Principal Transactions Record:
1 |
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:
|
19,347,448.59000000
|
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:
|
15,832,470.51000000
|
Principal Transactions Record:
3 |
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:
|
24,795,467.14000000
|
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:
|
12,747,221.13000000
|
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:
|
173,539,647.90000000
|
Principal Transactions Record:
6 |
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:
|
11,784,448.44000000
|
Principal Transactions Record:
7 |
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:
|
15,231,438.94000000
|
Principal Transactions Record:
8 |
i. Full name of dealer |
MILLENNIUM ADVISORS, LLC
|
ii. SEC file number |
008-68349
|
iii. CRD number |
000151236
|
iv. LEI, if any |
254900E1P6Z2XZYSA163
|
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:
|
11,218,916.35000000
|
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:
|
19,573,545.29000000
|
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:
|
14,340,999.89000000
|
Brokers Record:
1 |
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 |
79,193.20000000
|
Brokers Record:
2 |
i. Full name of broker |
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. Gross commissions paid by the Fund for
the
reporting period |
28,494.63000000
|
Brokers Record:
3 |
i. Full name of broker |
INSTINET, LLC
|
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 |
130,246.73000000
|
Brokers Record:
4 |
i. Full name of broker |
SANFORD C. BERNSTEIN & CO., LLC
|
ii. SEC file number |
008-52942
|
iii. CRD number |
000104474
|
iv. LEI, if any |
549300I7JYZHT7D5CO04
|
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 |
34,375.41000000
|
Brokers Record:
5 |
i. Full name of broker |
Raymond James & Associates, Inc.
|
ii. SEC file number |
008-10999
|
iii. CRD number |
000000705
|
iv. LEI, if any |
U4ONQX15J3RO8XCKE979
|
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period |
61,098.09000000
|
Brokers Record:
6 |
i. Full name of broker |
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. Gross commissions paid by the Fund for
the
reporting period |
29,010.30000000
|
Brokers Record:
7 |
i. Full name of broker |
Robert W. Baird & Co. Incorporated
|
ii. SEC file number |
008-00497
|
iii. CRD number |
000008158
|
iv. LEI, if any |
549300772UJAHRD6LO53
|
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period |
27,261.09000000
|
Brokers Record:
8 |
i. Full name of broker |
JPMorgan Chase Bank, National Association
|
ii. SEC file number |
N/A
|
iii. CRD number |
N/A
|
iv. LEI, if any |
7H6GLXDRUGQFU57RNE97
|
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 |
78,977.96000000
|
Brokers Record:
9 |
i. Full name of broker |
JONESTRADING INSTITUTIONAL SERVICES LLC
|
ii. SEC file number |
008-26089
|
iii. CRD number |
000006888
|
iv. LEI, if any |
2138008JJ5PA8H5UIL69
|
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period |
25,813.24000000
|
Brokers Record:
10 |
i. Full name of broker |
Stifel, Nicolaus & Company, Incorporated
|
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 |
27,051.06000000
|
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
|
713,107.23000000
|
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:
|
260,592.40000000
|
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:
|
7,329,505.47000000
|
Principal Transactions Record:
3 |
i. Full name of dealer |
STONEX 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:
|
409,691.60000000
|
Principal Transactions Record:
4 |
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:
|
223,574.00000000
|
Principal Transactions Record:
5 |
i. Full name of dealer |
FHN FINANCIAL SECURITIES CORP
|
ii. SEC file number |
008-51393
|
iii. CRD number |
000046346
|
iv. LEI, if any |
PHDL2C07HIPM5DUL8S59
|
v. State, if applicable |
TENNESSEE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
292,556.25000000
|
Principal Transactions Record:
6 |
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:
|
206,715.71000000
|
Principal Transactions Record:
7 |
i. Full name of dealer |
KEYBANC CAPITAL MARKETS, INC.
|
ii. SEC file number |
008-30177
|
iii. CRD number |
000000566
|
iv. LEI, if any |
2EQWV0180Z211YVAD813
|
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:
|
388,680.43000000
|
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:
|
628,392.18000000
|
Principal Transactions Record:
9 |
i. Full name of dealer |
INSPEREX LLC
|
ii. SEC file number |
008-52081
|
iii. CRD number |
000101420
|
iv. LEI, if any |
254900XF92VANF1UCI97
|
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:
|
278,567.21000000
|
Principal Transactions Record:
10 |
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:
|
1,158,561.37000000
|
Principal Transactions Record:
1 |
i. Full name of dealer |
FHN FINANCIAL SECURITIES CORP
|
ii. SEC file number |
008-51393
|
iii. CRD number |
000046346
|
iv. LEI, if any |
PHDL2C07HIPM5DUL8S59
|
v. State, if applicable |
TENNESSEE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
2,357,295.75000000
|
Principal Transactions Record:
2 |
i. Full name of dealer |
Fifth Third Bank, National Association
|
ii. SEC file number |
N/A
|
iii. CRD number |
N/A
|
iv. LEI, if any |
QFROUN1UWUYU0DVIWD51
|
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:
|
9,580,215.55000000
|
Principal Transactions Record:
3 |
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:
|
7,763,324.05000000
|
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:
|
5,751,356.75000000
|
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:
|
67,106,689.77000000
|
Principal Transactions Record:
6 |
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:
|
5,763,426.50000000
|
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:
|
2,158,622.25000000
|
Principal Transactions Record:
8 |
i. Full name of dealer |
PIPER SANDLER & CO.
|
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:
|
4,344,679.00000000
|
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:
|
3,613,849.80000000
|
Principal Transactions Record:
10 |
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:
|
3,317,710.00000000
|
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:
|
1,646,586.00000000
|
Principal Transactions Record:
2 |
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:
|
2,221,878.20000000
|
Principal Transactions Record:
3 |
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:
|
2,240,760.00000000
|
Principal Transactions Record:
4 |
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:
|
2,294,590.00000000
|
Principal Transactions Record:
5 |
i. Full name of dealer |
Fifth Third Bank, National Association
|
ii. SEC file number |
N/A
|
iii. CRD number |
N/A
|
iv. LEI, if any |
QFROUN1UWUYU0DVIWD51
|
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:
|
2,313,205.00000000
|
Principal Transactions Record:
6 |
i. Full name of dealer |
KEYBANC CAPITAL MARKETS, INC.
|
ii. SEC file number |
008-30177
|
iii. CRD number |
000000566
|
iv. LEI, if any |
2EQWV0180Z211YVAD813
|
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:
|
1,381,490.25000000
|
Principal Transactions Record:
7 |
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:
|
1,882,666.20000000
|
Principal Transactions Record:
8 |
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:
|
27,060,145.65000000
|
Principal Transactions Record:
9 |
i. Full name of dealer |
MURIEL SIEBERT & CO INC.
|
ii. SEC file number |
008-14900
|
iii. CRD number |
000005376
|
iv. LEI, if any |
254900ILZFIE2ULRPV24
|
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:
|
1,409,293.60000000
|
Principal Transactions Record:
10 |
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:
|
2,056,640.00000000
|
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:
|
23,958,932.19000000
|
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:
|
3,491,762.90000000
|
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:
|
1,731,341.95000000
|
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:
|
2,640,474.20000000
|
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:
|
862,193.43000000
|
Principal Transactions Record:
6 |
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:
|
2,335,887.69000000
|
Principal Transactions Record:
7 |
i. Full name of dealer |
BMO CAPITAL MARKETS CORP.
|
ii. SEC file number |
008-34344
|
iii. CRD number |
000016686
|
iv. LEI, if any |
RUC0QBLBRPRCU4W1NE59
|
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:
|
1,576,108.32000000
|
Principal Transactions Record:
8 |
i. Full name of dealer |
Jane Street Financial Limited
|
ii. SEC file number |
N/A
|
iii. CRD number |
N/A
|
iv. LEI, if any |
549300ZHEHX8M31RP142
|
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:
|
2,192,210.90000000
|
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:
|
1,534,175.54000000
|
Principal Transactions Record:
10 |
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:
|
1,613,771.44000000
|
Principal Transactions Record:
1 |
i. Full name of dealer |
Stifel, Nicolaus & Company, Incorporated
|
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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
7,091,069.50000000
|
Principal Transactions Record:
2 |
i. Full name of dealer |
SumRidge Partners, LLC
|
ii. SEC file number |
008-68454
|
iii. CRD number |
000152437
|
iv. LEI, if any |
529900ECMK8VI6Q1FG89
|
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:
|
5,260,980.20000000
|
Principal Transactions Record:
3 |
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:
|
2,329,805.95000000
|
Principal Transactions Record:
4 |
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:
|
4,597,930.00000000
|
Principal Transactions Record:
5 |
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:
|
2,226,560.00000000
|
Principal Transactions Record:
6 |
i. Full name of dealer |
Roosevelt & Cross, Incorporated
|
ii. SEC file number |
008-09363
|
iii. CRD number |
000006964
|
iv. LEI, if any |
549300EG9JLHGB0PKJ38
|
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:
|
1,901,020.10000000
|
Principal Transactions Record:
7 |
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:
|
3,565,528.00000000
|
Principal Transactions Record:
8 |
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:
|
55,801,900.27000000
|
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:
|
2,206,160.00000000
|
Principal Transactions Record:
10 |
i. Full name of dealer |
INSPEREX LLC
|
ii. SEC file number |
008-52081
|
iii. CRD number |
000101420
|
iv. LEI, if any |
254900XF92VANF1UCI97
|
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:
|
3,310,050.00000000
|
Principal Transactions Record:
1 |
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:
|
3,056,382.57000000
|
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:
|
2,012,713.62000000
|
Principal Transactions Record:
3 |
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:
|
64,421,159.74000000
|
Principal Transactions Record:
4 |
i. Full name of dealer |
Robert W. Baird & Co. Incorporated
|
ii. SEC file number |
008-00497
|
iii. CRD number |
000008158
|
iv. LEI, if any |
549300772UJAHRD6LO53
|
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
4,688,000.29000000
|
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:
|
3,190,349.09000000
|
Principal Transactions Record:
6 |
i. Full name of dealer |
KEYBANC CAPITAL MARKETS, INC.
|
ii. SEC file number |
008-30177
|
iii. CRD number |
000000566
|
iv. LEI, if any |
2EQWV0180Z211YVAD813
|
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:
|
2,465,311.24000000
|
Principal Transactions Record:
7 |
i. Full name of dealer |
STONEX 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:
|
3,942,420.94000000
|
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:
|
2,604,645.25000000
|
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:
|
2,007,289.57000000
|
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:
|
4,507,601.72000000
|
Principal Transactions Record:
1 |
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:
|
9,267,312.25000000
|
Principal Transactions Record:
2 |
i. Full name of dealer |
RAYMOND JAMES & ASSOCIATES, INC.
|
ii. SEC file number |
008-10999
|
iii. CRD number |
000000705
|
iv. LEI, if any |
U4ONQX15J3RO8XCKE979
|
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
8,188,739.00000000
|
Principal Transactions Record:
3 |
i. Full name of dealer |
INSPEREX LLC
|
ii. SEC file number |
008-52081
|
iii. CRD number |
000101420
|
iv. LEI, if any |
254900XF92VANF1UCI97
|
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:
|
7,029,294.50000000
|
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:
|
11,023,064.40000000
|
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:
|
113,506,601.74000000
|
Principal Transactions Record:
6 |
i. Full name of dealer |
Robert W. Baird & Co. Incorporated
|
ii. SEC file number |
008-00497
|
iii. CRD number |
000008158
|
iv. LEI, if any |
549300772UJAHRD6LO53
|
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
5,874,427.80000000
|
Principal Transactions Record:
7 |
i. Full name of dealer |
Fifth Third Bank, National Association
|
ii. SEC file number |
N/A
|
iii. CRD number |
N/A
|
iv. LEI, if any |
QFROUN1UWUYU0DVIWD51
|
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:
|
9,337,359.80000000
|
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:
|
8,036,553.50000000
|
Principal Transactions Record:
9 |
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:
|
8,650,476.80000000
|
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:
|
6,347,309.30000000
|
Brokers Record:
1 |
i. Full name of broker |
PIPER SANDLER & CO.
|
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. Gross commissions paid by the Fund for
the
reporting period |
1,340.32000000
|
Brokers Record:
2 |
i. Full name of broker |
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. Gross commissions paid by the Fund for
the
reporting period |
10.69000000
|
Brokers Record:
3 |
i. Full name of broker |
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. Gross commissions paid by the Fund for
the
reporting period |
1,291.91000000
|
Brokers Record:
4 |
i. Full name of broker |
INSTINET, LLC
|
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 |
1,229.14000000
|
Brokers Record:
5 |
i. Full name of broker |
SANFORD C. BERNSTEIN & CO., LLC
|
ii. SEC file number |
008-52942
|
iii. CRD number |
000104474
|
iv. LEI, if any |
549300I7JYZHT7D5CO04
|
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 |
904.72000000
|
Brokers Record:
6 |
i. Full name of broker |
Strategas Securities, LLC
|
ii. SEC file number |
008-68138
|
iii. CRD number |
000149326
|
iv. LEI, if any |
254900D5NQ2O9DJLKH96
|
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 |
1,879.98000000
|
Brokers Record:
7 |
i. Full name of broker |
Raymond James & Associates, Inc.
|
ii. SEC file number |
008-10999
|
iii. CRD number |
000000705
|
iv. LEI, if any |
U4ONQX15J3RO8XCKE979
|
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period |
1,256.80000000
|
Brokers Record:
8 |
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 |
979.35000000
|
Brokers Record:
9 |
i. Full name of broker |
Stifel, Nicolaus & Company, Incorporated
|
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 |
1,148.01000000
|
Brokers Record:
10 |
i. Full name of broker |
B. RILEY SECURITIES, INC.
|
ii. SEC file number |
008-41426
|
iii. CRD number |
000025027
|
iv. LEI, if any |
2549005CLOSQO0MJEA57
|
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period |
1,736.06000000
|
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
|
17,214.98000000
|
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:
|
7,391,414.47000000
|
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:
|
123,899,336.22000000
|
Principal Transactions Record:
3 |
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:
|
10,395,400.24000000
|
Principal Transactions Record:
4 |
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:
|
5,243,111.47000000
|
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:
|
6,184,037.79000000
|
Principal Transactions Record:
6 |
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:
|
10,484,044.50000000
|
Principal Transactions Record:
7 |
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:
|
2,445,139.58000000
|
Principal Transactions Record:
8 |
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:
|
2,500,072.41000000
|
Principal Transactions Record:
9 |
i. Full name of dealer |
BMO CAPITAL MARKETS CORP.
|
ii. SEC file number |
008-34344
|
iii. CRD number |
000016686
|
iv. LEI, if any |
RUC0QBLBRPRCU4W1NE59
|
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:
|
17,707,120.13000000
|
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:
|
5,368,082.85000000
|
Custodians Record:
1 |
i. Full name |
BNP Paribas (Spain)
|
ii. LEI, if any |
R0MUWSFPU8MPRO8K5P83
|
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:
2 |
i. Full name |
BNP Paribas (Austria)
|
ii. LEI, if any |
R0MUWSFPU8MPRO8K5P83
|
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:
3 |
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:
4 |
i. Full name |
BNP Paribas (Netherlands)
|
ii. LEI, if any |
R0MUWSFPU8MPRO8K5P83
|
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:
5 |
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:
6 |
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:
7 |
i. Full name |
BNP Paribas (Belgium)
|
ii. LEI, if any |
R0MUWSFPU8MPRO8K5P83
|
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:
8 |
i. Full name |
BNP Paribas (Switzerland)
|
ii. LEI, if any |
R0MUWSFPU8MPRO8K5P83
|
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:
9 |
i. Full name |
BNP Paribas, London Branch
|
ii. LEI, if any |
R0MUWSFPU8MPRO8K5P83
|
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:
10 |
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:
11 |
i. Full name |
BNP Paribas (Ireland)
|
ii. LEI, if any |
R0MUWSFPU8MPRO8K5P83
|
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:
12 |
i. Full name |
BNP Paribas (Germany)
|
ii. LEI, if any |
R0MUWSFPU8MPRO8K5P83
|
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:
13 |
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
|
Custodians Record:
14 |
i. Full name |
BNP Paribas (Italy)
|
ii. LEI, if any |
R0MUWSFPU8MPRO8K5P83
|
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:
15 |
i. Full name |
BNP Paribas (France)
|
ii. LEI, if any |
R0MUWSFPU8MPRO8K5P83
|
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
|
Brokers Record:
1 |
i. Full name of broker |
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. Gross commissions paid by the Fund for
the
reporting period |
2,175.16000000
|
Brokers Record:
2 |
i. Full name of broker |
B. RILEY SECURITIES, INC.
|
ii. SEC file number |
008-41426
|
iii. CRD number |
000025027
|
iv. LEI, if any |
2549005CLOSQO0MJEA57
|
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period |
135.63000000
|
Brokers Record:
3 |
i. Full name of broker |
KEEFE, BRUYETTE & WOODS, INC.
|
ii. SEC file number |
008-10888
|
iii. CRD number |
000000481
|
iv. LEI, if any |
549300OM47DQV01G4854
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period |
234.03000000
|
Brokers Record:
4 |
i. Full name of broker |
EVERCORE GROUP L.L.C.
|
ii. SEC file number |
008-49830
|
iii. CRD number |
000042405
|
iv. LEI, if any |
5493008F0LRLS5N8LZ81
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period |
2,188.34000000
|
Brokers Record:
5 |
i. Full name of broker |
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. Gross commissions paid by the Fund for
the
reporting period |
388.53000000
|
Brokers Record:
6 |
i. Full name of broker |
Strategas Securities, LLC
|
ii. SEC file number |
008-68138
|
iii. CRD number |
000149326
|
iv. LEI, if any |
254900D5NQ2O9DJLKH96
|
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 |
182.10000000
|
Brokers Record:
7 |
i. Full name of broker |
INSTINET, LLC
|
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 |
3,111.60000000
|
Brokers Record:
8 |
i. Full name of broker |
Stifel, Nicolaus & Company, Incorporated
|
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 |
201.83000000
|
Brokers Record:
9 |
i. Full name of broker |
SANFORD C. BERNSTEIN & CO., LLC
|
ii. SEC file number |
008-52942
|
iii. CRD number |
000104474
|
iv. LEI, if any |
549300I7JYZHT7D5CO04
|
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 |
116.36000000
|
Brokers Record:
10 |
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 |
25.93000000
|
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
|
8,789.03000000
|
Brokers Record:
1 |
i. Full name of broker |
INSTINET, LLC
|
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 |
51,595.61000000
|
Brokers Record:
2 |
i. Full name of broker |
Robert W. Baird & Co. Incorporated
|
ii. SEC file number |
008-00497
|
iii. CRD number |
000008158
|
iv. LEI, if any |
549300772UJAHRD6LO53
|
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period |
7,354.17000000
|
Brokers Record:
3 |
i. Full name of broker |
KEEFE, BRUYETTE & WOODS, INC.
|
ii. SEC file number |
008-10888
|
iii. CRD number |
000000481
|
iv. LEI, if any |
549300OM47DQV01G4854
|
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period |
6,453.45000000
|
Brokers Record:
4 |
i. Full name of broker |
Raymond James & Associates, Inc.
|
ii. SEC file number |
008-10999
|
iii. CRD number |
000000705
|
iv. LEI, if any |
U4ONQX15J3RO8XCKE979
|
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period |
6,816.85000000
|
Brokers Record:
5 |
i. Full name of broker |
JPMorgan Chase Bank, National Association
|
ii. SEC file number |
N/A
|
iii. CRD number |
N/A
|
iv. LEI, if any |
7H6GLXDRUGQFU57RNE97
|
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 |
22,514.09000000
|
Brokers Record:
6 |
i. Full name of broker |
PIPER SANDLER & CO.
|
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. Gross commissions paid by the Fund for
the
reporting period |
8,058.93000000
|
Brokers Record:
7 |
i. Full name of broker |
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. Gross commissions paid by the Fund for
the
reporting period |
11,973.50000000
|
Brokers Record:
8 |
i. Full name of broker |
SANFORD C. BERNSTEIN & CO., LLC
|
ii. SEC file number |
008-52942
|
iii. CRD number |
000104474
|
iv. LEI, if any |
549300I7JYZHT7D5CO04
|
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 |
12,750.60000000
|
Brokers Record:
9 |
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 |
17,804.83000000
|
Brokers Record:
10 |
i. Full name of broker |
JONESTRADING INSTITUTIONAL SERVICES LLC
|
ii. SEC file number |
008-26089
|
iii. CRD number |
000006888
|
iv. LEI, if any |
2138008JJ5PA8H5UIL69
|
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period |
9,710.72000000
|
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
|
191,092.93000000
|
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:
|
49,927,665.00000000
|
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:
|
73,718,515.44000000
|
Principal Transactions Record:
3 |
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:
|
144,274,551.99000000
|
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:
|
87,872,269.00000000
|
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:
|
815,273,472.59000000
|
Principal Transactions Record:
6 |
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:
|
46,986,884.92000000
|
Principal Transactions Record:
7 |
i. Full name of dealer |
BMO CAPITAL MARKETS CORP.
|
ii. SEC file number |
008-34344
|
iii. CRD number |
000016686
|
iv. LEI, if any |
RUC0QBLBRPRCU4W1NE59
|
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:
|
88,600,075.90000000
|
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:
|
59,154,357.19000000
|
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:
|
112,251,403.99000000
|
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:
|
47,752,569.84000000
|