a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000094050 |
iii. Ticker symbol, if any | ICHAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class S |
ii. Class identification number, if any | C000024054 |
iii. Ticker symbol, if any | ICHCX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| ICE Data Pricing & Reference Data, LLC |
Description of other identifying number | 5493000NQ9LYLDBCTL34 |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | ALPS FUND SERVICES, INC. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Steven M. Ferretti |
ii. SEC file number | 008-51895 |
iii. CRD number | 000047768 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 23,437 |
Brokers Record:
2 |
i. Full name of broker | Weeden & Co. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 12,643 |
Brokers Record:
3 |
i. Full name of broker | The Benchmark Company LLC |
ii. SEC file number | 008-40081 |
iii. CRD number | 000022982 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6,112 |
Brokers Record:
4 |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 008-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,905 |
Brokers Record:
5 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,639 |
Brokers Record:
6 |
i. Full name of broker | Bloomberg Tradebook LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,609 |
Brokers Record:
7 |
i. Full name of broker | RBC Capital Markets LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,229 |
Brokers Record:
8 |
i. Full name of broker | Capital Institutional Services Inc. |
ii. SEC file number | 008-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | N/A |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 180 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 50,755 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | ICON Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
2 |
Name of fund | ICON Opportunities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
3 |
Name of fund | ICON Industrials Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
4 |
Name of fund | ICON Emerging Markets Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
5 |
Name of fund | ICON Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
6 |
Name of fund | ICON Flexible Bond Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
7 |
Name of fund | ICON Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
8 |
Name of fund | ICON Risk-Managed Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
9 |
Name of fund | ICON Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
10 |
Name of fund | ICON Natural Resources Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
11 |
Name of fund | ICON Consumer Discretionary Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
12 |
Name of fund | ICON Consumer Staples Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
13 |
Name of fund | ICON Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
14 |
Name of fund | ICON International Equity Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
15 |
Name of fund | ICON Information Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
16 |
Name of fund | ICON Long/Short Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 471,334.00 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 13 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000094056 |
iii. Ticker symbol, if any | ICRAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class S |
ii. Class identification number, if any | C000024057 |
iii. Ticker symbol, if any | ICLEX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| ICE Data Pricing & Reference Data, LLC |
Description of other identifying number | 5493000NQ9LYLDBCTL34 |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Steven M Ferretti |
ii. SEC file number | 008-51895 |
iii. CRD number | 000047768 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6,299 |
Brokers Record:
2 |
i. Full name of broker | Weeden & Co. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,554 |
Brokers Record:
3 |
i. Full name of broker | The Benchmark Company LLC |
ii. SEC file number | 008-40081 |
iii. CRD number | 000022982 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,960 |
Brokers Record:
4 |
i. Full name of broker | Bloomberg Tradebook LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,750 |
Brokers Record:
5 |
i. Full name of broker | Capital Institutional Services Inc. |
ii. SEC file number | 008-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | N/A |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 480 |
Brokers Record:
6 |
i. Full name of broker | Morgan Stanley & Co LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 351 |
Brokers Record:
7 |
i. Full name of broker | RBC Capital Markets LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 21 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 14,415 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | ICON Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
2 |
Name of fund | ICON Industrials Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
3 |
Name of fund | ICON Natural Resources Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
4 |
Name of fund | ICON Flexible Bond Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
5 |
Name of fund | ICON Consumer Discretionary Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
6 |
Name of fund | ICON Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
7 |
Name of fund | ICON Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
8 |
Name of fund | ICON Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
9 |
Name of fund | ICON Risk-Managed Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
10 |
Name of fund | ICON Long/Short Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
11 |
Name of fund | ICON Opportunities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
12 |
Name of fund | ICON Emerging Markets Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
13 |
Name of fund | ICON International Equity Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
14 |
Name of fund | ICON Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
15 |
Name of fund | ICON Healthcare Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
16 |
Name of fund | ICON Information Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 468,251.00 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 84 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000013839 |
iii. Ticker symbol, if any | IOCCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000033810 |
iii. Ticker symbol, if any | IOCAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class S |
ii. Class identification number, if any | C000013840 |
iii. Ticker symbol, if any | IOCZX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| ICE Data Pricing & Reference Data, LLC |
Description of other identifying number | 5493000NQ9LYLDBCTL34 |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | ALPS FUND SERVICES, INC. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Steven M. Ferretti |
ii. SEC file number | 008-51895 |
iii. CRD number | 000047768 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,243 |
Brokers Record:
2 |
i. Full name of broker | Bloomberg Tradebook LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,206 |
Brokers Record:
3 |
i. Full name of broker | Weeden & Co. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,565 |
Brokers Record:
4 |
i. Full name of broker | The Benchmark Company LLC |
ii. SEC file number | 008-40081 |
iii. CRD number | 000022982 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,437 |
Brokers Record:
5 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,437 |
Brokers Record:
6 |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 008-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 524 |
Brokers Record:
7 |
i. Full name of broker | Capital Institutional Services Inc. |
ii. SEC file number | 008-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | N/A |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 188 |
Brokers Record:
8 |
i. Full name of broker | RBC Capital Markets LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 15 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 19,946 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | C.L. King & Associates Inc. |
ii. SEC file number | 008-17025 |
iii. CRD number | 000006183 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 377,100 |
Principal Transactions Record:
2 |
i. Full name of dealer | Cantor Fitzgerald & Co. |
ii. SEC file number | 008-00201 |
iii. CRD number | 000000134 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 14,363,693 |
Principal Transactions Record:
3 |
i. Full name of dealer | Raymond James and Associates Inc. |
ii. SEC file number | 008-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | N/A |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,619,647 |
Principal Transactions Record:
4 |
i. Full name of dealer | Robert W. Baird & Co. Incorporated |
ii. SEC file number | 008-00497 |
iii. CRD number | 000008158 |
iv. LEI, if any | N/A |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,550,666 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | ICON Emerging Markets Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
2 |
Name of fund | ICON Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
3 |
Name of fund | ICON Consumer Discretionary Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
4 |
Name of fund | ICON Long/Short Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
5 |
Name of fund | ICON Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
6 |
Name of fund | ICON Opportunities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
7 |
Name of fund | ICON Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
8 |
Name of fund | ICON Information Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
9 |
Name of fund | ICON Industrials Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
10 |
Name of fund | ICON International Equity Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
11 |
Name of fund | ICON Consumer Staples Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
12 |
Name of fund | ICON Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
13 |
Name of fund | ICON Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
14 |
Name of fund | ICON Flexible Bond Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
15 |
Name of fund | ICON Natural Resources Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
16 |
Name of fund | ICON Healthcare Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 348,552.00 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 6 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class S |
ii. Class identification number, if any | C000024050 |
iii. Ticker symbol, if any | ICARX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000033813 |
iii. Ticker symbol, if any | IPCAX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| ICE Data Pricing & Reference Data, LLC |
Description of other identifying number | 5493000NQ9LYLDBCTL34 |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | ALPS FUND SERVICES, INC. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 008-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 43,817 |
Brokers Record:
2 |
i. Full name of broker | Macquarie Capital (USA) Inc. |
ii. SEC file number | 008-47198 |
iii. CRD number | 000036368 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 28,686 |
Brokers Record:
3 |
i. Full name of broker | Capital Institutional Services Inc. |
ii. SEC file number | 008-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | N/A |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11,869 |
Brokers Record:
4 |
i. Full name of broker | Weeden & Co. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,212 |
Brokers Record:
5 |
i. Full name of broker | Steven M. Ferretti |
ii. SEC file number | 008-51895 |
iii. CRD number | 000047768 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,715 |
Brokers Record:
6 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 880 |
Brokers Record:
7 |
i. Full name of broker | The Benchmark Company LLC |
ii. SEC file number | 008-40081 |
iii. CRD number | 000022982 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 550 |
Brokers Record:
8 |
i. Full name of broker | Bloomberg Tradebook LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 479 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 90,208 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | ICON Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
2 |
Name of fund | ICON Consumer Discretionary Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
3 |
Name of fund | ICON Flexible Bond Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
4 |
Name of fund | ICON Long/Short Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
5 |
Name of fund | ICON Consumer Staples Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
6 |
Name of fund | ICON Information Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
7 |
Name of fund | ICON Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
8 |
Name of fund | ICON Opportunities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
9 |
Name of fund | ICON Healthcare Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
10 |
Name of fund | ICON Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
11 |
Name of fund | ICON Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
12 |
Name of fund | ICON Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
13 |
Name of fund | ICON International Equity Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
14 |
Name of fund | ICON Industrials Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
15 |
Name of fund | ICON Natural Resources Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
16 |
Name of fund | ICON Risk-Managed Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 437,776.00 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 48 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class S |
ii. Class identification number, if any | C000013837 |
iii. Ticker symbol, if any | IOBZX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000013836 |
iii. Ticker symbol, if any | IOBCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000094043 |
iii. Ticker symbol, if any | IOBAX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| ICE Data Pricing & Reference Data, LLC |
Description of other identifying number | 5493000NQ9LYLDBCTL34 |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | ALPS FUND SERVICES, INC. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | C.L. King & Associates Inc. |
ii. SEC file number | 008-17025 |
iii. CRD number | 000006183 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 6,730,357 |
Principal Transactions Record:
2 |
i. Full name of dealer | Cantor Fitzgerald & Co. |
ii. SEC file number | 008-00201 |
iii. CRD number | 000000134 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 102,029,286 |
Principal Transactions Record:
3 |
i. Full name of dealer | Raymond James and Associates Inc. |
ii. SEC file number | 008-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | N/A |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 24,778,875 |
Principal Transactions Record:
4 |
i. Full name of dealer | Robert W. Baird & Co. Incorporated |
ii. SEC file number | 008-00497 |
iii. CRD number | 000008158 |
iv. LEI, if any | N/A |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 20,194,252 |
Principal Transactions Record:
5 |
i. Full name of dealer | Samuel A. Ramirez & Company Inc. |
ii. SEC file number | 008-19014 |
iii. CRD number | 000006963 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 414,280 |
Principal Transactions Record:
6 |
i. Full name of dealer | ICON Distributors Inc. |
ii. SEC file number | 008-43801 |
iii. CRD number | 000028568 |
iv. LEI, if any | N/A |
v. State, if applicable |
COLORADO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 255,100 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | ICON Consumer Staples Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
2 |
Name of fund | ICON Information Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
3 |
Name of fund | ICON International Equity Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
4 |
Name of fund | ICON Natural Resources Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
5 |
Name of fund | ICON Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
6 |
Name of fund | ICON Consumer Discretionary Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
7 |
Name of fund | ICON Long/Short Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
8 |
Name of fund | ICON Industrials Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
9 |
Name of fund | ICON Opportunities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
10 |
Name of fund | ICON Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
11 |
Name of fund | ICON Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
12 |
Name of fund | ICON Healthcare Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
13 |
Name of fund | ICON Risk-Managed Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
14 |
Name of fund | ICON Emerging Markets Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
15 |
Name of fund | ICON Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
16 |
Name of fund | ICON Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class S |
ii. Class identification number, if any | C000024059 |
iii. Ticker symbol, if any | ICTUX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000094060 |
iii. Ticker symbol, if any | ICTVX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| ICE Data Pricing & Reference Data, LLC |
Description of other identifying number | 5493000NQ9LYLDBCTL34 |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | ALPS FUND SERVICES, INC. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | The Benchmark Company LLC |
ii. SEC file number | 008-40081 |
iii. CRD number | 000022982 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 23,635 |
Brokers Record:
2 |
i. Full name of broker | Weeden & Co. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 19,836 |
Brokers Record:
3 |
i. Full name of broker | Steven M. Ferretti |
ii. SEC file number | 008-51895 |
iii. CRD number | 000047768 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 15,897 |
Brokers Record:
4 |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 008-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 7,835 |
Brokers Record:
5 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 7,260 |
Brokers Record:
6 |
i. Full name of broker | Bloomberg Tradebook LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6,825 |
Brokers Record:
7 |
i. Full name of broker | RBC Capital Markets LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,083 |
Brokers Record:
8 |
i. Full name of broker | Macquarie Capital (USA) Inc. |
ii. SEC file number | 008-47198 |
iii. CRD number | 000036368 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,190 |
Brokers Record:
9 |
i. Full name of broker | Capital Institutional Services Inc. |
ii. SEC file number | 008-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 662 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 87,222 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | ICON Flexible Bond Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
2 |
Name of fund | ICON Consumer Discretionary Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
3 |
Name of fund | ICON Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
4 |
Name of fund | ICON Healthcare Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
5 |
Name of fund | ICON Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
6 |
Name of fund | ICON International Equity Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
7 |
Name of fund | ICON Information Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
8 |
Name of fund | ICON Industrials Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
9 |
Name of fund | ICON Opportunities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
10 |
Name of fund | ICON Natural Resources Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
11 |
Name of fund | ICON Consumer Staples Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
12 |
Name of fund | ICON Risk-Managed Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
13 |
Name of fund | ICON Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
14 |
Name of fund | ICON Long/Short Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
15 |
Name of fund | ICON Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
16 |
Name of fund | ICON Emerging Markets Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 191,665.00 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 45 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class S |
ii. Class identification number, if any | C000024055 |
iii. Ticker symbol, if any | ICTRX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000094052 |
iii. Ticker symbol, if any | ICIAX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| ICE Data Pricing & Reference Data, LLC |
Description of other identifying number | 5493000NQ9LYLDBCTL34 |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Capital Institutional Services Inc. |
ii. SEC file number | 008-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | N/A |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6,290 |
Brokers Record:
2 |
i. Full name of broker | Weeden & Co. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6,180 |
Brokers Record:
3 |
i. Full name of broker | Bloomberg Tradebook LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,101 |
Brokers Record:
4 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,698 |
Brokers Record:
5 |
i. Full name of broker | Steven M. Ferretti |
ii. SEC file number | 008-51895 |
iii. CRD number | 000047768 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 960 |
Brokers Record:
6 |
i. Full name of broker | RBC Capital Markets LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 399 |
Brokers Record:
7 |
i. Full name of broker | Macquarie Capital (USA) Inc. |
ii. SEC file number | 008-47198 |
iii. CRD number | 000036368 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 120 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 17,748 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | ICON Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
2 |
Name of fund | ICON Consumer Staples Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
3 |
Name of fund | ICON International Equity Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
4 |
Name of fund | ICON Consumer Discretionary Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
5 |
Name of fund | ICON Natural Resources Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
6 |
Name of fund | ICON Information Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
7 |
Name of fund | ICON Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
8 |
Name of fund | ICON Healthcare Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
9 |
Name of fund | ICON Risk-Managed Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
10 |
Name of fund | ICON Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
11 |
Name of fund | ICON Emerging Markets Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
12 |
Name of fund | ICON Opportunities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
13 |
Name of fund | ICON Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
14 |
Name of fund | ICON Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
15 |
Name of fund | ICON Long/Short Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
16 |
Name of fund | ICON Flexible Bond Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 309,322.00 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 19 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000094046 |
iii. Ticker symbol, if any | ICEAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class S |
ii. Class identification number, if any | C000024052 |
iii. Ticker symbol, if any | ICENX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000094047 |
iii. Ticker symbol, if any | ICEEX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| ICE Data Pricing & Reference Data, LLC |
Description of other identifying number | 5493000NQ9LYLDBCTL34 |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Steven M Ferretti |
ii. SEC file number | 008-51895 |
iii. CRD number | 000047768 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 178,512 |
Brokers Record:
2 |
i. Full name of broker | The Benchmark Company LLC |
ii. SEC file number | 008-40081 |
iii. CRD number | 000022982 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 104,904 |
Brokers Record:
3 |
i. Full name of broker | Weeden & Co. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 85,973 |
Brokers Record:
4 |
i. Full name of broker | Bloomberg Tradebook LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 22,676 |
Brokers Record:
5 |
i. Full name of broker | Capital Institutional Services Inc. |
ii. SEC file number | 008-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | N/A |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 21,842 |
Brokers Record:
6 |
i. Full name of broker | Morgan Stanley & Co LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 19,296 |
Brokers Record:
7 |
i. Full name of broker | RBC Capital Markets LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 12,051 |
Brokers Record:
8 |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 008-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,868 |
Brokers Record:
9 |
i. Full name of broker | Convergex Execution Solutions LLC |
ii. SEC file number | 008-46838 |
iii. CRD number | 000035693 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 452,122 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | ICON Opportunities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
2 |
Name of fund | ICON Industrials Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
3 |
Name of fund | ICON Long/Short Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
4 |
Name of fund | ICON Healthcare Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
5 |
Name of fund | ICON Information Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
6 |
Name of fund | ICON Natural Resources Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
7 |
Name of fund | ICON Consumer Discretionary Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
8 |
Name of fund | ICON Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
9 |
Name of fund | ICON Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
10 |
Name of fund | ICON Flexible Bond Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
11 |
Name of fund | ICON Consumer Staples Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
12 |
Name of fund | ICON Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
13 |
Name of fund | ICON International Equity Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
14 |
Name of fund | ICON Emerging Markets Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
15 |
Name of fund | ICON Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
16 |
Name of fund | ICON Risk-Managed Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 385,180.00 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 23 |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| ICE Data Pricing & Reference Data, LLC |
Description of other identifying number | 5493000NQ9LYLDBCTL34 |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | ALPS FUND SERVICES, INC. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Steven M. Ferretti |
ii. SEC file number | 008-51895 |
iii. CRD number | 000047768 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 26,735 |
Brokers Record:
2 |
i. Full name of broker | Weeden & Co. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6,437 |
Brokers Record:
3 |
i. Full name of broker | Capital Institutional Services Inc. |
ii. SEC file number | 008-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | N/A |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,570 |
Brokers Record:
4 |
i. Full name of broker | The Benchmark Company LLC |
ii. SEC file number | 008-40081 |
iii. CRD number | 000022982 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,695 |
Brokers Record:
5 |
i. Full name of broker | Bloomberg Tradebook LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,411 |
Brokers Record:
6 |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 008-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,756 |
Brokers Record:
7 |
i. Full name of broker | RBC Capital Markets LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 112 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 44,716 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | ICON Industrials Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
2 |
Name of fund | ICON Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
3 |
Name of fund | ICON Consumer Discretionary Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
4 |
Name of fund | ICON Healthcare Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
5 |
Name of fund | ICON Emerging Markets Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
6 |
Name of fund | ICON Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
7 |
Name of fund | ICON International Equity Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
8 |
Name of fund | ICON Risk-Managed Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
9 |
Name of fund | ICON Consumer Staples Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
10 |
Name of fund | ICON Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
11 |
Name of fund | ICON Flexible Bond Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
12 |
Name of fund | ICON Long/Short Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
13 |
Name of fund | ICON Natural Resources Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
14 |
Name of fund | ICON Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
15 |
Name of fund | ICON Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
16 |
Name of fund | ICON Information Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 193,027.00 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 57 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class S |
ii. Class identification number, if any | C000013843 |
iii. Ticker symbol, if any | IOEZX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000013842 |
iii. Ticker symbol, if any | IOECX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000033811 |
iii. Ticker symbol, if any | IEQAX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| ICE Data Pricing & Reference Data, LLC |
Description of other identifying number | 5493000NQ9LYLDBCTL34 |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | ALPS FUND SERVICES, INC. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Steven M. Ferretti |
ii. SEC file number | 008-51895 |
iii. CRD number | 000047768 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 82,821 |
Brokers Record:
2 |
i. Full name of broker | Weeden & Co. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 46,871 |
Brokers Record:
3 |
i. Full name of broker | The Benchmark Company LLC |
ii. SEC file number | 008-40081 |
iii. CRD number | 000022982 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 35,605 |
Brokers Record:
4 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 16,005 |
Brokers Record:
5 |
i. Full name of broker | Bloomberg Tradebook LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 13,347 |
Brokers Record:
6 |
i. Full name of broker | RBC Capital Markets LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11,535 |
Brokers Record:
7 |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 008-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,514 |
Brokers Record:
8 |
i. Full name of broker | Capital Institutional Services Inc. |
ii. SEC file number | 008-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | N/A |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,241 |
Brokers Record:
9 |
i. Full name of broker | Macquarie Capital (USA) Inc. |
ii. SEC file number | 008-47198 |
iii. CRD number | 000036368 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,069 |
Brokers Record:
10 |
i. Full name of broker | Convergex Execution Solutions LLC |
ii. SEC file number | 008-46838 |
iii. CRD number | 000035693 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 415 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 227,423 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Bloomberg Tradebook LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 38,821 |
Principal Transactions Record:
2 |
i. Full name of dealer | C.L. King & Associates Inc. |
ii. SEC file number | 008-17025 |
iii. CRD number | 000006183 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 209,625 |
Principal Transactions Record:
3 |
i. Full name of dealer | Cantor Fitzgerald & Co. |
ii. SEC file number | 008-00201 |
iii. CRD number | 000000134 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,717,355 |
Principal Transactions Record:
4 |
i. Full name of dealer | Raymond James and Associates Inc |
ii. SEC file number | 008-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | N/A |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 522,500 |
Principal Transactions Record:
5 |
i. Full name of dealer | Robert W. Baird & Co. Inc. |
ii. SEC file number | 008-00497 |
iii. CRD number | 000008158 |
iv. LEI, if any | N/A |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,151,303 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | ICON Consumer Discretionary Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
2 |
Name of fund | ICON Long/Short Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
3 |
Name of fund | ICON Emerging Markets Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
4 |
Name of fund | ICON Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
5 |
Name of fund | ICON Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
6 |
Name of fund | ICON Industrials Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
7 |
Name of fund | ICON Information Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
8 |
Name of fund | ICON Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
9 |
Name of fund | ICON Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
10 |
Name of fund | ICON Consumer Staples Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
11 |
Name of fund | ICON Risk-Managed Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
12 |
Name of fund | ICON Natural Resources Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
13 |
Name of fund | ICON Opportunities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
14 |
Name of fund | ICON Flexible Bond Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
15 |
Name of fund | ICON International Equity Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
16 |
Name of fund | ICON Healthcare Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 749,004.00 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 32 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class S |
ii. Class identification number, if any | C000024056 |
iii. Ticker symbol, if any | ICTEX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000094054 |
iii. Ticker symbol, if any | ICTTX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| ICE Data Pricing & Reference Data, LLC |
Description of other identifying number | 5493000NQ9LYLDBCTL34 |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | ALPS FUND SERVICES, INC. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Steven M. Ferretti |
ii. SEC file number | 008-51895 |
iii. CRD number | 000047768 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 24,101 |
Brokers Record:
2 |
i. Full name of broker | Weeden & Co. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 22,139 |
Brokers Record:
3 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 15,005 |
Brokers Record:
4 |
i. Full name of broker | The Benchmark Company LLC |
ii. SEC file number | 008-40081 |
iii. CRD number | 000022982 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 12,425 |
Brokers Record:
5 |
i. Full name of broker | Bloomberg Tradebook LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,435 |
Brokers Record:
6 |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 008-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,126 |
Brokers Record:
7 |
i. Full name of broker | Capital Institutional Services Inc. |
ii. SEC file number | 008-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | N/A |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,186 |
Brokers Record:
8 |
i. Full name of broker | RBC Capital Markets LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,869 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 95,286 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | ICON Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
2 |
Name of fund | ICON Risk-Managed Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
3 |
Name of fund | ICON Natural Resources Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
4 |
Name of fund | ICON Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
5 |
Name of fund | ICON Consumer Staples Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
6 |
Name of fund | ICON Flexible Bond Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
7 |
Name of fund | ICON Emerging Markets Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
8 |
Name of fund | ICON International Equity Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
9 |
Name of fund | ICON Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
10 |
Name of fund | ICON Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
11 |
Name of fund | ICON Healthcare Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
12 |
Name of fund | ICON Long/Short Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
13 |
Name of fund | ICON Opportunities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
14 |
Name of fund | ICON Industrials Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
15 |
Name of fund | ICON Consumer Discretionary Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
16 |
Name of fund | ICON Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 482,240.00 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 13 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000094058 |
iii. Ticker symbol, if any | ICBAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000094059 |
iii. Ticker symbol, if any | ICBCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class S |
ii. Class identification number, if any | C000024058 |
iii. Ticker symbol, if any | ICBMX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| ICE Data Pricing & Reference Data, LLC |
Description of other identifying number | 5493000NQ9LYLDBCTL34 |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | ALPS FUND SERVICES, INC. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 008-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 82,003 |
Brokers Record:
2 |
i. Full name of broker | Capital Institutional Services Inc. |
ii. SEC file number | 008-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | N/A |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 45,438 |
Brokers Record:
3 |
i. Full name of broker | Weeden & Co. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 28,395 |
Brokers Record:
4 |
i. Full name of broker | Macquarie Capital (USA) Inc. |
ii. SEC file number | 008-47198 |
iii. CRD number | 000036368 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 24,653 |
Brokers Record:
5 |
i. Full name of broker | Steven M. Ferretti |
ii. SEC file number | 008-51895 |
iii. CRD number | 000047768 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 12,250 |
Brokers Record:
6 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11,602 |
Brokers Record:
7 |
i. Full name of broker | Bloomberg Tradebook LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,495 |
Brokers Record:
8 |
i. Full name of broker | The Benchmark Company LLC |
ii. SEC file number | 008-40081 |
iii. CRD number | 000022982 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,750 |
Brokers Record:
9 |
i. Full name of broker | RBC Capital Markets LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 150 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 208,736 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | ICON Opportunities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
2 |
Name of fund | ICON Flexible Bond Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
3 |
Name of fund | ICON Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
4 |
Name of fund | ICON Long/Short Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
5 |
Name of fund | ICON Emerging Markets Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
6 |
Name of fund | ICON Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
7 |
Name of fund | ICON Healthcare Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
8 |
Name of fund | ICON Industrials Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
9 |
Name of fund | ICON Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
10 |
Name of fund | ICON Risk-Managed Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
11 |
Name of fund | ICON Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
12 |
Name of fund | ICON Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
13 |
Name of fund | ICON Consumer Staples Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
14 |
Name of fund | ICON Information Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
15 |
Name of fund | ICON Consumer Discretionary Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
16 |
Name of fund | ICON International Equity Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 1,329,623.00 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 10 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000013830 |
iii. Ticker symbol, if any | IIQCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000033807 |
iii. Ticker symbol, if any | IIQAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class S |
ii. Class identification number, if any | C000013831 |
iii. Ticker symbol, if any | ICNEX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| ICE Data Pricing & Reference Data, LLC |
Description of other identifying number | 5493000NQ9LYLDBCTL34 |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | ALPS FUND SERVICES, INC. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Capital Institutional Services Inc. |
ii. SEC file number | 008-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | N/A |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 58,825 |
Brokers Record:
2 |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 008-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 40,571 |
Brokers Record:
3 |
i. Full name of broker | Macquarie Capital (USA) Inc. |
ii. SEC file number | 008-47198 |
iii. CRD number | 000036368 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 18,095 |
Brokers Record:
4 |
i. Full name of broker | Steven M. Ferretti |
ii. SEC file number | 008-51895 |
iii. CRD number | 000047768 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,959 |
Brokers Record:
5 |
i. Full name of broker | The Benchmark Company LLC |
ii. SEC file number | 008-40081 |
iii. CRD number | 000022982 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,290 |
Brokers Record:
6 |
i. Full name of broker | RBC Capital Markets LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,153 |
Brokers Record:
7 |
i. Full name of broker | Convergex Execution Solutions LLC |
ii. SEC file number | 008-46838 |
iii. CRD number | 000035693 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 909 |
Brokers Record:
8 |
i. Full name of broker | Weeden & Co. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 248 |
Brokers Record:
9 |
i. Full name of broker | Bloomberg Tradebook LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 222 |
Brokers Record:
10 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 200 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 123,472 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | ICON Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
2 |
Name of fund | ICON Industrials Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
3 |
Name of fund | ICON Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
4 |
Name of fund | ICON Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
5 |
Name of fund | ICON Natural Resources Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
6 |
Name of fund | ICON Emerging Markets Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
7 |
Name of fund | ICON Risk-Managed Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
8 |
Name of fund | ICON Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
9 |
Name of fund | ICON Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
10 |
Name of fund | ICON Long/Short Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
11 |
Name of fund | ICON Consumer Discretionary Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
12 |
Name of fund | ICON Consumer Staples Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
13 |
Name of fund | ICON Flexible Bond Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
14 |
Name of fund | ICON Information Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
15 |
Name of fund | ICON Healthcare Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
16 |
Name of fund | ICON Opportunities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 358,956.00 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 5 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class S |
ii. Class identification number, if any | C000024049 |
iii. Ticker symbol, if any | ICCCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000094044 |
iii. Ticker symbol, if any | ICCAX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| ICE Data Pricing & Reference Data, LLC |
Description of other identifying number | 5493000NQ9LYLDBCTL34 |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | ALPS FUND SERVICES, INC. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Steven M. Ferretti |
ii. SEC file number | 008-51895 |
iii. CRD number | 000047768 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 26,558 |
Brokers Record:
2 |
i. Full name of broker | The Benchmark Company LLC |
ii. SEC file number | 008-40081 |
iii. CRD number | 000022982 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 12,680 |
Brokers Record:
3 |
i. Full name of broker | Bloomberg Tradebook LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,342 |
Brokers Record:
4 |
i. Full name of broker | Weeden & Co. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,431 |
Brokers Record:
5 |
i. Full name of broker | Capital Institutional Services Inc. |
ii. SEC file number | 008-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | N/A |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,307 |
Brokers Record:
6 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 398 |
Brokers Record:
7 |
i. Full name of broker | RBC Capital Markets LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 56 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 46,772 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | ICON Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
2 |
Name of fund | ICON Risk-Managed Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
3 |
Name of fund | ICON Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
4 |
Name of fund | ICON International Equity Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
5 |
Name of fund | ICON Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
6 |
Name of fund | ICON Flexible Bond Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
7 |
Name of fund | ICON Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
8 |
Name of fund | ICON Information Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
9 |
Name of fund | ICON Healthcare Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
10 |
Name of fund | ICON Emerging Markets Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
11 |
Name of fund | ICON Consumer Staples Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
12 |
Name of fund | ICON Natural Resources Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
13 |
Name of fund | ICON Long/Short Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
14 |
Name of fund | ICON Opportunities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
15 |
Name of fund | ICON Industrials Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
16 |
Name of fund | ICON Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 217,738.00 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 7 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class S |
ii. Class identification number, if any | C000024053 |
iii. Ticker symbol, if any | ICFSX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000094048 |
iii. Ticker symbol, if any | ICFAX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| ICE Data Pricing & Reference Data, LLC |
Description of other identifying number | 5493000NQ9LYLDBCTL34 |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | ALPS FUND SERVICES, INC. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Steven M. Ferretti |
ii. SEC file number | 008-51895 |
iii. CRD number | 000047768 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,903 |
Brokers Record:
2 |
i. Full name of broker | The Benchmark Company LLC |
ii. SEC file number | 008-40081 |
iii. CRD number | 000022982 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,255 |
Brokers Record:
3 |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 008-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,516 |
Brokers Record:
4 |
i. Full name of broker | Weeden & Co. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,782 |
Brokers Record:
5 |
i. Full name of broker | Bloomberg Tradebook LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,448 |
Brokers Record:
6 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,646 |
Brokers Record:
7 |
i. Full name of broker | Capital Institutional Services Inc. |
ii. SEC file number | 008-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | N/A |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,166 |
Brokers Record:
8 |
i. Full name of broker | RBC Capital Markets LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 836 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 28,552 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | ICON Opportunities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
2 |
Name of fund | ICON Long/Short Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
3 |
Name of fund | ICON Consumer Staples Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
4 |
Name of fund | ICON Healthcare Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
5 |
Name of fund | ICON Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
6 |
Name of fund | ICON Emerging Markets Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
7 |
Name of fund | ICON Consumer Discretionary Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
8 |
Name of fund | ICON Information Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
9 |
Name of fund | ICON Natural Resources Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
10 |
Name of fund | ICON Flexible Bond Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
11 |
Name of fund | ICON International Equity Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
12 |
Name of fund | ICON Risk-Managed Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
13 |
Name of fund | ICON Industrials Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
14 |
Name of fund | ICON Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
15 |
Name of fund | ICON Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
16 |
Name of fund | ICON Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 72,588.00 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 11 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000033812 |
iii. Ticker symbol, if any | ISTAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class S |
ii. Class identification number, if any | C000013846 |
iii. Ticker symbol, if any | IOLZX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000013845 |
iii. Ticker symbol, if any | IOLCX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| ICE Data Pricing & Reference Data, LLC |
Description of other identifying number | 5493000NQ9LYLDBCTL34 |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | ALPS FUND SERVICES, INC. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Steven M. Ferretti |
ii. SEC file number | 008-51895 |
iii. CRD number | 000047768 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,114 |
Brokers Record:
2 |
i. Full name of broker | Bloomberg Tradebook LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,213 |
Brokers Record:
3 |
i. Full name of broker | Weeden & Co. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,396 |
Brokers Record:
4 |
i. Full name of broker | Capital Institutional Services Inc. |
ii. SEC file number | 008-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | N/A |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 479 |
Brokers Record:
5 |
i. Full name of broker | The Benchmark Company LLC |
ii. SEC file number | 008-40081 |
iii. CRD number | 000022982 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 375 |
Brokers Record:
6 |
i. Full name of broker | HSBC Securities (USA) Inc. |
ii. SEC file number | 008-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 332 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 12,909 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | ICON Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
2 |
Name of fund | ICON Natural Resources Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
3 |
Name of fund | ICON Risk-Managed Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
4 |
Name of fund | ICON Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
5 |
Name of fund | ICON Consumer Discretionary Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
6 |
Name of fund | ICON Healthcare Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
7 |
Name of fund | ICON Opportunities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
8 |
Name of fund | ICON Consumer Staples Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
9 |
Name of fund | ICON Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
10 |
Name of fund | ICON Flexible Bond Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
11 |
Name of fund | ICON Industrials Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
12 |
Name of fund | ICON Information Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
13 |
Name of fund | ICON Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
14 |
Name of fund | ICON International Equity Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
15 |
Name of fund | ICON Emerging Markets Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
16 |
Name of fund | ICON Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 251,565.00 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 36 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000033809 |
iii. Ticker symbol, if any | ICNAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class S |
ii. Class identification number, if any | C000013834 |
iii. Ticker symbol, if any | ICNZX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000013833 |
iii. Ticker symbol, if any | ICNCX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| ICE Data Pricing & Reference Data, LLC |
Description of other identifying number | 5493000NQ9LYLDBCTL34 |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | ALPS FUND SERVICES, INC. |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
COLORADO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Steven M. Ferretti |
ii. SEC file number | 008-51895 |
iii. CRD number | 000047768 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 15,774 |
Brokers Record:
2 |
i. Full name of broker | Weeden & Co. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,124 |
Brokers Record:
3 |
i. Full name of broker | HSBC Securities (USA) LLC |
ii. SEC file number | 008-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,048 |
Brokers Record:
4 |
i. Full name of broker | Bloomberg Tradebook LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 732 |
Brokers Record:
5 |
i. Full name of broker | The Benchmark Company LLC |
ii. SEC file number | 008-40081 |
iii. CRD number | 000022982 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 520 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 20,198 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | State Street Bank and Trust Company |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | ICON Financial Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
2 |
Name of fund | ICON International Equity Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
3 |
Name of fund | ICON Long/Short Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
4 |
Name of fund | ICON Utilities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
5 |
Name of fund | ICON Emerging Markets Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
6 |
Name of fund | ICON Consumer Staples Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
7 |
Name of fund | ICON Energy Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
8 |
Name of fund | ICON Information Technology Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
9 |
Name of fund | ICON Flexible Bond Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
10 |
Name of fund | ICON Healthcare Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
11 |
Name of fund | ICON Natural Resources Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
12 |
Name of fund | ICON Industrials Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
13 |
Name of fund | ICON Opportunities Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
14 |
Name of fund | ICON Risk-Managed Balanced Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
15 |
Name of fund | ICON Equity Income Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
Shared Credit Users Record:
16 |
Name of fund | ICON Consumer Discretionary Fund |
SEC File number(
e.g., 811-
)
| 811-07883 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 88,343.00 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 168 |