EX-99.77O RULE 10F-3 2 tenf3incomesecurities.txt INCOME SECURITIES 10F-3 Morgan Stanley Income Securities Inc. Item 77O- Transactions effected pursuant to Rule 10f-3 Securities Purchased: Celgene Corp. 3.950% due 10/15/2020 Purchase/Trade Date: 10/4/2010 Offering Price of Shares: $99.745 Total Amount of Offering: $500,000,000 Amount Purchased by Fund: $286,000 Percentage of Offering Purchased by Fund: 0.057 Percentage of Funds Total Assets: 0.17 Brokers: Citi, JPMorgan, Morgan Stanley Purchased from: JPMorgan ------------------------------------------------------------------- ------------------------ Securities Purchased: UIL Holdings Corp. 4.625% due 10/1/2010 Purchase/Trade Date: 10/4/2010 Offering Price of Shares: $99.204 Total Amount of Offering: $450,000,000 Amount Purchased by Fund: $825,000 Percentage of Offering Purchased by Fund: 0.183 Percentage of Funds Total Assets: 0.49 Brokers: Morgan Stanley, JPMorgan, BofA Merrill Lynch, Goldman Sachs, Mitsubishi UFJ Purchased from: Banc of America -------------------------------------------------------------------- -------------------------- Securities Purchased: Georgia-Pacific LLC 5.400% due 11/1/2020 Purchase/Trade Date: 10/27/2010 Offering Price of Shares: $99.413 Total Amount of Offering: $1,250,000,000 Amount Purchased by Fund: $170,000 Percentage of Offering Purchased by Fund: 0.014 Percentage of Funds Total Assets: 0.10 Brokers: Deutsche Bank Securities, JPMorgan, BofA Merrill Lynch, Credit Suisse, RBS, Mitsubishi UFJ Securities Purchased from: JPMorgan --------------------------------------------------------------------- ---------------------------- Securities Purchased: Kilroy Realty LP 5.00% due 11/3/2015 Purchase/Trade Date: 10/27/2010 Offering Price of Shares: $99.939 Total Amount of Offering: $325,000,000 Amount Purchased by Fund: $450,000 Percentage of Offering Purchased by Fund: 0.138 Percentage of Funds Total Assets: 0.27 Brokers: Barclays Capital, BofA Merrill Lynch, JPMorgan, Mitsubishi UFJ Securities Purchased from: Barclays Capital --------------------------------------------------------------------- ------------------------------ Securities Purchased: Arrow Electronics Inc. 5.125% due 3/1/2021 Purchase/Trade Date: 10/29/2010 Offering Price of Shares: $99.674 Total Amount of Offering: $250,000,000 Amount Purchased by Fund: $215,000 Percentage of Offering Purchased by Fund: 0.086 Percentage of Funds Total Assets: 0.13 Brokers: BofA Merrill Lynch, JPMorgan, Morgan Stanley Purchased from: Banc of America ---------------------------------------------------------------------- ------------------------------ Securities Purchased: Stanley Black & Decker Inc. PFD 4.250% due 11/17/2015 Purchase/Trade Date: 11/1/2010 Offering Price of Shares: $100.00 Total Amount of Offering: $5,500,000 Amount Purchased by Fund: $1,400 Percentage of Offering Purchased by Fund: 0.025 Percentage of Funds Total Assets: 0.09 Brokers: BofA Merrill Lynch, Citi, JPMorgan, Morgan Stanley Purchased from: Merrill Lynch ---------------------------------------------------------------------- ------------------------------- Securities Purchased: NCUA Guaranteed Notes 2010 C1 A2 2.900% due 10/29/2020 Purchase/Trade Date: 11/3/2010 Offering Price of Shares: $99.745 Total Amount of Offering: $1,360,800,000 Amount Purchased by Fund: $1,200,000 Percentage of Offering Purchased by Fund: 0.088 Percentage of Funds Total Assets: 1.39 Brokers: BofA Merrill Lynch, Credit Suisse Securities (USA) LLC, Morgan Stanley, CastleOak Securities, LP, CU Investment Solutions Inc., Sandgrain Investment Securities Inc. Purchased from: Barclays Capital Inc. ---------------------------------------------------------------------- --------------------------------- Securities Purchased: NCUA Guaranteed Notes 2010 C1 APT 2.650% due 10/29/2020 Purchase/Trade Date: 11/3/2010 Offering Price of Shares: $99.802 Total Amount of Offering: $1,786,000,000 Amount Purchased by Fund: $900,000 Percentage of Offering Purchased by Fund: 0.050 Percentage of Funds Total Assets: 1.05 Brokers: BofA Merrill Lynch, Credit Suisse Securities (USA) LLC, Morgan Stanley, CastleOak Securities, LP, CU Investment Solutions Inc., Sandgrain Investment Securities Inc. Purchased from: Barclays Capital Inc. ---------------------------------------------------------------------- -------------------------------- Securities Purchased: Dow Chemical Co. 4.250% due 11/15/2020 Purchase/Trade Date: 11/4/2010 Offering Price of Shares: $99.725 Total Amount of Offering: $1,750,000,000 Amount Purchased by Fund: $545,000 Percentage of Offering Purchased by Fund: 0.031 Percentage of Funds Total Assets: 0.33 Brokers: Barclays Capital, BNP Paribas, Deutsche Bank Securities, Mitsubishi UFJ Securities Purchased from: Barclays Capital ----------------------------------------------------------------------- ------------------------------- Securities Purchased: American International Group 6.40% due 12/15/2020 Purchase/Trade Date: 11/30/2010 Offering Price of Shares: $99.741 Total Amount of Offering: $1,500,000,000 Amount Purchased by Fund: $380,000 Percentage of Offering Purchased by Fund: 0.025 Percentage of Funds Total Assets: 0.23 Brokers: BofA Merrill Lynch, Barclays Capital, Citi, Morgan Stanley Purchased from: Banc of America ----------------------------------------------------------------------- --------------------------------- Securities Purchased: American Tower Corp. 4.500% due 1/15/2018 Purchase/Trade Date: 12/2/2010 Offering Price of Shares: $99.921 Total Amount of Offering: $1,000,000,000 Amount Purchased by Fund: $1,250,000 Percentage of Offering Purchased by Fund: 0.125 Percentage of Funds Total Assets: 0.77 Brokers: Citi, Credit Suisse, Deutsche Bank Securities, JPMorgan, Morgan Stanley, RBC Capital Markets, TD Securities, BNP Paribas, Credit Agricole CIB, Mitsubishi UFJ Securities, Mizuho Securities USA Inc. Purchased from: Credit Suisse ------------------------------------------------------------------------ ---------------------------------- Securities Purchased: Albermarle Corp. 4.500% due 12/15/2020 Purchase/Trade Date: 12/7/2010 Offering Price of Shares: $99.101 Total Amount of Offering: $350,000,000 Amount Purchased by Fund: $285,000 Percentage of Offering Purchased by Fund: 0.081 Percentage of Funds Total Assets: 0.17 Brokers: BofA Merrill Lynch, JPMorgan, UBS Investment Bank, BNP Paribas, Wells Fargo Securities, BNY Mellon Capital Markets, HSBC, Mitsubishi UFJ Securities, RBS, SMBC Nikko, SunTrust Robinson Humphrey Purchased from: Banc of America ------------------------------------------------------------------------ --------------------------------- Securities Purchased: Saic Inc. 4.450% due 12/1/2020 Purchase/Trade Date: 12/13/2010 Offering Price of Shares: $99.637 Total Amount of Offering: $450,000,000 Amount Purchased by Fund: $215,000 Percentage of Offering Purchased by Fund: 0.048 Percentage of Funds Total Assets: 0.13 Brokers: BofA Merrill Lynch, Citi, Morgan Stanley, BNY Mellon Capital Markets LLC, Scotia Capital, RBS, US Bancorp, Wells Fargo Securities, Societe Generale, UBS Investment Bank Purchased from: Banc of America ------------------------------------------------------------------------ --------------------------------- Securities Purchased: First Horizon National Corp. 5.375% due 12/15/2015 Purchase/Trade Date: 12/15/2010 Offering Price of Shares: $99.669 Total Amount of Offering: $500,000,000 Amount Purchased by Fund: $270,000 Percentage of Offering Purchased by Fund: 0.054 Percentage of Funds Total Assets: 0.17 Brokers: Goldman Sachs, JPMorgan Securities LLC, Morgan Stanley & Co. Incorporated, FTN Financial Securities Corp., Deutsche Bank Securities Inc., RBC Capital Markets, LLC and UBS Securities LLC Purchased from: Goldman Sachs ------------------------------------------------------------------------ --------------------------------- Securities Purchased: Huntington BancShares Inc. 7.00% due 12/15/2020 Purchase/Trade Date: 12/15/2010 Offering Price of Shares: $100.000 Total Amount of Offering: $300,000,000 Amount Purchased by Fund: $280,000 Percentage of Offering Purchased by Fund: 0.093 Percentage of Funds Total Assets: 0.18 Brokers: Goldman Sachs, Morgan Stanley, Sandler O'Neill & Partners, LP and Barclays Capital Purchased from: Goldman Sachs ------------------------------------------------------------------------ ---------------------------------- Securities Purchased: Allegheny Technologies Inc. 5.950% due 1/15/2021 Purchase/Trade Date: 1/4/2011 Offering Price of Shares: $99.886 Total Amount of Offering: $500,000,000 Amount Purchased by Fund: $200,000 Percentage of Offering Purchased by Fund: 0.040 Percentage of Funds Total Assets: 0.12 Brokers: JPMorgan, Citi, Morgan Stanley, BofA Merrill Lynch, BNY Mellon Capital Markets, LLC, Credit Suisse, HSBC, PNC Capital Markets LLC, Wells Fargo Securities Purchased from: JPMorgan ------------------------------------------------------------------------- ------------------------------ Securities Purchased: Enterprise Products Operating 5.950% due 2/1/2041 Purchase/Trade Date: 1/4/2011 Offering Price of Shares: $99.317 Total Amount of Offering: $750,000,000 Amount Purchased by Fund: $1,400,000 Percentage of Offering Purchased by Fund: 0.187 Percentage of Funds Total Assets: 0.86 Brokers: JPMorgan, BNP Paribas, Deutsche Bank Securities, DnB NOR Markets, RBS, Scotia Capital Purchased from: JPMorgan ------------------------------------------------------------------------- ------------------------------- Securities Purchased: Chevron Phillips Chemical Co. 4.750% due 2/1/2021 Purchase/Trade Date: 1/13/2011 Offering Price of Shares: $99.502 Total Amount of Offering: $300,000,000 Amount Purchased by Fund: $175,000 Percentage of Offering Purchased by Fund: 0.058 Percentage of Funds Total Assets: 0.11 Brokers: JPMorgan, RBS, Mitsubishi UFJ Securities, Standard Chartered Bank, DnB NOR Markets, ING, Scotia Capital, SMBC Nikko Purchased from: Greenwich Capital ------------------------------------------------------------------------- -------------------------------- Securities Purchased: HCP Inc. 5.375% due 2/1/2021 Purchase/Trade Date: 1/19/2011 Offering Price of Shares: $99.479 Total Amount of Offering: $1,200,000,000 Amount Purchased by Fund: $325,000 Percentage of Offering Purchased by Fund: 0.027 Percentage of Funds Total Assets: 0.20 Brokers: BofA Merrill Lynch, UBS Investment Bank, Wells Fargo Securities, Citi, JPMorgan, Barclays Capital, Credit Agricole CIB, Credit Suisse, Deutsche Bank Securities, Goldman, Sachs & Co., Morgan Stanley, BNY Mellon Capital Markets, LLC, KeyBanc Capital Markets, PNC Capital Markets LLC, RBS, Scotia Capital, SunTrust Robinson Humphrey, US Bancorp, Moelis & Company Purchased from: UBS Warburg ------------------------------------------------------------------------- ----------------------------------- Securities Purchased: ABN Amro Bank NV 3.000% due 1/31/2014 Purchase/Trade Date: 1/27/2011 Offering Price of Shares: $99.917 Total Amount of Offering: $1,000,000,000 Amount Purchased by Fund: $485,000 Percentage of Offering Purchased by Fund: 0.049 Percentage of Funds Total Assets: 0.30 Brokers: Barclays Capital Inc., Citigroup Global Markets Inc., Goldman, Sachs & Co., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Morgan Stanley & Co. Incorporated Purchased from: Banc of America ------------------------------------------------------------------------- ------------------------------ Securities Purchased: Marathon Petroleum Corp. 5.125% due 3/1/2021 Purchase/Trade Date: 1/27/2011 Offering Price of Shares: $99.947 Total Amount of Offering: $1,000,000,000 Amount Purchased by Fund: $170,000 Percentage of Offering Purchased by Fund: 0.017 Percentage of Funds Total Assets: 0.11 Brokers: Morgan Stanley, BofA Merrill Lynch, Citi, JPMorgan, RBS, BNP Paribas, Deutsche Bank Securities, DnB NOR Markets, Fifth Third Securities, Inc., Mitsubishi UFJ Securities, PNC Capital Markets LLC, Scotia Capital, Societe Generale, SMBC Nikko, US Bancorp, BBVA Securities, Comerica Securities, The Williams Capital Growth, L.P. Purchased from: JPMorgan ------------------------------------------------------------------------ ------------------------------ Securities Purchased: Ford Motor Credit Co. LLC 5.75% due 2/1/2021 Purchase/Trade Date: 2/2/2011 Offering Price of Shares: $100.000 Total Amount of Offering: $1,250,000,000 Amount Purchased by Fund: $455,000 Percentage of Offering Purchased by Fund: 0.036 Percentage of Funds Total Assets: 0.28 Brokers: BofA Merrill Lynch, Deutsche bank Securities, JPMorgan, Morgan Stanley Purchased from: Deutsche Securities ------------------------------------------------------------------------ ------------------------------ Securities Purchased: L-3 Communications Corp. 4.95% due 2/15/2021 Purchase/Trade Date: 2/2/2011 Offering Price of Shares: $99.429 Total Amount of Offering: $650,000,000 Amount Purchased by Fund: $435,000 Percentage of Offering Purchased by Fund: 0.067 Percentage of Funds Total Assets: 0.27 Brokers: Barclays Capital, BofA Merrill Lynch, Wells Fargo Securities, RBS, Deutsche Bank Securities, Mitsubishi UFJ Securities, Credit Agricole CIB, Scotia Capital, Societe Generale, SunTrust Robinson Humphrey, ANZ Securities, BNY Capital Markets, LLC, Comerica Securities, HSBC, SMBC Nikko, US Bancorp Purchased from: Banc of America ------------------------------------------------------------------------ ------------------------------- Securities Purchased: Wyndham Worldwide Corp. 5.625% due 3/1/2021 Purchase/Trade Date: 2/23/2011 Offering Price of Shares: $99.134 Total Amount of Offering: $250,000,000 Amount Purchased by Fund: $575,000 Percentage of Offering Purchased by Fund: 0.230 Percentage of Funds Total Assets: 0.35 Brokers: BofA Merrill Lynch, Credit Suisse, JPMorgan, Deutsche Bank Securities, Goldman, Sachs & Co., RBS, Scotia Capital, Mitsubishi UFJ Securities, nabSecurities LLC, US Bancorp, BBVA Securities, SMBC Nikko Purchased from: JPMorgan ------------------------------------------------------------------------ ------------------------------------ Securities Purchased: Digital Realty Trust LP 5.250% due 3/15/2021 Purchase/Trade Date: 3/1/2011 Offering Price of Shares: $99.775 Total Amount of Offering: $400,000,000 Amount Purchased by Fund: $550,000 Percentage of Offering Purchased by Fund: 0.138 Percentage of Funds Total Assets: 0.34 Brokers: Morgan Stanley, Citi, BofA Merrill Lynch, Credit Suisse, Deutsche Bank Securities, JPMorgan, RBC Capital Markets, RBS, RBC Capital Markets Purchased from: Banc of America ----------------------------------------------------------------------- ------------------------------------ Securities Purchased: GMAC Capital Trust PFD 8.125% due 2/15/2040 Purchase/Trade Date: 3/2/2011 Offering Price of Shares: $25.000 Total Amount of Offering: 106,680,000 shares Amount Purchased by Fund: 10,950 shares Percentage of Offering Purchased by Fund: 0.010 Percentage of Funds Total Assets: 0.17 Brokers: Citi, Deutsche Bank Securities, JPMorgan, Morgan Stanley, Barclays Capital, Goldman, Sachs & Co., Aladdin Capital LLC, CastleOak Securities, L.P., Blaylock Robert Van, LLC, C.L. King & Associates, Loop Capital Markets Purchased from: JPMorgan ----------------------------------------------------------------------- ------------------------------------- Securities Purchased: Best Buy Co. Inc. 3.750% due 3/15/2016 Purchase/Trade Date: 3/8/2011 Offering Price of Shares: $99.606 Total Amount of Offering: $350,000,000 Amount Purchased by Fund: $685,000 Percentage of Offering Purchased by Fund: 0.196 Percentage of Funds Total Assets: 0.42 Brokers: BofA Merrill Lynch, Credit Suisse, JPMorgan, UBS Investment Bank, Citi, Wells Fargo Securities, Fifth Third Securities Inc., Standard Chartered Bank, Goldman, Sachs & Co., HSBC, Mitsubishi UFJ Securities, RBC Capital Markets, Scotia Capital, US Bancorp, Barclays Capital, BBVA Securities, Deutsche Bank Securities, Morgan Stanley, RBS Purchased from: Credit Suisse Securities ----------------------------------------------------------------------- ------------------------------------- Securities Purchased: Dexus Diversified Trust 5.600% due 3/15/2021 Purchase/Trade Date: 3/10/2011 Offering Price of Shares: $99.645 Total Amount of Offering: $250,000,000 Amount Purchased by Fund: $575,000 Percentage of Offering Purchased by Fund: 0.230 Percentage of Funds Total Assets: 0.35 Brokers: BofA Merrill Lynch, JPMorgan, Morgan Stanley, Deutsche Bank Securities, HSBC Purchased from: Banc of America ----------------------------------------------------------------------- ------------------------------------- Securities Purchased: Willis Group Holdings PLC 4.125% due 3/15/2016 Purchase/Trade Date: 3/14/2011 Offering Price of Shares: $99.487 Total Amount of Offering: $300,000,000 Amount Purchased by Fund: $325,000 Percentage of Offering Purchased by Fund: 0.108 Percentage of Funds Total Assets: 0.20 Brokers: Barclays Capital, Goldman, Sachs & Co., Morgan Stanley, Willis Capital Markets & Advisory, Citi, BofA Merrill Lynch, JPMorgan, Keefe, Bruyette & Woods, RBS, SunTrust Robinson Humphrey, ING, Lloyds Securities, Wells Fargo Securities Purchased from: Barclays Capital Inc. ----------------------------------------------------------------------- ------------------------------------- Securities Purchased: Quest Diagnostics Inc. 3.200% due 4/1/2016 Purchase/Trade Date: 3/21/2011 Offering Price of Shares: $99.907 Total Amount of Offering: $300,000,000 Amount Purchased by Fund: $75,000 Percentage of Offering Purchased by Fund: 0.025 Percentage of Funds Total Assets: 0.23 Brokers: Morgan Stanley, Goldman, Sachs & Co., RBS, JPMorgan, Wells Fargo Securities, Credit Agricole CIB, BofA Merrill Lynch, Mitsubishi UFJ Securities Purchased from: Royal Bank of Scotland ----------------------------------------------------------------------- ------------------------------------- Securities Purchased: Quest Diagnostics Inc. 4.70% due 4/1/2021 Purchase/Trade Date: 3/21/2011 Offering Price of Shares: $99.833 Total Amount of Offering: $550,000,000 Amount Purchased by Fund: $375,000 Percentage of Offering Purchased by Fund: 0.068 Percentage of Funds Total Assets: 0.23 Brokers: Morgan Stanley, Goldman, Sachs & Co., RBS, JPMorgan, Wells Fargo Securities, Credit Agricole CIB, BofA Merrill Lynch, Mitsubishi UFJ Securities Purchased from: Royal Bank of Scotland --------------------------------------------------------------------- -------------------------------------- Securities Purchased: Nationwide Financial Services 5.375% due 3/25/2021 Purchase/Trade Date: 3/22/2011 Offering Price of Shares: $99.420 Total Amount of Offering: $600,000,000 Amount Purchased by Fund: $575,000 Percentage of Offering Purchased by Fund: 0.096 Percentage of Funds Total Assets: 0.35 Brokers: Morgan Stanley, JPMorgan, Wells Fargo Securities, BofA Merrill Lynch, Deutsche Bank Securities, Goldman, Sachs & Co., UBS Investment Bank, BNP Paribas, Fifth Third Securities, Inc., Huntington Investment Company, PNC Capital Markets LLC, RBS, The Williams Capital Group, L.P. Purchased from: JPMorgan ---------------------------------------------------------------------- ------------------------------------ Securities Purchased: Gilead Sciences Inc. 4.500% due 4/1/2021 Purchase/Trade Date: 3/23/2011 Offering Price of Shares: $99.142 Total Amount of Offering: $1,000,000,000 Amount Purchased by Fund: $490,000 Percentage of Offering Purchased by Fund: 0.049 Percentage of Funds Total Assets: 0.30 Brokers: BofA Merrill Lynch, JPMorgan, Morgan Stanley, Barclays Capital, Credit Suisse, Deutsche Bank Securities, Leerink Swann Purchased from: JPMorgan ----------------------------------------------------------------------- ------------------------------------- Securities Purchased: Wells Operating Partnership II, L.P. 5.875% due 4/1/2018 Purchase/Trade Date: 3/28/2011 Offering Price of Shares: $99.295 Total Amount of Offering: $250,000,000 Amount Purchased by Fund: $1,000,000 Percentage of Offering Purchased by Fund: 0.400 Percentage of Funds Total Assets: 0.61 Brokers: JPMorgan, Morgan Stanley, BMO Capital Markets, Morgan Keegan, PNC Capital Markets LLC, US Bancorp Purchased from: JPMorgan