a. How many Classes of shares of the Fund (if
any) are
authorized?
| 21 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class 529-A |
ii. Class identification number, if any | C000026223 |
iii. Ticker symbol, if any | CICAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class 529-C |
ii. Class identification number, if any | C000026225 |
iii. Ticker symbol, if any | CICCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class 529-E |
ii. Class identification number, if any | C000026226 |
iii. Ticker symbol, if any | CICEX |
Shares Outstanding Record:
4 |
i. Full name of Class | Class 529-F-1 |
ii. Class identification number, if any | C000026227 |
iii. Ticker symbol, if any | CICFX |
Shares Outstanding Record:
5 |
i. Full name of Class | Class 529-F-2 |
ii. Class identification number, if any | C000224625 |
iii. Ticker symbol, if any | FCIAX |
Shares Outstanding Record:
6 |
i. Full name of Class | Class 529-F-3 |
ii. Class identification number, if any | C000224626 |
iii. Ticker symbol, if any | FAOOX |
Shares Outstanding Record:
7 |
i. Full name of Class | Class 529-T |
ii. Class identification number, if any | C000189430 |
iii. Ticker symbol, if any | TIACX |
Shares Outstanding Record:
8 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000026214 |
iii. Ticker symbol, if any | AIVSX |
Shares Outstanding Record:
9 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000026221 |
iii. Ticker symbol, if any | AICCX |
Shares Outstanding Record:
10 |
i. Full name of Class | Class F-1 |
ii. Class identification number, if any | C000026222 |
iii. Ticker symbol, if any | AICFX |
Shares Outstanding Record:
11 |
i. Full name of Class | Class F-2 |
ii. Class identification number, if any | C000068572 |
iii. Ticker symbol, if any | ICAFX |
Shares Outstanding Record:
12 |
i. Full name of Class | Class F-3 |
ii. Class identification number, if any | C000180008 |
iii. Ticker symbol, if any | FFICX |
Shares Outstanding Record:
13 |
i. Full name of Class | Class R-1 |
ii. Class identification number, if any | C000026215 |
iii. Ticker symbol, if any | RICAX |
Shares Outstanding Record:
14 |
i. Full name of Class | Class R-2 |
ii. Class identification number, if any | C000026216 |
iii. Ticker symbol, if any | RICBX |
Shares Outstanding Record:
15 |
i. Full name of Class | Class R-2E |
ii. Class identification number, if any | C000148444 |
iii. Ticker symbol, if any | RIBEX |
Shares Outstanding Record:
16 |
i. Full name of Class | Class R-3 |
ii. Class identification number, if any | C000026217 |
iii. Ticker symbol, if any | RICCX |
Shares Outstanding Record:
17 |
i. Full name of Class | Class R-4 |
ii. Class identification number, if any | C000026218 |
iii. Ticker symbol, if any | RICEX |
Shares Outstanding Record:
18 |
i. Full name of Class | Class R-5 |
ii. Class identification number, if any | C000026219 |
iii. Ticker symbol, if any | RICFX |
Shares Outstanding Record:
19 |
i. Full name of Class | Class R-5E |
ii. Class identification number, if any | C000164820 |
iii. Ticker symbol, if any | RICHX |
Shares Outstanding Record:
20 |
i. Full name of Class | Class R-6 |
ii. Class identification number, if any | C000077857 |
iii. Ticker symbol, if any | RICGX |
Shares Outstanding Record:
21 |
i. Full name of Class | Class T |
ii. Class identification number, if any | C000189431 |
iii. Ticker symbol, if any | TICAX |
Pricing Services Record:
1 |
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 |
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 | Six Financial Information AG |
ii. LEI, if any, or provide and describe other
identifying number
| 506700D369548LQDC335 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SWITZERLAND
|
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 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
|
Pricing Services Record:
4 |
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 |
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 | 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:
6 |
i. Full name | Virtu ITG Solutions Network, LLC |
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:
7 |
i. Full name | Markit North America, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
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
|
|
Custodians Record:
1 |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any | N/A |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
2 |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any | N/A |
iii. State, if applicable | |
iv. Foreign country, if applicable |
AUSTRALIA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
3 |
i. Full name | J.P. Morgan SE |
ii. LEI, if any | N/A |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BELGIUM
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
4 |
i. Full name | Royal Bank of Canada |
ii. LEI, if any | N/A |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
5 |
i. Full name | J.P. Morgan SE |
ii. LEI, if any | N/A |
iii. State, if applicable | |
iv. Foreign country, if applicable |
DENMARK
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
6 |
i. Full name | J.P. Morgan SE |
ii. LEI, if any | N/A |
iii. State, if applicable | |
iv. Foreign country, if applicable |
FRANCE
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
7 |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any | N/A |
iii. State, if applicable | |
iv. Foreign country, if applicable |
HONG KONG
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
8 |
i. Full name | Mizuho Bank, Ltd. |
ii. LEI, if any | N/A |
iii. State, if applicable | |
iv. Foreign country, if applicable |
JAPAN
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
9 |
i. Full name | Standard Chartered Bank Korea Limited |
ii. LEI, if any | N/A |
iii. State, if applicable | |
iv. Foreign country, if applicable |
KOREA (THE REPUBLIC OF)
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
10 |
i. Full name | J.P. Morgan SE |
ii. LEI, if any | N/A |
iii. State, if applicable | |
iv. Foreign country, if applicable |
NETHERLANDS
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
11 |
i. Full name | Skandinaviska Enskilda Banken AB |
ii. LEI, if any | N/A |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SWEDEN
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
12 |
i. Full name | J.P. Mogan SE - Luxembourg Branch |
ii. LEI, if any | N/A |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SWITZERLAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
13 |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any | N/A |
iii. State, if applicable | |
iv. Foreign country, if applicable |
TAIWAN
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
14 |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any | N/A |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
15 |
i. Full name | UBS Switzerland AG |
ii. LEI, if any | N/A |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SWITZERLAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
|
Brokers Record:
1 |
i. Full name of broker | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008-1 |
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 | 1,502,723.000000000000 |
Brokers Record:
2 |
i. Full name of broker | UBS AG |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | BFM8T61CT2L1QCEMIK50 |
v. State, if applicable | |
vi. Foreign country, if applicable |
SWITZERLAND
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,177,978.000000000000 |
Brokers Record:
3 |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-08177-1 |
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 | 1,161,446.000000000000 |
Brokers Record:
4 |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-00129-1 |
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 | 1,067,107.000000000000 |
Brokers Record:
5 |
i. Full name of broker | RBC Capital Markets LLC |
ii. SEC file number | 8-45411-1 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
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 | 1,016,384.000000000000 |
Brokers Record:
6 |
i. Full name of broker | Jefferies & Company Inc. |
ii. SEC file number | 8-15074-1 |
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 | 902,549.000000000000 |
Brokers Record:
7 |
i. Full name of broker | Cowen and Company, LLC |
ii. SEC file number | 8-22522-1 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
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 | 821,705.000000000000 |
Brokers Record:
8 |
i. Full name of broker | Bank of America, N.A. |
ii. SEC file number | 8-69787-1 |
iii. CRD number | 000283942 |
iv. LEI, if any | B4TYDEB6GKMZO031MB27 |
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 | 803,789.000000000000 |
Brokers Record:
9 |
i. Full name of broker | Sanford Bernstein & Co. LLC |
ii. SEC file number | 8-52942-1 |
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 | 759,530.000000000000 |
Brokers Record:
10 |
i. Full name of broker | Mizuho Bank, Ltd. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
v. State, if applicable | |
vi. Foreign country, if applicable |
JAPAN
|
vii. Gross commissions paid by the Fund for
the
reporting period | 664,378.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 16,189,676.000000000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008-1 |
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:
| 577,549,796.000000000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Bank of America, N.A. |
ii. SEC file number | 8-69787-1 |
iii. CRD number | 000283942 |
iv. LEI, if any | B4TYDEB6GKMZO031MB27 |
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:
| 111,067,301.000000000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Nomura/Instinet Group |
ii. SEC file number | 8-23669-1 |
iii. CRD number | 000007897 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
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:
| 25,306,769.000000000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-08177-1 |
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:
| 24,611,980.000000000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869-1 |
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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 14,696,871.000000000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Barclays Bank PLC |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | G5GSEF7VJP5I7OUK5573 |
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:
| 12,005,395.000000000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | Credit Suisse Group AG |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | ANGGYXNX0JLX3X63JN86 |
v. State, if applicable | |
vi. Foreign country, if applicable |
SWITZERLAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,384,000.000000000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Deutsche Bank A.G. |
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:
| 4,923,064.000000000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | RBC Capital Markets LLC |
ii. SEC file number | 8-45411-1 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
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:
| 4,894,313.000000000000 |