Location books Record:
1 |
a. Name of person (e.g., a custodian of records) | Aquila Distributors LLC |
b. Street 1 | 120 West 45th Street |
Street 2 | Suite 3600 |
c. City | New York |
d. State, if applicable |
NEW YORK
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 10036 |
g. Telephone number (including country code if foreign) | 800-437-1000 |
h. Briefly describe the books and records kept at this location:
| Records related to its function as the distributor |
Location books Record:
2 |
a. Name of person (e.g., a custodian of records) | The Bank of New York Mellon |
b. Street 1 | 240 Greenwich Street |
Street 2 | |
c. City | New York |
d. State, if applicable |
NEW YORK
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 10286 |
g. Telephone number (including country code if foreign) | 212-495-1784 |
h. Briefly describe the books and records kept at this location:
| Records related to its function as the custodian |
Location books Record:
3 |
a. Name of person (e.g., a custodian of records) | Aquila Investment Management LLC |
b. Street 1 | 120 West 45th Street |
Street 2 | Suite 3600 |
c. City | New York |
d. State, if applicable |
NEW YORK
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 10036 |
g. Telephone number (including country code if foreign) | 212-697-6666 |
h. Briefly describe the books and records kept at this location:
| Records related to its function as the adviser and administrator |
Location books Record:
4 |
a. Name of person (e.g., a custodian of records) | BNY Mellon Investment Servicing (U.S.) Inc. |
b. Street 1 | 4400 Computer Drive |
Street 2 | |
c. City | Westborough |
d. State, if applicable |
MASSACHUSETTS
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 01581 |
g. Telephone number (including country code if foreign) | 508-871-8500 |
h. Briefly describe the books and records kept at this location:
| Records related to its function as the transfer agent |
Location books Record:
5 |
a. Name of person (e.g., a custodian of records) | Kirkpatrick Pettis Capital Management |
b. Street 1 | 1550 Market Street |
Street 2 | |
c. City | Denver |
d. State, if applicable |
COLORADO
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 80202 |
g. Telephone number (including country code if foreign) | 303-764-6000 |
h. Briefly describe the books and records kept at this location:
| Records related to its function as the sub-adviser |
Director Record:
1 |
a. Full Name | James A. Gardner |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
2 |
a. Full Name | Diana P. Herrmann |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | 811-03578 |
File Number Record:
2 |
File Number Record: | 811-02481 |
File Number Record:
3 |
File Number Record: | 811-04084 |
File Number Record:
4 |
File Number Record: | 811-04503 |
Director Record:
3 |
a. Full Name | Patricia L. Moss |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
4 |
a. Full Name | John W. Mitchell |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
5 |
a. Full Name | Gary C. Cornia |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | 811-04503 |
File Number Record:
2 |
File Number Record: | 811-03578 |