Pricing Services Record:
1 |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
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:
2 |
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 |
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 | Refinitiv US Holdings Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300NF240HXJO7N016 |
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 | 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
|
|
Custodians Record:
1 |
i. Full name | The Bank of New York Mellon |
ii. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
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 | The Depository Trust Company |
ii. LEI, if any | 549300HBJLRO8YFMI370 |
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:
3 |
i. Full name | Federal Reserve Bank of New York |
ii. LEI, if any | 254900Y8NKGV541U8Q32 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Macquarie Capital Securities (Japan) Private Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | MACQUARIE CAPITAL MARKETS CANADA LTD |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Macquarie Capital (New Zealand) Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
NEW ZEALAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Macquarie Capital Securities (India) Private Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300S34RQ8CV99Y430 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | MACQUARIE CAPITAL (USA) INC. |
b. SEC file number | 008-47198 |
c. CRD number | 000036368 |
d. LEI, if any | 549300670K07JRB5UQ40 |
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:
6 |
a. Full name | MACQUARIE BANK LIMITED |
b. SEC file number | N/A |
c. CRD number | 000165064 |
d. LEI, if any | 4ZHCHI4KYZG2WVRT8631 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Macquarie Infrastructure and Real Assets (Sales) Canada Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | Macquarie Capital Securities (Malaysia) Sdn Bhd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300VRHLXZUZ4QVL12 |
e. State, if applicable | |
f. Foreign country, if applicable |
MALAYSIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
9 |
a. Full name | Macquarie Futures USA LLC |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300H8XV7W7WR2RX20 |
e. State, if applicable |
DELAWARE
|
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:
10 |
a. Full name | Macquarie Capital Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300ADUET4CKK35E02 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
11 |
a. Full name | Macquarie Prism Pty Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
12 |
a. Full name | Macquarie Advisory and Capital Markets South Africa Proprietary Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SOUTH AFRICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
13 |
a. Full name | Macquarie Capital Limited (Taiwan Securities Branch) |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
TAIWAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
14 |
a. Full name | MACQUARIE SECURITIES (AUSTRALIA) LTD |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
15 |
a. Full name | Macquarie Securities (Thailand) Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300B5SBS3MKZGEI22 |
e. State, if applicable | |
f. Foreign country, if applicable |
THAILAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
16 |
a. Full name | Macquarie Markets Trading Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300JFDPVUWMTWU297 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
17 |
a. Full name | Macquarie Equities Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300AFVM7BT4L47C96 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
18 |
a. Full name | Macquarie Asia Securities Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300D6G8FKPHD8SF41 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
19 |
a. Full name | Macquarie Securities Korea Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | ELIVI87TQRWDXCF1XT74 |
e. State, if applicable | |
f. Foreign country, if applicable |
KOREA (THE REPUBLIC OF)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
20 |
a. Full name | Macquarie Capital Securities (Philippines) Inc. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
PHILIPPINES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
21 |
a. Full name | Delaware Distributors, L.P. |
b. SEC file number | 008-29755 |
c. CRD number | 000014232 |
d. LEI, if any | N/A |
e. State, if applicable |
PENNSYLVANIA
|
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:
22 |
a. Full name | Macquarie Securities (NZ) Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 5493004AU6K20VKPDF17 |
e. State, if applicable | |
f. Foreign country, if applicable |
NEW ZEALAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
23 |
a. Full name | MACQUARIE CAPITAL (AUSTRALIA) LTD. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
24 |
a. Full name | Macquarie Capital Securities (Singapore) Pte. Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 5493007PKIT1P8UHLH29 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
25 |
a. Full name | MACQUARIE INVESTMENT MANAGEMENT GLOBAL LIMITED |
b. SEC file number | N/A |
c. CRD number | 000277065 |
d. LEI, if any | 549300D4WYNPHRHJY271 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
26 |
a. Full name | PT Macquarie Sekuritas Indonesia |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300434FE1HMW4ZD75 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDONESIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
27 |
a. Full name | MACQUARIE CAPITAL (EUROPE) LIMITED |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300GX4FPMFF91RJ37 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
28 |
a. Full name | Macquarie Capital Securities (Mauritius) Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
MAURITIUS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | 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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 28,710,947.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | BARCLAYS CAPITAL, INC. |
ii. SEC file number | 008-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
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:
| 40,663,599.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | BNY MELLON CAPITAL MARKETS, LLC |
ii. SEC file number | 008-35255 |
iii. CRD number | 000017454 |
iv. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
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:
| 16,622,694.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | JEFFERIES LLC |
ii. SEC file number | 008-15074 |
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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 21,045,303.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | 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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 18,810,150.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | 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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 24,214,893.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | PIPER SANDLER & CO. |
ii. SEC file number | 008-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 18,085,174.00000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | MURIEL SIEBERT & CO INC. |
ii. SEC file number | 008-14900 |
iii. CRD number | 000005376 |
iv. LEI, if any | 254900ILZFIE2ULRPV24 |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 48,833,016.00000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 008-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 43,682,139.00000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | J.P. 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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 33,233,914.00000000 |