|
Shareholder servicing agents Record:
1 |
i. Full name | U.S. BANCORP FUND SERVICES, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 85-11357 |
Description of other identifying number | SEC file number |
iii. State, if applicable |
PENNSYLVANIA
|
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 | MERRILL LYNCH, PIERCE, FENNER & SMITH |
ii. SEC file number | 008-07221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
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 | 550.29999999 |
Brokers Record:
2 |
i. Full name of broker | ADVANTAGE TRADING GROUP INC |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
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 | 700.15000000 |
Brokers Record:
3 |
i. Full name of broker | R.J. O'BRIEN SECURITIES, LLC |
ii. SEC file number | 008-67587 |
iii. CRD number | 000143624 |
iv. LEI, if any | 549300BSZNPQJNYIAD03 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,771.89999999 |
Brokers Record:
4 |
i. Full name of broker | CITIGROUP GLOBAL MARKETS |
ii. SEC file number | 008-08177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
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 | 2,235.80000000 |
Brokers Record:
5 |
i. Full name of broker | MORGAN STANLEY & CO, INC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000149777 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
MARYLAND
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,067.85000000 |
Brokers Record:
6 |
i. Full name of broker | ITG INC. |
ii. SEC file number | 008-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 549300S41SMIODVIT266 |
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 | 887.00000000 |
Brokers Record:
7 |
i. Full name of broker | CROWELL, WEEDON & CO., INC. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
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 | 2,867.05000000 |
Brokers Record:
8 |
i. Full name of broker | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 008-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,494.35000000 |
Brokers Record:
9 |
i. Full name of broker | NOMURA SECURITIES |
ii. SEC file number | 008-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
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 | 1,805.39999999 |
Brokers Record:
10 |
i. Full name of broker | RBC CAPITAL MARKETS, LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,673.10000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 0.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | CREDIT AGRICOLE SECURITIES (USA) INC. |
ii. SEC file number | 008-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 549300WO2DKF0Q3YMV43 |
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:
| 499,493.92000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | BNY MELLON CAPITAL MARKETS, LLC. |
ii. SEC file number | 008-35255 |
iii. CRD number | 000017454 |
iv. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
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:
| 1,356,411.95000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | U.S. BANCORP INVESTMENTS, INC. |
ii. SEC file number | 008-35359 |
iii. CRD number | 000017868 |
iv. LEI, if any | N1GZ7BBF3NP8GI976H15 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,125,106.00999999 |
Principal Transactions Record:
4 |
i. Full name of dealer | BANK OF NOVA SCOTIA |
ii. SEC file number | 008-03716 |
iii. CRD number | 000002739 |
iv. LEI, if any | 5493009NLZXZGJDOPC94 |
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:
| 387,254.30000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | KEYBANC CAPITAL MARKETS |
ii. SEC file number | 008-30177 |
iii. CRD number | 000000566 |
iv. LEI, if any | 2EQWV0180Z211YVAD813 |
v. State, if applicable |
OHIO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 571,856.52000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | TD NEWCREST |
ii. SEC file number | 008-36747 |
iii. CRD number | 000018476 |
iv. LEI, if any | SUVUFHICNZMP2WKHG940 |
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:
| 773,932.86000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | RBS SECURITIES |
ii. SEC file number | 008-37135 |
iii. CRD number | 000011707 |
iv. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,937,052.58000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | BROWN BROTHERS HARRIMAN |
ii. SEC file number | 008-69731 |
iii. CRD number | 000282732 |
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:
| 8,844,679.05999999 |
Principal Transactions Record:
9 |
i. Full name of dealer | NORTHERN CAPITAL ADVISORS |
ii. SEC file number | 008-49130 |
iii. CRD number | 000040659 |
iv. LEI, if any | 254900ZANH7XTB94LS53 |
v. State, if applicable |
MASSACHUSETTS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 804,323.82999999 |
Principal Transactions Record:
10 |
i. Full name of dealer | U.S. BANCORP INVESTMENTS, INC. |
ii. SEC file number | 008-35359 |
iii. CRD number | 000017868 |
iv. LEI, if any | N1GZ7BBF3NP8GI976H15 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 295,808.36000000 |
|
Shareholder servicing agents Record:
1 |
i. Full name | U.S. BANCORP FUND SERVICES, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 85-11357 |
Description of other identifying number | SEC file number |
iii. State, if applicable |
PENNSYLVANIA
|
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 | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
ii. SEC file number | 008-07221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
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 | 1,000.00000000 |
Brokers Record:
2 |
i. Full name of broker | RBC CAPITAL MARKETS, LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 21,000.00000000 |
Brokers Record:
3 |
i. Full name of broker | JEFFERIES & CO. INC |
ii. SEC file number | 008-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 | 11,000.00000000 |
Brokers Record:
4 |
i. Full name of broker | WEEDEN & COMPANY |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | 549300OYBLKSN8M8EW67 |
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 | 19,000.00000000 |
Brokers Record:
5 |
i. Full name of broker | GOLDMAN SACHS CO. |
ii. SEC file number | 008-00129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
UTAH
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 21,000.00000000 |
Brokers Record:
6 |
i. Full name of broker | ITG INC. |
ii. SEC file number | 008-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 549300S41SMIODVIT266 |
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 | 4,000.00000000 |
Brokers Record:
7 |
i. Full name of broker | LIQUIDNET INC. |
ii. SEC file number | 008-52461 |
iii. CRD number | 000103987 |
iv. LEI, if any | 213800HSKBBO1GCVRG79 |
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 | 1,000.00000000 |
Brokers Record:
8 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 008-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
OHIO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,000.00000000 |
Brokers Record:
9 |
i. Full name of broker | LOOP CAPITAL MARKETS INC |
ii. SEC file number | 008-50140 |
iii. CRD number | 000043098 |
iv. LEI, if any | 254900FPPM2WN90D4786 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,000.00000000 |
Brokers Record:
10 |
i. Full name of broker | NOMURA SECURITIES INTERNATIONAL, INC. |
ii. SEC file number | 008-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
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 | 4,000.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 0.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 008-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
OHIO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,388.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | BROWN BROTHERS HARRIMAN & CO |
ii. SEC file number | 008-69731 |
iii. CRD number | 000282732 |
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:
| 36,322,704.78999999 |
Principal Transactions Record:
3 |
i. Full name of dealer | BOFAML SECURITIES, INC. |
ii. SEC file number | 008-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
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:
| -2,278.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | CREDIT SUISSE FIRST BOSTON CORPORATION |
ii. SEC file number | 008-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
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:
| -486.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | NORTHERN CAPITAL ADVISORS |
ii. SEC file number | 008-49130 |
iii. CRD number | 000040659 |
iv. LEI, if any | 254900ZANH7XTB94LS53 |
v. State, if applicable |
MASSACHUSETTS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 896.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | CITIGROUP GLOBAL MARKETS INC. |
ii. SEC file number | 008-08177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
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:
| 3,419.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | MORGAN STANLEY & CO. LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000149777 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
MARYLAND
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,877.00000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | BROWN BROTHERS HARRIMAN & CO |
ii. SEC file number | 008-69731 |
iii. CRD number | 000282732 |
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:
| -31,702.00000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | RBC CAPITAL MARKETS, LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,519.00000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | U.S. BANCORP INVESTMENTS, INC. |
ii. SEC file number | 008-35359 |
iii. CRD number | 000017868 |
iv. LEI, if any | N1GZ7BBF3NP8GI976H15 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 25,265,922.30000000 |
|
Sub Advisors Record:
1 |
i. Full name | Parametric Portfolio Management |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-60485 |
iii. CRD number | 000114310 |
iv. LEI, if any | 549300S4WU4W1Z92RF77 |
v. State, if applicable |
WASHINGTON
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
2 |
i. Full name | Coho Partners LTD |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-60111 |
iii. CRD number | 000111335 |
iv. LEI, if any | N/A |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
3 |
i. Full name | Blackrock Financial |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-40372 |
iii. CRD number | 000107105 |
iv. LEI, if any | 549300LVXYIVJKE13M84 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
4 |
i. Full name | Brandywine Asset Management |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-55738 |
iii. CRD number | 000137388 |
iv. LEI, if any | N/A |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
5 |
i. Full name | Waddell & Reed |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-55738 |
iii. CRD number | 000106343 |
iv. LEI, if any | 549300182P8VMSX6J380 |
v. State, if applicable |
KANSAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Pricing Services Record:
1 |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | IHS Markit |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Intercontinental Exchange, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
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
|
Pricing Services Record:
4 |
i. Full name | Bloomberg |
ii. LEI, if any, or provide and describe other
identifying number
| 254900BF4G8VMW8GG471 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
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
|
Pricing Services Record:
5 |
i. Full name | Pricing Direct |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
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
|
Pricing Services Record:
6 |
i. Full name | S&P |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
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 | U.S. BANCORP FUND SERVICES, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 85-11357 |
Description of other identifying number | SEC file number |
iii. State, if applicable |
PENNSYLVANIA
|
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 | CREDIT SUISSE SECURITIES (USA) LLC |
ii. SEC file number | 008-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
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 | 31.00000000 |
Brokers Record:
2 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 008-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
OHIO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 168.69999999 |
Brokers Record:
3 |
i. Full name of broker | RBC CAPITAL |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,892.19999999 |
Brokers Record:
4 |
i. Full name of broker | MORGAN STANLEY & CO, INC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000149777 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
MARYLAND
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 33.74000000 |
Brokers Record:
5 |
i. Full name of broker | INSTINET, LLC |
ii. SEC file number | 008-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
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 | 3,863.25999999 |
Brokers Record:
6 |
i. Full name of broker | ITG INC. |
ii. SEC file number | 008-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 549300S41SMIODVIT266 |
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 | 298.52000000 |
Brokers Record:
7 |
i. Full name of broker | JEFFERIES LLC |
ii. SEC file number | 008-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 | 10,607.01999999 |
Brokers Record:
8 |
i. Full name of broker | LOOP CAPITAL MARKETS LLC |
ii. SEC file number | 008-50140 |
iii. CRD number | 000043098 |
iv. LEI, if any | 254900FPPM2WN90D4786 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,296.89000000 |
Brokers Record:
9 |
i. Full name of broker | WEEDEN & COMPANY |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | 549300OYBLKSN8M8EW67 |
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 | 5,848.75999999 |
Brokers Record:
10 |
i. Full name of broker | LIQUIDNET |
ii. SEC file number | 008-52461 |
iii. CRD number | 000103987 |
iv. LEI, if any | 213800HSKBBO1GCVRG79 |
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 | 395.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 26,470.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | BOFAML SECURITIES, INC. |
ii. SEC file number | 008-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
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:
| -2,278.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | DEUTSCHE BANK SECURITIES INC. |
ii. SEC file number | 008-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
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:
| 2,034,533.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | CREDIT SUISSE FIRST BOSTON CORPORATION |
ii. SEC file number | 008-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
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:
| -486.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 008-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
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:
| 2,388.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | GOLDMAN SACHS CO. |
ii. SEC file number | 008-00129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
UTAH
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 398,224.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | RBC CAPITAL MARKETS, LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,519.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | NORTHERN CAPITAL ADVISORS |
ii. SEC file number | 008-49130 |
iii. CRD number | 000040659 |
iv. LEI, if any | 254900ZANH7XTB94LS53 |
v. State, if applicable |
MASSACHUSETTS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 896.00000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | MORGAN STANLEY & CO. LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000149777 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
MARYLAND
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,877.00000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | CITIGROUP GLOBAL MARKETS INC. |
ii. SEC file number | 008-08177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
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:
| 3,419.00000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | BROWN BROTHERS HARRIMAN & CO |
ii. SEC file number | 008-69731 |
iii. CRD number | 000282732 |
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:
| -31,702.00000000 |
|
Sub Advisors Record:
1 |
i. Full name | Income Research Management |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-29482 |
iii. CRD number | 000104863 |
iv. LEI, if any | 254900RO33N8JBVSKJ39 |
v. State, if applicable |
MASSACHUSETTS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
2 |
i. Full name | Western Asset Management |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-21068 |
iii. CRD number | 000110441 |
iv. LEI, if any | 549300C5A561UXUICN46 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
3 |
i. Full name | Western Asset Management |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-08162 |
iii. CRD number | 000110441 |
iv. LEI, if any | 549300C5A561UXUICN46 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Pricing Services Record:
1 |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Intercontinental Exchange, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
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
|
Pricing Services Record:
3 |
i. Full name | S&P |
ii. LEI, if any, or provide and describe other
identifying number
| 549300U4VWNITEKO2881 |
Description of other identifying number | |
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
|
Pricing Services Record:
4 |
i. Full name | IHS Markit |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
5 |
i. Full name | Pricing Direct |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
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
|
Pricing Services Record:
6 |
i. Full name | Bloomberg |
ii. LEI, if any, or provide and describe other
identifying number
| 254900BF4G8VMW8GG471 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
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 | U.S. BANCORP FUND SERVICES, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 85-11357 |
Description of other identifying number | SEC file number |
iii. State, if applicable |
PENNSYLVANIA
|
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 | NOMURA SECURITIES INTERNATIONAL, INC. |
ii. SEC file number | 008-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
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 | 1,805.39999999 |
Brokers Record:
2 |
i. Full name of broker | ITG INC. |
ii. SEC file number | 008-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 549300S41SMIODVIT266 |
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 | 887.00000000 |
Brokers Record:
3 |
i. Full name of broker | RJ O'BRIEN |
ii. SEC file number | 008-67587 |
iii. CRD number | 000143624 |
iv. LEI, if any | 549300BSZNPQJNYIAD03 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,771.89999999 |
Brokers Record:
4 |
i. Full name of broker | RBC CAPITAL |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,673.10000000 |
Brokers Record:
5 |
i. Full name of broker | MERRILL LYNCH, PIERCE, FENNER & SMITH |
ii. SEC file number | 008-07221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
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 | 550.29999999 |
Brokers Record:
6 |
i. Full name of broker | ADVANTAGE TRADING GROUP INC |
ii. SEC file number | N/A |
iii. CRD number | 000000000 |
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 | 700.15000000 |
Brokers Record:
7 |
i. Full name of broker | WELLS FARGO SECURITIES |
ii. SEC file number | 008-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,494.35000000 |
Brokers Record:
8 |
i. Full name of broker | CROWELL, WEEDON & CO., INC. |
ii. SEC file number | 008-02399 |
iii. CRD number | 000000199 |
iv. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,867.05000000 |
Brokers Record:
9 |
i. Full name of broker | MORGAN STANLEY & CO, INC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000149777 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
MARYLAND
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,067.85000000 |
Brokers Record:
10 |
i. Full name of broker | CITIGROUP GLOBAL MARKETS |
ii. SEC file number | 008-08177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
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 | 2,235.80000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 20,175.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | BNY MELLON CAPITAL MARKETS, LLC |
ii. SEC file number | 008-35255 |
iii. CRD number | 000010286 |
iv. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
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:
| 1,356,411.95000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | KEYBANC CAPITAL MARKETS |
ii. SEC file number | 008-30177 |
iii. CRD number | 000000566 |
iv. LEI, if any | 2EQWV0180Z211YVAD813 |
v. State, if applicable |
OHIO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 571,856.52000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | CREDIT AGRICOLE SECURITIES (USA) INC. |
ii. SEC file number | 008-13753 |
iii. CRD number | 000000190 |
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:
| 499,493.92000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | NORTHERN CAPITAL ADVISORS |
ii. SEC file number | 008-49130 |
iii. CRD number | 000040659 |
iv. LEI, if any | 254900ZANH7XTB94LS53 |
v. State, if applicable |
MASSACHUSETTS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 804,323.82999999 |
Principal Transactions Record:
5 |
i. Full name of dealer | RBC CAPITAL MARKETS, LLC |
ii. SEC file number | 008-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,299,205.79000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | BANK OF NOVA SCOTIA |
ii. SEC file number | 008-03716 |
iii. CRD number | 000002739 |
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:
| 387,254.30000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | BOFAML SECURITIES, INC. |
ii. SEC file number | 008-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
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:
| 7,216,090.62999999 |
Principal Transactions Record:
8 |
i. Full name of dealer | U.S. BANCORP INVESTMENTS, INC. |
ii. SEC file number | 008-35359 |
iii. CRD number | 000017868 |
iv. LEI, if any | H85Z6XZP8B10ES0M2G89 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 295,808.36000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | TD NEWCREST |
ii. SEC file number | 008-36747 |
iii. CRD number | 000018476 |
iv. LEI, if any | SUVUFHICNZMP2WKHG940 |
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:
| 773,932.86000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | RBS SECURITIES |
ii. SEC file number | 008-37135 |
iii. CRD number | 000011707 |
iv. LEI, if any | ZE2ZWJ5BTIQJ8M0C6K34 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,937,052.58000000 |