For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Registered Domestic Securities and Government Securities
Fund: UBS Global Allocation Fund ___
Name of Adviser or Sub-Adviser: UBS Global Asset Management (America) Inc.
1. Issuer: American Capital Agency Corp.
2. Date of Purchase: 03/07/2012 3. Date offering commenced: 03/07/2012
4. Underwriter(s) from whom purchased: Citigroup
5. "Affiliated Underwriter" managing or participating in syndicate UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: 600,000 shares (Firmwide)
7. Aggregate principal amount or total number of shares of offering: 62,000,000 shares
8. Purchase price (net of fees and expenses): $29.35
9. Initial public offering price per unit or share: $29.35
10. Commission, spread or profit: .35
11. Have the following conditions been satisfied?
YES
NO
a. The securities are sold in an offering exempt from registration under Section 4(2) of the Securities Act of 1933, Rule 144A or Regulation D.
b. The securities are sold to persons reasonably believed to be "qualified institutional buyers" ("QIBs").
c. The securities are reasonably believed to be eligible for resale to other QIBs.
d. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
X_______
X_______
X_______
X_______
_______
_______
_______
_______
e. The securities were purchased at a price not more than the price paid by each other purchaser in the offering or any concurrent offering.
f. The underwriting was a firm commitment underwriting.
YES
X_______
X_______
NO
_______
g. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
X_______
_______
h. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
_______
i. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
j. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: /s/ Jim Malles Date: 3/25/12
Print Name: Jim Malles
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Registered Domestic Securities and Government Securities
Fund: UBS Global Frontier Fund ___
Name of Adviser or Sub-Adviser: UBS Global Asset Management (America) Inc.
1. Issuer: American Capital Agency Corp.
2. Date of Purchase: 03/07/2012 3. Date offering commenced: 03/07/2012
4. Underwriter(s) from whom purchased: Citigroup
5. "Affiliated Underwriter" managing or participating in syndicate UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: 600,000 shares (Firmwide)
7. Aggregate principal amount or total number of shares of offering: 62,000,000 shares
8. Purchase price (net of fees and expenses): $29.35
9. Initial public offering price per unit or share: $29.35
10. Commission, spread or profit: .35
11. Have the following conditions been satisfied?
YES
NO
a. The securities are sold in an offering exempt from registration under Section 4(2) of the Securities Act of 1933, Rule 144A or Regulation D.
b. The securities are sold to persons reasonably believed to be "qualified institutional buyers" ("QIBs").
c. The securities are reasonably believed to be eligible for resale to other QIBs.
d. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
X_______
X_______
X_______
X_______
_______
_______
_______
_______
e. The securities were purchased at a price not more than the price paid by each other purchaser in the offering or any concurrent offering.
f. The underwriting was a firm commitment underwriting.
YES
X_______
X_______
NO
_______
g. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
X_______
_______
h. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
_______
i. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
j. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: /s/ Jim Malles Date: 3/25/12
Print Name: Jim Malles
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Registered Domestic Securities and Government Securities
Fund: UBS U.S. Large Cap Equity Fund ___
Name of Adviser or Sub-Adviser: UBS Global Asset Management (America) Inc.
1. Issuer: American Capital Agency Corp.
2. Date of Purchase: 03/07/2012 3. Date offering commenced: 03/07/2012
4. Underwriter(s) from whom purchased: Citigroup
5. "Affiliated Underwriter" managing or participating in syndicate UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: 600,000 shares (Firmwide)
7. Aggregate principal amount or total number of shares of offering: 62,000,000 shares
8. Purchase price (net of fees and expenses): $29.35
9. Initial public offering price per unit or share: $29.35
10. Commission, spread or profit: .35
11. Have the following conditions been satisfied?
YES
NO
a. The securities are sold in an offering exempt from registration under Section 4(2) of the Securities Act of 1933, Rule 144A or Regulation D.
b. The securities are sold to persons reasonably believed to be "qualified institutional buyers" ("QIBs").
c. The securities are reasonably believed to be eligible for resale to other QIBs.
d. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
X_______
X_______
X_______
X_______
_______
_______
_______
_______
e. The securities were purchased at a price not more than the price paid by each other purchaser in the offering or any concurrent offering.
f. The underwriting was a firm commitment underwriting.
YES
X_______
X_______
NO
_______
g. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
X_______
_______
h. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
_______
i. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
j. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: /s/ Jim Malles Date: 3/25/12
Print Name: Jim Malles
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Registered Domestic Securities and Government Securities
Fund: UBS U.S. Equity Opportunity Fund ___
Name of Adviser or Sub-Adviser: UBS Global Asset Management (America) Inc.
1. Issuer: American Capital Agency Corp.
2. Date of Purchase: 03/07/2012 3. Date offering commenced: 03/07/2012
4. Underwriter(s) from whom purchased: Citigroup
5. "Affiliated Underwriter" managing or participating in syndicate UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: 600,000 shares (Firmwide)
7. Aggregate principal amount or total number of shares of offering: 62,000,000 shares
8. Purchase price (net of fees and expenses): $29.35
9. Initial public offering price per unit or share: $29.35
10. Commission, spread or profit: .35
11. Have the following conditions been satisfied?
YES
NO
a. The securities are sold in an offering exempt from registration under Section 4(2) of the Securities Act of 1933, Rule 144A or Regulation D.
b. The securities are sold to persons reasonably believed to be "qualified institutional buyers" ("QIBs").
c. The securities are reasonably believed to be eligible for resale to other QIBs.
d. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
X_______
X_______
X_______
X_______
_______
_______
_______
_______
e. The securities were purchased at a price not more than the price paid by each other purchaser in the offering or any concurrent offering.
f. The underwriting was a firm commitment underwriting.
YES
X_______
X_______
NO
_______
g. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
X_______
_______
h. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
_______
i. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
j. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: /s/ Jim Malles Date: 3/25/12
Print Name: Jim Malles
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Registered Domestic Securities and Government Securities
Fund: UBS U.S. Small Cap Growth Fund ___
Name of Adviser or Sub-Adviser: UBS Global Asset Management (America) Inc.
1. Issuer: FX Alliance
2. Date of Purchase: 03/09/2012 3. Date offering commenced: 02/09/2012
4. Underwriter(s) from whom purchased: Goldman Sachs
5. "Affiliated Underwriter" managing or participating in syndicate UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: 125,000 shares (Firmwide)
7. Aggregate principal amount or total number of shares of offering: 5, 200,000 shares
8. Purchase price (net of fees and expenses): $12.000
9. Initial public offering price per unit or share: $12.000
10. Commission, spread or profit: $.50 per share
11. Have the following conditions been satisfied?
YES
NO
a. The securities are sold in an offering exempt from registration under Section 4(2) of the Securities Act of 1933, Rule 144A or Regulation D.
b. The securities are sold to persons reasonably believed to be "qualified institutional buyers" ("QIBs").
c. The securities are reasonably believed to be eligible for resale to other QIBs.
d. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
X_______
X_______
X_______
X_______
_______
_______
_______
_______
e. The securities were purchased at a price not more than the price paid by each other purchaser in the offering or any concurrent offering.
f. The underwriting was a firm commitment underwriting.
YES
X_______
X_______
NO
_______
g. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
X_______
_______
h. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
_______
i. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
j. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: /s/ David Wabnik Date: February 13, 2012
Print Name: David Wabnik
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Registered Domestic Securities and Government Securities
Fund: UBS High Yield Fund ___
Name of Adviser or Sub-Adviser: UBS Global Asset Management (America) Inc.
1. Issuer: Virgin Media Finance PLC 5.25% due 02/15/2022
2. Date of Purchase: 02/28/2012 3. Date offering commenced: 02/28/2012
4. Underwriter(s) from whom purchased: Bank of America Sec LLC
5. "Affiliated Underwriter" managing or participating in syndicate UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: $5,000,000 (Firmwide)
7. Aggregate principal amount or total number of shares of offering: $500.000.000.00
8. Purchase price (net of fees and expenses): $100.00
9. Initial public offering price per unit or share: $100.00
10. Commission, spread or profit: .40
11. Have the following conditions been satisfied?
YES
NO
a. The securities are sold in an offering exempt from registration under Section 4(2) of the Securities Act of 1933, Rule 144A or Regulation D.
b. The securities are sold to persons reasonably believed to be "qualified institutional buyers" ("QIBs").
c. The securities are reasonably believed to be eligible for resale to other QIBs.
d. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
X_______
X_______
X_______
X_______
_______
_______
_______
_______
e. The securities were purchased at a price not more than the price paid by each other purchaser in the offering or any concurrent offering.
f. The underwriting was a firm commitment underwriting.
YES
X_______
X_______
NO
_______
g. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
X_______
_______
h. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
_______
i. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
j. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: /s/ Matthew Iannucci Date: 3/23/2012
Print Name: Matthew Iannucci
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Eligible Foreign Securities
Fund: UBS Fixed Income Opportunities Fund ___
Name of Adviser or Sub-Adviser: UBS Global Asset Management (America) Inc.
1. Issuer: HSBC Holdings Plc 4% 03/30/2012
2. Date of Purchase: 03/27/2012 3. Date offering commenced: 03/27/2012
4. Underwriter(s) from whom purchased: HSBC Securiities
5. "Affiliated Underwriter" managing or participating in syndicate UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: $3,973,920 (Firmwide)
7. Aggregate principal amount or total number of shares of offering: $1,986,960,000
8. Purchase price (net of fees and expenses): $99.348
9. Initial public offering price per unit or share: $99.348
10. Commission, spread or profit: .40%
11. Have the following conditions been satisfied?
YES
NO
a. The securities are sold in an offering exempt from registration under Section 4(2) of the Securities Act of 1933, Rule 144A or Regulation D.
b. The securities are sold to persons reasonably believed to be "qualified institutional buyers" ("QIBs").
c. The securities are reasonably believed to be eligible for resale to other QIBs.
d. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
X_______
X_______
X_______
X_______
_______
_______
_______
_______
e. The securities were purchased at a price not more than the price paid by each other purchaser in the offering or any concurrent offering.
f. The underwriting was a firm commitment underwriting.
YES
X_______
X_______
NO
_______
g. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
X_______
_______
h. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
_______
i. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
j. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: /s/ Branimir Christopher Petranovic Date: 02 Apr 1265
Print Name: Branimir Christopher Petranovic
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Eligible Foreign Securities
Name of Adviser or Sub-Adviser: UBS Dynamic Alpha Fund
1. Issuer: UBS Global Asset Management Plc 3.245% due 05/02/2022
2. Date of Purchase: 05/02/2012 3. Date offering commenced:05/02/2010
4. Underwriter(s) from whom purchased: Morgan Stanley
5. "Affiliated Underwriter" managing or participating in syndicate:
UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: $40,000,000 (Firmwide)
7. Aggregate principal amount or total number of shares of offering: $1,750,000,000
8. Purchase price (net of fees and expenses): $100.00
9. Initial public offering price: $100.00
10. Commission, spread or profit: 0.30%
11. Have the following conditions been satisfied?
YES
NO
a. The offering is subject to regulation by a foreign financial regulatory authority
b. The securities are offered at a fixed price to all purchasers in the offering (except for any rights that are required by law to be granted to existing security holders).
c. Financial statements of the issuer, prepared and audited in accordance with the standards of the appropriate foreign financial regulatory authority, for the two years prior to the offering, are made available to prospective purchasers.
d. The issuer is a foreign government, a foreign national or an entity organized under the laws of a foreign country.
e. If the answer to (d) is no, the issuer is a reporting company in the U.S. and has made all required filings during the past 12 months
f. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
g. The securities were purchased at a price not more than the price paid by each other purchaser in the offering or any concurrent offering (except for any rights to purchase required by law to be granted to existing security holders).
h. The underwriting was a firm commitment underwriting
X_______
X_______
X_______
X_______
________
X______
X______
X_______
_______
_______
_______
_______
_______
_______
________
________
i. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
j. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
X_______
_______
_______
k. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
l. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: /s/ Vivek Acharya Date: 05/05/2012
Print Name: Vivek Acharya
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Eligible Foreign Securities
FUND: UBS Global Bond Fund
Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc.
1. Issuer: BP Capital Markets Plc 3.245% due 05/02/2022
2. Date of Purchase: 05/02/2012 3. Date offering commenced: 05/02/2012
4. Underwriter(s) from whom purchased: Morgan Stanley
5. "Affiliated Underwriter" managing or participating in syndicate:
UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: $40,000,000 (Firmwide)
7. Aggregate principal amount or total number of shares of offering: $1,750,000,000
8. Purchase price (net of fees and expenses): $100.00
9. Initial public offering price: $100.00
10. Commission, spread or profit: 0.30%
11. Have the following conditions been satisfied?
YES
NO
a. The offering is subject to regulation by a foreign financial regulatory authority
b. The securities are offered at a fixed price to all purchasers in the offering (except for any rights that are required by law to be granted to existing security holders).
c. Financial statements of the issuer, prepared and audited in accordance with the standards of the appropriate foreign financial regulatory authority, for the two years prior to the offering, are made available to prospective purchasers.
d. The issuer is a foreign government, a foreign national or an entity organized under the laws of a foreign country.
e. If the answer to (d) is no, the issuer is a reporting company in the U.S. and has made all required filings during the past 12 months
f. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
g. The securities were purchased at a price not more than the price paid by each other purchaser in the offering or any concurrent offering (except for any rights to purchase required by law to be granted to existing security holders).
h. The underwriting was a firm commitment underwriting
X_______
X_______
X_______
X_______
________
X______
X______
X_______
_______
_______
_______
_______
_______
_______
________
________
i. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
j. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
X_______
_______
_______
k. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
l. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved:/s/ Vivek Acharya Date: 05/05/2012
Print Name: Vivek Acharya
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Registered Domestic Securities and Government Securities
FUND: UBS Fixed Income Opportunities Fund
Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc.
1. Issuer: CIT Group 5% due 05/15/2017
2. Date of Purchase: 05/01/2012 3. Date offering commenced:05/01/2012
4. Underwriter(s) from whom purchased: Bank of America Securities
5. "Affiliated Underwriter" managing or participating in syndicate:
UBS Investment Bankj
6. Aggregate principal amount or number of shares purchased:$2,000,000 (Firmwide)
7. Aggregate principal amount or total number of shares of offering: $1,250,000,000
8. Purchase price (net of fees and expenses): $100
9. Initial public offering price: $100.00
10. Commission, spread or profit: 0.875%
11. Have the following conditions been satisfied?
YES
NO
a. The securities are part of an issue registered under the Securities Act of 1933 that is being offered to the public, or is part of an issue of government securities (as defined in section 2(a)(16) of the 1940 Act).
b. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
c. The securities purchased at a price not more then the price paid by each other purchaser in the offering.
d. The underwriting was a firm commitment underwriting.
X_______
X_______
X_______
X_______
_______
_______
_______
_______
e. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
f. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
X_______
_______
_______
g. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
h. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: /s/ Branimir C. Petranovic Date: 05/03/2012
Print Name: Branamir C. Petranovic
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Registered Domestic Securities and Government Securities
FUND: UBS Dynamic Alpha Fund
Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc.
1. Issuer: Molson Coors Brewing Company 5% due 05/01/2042
2. Date of Purchase: 04/26/2012 3. Date offering commenced:04/26/2012
4. Underwriter(s) from whom purchased: Morgan Stanley
5. "Affiliated Underwriter" managing or participating in syndicate:
UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: 2,994,450 (Firmwide)
7. Aggregate principal amount or total number of shares of offering: $1,097,965,000
8. Purchase price (net of fees and expenses): $99.815
9. Initial public offering price: $99.815
10. Commission, spread or profit: $0.875
11. Have the following conditions been satisfied?
YES
NO
a. The securities are part of an issue registered under the Securities Act of 1933 that is being offered to the public, or is part of an issue of government securities (as defined in section 2(a)(16) of the 1940 Act).
b. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
c. The securities purchased at a price not more then the price paid by each other purchaser in the offering.
d. The underwriting was a firm commitment underwriting.
X_______
X_______
X_______
X_______
_______
_______
_______
_______
e. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
f. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
X_______
_______
_______
g. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
h. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: /s/ Tim Winstone Date: 04/28/2012
Print Name: Tim Winstone
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Registered Domestic Securities and Government Securities
FUND: UBS Global Bond Fund
Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc.
1. Issuer: Molson Coors Brewing Company 5% due 05/01/2042
2. Date of Purchase: 04/26/2012 3. Date offering commenced:04/26/2012
4. Underwriter(s) from whom purchased: Morgan Stanley
5. "Affiliated Underwriter" managing or participating in syndicate:
UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: $2,994,450 (Firmwide)
7. Aggregate principal amount or total number of shares of offering: $1,097,965,000
8. Purchase price (net of fees and expenses): $99.815
9. Initial public offering price: $99.815
10. Commission, spread or profit: $0.875
11. Have the following conditions been satisfied?
YES
NO
a. The securities are part of an issue registered under the Securities Act of 1933 that is being offered to the public, or is part of an issue of government securities (as defined in section 2(a)(16) of the 1940 Act).
b. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
c. The securities purchased at a price not more then the price paid by each other purchaser in the offering.
d. The underwriting was a firm commitment underwriting.
X_______
X_______
X_______
X_______
_______
_______
_______
_______
e. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
f. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
X_______
_______
_______
g. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
h. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: /s/ Tim Winstone Date: 04/28/2012
Print Name: Tim Winstone
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Registered Domestic Securities and Government Securities
FUND: UBS U.S. Small Cap Growth Fund
Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc.
1. Issuer: Splunk Inc.
2. Date of Purchase: 04/19/2012 3. Date offering commenced:04/19/2012
4. Underwriter(s) from whom purchased: Morgan Stanley & Co.
5. "Affiliated Underwriter" managing or participating in syndicate:
UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: 151,000 shares (firmwide)
7. Aggregate principal amount or total number of shares of offering: 13,500,000 shares
8. Purchase price (net of fees and expenses): $17.000
9. Initial public offering price: $17.000
10. Commission, spread or profit: $1.19
11. Have the following conditions been satisfied?
YES
NO
a. The securities are part of an issue registered under the Securities Act of 1933 that is being offered to the public, or is part of an issue of government securities (as defined in section 2(a)(16) of the 1940 Act).
b. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
c. The securities purchased at a price not more then the price paid by each other purchaser in the offering.
d. The underwriting was a firm commitment underwriting.
X_______
X_______
X_______
X_______
_______
_______
_______
_______
e. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
f. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
X_______
_______
_______
g. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
h. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: /s/ Jim Malles Date: August 29, 2012
Print Name: Jim Malles
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Registered Domestic Securities and Government Securities
FUND: UBS U.S. Small Cap Growth Fund
Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc.
1. Issuer: Inflobox Inc.
2. Date of Purchase: 04/19/2012 3. Date offering commenced: 04/19/2012
4. Underwriter(s) from whom purchased: Morgan Stanley & Co. Pacific Crest
5. "Affiliated Underwriter" managing or participating in syndicate:
UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: 102,500 shares (firmwide)
7. Aggregate principal amount or total number of shares of offering: 7,500,000 shares
8. Purchase price (net of fees and expenses): $16.000
9. Initial public offering price: $16.000
10. Commission, spread or profit: $1.12
11. Have the following conditions been satisfied?
YES
NO
a. The securities are part of an issue registered under the Securities Act of 1933 that is being offered to the public, or is part of an issue of government securities (as defined in section 2(a)(16) of the 1940 Act).
b. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
c. The securities purchased at a price not more then the price paid by each other purchaser in the offering.
d. The underwriting was a firm commitment underwriting.
X_______
X_______
X_______
X_______
_______
_______
_______
_______
e. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
f. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
X_______
_______
_______
g. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
h. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: Jim Malles Date: April 23, 2012
Print Name: Jim Malles
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Registered Domestic Securities and Government Securities
FUND: UBS U.S. Small Cao Growth Fund
Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc.
1. Issuer: Midstates Petroleum Company, Inc.
2. Date of Purchase: 04/20/2012 3. Date offering commenced: 04/20/2012
4. Underwriter(s) from whom purchased: Goldman Sachs
5. "Affiliated Underwriter" managing or participating in syndicate:
UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: 225,000 shares (firmwide)
7. Aggregate principal amount or total number of shares of offering: 24,000,000 shares
8. Purchase price (net of fees and expenses): $13.000
9. Initial public offering price: $13.000
10. Commission, spread or profit: $0.78
11. Have the following conditions been satisfied?
YES
NO
a. The securities are part of an issue registered under the Securities Act of 1933 that is being offered to the public, or is part of an issue of government securities (as defined in section 2(a)(16) of the 1940 Act).
b. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
c. The securities purchased at a price not more then the price paid by each other purchaser in the offering.
d. The underwriting was a firm commitment underwriting.
X_______
X_______
X_______
X_______
_______
_______
_______
_______
e. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
f. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
X_______
_______
_______
g. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
h. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approve: /s/ Jim Ma;les Date: April 23, 2012
Print Name: /s/ Jim Malles
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Registered Domestic Securities and Government Securities
FUND: UBS Fixed Income Opportunities Fund
Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc.
1. Issuer: Apache Corporation 4.75% due 4/15/2043
2. Date of Purchase: 04/03/2012 3. Date offering commenced: 04/03/2012
4. Underwriter(s) from whom purchased: JP Morgan Chase Securities
5. "Affiliated Underwriter" managing or participating in syndicate:
UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: $16,953,250 (Firmwide)
7. Aggregate principal amount or total number of shares of offering: 1,495,875,000
8. Purchase price (net of fees and expenses): $99.725
9. Initial public offering price: $99.725
10. Commission, spread or profit: $0.0875
11. Have the following conditions been satisfied?
YES
NO
a. The securities are part of an issue registered under the Securities Act of 1933 that is being offered to the public, or is part of an issue of government securities (as defined in section 2(a)(16) of the 1940 Act).
b. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
c. The securities purchased at a price not more then the price paid by each other purchaser in the offering.
d. The underwriting was a firm commitment underwriting.
X_______
X_______
X_______
X_______
_______
_______
_______
_______
e. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
f. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
X_______
_______
_______
g. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
h. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: /s/ Branamir Christopher Petranovic Date: 04/04/2012
Print Name: Branamir Christopher Petranovic II
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Registered Domestic Securities and Government Securities
FUND: UBS Dynamic Alpha Fund
Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc.
1. Issuer: Apache Corporation 4.75% due 4/15/2043
2. Date of Purchase: 04/03/2012 3. Date offering commenced: 04/03/2012
4. Underwriter(s) from whom purchased: JP Morgan Chase Securities
5. "Affiliated Underwriter" managing or participating in syndicate:
UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: $16,953,250 (Firmwide)
7. Aggregate principal amount or total number of shares of offering: $1,495,875,000
8. Purchase price (net of fees and expenses): $99.723
9. Initial public offering price: $99.723
10. Commission, spread or profit: $0.875% v
11. Have the following conditions been satisfied?
YES
NO
a. The securities are part of an issue registered under the Securities Act of 1933 that is being offered to the public, or is part of an issue of government securities (as defined in section 2(a)(16) of the 1940 Act).
b. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
c. The securities purchased at a price not more then the price paid by each other purchaser in the offering.
d. The underwriting was a firm commitment underwriting.
X_______
X_______
X_______
X_______
_______
_______
_______
_______
e. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
f. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
X_______
_______
_______
g. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
h. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: Tim Winstone Date: 04/04/2012
Print Name: Tim Winstone
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Registered Domestic Securities and Government Securities
FUND: UBS U.S. Small Cap Growth Fund
Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc.
1. Issuer: ServiceNow Inc.
2. Date of Purchase: 06/28/2012 3. Date offering commenced: 06/28/2012
4. Underwriter(s) from whom purchased: Morgan Stanley & Co.
5. "Affiliated Underwriter" managing or participating in syndicate:
UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: 42,500 shares (Firmwide)
7. Aggregate principal amount or total number of shares of offering: 11,650,000 shares
8. Purchase price (net of fees and expenses): $18.000
9. Initial public offering price: $18.000
10. Commission, spread or profit: $.756
11. Have the following conditions been satisfied?
YES
NO
a. The securities are part of an issue registered under the Securities Act of 1933 that is being offered to the public, or is part of an issue of government securities (as defined in section 2(a)(16) of the 1940 Act).
b. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
c. The securities purchased at a price not more then the price paid by each other purchaser in the offering.
d. The underwriting was a firm commitment underwriting.
X_______
X_______
X_______
X_______
_______
_______
_______
_______
e. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
f. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
X_______
_______
_______
g. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
h. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: /s/ David Wabnik Date: July 2, 2012
Print Name: David Wabnik
For period ending June 30, 2012 Exhibit 77O
File number 811-6637
FORM 10f-3
Registered Domestic Securities and Government Securities
FUND: UBS Fixed Income Opportunities Fund
Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc.
1. Issuer: Devon Energy Corporation 3.25 due 05/15/2022
2. Date of Purchase: 05/07/2012 3. Date offering commenced: 05/07/2012
4. Underwriter(s) from whom purchased: Goldman Sachs
5. "Affiliated Underwriter" managing or participating in syndicate:
UBS Investment Bank
6. Aggregate principal amount or number of shares purchased: $7,952,640.00 (firmwide)
7. Aggregate principal amount or total number of shares of offering: $994,080,000.00
8. Purchase price (net of fees and expenses): $99.408
9. Initial public offering price: $99.408
10. Commission, spread or profit: 0.65%
11. Have the following conditions been satisfied?
YES
NO
a. The securities are part of an issue registered under the Securities Act of 1933 that is being offered to the public, or is part of an issue of government securities (as defined in section 2(a)(16) of the 1940 Act).
b. The securities were purchased prior to the end of the first day on which any sales are made (or, if a rights offering, the securities were purchased on or before the fourth day preceding the day on which the offering terminated).
c. The securities purchased at a price not more then the price paid by each other purchaser in the offering.
d. The underwriting was a firm commitment underwriting.
X_______
X_______
X_______
X_______
_______
_______
_______
_______
e. The commission, spread or profit was reasonable and fair in relation to that being received by others for underwriting similar securities during the same period.
f. The issuer of the securities and any predecessor has been in continuous operation for not less than three years.
X_______
X_______
_______
_______
g. The amount of such securities purchased by the Fund and all other accounts over which the Adviser (or Sub-Adviser, if applicable) exercises investment discretion did not exceed 25% of the principal amount of the offering.
X_______
_______
h. No Affiliated Underwriter benefited directly or indirectly from the purchase.
X_______
_______
Note: Refer to the Rule 10f-3 Procedures for the definitions of the capitalized terms above. In particular, "Affiliated Underwriter" is defined as affiliates of the Adviser or Sub-Adviser participating in a selling syndicate, as applicable.
Approved: /s/ Branamir C. Petranovic Date: May 19/12
Print Name: Branamir C. Petranovic
2