0001544657-15-000011.txt : 20151230 0001544657-15-000011.hdr.sgml : 20151230 20151230140000 ACCESSION NUMBER: 0001544657-15-000011 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20151031 FILED AS OF DATE: 20151230 DATE AS OF CHANGE: 20151230 EFFECTIVENESS DATE: 20151230 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Avenue Mutual Funds Trust CENTRAL INDEX KEY: 0001544657 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-22677 FILM NUMBER: 151313121 BUSINESS ADDRESS: STREET 1: 399 PARK AVENUE STREET 2: 6TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 878-3500 MAIL ADDRESS: STREET 1: 399 PARK AVENUE STREET 2: 6TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 0001544657 S000037201 Avenue Credit Strategies Fund C000114578 Investor Class C000114580 Institutional Class NSAR-B 1 answer.fil PAGE 1 000 B000000 10/31/2015 000 C000000 0001544657 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 Avenue Mutual Funds Trust 001 B000000 811-22677 001 C000000 2128783500 002 A000000 399 Park Avenue, 6th Floor 002 B000000 New York 002 C000000 NY 002 D010000 10022 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 Y 007 B000000 1 007 C010100 1 007 C020100 Avenue Credit Strategies Fund 007 C030100 N 008 A00AA01 AVENUE CAPITAL MANAGEMENT II, L.P. 008 B00AA01 A 008 C00AA01 801-57734 008 D01AA01 NEW YORK 008 D02AA01 NY 008 D03AA01 10022 010 A00AA01 STATE STREET BANK & TRUST COMPANY 010 B00AA01 85-05003 010 C01AA01 BOSTON 010 C02AA01 MA 010 C03AA01 02111 011 A00AA01 FORESIDE FUND SERVICES LLC 011 B00AA01 8-51293 011 C01AA01 PORTLAND 011 C02AA01 ME 011 C03AA01 04101 012 A00AA01 STATE STREET BANK & TRUST COMPANY 012 B00AA01 85-05003 012 C01AA01 BOSTON 012 C02AA01 MA 012 C03AA01 02111 013 A00AA01 PRICEWATERHOUSECOOPERS LLP 013 B01AA01 NEW YORK 013 B02AA01 NY 013 B03AA01 10017 014 A00AA01 MORGAN STANLEY & CO. INCORPORATED PAGE 2 014 B00AA01 8-15869 015 A00AA01 STATE STREET BANK & TRUST COMPANY 015 B00AA01 C 015 C01AA01 BOSTON 015 C02AA01 MA 015 C03AA01 02111 015 E01AA01 X 015 A00AA02 CLEARSTREAM BANKING 015 B00AA02 S 015 C01AA02 LUXEMBOURG 015 D01AA02 LUXEMBOURG 015 E04AA02 X 015 A00AA03 CANADA SELF CUSTODY - CDSX 015 B00AA03 S 015 C01AA03 TOROTO 015 D01AA03 CANADA 015 D02AA03 M5V 3L3 015 E04AA03 X 015 A00AA04 EUROCLEAR 015 B00AA04 S 015 C01AA04 BRUSSELS 015 D01AA04 BELGIUM 015 D02AA04 1101 HE 015 E04AA04 X 015 A00AA05 CANADA SELF CUSTODY - PHYSICAL 015 B00AA05 S 015 C01AA05 TORONTO 015 D01AA05 CANADA 015 D02AA05 M5V 3L3 015 E04AA05 X 018 00AA00 Y 019 A00AA00 Y 019 B00AA00 2 019 C00AA00 AVECAPITAL 020 A000001 INSTINET LLC 020 B000001 13-2625132 020 C000001 39 020 A000002 DEUTSCHE BANK 020 B000002 13-2730328 020 C000002 29 020 A000003 GOLDMAN SACHS & CO. 020 B000003 13-5108880 020 C000003 27 020 A000004 CREDIT SUISSE 020 B000004 05-0546650 020 C000004 22 020 A000005 PERSHING LLC 020 B000005 13-3769702 020 C000005 18 020 A000006 CITIGROUP GLOBAL MARKETS 020 C000006 13 PAGE 3 020 A000007 IMPERIAL CAPITAL 020 B000007 95-4644495 020 C000007 11 020 A000008 BANK OF AMERICA SECURITIES 020 B000008 95-4035346 020 C000008 9 020 A000009 PICTET OVERSEAS INC 020 C000009 4 020 A000010 CANTOR FITZGERALD & CO. 020 B000010 13-3680184 020 C000010 3 021 000000 95 022 A000001 STATE STREET BANK & TRUST COMPANY 022 B000001 13-3542950 022 C000001 41336783 022 D000001 152257 022 A000002 CITIGROUP GLOBAL MARKETS, INC. 022 B000002 13-3082694 022 C000002 259081 022 D000002 268344 022 A000003 CANTOR FITZGERALD & CO., INC. 022 B000003 95-1786286 022 C000003 140090 022 D000003 330894 022 A000004 GOLDMAN SACHS & CO. 022 B000004 13-5108880 022 C000004 153093 022 D000004 261221 022 A000005 CREDIT SUISSE 022 B000005 05-0546650 022 C000005 113198 022 D000005 181600 022 A000006 JPMORGAN CHASE & CO. 022 B000006 13-3112953 022 C000006 129193 022 D000006 111501 022 A000007 BARCLAYS CAPITAL 022 B000007 13-3297824 022 C000007 79178 022 D000007 129743 022 A000008 DEUTSCHE BANK 022 B000008 13-2730328 022 C000008 67075 022 D000008 86367 022 A000009 BANK OF AMERICA CORP. 022 B000009 95-4035346 022 C000009 41126 022 D000009 54815 022 A000010 JEFFERIES & COMPANY, INC. 022 B000010 95-2622900 022 C000010 6409 PAGE 4 022 D000010 52157 023 C000000 42413278 023 D000000 1807276 024 000100 Y 025 A000101 STATE STREET BANK & TRUST COMPANY 025 B000101 13-3542950 025 C000101 D 025 D000101 176605 026 A000000 N 026 B000000 N 026 C000000 N 026 D000000 N 026 E000000 N 026 F000000 N 026 G010000 N 026 G020000 N 026 H000000 N 027 000000 Y 028 A01AA00 47880 028 A02AA00 0 028 A03AA00 0 028 A04AA00 180791 028 B01AA00 24461 028 B02AA00 17851 028 B03AA00 0 028 B04AA00 122577 028 C01AA00 49078 028 C02AA00 0 028 C03AA00 0 028 C04AA00 117680 028 D01AA00 35248 028 D02AA00 0 028 D03AA00 0 028 D04AA00 327737 028 E01AA00 33460 028 E02AA00 12262 028 E03AA00 0 028 E04AA00 167448 028 F01AA00 53783 028 F02AA00 0 028 F03AA00 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074 F000100 59520 074 G000100 0 074 H000100 0 074 I000100 602 074 J000100 8830 074 K000100 0 074 L000100 21814 074 M000100 48471 074 N000100 1230772 074 O000100 7734 074 P000100 1007 074 Q000100 0 074 R010100 0 074 R020100 28017 074 R030100 0 074 R040100 23851 074 S000100 0 PAGE 9 074 T000100 1170163 074 U010100 79840 074 U020100 36710 074 V010100 10.04 074 V020100 10.03 074 W000100 0.0000 074 X000100 41948 074 Y000100 186725 075 A000100 0 075 B000100 1807140 076 000100 0.00 077 A000000 Y 077 B000000 Y 077 C000000 N 077 D000000 N 077 E000000 N 077 F000000 N 077 G000000 N 077 H000000 N 077 I000000 N 077 J000000 N 077 K000000 N 077 L000000 N 077 M000000 N 077 N000000 N 077 O000000 Y 077 P000000 N 077 Q010000 Y 077 Q020000 N 077 Q030000 N 078 000000 N 080 A00AA00 Federal Insurance Company 080 C00AA00 1250 081 A00AA00 Y 081 B00AA00 1 082 A00AA00 N 082 B00AA00 0 083 A00AA00 N 083 B00AA00 0 084 A00AA00 N 084 B00AA00 0 085 A00AA00 Y 085 B00AA00 N 086 A010000 0 086 A020000 0 086 B010000 0 086 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ATKINS TITLE TREASURER/CFO EX-99.77B ACCT LTTR 2 acsrepor.htm Unassociated Document
 
 
 


[Missing Graphic Reference]
 
pwc
 



Report of Independent Registered Public Accounting Firm
 

To the Trustees and Shareholders of
Avenue Mutual Funds Trust:
 


In our opinion, the accompanying statement of assets and liabilities, including the schedule of investments, and the related statements of operations and of changes in net assets and the financial highlights present fairly, in all material respects, the financial position of Avenue Credit Strategies Fund, a portfolio of Avenue Mutual Funds Trust (the "Fund"), at October 31,
 
2015, the results of its operations for the year then ended, the changes in its net assets for each of the two years in the period then ended and the financial highlights for each of the periods presented, in conformity with accounting principles generally accepted in the United States of America. These financial statements and financial highlights (hereafter referred to as "financial statements") are the responsibility of the Fund's management. Our responsibility is to express an opinion on these financial statements based on our audits.  We conducted our audits of these financial statements in accordance with the standards of the Public Company Accounting Oversight Board (United States).  Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence
 
supporting the amounts and disclosures in the financial statements, assessing the accounting principles used and significant estimates made by management, and evaluating the overall financial statement presentation. We believe that our audits, which included confirmation of securities at October 31, 2015 by correspondence with the custodian, agent banks and brokers, provide a reasonable basis for our opinion.
 

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PricewaterhouseCoopers LLP, PricewaterhouseCoopers Center,300 Madison Avenue,New York,NY 10017
T: (646) 471 3000,F: (813) 286 6ooo,www.pwc.com/us

 
 
 

EX-99.77O RULE 10F-3 3 acswrite.htm Unassociated Document
 
 
 

Transactions pursuant to rule 10f3
              
               
Name of Issuer
Date of Purchase
Number of Securities Purchased (Par)
Dollar Amount of Purchase
Price per Unit
Name(s) of Underwriter(s) or Dealer(s) From Whom Purchased
Affiliated Broker
Other Members of the Underwriting Syndicate
               
XPO Logistics
8/14/2014
3,411,000
3,411,000
100
Credit Suisse
Morgan Stanley
Credit Suisse, Morgan Stanley, Citigroup, Deutsche Bank Securities
               
Clear Channel Communications
9/5/2014
4,000,000
4,000,000
100
GSCO
Morgan Stanley
Goldman Sachs & Co, Morgan Stanley, Citigroup, Credit Suisse, Deutsche Bank Securities, Wells Fargo, Lion Tree
               
Gates Global
6/12/2014
8,000,000
8,000,000
100
Citi
Morgan Stanley
Citigroup, Credit Suisse, Goldman Sachs & Co, Morgan Stanley, Deutsche Bank Securities, UBS Investment Bank, Macquarie Capital, Blackstone Capital Markets
               
Gates Global
6/12/2014
5,000,000
5,000,000
100
Citi
Morgan Stanley
Citigroup, Credit Suisse, Goldman Sachs & Co, Morgan Stanley, Deutsche Bank Securities, UBS Investment Bank, Macquarie Capital, Blackstone Capital Markets
               
Acadia Healthcare
6/17/2014
1,000,000
1,000,000
100
BOFA
Mitsubishi UFJ Securities
BOFA, Merrill Lynch, Jefferies, Fifthe Third Securities, Regions Securities LLC, Capital One Securities, Credit Agricole CIB, Mitsubishi UFJ Securities, UBS Investment Bank
               
AmSurg Corp
7/1/2014
6,754,000
6,754,000
100
Citi
Mitsubishi UFJ Securities
Citigroup, Suntrust Robinson Humphrey, BOFA, Merrill Lynch, Jefferies, Wells Fargo Securities, Fifth Third Securities, JP Morgan, Mitsubishi UFJ Securities, KeyBanc Capital Markets, US Bancorp, Barclays, BBVA, Deutsche Bank Securities, Goldman Sachs & Co, FTN Financial Securities Corp, Raymond James
               
Kindred Healthcare
12/11/2014
                                                     2,599,000.00
                              2,599,000.00
100
CitiGroup
Morgan Stanley
Citigroup,JP morgan, Guggenheim, Morgan Stanley, BMO Capital Markets Deutsche Bank, Humphrey
               
HCA Inc
1/13/2015
                                                     1,733,000.00
                              1,733,000.00
100
Wells Fargo
Morgan Stanley
Wells Fargo, Barclays, BOFA, Merrill Lynch, Citigroup, Credit Suisse, Goldman Sachs, Morgan Stanley,RBC, Suntrust, Humphrey, UBS, Credit Agricole, CIB, Mizuho , Nikko
               
Valeant Pharmaceuticals
1/15/2015
5,000,000.00
5,000,000.00
100
Barclays
Morgan Stanley
Barclays, RBC, Deutsche Bank, DNB Markets, HSBC, MUFG, Morgan Stanley, Citigroup, Morgan SunTrust, Robinson Humphrey.
               
Altice Financing
1/30/2015
1,800,000.00
1,800,000.00
100
Goldman Sachs
Morgan Stanley
JP Morgan, Goldman Sachs, Credit Suisse, Deutsche Bank, Morgan Stanley, BNP, Credit Agricole, CIB, Citigroup,HSBC, Nomura, RBC, Societe Generale, Unicredit.
               
Altice Finco
1/30/2015
240,000.00
240,000.00
100
Goldman Sachs
Morgan Stanley
JP Morgan, Goldman Sachs, Credit Suisse, Deutsche Bank, Morgan Stanley, BNP, Credit Agricole, CIB, Citigroup,HSBC, Nomura, RBC, Societe Generale, Unicredit.
               
Altice SA
1/30/2015
760,000.00
760,000.00
100
Goldman Sachs
Morgan Stanley
JP Morgan, Goldman Sachs, Credit Suisse, Deutsche Bank, Morgan Stanley, BNP, Credit Agricole, CIB, Citigroup,HSBC, Nomura, RBC, Societe Generale, Unicredit.
               
Altice SA
1/30/2015
                                                         250,000.00
                                  250,000.00
100
Goldman Sachs
Morgan Stanley
JP Morgan, Goldman Sachs, Credit Suisse, Deutsche Bank, Morgan Stanley, BNP, Credit Agricole, CIB, Citigroup,HSBC, Nomura, RBC, Societe Generale, Unicredit.
               
Altice Financing
1/30/2015
2,000,000.00
2,000,000.00
100
Goldman Sachs
Morgan Stanley
JP Morgan, Goldman Sachs, Credit Suisse, Deutsche Bank, Morgan Stanley, BNP, Credit Agricole, CIB, Citigroup,HSBC, Nomura, RBC, Societe Generale, Unicredit.
               
iHeart Communications
2/19/2015
                                                     2,590,000.00
                              2,590,000.00
100
Goldman Sachs
Morgan Stanley
Goldman Sachs, Citigroup, Morgan Stanley, Credit Suisse, Deutsche Bank, Wells Fargo
               
Acadia Healthcare
2/5/2015
                                                     4,000,000.00
                              4,000,000.00
100
Bofa
Mittsubishi
Bofa, Merrill Lynch, Jefferies, Citigroup, Deutsche Bank, Fifth Third Securities, RBC, Credit Agricole, CIB, MUFG
               
Peabody Energy
3/5/2015
                                        8,687,000.00
                              8,475,558.42
97.566000
Bofa
Mittsubishi & Morgan Stanley
Bofa, Morgan Stanley, BNP, Credit Agricole, CIB, Credit Suisse,HSBC, jp MORGAN, PNC, RBS, BB&T, BBVA, Deutsche Bank, Fifth Third, Goldman, MUFG, SMBC, Wells Fargo, Westpac
               
Carrizo Oil & Gas
4/14/2015
                                          868,000.00
                         868,000.00
100
Credit Suisse
Mittsubishi
RBC Capital Markets Wells Fargo Securities Citigroup Credit Suisse, BBVA Capital One Securities Credit Agricole CIB,SOCIETE GENERALE MUFG Regions Securities LLC, IBERIA Capital Partners L.L.C. KeyBanc Capital Markets
               
Communications Sales
4/16/2015
                                          870,000.00
                         870,000.00
100
Bofa
Mittsubishi & Morgan Stanley
BofA Merrill Lynch J.P. Morgan Barclays Citigroup Credit Suisse Goldman, Sachs & Co. Morgan Stanley RBC Capital Markets SunTrust Robinson Humphrey Wells Fargo Securities BNP PARIBAS Deutsche Bank Securities MUFG+
               
JLL/Delta Dutch
4/29/2015
                                        1,729,000.00
                      1,729,000.00
100
JP Morgan
Mittsubishi & Morgan Stanley
J.P. Morgan UBS Investment Bank Jefferies KeyBanc Capital Markets Morgan Stanley
               
Concordia Healthcare
4/13/2015
                                        1,740,000.00
                      1,740,000.00
100
RBC
Morgan Stanley
RBC, Morgan Stanley, TD
               
Sandridge
5/28/2015
8750000
8750000
100
Barclays
Morgan Stanley
Barclays Morgan Stanley RBC Capital Markets Capital One Securities Natixis RBS SunTrust Robinson Humphrey UBS Investment Bank
               
Endo Finance
6/24/2015
                                                     4,000,000.00
                              4,000,000.00
100
Barclays
Morgan Stanley
Barclays Deutsche Bank Securities Credit Suisse Citigroup BofA Merrill Lynch DNB Markets Jefferies Morgan Stanley RBC Capital Markets SMBC Nikko
               
CCO Safari II, LLC
7/9/2015
                                                     1,000,000.00
                              1,000,000.00
100
Goldman Sachs
Mittsubishi
Goldman, Sachs & Co. BofA Merrill Lynch Credit Suisse Deutsche Bank Securities UBS Investment Bank Credit Agricole CIB Mizuho Securities USA Inc. MUFG RBC Capital Markets Scotiabank SMBC Nikko SunTrust Robinson Humphrey TD Securities US Bancorp Wells Fargo Securities
               
Frontier Communication
9/11/2015
                                                         819,000.00
                                  819,000.00
100
JPM
Morgan Stanley
J.P. Morgan BofA Merrill Lynch Citigroup Co-managers Barclays Credit Suisse Morgan Stanley Mizuho Securities Deutsche Bank Securities Goldman, Sachs & Co. UBS Investment Ban
               
Frontier Communication
9/11/2015
                                                         819,000.00
                                  819,000.00
100
JPM
Morgan Stanley
J.P. Morgan BofA Merrill Lynch Citigroup Co-managers Barclays Credit Suisse Morgan Stanley Mizuho Securities Deutsche Bank Securities Goldman, Sachs & Co. UBS Investment Ban
               
Frontier Communication
9/11/2015
                                        3,277,000.00
                      3,277,000.00
100
JPM
Morgan Stanley
J.P. Morgan BofA Merrill Lynch Citigroup Co-managers Barclays Credit Suisse Morgan Stanley Mizuho Securities Deutsche Bank Securities Goldman, Sachs & Co. UBS Investment Ban
               
Greatbatch, Inc
10/20/2015
                                          680,000.00
                         680,000.00
100
Credit Suisse
Mittsubishi
Credit Suisse KeyBanc Capital Markets Fifth Third Securities MUFG