EX-99.77O RULE 10F-3 4 q77o10f3.htm 77O Unassociated Document
 
 
 

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%