EX-99.77O RULE 10F-3 4 tenfthree.txt 10F-3 MORGAN STANLEY INCOME SECURITIES INC. ITEM 77(O) 10F-3 TRANSACTIONS APRIL 1, 2010 - SEPTEMBER 30, 2010
SECURITY PURCHASE/ SIZE OF OFFERING TOTAL AMOUNT OF % OF % OF PURCHASED TRADE DATE OFFERING PRICE OF AMOUNT OF SHARES OFFERING FUNDS BROKERS PURCHASED FROM SHARES OFFERING PURCHASED PURCHASED TOTAL BY FUND BY FUND ASSETS ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- Credit Southern Suisse, Copper Corp Goldman 5.375% Due Sachs & Co, 4/16/2020 04/13/10 - $99.481 $400,000,000.00 165,000.00 0.04% 0.10% Morgan Credit Suisse Stanley, Securities BBVA Securities BofA Merrill Lynch ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- Wells Fargo Securities, Credit Suisse, Deutsche Biomed Realty Bank Lp 6.125% due Securities, 4/15/2020 04/22/10 - $98.977 $250,000,000.00 160,000.00 0.06% 0.10% KeyBanc Wachovia Capital Securities Markets, Morgan Stanley, Raymond James, RBC Capital Markets, RBS, UBS Investment Bank, US Bancorp ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- Goldman, Sachs & Co., J.P. Morgan, Morgan Stanley, BofA Merrill Lynch, Citi, Barclays Capital, NBC Universal BNP Inc. 5.150% Paribas, due 4/30/2020 Credit 04/27/10 - $99.845 $2,000,000,000.00 440,000.00 0.02% 0.28% Suisse, JP Morgan Deutsche Bank Securities, Mitsubishi UFJ Securities, RBS, UBS Investment Bank, Mitsubishi UFJ Securities, Wells Fargo Securities, Blaylock Robert Van, LLC, CastleOak Securities, L.P., Loop Capital Markets, LLC, Ramirez & Co., Inc., The Williams Capital Group, L.P. ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- Citi, J.P. Morgan, BofA Merrill Lynch, Credit Suisse, RBS, Barclays Discovery Capital, Communications BNP LLC 5.050% due 05/26/10 - $99.675 $1,300,000,000.00 385,000.00 0.03% 0.25% Paribas, JP Morgan 6/1/2020 Credit Securities, Agricole Inc. CIB, Goldman, Sachs & Co., Morgan Stanley, RBC Capital Markets, Scotia Capital, SunTrust Robinson Humphrey, Wells Fargo Securities ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- BofA Merrill Lynch, J.P. Morgan, HSBC Securities Pall corp. (USA), 5.000% due Wells Fargo Banc of 6/15/2020 06/15/10 - $99.465 $375,000,000.00 295,000.00 0.08% 0.19% Securities, America Daiwa Securities Capital Markets America, Mitsubishi UFJ Securities (USA), ANZ Securities, Banca IMI, BNP Paribas, Commerzbank, ING ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- Citi, J.P. Morgan, Wells Fargo Securities, BNY Mellon Capital Markets, LLC, Mitsubishi Prudential UFJ JP Morgan Financial Inc. Securities, 5.375% due Nikko Bank 6/21/2020 06/16/10 - $99.390 $650,000,000.00 230,000.00 0.03% 0.15% (Luxembourg) S.A., Cabrera Capital Markets, LLC, Loop Capital Markets, Siebert Capital Markets ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- Citi, BofA Digital Realty Merrill Trust LP Lynch, 4.500% due 06/30/10 - $99.697 $375,000,000.00 455,000.00 0.12% 0.29% Credit Credit Suisse 7/15/2015 Suisse, Securities Morgan Stanley, Deutsche Bank Securities, J.P. Morgan, RBS ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- Barclays LaFarge SA Capital, 5.500% due J.P. 7/9/2015 07/06/10 - $99.914 $550,000,000.00 775,000.00 0.14% 0.49% Morgan, Barclays Deutsche Capital Bank Securities, Mitsubishi UFJ Securities, Mizuho Securities USA Inc., RBS, UBS Investment Bank ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- Barclays Capital, Citi, J.P. Morgan, Wells Fargo Securities, BofA Merrill Lynch, BNP Paribas, Deutsche Bank Securities, Goldman, Sachs & Co., Morgan Time Warner Stanley, Inc. 4.700% RBS, BNY J.P. Morgan due 1/15/2021 Mellon Securities, 07/07/10 - $99.762 1,000,000,000.00 180,000.00 0.02% 0.11% Capital Inc. Markets, LLC, Credit Agricole CIB, Credit Suisse, Daiwa Capital Markets, Hadnelsbanken Capital Markets, Lloyds TSB Corporate Markets, Mitsubishi UFJ Securities, Mizuho Securities USA Inc., Ramirez & co., Inc., Santander, Scotia Capital, The Williams Capital Group, L.P., UBS Investment Bank ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- BofA Merrill Lynch, J.P. Expedia Inc. Morgan, 5.950% due 08/02/10 - $99.893 $750,000,000.00 375,000.00 0.05% 0.23% Barclays J.P. Morgan 8/15/2020 Capital, Securities, BNP Inc. Paribas, RBS, Daiwa Capital Markets, Mitsubishi UFJ Securities, Mizuho Securities USA Inc., US Bancorp ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- J.P. Omnicom Group Morgan, Inc. 4.450% BofA due 8/15/2020 Merrill 08/02/10 - $99.654 $1,000,000,000.00 280,000.00 0.03% 0.17% Lynch, J.P. Morgan Citi, Securities, Deutsche Inc. Bank Securities, HSBC, Barclays Capital, Wells Fargo Securities, BNP Paribas, Morgan Stanley, Societe Generale, UBS Investment Bank, ANZ Securities, Banca IMI, BBVA Securities, RBS ---------------- ---------- --------------- --------- ---------------- ------------- ----------------- ------------- --------------- Citi, J.P. Morgan, Credit Suisse, Goldman, Sachs & Co., BofA Merrill Lynch, Barclays DirecTV Capital, Holdings LLC Mitsubishi 4.600% due UFJ J.P. Morgan 2/15/2021 08/10/10 - $99.934 $1,000,000,000.00 1,305,000.00 0.13% 0.80% Securities, Securities, Morgan Inc. Stanley, UBS Investment Bank, Credit Agricole CIB, HSBO, ING Wholesale, Lloyds TSB Corporate Markets, Mizuho Securities USA Inc., RBS, U.S. Bancorp ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- Deutsche Bank QEP Resources Securities, Inc. 6.875% BofA due 3/1/2021 Merrill 08/11/10 - $99.074 $625,000,000.00 275,000.00 0.04% 0.17% Lynch, BMO Deutsche Bank Capital Securities Markets, J.P. Morgan, Wells Fargo Securities, SunTrust Robinson Humphrey, U.S. Bancorp, Mitsubishi UFJ Securities, BBVA Securities, RBS, TD Securities, Societe Generale, Goldman, Sachs & Co. ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- BofA Merrill Ingram Micro Lynch, Inc. 5.250% Morgan Banc of due 9/1/2017 08/16/10 - $99.998 $300,000,000.00 505,000.00 0.17% 0.31% Stanley, America BNP Securities Paribas, Mizuho Securities USA Inc., Raymond James, RBS, Scotia Capital, UBS Investment Bank ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- BRE Properties 9/15/2010 $300,000,000 $99.809 $300,000,000 325,000 0.108% 0.20% Deutsche Bank Greenwich Inc. Sec., Capital 5.200% due JPMorgan, 3/15/2021 Mitsubishi UFJ, RBS, UBS ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- Wyndham World 9/15/2010 $250,000,000 $99.949 $250,000,000 250,000 0.100% 0.15% Bank of JP Morgan Corp. 5.750% America, Securities due 2/1/2018 Deutsche Bank, JPMorgan, RBS Mitsubishi UFJ ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- Weatherford Intl 9/16/2010 1,400,000,000 $99.862 $800,000,000 1,150,000 0.144% 0.71% Deutsche Deutsche Bank Limited Bank, Securities 5.125% due Morgan 9/15/2020 Stanley, UBS ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- DCP Midstream 9/23/2010 $250,000,000 $99.922 $250,000,000 900,000 0.36% 0.54% Morgan Wachovia Operating LP Stanley, Securities 3.250% due Wells 10/1/2015 Fargo, Barclays Capital, Citi, Credit Suisse, RBS, SunTrust Robinson Humphrey ---------------- ---------- --------------- --------- ----------------- ------------- -------- ------- ------------- --------------- NBC Universal 9/27/2010 $5,100,000,000 $99.975 2,000,000,000 865,000 0.043% 0.52% Goldman JP Morgan Inc. Sachs, BofA 4.375% due Merrill 4/1/2021 Lynch, JPMorgan, Morgan Stanley, Citi