EX-99.77O RULE 10F-3 2 tenf-3.txt 10F-3 MORGAN STANLEY INCOME SECURITIES INC. ITEM 77(O) 10F-3 TRANSACTIONS APRIL 1, 2009 - SEPTEMBER 30, 2009 AMOUNT OF % OF % OF OFFERING SHARES OFFERING FUNDS SECURITY PURCHASE/ SIZE OF PRICE OF TOTAL AMOUNT PURCHASED PURCHASED TOTAL PURCHASED TRADE DATE OFFERING SHARES OF OFFERING BY FUND BY FUND ASSETS BROKERS PURCHASED FROM --------------- ---------- -------- -------- ----------------- ---------- --------- ------ ----------------- -------------- Union 10/02/08 -- $99.817 $400,000,000.00 290,000 0.03% 0.21% Citi, Credit Suisse Pacific Barclays Corp. 7.875% Capital, due Morgan 1/15/2019 Stanley, Credit Suisse, BNP PARIBAS, Lazard Capital Markets, Merrill Lynch & Co. Pepsico Inc. 10/21/08 -- $99.758 $2,000,000,000.00 85,000 0.00% 0.07% Morgan Merrill Lynch 7.90% due Stanley, 11/1/2018 Merrill Lynch & Co., UBS Investment Bank, The Williams Capital Group, L.P., Ramirez & Co., Inc., Siebert Capital Markets Verizon 10/30/08 -- $97.483 $1,250,000,000.00 100,000 0.00% 0.08% Citi, Banc Citigroup Communications of America Inc. 8.95% Securities due 3/1/2039 LLC, Barclays Capital, Goldman, Sachs & Co., Morgan Stanley, Credit Suisse, Mitsubishi UFJ Securities, Merrill Lynch h& Co., RBC Capital Markets, UBS Investment Bank, RBS Greenwich Capital, Scotia Capital, Wachovia Securities Paccar Inc. 02/10/09 -- $99.974 $500,000,000.00 130,000 0.02% 0.10% Barclays Barclays 6.875% due Capital, Capital 2/15/2014 Banc of America Securities LLC, Citi, ANZ Securities, Mitsubishi Securities, BNP PARIBAS, RBC Capital Markets, HSBC Energy 04/02/09 -- $99.996 $350,000,000.00 365,000 0.10% 0.28% Credit CSFB Transfer Suisse, Partners LP Morgan 8.500% due Stanley, RBS 4/15/2014 Greenwich Capital, BNP PARIBAS, Deutsche Bank Securities, J.P. Morgan Toledo 04/21/09 -- $99.803 $300,000,000 140,000 0.04% 0.10% Citi, Credit CSFB Edison 7.250% Suisse, J.P. due 5/1/2020 Morgan, Morgan Stanley Credit 04/28/09 -- $99.897 $2,250,000,000.00 245,000 0.01% 0.18% BB&T Capital CSFB Suisse New Markets, York 5.500% Citi, Fifth due 5/1/2014 Third Securities, Mitsubishi UFJ Securities, RBC Capital Markets, Wachovia Securities, MFR Securities, Inc., BNP PARIBAS, Comerica Securities, HSBC, Morgan Keegan & Company, Inc., SunTrust Robinson Humphrey, BNY Mellon Capital Markets, LLC, DZ Financial Markets LLC, KeyBanc Capital Markets, Popular Securities, U.S. Bancorp Investments, Inc. ITT 04/28/09 -- $98.860 $500,000,000 330,000 0.06% 0.25% Citi, J.P. JP Morgan Corporation Morgan, Goldman, 6.125% due Sachs & Co., 5/1/2019 Morgan Stanley, ING Wholesale, Barclays Capital, U.S. Bancorp Investments, Inc., Mitsubishi UFJ Securities, BNP PARIBAS, UBS Investment Bank, RBS, SOCIETE GENERALE, Lazard Capital Markets, Wells Fargo Securities Potash 04/28/09 -- $99.916 $500,000,000 170,000 0.03% 0.13% Banc of America Banc of Corporation of Securities LLC, America Saskatchewan HSBC, RBC Inc. 6.500% Capital Markets, due 5/15/2014 Scotia Capital, BMO Capital Markets, Mitsubishi UFJ Securities, CIBC World Markets, RABO Securities USA, Inc., Comerica Securities, SOCIETE GENERALE, Goldman, Sachs & Co., UBS Investment Bank Florida Gas 04/29/09 -- $99.820 $500,000,000 215,000 0.04% 0.16% Goldman, Sachs Goldman Sachs Transmission & Co., Banc of Co., 7.900% America due 5/15/2019 Securities LLC, CALYON, J.P. Morgan Diamond 04/29/09 -- $99.851 $500,000,000 910,000 0.18% 0.68% Goldman, JP Morgan Offshore Sachs & Drilling Inc. Co., J.P. 5.875% due Morgan, 5/1/2019 Comerica Securities, Fortis Securities LLC, HSBC, Mitsubishi UFJ Securities, Mizuho Securities USA Inc., UniCredit Capital Markets, Wachovia Securities Hospira Inc. 05/05/09 -- $99.796 $250,000,000 145,000 0.05% 0.11% Banc of Banc of 6.400% due America America 5/15/2015 Securities LLC, Morgan Stanley, Citi, RBS, Wachovia Securities Husky Energy 05/07/09 -- $99.767 $750,000,000 680,000 0.09% 0.50% HSBC, Citi, Citigroup Inc. 7.250% RBC Capital due Markets, 12/15/2019 CIBC World Markets, TD Securities, BMO Capital Markets, BNP PARIBAS, Deutsche Bank Securities, Scotia Capital, Mitsubishi UFJ Securities, Daiwa Securities America Inc. Corning Inc. 05/07/09 -- $99.992 $250,000,000 125,000 0.05$ 0.09% J.P. Morgan, JP Morgan 6.625% due Banc of 5/15/2010 America Securities LLC, Goldman, Sachs & Co., Deutsche Bank Securities, Mitsubishi UFJ Securities Kinder -- $99.669 $700,000,000 355,000 0.05$ 0.26% Citi, Wachovia Morgan Energy 05/07/09 J.P. Securities Partners Morgan, 6.850% due Wachovia 2/15/2019 Securities, Banc of America Securities LLC, Barclays Capital, Commerzbank Corporates & Markets, Deutsche Bank Securities, Goldman, Sachs & Co., Mitsubishi UFJ Securities, Morgan Stanley, RBS, SunTrust Robinson Humphrey CBS 05/08/09 -- $97.585 $350,000,000 680,000 0.19% 0.48% Banc of America Banc of Corporation Securities LLC, America 8.875% due Citi, 5/15/2019 J.P. Morgan UBS Investment Bank, Daiwa Securities America Inc., Deutsche Bank Securities, Mitsubishi UFJ Securities, Mizuho Securities USA Inc., RBS, Scotia Capital, Wachovia Securities, BNY Mellon Capital Markets, LLC, SOCIETE GENERALE, Goldman, Sachs & Co., Lloyds, TSB Corporate Markets, U.S. Bancorp Investments, Inc. Anheuser- 05/11/09 -- $99.877 $1,550,000,000 980,000 0.06% 0.81% J.P. Morgan, Banc Banc of Busch Inbev of America, America Worldwide Barclays Capital, 5.375% due BNP PARIBAS, 11/15/2014 Deutsche Bank, ING Wholesale, Mitsubishi UFJ Securities, Mizuho Securities USA Inc., RBS, Santander Global Banking & Markets, TD Securities, Scotia Capital, Banca IMI Allstate 05/11/09 -- $99.728 $700,000,000 190,000 0.02% 0.14% Goldman, Sachs & Barclays Corporation Co., Barclays Capital 7.450% due Capital, J.P. 5/16/2014 Morgan, Banc of America Securities LLC, Wachovia Securities, Morgan Stanley, Citi Microsoft 05/11/09 -- $99.950 $1,000,000,000 345,000 0.05% 0.25% J.P. Morgan, JP Morgan Corporation Morgan 4.200% due Stanley, Banc of 6/12/2019 America Securities LLC, Citi, Credit Suisse, UBS Investment Bank, Wachovia Securities, Barclays Capital, Goldman, Sachs & Co., BNP PARIBAS, Loop Capital Markets, LLC, Deutsche Bank Securities, RBS, BNY Mellon Capital Markets, LLC, Mizuho Securities USA Inc., CastleOak Securities,L.P., SOCIETE GENERALE, HSBC, U.S. Bancorp Investments, Inc. Simon 05/11/09 -- $98.960 $600,000,000 345,000 0.05% 0.125% Citi, Citigroup Property Deutsche Group LP Bank 6.750% due Securities, 5/15/2014 Goldman, Sachs & Co., UBS Investment Bank, CALYON, ING Wholesale, Mitsubishi UFJ Securities, RBC Capital Markets, Scotia Capital, U.S. Bancorp Investments, Inc. The Illinois 05/12/09 -- $100.00 $500,000,000.00 190,000 0.03% 0.14% Goldman, Goldman Sachs State Toll Sachs & Co., Highway J.P. Morgan, Authority Morgan 6.184$ due Stanley, 1/1/2034 Cabrera Capital Markets, LLC, Loop Capital Markets, LLC, Jackson Securities, Morgan Keegan & Company, Inc., Raymond James & Associates, Inc., RBC Capital Markets, Robert W. Baird & Co. Arcelormittal 05/13/09 -- $97.522 $1,500,000,000 470,000 0.03% 0.33% Citi, HSBC, Citigroup 9.850% due J.P. Morgan, 6/1/2019 Deutsche Bank Securities, Goldman, Sachs & Co., Morgan Stanley, Santander, Scotia Capital Principal 05/18/09 -- $100.00 $350,000,000 270,000.00 0.07% 0.20% Citi, Credit Citigroup Financial Suisse, Group Inc. Deutsche 8.875% due Bank 5/15/2019 Securities, Barclays Capital, Morgan Stanley, UBS Investment Bank, Wachovia Securities, RBS, The Williams Capital Group, L.P. State Street 05/19/09 -- $99.905 $500,000,000 195,000 0.03% 0.14% Goldman, Goldman Sachs Corporation Sachs & Co., 4.300% due Morgan 5/30/2014 Stanley, Credit Suisse, UBS Investment Bank, Banc of America Securities LLC MetLife Inc. 05/26/09 -- $99.763 $1,250,000,000 365,000 0.02% 0.26% Barclays Barclays 6.750% due Capital, UBS Capital 6/1/2016 Investment Bank, Wachovia Securities, ANZ Securities, BNY Mellon Capital Markets, LLC, Daiwa Securities America Inc., Goldman, Sachs & Co., J.P. Morgan, Mitsubishi UFJ Securities, Morgan Stanley, Scotia Capital, SOCIETE GENERALE, Standard Chartered Bank, UniCredit Capital Markets, Blaylock Robert Van, LLC, Cabrera Capital Markets,LLC, CastleOak Securities, L.P. Guzman & Company, Loop Capital Markets, LLC, Siebert Capital Markets, Ramirez & Co., Inc., SBK-Brooks Investment Corp., Toussaint Capital Partners, LLC, The Williams Capital Group, L.P. The 05/28/09 -- $99.560 $500,000,000.00 150,000 0.03% 0.11% Morgan Banc of Travelers Stanley, America Inc. 5.900% Banc of due 6/2/2019 America Securities LLC, Deutsche Bank Securities, Barclays Capital Prudential 06/02/09 -- $99.997 $750,000,000.00 975,000 0.09% 0.70% Goldman, Goldman Sachs Financial Sachs & Co., Inc. 7.375% Citigroup due 6/15/2019 Global Markets Inc., BNP PARIBAS Securities Corp., Credit Suisse Securities (USA) LLC, Mitsubishi UFJ Securities (USA) Inc., Loop Capital Markets,LLC, Muriel Diebert & Co., Inc. Samuel A. Ramirez & Bunge Ltd 06/04/09 -- $99.997 $600,000,000 285,000 0.04% 0.20% BNP PARIBAS, JP Morgan Finance Morgan Corp. 8.500% Stanley, J.P. due Morgan, RBS, 6/15/2019 BBVA Securities, HSBC, Mitsubishi UFJ Securities, Rabo Securities USA, Inc., CALYON, Citi, SOCIETE GENERALE, ING Wholesale, Standard Chartered Bank Express 06/04/09 -- $99.332 $500,000,000.00 295,000 0.04% 0.14% Citi, Credit CSFB Scripts Inc. Suisse, 6.250% due % CALYON, RBS, due 6/15/2014 Deutsche Bank Securities, Scotia Capital, Wachovia Securities, J.P. Morgan, Mitsubishi UFJ Securities, SunTrust Robinson Humphrey Fortune 06/09/09 -- $99.948 $5,000,000,000 500,000 0.01% 0.35% Barclays Barclays Brands Inc. Capital, Capital 6.375% due Credit Suisse, 6/15/2014 J.P. Morgan, RBS, Citi, Mitsubishi UFJ Securities, Mizuho Securities USA Inc., Wachovia Securities, BBVA Securities, BNP PARIBAS, BNY Mellon Capital Markets, LLC, CALYON, Deutsche Bank Securities, Loop Capital Markets, LLC, PNC Capital Markets LLC, U.S. Bancorp Investments, Inc. Rabo Securities USA, Inc., Deutsche Bank Securities CVS 06/10/09 -- $100.00 $478,800,000 770,000 0.16% 0.55% Barclays Barclays Pass-Through Capital, Banc Capital Trust 8.353% of America due 7/10/2031 Securities LLC, J.P. Morgan, Morgan Stanley, RBS Discover 07/10/09 -- $100.00 $400,000,000 425,000 0.10% 0.29% J.P. Morgan, JP Morgan Financial Barclays Capital, Services Goldman, Sachs & 10.250% due Co., Citi, Credit 7/15/2019 Suisse, Mitsubishi UFJ Securities, RBS, Deutsche Bank Securities, UBS Investment Bank Sealed Air 06/12/09 -- $97.837 $400,000,000.00 175,000 0.04% 0.12% Banc of America Banc of Corp. 7.875% Securities LLC, America due 6/15/2017 Citi, Credit Suisse, Morgan Stanley, RBS, CALYON, BNP PARIBAS Telecom 06/15/09 -- $100.00 $1,000,000,000.00 780,000 0.07% 0.55% BNP PARIBAS, Goldman Italia Deutsche Bank Sachs Capital SA Securities, 7.175% due Goldman, Sachs & 6/18/2019 Co., J.P. Morgan, Mitsubishi UFJ Securities, Morgan Stanley Time Warner 06/24/09 -- $97.131 $1,000,000,000.00 355,000 0.02% 0.24% Banc of America Banc of Cable Inc. Securities LLC, America due 6.750% BNP PARIBAS, Citi, due 6/15/2039 Mitsubishi UFJ Securities, Barclays Capital, Deutsche Bank Securities, Lloyds TSB Corporate Markets, RBS Greenwich Capital, Blaylock Robert Van, LLC, CALYON, Goldman, Sachs & Co., Mizuho Securities USA Inc., Scotia Capital, Mitsubishi UFJ Securities, Daiwa Securities America Inc., HSBC, Morgan Stanley, Wachovia Securities, Loop Capital Markets, LLC MetLife Inc. 06/30/09 -- $99.981 $500,000,000.00 560,000 0.11% 0.39% J.P. Morgan, BNP J P Morgan 10.750% due PAIRBAS, Deutsche 8/1/2039 Bank Securities, Raymond James, RBS, Blaylock Robert Van, LLC, Guzman & Company, Toussaint Capital Partners, LLC, Credit Suisse, Goldman, Sachs & Co., Cabrera Capital Markets, LLC, Ramirez & Co., Inc., The Williams Capital Group, L.P., Morgan Stanley, Daiwa Securities America Inc., HSBC, ING Wholesale, RBS, CastleOak Securities, L.P., Siebert Capital Markets Dolphin 07/23/09 -- $100.00 $1,250,000,000 485,000 0.03% 0.32% RBS, Abu Dhabi Greenwich Energy Ltd. Commercial Bank, Capital 5.88% due BNP PARIBAS, 6/15/2019 National Bank of Abu Dhabi 08/03/09 -- $99.920 $1,000,000,000.00 420,000 0.04% 0.28% Bofa Merrill Banc of International Lynch, BNP America Paper Co. PARIBAS, BBVA 7.500% due Securities, CALYON, 8/15/2021 Commerzbank Corporates & Markets, Daiwa Securities America Inc., Mitsubishi UFJ Securities USA Inc., Morgan Keegan & Company, Inc., Scotia Capital, SOCIETE GENERALE, Wells Fargo Securities, J.P. Morgan, UBS Investment Bank Blackstone 08/13/09 -- $99.247 $600,000,000.00 500,000 0.08% 0.33% Morgan Stanley, Banc of Holdings Barclays Capital, America Finance Co. Credit Suisse, BofA 6.625% due Merrill Lynch, 8/15/2019 Deutsche Bank Securities, Goldman, Sachs & Co., J.P. Morgan, Citi MeadWestvaco 08/17/09 -- $99.218 $250,000,000.00 575,000 0.05% 0.37% BofA Merrill Banc of Corp. 7.375% Lynch, America due 9/1/2019 Barclays Capital, Citi, UBS Investment Bank, Mitsubishi UFJ Securities, Wells Fargo Securities, Goldman, Sachs & Co., BNY Mellon Capital Markets, LLC RBS, SunTrust, Robinson Humphrey The Royal 08/18/09 -- $99.702 $2,000,000,000.00 765,000 0.03% 0.50% RBS, Banc of Greenwich Bank of America Capital Scotland PLC Securities 4.875% due LLC, Deutsche 8/25/2014 Bank Securities, Morgan Stanley, J.P. Morgan, Citi, Goldman, Sachs & Co., Wachovia Securities Watson 08/18/09 -- $99.796 $400,000,000.00 105,000 0.02% 0.07% BofA Merrill Banc of Pharmaceuticals Lynch, America Inc. 6.125% Barclays due 8/15/2019 Capital, Wells Fargo Securities, CIBC,,, Fortis Securities LLC, Mitsubishi UFJ Securities, Mizuho Securities USA Inc., Viacom Inc. 08/19/09 -- $99.247 $250,000,000.00 105,000 0.04% 0.07% Citi, Deutsche Deutsche 5.625% due Bank Securities 9/15/2019 Securities, RBS, Daiwa Securities America Inc., Mizuho Securities USA Inc., BNP PARIBAS, BNY Mellon Capital Markets, LLC, Mitsubishi UFJ Securities, Scotia Capital, Lloyds TSB Corporate Markets Avanlonbay 09/08/09 -- $99.896 $250,000,000.00 225,000 0.09% 0.15% Wells Fargo JP Morgan Communities Securities, LLC, Inc. 6.100% Banc of America due 3/15/2020 Securities LLC, Citigroup Global Markets Inc., J.P. Morgan Securities Inc., Morgan Stanley & Co. Incorporated Prudential 09/10/09 -- $99.7676 $900,000,000 965,000 0.10% 0.63% Banc of Barclays Financial Inc. America Capital 4.750% due Securities 9/17/2015 LLC, Barclays Capital Inc., Morgan Stanley & Co. Incorporated, BNP Paribas Securities Corp. Daiwa Securities America Inc., HSBC Securities (USA) Inc., RBS Securities Inc., Loop Capital Markets LLC, Muriel Siebert & Co., Inc., Samuel A. Ramirez & Company, Inc., The Williams Capital Group, L.P. CenturyTel 09/14/09 -- $99.891 $250,000,000 130,000 0.05% 0.08% BofA Banc of Inc. 6.150% Merrill America due 9/15/2019 Lynch, Barclays Capital, J.P. Morgan, Wells Fargo Securities, Mitsubishi UFJ Securities, Morgan Stanley, SunTrust, Robinson Humphrey, Deutsche Bank Securities, Morgan Keegan & Company, Inc., U.S. Bancorp Investments, Inc. Cenovus 09/15/09 -- $99.933 $1,300,000,000 590,000 0.04% 0.38% Barclays Banc of Energy Inc. Capital, America 5.700% due BMO 10/15/2019 Capital Markets, BofA Merrill Lynch, CIBC, Scotia Capital, RBC Capital Markets, TD Securities, RBS, BMO Capital Markets, Credit Suisse, Deutsche Bank Securities, Morgan Stanley Newmont 09/15/09 -- $98.808 $1,100,000,000 $1,440,000 0.13% 0.92% Deutsche Deutsche Bank Mining Corp. Bank 6.250% due Securities, 10/01/2039 UBS Investment Bank, Citi, Daiwa Securities America Inc., HSBC, J.P. Morgan, RBS, Scotia Capital, ANZ Securities, BNP PARIBAS, Mizuho Securities USA Inc., BNY Mellon Capital Markets, LLC, BBVA Securities, CIBC, SOCIETE GENERALE, BMO Capital Markets, Mitsubishi UFJ Securities, RBC Capital Markets, U.S. Bancorp Investments, Inc. Exelon 09/16/09 -- $98.863 $900,000,000 675,000 0.07% 0.44% Barclays Barclays Gerneration Capital, Capital Co. 6.250% Credit due 10/01/2039 Suisse, J.P. Morgan, Goldman, Sachs & Co., Loop Capital Markets, LLC, Morgan Stanley, UBS Investment Bank, The Williams Capital Group, L.P. Potash 09/23/09 -- $99.109 $500,000,000 300,000 0.00% 0.19% BofA Banc of Corporation of Merrill America Saskatchewan Lynch, 4.875% due HSBC, 3/30/2020 RBC Capital Markets, Scotia Capital, BMO Capital Markets, CIBC, Rabo Securities USA, Inc., TD Securities, UBCS Investment Bank, Mitsubishi UFJ Securities, SOCIETE GENERALE, Comerica Securities, Goldman, Sachs & Co., Morgan Stanley Entergy Gulf 09/29/09 -- $99.920 $300,000,000 300,000 0.10% 0.19% Barclays Barclays States Capital, Capital Louisiana CALYON, 5.590% due Mizuho 10/01/2024 Securities USA Inc., BNY Mellon Capital Markets, LLC, Mitsubishi UFJ Securities, Blaylock Robert Van, LLC, The Williams Capital Group, L.P. L-3 09/29/09 -- $99.642 $1,000,000,000 165,000 0.01% 0.10% BofA Banc of Communications Merrill America Corp. 5.200% Lynch, due 10/15/2019 Deutsche Bank Securities, SunTrust, Robinson Humphrey, Wells Fargo Securities, Barclays Capital, CALYON, Scotia Capital, ANZ Securities, Mitsubishi UFJ Securities, RBS, SOCIETE GENERALE, BNY Mellon Capital Markets, LLC