Pricing Services Record:
1 |
i. Full name | S&P Global Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| Y6X4K52KMJMZE7I7MY94 |
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 | THE CLEARING HOUSE PAYMENTS COMPANY L.L.C. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300KIB86ZLHRUV723 |
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:
3 |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
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 | Refinitiv Benchmark Services Limited |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
5 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
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 | PricingDirect Inc. |
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:
7 |
i. Full name | Bank of America Merill Lynch PriceServe |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
8 |
i. Full name | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Franklin Templeton Investment Services, Inc. |
b. SEC file number | 008-43206 |
c. CRD number | 000027884 |
d. LEI, if any | N/A |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Clarion Partners Securities, LLC |
b. SEC file number | 008-69204 |
c. CRD number | 000166384 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | ROYCE FUND SERVICES, LLC |
b. SEC file number | 008-28663 |
c. CRD number | 000014470 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Franklin Distributors, LLC |
b. SEC file number | 008-53089 |
c. CRD number | 000109064 |
d. LEI, if any | N/A |
e. State, if applicable |
CALIFORNIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
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 | 4.04000000 |
Brokers Record:
2 |
i. Full name of broker | Raymond James & Associates, Inc. |
ii. SEC file number | 008-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5.68000000 |
Brokers Record:
3 |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 008-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
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 | 10.91000000 |
Brokers Record:
4 |
i. Full name of broker | SANFORD C. BERNSTEIN & CO., LLC |
ii. SEC file number | 008-52942 |
iii. CRD number | 000104474 |
iv. LEI, if any | 549300I7JYZHT7D5CO04 |
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 | 37.16000000 |
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 | 22.05000000 |
Brokers Record:
6 |
i. Full name of broker | BOFA 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. Gross commissions paid by the Fund for
the
reporting period | 1.04000000 |
Brokers Record:
7 |
i. Full name of broker | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 008-00129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
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 | 5.04000000 |
Brokers Record:
8 |
i. Full name of broker | MORGAN STANLEY & CO. LLC |
ii. SEC file number | 008-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
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 | 77.63000000 |
Brokers Record:
9 |
i. Full name of broker | JP 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. Gross commissions paid by the Fund for
the
reporting period | 9.77000000 |
Brokers Record:
10 |
i. Full name of broker | KEEFE, BRUYETTE & WOODS, INC. |
ii. SEC file number | 008-10888 |
iii. CRD number | 000000481 |
iv. LEI, if any | 549300OM47DQV01G4854 |
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 | 14.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 187.32000000 |