a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | James Alpha EHS Portfolio Class I Shares |
ii. Class identification number, if any | C000174098 |
iii. Ticker symbol, if any | JEHIX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha EHS Portfolio Class S Shares |
ii. Class identification number, if any | C000188367 |
iii. Ticker symbol, if any | JAHSX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha EHS Portfolio Class A Shares |
ii. Class identification number, if any | C000174096 |
iii. Ticker symbol, if any | JAHAX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha EHS Portfolio Class C Shares |
ii. Class identification number, if any | C000174097 |
iii. Ticker symbol, if any | JAHCX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | 84-06083 |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | 84-1964 |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | James Alpha Yorkville MLP Portfolio Class S Shares |
ii. Class identification number, if any | C000188362 |
iii. Ticker symbol, if any | JMLSX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Yorkville MLP Portfolio Class I Shares |
ii. Class identification number, if any | C000153069 |
iii. Ticker symbol, if any | JMLPX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Yorkville MLP Portfolio Class C Shares |
ii. Class identification number, if any | C000153071 |
iii. Ticker symbol, if any | MLPCX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Yorkville MLP Portfolio Class A Shares |
ii. Class identification number, if any | C000153070 |
iii. Ticker symbol, if any | JAMLX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | 84-06083 |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | 84-1964 |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | James Alpha Total Hedge Portfolio Class S Shares |
ii. Class identification number, if any | C000188370 |
iii. Ticker symbol, if any | JTHSX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Total Hedge Portfolio Class C Shares |
ii. Class identification number, if any | C000174106 |
iii. Ticker symbol, if any | JTHCX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Total Hedge Portfolio Class I Shares |
ii. Class identification number, if any | C000174107 |
iii. Ticker symbol, if any | JTHIX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Total Hedge Portfolio Class A Shares |
ii. Class identification number, if any | C000174105 |
iii. Ticker symbol, if any | JTHAX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | 84-06083 |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | 84-1964 |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | James Alpha Family Office Portfolio Class S Shares |
ii. Class identification number, if any | C000188365 |
iii. Ticker symbol, if any | JFOSX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Family Office Portfolio Class C |
ii. Class identification number, if any | C000157435 |
iii. Ticker symbol, if any | JFOCX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Family Office Portfolio Class I |
ii. Class identification number, if any | C000157433 |
iii. Ticker symbol, if any | JFOIX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Family Office Portfolio Class A |
ii. Class identification number, if any | C000157434 |
iii. Ticker symbol, if any | JFOAX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | 84-06083 |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | 84-1964 |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | James Alpha Relative Value Portfolio Class S Shares |
ii. Class identification number, if any | C000188369 |
iii. Ticker symbol, if any | JRSVX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Relative Value Portfolio Class A Shares |
ii. Class identification number, if any | C000174102 |
iii. Ticker symbol, if any | JRVAX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Relative Value Portfolio Class C Shares |
ii. Class identification number, if any | C000174103 |
iii. Ticker symbol, if any | JRVCX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Relative Value Portfolio Class I Shares |
ii. Class identification number, if any | C000174104 |
iii. Ticker symbol, if any | JRVIX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | 84-06083 |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | 84-1964 |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | James Alpha Structured Credit Value Portfolio Class S |
ii. Class identification number, if any | C000201857 |
iii. Ticker symbol, if any | JASSX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Structured Credit Value Portfolio Class C |
ii. Class identification number, if any | C000201855 |
iii. Ticker symbol, if any | JSVCX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Structured Credit Value Portfolio Class A |
ii. Class identification number, if any | C000201854 |
iii. Ticker symbol, if any | JASVX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Structured Credit Value Portfolio Class I |
ii. Class identification number, if any | C000201856 |
iii. Ticker symbol, if any | JSVIX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Thomson Reuters |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | 84-06083 |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | 84-1964 |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | ODEON CAPITAL GROUP LLC |
ii. SEC file number | 8-68033 |
iii. CRD number | 000148493 |
iv. LEI, if any | 549300S158163H2DN048 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,229,729.67000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | MIZUHO SECURITIES USA LLC |
ii. SEC file number | 8-37710 |
iii. CRD number | 000019647 |
iv. LEI, if any | 7TK5RJIZDFROZCA6XF66 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 900,401.95000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-36950 |
iii. CRD number | 000018718 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 43,808,658.53000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,564,795.10000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | CREDIT SUISSE SECURITIES (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,776,500.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | JANNEY CAPITAL MANAGEMENT LLC |
ii. SEC file number | N/A |
iii. CRD number | 000159506 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 884,678.16000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | BREAN CAPITAL, LLC |
ii. SEC file number | 8-40742 |
iii. CRD number | 000023723 |
iv. LEI, if any | 254900ZZA1UBVDCNQ378 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 9,760,425.28999999 |
Principal Transactions Record:
8 |
i. Full name of dealer | JANNEY MONTGOMERY SCOTT LLC |
ii. SEC file number | 8-462 |
iii. CRD number | 000000463 |
iv. LEI, if any | 549300QQRY1JCFQHYS08 |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,614,236.50000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | PERFORMANCE TRUST CAPITAL PARTNERS, LLC |
ii. SEC file number | 8-47035 |
iii. CRD number | 000036155 |
iv. LEI, if any | 549300F8NR5Q23JRIY74 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 887,424.65000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC. |
ii. SEC file number | N/A |
iii. CRD number | 000111135 |
iv. LEI, if any | IWFK35GSRKL2OLE5C129 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,873,018.18000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | James Alpha Event Driven Portfolio Class A Shares |
ii. Class identification number, if any | C000174099 |
iii. Ticker symbol, if any | JAEAX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Event Driven Portfolio Class C Shares |
ii. Class identification number, if any | C000174100 |
iii. Ticker symbol, if any | JAECX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Event Driven Portfolio Class I Shares |
ii. Class identification number, if any | C000174101 |
iii. Ticker symbol, if any | JAEIX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Event Driven Portfolio Class S Shares |
ii. Class identification number, if any | C000188368 |
iii. Ticker symbol, if any | JAESX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | 84-06083 |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | 84-1964 |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|