0001410368-11-000164.txt : 20110527
0001410368-11-000164.hdr.sgml : 20110527
20110527153156
ACCESSION NUMBER: 0001410368-11-000164
CONFORMED SUBMISSION TYPE: NSAR-A
PUBLIC DOCUMENT COUNT: 4
CONFORMED PERIOD OF REPORT: 20110331
FILED AS OF DATE: 20110527
DATE AS OF CHANGE: 20110527
EFFECTIVENESS DATE: 20110527
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: LOOMIS SAYLES FUNDS II
CENTRAL INDEX KEY: 0000872649
IRS NUMBER: 043113285
STATE OF INCORPORATION: MA
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: NSAR-A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-06241
FILM NUMBER: 11878121
BUSINESS ADDRESS:
STREET 1: 399 BOYLSTON STREET
STREET 2: 12TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: 800-282-1155
MAIL ADDRESS:
STREET 1: 399 BOYLSTON STREET
STREET 2: 12TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
FORMER COMPANY:
FORMER CONFORMED NAME: LOOMIS SAYLES FUNDS I
DATE OF NAME CHANGE: 20031119
FORMER COMPANY:
FORMER CONFORMED NAME: LOOMIS SAYLES FUNDS
DATE OF NAME CHANGE: 20031015
FORMER COMPANY:
FORMER CONFORMED NAME: LOOMIS SAYLES FUNDS II
DATE OF NAME CHANGE: 20030718
0000872649
S000006695
Loomis Sayles Mid Cap Growth Fund
C000018222
Class Y
LSAIX
C000018223
Class A
LAGRX
C000075148
Class C
LSACX
0000872649
S000006697
Loomis Sayles Value Fund
C000018225
Loomis Sayles Value Fund - Class Y
LSGIX
C000034548
Loomis Sayles Value Fund - Class A
LSVRX
C000049398
Loomis Sayles Value Fund - Class B
LSVBX
C000049399
Loomis Sayles Value Fund - Class C
LSCVX
C000082997
Admin Class
LSAVX
0000872649
S000006698
Loomis Sayles Global Equity and Income Fund
C000018226
Class Y
LSWWX
C000027670
Class A
LGMAX
C000027671
Class C
LGMCX
0000872649
S000006699
Loomis Sayles Growth Fund
C000018227
Class A
LGRRX
C000018228
Class B
LGRBX
C000018229
Class C
LGRCX
C000018230
Class Y
LSGRX
0000872649
S000006700
Loomis Sayles High Income Fund
C000018231
Class A
NEFHX
C000018232
Class B
NEHBX
C000018233
Class C
NEHCX
C000069253
Class Y
NEHYX
0000872649
S000006701
Loomis Sayles Investment Grade Bond Fund
C000018234
Class A
LIGRX
C000018235
Class B
LGBBX
C000018236
Class C
LGBCX
C000018237
Class J
LIGJX
C000018238
Class Y
LSIIX
C000082998
Admin Class
LIGAX
0000872649
S000006702
Loomis Sayles Limited Term Government and Agency Fund
C000018239
Class A
NEFLX
C000018240
Class B
NELBX
C000018241
Class C
NECLX
C000018242
Class Y
NELYX
0000872649
S000006704
Loomis Sayles Disciplined Equity Fund
C000018245
Class A
LSRRX
C000018246
Class B
LSCBX
C000018247
Class C
LSCCX
C000018248
Class Y
LISRX
0000872649
S000006705
Loomis Sayles Small Cap Growth Fund
C000018249
Institutional Class
LSSIX
C000018250
Retail Class
LCGRX
0000872649
S000006706
Loomis Sayles Strategic Income Fund
C000018251
Class A
NEFZX
C000018252
Class B
NEZBX
C000018253
Class C
NECZX
C000018254
Class Y
NEZYX
C000082999
Admin Class
NEZAX
0000872649
S000020816
Loomis Sayles International Bond Fund
C000058150
Loomis Sayles International Bond Fund- Class A
LSIAX
C000058151
Loomis Sayles International Bond Fund- Class C
LSICX
C000058152
Loomis Sayles International Bond Fund- Class Y
LSIYX
NSAR-A
1
answer.fil
LS II 3-31-2011
PAGE 1
000 A000000 03/31/2011
000 C000000 0000872649
000 D000000 N
000 E000000 NF
000 F000000 Y
000 G000000 N
000 H000000 N
000 I000000 6.1
000 J000000 A
001 A000000 LOOMIS SAYLES FUNDS II
001 B000000 811-06241
001 C000000 6174492809
002 A000000 399 BOYLSTON STREET
002 B000000 BOSTON
002 C000000 MA
002 D010000 02116
003 000000 N
004 000000 N
005 000000 N
006 000000 N
007 A000000 Y
007 B000000 11
007 C010100 1
007 C020100 Loomis Sayles Growth Fund
007 C030100 N
007 C010200 2
007 C020200 Loomis Sayles Value Fund
007 C030200 N
007 C011000 10
007 C021000 Loomis Sayles Global Equity and Income Fund
007 C031000 N
007 C011200 12
007 C021200 Loomis Sayles Small Cap Growth Fund
007 C031200 N
007 C011300 13
007 C021300 Loomis Sayles Investment Grade Bond Fund
007 C031300 N
007 C011700 17
007 C021700 Loomis Sayles Mid Cap Growth Fund
007 C031700 N
007 C012100 21
007 C022100 Loomis Sayles Disciplined Equity Fund
007 C032100 N
007 C012200 22
007 C022200 Loomis Sayles High Income Fund
007 C032200 N
007 C012300 23
007 C022300 LS Limited Term Government and Agency Fund
007 C032300 N
007 C012500 25
007 C022500 Loomis Sayles Strategic Income Fund
PAGE 2
007 C032500 N
007 C012600 26
007 C022600 Loomis Sayles International Bond Fund
007 C032600 N
008 A00AA01 LOOMIS, SAYLES & COMPANY, L.P.
008 B00AA01 A
008 C00AA01 801-170
008 D01AA01 BOSTON
008 D02AA01 MA
008 D03AA01 02111
010 A00AA01 NATIXIS ASSET MANAGEMENT ADVISORS, L.P.
010 B00AA01 801-48408
010 C01AA01 BOSTON
010 C02AA01 MA
010 C03AA01 02116
010 A00AA02 STATE STREET BANK & TRUST COMPANY
010 B00AA02 85-05003
010 C01AA02 BOSTON
010 C02AA02 MA
010 C03AA02 02111
011 A000101 NATIXIS DISTRIBUTORS, L.P.
011 B000101 8-46325
011 C010101 BOSTON
011 C020101 MA
011 C030101 02116
011 A000201 NATIXIS DISTRIBUTORS, L.P.
011 B000201 8-46325
011 C010201 BOSTON
011 C020201 MA
011 C030201 02116
011 A001001 NATIXIS DISTRIBUTORS, L.P.
011 B001001 8-46325
011 C011001 BOSTON
011 C021001 MA
011 C031001 02116
011 A001201 NATIXIS DISTRIBUTORS, L.P.
011 B001201 8-46325
011 C011201 BOSTON
011 C021201 MA
011 C031201 02116
011 A001301 LOOMIS SAYLES DISTRIBUTORS, L.P.
011 B001301 8-49575
011 C011301 BOSTON
011 C021301 MA
011 C031301 02111
011 A001302 NATIXIS DISTRIBUTORS, L.P.
011 B001302 8-46325
011 C011302 BOSTON
011 C021302 MA
011 C031302 02116
011 A001701 NATIXIS DISTRIBUTORS, L.P.
PAGE 3
011 B001701 8-46325
011 C011701 BOSTON
011 C021701 MA
011 C031701 02116
011 A002101 NATIXIS DISTRIBUTORS, L.P.
011 B002101 8-46325
011 C012101 BOSTON
011 C022101 MA
011 C032101 02116
011 A002201 NATIXIS DISTRIBUTORS, L.P.
011 B002201 8-46325
011 C012201 BOSTON
011 C022201 MA
011 C032201 02116
011 A002301 NATIXIS DISTRIBUTORS, L.P.
011 B002301 8-46325
011 C012301 BOSTON
011 C022301 MA
011 C032301 02116
011 A002501 NATIXIS DISTRIBUTORS, L.P.
011 B002501 8-46325
011 C012501 BOSTON
011 C022501 MA
011 C032501 02116
011 A002601 NATIXIS DISTRIBUTORS, L.P.
011 B002601 8-46325
011 C012601 BOSTON
011 C022601 MA
011 C032601 02116
012 A000101 BOSTON FINANCIAL DATA SERVICES, INC.
012 B000101 84-00896
012 C010101 QUINCY
012 C020101 MA
012 C030101 02169
012 A000201 BOSTON FINANCIAL DATA SERVICES, INC.
012 B000201 84-00896
012 C010201 QUINCY
012 C020201 MA
012 C030201 02169
012 A001001 BOSTON FINANCIAL DATA SERVICES, INC.
012 B001001 84-00896
012 C011001 QUINCY
012 C021001 MA
012 C031001 02169
012 A001201 BOSTON FINANCIAL DATA SERVICES, INC.
012 B001201 84-00896
012 C011201 QUINCY
012 C021201 MA
012 C031201 02169
012 A001301 STATE STREET BANK & TRUST COMPANY
012 B001301 85-05003
PAGE 4
012 C011301 BOSTON
012 C021301 MA
012 C031301 02111
012 A001302 BOSTON FINANCIAL DATA SERVICES, INC.
012 B001302 84-00896
012 C011302 QUINCY
012 C021302 MA
012 C031302 02169
012 A001701 BOSTON FINANCIAL DATA SERVICES, INC.
012 B001701 84-00896
012 C011701 QUINCY
012 C021701 MA
012 C031701 02169
012 A002101 BOSTON FINANCIAL DATA SERVICES, INC.
012 B002101 84-00896
012 C012101 QUINCY
012 C022101 MA
012 C032101 02169
012 A002201 BOSTON FINANCIAL DATA SERVICES, INC.
012 B002201 84-00896
012 C012201 QUINCY
012 C022201 MA
012 C032201 02169
012 A002301 BOSTON FINANCIAL DATA SERVICES, INC.
012 B002301 84-00896
012 C012301 QUINCY
012 C022301 MA
012 C032301 02169
012 A002501 BOSTON FINANCIAL DATA SERVICES, INC.
012 B002501 84-00896
012 C012501 QUINCY
012 C022501 MA
012 C032501 02169
012 A002601 BOSTON FINANCIAL DATA SERVICES, INC.
012 B002601 84-00896
012 C012601 QUINCY
012 C022601 MA
012 C032601 02169
013 A00AA01 PRICEWATERHOUSECOOPERS LLP
013 B01AA01 BOSTON
013 B02AA01 MA
013 B03AA01 02110
014 A00AA01 BANQUE DE LA REUNION
014 B00AA01 8-00000
014 A00AA02 BANQUE DE LA NOUVELLE CALEDONIE
014 B00AA02 8-00000
014 A00AA03 BANQUE DE TAHITI
014 B00AA03 8-00000
014 A00AA04 BANQUE DES ANTILLES FRANCAISES
014 B00AA04 8-00000
014 A00AA05 BANQUE DE SAIN-PIERRE ET MIQUELON
PAGE 5
014 B00AA05 8-00000
014 A00AA06 BANQUE DES MASCAREIGNES
014 B00AA06 8-00000
014 A00AA07 Banque BCP
014 B00AA07 8-42836
014 A00AA08 Banque BCP (Luxembourg) SA
014 B00AA08 8-42836
014 A00AA09 CACEIS Bank
014 B00AA09 8-00000
014 A00AA10 CACEIS Bank Luxembourg
014 B00AA10 8-00000
014 A00AA11 CACEIS Corporate Trust
014 B00AA11 8-00000
014 A00AA12 Fongepar
014 B00AA12 8-00000
014 A00AA13 GESTITRES SA
014 B00AA13 8-00000
014 A00AA14 HARRIS ASSOCIATES SECURITIES, L.P
014 B00AA14 8-19988
014 A00AA15 Natixis ASIA Limited (Hong Kong)
014 B00AA15 8-00000
014 A00AA16 NATIXIS DISTRIBUTORS, L.P.
014 B00AA16 8-46325
014 A00AA17 Natixis Asset Management
014 B00AA17 8-00000
014 A00AA18 Natixis Derivatives Inc.
014 B00AA18 8-53212
014 A00AA19 Natixis Financial Instruments
014 B00AA19 8-00000
014 A00AA20 Natixis Funding Corp.
014 B00AA20 8-00000
014 A00AA21 Natixis Securities North America, Inc.
014 B00AA21 8-43912
014 A00AA22 Natixis Structured Products Jersey
014 B00AA22 8-00000
014 A00AA23 LOOMIS, SAYLES DISTRIBUTORS, L.P.
014 B00AA23 8-49575
014 A00AA24 Natixis
014 B00AA24 8-00000
014 A00AA25 Natixis Arbitrage
014 B00AA25 8-00000
014 A00AA26 Natixis Finance
014 B00AA26 8-00000
014 A00AA27 NEXGEN CAPITAL LTD
014 B00AA27 8-00000
014 A00AA28 Natixis Corporate Solutions Limited
014 B00AA28 8-00000
014 A00AA29 REICH & TANG DISTRIBUTORS, INC.
014 B00AA29 8-43429
014 A00AA30 Banque Privee 1818
014 B00AA30 8-00000
PAGE 6
014 A00AA31 AEW EUROPE SARL
014 B00AA31 8-00000
014 A00AA32 Natixis Global Associates Switzerland
014 B00AA32 8-00000
014 A00AA33 Natixis Corporate Solutions (Asia) Pte Ltd.
014 B00AA33 8-00000
014 A00AA34 Natixis Financial Products LLC
014 B00AA34 8-00000
014 A00AA35 NATIXIS BLEICHROEDER, LLC
014 B00AA35 8-00719
014 A00AA36 Banco Primus
014 B00AA36 8-00000
014 A00AA37 Banque Palatine
014 B00AA37 8-00000
014 A00AA38 Credit Foncier de France
014 B00AA38 8-00000
014 A00AA39 Natixis Asset Management Finance
014 B00AA39 8-00000
014 A00AA40 Natixis U.S. Finance Company Limited
014 B00AA40 8-00000
015 A00AA01 STATE STREET BANK AND TRUST COMPANY
015 B00AA01 C
015 C01AA01 BOSTON
015 C02AA01 MA
015 C03AA01 02110
015 E01AA01 X
015 A00AA02 CITIBANK, N.A
015 B00AA02 S
015 C01AA02 BUENOS AIRES
015 D01AA02 ARGENTINA
015 E04AA02 X
015 A00AA03 UNICREDIT BANK AUSTRIA AG
015 B00AA03 S
015 C01AA03 VIENNA
015 D01AA03 AUSTRIA
015 E04AA03 X
015 A00AA04 THE HONGKONG & SHANGHAI BANKING CORP., LTD.
015 B00AA04 S
015 C01AA04 SYDNEY
015 D01AA04 AUSTRALIA
015 E04AA04 X
015 A00AA05 DEUTSCHE BANK AG
015 B00AA05 S
015 C01AA05 AMSTERDAM
015 D01AA05 NETHERLANDS
015 E04AA05 X
015 A00AA06 CITIBANK, N.A
015 B00AA06 S
015 C01AA06 SAO PAULO
015 D01AA06 BRAZIL
015 E04AA06 X
PAGE 7
015 A00AA07 STATE STREET TRUST COMPANY CANADA
015 B00AA07 S
015 C01AA07 TORONTO
015 D01AA07 CANADA
015 E04AA07 X
015 A00AA08 UBS AG
015 B00AA08 S
015 C01AA08 ZURICH
015 D01AA08 SWITZERLAND
015 E04AA08 X
015 A00AA09 CESKOSLOVENSKA OBCHODNI BANKA, A.S.
015 B00AA09 S
015 C01AA09 PRAGUE
015 D01AA09 CZECH REPUBLIC
015 E04AA09 X
015 A00AA10 DEUTSCHE BANK AG
015 B00AA10 S
015 C01AA10 ESCHBORN
015 D01AA10 GERMANY
015 E04AA10 X
015 A00AA11 SKANDINAVISKA ENSKILDA BANKEN AB
015 B00AA11 S
015 C01AA11 STOCKHOLM
015 D01AA11 SWEDEN
015 E04AA11 X
015 A00AA12 HSBC BANK EGYPT S.A.E.
015 B00AA12 S
015 C01AA12 CAIRO
015 D01AA12 EGYPT
015 E04AA12 X
015 A00AA13 DEUTSCHE BANK S.A.E.
015 B00AA13 S
015 C01AA13 Madrid
015 D01AA13 SPAIN
015 E04AA13 X
015 A00AA14 Skandinaviska Enskilda Banken AB
015 B00AA14 S
015 C01AA14 Helsinki
015 D01AA14 Finland
015 E04AA14 X
015 A00AA15 DEUTSCHE BANK A.G.
015 B00AA15 S
015 C01AA15 PARIS
015 D01AA15 FRANCE
015 E04AA15 X
015 A00AA16 BNP PARIBAS SECURITIES SERVICES, S.A.
015 B00AA16 S
015 C01AA16 ATHENS
015 D01AA16 GREECE
015 E04AA16 X
015 A00AA17 STANDARD CHARTERED BANK (HONG KONG) LTD.
PAGE 8
015 B00AA17 S
015 C01AA17 KWUN TONG
015 D01AA17 HONG KONG
015 E04AA17 X
015 A00AA18 UNICREDIT BANK HUNGARY ZRT
015 B00AA18 S
015 C01AA18 BUDAPEST
015 D01AA18 HUNGARY
015 E04AA18 X
015 A00AA19 DEUTSCHE BANK AG
015 B00AA19 S
015 C01AA19 JAKARTA
015 D01AA19 INDONESIA
015 E04AA19 X
015 A00AA20 BANK OF IRELAND
015 B00AA20 S
015 C01AA20 DUBLIN
015 D01AA20 IRELAND
015 E04AA20 X
015 A00AA21 BANK HAPOALIM B.M.
015 B00AA21 S
015 C01AA21 TEL AVIV
015 D01AA21 ISRAEL
015 E04AA21 X
015 A00AA22 THE HONGKONG & SHANGHAI BANKING CORP. LTD.
015 B00AA22 S
015 C01AA22 EBENE
015 D01AA22 MAURITIUS
015 E04AA22 X
015 A00AA23 DEUTSCHE BANK S.P.A., MILAN
015 B00AA23 S
015 C01AA23 MILAN
015 D01AA23 ITALY
015 E04AA23 X
015 A00AA24 MIZUHO CORPORATE BANK, LTD.
015 B00AA24 S
015 C01AA24 TOKYO
015 D01AA24 JAPAN
015 E04AA24 X
015 A00AA25 THE HONGKONG AND SHANGHAI BANKING CORP., LTD.
015 B00AA25 S
015 C01AA25 SEOUL
015 D01AA25 South Korea
015 E04AA25 X
015 A00AA26 STATE STREET BANK AND TRUST COMPANY
015 B00AA26 S
015 C01AA26 LONDON
015 D01AA26 UNITED KINGDOM
015 E04AA26 X
015 A00AA27 THE HONGKONG AND SHANGHAI BANKING CORP., LTD.
015 B00AA27 S
PAGE 9
015 C01AA27 MUMBAI
015 D01AA27 INDIA
015 E04AA27 X
015 A00AA28 BANCO NACIONAL DE MEXICO S.A. (BANAMEX)
015 B00AA28 S
015 C01AA28 COL. SANTA FE
015 D01AA28 MEXICO
015 E04AA28 X
015 A00AA29 Skandinaviska Enskilda Banken AB
015 B00AA29 S
015 C01AA29 Oslo
015 D01AA29 Norway
015 E04AA29 X
015 A00AA30 THE HONGKONG AND SHANGHAI BANKING CORP., LTD.
015 B00AA30 S
015 C01AA30 AUCKLAND
015 D01AA30 NEW ZEALAND
015 E04AA30 X
015 A00AA31 CITIBANK DEL PERU, S.A.
015 B00AA31 S
015 C01AA31 LIMA
015 D01AA31 PERU
015 E04AA31 X
015 A00AA32 BANK HANDLOWY W WARSZAWIE S.A.
015 B00AA32 S
015 C01AA32 WARSAW
015 D01AA32 POLAND
015 E04AA32 X
015 A00AA33 DEUTSCHE BANK AG
015 B00AA33 S
015 C01AA33 LISBON
015 D01AA33 PORTUGAL
015 E04AA33 X
015 A00AA34 CITIBANK N.A.
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015 C01AA34 SINGAPORE
015 D01AA34 SINGAPORE
015 E04AA34 X
015 A00AA35 STANDARD CHARTERED BANK (THAI) PCL
015 B00AA35 S
015 C01AA35 BANGKOK
015 D01AA35 THAILAND
015 E04AA35 X
015 A00AA36 CITIBANK, A.S.
015 B00AA36 S
015 C01AA36 ISTANBUL
015 D01AA36 TURKEY
015 E04AA36 X
015 A00AA37 DEUTSCHE BANK AG
015 B00AA37 S
015 C01AA37 TAIPEI
PAGE 10
015 D01AA37 TAIWAN - R.O.C.
015 E04AA37 X
015 A00AA38 STANDARD BANK OF SOUTH AFRICA LTD.
015 B00AA38 S
015 C01AA38 JOHANNESBURG
015 D01AA38 SOUTH AFRICA
015 E04AA38 X
015 A00AA39 NEDBANK LTD.
015 B00AA39 S
015 C01AA39 JOHANNESBURG
015 D01AA39 SOUTH AFRICA
015 E04AA39 X
015 A00AA40 DEUTSCHE BANK AG, NETHERLANDS
015 B00AA40 S
015 C01AA40 BRUSSELS
015 D01AA40 BELGIUM
015 E04AA40 X
015 A00AA41 SKANDINAVISKA ENSKILDA BANKEN AB
015 B00AA41 S
015 C01AA41 COPENHAGEN
015 D01AA41 DENMARK
015 E04AA41 X
015 A00AA42 STANDARD CHARTERED BANK MALAYSIA BERHAD
015 B00AA42 S
015 C01AA42 KUALA LUMPUR
015 D01AA42 MALAYSIA
015 E04AA42 X
015 A00AA43 ING BANK (EURASIA) ZAO
015 B00AA43 S
015 C01AA43 MOSCOW
015 D01AA43 RUSSIA
015 E04AA43 X
015 A00AA44 BANCO ITAU CHILE
015 B00AA44 S
015 C01AA44 SANTIAGO
015 D01AA44 CHILE
015 E04AA44 X
015 A00AA45 CITITRUST COL0MBIA S.A. SOCIEDAD FIDUCIARIA
015 B00AA45 S
015 C01AA45 BOGOTA
015 D01AA45 COLOMBIA
015 E04AA45 X
018 00AA00 Y
019 A00AA00 Y
019 B00AA00 44
019 C00AA00 IXISLOOMIS
020 A000001 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
020 B000001 13-5674085
020 C000001 166
020 A000002 CREDIT SUISSE SECURITIES (USA) LLC
020 B000002 13-5659485
PAGE 11
020 C000002 156
020 A000003 GOLDMAN SACHS & CO.
020 B000003 13-5108880
020 C000003 136
020 A000004 J.P. MORGAN SECURITIES INC.
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020 C000004 109
020 A000005 BNY CONVERGEX EXECUTION SOLUTIONS LLC
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020 A000007 BARCLAYS BANK PLC
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020 A000008 DEUTSCHE BANK SECURITIES, INC.
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020 A000009 MACQUARIE CAPITAL (USA) INC.
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020 A000010 CITIGROUP GLOBAL MARKETS, INC.
020 B000010 11-2418191
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022 A000001 STATE STREET BANK & TRUST COMPANY
022 B000001 04-1867445
022 C000001 39576215
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022 A000002 RBC CAPITAL MARKETS CORP.
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022 A000003 J.P. MORGAN SECURITIES INC.
022 B000003 13-3224016
022 C000003 844328
022 D000003 118666
022 A000004 SCOTIA CAPITAL (USA) INC.
022 B000004 13-5239583
022 C000004 225
022 D000004 541692
022 A000005 MORGAN STANLEY
022 B000005 13-2655998
022 C000005 278460
022 D000005 202644
022 A000006 CITIGROUP GLOBAL MARKETS, INC.
022 B000006 11-2418191
022 C000006 137026
022 D000006 104048
022 A000007 ANZ SECURITIES INC.
PAGE 12
022 B000007 13-3763501
022 C000007 216531
022 D000007 501
022 A000008 BARCLAYS BANK PLC
022 B000008 13-4942190
022 C000008 125246
022 D000008 90891
022 A000009 DEUTSCHE BANK SECURITIES, INC.
022 B000009 13-2730828
022 C000009 30032
022 D000009 184081
022 A000010 BANC OF AMERICA SECURITIES CORP.
022 B000010 56-2058405
022 C000010 48390
022 D000010 152581
023 C000000 41757031
023 D000000 3279420
024 000100 N
024 000200 Y
024 001000 Y
024 001200 N
024 001300 Y
024 001700 N
024 002100 Y
024 002200 Y
024 002300 Y
024 002500 Y
024 002600 Y
025 A000201 J.P. MORGAN SECURITIES INC.
025 B000201 13-3224016
025 C000201 E
025 D000201 35547
025 A000202 CITIGROUP GLOBAL MARKETS, INC.
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025 C000202 E
025 D000202 20654
025 A000203 BANK OF AMERICA SECURITIES LLC
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025 C000203 E
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025 A000204 STATE STREET BANK AND TRUST COMPANY
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025 C000204 E
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025 A000205 BNY CONVERGEX EXECUTION SOLUTIONS LLC
025 B000205 13-3989198
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025 D000205 14518
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025 B001001 13-2655998
025 C001001 D
PAGE 13
025 D001001 3430
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025 C001002 D
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025 C001004 D
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025 C001005 D
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025 C001006 D
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025 B001301 11-2418191
025 C001301 D
025 D001301 212107
025 A001302 MORGAN STANLEY
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025 C001302 D
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025 B001303 13-3224016
025 C001303 D
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025 B001304 13-5674085
025 C001304 D
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025 C001305 D
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025 A001306 GOLDMAN, SACHS & CO.
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025 C001306 D
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025 C001307 D
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PAGE 14
025 C001308 D
025 D001308 34862
025 A001309 BARCLAYS BANK PLC
025 B001309 13-4942190
025 C001309 D
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025 C002101 E
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025 C002201 D
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025 C002203 D
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025 C002301 D
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025 C002302 D
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025 C002303 D
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025 A002304 MERRILL LYNCH, PIERCE, FENNER & SMITH INC.
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PAGE 15
025 B002308 13-2655998
025 C002308 D
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PAGE 16
025 A002603 CREDIT SUISSE FIRST BOSTON CORPORATION
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PAGE 17
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PAGE 18
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PAGE 19
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PAGE 20
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PAGE 21
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PAGE 22
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PAGE 23
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PAGE 24
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PAGE 25
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040 000100 Y
PAGE 26
040 000200 Y
040 001000 Y
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040 002300 Y
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PAGE 27
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PAGE 28
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PAGE 29
047 000100 Y
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PAGE 30
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PAGE 31
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PAGE 32
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048 002200 0.600
048 A012200 0
048 A022200 0.000
048 B012200 0
048 B022200 0.000
048 C012200 0
048 C022200 0.000
048 D012200 0
048 D022200 0.000
048 E012200 0
048 E022200 0.000
048 F012200 0
048 F022200 0.000
048 G012200 0
048 G022200 0.000
048 H012200 0
048 H022200 0.000
048 I012200 0
048 I022200 0.000
048 J012200 0
048 J022200 0.000
048 K012200 0
048 K022200 0.000
048 002300 0.000
048 A012300 250000
048 A022300 0.500
048 B012300 0
048 B022300 0.000
048 C012300 0
048 C022300 0.000
048 D012300 0
048 D022300 0.000
PAGE 33
048 E012300 0
048 E022300 0.000
048 F012300 0
048 F022300 0.000
048 G012300 0
048 G022300 0.000
048 H012300 0
048 H022300 0.000
048 I012300 0
048 I022300 0.000
048 J012300 0
048 J022300 0.000
048 K012300 250000
048 K022300 0.400
048 002500 0.000
048 A012500 200000
048 A022500 0.650
048 B012500 1800000
048 B022500 0.600
048 C012500 13000000
048 C022500 0.550
048 D012500 0
048 D022500 0.000
048 E012500 0
048 E022500 0.000
048 F012500 0
048 F022500 0.000
048 G012500 0
048 G022500 0.000
048 H012500 0
048 H022500 0.000
048 I012500 0
048 I022500 0.000
048 J012500 0
048 J022500 0.000
048 K012500 15000000
048 K022500 0.540
048 002600 0.600
048 A012600 0
048 A022600 0.000
048 B012600 0
048 B022600 0.000
048 C012600 0
048 C022600 0.000
048 D012600 0
048 D022600 0.000
048 E012600 0
048 E022600 0.000
048 F012600 0
048 F022600 0.000
048 G012600 0
PAGE 34
048 G022600 0.000
048 H012600 0
048 H022600 0.000
048 I012600 0
048 I022600 0.000
048 J012600 0
048 J022600 0.000
048 K012600 0
048 K022600 0.000
049 000100 N
049 000200 N
049 001000 N
049 001200 N
049 001300 N
049 001700 N
049 002100 N
049 002200 N
049 002300 N
049 002500 N
049 002600 N
050 000100 N
050 000200 N
050 001000 N
050 001200 N
050 001300 N
050 001700 N
050 002100 N
050 002200 N
050 002300 N
050 002500 N
050 002600 N
051 000100 N
051 000200 N
051 001000 N
051 001200 N
051 001300 N
051 001700 N
051 002100 N
051 002200 N
051 002300 N
051 002500 N
051 002600 N
052 000100 N
052 000200 N
052 001000 N
052 001200 N
052 001300 N
052 001700 N
052 002100 N
052 002200 N
052 002300 N
PAGE 35
052 002500 N
052 002600 N
053 A000100 Y
053 B000100 Y
053 C000100 N
053 A000200 Y
053 B000200 Y
053 C000200 N
053 A001000 Y
053 B001000 Y
053 C001000 N
053 A001200 Y
053 B001200 Y
053 C001200 N
053 A001300 Y
053 B001300 Y
053 C001300 N
053 A001700 Y
053 B001700 Y
053 C001700 N
053 A002100 Y
053 B002100 Y
053 C002100 N
053 A002200 Y
053 B002200 Y
053 C002200 N
053 A002300 Y
053 B002300 Y
053 C002300 N
053 A002500 Y
053 B002500 Y
053 C002500 N
053 A002600 Y
053 B002600 Y
053 C002600 N
054 A00AA00 Y
054 B00AA00 Y
054 C00AA00 N
054 D00AA00 N
054 E00AA00 N
054 F00AA00 N
054 G00AA00 N
054 H00AA00 Y
054 I00AA00 N
054 J00AA00 Y
054 K00AA00 N
054 L00AA00 N
054 M00AA00 Y
054 N00AA00 N
054 O00AA00 N
055 A000100 N
PAGE 36
055 B000100 N
055 A000200 N
055 B000200 N
055 A001000 N
055 B001000 N
055 A001200 N
055 B001200 N
055 A001300 N
055 B001300 N
055 A001700 Y
055 B001700 N
055 A002100 Y
055 B002100 N
055 A002200 N
055 B002200 N
055 A002300 N
055 B002300 N
055 A002500 N
055 B002500 N
055 A002600 Y
055 B002600 N
056 000100 Y
056 000200 Y
056 001000 Y
056 001200 Y
056 001300 Y
056 001700 Y
056 002100 Y
056 002200 Y
056 002300 Y
056 002500 Y
056 002600 Y
057 000100 N
057 000200 N
057 001000 N
057 001200 N
057 001300 N
057 001700 N
057 002100 N
057 002200 N
057 002300 N
057 002500 N
057 002600 N
058 A000100 N
058 A000200 N
058 A001000 N
058 A001200 N
058 A001300 N
058 A001700 N
058 A002100 N
058 A002200 N
PAGE 37
058 A002300 N
058 A002500 N
058 A002600 N
059 000100 Y
059 000200 Y
059 001000 Y
059 001200 Y
059 001300 Y
059 001700 Y
059 002100 Y
059 002200 Y
059 002300 Y
059 002500 Y
059 002600 Y
060 A000100 Y
060 B000100 Y
060 A000200 Y
060 B000200 Y
060 A001000 Y
060 B001000 Y
060 A001200 Y
060 B001200 Y
060 A001300 Y
060 B001300 Y
060 A001700 Y
060 B001700 Y
060 A002100 Y
060 B002100 Y
060 A002200 Y
060 B002200 Y
060 A002300 Y
060 B002300 Y
060 A002500 Y
060 B002500 Y
060 A002600 N
060 B002600 N
061 000100 2500
061 000200 2500
061 001000 2500
061 001200 2500
061 001300 2500
061 001700 2500
061 002100 2500
061 002200 2500
061 002300 2500
061 002500 2500
061 002600 2500
062 A000100 N
062 B000100 0.0
062 C000100 0.0
062 D000100 0.0
PAGE 38
062 E000100 0.0
062 F000100 0.0
062 G000100 0.0
062 H000100 0.0
062 I000100 0.0
062 J000100 0.0
062 K000100 0.0
062 L000100 0.0
062 M000100 0.0
062 N000100 0.0
062 O000100 0.0
062 P000100 0.0
062 Q000100 0.0
062 R000100 0.0
062 A000200 N
062 B000200 0.0
062 C000200 0.0
062 D000200 0.0
062 E000200 0.0
062 F000200 0.0
062 G000200 0.0
062 H000200 0.0
062 I000200 0.0
062 J000200 0.0
062 K000200 0.0
062 L000200 0.0
062 M000200 0.0
062 N000200 0.0
062 O000200 0.0
062 P000200 0.0
062 Q000200 0.0
062 R000200 0.0
062 A001000 N
062 B001000 0.0
062 C001000 0.0
062 D001000 0.0
062 E001000 0.0
062 F001000 0.0
062 G001000 0.0
062 H001000 0.0
062 I001000 0.0
062 J001000 0.0
062 K001000 0.0
062 L001000 0.0
062 M001000 0.0
062 N001000 0.0
062 O001000 0.0
062 P001000 0.0
062 Q001000 0.0
062 R001000 0.0
062 A001200 N
PAGE 39
062 B001200 0.0
062 C001200 0.0
062 D001200 0.0
062 E001200 0.0
062 F001200 0.0
062 G001200 0.0
062 H001200 0.0
062 I001200 0.0
062 J001200 0.0
062 K001200 0.0
062 L001200 0.0
062 M001200 0.0
062 N001200 0.0
062 O001200 0.0
062 P001200 0.0
062 Q001200 0.0
062 R001200 0.0
062 A001300 Y
062 B001300 0.0
062 C001300 0.0
062 D001300 1.0
062 E001300 0.0
062 F001300 0.0
062 G001300 0.0
062 H001300 0.0
062 I001300 0.0
062 J001300 0.0
062 K001300 0.0
062 L001300 0.0
062 M001300 2.5
062 N001300 0.9
062 O001300 0.7
062 P001300 71.1
062 Q001300 22.7
062 R001300 0.0
062 A001700 N
062 B001700 0.0
062 C001700 0.0
062 D001700 0.0
062 E001700 0.0
062 F001700 0.0
062 G001700 0.0
062 H001700 0.0
062 I001700 0.0
062 J001700 0.0
062 K001700 0.0
062 L001700 0.0
062 M001700 0.0
062 N001700 0.0
062 O001700 0.0
062 P001700 0.0
PAGE 40
062 Q001700 0.0
062 R001700 0.0
062 A002100 N
062 B002100 0.0
062 C002100 0.0
062 D002100 0.0
062 E002100 0.0
062 F002100 0.0
062 G002100 0.0
062 H002100 0.0
062 I002100 0.0
062 J002100 0.0
062 K002100 0.0
062 L002100 0.0
062 M002100 0.0
062 N002100 0.0
062 O002100 0.0
062 P002100 0.0
062 Q002100 0.0
062 R002100 0.0
062 A002200 Y
062 B002200 0.0
062 C002200 0.0
062 D002200 9.8
062 E002200 0.0
062 F002200 0.0
062 G002200 0.0
062 H002200 0.0
062 I002200 0.0
062 J002200 0.0
062 K002200 0.0
062 L002200 0.0
062 M002200 0.0
062 N002200 0.0
062 O002200 0.0
062 P002200 66.9
062 Q002200 13.7
062 R002200 7.0
062 A002300 Y
062 B002300 0.0
062 C002300 0.0
062 D002300 0.4
062 E002300 0.0
062 F002300 0.0
062 G002300 0.0
062 H002300 0.0
062 I002300 0.0
062 J002300 0.0
062 K002300 0.0
062 L002300 0.0
062 M002300 23.3
PAGE 41
062 N002300 53.0
062 O002300 0.0
062 P002300 21.3
062 Q002300 1.0
062 R002300 0.0
062 A002500 Y
062 B002500 0.0
062 C002500 0.0
062 D002500 1.4
062 E002500 0.0
062 F002500 0.0
062 G002500 0.0
062 H002500 0.0
062 I002500 0.0
062 J002500 0.0
062 K002500 0.0
062 L002500 0.0
062 M002500 2.4
062 N002500 0.0
062 O002500 1.3
062 P002500 64.8
062 Q002500 20.3
062 R002500 8.4
062 A002600 Y
062 B002600 0.0
062 C002600 0.0
062 D002600 0.0
062 E002600 0.0
062 F002600 0.0
062 G002600 0.0
062 H002600 0.0
062 I002600 0.0
062 J002600 0.0
062 K002600 0.0
062 L002600 0.0
062 M002600 0.0
062 N002600 0.0
062 O002600 0.0
062 P002600 25.5
062 Q002600 72.5
062 R002600 0.0
063 A000100 0
063 B000100 0.0
063 A000200 0
063 B000200 0.0
063 A001000 0
063 B001000 0.0
063 A001200 0
063 B001200 0.0
063 A001300 0
063 B001300 9.6
PAGE 42
063 A001700 0
063 B001700 0.0
063 A002100 0
063 B002100 0.0
063 A002200 0
063 B002200 9.4
063 A002300 0
063 B002300 2.8
063 A002500 0
063 B002500 11.2
063 A002600 0
063 B002600 7.2
064 A001300 Y
064 B001300 N
064 A002200 N
064 B002200 Y
064 A002300 Y
064 B002300 N
064 A002500 Y
064 B002500 Y
064 A002600 N
064 B002600 N
065 002200 N
065 002500 N
066 A000100 Y
066 B000100 N
066 C000100 N
066 D000100 Y
066 E000100 N
066 F000100 N
066 G000100 N
066 A000200 Y
066 B000200 N
066 C000200 N
066 D000200 N
066 E000200 Y
066 F000200 N
066 G000200 N
066 A001000 Y
066 B001000 N
066 C001000 N
066 D001000 N
066 E001000 N
066 F001000 N
066 G001000 Y
066 A001200 Y
066 B001200 N
066 C001200 N
066 D001200 Y
066 E001200 N
066 F001200 N
PAGE 43
066 G001200 N
066 A001300 N
066 A001700 Y
066 B001700 N
066 C001700 N
066 D001700 Y
066 E001700 N
066 F001700 N
066 G001700 N
066 A002100 Y
066 B002100 N
066 C002100 N
066 D002100 Y
066 E002100 N
066 F002100 N
066 G002100 N
066 A002200 N
066 A002300 N
066 A002500 N
066 A002600 N
067 000100 N
067 000200 N
067 001000 N
067 001200 N
067 001300 N
067 001700 N
067 002100 N
067 002200 N
067 002300 N
067 002500 N
067 002600 N
068 A000100 N
068 B000100 N
068 A000200 N
068 B000200 N
068 A001000 N
068 B001000 N
068 A001200 N
068 B001200 N
068 A001300 N
068 B001300 N
068 A001700 N
068 B001700 N
068 A002100 N
068 B002100 N
068 A002200 N
068 B002200 N
068 A002300 N
068 B002300 N
068 A002500 N
068 B002500 N
PAGE 44
068 A002600 N
068 B002600 Y
069 000100 N
069 000200 N
069 001000 N
069 001200 N
069 001300 N
069 001700 N
069 002100 N
069 002200 N
069 002300 N
069 002500 N
069 002600 N
070 A010100 Y
070 A020100 Y
070 B010100 Y
070 B020100 N
070 C010100 Y
070 C020100 N
070 D010100 Y
070 D020100 N
070 E010100 Y
070 E020100 N
070 F010100 Y
070 F020100 N
070 G010100 Y
070 G020100 N
070 H010100 Y
070 H020100 N
070 I010100 N
070 I020100 N
070 J010100 Y
070 J020100 N
070 K010100 Y
070 K020100 N
070 L010100 Y
070 L020100 Y
070 M010100 Y
070 M020100 N
070 N010100 Y
070 N020100 N
070 O010100 Y
070 O020100 N
070 P010100 Y
070 P020100 N
070 Q010100 Y
070 Q020100 N
070 R010100 Y
070 R020100 N
070 A010200 Y
070 A020200 Y
PAGE 45
070 B010200 Y
070 B020200 N
070 C010200 Y
070 C020200 N
070 D010200 Y
070 D020200 N
070 E010200 Y
070 E020200 N
070 F010200 Y
070 F020200 N
070 G010200 Y
070 G020200 N
070 H010200 Y
070 H020200 N
070 I010200 N
070 I020200 N
070 J010200 Y
070 J020200 N
070 K010200 Y
070 K020200 N
070 L010200 Y
070 L020200 Y
070 M010200 Y
070 M020200 N
070 N010200 Y
070 N020200 N
070 O010200 Y
070 O020200 N
070 P010200 Y
070 P020200 N
070 Q010200 Y
070 Q020200 N
070 R010200 Y
070 R020200 N
070 A011000 Y
070 A021000 Y
070 B011000 Y
070 B021000 N
070 C011000 Y
070 C021000 N
070 D011000 Y
070 D021000 N
070 E011000 Y
070 E021000 N
070 F011000 Y
070 F021000 N
070 G011000 Y
070 G021000 N
070 H011000 Y
070 H021000 N
070 I011000 N
PAGE 46
070 I021000 N
070 J011000 Y
070 J021000 N
070 K011000 Y
070 K021000 N
070 L011000 Y
070 L021000 Y
070 M011000 Y
070 M021000 Y
070 N011000 Y
070 N021000 N
070 O011000 Y
070 O021000 N
070 P011000 Y
070 P021000 N
070 Q011000 Y
070 Q021000 N
070 R011000 Y
070 R021000 N
070 A011200 Y
070 A021200 Y
070 B011200 Y
070 B021200 N
070 C011200 Y
070 C021200 N
070 D011200 Y
070 D021200 N
070 E011200 Y
070 E021200 N
070 F011200 Y
070 F021200 N
070 G011200 Y
070 G021200 N
070 H011200 Y
070 H021200 N
070 I011200 N
070 I021200 N
070 J011200 Y
070 J021200 N
070 K011200 Y
070 K021200 N
070 L011200 Y
070 L021200 Y
070 M011200 Y
070 M021200 N
070 N011200 Y
070 N021200 N
070 O011200 Y
070 O021200 N
070 P011200 Y
070 P021200 N
PAGE 47
070 Q011200 Y
070 Q021200 N
070 R011200 Y
070 R021200 N
070 A011300 Y
070 A021300 Y
070 B011300 Y
070 B021300 N
070 C011300 Y
070 C021300 N
070 D011300 Y
070 D021300 N
070 E011300 Y
070 E021300 N
070 F011300 Y
070 F021300 N
070 G011300 Y
070 G021300 N
070 H011300 Y
070 H021300 N
070 I011300 N
070 I021300 N
070 J011300 Y
070 J021300 N
070 K011300 Y
070 K021300 N
070 L011300 Y
070 L021300 Y
070 M011300 Y
070 M021300 Y
070 N011300 Y
070 N021300 N
070 O011300 Y
070 O021300 N
070 P011300 Y
070 P021300 N
070 Q011300 Y
070 Q021300 N
070 R011300 Y
070 R021300 N
070 A011700 Y
070 A021700 Y
070 B011700 Y
070 B021700 Y
070 C011700 Y
070 C021700 N
070 D011700 Y
070 D021700 N
070 E011700 Y
070 E021700 N
070 F011700 Y
PAGE 48
070 F021700 N
070 G011700 Y
070 G021700 N
070 H011700 Y
070 H021700 N
070 I011700 N
070 I021700 N
070 J011700 Y
070 J021700 N
070 K011700 Y
070 K021700 N
070 L011700 Y
070 L021700 Y
070 M011700 Y
070 M021700 Y
070 N011700 Y
070 N021700 N
070 O011700 Y
070 O021700 N
070 P011700 Y
070 P021700 N
070 Q011700 Y
070 Q021700 N
070 R011700 Y
070 R021700 N
070 A012100 Y
070 A022100 Y
070 B012100 Y
070 B022100 Y
070 C012100 Y
070 C022100 N
070 D012100 Y
070 D022100 N
070 E012100 Y
070 E022100 N
070 F012100 Y
070 F022100 N
070 G012100 Y
070 G022100 N
070 H012100 Y
070 H022100 N
070 I012100 N
070 I022100 N
070 J012100 Y
070 J022100 N
070 K012100 Y
070 K022100 N
070 L012100 Y
070 L022100 N
070 M012100 Y
070 M022100 N
PAGE 49
070 N012100 Y
070 N022100 N
070 O012100 Y
070 O022100 N
070 P012100 Y
070 P022100 N
070 Q012100 Y
070 Q022100 N
070 R012100 Y
070 R022100 N
070 A012200 Y
070 A022200 Y
070 B012200 Y
070 B022200 N
070 C012200 Y
070 C022200 N
070 D012200 Y
070 D022200 N
070 E012200 Y
070 E022200 N
070 F012200 Y
070 F022200 N
070 G012200 Y
070 G022200 N
070 H012200 Y
070 H022200 N
070 I012200 N
070 I022200 N
070 J012200 Y
070 J022200 N
070 K012200 Y
070 K022200 Y
070 L012200 Y
070 L022200 Y
070 M012200 Y
070 M022200 Y
070 N012200 Y
070 N022200 N
070 O012200 Y
070 O022200 N
070 P012200 Y
070 P022200 N
070 Q012200 Y
070 Q022200 N
070 R012200 N
070 R022200 N
070 A012300 Y
070 A022300 Y
070 B012300 Y
070 B022300 N
070 C012300 Y
PAGE 50
070 C022300 N
070 D012300 Y
070 D022300 N
070 E012300 Y
070 E022300 N
070 F012300 Y
070 F022300 N
070 G012300 Y
070 G022300 N
070 H012300 Y
070 H022300 N
070 I012300 N
070 I022300 N
070 J012300 Y
070 J022300 N
070 K012300 Y
070 K022300 N
070 L012300 Y
070 L022300 N
070 M012300 Y
070 M022300 N
070 N012300 Y
070 N022300 N
070 O012300 Y
070 O022300 N
070 P012300 Y
070 P022300 N
070 Q012300 Y
070 Q022300 N
070 R012300 Y
070 R022300 N
070 A012500 Y
070 A022500 Y
070 B012500 Y
070 B022500 N
070 C012500 Y
070 C022500 N
070 D012500 Y
070 D022500 N
070 E012500 Y
070 E022500 N
070 F012500 Y
070 F022500 N
070 G012500 Y
070 G022500 N
070 H012500 Y
070 H022500 N
070 I012500 N
070 I022500 N
070 J012500 Y
070 J022500 N
PAGE 51
070 K012500 Y
070 K022500 Y
070 L012500 Y
070 L022500 Y
070 M012500 Y
070 M022500 Y
070 N012500 Y
070 N022500 N
070 O012500 Y
070 O022500 N
070 P012500 Y
070 P022500 N
070 Q012500 Y
070 Q022500 N
070 R012500 Y
070 R022500 N
070 A012600 Y
070 A022600 Y
070 B012600 Y
070 B022600 N
070 C012600 Y
070 C022600 N
070 D012600 Y
070 D022600 N
070 E012600 Y
070 E022600 N
070 F012600 Y
070 F022600 N
070 G012600 Y
070 G022600 N
070 H012600 Y
070 H022600 N
070 I012600 N
070 I022600 N
070 J012600 Y
070 J022600 N
070 K012600 Y
070 K022600 N
070 L012600 Y
070 L022600 Y
070 M012600 Y
070 M022600 Y
070 N012600 Y
070 N022600 N
070 O012600 Y
070 O022600 N
070 P012600 Y
070 P022600 N
070 Q012600 Y
070 Q022600 N
070 R012600 Y
PAGE 52
070 R022600 N
071 A000100 16010
071 B000100 8942
071 C000100 107302
071 D000100 8
071 A000200 345824
071 B000200 169893
071 C000200 1142565
071 D000200 15
071 A001000 229399
071 B001000 142694
071 C001000 364314
071 D001000 39
071 A001200 132000
071 B001200 68954
071 C001200 175964
071 D001200 39
071 A001300 616439
071 B001300 1761081
071 C001300 9571733
071 D001300 6
071 A001700 112687
071 B001700 108439
071 C001700 118950
071 D001700 91
071 A002100 20172
071 B002100 31890
071 C002100 33902
071 D002100 60
071 A002200 46349
071 B002200 50746
071 C002200 151272
071 D002200 31
071 A002300 231894
071 B002300 166539
071 C002300 372814
071 D002300 45
071 A002500 1310584
071 B002500 1937578
071 C002500 13160503
071 D002500 10
071 A002600 12631
071 B002600 23280
071 C002600 26379
071 D002600 48
072 A000100 6
072 B000100 0
072 C000100 737
072 D000100 0
072 E000100 0
072 F000100 270
PAGE 53
072 G000100 25
072 H000100 0
072 I000100 96
072 J000100 9
072 K000100 0
072 L000100 15
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PAGE 54
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PAGE 55
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PAGE 56
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PAGE 57
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PAGE 59
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PAGE 60
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PAGE 63
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PAGE 64
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PAGE 65
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PAGE 68
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SIGNATURE JOHN SGROI
TITLE VICE PRESIDENT
EX-99.77D POLICIES
2
exhibit77dsfii.txt
EXHIBIT 77 D 3-31-2011
SUB-ITEM 77D: Policies with Respect to Security Investments
Effective March 31, 2011, the Loomis Sayles Global Equity and Income
Fund (formerly, Loomis Sayles Global Markets Fund) normally will
invest at least 80% of its net assets (plus any borrowings made for
investment purposes) in equity and fixed-income securities.
EX-99.77Q1 OTHR EXHB
3
exhibit77q1bsfii.txt
EXHIBIT 77 Q1B 3-31-2011
SUB-ITEM 77Q1(b): Copies of the text of any proposal described
in answer to sub-item 77D
Effective March 31, 2011 with respect to Loomis Sayles Global Equity and
Income Fund
Under normal market conditions, the Fund will invest at least 80% of its
net assets (plus any borrowings made for investment purposes) in equity
and fixed-income securities of U.S. and foreign issuers. Equity securities
purchased by the Fund may include common stocks, preferred stocks,
depositary receipts, warrants, securities convertible into common or
preferred stocks, interests in real estate investment trusts (REITs)
and/or real estate-related securities and other equity-like interests in an
issuer. The Fund will invest a significant portion of its assets outside the
U.S., including securities of issuers located in countries with emerging
securities markets.
In deciding which domestic and international equity securities to buy
and sell, the Adviser generally looks for companies that it believes have
the potential for superior earnings growth relative to their current value.
The Adviser also looks for companies that appear to be undervalued
relative to the intrinsic value of the companies assets or cash flows.
In deciding which domestic and international fixed-income securities to
buy and sell, the Adviser generally looks for securities that it believes
are undervalued and have the potential for credit upgrades. The Fund
may also invest in foreign currencies, collateralized mortgage
obligations, zero-coupon securities, when-issued securities, real estate
investment trusts (REITs, Rule 144A securities and mortgage-related
securities. The Fund may also engage in active and frequent trading of
securities and engage in options or foreign currency transactions for
hedging and investment purposes and futures transactions, foreign
currency transactions, swap transactions (including credit default swaps)
and other derivative transactions.
EX-99.77Q1 OTHR EXHB
4
exhibit77q1dsfii.txt
EXHIBIT 77 Q1D 3-31-2011
Gateway Trust
Hansberger International Series
Natixis Funds Trust I
Natixis Funds Trust II
Natixis Funds Trust IV
Loomis Sayles Funds I
Loomis Sayles Funds II
Amended and Restated Plan pursuant to Rule 18f-3(d)
under the Investment Company Act of 1940
Effective as of March 11, 2011
Each series of Gateway Trust, Hansberger International Series, Natixis
Funds Trust I, Natixis Funds Trust II, Natixis Funds Trust IV, Loomis
Sayles Funds I and Loomis Sayles Funds II (each series individually a
Fund and such Trusts collectively the Trusts) may from time to time
issue one or more of the following classes of shares: Class A shares,
Class B shares, Class C shares, Class J shares, Class Y shares, Admin
Class shares, Advisor Class shares, Institutional Class shares and Retail
Class shares. Shares of each class of a Fund shall represent an equal pro
rata interest in such Fund and, generally, shall have identical voting,
dividend, liquidation, and other rights, preferences, powers, restrictions,
limitations, qualifications and terms and conditions, except that: (a) each
class shall have a different designation; (b) each class shall bear any
Class Expenses, as defined below; (c) each class shall have separate
voting rights on any matter submitted to shareholders in which the
interests of one class differ from the interests of any other class, and
shall have exclusive voting rights on any matter submitted to
shareholders that relates solely to that class; and (d) each class may have
different conversion and exchange rights, as described below. In
addition, each class is subject to such investment minimums and other
conditions of eligibility as are set forth in the Funds prospectuses
(including statements of additional information) as from time to time in
effect. The differences in expenses among these classes of shares, and
the conversion and exchange features of each class of shares, are set
forth below in this Plan, which is subject to change, to the extent
permitted by law and by the Declaration of Trust and By-Laws of each
Trust, by action of the Board of Trustees of each Trust. Hansberger
International Series, in certain instances, is treated differently. In such
instances, the treatment is specifically noted.
Initial Sales Charge
Class A shares are offered at a public offering price that is equal to their
net asset value (NAV) plus a sales charge of up to 5.75% of the public
offering price (which maximum may be less for certain Funds, as
described in the Funds prospectuses as from time to time in effect). The
sales charges on Class A shares are subject to reduction or waiver as
permitted by Rule 22d-1 under the Investment Company Act of 1940
(the 1940 Act) and as described in the Funds prospectuses as from
time to time in effect.
Prior to December 1, 2000, Class C shares were offered at a public
offering price equal to their NAV, without an initial sales charge. From
December 1, 2000 through January 31, 2004, Class C shares were
offered at a public offering price that was equal to their NAV plus a
sales charge of 1.00% of the public offering price (which maximum may
be less for certain Funds, as was described in the Funds then effective
prospectuses as may have been in effect from time to time). The sales
charges on Class C shares were subject to reduction or waiver as
permitted by Rule 22d-1 under the 1940 Act and as described in the
Funds then effective prospectuses as may have been in effect from time
to time. On and after February 1, 2004, Class C shares are offered at a
public offering price equal to their NAV, without an initial sales charge.
Class J shares of the Funds are offered at a public offering price that is
equal to their NAV plus a front end sales charge of up to 3.50% of the
public offering price (which maximum may be less for certain Funds, as
described in the Funds prospectuses as from time to time in effect). The
sales charges on Class J shares are subject to reduction or waiver as
permitted by Rule 22d-1 under the 1940 Act and as described in the
Funds prospectuses as from time to time in effect.
Class B, Class C, Class Y, Admin Class, Advisor Class, Retail Class and
Institutional Class shares are offered at their NAV, without an initial
sales charge.
Contingent Deferred Sales Charge
Purchases of Class A shares of $1 million or more, purchases of Class C
shares or purchases by certain retirement plans, as described in the
Funds prospectuses as from time to time in effect, that are redeemed
within one year from purchase are subject to a contingent deferred sales
charge (a CDSC) of 1% of either the purchase price or the NAV of the
shares redeemed, whichever is less. Class A and C shares are not
otherwise subject to a CDSC.
Class B shares that are redeemed within 6 years from purchase are
subject to a CDSC of up to 5% (4% for shares purchased prior to May 1,
1997) of either the purchase price or the NAV of the shares redeemed,
whichever is less; such percentage declines the longer the shares are
held, as described in the Funds prospectuses as from time to time in
effect. Class B shares purchased with reinvested dividends or capital
gain distributions are not subject to a CDSC. Effective July 30, 2007, no
new accounts will be opened in Class B shares. Effective October 12,
2007, no additional investments may be made into Class B shares.
The CDSC on Class A, Class B and Class C shares is subject to
reduction or waiver in certain circumstances, as permitted by Rule 6c-10
under the 1940 Act and as described in the Funds prospectuses as from
time to time in effect.
Class J, Class Y, Admin Class, Advisor Class, Institutional Class and
Retail Class shares are not subject to any CDSC.
Service, Administration and Distribution Fees
Class A, Class B, Class C, Class J, Admin Class and Retail Class shares
pay distribution and service fees pursuant to plans adopted pursuant to
Rule 12b-1 under the 1940 Act (the 12b-1 Plans) for such classes.
Class A, Class B, Class C, Class J, Admin Class and Retail Class shares
also bear any costs associated with obtaining shareholder approval of
any amendments to a 12b-1 Plan. There is no 12b-1 Plan for Advisor
Class, Class Y or Institutional Class shares. Amounts payable under the
12b-1 Plans are subject to such further limitations as the Trustees may
from time to time determine and as set forth in the prospectus of each
Fund as from time to time in effect.
Class A, Class B, Class C and Retail Class shares each pay, pursuant to
the 12b-1 Plans, a service fee of up to 0.25% per annum of the average
daily net assets attributable to such class (which percentage may be less
for certain Funds, as described in the Funds prospectuses as from time to
time in effect).
Class A shares do not pay a distribution fee pursuant to the 12b-1 Plans.
Class B and Class C shares pay, pursuant to the 12b-1 Plans, a
distribution fee of up to 0.75% per annum of the average daily net assets
attributable to such class of shares (which percentages may be less for
certain Funds, as described in the Funds prospectuses as from time to
time in effect).
Class J shares pay, pursuant to the 12b-1 Plans, distribution and service
fees of up to 0.75% of the average net assets attributable to Class J
shares (which percentage may be less for certain Funds, as described in
the Funds prospectuses as from time to time in effect).
Admin Class shares pay, pursuant to the 12b-1 Plans, distribution and
service fees of up to 0.25% of the average daily net assets attributable to
Admin class shares (which percentages may be less for certain Funds, as
described in the Funds prospectuses as from time to time in effect). In
addition, Admin Class shares pay administrative fees to certain financial
intermediaries for providing personal service and account maintenance
for their customers who hold Admin class shares. These fees are paid on
the average daily net assets attributable to Admin Class shares at the
annual rate stated in the Funds prospectuses as from time to time in
effect.
Conversion and Exchange Features
Class B shares automatically convert to Class A shares of the same Fund
eight years after purchase, except that Class B shares purchased through
the reinvestment of dividends and other distributions on Class B shares
convert to Class A shares at the same time as the shares with respect to
which they were purchased are converted. This conversion from Class
B shares to Class A shares occurs once per month for all Class B shares
that reach their eighth year over the course of that particular month.
A Retail Class shareholder of a Fund who accumulates shares with a
value greater than or equal to the minimum investment amount for
Institutional Class shares of that same Fund may, at the shareholders
option upon written notice to the Trust, convert the shareholders Retail
Class shares of that Fund into Institutional Class shares of the same
Fund at NAV, provided that the shareholder would otherwise be eligible
to purchase Institutional Class shares of the Fund. An Institutional Class
shareholder may, upon written notice to the Trust, convert the
shareholders Institutional Class shares into Retail Class shares of the
same Fund at NAV if the investment option or program through which
the shareholder invests no longer permits the use of Institutional Class
shares in that option or program or if the shareholder is otherwise no
longer eligible to participate in Institutional Class shares, provided that
the shareholder would otherwise be eligible to purchase Retail Class
shares of the Fund.
Class A, Class C, Class Y, Class J, Admin Class, Advisor Class shares
or Institutional Class shares of Hansberger International Series do not
convert to any other class of shares.
To the extent provided in the prospectus of the relevant Fund as from
time to time in effect, Class A shares of any Fund may be exchanged, at
the holders option and subject to minimum investment requirements, for
Class A shares of any other Fund that offers Class A shares without the
payment of a sales charge. The holding period for determining any
CDSC will include the holding period of the shares exchanged. Prior to
the liquidation of Natixis Cash Management Trust Money Market
Series (the Money Market Fund), Class A shares of the Money Market
Fund on which no sales charge was previously paid or for which no
holding period had commenced for purposes of determining the
applicable CDSC could have been exchanged for Class A shares of any
other Funds on the basis of relative net asset value plus the sales charge
applicable to initial purchases of Class A shares of the other Fund into
which the shareholder was exchanging, and in such instances the holding
period for purposes of determining the CDSC would have commenced at
the time of the exchange.
Class A shares of a Fund acquired in connection with certain deferred
compensation plans offered by New England Life Insurance Company
(NELICO) and its affiliates to any of their directors, senior officers,
agents or general agents may be exchanged, at the holders option and
with the consent of NELICO, for Class Y shares of the same Fund or for
Class Y shares of any other Fund that offers Class Y shares.
Class A shares of a Fund acquired by investors in wrap programs
approved by the Funds distributor, or who are moving to a wrap
program, or clients of registered investment advisers (RIAs) may be
exchanged for Class Y shares of the same Fund. Any outstanding CDSC
exposure associated with the Class A shares will be assessed at the time
of the exchange. Effective May 1, 2011, Class A shares of a Fund
acquired by Fund Trustees, former Fund Trustees, employees of
affiliates of the Natixis Funds, individuals who are affiliated with any
Natixis Fund (including spouses, parents, siblings, grandparents,
grandchildren and in-laws of those mentioned) and Natixis and Natixis
affiliate employee benefit plans (together Natixis Eligible Investors)
may be exchanged for Class Y shares of the same Fund without payment
of a CDSC.
Class C shares of a Fund acquired by investors in wrap programs
approved by the Funds distributor, or who are moving to a wrap
program, or clients of RIAs may be exchanged for Class Y shares of
the same Fund. Any outstanding CDSC exposure associated with the
Class C shares will be assessed at the time of the exchange.
Class C shares of a Fund acquired by investors in wrap programs
approved by the Funds distributor, or who are moving to a wrap
program, or clients of RIAs may be exchanged for Class A shares of
the same Fund at NAV. Any outstanding CDSC exposure associated
with the Class C shares will be assessed at the time of the exchange.
A Class Y shareholder who holds Class Y shares through a wrap
program or fee-based program may, upon written notice to the Trust,
convert the shareholders Class Y shares into Class A shares of the same
Fund at NAV if the investment option or program through which the
shareholder invests no longer permits the use of Class Y shares in that
option or program or if the shareholder is otherwise no longer eligible to
participate in Class Y shares, provided that the shareholder would
otherwise be eligible to purchase Class A shares of the same Fund. Any
Class Y to Class A share exchange will initially be exempt from the
Class A sales charge (as described in the Funds prospectuses as from
time to time in effect); however, any subsequent shareholder
contributions within Class A shares will be subject to the Class A sales
charge.
Shareholders who held shares of the predecessor of the Gateway Fund at
the time of its reorganization into the Gateway Fund may exchange their
Class A shares for Class Y shares of the Gateway Fund if the
shareholders account value is $100,000 or more or if the shareholder
meets the eligibility requirements of Class Y as described in the Funds
prospectus as from time to time in effect.
To the extent provided in the prospectus of the relevant Fund as from
time to time in effect, Class B shares of any Fund may be exchanged, at
the holders option and subject to minimum investment requirements, for
Class B shares of any other Fund that offers Class B shares, without the
payment of a CDSC. The holding period for determining the CDSC and
the conversion to Class A shares will include the holding period of the
shares exchanged. Prior to the liquidation of the Money Market Fund,
Class B shares of the Money Market Fund could have been exchanged for
Class B shares of any other Fund on the basis of relative net asset value,
subject to the CDSC schedule of the Fund acquired. For purposes of
computing the CDSC payable upon redemption of shares acquired by
such exchange, and the conversion of such shares to Class A shares, the
holding period of any other Funds shares that were exchanged for Class B
shares of the Money Market Fund is included, but the holding period of
the Class B shares of the Money Market Fund is not included.
To the extent provided in the prospectus of the relevant Fund as from
time to time in effect, Class C shares of any Fund may be exchanged, at
the holders option and subject to minimum investment requirements, for
Class C shares of any other Fund that offers Class C shares, without
payment of a CDSC. The holding period for determining the CDSC will
include the holding period of the shares exchanged. Prior to the
liquidation of the Money Market Fund, Class C shares could also have
been exchanged for Class C shares of the Money Market Fund without
the payment of a CDSC in which case the holding period for purposes of
determining the expiration of the CDSC on such shares, if any, would
have stopped and would have resumed only when an exchange was
made back into Class C shares of a Fund.
To the extent provided in the prospectus of the relevant Fund as from
time to time in effect, Class J shares of any Fund may be exchanged, at
the holders option and subject to minimum investment requirements, for
Class J shares of any other Fund that offers Class J shares without the
payment of a sales charge.
To the extent provided in the prospectus of the relevant Fund as from
time to time in effect, Class Y shares of any Fund may be exchanged, at
the holders option and subject to minimum investment requirements, (i)
for Class Y shares of any other Fund that offers Class Y shares, or (ii)
for Institutional Class shares of any other Fund that offers Institutional
Class shares (except Funds that are part of the Hansberger International
Series).
To the extent provided in the prospectus of the relevant Fund as from
time to time in effect, Admin Class shares of any Fund may be
exchanged, at the holders option and subject to minimum investment
requirements, for Admin Class shares of any other Fund that offers
Admin Class shares without the payment of a sales charge.
To the extent provided in the prospectus of the relevant Fund as from
time to time in effect, Advisor Class shares of any fund within the
Hansberger International Series may be exchanged, at the holders option
and subject to minimum investment requirements, for Advisor Class
shares of any other fund within the Hansberger International Series that
offers Advisor Class shares.
Effective May 1, 2011, Advisor Class shares of any fund within the
Hansberger International Series acquired by Natixis Eligible Investors
may be exchanged for Institutional Class shares of the same Fund.
To the extent provided in the prospectus of the relevant Fund as from
time to time in effect, Institutional Class shares of any Fund (except
Funds that are part of the Hansberger International Series) may be
exchanged, at the holders option and subject to minimum investment
requirements, (i) for Institutional Class shares of any other Fund that
offers Institutional Class shares (except Funds that are part of the
Hansberger International Series), or (ii) for Class Y shares of any other
Fund that offers Class Y shares. Institutional Class shares of any fund
within the Hansberger International Series may be exchanged, at the
holders option and subject to minimum investment requirements, for
Institutional Class shares of any other fund within the Hansberger
International Series that offers Institutional Class shares.
To the extent provided in the prospectus of the relevant Fund as from
time to time in effect, Retail Class shares of any Fund may be
exchanged, at the holders option and subject to minimum investment
requirements, for Retail Class shares of any other Fund that offers Retail
Class shares without the payment of a sales charge.
All exchanges are subject to the eligibility requirements or other
restrictions of the class and Fund including minimum investment
requirements to which the shareholder is exchanging. The Funds reserve
the right to terminate or limit the exchange privilege of any shareholder
deemed to be engaging in market timing activity as defined in the Funds
prospectuses as from time to time in effect. The Funds may terminate or
change the exchange privilege at any time upon 60 days notice to
shareholders.
Allocation of Income and Expenses
Each Class of shares pays the expenses associated with its different
distribution and shareholder servicing arrangements (Account
Expenses). Each class of shares may, at the Trustees discretion, also
pay a different share of other expenses (together with 12b-1 fees and
Account Expenses, Class Expenses), not including advisory fees or
other expenses related to the management of the Trusts assets, if these
expenses are actually incurred in a different amount by that class, or if
the class receives services of a different kind or to a different degree
than other classes.
The gross income of each Fund generally shall be allocated to each class
on the basis of net assets. To the extent practicable, certain expenses
(other than Class Expenses as defined above, which shall be allocated
more specifically) shall be subtracted from the gross income on the basis
of the net assets of each class of each Fund. These expenses include:
* Expenses incurred by a Trust (including, but not limited to, fees
of Trustees, insurance and legal counsel) not attributable to a
particular Fund or to a particular class of shares of a Fund (Trust
Level Expenses); and
* Expenses incurred by a Fund not attributable to any particular
class of the Funds shares (for example, advisory fees, custodial
fees or other expenses relating to the management of the Funds
assets) (Fund Expenses).
Expenses of a Fund shall be apportioned to each class of shares
depending upon the nature of the expense item. Trust Level Expenses
and Fund Expenses shall be allocated among the classes of shares based
on their relative net assets in relation to the net assets of the relevant
Trust. Approved Class Expenses shall be allocated to the particular
class to which they are attributable. However, if a Class Expense can no
longer be attributed to a class, it will be charged to a Fund for allocation
among classes in proportion to the net assets of each such class. Any
additional Class Expenses not specifically identified above which are
subsequently identified and determined to be properly allocated to one
class of shares shall not be so allocated until approved by the Board of
Trustees of the Trust in light of the requirements of the 1940 Act and the
Internal Revenue Code of 1986, as amended (the Code).
Each Trust reserves the right to utilize any other appropriate method to
allocate income and expenses among the classes, including those
specified in Rule 18f-3(c)(1), provided that a majority of the Trustees
and a majority of the independent Trustees determine that the method is
fair to the shareholders of each class and consistent with the
requirements of Rule 18f-3.