a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | CLS Growth & Income Fund Class T |
ii. Class identification number, if any | C000205637 |
iii. Ticker symbol, if any | GINCX |
Shares Outstanding Record:
2 |
i. Full name of Class | CLS Growth & Income Fund Class N |
ii. Class identification number, if any | C000029725 |
iii. Ticker symbol, if any | CLERX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | KNIGHT CAPITAL GROUP |
ii. SEC file number | 8-48230 |
iii. CRD number | 000038379 |
iv. LEI, if any | 549300IBL2PVESYISI52 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 6,059,753.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | MISCHLER FINANCIAL GROUP |
ii. SEC file number | 8-48067 |
iii. CRD number | 000037818 |
iv. LEI, if any | 5493001KJTIIGC8Y1R12 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,879,500.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | VIRTUS INVESTMENT PARTNERS |
ii. SEC file number | N/A |
iii. CRD number | 000106982 |
iv. LEI, if any | 549300HWF93HB8BDM648 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 22,225,616.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | CITADEL SECURITIES LLC |
ii. SEC file number | 008-53574 |
iii. CRD number | 000116797 |
iv. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
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:
| 8,950,996.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | JANE STREET EXECUTION SERVICES, LLC |
ii. SEC file number | 8-69254 |
iii. CRD number | 000167280 |
iv. LEI, if any | 549300HXJLXCPDWAH070 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 10,502,915.48000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | CLS Global Aggressive Equity Fund Class T |
ii. Class identification number, if any | C000205640 |
iii. Ticker symbol, if any | GLAGX |
Shares Outstanding Record:
2 |
i. Full name of Class | CLS Global Aggressive Equity Fund Class N |
ii. Class identification number, if any | C000079968 |
iii. Ticker symbol, if any | CLACX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | KNIGHT CAPITAL GROUP |
ii. SEC file number | 8-48230 |
iii. CRD number | 000038379 |
iv. LEI, if any | 549300IBL2PVESYISI52 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,639,206.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | MISCHLER FINANCIAL GROUP |
ii. SEC file number | 8-48067 |
iii. CRD number | 000037818 |
iv. LEI, if any | 5493001KJTIIGC8Y1R12 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,159,909.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | JANE STREET EXECUTION SERVICES, LLC |
ii. SEC file number | 8-69254 |
iii. CRD number | 000167280 |
iv. LEI, if any | 549300HXJLXCPDWAH070 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 8,465,590.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | SUSQUEHANNA CAPITAL GROUP |
ii. SEC file number | 8-43174 |
iii. CRD number | 000029337 |
iv. LEI, if any | 549300RX9GZX8Y9IGJ81 |
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:
| 5,134,500.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | CLS Flexible Income Fund Class T |
ii. Class identification number, if any | C000205639 |
iii. Ticker symbol, if any | FLEIX |
Shares Outstanding Record:
2 |
i. Full name of Class | CLS Flexible Income Fund Class N |
ii. Class identification number, if any | C000079967 |
iii. Ticker symbol, if any | CLFLX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | JANE STREET EXECUTION SERVICES, LLC |
ii. SEC file number | 8-69254 |
iii. CRD number | 000167280 |
iv. LEI, if any | 549300HXJLXCPDWAH070 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,008,500.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | KNIGHT CAPITAL GROUP |
ii. SEC file number | 8-48230 |
iii. CRD number | 000038379 |
iv. LEI, if any | 549300IBL2PVESYISI52 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,295,883.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | CITADEL SECURITIES LLC |
ii. SEC file number | 008-53574 |
iii. CRD number | 000116797 |
iv. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
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:
| 9,684,843.83000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | CLS Shelter Fund Class T |
ii. Class identification number, if any | C000205641 |
iii. Ticker symbol, if any | SHELX |
Shares Outstanding Record:
2 |
i. Full name of Class | CLS Shelter Fund Class N |
ii. Class identification number, if any | C000082001 |
iii. Ticker symbol, if any | CLSHX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | SUSQUEHANNA CAPITAL GROUP |
ii. SEC file number | 8-43174 |
iii. CRD number | 000029337 |
iv. LEI, if any | 549300RX9GZX8Y9IGJ81 |
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:
| 37,895,283.03000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | VIRTUS INVESTMENT PARTNERS |
ii. SEC file number | N/A |
iii. CRD number | 000106982 |
iv. LEI, if any | 549300HWF93HB8BDM648 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 32,805,398.47000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | JP MORGAN CHASE |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,886,442.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | KNIGHT CAPITAL GROUP |
ii. SEC file number | 8-48230 |
iii. CRD number | 000038379 |
iv. LEI, if any | 549300IBL2PVESYISI52 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 9,868,140.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | JANE STREET EXECUTION SERVICES, LLC |
ii. SEC file number | 8-69254 |
iii. CRD number | 000167280 |
iv. LEI, if any | 549300HXJLXCPDWAH070 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 286,423,519.25000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | CITADEL SECURITIES LLC |
ii. SEC file number | 008-53574 |
iii. CRD number | 000116797 |
iv. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
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:
| 264,884,417.73000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | GOLDMAN SACHS |
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:
| 21,943,582.21000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | CLS Global Diversified Equity Fund Class N |
ii. Class identification number, if any | C000029716 |
iii. Ticker symbol, if any | CLSAX |
Shares Outstanding Record:
2 |
i. Full name of Class | CLS Global Diversified Equity Fund Class T |
ii. Class identification number, if any | C000205636 |
iii. Ticker symbol, if any | GDIVX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | 84-06083 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | CITADEL SECURITIES LLC |
ii. SEC file number | 008-53574 |
iii. CRD number | 000116797 |
iv. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
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:
| 3,874,510.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | MISCHLER FINANCIAL GROUP |
ii. SEC file number | 8-48067 |
iii. CRD number | 000037818 |
iv. LEI, if any | 5493001KJTIIGC8Y1R12 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 18,947,337.50000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | KNIGHT CAPITAL GROUP |
ii. SEC file number | 8-48230 |
iii. CRD number | 000038379 |
iv. LEI, if any | 549300IBL2PVESYISI52 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 44,106,323.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | SUSQUEHANNA CAPITAL GROUP |
ii. SEC file number | 8-43174 |
iii. CRD number | 000029337 |
iv. LEI, if any | 549300RX9GZX8Y9IGJ81 |
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:
| 10,615,500.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | JANE STREET EXECUTION SERVICES, LLC |
ii. SEC file number | 8-69254 |
iii. CRD number | 000167280 |
iv. LEI, if any | 549300HXJLXCPDWAH070 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 54,221,529.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | FLOW TRADERS U.S. LLC |
ii. SEC file number | 8-68300 |
iii. CRD number | 000150780 |
iv. LEI, if any | 549300K64LZQW7R9ST34 |
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:
| 6,792,000.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | OLD MISSION MARKETS LLC |
ii. SEC file number | 8-69691 |
iii. CRD number | 000281867 |
iv. LEI, if any | 5493003UFGIEMN1POL71 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 8,107,740.00000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | VIRTUS INVESTMENT PARTNERS |
ii. SEC file number | N/A |
iii. CRD number | 000106982 |
iv. LEI, if any | 549300HWF93HB8BDM648 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,040,855.10000000 |