EX-99.77O RULE 10F-3 3 tenf-3.txt 10F-3 TABLE MORGAN STANLEY INCOME SECURITIES INC. ITEM 77(O) 10F-3 TRANSACTIONS OCTOBER 1, 2009 - MARCH 31, 2010 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 ---------------- ---------- -------- --------- -------------------- ---------- --------- ------ ------------------- ---------------- Boston 10/06/09 -- $99.931 $700,000,000 675,000 0.09% 0.43% BofA Merrill Banc of America Properties LP Lynch, Citi, 5.875% due deutsche Bank 10/15/2019 Securities, BNY Mellon Capital Markets LLC, Wells Fargo Securities, Capital One Southcoast, Commerzbank Corporates & Markets, Mitsubishi UFJ Securities, PNC Capital Markets LLC, RBS, Scotia Capital, SunTrust Robinson Humphrey, TD Securities, U.S. Bancorp Investments Inc. Amphenol Corp 10/29/09 -- $99.813 $600,000,000.00 165,000 0.02% 0.11% BofA Merrill Banc of America 4.750% due Lynch, Deutsche 11/15/2014 Bank Securities, J.P. Morgan, wells Fargo Securities, Mitsubishi UFJ Securities, Mizuho Securities USA Inc., RBS, TD Securities CA Inc. 5.375% 11/09/09 -- $99.162 $750,000,000.00 290,000 0.03% 0.18% BofA Merrill JP Morgan due 12/1/2019 Lynch, J.P. Morgan, Citi, Deutsche Bank Securities, Morgan Stanley, Barclays Capital, BNP PARIBAS, Goldman Sachs & Co., HSBC, KeyBanc, Capital Markets, Mizuho Securities USA Inc., RBS, Scotia Capital, U.S. Bancorp Investments, Inc., Wells Fargo Securities Waste Management 11/12/09 -- $99.466 $600,000,000.00 315,000 0.05% 0.20% BNP PARIBAS, J.P. JP Morgan Inc. 6.125% due Morgan, Scotia 11/30/2039 Capital, Wells Fargo Securities, CALYON, Citi, Comerica Securities, Daiwa Securities America Inc., Goldman, Sachs & Co., Mitsubishi UFJ Securities, Mizuho Securities USA Inc., Morgan Keegan & Company, Inc. SunTrust Robinson Humphrey, U.S. Bancorp Investments, Inc. American Energy 11/12/09 -- $99.746 $250,000,000.00 280,000 0.11% 0.18% Barclays Capital, Barclays Capital Generating Co. Morgan Stanley, 6.300% due RBS, Scotia 4/1/2020 Capital, Fifth Third Securities, KeyBanc Capital Markets, Loop Capital Markets, Morgan Keegan & Company, Inc. AEGON NV Note 11/23/09 -- $99.740 $500,000,000.00 475,000 0.09% 0.30% Citi, Morgan Wachovia 4.625% due Stanley, Wells Securities 12/1/2015 Fargo Securities, ING Wholesale, HSBC, Rabo Securities USA, Inc. NiSource Finance 12/01/09 -- $99.569 $500,000,000.00 425,000 0.08% 0.02% Credit Suisse, Credit Suisse Corp 6.125% due Morgan Stanley, 3/31/2022 UBS Investment Bank, BofA Merrill Lynch, Citi, J.P. Morgan, Wells Fargo Securities, Loop Capital Markets, LLC, Mitsubishi UFJ Securities, PNC Capital Markets LLC, U.S. Bancorp Investments, Inc. Hess Corp 6.000% 12/09/09 -- $99.234 $750,000,000.00 200,000 0.02% 0.13% Goldman Sachs & JP Morgan due 1/15/2040 Co., J.P. Morgan, Morgan Stanley Boston 12/10/09 -- $99.031 $850,000,000 355,000 0.00% 0.11% BofA Merrill JP Morgan Scientific Corp Lynch, Deutsche Note 6.00% due Bank Securities, 1/15/2020 J.P. Morgan, Barclays Capital, BNP PARIBAS, RBS, Daiwa Securities America Inc., Mitsubishi UFJ Securities, Mizuho Securities USA Inc., Wells Fargo Securities, BBVA Securities, BNY Mellon Capital Markets, LLC, RBC Capital Markets, Scotia Capital, ING Wholesale, Allied Irish Banks, Corporate Banking, Standard Chartered Bank Teacher's 12/11/09 -- $99.873 $2,000,000,000.00 350,000 0.01% 0.23% Deutsche Bank Goldman Sachs Insurance and Securities, Annuity Goldman, Sachs & Association of Co., J.P. Morgan, America 6.850% Morgan Stanley, due 12/16/2039 Citi, Credit Suisse, RBS, Wells Fargo Securities, The Williams Capital Group, L.P. Motiva 01/06/10 -- $99.804 $1,000,00,000,000.00 210,000 0.02% 0.13% Credit Suisse, J.P. Credit Suisse Enterprises LLC Morgan, Citi, Securities 5.750% due Calyon, RBS, (USA) LLC 1/15/2020 Mitsubishi UFJ Securities, SunTrust Robinson Humphrey CMS Energy Corp. 01/11/10 -- $99.436 $300,000,000.00 175,000 0.05% 0.11% J.P. Morgan, BNP J.P. Morgan 6.250% due PARIBAS, RBS, wells 2/1/2020 Fargo Securities, Scotia Capital, Comerica Securities, Goldman, Sachs & Co.,, KeyBanc Capital Markets, Mitsubishi UFJ Securities, Fifth Third Securities, Inc., The Williams Capital Group, L.P. Simon Property 01/19/10 -- $99.621 $1,250,00,000,000.00 255,000 0.02% 0.16% Citi, Morgan Barclays Group LP 5.650% Stanley, RBS, Capital, Inc. due 2/1/2020 Barclays Capital, CALYON, Fifth Third Securities, Inc., Morgan Keegan & Company Inc., RBC capital Markets, Scotia Capital, SunTrust Robinson Humphrey Adobe Systems 01/25/10 -- $99.387 $900,000,000.00 430,000 0.04% 0.27% BofA Merrill Lynch, Banc of America Inc. 4.750% due J.P. Morgan, Citi, 2/1/2020 Morgan Stanley, Wells Fargo Securities, BNP PARIBAS, Credit Suisse, Daiwa Securities America Inc., Mitsubishi UFJ Securities, RBS Korea 02/03/10 -- $99.724 $750,000,000.00 405,000 0.05 0.25% BNP Paribas Banc of America Development Bank Securities Corp., 4.375% due Daewoo Securities 8/10/2015 Co., Ltd, The Hongkong and Shanghai Banking Corporation Limited, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. International pld Valero Energy 02/03/10 -- $99.369 $850,000,000.00 1,100,000 0.12% 0.69% Barclays Capital, JP Morgan Corp. 6.125% due BofA Merrill Lynch, 2/1/2020 Citi, Credit Suisse, J.P. Morgan, BNP Paribas, Calyon, Daiwa Securities America Inc., Mitsubishi UFJ Securities, Mizuho Securities USA Inc., Morgan Stanley, RBC Capital Markets, RBS, Scotia Capital, SunTrust Robinson Humphrey, UBS Investment Bank, Wells Fargo Securities Pacific LifeCorp 02/04/10 -- $99.303 $450,000,000.00 525,000 0.11% 0.33% BofA Merrill Lynch, UBS Warburg 6.000% due J.P. Morgan, UBS 2/10/2020 Investment Bank, Barclays Capital, BNP PARIBAS, BNY Mellon Capital Markets, LLC, CALYON, Citi, Commerzbank Corporates & Markets, Deutsche Bank Securities, HSBC, Mitsubishi UFJ Securities, PNC Capital Markets LLC, RBS, SOCIETE GENERALE, The Williams Capital Group, L.P., U.S. Bancorp Investments, Inc., Wells Fargo Securities, Life 02/11/10 -- $99.796 $750,000,000.00 440,000 0.05% 0.28% BofA Merrill Lynch, Banc of America Technologies Goldman, Sachs & Corp. 6.000% due Co., J.P. Morgan, 3/1/2020 DnB NOR, Mizuho Securities USA, Markets, Scotia Capital BNP PARIBAS Inc., Morgan Stanley, RBS Nationwide 02/18/10 -- $99.765 $800,000,000.00 1,600,000 0.20% 1.02% Barclays Capital Banc of America Building Society Inc., Banc of 6.250% due America Securities 2/25/2020 LLC, Morgan Stanley & Co. Incorporated Nomura Holdings 02/25/10 -- $99.791 $1,500,000,000.00 280,000 0.02% 0.18% Nomura Securities, Nomura Inc. 6.700% due BofA Merrill Lynch, Securities 3/4/2020 Citi, Deutsche Bank Securities, HSBC, J.P. Morgan, Mitsubishi UFJ Securities, UBS Investment Bank, Wells Fargo Securities QVC Inc. 7.125% 03/17/10 -- $100.000 $500,000,000.00 40,000 0.01% 0.03% J.P. Morgan, JP Morgan due 4/15/2017 Barclays Capital, wells Fargo Securities, BofA Merrill Lynch, Citi, Credit Agricole CIB, Morgan Stanley, RBS, Scotia Capital, BNP Paribas, Daiwa Securities America Inc., Mizuho Securities USA Inc., SunTrust Robinson Humphrey, UBS Investment Bank Vornado Realty 03/23/10 -- $99.834 $500,000,000.00 400,000 0.08% 0.25% BofA Merrill Lynch, UBS Securities Trust 4.250% due Citi, J.P. Morgan, 4/1/2015 UBS Investment Bank, Deutsche Bank Securities, Goldman, Sachs & Co., Morgan Stanley, RBS, Wells Fargo Securities, BNY Mellon Capital Markets, LLC, Daiwa Securities America Ind., PNC Capital Markets LLC,RBC Capital Markets, U.S. Bancorp Investments, Inc. LBI Escrow Corp. 03/24/10 -- $100.000 $2,250,000,000.00 145,000 0.01% 0.09% BofA Merrill Lynch, Banc of America 8.000% due UBS Investment 11/1/2017 Bank, Barclays Capital, Citi, Credit Suisse, Deutsche Bank Securities, J.P. Morgan, Morgan Stanley, Wells Fargo Securities Duke Realty LP 03/25/10 -- $99.983 $250,000,000.00 245,000 0.10% 0.16% Morgan Stanley, Wachovia 6.750% due Wells Fargo Securities 3/15/2020 Securities, Barclays Capital, Credit Suisse, Morgan Keegan & Company, Inc., Scotia Capital, SunTrust Robinson Humphrey New 03/26/10 -- $100.000 $1,100,000,000.00 50,000 0.00% 0.03% J.P. Morgan, Credit JP Morgan Communications Suisse, BofA Holdings 8.50% Merrill Lynch, due 4/15/2020 Barclays Capital, Citi, Deutsche Bank Securities, Morgan Stanley, RBS