Principal Transactions Record:
1 |
i. Full name of dealer |
BNP PARIBAS SECURITIES CORP.
|
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:
|
8,582,471.73000000
|
Principal Transactions Record:
2 |
i. Full name of dealer |
GOLDMAN SACHS & CO. LLC
|
ii. SEC file number |
008-00129
|
iii. CRD number |
000000361
|
iv. LEI, if any |
FOR8UP27PHTHYVLBNG30
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
8,543,317.56000000
|
Principal Transactions Record:
3 |
i. Full name of dealer |
MUFG SECURITIES AMERICAS INC.
|
ii. SEC file number |
008-43026
|
iii. CRD number |
000019685
|
iv. LEI, if any |
K5HU16E3LMSVCCJJJ255
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
9,152,719.49000000
|
Principal Transactions Record:
4 |
i. Full name of dealer |
WELLS FARGO SECURITIES, LLC
|
ii. SEC file number |
008-65876
|
iii. CRD number |
000126292
|
iv. LEI, if any |
VYVVCKR63DVZZN70PB21
|
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
10,663,744.50000000
|
Principal Transactions Record:
5 |
i. Full name of dealer |
J.P. Morgan Securities LLC
|
ii. SEC file number |
008-35008
|
iii. CRD number |
000000079
|
iv. LEI, if any |
ZBUT11V806EZRVTWT807
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
21,410,574.99000000
|
Principal Transactions Record:
6 |
i. Full name of dealer |
U.S. BANCORP INVESTMENTS, INC.
|
ii. SEC file number |
008-35359
|
iii. CRD number |
000017868
|
iv. LEI, if any |
H85Z6XZP8B10ES0M2G89
|
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:
|
170,579,873.14000000
|
Principal Transactions Record:
7 |
i. Full name of dealer |
BOFA SECURITIES, INC.
|
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:
|
11,944,001.60000000
|
Principal Transactions Record:
8 |
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:
|
7,118,718.01000000
|
Principal Transactions Record:
9 |
i. Full name of dealer |
CitiGroup Global Markets 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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
9,765,577.85000000
|
Principal Transactions Record:
10 |
i. Full name of dealer |
MARKETAXESS CORPORATION
|
ii. SEC file number |
008-50727
|
iii. CRD number |
000044542
|
iv. LEI, if any |
GPSMMRI21JE7ZCVYF972
|
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:
|
8,780,088.54000000
|
Principal Transactions Record:
1 |
i. Full name of dealer |
MILLENNIUM GLOBAL INVESTMENTS LIMITED
|
ii. SEC file number |
N/A
|
iii. CRD number |
000138880
|
iv. LEI, if any |
549300919UMG84ROIT89
|
v. State, if applicable |
|
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
1,182,368.85000000
|
Principal Transactions Record:
2 |
i. Full name of dealer |
U.S. BANCORP INVESTMENTS, INC.
|
ii. SEC file number |
008-35359
|
iii. CRD number |
000017868
|
iv. LEI, if any |
H85Z6XZP8B10ES0M2G89
|
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:
|
55,300,037.52000000
|
Principal Transactions Record:
3 |
i. Full name of dealer |
HSBC SECURITIES (USA), INC.
|
ii. SEC file number |
008-41562
|
iii. CRD number |
000019585
|
iv. LEI, if any |
CYYGQCGNHMHPSMRL3R97
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
3,315,742.29000000
|
Principal Transactions Record:
4 |
i. Full name of dealer |
J.P. Morgan Securities LLC
|
ii. SEC file number |
008-35008
|
iii. CRD number |
000000079
|
iv. LEI, if any |
ZBUT11V806EZRVTWT807
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
2,388,814.18000000
|
Principal Transactions Record:
5 |
i. Full name of dealer |
CitiGroup Global Markets 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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
13,597,259.69000000
|
Principal Transactions Record:
6 |
i. Full name of dealer |
WELLS FARGO SECURITIES, LLC
|
ii. SEC file number |
008-65876
|
iii. CRD number |
000126292
|
iv. LEI, if any |
VYVVCKR63DVZZN70PB21
|
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
1,371,816.09000000
|
Principal Transactions Record:
7 |
i. Full name of dealer |
RBC CAPITAL MARKETS LLC
|
ii. SEC file number |
008-45411
|
iii. CRD number |
000031194
|
iv. LEI, if any |
549300LCO2FLSSVFFR64
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
2,442,031.31000000
|
Principal Transactions Record:
8 |
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:
|
4,732,838.04000000
|
Principal Transactions Record:
9 |
i. Full name of dealer |
GOLDMAN SACHS & CO. LLC
|
ii. SEC file number |
008-00129
|
iii. CRD number |
000000361
|
iv. LEI, if any |
FOR8UP27PHTHYVLBNG30
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
2,204,314.74000000
|
Principal Transactions Record:
10 |
i. Full name of dealer |
INTL FCSTONE FINANCIAL INC.
|
ii. SEC file number |
008-51269
|
iii. CRD number |
000045993
|
iv. LEI, if any |
549300LNKU6K5TJCRG93
|
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
1,696,164.23000000
|
Principal Transactions Record:
1 |
i. Full name of dealer |
J.P. Morgan Securities LLC
|
ii. SEC file number |
008-35008
|
iii. CRD number |
000000079
|
iv. LEI, if any |
ZBUT11V806EZRVTWT807
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
3,407,992.00000000
|
Principal Transactions Record:
2 |
i. Full name of dealer |
HILLTOP SECURITIES INC.
|
ii. SEC file number |
008-45123
|
iii. CRD number |
000006220
|
iv. LEI, if any |
549300IXU82PMU6XZT45
|
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
6,888,409.75000000
|
Principal Transactions Record:
3 |
i. Full name of dealer |
SAMUEL A. RAMIREZ & COMPANY, INC.
|
ii. SEC file number |
008-19014
|
iii. CRD number |
000006963
|
iv. LEI, if any |
254900CBKVW7O2ENQA21
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
2,038,969.20000000
|
Principal Transactions Record:
4 |
i. Full name of dealer |
CitiGroup Global Markets 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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
1,886,142.30000000
|
Principal Transactions Record:
5 |
i. Full name of dealer |
Mesirow Financial Inc.
|
ii. SEC file number |
008-28816
|
iii. CRD number |
000002764
|
iv. LEI, if any |
549300BIV46SUHPOFE54
|
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:
|
3,804,136.80000000
|
Principal Transactions Record:
6 |
i. Full name of dealer |
U.S. BANCORP INVESTMENTS, INC.
|
ii. SEC file number |
008-35359
|
iii. CRD number |
000017868
|
iv. LEI, if any |
H85Z6XZP8B10ES0M2G89
|
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:
|
55,745,235.91000000
|
Principal Transactions Record:
7 |
i. Full name of dealer |
MORGAN STANLEY & CO. LLC
|
ii. SEC file number |
008-15869
|
iii. CRD number |
000008209
|
iv. LEI, if any |
9R7GPTSO7KV3UQJZQ078
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
2,709,359.15000000
|
Principal Transactions Record:
8 |
i. Full name of dealer |
JANNEY MONTGOMERY SCOTT LLC
|
ii. SEC file number |
008-00462
|
iii. CRD number |
000000463
|
iv. LEI, if any |
549300QQRY1JCFQHYS08
|
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
3,335,469.05000000
|
Principal Transactions Record:
9 |
i. Full name of dealer |
CABRERA CAPITAL MARKETS, LLC
|
ii. SEC file number |
008-26406
|
iii. CRD number |
000010081
|
iv. LEI, if any |
254900BIRJU76JRBK985
|
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:
|
1,991,754.00000000
|
Principal Transactions Record:
10 |
i. Full name of dealer |
UBS SECURITIES LLC
|
ii. SEC file number |
008-22651
|
iii. CRD number |
000007654
|
iv. LEI, if any |
T6FIZBDPKLYJKFCRVK44
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
2,604,961.25000000
|
Principal Transactions Record:
1 |
i. Full name of dealer |
U.S. BANCORP INVESTMENTS, INC.
|
ii. SEC file number |
008-35359
|
iii. CRD number |
000017868
|
iv. LEI, if any |
H85Z6XZP8B10ES0M2G89
|
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:
|
9,075,548.91000000
|
Principal Transactions Record:
2 |
i. Full name of dealer |
Jane Street Execution Services, LLC
|
ii. SEC file number |
008-69254
|
iii. CRD number |
000167280
|
iv. LEI, if any |
549300HXJLXCPDWAH070
|
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:
|
1,155,252.25000000
|
Principal Transactions Record:
3 |
i. Full name of dealer |
CitiGroup Global Markets 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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
1,437,770.05000000
|
Principal Transactions Record:
4 |
i. Full name of dealer |
MORGAN STANLEY & CO. LLC
|
ii. SEC file number |
008-15869
|
iii. CRD number |
000008209
|
iv. LEI, if any |
9R7GPTSO7KV3UQJZQ078
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
1,521,219.06000000
|
Principal Transactions Record:
5 |
i. Full name of dealer |
WELLS FARGO SECURITIES, LLC
|
ii. SEC file number |
008-65876
|
iii. CRD number |
000126292
|
iv. LEI, if any |
VYVVCKR63DVZZN70PB21
|
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
982,631.78000000
|
Principal Transactions Record:
6 |
i. Full name of dealer |
HSBC SECURITIES (USA), INC.
|
ii. SEC file number |
008-41562
|
iii. CRD number |
000019585
|
iv. LEI, if any |
CYYGQCGNHMHPSMRL3R97
|
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:
|
896,902.19000000
|
Principal Transactions Record:
7 |
i. Full name of dealer |
GOLDMAN SACHS & CO. LLC
|
ii. SEC file number |
008-00129
|
iii. CRD number |
000000361
|
iv. LEI, if any |
FOR8UP27PHTHYVLBNG30
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
2,183,480.59000000
|
Principal Transactions Record:
8 |
i. Full name of dealer |
J.P. Morgan Securities LLC
|
ii. SEC file number |
008-35008
|
iii. CRD number |
000000079
|
iv. LEI, if any |
ZBUT11V806EZRVTWT807
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
1,491,433.26000000
|
Principal Transactions Record:
9 |
i. Full name of dealer |
SUSQUEHANNA FINANCIAL GROUP LLLP
|
ii. SEC file number |
008-44325
|
iii. CRD number |
000035865
|
iv. LEI, if any |
549300E8QX0ZMRDC2M81
|
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
1,297,633.49000000
|
Principal Transactions Record:
10 |
i. Full name of dealer |
MARKETAXESS CORPORATION
|
ii. SEC file number |
008-50727
|
iii. CRD number |
000044542
|
iv. LEI, if any |
GPSMMRI21JE7ZCVYF972
|
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:
|
1,275,927.07000000
|
Principal Transactions Record:
1 |
i. Full name of dealer |
RBC CAPITAL MARKETS LLC
|
ii. SEC file number |
008-45411
|
iii. CRD number |
000031194
|
iv. LEI, if any |
549300LCO2FLSSVFFR64
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
2,820,809.81000000
|
Principal Transactions Record:
2 |
i. Full name of dealer |
MUFG SECURITIES AMERICAS INC.
|
ii. SEC file number |
008-43026
|
iii. CRD number |
000019685
|
iv. LEI, if any |
K5HU16E3LMSVCCJJJ255
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
4,953,502.67000000
|
Principal Transactions Record:
3 |
i. Full name of dealer |
INTL FCSTONE FINANCIAL INC.
|
ii. SEC file number |
008-51269
|
iii. CRD number |
000045993
|
iv. LEI, if any |
549300LNKU6K5TJCRG93
|
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
7,032,996.45000000
|
Principal Transactions Record:
4 |
i. Full name of dealer |
SCOTIA CAPITAL (USA), INC.
|
ii. SEC file number |
008-03716
|
iii. CRD number |
000002739
|
iv. LEI, if any |
549300BLWPABP1VNME36
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
5,298,710.75000000
|
Principal Transactions Record:
5 |
i. Full name of dealer |
NATALLIANCE SECURITIES, LLC
|
ii. SEC file number |
008-48723
|
iii. CRD number |
000039455
|
iv. LEI, if any |
549300Q8AVM3P2CCKI12
|
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
2,800,900.62000000
|
Principal Transactions Record:
6 |
i. Full name of dealer |
U.S. BANCORP INVESTMENTS, INC.
|
ii. SEC file number |
008-35359
|
iii. CRD number |
000017868
|
iv. LEI, if any |
H85Z6XZP8B10ES0M2G89
|
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:
|
91,630,744.82000000
|
Principal Transactions Record:
7 |
i. Full name of dealer |
WELLS FARGO SECURITIES, LLC
|
ii. SEC file number |
008-65876
|
iii. CRD number |
000126292
|
iv. LEI, if any |
VYVVCKR63DVZZN70PB21
|
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
51,045,036.93000000
|
Principal Transactions Record:
8 |
i. Full name of dealer |
HSBC SECURITIES (USA), INC.
|
ii. SEC file number |
008-41562
|
iii. CRD number |
000019585
|
iv. LEI, if any |
CYYGQCGNHMHPSMRL3R97
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
4,116,507.75000000
|
Principal Transactions Record:
9 |
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:
|
4,608,189.46000000
|
Principal Transactions Record:
10 |
i. Full name of dealer |
J.P. Morgan Securities LLC
|
ii. SEC file number |
008-35008
|
iii. CRD number |
000000079
|
iv. LEI, if any |
ZBUT11V806EZRVTWT807
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
5,047,039.42000000
|
Principal Transactions Record:
1 |
i. Full name of dealer |
PNC Capital Markets LLC
|
ii. SEC file number |
008-32493
|
iii. CRD number |
000015647
|
iv. LEI, if any |
7OGNSSLOQJ8U3B9Y5F18
|
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
1,424,493.10000000
|
Principal Transactions Record:
2 |
i. Full name of dealer |
P.R. GILBOY & ASSOCIATES INC.
|
ii. SEC file number |
008-51527
|
iii. CRD number |
000046764
|
iv. LEI, if any |
N/A
|
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
2,212,068.75000000
|
Principal Transactions Record:
3 |
i. Full name of dealer |
CitiGroup Global Markets 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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
2,719,760.00000000
|
Principal Transactions Record:
4 |
i. Full name of dealer |
MORGAN STANLEY & CO. LLC
|
ii. SEC file number |
008-15869
|
iii. CRD number |
000008209
|
iv. LEI, if any |
9R7GPTSO7KV3UQJZQ078
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
2,057,085.00000000
|
Principal Transactions Record:
5 |
i. Full name of dealer |
U.S. BANCORP INVESTMENTS, INC.
|
ii. SEC file number |
008-35359
|
iii. CRD number |
000017868
|
iv. LEI, if any |
H85Z6XZP8B10ES0M2G89
|
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:
|
93,838,902.09000000
|
Principal Transactions Record:
6 |
i. Full name of dealer |
OPPENHEIMER & CO. INC.
|
ii. SEC file number |
008-04077
|
iii. CRD number |
000000249
|
iv. LEI, if any |
254900VH02JQR2L8XD64
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
3,525,806.80000000
|
Principal Transactions Record:
7 |
i. Full name of dealer |
INTL FCSTONE FINANCIAL INC.
|
ii. SEC file number |
008-51269
|
iii. CRD number |
000045993
|
iv. LEI, if any |
549300LNKU6K5TJCRG93
|
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
2,074,789.00000000
|
Principal Transactions Record:
8 |
i. Full name of dealer |
BOFA SECURITIES, INC.
|
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:
|
10,964,182.25000000
|
Principal Transactions Record:
9 |
i. Full name of dealer |
RAYMOND JAMES FINANCIAL, INC.
|
ii. SEC file number |
008-17983
|
iii. CRD number |
000006694
|
iv. LEI, if any |
RGUZHJ05YTITL6D76949
|
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
2,498,660.00000000
|
Principal Transactions Record:
10 |
i. Full name of dealer |
J.P. Morgan Securities LLC
|
ii. SEC file number |
008-35008
|
iii. CRD number |
000000079
|
iv. LEI, if any |
ZBUT11V806EZRVTWT807
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
5,404,389.50000000
|
Principal Transactions Record:
1 |
i. Full name of dealer |
MARKETAXESS CORPORATION
|
ii. SEC file number |
008-50727
|
iii. CRD number |
000044542
|
iv. LEI, if any |
GPSMMRI21JE7ZCVYF972
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
4,003,608.93000000
|
Principal Transactions Record:
2 |
i. Full name of dealer |
U.S. BANCORP INVESTMENTS, INC.
|
ii. SEC file number |
008-35359
|
iii. CRD number |
000017868
|
iv. LEI, if any |
H85Z6XZP8B10ES0M2G89
|
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:
|
71,056,342.42000000
|
Principal Transactions Record:
3 |
i. Full name of dealer |
MUFG SECURITIES AMERICAS INC.
|
ii. SEC file number |
008-43026
|
iii. CRD number |
000019685
|
iv. LEI, if any |
K5HU16E3LMSVCCJJJ255
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
3,293,490.58000000
|
Principal Transactions Record:
4 |
i. Full name of dealer |
GOLDMAN SACHS & CO. LLC
|
ii. SEC file number |
008-00129
|
iii. CRD number |
000000361
|
iv. LEI, if any |
FOR8UP27PHTHYVLBNG30
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
3,610,301.33000000
|
Principal Transactions Record:
5 |
i. Full name of dealer |
HSBC SECURITIES (USA), INC.
|
ii. SEC file number |
008-41562
|
iii. CRD number |
000019585
|
iv. LEI, if any |
CYYGQCGNHMHPSMRL3R97
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
4,200,000.00000000
|
Principal Transactions Record:
6 |
i. Full name of dealer |
J.P. Morgan Securities LLC
|
ii. SEC file number |
008-35008
|
iii. CRD number |
000000079
|
iv. LEI, if any |
ZBUT11V806EZRVTWT807
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
3,622,749.11000000
|
Principal Transactions Record:
7 |
i. Full name of dealer |
MORGAN STANLEY & CO. LLC
|
ii. SEC file number |
008-15869
|
iii. CRD number |
000008209
|
iv. LEI, if any |
9R7GPTSO7KV3UQJZQ078
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
4,320,018.12000000
|
Principal Transactions Record:
8 |
i. Full name of dealer |
TD SECURITIES (USA) LLC
|
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:
|
4,054,664.30000000
|
Principal Transactions Record:
9 |
i. Full name of dealer |
BNP PARIBAS SECURITIES CORP.
|
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:
|
2,763,111.08000000
|
Principal Transactions Record:
10 |
i. Full name of dealer |
WELLS FARGO SECURITIES, LLC
|
ii. SEC file number |
008-65876
|
iii. CRD number |
000126292
|
iv. LEI, if any |
VYVVCKR63DVZZN70PB21
|
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
2,962,073.19000000
|
Custodians Record:
1 |
i. Full name |
BNP Paribas Securities Services
|
ii. LEI, if any |
549300WCGB70D06XZS54
|
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:
2 |
i. Full name |
Citibank del Peru S.A.
|
ii. LEI, if any |
MYTK5NHHP1G8TVFGT193
|
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:
3 |
i. Full name |
Skandinaviska Enskilda Banken AB (publ)
|
ii. LEI, if any |
F3JS33DEI6XQ4ZBPTN86
|
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:
4 |
i. Full name |
Royal Bank of Canada
|
ii. LEI, if any |
ES7IP3U3RHIGC71XBU11
|
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:
5 |
i. Full name |
Citibank N.A. Brazil Branch
|
ii. LEI, if any |
E57ODZWZ7FF32TWEFA76
|
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:
6 |
i. Full name |
Skandinaviska Enskilda Banken AB (publ), Denmark Branch
|
ii. LEI, if any |
F3JS33DEI6XQ4ZBPTN86
|
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:
7 |
i. Full name |
Banco Nacional de Mexico, S.A. (Banamex)
|
ii. LEI, if any |
2SFFM4FUIE05S37WFU55
|
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:
8 |
i. Full name |
Cititrust Colombia S A Sociedad Fiduciaria
|
ii. LEI, if any |
549300242J3IJCOSGI49
|
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:
9 |
i. Full name |
EUROCLEAR BANK SA/NV
|
ii. LEI, if any |
549300OZ46BRLZ8Y6F65
|
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:
10 |
i. Full name |
U.S. Bank National Association
|
ii. LEI, if any |
6BYL5QZYBDK8S7L73M02
|
iii. State, if applicable |
OHIO
|
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:
11 |
i. Full name |
Banco de Chile as agent for Citibank N.A. New York
|
ii. LEI, if any |
8B4EZFY8IHJC44TT2K84
|
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:
12 |
i. Full name |
BNP Paribas Securities Services
|
ii. LEI, if any |
549300WCGB70D06XZS54
|
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:
13 |
i. Full name |
Skandinaviska Enskilda Banken AB (publ), Finland Branch
|
ii. LEI, if any |
F3JS33DEI6XQ4ZBPTN86
|
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:
14 |
i. Full name |
The Bank of New York Mellon
|
ii. LEI, if any |
HPFHU0OQ28E4N0NFVK49
|
iii. State, if applicable |
NEW YORK
|
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:
15 |
i. Full name |
Citibank N.A. Argentina Branch
|
ii. LEI, if any |
E57ODZWZ7FF32TWEFA76
|
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:
16 |
i. Full name |
HongKong and Shanghai Banking Corporation Limited
|
ii. LEI, if any |
2HI3YI5320L3RW6NJ957
|
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:
17 |
i. Full name |
HSBC Saudi Arabia as agent for The Hongkong and Shanghai Banking Corporation Limited
|
ii. LEI, if any |
558600MV09XWUB38H245
|
iii. State, if applicable |
|
iv. Foreign country, if applicable |
SAUDI ARABIA
|
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 |
Skandinaviska Enskilda Banken AB (publ) (SEB)
|
ii. LEI, if any |
F3JS33DEI6XQ4ZBPTN86
|
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:
19 |
i. Full name |
Skandinaviska Enskilda Banken AB (publ), Norway Branch
|
ii. LEI, if any |
F3JS33DEI6XQ4ZBPTN86
|
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
|
Principal Transactions Record:
1 |
i. Full name of dealer |
BOFA SECURITIES, INC.
|
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:
|
148,178,921.84000000
|
Principal Transactions Record:
2 |
i. Full name of dealer |
CitiGroup Global Markets 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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
151,197,840.86000000
|
Principal Transactions Record:
3 |
i. Full name of dealer |
HSBC SECURITIES (USA), INC.
|
ii. SEC file number |
008-41562
|
iii. CRD number |
000019585
|
iv. LEI, if any |
CYYGQCGNHMHPSMRL3R97
|
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:
|
160,730,942.77000000
|
Principal Transactions Record:
4 |
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:
|
178,806,825.69000000
|
Principal Transactions Record:
5 |
i. Full name of dealer |
GOLDMAN SACHS & CO. LLC
|
ii. SEC file number |
008-00129
|
iii. CRD number |
000000361
|
iv. LEI, if any |
FOR8UP27PHTHYVLBNG30
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
268,516,888.17000000
|
Principal Transactions Record:
6 |
i. Full name of dealer |
U.S. BANCORP INVESTMENTS, INC.
|
ii. SEC file number |
008-35359
|
iii. CRD number |
000017868
|
iv. LEI, if any |
H85Z6XZP8B10ES0M2G89
|
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:
|
1,160,241,308.04000000
|
Principal Transactions Record:
7 |
i. Full name of dealer |
BNP PARIBAS SECURITIES CORP.
|
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:
|
55,206,054.41000000
|
Principal Transactions Record:
8 |
i. Full name of dealer |
WELLS FARGO SECURITIES, LLC
|
ii. SEC file number |
008-65876
|
iii. CRD number |
000126292
|
iv. LEI, if any |
VYVVCKR63DVZZN70PB21
|
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
136,597,153.56000000
|
Principal Transactions Record:
9 |
i. Full name of dealer |
J.P. Morgan Securities LLC
|
ii. SEC file number |
008-35008
|
iii. CRD number |
000000079
|
iv. LEI, if any |
ZBUT11V806EZRVTWT807
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
148,314,317.64000000
|
Principal Transactions Record:
10 |
i. Full name of dealer |
MORGAN STANLEY & CO. LLC
|
ii. SEC file number |
008-15869
|
iii. CRD number |
000008209
|
iv. LEI, if any |
9R7GPTSO7KV3UQJZQ078
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
44,207,732.81000000
|