Pricing Services Record:
1 |
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 |
GEORGIA
|
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 | REFINITIV |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
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 | BLOOMBERG LP |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
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:
4 |
i. Full name | STATPRO GROUP PLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800IQAQ19RDQT9I51 |
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
|
|
Brokers Record:
1 |
i. Full name of broker | EXANE SA |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable | |
vi. Foreign country, if applicable |
FRANCE
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,487.83000000 |
Brokers Record:
2 |
i. Full name of broker | UBS GROUP AG |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300SZJ9VS8SGXAN81 |
v. State, if applicable | |
vi. Foreign country, if applicable |
SWITZERLAND
|
vii. Gross commissions paid by the Fund for
the
reporting period | 12,659.52000000 |
Brokers Record:
3 |
i. Full name of broker | CREDIT SUISSE GRP AG |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300506SI9CRFV9Z86 |
v. State, if applicable | |
vi. Foreign country, if applicable |
SWITZERLAND
|
vii. Gross commissions paid by the Fund for
the
reporting period | 12,947.07000000 |
Brokers Record:
4 |
i. Full name of broker | MORGAN STANLEY |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | IGJSJL3JD5P30I6NJZ34 |
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 | 21,052.49000000 |
Brokers Record:
5 |
i. Full name of broker | BANK OF AMERICA CORPORATION |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 9DJT3UXIJIZJI4WXO774 |
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 | 16,887.79000000 |
Brokers Record:
6 |
i. Full name of broker | GOLDMAN SACHS GROUP INC (THE) |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 784F5XWPLTWKTBV3E584 |
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 | 27,385.28000000 |
Brokers Record:
7 |
i. Full name of broker | INVESTMENT TECHNOLOGY GROUP INC |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 11,434.78000000 |
Brokers Record:
8 |
i. Full name of broker | DEUTSCHE BANK AG |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 7LTWFZYICNSX8D621K86 |
v. State, if applicable | |
vi. Foreign country, if applicable |
GERMANY
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,423.91000000 |
Brokers Record:
9 |
i. Full name of broker | CITIGROUP INC |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 6SHGI4ZSSLCXXQSBB395 |
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 | 11,777.74000000 |
Brokers Record:
10 |
i. Full name of broker | JPMORGAN CHASE and CO |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
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 | 17,967.23000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 206,767.47000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | CREDIT AGRICOLE SA |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 969500TJ5KRTCJQWXH05 |
v. State, if applicable | |
vi. Foreign country, if applicable |
FRANCE
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 35,975,352.23000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | DEUTSCHE BANK AG |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 7LTWFZYICNSX8D621K86 |
v. State, if applicable | |
vi. Foreign country, if applicable |
GERMANY
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 39,956,556.08000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | GOLDMAN SACHS GROUP INC (THE) |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 784F5XWPLTWKTBV3E584 |
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:
| 132,956,047.89000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | NOMURA HOLDINGS INC |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300B3CEAHYG7K8164 |
v. State, if applicable | |
vi. Foreign country, if applicable |
JAPAN
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 39,967,420.32000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | CITIGROUP INC |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 6SHGI4ZSSLCXXQSBB395 |
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:
| 50,244,687.85000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | BARCLAYS PLC (UNGTD) |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 213800LBQA1Y9L22JB70 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 36,188,763.40000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | SUMITOMO MITSUI FINL GRP INC |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 35380028MYWPB6AUO129 |
v. State, if applicable | |
vi. Foreign country, if applicable |
JAPAN
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 45,288,156.31000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | BNP PARIBAS |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | R0MUWSFPU8MPRO8K5P83 |
v. State, if applicable | |
vi. Foreign country, if applicable |
FRANCE
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 45,001,599.11000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | ROYAL BANK OF SCOTLAND GRP PLC (UNGTD) |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 2138005O9XJIJN4JPN90 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 33,956,361.74000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | MORGAN STANLEY |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | IGJSJL3JD5P30I6NJZ34 |
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:
| 79,779,623.22000000 |