0001410368-17-000814.txt : 20170526
0001410368-17-000814.hdr.sgml : 20170526
20170526104330
ACCESSION NUMBER: 0001410368-17-000814
CONFORMED SUBMISSION TYPE: NSAR-A
PUBLIC DOCUMENT COUNT: 8
CONFORMED PERIOD OF REPORT: 20170331
FILED AS OF DATE: 20170526
DATE AS OF CHANGE: 20170526
EFFECTIVENESS DATE: 20170526
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: 17872287
BUSINESS ADDRESS:
STREET 1: 399 BOYLSTON STREET
STREET 2: 12TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02116
BUSINESS PHONE: 617-449-2810
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
S000006697
Loomis Sayles Value Fund
C000018225
Class Y
LSGIX
C000034548
Class A
LSVRX
C000049399
Class C
LSCVX
C000082997
Admin Class
LSAVX
C000125483
Class N
LSVNX
0000872649
S000006698
Loomis Sayles Global Equity and Income Fund
C000018226
Class Y
LSWWX
C000027670
Class A
LGMAX
C000027671
Class C
LGMCX
C000182249
Class N
LGMNX
0000872649
S000006699
Loomis Sayles Growth Fund
C000018227
Class A
LGRRX
C000018229
Class C
LGRCX
C000018230
Class Y
LSGRX
C000125484
Class N
LGRNX
0000872649
S000006700
Loomis Sayles High Income Fund
C000018231
Class A
NEFHX
C000018233
Class C
NEHCX
C000069253
Class Y
NEHYX
C000175112
Class N
LSHNX
0000872649
S000006701
Loomis Sayles Investment Grade Bond Fund
C000018234
Class A
LIGRX
C000018236
Class C
LGBCX
C000018238
Class Y
LSIIX
C000082998
Admin Class
LIGAX
C000125485
Class N
LGBNX
0000872649
S000006702
Loomis Sayles Limited Term Government and Agency Fund
C000018239
Class A
NEFLX
C000018241
Class C
NECLX
C000018242
Class Y
NELYX
C000182250
Class N
LGANX
0000872649
S000006705
Loomis Sayles Small Cap Growth Fund
C000018249
Institutional Class
LSSIX
C000018250
Retail Class
LCGRX
C000125486
Class N
LSSNX
0000872649
S000006706
Loomis Sayles Strategic Income Fund
C000018251
Class A
NEFZX
C000018253
Class C
NECZX
C000018254
Class Y
NEZYX
C000082999
Admin Class
NEZAX
C000125487
Class N
NEZNX
0000872649
S000049859
Loomis Sayles Small/Mid Cap Growth Fund
C000157445
Institutional Class
LSMIX
NSAR-A
1
lstiianswer.fil
LS FUNDS TRUST II NSAR 3.31.17
PAGE 1
000 A000000 03/31/2017
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 9
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 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
007 C032500 N
007 C012700 27
007 C022700 Loomis Sayles Small/Mid Cap Growth Fund
007 C032700 N
008 A00AA01 LOOMIS, SAYLES & COMPANY, L.P.
008 B00AA01 A
PAGE 2
008 C00AA01 801-170
008 D01AA01 BOSTON
008 D02AA01 MA
008 D03AA01 02111
010 A00AA01 NGAM Advisors, L.P.
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010 C01AA01 Boston
010 C02AA01 MA
010 C03AA01 02116
010 A00AA02 STATE STREET BANK AND TRUST COMPANY
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010 C01AA02 BOSTON
010 C02AA02 MA
010 C03AA02 02111
011 A000101 NGAM Distribution, L.P.
011 B000101 8-46325
011 C010101 Boston
011 C020101 MA
011 C030101 02116
011 A000201 NGAM Distribution, L.P.
011 B000201 8-46325
011 C010201 Boston
011 C020201 MA
011 C030201 02116
011 A001001 NGAM Distribution, L.P.
011 B001001 8-46325
011 C011001 Boston
011 C021001 MA
011 C031001 02116
011 A001201 NGAM Distribution, L.P.
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011 C011201 Boston
011 C021201 MA
011 C031201 02116
011 A001301 NGAM Distribution, L.P.
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011 C011301 Boston
011 C021301 MA
011 C031301 02116
011 A002201 NGAM Distribution, L.P.
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011 C012201 Boston
011 C022201 MA
011 C032201 02116
011 A002301 NGAM Distribution, L.P.
011 B002301 8-46325
011 C012301 Boston
011 C022301 MA
011 C032301 02116
011 A002501 NGAM Distribution, L.P.
011 B002501 8-46325
PAGE 3
011 C012501 Boston
011 C022501 MA
011 C032501 02116
011 A002701 NGAM Distribution, L.P.
011 B002701 8-46325
011 C012701 Boston
011 C022701 MA
011 C032701 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.
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012 C010201 QUINCY
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012 A001001 BOSTON FINANCIAL DATA SERVICES, INC.
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012 A001201 BOSTON FINANCIAL DATA SERVICES, INC.
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012 C011201 QUINCY
012 C021201 MA
012 C031201 02169
012 A001301 BOSTON FINANCIAL DATA SERVICES, INC.
012 B001301 84-00896
012 C011301 QUINCY
012 C021301 MA
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012 A002201 BOSTON FINANCIAL DATA SERVICES, INC.
012 B002201 84-00896
012 C012201 QUINCY
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012 A002301 BOSTON FINANCIAL DATA SERVICES, INC.
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012 C012301 QUINCY
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012 A002501 BOSTON FINANCIAL DATA SERVICES, INC.
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012 C012501 QUINCY
012 C022501 MA
012 C032501 02169
012 A002701 BOSTON FINANCIAL DATA SERVICES, INC.
012 B002701 84-00896
012 C012701 QUINCY
PAGE 4
012 C022701 MA
012 C032701 02169
013 A00AA01 PRICEWATERHOUSECOOPERS LLP
013 B01AA01 BOSTON
013 B02AA01 MA
013 B03AA01 02110
014 A00AA01 HARRIS ASSOCIATES SECURITIES, L.P
014 B00AA01 8-19988
014 A00AA02 Natixis ASIA Limited (Hong Kong)
014 B00AA02 8-00000
014 A00AA03 NGAM Distribution, L.P.
014 B00AA03 8-46325
014 A00AA04 Natixis Asset Management
014 B00AA04 8-00000
014 A00AA05 Natixis Funding Corp.
014 B00AA05 8-00000
014 A00AA06 Natixis Securities Americas, LLC
014 B00AA06 8-00000
014 A00AA07 Natixis Structured Issuance
014 B00AA07 8-00000
014 A00AA08 Natixis
014 B00AA08 8-00000
014 A00AA09 NEXGEN CAPITAL LTD
014 B00AA09 8-00000
014 A00AA10 Natixis Corporate Solutions Limited
014 B00AA10 8-00000
014 A00AA11 AEW EUROPE SARL
014 B00AA11 8-00000
014 A00AA12 NGAM Switzerland Sarl
014 B00AA12 8-00000
014 A00AA13 Natixis Financial Products LLC
014 B00AA13 8-00000
014 A00AA14 Credit Foncier de France
014 B00AA14 8-00000
014 A00AA15 Natixis Asset Management Finance
014 B00AA15 8-00000
014 A00AA16 DNCA Courtage
014 B00AA16 8-00000
014 A00AA17 Natixis Japan Securities Co., Ltd
014 B00AA17 8-00000
014 A00AA18 Natixis Pfandbriefbank AG
014 B00AA18 8-00000
014 A00AA19 LOOMIS, SAYLES DISTRIBUTORS, L.P.
014 B00AA19 8-49575
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 DEUTSCHE BANK AG
PAGE 5
015 B00AA02 S
015 C01AA02 VIENNA
015 D01AA02 AUSTRIA
015 E04AA02 X
015 A00AA03 THE HONGKONG & SHANGHAI BANKING CORP., LTD.
015 B00AA03 S
015 C01AA03 Parramatta
015 D01AA03 AUSTRALIA
015 A00AA04 DEUTSCHE BANK AG
015 B00AA04 S
015 C01AA04 AMSTERDAM
015 D01AA04 NETHERLANDS
015 E04AA04 X
015 A00AA05 CITIBANK N.A.
015 B00AA05 S
015 C01AA05 SAO PAULO
015 D01AA05 BRAZIL
015 E04AA05 X
015 A00AA06 STATE STREET TRUST COMPANY CANADA
015 B00AA06 S
015 C01AA06 TORONTO
015 D01AA06 CANADA
015 E04AA06 X
015 A00AA07 UBS SWITZERLAND AG
015 B00AA07 S
015 C01AA07 Zurich
015 D01AA07 SWITZERLAND
015 E04AA07 X
015 A00AA08 CESKOSLOVENSKA OBCHODNI BANKA, A.S.
015 B00AA08 S
015 C01AA08 PRAGUE
015 D01AA08 CZECH REPUBLIC
015 E04AA08 X
015 A00AA09 DEUTSCHE BANK S.A.E.
015 B00AA09 S
015 C01AA09 Madrid
015 D01AA09 SPAIN
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015 A00AA10 DEUTSCHE BANK A.G.
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015 C01AA10 PARIS
015 D01AA10 FRANCE
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015 A00AA11 BNP PARIBAS SECURITIES SERVICES, S.C.A.
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015 C01AA11 ATHENS
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015 A00AA12 STANDARD CHARTERED BANK (HONG KONG) LTD.
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PAGE 6
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015 D01AA14 INDONESIA
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015 D01AA15 ISRAEL
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015 A00AA16 THE HONGKONG AND SHANGHAI BANKING CORP., LTD.
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015 C01AA16 EBENE
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015 C01AA17 MILAN
015 D01AA17 ITALY
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015 A00AA18 MIZUHO BANK, LTD.
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015 D01AA18 JAPAN
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015 A00AA19 STATE STREET BANK AND TRUST COMPANY
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015 D01AA19 UNITED KINGDOM
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PAGE 7
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PAGE 8
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PAGE 9
015 D01AA42 Germany
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PAGE 10
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PAGE 11
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PAGE 12
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PAGE 13
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PAGE 14
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PAGE 15
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PAGE 16
028 F041300 194145
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PAGE 17
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PAGE 18
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029 001300 Y
029 002200 Y
029 002300 Y
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PAGE 19
030 B002500 4.25
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PAGE 20
035 000200 0
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035 001200 0
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037 001000 N
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037 001300 N
037 002200 N
037 002300 N
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039 002200 N
039 002300 N
039 002500 N
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PAGE 21
040 000100 Y
040 000200 Y
040 001000 Y
040 001200 Y
040 001300 Y
040 002200 Y
040 002300 Y
040 002500 Y
040 002700 Y
041 000100 Y
041 000200 Y
041 001000 Y
041 001200 Y
041 001300 Y
041 002200 Y
041 002300 Y
041 002500 Y
041 002700 Y
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PAGE 22
042 B001300 0
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PAGE 23
044 001200 0
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046 001300 N
046 002200 N
046 002300 N
046 002500 N
046 002700 N
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047 001000 Y
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047 002200 Y
047 002300 Y
047 002500 Y
047 002700 Y
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PAGE 24
048 I020100 0.000
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PAGE 25
048 001200 0.750
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PAGE 26
048 C012200 0
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PAGE 27
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PAGE 28
050 002300 N
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PAGE 29
054 D00AA00 N
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PAGE 30
058 A001200 N
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PAGE 31
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PAGE 32
062 G001200 0.0
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PAGE 33
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PAGE 34
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066 E001000 N
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PAGE 35
066 E001200 N
066 F001200 N
066 G001200 N
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066 A002300 N
066 A002500 N
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067 000100 N
067 000200 N
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067 001200 N
067 001300 N
067 002200 N
067 002300 N
067 002500 N
067 002700 N
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068 A000200 N
068 B000200 N
068 A001000 N
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068 B001200 N
068 A001300 N
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068 B002200 N
068 A002300 N
068 B002300 N
068 A002500 N
068 B002500 N
068 A002700 N
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069 000200 N
069 001000 N
069 001200 N
069 001300 N
069 002200 N
069 002300 N
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PAGE 36
070 A020100 Y
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070 I020100 N
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PAGE 37
070 I010200 N
070 I020200 N
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PAGE 38
070 P021000 N
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PAGE 39
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PAGE 40
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PAGE 41
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PAGE 42
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PAGE 43
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PAGE 44
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PAGE 45
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PAGE 46
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PAGE 47
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PAGE 48
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PAGE 49
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PAGE 50
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PAGE 51
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PAGE 52
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PAGE 53
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PAGE 54
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PAGE 55
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076 002700 0.00
077 A000000 Y
077 B000000 N
077 C000000 N
077 D000000 N
077 E000000 N
077 F000000 N
077 G000000 N
077 H000000 N
077 I000000 Y
077 J000000 N
077 K000000 N
077 L000000 N
077 M000000 N
077 N000000 N
077 O000000 Y
077 P000000 N
077 Q010000 Y
077 Q020000 N
077 Q030000 N
078 000000 N
080 C00AA00 0
081 B00AA00 0
082 B00AA00 0
083 B00AA00 0
084 B00AA00 0
086 A010000 0
086 A020000 0
086 B010000 0
086 B020000 0
086 C010000 0
086 C020000 0
PAGE 56
086 D010000 0
086 D020000 0
086 E010000 0
086 E020000 0
086 F010000 0
086 F020000 0
SIGNATURE MICHAEL KARDOK
TITLE TREASURER
EX-99.77I NEW SECUR
2
exhibit77ii.txt
EXHIBIT 77I(I) - ADDITION OF CLASS T
Exhibit 77I(i)
Effective March 31, 2017 the Registrant established Class T
shares of the Loomis Sayles Global Equity and Income Fund,
Loomis Sayles Growth Fund, Loomis Sayles High Income Fund,
Loomis Sayles Investment Grade Bond Fund, Loomis Sayles
Limited Term Government and Agency Fund, Loomis Sayles
Strategic Income Fund and Loomis Sayles Value Fund.
EX-99.77I NEW SECUR
3
exhibit77iii.txt
EXHIBIT 77I(II) - ADDITION OF CLASS N
Exhibit 77I(ii)
Effective March 31, 2017 the Registrant established Class N
shares of the Loomis Sayles Global Equity and Income Fund,
Loomis Sayles High Income Fund and Loomis Sayles Limited
Term Government and Agency Fund.
EX-99.77O RULE 10F-3
4
exhibit77oi.txt
EXHIBIT 77O(I) - LSF II
Exhibit 77O(i)
RULE 10f-3 REPORTING FORM
Name of Adviser/Subadviser: Loomis, Sayles & Company, L.P.
Name of Fund: LS Global Equity and Income Fund
Total Net Assets of Fund: $206,531,659.70
Issuer: Danone SA
Underwriter(s): See Attached
Affiliated Underwriter in the Syndicate: Natixis
Date of Purchase: 10/26/2016
Date of Offering: 10/26/2016
Amount of Purchase : $960,000
Purchase Price: $100.00
Commission or Spread: 0.25%
Check that all the following conditions have been met (any
exceptions should be discussed prior to commitment):
X The securities are (i) part of an issue registered
under the Securities Act of 1933 (the ?1933 Act?)
that is being offered to the public, (ii) part of an
issue of government securities as defined under the
Investment Company Act of 1940, (iii)?municipal
securities? as defined under the Securities Exchange
Act of 1934, (iv) sold in an offering conducted
under the laws of a country other than the United
States subject to certain requirements, or (v)
exempt from registration under Rules 144A of the
1933 Act.
If the securities meet conditions (i), (ii), (iv) or
(v):
X the issuer of such securities has
been in continuous operation for not
less than three years (including
operations of predecessors).
Issuer was founded prior to 2013.
If the securities meet conditions (iii):
X such securities are sufficiently liquid that they
can be sold at or near their carrying value within a
reasonably short period of time and are either subject to
no greater than moderate credit risk or, if the issuer of
the municipal securities (or the entity supplying revenues
or other payments from which the issue is to be paid) has
been in continuous operation for less than three years
(including any predecessors), subject to a minimal or low
amount of credit risk (with determination as to whether the
issue of municipal securities meeting the preceding
criteria having been made by the investment adviser/and or
subadviser of the relevant fund).
X The securities were purchased prior to the end of
the first day of which any sales were made and the
purchase price did not exceed the offering price (or
fourth day before termination, if a rights
offering).
X The underwriting was a firm commitment.
X The commission, spread or profit was reasonable and
fair compared to that being received by others for
underwriting similar securities during a comparable
period of time.
X The amount of the securities purchased by the Fund,
aggregated with purchases by any other investment
company advised by the Fund?s investment adviser or
sub-adviser, and any purchases by another account
with respect to which the investment adviser or sub-
adviser exercised such investment discretion with
respect to the purchase did not exceed 25% of the
principal amount of the offering.
X No underwriter which is an affiliate of the Fund?s
adviser or sub-adviser was a direct or indirect
participant in, or benefited directly or indirectly
from the purchase.
X The purchase was not part of a group sale (or part
of the institutional pot), or otherwise allocated to
the account of an officer, director, member of an
advisory board, investment adviser or employee of
the Fund or affiliated person thereof.
Trading Desk
Compliance
Signed by: /s/ Chip Bankes
Signed by: /s/ Brendan Joyces
Date: 10/31/16
Date: 10/31/16
Include all purchases made by two or more funds which have the
same investment adviser or sub-adviser.
Special counting rules apply for Rule 144A offerings.
EX-99.77O RULE 10F-3
5
exhibit77oii.txt
EXHIBIT 77O(II) - LSF II
Exhibit 77O(ii)
RULE 10f-3 REPORTING FORM
Name of Adviser/Subadviser: Loomis, Sayles & Company, L.P.
Name of Fund: LS Small Cap Growth Fund
Total Net Assets of Fund: $1,103,594,332.75
Issuer: Silcone Landscape Supply Inc
Underwriter(s): See Attached
Affiliated Underwriter in the Syndicate: Natixis
Date of Purchase: 11/30/2016
Date of Offering: 11/30/2016
Amount of Purchase : $3,205,455.00
Purchase Price: $33.00
Commission or Spread: 3.50%
Check that all the following conditions have been met (any
exceptions should be discussed prior to commitment):
X The securities are (i) part of an issue registered
under the Securities Act of 1933 (the ?1933 Act?)
that is being offered to the public, (ii) part of an
issue of government securities as defined under the
Investment Company Act of 1940, (iii)?municipal
securities? as defined under the Securities Exchange
Act of 1934, (iv) sold in an offering conducted
under the laws of a country other than the United
States subject to certain requirements, or (v)
exempt from registration under Rules 144A of the
1933 Act.
If the securities meet conditions (i), (ii), (iv) or
(v):
X the issuer of such securities has
been in continuous operation for not
less than three years (including
operations of predecessors).
Issuer was founded prior to 2013.
If the securities meet conditions (iii):
X such securities are sufficiently liquid that they
can be sold at or near their carrying value within a
reasonably short period of time and are either subject to
no greater than moderate credit risk or, if the issuer of
the municipal securities (or the entity supplying revenues
or other payments from which the issue is to be paid) has
been in continuous operation for less than three years
(including any predecessors), subject to a minimal or low
amount of credit risk (with determination as to whether the
issue of municipal securities meeting the preceding
criteria having been made by the investment adviser/and or
subadviser of the relevant fund).
X The securities were purchased prior to the end of
the first day of which any sales were made and the
purchase price did not exceed the offering price (or
fourth day before termination, if a rights
offering).
X The underwriting was a firm commitment.
X The commission, spread or profit was reasonable and
fair compared to that being received by others for
underwriting similar securities during a comparable
period of time.
X The amount of the securities purchased by the Fund,
aggregated with purchases by any other investment
company advised by the Fund?s investment adviser or
sub-adviser, and any purchases by another account
with respect to which the investment adviser or sub-
adviser exercised such investment discretion with
respect to the purchase did not exceed 25% of the
principal amount of the offering.
X No underwriter which is an affiliate of the Fund?s
adviser or sub-adviser was a direct or indirect
participant in, or benefited directly or indirectly
from the purchase.
X The purchase was not part of a group sale (or part
of the institutional pot), or otherwise allocated to
the account of an officer, director, member of an
advisory board, investment adviser or employee of
the Fund or affiliated person thereof.
Trading Desk
Compliance
Signed by: /s/ Chip Bankes
Signed by: /s/ Brendan Joyces
Date: 12/30/16
Date: 12/30/16
Include all purchases made by two or more funds which have the
same investment adviser or sub-adviser.
Special counting rules apply for Rule 144A offerings.
EX-99.77O RULE 10F-3
6
exhibit77oiv.txt
EXHIBIT 77O(IV) - LSF II
Exhibit 77O(iv)
RULE 10f-3 REPORTING FORM
Name of Adviser/Subadviser: Loomis, Sayles & Company, L.P.
Name of Fund: LS Global Equity and Income Fund
Total Net Assets of Fund: $191, 824, 896.30
Issuer: Air Liquide Finance
Underwriter(s): See Attached
Affiliated Underwriter in the Syndicate: Natixis
Date of Purchase: 9/22/2016
Date of Offering: 9/22/2016
Amount of Purchase : $1,765,752.00
Purchase Price: $99.76
Commission or Spread: 0.06%
Check that all the following conditions have been met (any
exceptions should be discussed prior to commitment):
X The securities are (i) part of an issue registered
under the Securities Act of 1933 (the "1933 Act")
that is being offered to the public, (ii) part of an
issue of government securities as defined under the
Investment Company Act of 1940, (iii)"municipal
securities" as defined under the Securities Exchange
Act of 1934, (iv) sold in an offering conducted
under the laws of a country other than the United
States subject to certain requirements, or (v)
exempt from registration under Rules 144A of the
1933 Act.
If the securities meet conditions (i), (ii), (iv) or
(v):
X the issuer of such securities has
been in continuous operation for not
less than three years (including
operations of predecessors).
Issuer was founded prior to 2013.
If the securities meet conditions (iii):
X such securities are sufficiently liquid that they
can be sold at or near their carrying value within a
reasonably short period of time and are either subject to
no greater than moderate credit risk or, if the issuer of
the municipal securities (or the entity supplying revenues
or other payments from which the issue is to be paid) has
been in continuous operation for less than three years
(including any predecessors), subject to a minimal or low
amount of credit risk (with determination as to whether the
issue of municipal securities meeting the preceding
criteria having been made by the investment adviser/and or
subadviser of the relevant fund).
X The securities were purchased prior to the end of
the first day of which any sales were made and the
purchase price did not exceed the offering price (or
fourth day before termination, if a rights
offering).
X The underwriting was a firm commitment.
X The commission, spread or profit was reasonable and
fair compared to that being received by others for
underwriting similar securities during a comparable
period of time.
X The amount of the securities purchased by the Fund,
aggregated with purchases by any other investment
company advised by the Fund's investment adviser or
sub-adviser, and any purchases by another account
with respect to which the investment adviser or sub-
adviser exercised such investment discretion with
respect to the purchase did not exceed 25% of the
principal amount of the offering.
X No underwriter which is an affiliate of the Fund's
adviser or sub-adviser was a direct or indirect
participant in, or benefited directly or indirectly
from the purchase.
X The purchase was not part of a group sale (or part
of the institutional pot), or otherwise allocated to
the account of an officer, director, member of an
advisory board, investment adviser or employee of
the Fund or affiliated person thereof.
Trading Desk
Compliance
Signed by: /s/ Chip Bankes
Signed by: /s/ Brendan Joyces
Date: 9/30/16
Date: 9/30/16
Include all purchases made by two or more funds which have
the same investment adviser or sub-adviser.
Special counting rules apply for Rule 144A offerings.
EX-99.77Q1 OTHR EXHB
7
exhibit77q1.txt
EXHIBIT 77Q(1) - 18F3 MULTI CLASS PLAN
The Plan pursuant to Rule 18f-3 under the Investment
Company Act of 1940, as amended, effective March 31, 2017
is incorporated by reference to exhibit (n)(1) of post-
effective amendment No. 81 to the Registration Statement
filed on Form Type 485BPOS on March 30, 2017 (Accession No.
0001193125-17-104255).
Exhibit 77Q(1)
EX-99.77O RULE 10F-3
8
exhibit77oiii.txt
EXHIBIT 77O(III) - LSF II
Exhibit 77O(iii)
RULE 10f-3 REPORTING FORM
Name of Adviser/Subadviser: Loomis, Sayles & Company, L.P.
Name of Fund: LS Strategic Income Fund
Total Net Assets of Fund: $10, 990,198,672.73
Issuer: Chesapeake Energy Corp
Underwriter(s): See Attached
Affiliated Underwriter in the Syndicate: Natixis
Date of Purchase: 12/06/2016
Date of Offering: 12/06/2016
Amount of Purchase : $14,709,334.60
Purchase Price: $98.522
Commission or Spread: 1.00%
Check that all the following conditions have been met (any
exceptions should be discussed prior to commitment):
X The securities are (i) part of an issue registered
under the Securities Act of 1933 (the ?1933 Act?)
that is being offered to the public, (ii) part of an
issue of government securities as defined under the
Investment Company Act of 1940, (iii)?municipal
securities? as defined under the Securities Exchange
Act of 1934, (iv) sold in an offering conducted
under the laws of a country other than the United
States subject to certain requirements, or (v)
exempt from registration under Rules 144A of the
1933 Act.
If the securities meet conditions (i), (ii), (iv) or
(v):
X the issuer of such securities has
been in continuous operation for not
less than three years (including
operations of predecessors).
Issuer was founded prior to 2013.
If the securities meet conditions (iii):
X such securities are sufficiently liquid that they
can be sold at or near their carrying value within a
reasonably short period of time and are either subject to
no greater than moderate credit risk or, if the issuer of
the municipal securities (or the entity supplying revenues
or other payments from which the issue is to be paid) has
been in continuous operation for less than three years
(including any predecessors), subject to a minimal or low
amount of credit risk (with determination as to whether the
issue of municipal securities meeting the preceding
criteria having been made by the investment adviser/and or
subadviser of the relevant fund).
X The securities were purchased prior to the end of
the first day of which any sales were made and the
purchase price did not exceed the offering price (or
fourth day before termination, if a rights
offering).
X The underwriting was a firm commitment.
X The commission, spread or profit was reasonable and
fair compared to that being received by others for
underwriting similar securities during a comparable
period of time.
X The amount of the securities purchased by the Fund,
aggregated with purchases by any other investment
company advised by the Fund?s investment adviser or
sub-adviser, and any purchases by another account
with respect to which the investment adviser or sub-
adviser exercised such investment discretion with
respect to the purchase did not exceed 25% of the
principal amount of the offering.
X No underwriter which is an affiliate of the Fund?s
adviser or sub-adviser was a direct or indirect
participant in, or benefited directly or indirectly
from the purchase.
X The purchase was not part of a group sale (or part
of the institutional pot), or otherwise allocated to
the account of an officer, director, member of an
advisory board, investment adviser or employee of
the Fund or affiliated person thereof.
Trading Desk
Compliance
Signed by: /s/ Chip Bankes
Signed by: /s/ Brendan Joyces
Date: 12/30/16
Date: 12/30/16
Include all purchases made by two or more funds which have the
same investment adviser or sub-adviser.
Special counting rules apply for Rule 144A offerings.