Pricing Services Record:
1 |
i. Full name | Nomura Securities International, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| OXTKY6Q8X53C9ILVV871 |
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:
2 |
i. Full name | CITIGROUP INC. |
ii. LEI, if any, or provide and describe other
identifying number
| 6SHGI4ZSSLCXXQSBB395 |
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 | PIPER SANDLER & CO. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300GRQCWQ3XGH0H10 |
Description of other identifying number | |
iii. State, if applicable |
MINNESOTA
|
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 | Dynamic Credit Group B.V. |
ii. LEI, if any, or provide and describe other
identifying number
| 7245001A5FB1PPN6UP28 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
NETHERLANDS
|
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 | STANDARD CHARTERED BANK |
ii. LEI, if any, or provide and describe other
identifying number
| RILFO74KP1CM8P6PCT96 |
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:
6 |
i. Full name | GOLDMAN SACHS & CO. LLC |
ii. LEI, if any, or provide and describe other
identifying number
| FOR8UP27PHTHYVLBNG30 |
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:
7 |
i. Full name | Santander Investment Securities Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300FT36TF8GQFTL08 |
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:
8 |
i. Full name | Guggenheim Securities, LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493005G25VHYWLYJU59 |
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:
9 |
i. Full name | JANNEY MONTGOMERY SCOTT LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300QQRY1JCFQHYS08 |
Description of other identifying number | |
iii. State, if applicable |
PENNSYLVANIA
|
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:
10 |
i. Full name | KEEFE, BRUYETTE & WOODS, INC. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300OM47DQV01G4854 |
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:
11 |
i. Full name | CREDIT SUISSE SECURITIES (USA) LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 1V8Y6QCX6YMJ2OELII46 |
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:
12 |
i. Full name | LLOYDS SECURITIES INC. |
ii. LEI, if any, or provide and describe other
identifying number
| 213800ZJO44UP14YDH76 |
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:
13 |
i. Full name | MORGAN STANLEY |
ii. LEI, if any, or provide and describe other
identifying number
| IGJSJL3JD5P30I6NJZ34 |
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:
14 |
i. Full name | BMO CAPITAL MARKETS CORP. |
ii. LEI, if any, or provide and describe other
identifying number
| RUC0QBLBRPRCU4W1NE59 |
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:
15 |
i. Full name | Deutsche Bank Securities Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 9J6MBOOO7BECTDTUZW19 |
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:
16 |
i. Full name | NATIONAL WESTMINSTER BANK PUBLIC LIMITED COMPANY |
ii. LEI, if any, or provide and describe other
identifying number
| 213800IBT39XQ9C4CP71 |
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:
17 |
i. Full name | BNP PARIBAS SECURITIES CORP. |
ii. LEI, if any, or provide and describe other
identifying number
| RCNB6OTYUAMMP879YW96 |
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
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | BMO CAPITAL MARKETS CORP. |
ii. SEC file number | 008-34344 |
iii. CRD number | 000016686 |
iv. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
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:
| 2,000,000.00000000 |
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:
| 5,000,000.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | ELAVON FINANCIAL SERVICES DESIGNATED ACTIVITY COMPANY |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 5493008GNQHVI377MY19 |
v. State, if applicable | |
vi. Foreign country, if applicable |
IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,900,000.00000000 |
Principal Transactions Record:
4 |
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:
| 4,636,045.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Santander Investment Securities Inc. |
ii. SEC file number | 008-47664 |
iii. CRD number | 000037216 |
iv. LEI, if any | 549300FT36TF8GQFTL08 |
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:
| 2,238,200.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Northern Trust Securities, Inc. |
ii. SEC file number | 008-23689 |
iii. CRD number | 000007927 |
iv. LEI, if any | 3CHSO99JSPHD9HGNYJ46 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,000,000.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | BNP PARIBAS SECURITIES CORP. |
ii. SEC file number | 008-32682 |
iii. CRD number | 000015794 |
iv. LEI, if any | RCNB6OTYUAMMP879YW96 |
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:
| 2,700,000.00000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | SG AMERICAS SECURITIES, LLC |
ii. SEC file number | 008-66125 |
iii. CRD number | 000128351 |
iv. LEI, if any | 549300V79250T2WT2F29 |
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:
| 2,616,480.00000000 |