SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Transamerica Funds – ‘NSAR-B’ for 10/31/17 – ‘EX-99.77O RULE 10F-3’

On:  Wednesday, 12/27/17, at 5:10pm ET   ·   Effective:  12/27/17   ·   For:  10/31/17   ·   Accession #:  1410368-17-1895   ·   File #:  811-04556

Previous ‘NSAR-B’:  ‘NSAR-B/A’ on 1/13/17 for 10/31/16   ·   Next & Latest:  ‘NSAR-B’ on 2/27/18 for 12/31/17

Find Words in Filings emoji
 
  in    Show  and   Hints

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

12/27/17  Transamerica Funds                NSAR-B     10/31/17   13:334K                                   State Street Bank … DeptTransamerica Asset Allocation – Conservative Portfolio A (ICLAX) — Advisor (TACVX) — B (ICLBX) — C (ICLLX) — Class T1 (TACQX) — I (TACIX) — R (ICVRX)Transamerica Asset Allocation – Growth Portfolio A (IAAAX) — Advisor (TAGVX) — B (IAABX) — C (IAALX) — Class T1 (TAGTX) — I (TAGIX) — R (IGWRX)Transamerica Asset Allocation – Moderate Growth Portfolio A (IMLAX) — Advisor (TMGQX) — B (IMLBX) — C (IMLLX) — Class T1 (TMGUX) — I (TMGIX) — R (IMGRX)Transamerica Asset Allocation – Moderate Portfolio A (IMOAX) — Advisor (TMMVX) — B (IMOBX) — C (IMOLX) — Class T1 (TMMTX) — I (TMMIX) — R (IMDRX)Transamerica Asset Allocation Intermediate Horizon R (TAARX) — R4 (TAAFX)Transamerica Asset Allocation Long Horizon R (TALRX) — R4 (TALFX)Transamerica Asset Allocation Short Horizon R (TSHRX) — R4 (TSHFX)Transamerica Balanced II I3 (TBLTX) — R (TBLRX)Transamerica Bond A (IDITX) — Advisor (TAFKX) — B (IFLBX) — C (IFLLX) — Class T1 (TFXTX) — I (TFXIX) — I2R6 (TAFLX)Transamerica Bond I2R6 (TABSX)Transamerica Capital Growth A (IALAX) — Advisor (TACGX) — B (IACBX) — C (ILLLX) — Class T1 (TFOTX) — I (TFOIX) — I2Transamerica ClearTrack 2015 R1 (TCFTX) — R6 (TDKTX)Transamerica ClearTrack 2020 R1 (TCHTX) — R6 (TCSUX)Transamerica ClearTrack 2025 R1 (TDITX) — R6 (TDOTX)Transamerica ClearTrack 2030 R1 (TDFTX) — R6 (TDHTX)Transamerica ClearTrack 2035 R1 (TCETX) — R6 (TCHDX)Transamerica ClearTrack 2040 R1 (TCRTX) — R6 (TCKTX)Transamerica ClearTrack 2045 R1 (TCPTX) — R6 (TCOTX)Transamerica ClearTrack 2050 R1 (TRNTX) — R6 (TCMTX)Transamerica ClearTrack 2055 Class R1 (TCTOX) — Class R6 (TCTSX)Transamerica ClearTrack 2060 Class R1 (TCSOX) — Class R6 (TCSSX)Transamerica ClearTrack Retirement Income R1 (TCITX) — R6 (TCJTX)Transamerica Concentrated Growth A (TORAX) — Advisor (TACNX) — C (TCCGX) — Class T1 (TORQX) — I (TOREX) — I2Transamerica Core Bond I2Transamerica Core Bond (formerly Transamerica Intermediate Bond) I2I3 (TMBTX) — R (TMBRX) — R4 (TMBFX)Transamerica Developing Markets Equity I2 (TDMIX)Transamerica Dynamic Allocation A (ATTRX) — C (CTTRX) — Class T1 (ATTTX) — I (ITTOX)Transamerica Dynamic Income A (IGTAX) — Advisor (IGTVX) — C (IGTCX) — Class T1 (IGTTX) — I (IGTIX)Transamerica Emerging Markets Debt A (EMTAX) — Advisor (TAETX) — C (EMTCX) — Class T1 (EMTTX) — I (EMTIX) — I2R6 (TAEDX)Transamerica Emerging Markets Equity A (AEMTX) — Advisor (TAEEX) — C (CEMTX) — Class T1 (AEMQX) — I (IEMTX) — I2Transamerica Energy Infrastructure A (TMLAX) — Advisor (TAMLX) — C (TMCLX) — Class T1 (TMLTX) — I (TMLPX) — I2Transamerica Event Driven Advisor (TAEVX) — I (TENIX) — I2Transamerica Floating Rate A (TFLAX) — C (TFLCX) — Class T1 (TFLTX) — I (TFLIX) — I2Transamerica Global Equity A (IMNAX) — Advisor (TAGQX) — B (IMNBX) — C (IMNCX) — Class T1 (TMUTX) — I (TMUIX) — R6 (TAGEX)Transamerica Global Long/Short Equity A (TAEAX) — AdvisorClass T1I (TAEIX) — I2Transamerica Global Multifactor Macro I2Transamerica Global Real Estate Securities I2 (TRSIX)Transamerica Government Money Market A (IATXX) — B (IBTXX) — C (IMLXX) — I (TAMXX) — I2I3 (TGTXX) — R2 (TGRXX) — R4 (TFGXX)Transamerica Growth I2 (TJNIX) — R6 (TAGOX)Transamerica High Quality Bond I3 (TBDTX) — R (TBDRX) — R4 (TBDFX)Transamerica High Yield Bond A (IHIYX) — Advisor (TAGLX) — B (INCBX) — C (INCLX) — Class T1 (TAHWX) — I (TDHIX) — I2I3 (TAHTX) — R (TAHRX) — R4 (TAHFX) — R6 (TAHBX)Transamerica High Yield Muni A (THAYX) — C (THCYX) — Class T1 (THCTX) — I (THYIX) — I2 (THYTX)Transamerica Inflation Opportunities A (TIOAX) — C (TIOCX) — Class T1 (TIOWX) — I (ITIOX) — I2R6 (RTIOX)Transamerica Inflation-Protected Securities I3 (TPRTX) — R (TPRRX) — R4 (TPRFX)Transamerica Intermediate Muni A (TAMUX) — Advisor (TAITX) — C (TCMUX) — Class T1 (TAMTX) — I (TIMUX) — I2 (TIMTX)Transamerica International Equity A (TRWAX) — Advisor (TAIQX) — C (TRWCX) — Class T1 (TRWWX) — I (TSWIX) — I2 (TRWIX) — I3 (TRWTX) — R (TRWRX) — R4 (TRWFX) — R6 (TAINX)Transamerica International Focus I2Transamerica International Small Cap I2Transamerica International Small Cap Value I (TISVX) — I2Transamerica Large Cap Value A (TWQAX) — Advisor (TALPX) — C (TWQCX) — I (TWQIX) — I2 (TWQZX) — R6 (TALCX) — T1 (TWQTX)Transamerica Large Core ESG I3 (TLATX) — R (TLARX) — R4 (TLAFX)Transamerica Large Growth I3 (TGWTX) — R (TGWRX) — R4 (TGWFX)Transamerica Large Value Opportunities I3 (TLOTX) — R (TLORX) — R4 (TLOFX)Transamerica Long/Short Strategy I2Transamerica Managed Futures Strategy I2Transamerica Mid Cap Growth A (MCGAX) — Advisor (TAMGX) — C (MGTCX) — Class T1 (IMCTX) — I (IMCGX) — I2I3 (TMITX) — R (TMIRX) — R4 (TMIFX)Transamerica Mid Cap Value I2Transamerica Mid Cap Value Opportunities A (MCVAX) — Advisor (TAMOX) — C (MCVCX) — Class T1 (MVTTX) — I (MVTIX) — I2I3 (TOTTX) — R (TOTRX) — R4 (TOTFX) — R6 (MVTRX)Transamerica Multi-Asset Income A (TASHX) — Advisor (TASKX) — C (TCSHX) — Class T1 (TCSWX) — I (TSHIX) — I2Transamerica Multi-Cap Growth A (ITSAX) — Advisor (TAMHX) — B (ITCBX) — C (ITSLX) — Class T1 (TGPTX) — I (TGPIX) — I2Transamerica Multi-Managed Balanced A (IBALX) — Advisor (IBAVX) — B (IBABX) — C (IBLLX) — Class T1 (IBATX) — I (TBLIX) — R6 (TAMMX)Transamerica Multi-Manager Alternative Strategies Portfolio A (IMUAX) — C (IMUCX) — Class T1 (IMUTX) — I (TASIX) — R6 (TAMAX)Transamerica Short-Term Bond A (ITAAX) — Advisor (TASBX) — C (ITACX) — Class T1 (ITATX) — I (TSTIX) — I2 (TSIWX) — R6 (TASTX)Transamerica Small Cap Core A (SCCAX) — Advisor (TASOX) — C (SCCCX) — Class T1 (ISMQX) — I (ISMTX) — I2I3 (TCCTX) — R (TCCRX) — R4 (TCCFX)Transamerica Small Cap Growth A (ASGTX) — Advisor (TASPX) — C (CSGTX) — Class T1 (RTSTX) — I (ISCGX) — I2 (TSPIX) — I3 (TSPTX) — R (TSPRX) — R4 (TSPFX) — R6 (RTSGX)Transamerica Small Cap Value A (TSLAX) — Advisor (TASLX) — C (TSLCX) — Class T1 (TSLWX) — I (TSLIX) — I2I3 (TSLTX) — R (TRSLX) — R4 (TSLFX) — R6 (TSLRX)Transamerica Small/Mid Cap Value A (IIVAX) — Advisor (TASDX) — B (IIVBX) — C (IIVLX) — Class T1 (TASWX) — I (TSVIX) — I2 (TSMVX) — R6 (TASMX)Transamerica Sustainable Equity Income A (TDFAX) — Advisor (TADVX) — C (TDFCX) — Class T1 (TADTX) — I (TDFIX) — I2 (TRDIX) — R6 (TADFX)Transamerica Total Return I2Transamerica Unconstrained Bond Advisor (TAUNX) — I (TUNIX) — I2Transamerica US Growth A (TADAX) — Advisor (TAUGX) — B (TADBX) — C (TADCX) — Class T1 (TJNTX) — I (TDEIX) — I2T (TWMTX)

Annual Report by an Investment Company   —   Form N-SAR   —   ICA’40
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: NSAR-B      10.31.17 Final Nsar                                  238    971K 
13: EX-99.77B ACCT LTTR  Audit Control Letter                          3±    14K 
12: EX-99.77M MERGERS  Mergers                                         3±    13K 
 3: EX-99.77O RULE 10F-3  Bond (Loomis)                                2±    10K 
 4: EX-99.77O RULE 10F-3  Capital Growth (Morgan Stanley)              3±    13K 
 5: EX-99.77O RULE 10F-3  Core Bond (Jpm)                             99±   407K 
 6: EX-99.77O RULE 10F-3  Core Bond (Jpm)                              6±    20K 
 7: EX-99.77O RULE 10F-3  Long-Short Strategy (Jpm)                    1      7K 
 8: EX-99.77O RULE 10F-3  Long-Short Strategy (Jpm)                    3±    12K 
 9: EX-99.77O RULE 10F-3  Multi-Managed Balanced (Jpm)                 1      7K 
10: EX-99.77O RULE 10F-3  Multi-Managed Balanced (Jpm)                 3±    12K 
11: EX-99.77Q1 OTHR EXHB  17E-1 - Affiliated Brokers                   1      6K 
 2: EX-7        7C Attachment for Series Number Over 99                2±     8K 


‘EX-99.77O RULE 10F-3’   —   Long-Short Strategy (Jpm)
Exhibit Table of Contents

Page (sequential)   (alphabetic) Top
 
11st Page  –  Filing Submission
"Yes


Schedule A TRANSACTIONS SUBJECT TO RULE 10f-3 PROCEDURES Fund: Transamerica Long/Short Strategy Security: See Attached Issuer: See Attached Offering Type: US Registered REQUIRED INFORMATION 1. Offering Date 2. Trade Date 3. Unit Price of Offering 4. Price Paid per Unit 5. Years of Issuer's Operations 6. Underwriting Type 7. Underwriting Spread 8. Total Price paid by the Fund 9. Total Size of Offering 10. Total Price Paid by the Fund plus Total Price Paid for same securities purchased by the same Sub-Adviser for other investment companies 11. Underwriter(s) from whom the Fund purchased (attach a list of all syndicate members) 12. If the affiliate was lead or co-lead manager, was the instruction listed below given to the broker(s) named in #11? **** ANSWER See Attached See Attached See Attached See Attached More than 3 Firm See Attached See Attached See Attached See Attached See attached Yes APPLICABLE RESTRICTION None Must be the same as #1 None Must not exceed #3 Must be at least three years * Must be firm Sub-Adviser determination to be made None None #10 divided by #9 must not exceed 25% ** Must not include Sub-Adviser affiliates *** Must be "Yes" or "N/A" In Compliance (Yes/No) YES YES YES YES YES YES YES YES YES YES YES The Sub-Adviser has no reasonable cause to believe that the underwriting commission, spread or profit is NOT reasonable and fair compared to underwritings of similar securities during a comparable period of time. In determining which securities are comparable, the Sub-Adviser has considered the factors set forth in the Fund's 10f-3 procedures. __________________________________ Anna K. Jensen, Vice President J.P. Morgan Investment Management, Inc. * Not applicable to munis. In the case of munis, (i) the issue must have one investment grade rating or (ii) if the issuer or the revenue source has been in operation for less than three years, the issue must have one of the three highest ratings. Circle (i) or (ii), whichever is met. ** If an eligible Rule 144A offering, must not exceed 25% of the total amount of same class sold to QIBs in the Rule 144A offering PLUS the amount of the offering of the same class in any concurrent public offering *** For munis purchased from syndicate manager, check box to confirm that the purchase was not designated as a group sale. [ ] **** The Sub-Adviser's affiliate cannot receive any credit for the securities purchased on behalf of the Fund.
Top
Filing Submission 0001410368-17-001895   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Fri., Mar. 29, 3:23:03.6am ET