Location books Record:
1 |
a. Name of person (e.g., a custodian of records) | Rampart Investment Management Company, LLC |
b. Street 1 | 1540 Broadway |
Street 2 | 16th Floor |
c. City | New York |
d. State, if applicable |
NEW YORK
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 10036 |
g. Telephone number (including country code if foreign) | 646-376-5913 |
h. Briefly describe the books and records kept at this location:
| Records related to its functions as Subadviser |
Location books Record:
2 |
a. Name of person (e.g., a custodian of records) | Virtus Investment Advisers, Inc. |
b. Street 1 | 100 Pearl Street |
Street 2 | |
c. City | Hartford |
d. State, if applicable |
CONNECTICUT
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 06103-4506 |
g. Telephone number (including country code if foreign) | 800-248-7971 |
h. Briefly describe the books and records kept at this location:
| Records related to its functions as Investment Adviser |
Location books Record:
3 |
a. Name of person (e.g., a custodian of records) | VP Distributors, LLC |
b. Street 1 | 100 Pearl Street |
Street 2 | |
c. City | Hartford |
d. State, if applicable |
CONNECTICUT
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 06103 |
g. Telephone number (including country code if foreign) | 860-263-4736 |
h. Briefly describe the books and records kept at this location:
| Records related to its functions as Principal Underwriter |
Location books Record:
4 |
a. Name of person (e.g., a custodian of records) | BNY Mellon Investment Servicing (US) Inc. |
b. Street 1 | 301 Bellevue Parkway |
Street 2 | |
c. City | Wilmington |
d. State, if applicable |
DELAWARE
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 19809 |
g. Telephone number (including country code if foreign) | 302-791-1700 |
h. Briefly describe the books and records kept at this location:
| Records related to its functions as Fund Accountant, Sub-Administrator, Sub-Transfer Agent and Dividend Dispersing Agent |
Location books Record:
5 |
a. Name of person (e.g., a custodian of records) | Newfleet Asset Management, LLC |
b. Street 1 | 100 Pearl Street |
Street 2 | 7th Floor |
c. City | Hartford |
d. State, if applicable |
CONNECTICUT
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 06103 |
g. Telephone number (including country code if foreign) | 877-332-8172 |
h. Briefly describe the books and records kept at this location:
| Records related to its functions as Subadviser |
Location books Record:
6 |
a. Name of person (e.g., a custodian of records) | The Bank of New York Mellon |
b. Street 1 | 240 Greenwich St. |
Street 2 | |
c. City | New York |
d. State, if applicable |
NEW YORK
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 10286 |
g. Telephone number (including country code if foreign) | 212-495-1784 |
h. Briefly describe the books and records kept at this location:
| Records related to its functions as Custodian |
Location books Record:
7 |
a. Name of person (e.g., a custodian of records) | Rampart Investment Management Company, LLC |
b. Street 1 | 100 PEARL STREET |
Street 2 | 9TH FLOOR |
c. City | HARTFORD |
d. State, if applicable |
CONNECTICUT
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 06103 |
g. Telephone number (including country code if foreign) | 800-248-7971 |
h. Briefly describe the books and records kept at this location:
| Records related to its functions as Subadviser |
Location books Record:
8 |
a. Name of person (e.g., a custodian of records) | Vontobel Asset Management, Inc. |
b. Street 1 | 1540 Broadway |
Street 2 | 38th Floor |
c. City | New York |
d. State, if applicable |
NEW YORK
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 10036 |
g. Telephone number (including country code if foreign) | 212-415-7000 |
h. Briefly describe the books and records kept at this location:
| Records related to its functions as Subadviser |
Location books Record:
9 |
a. Name of person (e.g., a custodian of records) | Horizon Asset Management LLC |
b. Street 1 | 470 Park Avenue South |
Street 2 | 4th Floor |
c. City | New York |
d. State, if applicable |
NEW YORK
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 10016 |
g. Telephone number (including country code if foreign) | 646-495-7333 |
h. Briefly describe the books and records kept at this location:
| Records related to its functions as Subadviser |
Location books Record:
10 |
a. Name of person (e.g., a custodian of records) | Kayne Anderson Rudnick Investment Management, LLC |
b. Street 1 | 1800 Avenue of the Stars |
Street 2 | 2nd Floor |
c. City | Los Angeles |
d. State, if applicable |
CALIFORNIA
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 90067 |
g. Telephone number (including country code if foreign) | 310-556-2721 |
h. Briefly describe the books and records kept at this location:
| Records related to its functions as Subadviser |
Location books Record:
11 |
a. Name of person (e.g., a custodian of records) | Virtus Fund Services, LLC |
b. Street 1 | 100 Pearl Street |
Street 2 | |
c. City | Hartford |
d. State, if applicable |
CONNECTICUT
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 06103 |
g. Telephone number (including country code if foreign) | 860-263-4790 |
h. Briefly describe the books and records kept at this location:
| Records related to its functions as Administrator and Transfer Agent |
Location books Record:
12 |
a. Name of person (e.g., a custodian of records) | Kevin J. Carr, Esq. |
b. Street 1 | 100 Pearl Street |
Street 2 | |
c. City | Hartford |
d. State, if applicable |
CONNECTICUT
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 06103 |
g. Telephone number (including country code if foreign) | 860-263-4790 |
h. Briefly describe the books and records kept at this location:
| Records related to his functions as Secretary of the Trust |
Location books Record:
13 |
a. Name of person (e.g., a custodian of records) | Thomas J. Herzfeld Advisors, Inc. |
b. Street 1 | 119 Washington Avenue |
Street 2 | Suite 504 |
c. City | Miami Beach |
d. State, if applicable |
FLORIDA
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 33139 |
g. Telephone number (including country code if foreign) | 305-271-1900 |
h. Briefly describe the books and records kept at this location:
| Records related to its functions as Subadviser |
Location books Record:
14 |
a. Name of person (e.g., a custodian of records) | Duff & Phelps Investment Management Co. |
b. Street 1 | 200 South Wacker Drive |
Street 2 | Suite 500 |
c. City | Chicago |
d. State, if applicable |
ILLINOIS
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 60606-5802 |
g. Telephone number (including country code if foreign) | 800-248-7971 |
h. Briefly describe the books and records kept at this location:
| Records related to its functions as Subadviser |
Director Record:
1 |
a. Full Name | Geraldine M. McNamara |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | 811-22533 |
File Number Record:
2 |
File Number Record: | 811-22608 |
File Number Record:
3 |
File Number Record: | 811-04642 |
File Number Record:
4 |
File Number Record: | 811-00945 |
File Number Record:
5 |
File Number Record: | 811-07705 |
File Number Record:
6 |
File Number Record: | 811-22958 |
File Number Record:
7 |
File Number Record: | 811-05620 |
File Number Record:
8 |
File Number Record: | 811-04739 |
File Number Record:
9 |
File Number Record: | 811-04915 |
File Number Record:
10 |
File Number Record: | 811-06416 |
File Number Record:
11 |
File Number Record: | 811-07358 |
File Number Record:
12 |
File Number Record: | 811-22958 |
File Number Record:
13 |
File Number Record: | 811-22906 |
Director Record:
2 |
a. Full Name | Richard E. Segerson |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | 811-22906 |
File Number Record:
2 |
File Number Record: | 811-04642 |
File Number Record:
3 |
File Number Record: | 811-07705 |
File Number Record:
4 |
File Number Record: | 811-00945 |
Director Record:
3 |
a. Full Name | James M. Oates |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | 811-22608 |
File Number Record:
2 |
File Number Record: | 811-22958 |
File Number Record:
3 |
File Number Record: | 811-04739 |
File Number Record:
4 |
File Number Record: | 811-05620 |
File Number Record:
5 |
File Number Record: | 811-04642 |
File Number Record:
6 |
File Number Record: | 811-22906 |
File Number Record:
7 |
File Number Record: | 811-07705 |
File Number Record:
8 |
File Number Record: | 811-00945 |
Director Record:
4 |
a. Full Name | Connie D. McDaniel |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | 811-22906 |
File Number Record:
2 |
File Number Record: | 811-04642 |
File Number Record:
3 |
File Number Record: | 811-07705 |
File Number Record:
4 |
File Number Record: | 811-00945 |
Director Record:
5 |
a. Full Name | Hassell H. McClellan |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | 811-22906 |
File Number Record:
2 |
File Number Record: | 811-04642 |
File Number Record:
3 |
File Number Record: | 811-07705 |
File Number Record:
4 |
File Number Record: | 811-00945 |
Director Record:
6 |
a. Full Name | John R. Mallin |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | 811-22906 |
File Number Record:
2 |
File Number Record: | 811-04642 |
File Number Record:
3 |
File Number Record: | 811-07705 |
File Number Record:
4 |
File Number Record: | 811-00945 |
Director Record:
7 |
a. Full Name | Sidney E. Harris |
b. CRD number, if any | 004994519 |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | 811-22906 |
File Number Record:
2 |
File Number Record: | 811-04642 |
File Number Record:
3 |
File Number Record: | 811-07705 |
File Number Record:
4 |
File Number Record: | 811-00945 |
Director Record:
8 |
a. Full Name | Roger A. Gelfenbien |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | 811-09491 |
File Number Record:
2 |
File Number Record: | 811-22906 |
File Number Record:
3 |
File Number Record: | 811-04642 |
File Number Record:
4 |
File Number Record: | 811-07705 |
File Number Record:
5 |
File Number Record: | 811-00945 |
Director Record:
9 |
a. Full Name | Donald C. Burke |
b. CRD number, if any | 001849255 |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | 811-04915 |
File Number Record:
2 |
File Number Record: | 811-06416 |
File Number Record:
3 |
File Number Record: | 811-07358 |
File Number Record:
4 |
File Number Record: | 811-22958 |
File Number Record:
5 |
File Number Record: | 811-22533 |
File Number Record:
6 |
File Number Record: | 811-22906 |
File Number Record:
7 |
File Number Record: | 811-04642 |
File Number Record:
8 |
File Number Record: | 811-07705 |
File Number Record:
9 |
File Number Record: | 811-00945 |
Director Record:
10 |
a. Full Name | Thomas J. Brown |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | 811-08789 |
File Number Record:
2 |
File Number Record: | 811-03738 |
File Number Record:
3 |
File Number Record: | 811-04642 |
File Number Record:
4 |
File Number Record: | 811-22906 |
File Number Record:
5 |
File Number Record: | 811-07705 |
File Number Record:
6 |
File Number Record: | 811-00945 |
Director Record:
11 |
a. Full Name | George R. Aylward |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | 811-04739 |
File Number Record:
2 |
File Number Record: | 811-05620 |
File Number Record:
3 |
File Number Record: | 811-22608 |
File Number Record:
4 |
File Number Record: | 811-22958 |
File Number Record:
5 |
File Number Record: | 811-22906 |
File Number Record:
6 |
File Number Record: | 811-04642 |
File Number Record:
7 |
File Number Record: | 811-07705 |
File Number Record:
8 |
File Number Record: | 811-23078 |
File Number Record:
9 |
File Number Record: | 811-00945 |
Director Record:
12 |
a. Full Name | Philip R. McLoughlin |
b. CRD number, if any | 006040356 |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | 811-04915 |
File Number Record:
2 |
File Number Record: | 811-06416 |
File Number Record:
3 |
File Number Record: | 811-07358 |
File Number Record:
4 |
File Number Record: | 811-22958 |
File Number Record:
5 |
File Number Record: | 811-22533 |
File Number Record:
6 |
File Number Record: | 811-22608 |
File Number Record:
7 |
File Number Record: | 811-22906 |
File Number Record:
8 |
File Number Record: | 811-04642 |
File Number Record:
9 |
File Number Record: | 811-07705 |
File Number Record:
10 |
File Number Record: | 811-22958 |
File Number Record:
11 |
File Number Record: | 811-05620 |
File Number Record:
12 |
File Number Record: | 811-04739 |
File Number Record:
13 |
File Number Record: | 811-00945 |