Date of Purchase:
|
3/4/2014
|
||||||
Date Offering Commenced:
|
3/4/2014
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Wells Fargo
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Wells Fargo, Citigroup, Goldman Sachs, JP Morgan, Mitsubishi UFJ Securities, RBC Capital Markets, Wells Fargo Securities, Barclays Capital, BBVA Securities,
|
|||||||
Credit Agricole Securities, DNB Nor Markets, Morgan Stanley, RBS Securities, Scotia Capital, US Bancorp, Bank of America Merrill Lynch, Capital One Securities,
|
|||||||
Comerica Securities, Credit Suisse, Deutsche Bank Securities, SMBC Nikko Securities, TD Securities, UBS Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$7,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$750,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.000%
|
||||||
29. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
148887AA0
|
CCTCN 4.75 03/15/21
|
|||||
Date of Purchase:
|
3/7/2014
|
||||||
Date Offering Commenced:
|
3/7/2014
|
||||||
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, Barclays Capital, Citigroup, Morgan Stanely, Credit Agricole Corp, Credit Suisse, Fifth Third Securities, Mizuho Securities,
|
|||||||
PNC Capital Markets, TD Securities, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$7,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$500,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
1.500%
|
||||||
30. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Intermed BF
|
|||||||
Issuer/Security:
|
23311VAE7
|
DPM 2.7 04/01/19
|
|||||
Date of Purchase:
|
3/10/2014
|
||||||
Date Offering Commenced:
|
3/10/2014
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
RBS Greenwich Capital
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
JP Morgan Securities, RBC Capital Markets, RBS Securities, US Bancorp Investments, Wells Fargo Securities, BBVA Securities, Credit Suisse Securities,
|
|||||||
Deutsche Bank Securities, DNB Markets, Mitsubishi UFJ Securities, Scotia Capital, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$7,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$325,000,000
|
||||||
Purchase Price:
|
$99.410
|
||||||
Commission/ Spread/ Profit:
|
0.600%
|
||||||
31. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Total Return
|
|||||||
RidgeWorth Core Bd Fd
|
|||||||
Ridgeworth Corp Bond Fd
|
|||||||
Issuer/Security:
|
23311VAF4
|
DPM 5.6 04/01/44
|
|||||
Date of Purchase:
|
3/10/2014
|
||||||
Date Offering Commenced:
|
3/10/2014
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
RBS Greenwich Capital
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
JP Morgan Securities, RBC Capital Markets, RBS Securities, US Bancorp Investments, Wells Fargo Securities, BBVA Securities, Credit Suisse Securities,
|
|||||||
Deutsche Bank Securities, DNB Markets, Mitsubishi UFJ Securities, Scotia Capital USA, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$10,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$400,000,000
|
||||||
Purchase Price:
|
$99.006
|
||||||
Commission/ Spread/ Profit:
|
0.875%
|
||||||
32. The following 10f-3 transaction was effected for the RidgeWorth
|
|||||||
RidgeWorth Seix High Yld
|
|||||||
RidgeWorth High Income
|
|||||||
Issuer/Security:
|
48019TAA2
|
JONE 6 3/4 04/01/22
|
|||||
Date of Purchase:
|
3/27/2014
|
||||||
Date Offering Commenced:
|
3/27/2014
|
||||||
Name of Broker/Dealer from Whom Purchased:
|
Citigroup
|
||||||
Name of Affiliated Dealer in Syndicate:
|
SunTrust Robinson Humphrey
|
||||||
Members of the Syndicate:
|
|||||||
Barclays Capital, Capital One Securities, Citigroup Global Markets, Credit Agricole Securities, JP Morgan Securities, Mitsubishi UFJ Securities, TD Securities, Wells Fargo Securities,
|
|||||||
Jefferies & Co., Morgan Stanley, Tudor Pickering Holt & Co., Comerican Securities, Stifel Nicolaus, STRH
|
|||||||
Aggregate Principal Amount of Purchase:
|
$8,000,000
|
||||||
Aggregate Principal Amount of Offering:
|
$500,000,000
|
||||||
Purchase Price:
|
$100.000
|
||||||
Commission/ Spread/ Profit:
|
2.000%
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
1,458,657,147.458
|
0.000
|
20,279,356.809
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
1,458,244,497.972
|
0.000
|
20,692,006.295
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
1,069,350,705.720
|
57,212,101.541
|
15,395,254.603
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
1,368,794.969
|
11,608.346
|
1,208.980
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
1,371,263.266
|
9,098.049
|
1,250.980
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
1,377,797.266
|
2,564.049
|
1,250.980
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
981,206.654
|
19,745.371
|
7,967.000
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
2,734,664.505
|
25,015.000
|
14,761.000
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
579,446.617
|
7,170.278
|
11,626.589
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
993,552.327
|
5,675.000
|
9,691.698
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
2,752,951.505
|
9,435.000
|
12,054.000
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
572,472.154
|
13,768.214
|
12,003.616
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
1,458,657,147.458
|
0.000
|
20,279,356.809
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
1,458,244,497.972
|
0.000
|
20,692,006.295
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
1,069,350,705.720
|
57,212,101.541
|
15,395,254.603
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
7,212,907.891
|
57,129.636
|
48,503.947
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
17,111,758.192
|
1,300,332.779
|
164,430.049
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
676,438.964
|
0.000
|
0.000
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
529,622,452.552
|
15,403,023.021
|
5,991,650.314
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
124,475,332.375
|
664,251.666
|
109,926.801
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
3,506,854.939
|
7,203.096
|
1,004.000
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
1,269,642.156
|
63,626.029
|
25,418.353
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
6,305,724.336
|
87,308.397
|
128,058.065
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
10,494,140.265
|
70,924.107
|
7,043.000
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
2,259,490.792
|
140,046.055
|
20,618.000
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
34,273,810.594
|
610,771.139
|
263,690.168
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
3,568,434.985
|
0.000
|
0.000
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
1,851,089.674
|
6,042.352
|
62,203.104
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
10,753,061.291
|
36,474.000
|
3,879.908
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
7,245,265.181
|
24,596.100
|
48,680.193
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
18,121,129.926
|
298,407.530
|
156,983.564
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
676,438.964
|
0.000
|
0.000
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
540,374,171.826
|
4,472,518.743
|
6,170,435.318
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
125,045,511.361
|
96,514.555
|
107,484.926
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
3,511,915.035
|
2,143.000
|
1,004.000
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
40,843,115.931
|
609,231.706
|
708,673.416
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
1,319,457.156
|
13,811.029
|
25,418.353
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
6,438,356.312
|
74,338.272
|
8,396.214
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
10,538,598.497
|
26,465.875
|
7,043.000
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
2,327,400.407
|
64,382.718
|
28,371.722
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
34,593,204.819
|
299,049.228
|
256,017.854
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
3,568,434.985
|
0.000
|
0.000
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
1,858,574.959
|
0.000
|
60,760.138
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
10,762,285.291
|
27,250.000
|
3,879.908
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
7,226,404.712
|
42,584.569
|
49,552.193
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
18,091,972.232
|
301,479.265
|
183,069.523
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
676,438.964
|
0.000
|
0.000
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
542,520,010.432
|
2,170,811.123
|
6,326,304.332
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
124,969,254.447
|
154,883.332
|
125,373.063
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
3,507,165.510
|
3,909.000
|
3,987.525
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
40,765,970.711
|
683,755.471
|
711,294.871
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
1,319,457.156
|
13,811.029
|
25,418.353
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
6,441,026.088
|
70,403.193
|
9,661.517
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
10,496,810.231
|
68,254.141
|
7,043.000
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
2,322,173.951
|
67,125.174
|
30,855.722
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
34,542,314.936
|
332,519.662
|
272,015.916
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
3,568,434.985
|
0.000
|
0.000
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
1,828,738.115
|
3,031.911
|
87,565.104
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
10,762,285.291
|
27,250.000
|
3,879.908
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
44,495,917.255
|
3,807,939.822
|
1,852,716.056
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
46,464,200.437
|
1,859,986.110
|
1,832,386.836
|
Affirmative Votes
|
Objecting Votes
|
Abstaining Votes
|
45,639,177.513
|
1,708,696.803
|
2,808,699.067
|