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 Hedged High Income Class C |
ii. Class identification number, if any | C000169728 |
iii. Ticker symbol, if any | INCCX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Hedged High Income Class I |
ii. Class identification number, if any | C000169729 |
iii. Ticker symbol, if any | INCIX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Hedged High Income Class S |
ii. Class identification number, if any | C000188366 |
iii. Ticker symbol, if any | INCSX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Hedged High Income Class A |
ii. Class identification number, if any | C000169727 |
iii. Ticker symbol, if any | INCAX |
|
Sub Advisors Record:
1 |
i. Full name | Amundi Pioneer Institutional Asset Management, Inc. |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-8255 |
iii. CRD number | 000107719 |
iv. LEI, if any | N/A |
v. State, if applicable |
MASSACHUSETTS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
2 |
i. Full name | Coherence Capital Partners, LLC. |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-76577 |
iii. CRD number | 000162898 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
3 |
i. Full name | Concise Capital Management, LP |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-68737 |
iii. CRD number | 000145778 |
iv. LEI, if any | N/A |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
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 | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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
|
|
Brokers Record:
1 |
i. Full name of broker | Goldman Sachs |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,312.00000000 |
Brokers Record:
2 |
i. Full name of broker | Seaport Group |
ii. SEC file number | 008-24971 |
iii. CRD number | 000008330 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 40.00000000 |
Brokers Record:
3 |
i. Full name of broker | JPMorgan Chase |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,284.00000000 |
Brokers Record:
4 |
i. Full name of broker | Mora WM Securities |
ii. SEC file number | 8-68910 |
iii. CRD number | 000158599 |
iv. LEI, if any | N/A |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 945.00000000 |
Brokers Record:
5 |
i. Full name of broker | Morgan Stanley Wealth Management |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 20.00000000 |
Brokers Record:
6 |
i. Full name of broker | Knight Capital Group |
ii. SEC file number | 8-68193 |
iii. CRD number | 000149823 |
iv. LEI, if any | 549300RA02N3BNSWBV74 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,222.00000000 |
Brokers Record:
7 |
i. Full name of broker | BNY MELLON |
ii. SEC file number | 8-51710 |
iii. CRD number | 000047268 |
iv. LEI, if any | 4EP6JBYBTPTQ47LZOB67 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 32.00000000 |
Brokers Record:
8 |
i. Full name of broker | R.J. O'BRIEN & Associates LLC |
ii. SEC file number | 8-67587 |
iii. CRD number | 000143624 |
iv. LEI, if any | 549300BSZNPQJNYIAD03 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 126.00000000 |
Brokers Record:
9 |
i. Full name of broker | Bank of America Merrill Lynch |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 20.00000000 |
Brokers Record:
10 |
i. Full name of broker | CITIGROUP |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 20.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 14,101.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
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 | International Equity Class A |
ii. Class identification number, if any | C000030183 |
iii. Ticker symbol, if any | SIEYX |
Shares Outstanding Record:
2 |
i. Full name of Class | International Equity Class C |
ii. Class identification number, if any | C000030186 |
iii. Ticker symbol, if any | SIECX |
Shares Outstanding Record:
3 |
i. Full name of Class | International Equity Class I |
ii. Class identification number, if any | C000030184 |
iii. Ticker symbol, if any | SIEPX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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?
| 3 |
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 | Health & Biotechnology Class A |
ii. Class identification number, if any | C000030154 |
iii. Ticker symbol, if any | SHPAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Health & Biotechnology Class I |
ii. Class identification number, if any | C000030151 |
iii. Ticker symbol, if any | SBHIX |
Shares Outstanding Record:
3 |
i. Full name of Class | Health & Biotechnology Class C |
ii. Class identification number, if any | C000030153 |
iii. Ticker symbol, if any | SHPCX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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
|
|
Brokers Record:
1 |
i. Full name of broker | Bloomberg |
ii. SEC file number | 8-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | 549300B56MD0ZC402L06 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,463.00000000 |
Brokers Record:
2 |
i. Full name of broker | Cowen Group |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,793.00000000 |
Brokers Record:
3 |
i. Full name of broker | Goldman Sachs |
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. Gross commissions paid by the Fund for
the
reporting period | 19.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 6,275.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
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 | Technology & Communications Class A |
ii. Class identification number, if any | C000030162 |
iii. Ticker symbol, if any | STPAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Technology & Communications Class I |
ii. Class identification number, if any | C000030159 |
iii. Ticker symbol, if any | STPIX |
Shares Outstanding Record:
3 |
i. Full name of Class | Technology & Communications Class C |
ii. Class identification number, if any | C000030161 |
iii. Ticker symbol, if any | STPCX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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
|
|
Brokers Record:
1 |
i. Full name of broker | Bloomberg |
ii. SEC file number | 8-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | 549300B56MD0ZC402L06 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 189.00000000 |
Brokers Record:
2 |
i. Full name of broker | Cowen Group |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,942.00000000 |
Brokers Record:
3 |
i. Full name of broker | Goldman Sachs |
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. Gross commissions paid by the Fund for
the
reporting period | 63.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 2,194.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
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 | Energy & Basic Materials Class C |
ii. Class identification number, if any | C000030193 |
iii. Ticker symbol, if any | SEPCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Energy & Basic Materials Class I |
ii. Class identification number, if any | C000030191 |
iii. Ticker symbol, if any | SEPIX |
Shares Outstanding Record:
3 |
i. Full name of Class | Energy & Basic Materials Class A |
ii. Class identification number, if any | C000030194 |
iii. Ticker symbol, if any | SBMBX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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?
| 3 |
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 | Financial Services Class C |
ii. Class identification number, if any | C000030189 |
iii. Ticker symbol, if any | SFPCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Financial Services Class I |
ii. Class identification number, if any | C000030187 |
iii. Ticker symbol, if any | SFPIX |
Shares Outstanding Record:
3 |
i. Full name of Class | Financial Services Class A |
ii. Class identification number, if any | C000030190 |
iii. Ticker symbol, if any | SFPAX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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?
| 3 |
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 | Investment Quality Bond Class I |
ii. Class identification number, if any | C000030164 |
iii. Ticker symbol, if any | SIBPX |
Shares Outstanding Record:
2 |
i. Full name of Class | Investment Quality Bond Class A |
ii. Class identification number, if any | C000030163 |
iii. Ticker symbol, if any | SQBAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Investment Quality Bond Class C |
ii. Class identification number, if any | C000030166 |
iii. Ticker symbol, if any | SQBCX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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 Momentum Portfolio Class S |
ii. Class identification number, if any | C000199406 |
iii. Ticker symbol, if any | MOMSX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Momentum Portfolio Class I |
ii. Class identification number, if any | C000199405 |
iii. Ticker symbol, if any | MOMOX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Momentum Portfolio Class A |
ii. Class identification number, if any | C000199403 |
iii. Ticker symbol, if any | MOMAX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Momentum Portfolio Class C |
ii. Class identification number, if any | C000199404 |
iii. Ticker symbol, if any | MOMCX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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
|
|
Brokers Record:
1 |
i. Full name of broker | BTIG, LLC |
ii. SEC file number | 008-65473 |
iii. CRD number | 000122225 |
iv. LEI, if any | 549300GTG9PL6WO3EC51 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 66,938.00000000 |
Brokers Record:
2 |
i. Full name of broker | BNY Mellon |
ii. SEC file number | 8-51710 |
iii. CRD number | 000047268 |
iv. LEI, if any | 4EP6JBYBTPTQ47LZOB67 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 974.00000000 |
Brokers Record:
3 |
i. Full name of broker | Baycrest Partners |
ii. SEC file number | 8-48931 |
iii. CRD number | 000039944 |
iv. LEI, if any | 549300CTRRO8C3BU3H64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 119.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 68,031.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
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 | Small Capitalization Class C |
ii. Class identification number, if any | C000030182 |
iii. Ticker symbol, if any | SSCCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Small Capitalization Class I |
ii. Class identification number, if any | C000030180 |
iii. Ticker symbol, if any | SSCPX |
Shares Outstanding Record:
3 |
i. Full name of Class | Small Capitalization Class A |
ii. Class identification number, if any | C000030179 |
iii. Ticker symbol, if any | SSCYX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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?
| 3 |
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 | U.S. Government Money Market Portfolio Class A |
ii. Class identification number, if any | C000030147 |
iii. Ticker symbol, if any | SGAXX |
Shares Outstanding Record:
2 |
i. Full name of Class | U.S. Government Money Market Portfolio Class C |
ii. Class identification number, if any | C000030150 |
iii. Ticker symbol, if any | SZCXX |
Shares Outstanding Record:
3 |
i. Full name of Class | U.S. Government Money Market Portfolio Class I |
ii. Class identification number, if any | C000030148 |
iii. Ticker symbol, if any | SGMXX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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?
| 3 |
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 | Large Capitalization Growth Class I |
ii. Class identification number, if any | C000030176 |
iii. Ticker symbol, if any | SLCGX |
Shares Outstanding Record:
2 |
i. Full name of Class | Large Capitalization Growth Class C |
ii. Class identification number, if any | C000030178 |
iii. Ticker symbol, if any | SLGCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Large Capitalization Growth Class A |
ii. Class identification number, if any | C000030175 |
iii. Ticker symbol, if any | SLGYX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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 Global Real Estate Investments Portfolio Class S Shares |
ii. Class identification number, if any | C000188360 |
iii. Ticker symbol, if any | JARSX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Global Real Estate Investments Portfolio Class A Shares |
ii. Class identification number, if any | C000102469 |
iii. Ticker symbol, if any | JAREX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Global Real Estate Investments Portfolio Class I Shares |
ii. Class identification number, if any | C000102468 |
iii. Ticker symbol, if any | JARIX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Global Real Estate Investments Portfolio Class C Shares |
ii. Class identification number, if any | C000109475 |
iii. Ticker symbol, if any | JACRX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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
|
|
Brokers Record:
1 |
i. Full name of broker | MKM Partners LLC |
ii. SEC file number | 008-53436 |
iii. CRD number | 000114666 |
iv. LEI, if any | 25490041O5W104HFWA62 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 55,835.00000000 |
Brokers Record:
2 |
i. Full name of broker | Bank of America Merrill Lynch |
ii. SEC file number | 008-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 79,629.00000000 |
Brokers Record:
3 |
i. Full name of broker | Goldman Sachs |
ii. SEC file number | 008-129 |
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. Gross commissions paid by the Fund for
the
reporting period | 106,750.00000000 |
Brokers Record:
4 |
i. Full name of broker | UBS |
ii. SEC file number | 008-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 113,512.00000000 |
Brokers Record:
5 |
i. Full name of broker | Kempen & Co. |
ii. SEC file number | 008-48389 |
iii. CRD number | 000038760 |
iv. LEI, if any | 2O302V7616D3HTVSXO60 |
v. State, if applicable | |
vi. Foreign country, if applicable |
NETHERLANDS
|
vii. Gross commissions paid by the Fund for
the
reporting period | 80,655.00000000 |
Brokers Record:
6 |
i. Full name of broker | JPMorgan Chase |
ii. SEC file number | 008-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 407,318.00000000 |
Brokers Record:
7 |
i. Full name of broker | Green Street Advisors |
ii. SEC file number | 008-80137 |
iii. CRD number | 000172378 |
iv. LEI, if any | 549300K06R9ZUC3UEN80 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 99,185.00000000 |
Brokers Record:
8 |
i. Full name of broker | Evercore Partners |
ii. SEC file number | 008-49830 |
iii. CRD number | 000042405 |
iv. LEI, if any | 5493008F0LRLS5N8LZ81 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 43,958.00000000 |
Brokers Record:
9 |
i. Full name of broker | Citigroup |
ii. SEC file number | 008-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 60,114.00000000 |
Brokers Record:
10 |
i. Full name of broker | Knight Capital Group |
ii. SEC file number | 008-68193 |
iii. CRD number | 000149823 |
iv. LEI, if any | 549300RA02N3BNSWBV74 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 334,154.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 1,623,528.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Wells Fargo Bank |
ii. SEC file number | 008-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
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:
| 1,352,461.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Bank of America Merrill Lynch |
ii. SEC file number | 008-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
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:
| 27,795,008.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Keybank Capital Markets, Inc. |
ii. SEC file number | 008-30177 |
iii. CRD number | 000000566 |
iv. LEI, if any | 2EQWV0180Z211YVAD813 |
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:
| 3,196,596.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Citigroup |
ii. SEC file number | 008-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 18,917,494.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Morgan Stanley Smith Barney |
ii. SEC file number | 008-68191 |
iii. CRD number | 000149777 |
iv. LEI, if any | 7PDDXEMZ0ZV0CEDU4D16 |
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:
| 20,488,195.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Credit Suisse |
ii. SEC file number | 008-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 549300506SI9CRFV9Z86 |
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:
| 5,240,605.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | Raymond James |
ii. SEC file number | 008-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 25,138,714.00000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Barclays |
ii. SEC file number | 008-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,948,089.00000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | Goldman Sachs |
ii. SEC file number | 008-129 |
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:
| 4,636,414.00000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | JPMorgan Chase |
ii. SEC file number | 008-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 26,126,414.00000000 |
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 Managed Risk Domestic Equity Portfolio Class I |
ii. Class identification number, if any | C000157427 |
iii. Ticker symbol, if any | JDIEX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Managed Risk Domestic Equity Portfolio Class S Shares |
ii. Class identification number, if any | C000188363 |
iii. Ticker symbol, if any | JDSEX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Managed Risk Domestic Equity Portfolio Class A |
ii. Class identification number, if any | C000157428 |
iii. Ticker symbol, if any | JDAEX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Managed Risk Domestic Equity Portfolio Class C |
ii. Class identification number, if any | C000157429 |
iii. Ticker symbol, if any | JDCEX |
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 | Filing 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 | Bloomberg |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
Description of other identifying number | Filing 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 | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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?
| 3 |
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 | Mid Capitalization Class C |
ii. Class identification number, if any | C000030157 |
iii. Ticker symbol, if any | SPMCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Mid Capitalization Class I |
ii. Class identification number, if any | C000030155 |
iii. Ticker symbol, if any | SMIPX |
Shares Outstanding Record:
3 |
i. Full name of Class | Mid Capitalization Class A |
ii. Class identification number, if any | C000030158 |
iii. Ticker symbol, if any | SPMAX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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
|
|
Brokers Record:
1 |
i. Full name of broker | UBS |
ii. SEC file number | 008-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 138.00000000 |
Brokers Record:
2 |
i. Full name of broker | Instinet, Inc. |
ii. SEC file number | 008-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,404.00000000 |
Brokers Record:
3 |
i. Full name of broker | B. RILEY FBR, INC. |
ii. SEC file number | 008-41426 |
iii. CRD number | 000025027 |
iv. LEI, if any | 549300AEVMODVBY3QS51 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 44.00000000 |
Brokers Record:
4 |
i. Full name of broker | ITG |
ii. SEC file number | 008-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 549300S41SMIODVIT266 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 42.00000000 |
Brokers Record:
5 |
i. Full name of broker | Oppenheimer & Co. |
ii. SEC file number | 008-4077 |
iii. CRD number | 000000249 |
iv. LEI, if any | 254900VH02JQR2L8XD64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 339.00000000 |
Brokers Record:
6 |
i. Full name of broker | BTIG LLC |
ii. SEC file number | 008-65473 |
iii. CRD number | 000122225 |
iv. LEI, if any | 549300GTG9PL6WO3EC51 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 12.00000000 |
Brokers Record:
7 |
i. Full name of broker | Keefe, Bruyette & Woods |
ii. SEC file number | 008-10888 |
iii. CRD number | 000000481 |
iv. LEI, if any | 549300OM47DQV01G4854 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 174.00000000 |
Brokers Record:
8 |
i. Full name of broker | Robert W. Baird & Co., Inc. |
ii. SEC file number | 008-00497 |
iii. CRD number | 000008158 |
iv. LEI, if any | 549300772UJAHRD6LO53 |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 13.00000000 |
Brokers Record:
9 |
i. Full name of broker | JPMorgan Chase |
ii. SEC file number | 008-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 162.00000000 |
Brokers Record:
10 |
i. Full name of broker | Liquidnet |
ii. SEC file number | 008-52461 |
iii. CRD number | 000103987 |
iv. LEI, if any | 213800HSKBBO1GCVRG79 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,803.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 8,162.00000000 |
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 Managed Risk Emerging Markets Equity Portfolio Class A |
ii. Class identification number, if any | C000157431 |
iii. Ticker symbol, if any | JEAMX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Managed Risk Emerging Markets Equity Portfolio Class C |
ii. Class identification number, if any | C000157432 |
iii. Ticker symbol, if any | JECMX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Managed Risk Emerging Markets Equity Portfolio Class I |
ii. Class identification number, if any | C000157430 |
iii. Ticker symbol, if any | JEIMX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Managed Risk Emerging Markets Equity Portfolio Class S |
ii. Class identification number, if any | C000188364 |
iii. Ticker symbol, if any | JESMX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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?
| 3 |
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 | Large Capitalization Value Class A |
ii. Class identification number, if any | C000030171 |
iii. Ticker symbol, if any | SLVYX |
Shares Outstanding Record:
2 |
i. Full name of Class | Large Capitalization Value Class C |
ii. Class identification number, if any | C000030174 |
iii. Ticker symbol, if any | SLVCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Large Capitalization Value Class I |
ii. Class identification number, if any | C000030172 |
iii. Ticker symbol, if any | SLCVX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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 Macro Portfolio Class S Shares |
ii. Class identification number, if any | C000188359 |
iii. Ticker symbol, if any | GRRSX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Macro Portfolio Class C Shares |
ii. Class identification number, if any | C000109474 |
iii. Ticker symbol, if any | GRRCX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Macro Portfolio Class A Shares |
ii. Class identification number, if any | C000095118 |
iii. Ticker symbol, if any | GRRAX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Macro Portfolio Class I Shares |
ii. Class identification number, if any | C000095117 |
iii. Ticker symbol, if any | GRRIX |
Pricing Services Record:
1 |
i. Full name | Bloomberg |
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 | 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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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 | BNY Mellon |
ii. SEC file number | 8-51710 |
iii. CRD number | 000047268 |
iv. LEI, if any | 4EP6JBYBTPTQ47LZOB67 |
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:
| 2,342,904.17000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Liquidnet |
ii. SEC file number | 8-52461 |
iii. CRD number | 000103987 |
iv. LEI, if any | 213800HSKBBO1GCVRG79 |
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:
| 421.05000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | DEUTSCHE BANK Securities |
ii. SEC file number | 8-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
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:
| 0.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
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 | Aggressive Balanced Allocation Portfolio Class C |
ii. Class identification number, if any | C000196872 |
iii. Ticker symbol, if any | SABCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Aggressive Balanced Allocation Portfolio Class A |
ii. Class identification number, if any | C000196871 |
iii. Ticker symbol, if any | SABAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Aggressive Balanced Allocation Portfolio Class I |
ii. Class identification number, if any | C000196873 |
iii. Ticker symbol, if any | SABIX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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?
| 3 |
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 | Conservative Balanced Allocation Portfolio Class C |
ii. Class identification number, if any | C000196875 |
iii. Ticker symbol, if any | SUMCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Conservative Balanced Allocation Portfolio Class A |
ii. Class identification number, if any | C000196874 |
iii. Ticker symbol, if any | SCAAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Conservative Balanced Allocation Portfolio Class I |
ii. Class identification number, if any | C000196876 |
iii. Ticker symbol, if any | LUNAX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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?
| 3 |
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 | Moderately Conservative Balanced Allocation Portfolio Class A |
ii. Class identification number, if any | C000196883 |
iii. Ticker symbol, if any | SMACX |
Shares Outstanding Record:
2 |
i. Full name of Class | Moderately Conservative Balanced Allocation Portfolio Class C |
ii. Class identification number, if any | C000196884 |
iii. Ticker symbol, if any | SBCCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Moderately Conservative Balanced Allocation Portfolio Class I |
ii. Class identification number, if any | C000196885 |
iii. Ticker symbol, if any | SMICX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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?
| 3 |
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 | Moderate Balanced Allocation Portfolio Class A |
ii. Class identification number, if any | C000196877 |
iii. Ticker symbol, if any | SMPAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Moderate Balanced Allocation Portfolio Class C |
ii. Class identification number, if any | C000196878 |
iii. Ticker symbol, if any | SBMCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Moderate Balanced Allocation Portfolio Class I |
ii. Class identification number, if any | C000196879 |
iii. Ticker symbol, if any | SBMIX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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?
| 3 |
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 | Moderately Aggressive Balanced Allocation Portfolio Class I |
ii. Class identification number, if any | C000196882 |
iii. Ticker symbol, if any | SAMIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Moderately Aggressive Balanced Allocation Portfolio Class C |
ii. Class identification number, if any | C000196881 |
iii. Ticker symbol, if any | SAMCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Moderately Aggressive Balanced Allocation Portfolio Class A |
ii. Class identification number, if any | C000196880 |
iii. Ticker symbol, if any | SAMAX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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 Multi Strategy Alternative Income Portfolio Class S |
ii. Class identification number, if any | C000188361 |
iii. Ticker symbol, if any | JASMX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Multi Strategy Alternative Income Portfolio Class I |
ii. Class identification number, if any | C000144545 |
iii. Ticker symbol, if any | JAIMX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Multi Strategy Alternative Income Portfolio Class C |
ii. Class identification number, if any | C000144547 |
iii. Ticker symbol, if any | JACMX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Multi Strategy Alternative Income Portfolio Class A |
ii. Class identification number, if any | C000144546 |
iii. Ticker symbol, if any | JAAMX |
|
Sub Advisors Record:
1 |
i. Full name | Kellner Private Fund Management LP |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-78189 |
iii. CRD number | 000167870 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
2 |
i. Full name | Coherence Capital Partners, LLC. |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-76577 |
iii. CRD number | 000162898 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
3 |
i. Full name | Ranger Global Real Estate Advisors, LLC. |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-108081 |
iii. CRD number | 000284412 |
iv. LEI, if any | 254900QZ1X0L69RAJQ17 |
v. State, if applicable |
COLORADO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
4 |
i. Full name | Bullseye Asset Management LLC. |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-79982 |
iii. CRD number | 000153990 |
iv. LEI, if any | N/A |
v. State, if applicable |
COLORADO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
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 | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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
|
|
Brokers Record:
1 |
i. Full name of broker | ROTH CAPITAL PARTNERS |
ii. SEC file number | 8-32129 |
iii. CRD number | 000015407 |
iv. LEI, if any | 549300FMF3TPT1HFRF48 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 506.20000000 |
Brokers Record:
2 |
i. Full name of broker | CANTOR FITZGERALD |
ii. SEC file number | 8-201 |
iii. CRD number | 000000134 |
iv. LEI, if any | 549300DWZ3YOKJO5X179 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 859.36000000 |
Brokers Record:
3 |
i. Full name of broker | Knight Capital Group (Now Virtu Americas LLC) |
ii. SEC file number | 8-68193 |
iii. CRD number | 000149823 |
iv. LEI, if any | 549300RA02N3BNSWBV74 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,997.39000000 |
Brokers Record:
4 |
i. Full name of broker | AEGIS CAPITAL CORP |
ii. SEC file number | 8-31616 |
iii. CRD number | 000015007 |
iv. LEI, if any | 254900S6STN2SDK6LR76 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,189.89999999 |
Brokers Record:
5 |
i. Full name of broker | SEAPORT GROUP |
ii. SEC file number | 8-53535 |
iii. CRD number | 000116270 |
iv. LEI, if any | 54930028D6D0G5RZJ888 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 488.69000000 |
Brokers Record:
6 |
i. Full name of broker | GOLDMAN SACHS |
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. Gross commissions paid by the Fund for
the
reporting period | 25,561.93000000 |
Brokers Record:
7 |
i. Full name of broker | JPMORGAN CHASE |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,922.99000000 |
Brokers Record:
8 |
i. Full name of broker | UBS |
ii. SEC file number | 008-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 397.37000000 |
Brokers Record:
9 |
i. Full name of broker | BNY Mellon |
ii. SEC file number | 8-51710 |
iii. CRD number | 000047268 |
iv. LEI, if any | 4EP6JBYBTPTQ47LZOB67 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,287.27000000 |
Brokers Record:
10 |
i. Full name of broker | COWEN GROUP |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 368.85000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 48,579.95000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | UBS |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
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:
| 1,264,697.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | GOLDMAN SACHS |
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:
| 484,205.56000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | BANK OF AMERICA MERRILL LYNCH |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
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:
| 911,010.86000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | DEUTSCHE BANK Securities |
ii. SEC file number | 8-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
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:
| 629,862.50000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Barclays Capital, Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 673,510.85000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | JPMORGAN CHASE |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 638,295.91000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | CITIGROUP |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
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:
| 846,304.23000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | AEGIS CAPITAL CORP |
ii. SEC file number | 8-31616 |
iii. CRD number | 000015007 |
iv. LEI, if any | 254900S6STN2SDK6LR76 |
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:
| 4,580,081.63000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | BNY Mellon |
ii. SEC file number | 8-51710 |
iii. CRD number | 000047268 |
iv. LEI, if any | 4EP6JBYBTPTQ47LZOB67 |
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:
| 2,193,155.90000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | MORGAN STANLEY SMITH BARNEY |
ii. SEC file number | 8-68191 |
iii. CRD number | 000149777 |
iv. LEI, if any | 7PDDXEMZ0ZV0CEDU4D16 |
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:
| 1,677,185.38000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
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 | Municipal Bond Portfolio Class C |
ii. Class identification number, if any | C000030170 |
iii. Ticker symbol, if any | SMBCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Municipal Bond Portfolio Class A |
ii. Class identification number, if any | C000030167 |
iii. Ticker symbol, if any | SMBAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Municipal Bond Portfolio Class I |
ii. Class identification number, if any | C000030168 |
iii. Ticker symbol, if any | SMBPX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
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 | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
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
|