a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Diamond Hill Core Bond Fund Class I |
ii. Class identification number, if any | C000173087 |
iii. Ticker symbol, if any | DHRIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Diamond Hill Core Bond Fund Class A |
ii. Class identification number, if any | C000173086 |
iii. Ticker symbol, if any | DHRAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Diamond Hill Core Bond Fund Class Y |
ii. Class identification number, if any | C000173088 |
iii. Ticker symbol, if any | DHRYX |
|
Transfer Agents Record:
1 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-06385 |
iii. LEI, if any | 549300V6K8NOK1VFJG80 |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Transfer Agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-05829 |
iii. LEI, if any | N/A |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Pricing Services Record:
1 |
i. Full name | ICE Data Pricing & Reference Data LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | IHS Markit LTD |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BERMUDA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
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 | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or other identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
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
|
Administrators Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
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 | CREDIT SUISSE SECURITIES LLC |
ii. SEC file number | 008-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
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:
| 2,575,221.00000000 |
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:
| 2,303,480.00000000 |
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:
| 3,102,087.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | DEUTSCHE BANK SECURITIES, INC. |
ii. SEC file number | 008-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,223,171.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | STEPHENS, INC. |
ii. SEC file number | 008-1927 |
iii. CRD number | 000003496 |
iv. LEI, if any | 213800LH6T9XDYZCA534 |
v. State, if applicable |
ARKANSAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,146,724.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | BREAN CAPITAL, LLC |
ii. SEC file number | 008-40742 |
iii. CRD number | 000023723 |
iv. LEI, if any | 254900ZZA1UBVDCNQ378 |
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:
| 1,408,900.00000000 |
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:
| 1,648,221.00000000 |
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:
| 1,780,493.00000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | GOLDMAN, SACHS and CO. |
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:
| 2,292,404.00000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | PENSERRA FIXED INCOME |
ii. SEC file number | 008-67773 |
iii. CRD number | 000145994 |
iv. LEI, if any | 549300WY8ZBI168Y6Z05 |
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:
| 1,423,602.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Diamond Hill Short Duration Total Return Fund Class A |
ii. Class identification number, if any | C000173083 |
iii. Ticker symbol, if any | DHEAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Diamond Hill Short Duration Total Return Fund Class I |
ii. Class identification number, if any | C000173084 |
iii. Ticker symbol, if any | DHEIX |
Shares Outstanding Record:
3 |
i. Full name of Class | Diamond Hill Short Duration Total Return Fund Class Y |
ii. Class identification number, if any | C000173085 |
iii. Ticker symbol, if any | DHEYX |
|
Transfer Agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-05829 |
iii. LEI, if any | N/A |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Transfer Agents Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-06385 |
iii. LEI, if any | 549300V6K8NOK1VFJG80 |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Pricing Services Record:
1 |
i. Full name | IHS Markit LTD |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BERMUDA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | ICE Data Pricing & Reference Data LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
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 | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
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
|
Administrators Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or other identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
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 | 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:
| 45,207,521.00000000 |
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:
| 61,740,069.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | CITIGROUP GLOBAL MARKETS, INC |
ii. SEC file number | 008-80177 |
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:
| 33,015,147.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | DEUTSCHE BANK SECURITIES, INC. |
ii. SEC file number | 008-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 113,679,772.00000000 |
Principal Transactions Record:
5 |
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:
| 17,784,268.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | NOMURA SECURITIES INTERNATIONAL, INC. |
ii. SEC file number | 008-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 42,287,505.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | CREDIT SUISSE SECURITIES LLC |
ii. SEC file number | 008-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 102,521,125.00000000 |
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:
| 43,330,396.00000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | ROBERT W. BAIRD AND 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:
| 17,916,802.00000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | GOLDMAN, SACHS and CO. |
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:
| 94,112,267.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Diamond Hill Small Cap Fund Class A |
ii. Class identification number, if any | C000008530 |
iii. Ticker symbol, if any | DHSCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Diamond Hill Small Cap Fund Class I |
ii. Class identification number, if any | C000008532 |
iii. Ticker symbol, if any | DHSIX |
Shares Outstanding Record:
3 |
i. Full name of Class | Diamond Hill Small Cap Fund Class C |
ii. Class identification number, if any | C000008531 |
iii. Ticker symbol, if any | DHSMX |
Shares Outstanding Record:
4 |
i. Full name of Class | Diamond Hill Small Cap Fund Class Y |
ii. Class identification number, if any | C000108463 |
iii. Ticker symbol, if any | DHSYX |
|
Transfer Agents Record:
1 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-06385 |
iii. LEI, if any | 549300V6K8NOK1VFJG80 |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Transfer Agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-05829 |
iii. LEI, if any | N/A |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Pricing Services Record:
1 |
i. Full name | Refinitiv |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | PricingDirect Inc |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | IHS Markit LTD |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BERMUDA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | ICE Data Pricing & Reference Data LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
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 | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or other identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
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
|
Administrators Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 084-05289 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | 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 | 8,380.00000000 |
Brokers Record:
2 |
i. Full name of broker | BIDS TRADING L.P. |
ii. SEC file number | 008-67376 |
iii. CRD number | 000141296 |
iv. LEI, if any | 254900J9JVL76SF70898 |
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 | 3,392.00000000 |
Brokers Record:
3 |
i. Full name of broker | MORGAN STANLEY and 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 | 10,024.00000000 |
Brokers Record:
4 |
i. Full name of broker | COWEN and CO., LLC |
ii. SEC file number | 008-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 26,919.00000000 |
Brokers Record:
5 |
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 | 6,375.00000000 |
Brokers Record:
6 |
i. Full name of broker | GOLDMAN, SACHS and CO. |
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. Gross commissions paid by the Fund for
the
reporting period | 3,416.00000000 |
Brokers Record:
7 |
i. Full name of broker | SANFORD C. BERNSTEIN and CO. LLC |
ii. SEC file number | 008-52942 |
iii. CRD number | 000104474 |
iv. LEI, if any | 549300I7JYZHT7D5CO04 |
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 | 3,146.00000000 |
Brokers Record:
8 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 8,514.00000000 |
Brokers Record:
9 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 13,750.00000000 |
Brokers Record:
10 |
i. Full name of broker | WEEDEN and CO. L.P. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | 549300OYBLKSN8M8EW67 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 195,950.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 294,245.00 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Diamond Hill Long-Short Fund Class Y |
ii. Class identification number, if any | C000108465 |
iii. Ticker symbol, if any | DIAYX |
Shares Outstanding Record:
2 |
i. Full name of Class | Diamond Hill Long-Short Fund Class I |
ii. Class identification number, if any | C000008538 |
iii. Ticker symbol, if any | DHLSX |
Shares Outstanding Record:
3 |
i. Full name of Class | Diamond Hill Long-Short Fund Class A |
ii. Class identification number, if any | C000008536 |
iii. Ticker symbol, if any | DIAMX |
Shares Outstanding Record:
4 |
i. Full name of Class | Diamond Hill Long-Short Fund Class C |
ii. Class identification number, if any | C000008537 |
iii. Ticker symbol, if any | DHFCX |
|
Transfer Agents Record:
1 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-06385 |
iii. LEI, if any | 549300V6K8NOK1VFJG80 |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Transfer Agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-05829 |
iii. LEI, if any | N/A |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Pricing Services Record:
1 |
i. Full name | Refinitiv |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | ICE Data Pricing & Reference Data LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | IHS Markit LTD |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BERMUDA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
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 | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or other identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
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
|
Administrators Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | 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 | 45,358.00000000 |
Brokers Record:
2 |
i. Full name of broker | CREDIT SUISSE SECURITIES LLC |
ii. SEC file number | 008-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
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 | 37,957.00000000 |
Brokers Record:
3 |
i. Full name of broker | COWEN and CO., LLC |
ii. SEC file number | 008-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 43,393.00000000 |
Brokers Record:
4 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 77,613.00000000 |
Brokers Record:
5 |
i. Full name of broker | DEUTSCHE BANK SECURITIES, INC. |
ii. SEC file number | 008-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 70,310.00000000 |
Brokers Record:
6 |
i. Full name of broker | MORGAN STANLEY and 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 | 92,590.00000000 |
Brokers Record:
7 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 43,856.00000000 |
Brokers Record:
8 |
i. Full name of broker | WEEDEN and CO. L.P. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | 549300OYBLKSN8M8EW67 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 657,666.00000000 |
Brokers Record:
9 |
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 | 153,737.00000000 |
Brokers Record:
10 |
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 | 113,451.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 1,574,239.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Diamond Hill Global Fund Class Y |
ii. Class identification number, if any | C000194522 |
iii. Ticker symbol, if any | DHGYX |
Shares Outstanding Record:
2 |
i. Full name of Class | Diamond Hill Global Fund Class A |
ii. Class identification number, if any | C000194520 |
iii. Ticker symbol, if any | DHGBX |
Shares Outstanding Record:
3 |
i. Full name of Class | Diamond Hill Global Fund Class I |
ii. Class identification number, if any | C000194521 |
iii. Ticker symbol, if any | DHGIX |
|
Transfer Agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-05829 |
iii. LEI, if any | N/A |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Transfer Agents Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-06385 |
iii. LEI, if any | 549300V6K8NOK1VFJG80 |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Pricing Services Record:
1 |
i. Full name | IHS Markit LTD |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BERMUDA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | PricingDirect Inc |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Refinitiv |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | ICE Data Pricing & Reference Data LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
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 | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
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
|
Administrators Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or other identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | DEUTSCHE BANK SECURITIES, INC. |
ii. SEC file number | 008-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 34.00000000 |
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 | 526.00000000 |
Brokers Record:
3 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 55.00000000 |
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 | 75.00000000 |
Brokers Record:
5 |
i. Full name of broker | MORGAN STANLEY and 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 | 75.00000000 |
Brokers Record:
6 |
i. Full name of broker | FIDELITY BROKERAGE SERVICES LLC |
ii. SEC file number | 008-23292 |
iii. CRD number | 000007784 |
iv. LEI, if any | 549300OQFQ4NFIOD5695 |
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 | 195.00000000 |
Brokers Record:
7 |
i. Full name of broker | WEEDEN and CO. L.P. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | 549300OYBLKSN8M8EW67 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,230.00000000 |
Brokers Record:
8 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 1,197.00000000 |
Brokers Record:
9 |
i. Full name of broker | MACQUARIE CAPITAL, INC. |
ii. SEC file number | 008-47198 |
iii. CRD number | 000036368 |
iv. LEI, if any | 549300670K07JRB5UQ40 |
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 | 91.00000000 |
Brokers Record:
10 |
i. Full name of broker | GOLDMAN, SACHS and CO. |
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. Gross commissions paid by the Fund for
the
reporting period | 13,869.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 19,385.00 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Diamond Hill Small-Mid Cap Fund Class I |
ii. Class identification number, if any | C000033258 |
iii. Ticker symbol, if any | DHMIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Diamond Hill Small-Mid Cap Fund Class A |
ii. Class identification number, if any | C000033256 |
iii. Ticker symbol, if any | DHMAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Diamond Hill Small-Mid Cap Fund Class Y |
ii. Class identification number, if any | C000108467 |
iii. Ticker symbol, if any | DHMYX |
Shares Outstanding Record:
4 |
i. Full name of Class | Diamond Hill Small-Mid Cap Fund Class C |
ii. Class identification number, if any | C000033257 |
iii. Ticker symbol, if any | DHMCX |
|
Transfer Agents Record:
1 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-06385 |
iii. LEI, if any | 549300V6K8NOK1VFJG80 |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Transfer Agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-05829 |
iii. LEI, if any | N/A |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Pricing Services Record:
1 |
i. Full name | Refinitiv |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | ICE Data Pricing & Reference Data LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | IHS Markit LTD |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BERMUDA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
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 | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or other identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
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
|
Administrators Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | MACQUARIE CAPITAL, INC. |
ii. SEC file number | 008-47198 |
iii. CRD number | 000036368 |
iv. LEI, if any | 549300670K07JRB5UQ40 |
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 | 6,603.00000000 |
Brokers Record:
2 |
i. Full name of broker | MERRILL LYNCH,PIERCE,FENNER and SMITH, INC |
ii. SEC file number | 008-07221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 19,984.00000000 |
Brokers Record:
3 |
i. Full name of broker | COWEN and CO., LLC |
ii. SEC file number | 008-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 27,703.40999999 |
Brokers Record:
4 |
i. Full name of broker | CREDIT SUISSE SECURITIES LLC |
ii. SEC file number | 008-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
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 | 8,440.00000000 |
Brokers Record:
5 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 18,621.00000000 |
Brokers Record:
6 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 25,201.00000000 |
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 | 23,584.00000000 |
Brokers Record:
8 |
i. Full name of broker | MORGAN STANLEY and 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 | 19,207.00000000 |
Brokers Record:
9 |
i. Full name of broker | WEEDEN and CO. L.P. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | 549300OYBLKSN8M8EW67 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 293,568.00000000 |
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 | 11,048.900000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 486,387.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Diamond Hill High Yield Fund Class A |
ii. Class identification number, if any | C000163958 |
iii. Ticker symbol, if any | DHHAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Diamond Hill High Yield Fund Class I |
ii. Class identification number, if any | C000163959 |
iii. Ticker symbol, if any | DHHIX |
Shares Outstanding Record:
3 |
i. Full name of Class | Diamond Hill High Yield Fund Class Y |
ii. Class identification number, if any | C000163960 |
iii. Ticker symbol, if any | DHHYX |
|
Transfer Agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-05829 |
iii. LEI, if any | N/A |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Transfer Agents Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-68385 |
iii. LEI, if any | 549300V6K8NOK1VFJG80 |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Pricing Services Record:
1 |
i. Full name | Refinitiv |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | IHS Markit LTD |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BERMUDA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | ICE Data Pricing & Reference Data LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
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 | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
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
|
Administrators Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or other identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
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 | GOLDMAN, SACHS and CO. |
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:
| 4,274,087.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | CREDIT SUISSE SECURITIES LLC |
ii. SEC file number | 008-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
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:
| 10,833,804.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | MERRILL LYNCH,PIERCE,FENNER and SMITH, INC |
ii. SEC file number | 008-07221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,147,676.00000000 |
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:
| 13,259,010.00000000 |
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:
| 4,690,168.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | MORGAN STANLEY and 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:
| 8,106,665.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | MARKETAXESS HOLDINGS, INC. |
ii. SEC file number | 008-50727 |
iii. CRD number | 000044542 |
iv. LEI, if any | 5493002U1CA1XJOVID83 |
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:
| 55,007,385.00000000 |
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:
| 9,840,488.00000000 |
Principal Transactions Record:
9 |
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:
| 3,708,304.00000000 |
Principal Transactions Record:
10 |
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:
| 8,555,467.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Diamond Hill All Cap Select Fund Class Y |
ii. Class identification number, if any | C000108468 |
iii. Ticker symbol, if any | DHTYX |
Shares Outstanding Record:
2 |
i. Full name of Class | Diamond Hill All Cap Select Fund Class C |
ii. Class identification number, if any | C000033260 |
iii. Ticker symbol, if any | DHTCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Diamond Hill All Cap Select Fund Class A |
ii. Class identification number, if any | C000033259 |
iii. Ticker symbol, if any | DHTAX |
Shares Outstanding Record:
4 |
i. Full name of Class | Diamond Hill All Cap Select Fund Class I |
ii. Class identification number, if any | C000033261 |
iii. Ticker symbol, if any | DHLTX |
|
Transfer Agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-05829 |
iii. LEI, if any | N/A |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Transfer Agents Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-06385 |
iii. LEI, if any | 549300V6K8NOK1VFJG80 |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Pricing Services Record:
1 |
i. Full name | ICE Data Pricing & Reference Data LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | IHS Markit LTD |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BERMUDA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
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 | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
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
|
Administrators Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or other identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | MORGAN STANLEY and 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 | 6,189.00000000 |
Brokers Record:
2 |
i. Full name of broker | GOLDMAN, SACHS and CO. |
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. Gross commissions paid by the Fund for
the
reporting period | 7,921.00000000 |
Brokers Record:
3 |
i. Full name of broker | WEEDEN and CO. L.P. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | 549300OYBLKSN8M8EW67 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 98,949.00000000 |
Brokers Record:
4 |
i. Full name of broker | DEUTSCHE BANK SECURITIES, INC. |
ii. SEC file number | 008-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,868.00000000 |
Brokers Record:
5 |
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 | 2,238.00000000 |
Brokers Record:
6 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 2,299.00000000 |
Brokers Record:
7 |
i. Full name of broker | COWEN and CO., LLC |
ii. SEC file number | 008-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,767.00000000 |
Brokers Record:
8 |
i. Full name of broker | BARCLAYS CAPITAL, INC. |
ii. SEC file number | 008-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,785.00000000 |
Brokers Record:
9 |
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 | 8,141.00000000 |
Brokers Record:
10 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 8,144.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 163,658.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Diamond Hill Financial Long-Short Fund Class I |
ii. Class identification number, if any | C000008539 |
iii. Ticker symbol, if any | DHFSX |
Shares Outstanding Record:
2 |
i. Full name of Class | Diamond Hill Financial Long-Short Fund Class A |
ii. Class identification number, if any | C000008540 |
iii. Ticker symbol, if any | BANCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Diamond Hill Financial Long-Short Fund Class C |
ii. Class identification number, if any | C000008541 |
iii. Ticker symbol, if any | BSGCX |
|
Transfer Agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-05829 |
iii. LEI, if any | N/A |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Transfer Agents Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-06385 |
iii. LEI, if any | 549300V6K8NOK1VFJG80 |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Pricing Services Record:
1 |
i. Full name | Refinitiv |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | PricingDirect Inc |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | IHS Markit LTD |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BERMUDA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | ICE Data Pricing & Reference Data LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
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 | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
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
|
Administrators Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or other identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | 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 | 400.00000000 |
Brokers Record:
2 |
i. Full name of broker | WEEDEN and CO. L.P. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | 549300OYBLKSN8M8EW67 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11,111.00000000 |
Brokers Record:
3 |
i. Full name of broker | COWEN and CO., LLC |
ii. SEC file number | 008-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 152.00000000 |
Brokers Record:
4 |
i. Full name of broker | GOLDMAN, SACHS and CO. |
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. Gross commissions paid by the Fund for
the
reporting period | 1,340.00000000 |
Brokers Record:
5 |
i. Full name of broker | KEEFE, BRUYETTE and 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 | 318.00000000 |
Brokers Record:
6 |
i. Full name of broker | MORGAN STANLEY and 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 | 482.00000000 |
Brokers Record:
7 |
i. Full name of broker | FIDELITY BROKERAGE SERVICES LLC |
ii. SEC file number | 008-23292 |
iii. CRD number | 000007784 |
iv. LEI, if any | 549300OQFQ4NFIOD5695 |
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 | 68.00000000 |
Brokers Record:
8 |
i. Full name of broker | UBS FINANCIAL SERVICES, INC. |
ii. SEC file number | 008-16267 |
iii. CRD number | 000008174 |
iv. LEI, if any | ETYRV6ORNFJB5NONI676 |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 35.00000000 |
Brokers Record:
9 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 249.00000000 |
Brokers Record:
10 |
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 | 1,168.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 15,333.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Diamond Hill Mid Cap Fund Class Y |
ii. Class identification number, if any | C000134910 |
iii. Ticker symbol, if any | DHPYX |
Shares Outstanding Record:
2 |
i. Full name of Class | Diamond Hill Mid Cap Fund Class I |
ii. Class identification number, if any | C000134909 |
iii. Ticker symbol, if any | DHPIX |
Shares Outstanding Record:
3 |
i. Full name of Class | Diamond Hill Mid Cap Fund Class A |
ii. Class identification number, if any | C000134907 |
iii. Ticker symbol, if any | DHPAX |
|
Transfer Agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-05829 |
iii. LEI, if any | N/A |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Transfer Agents Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-06385 |
iii. LEI, if any | 549300V6K8NOK1VFJG80 |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Pricing Services Record:
1 |
i. Full name | PricingDirect Inc |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | ICE Data Pricing & Reference Data LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | IHS Markit LTD |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BERMUDA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
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 | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
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
|
Administrators Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or other identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | KEEFE, BRUYETTE and 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 | 266.00000000 |
Brokers Record:
2 |
i. Full name of broker | COWEN and CO., LLC |
ii. SEC file number | 008-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 909.00000000 |
Brokers Record:
3 |
i. Full name of broker | WEEDEN and CO. L.P. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | 549300OYBLKSN8M8EW67 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,441.00000000 |
Brokers Record:
4 |
i. Full name of broker | MERRILL LYNCH,PIERCE,FENNER and SMITH, INC |
ii. SEC file number | 008-07221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 938.00000000 |
Brokers Record:
5 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 544.00000000 |
Brokers Record:
6 |
i. Full name of broker | MORGAN STANLEY and 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 | 1,350.00000000 |
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 | 1,225.00000000 |
Brokers Record:
8 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 818.00000000 |
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 | 446.00000000 |
Brokers Record:
10 |
i. Full name of broker | MACQUARIE CAPITAL, INC. |
ii. SEC file number | 008-47198 |
iii. CRD number | 000036368 |
iv. LEI, if any | 549300670K07JRB5UQ40 |
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 | 280.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 17,967.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Diamond Hill Research Opportunities Fund Class I |
ii. Class identification number, if any | C000107763 |
iii. Ticker symbol, if any | DROIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Diamond Hill Research Opportunities Fund Class A |
ii. Class identification number, if any | C000107761 |
iii. Ticker symbol, if any | DHROX |
Shares Outstanding Record:
3 |
i. Full name of Class | Diamond Hill Research Opportunities Fund Class Y |
ii. Class identification number, if any | C000107764 |
iii. Ticker symbol, if any | DROYX |
Shares Outstanding Record:
4 |
i. Full name of Class | Diamond Hill Research Opportunities Fund Class C |
ii. Class identification number, if any | C000107762 |
iii. Ticker symbol, if any | DROCX |
|
Transfer Agents Record:
1 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-06385 |
iii. LEI, if any | 549300V6K8NOK1VFJG80 |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Transfer Agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-05829 |
iii. LEI, if any | N/A |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Pricing Services Record:
1 |
i. Full name | Refinitiv |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | IHS Markit LTD |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BERMUDA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | PricingDirect Inc |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | ICE Data Pricing & Reference Data LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
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 | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or other identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
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
|
Administrators Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | FIDELITY BROKERAGE SERVICES LLC |
ii. SEC file number | 008-23292 |
iii. CRD number | 000007784 |
iv. LEI, if any | 549300OQFQ4NFIOD5695 |
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 | 1,373.00000000 |
Brokers Record:
2 |
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 | 442.00000000 |
Brokers Record:
3 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 1,910.00000000 |
Brokers Record:
4 |
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 | 3,872.00000000 |
Brokers Record:
5 |
i. Full name of broker | MACQUARIE CAPITAL, INC. |
ii. SEC file number | 008-47198 |
iii. CRD number | 000036368 |
iv. LEI, if any | 549300670K07JRB5UQ40 |
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 | 700.00000000 |
Brokers Record:
6 |
i. Full name of broker | GOLDMAN, SACHS and CO. |
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. Gross commissions paid by the Fund for
the
reporting period | 9,271.00000000 |
Brokers Record:
7 |
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 | 1,513.00000000 |
Brokers Record:
8 |
i. Full name of broker | DEUTSCHE BANK SECURITIES, INC. |
ii. SEC file number | 008-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 425.00000000 |
Brokers Record:
9 |
i. Full name of broker | COWEN and CO., LLC |
ii. SEC file number | 008-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,133.00000000 |
Brokers Record:
10 |
i. Full name of broker | WEEDEN and CO. L.P. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | 549300OYBLKSN8M8EW67 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 17,219.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 42,964.00 |
|
Principal Transactions Record:
1 |
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:
| 151,875.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | MERRILL LYNCH,PIERCE,FENNER and SMITH, INC |
ii. SEC file number | 008-07221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 252,313.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | MORGAN STANLEY and 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:
| 898,222.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | GOLDMAN, SACHS and CO. |
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:
| 200,500.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Corporate CreditFund Class Y |
ii. Class identification number, if any | C000108466 |
iii. Ticker symbol, if any | DSIYX |
Shares Outstanding Record:
2 |
i. Full name of Class | Corporate Credit Fund Class A |
ii. Class identification number, if any | C000008542 |
iii. Ticker symbol, if any | DSIAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Corporate Credit Fund Class C |
ii. Class identification number, if any | C000008543 |
iii. Ticker symbol, if any | DSICX |
Shares Outstanding Record:
4 |
i. Full name of Class | Corporate Credit Fund Class I |
ii. Class identification number, if any | C000008544 |
iii. Ticker symbol, if any | DHSTX |
|
Transfer Agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-05829 |
iii. LEI, if any | N/A |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Transfer Agents Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-06385 |
iii. LEI, if any | 549300V6K8NOK1VFJG80 |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Pricing Services Record:
1 |
i. Full name | PricingDirect Inc |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | IHS Markit LTD |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BERMUDA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Refinitiv |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | ICE Data Pricing & Reference Data LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
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 | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or other identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
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
|
Administrators Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
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 | 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:
| 76,073,377.00000000 |
Principal Transactions Record:
2 |
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:
| 87,794,644.00000000 |
Principal Transactions Record:
3 |
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:
| 104,186,243.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | CREDIT SUISSE SECURITIES LLC |
ii. SEC file number | 008-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
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:
| 128,990,850.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | BARCLAYS CAPITAL, INC. |
ii. SEC file number | 008-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 138,026,181.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | MERRILL LYNCH,PIERCE,FENNER & SMITH, INC |
ii. SEC file number | 008-07221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 107,045,015.00000000 |
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:
| 65,573,652.00000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | GOLDMAN, SACHS and CO. |
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:
| 48,412,590.00000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | MARKETAXESS HOLDINGS, INC. |
ii. SEC file number | 008-50727 |
iii. CRD number | 000044542 |
iv. LEI, if any | 5493002U1CA1XJOVID83 |
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:
| 380,857,960.00000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | TRUMID FINANCIAL, LLC |
ii. SEC file number | 008-69500 |
iii. CRD number | 000172129 |
iv. LEI, if any | N/A |
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:
| 54,616,601.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Diamond Hill Large Cap Fund Class C |
ii. Class identification number, if any | C000008534 |
iii. Ticker symbol, if any | DHLCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Diamond Hill Large Cap Fund Class I |
ii. Class identification number, if any | C000008535 |
iii. Ticker symbol, if any | DHLRX |
Shares Outstanding Record:
3 |
i. Full name of Class | Diamond Hill Large Cap Fund Class A |
ii. Class identification number, if any | C000008533 |
iii. Ticker symbol, if any | DHLAX |
Shares Outstanding Record:
4 |
i. Full name of Class | Diamond Hill Large Cap Fund Class Y |
ii. Class identification number, if any | C000108464 |
iii. Ticker symbol, if any | DHLYX |
|
Transfer Agents Record:
1 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-06385 |
iii. LEI, if any | 549300V6K8NOK1VFJG80 |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Transfer Agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-05829 |
iii. LEI, if any | N/A |
iv. State, if applicable |
OHIO
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Pricing Services Record:
1 |
i. Full name | Refinitiv |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | PricingDirect Inc |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | ICE Data Pricing & Reference Data LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | IHS Markit LTD |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BERMUDA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
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 | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 084-05829 |
Description of other identifying number | SEC Number |
iii. State, if applicable |
OHIO
|
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
|
Administrators Record:
2 |
i. Full name | Diamond Hill Capital Management, Inc. |
ii. LEI, if any, or other identifying number | 549300V6K8NOK1VFJG80 |
Description of other identifying number | |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | WEEDEN and CO. L.P. |
ii. SEC file number | 008-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | 549300OYBLKSN8M8EW67 |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 407,426.00000000 |
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 | 23,583.00000000 |
Brokers Record:
3 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 112,330.00000000 |
Brokers Record:
4 |
i. Full name of broker | GOLDMAN, SACHS and CO. |
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. Gross commissions paid by the Fund for
the
reporting period | 37,178.00000000 |
Brokers Record:
5 |
i. Full name of broker | CREDIT SUISSE SECURITIES LLC |
ii. SEC file number | 008-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
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 | 31,785.00000000 |
Brokers Record:
6 |
i. Full name of broker | MERRILL LYNCH,PIERCE,FENNER and SMITH, INC |
ii. SEC file number | 008-07221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 52,700.00000000 |
Brokers Record:
7 |
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 | 60,768.00000000 |
Brokers Record:
8 |
i. Full name of broker | MORGAN STANLEY and 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 | 80,544.00000000 |
Brokers Record:
9 |
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 | 53,674.00000000 |
Brokers Record:
10 |
i. Full name of broker | DEUTSCHE BANK SECURITIES, INC. |
ii. SEC file number | 008-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 47,120.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 1,019,296.00000000 |