EX-99.77O RULE 10F-3 3 mf10f-3.htm EX-99.77O RULE 10F-3

FORM 10f-3
Rule 144A Securities
FUND: UBS Core Plus Bond Fund
Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc.
1. Issuer: CCO Safari II LLC 3.579% due 07/23/2020
2. Date of Purchase: 07/09/2015 3. Date offering commenced: 07/09/2015
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: $10,350,000 firmwide
7. Aggregate principal amount or total number of shares of offering: $2,000,000,000
8. Purchase price per unit or share (net of fees and expenses): $100
9. Initial public offering price per unit or share: $100
10. Commission, spread or profit: _0.50__% $____________
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_______

_______

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 Petranovic Date: 07/15/2015__
Print Name: Branimir Petranovic

FORM 10f-3
Rule 144A Securities
FUND: UBS Dynamic Alpha Fund
Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc.
1. Issuer: CCO Safari II LLC 4.464% due 07/23/2022
2. Date of Purchase: 07/09/2015 3. Date offering commenced: 07/09/2015
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: $14,545,000 firmwide
7. Aggregate principal amount or total number of shares of offering: $3,000,000,000
8. Purchase price per unit or share (net of fees and expenses): $100
9. Initial public offering price per unit or share: $100
10. Commission, spread or profit: _0.50__% $____________
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_______
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_______

_______
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/ Tim Winstone Vivek Acharya Date: 07/15/2015__
Print Name: Tim Winstone Vivek Acharya

Rule 144A Securities
FUND: UBS (US) Fixed Income Opportunities Fund
Name of Adviser or Sub-Adviser: UBS Global Asset Management (Americas) Inc.
1. Issuer: CCO Safari II LLC 6.484% due 10/23/2045
2. Date of Purchase: 07/09/2015 3. Date offering commenced: 07/09/2015
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: $15,000,000 firmwide
7. Aggregate principal amount or total number of shares of offering: $3,500,000,000
8. Purchase price per unit or share (net of fees and expenses): $100
9. Initial public offering price per unit or share: $100
10. Commission, spread or profit: _0.50__% $____________
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_______
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_______

_______
j. No Affiliated Underwriter benefited directly or indirectly from the purchase.

X_______

FORM 10f-3
Registered Domestic Securities and Government Securities

FUND: UBS Global Allocation Fund (00113660)
Name of Adviser or Sub-Adviser: UBS Asset Management (Americas) Inc.
1. Issuer: Atlassian Corp PLC - Class A
2. Date of Purchase: 12/10/2015 3. Date offering commenced: 12/10/2015
4. Underwriter(s) from whom purchased: Goldman Sachs and Morgan Stanley
5. "Affiliated Underwriter" managing or participating in syndicate:
UBS Investment Bank_______________
6. Aggregate principal amount or number of shares purchased: $175,000 firmwide
7. Aggregate principal amount or total number of shares of offering: $22,000,000
8. Purchase price (net of fees and expenses): $21___ __
9. Initial public offering price: $21_____ _
10. Commission, spread or profit: $1.155 (gross spread)

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 than the price paid by each other purchaser in the offering.
d. The underwriting was a firm commitment underwriting.

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_______

_______

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/ Peter Bye _______________________ Date: 01/06/2016

Print Name: Peter Bye ________________ ______________________________