| Form N-CEN Filer Information |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-CEN ANNUAL REPORT FOR REGISTERED INVESTMENT COMPANIES |
OMB APPROVAL |
|
OMB Number: 3235-0729 Estimated average burden hours per response: 19.04 |
| Filer CIK | 0000939934
|
| Filer CCC |
********
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| Filer Investment Company Type | Form N-1A Filer (Mutual Fund)
|
| Is this a LIVE or TEST Filing? | 
LIVE
TEST
|
| Is this an electronic copy of an official filing submitted in paper format? |  |
| Would you like a Return Copy? | |
Submission Contact Information | |
| Name | |
| Phone | |
| E-Mail Address |
Notification Information |
| Notify via Filing Website only? | |
| All? |  |
| a. Report for period ending: | 2019-05-31
|
| b. Does this report cover a period of less than 12 months? |
Yes
No
|
| a. Full name of Registrant | SEI INSTITUTIONAL INVESTMENTS TRUST
|
| b. Investment Company Act file number ( e.g., 811-) | 811-07257
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| c. CIK | 0000939934
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| d. LEI | 0N2JSH1PTH72JCCP2A88
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| a. Street 1 | ONE FREEDOM VALLEY DRIVE
|
| Street 2 | |
| b. City | OAKS
|
| c. State, if applicable |
PENNSYLVANIA
|
| d. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| e. Zip code and zip code extension, or foreign postal code | 19456
|
| f. Telephone number (including country code if foreign) | 8003425734
|
| g. Public Website, if any | http://www.seic.com/enUS/10008.htm
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| Instruction. Provide the requested information for each person maintaining physical possession of each account, book, or other document required to be maintained by section 31(a) of the Act (15 U.S.C. 80a-30(a)) and the rules under that section. |
| Location books Record: 1 | |
| a. Name of person (e.g., a custodian of records) | ARROWPOINT ASSET MANAGEMENT, LLC
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| b. Street 1 | 100 Fillmore street
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| Street 2 | suite 325
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| c. City | Denver
|
| d. State, if applicable |
COLORADO
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| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
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| f. Zip code and zip code extension, or foreign postal code | 80206
|
| g. Telephone number (including country code if foreign) | 303-398-2929
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| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 2 | |
| a. Name of person (e.g., a custodian of records) | WELLS CAPITAL MANAGEMENT
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| b. Street 1 | 525 Market Street
|
| Street 2 | 10th Floor
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| c. City | San Francisco
|
| d. State, if applicable |
CALIFORNIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
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| f. Zip code and zip code extension, or foreign postal code | 94105
|
| g. Telephone number (including country code if foreign) | 415-396-8000
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| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 3 | |
| a. Name of person (e.g., a custodian of records) | ACADIAN ASSET MANAGEMENT LLC
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| b. Street 1 | 260 Franklin St
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| Street 2 | |
| c. City | Boston
|
| d. State, if applicable |
MASSACHUSETTS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 2110
|
| g. Telephone number (including country code if foreign) | 617-850-3500
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| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 4 | |
| a. Name of person (e.g., a custodian of records) | WESTERN ASSET MANAGEMENT Company
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| b. Street 1 | 385 East Colorado Boulevard
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| Street 2 | |
| c. City | Pasadena
|
| d. State, if applicable |
CALIFORNIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 91101
|
| g. Telephone number (including country code if foreign) | 626-844-9400
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| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 5 | |
| a. Name of person (e.g., a custodian of records) | FALCON POINT CAPITAL, LLC
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| b. Street 1 | Two Embarcadero Center
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| Street 2 | Suite 420
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| c. City | San Francisco
|
| d. State, if applicable |
CALIFORNIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 94111
|
| g. Telephone number (including country code if foreign) | 415-782-9600
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 6 | |
| a. Name of person (e.g., a custodian of records) | JENNISON ASSOCIATES LLC
|
| b. Street 1 | 466 Lexington Ave
|
| Street 2 | |
| c. City | New York
|
| d. State, if applicable |
NEW YORK
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 10017
|
| g. Telephone number (including country code if foreign) | 212-421-1000
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 7 | |
| a. Name of person (e.g., a custodian of records) | AS TRIGON ASSET MANAGEMENT
|
| b. Street 1 | Parnu MNT 18
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| Street 2 | |
| c. City | Tallinn
|
| d. State, if applicable | |
| e. Foreign country, if applicable |
ESTONIA
|
| f. Zip code and zip code extension, or foreign postal code | 10141
|
| g. Telephone number (including country code if foreign) | 11-372-667-9200
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| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 8 | |
| a. Name of person (e.g., a custodian of records) | LEGAL & GENERAL Investment Management America Inc.
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| b. Street 1 | 71 South Wacker Drive
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| Street 2 | Suite 800
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| c. City | Chicago
|
| d. State, if applicable |
ILLINOIS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 60606
|
| g. Telephone number (including country code if foreign) | 312-585-0300
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 9 | |
| a. Name of person (e.g., a custodian of records) | Marathon Asset Management, L.P.
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| b. Street 1 | One Bryant Park
|
| Street 2 | 38th Floor
|
| c. City | New York
|
| d. State, if applicable |
NEW YORK
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 10036
|
| g. Telephone number (including country code if foreign) | 212-500-3000
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 10 | |
| a. Name of person (e.g., a custodian of records) | Towle & Co.
|
| b. Street 1 | 1610 Des Peres Road
|
| Street 2 | Suite 250
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| c. City | St Louis
|
| d. State, if applicable |
MISSOURI
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 63131-1880
|
| g. Telephone number (including country code if foreign) | 314-822-0204
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 11 | |
| a. Name of person (e.g., a custodian of records) | METROPOLITAN WEST Asset Management LLC
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| b. Street 1 | 865 S. Figueroa Street
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| Street 2 | Suite 1800
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| c. City | Los Angeles
|
| d. State, if applicable |
CALIFORNIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 90017
|
| g. Telephone number (including country code if foreign) | 213-244-1050
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 12 | |
| a. Name of person (e.g., a custodian of records) | Fred Alger Management, Inc.
|
| b. Street 1 | 360 Park Avenue South
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| Street 2 | |
| c. City | New York
|
| d. State, if applicable |
NEW YORK
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 10010
|
| g. Telephone number (including country code if foreign) | 212-806-8800
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 13 | |
| a. Name of person (e.g., a custodian of records) | SSGA FUNDS MANAGEMENT, INC.
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| b. Street 1 | State Street Financial Center
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| Street 2 | One Lincoln Street
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| c. City | Boston
|
| d. State, if applicable |
MASSACHUSETTS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 2210
|
| g. Telephone number (including country code if foreign) | NA
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 14 | |
| a. Name of person (e.g., a custodian of records) | Poplar Forest Capital, LLC
|
| b. Street 1 | 70 S Lake Avenue
|
| Street 2 | Suite 930
|
| c. City | Pasadena
|
| d. State, if applicable |
CALIFORNIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 91101-4703
|
| g. Telephone number (including country code if foreign) | 626-304-6000
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 15 | |
| a. Name of person (e.g., a custodian of records) | METROPOLE GESTION
|
| b. Street 1 | 9 Rue Des Filles Saint Thomas
|
| Street 2 | |
| c. City | Paris
|
| d. State, if applicable | |
| e. Foreign country, if applicable |
FRANCE
|
| f. Zip code and zip code extension, or foreign postal code | 75002
|
| g. Telephone number (including country code if foreign) | 33158711700
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 16 | |
| a. Name of person (e.g., a custodian of records) | Fiera Capital Inc.
|
| b. Street 1 | 375 Park Ave
|
| Street 2 | 8th Floor
|
| c. City | New York
|
| d. State, if applicable |
NEW YORK
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 10152
|
| g. Telephone number (including country code if foreign) | 212-300-1600
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 17 | |
| a. Name of person (e.g., a custodian of records) | RWC ASSET ADVISORS (US) LLC
|
| b. Street 1 | 2640 South Bayshore Drive
|
| Street 2 | Suite 201
|
| c. City | Miami
|
| d. State, if applicable |
FLORIDA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 33133
|
| g. Telephone number (including country code if foreign) | 305-602-9501
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 18 | |
| a. Name of person (e.g., a custodian of records) | AQR CAPITAL MANAGEMENT, LLC
|
| b. Street 1 | Two Greenwich Plaza
|
| Street 2 | |
| c. City | Greenwich
|
| d. State, if applicable |
CONNECTICUT
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 6830
|
| g. Telephone number (including country code if foreign) | 203-742.3600
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 19 | |
| a. Name of person (e.g., a custodian of records) | KBI Global Investors (North America) Ltd.
|
| b. Street 1 | 3rd Floor
|
| Street 2 | 2 Harbourmaster Place
|
| c. City | Dublin 1
|
| d. State, if applicable | |
| e. Foreign country, if applicable |
IRELAND
|
| f. Zip code and zip code extension, or foreign postal code | D01 X5P3
|
| g. Telephone number (including country code if foreign) | 353-1-438-4400
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 20 | |
| a. Name of person (e.g., a custodian of records) | WELLINGTON MANAGEMENT Company, LLP
|
| b. Street 1 | 280 Congress Street
|
| Street 2 | |
| c. City | Boston
|
| d. State, if applicable |
MASSACHUSETTS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 2210
|
| g. Telephone number (including country code if foreign) | 610-631-3500
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 21 | |
| a. Name of person (e.g., a custodian of records) | WILLIAM BLAIR Investment Management, LLC
|
| b. Street 1 | 150 North Riverside Plaza
|
| Street 2 | |
| c. City | Chicago
|
| d. State, if applicable |
ILLINOIS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 60606-1598
|
| g. Telephone number (including country code if foreign) | 312-236-1600
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 22 | |
| a. Name of person (e.g., a custodian of records) | WCM INVESTMENT MANAGEMENT
|
| b. Street 1 | 281 Brooks Street
|
| Street 2 | |
| c. City | Laguna Beach
|
| d. State, if applicable |
CALIFORNIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 92651
|
| g. Telephone number (including country code if foreign) | 949-380-0200
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 23 | |
| a. Name of person (e.g., a custodian of records) | LSV ASSET MANAGEMENT
|
| b. Street 1 | 155 N. Wacker Drive
|
| Street 2 | |
| c. City | Chicago
|
| d. State, if applicable |
ILLINOIS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 60606
|
| g. Telephone number (including country code if foreign) | 312-460-2443
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 24 | |
| a. Name of person (e.g., a custodian of records) | CARDINAL CAPITAL MANAGEMENT, L.L.C.
|
| b. Street 1 | Four Greenwich Office Park
|
| Street 2 | |
| c. City | Greenwich
|
| d. State, if applicable |
CONNECTICUT
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 6831
|
| g. Telephone number (including country code if foreign) | 203-863-8990
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 25 | |
| a. Name of person (e.g., a custodian of records) | Schroder Investment Management North America, Inc.
|
| b. Street 1 | 7 Bryant Park
|
| Street 2 | |
| c. City | New York
|
| d. State, if applicable |
NEW YORK
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 10018-3706
|
| g. Telephone number (including country code if foreign) | 1-212-641-3800
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 26 | |
| a. Name of person (e.g., a custodian of records) | Manulife Investment Management (US) LLC
|
| b. Street 1 | 197 Clarendon St
|
| Street 2 | |
| c. City | Boston
|
| d. State, if applicable |
MASSACHUSETTS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 2116
|
| g. Telephone number (including country code if foreign) | 617-375-1500
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 27 | |
| a. Name of person (e.g., a custodian of records) | Schafer Cullen Capital Management, Inc.
|
| b. Street 1 | 645 5th Avenue
|
| Street 2 | Suite 1201
|
| c. City | New York
|
| d. State, if applicable |
NEW YORK
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 10022
|
| g. Telephone number (including country code if foreign) | 212-644-1800
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 28 | |
| a. Name of person (e.g., a custodian of records) | ALLIANCEBERNSTEIN L.P.
|
| b. Street 1 | 1345 Avenue of the Americas
|
| Street 2 | |
| c. City | New York
|
| d. State, if applicable |
NEW YORK
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 10105
|
| g. Telephone number (including country code if foreign) | 212-969-1000
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 29 | |
| a. Name of person (e.g., a custodian of records) | ARES MANAGEMENT LLC
|
| b. Street 1 | 2000 Avenue of the Stars
|
| Street 2 | 12th Floor
|
| c. City | Los Angeles
|
| d. State, if applicable |
CALIFORNIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 90067-4733
|
| g. Telephone number (including country code if foreign) | 800-940-6347
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 30 | |
| a. Name of person (e.g., a custodian of records) | AJO, L.P.
|
| b. Street 1 | 230 South Broad St
|
| Street 2 | Twentieth Floor
|
| c. City | Philadelphia
|
| d. State, if applicable |
PENNSYLVANIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 19102
|
| g. Telephone number (including country code if foreign) | 215-546-7500
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 31 | |
| a. Name of person (e.g., a custodian of records) | BRIGADE CAPITAL MANAGEMENT, LP
|
| b. Street 1 | 399 Park Ave
|
| Street 2 | 16th Floor
|
| c. City | New York
|
| d. State, if applicable |
NEW YORK
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 10022
|
| g. Telephone number (including country code if foreign) | 212-745-9700
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 32 | |
| a. Name of person (e.g., a custodian of records) | Sompo Japan Nipponkoa Asset Management Co., Ltd.
|
| b. Street 1 | KYORITSU NIHONBASHI BLDG. 2-2-16
|
| Street 2 | NIHONBASHI
|
| c. City | Tokyo
|
| d. State, if applicable | |
| e. Foreign country, if applicable |
JAPAN
|
| f. Zip code and zip code extension, or foreign postal code | 1030027
|
| g. Telephone number (including country code if foreign) | 81-3-5290-3400
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 33 | |
| a. Name of person (e.g., a custodian of records) | SEI INSTITUTIONAL TRANSFER AGENCT, INC.
|
| b. Street 1 | 1 Freedom Valley Drive
|
| Street 2 | |
| c. City | OAKS
|
| d. State, if applicable |
PENNSYLVANIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 19456
|
| g. Telephone number (including country code if foreign) | 610-676-1000
|
| h. Briefly describe the books and records kept at this location: | Records As Transfer Agent For Trust
|
| Location books Record: 34 | |
| a. Name of person (e.g., a custodian of records) | JO HAMBRO CAPITAL MANAGEMENT Limited
|
| b. Street 1 | Ryder Court
|
| Street 2 | 14 Ryder Street
|
| c. City | London
|
| d. State, if applicable | |
| e. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
| f. Zip code and zip code extension, or foreign postal code | SW1Y 6QB
|
| g. Telephone number (including country code if foreign) | 44-20-7747-5678
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 35 | |
| a. Name of person (e.g., a custodian of records) | EAM INVESTORS, LLC
|
| b. Street 1 | 2533 South Coast Highway 101
|
| Street 2 | Suite 240
|
| c. City | Cardiff-by-the-Sea
|
| d. State, if applicable |
CALIFORNIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 92007
|
| g. Telephone number (including country code if foreign) | 760-479-5080
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 36 | |
| a. Name of person (e.g., a custodian of records) | McKinely Capital Management, LLC
|
| b. Street 1 | 300 South Wacker Drive
|
| Street 2 | Suite 1610
|
| c. City | Chicago
|
| d. State, if applicable |
ILLINOIS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 60606
|
| g. Telephone number (including country code if foreign) | NA
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 37 | |
| a. Name of person (e.g., a custodian of records) | J.P. MORGAN INVESTMENT MANAGEMENT INC.
|
| b. Street 1 | 270 Park Avenue
|
| Street 2 | |
| c. City | New York
|
| d. State, if applicable |
NEW YORK
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 10017
|
| g. Telephone number (including country code if foreign) | 215-640-3400
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 38 | |
| a. Name of person (e.g., a custodian of records) | NEUBERGER BERMAN Investment Advisers LLC
|
| b. Street 1 | 1290 Sixth Avenue
|
| Street 2 | |
| c. City | New York
|
| d. State, if applicable |
NEW YORK
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 10104
|
| g. Telephone number (including country code if foreign) | 212-476-9000
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 39 | |
| a. Name of person (e.g., a custodian of records) | SEI Investments Distribution Co.
|
| b. Street 1 | 1 Freedom Valley Drive
|
| Street 2 | |
| c. City | OAKS
|
| d. State, if applicable |
PENNSYLVANIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 19456
|
| g. Telephone number (including country code if foreign) | 610-676-1000
|
| h. Briefly describe the books and records kept at this location: | Records as Distributor for Trust
|
| Location books Record: 40 | |
| a. Name of person (e.g., a custodian of records) | EARNEST PARTNERS, LLC
|
| b. Street 1 | 1180 Peachtree Street
|
| Street 2 | Suite 2300
|
| c. City | Atlanta
|
| d. State, if applicable |
GEORGIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 30309
|
| g. Telephone number (including country code if foreign) | 404-815-8772
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 41 | |
| a. Name of person (e.g., a custodian of records) | Snow Capital Management
|
| b. Street 1 | 2000 Georgetowne Drive, Suite 200
|
| Street 2 | |
| c. City | Sewickley
|
| d. State, if applicable |
PENNSYLVANIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 15143
|
| g. Telephone number (including country code if foreign) | 724-934-5800
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 42 | |
| a. Name of person (e.g., a custodian of records) | Columbia Management Investment Advisers, LLC
|
| b. Street 1 | 225 Franklin St
|
| Street 2 | |
| c. City | Boston
|
| d. State, if applicable |
MASSACHUSETTS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 2110
|
| g. Telephone number (including country code if foreign) | 617-385-9840
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 43 | |
| a. Name of person (e.g., a custodian of records) | INTECH Investment Management LLC
|
| b. Street 1 | 525 Okeechobee Boulevard, Suite 1800
|
| Street 2 | CityPlace Tower
|
| c. City | West Palm Beach
|
| d. State, if applicable |
FLORIDA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 33401
|
| g. Telephone number (including country code if foreign) | 609-497-0443
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 44 | |
| a. Name of person (e.g., a custodian of records) | Ceredex Value Advisors LLC
|
| b. Street 1 | 301 E Pine St #500
|
| Street 2 | |
| c. City | Orlando
|
| d. State, if applicable |
FLORIDA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 32801
|
| g. Telephone number (including country code if foreign) | 407-674-1270
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 45 | |
| a. Name of person (e.g., a custodian of records) | Mackenzie Investments
|
| b. Street 1 | 180 Queen Street West Toronto
|
| Street 2 | |
| c. City | Ontario
|
| d. State, if applicable | |
| e. Foreign country, if applicable |
CHINA
|
| f. Zip code and zip code extension, or foreign postal code | M5V 3K1
|
| g. Telephone number (including country code if foreign) | 416-967-2323
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 46 | |
| a. Name of person (e.g., a custodian of records) | RHICON CURRENCY Management Pte Ltd.
|
| b. Street 1 | 80 Tras Street #01-03
|
| Street 2 | |
| c. City | Singapore
|
| d. State, if applicable | |
| e. Foreign country, if applicable |
SINGAPORE
|
| f. Zip code and zip code extension, or foreign postal code | 279199
|
| g. Telephone number (including country code if foreign) | 65-6327-2218
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 47 | |
| a. Name of person (e.g., a custodian of records) | T. Rowe Price Associates, Inc.
|
| b. Street 1 | 100 East Pratt St
|
| Street 2 | |
| c. City | Baltimore
|
| d. State, if applicable |
MARYLAND
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 21202
|
| g. Telephone number (including country code if foreign) | NA
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 48 | |
| a. Name of person (e.g., a custodian of records) | INCOME RESEARCH & Management
|
| b. Street 1 | 100 Federal Street
|
| Street 2 | 30th Floor
|
| c. City | Boston
|
| d. State, if applicable |
MASSACHUSETTS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 02110
|
| g. Telephone number (including country code if foreign) | 617-330-9333
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 49 | |
| a. Name of person (e.g., a custodian of records) | QS INVESTORS, LLC
|
| b. Street 1 | 880 Third Avenue
|
| Street 2 | 7th Floor
|
| c. City | New York
|
| d. State, if applicable |
NEW YORK
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 10022
|
| g. Telephone number (including country code if foreign) | 212-886-9200
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 50 | |
| a. Name of person (e.g., a custodian of records) | US BANK, N.A.
|
| b. Street 1 | 1555 N. Rivercenter Drive
|
| Street 2 | |
| c. City | Milwaukee
|
| d. State, if applicable |
WISCONSIN
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 53212
|
| g. Telephone number (including country code if foreign) | 651-466-3000
|
| h. Briefly describe the books and records kept at this location: | Records as Custodian for Trust
|
| Location books Record: 51 | |
| a. Name of person (e.g., a custodian of records) | BlackRock Investment Management, LLC
|
| b. Street 1 | 1 University Square Drive
|
| Street 2 | |
| c. City | Princeton
|
| d. State, if applicable |
NEW JERSEY
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 08540
|
| g. Telephone number (including country code if foreign) | 800-441-7762
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 52 | |
| a. Name of person (e.g., a custodian of records) | 361 Capital, LLC
|
| b. Street 1 | 4600 South Syracuse St
|
| Street 2 | Suite 500
|
| c. City | Denver
|
| d. State, if applicable |
COLORADO
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 80237
|
| g. Telephone number (including country code if foreign) | 303-224-3900
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 53 | |
| a. Name of person (e.g., a custodian of records) | CAUSEWAY CAPITAL MANAGEMENT LLC
|
| b. Street 1 | 11111 Santa Monica Boulevard
|
| Street 2 | 15th Floor
|
| c. City | Los Angeles
|
| d. State, if applicable |
CALIFORNIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 90025
|
| g. Telephone number (including country code if foreign) | 310-231-6100
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 54 | |
| a. Name of person (e.g., a custodian of records) | Copeland Capital Management, LLC
|
| b. Street 1 | 8th Tower Bridge 161 Washington Street
|
| Street 2 | Suite 1325
|
| c. City | Conshohocken
|
| d. State, if applicable |
PENNSYLVANIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 19428
|
| g. Telephone number (including country code if foreign) | 484-351-3700
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 55 | |
| a. Name of person (e.g., a custodian of records) | BENEFIT STREET PARTNERS, LLC
|
| b. Street 1 | 9 West 57th Street
|
| Street 2 | Suite 4920
|
| c. City | New York
|
| d. State, if applicable |
NEW YORK
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 10019
|
| g. Telephone number (including country code if foreign) | 212-588-6770
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 56 | |
| a. Name of person (e.g., a custodian of records) | Credit Suisse Asset Management
|
| b. Street 1 | 11 Madison Ave
|
| Street 2 | |
| c. City | New York
|
| d. State, if applicable |
NEW YORK
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 10010
|
| g. Telephone number (including country code if foreign) | NA
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 57 | |
| a. Name of person (e.g., a custodian of records) | LMCG Investments, Inc.
|
| b. Street 1 | 200 Clarendon Street
|
| Street 2 | 28th Floor
|
| c. City | Boston
|
| d. State, if applicable |
MASSACHUSETTS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 2116
|
| g. Telephone number (including country code if foreign) | 617-380-5600
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 58 | |
| a. Name of person (e.g., a custodian of records) | QUANTITATIVE MANAGEMENT Associates LLC
|
| b. Street 1 | Gateway Center 2
|
| Street 2 | McCarter Highway and Market Street
|
| c. City | Newark
|
| d. State, if applicable |
NEW JERSEY
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 7102
|
| g. Telephone number (including country code if foreign) | 866-748-0643
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 59 | |
| a. Name of person (e.g., a custodian of records) | Colchester Global Investors Ltd.
|
| b. Street 1 | Heathcoat House
|
| Street 2 | 20 Savile Row
|
| c. City | London
|
| d. State, if applicable | |
| e. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
| f. Zip code and zip code extension, or foreign postal code | W1S 3PR
|
| g. Telephone number (including country code if foreign) | 646-472-1800
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 60 | |
| a. Name of person (e.g., a custodian of records) | AXIOM INTERNATIONAL Investors LLC
|
| b. Street 1 | 33 Benedict Place
|
| Street 2 | 2nd Floor
|
| c. City | Greenwich
|
| d. State, if applicable |
CONNECTICUT
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 6830
|
| g. Telephone number (including country code if foreign) | NA
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 61 | |
| a. Name of person (e.g., a custodian of records) | Coho Partners, Ltd.
|
| b. Street 1 | 300 Berwyn Park, 801 Cassatt Road
|
| Street 2 | Suite 100
|
| c. City | Berwyn
|
| d. State, if applicable |
PENNSYLVANIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 19312
|
| g. Telephone number (including country code if foreign) | 484-318-7575
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 62 | |
| a. Name of person (e.g., a custodian of records) | SEI Investments Global Funds Services
|
| b. Street 1 | 1 Freedom Valley Drive
|
| Street 2 | |
| c. City | OAKS
|
| d. State, if applicable |
PENNSYLVANIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 19456
|
| g. Telephone number (including country code if foreign) | 610-676-1000
|
| h. Briefly describe the books and records kept at this location: | Records as Administrator for Trust
|
| Location books Record: 63 | |
| a. Name of person (e.g., a custodian of records) | Martingale Asset Management, L.P.
|
| b. Street 1 | 888 Boylston Street Suite 1400
|
| Street 2 | |
| c. City | Boston
|
| d. State, if applicable |
MASSACHUSETTS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 2199
|
| g. Telephone number (including country code if foreign) | 617-424-4700
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 64 | |
| a. Name of person (e.g., a custodian of records) | Mar Vista Investment Partners, LLC
|
| b. Street 1 | 11150 Santa Monica Blvd
|
| Street 2 | Suite 320
|
| c. City | Los Angeles
|
| d. State, if applicable |
CALIFORNIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 90025
|
| g. Telephone number (including country code if foreign) | NA
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 65 | |
| a. Name of person (e.g., a custodian of records) | FONDSMAEGLERSELSKABET MAJ INVEST
|
| b. Street 1 | 16 Gammeltorv
|
| Street 2 | |
| c. City | Copenhagen
|
| d. State, if applicable | |
| e. Foreign country, if applicable |
DENMARK
|
| f. Zip code and zip code extension, or foreign postal code | 1457
|
| g. Telephone number (including country code if foreign) | 4533387300
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 66 | |
| a. Name of person (e.g., a custodian of records) | BAILLIE GIFFORD Overseas Ltd
|
| b. Street 1 | Calton Square 1 Greenside Row
|
| Street 2 | |
| c. City | Edinburgh
|
| d. State, if applicable | |
| e. Foreign country, if applicable |
DENMARK
|
| f. Zip code and zip code extension, or foreign postal code | EH1 3AN
|
| g. Telephone number (including country code if foreign) | 44-131-275-2000
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 67 | |
| a. Name of person (e.g., a custodian of records) | SEI Investments Management Corporation
|
| b. Street 1 | 1 Freedom Valley Drive
|
| Street 2 | |
| c. City | OAKS
|
| d. State, if applicable |
PENNSYLVANIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 19456
|
| g. Telephone number (including country code if foreign) | 610-676-1000
|
| h. Briefly describe the books and records kept at this location: | Records as Advisor for Trust
|
| Location books Record: 68 | |
| a. Name of person (e.g., a custodian of records) | INVESTEC ASSET MANAGEMENT Ltd.
|
| b. Street 1 | Woolgate Exchange
|
| Street 2 | 25 Basinghall Street
|
| c. City | London
|
| d. State, if applicable | |
| e. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
| f. Zip code and zip code extension, or foreign postal code | EC2V 5HA
|
| g. Telephone number (including country code if foreign) | 917-206-5179
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 69 | |
| a. Name of person (e.g., a custodian of records) | Logan Circle Partners, L.P.
|
| b. Street 1 | 1717 Arch Street, Suite 1500
|
| Street 2 | |
| c. City | Philadelphia
|
| d. State, if applicable |
PENNSYLVANIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 19103
|
| g. Telephone number (including country code if foreign) | 267-330-0000
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 70 | |
| a. Name of person (e.g., a custodian of records) | Stone Harbor Investment Partners LP
|
| b. Street 1 | 31 West 52nd Street
|
| Street 2 | 16th floor
|
| c. City | New York
|
| d. State, if applicable |
NEW YORK
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 10019
|
| g. Telephone number (including country code if foreign) | 212-548-1200
|
| h. Briefly describe the books and records kept at this location: | Records as sub-advisor for Trust
|
| Location books Record: 71 | |
| a. Name of person (e.g., a custodian of records) | BROWN BROTHERS HARRIMAN and CO.
|
| b. Street 1 | 40 Water Street
|
| Street 2 | |
| c. City | Boston
|
| d. State, if applicable |
MASSACHUSETTS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 02109
|
| g. Telephone number (including country code if foreign) | 617-772-1818
|
| h. Briefly describe the books and records kept at this location: | Records as a Custodian for Trust
|
| Instruction. Respond "yes" to Item B.4.b only if the Registrant has filed an application to deregister or will file an application to deregister before its next required filing on this form. |
| a. Is this the first filing on this form by the Registrant? |
Yes
No
|
| b. Is this the last filing on this form by the Registrant? |
Yes
No
|
| Instruction. "Family of investment companies" means, except for insurance company separate accounts, any two or more registered investment companies that (i) share the same investment adviser or principal underwriter; and (ii) hold themselves out to investors as related companies for purposes of investment and investor services.In responding to this item, all Registrants in the family of investment companies should report the name of the family of investment companies identically. |
| Insurance company separate accounts that may not hold themselves out to investors as related companies (products) for purposes of investment and investor services should consider themselves part of the same family if the operational or accounting or control systems under which these entities function are substantially similar. |
| a. Is the Registrant part of a family of investment companies? |
Yes
No
|
| i. Full name of family of investment companies | SEI Funds
|
| Instruction. For Item B.6.a.i., the Registrant should include all Series that have been established by the Registrant and have shares outstanding (other than shares issued in connection with an initial investment to satisfy section 14(a) of the Act). |
| Indicate the classification of the Registrant by checking the applicable item below. |
| i. Total number of Series of the Registrant | 27
|
| Is the Registrant the issuer of a class of securities registered under the Securities Act of 1933 ("Securities Act")? |
Yes
No
|
| Provide the information requested below about each person serving as director of the Registrant (management investment companies only): |
| Director Record: 1 | |
| a. Full Name | Robert A. Nesher
|
| b. CRD number, if any | N/A
|
| c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? |
Yes
No
|
| d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
| File Number Record: 1 | |
| File Number Record: | 811-22107
|
| File Number Record: 2 | |
| File Number Record: | 811-09025
|
| File Number Record: 3 | |
| File Number Record: | 811-23015
|
| File Number Record: 4 | |
| File Number Record: | 811-03451
|
| File Number Record: 5 | |
| File Number Record: | 811-07102
|
| File Number Record: 6 | |
| File Number Record: | 811-22838
|
| File Number Record: 7 | |
| File Number Record: | 811-08572
|
| File Number Record: 8 | |
| File Number Record: | 811-22480
|
| File Number Record: 9 | |
| File Number Record: | 811-06400
|
| File Number Record: 10 | |
| File Number Record: | 811-07445
|
| File Number Record: 11 | |
| File Number Record: | 811-04878
|
| File Number Record: 12 | |
| File Number Record: | 811-05601
|
| File Number Record: 13 | |
| File Number Record: | 811-22862
|
| File Number Record: 14 | |
| File Number Record: | 811-03447
|
| Director Record: 2 | |
| a. Full Name | William M. Doran
|
| b. CRD number, if any | N/A
|
| c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? |
Yes
No
|
| d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
| File Number Record: 1 | |
| File Number Record: | 811-04878
|
| File Number Record: 2 | |
| File Number Record: | 811-23091
|
| File Number Record: 3 | |
| File Number Record: | 811-03451
|
| File Number Record: 4 | |
| File Number Record: | 811-09025
|
| File Number Record: 5 | |
| File Number Record: | 811-23015
|
| File Number Record: 6 | |
| File Number Record: | 811-07445
|
| File Number Record: 7 | |
| File Number Record: | 811-22480
|
| File Number Record: 8 | |
| File Number Record: | 811-07840
|
| File Number Record: 9 | |
| File Number Record: | 811-21364
|
| File Number Record: 10 | |
| File Number Record: | 811-22920
|
| File Number Record: 11 | |
| File Number Record: | 811-22862
|
| File Number Record: 12 | |
| File Number Record: | 811-05601
|
| File Number Record: 13 | |
| File Number Record: | 811-03447
|
| Director Record: 3 | |
| a. Full Name | George J. Sullivan Jr.
|
| b. CRD number, if any | N/A
|
| c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? |
Yes
No
|
| d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
| File Number Record: 1 | |
| File Number Record: | 811-23015
|
| File Number Record: 2 | |
| File Number Record: | 811-07102
|
| File Number Record: 3 | |
| File Number Record: | 811-09025
|
| File Number Record: 4 | |
| File Number Record: | 811-07445
|
| File Number Record: 5 | |
| File Number Record: | 811-03451
|
| File Number Record: 6 | |
| File Number Record: | 811-22838
|
| File Number Record: 7 | |
| File Number Record: | 811-22480
|
| File Number Record: 8 | |
| File Number Record: | 811-22107
|
| File Number Record: 9 | |
| File Number Record: | 811-06400
|
| File Number Record: 10 | |
| File Number Record: | 811-08572
|
| File Number Record: 11 | |
| File Number Record: | 811-05601
|
| File Number Record: 12 | |
| File Number Record: | 811-04878
|
| File Number Record: 13 | |
| File Number Record: | 811-03447
|
| File Number Record: 14 | |
| File Number Record: | 811-22862
|
| Director Record: 4 | |
| a. Full Name | Nina Lesavoy
|
| b. CRD number, if any | N/A
|
| c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? |
Yes
No
|
| d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
| File Number Record: 1 | |
| File Number Record: | 811-09025
|
| File Number Record: 2 | |
| File Number Record: | 811-07445
|
| File Number Record: 3 | |
| File Number Record: | 811-05601
|
| File Number Record: 4 | |
| File Number Record: | 811-04878
|
| File Number Record: 5 | |
| File Number Record: | 811-23015
|
| File Number Record: 6 | |
| File Number Record: | 811-22862
|
| File Number Record: 7 | |
| File Number Record: | 811-22480
|
| File Number Record: 8 | |
| File Number Record: | 811-03447
|
| File Number Record: 9 | |
| File Number Record: | 811-22107
|
| File Number Record: 10 | |
| File Number Record: | 811-03451
|
| Director Record: 5 | |
| a. Full Name | James M. Williams
|
| b. CRD number, if any | N/A
|
| c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? |
Yes
No
|
| d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
| File Number Record: 1 | |
| File Number Record: | 811-22862
|
| File Number Record: 2 | |
| File Number Record: | 811-23015
|
| File Number Record: 3 | |
| File Number Record: | 811-04786
|
| File Number Record: 4 | |
| File Number Record: | 811-22107
|
| File Number Record: 5 | |
| File Number Record: | 811-05601
|
| File Number Record: 6 | |
| File Number Record: | 811-04878
|
| File Number Record: 7 | |
| File Number Record: | 811-22480
|
| File Number Record: 8 | |
| File Number Record: | 811-03451
|
| File Number Record: 9 | |
| File Number Record: | 811-09025
|
| File Number Record: 10 | |
| File Number Record: | 811-07445
|
| File Number Record: 11 | |
| File Number Record: | 811-03447
|
| Director Record: 6 | |
| a. Full Name | Mitchell A. Johnson
|
| b. CRD number, if any | N/A
|
| c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? |
Yes
No
|
| d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
| File Number Record: 1 | |
| File Number Record: | 811-22838
|
| File Number Record: 2 | |
| File Number Record: | 811-04878
|
| File Number Record: 3 | |
| File Number Record: | 811-23015
|
| File Number Record: 4 | |
| File Number Record: | 811-07102
|
| File Number Record: 5 | |
| File Number Record: | 811-07445
|
| File Number Record: 6 | |
| File Number Record: | 811-08572
|
| File Number Record: 7 | |
| File Number Record: | 811-06400
|
| File Number Record: 8 | |
| File Number Record: | 811-09025
|
| File Number Record: 9 | |
| File Number Record: | 811-22480
|
| File Number Record: 10 | |
| File Number Record: | 811-03451
|
| File Number Record: 11 | |
| File Number Record: | 811-22862
|
| File Number Record: 12 | |
| File Number Record: | 811-03447
|
| File Number Record: 13 | |
| File Number Record: | 811-05601
|
| Director Record: 7 | |
| a. Full Name | Hubert L. Harris, Jr.
|
| b. CRD number, if any | N/A
|
| c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? |
Yes
No
|
| d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
| File Number Record: 1 | |
| File Number Record: | 811-22480
|
| File Number Record: 2 | |
| File Number Record: | 811-03447
|
| File Number Record: 3 | |
| File Number Record: | 811-23015
|
| File Number Record: 4 | |
| File Number Record: | 811-04878
|
| File Number Record: 5 | |
| File Number Record: | 811-03451
|
| File Number Record: 6 | |
| File Number Record: | 811-07445
|
| File Number Record: 7 | |
| File Number Record: | 811-22862
|
| File Number Record: 8 | |
| File Number Record: | 811-09025
|
| File Number Record: 9 | |
| File Number Record: | 811-05601
|
| Director Record: 8 | |
| a. Full Name | Susan C. Cote
|
| b. CRD number, if any | N/A
|
| c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? |
Yes
No
|
| d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
| File Number Record: 1 | |
| File Number Record: | 811-09025
|
| File Number Record: 2 | |
| File Number Record: | 811-05601
|
| File Number Record: 3 | |
| File Number Record: | 811-07445
|
| File Number Record: 4 | |
| File Number Record: | 811-03451
|
| File Number Record: 5 | |
| File Number Record: | 811-03447
|
| File Number Record: 6 | |
| File Number Record: | 811-22107
|
| File Number Record: 7 | |
| File Number Record: | 811-22480
|
| File Number Record: 8 | |
| File Number Record: | 811-22862
|
| File Number Record: 9 | |
| File Number Record: | 811-04878
|
| File Number Record: 10 | |
| File Number Record: | 811-23015
|
| Director Record: 9 | |
| a. Full Name | James B. Taylor
|
| b. CRD number, if any | N/A
|
| c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))? |
Yes
No
|
| d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-) | |
| File Number Record: 1 | |
| File Number Record: | 811-04878
|
| File Number Record: 2 | |
| File Number Record: | 811-22862
|
| File Number Record: 3 | |
| File Number Record: | 811-09025
|
| File Number Record: 4 | |
| File Number Record: | 811-03451
|
| File Number Record: 5 | |
| File Number Record: | 811-23015
|
| File Number Record: 6 | |
| File Number Record: | 811-03447
|
| File Number Record: 7 | |
| File Number Record: | 811-22480
|
| File Number Record: 8 | |
| File Number Record: | 811-07445
|
| File Number Record: 9 | |
| File Number Record: | 811-05601
|
| Provide the information requested below about each person serving as chief compliance officer of the Registrant for purposes of rule 38a-1 (17 CFR 270.38a- 1): |
| Chief compliance officer Record: 1 | |
| a. Full Name | Russell Emery
|
| b. CRD Number, if any | N/A
|
| c. Street Address 1 | 1 Freedom Valley Drive
|
| Street Address 2 | |
| d. City | Oaks
|
| e. State, if applicable |
PENNSYLVANIA
|
| f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| g. Zip code and zip code extension, or foreign postal code | 19456
|
| h. Telephone number (including country code if foreign) | XXXXXX
|
| i. Has the chief compliance officer changed since the last filing? |
Yes
No
|
| If the chief compliance officer is compensated or employed by any person other than the Registrant, or an affiliated person of the Registrant, for providing chief compliance officer services, provide: |
| CCO employer Record: 1 | |
| i. Name of the person | N/A
|
| ii. Person's IRS Employer Identification Number | N/A
|
| Instruction. Registrants registered on Forms N-3, N-4 or N-6, should respond "yes" to this Item only if security holder votes were solicited on contract-level matters. |
| Were any matters submitted by the Registrant for its security holders' vote during the reporting period? |
Yes
No
|
| Instruction. For purposes of this Item, the following proceedings should be described: (1) any bankruptcy, receivership or similar proceeding with respect to the Registrant or any of its significant subsidiaries; (2) any proceeding to which any director, officer or other affiliated person of the Registrant is a party adverse to the Registrant or any of its subsidiaries; and (3) any proceeding involving the revocation or suspension of the right of the Registrant to sell securities. |
| a. Have there been any material legal proceedings, other than routine litigation incidental to the business, to which the Registrant or any of its subsidiaries was a party or of which any of their property was the subject during the reporting period? |
Yes
No
|
| b. Has any proceeding previously reported been terminated? |
Yes
No
|
| a. Were any claims with respect to the Registrant filed under a fidelity bond (including, but not limited to, the fidelity insuring agreement of the bond) during the reporting period? |
Yes
No
|
| a. Are the Registrant's officers or directors covered in their capacities as officers or directors under any directors and officers/errors and omissions insurance policy owned by the Registrant or anyone else? |
Yes
No
|
| i. If yes, were any claims filed under the policy during the reporting period with respect to the Registrant? |
Yes
No
|
| Instruction. For purposes of this Item, a provision of financial support includes any (1) capital contribution, (2) purchase of a security from a Money Market Fund in reliance on rule 17a-9 under the Act (17 CFR 270.17a-9), (3) purchase of any defaulted or devalued security at fair value reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio, (4) execution of letter of credit or letter of indemnity, (5) capital support agreement (whether or not the Registrant ultimately received support), (6) performance guarantee, or (7) other similar action reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. Provision of financial support does not include any (1) routine waiver of fees or reimbursement of Registrant's expenses, (2) routine inter-fund lending, (3) routine inter-fund purchases of Registrant's shares, or (4) action that would qualify as financial support as defined above, that the board of directors has otherwise determined not to be reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. |
| Did an affiliated person, promoter, or principal underwriter of the Registrant, or an affiliated person of such a person, provide any form of financial support to the Registrant during the reporting period? |
Yes
No
|
| a. During the reporting period, did the Registrant rely on any orders from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act? |
Yes
No
|
| Release number Record: 1 | |
| i. If yes, provide below the release number for each order | IC-26048
|
| Release number Record: 2 | |
| i. If yes, provide below the release number for each order | IC-21921
|
| Release number Record: 3 | |
| i. If yes, provide below the release number for each order | IC-26783
|
| a. Provide the information requested below about each principal underwriter: |
| Principal underwriter Record: 1 | |
| i. Full name | SEI INVESTMENTS DISTRIBUTION CO.
|
| ii. SEC file number (e.g., 8-) | 8-27897
|
| iii. CRD number | 000010690
|
| iv. LEI, if any | N/A
|
| v. State, if applicable |
PENNSYLVANIA
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor? |
Yes
No
|
| b. Have any principal underwriters been hired or terminated during the reporting period? |
Yes
No
|
| Provide the following information about eachthe independent public accountant: |
| Public accountant Record: 1 | |
| a. Full Name | KPMG, LLP
|
| b. PCAOB Number | 185
|
| c. LEI, if any | 549300G1CEVDWVMRLW77
|
| d. State, if applicable |
PENNSYLVANIA
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Has the independent public accountant changed since the last filing? |
Yes
No
|
| Instruction. Small business investment companies are not required to respond to this item. |
| For the reporting period, did an independent public accountant's report on internal control note any material weaknesses? |
Yes
No
|
| For the reporting period, did an independent public accountant issue an opinion other than an unqualified opinion with respect to its audit of the Registrant's financial statements? |
Yes
No
|
| Instruction. Responses to this item need not include changes to valuation techniques used for individual securities (e.g., changing from market approach to income approach for a private equity security). In responding to Item B.20.c., provide the applicable "asset type" category specified in Item C.4.a. of Form N-PORT. In responding to Item B.20.d., provide a brief description of the type of investments involved. If the change in valuation methods applies only to certain sub-asset types included in the response to Item B.20.c., please provide the sub-asset types in the response to Item B.20.d. The responses to Item B.20.c. and Item B.20.d. should be identical only if the change in valuation methods applies to all assets within that category. |
| Have there been material changes in the method of valuation (e.g., change from use of bid price to mid price for fixed income securities or change in trigger threshold for use of fair value factors on international equity securities) of the Registrant's assets during the reporting period? |
Yes
No
|
| Have there been any changes in accounting principles or practices, or any change in the method of applying any such accounting principles or practices, which will materially affect the financial statements filed or to be filed for the current year with the Commission and which has not been previously reported? |
Yes
No
|
| a. During the reporting period, were any payments made to shareholders or shareholder accounts reprocessed as a result of an error in calculating the Registrant's net asset value (or net asset value per share)? |
Yes
No
|
| During the reporting period, did the Registrant pay any dividend or make any distribution in the nature of a dividend payment, required to be accompanied by a written statement pursuant to section 19(a) of the Act (15 U.S.C. 80a-19(a)) and rule 19a-1 thereunder (17 CFR 270.19a-1)? |
Yes
No
|
General Instruction.Management investment companies that offer multiple series must complete Part C as to each series separately, even if some information is the same for two or more series. To begin this section or add an additional series(s), click on the bar labeled "Add a New Series" below. |
| Management Investment Record: 1 |
| a. Full Name of the Fund | SIIT REAL RETURN FUND
|
| b. Series identication number, if any | S000013606
|
| c. LEI | 2IVLVKXRG9L28ISTNV47
|
| d. Is this the first filing on this form by the Fund? |
Yes
No
|
| a. How many Classes of shares of the Fund (if any) are authorized? | 1
|
| 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 | Class A
|
| ii. Class identification number, if any | C000036889
|
| iii. Ticker symbol, if any | RRPAX
|
| Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| Indicate if the Fund is any one of the types listed below. Check all that apply. |
|
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
i.
Exchange-Traded Fund
ii.
Exchange-Traded Managed Fund
b.
Index Fund
c.
Seeks to achieve performance results that are a multiple
of a
benchmark, the inverse of a benchmark, or a multiple of the
inverse
of a benchmark
d.
Interval Fund
e.
Fund of Funds
f.
Master-Feeder Fund
g.
Money Market Fund
h.
Target Date Fund
i.
Underlying fund to a variable annuity or variable life
insurance contract
N/A
|
| Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? |
Yes
No
|
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? |
Yes
No
|
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? |
Yes
No
|
| b. Did the Fund lend any of its securities during the reporting period? |
Yes
No
|
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| i. Full name of securities lending agent | |
| ii. LEI, if any | |
| iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
Yes
No
|
| iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
Yes
No
|
| v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
| 1. Name of person providing indemnification | |
| 2. LEI, if any, of person providing indemnification |
| vi. Did the Fund exercise its indemnification rights during the reporting period? |
Yes
No
|
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| i. Full name of cash collateral manager: | |
| ii. LEI, if any: | |
| iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? |
Yes
No
|
| iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
Yes
No
|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): |
i. Revenue sharing split
ii. Non-revenue sharing split (other than administrative
fee)
iii. Administrative fee
iv. Cash collateral reinvestment fee
v. Indemnification fee
vi. Other
N/A
|
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A
|
| g. Provide the net income from securities lending activities |
| Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) |
a. Rule 10f-3 (17 CFR 270.10f-3)
b. Rule 12d1-1 (17 CFR 270.12d1-1)
c. Rule 15a-4 (17 CFR 270.15a-4)
d. Rule 17a-6 (17 CFR 270.17a-6)
e. Rule 17a-7 (17 CFR 270.17a-7)
f. Rule 17a-8 (17 CFR 270.17a-8)
g. Rule 17e-1 (17 CFR 270.17e-1)
h. Rule 22d-1 (17 CFR 270.22d-1)
i. Rule 23c-1 (17 CFR 270.23c-1)
j. Rule 32a-4 (17 CFR 270.32a-4)
N/A
|
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? |
Yes
No
|
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? |
Yes
No
|
| c. Are the fees waived subject to recoupment? |
Yes
No
|
| d. Were any expenses previously waived recouped during the period? |
Yes
No
|
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record: 1 | |
| i. Full name | SEI Investments Management Corporation
|
| ii. SEC file number ( e.g., 801- ) | 811-24593
|
| iii.CRD number | 000105146
|
| iv. LEI, if any | Q33VOZOFSDXYC0TV0J12
|
| v. State, if applicable |
PENNSYLVANIA
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Was the investment adviser hired during the reporting period? |
Yes
No
|
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| i. Full name | |
| ii. SEC file number ( e.g., 801- ) | |
| iii. CRD number | |
| iv. LEI, if any | |
| v. State, if applicable | |
| vi. Foreign country, if applicable | |
| vii. Termination date |
| c. For each sub-adviser to the Fund, provide the information requested: |
| i. Full name | |
| ii. SEC file number ( e.g., 801- ), if applicable | |
| iii. CRD number | |
| iv. LEI, if any | |
| v. State, if applicable | |
| vi. Foreign country, if applicable | |
| 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
|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| i. Full name | |
| ii. SEC file number ( e.g., 801- ) | |
| iii. CRD number | |
| iv. LEI, if any | |
| v. State, if applicable | |
| vi. Foreign country, if applicable | |
| vii. Termination date |
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record: 1 | |
| i. Full name | SEI Institutional Transfer Agent, Inc.
|
| ii.SEC file number ( e.g., 84- or 85- ) | 084-27897
|
| iii. LEI, if any | N/A
|
| iv. State, if applicable |
PENNSYLVANIA
|
| v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vii. Is the transfer agent a sub-transfer agent? |
Yes
No
|
| b. Has a transfer agent been hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record: 1 | |
| i. Full name | IHS Markit
|
| ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726
|
| Description of other identifying number | |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
| 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 | 254900BF4G8VMW8GG471
|
| 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: 3 | |
| i. Full name | S&P
|
| ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881
|
| Description of other identifying number | |
| iii. State, if applicable |
DELAWARE
|
| 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: 4 | |
| i. Full name | Intercontinental Exchange, Inc.
|
| ii. LEI, if any, or provide and describe other identifying number | 5493000F4ZO33MV32P92
|
| 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: 5 | |
| i. Full name | Pricing Direct
|
| ii. LEI, if any, or provide and describe other identifying number | 549300WIC0TOJ7N7GD54
|
| Description of other identifying number | |
| iii. State, if applicable |
DELAWARE
|
| 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: 6 | |
| i. Full name | Thomson Reuters Corporation
|
| ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569
|
| Description of other identifying number | |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
| v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| b. Was a pricing service hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record: 1 | |
| i. Full name | KBL EUROPEAN PRIVATE BANKERS S.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
LUXEMBOURG
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 2 | |
| i. Full name | CITIBANK, N.A. - LONDON BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
IRELAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 3 | |
| i. Full name | THE HONGKONG AND SHANGHAI BANKING CORPORATION
LIMITED (HSBC) - SRI LANKA BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SRI LANKA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 4 | |
| i. Full name | UBS SWITZERLAND AG
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SWITZERLAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 5 | |
| i. Full name | STANDARD CHARTERED BANK ZIMBABWE LIMITED FOR
STANDARD CHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
ZIMBABWE
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 6 | |
| i. Full name | PUBLIC JOINT STOCK COMPANY "CITIBANK" (PJSC "CITIBANK")
FOR CITIBANK, N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
UKRAINE
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 7 | |
| i. Full name | CITITRUST COLOMBIA S.A., SOCIEDAD FIDUCIARIA FOR
CITIBANK, N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
COLOMBIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 8 | |
| i. Full name | STANDARD CHARTERED BANK GHANA LIMITED FOR STANDARD
CHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
GHANA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 9 | |
| i. Full name | STANDARD CHARTERED BANK KENYA LIMITED FOR STANDARD
CHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
KENYA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 10 | |
| i. Full name | DEUTSCHE BANK A.S. FOR DEUTSCHE BANK A.S. AND DEUTSCHE
BANK AG
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
TURKEY
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 11 | |
| i. Full name | NORDEA BANK AB (PUBL), FINNISH BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
FINLAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 12 | |
| i. Full name | CITIBANK EUROPE PLC, BULGARIA BRANCH FOR CITIBANK, N.A
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
BULGARIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 13 | |
| i. Full name | STANDARD CHARTERED BANK, JOHANNESBURG BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SOUTH AFRICA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 14 | |
| i. Full name | BNP PARIBAS SECURITIES SERVICES
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
PORTUGAL
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 15 | |
| i. Full name | CITIBANK EUROPE PLC, ORGANIZACNI SLOZKA FOR CITIBANK,N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CZECHIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 16 | |
| i. Full name | STANBIC IBTC BANK PLC FOR STANDARD BANK OF SOUTH
AFRICA LIMITED
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
NIGERIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 17 | |
| i. Full name | STANDARD CHARTERED BANK ZAMBIA PLC FOR STANDARD
CHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
ZAMBIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 18 | |
| i. Full name | BNP PARIBAS SECURITIES SERVICES
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CYPRUS
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 19 | |
| i. Full name | HSBC BANK (VIETNAM) LTD. FOR THE HONGKONG AND
SHANGHAI BANKING CORPORATION LIMITED (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
VIET NAM
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 20 | |
| i. Full name | HSBC BANK (CHINA) COMPANY LIMITED FOR THE HONGKONG
AND SHANGHAI BANKING CORPORATION LIMITED (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CHINA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 21 | |
| i. Full name | STANDARD CHARTERED BANK COTE D IVOIRE FOR STANDARDCHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
COTE D'IVOIRE
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 22 | |
| i. Full name | AO CITIBANK FOR CITIBANK, N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
RUSSIAN FEDERATION
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 23 | |
| i. Full name | DEUTSCHE BANK AG, AMSTERDAM BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
NETHERLANDS
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 24 | |
| i. Full name | CACEIS BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
FRANCE
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 25 | |
| i. Full name | STANDARD CHARTERED BANK BOTSWANA LIMITED FOR
STANDARD CHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
BOTSWANA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 26 | |
| i. Full name | BNP PARIBAS SECURITIES SERVICES - MILAN BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
ITALY
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 27 | |
| i. Full name | THE BANK OF TOKYO-MITSUBISHI UFJ LTD.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
JAPAN
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 28 | |
| i. Full name | SWEDBANK AS FOR NORDEA BANK AB (PUBL)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
LATVIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 29 | |
| i. Full name | UNICREDIT BANKA SLOVENIJA DD FOR UNICREDIT BANKA
SLOVENIJA DD & UNICREDIT S.P.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SLOVENIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 30 | |
| i. Full name | BNP PARIBAS SECURITIES SERVICES
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
BELGIUM
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 31 | |
| i. Full name | BANK HANDLOWY W WARSZAWIE SA (BHW) FOR CITIBANK NA
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
POLAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 32 | |
| i. Full name | CITIBANK, N.A. - SAO PAULO
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
BRAZIL
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 33 | |
| i. Full name | RBC INVESTOR SERVICES TRUST FOR ROYAL BANK OF CANADA
(RBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 34 | |
| i. Full name | STANDARD CHARTERED BANK TANZANIA LIMITED AND
STANDARD CHARTERED BANK (MAURITIUS) LIMITED FOR
STANDARD CHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
TANZANIA, UNITED REPUBLIC OF
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 35 | |
| i. Full name | STANDARD BANK SWAZILAND LTD. FOR STANDARD BANK OF
SOUTH AFRICA LIMITED
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SWAZILAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 36 | |
| i. Full name | HSBC BANK MALAYSIA BERHAD (HBMB) FOR THE HONGKONG
AND SHANGHAI BANKING CORPORATION LTD. (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
MALAYSIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 37 | |
| i. Full name | DEUTSCHE BANK AG
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
AUSTRIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 38 | |
| i. Full name | ZAGREBACKA BANKA D.D. FOR UNICREDIT BANK AUSTRIA AG
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CROATIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 39 | |
| i. Full name | STANDARD CHARTERED BANK (CHINA) LIMITED FOR STANDARD
CHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CHINA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 40 | |
| i. Full name | SWEDBANK AS FOR NORDEA BANK AB (PUBL)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
ESTONIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 41 | |
| i. Full name | THE HONGKONG AND SHANGHAI BANKING CORPORATION
LIMITED (HSBC) - INDIA BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
INDIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 42 | |
| i. Full name | NORDEA DANMARK, FILIAL AF NORDEA BANK AB (PUBL),SVERIGE
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
DENMARK
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 43 | |
| i. Full name | STANDARD CHARTERED BANK (PAKISTAN) LIMITED FOR
STANDARD CHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
PAKISTAN
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 44 | |
| i. Full name | THE HONGKONG AND SHANGHAI BANKING CORPORATION
LIMITED (HSBC) - THAILAND BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
THAILAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 45 | |
| i. Full name | STANDARD CHARTERED BANK - SINGAPORE BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SINGAPORE
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 46 | |
| i. Full name | STANDARD CHARTERED BANK, BANGLADESH BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
BANGLADESH
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 47 | |
| i. Full name | CITIBANK DEL PERU S.A. FOR CITIBANK, N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
PERU
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 48 | |
| i. Full name | BANCO DE CHILE FOR CITIBANK, N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CHILE
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 49 | |
| i. Full name | CITIBANK EUROPE PLC, POBOCKA ZAHRANICNEJ BANKY FORCITIBANK, N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SLOVAKIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 50 | |
| i. Full name | HSBC BANK MIDDLE EAST LIMITED - KUWAIT BRANCH FOR THE
HONGKONG AND SHANGHAI BANKING CORPORATION LTD.
(HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
KUWAIT
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 51 | |
| i. Full name | LANDSBANKINN HF.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
ICELAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 52 | |
| i. Full name | BANK OF TAIWAN
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
TAIWAN (PROVINCE OF CHINA)
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 53 | |
| i. Full name | STANDARD BANK NAMIBIA LTD. FOR STANDARD BANK OFSOUTH AFRICA LIMITED
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
NAMIBIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 54 | |
| i. Full name | BANCO ITAU URUGUAY S.A. FOR BANCO ITAU URUGUAY S.A.AND ITAU UNIBANCO S.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
URUGUAY
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 55 | |
| i. Full name | CITIBANK EUROPE PLC, DUBLIN - SUCURSALA ROMANIA FOR
CITIBANK, N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
ROMANIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 56 | |
| i. Full name | CITIBANK MAGHREB FOR CITIBANK, N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
MOROCCO
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 57 | |
| i. Full name | HSBC BANK MIDDLE EAST LTD - QATAR BRANCH FOR THE
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED
(HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
QATAR
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 58 | |
| i. Full name | HSBC FRANCE, ATHENS BRANCH FOR THE HONGKONG AND
SHANGHAI BANKING CORPORATION LIMITED (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
GREECE
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 59 | |
| i. Full name | THE HONGKONG AND SHANGHAI BANKING CORPORATONLIMITED (HSBC) - NEW ZEALAND BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
NEW ZEALAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 60 | |
| i. Full name | NORDEA BANK AB (PUBL), FILIAL I NORGE
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
NORWAY
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 61 | |
| i. Full name | BANCO SANTANDER (MEXICO) S.A. FOR BANCO SANTANDER,
S.A. AND BANCO SANTANDER (MEXICO) S.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
MEXICO
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 62 | |
| i. Full name | HSBC BANK MIDDLE EAST LIMITED, BAHRAIN BRANCH FOR THEHONGKONG AND SHANGHAI BANKING CORPORATION LIMITED(HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
BAHRAIN
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 63 | |
| i. Full name | BANK HAPOALIM BM
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
ISRAEL
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 64 | |
| i. Full name | THE HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (HSBC) - MAURITIUS BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
MAURITIUS
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 65 | |
| i. Full name | THE HONGKONG AND SHANGHAI BANKING CORPORATION
LIMITED - KOREA BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
KOREA (THE REPUBLIC OF)
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 66 | |
| i. Full name | CITIBANK, N.A. - JAKARTA BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
INDONESIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 67 | |
| i. Full name | DEUTSCHE BANK AG
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
GERMANY
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 68 | |
| i. Full name | THE HONGKONG AND SHANGHAI BANKING CORPORATION
LIMITED (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
HONG KONG
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 69 | |
| i. Full name | UNICREDIT BANK HUNGARY ZRT FOR UNICREDIT BANK
HUNGARY ZRT AND UNICREDIT S.P.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
HUNGARY
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 70 | |
| i. Full name | HSBC BANK MIDDLE EAST LIMITED FOR THE HONGKONG AND
SHANGHAI BANKING CORPORATION LIMITED (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 71 | |
| i. Full name | HSBC BANK PLC
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 72 | |
| i. Full name | SWEDBANK AS FOR NORDEA BANK AB (PUBL)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
LITHUANIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 73 | |
| i. Full name | HSBC BANK BERMUDA LIMITED FOR THE HONGKONG AND
SHANGHAI BANKING CORPORATION LIMITED (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
BERMUDA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 74 | |
| i. Full name | UNION INTERATIONALE DE BANQUES (UIB)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
TUNISIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 75 | |
| i. Full name | SKANDINAVISKA ENSKILDA BANKEN AB (PUBL)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SWEDEN
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 76 | |
| i. Full name | BROWN BROTHERS HARRIMAN & CO.
|
| ii. LEI, if any | 5493006KMX1VFTPYPW14
|
| iii. State, if applicable |
MASSACHUSETTS
|
| iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 77 | |
| i. Full name | THE HONGKONG AND SHANGHAI BANKING CORPORATION
LIMITED (HSBC) - PHILIPPINE BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
PHILIPPINES
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 78 | |
| i. Full name | CITIBANK, N.A. - CAIRO BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
EGYPT
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 79 | |
| i. Full name | HSBC BANK AUSTRALIA LIMITED FOR THE HONGKONG AND
SHANGHAI BANKING CORPORATION LIMITED (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
AUSTRALIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 80 | |
| i. Full name | BANCO BILBAO VIZCAYA ARGENTARIA SA
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SPAIN
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 81 | |
| i. Full name | CITIBANK, N.A. BUENOS AIRES BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
ARGENTINA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 82 | |
| i. Full name | HSBC BANK OMAN SAOG FOR THE HONGKONG AND SHANGHAI
BANKING CORPORATION LIMITED (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
OMAN
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| b. Has a custodian been hired or terminated during the reporting period?* |
Yes
No
|
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder servicing agents Record: 1 | |
| i. Full name | SEI Private Trust Company
|
| ii. LEI, if any, or provide and describe other identifying number | 5LJTIFADGZ6XH1RVOC11
|
| Description of other identifying number | |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| Shareholder servicing agents Record: 2 | |
| i. Full name | SEI Investments Distribution Co.
|
| ii. LEI, if any, or provide and describe other identifying number | 008-27897
|
| Description of other identifying number | SEC File Number
|
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record: 1 | |
| i. Full name | SEI INVESTMENTS GLOBAL FUNDS SERVICES
|
| ii. LEI, if any, or other identifying number | 801-24593
|
| Description of other identifying number | SEC FILE NUMBER
|
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| b.Has a third-party administrator been hired or terminated during the reporting period? |
Yes
No
|
| Provide the following information about each affiliated broker-dealer: |
| Broker Dealers Record: 1 | |
| a. Full name | SEI Investments Distribution Co.
|
| b. SEC file number | 8-27897
|
| c. CRD number | 000010690
|
| d. LEI, if any | N/A
|
| e. State, if applicable |
PENNSYLVANIA
|
| f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0
|
|
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| i. Full name of broker | |
| ii. SEC file number | |
| iii. CRD number | |
| iv. LEI, if any | |
| v. State, if applicable | |
| vi. Foreign country, if applicable | |
| vii. Gross commissions paid by the Fund for the reporting period |
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 0.00000000
|
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record: 1 | |
| i. Full name of dealer | CHASE SECURITIES, INC.
|
| ii. SEC file number | 008-35008
|
| iii. CRD number | 000000079
|
| iv. LEI, if any | ZBUT11V806EZRVTWT807
|
| v. State, if applicable |
OHIO
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 38,865,747.53000000
|
| Principal Transactions Record: 2 | |
| i. Full name of dealer | NOMURA SECURITIES
|
| ii. SEC file number | 008-15255
|
| iii. CRD number | 000004297
|
| iv. LEI, if any | OXTKY6Q8X53C9ILVV871
|
| 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: | 13,386,690.82000000
|
| Principal Transactions Record: 3 | |
| i. Full name of dealer | MONTGOMERY/BANK OF AMERICA
|
| ii. SEC file number | 008-69787
|
| iii. CRD number | 000283942
|
| iv. LEI, if any | 549300HN4UKV1E2R3U73
|
| 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: | 12,997,722.30000000
|
| Principal Transactions Record: 4 | |
| i. Full name of dealer | CITIGROUP GLOBAL MARKETS
|
| ii. SEC file number | 008-08177
|
| 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: | 6,674,574.09999999
|
| Principal Transactions Record: 5 | |
| i. Full name of dealer | BARCLAYS CAPITAL INC. FIXED INCOME
|
| 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: | 60,536,790.89000000
|
| Principal Transactions Record: 6 | |
| i. Full name of dealer | GOLDMAN, SACHS & CO.
|
| ii. SEC file number | 008-00129
|
| iii. CRD number | 000000361
|
| iv. LEI, if any | FOR8UP27PHTHYVLBNG30
|
| v. State, if applicable |
UTAH
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 154,083,233.11999997
|
| Principal Transactions Record: 7 | |
| i. Full name of dealer | BNP PARIBAS
|
| ii. SEC file number | 008-32682
|
| iii. CRD number | 000015794
|
| iv. LEI, if any | RCNB6OTYUAMMP879YW96
|
| 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: | 8,485,744.97000000
|
| Principal Transactions Record: 8 | |
| i. Full name of dealer | TD SECURITIES (USA) INC.
|
| ii. SEC file number | 008-36747
|
| iii. CRD number | 000018476
|
| iv. LEI, if any | SUVUFHICNZMP2WKHG940
|
| 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: | 47,628,162.86999999
|
| Principal Transactions Record: 9 | |
| i. Full name of dealer | SOCIETE GENERALE COWEN SECURITIES CORP.
|
| ii. SEC file number | 008-40756
|
| iii. CRD number | 000023857
|
| iv. LEI, if any | 5493008QI0EFC5WBED75
|
| 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: | 6,787,462.97999999
|
| Principal Transactions Record: 10 | |
| i. Full name of dealer | HSBC
|
| ii. SEC file number | 008-41562
|
| iii. CRD number | 000019585
|
| iv. LEI, if any | CYYGQCGNHMHPSMRL3R97
|
| 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: | 26,250,316.33000000
|
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 379,521,031.55000001
|
| During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? |
Yes
No
|
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 252,441,599.53000000
|
| b. Provide the money market fund's daily average net assets during the reporting period | 0.00000000
|
| a. Does the Fund have available a line of credit? |
Yes
No
|
| b. Did the Fund engage in interfund lending? |
Yes
No
|
| c.Did the Fund engage in interfund borrowing? |
Yes
No
|
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? |
Yes
No
|
| Management Investment Record: 2 |
| a. Full Name of the Fund | SIIT INTERMEDIATE DURATION CREDIT FUND
|
| b. Series identication number, if any | S000047944
|
| c. LEI | 549300WIV6HN924VER47
|
| d. Is this the first filing on this form by the Fund? |
Yes
No
|
| a. How many Classes of shares of the Fund (if any) are authorized? | 1
|
| 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 | Class A
|
| ii. Class identification number, if any | C000150792
|
| iii. Ticker symbol, if any | SIDCX
|
| Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| Indicate if the Fund is any one of the types listed below. Check all that apply. |
|
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
i.
Exchange-Traded Fund
ii.
Exchange-Traded Managed Fund
b.
Index Fund
c.
Seeks to achieve performance results that are a multiple
of a
benchmark, the inverse of a benchmark, or a multiple of the
inverse
of a benchmark
d.
Interval Fund
e.
Fund of Funds
f.
Master-Feeder Fund
g.
Money Market Fund
h.
Target Date Fund
i.
Underlying fund to a variable annuity or variable life
insurance contract
N/A
|
| Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? |
Yes
No
|
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? |
Yes
No
|
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? |
Yes
No
|
| b. Did the Fund lend any of its securities during the reporting period? |
Yes
No
|
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| i. Full name of securities lending agent | |
| ii. LEI, if any | |
| iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
Yes
No
|
| iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
Yes
No
|
| v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
| 1. Name of person providing indemnification | |
| 2. LEI, if any, of person providing indemnification |
| vi. Did the Fund exercise its indemnification rights during the reporting period? |
Yes
No
|
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| i. Full name of cash collateral manager: | |
| ii. LEI, if any: | |
| iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? |
Yes
No
|
| iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
Yes
No
|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): |
i. Revenue sharing split
ii. Non-revenue sharing split (other than administrative
fee)
iii. Administrative fee
iv. Cash collateral reinvestment fee
v. Indemnification fee
vi. Other
N/A
|
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A
|
| g. Provide the net income from securities lending activities |
| Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) |
a. Rule 10f-3 (17 CFR 270.10f-3)
b. Rule 12d1-1 (17 CFR 270.12d1-1)
c. Rule 15a-4 (17 CFR 270.15a-4)
d. Rule 17a-6 (17 CFR 270.17a-6)
e. Rule 17a-7 (17 CFR 270.17a-7)
f. Rule 17a-8 (17 CFR 270.17a-8)
g. Rule 17e-1 (17 CFR 270.17e-1)
h. Rule 22d-1 (17 CFR 270.22d-1)
i. Rule 23c-1 (17 CFR 270.23c-1)
j. Rule 32a-4 (17 CFR 270.32a-4)
N/A
|
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? |
Yes
No
|
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? |
Yes
No
|
| c. Are the fees waived subject to recoupment? |
Yes
No
|
| d. Were any expenses previously waived recouped during the period? |
Yes
No
|
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record: 1 | |
| i. Full name | SEI Investments Management Corporation
|
| ii. SEC file number ( e.g., 801- ) | 811-24593
|
| iii.CRD number | 000105146
|
| iv. LEI, if any | Q33VOZOFSDXYC0TV0J12
|
| v. State, if applicable |
PENNSYLVANIA
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Was the investment adviser hired during the reporting period? |
Yes
No
|
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| i. Full name | |
| ii. SEC file number ( e.g., 801- ) | |
| iii. CRD number | |
| iv. LEI, if any | |
| v. State, if applicable | |
| vi. Foreign country, if applicable | |
| vii. Termination date |
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub Advisors Record: 1 | |
| i. Full name | INCOME RESEARCH & Management
|
| ii. SEC file number ( e.g., 801- ), if applicable | 801-29482
|
| iii. CRD number | 000104863
|
| iv. LEI, if any | 254900RO33N8JBVSKJ39
|
| 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 | LOGAN CIRCLE PARTNERs, L.P.
|
| ii. SEC file number ( e.g., 801- ), if applicable | 801-67753
|
| iii. CRD number | 000143633
|
| iv. LEI, if any | F2OFNL1W7020BH7GN108
|
| v. State, if applicable |
PENNSYLVANIA
|
| 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 | LEGAL & GENERAL Investment Management America Inc.
|
| ii. SEC file number ( e.g., 801- ), if applicable | 801-69862
|
| iii. CRD number | 000149156
|
| iv. LEI, if any | 549300M32WBVVFDTS111
|
| v. State, if applicable |
ILLINOIS
|
| 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
|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| i. Full name | |
| ii. SEC file number ( e.g., 801- ) | |
| iii. CRD number | |
| iv. LEI, if any | |
| v. State, if applicable | |
| vi. Foreign country, if applicable | |
| vii. Termination date |
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record: 1 | |
| i. Full name | SEI Institutional Transfer Agent, Inc.
|
| ii.SEC file number ( e.g., 84- or 85- ) | 084-27897
|
| iii. LEI, if any | N/A
|
| iv. State, if applicable |
PENNSYLVANIA
|
| v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vii. Is the transfer agent a sub-transfer agent? |
Yes
No
|
| b. Has a transfer agent been hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record: 1 | |
| i. Full name | Bloomberg
|
| ii. LEI, if any, or provide and describe other identifying number | 254900BF4G8VMW8GG471
|
| 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 | Pricing Direct
|
| ii. LEI, if any, or provide and describe other identifying number | 549300WIC0TOJ7N7GD54
|
| Description of other identifying number | |
| iii. State, if applicable |
DELAWARE
|
| 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: 3 | |
| i. Full name | IHS Markit
|
| ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726
|
| Description of other identifying number | |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
| v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| Pricing Services Record: 4 | |
| i. Full name | Thomson Reuters Corporation
|
| ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569
|
| Description of other identifying number | |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
| v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| Pricing Services Record: 5 | |
| i. Full name | Intercontinental Exchange, Inc.
|
| ii. LEI, if any, or provide and describe other identifying number | 5493000F4ZO33MV32P92
|
| 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: 6 | |
| i. Full name | S&P
|
| ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881
|
| Description of other identifying number | |
| iii. State, if applicable |
DELAWARE
|
| 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
|
| b. Was a pricing service hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record: 1 | |
| i. Full name | US BANK, N.A.
|
| ii. LEI, if any | N1GZ7BBF3NP8GI976H15
|
| iii. State, if applicable |
PENNSYLVANIA
|
| iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| b. Has a custodian been hired or terminated during the reporting period?* |
Yes
No
|
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder servicing agents Record: 1 | |
| i. Full name | SEI Investments Distribution Co.
|
| ii. LEI, if any, or provide and describe other identifying number | 008-27897
|
| Description of other identifying number | SEC File Number
|
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| Shareholder servicing agents Record: 2 | |
| i. Full name | SEI Private Trust Company
|
| ii. LEI, if any, or provide and describe other identifying number | 5LJTIFADGZ6XH1RVOC11
|
| Description of other identifying number | |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record: 1 | |
| i. Full name | SEI INVESTMENTS GLOBAL FUNDS SERVICES
|
| ii. LEI, if any, or other identifying number | 801-24593
|
| Description of other identifying number | SEC FILE NUMBER
|
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| b.Has a third-party administrator been hired or terminated during the reporting period? |
Yes
No
|
| Provide the following information about each affiliated broker-dealer: |
| Broker Dealers Record: 1 | |
| a. Full name | SEI Investments Distribution Co.
|
| b. SEC file number | 8-27897
|
| c. CRD number | 000010690
|
| d. LEI, if any | N/A
|
| e. State, if applicable |
PENNSYLVANIA
|
| f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000
|
|
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record: 1 | |
| i. Full name of broker | GOLDMAN, SACHS & CO.
|
| ii. SEC file number | 008-00129
|
| iii. CRD number | 000000361
|
| iv. LEI, if any | FOR8UP27PHTHYVLBNG30
|
| v. State, if applicable |
UTAH
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Gross commissions paid by the Fund for the reporting period | 172.28000000
|
| Brokers Record: 2 | |
| i. Full name of broker | HSBC
|
| ii. SEC file number | 008-41562
|
| iii. CRD number | 000019585
|
| iv. LEI, if any | CYYGQCGNHMHPSMRL3R97
|
| 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 | 1,513.50000000
|
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 1,801.70000000
|
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record: 1 | |
| i. Full name of dealer | DEUTSCHE BANK SECURITIES, INC.
|
| ii. SEC file number | 008-17822
|
| 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: | 346,422,556.40999997
|
| Principal Transactions Record: 2 | |
| i. Full name of dealer | CITIGROUP GLOBAL MARKETS
|
| ii. SEC file number | 008-08177
|
| 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: | 479,355,773.49000013
|
| Principal Transactions Record: 3 | |
| i. Full name of dealer | BANK OF AMERICA SECURITIES LLC
|
| ii. SEC file number | 008-69787
|
| iii. CRD number | 000283942
|
| iv. LEI, if any | 549300HN4UKV1E2R3U73
|
| 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: | 1,312,960,132.84999990
|
| Principal Transactions Record: 4 | |
| i. Full name of dealer | GOLDMAN, SACHS & CO.
|
| ii. SEC file number | 008-00129
|
| iii. CRD number | 000000361
|
| iv. LEI, if any | FOR8UP27PHTHYVLBNG30
|
| v. State, if applicable |
UTAH
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 902,105,194.82999980
|
| Principal Transactions Record: 5 | |
| i. Full name of dealer | BARCLAYS CAPITAL INC.
|
| 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: | 565,369,383.55999994
|
| Principal Transactions Record: 6 | |
| i. Full name of dealer | MORGAN STANLEY & CO, INC
|
| ii. SEC file number | 008-15869
|
| iii. CRD number | 000008209
|
| iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078
|
| v. State, if applicable |
MARYLAND
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 642,667,627.36999989
|
| Principal Transactions Record: 7 | |
| i. Full name of dealer | HSBC
|
| ii. SEC file number | 008-41562
|
| iii. CRD number | 000019585
|
| iv. LEI, if any | CYYGQCGNHMHPSMRL3R97
|
| 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: | 883,889,038.49000001
|
| Principal Transactions Record: 8 | |
| i. Full name of dealer | PIERPONT SECURITIES LLC
|
| ii. SEC file number | 008-68282
|
| iii. CRD number | 000150696
|
| iv. LEI, if any | 549300LGG2RLWD21SU97
|
| 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: | 268,966,332.79999995
|
| Principal Transactions Record: 9 | |
| i. Full name of dealer | CHASE SECURITIES, INC.
|
| ii. SEC file number | 008-35008
|
| iii. CRD number | 000000079
|
| iv. LEI, if any | ZBUT11V806EZRVTWT807
|
| v. State, if applicable |
OHIO
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 616,797,578.69000006
|
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 11,931,556,634.32000000
|
| During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? |
Yes
No
|
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 2,852,957,113.38999990
|
| b. Provide the money market fund's daily average net assets during the reporting period | 0.00000000
|
| a. Does the Fund have available a line of credit? |
Yes
No
|
| b. Did the Fund engage in interfund lending? |
Yes
No
|
| c.Did the Fund engage in interfund borrowing? |
Yes
No
|
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? |
Yes
No
|
| Management Investment Record: 3 |
| a. Full Name of the Fund | SIIT U.S. MANAGED VOLATILITY FUND
|
| b. Series identication number, if any | S000013605
|
| c. LEI | NF4QXLQSW5LFCQE4VR03
|
| d. Is this the first filing on this form by the Fund? |
Yes
No
|
| a. How many Classes of shares of the Fund (if any) are authorized? | 1
|
| 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 | Class A
|
| ii. Class identification number, if any | C000036888
|
| iii. Ticker symbol, if any | SVYAX
|
| Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| Indicate if the Fund is any one of the types listed below. Check all that apply. |
|
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
i.
Exchange-Traded Fund
ii.
Exchange-Traded Managed Fund
b.
Index Fund
c.
Seeks to achieve performance results that are a multiple
of a
benchmark, the inverse of a benchmark, or a multiple of the
inverse
of a benchmark
d.
Interval Fund
e.
Fund of Funds
f.
Master-Feeder Fund
g.
Money Market Fund
h.
Target Date Fund
i.
Underlying fund to a variable annuity or variable life
insurance contract
N/A
|
| Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? |
Yes
No
|
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? |
Yes
No
|
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? |
Yes
No
|
| b. Did the Fund lend any of its securities during the reporting period? |
Yes
No
|
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| i. Full name of securities lending agent | |
| ii. LEI, if any | |
| iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
Yes
No
|
| iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
Yes
No
|
| v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
| 1. Name of person providing indemnification | |
| 2. LEI, if any, of person providing indemnification |
| vi. Did the Fund exercise its indemnification rights during the reporting period? |
Yes
No
|
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| i. Full name of cash collateral manager: | |
| ii. LEI, if any: | |
| iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? |
Yes
No
|
| iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
Yes
No
|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): |
i. Revenue sharing split
ii. Non-revenue sharing split (other than administrative
fee)
iii. Administrative fee
iv. Cash collateral reinvestment fee
v. Indemnification fee
vi. Other
N/A
|
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A
|
| g. Provide the net income from securities lending activities |
| Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) |
a. Rule 10f-3 (17 CFR 270.10f-3)
b. Rule 12d1-1 (17 CFR 270.12d1-1)
c. Rule 15a-4 (17 CFR 270.15a-4)
d. Rule 17a-6 (17 CFR 270.17a-6)
e. Rule 17a-7 (17 CFR 270.17a-7)
f. Rule 17a-8 (17 CFR 270.17a-8)
g. Rule 17e-1 (17 CFR 270.17e-1)
h. Rule 22d-1 (17 CFR 270.22d-1)
i. Rule 23c-1 (17 CFR 270.23c-1)
j. Rule 32a-4 (17 CFR 270.32a-4)
N/A
|
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? |
Yes
No
|
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? |
Yes
No
|
| c. Are the fees waived subject to recoupment? |
Yes
No
|
| d. Were any expenses previously waived recouped during the period? |
Yes
No
|
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record: 1 | |
| i. Full name | SEI Investments Management Corporation
|
| ii. SEC file number ( e.g., 801- ) | 811-24593
|
| iii.CRD number | 000105146
|
| iv. LEI, if any | Q33VOZOFSDXYC0TV0J12
|
| v. State, if applicable |
PENNSYLVANIA
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Was the investment adviser hired during the reporting period? |
Yes
No
|
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| i. Full name | |
| ii. SEC file number ( e.g., 801- ) | |
| iii. CRD number | |
| iv. LEI, if any | |
| v. State, if applicable | |
| vi. Foreign country, if applicable | |
| vii. Termination date |
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub Advisors Record: 1 | |
| i. Full name | LSV ASSET MANAGEMENT
|
| ii. SEC file number ( e.g., 801- ), if applicable | 801-47689
|
| iii. CRD number | 000109918
|
| iv. LEI, if any | EOAQF6H83OMJLRM1LZ09
|
| v. State, if applicable |
ILLINOIS
|
| 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 | Wells Capital Management Incorporated
|
| ii. SEC file number ( e.g., 801- ), if applicable | 801-21122
|
| iii. CRD number | 000104973
|
| iv. LEI, if any | 549300B3H2IOO2L85I90
|
| v. State, if applicable |
CALIFORNIA
|
| 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
|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| i. Full name | |
| ii. SEC file number ( e.g., 801- ) | |
| iii. CRD number | |
| iv. LEI, if any | |
| v. State, if applicable | |
| vi. Foreign country, if applicable | |
| vii. Termination date |
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record: 1 | |
| i. Full name | SEI Institutional Transfer Agent, Inc.
|
| ii.SEC file number ( e.g., 84- or 85- ) | 084-27897
|
| iii. LEI, if any | N/A
|
| iv. State, if applicable |
PENNSYLVANIA
|
| v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vii. Is the transfer agent a sub-transfer agent? |
Yes
No
|
| b. Has a transfer agent been hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record: 1 | |
| i. Full name | Bloomberg
|
| ii. LEI, if any, or provide and describe other identifying number | 254900BF4G8VMW8GG471
|
| 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 | Pricing Direct
|
| ii. LEI, if any, or provide and describe other identifying number | 549300WIC0TOJ7N7GD54
|
| Description of other identifying number | |
| iii. State, if applicable |
DELAWARE
|
| 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: 3 | |
| i. Full name | Intercontinental Exchange, Inc.
|
| ii. LEI, if any, or provide and describe other identifying number | 5493000F4ZO33MV32P92
|
| 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: 4 | |
| i. Full name | Thomson Reuters Corporation
|
| ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569
|
| Description of other identifying number | |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
| v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| Pricing Services Record: 5 | |
| i. Full name | S&P
|
| ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881
|
| Description of other identifying number | |
| iii. State, if applicable |
DELAWARE
|
| 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: 6 | |
| i. Full name | IHS Markit
|
| ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726
|
| Description of other identifying number | |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
| v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| b. Was a pricing service hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record: 1 | |
| i. Full name | US BANK, N.A.
|
| ii. LEI, if any | N1GZ7BBF3NP8GI976H15
|
| iii. State, if applicable |
PENNSYLVANIA
|
| iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| b. Has a custodian been hired or terminated during the reporting period?* |
Yes
No
|
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder servicing agents Record: 1 | |
| i. Full name | SEI Private Trust Company
|
| ii. LEI, if any, or provide and describe other identifying number | 5LJTIFADGZ6XH1RVOC11
|
| Description of other identifying number | |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| Shareholder servicing agents Record: 2 | |
| i. Full name | SEI Investments Distribution Co.
|
| ii. LEI, if any, or provide and describe other identifying number | 008-27897
|
| Description of other identifying number | SEC File Number
|
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record: 1 | |
| i. Full name | SEI INVESTMENTS GLOBAL FUNDS SERVICES
|
| ii. LEI, if any, or other identifying number | 801-24593
|
| Description of other identifying number | SEC FILE NUMBER
|
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| b.Has a third-party administrator been hired or terminated during the reporting period? |
Yes
No
|
| Provide the following information about each affiliated broker-dealer: |
| Broker Dealers Record: 1 | |
| a. Full name | SEI Investments Distribution Co.
|
| b. SEC file number | 8-27897
|
| c. CRD number | 000010690
|
| d. LEI, if any | N/A
|
| e. State, if applicable |
PENNSYLVANIA
|
| f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000
|
|
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record: 1 | |
| i. Full name of broker | CREDIT SUISSE - FIRST BOSTON
|
| ii. SEC file number | 008-00422
|
| iii. CRD number | 000000816
|
| iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46
|
| 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 | 15,208.05000000
|
| Brokers Record: 2 | |
| i. Full name of broker | UBS SECURITIES
|
| ii. SEC file number | 008-22651
|
| iii. CRD number | 000007654
|
| iv. LEI, if any | T6FIZBDPKLYJKFCRVK44
|
| 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 | 11,635.54999999
|
| Brokers Record: 3 | |
| i. Full name of broker | MORGAN STANLEY & CO, INC
|
| ii. SEC file number | 008-15869
|
| iii. CRD number | 000008209
|
| iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078
|
| v. State, if applicable |
MARYLAND
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Gross commissions paid by the Fund for the reporting period | 14,634.66000000
|
| Brokers Record: 4 | |
| i. Full name of broker | WEEDEN & COMPANY
|
| ii. SEC file number | 008-37267
|
| iii. CRD number | 000016835
|
| iv. LEI, if any | 549300OYBLKSN8M8EW67
|
| 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 | 34,848.57000000
|
| Brokers Record: 5 | |
| i. Full name of broker | GOLDMAN, SACHS & CO.
|
| ii. SEC file number | 008-00129
|
| iii. CRD number | 000000361
|
| iv. LEI, if any | FOR8UP27PHTHYVLBNG30
|
| v. State, if applicable |
UTAH
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Gross commissions paid by the Fund for the reporting period | 7,048.96999999
|
| Brokers Record: 6 | |
| i. Full name of broker | INVESTMENT TECHNOLOGY GROUP, INC.
|
| 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 | 13,407.72000000
|
| Brokers Record: 7 | |
| i. Full name of broker | J.P. MORGAN SECURITIES
|
| ii. SEC file number | 008-35008
|
| iii. CRD number | 000000079
|
| iv. LEI, if any | ZBUT11V806EZRVTWT807
|
| v. State, if applicable |
OHIO
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Gross commissions paid by the Fund for the reporting period | 12,903.13999999
|
| Brokers Record: 8 | |
| i. Full name of broker | INSTINET
|
| 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 | 6,283.45000000
|
| Brokers Record: 9 | |
| i. Full name of broker | CITIGROUP
|
| ii. SEC file number | 008-08177
|
| 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 | 11,194.72000000
|
| Brokers Record: 10 | |
| i. Full name of broker | MERRILL LYNCH
|
| ii. SEC file number | 008-07221
|
| 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 | 7,144.64000000
|
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 142,780.96000000
|
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record: 1 | |
| i. Full name of dealer | J.P. MORGAN SECURITIES
|
| ii. SEC file number | 008-35008
|
| iii. CRD number | 000000079
|
| iv. LEI, if any | ZBUT11V806EZRVTWT807
|
| v. State, if applicable |
OHIO
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 21,860,600.00000000
|
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 1,083,886,026.47999950
|
| During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? |
Yes
No
|
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 1,303,577,454.83999990
|
| b. Provide the money market fund's daily average net assets during the reporting period | 0.00000000
|
| a. Does the Fund have available a line of credit? |
Yes
No
|
| b. Did the Fund engage in interfund lending? |
Yes
No
|
| c.Did the Fund engage in interfund borrowing? |
Yes
No
|
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? |
Yes
No
|
| Management Investment Record: 4 |
| a. Full Name of the Fund | SIIT S&P 500 INDEX FUND
|
| b. Series identication number, if any | S000043383
|
| c. LEI | 549300B5CHVS9BV8KC49
|
| d. Is this the first filing on this form by the Fund? |
Yes
No
|
| a. How many Classes of shares of the Fund (if any) are authorized? | 1
|
| 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 | Class A
|
| ii. Class identification number, if any | C000134335
|
| iii. Ticker symbol, if any | SPINX
|
| Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| Indicate if the Fund is any one of the types listed below. Check all that apply. |
|
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
i.
Exchange-Traded Fund
ii.
Exchange-Traded Managed Fund
b.
Index Fund
c.
Seeks to achieve performance results that are a multiple
of a
benchmark, the inverse of a benchmark, or a multiple of the
inverse
of a benchmark
d.
Interval Fund
e.
Fund of Funds
f.
Master-Feeder Fund
g.
Money Market Fund
h.
Target Date Fund
i.
Underlying fund to a variable annuity or variable life
insurance contract
N/A
|
| Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? |
Yes
No
|
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? |
Yes
No
|
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? |
Yes
No
|
| b. Did the Fund lend any of its securities during the reporting period? |
Yes
No
|
| i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
| 1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? |
Yes
No
|
| 2. The Fund was otherwise adversely impacted? |
Yes
No
|
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record: 1 | |
| i. Full name of securities lending agent | Goldman Sachs Bank USA
|
| ii. LEI, if any | KD3XUN7C6T14HNAYLU02
|
| iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
Yes
No
|
| iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
Yes
No
|
| v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
| Idemnity Providers Record: 1 |
| 1. Name of person providing indemnification | Goldman Sachs Bank USA
|
| 2. LEI, if any, of person providing indemnification | KD3XUN7C6T14HNAYLU02
|
| vi. Did the Fund exercise its indemnification rights during the reporting period? |
Yes
No
|
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record: 1 | |
| i. Full name of cash collateral manager: | SEI Investments Management Corporation
|
| ii. LEI, if any: | Q33VOZOFSDXYC0TV0J12
|
| iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? |
Yes
No
|
| iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
Yes
No
|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): |
i. Revenue sharing split
ii. Non-revenue sharing split (other than administrative
fee)
iii. Administrative fee
iv. Cash collateral reinvestment fee
v. Indemnification fee
vi. Other
N/A
|
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 58,096,658.86000000
|
| g. Provide the net income from securities lending activities |
| Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) |
a. Rule 10f-3 (17 CFR 270.10f-3)
b. Rule 12d1-1 (17 CFR 270.12d1-1)
c. Rule 15a-4 (17 CFR 270.15a-4)
d. Rule 17a-6 (17 CFR 270.17a-6)
e. Rule 17a-7 (17 CFR 270.17a-7)
f. Rule 17a-8 (17 CFR 270.17a-8)
g. Rule 17e-1 (17 CFR 270.17e-1)
h. Rule 22d-1 (17 CFR 270.22d-1)
i. Rule 23c-1 (17 CFR 270.23c-1)
j. Rule 32a-4 (17 CFR 270.32a-4)
N/A
|
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? |
Yes
No
|
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? |
Yes
No
|
| c. Are the fees waived subject to recoupment? |
Yes
No
|
| d. Were any expenses previously waived recouped during the period? |
Yes
No
|
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record: 1 | |
| i. Full name | SEI Investments Management Corporation
|
| ii. SEC file number ( e.g., 801- ) | 811-24593
|
| iii.CRD number | 000105146
|
| iv. LEI, if any | Q33VOZOFSDXYC0TV0J12
|
| v. State, if applicable |
PENNSYLVANIA
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Was the investment adviser hired during the reporting period? |
Yes
No
|
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| i. Full name | |
| ii. SEC file number ( e.g., 801- ) | |
| iii. CRD number | |
| iv. LEI, if any | |
| v. State, if applicable | |
| vi. Foreign country, if applicable | |
| vii. Termination date |
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub Advisors Record: 1 | |
| i. Full name | SSGA FUNDS MANAGEMENT
|
| ii. SEC file number ( e.g., 801- ), if applicable | 801-60103
|
| iii. CRD number | 000111242
|
| iv. LEI, if any | FT3UGI3NU6B7EELQF380
|
| 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
|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| i. Full name | |
| ii. SEC file number ( e.g., 801- ) | |
| iii. CRD number | |
| iv. LEI, if any | |
| v. State, if applicable | |
| vi. Foreign country, if applicable | |
| vii. Termination date |
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record: 1 | |
| i. Full name | SEI Institutional Transfer Agent, Inc.
|
| ii.SEC file number ( e.g., 84- or 85- ) | 084-27897
|
| iii. LEI, if any | N/A
|
| iv. State, if applicable |
PENNSYLVANIA
|
| v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vii. Is the transfer agent a sub-transfer agent? |
Yes
No
|
| b. Has a transfer agent been hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record: 1 | |
| i. Full name | S&P
|
| ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881
|
| Description of other identifying number | |
| iii. State, if applicable |
DELAWARE
|
| 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 Corporation
|
| ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569
|
| Description of other identifying number | |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
| v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| Pricing Services Record: 3 | |
| i. Full name | IHS Markit
|
| ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726
|
| Description of other identifying number | |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
| v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| Pricing Services Record: 4 | |
| i. Full name | Pricing Direct
|
| ii. LEI, if any, or provide and describe other identifying number | 549300WIC0TOJ7N7GD54
|
| Description of other identifying number | |
| iii. State, if applicable |
DELAWARE
|
| 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: 5 | |
| i. Full name | Bloomberg
|
| ii. LEI, if any, or provide and describe other identifying number | 254900BF4G8VMW8GG471
|
| 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: 6 | |
| i. Full name | Intercontinental Exchange, Inc.
|
| ii. LEI, if any, or provide and describe other identifying number | 5493000F4ZO33MV32P92
|
| 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
|
| b. Was a pricing service hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record: 1 | |
| i. Full name | US BANK, N.A.
|
| ii. LEI, if any | N1GZ7BBF3NP8GI976H15
|
| iii. State, if applicable |
PENNSYLVANIA
|
| iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| b. Has a custodian been hired or terminated during the reporting period?* |
Yes
No
|
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder servicing agents Record: 1 | |
| i. Full name | SEI Private Trust Company
|
| ii. LEI, if any, or provide and describe other identifying number | 5LJTIFADGZ6XH1RVOC11
|
| Description of other identifying number | |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| Shareholder servicing agents Record: 2 | |
| i. Full name | SEI Investments Distribution Co.
|
| ii. LEI, if any, or provide and describe other identifying number | 008-27897
|
| Description of other identifying number | SEC File Number
|
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record: 1 | |
| i. Full name | SEI INVESTMENTS GLOBAL FUNDS SERVICES
|
| ii. LEI, if any, or other identifying number | 801-24593
|
| Description of other identifying number | SEC FILE NUMBER
|
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| b.Has a third-party administrator been hired or terminated during the reporting period? |
Yes
No
|
| Provide the following information about each affiliated broker-dealer: |
| Broker Dealers Record: 1 | |
| a. Full name | SEI Investments Distribution Co.
|
| b. SEC file number | 8-27897
|
| c. CRD number | 000010690
|
| d. LEI, if any | N/A
|
| e. State, if applicable |
PENNSYLVANIA
|
| f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000
|
|
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record: 1 | |
| i. Full name of broker | CREDIT SUISSE FIRST BOSTON LLC.
|
| ii. SEC file number | 008-00422
|
| iii. CRD number | 000000816
|
| iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46
|
| 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 | 17,272.89000000
|
| Brokers Record: 2 | |
| i. Full name of broker | BARCLAYS CAPITAL INC.
|
| 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. Gross commissions paid by the Fund for the reporting period | 14,502.55000000
|
| Brokers Record: 3 | |
| i. Full name of broker | CITIGROUP/SALOMON SMITH BARNEY INC.
|
| ii. SEC file number | 008-08177
|
| 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 | 1,680.75000000
|
| Brokers Record: 4 | |
| i. Full name of broker | GOLDMAN, SACHS & CO.
|
| ii. SEC file number | 008-00129
|
| iii. CRD number | 000000361
|
| iv. LEI, if any | FOR8UP27PHTHYVLBNG30
|
| v. State, if applicable |
UTAH
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Gross commissions paid by the Fund for the reporting period | 2,639.00000000
|
| Brokers Record: 5 | |
| i. Full name of broker | BEAR STEARNS & CO INC.
|
| ii. SEC file number | 008-35008
|
| iii. CRD number | 000000079
|
| iv. LEI, if any | ZBUT11V806EZRVTWT807
|
| v. State, if applicable |
OHIO
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Gross commissions paid by the Fund for the reporting period | 13,001.47999999
|
| Brokers Record: 6 | |
| i. Full name of broker | MORGAN STANLEY & CO, INC
|
| ii. SEC file number | 008-15869
|
| iii. CRD number | 000008209
|
| iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078
|
| v. State, if applicable |
MARYLAND
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Gross commissions paid by the Fund for the reporting period | 6,448.75000000
|
| Brokers Record: 7 | |
| i. Full name of broker | DIRECT TRADING INSTITUTIONAL INC
|
| ii. SEC file number | 008-68357
|
| iii. CRD number | 000151300
|
| iv. LEI, if any | OYLND20HCVC12JS4WU59
|
| v. State, if applicable |
UTAH
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Gross commissions paid by the Fund for the reporting period | 482.25000000
|
| Brokers Record: 8 | |
| i. Full name of broker | CITIGROUP GLOBAL MARKETS
|
| ii. SEC file number | 008-08177
|
| 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 | 5,025.00000000
|
| Brokers Record: 9 | |
| i. Full name of broker | UBS SECURITIES LLC
|
| ii. SEC file number | 008-22651
|
| iii. CRD number | 000007654
|
| iv. LEI, if any | T6FIZBDPKLYJKFCRVK44
|
| 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 | 4,504.24000000
|
| Brokers Record: 10 | |
| i. Full name of broker | MERRILL LYNCH, PIERCE, FENNER & SMITH
|
| ii. SEC file number | 008-07221
|
| 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 | 10,651.68000000
|
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 78,973.95000000
|
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record: 1 | |
| i. Full name of dealer | J.P. MORGAN SECURITIES
|
| ii. SEC file number | 008-35008
|
| iii. CRD number | 000000079
|
| iv. LEI, if any | ZBUT11V806EZRVTWT807
|
| v. State, if applicable |
OHIO
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 9,908,674.11999999
|
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 2,402,555,966.26000020
|
| During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? |
Yes
No
|
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 4,096,212,925.36000010
|
| b. Provide the money market fund's daily average net assets during the reporting period | 0.00000000
|
| a. Does the Fund have available a line of credit? |
Yes
No
|
| b. Did the Fund engage in interfund lending? |
Yes
No
|
| c.Did the Fund engage in interfund borrowing? |
Yes
No
|
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? |
Yes
No
|
| Management Investment Record: 5 |
| a. Full Name of the Fund | SIIT SMALL CAP II FUND
|
| b. Series identication number, if any | S000036633
|
| c. LEI | NTFLJ7F30WAH9GWJ8H78
|
| d. Is this the first filing on this form by the Fund? |
Yes
No
|
| a. How many Classes of shares of the Fund (if any) are authorized? | 1
|
| 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 | Class A
|
| ii. Class identification number, if any | C000111997
|
| iii. Ticker symbol, if any | SECAX
|
| Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| Indicate if the Fund is any one of the types listed below. Check all that apply. |
|
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
i.
Exchange-Traded Fund
ii.
Exchange-Traded Managed Fund
b.
Index Fund
c.
Seeks to achieve performance results that are a multiple
of a
benchmark, the inverse of a benchmark, or a multiple of the
inverse
of a benchmark
d.
Interval Fund
e.
Fund of Funds
f.
Master-Feeder Fund
g.
Money Market Fund
h.
Target Date Fund
i.
Underlying fund to a variable annuity or variable life
insurance contract
N/A
|
| Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? |
Yes
No
|
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? |
Yes
No
|
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? |
Yes
No
|
| b. Did the Fund lend any of its securities during the reporting period? |
Yes
No
|
| i. If yes, during the reporting period, did any borrower fail to return the loaned securities by the contractual deadline with the result that: |
| 1. The Fund (or its securities lending agent) liquidated collateral pledged to secure the loaned securities? |
Yes
No
|
| 2. The Fund was otherwise adversely impacted? |
Yes
No
|
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record: 1 | |
| i. Full name of securities lending agent | Goldman Sachs Bank USA
|
| ii. LEI, if any | KD3XUN7C6T14HNAYLU02
|
| iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
Yes
No
|
| iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
Yes
No
|
| v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
| Idemnity Providers Record: 1 |
| 1. Name of person providing indemnification | Goldman Sachs Bank USA
|
| 2. LEI, if any, of person providing indemnification | KD3XUN7C6T14HNAYLU02
|
| vi. Did the Fund exercise its indemnification rights during the reporting period? |
Yes
No
|
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record: 1 | |
| i. Full name of cash collateral manager: | SEI Investments Management Corporation
|
| ii. LEI, if any: | Q33VOZOFSDXYC0TV0J12
|
| iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? |
Yes
No
|
| iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
Yes
No
|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): |
i. Revenue sharing split
ii. Non-revenue sharing split (other than administrative
fee)
iii. Administrative fee
iv. Cash collateral reinvestment fee
v. Indemnification fee
vi. Other
N/A
|
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | 58,903,954.44000000
|
| g. Provide the net income from securities lending activities |
| Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) |
a. Rule 10f-3 (17 CFR 270.10f-3)
b. Rule 12d1-1 (17 CFR 270.12d1-1)
c. Rule 15a-4 (17 CFR 270.15a-4)
d. Rule 17a-6 (17 CFR 270.17a-6)
e. Rule 17a-7 (17 CFR 270.17a-7)
f. Rule 17a-8 (17 CFR 270.17a-8)
g. Rule 17e-1 (17 CFR 270.17e-1)
h. Rule 22d-1 (17 CFR 270.22d-1)
i. Rule 23c-1 (17 CFR 270.23c-1)
j. Rule 32a-4 (17 CFR 270.32a-4)
N/A
|
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? |
Yes
No
|
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? |
Yes
No
|
| c. Are the fees waived subject to recoupment? |
Yes
No
|
| d. Were any expenses previously waived recouped during the period? |
Yes
No
|
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record: 1 | |
| i. Full name | SEI Investments Management Corporation
|
| ii. SEC file number ( e.g., 801- ) | 811-24593
|
| iii.CRD number | 000105146
|
| iv. LEI, if any | Q33VOZOFSDXYC0TV0J12
|
| v. State, if applicable |
PENNSYLVANIA
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Was the investment adviser hired during the reporting period? |
Yes
No
|
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| i. Full name | |
| ii. SEC file number ( e.g., 801- ) | |
| iii. CRD number | |
| iv. LEI, if any | |
| v. State, if applicable | |
| vi. Foreign country, if applicable | |
| vii. Termination date |
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub Advisors Record: 1 | |
| i. Full name | EAM INVESTORS, LLC
|
| ii. SEC file number ( e.g., 801- ), if applicable | 801-70305
|
| iii. CRD number | 000144908
|
| iv. LEI, if any | N/A
|
| v. State, if applicable |
CALIFORNIA
|
| 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 | SNOW CAPITAL MANAGEMENT L.P.
|
| ii. SEC file number ( e.g., 801- ), if applicable | 801-37238
|
| iii. CRD number | 000106516
|
| iv. LEI, if any | N/A
|
| v. State, if applicable |
PENNSYLVANIA
|
| 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 | Copeland Capital Management, LLC
|
| ii. SEC file number ( e.g., 801- ), if applicable | 801-68586
|
| iii. CRD number | 000135822
|
| iv. LEI, if any | 549300F580MX332YTG45
|
| v. State, if applicable |
PENNSYLVANIA
|
| 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
|
| 1. If the sub-adviser was hired during the period, indicate the sub-adviser's start date: | 2018-12-19
|
| Sub Advisors Record: 4 | |
| i. Full name | ARROWPOINT ASSET MANAGEMENT, LLC
|
| ii. SEC file number ( e.g., 801- ), if applicable | 801-69868
|
| iii. CRD number | 000149120
|
| iv. LEI, if any | IF16UMXNLJ3CKISVCS83
|
| 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: 5 | |
| i. Full name | LMCG Investments, Inc.
|
| ii. SEC file number ( e.g., 801- ), if applicable | 801-70357
|
| iii. CRD number | 000149936
|
| iv. LEI, if any | 54930043E7LYHQYMV608
|
| 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
|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| i. Full name | |
| ii. SEC file number ( e.g., 801- ) | |
| iii. CRD number | |
| iv. LEI, if any | |
| v. State, if applicable | |
| vi. Foreign country, if applicable | |
| vii. Termination date |
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record: 1 | |
| i. Full name | SEI Institutional Transfer Agent, Inc.
|
| ii.SEC file number ( e.g., 84- or 85- ) | 084-27897
|
| iii. LEI, if any | N/A
|
| iv. State, if applicable |
PENNSYLVANIA
|
| v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vii. Is the transfer agent a sub-transfer agent? |
Yes
No
|
| b. Has a transfer agent been hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record: 1 | |
| i. Full name | Pricing Direct
|
| ii. LEI, if any, or provide and describe other identifying number | 549300WIC0TOJ7N7GD54
|
| Description of other identifying number | |
| iii. State, if applicable |
DELAWARE
|
| 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 | IHS Markit
|
| ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726
|
| Description of other identifying number | |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
| v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| Pricing Services Record: 3 | |
| i. Full name | S&P
|
| ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881
|
| Description of other identifying number | |
| iii. State, if applicable |
DELAWARE
|
| 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: 4 | |
| i. Full name | Bloomberg
|
| ii. LEI, if any, or provide and describe other identifying number | 254900BF4G8VMW8GG471
|
| 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: 5 | |
| i. Full name | Thomson Reuters Corporation
|
| ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569
|
| Description of other identifying number | |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
| v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| Pricing Services Record: 6 | |
| i. Full name | Intercontinental Exchange, Inc.
|
| ii. LEI, if any, or provide and describe other identifying number | 5493000F4ZO33MV32P92
|
| 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
|
| b. Was a pricing service hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record: 1 | |
| i. Full name | US BANK, N.A.
|
| ii. LEI, if any | N1GZ7BBF3NP8GI976H15
|
| iii. State, if applicable |
PENNSYLVANIA
|
| iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| b. Has a custodian been hired or terminated during the reporting period?* |
Yes
No
|
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder servicing agents Record: 1 | |
| i. Full name | SEI Private Trust Company
|
| ii. LEI, if any, or provide and describe other identifying number | 5LJTIFADGZ6XH1RVOC11
|
| Description of other identifying number | |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| Shareholder servicing agents Record: 2 | |
| i. Full name | SEI Investments Distribution Co.
|
| ii. LEI, if any, or provide and describe other identifying number | 008-27897
|
| Description of other identifying number | SEC File Number
|
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record: 1 | |
| i. Full name | SEI INVESTMENTS GLOBAL FUNDS SERVICES
|
| ii. LEI, if any, or other identifying number | 801-24593
|
| Description of other identifying number | SEC FILE NUMBER
|
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| b.Has a third-party administrator been hired or terminated during the reporting period? |
Yes
No
|
| Provide the following information about each affiliated broker-dealer: |
| Broker Dealers Record: 1 | |
| a. Full name | SEI Investments Distribution Co.
|
| b. SEC file number | 8-27897
|
| c. CRD number | 000010690
|
| d. LEI, if any | N/A
|
| e. State, if applicable |
PENNSYLVANIA
|
| f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 17,134.58000000
|
|
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record: 1 | |
| i. Full name of broker | MERRILL LYNCH, PIERCE, FENNER & SMITH
|
| ii. SEC file number | 008-07221
|
| 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 | 18,946.81000000
|
| Brokers Record: 2 | |
| i. Full name of broker | INSTINET
|
| 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 | 49,697.16000000
|
| Brokers Record: 3 | |
| i. Full name of broker | CITIGROUP GLOBAL MARKETS
|
| ii. SEC file number | 008-08177
|
| 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 | 38,441.56999999
|
| Brokers Record: 4 | |
| i. Full name of broker | AUTONOMOUS RESEARCH
|
| ii. SEC file number | 8-68640
|
| iii. CRD number | 000150232
|
| iv. LEI, if any | N/A
|
| v. State, if applicable | |
| vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
| vii. Gross commissions paid by the Fund for the reporting period | 16,709.20999999
|
| Brokers Record: 5 | |
| i. Full name of broker | PERSHING LLC
|
| ii. SEC file number | 008-17574
|
| iii. CRD number | 000007560
|
| iv. LEI, if any | ZI8Q1A8EI8LQFJNM0D94
|
| 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 | 18,046.79000000
|
| Brokers Record: 6 | |
| 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 | 73,699.02999999
|
| Brokers Record: 7 | |
| i. Full name of broker | UBS SECURITIES
|
| ii. SEC file number | 008-22651
|
| iii. CRD number | 000007654
|
| iv. LEI, if any | T6FIZBDPKLYJKFCRVK44
|
| 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 | 21,073.03000000
|
| Brokers Record: 8 | |
| i. Full name of broker | STIFEL NICOLAUS & CO., INC.
|
| ii. SEC file number | 008-01447
|
| iii. CRD number | 000000793
|
| iv. LEI, if any | 5WUVMA08EYG4KEUPW589
|
| v. State, if applicable |
MISSOURI
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Gross commissions paid by the Fund for the reporting period | 38,628.00000000
|
| Brokers Record: 9 | |
| i. Full name of broker | J.P. MORGAN SECURITIES
|
| ii. SEC file number | 008-35008
|
| iii. CRD number | 000000079
|
| iv. LEI, if any | ZBUT11V806EZRVTWT807
|
| v. State, if applicable |
OHIO
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Gross commissions paid by the Fund for the reporting period | 33,770.53999999
|
| Brokers Record: 10 | |
| i. Full name of broker | JEFFERIES LLC
|
| ii. SEC file number | 008-15074
|
| iii. CRD number | 000002347
|
| iv. LEI, if any | 58PU97L1C0WSRCWADL48
|
| 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 | 20,061.48000000
|
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 548,934.11000000
|
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record: 1 | |
| i. Full name of dealer | PIPER JAFFRAY
|
| ii. SEC file number | 008-15204
|
| iii. CRD number | 000000665
|
| iv. LEI, if any | 549300GRQCWQ3XGH0H10
|
| v. State, if applicable |
MINNESOTA
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 518,913.85000000
|
| Principal Transactions Record: 2 | |
| i. Full name of dealer | CITIGROUP GLOBAL MARKETS
|
| ii. SEC file number | 008-08177
|
| 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: | 6,603,643.20999999
|
| Principal Transactions Record: 3 | |
| i. Full name of dealer | PINNACLE ASSET MANAGEMENT
|
| ii. SEC file number | 8-62150
|
| iii. CRD number | 000126487
|
| iv. LEI, if any | 549300Z268MF553JWP83
|
| 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: | 97,552.00000000
|
| Principal Transactions Record: 4 | |
| i. Full name of dealer | MORGAN STANLEY & CO, INC
|
| ii. SEC file number | 008-15869
|
| iii. CRD number | 000008209
|
| iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078
|
| v. State, if applicable |
MARYLAND
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 1,039,033.95000000
|
| Principal Transactions Record: 5 | |
| i. Full name of dealer | BARCLAYS CAPITAL (DMA)
|
| 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: | 119,896.00000000
|
| Principal Transactions Record: 6 | |
| i. Full name of dealer | GOLDMAN, SACHS & CO.
|
| ii. SEC file number | 008-00129
|
| iii. CRD number | 000000361
|
| iv. LEI, if any | FOR8UP27PHTHYVLBNG30
|
| v. State, if applicable |
UTAH
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 2,152,417.00000000
|
| Principal Transactions Record: 7 | |
| i. Full name of dealer | PERSHING LLC
|
| ii. SEC file number | 008-17574
|
| iii. CRD number | 000007560
|
| iv. LEI, if any | ZI8Q1A8EI8LQFJNM0D94
|
| v. State, if applicable |
NEW JERSEY
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 97,936.00000000
|
| Principal Transactions Record: 8 | |
| i. Full name of dealer | INSTINET CLEARING SERVICES, 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. Total value of purchases and sales (excluding maturing securities) with Fund: | 1,725,004.39000000
|
| Principal Transactions Record: 9 | |
| i. Full name of dealer | JEFFERIES LLC
|
| ii. SEC file number | 008-15074
|
| iii. CRD number | 000002347
|
| iv. LEI, if any | 58PU97L1C0WSRCWADL48
|
| 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: | 978,186.50000000
|
| Principal Transactions Record: 10 | |
| i. Full name of dealer | J.P. MORGAN SECURITIES
|
| ii. SEC file number | 008-35008
|
| iii. CRD number | 000000079
|
| iv. LEI, if any | ZBUT11V806EZRVTWT807
|
| v. State, if applicable |
OHIO
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Total value of purchases and sales (excluding maturing securities) with Fund: | 10,037,753.68000000
|
| b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period: | 833,099,415.26000023
|
| During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? |
Yes
No
|
| a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period | 403,069,921.83999997
|
| b. Provide the money market fund's daily average net assets during the reporting period | 0.00000000
|
| a. Does the Fund have available a line of credit? |
Yes
No
|
| b. Did the Fund engage in interfund lending? |
Yes
No
|
| c.Did the Fund engage in interfund borrowing? |
Yes
No
|
| For open-end management investment companies, respond to the following: |
| a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? |
Yes
No
|
| Management Investment Record: 6 |
| a. Full Name of the Fund | SIIT DYNAMIC ASSET ALLOCATION FUND
|
| b. Series identication number, if any | S000027147
|
| c. LEI | 5EYZPF5M7ZWEHP76FT71
|
| d. Is this the first filing on this form by the Fund? |
Yes
No
|
| a. How many Classes of shares of the Fund (if any) are authorized? | 1
|
| 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 | Class A
|
| ii. Class identification number, if any | C000081914
|
| iii. Ticker symbol, if any | SDLAX
|
| Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| Indicate if the Fund is any one of the types listed below. Check all that apply. |
|
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
i.
Exchange-Traded Fund
ii.
Exchange-Traded Managed Fund
b.
Index Fund
c.
Seeks to achieve performance results that are a multiple
of a
benchmark, the inverse of a benchmark, or a multiple of the
inverse
of a benchmark
d.
Interval Fund
e.
Fund of Funds
f.
Master-Feeder Fund
g.
Money Market Fund
h.
Target Date Fund
i.
Underlying fund to a variable annuity or variable life
insurance contract
N/A
|
| Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? |
Yes
No
|
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? |
Yes
No
|
| b. If yes, provide the following information: | |
| Foreign Investments Record: 1 | |
| Full name of subsidiary | DAA COMMODITY STRATEGY SUBSIDIARY LTD.
|
| LEI of subsidiary, if any | 54930015GV6OT8OMSW27
|
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? |
Yes
No
|
| b. Did the Fund lend any of its securities during the reporting period? |
Yes
No
|
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| i. Full name of securities lending agent | |
| ii. LEI, if any | |
| iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
Yes
No
|
| iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
Yes
No
|
| v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
| 1. Name of person providing indemnification | |
| 2. LEI, if any, of person providing indemnification |
| vi. Did the Fund exercise its indemnification rights during the reporting period? |
Yes
No
|
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| i. Full name of cash collateral manager: | |
| ii. LEI, if any: | |
| iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? |
Yes
No
|
| iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
Yes
No
|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): |
i. Revenue sharing split
ii. Non-revenue sharing split (other than administrative
fee)
iii. Administrative fee
iv. Cash collateral reinvestment fee
v. Indemnification fee
vi. Other
N/A
|
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A
|
| g. Provide the net income from securities lending activities |
| Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) |
a. Rule 10f-3 (17 CFR 270.10f-3)
b. Rule 12d1-1 (17 CFR 270.12d1-1)
c. Rule 15a-4 (17 CFR 270.15a-4)
d. Rule 17a-6 (17 CFR 270.17a-6)
e. Rule 17a-7 (17 CFR 270.17a-7)
f. Rule 17a-8 (17 CFR 270.17a-8)
g. Rule 17e-1 (17 CFR 270.17e-1)
h. Rule 22d-1 (17 CFR 270.22d-1)
i. Rule 23c-1 (17 CFR 270.23c-1)
j. Rule 32a-4 (17 CFR 270.32a-4)
N/A
|
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? |
Yes
No
|
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? |
Yes
No
|
| c. Are the fees waived subject to recoupment? |
Yes
No
|
| d. Were any expenses previously waived recouped during the period? |
Yes
No
|
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record: 1 | |
| i. Full name | SEI Investments Management Corporation
|
| ii. SEC file number ( e.g., 801- ) | 811-24593
|
| iii.CRD number | 000105146
|
| iv. LEI, if any | Q33VOZOFSDXYC0TV0J12
|
| v. State, if applicable |
PENNSYLVANIA
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Was the investment adviser hired during the reporting period? |
Yes
No
|
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| i. Full name | |
| ii. SEC file number ( e.g., 801- ) | |
| iii. CRD number | |
| iv. LEI, if any | |
| v. State, if applicable | |
| vi. Foreign country, if applicable | |
| vii. Termination date |
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub Advisors Record: 1 | |
| i. Full name | SSGA FUNDS MANAGEMENT, INC.
|
| ii. SEC file number ( e.g., 801- ), if applicable | 801-60103
|
| iii. CRD number | 000111242
|
| iv. LEI, if any | FT3UGI3NU6B7EELQF380
|
| 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
|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| i. Full name | |
| ii. SEC file number ( e.g., 801- ) | |
| iii. CRD number | |
| iv. LEI, if any | |
| v. State, if applicable | |
| vi. Foreign country, if applicable | |
| vii. Termination date |
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record: 1 | |
| i. Full name | SEI Institutional Transfer Agent, Inc.
|
| ii.SEC file number ( e.g., 84- or 85- ) | 084-27897
|
| iii. LEI, if any | N/A
|
| iv. State, if applicable |
PENNSYLVANIA
|
| v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vii. Is the transfer agent a sub-transfer agent? |
Yes
No
|
| b. Has a transfer agent been hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record: 1 | |
| i. Full name | Bloomberg
|
| ii. LEI, if any, or provide and describe other identifying number | 254900BF4G8VMW8GG471
|
| 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 | Pricing Direct
|
| ii. LEI, if any, or provide and describe other identifying number | 549300WIC0TOJ7N7GD54
|
| Description of other identifying number | |
| iii. State, if applicable |
DELAWARE
|
| 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: 3 | |
| i. Full name | IHS Markit
|
| ii. LEI, if any, or provide and describe other identifying number | 549300HLPTRASHS0E726
|
| Description of other identifying number | |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
| v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| Pricing Services Record: 4 | |
| i. Full name | Thomson Reuters Corporation
|
| ii. LEI, if any, or provide and describe other identifying number | 549300561UZND4C7B569
|
| Description of other identifying number | |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
| v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| Pricing Services Record: 5 | |
| i. Full name | S&P
|
| ii. LEI, if any, or provide and describe other identifying number | 549300U4VWNITEKO2881
|
| Description of other identifying number | |
| iii. State, if applicable |
DELAWARE
|
| 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: 6 | |
| i. Full name | Intercontinental Exchange, Inc.
|
| ii. LEI, if any, or provide and describe other identifying number | 5493000F4ZO33MV32P92
|
| 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
|
| b. Was a pricing service hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record: 1 | |
| i. Full name | STANDARD CHARTERED BANK TANZANIA LIMITED AND
STANDARD CHARTERED BANK (MAURITIUS) LIMITED FOR
STANDARD CHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
TANZANIA, UNITED REPUBLIC OF
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 2 | |
| i. Full name | THE HONGKONG AND SHANGHAI BANKING CORPORATION
LIMITED - KOREA BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
KOREA (THE REPUBLIC OF)
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 3 | |
| i. Full name | BNP PARIBAS SECURITIES SERVICES
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
PORTUGAL
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 4 | |
| i. Full name | UNICREDIT BANKA SLOVENIJA DD FOR UNICREDIT BANKA
SLOVENIJA DD & UNICREDIT S.P.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SLOVENIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 5 | |
| i. Full name | HSBC BANK OMAN SAOG FOR THE HONGKONG AND SHANGHAI
BANKING CORPORATION LIMITED (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
OMAN
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 6 | |
| i. Full name | HSBC BANK MIDDLE EAST LIMITED, BAHRAIN BRANCH FOR THE
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED
(HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
BAHRAIN
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 7 | |
| i. Full name | SWEDBANK AS FOR NORDEA BANK AB (PUBL)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
LATVIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 8 | |
| i. Full name | THE HONGKONG AND SHANGHAI BANKING CORPORATION
LIMITED (HSBC) - INDIA BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
INDIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 9 | |
| i. Full name | DEUTSCHE BANK AG
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
GERMANY
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 10 | |
| i. Full name | CACEIS BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
FRANCE
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 11 | |
| i. Full name | STANDARD BANK NAMIBIA LTD. FOR STANDARD BANK OF
SOUTH AFRICA LIMITED
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
NAMIBIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 12 | |
| i. Full name | SWEDBANK AS FOR NORDEA BANK AB (PUBL)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
LITHUANIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 13 | |
| i. Full name | CITIBANK, N.A. - LONDON BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
IRELAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 14 | |
| i. Full name | STANDARD CHARTERED BANK GHANA LIMITED FOR STANDARD
CHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
GHANA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 15 | |
| i. Full name | THE HONGKONG AND SHANGHAI BANKING CORPORATION
LIMITED (HSBC) - PHILIPPINE BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
PHILIPPINES
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 16 | |
| i. Full name | THE HONGKONG AND SHANGHAI BANKING CORPORATION
LIMITED (HSBC) - THAILAND BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
THAILAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 17 | |
| i. Full name | HSBC BANK (CHINA) COMPANY LIMITED FOR THE HONGKONG
AND SHANGHAI BANKING CORPORATION LIMITED (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CHINA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 18 | |
| i. Full name | CITIBANK, N.A. - JAKARTA BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
INDONESIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 19 | |
| i. Full name | CITIBANK MAGHREB FOR CITIBANK, N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
MOROCCO
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 20 | |
| i. Full name | LANDSBANKINN HF.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
ICELAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 21 | |
| i. Full name | THE HONGKONG AND SHANGHAI BANKING CORPORATION
LIMITED (HSBC) - SRI LANKA BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SRI LANKA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 22 | |
| i. Full name | STANDARD CHARTERED BANK KENYA LIMITED FOR STANDARD
CHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
KENYA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 23 | |
| i. Full name | HSBC BANK BERMUDA LIMITED FOR THE HONGKONG AND
SHANGHAI BANKING CORPORATION LIMITED (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
BERMUDA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 24 | |
| i. Full name | UNION INTERATIONALE DE BANQUES (UIB)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
TUNISIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 25 | |
| i. Full name | CITIBANK EUROPE PLC, DUBLIN - SUCURSALA ROMANIA FOR
CITIBANK, N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
ROMANIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 26 | |
| i. Full name | BANCO ITAU URUGUAY S.A. FOR BANCO ITAU URUGUAY S.A.AND ITAU UNIBANCO S.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
URUGUAY
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 27 | |
| i. Full name | ZAGREBACKA BANKA D.D. FOR UNICREDIT BANK AUSTRIA AG
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CROATIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 28 | |
| i. Full name | NORDEA BANK AB (PUBL), FILIAL I NORGE
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
NORWAY
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 29 | |
| i. Full name | UNICREDIT BANK HUNGARY ZRT FOR UNICREDIT BANK
HUNGARY ZRT AND UNICREDIT S.P.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
HUNGARY
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 30 | |
| i. Full name | STANDARD CHARTERED BANK BOTSWANA LIMITED FOR
STANDARD CHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
BOTSWANA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 31 | |
| i. Full name | CITIBANK EUROPE PLC, POBOCKA ZAHRANICNEJ BANKY FORCITIBANK, N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SLOVAKIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 32 | |
| i. Full name | CITIBANK DEL PERU S.A. FOR CITIBANK, N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
PERU
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 33 | |
| i. Full name | NORDEA DANMARK, FILIAL AF NORDEA BANK AB (PUBL),
SVERIGE
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
DENMARK
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 34 | |
| i. Full name | STANBIC IBTC BANK PLC FOR STANDARD BANK OF SOUTH
AFRICA LIMITED
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
NIGERIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 35 | |
| i. Full name | STANDARD CHARTERED BANK (PAKISTAN) LIMITED FOR
STANDARD CHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
PAKISTAN
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 36 | |
| i. Full name | HSBC FRANCE, ATHENS BRANCH FOR THE HONGKONG AND
SHANGHAI BANKING CORPORATION LIMITED (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
GREECE
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 37 | |
| i. Full name | CITIBANK, N.A. BUENOS AIRES BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
ARGENTINA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 38 | |
| i. Full name | BROWN BROTHERS HARRIMAN & CO.
|
| ii. LEI, if any | 5493006KMX1VFTPYPW14
|
| iii. State, if applicable |
MASSACHUSETTS
|
| iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 39 | |
| i. Full name | HSBC BANK MALAYSIA BERHAD (HBMB) FOR THE HONGKONG
AND SHANGHAI BANKING CORPORATION LTD. (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
MALAYSIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 40 | |
| i. Full name | KBL EUROPEAN PRIVATE BANKERS S.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
LUXEMBOURG
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 41 | |
| i. Full name | BANCO SANTANDER (MEXICO) S.A. FOR BANCO SANTANDER,
S.A. AND BANCO SANTANDER (MEXICO) S.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
MEXICO
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 42 | |
| i. Full name | UBS SWITZERLAND AG
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SWITZERLAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 43 | |
| i. Full name | HSBC BANK MIDDLE EAST LIMITED FOR THE HONGKONG AND
SHANGHAI BANKING CORPORATION LIMITED (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 44 | |
| i. Full name | HSBC BANK PLC
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 45 | |
| i. Full name | PUBLIC JOINT STOCK COMPANY "CITIBANK" (PJSC "CITIBANK")
FOR CITIBANK, N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
UKRAINE
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 46 | |
| i. Full name | BNP PARIBAS SECURITIES SERVICES
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
BELGIUM
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 47 | |
| i. Full name | SWEDBANK AS FOR NORDEA BANK AB (PUBL)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
ESTONIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 48 | |
| i. Full name | RBC INVESTOR SERVICES TRUST FOR ROYAL BANK OF CANADA
(RBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 49 | |
| i. Full name | HSBC BANK MIDDLE EAST LIMITED - KUWAIT BRANCH FOR THE
HONGKONG AND SHANGHAI BANKING CORPORATION LTD.
(HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
KUWAIT
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 50 | |
| i. Full name | HSBC BANK AUSTRALIA LIMITED FOR THE HONGKONG AND
SHANGHAI BANKING CORPORATION LIMITED (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
AUSTRALIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 51 | |
| i. Full name | BANK HANDLOWY W WARSZAWIE SA (BHW) FOR CITIBANK NA
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
POLAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 52 | |
| i. Full name | BANCO DE CHILE FOR CITIBANK, N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CHILE
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 53 | |
| i. Full name | DEUTSCHE BANK AG
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
AUSTRIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 54 | |
| i. Full name | STANDARD CHARTERED BANK COTE D IVOIRE FOR STANDARD CHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
COTE D'IVOIRE
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 55 | |
| i. Full name | BNP PARIBAS SECURITIES SERVICES - MILAN BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
ITALY
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 56 | |
| i. Full name | STANDARD BANK SWAZILAND LTD. FOR STANDARD BANK OF
SOUTH AFRICA LIMITED
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SWAZILAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 57 | |
| i. Full name | SKANDINAVISKA ENSKILDA BANKEN AB (PUBL)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SWEDEN
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 58 | |
| i. Full name | THE HONGKONG AND SHANGHAI BANKING CORPORATION
LIMITED (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
HONG KONG
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 59 | |
| i. Full name | BANK OF TAIWAN
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
TAIWAN (PROVINCE OF CHINA)
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 60 | |
| i. Full name | STANDARD CHARTERED BANK ZAMBIA PLC FOR STANDARD
CHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
ZAMBIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 61 | |
| i. Full name | CITIBANK EUROPE PLC, BULGARIA BRANCH FOR CITIBANK, N.A
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
BULGARIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 62 | |
| i. Full name | CITIBANK, N.A. - SAO PAULO
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
BRAZIL
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 63 | |
| i. Full name | CITIBANK EUROPE PLC, ORGANIZACNI SLOZKA FOR CITIBANK,N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CZECHIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 64 | |
| i. Full name | HSBC BANK MIDDLE EAST LTD - QATAR BRANCH FOR THE
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED
(HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
QATAR
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 65 | |
| i. Full name | THE HONGKONG AND SHANGHAI BANKING CORPORATON
LIMITED (HSBC) - NEW ZEALAND BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
NEW ZEALAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 66 | |
| i. Full name | NORDEA BANK AB (PUBL), FINNISH BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
FINLAND
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 67 | |
| i. Full name | AO CITIBANK FOR CITIBANK, N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
RUSSIAN FEDERATION
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 68 | |
| i. Full name | STANDARD CHARTERED BANK (CHINA) LIMITED FOR STANDARD
CHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CHINA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 69 | |
| i. Full name | CITITRUST COLOMBIA S.A., SOCIEDAD FIDUCIARIA FOR
CITIBANK, N.A.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
COLOMBIA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 70 | |
| i. Full name | THE HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (HSBC) - MAURITIUS BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
MAURITIUS
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 71 | |
| i. Full name | CITIBANK, N.A. - CAIRO BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
EGYPT
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 72 | |
| i. Full name | STANDARD CHARTERED BANK - SINGAPORE BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SINGAPORE
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 73 | |
| i. Full name | STANDARD CHARTERED BANK, JOHANNESBURG BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SOUTH AFRICA
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 74 | |
| i. Full name | STANDARD CHARTERED BANK ZIMBABWE LIMITED FOR
STANDARD CHARTERED BANK
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
ZIMBABWE
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 75 | |
| i. Full name | BANK HAPOALIM BM
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
ISRAEL
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 76 | |
| i. Full name | BNP PARIBAS SECURITIES SERVICES
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CYPRUS
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 77 | |
| i. Full name | STANDARD CHARTERED BANK, BANGLADESH BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
BANGLADESH
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 78 | |
| i. Full name | THE BANK OF TOKYO-MITSUBISHI UFJ LTD.
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
JAPAN
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 79 | |
| i. Full name | HSBC BANK (VIETNAM) LTD. FOR THE HONGKONG AND
SHANGHAI BANKING CORPORATION LIMITED (HSBC)
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
VIET NAM
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 80 | |
| i. Full name | DEUTSCHE BANK A.S. FOR DEUTSCHE BANK A.S. AND DEUTSCHE
BANK AG
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
TURKEY
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 81 | |
| i. Full name | DEUTSCHE BANK AG, AMSTERDAM BRANCH
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
NETHERLANDS
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| Custodians Record: 82 | |
| i. Full name | BANCO BILBAO VIZCAYA ARGENTARIA SA
|
| ii. LEI, if any | N/A
|
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SPAIN
|
| v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vi. Is the custodian a sub-custodian? |
Yes
No
|
| vii. With respect to the custodian, check below to indicate the type of custody: |
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
| b. Has a custodian been hired or terminated during the reporting period?* |
Yes
No
|
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder servicing agents Record: 1 | |
| i. Full name | SEI Investments Distribution Co.
|
| ii. LEI, if any, or provide and describe other identifying number | 008-27897
|
| Description of other identifying number | SEC File Number
|
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| Shareholder servicing agents Record: 2 | |
| i. Full name | SEI Private Trust Company
|
| ii. LEI, if any, or provide and describe other identifying number | 5LJTIFADGZ6XH1RVOC11
|
| Description of other identifying number | |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| b. Has a shareholder servicing agent been hired or terminated during the reporting period? |
Yes
No
|
| a. Provide the following information about each administrator of the Fund: |
| Administrators Record: 1 | |
| i. Full name | SEI INVESTMENTS GLOBAL FUNDS SERVICES
|
| ii. LEI, if any, or other identifying number | 801-24593
|
| Description of other identifying number | SEC FILE NUMBER
|
| iii. State, if applicable |
PENNSYLVANIA
|
| 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
|
| b.Has a third-party administrator been hired or terminated during the reporting period? |
Yes
No
|
| Provide the following information about each affiliated broker-dealer: |
| Broker Dealers Record: 1 | |
| a. Full name | SEI Investments Distribution Co.
|
| b. SEC file number | 8-27897
|
| c. CRD number | 000010690
|
| d. LEI, if any | N/A
|
| e. State, if applicable |
PENNSYLVANIA
|
| f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| g. Total commissions paid to the affiliated broker-dealer for the reporting period: | 0.00000000
|
|
Instructions to Item C.16 and Item C.17. To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used: 1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16. 2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17. 3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer. 4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers. 5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17. 6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included. 7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers. |
| a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below: |
| Brokers Record: 1 | |
| i. Full name of broker | JP MORGAN
|
| ii. SEC file number | 008-35008
|
| iii. CRD number | 000000079
|
| iv. LEI, if any | ZBUT11V806EZRVTWT807
|
| v. State, if applicable |
OHIO
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Gross commissions paid by the Fund for the reporting period | 24,327.36000000
|
| Brokers Record: 2 | |
| i. Full name of broker | CREDIT SUISSE FIRST BOSTON LLC.
|
| ii. SEC file number | 008-00422
|
| iii. CRD number | 000000816
|
| iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46
|
| 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 | 6,967.97999999
|
| Brokers Record: 3 | |
| i. Full name of broker | BARCLAYS CAPITAL INC.
|
| 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. Gross commissions paid by the Fund for the reporting period | 4,032.74999999
|
| Brokers Record: 4 | |
| i. Full name of broker | GOLDMAN, SACHS & CO.
|
| ii. SEC file number | 008-00129
|
| iii. CRD number | 000000361
|
| iv. LEI, if any | FOR8UP27PHTHYVLBNG30
|
| v. State, if applicable |
UTAH
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Gross commissions paid by the Fund for the reporting period | 9,751.18999999
|
| Brokers Record: 5 | |
| i. Full name of broker | CITIGROUP GLOBAL MARKETS
|
| ii. SEC file number | 008-08177
|
| 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 | 16,965.23000000
|
| Brokers Record: 6 | |
| i. Full name of broker | INVESTMENT TECHNOLOGY GROUP, INC.
|
| 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 | 3,070.88000000
|
| Brokers Record: 7 | |
| i. Full name of broker | BEAR STEARNS & CO INC.
|
| ii. SEC file number | 008-35008
|
| iii. CRD number | 000000079
|
| iv. LEI, if any | ZBUT11V806EZRVTWT807
|
| v. State, if applicable |
OHIO
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Gross commissions paid by the Fund for the reporting period | 1,705.64999999
|
| Brokers Record: 8 | |
| i. Full name of broker | MORGAN STANLEY & CO, INC
|
| ii. SEC file number | 008-15869
|
| iii. CRD number | 000008209
|
| iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078
|
| v. State, if applicable |
MARYLAND
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Gross commissions paid by the Fund for the reporting period | 32,966.73000000
|
| Brokers Record: 9 | |
| i. Full name of broker | UBS SECURITIES LLC
|
| ii. SEC file number | 008-22651
|
| iii. CRD number | 000007654
|
| iv. LEI, if any | T6FIZBDPKLYJKFCRVK44
|
| 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 | 1,327.11000000
|
| Brokers Record: 10 | |
| i. Full name of broker | MERRILL LYNCH, PIERCE, FENNER & SMITH
|
| ii. SEC file number | 008-07221
|
| 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 | 68,433.10000000
|
| b. Aggregate brokerage commissions paid by Fund during the reporting period: | 174,727.89000000
|
| a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below: |
| Principal Transactions Record: 1 |