Pursuant to the Fund’s procedures adopted under Rule 10f-3, the Fund’s Board of Directors/Trustees receives a quarterly report in the form of a checklist as to the satisfaction of the applicable conditions of paragraph (c)(1) through (c)(8) of Rule 10f-3.
Fund | Small Cap Value Fund | ||||
Issuer | Gates Industrial Corp PLC | ||||
Ticker/Sedol | GTES / G39108108 | ||||
Principal Amount (US$) | $400,000,000 | ||||
Principal Amount (Foreign$) | N/A | ||||
Amount Purchased (US$) | $7,943,328 | ||||
Amount Purchased (Foreign$) | N/A | ||||
Trade Date | 8/12/2021 | ||||
Price (US$) | $16.00 | ||||
Price-Foreign | N/A | ||||
Underwriter | Citigroup Capital Markets | ||||
Other Syndicate Members: | EVERCORE ISI NOMURA SECURITIES BARCLAYS CAPITAL MORGAN STANLEY RBC CAPITAL MARKETS GOLDMAN SACHS UBS WARBURG CREDIT SUISSE AG ROBERT W BAIRD ACADEMY SECURITIES INC SIEBERT WILLIAMS SHANK KEYBANC CAPITAL MARKETS GUGGENHEIM CAPITAL MARKET WELLS FARGO SECURITIES | ||||
Underwriting Spread | 4.00% | ||||
Currency | USD |