0001145549-22-001582.txt : 20220114
0001145549-22-001582.hdr.sgml : 20220114
20220114100240
ACCESSION NUMBER: 0001145549-22-001582
CONFORMED SUBMISSION TYPE: N-CEN/A
PUBLIC DOCUMENT COUNT: 3
CONFORMED PERIOD OF REPORT: 20210430
FILED AS OF DATE: 20220114
DATE AS OF CHANGE: 20220114
EFFECTIVENESS DATE: 20220114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Investment Managers Series Trust
CENTRAL INDEX KEY: 0001318342
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: N-CEN/A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21719
FILM NUMBER: 22530660
BUSINESS ADDRESS:
STREET 1: 235 WEST GALENA STREET
CITY: MILWAUKEE
STATE: WI
ZIP: 53212
BUSINESS PHONE: 626-914-4141
MAIL ADDRESS:
STREET 1: 235 WEST GALENA STREET
CITY: MILWAUKEE
STATE: WI
ZIP: 53212
FORMER COMPANY:
FORMER CONFORMED NAME: Claymore Trust
DATE OF NAME CHANGE: 20050603
FORMER COMPANY:
FORMER CONFORMED NAME: Claymore Equity Trust
DATE OF NAME CHANGE: 20050218
0001318342
S000032897
WCM Focused International Growth Fund
C000101539
Institutional Class
WCMIX
C000104483
Investor Class
WCMRX
0001318342
S000041213
WCM Focused Emerging Markets Fund
C000127811
Institutional Class
WCMEX
C000127812
Investor Class
WFEMX
0001318342
S000041214
WCM Focused Global Growth Fund
C000127813
Institutional Class
WCMGX
C000127814
Investor Class
WFGGX
0001318342
S000051068
WCM International Small Cap Growth Fund
C000160892
Institutional Class Shares
WCMSX
0001318342
S000066861
WCM Focused Small Cap Fund
C000215233
Investor Class Shares
WCMJX
C000215234
Institutional Class Shares
WCMFX
0001318342
S000066862
WCM Small Cap Growth Fund
C000215235
Institutional Class Shares
WCMLX
C000215236
Investor Class Shares
WCMNX
0001318342
S000068293
WCM China Quality Growth Fund
C000218621
Investor Class Shares
WCQGX
C000218622
Institutional Class Shares
WCMCX
0001318342
S000068294
WCM Sustainable Developing World Fund
C000218623
Investor Class Shares
WCMUX
C000218624
Institutional Class Shares
WCMDX
0001318342
S000068295
WCM Sustainable International Fund
C000218625
Investor Class Shares
WESGX
C000218626
Institutional Class Shares
WCMMX
0001318342
S000068493
Knowledge Leaders Developed World ETF
C000219048
Knowledge Leaders Developed World ETF
KLDW
0001318342
S000068910
WCM Focused International Value Fund
C000220167
Institutional Class Shares
WCMVX
C000220168
Investor Class Shares
WLIVX
0001318342
S000071190
WCM Focused International Opportunities Fund
C000225976
Investor Class Shares
WCFOX
C000225977
Institutional Class Shares
WCMOX
N-CEN/A
1
primary_doc.xml
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INVESTMENT MANAGERS SERIES TRUST
811-21719
0001318342
549300ESWU4ZNAH5Y054
235 WEST GALENA STREET
MILWAUKEE
532123948
US-WI
US
4142992000
UMB FUND SERVICES, INC.
235 WEST GALENA STREET
MILWAUKEE
53212
4142992000
TRANSFER AGENT, FUND ACCOUNTANT AND CO-ADMINISTRATOR
MUTUAL FUND ADMINISTRATION, LLC
2220 E. ROUTE 66, SUITE 226
GLENDORA
91740
6269144141
CO-ADMINISTRATOR
UMB BANK, N.A.
928 GRAND BOULEVARD, 5TH FLOOR
KANSAS CITY
64106
8168601142
CUSTODIAN
IMST Distributors, LLC
Three Canal Plaza
Suite 100
Portland
04101
8662516920
DISTRIBUTOR
NATIXIS DISTRIBUTION, L.P.
888 BOYLSTON STREET, SUITE 800
BOSTON
02199
8008624863
DISTRIBUTOR
WCM Investment Management
281 Brooks Street
Laguna Beach
92651
9493800200
INVESTMENT ADVISER
Knowledge Leaders Capital, LLC
1600 Broadway
Suite 1600
Denver
80202
3037631810
INVESTMENT ADVISER
BROWN BROTHERS HARRIMAN & CO.
50 POST OFFICE SQUARE
BOSTON
02110
6177721818
TRANSFER AGENT, FUND ACCOUNTANT AND CUSTODIAN
N
N
N-1A
55
Y
CHARLES H. MILLER
N/A
N
ASHLEY TOOMEY RABUN
N/A
N
WILLIAM H. YOUNG
N/A
N
JOHN P. ZADER
N/A
N
ERIC M. BANHAZL
N/A
Y
MAUREEN QUILL
001421521
Y
MARTIN W. DZIURA
N/A
309 WOODRIDGE LANE
MEDIA
19063
XXXXXX
N
N
N
N
N
N
N
IMST DISTRIBUTORS, LLC
8-66389
000130745
N/A
N
NATIXIS DISTRIBUTION, L.P.
8-46325
000034754
N/A
Y
N
TAIT, WELLER & BAKER LLP
00445
N/A
N
N
N
N
N
N
N
WCM Focused International Growth Fund
S000032897
549300UG6YELRC2USD98
N
2
0
0
N/A
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Y
N
N
N
WCM Investment Management
801-11916
000104702
5493003P0SCEHNDSMX52
N
UMB FUND SERVICES, INC.
084-05792
N/A
Y
N
N
INTERCONTINENTAL EXCHANGE, INC.
5493000F4ZO33MV32P92
N
N
UMB BANK, NATIONAL ASSOCIATION
VNOO6EITDJ2YUEBMSZ83
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
BANAMEX
N/A
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco de Chile
N/A
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS BELGIUM
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS FRANKFURT
N/A
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS NETHERLANDS
N/A
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS PORTUGAL
N/A
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CACEIS BANK
N/A
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK AS
N/A
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK ISRAEL
N/A
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK JAKARTA
N/A
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Korea Inc.
N/A
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK LONDON
N/A
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK MUMBAI
N/A
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK, N.A., SAO PAULO
N/A
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A. Buenos Aires
N/A
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citigroup Pty Limited
N/A
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CREDIT SUISSE(SWITZERLAND)LTD.
N/A
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS BANK LTD
N/A
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
EUROCLEAR BK SA NV
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BANK BERMUDA
N/A
BM
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BK PLC
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC THAILAND
N/A
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG BANK, LTD.
N/A
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
RBC INV SERVICES
N/A
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (CHINA) LTD
N/A
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (HONG KONG) LTD
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (TAIWAN) LTD
N/A
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB MALAYSIA BERHAD
N/A
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB PHILIPPINES
N/A
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB SOUTH AFRICA
N/A
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB AB PUBL
N/A
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB DENMARK
N/A
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB FINLAND
N/A
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB NORWAY
N/A
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SEC SERV SPA
N/A
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SPAIN
N/A
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
MUTUAL FUND ADMINISTRATION, LLC
N/A
Y
N
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
LIQUIDNET, INC.
8-52461
000103987
213800HSKBBO1GCVRG79
1580300.000000000000
BANC OF AMERICA SECURITIES LLC
8-42263
000026091
N/A
1200746.000000000000
J.P. MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
892649.000000000000
BERENBERG CAPITAL MARKETS LLC
8-68821
000156757
5493007EG0CYRKKG9L11
883505.000000000000
ITAU BBA USA SECURITIES, INC.
8-53702
000118817
5493008E85XK12EKYI22
781695.000000000000
UBS SECURITIES LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
758827.000000000000
GOLDMAN SACHS & CO. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
727744.000000000000
BARCLAYS CAPITAL INC.
8-41342
000019714
AC28XWWI3WIBK2824319
709858.000000000000
CITIGROUP GLOBAL MARKETS INC.
8-8177
000007059
6SHGI4ZSSLCXXQSBB395
576816.000000000000
SANFORD C. BERNSTEIN & CO., LLC
8-52942
000104474
549300I7JYZHT7D5CO04
568649.000000000000
12061134.000000000000
BROWN BROTHERS HARRIMAN & CO.
8-60256
000111231
5493006KMX1VFTPYPW14
7063015863.000000000000
CREDIT SUISSE SECURITIES (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
26012622.000000000000
7089028485.000000000000
Y
18757731351.000000000000
N
N
N
N
WCM International Small Cap Growth Fund
S000051068
549300PRBSIPPNXR7131
N
1
0
0
N/A
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
WCM Investment Management
801-11916
000104702
5493003P0SCEHNDSMX52
N
UMB FUND SERVICES, INC.
084-05792
N/A
Y
N
N
INTERCONTINENTAL EXCHANGE, INC.
5493000F4ZO33MV32P92
N
N
UMB BANK, NATIONAL ASSOCIATION
VNOO6EITDJ2YUEBMSZ83
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
AO CITIBANK
N/A
RU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANAMEX
N/A
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANK HANDLOWY
N/A
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS BELGIUM
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS FRANKFURT
N/A
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS NETHERLANDS
N/A
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CACEIS BANK
N/A
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK AS
N/A
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK ISRAEL
N/A
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK JAKARTA
N/A
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Korea Inc.
N/A
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK LONDON
N/A
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK MUMBAI
N/A
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK, N.A., SAO PAULO
N/A
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank N.A. Buenos Aires
N/A
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citigroup Pty Limited
N/A
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITITRUST COLOMBIA
N/A
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CREDIT SUISSE(SWITZERLAND)LTD.
N/A
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS BANK LTD
N/A
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
EUROCLEAR BK SA NV
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HBME DIFC
N/A
AE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BK (VIETNAM)
N/A
VN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BK PLC
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC NEW ZEALAND
N/A
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC SAUDI ARABIA AND SABB
N/A
SA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC THAILAND
N/A
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG BANK, LTD.
N/A
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
RBC INV SERVICES
N/A
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (CHINA) LTD
N/A
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (HONG KONG) LTD
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (TAIWAN) LTD
N/A
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB MALAYSIA BERHAD
N/A
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB PHILIPPINES
N/A
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB SOUTH AFRICA
N/A
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB AB PUBL
N/A
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB DENMARK
N/A
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB FINLAND
N/A
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB NORWAY
N/A
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SEC SERV SPA
N/A
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SPAIN
N/A
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UNICREDIT BK AUSTRIA
N/A
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
MUTUAL FUND ADMINISTRATION, LLC
N/A
Y
N
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
BERENBERG CAPITAL MARKETS LLC
8-68821
000156757
5493007EG0CYRKKG9L11
187272.000000000000
CARNEGIE, INC.
8-45389
000031184
549300TV0TOBI3QUPX65
171588.000000000000
DAIWA CAPITAL MARKETS AMERICA INC.
8-12242
000001576
M67H5PRC0NQKM73ZAS82
148729.000000000000
BARCLAYS CAPITAL INC.
8-41342
000019714
AC28XWWI3WIBK2824319
135471.000000000000
CITIGROUP GLOBAL MARKETS INC.
8-8177
000007059
6SHGI4ZSSLCXXQSBB395
125759.000000000000
J.P. MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
109112.000000000000
BANC OF AMERICA SECURITIES LLC
8-42263
000026091
N/A
85011.000000000000
SMBC NIKKO SECURITIES AMERICA, INC.
8-43852
000028602
N/A
66359.000000000000
LIQUIDNET, INC.
8-52461
000103987
213800HSKBBO1GCVRG79
47506.000000000000
Skandinaviska Enskilda Banken AB
N/A
N/A
N/A
SE
42604.000000000000
1457043.000000000000
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
8-69731
000282732
5493006KMX1VFTPYPW14
879129956.000000000000
BANC OF AMERICA SECURITIES LLC
8-42263
000026091
N/A
17875602.000000000000
CARNEGIE, INC.
8-45389
000031184
549300TV0TOBI3QUPX65
7918143.000000000000
ABG SUNDAL COLLIER
8-44768
000030605
N/A
5712733.000000000000
MORGAN STANLEY
8-68191
000149777
9R7GPTSO7KV3UQJZQ078
5686322.000000000000
BERENBERG CAPITAL MARKETS LLC
8-68821
000156757
5493007EG0CYRKKG9L11
3733783.000000000000
MACQUARIE CAPITAL (USA) INC.
8-47198
000036368
549300670K07JRB5UQ40
3369880.000000000000
GOLDMAN SACHS & CO. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
3223535.000000000000
ITAU BBA USA SECURITIES, INC.
8-53702
000118817
5493008E85XK12EKYI22
2392841.000000000000
RBC CAPITAL MARKETS, LLC
8-45411
000031194
549300LCO2FLSSVFFR64
1242422.000000000000
724572585.000000000000
Y
372282922.000000000000
N
N
N
N
WCM Focused Global Growth Fund
S000041214
549300CG0WDLGFWFJ642
N
2
0
0
N/A
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
WCM Investment Management
801-11916
000104702
5493003P0SCEHNDSMX52
N
UMB FUND SERVICES, INC.
084-05792
N/A
Y
N
N
INTERCONTINENTAL EXCHANGE, INC.
5493000F4ZO33MV32P92
N
N
UMB BANK, NATIONAL ASSOCIATION
VNOO6EITDJ2YUEBMSZ83
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Citibank N.A. Buenos Aires
N/A
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIGROUP PTY LIMITED
N/A
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS BELGIUM
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BANK BERMUDA
N/A
BM
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, N.A., Sao Paolo Branch
N/A
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
RBC INV SERVICES
N/A
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco de Chile
N/A
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (CHINA) LTD
N/A
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB DENMARK
N/A
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
EUROCLEAR BK SA NV
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK LONDON
N/A
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB FINLAND
N/A
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CACEIS BANK
N/A
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Korea Inc.
N/A
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS FRANKFURT
N/A
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANAMEX
N/A
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB PHILIPPINES
N/A
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (HONG KONG) LTD
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK JAKARTA
N/A
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB SOUTH AFRICA
N/A
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BK PLC
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK MUMBAI
N/A
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB MALAYSIA BERHAD
N/A
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS NETHERLANDS
N/A
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB NORWAY
N/A
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK AS
N/A
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG BANK, LTD.
N/A
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS PORTUGAL
N/A
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS BANK LTD
N/A
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SPAIN
N/A
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB AB PUBL
N/A
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CREDIT SUISSE(SWITZERLAND)LTD.
N/A
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (TAIWAN) LTD
N/A
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC THAILAND
N/A
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SEC SERV SPA
N/A
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
MUTUAL FUND ADMINISTRATION, LLC
N/A
Y
N
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
J.P. MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
43484.000000000000
BANC OF AMERICA SECURITIES LLC
8-42263
000026091
N/A
29033.000000000000
UBS SECURITIES LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
21651.000000000000
CITIGROUP GLOBAL MARKETS INC.
8-8177
000007059
6SHGI4ZSSLCXXQSBB395
20862.000000000000
GOLDMAN SACHS & CO. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
18231.000000000000
LIQUIDNET, INC.
8-52461
000103987
213800HSKBBO1GCVRG79
16983.000000000000
ITAU BBA USA SECURITIES, INC.
8-53702
000118817
5493008E85XK12EKYI22
14600.000000000000
BARCLAYS CAPITAL INC.
8-41342
000019714
AC28XWWI3WIBK2824319
13867.000000000000
JEFFERIES LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
10431.000000000000
BERENBERG CAPITAL MARKETS LLC
8-68821
000156757
5493007EG0CYRKKG9L11
10018.000000000000
239296.000000000000
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
8-69731
000282732
5493006KMX1VFTPYPW14
106121035.000000000000
CREDIT SUISSE SECURITIES (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
621461.000000000000
106742496.000000000000
Y
394966260.000000000000
N
N
N
N
WCM Focused Emerging Markets Fund
S000041213
5493004PSCRWO0N8YL71
N
2
0
0
N/A
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
WCM Investment Management
801-11916
000104702
5493003P0SCEHNDSMX52
N
UMB FUND SERVICES, INC.
084-05792
N/A
Y
N
N
INTERCONTINENTAL EXCHANGE, INC.
5493000F4ZO33MV32P92
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
Y
UMB BANK, NATIONAL ASSOCIATION
VNOO6EITDJ2YUEBMSZ83
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Citibank N.A. Buenos Aires
N/A
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIGROUP PTY LIMITED (AUD)
N/A
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS BELGIUM
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BANK BERMUDA
N/A
BM
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, N.A., Sao Paolo Branch
N/A
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
RBC INV SERVICES
N/A
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco de Chile
N/A
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (CHINA) LTD
N/A
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITITRUST COLOMBIA
N/A
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBK EUROPE CZECH
N/A
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB DENMARK
N/A
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK CAIRO
N/A
EG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
EUROCLEAR BK SA NV
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK LONDON
N/A
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB FINLAND
N/A
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CACEIS BANK
N/A
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK KOREA INC
N/A
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS FRANKFURT
N/A
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANAMEX
N/A
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB PHILIPPINES
N/A
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (HONG KONG) LTD
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK JAKARTA
N/A
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB SOUTH AFRICA
N/A
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBK EUROPE HUNG
N/A
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BK PLC
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK MUMBAI
N/A
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB MALAYSIA BERHAD
N/A
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS NETHERLANDS
N/A
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB NORWAY
N/A
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK AS
N/A
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK ISRAEL
N/A
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK MAGHREB
N/A
MA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK DEL PERU S.A.
N/A
PE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANK HANDLOWY
N/A
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG BANK, LTD.
N/A
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS PORTUGAL
N/A
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS BANK LTD
N/A
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SPAIN
N/A
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB AB PUBL
N/A
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CREDIT SUISSE(SWITZERLAND)LTD.
N/A
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (TAIWAN) LTD
N/A
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC THAILAND
N/A
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BK (VIETNAM)
N/A
VN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
AO CITIBANK
N/A
RU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC SAUDI ARABIA AND SABB
N/A
SA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC CONTL EUROPE (GREECE)
N/A
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
MUTUAL FUND ADMINISTRATION, LLC
N/A
Y
N
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
J.P. MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
696182.000000000000
CITIGROUP GLOBAL MARKETS INC.
8-8177
000007059
6SHGI4ZSSLCXXQSBB395
552289.000000000000
HSBC SECURITIES (USA) INC.
8-41562
000019585
CYYGQCGNHMHPSMRL3R97
547587.000000000000
ITAU BBA USA SECURITIES, INC.
8-53702
000118817
5493008E85XK12EKYI22
187291.000000000000
KOREA INVESTMENT & SECURITIES AMERICA, INC.
8-52615
000104158
N/A
180203.000000000000
UBS SECURITIES LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
179830.000000000000
KOTAK MAHINDRA (UK) LIMITED
8-51740
001085136
2138002L319H1ZIHGN15
146626.000000000000
GOLDMAN SACHS & CO. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
124139.000000000000
BANC OF AMERICA SECURITIES LLC
8-42263
000026091
N/A
85392.000000000000
MACQUARIE CAPITAL (USA) INC.
8-47198
000036368
549300670K07JRB5UQ40
72664.000000000000
3147602.000000000000
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
8-69731
000282732
5493006KMX1VFTPYPW14
1323310577.000000000000
CITIGROUP GLOBAL MARKETS INC.
8-8177
000007059
6SHGI4ZSSLCXXQSBB395
1713184.000000000000
CREDIT SUISSE SECURITIES (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
27020.000000000000
1325050781.000000000000
Y
1137187222.000000000000
N
N
N
N
WCM Focused Small Cap Fund
S000066861
5493006T7JCRDPADGF42
N
2
0
0
N/A
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
WCM Investment Management
801-11916
000104702
5493003P0SCEHNDSMX52
N
UMB FUND SERVICES, INC.
084-05792
N/A
Y
N
N
INTERCONTINENTAL EXCHANGE, INC.
5493000F4ZO33MV32P92
N
N
UMB BANK, NATIONAL ASSOCIATION
VNOO6EITDJ2YUEBMSZ83
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
MUTUAL FUND ADMINISTRATION, LLC
N/A
Y
N
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
B. RILEY & CO., LLC
8-49016
000040355
549300AEVMODVBY3QS51
31404.000000000000
CANTOR FITZGERALD & CO.
8-201
000000134
5493004J7H4GCPG6OB62
9708.000000000000
STIFEL, NICOLAUS & COMPANY, INCORPORATED
8-1447
000000793
N/A
9154.000000000000
BIDS TRADING L.P.
8-67376
000141296
254900J9JVL76SF70898
5365.000000000000
LIQUIDNET, INC.
8-52461
000103987
213800HSKBBO1GCVRG79
4667.000000000000
ROBERT W. BAIRD & CO. INCORPORATED
8-497
000008158
549300772UJAHRD6LO53
3007.000000000000
JEFFERIES LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
2041.000000000000
INSTINET, LLC
8-23669
000007897
549300MGMN3RKMU8FT57
1209.000000000000
GOLDMAN SACHS & CO. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
183.000000000000
VIRTU AMERICAS LLC
8-68193
000149823
N/A
180.000000000000
67836.000000000000
0.000000000000
Y
57961211.000000000000
N
N
N
N
WCM Small Cap Growth Fund
S000066862
549300GG92NXXS2KYK78
N
2
0
0
N/A
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
WCM Investment Management
801-11916
000104702
5493003P0SCEHNDSMX52
N
UMB FUND SERVICES, INC.
084-05792
N/A
Y
N
N
INTERCONTINENTAL EXCHANGE, INC.
5493000F4ZO33MV32P92
N
N
UMB BANK, NATIONAL ASSOCIATION
VNOO6EITDJ2YUEBMSZ83
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
MUTUAL FUND ADMINISTRATION, LLC
N/A
Y
N
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
CANACCORD GENUITY INC.
8-3271
000001020
WTX5X269IUOQ9YMI7R44
8725.000000000000
PIPER JAFFRAY & CO.
8-15204
000000665
N/A
8498.000000000000
STIFEL, NICOLAUS & COMPANY, INCORPORATED
8-1447
000000793
N/A
3253.000000000000
NEEDHAM & COMPANY, LLC
8-33772
000016360
N/A
2924.000000000000
KEYBANC CAPITAL MARKETS INC.
8-30177
000000566
2EQWV0180Z211YVAD813
2221.000000000000
JEFFERIES LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
2155.000000000000
WELLS FARGO CLEARING SERVICES, LLC
8-37180
000019616
88KRVSOEKUGQZJ3DKW55
1606.000000000000
ROBERT W. BAIRD & CO. INCORPORATED
8-497
000008158
549300772UJAHRD6LO53
1265.000000000000
BIDS TRADING L.P.
8-67376
000141296
254900J9JVL76SF70898
1055.000000000000
LIQUIDNET, INC.
8-52461
000103987
213800HSKBBO1GCVRG79
1028.000000000000
33616.000000000000
0.000000000000
Y
29730203.000000000000
N
N
N
N
WCM China Quality Growth Fund
S000068293
549300V0P5NHBNITNH50
N
2
0
0
N/A
Y
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
WCM Investment Management
801-11916
000104702
5493003P0SCEHNDSMX52
N
UMB FUND SERVICES, INC.
084-05792
N/A
Y
N
N
INTERCONTINENTAL EXCHANGE, INC.
5493000F4ZO33MV32P92
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
Y
UMB BANK, NATIONAL ASSOCIATION
VNOO6EITDJ2YUEBMSZ83
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
EUROCLEAR
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (TAIWAN) LTD
N/A
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (HONG KONG) LTD
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
MUTUAL FUND ADMINISTRATION, LLC
N/A
Y
N
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
HSBC SECURITIES (USA) INC.
8-41562
000019585
CYYGQCGNHMHPSMRL3R97
12032.000000000000
J.P. MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
5504.000000000000
MORGAN STANLEY
8-68191
000149777
9R7GPTSO7KV3UQJZQ078
4999.000000000000
CITIGROUP GLOBAL MARKETS INC.
8-8177
000007059
6SHGI4ZSSLCXXQSBB395
4678.000000000000
GOLDMAN SACHS & CO. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
3573.000000000000
UBS SECURITIES LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
1284.000000000000
BANC OF AMERICA SECURITIES LLC
8-42263
000026091
N/A
1114.000000000000
JEFFERIES LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
545.000000000000
SANFORD C. BERNSTEIN & CO., LLC
8-52942
000104474
549300I7JYZHT7D5CO04
434.000000000000
MACQUARIE CAPITAL (USA) INC.
8-47198
000036368
549300670K07JRB5UQ40
403.000000000000
35144.000000000000
BROWN BROTHERS HARRIMAN & CO.
N/A
000104487
5493006KMX1VFTPYPW14
12355795.000000000000
CITIGROUP GLOBAL MARKETS INC.
8-8177
000007059
6SHGI4ZSSLCXXQSBB395
17662.000000000000
12373457.000000000000
Y
6876832.000000000000
N
N
N
N
WCM Focused ESG Emerging Markets Fund
S000068294
5493001HHNGCM1VP1D62
N
2
0
0
N/A
Y
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
WCM Investment Management
801-11916
000104702
5493003P0SCEHNDSMX52
N
UMB FUND SERVICES, INC.
084-05792
N/A
Y
N
N
INTERCONTINENTAL EXCHANGE, INC.
5493000F4ZO33MV32P92
N
N
UMB BANK, NATIONAL ASSOCIATION
VNOO6EITDJ2YUEBMSZ83
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
BANAMEX
N/A
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS BELGIUM
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS FRANKFURT
N/A
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS NETHERLANDS
N/A
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CACEIS BANK
N/A
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK AS
N/A
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK DEL PERU
N/A
PE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK JAKARTA
N/A
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK KOREA INC
N/A
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK LONDON
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK MUMBAI
N/A
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK, N.A., SAO PAULO
N/A
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITITRUST COLOMBIA
N/A
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CREDIT SUISSE(SWITZERLAND)LTD.
N/A
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS BANK LTD
N/A
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
EUROCLEAR BK SA NV
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HBME DIFC
N/A
AE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BK (VIETNAM)
N/A
VN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BK PLC
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC THAILAND
N/A
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG BANK, LTD.
N/A
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
RBC INV SERVICES
N/A
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (CHINA) LTD
N/A
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (HONG KONG) LTD
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (TAIWAN) LTD
N/A
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB MALAYSIA BERHAD
N/A
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB PHILIPPINES
N/A
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB SOUTH AFRICA
N/A
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB AB PUBL
N/A
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB DENMARK
N/A
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB FINLAND
N/A
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB NORWAY
N/A
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SEC SERV SPA
N/A
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SPAIN
N/A
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
MUTUAL FUND ADMINISTRATION, LLC
N/A
Y
N
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
HSBC SECURITIES (USA) INC.
8-41562
000019585
CYYGQCGNHMHPSMRL3R97
203.000000000000
BANC OF AMERICA SECURITIES LLC
8-42263
000026091
N/A
187.000000000000
Kotak Mahindra, Inc.
8-51740
000047251
254900P143OQOZDAIL33
187.000000000000
J.P. MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
164.000000000000
BARCLAYS CAPITAL INC.
8-41342
000019714
AC28XWWI3WIBK2824319
158.000000000000
MAYBANK KIM ENG SECURITIES USA INC.
8-43264
000027861
2549009H2HEH6G0DLU87
130.000000000000
UBS SECURITIES LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
125.000000000000
CITIGROUP GLOBAL MARKETS INC.
8-8177
000007059
6SHGI4ZSSLCXXQSBB395
107.000000000000
JEFFERIES LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
68.000000000000
BERENBERG CAPITAL MARKETS LLC
8-68821
000156757
5493007EG0CYRKKG9L11
65.000000000000
1502.000000000000
BROWN BROTHERS HARRIMAN & CO.
N/A
000104487
5493006KMX1VFTPYPW14
673185.000000000000
673185.000000000000
Y
966296.000000000000
N
N
N
N
WCM Focused ESG International Fund
S000068295
549300SXXQPNOURH2B21
N
2
0
0
N/A
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
WCM Investment Management
801-11916
000104702
5493003P0SCEHNDSMX52
N
UMB FUND SERVICES, INC.
084-05792
N/A
Y
N
N
INTERCONTINENTAL EXCHANGE, INC.
5493000F4ZO33MV32P92
N
N
UMB BANK, NATIONAL ASSOCIATION
VNOO6EITDJ2YUEBMSZ83
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
BANAMEX
N/A
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANK HANDLOWY
N/A
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS BELGIUM
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS FRANKFURT
N/A
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS NETHERLANDS
N/A
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CACEIS BANK
N/A
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK AS
N/A
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK DEL PERU
N/A
PE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK JAKARTA
N/A
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK KOREA INC
N/A
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK LONDON
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK, N.A., SAO PAULO
N/A
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBK EUROPE CZECH
N/A
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citigroup Pty Limited
N/A
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITITRUST COLOMBIA
N/A
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CREDIT SUISSE(SWITZERLAND)LTD.
N/A
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS BANK LTD
N/A
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
EUROCLEAR BK SA NV
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HBME DIFC
N/A
AE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BK (VIETNAM)
N/A
VN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BK PLC
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC NEW ZEALAND
N/A
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG BANK, LTD.
N/A
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
RBC INV SERVICES
N/A
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (CHINA) LTD
N/A
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (HONG KONG) LTD
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (TAIWAN) LTD
N/A
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB MALAYSIA BERHAD
N/A
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB PHILIPPINES
N/A
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB SOUTH AFRICA
N/A
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB AB PUBL
N/A
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB DENMARK
N/A
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB FINLAND
N/A
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB NORWAY
N/A
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SEC SERV SPA
N/A
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SPAIN
N/A
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UNICREDIT BK AUSTRIA
N/A
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
MUTUAL FUND ADMINISTRATION, LLC
N/A
Y
N
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
N
J.P. MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
385.000000000000
BANC OF AMERICA SECURITIES LLC
8-42263
000026091
N/A
384.000000000000
BARCLAYS CAPITAL INC.
8-41342
000019714
AC28XWWI3WIBK2824319
353.000000000000
BERENBERG CAPITAL MARKETS LLC
8-68821
000156757
5493007EG0CYRKKG9L11
144.000000000000
UBS SECURITIES LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
140.000000000000
MAYBANK KIM ENG SECURITIES USA INC.
8-43264
000027861
2549009H2HEH6G0DLU87
138.000000000000
CITIGROUP GLOBAL MARKETS INC.
8-8177
000007059
6SHGI4ZSSLCXXQSBB395
119.000000000000
CARNEGIE, INC.
8-45389
000031184
549300TV0TOBI3QUPX65
75.000000000000
SANFORD C. BERNSTEIN & CO., LLC
8-52942
000104474
549300I7JYZHT7D5CO04
72.000000000000
HSBC SECURITIES (USA) INC.
8-41562
000019585
CYYGQCGNHMHPSMRL3R97
37.000000000000
1937.000000000000
BROWN BROTHERS HARRIMAN & CO.
N/A
000104487
5493006KMX1VFTPYPW14
1050698.000000000000
1050698.000000000000
Y
1067446.000000000000
N
N
N
N
WCM Focused International Value Fund
S000068910
549300Y3Z9PEZMNQ6P81
Y
2
2
0
N/A
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
WCM Investment Management
801-11916
000104702
5493003P0SCEHNDSMX52
2020-06-29
UMB FUND SERVICES, INC.
084-05792
N/A
Y
N
Y
INTERCONTINENTAL EXCHANGE, INC.
5493000F4ZO33MV32P92
N
Y
UMB BANK, NATIONAL ASSOCIATION
VNOO6EITDJ2YUEBMSZ83
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
CITIGROUP PTY LIMITED
N/A
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS BELGIUM
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UNICREDIT BK AUSTRIA
N/A
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
RBC INV SERVICES
N/A
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB DENMARK
N/A
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
EUROCLEAR BK SA NV
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB FINLAND
N/A
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CACEIS BANK
N/A
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS FRANKFURT
N/A
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (HONG KONG) LTD
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, N.A., London Branch
N/A
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK JAKARTA
N/A
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BK PLC
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK ISRAEL
N/A
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SEC SERV SPA
N/A
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG BANK, LTD.
N/A
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANAMEX
N/A
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS NETHERLANDS
N/A
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC NEW ZEALAND
N/A
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB NORWAY
N/A
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS PORTUGAL
N/A
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS BANK LTD
N/A
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SPAIN
N/A
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB AB PUBL
N/A
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CREDIT SUISSE(SWITZERLAND)LTD.
N/A
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB South Africa
N/A
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC THAILAND
N/A
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
Y
MUTUAL FUND ADMINISTRATION, LLC
N/A
Y
N
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
Y
BANC OF AMERICA SECURITIES LLC
8-42263
000026091
N/A
1070.000000000000
UBS SECURITIES LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
402.000000000000
J.P. MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
381.000000000000
CITIGROUP GLOBAL MARKETS INC.
8-8177
000007059
6SHGI4ZSSLCXXQSBB395
360.000000000000
JEFFERIES LLC
8-15074
000002347
58PU97L1C0WSRCWADL48
285.000000000000
DAIWA CAPITAL MARKETS AMERICA INC.
8-12242
000001576
M67H5PRC0NQKM73ZAS82
261.000000000000
BARCLAYS CAPITAL INC.
8-41342
000019714
AC28XWWI3WIBK2824319
227.000000000000
BERENBERG CAPITAL MARKETS LLC
8-68821
000156757
5493007EG0CYRKKG9L11
130.000000000000
B. RILEY & CO., LLC
8-49016
000040355
549300AEVMODVBY3QS51
72.000000000000
CANTOR FITZGERALD & CO.
8-201
000000134
5493004J7H4GCPG6OB62
51.000000000000
3414.000000000000
BROWN BROTHERS HARRIMAN & CO.
N/A
000104487
5493006KMX1VFTPYPW14
1592867.000000000000
DAIWA CAPITAL MARKETS AMERICA INC.
8-12242
000001576
M67H5PRC0NQKM73ZAS82
71848.000000000000
BANC OF AMERICA SECURITIES LLC
8-42263
000026091
N/A
9362.000000000000
1674077.000000000000
Y
1535488.000000000000
N
N
N
N
WCM Focused International Opportunities Fund
S000071190
549300OADOT4DHMM3I93
Y
2
2
0
N/A
N
N
N
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
Y
Y
Y
N
WCM Investment Management
801-11916
000104702
5493003P0SCEHNDSMX52
2021-03-30
UMB FUND SERVICES, INC.
084-05792
N/A
Y
N
Y
INTERCONTINENTAL EXCHANGE, INC.
5493000F4ZO33MV32P92
N
Y
UMB BANK, NATIONAL ASSOCIATION
VNOO6EITDJ2YUEBMSZ83
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
BANAMEX
N/A
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANK HANDLOWY
N/A
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS BELGIUM
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS FRANKFURT
N/A
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNPPSS NETHERLANDS
N/A
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CACEIS BANK
N/A
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK AS
N/A
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK ISRAEL
N/A
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK JAKARTA
N/A
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK KOREA INC
N/A
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK LONDON
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK, N.A., SAO PAULO
N/A
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK BUENOS AIRES
N/A
AR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIGROUP PTY LIMITED
N/A
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CREDIT SUISSE (SWITZERLAND) LTD.
N/A
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS BANK LTD
N/A
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
EUROCLEAR
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BK PLC
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC HONG KONG
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC NEW ZEALAND
N/A
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC THAILAND
N/A
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG BANK, LTD.
N/A
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
RBC INV SERVICES
N/A
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (HONG KONG) LTD
N/A
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB (TAIWAN) LTD
N/A
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB MALAYSIA BERHAD
N/A
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB PHILIPPINES
N/A
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SCB SOUTH AFRICA
N/A
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB AB PUBL
N/A
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB DENMARK
N/A
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SEB NORWAY
N/A
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SEC SERV SPA
N/A
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCGEN SPAIN
N/A
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
Y
MUTUAL FUND ADMINISTRATION, LLC
N/A
Y
N
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
Y
BARCLAYS CAPITAL INC.
8-41342
000019714
AC28XWWI3WIBK2824319
353.000000000000
BANC OF AMERICA SECURITIES LLC
8-42263
000026091
N/A
198.000000000000
CITIGROUP GLOBAL MARKETS INC.
8-8177
000007059
6SHGI4ZSSLCXXQSBB395
197.000000000000
BERENBERG CAPITAL MARKETS LLC
8-68821
000156757
5493007EG0CYRKKG9L11
109.000000000000
J.P. MORGAN SECURITIES LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
48.000000000000
ITAU BBA USA SECURITIES, INC.
8-53702
000118817
5493008E85XK12EKYI22
38.000000000000
KOREA INVESTMENT & SECURITIES AMERICA, INC.
8-52615
000104158
N/A
37.000000000000
CARNEGIE, INC.
8-45389
000031184
549300TV0TOBI3QUPX65
23.000000000000
MORGAN STANLEY
8-68191
000149777
9R7GPTSO7KV3UQJZQ078
5.000000000000
UBS SECURITIES LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
3.000000000000
1017.000000000000
BROWN BROTHERS HARRIMAN & CO.
N/A
000104487
5493006KMX1VFTPYPW14
631918.000000000000
631918.000000000000
Y
639275.000000000000
N
N
N
N
Knowledge Leaders Developed World ETF
S000068493
549300JMUJ8EMU46RD47
N
1
0
0
Exchange-Traded Fund
N
N
N
N
N/A
N/A
N/A
Rule 6c-11 (17 CFR 270.6c-11)
N
N
N
N
Knowledge Leaders Capital, LLC
801-69490
000144482
N/A
2020-05-22
Exchange Traded Concepts, LLC
801-70485
000151197
549300BB5DRIKK8VVV91
2020-05-22
Brown Brothers Harriman & Co.
85-0000
5493006KMX1VFTPYPW14
N
N
THE BANK OF NEW YORK MELLON
084-01761
HPFHU0OQ28E4N0NFVK49
N
N
Y
INTERCONTINENTAL EXCHANGE, INC.
5493000F4ZO33MV32P92
N
Refinitiv
549300561UZND4C7B569
N
BLOOMBERG L.P.
549300B56MD0ZC402L06
N
Y
Brown Brothers Harriman & Co.
5493006KMX1VFTPYPW14
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
HSBC BANK AUSTRALIA LIMITED
N/A
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UNICREDIT BANK AUSTRIA AG
N/A
AT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP PARIBAS SECURITIES SERVICES
N/A
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
RBC INVESTOR SERVICES TRUST FOR ROYAL BANK OF CANADA
N/A
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SKANDINAVISKA ENSKILDA BANKEN AB PUBL DANMARK BRANCH
N/A
DK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SKANDINAVISKA ENSKILDA BANKEN AB PUBL HELSINKI BRANCH
N/A
FI
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CACEIS BANK
N/A
FR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP PARIBAS SECURITIES SERVICES FRANKFURT BRANCH
N/A
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK, N.A. LONDON BRANCH
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC BANK PLC
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK, N.A., ISRAEL BRANCH
N/A
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCIETE GENERALE SECURITIES SERVICES SPA
N/A
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
MUFG BANK, LTD.
N/A
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP PARIBAS SECURITIES SERVICES
N/A
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HONGKONG AND SHANGHAI BANKING CORP LTD NEW ZEALAND BRANCH
N/A
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SKANDINAVISKA ENSKILDA BANKEN AB PUBL OSLO BRANCH
N/A
NO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP PARIBAS SECURITIES SERVICES
N/A
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DBS BANK LTD
N/A
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SOCIETE GENERALE SUCURSAL EN ESPANA
N/A
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SKANDINAVISKA ENSKILDA BANKEN AB
N/A
SE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CREDIT SUISSE SWITZERLAND LTD.
N/A
CH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK, N.A., LONDON BRANCH
N/A
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Bank of New York Mellon
HPFHU0OQ28E4N0NFVK49
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
EUROCLEAR BANK
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
EUROCLEAR FRANCE
54930060MY6S68NEUP16
FR
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
CIBC MELLON TRUST COMPANY
N/A
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANK HAPOALIM B.M.
B6ARUI4946ST4S7WOU88
IL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
SANTANDER SECURITIES SERVICES, S.A.
95980020140005970915
ES
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
THE BANK OF NEW YORK MELLON SA/NV
MMYX0N4ZEZ13Z4XCG897
DE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
THE BANK OF NEW YORK MELLON, SA/NV
MMYX0N4ZEZ13Z4XCG897
IT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
THE BANK OF NEW YORK MELLON, SA/NV
MMYX0N4ZEZ13Z4XCG897
NL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
THE BANK OF NEW YORK MELLON
N/A
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BANQUE NATIONALE DE BELGIQUE SA/NV
CGYP50QBGGR6NCHTSN68
BE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
CITIBANK EUROPE PLC, SUCURSAL EM PORTUGAL
N1FBEDJ5J41VKZLO2475
PT
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
DEUTSCHE BANK BERHAD
529900DLWFR8HK7DR278
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HONGKONG AND SHANGHAI BANKING CORP
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC NOMINEES LTD
213800NHDWIZKO5KIH05
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
THE DEPOSITORY TRUST COMPANY
549300HBJLRO8YFMI370
N
Y
Securities depository - rule 17f-4 (17 CFR 270.17f-4)
THE BANK OF NEW YORK MELLON
N/A
IE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Y
BROWN BROTHERS HARRIMAN & CO.
5493006KMX1VFTPYPW14
LEI
N
N
THE BANK OF NEW YORK MELLON
HPFHU0OQ28E4N0NFVK49
LEI
N
N
Y
MUTUAL FUND ADMINISTRATION, LLC
N/A
Y
N
UMB FUND SERVICES, INC.
084-05792
SEC File Number
Y
N
THE BANK OF NEW YORK MELLON
HPFHU0OQ28E4N0NFVK49
LEI
N
N
Y
BNP PARIBAS SECURITIES CORP.
8-32682
000015794
RCNB6OTYUAMMP879YW96
29536.000000000000
GOLDMAN SACHS & CO. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
19642.000000000000
ABN AMRO BANK N.V.
N/A
N/A
N/A
NL
772.000000000000
CGS-CIMB SECURITIES PTE LTD.
N/A
N/A
N/A
SG
361.000000000000
VIRTU ITG LLC
8-44218
000029299
549300S41SMIODVIT266
35825.000000000000
VIRTU ITG EUROPE LTD.
N/A
N/A
213800EEC95PRUCEUP63
IE
13389.000000000000
99525.000000000000
BNP PARIBAS SECURITIES CORP.
8-32682
000015794
RCNB6OTYUAMMP879YW96
20359065.000000000000
GOLDMAN SACHS & CO. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
13104021.000000000000
ABN AMRO BANK N.V.
N/A
N/A
N/A
NL
515782.000000000000
CGS-CIMB SECURITIES PTE LTD.
N/A
N/A
N/A
SG
240870.000000000000
VIRTU ITG EUROPE LTD.
N/A
N/A
N/A
IE
11014070.000000000000
VIRTU ITG LLC
8-44218
000029299
549300S41SMIODVIT266
41828377.000000000000
87062185.000000000000
Y
158999740.000000000000
N
N
N
N
Knowledge Leaders Developed World ETF
S000068493
Y
50000.000000000000
1.100000000000
0.000000000000
98.900000000000
0.000000000000
4.800000000000
0.000000000000
95.200000000000
0.000000000000
1800.000000000000
0.000000000000
0.000000000000
1800.000000000000
0.000000000000
0.000000000000
3500.000000000000
0.000000000000
0.000000000000
3500.000000000000
0.000000000000
0.000000000000
Y
true
INTERNAL CONTROL RPT
2
wcmauditletter.txt
WCM AUDIT LETTER
REPORT OF INDEPENDENT
REGISTERED PUBLIC
ACCOUNTING FIRM
To the Shareholders and
Board of Trustees of
Investment Managers Series Trust
Glendora, California 91740
In planning and performing our audits of
the financial statements of the WCM
Focused International Growth Fund,
WCM Focused Emerging Markets Fund,
WCM Focused Global Growth Fund,
WCM International Small Cap Growth
Fund, WCM Small Cap Growth Fund,
WCM Focused Small Cap Fund, WCM
China Quality Growth Fund, WCM
Focused ESG Emerging Markets Fund,
WCM Focused ESG International Fund,
WCM Focused International Value
Fund, and WCM Focused International
Opportunities Fund (the Funds), each a
series of Investment Managers Series
Trust, as of and for the year ended April
30, 2021, in accordance with the
standards of the Public Company
Accounting Oversight Board (United
States), we considered their internal
control over financial reporting,
including control activities for
safeguarding securities, as a basis for
designing our auditing procedures for
the purpose of expressing our opinion
on the financial statements and to
comply with the requirements of Form
N-CEN, but not for the purpose of
expressing an opinion on the
effectiveness of the Funds internal
control over financial reporting.
Accordingly, we express no such
opinion.
The management of the Funds is
responsible for establishing and
maintaining effective internal control
over financial reporting. In fulfilling
this responsibility, estimates and
judgments by management are required
to assess the expected benefits and
related costs of controls. A companys
internal control over financial reporting
is a process designed to provide
reasonable assurance regarding the
reliability of financial reporting and the
preparation of financial statements for
external purposes in accordance with
generally accepted accounting
principles. A companys internal control
over financial reporting includes those
policies and procedures that (1) pertain
to the maintenance of records that, in
reasonable detail, accurately and fairly
reflect the transactions and dispositions
of the assets of the company; (2) provide
reasonable assurance that transactions
are recorded as necessary to permit
preparation of financial statements in
accordance with generally accepted
accounting principles, and that receipts
and expenditures of the company are
being made only in accordance with
authorizations of management and
directors of the company; and (3)
provide reasonable assurance regarding
prevention or timely detection of
unauthorized acquisition, use or
disposition of a companys assets that
could have a material effect on the
financial statements.
Because of inherent limitations, internal
control over financial reporting may not
prevent or detect misstatements. Also,
projections of any evaluation of
effectiveness to future periods are
subject to the risk that controls may
become inadequate because of changes
in conditions, or that the degree of
compliance with the policies or
procedures may deteriorate.
A deficiency in internal control over
financial reporting exists when the
design or operation of a control does not
allow management or employees, in the
normal course of performing their
assigned functions, to prevent or detect
misstatements on a timely basis. A
material weakness is a deficiency, or
combination of deficiencies, in internal
control over financial reporting, such
that there is a reasonable possibility that
a material misstatement of the companys
annual or interim financial statements
will not be prevented or detected on a
timely basis.
To the Shareholders and
Board of Trustees of
Investment Managers Series Trust
Page Two
Our consideration of the Funds internal
control over financial reporting was for
the limited purpose described in the first
paragraph and would not necessarily
disclose all deficiencies in internal
control that might be material
weaknesses under standards established
by the Public Company Accounting
Oversight Board (United States).
However, we noted no deficiencies in
the Funds internal control over financial
reporting and its operation, including
controls for safeguarding securities,
which we consider to be material
weaknesses, as defined above, as of
April 30, 2021.
This report is intended solely for the
information and use of management,
Shareholders and Board of Trustees of
Investment Managers Series Trust and
the Securities and Exchange
Commission and is not intended to be
and should not be used by anyone other
than these specified parties.
/s/TAIT, WELLER & BAKER
LLP
Philadelphia, Pennsylvania
June 29, 2021
INTERNAL CONTROL RPT
3
kldwauditletter.txt
KL AUDIT LETTER
REPORT OF INDEPENDENT
REGISTERED PUBLIC
ACCOUNTING FIRM
To the Shareholders and
Board of Trustees of
Investment Managers Series Trust
Glendora, California 91740
In planning and performing our audit of
the financial statements of the
Knowledge Leaders Developed World
ETF as of and for the year ended April
30, 2021, in accordance with the
standards of the Public Company
Accounting Oversight Board (United
States), we considered their internal
control over financial reporting,
including control activities for
safeguarding securities, as a basis for
designing our auditing procedures for
the purpose of expressing our opinion
on the financial statements and to
comply with the requirements of Form
N-CEN, but not for the purpose of
expressing an opinion on the
effectiveness of the Funds internal
control over financial reporting.
Accordingly, we express no such
opinion.
The management of the Fund is
responsible for establishing and
maintaining effective internal control
over financial reporting. In fulfilling
this responsibility, estimates and
judgments by management are required
to assess the expected benefits and
related costs of controls. A companys
internal control over financial reporting
is a process designed to provide
reasonable assurance regarding the
reliability of financial reporting and the
preparation of financial statements for
external purposes in accordance with
generally accepted accounting
principles. A companys internal control
over financial reporting includes those
policies and procedures that (1) pertain
to the maintenance of records that, in
reasonable detail, accurately and fairly
reflect the transactions and dispositions
of the assets of the company; (2) provide
reasonable assurance that transactions
are recorded as necessary to permit
preparation of financial statements in
accordance with generally accepted
accounting principles, and that receipts
and expenditures of the company are
being made only in accordance with
authorizations of management and
directors of the company; and (3)
provide reasonable assurance regarding
prevention or timely detection of
unauthorized acquisition, use or
disposition of a companys assets that
could have a material effect on the
financial statements.
Because of inherent limitations, internal
control over financial reporting may not
prevent or detect misstatements. Also,
projections of any evaluation of
effectiveness to future periods are
subject to the risk that controls may
become inadequate because of changes
in conditions, or that the degree of
compliance with the policies or
procedures may deteriorate.
A deficiency in internal control over
financial reporting exists when the
design or operation of a control does not
allow management or employees, in the
normal course of performing their
assigned functions, to prevent or detect
misstatements on a timely basis. A
material weakness is a deficiency, or
combination of deficiencies, in internal
control over financial reporting, such
that there is a reasonable possibility that
a material misstatement of the companys
annual or interim financial statements
will not be prevented or detected on a
timely basis.
To the Shareholders and
Board of Trustees of
Investment Managers Series Trust
Page Two
Our consideration of the Funds internal
control over financial reporting was for
the limited purpose described in the first
paragraph and would not necessarily
disclose all deficiencies in internal
control that might be material
weaknesses under standards established
by the Public Company Accounting
Oversight Board (United States).
However, we noted no deficiencies in
the Funds internal control over financial
reporting and its operation, including
controls for safeguarding securities,
which we consider to be material
weaknesses, as defined above, as of
April 30, 2021.
This report is intended solely for the
information and use of management,
Shareholders and Board of Trustees of
Investment Managers Series Trust and
the Securities and Exchange
Commission, and is not intended to be
and should not be used by anyone other
than these specified parties.
/s/TAIT, WELLER & BAKER
LLP
Philadelphia, Pennsylvania
June 29, 2021