0000887318-11-000352.txt : 20110928 0000887318-11-000352.hdr.sgml : 20110928 20110928173109 ACCESSION NUMBER: 0000887318-11-000352 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20110731 FILED AS OF DATE: 20110928 DATE AS OF CHANGE: 20110928 EFFECTIVENESS DATE: 20110928 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST EXCHANGE-TRADED ALPHADEX FUND CENTRAL INDEX KEY: 0001383496 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-22019 FILM NUMBER: 111113032 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 0001383496 S000017337 First Trust Large Cap Core AlphaDEX Fund C000047995 First Trust Large Cap Core AlphaDEX Fund FEX 0001383496 S000017338 First Trust Mid Cap Core AlphaDEX Fund C000047996 First Trust Mid Cap Core AlphaDEX Fund FNX 0001383496 S000017339 First Trust Small Cap Core AlphaDEX Fund C000047997 First Trust Small Cap Core AlphaDEX Fund FYX 0001383496 S000017340 First Trust Large Cap Value AlphaDEX Fund C000047998 First Trust Large Cap Value Opportunities AlphaDEX Fund FTA 0001383496 S000017341 First Trust Large Cap Growth AlphaDEX Fund C000047999 First Trust Large Cap Growth Opportunities AlphaDEX Fund FTC 0001383496 S000017342 First Trust Multi Cap Value AlphaDEX Fund C000048000 First Trust Multi Cap Value AlphaDEX Fund FAB 0001383496 S000017343 First Trust Multi Cap Growth AlphaDEX Fund C000048001 First Trust Multi Cap Growth AlphaDEX Fund FAD 0001383496 S000017696 First Trust Consumer Discretionary AlphaDEX Fund C000048896 First Trust Consumer Discretionary AlphaDEX Fund FXD 0001383496 S000017697 First Trust Consumer Staples AlphaDEX Fund C000048897 First Trust Consumer Staples AlphaDEX Fund FXG 0001383496 S000017698 First Trust Energy AlphaDEX Fund C000048898 First Trust Energy AlphaDEX Fund FXN 0001383496 S000017699 First Trust Financial AlphaDEX Fund C000048899 First Trust Financial AlphaDEX Fund FXO 0001383496 S000017700 First Trust Health Care AlphaDEX Fund C000048900 First Trust Health Care AlphaDEX Fund FXH 0001383496 S000017701 First Trust Industrials/Producer Durables AlphaDEX Fund C000048901 First Trust Industrials/Producer Durables AlphaDEX Fund FXR 0001383496 S000017702 First Trust Materials AlphaDEX Fund C000048902 First Trust Materials AlphaDEX Fund FXZ 0001383496 S000017703 First Trust Technology AlphaDEX Fund C000048903 First Trust Technology AlphaDEX Fund FXL 0001383496 S000017704 First Trust Utilities AlphaDEX Fund C000048904 First Trust Utilities AlphaDEX Fund FXU 0001383496 S000031804 First Trust Mid Cap Growth AlphaDEX Fund C000099059 First Trust Mid Cap Growth AlphaDEX Fund FNY 0001383496 S000031805 First Trust Mid Cap Value AlphaDEX Fund C000099060 First Trust Mid Cap Value AlphaDEX Fund FNK 0001383496 S000031806 First Trust Small Cap Growth AlphaDEX Fund C000099061 First Trust Small Cap Growth AlphaDEX Fund FYC 0001383496 S000031807 First Trust Small Cap Value AlphaDEX Fund C000099062 First Trust Small Cap Value AlphaDEX Fund FYT 0001383496 S000032963 First Trust Mega Cap AlphaDEX Fund C000101702 First Trust Mega Cap AlphaDEX Fund FMK NSAR-B 1 answer.fil ANSWER FILE PAGE 1 000 B000000 07/31/2011 000 C000000 0001383496 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 FIRST TRUST EXCHANGE-TRADED ALPHADEX(R) FUND 001 B000000 811-22019 001 C000000 6307658000 002 A000000 120 E. 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A000200 Y 055 B000200 N 056 000200 Y 057 000200 N 062 A000200 N 062 B000200 0.0 062 C000200 0.0 062 D000200 0.0 062 E000200 0.0 062 F000200 0.0 062 G000200 0.0 062 H000200 0.0 062 I000200 0.0 062 J000200 0.0 062 K000200 0.0 062 L000200 0.0 062 M000200 0.0 062 N000200 0.0 062 O000200 0.0 062 P000200 0.0 062 Q000200 0.0 062 R000200 0.0 063 A000200 0 063 B000200 0.0 066 A000200 Y 066 B000200 N 066 C000200 Y 066 D000200 N 066 E000200 N 066 F000200 N 066 G000200 N 067 000200 N PAGE 13 068 A000200 N 068 B000200 N 069 000200 Y 070 A010200 Y 070 A020200 N 070 B010200 Y 070 B020200 N 070 C010200 Y 070 C020200 N 070 D010200 Y 070 D020200 N 070 E010200 Y 070 E020200 N 070 F010200 Y 070 F020200 N 070 G010200 Y 070 G020200 N 070 H010200 Y 070 H020200 N 070 I010200 Y 070 I020200 N 070 J010200 Y 070 J020200 N 070 K010200 Y 070 K020200 N 070 L010200 Y 070 L020200 Y 070 M010200 Y 070 M020200 N 070 N010200 Y 070 N020200 N 070 O010200 Y 070 O020200 N 070 P010200 N 070 P020200 N 070 Q010200 Y 070 Q020200 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F010300 0 048 F020300 0.000 048 G010300 0 048 G020300 0.000 048 H010300 0 048 H020300 0.000 048 I010300 0 048 I020300 0.000 048 J010300 0 048 J020300 0.000 048 K010300 0 048 K020300 0.000 049 000300 N 050 000300 N 051 000300 N 052 000300 N 053 A000300 Y 053 B000300 Y 053 C000300 N 055 A000300 Y 055 B000300 N 056 000300 Y 057 000300 N 062 A000300 N 062 B000300 0.0 062 C000300 0.0 062 D000300 0.0 062 E000300 0.0 062 F000300 0.0 062 G000300 0.0 062 H000300 0.0 062 I000300 0.0 062 J000300 0.0 062 K000300 0.0 062 L000300 0.0 062 M000300 0.0 062 N000300 0.0 062 O000300 0.0 062 P000300 0.0 PAGE 17 062 Q000300 0.0 062 R000300 0.0 063 A000300 0 063 B000300 0.0 066 A000300 Y 066 B000300 N 066 C000300 Y 066 D000300 N 066 E000300 N 066 F000300 N 066 G000300 N 067 000300 N 068 A000300 N 068 B000300 N 069 000300 Y 070 A010300 Y 070 A020300 N 070 B010300 Y 070 B020300 N 070 C010300 Y 070 C020300 N 070 D010300 Y 070 D020300 N 070 E010300 Y 070 E020300 N 070 F010300 Y 070 F020300 N 070 G010300 Y 070 G020300 N 070 H010300 Y 070 H020300 N 070 I010300 Y 070 I020300 N 070 J010300 Y 070 J020300 N 070 K010300 Y 070 K020300 N 070 L010300 Y 070 L020300 Y 070 M010300 Y 070 M020300 N 070 N010300 Y 070 N020300 N 070 O010300 Y 070 O020300 N 070 P010300 N 070 P020300 N 070 Q010300 Y 070 Q020300 N 070 R010300 Y 070 R020300 N PAGE 18 071 A000300 116876 071 B000300 117015 071 C000300 115300 071 D000300 101 072 A000300 12 072 B000300 0 072 C000300 1275 072 D000300 0 072 E000300 0 072 F000300 568 072 G000300 36 072 H000300 0 072 I000300 8 072 J000300 14 072 K000300 0 072 L000300 18 072 M000300 2 072 N000300 11 072 O000300 0 072 P000300 0 072 Q000300 23 072 R000300 24 072 S000300 16 072 T000300 0 072 U000300 0 072 V000300 0 072 W000300 128 072 X000300 848 072 Y000300 53 072 Z000300 480 072AA000300 20439 072BB000300 0 072CC010300 6165 072CC020300 0 072DD010300 480 072DD020300 0 072EE000300 0 073 A010300 0.1100 073 A020300 0.0000 073 B000300 0.0000 073 C000300 0.0000 074 A000300 0 074 B000300 0 074 C000300 0 074 D000300 0 074 E000300 0 074 F000300 168522 074 G000300 0 074 H000300 0 074 I000300 189 074 J000300 0 PAGE 19 074 K000300 0 074 L000300 2516 074 M000300 2 074 N000300 171227 074 O000300 2393 074 P000300 62 074 Q000300 0 074 R010300 0 074 R020300 0 074 R030300 0 074 R040300 162 074 S000300 0 074 T000300 168610 074 U010300 7100 074 U020300 0 074 V010300 23.75 074 V020300 0.00 074 W000300 0.0000 074 X000300 18659 074 Y000300 0 075 A000300 0 075 B000300 113610 076 000300 0.00 024 000400 Y 025 A000401 GOLDMAN SACHS GROUP (THE), INC. 025 B000401 13-5108880 025 C000401 E 025 D000401 943 025 A000402 BNY BROKERAGE, INC. 025 B000402 13-1338910 025 C000402 E 025 D000402 911 025 A000403 CITIGROUP GLOBAL MARKETS 025 B000403 11-2418191 025 C000403 E 025 D000403 642 025 A000404 DELETE 025 D000404 0 025 A000405 DELETE 025 D000405 0 025 D000406 0 025 D000407 0 025 D000408 0 025 D000409 0 025 D000410 0 025 D000411 0 025 D000412 0 025 D000413 0 025 D000414 0 025 D000415 0 025 D000416 0 PAGE 20 025 D000417 0 025 D000418 0 025 D000419 0 025 D000420 0 025 D000421 0 025 D000422 0 025 D000423 0 025 D000424 0 025 D000425 0 025 D000426 0 025 D000427 0 025 D000428 0 025 D000429 0 025 D000430 0 025 D000431 0 025 D000432 0 025 D000433 0 025 D000434 0 025 D000435 0 025 D000436 0 025 D000437 0 025 D000438 0 025 D000439 0 025 D000440 0 028 A010400 39141 028 A020400 0 028 A030400 0 028 A040400 0 028 B010400 15240 028 B020400 0 028 B030400 0 028 B040400 286538 028 C010400 12512 028 C020400 0 028 C030400 0 028 C040400 44851 028 D010400 0 028 D020400 0 028 D030400 0 028 D040400 11540 028 E010400 0 028 E020400 0 028 E030400 0 028 E040400 5815 028 F010400 0 028 F020400 0 028 F030400 0 028 F040400 5756 028 G010400 66893 028 G020400 0 028 G030400 0 PAGE 21 028 G040400 354500 028 H000400 0 045 000400 Y 046 000400 N 047 000400 Y 048 000400 0.500 048 A010400 0 048 A020400 0.000 048 B010400 0 048 B020400 0.000 048 C010400 0 048 C020400 0.000 048 D010400 0 048 D020400 0.000 048 E010400 0 048 E020400 0.000 048 F010400 0 048 F020400 0.000 048 G010400 0 048 G020400 0.000 048 H010400 0 048 H020400 0.000 048 I010400 0 048 I020400 0.000 048 J010400 0 048 J020400 0.000 048 K010400 0 048 K020400 0.000 049 000400 N 050 000400 N 051 000400 N 052 000400 N 053 A000400 Y 053 B000400 Y 053 C000400 N 055 A000400 N 055 B000400 N 056 000400 Y 057 000400 N 062 A000400 N 062 B000400 0.0 062 C000400 0.0 062 D000400 0.0 062 E000400 0.0 062 F000400 0.0 062 G000400 0.0 062 H000400 0.0 062 I000400 0.0 062 J000400 0.0 062 K000400 0.0 062 L000400 0.0 PAGE 22 062 M000400 0.0 062 N000400 0.0 062 O000400 0.0 062 P000400 0.0 062 Q000400 0.0 062 R000400 0.0 063 A000400 0 063 B000400 0.0 066 A000400 Y 066 B000400 N 066 C000400 Y 066 D000400 N 066 E000400 N 066 F000400 N 066 G000400 N 067 000400 N 068 A000400 N 068 B000400 N 069 000400 Y 070 A010400 Y 070 A020400 N 070 B010400 Y 070 B020400 N 070 C010400 Y 070 C020400 N 070 D010400 Y 070 D020400 N 070 E010400 Y 070 E020400 N 070 F010400 Y 070 F020400 N 070 G010400 Y 070 G020400 N 070 H010400 Y 070 H020400 N 070 I010400 Y 070 I020400 N 070 J010400 Y 070 J020400 N 070 K010400 Y 070 K020400 N 070 L010400 Y 070 L020400 Y 070 M010400 Y 070 M020400 N 070 N010400 Y 070 N020400 N 070 O010400 Y 070 O020400 N 070 P010400 N 070 P020400 N PAGE 23 070 Q010400 Y 070 Q020400 N 070 R010400 Y 070 R020400 N 071 A000400 133894 071 B000400 139226 071 C000400 214585 071 D000400 62 072 A000400 12 072 B000400 0 072 C000400 5443 072 D000400 0 072 E000400 0 072 F000400 1145 072 G000400 71 072 H000400 0 072 I000400 17 072 J000400 29 072 K000400 0 072 L000400 46 072 M000400 5 072 N000400 1 072 O000400 0 072 P000400 0 072 Q000400 46 072 R000400 24 072 S000400 54 072 T000400 0 072 U000400 0 072 V000400 0 072 W000400 256 072 X000400 1694 072 Y000400 91 072 Z000400 3840 072AA000400 42091 072BB000400 0 072CC010400 0 072CC020400 11002 072DD010400 4076 072DD020400 0 072EE000400 0 073 A010400 0.3300 073 A020400 0.0000 073 B000400 0.0000 073 C000400 0.0000 074 A000400 0 074 B000400 0 074 C000400 0 074 D000400 0 074 E000400 0 074 F000400 100342 PAGE 24 074 G000400 0 074 H000400 0 074 I000400 249 074 J000400 0 074 K000400 0 074 L000400 65 074 M000400 3 074 N000400 100659 074 O000400 0 074 P000400 57 074 Q000400 0 074 R010400 0 074 R020400 0 074 R030400 0 074 R040400 222 074 S000400 0 074 T000400 100380 074 U010400 7150 074 U020400 0 074 V010400 14.04 074 V020400 0.00 074 W000400 0.0000 074 X000400 13766 074 Y000400 0 075 A000400 0 075 B000400 229029 076 000400 0.00 024 000500 N 025 D000501 0 025 D000502 0 025 D000503 0 025 D000504 0 025 D000505 0 025 D000506 0 025 D000507 0 025 D000508 0 028 A010500 10874 028 A020500 0 028 A030500 0 028 A040500 0 028 B010500 15224 028 B020500 0 028 B030500 0 028 B040500 0 028 C010500 42138 028 C020500 0 028 C030500 0 028 C040500 17258 028 D010500 194083 028 D020500 0 028 D030500 0 PAGE 25 028 D040500 0 028 E010500 17627 028 E020500 0 028 E030500 0 028 E040500 0 028 F010500 27052 028 F020500 0 028 F030500 0 028 F040500 110481 028 G010500 306998 028 G020500 0 028 G030500 0 028 G040500 127739 028 H000500 0 045 000500 Y 046 000500 N 047 000500 Y 048 000500 0.500 048 A010500 0 048 A020500 0.000 048 B010500 0 048 B020500 0.000 048 C010500 0 048 C020500 0.000 048 D010500 0 048 D020500 0.000 048 E010500 0 048 E020500 0.000 048 F010500 0 048 F020500 0.000 048 G010500 0 048 G020500 0.000 048 H010500 0 048 H020500 0.000 048 I010500 0 048 I020500 0.000 048 J010500 0 048 J020500 0.000 048 K010500 0 048 K020500 0.000 049 000500 N 050 000500 N 051 000500 N 052 000500 N 053 A000500 Y 053 B000500 Y 053 C000500 N 055 A000500 Y 055 B000500 N 056 000500 Y 057 000500 N PAGE 26 062 A000500 N 062 B000500 0.0 062 C000500 0.0 062 D000500 0.0 062 E000500 0.0 062 F000500 0.0 062 G000500 0.0 062 H000500 0.0 062 I000500 0.0 062 J000500 0.0 062 K000500 0.0 062 L000500 0.0 062 M000500 0.0 062 N000500 0.0 062 O000500 0.0 062 P000500 0.0 062 Q000500 0.0 062 R000500 0.0 063 A000500 0 063 B000500 0.0 066 A000500 Y 066 B000500 N 066 C000500 Y 066 D000500 N 066 E000500 N 066 F000500 N 066 G000500 N 067 000500 N 068 A000500 N 068 B000500 N 069 000500 Y 070 A010500 Y 070 A020500 N 070 B010500 Y 070 B020500 N 070 C010500 Y 070 C020500 N 070 D010500 Y 070 D020500 N 070 E010500 Y 070 E020500 N 070 F010500 Y 070 F020500 N 070 G010500 Y 070 G020500 N 070 H010500 Y 070 H020500 N 070 I010500 Y 070 I020500 N 070 J010500 Y 070 J020500 N PAGE 27 070 K010500 Y 070 K020500 N 070 L010500 Y 070 L020500 Y 070 M010500 Y 070 M020500 N 070 N010500 Y 070 N020500 N 070 O010500 Y 070 O020500 N 070 P010500 N 070 P020500 N 070 Q010500 Y 070 Q020500 N 070 R010500 Y 070 R020500 N 071 A000500 142381 071 B000500 142455 071 C000500 123097 071 D000500 116 072 A000500 12 072 B000500 0 072 C000500 888 072 D000500 0 072 E000500 0 072 F000500 626 072 G000500 39 072 H000500 0 072 I000500 8 072 J000500 16 072 K000500 0 072 L000500 16 072 M000500 2 072 N000500 32 072 O000500 0 072 P000500 0 072 Q000500 25 072 R000500 24 072 S000500 14 072 T000500 0 072 U000500 0 072 V000500 0 072 W000500 141 072 X000500 943 072 Y000500 67 072 Z000500 12 072AA000500 16497 072BB000500 0 072CC010500 0 072CC020500 11998 072DD010500 420 PAGE 28 072DD020500 0 072EE000500 0 073 A010500 0.0600 073 A020500 0.0000 073 B000500 0.0000 073 C000500 0.0000 074 A000500 0 074 B000500 0 074 C000500 0 074 D000500 0 074 E000500 0 074 F000500 241191 074 G000500 0 074 H000500 0 074 I000500 135 074 J000500 101434 074 K000500 0 074 L000500 98 074 M000500 2 074 N000500 342860 074 O000500 0 074 P000500 112 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 101613 074 S000500 0 074 T000500 241135 074 U010500 8450 074 U020500 0 074 V010500 28.54 074 V020500 0.00 074 W000500 0.0000 074 X000500 27243 074 Y000500 0 075 A000500 0 075 B000500 125144 076 000500 0.00 024 000600 N 025 D000601 0 025 D000602 0 025 D000603 0 025 D000604 0 025 D000605 0 025 D000606 0 025 D000607 0 025 D000608 0 028 A010600 3897 028 A020600 0 028 A030600 0 PAGE 29 028 A040600 1969 028 B010600 6700 028 B020600 0 028 B030600 0 028 B040600 0 028 C010600 21941 028 C020600 0 028 C030600 0 028 C040600 12068 028 D010600 3873 028 D020600 0 028 D030600 0 028 D040600 0 028 E010600 0 028 E020600 0 028 E030600 0 028 E040600 1910 028 F010600 961 028 F020600 0 028 F030600 0 028 F040600 0 028 G010600 37372 028 G020600 0 028 G030600 0 028 G040600 15947 028 H000600 0 045 000600 Y 046 000600 N 047 000600 Y 048 000600 0.500 048 A010600 0 048 A020600 0.000 048 B010600 0 048 B020600 0.000 048 C010600 0 048 C020600 0.000 048 D010600 0 048 D020600 0.000 048 E010600 0 048 E020600 0.000 048 F010600 0 048 F020600 0.000 048 G010600 0 048 G020600 0.000 048 H010600 0 048 H020600 0.000 048 I010600 0 048 I020600 0.000 048 J010600 0 048 J020600 0.000 048 K010600 0 PAGE 30 048 K020600 0.000 049 000600 N 050 000600 N 051 000600 N 052 000600 N 053 A000600 Y 053 B000600 Y 053 C000600 N 055 A000600 N 055 B000600 N 056 000600 Y 057 000600 N 062 A000600 N 062 B000600 0.0 062 C000600 0.0 062 D000600 0.0 062 E000600 0.0 062 F000600 0.0 062 G000600 0.0 062 H000600 0.0 062 I000600 0.0 062 J000600 0.0 062 K000600 0.0 062 L000600 0.0 062 M000600 0.0 062 N000600 0.0 062 O000600 0.0 062 P000600 0.0 062 Q000600 0.0 062 R000600 0.0 063 A000600 0 063 B000600 0.0 066 A000600 Y 066 B000600 N 066 C000600 Y 066 D000600 N 066 E000600 N 066 F000600 N 066 G000600 N 067 000600 N 068 A000600 N 068 B000600 N 069 000600 Y 070 A010600 Y 070 A020600 N 070 B010600 Y 070 B020600 N 070 C010600 Y 070 C020600 N 070 D010600 Y 070 D020600 N PAGE 31 070 E010600 Y 070 E020600 N 070 F010600 Y 070 F020600 N 070 G010600 Y 070 G020600 N 070 H010600 Y 070 H020600 N 070 I010600 Y 070 I020600 N 070 J010600 Y 070 J020600 N 070 K010600 Y 070 K020600 N 070 L010600 Y 070 L020600 Y 070 M010600 Y 070 M020600 N 070 N010600 Y 070 N020600 N 070 O010600 Y 070 O020600 N 070 P010600 N 070 P020600 N 070 Q010600 Y 070 Q020600 N 070 R010600 Y 070 R020600 N 071 A000600 50747 071 B000600 50775 071 C000600 49633 071 D000600 102 072 A000600 12 072 B000600 0 072 C000600 586 072 D000600 0 072 E000600 0 072 F000600 250 072 G000600 17 072 H000600 0 072 I000600 4 072 J000600 6 072 K000600 0 072 L000600 9 072 M000600 1 072 N000600 4 072 O000600 0 072 P000600 0 072 Q000600 10 072 R000600 24 072 S000600 7 PAGE 32 072 T000600 0 072 U000600 0 072 V000600 0 072 W000600 63 072 X000600 395 072 Y000600 45 072 Z000600 236 072AA000600 5779 072BB000600 0 072CC010600 0 072CC020600 1838 072DD010600 252 072DD020600 0 072EE000600 0 073 A010600 0.0899 073 A020600 0.0000 073 B000600 0.0000 073 C000600 0.0000 074 A000600 0 074 B000600 0 074 C000600 0 074 D000600 0 074 E000600 0 074 F000600 65873 074 G000600 0 074 H000600 0 074 I000600 105 074 J000600 0 074 K000600 0 074 L000600 39 074 M000600 2 074 N000600 66019 074 O000600 0 074 P000600 24 074 Q000600 0 074 R010600 0 074 R020600 0 074 R030600 0 074 R040600 82 074 S000600 0 074 T000600 65913 074 U010600 3650 074 U020600 0 074 V010600 18.06 074 V020600 0.00 074 W000600 0.0000 074 X000600 9418 074 Y000600 0 075 A000600 0 075 B000600 49934 076 000600 0.00 PAGE 33 024 000700 N 025 D000701 0 025 D000702 0 025 D000703 0 025 D000704 0 025 D000705 0 025 D000706 0 025 D000707 0 025 D000708 0 028 A010700 50138 028 A020700 0 028 A030700 0 028 A040700 0 028 B010700 38668 028 B020700 0 028 B030700 0 028 B040700 17004 028 C010700 117840 028 C020700 0 028 C030700 0 028 C040700 68431 028 D010700 5109 028 D020700 0 028 D030700 0 028 D040700 9993 028 E010700 9939 028 E020700 0 028 E030700 0 028 E040700 26530 028 F010700 27814 028 F020700 0 028 F030700 0 028 F040700 21184 028 G010700 249508 028 G020700 0 028 G030700 0 028 G040700 143142 028 H000700 0 045 000700 Y 046 000700 N 047 000700 Y 048 000700 0.500 048 A010700 0 048 A020700 0.000 048 B010700 0 048 B020700 0.000 048 C010700 0 048 C020700 0.000 048 D010700 0 048 D020700 0.000 048 E010700 0 PAGE 34 048 E020700 0.000 048 F010700 0 048 F020700 0.000 048 G010700 0 048 G020700 0.000 048 H010700 0 048 H020700 0.000 048 I010700 0 048 I020700 0.000 048 J010700 0 048 J020700 0.000 048 K010700 0 048 K020700 0.000 049 000700 N 050 000700 N 051 000700 N 052 000700 N 053 A000700 Y 053 B000700 Y 053 C000700 N 055 A000700 Y 055 B000700 N 056 000700 Y 057 000700 N 062 A000700 N 062 B000700 0.0 062 C000700 0.0 062 D000700 0.0 062 E000700 0.0 062 F000700 0.0 062 G000700 0.0 062 H000700 0.0 062 I000700 0.0 062 J000700 0.0 062 K000700 0.0 062 L000700 0.0 062 M000700 0.0 062 N000700 0.0 062 O000700 0.0 062 P000700 0.0 062 Q000700 0.0 062 R000700 0.0 063 A000700 0 063 B000700 0.0 066 A000700 Y 066 B000700 N 066 C000700 Y 066 D000700 N 066 E000700 N 066 F000700 N 066 G000700 N PAGE 35 067 000700 N 068 A000700 N 068 B000700 N 069 000700 Y 070 A010700 Y 070 A020700 N 070 B010700 Y 070 B020700 N 070 C010700 Y 070 C020700 N 070 D010700 Y 070 D020700 N 070 E010700 Y 070 E020700 N 070 F010700 Y 070 F020700 N 070 G010700 Y 070 G020700 N 070 H010700 Y 070 H020700 N 070 I010700 Y 070 I020700 N 070 J010700 Y 070 J020700 N 070 K010700 Y 070 K020700 N 070 L010700 Y 070 L020700 Y 070 M010700 Y 070 M020700 N 070 N010700 Y 070 N020700 N 070 O010700 Y 070 O020700 N 070 P010700 N 070 P020700 N 070 Q010700 Y 070 Q020700 N 070 R010700 Y 070 R020700 N 071 A000700 509629 071 B000700 527533 071 C000700 439057 071 D000700 116 072 A000700 12 072 B000700 0 072 C000700 6467 072 D000700 0 072 E000700 0 072 F000700 2207 072 G000700 134 PAGE 36 072 H000700 0 072 I000700 27 072 J000700 55 072 K000700 0 072 L000700 67 072 M000700 7 072 N000700 46 072 O000700 0 072 P000700 0 072 Q000700 88 072 R000700 24 072 S000700 73 072 T000700 0 072 U000700 0 072 V000700 0 072 W000700 476 072 X000700 3204 072 Y000700 114 072 Z000700 3377 072AA000700 40057 072BB000700 0 072CC010700 18413 072CC020700 0 072DD010700 6954 072DD020700 0 072EE000700 0 073 A010700 0.3757 073 A020700 0.0000 073 B000700 0.0000 073 C000700 0.0000 074 A000700 0 074 B000700 0 074 C000700 0 074 D000700 0 074 E000700 0 074 F000700 575442 074 G000700 0 074 H000700 0 074 I000700 13774 074 J000700 3553 074 K000700 0 074 L000700 172 074 M000700 3 074 N000700 592944 074 O000700 0 074 P000700 248 074 Q000700 0 074 R010700 0 074 R020700 0 074 R030700 0 074 R040700 4147 PAGE 37 074 S000700 0 074 T000700 588549 074 U010700 24300 074 U020700 0 074 V010700 24.22 074 V020700 0.00 074 W000700 0.0000 074 X000700 59084 074 Y000700 0 075 A000700 0 075 B000700 441382 076 000700 0.00 024 000800 N 025 D000801 0 025 D000802 0 025 D000803 0 025 D000804 0 025 D000805 0 025 D000806 0 025 D000807 0 025 D000808 0 028 A010800 40186 028 A020800 0 028 A030800 0 028 A040800 4830 028 B010800 19783 028 B020800 0 028 B030800 0 028 B040800 8238 028 C010800 44062 028 C020800 0 028 C030800 0 028 C040800 24232 028 D010800 19908 028 D020800 0 028 D030800 0 028 D040800 0 028 E010800 5839 028 E020800 0 028 E030800 0 028 E040800 19231 028 F010800 18426 028 F020800 0 028 F030800 0 028 F040800 7747 028 G010800 148204 028 G020800 0 028 G030800 0 028 G040800 64278 028 H000800 0 045 000800 Y PAGE 38 046 000800 N 047 000800 Y 048 000800 0.500 048 A010800 0 048 A020800 0.000 048 B010800 0 048 B020800 0.000 048 C010800 0 048 C020800 0.000 048 D010800 0 048 D020800 0.000 048 E010800 0 048 E020800 0.000 048 F010800 0 048 F020800 0.000 048 G010800 0 048 G020800 0.000 048 H010800 0 048 H020800 0.000 048 I010800 0 048 I020800 0.000 048 J010800 0 048 J020800 0.000 048 K010800 0 048 K020800 0.000 049 000800 N 050 000800 N 051 000800 N 052 000800 N 053 A000800 Y 053 B000800 Y 053 C000800 N 055 A000800 N 055 B000800 N 056 000800 Y 057 000800 N 062 A000800 N 062 B000800 0.0 062 C000800 0.0 062 D000800 0.0 062 E000800 0.0 062 F000800 0.0 062 G000800 0.0 062 H000800 0.0 062 I000800 0.0 062 J000800 0.0 062 K000800 0.0 062 L000800 0.0 062 M000800 0.0 062 N000800 0.0 062 O000800 0.0 PAGE 39 062 P000800 0.0 062 Q000800 0.0 062 R000800 0.0 063 A000800 0 063 B000800 0.0 066 A000800 Y 066 B000800 N 066 C000800 Y 066 D000800 N 066 E000800 N 066 F000800 N 066 G000800 N 067 000800 N 068 A000800 N 068 B000800 N 069 000800 Y 070 A010800 Y 070 A020800 N 070 B010800 Y 070 B020800 N 070 C010800 Y 070 C020800 N 070 D010800 Y 070 D020800 N 070 E010800 Y 070 E020800 N 070 F010800 Y 070 F020800 N 070 G010800 Y 070 G020800 N 070 H010800 Y 070 H020800 N 070 I010800 Y 070 I020800 N 070 J010800 Y 070 J020800 N 070 K010800 Y 070 K020800 N 070 L010800 Y 070 L020800 Y 070 M010800 Y 070 M020800 N 070 N010800 Y 070 N020800 N 070 O010800 Y 070 O020800 N 070 P010800 N 070 P020800 N 070 Q010800 Y 070 Q020800 N 070 R010800 Y PAGE 40 070 R020800 N 071 A000800 153773 071 B000800 153880 071 C000800 141524 071 D000800 109 072 A000800 12 072 B000800 0 072 C000800 802 072 D000800 0 072 E000800 0 072 F000800 711 072 G000800 45 072 H000800 0 072 I000800 10 072 J000800 18 072 K000800 0 072 L000800 22 072 M000800 3 072 N000800 17 072 O000800 0 072 P000800 0 072 Q000800 28 072 R000800 24 072 S000800 21 072 T000800 0 072 U000800 0 072 V000800 0 072 W000800 159 072 X000800 1058 072 Y000800 62 072 Z000800 -194 072AA000800 15981 072BB000800 0 072CC010800 0 072CC020800 13797 072DD010800 30 072DD020800 0 072EE000800 0 073 A010800 0.0060 073 A020800 0.0000 073 B000800 0.0000 073 C000800 0.0000 074 A000800 0 074 B000800 0 074 C000800 0 074 D000800 0 074 E000800 0 074 F000800 197565 074 G000800 0 074 H000800 0 074 I000800 216 PAGE 41 074 J000800 6546 074 K000800 0 074 L000800 11 074 M000800 2 074 N000800 204340 074 O000800 0 074 P000800 76 074 Q000800 0 074 R010800 0 074 R020800 0 074 R030800 0 074 R040800 6735 074 S000800 0 074 T000800 197529 074 U010800 9055 074 U020800 0 074 V010800 21.81 074 V020800 0.00 074 W000800 0.0000 074 X000800 21748 074 Y000800 0 075 A000800 0 075 B000800 142201 076 000800 0.00 024 000900 N 025 D000901 0 025 D000902 0 025 D000903 0 025 D000904 0 025 D000905 0 025 D000906 0 025 D000907 0 025 D000908 0 028 A010900 1682 028 A020900 0 028 A030900 0 028 A040900 0 028 B010900 5169 028 B020900 0 028 B030900 0 028 B040900 839 028 C010900 4397 028 C020900 0 028 C030900 0 028 C040900 4379 028 D010900 13770 028 D020900 0 028 D030900 0 028 D040900 900 028 E010900 17918 028 E020900 0 PAGE 42 028 E030900 0 028 E040900 0 028 F010900 21959 028 F020900 0 028 F030900 0 028 F040900 17445 028 G010900 64895 028 G020900 0 028 G030900 0 028 G040900 23563 028 H000900 0 045 000900 Y 046 000900 N 047 000900 Y 048 000900 0.500 048 A010900 0 048 A020900 0.000 048 B010900 0 048 B020900 0.000 048 C010900 0 048 C020900 0.000 048 D010900 0 048 D020900 0.000 048 E010900 0 048 E020900 0.000 048 F010900 0 048 F020900 0.000 048 G010900 0 048 G020900 0.000 048 H010900 0 048 H020900 0.000 048 I010900 0 048 I020900 0.000 048 J010900 0 048 J020900 0.000 048 K010900 0 048 K020900 0.000 049 000900 N 050 000900 N 051 000900 N 052 000900 N 053 A000900 Y 053 B000900 Y 053 C000900 N 055 A000900 Y 055 B000900 N 056 000900 Y 057 000900 N 062 A000900 N 062 B000900 0.0 062 C000900 0.0 PAGE 43 062 D000900 0.0 062 E000900 0.0 062 F000900 0.0 062 G000900 0.0 062 H000900 0.0 062 I000900 0.0 062 J000900 0.0 062 K000900 0.0 062 L000900 0.0 062 M000900 0.0 062 N000900 0.0 062 O000900 0.0 062 P000900 0.0 062 Q000900 0.0 062 R000900 0.0 063 A000900 0 063 B000900 0.0 066 A000900 Y 066 B000900 N 066 C000900 Y 066 D000900 N 066 E000900 N 066 F000900 N 066 G000900 N 067 000900 N 068 A000900 N 068 B000900 N 069 000900 Y 070 A010900 Y 070 A020900 N 070 B010900 Y 070 B020900 N 070 C010900 Y 070 C020900 N 070 D010900 Y 070 D020900 N 070 E010900 Y 070 E020900 N 070 F010900 Y 070 F020900 N 070 G010900 Y 070 G020900 N 070 H010900 Y 070 H020900 N 070 I010900 Y 070 I020900 N 070 J010900 Y 070 J020900 N 070 K010900 Y 070 K020900 N 070 L010900 Y PAGE 44 070 L020900 N 070 M010900 Y 070 M020900 N 070 N010900 Y 070 N020900 N 070 O010900 Y 070 O020900 N 070 P010900 N 070 P020900 N 070 Q010900 Y 070 Q020900 N 070 R010900 Y 070 R020900 N 071 A000900 33782 071 B000900 33582 071 C000900 50888 071 D000900 66 072 A000900 12 072 B000900 0 072 C000900 1748 072 D000900 0 072 E000900 0 072 F000900 252 072 G000900 17 072 H000900 0 072 I000900 4 072 J000900 6 072 K000900 0 072 L000900 8 072 M000900 1 072 N000900 6 072 O000900 0 072 P000900 0 072 Q000900 10 072 R000900 24 072 S000900 8 072 T000900 0 072 U000900 0 072 V000900 0 072 W000900 63 072 X000900 399 072 Y000900 46 072 Z000900 1396 072AA000900 5714 072BB000900 0 072CC010900 0 072CC020900 1071 072DD010900 1292 072DD020900 0 072EE000900 0 073 A010900 0.3842 PAGE 45 073 A020900 0.0000 073 B000900 0.0000 073 C000900 0.0000 074 A000900 0 074 B000900 0 074 C000900 0 074 D000900 0 074 E000900 0 074 F000900 87261 074 G000900 0 074 H000900 0 074 I000900 54 074 J000900 0 074 K000900 0 074 L000900 164 074 M000900 2 074 N000900 87481 074 O000900 0 074 P000900 30 074 Q000900 0 074 R010900 0 074 R020900 0 074 R030900 0 074 R040900 85 074 S000900 0 074 T000900 87366 074 U010900 4950 074 U020900 0 074 V010900 17.65 074 V020900 0.00 074 W000900 0.0000 074 X000900 10566 074 Y000900 0 075 A000900 0 075 B000900 50366 076 000900 0.00 024 001000 Y 025 A001001 GOLDMAN SACHS GROUP (THE), INC. 025 B001001 13-5108880 025 C001001 E 025 D001001 766 025 A001002 BNY BROKERAGE, INC. 025 B001002 13-3891980 025 C001002 E 025 D001002 494 025 D001003 0 025 D001004 0 025 D001005 0 025 D001006 0 025 D001007 0 025 D001008 0 PAGE 46 025 D001009 0 025 D001010 0 025 D001011 0 025 D001012 0 025 D001013 0 025 D001014 0 025 D001015 0 025 D001016 0 025 D001017 0 025 D001018 0 025 D001019 0 025 D001020 0 025 D001021 0 025 D001022 0 025 D001023 0 025 D001024 0 028 A011000 23292 028 A021000 0 028 A031000 0 028 A041000 0 028 B011000 42203 028 B021000 0 028 B031000 0 028 B041000 0 028 C011000 41653 028 C021000 0 028 C031000 0 028 C041000 29815 028 D011000 25500 028 D021000 0 028 D031000 0 028 D041000 0 028 E011000 5757 028 E021000 0 028 E031000 0 028 E041000 4270 028 F011000 56571 028 F021000 0 028 F031000 0 028 F041000 40203 028 G011000 194976 028 G021000 0 028 G031000 0 028 G041000 74288 028 H001000 0 045 001000 Y 046 001000 N 047 001000 Y 048 001000 0.500 048 A011000 0 048 A021000 0.000 PAGE 47 048 B011000 0 048 B021000 0.000 048 C011000 0 048 C021000 0.000 048 D011000 0 048 D021000 0.000 048 E011000 0 048 E021000 0.000 048 F011000 0 048 F021000 0.000 048 G011000 0 048 G021000 0.000 048 H011000 0 048 H021000 0.000 048 I011000 0 048 I021000 0.000 048 J011000 0 048 J021000 0.000 048 K011000 0 048 K021000 0.000 049 001000 N 050 001000 N 051 001000 N 052 001000 N 053 A001000 Y 053 B001000 Y 053 C001000 N 055 A001000 N 055 B001000 N 056 001000 Y 057 001000 N 062 A001000 N 062 B001000 0.0 062 C001000 0.0 062 D001000 0.0 062 E001000 0.0 062 F001000 0.0 062 G001000 0.0 062 H001000 0.0 062 I001000 0.0 062 J001000 0.0 062 K001000 0.0 062 L001000 0.0 062 M001000 0.0 062 N001000 0.0 062 O001000 0.0 062 P001000 0.0 062 Q001000 0.0 062 R001000 0.0 063 A001000 0 063 B001000 0.0 PAGE 48 066 A001000 Y 066 B001000 N 066 C001000 Y 066 D001000 N 066 E001000 N 066 F001000 N 066 G001000 N 067 001000 N 068 A001000 N 068 B001000 N 069 001000 Y 070 A011000 Y 070 A021000 N 070 B011000 Y 070 B021000 N 070 C011000 Y 070 C021000 N 070 D011000 Y 070 D021000 N 070 E011000 Y 070 E021000 N 070 F011000 Y 070 F021000 N 070 G011000 Y 070 G021000 N 070 H011000 Y 070 H021000 N 070 I011000 Y 070 I021000 N 070 J011000 Y 070 J021000 N 070 K011000 Y 070 K021000 N 070 L011000 Y 070 L021000 Y 070 M011000 Y 070 M021000 N 070 N011000 Y 070 N021000 N 070 O011000 Y 070 O021000 N 070 P011000 N 070 P021000 N 070 Q011000 Y 070 Q021000 N 070 R011000 Y 070 R021000 N 071 A001000 134705 071 B001000 135645 071 C001000 167300 071 D001000 81 PAGE 49 072 A001000 12 072 B001000 0 072 C001000 2933 072 D001000 0 072 E001000 0 072 F001000 842 072 G001000 56 072 H001000 0 072 I001000 13 072 J001000 21 072 K001000 0 072 L001000 21 072 M001000 3 072 N001000 24 072 O001000 0 072 P001000 0 072 Q001000 34 072 R001000 24 072 S001000 25 072 T001000 0 072 U001000 0 072 V001000 0 072 W001000 115 072 X001000 1178 072 Y001000 0 072 Z001000 1755 072AA001000 14095 072BB001000 0 072CC011000 0 072CC021000 841 072DD011000 1697 072DD021000 0 072EE001000 0 073 A011000 0.2600 073 A021000 0.0000 073 B001000 0.0000 073 C001000 0.0000 074 A001000 0 074 B001000 0 074 C001000 0 074 D001000 0 074 E001000 0 074 F001000 272375 074 G001000 0 074 H001000 0 074 I001000 1579 074 J001000 2823 074 K001000 0 074 L001000 213 074 M001000 2 074 N001000 276992 PAGE 50 074 O001000 0 074 P001000 159 074 Q001000 0 074 R011000 0 074 R021000 0 074 R031000 0 074 R041000 2972 074 S001000 0 074 T001000 273861 074 U011000 9650 074 U021000 0 074 V011000 28.38 074 V021000 0.00 074 W001000 0.0000 074 X001000 15796 074 Y001000 0 075 A001000 0 075 B001000 168305 076 001000 0.00 024 001100 N 025 D001101 0 025 D001102 0 025 D001103 0 025 D001104 0 025 D001105 0 025 D001106 0 025 D001107 0 025 D001108 0 028 A011100 10424 028 A021100 0 028 A031100 0 028 A041100 0 028 B011100 21065 028 B021100 0 028 B031100 0 028 B041100 0 028 C011100 59814 028 C021100 0 028 C031100 0 028 C041100 39692 028 D011100 61681 028 D021100 0 028 D031100 0 028 D041100 0 028 E011100 15744 028 E021100 0 028 E031100 0 028 E041100 5096 028 F011100 71268 028 F021100 0 028 F031100 0 PAGE 51 028 F041100 40305 028 G011100 239996 028 G021100 0 028 G031100 0 028 G041100 85093 028 H001100 0 045 001100 Y 046 001100 N 047 001100 Y 048 001100 0.500 048 A011100 0 048 A021100 0.000 048 B011100 0 048 B021100 0.000 048 C011100 0 048 C021100 0.000 048 D011100 0 048 D021100 0.000 048 E011100 0 048 E021100 0.000 048 F011100 0 048 F021100 0.000 048 G011100 0 048 G021100 0.000 048 H011100 0 048 H021100 0.000 048 I011100 0 048 I021100 0.000 048 J011100 0 048 J021100 0.000 048 K011100 0 048 K021100 0.000 049 001100 N 050 001100 N 051 001100 N 052 001100 N 053 A001100 Y 053 B001100 Y 053 C001100 N 055 A001100 N 055 B001100 N 056 001100 Y 057 001100 N 062 A001100 N 062 B001100 0.0 062 C001100 0.0 062 D001100 0.0 062 E001100 0.0 062 F001100 0.0 062 G001100 0.0 062 H001100 0.0 PAGE 52 062 I001100 0.0 062 J001100 0.0 062 K001100 0.0 062 L001100 0.0 062 M001100 0.0 062 N001100 0.0 062 O001100 0.0 062 P001100 0.0 062 Q001100 0.0 062 R001100 0.0 063 A001100 0 063 B001100 0.0 066 A001100 Y 066 B001100 N 066 C001100 Y 066 D001100 N 066 E001100 N 066 F001100 N 066 G001100 N 067 001100 N 068 A001100 N 068 B001100 N 069 001100 Y 070 A011100 Y 070 A021100 N 070 B011100 Y 070 B021100 N 070 C011100 Y 070 C021100 N 070 D011100 Y 070 D021100 N 070 E011100 Y 070 E021100 N 070 F011100 Y 070 F021100 N 070 G011100 Y 070 G021100 N 070 H011100 Y 070 H021100 N 070 I011100 Y 070 I021100 N 070 J011100 Y 070 J021100 N 070 K011100 Y 070 K021100 N 070 L011100 Y 070 L021100 Y 070 M011100 Y 070 M021100 N 070 N011100 Y 070 N021100 N PAGE 53 070 O011100 Y 070 O021100 N 070 P011100 N 070 P021100 N 070 Q011100 Y 070 Q021100 N 070 R011100 Y 070 R021100 N 071 A001100 150323 071 B001100 150247 071 C001100 174170 071 D001100 86 072 A001100 12 072 B001100 0 072 C001100 1980 072 D001100 0 072 E001100 0 072 F001100 871 072 G001100 56 072 H001100 0 072 I001100 12 072 J001100 22 072 K001100 0 072 L001100 24 072 M001100 3 072 N001100 28 072 O001100 0 072 P001100 0 072 Q001100 35 072 R001100 24 072 S001100 25 072 T001100 0 072 U001100 0 072 V001100 0 072 W001100 120 072 X001100 1220 072 Y001100 0 072 Z001100 760 072AA001100 20838 072BB001100 0 072CC011100 0 072CC021100 4250 072DD011100 829 072DD021100 0 072EE001100 0 073 A011100 0.1358 073 A021100 0.0000 073 B001100 0.0000 073 C001100 0.0000 074 A001100 0 074 B001100 0 PAGE 54 074 C001100 0 074 D001100 0 074 E001100 0 074 F001100 319413 074 G001100 0 074 H001100 0 074 I001100 289 074 J001100 0 074 K001100 0 074 L001100 105 074 M001100 2 074 N001100 319809 074 O001100 0 074 P001100 175 074 Q001100 0 074 R011100 0 074 R021100 0 074 R031100 0 074 R041100 143 074 S001100 0 074 T001100 319491 074 U011100 9350 074 U021100 0 074 V011100 34.17 074 V021100 0.00 074 W001100 0.0000 074 X001100 26419 074 Y001100 0 075 A001100 0 075 B001100 174246 076 001100 0.00 024 001200 N 025 D001201 0 025 D001202 0 025 D001203 0 025 D001204 0 025 D001205 0 025 D001206 0 025 D001207 0 025 D001208 0 028 A011200 7686 028 A021200 0 028 A031200 0 028 A041200 4692 028 B011200 7717 028 B021200 0 028 B031200 0 028 B041200 0 028 C011200 26036 028 C021200 0 028 C031200 0 PAGE 55 028 C041200 17794 028 D011200 0 028 D021200 0 028 D031200 0 028 D041200 0 028 E011200 6035 028 E021200 0 028 E031200 0 028 E041200 1506 028 F011200 22959 028 F021200 0 028 F031200 0 028 F041200 25747 028 G011200 70433 028 G021200 0 028 G031200 0 028 G041200 49739 028 H001200 0 045 001200 Y 046 001200 N 047 001200 Y 048 001200 0.500 048 A011200 0 048 A021200 0.000 048 B011200 0 048 B021200 0.000 048 C011200 0 048 C021200 0.000 048 D011200 0 048 D021200 0.000 048 E011200 0 048 E021200 0.000 048 F011200 0 048 F021200 0.000 048 G011200 0 048 G021200 0.000 048 H011200 0 048 H021200 0.000 048 I011200 0 048 I021200 0.000 048 J011200 0 048 J021200 0.000 048 K011200 0 048 K021200 0.000 049 001200 N 050 001200 N 051 001200 N 052 001200 N 053 A001200 Y 053 B001200 Y 053 C001200 N PAGE 56 055 A001200 N 055 B001200 N 056 001200 Y 057 001200 N 062 A001200 N 062 B001200 0.0 062 C001200 0.0 062 D001200 0.0 062 E001200 0.0 062 F001200 0.0 062 G001200 0.0 062 H001200 0.0 062 I001200 0.0 062 J001200 0.0 062 K001200 0.0 062 L001200 0.0 062 M001200 0.0 062 N001200 0.0 062 O001200 0.0 062 P001200 0.0 062 Q001200 0.0 062 R001200 0.0 063 A001200 0 063 B001200 0.0 066 A001200 Y 066 B001200 N 066 C001200 Y 066 D001200 N 066 E001200 N 066 F001200 N 066 G001200 N 067 001200 N 068 A001200 N 068 B001200 N 069 001200 Y 070 A011200 Y 070 A021200 N 070 B011200 Y 070 B021200 N 070 C011200 Y 070 C021200 N 070 D011200 Y 070 D021200 N 070 E011200 Y 070 E021200 N 070 F011200 Y 070 F021200 N 070 G011200 Y 070 G021200 N 070 H011200 Y 070 H021200 N PAGE 57 070 I011200 Y 070 I021200 N 070 J011200 Y 070 J021200 N 070 K011200 Y 070 K021200 N 070 L011200 Y 070 L021200 Y 070 M011200 Y 070 M021200 N 070 N011200 Y 070 N021200 N 070 O011200 Y 070 O021200 N 070 P011200 N 070 P021200 N 070 Q011200 Y 070 Q021200 N 070 R011200 Y 070 R021200 N 071 A001200 76255 071 B001200 76534 071 C001200 84748 071 D001200 90 072 A001200 12 072 B001200 0 072 C001200 815 072 D001200 0 072 E001200 0 072 F001200 432 072 G001200 32 072 H001200 0 072 I001200 8 072 J001200 11 072 K001200 0 072 L001200 14 072 M001200 2 072 N001200 9 072 O001200 0 072 P001200 0 072 Q001200 17 072 R001200 24 072 S001200 13 072 T001200 0 072 U001200 0 072 V001200 0 072 W001200 74 072 X001200 636 072 Y001200 31 072 Z001200 210 072AA001200 13029 PAGE 58 072BB001200 0 072CC011200 0 072CC021200 902 072DD011200 276 072DD021200 0 072EE001200 0 073 A011200 0.0937 073 A021200 0.0000 073 B001200 0.0000 073 C001200 0.0000 074 A001200 0 074 B001200 0 074 C001200 0 074 D001200 0 074 E001200 0 074 F001200 117366 074 G001200 0 074 H001200 0 074 I001200 113 074 J001200 9715 074 K001200 0 074 L001200 1591 074 M001200 2 074 N001200 128787 074 O001200 1812 074 P001200 66 074 Q001200 0 074 R011200 0 074 R021200 0 074 R031200 0 074 R041200 9379 074 S001200 0 074 T001200 117530 074 U011200 3800 074 U021200 0 074 V011200 30.93 074 V021200 0.00 074 W001200 0.0000 074 X001200 11458 074 Y001200 0 075 A001200 0 075 B001200 86456 076 001200 0.00 024 001300 Y 025 A001301 GOLDMAN SACHS GROUP (THE), INC. 025 B001301 13-5108880 025 C001301 E 025 D001301 966 025 A001302 BNY BROKERAGE, INC. 025 B001302 13-3891980 025 C001302 E PAGE 59 025 D001302 638 025 D001303 0 025 D001304 0 025 D001305 0 025 D001306 0 025 D001307 0 025 D001308 0 025 D001309 0 025 D001310 0 025 D001311 0 025 D001312 0 025 D001313 0 025 D001314 0 025 D001315 0 025 D001316 0 028 A011300 19654 028 A021300 0 028 A031300 0 028 A041300 0 028 B011300 8343 028 B021300 0 028 B031300 0 028 B041300 2818 028 C011300 43309 028 C021300 0 028 C031300 0 028 C041300 25937 028 D011300 29066 028 D021300 0 028 D031300 0 028 D041300 0 028 E011300 1404 028 E021300 0 028 E031300 0 028 E041300 1395 028 F011300 37102 028 F021300 0 028 F031300 0 028 F041300 32991 028 G011300 138878 028 G021300 0 028 G031300 0 028 G041300 63141 028 H001300 0 045 001300 Y 046 001300 N 047 001300 Y 048 001300 0.500 048 A011300 0 048 A021300 0.000 048 B011300 0 PAGE 60 048 B021300 0.000 048 C011300 0 048 C021300 0.000 048 D011300 0 048 D021300 0.000 048 E011300 0 048 E021300 0.000 048 F011300 0 048 F021300 0.000 048 G011300 0 048 G021300 0.000 048 H011300 0 048 H021300 0.000 048 I011300 0 048 I021300 0.000 048 J011300 0 048 J021300 0.000 048 K011300 0 048 K021300 0.000 049 001300 N 050 001300 N 051 001300 N 052 001300 N 053 A001300 Y 053 B001300 Y 053 C001300 N 055 A001300 N 055 B001300 N 056 001300 Y 057 001300 N 062 A001300 N 062 B001300 0.0 062 C001300 0.0 062 D001300 0.0 062 E001300 0.0 062 F001300 0.0 062 G001300 0.0 062 H001300 0.0 062 I001300 0.0 062 J001300 0.0 062 K001300 0.0 062 L001300 0.0 062 M001300 0.0 062 N001300 0.0 062 O001300 0.0 062 P001300 0.0 062 Q001300 0.0 062 R001300 0.0 063 A001300 0 063 B001300 0.0 066 A001300 Y PAGE 61 066 B001300 N 066 C001300 Y 066 D001300 N 066 E001300 N 066 F001300 N 066 G001300 N 067 001300 N 068 A001300 N 068 B001300 N 069 001300 Y 070 A011300 Y 070 A021300 N 070 B011300 Y 070 B021300 N 070 C011300 Y 070 C021300 N 070 D011300 Y 070 D021300 N 070 E011300 Y 070 E021300 N 070 F011300 Y 070 F021300 N 070 G011300 Y 070 G021300 N 070 H011300 Y 070 H021300 N 070 I011300 Y 070 I021300 N 070 J011300 Y 070 J021300 N 070 K011300 Y 070 K021300 N 070 L011300 Y 070 L021300 Y 070 M011300 Y 070 M021300 N 070 N011300 Y 070 N021300 N 070 O011300 Y 070 O021300 N 070 P011300 N 070 P021300 N 070 Q011300 Y 070 Q021300 N 070 R011300 Y 070 R021300 N 071 A001300 86408 071 B001300 86376 071 C001300 113479 071 D001300 76 072 A001300 12 PAGE 62 072 B001300 0 072 C001300 2453 072 D001300 0 072 E001300 0 072 F001300 565 072 G001300 37 072 H001300 0 072 I001300 8 072 J001300 14 072 K001300 0 072 L001300 15 072 M001300 2 072 N001300 14 072 O001300 0 072 P001300 0 072 Q001300 22 072 R001300 24 072 S001300 17 072 T001300 0 072 U001300 0 072 V001300 0 072 W001300 88 072 X001300 806 072 Y001300 16 072 Z001300 1663 072AA001300 13675 072BB001300 0 072CC011300 0 072CC021300 6010 072DD011300 1524 072DD021300 0 072EE001300 0 073 A011300 0.3138 073 A021300 0.0000 073 B001300 0.0000 073 C001300 0.0000 074 A001300 0 074 B001300 0 074 C001300 0 074 D001300 0 074 E001300 0 074 F001300 177797 074 G001300 0 074 H001300 0 074 I001300 256 074 J001300 0 074 K001300 0 074 L001300 1569 074 M001300 2 074 N001300 179624 074 O001300 1376 PAGE 63 074 P001300 95 074 Q001300 0 074 R011300 0 074 R021300 0 074 R031300 0 074 R041300 101 074 S001300 0 074 T001300 178052 074 U011300 6550 074 U021300 0 074 V011300 27.18 074 V021300 0.00 074 W001300 0.0000 074 X001300 12394 074 Y001300 0 075 A001300 0 075 B001300 112907 076 001300 0.00 024 001400 N 025 A001401 DELETE 025 D001401 0 025 D001402 0 025 D001403 0 025 D001404 0 025 D001405 0 025 D001406 0 025 D001407 0 025 D001408 0 028 A011400 15147 028 A021400 0 028 A031400 0 028 A041400 0 028 B011400 14951 028 B021400 0 028 B031400 0 028 B041400 0 028 C011400 31979 028 C021400 0 028 C031400 0 028 C041400 29005 028 D011400 6082 028 D021400 0 028 D031400 0 028 D041400 2993 028 E011400 2935 028 E021400 0 028 E031400 0 028 E041400 0 028 F011400 4588 028 F021400 0 028 F031400 0 PAGE 64 028 F041400 0 028 G011400 75682 028 G021400 0 028 G031400 0 028 G041400 31998 028 H001400 0 045 001400 Y 046 001400 N 047 001400 Y 048 001400 0.500 048 A011400 0 048 A021400 0.000 048 B011400 0 048 B021400 0.000 048 C011400 0 048 C021400 0.000 048 D011400 0 048 D021400 0.000 048 E011400 0 048 E021400 0.000 048 F011400 0 048 F021400 0.000 048 G011400 0 048 G021400 0.000 048 H011400 0 048 H021400 0.000 048 I011400 0 048 I021400 0.000 048 J011400 0 048 J021400 0.000 048 K011400 0 048 K021400 0.000 049 001400 N 050 001400 N 051 001400 N 052 001400 N 053 A001400 Y 053 B001400 Y 053 C001400 N 055 A001400 N 055 B001400 N 056 001400 Y 057 001400 N 062 A001400 N 062 B001400 0.0 062 C001400 0.0 062 D001400 0.0 062 E001400 0.0 062 F001400 0.0 062 G001400 0.0 062 H001400 0.0 PAGE 65 062 I001400 0.0 062 J001400 0.0 062 K001400 0.0 062 L001400 0.0 062 M001400 0.0 062 N001400 0.0 062 O001400 0.0 062 P001400 0.0 062 Q001400 0.0 062 R001400 0.0 063 A001400 0 063 B001400 0.0 066 A001400 Y 066 B001400 N 066 C001400 Y 066 D001400 N 066 E001400 N 066 F001400 N 066 G001400 N 067 001400 N 068 A001400 N 068 B001400 N 069 001400 Y 070 A011400 Y 070 A021400 N 070 B011400 Y 070 B021400 N 070 C011400 Y 070 C021400 N 070 D011400 Y 070 D021400 N 070 E011400 Y 070 E021400 N 070 F011400 Y 070 F021400 N 070 G011400 Y 070 G021400 N 070 H011400 Y 070 H021400 N 070 I011400 Y 070 I021400 N 070 J011400 Y 070 J021400 N 070 K011400 Y 070 K021400 N 070 L011400 Y 070 L021400 Y 070 M011400 Y 070 M021400 N 070 N011400 Y 070 N021400 N PAGE 66 070 O011400 Y 070 O021400 N 070 P011400 N 070 P021400 N 070 Q011400 Y 070 Q021400 N 070 R011400 Y 070 R021400 N 071 A001400 138205 071 B001400 138095 071 C001400 94306 071 D001400 146 072 A001400 12 072 B001400 0 072 C001400 1226 072 D001400 0 072 E001400 0 072 F001400 476 072 G001400 32 072 H001400 0 072 I001400 7 072 J001400 12 072 K001400 0 072 L001400 13 072 M001400 2 072 N001400 10 072 O001400 0 072 P001400 0 072 Q001400 19 072 R001400 24 072 S001400 14 072 T001400 0 072 U001400 0 072 V001400 0 072 W001400 80 072 X001400 689 072 Y001400 23 072 Z001400 560 072AA001400 6942 072BB001400 0 072CC011400 4069 072CC021400 0 072DD011400 627 072DD021400 0 072EE001400 0 073 A011400 0.1800 073 A021400 0.0000 073 B001400 0.0000 073 C001400 0.0000 074 A001400 0 074 B001400 0 PAGE 67 074 C001400 0 074 D001400 0 074 E001400 0 074 F001400 139382 074 G001400 0 074 H001400 0 074 I001400 50 074 J001400 0 074 K001400 0 074 L001400 52 074 M001400 2 074 N001400 139486 074 O001400 0 074 P001400 74 074 Q001400 0 074 R011400 0 074 R021400 0 074 R031400 0 074 R041400 90 074 S001400 0 074 T001400 139322 074 U011400 4750 074 U021400 0 074 V011400 29.33 074 V021400 0.00 074 W001400 0.0000 074 X001400 9446 074 Y001400 0 075 A001400 0 075 B001400 95178 076 001400 0.00 024 001500 Y 025 A001501 GOLDMAN SACHS GROUP (THE), INC. 025 B001501 13-5108880 025 C001501 E 025 D001501 107 025 A001502 BNY BROKERAGE, INC. 025 B001502 13-3891980 025 C001502 E 025 D001502 71 025 A001503 CITIGROUP GLOBAL MARKETS, INC. 025 B001503 11-2418191 025 C001503 E 025 D001503 66 025 D001504 0 025 D001505 0 025 D001506 0 025 D001507 0 025 D001508 0 025 D001509 0 025 D001510 0 PAGE 68 025 D001511 0 025 D001512 0 025 D001513 0 025 D001514 0 025 D001515 0 025 D001516 0 025 D001517 0 025 D001518 0 025 D001519 0 025 D001520 0 025 D001521 0 025 D001522 0 025 D001523 0 025 D001524 0 028 A011500 3025 028 A021500 0 028 A031500 0 028 A041500 0 028 B011500 0 028 B021500 0 028 B031500 0 028 B041500 0 028 C011500 12350 028 C021500 0 028 C031500 0 028 C041500 6230 028 D011500 0 028 D021500 0 028 D031500 0 028 D041500 0 028 E011500 0 028 E021500 0 028 E031500 0 028 E041500 0 028 F011500 12443 028 F021500 0 028 F031500 0 028 F041500 7740 028 G011500 27818 028 G021500 0 028 G031500 0 028 G041500 13970 028 H001500 0 045 001500 Y 046 001500 N 047 001500 Y 048 001500 0.500 048 A011500 0 048 A021500 0.000 048 B011500 0 048 B021500 0.000 PAGE 69 048 C011500 0 048 C021500 0.000 048 D011500 0 048 D021500 0.000 048 E011500 0 048 E021500 0.000 048 F011500 0 048 F021500 0.000 048 G011500 0 048 G021500 0.000 048 H011500 0 048 H021500 0.000 048 I011500 0 048 I021500 0.000 048 J011500 0 048 J021500 0.000 048 K011500 0 048 K021500 0.000 049 001500 N 050 001500 N 051 001500 N 052 001500 N 053 A001500 Y 053 B001500 Y 053 C001500 N 055 A001500 N 055 B001500 N 056 001500 Y 057 001500 N 062 A001500 N 062 B001500 0.0 062 C001500 0.0 062 D001500 0.0 062 E001500 0.0 062 F001500 0.0 062 G001500 0.0 062 H001500 0.0 062 I001500 0.0 062 J001500 0.0 062 K001500 0.0 062 L001500 0.0 062 M001500 0.0 062 N001500 0.0 062 O001500 0.0 062 P001500 0.0 062 Q001500 0.0 062 R001500 0.0 063 A001500 0 063 B001500 0.0 066 A001500 Y 066 B001500 N PAGE 70 066 C001500 Y 066 D001500 N 066 E001500 N 066 F001500 N 066 G001500 N 067 001500 N 068 A001500 N 068 B001500 N 069 001500 Y 070 A011500 Y 070 A021500 N 070 B011500 Y 070 B021500 N 070 C011500 Y 070 C021500 N 070 D011500 Y 070 D021500 N 070 E011500 Y 070 E021500 N 070 F011500 Y 070 F021500 N 070 G011500 Y 070 G021500 N 070 H011500 Y 070 H021500 N 070 I011500 Y 070 I021500 N 070 J011500 Y 070 J021500 N 070 K011500 Y 070 K021500 N 070 L011500 Y 070 L021500 Y 070 M011500 Y 070 M021500 N 070 N011500 Y 070 N021500 N 070 O011500 Y 070 O021500 N 070 P011500 N 070 P021500 N 070 Q011500 Y 070 Q021500 N 070 R011500 Y 070 R021500 N 071 A001500 21359 071 B001500 21308 071 C001500 28922 071 D001500 74 072 A001500 12 072 B001500 0 PAGE 71 072 C001500 538 072 D001500 0 072 E001500 0 072 F001500 145 072 G001500 16 072 H001500 0 072 I001500 6 072 J001500 4 072 K001500 0 072 L001500 4 072 M001500 1 072 N001500 2 072 O001500 0 072 P001500 0 072 Q001500 6 072 R001500 24 072 S001500 4 072 T001500 0 072 U001500 0 072 V001500 0 072 W001500 40 072 X001500 252 072 Y001500 49 072 Z001500 335 072AA001500 4077 072BB001500 0 072CC011500 0 072CC021500 642 072DD011500 335 072DD021500 0 072EE001500 0 073 A011500 0.3251 073 A021500 0.0000 073 B001500 0.0000 073 C001500 0.0000 074 A001500 0 074 B001500 0 074 C001500 0 074 D001500 0 074 E001500 0 074 F001500 39465 074 G001500 0 074 H001500 0 074 I001500 39 074 J001500 0 074 K001500 0 074 L001500 30 074 M001500 2 074 N001500 39536 074 O001500 0 074 P001500 12 PAGE 72 074 Q001500 0 074 R011500 0 074 R021500 0 074 R031500 0 074 R041500 54 074 S001500 0 074 T001500 39470 074 U011500 1350 074 U021500 0 074 V011500 29.24 074 V021500 0.00 074 W001500 0.0000 074 X001500 3348 074 Y001500 0 075 A001500 0 075 B001500 29012 076 001500 0.00 024 001600 N 025 A001601 DELETE 025 D001601 0 025 A001602 DELETE 025 D001602 0 025 D001603 0 025 D001604 0 025 D001605 0 025 D001606 0 025 D001607 0 025 D001608 0 025 D001609 0 025 D001610 0 025 D001611 0 025 D001612 0 025 D001613 0 025 D001614 0 025 D001615 0 025 D001616 0 028 A011600 0 028 A021600 0 028 A031600 0 028 A041600 0 028 B011600 3231 028 B021600 0 028 B031600 0 028 B041600 0 028 C011600 9901 028 C021600 0 028 C031600 0 028 C041600 4931 028 D011600 0 028 D021600 0 028 D031600 0 PAGE 73 028 D041600 0 028 E011600 3139 028 E021600 0 028 E031600 0 028 E041600 0 028 F011600 8183 028 F021600 0 028 F031600 0 028 F041600 0 028 G011600 24454 028 G021600 0 028 G031600 0 028 G041600 4931 028 H001600 0 045 001600 Y 046 001600 N 047 001600 Y 048 001600 0.500 048 A011600 0 048 A021600 0.000 048 B011600 0 048 B021600 0.000 048 C011600 0 048 C021600 0.000 048 D011600 0 048 D021600 0.000 048 E011600 0 048 E021600 0.000 048 F011600 0 048 F021600 0.000 048 G011600 0 048 G021600 0.000 048 H011600 0 048 H021600 0.000 048 I011600 0 048 I021600 0.000 048 J011600 0 048 J021600 0.000 048 K011600 0 048 K021600 0.000 049 001600 N 050 001600 N 051 001600 N 052 001600 N 053 A001600 Y 053 B001600 Y 053 C001600 N 055 A001600 N 055 B001600 N 056 001600 Y 057 001600 N PAGE 74 062 A001600 N 062 B001600 0.0 062 C001600 0.0 062 D001600 0.0 062 E001600 0.0 062 F001600 0.0 062 G001600 0.0 062 H001600 0.0 062 I001600 0.0 062 J001600 0.0 062 K001600 0.0 062 L001600 0.0 062 M001600 0.0 062 N001600 0.0 062 O001600 0.0 062 P001600 0.0 062 Q001600 0.0 062 R001600 0.0 063 A001600 0 063 B001600 0.0 066 A001600 Y 066 B001600 N 066 C001600 Y 066 D001600 N 066 E001600 N 066 F001600 N 066 G001600 N 067 001600 N 068 A001600 N 068 B001600 N 069 001600 Y 070 A011600 Y 070 A021600 N 070 B011600 Y 070 B021600 N 070 C011600 Y 070 C021600 N 070 D011600 Y 070 D021600 N 070 E011600 Y 070 E021600 N 070 F011600 Y 070 F021600 N 070 G011600 Y 070 G021600 N 070 H011600 Y 070 H021600 N 070 I011600 Y 070 I021600 N 070 J011600 Y 070 J021600 N PAGE 75 070 K011600 Y 070 K021600 N 070 L011600 Y 070 L021600 Y 070 M011600 Y 070 M021600 N 070 N011600 Y 070 N021600 N 070 O011600 Y 070 O021600 N 070 P011600 N 070 P021600 N 070 Q011600 Y 070 Q021600 N 070 R011600 Y 070 R021600 N 071 A001600 28858 071 B001600 28837 071 C001600 19311 071 D001600 149 072 A001600 12 072 B001600 0 072 C001600 172 072 D001600 0 072 E001600 0 072 F001600 95 072 G001600 12 072 H001600 0 072 I001600 5 072 J001600 2 072 K001600 0 072 L001600 3 072 M001600 0 072 N001600 3 072 O001600 0 072 P001600 0 072 Q001600 4 072 R001600 24 072 S001600 3 072 T001600 0 072 U001600 0 072 V001600 0 072 W001600 30 072 X001600 181 072 Y001600 48 072 Z001600 39 072AA001600 1973 072BB001600 0 072CC011600 226 072CC021600 0 072DD011600 59 PAGE 76 072DD021600 0 072EE001600 0 073 A011600 0.1100 073 A021600 0.0000 073 B001600 0.0000 073 C001600 0.0000 074 A001600 0 074 B001600 0 074 C001600 0 074 D001600 0 074 E001600 0 074 F001600 37980 074 G001600 0 074 H001600 0 074 I001600 101 074 J001600 63 074 K001600 0 074 L001600 9 074 M001600 2 074 N001600 38155 074 O001600 107 074 P001600 7 074 Q001600 0 074 R011600 0 074 R021600 0 074 R031600 0 074 R041600 51 074 S001600 0 074 T001600 37990 074 U011600 1200 074 U021600 0 074 V011600 31.66 074 V021600 0.00 074 W001600 0.0000 074 X001600 2302 074 Y001600 0 075 A001600 0 075 B001600 19025 076 001600 0.00 024 001700 N 025 D001701 0 025 D001702 0 025 D001703 0 025 D001704 0 025 D001705 0 025 D001706 0 025 D001707 0 025 D001708 0 028 A011700 0 028 A021700 0 028 A031700 0 PAGE 77 028 A041700 0 028 B011700 0 028 B021700 0 028 B031700 0 028 B041700 0 028 C011700 2006 028 C021700 0 028 C031700 0 028 C041700 0 028 D011700 0 028 D021700 0 028 D031700 0 028 D041700 0 028 E011700 0 028 E021700 0 028 E031700 0 028 E041700 0 028 F011700 1040 028 F021700 0 028 F031700 0 028 F041700 1032 028 G011700 3046 028 G021700 0 028 G031700 0 028 G041700 1032 028 H001700 0 045 001700 Y 046 001700 N 047 001700 Y 048 001700 0.700 048 A011700 0 048 A021700 0.000 048 B011700 0 048 B021700 0.000 048 C011700 0 048 C021700 0.000 048 D011700 0 048 D021700 0.000 048 E011700 0 048 E021700 0.000 048 F011700 0 048 F021700 0.000 048 G011700 0 048 G021700 0.000 048 H011700 0 048 H021700 0.000 048 I011700 0 048 I021700 0.000 048 J011700 0 048 J021700 0.000 048 K011700 0 PAGE 78 048 K021700 0.000 049 001700 N 050 001700 N 051 001700 N 052 001700 N 053 A001700 Y 053 B001700 Y 053 C001700 N 055 A001700 N 055 B001700 N 056 001700 Y 057 001700 N 062 A001700 N 062 B001700 0.0 062 C001700 0.0 062 D001700 0.0 062 E001700 0.0 062 F001700 0.0 062 G001700 0.0 062 H001700 0.0 062 I001700 0.0 062 J001700 0.0 062 K001700 0.0 062 L001700 0.0 062 M001700 0.0 062 N001700 0.0 062 O001700 0.0 062 P001700 0.0 062 Q001700 0.0 062 R001700 0.0 063 A001700 0 063 B001700 0.0 066 A001700 Y 066 B001700 N 066 C001700 Y 066 D001700 N 066 E001700 N 066 F001700 N 066 G001700 N 067 001700 N 068 A001700 N 068 B001700 N 069 001700 Y 070 A011700 Y 070 A021700 N 070 B011700 Y 070 B021700 N 070 C011700 Y 070 C021700 N 070 D011700 Y 070 D021700 N PAGE 79 070 E011700 Y 070 E021700 N 070 F011700 Y 070 F021700 N 070 G011700 Y 070 G021700 N 070 H011700 Y 070 H021700 N 070 I011700 Y 070 I021700 N 070 J011700 Y 070 J021700 N 070 K011700 Y 070 K021700 N 070 L011700 Y 070 L021700 Y 070 M011700 Y 070 M021700 N 070 N011700 Y 070 N021700 N 070 O011700 Y 070 O021700 N 070 P011700 N 070 P021700 N 070 Q011700 Y 070 Q021700 N 070 R011700 Y 070 R021700 N 071 A001700 283 071 B001700 280 071 C001700 2021 071 D001700 14 072 A001700 4 072 B001700 0 072 C001700 8 072 D001700 0 072 E001700 0 072 F001700 4 072 G001700 0 072 H001700 0 072 I001700 0 072 J001700 0 072 K001700 0 072 L001700 0 072 M001700 0 072 N001700 0 072 O001700 0 072 P001700 0 072 Q001700 0 072 R001700 0 072 S001700 0 PAGE 80 072 T001700 0 072 U001700 0 072 V001700 0 072 W001700 0 072 X001700 4 072 Y001700 0 072 Z001700 4 072AA001700 74 072BB001700 0 072CC011700 0 072CC021700 160 072DD011700 4 072DD021700 0 072EE001700 0 073 A011700 0.0402 073 A021700 0.0000 073 B001700 0.0000 073 C001700 0.0000 074 A001700 1 074 B001700 0 074 C001700 0 074 D001700 0 074 E001700 0 074 F001700 1926 074 G001700 0 074 H001700 0 074 I001700 0 074 J001700 0 074 K001700 0 074 L001700 1 074 M001700 0 074 N001700 1928 074 O001700 0 074 P001700 1 074 Q001700 0 074 R011700 0 074 R021700 0 074 R031700 0 074 R041700 0 074 S001700 0 074 T001700 1927 074 U011700 100 074 U021700 0 074 V011700 19.27 074 V021700 0.00 074 W001700 0.0000 074 X001700 193 074 Y001700 0 075 A001700 0 075 B001700 2047 076 001700 0.00 PAGE 81 024 001800 N 025 D001801 0 025 D001802 0 025 D001803 0 025 D001804 0 025 D001805 0 025 D001806 0 025 D001807 0 025 D001808 0 028 A011800 0 028 A021800 0 028 A031800 0 028 A041800 0 028 B011800 0 028 B021800 0 028 B031800 0 028 B041800 0 028 C011800 2017 028 C021800 0 028 C031800 0 028 C041800 0 028 D011800 0 028 D021800 0 028 D031800 0 028 D041800 0 028 E011800 0 028 E021800 0 028 E031800 0 028 E041800 0 028 F011800 6363 028 F021800 0 028 F031800 0 028 F041800 1070 028 G011800 8380 028 G021800 0 028 G031800 0 028 G041800 1070 028 H001800 0 045 001800 Y 046 001800 N 047 001800 Y 048 001800 0.700 048 A011800 0 048 A021800 0.000 048 B011800 0 048 B021800 0.000 048 C011800 0 048 C021800 0.000 048 D011800 0 048 D021800 0.000 048 E011800 0 PAGE 82 048 E021800 0.000 048 F011800 0 048 F021800 0.000 048 G011800 0 048 G021800 0.000 048 H011800 0 048 H021800 0.000 048 I011800 0 048 I021800 0.000 048 J011800 0 048 J021800 0.000 048 K011800 0 048 K021800 0.000 049 001800 N 050 001800 N 051 001800 N 052 001800 N 053 A001800 Y 053 B001800 Y 053 C001800 N 055 A001800 N 055 B001800 N 056 001800 Y 057 001800 N 062 A001800 N 062 B001800 0.0 062 C001800 0.0 062 D001800 0.0 062 E001800 0.0 062 F001800 0.0 062 G001800 0.0 062 H001800 0.0 062 I001800 0.0 062 J001800 0.0 062 K001800 0.0 062 L001800 0.0 062 M001800 0.0 062 N001800 0.0 062 O001800 0.0 062 P001800 0.0 062 Q001800 0.0 062 R001800 0.0 063 A001800 0 063 B001800 0.0 066 A001800 Y 066 B001800 N 066 C001800 Y 066 D001800 N 066 E001800 N 066 F001800 N 066 G001800 N PAGE 83 067 001800 N 068 A001800 N 068 B001800 N 069 001800 Y 070 A011800 Y 070 A021800 N 070 B011800 Y 070 B021800 N 070 C011800 Y 070 C021800 N 070 D011800 Y 070 D021800 N 070 E011800 Y 070 E021800 N 070 F011800 Y 070 F021800 N 070 G011800 Y 070 G021800 N 070 H011800 Y 070 H021800 N 070 I011800 Y 070 I021800 N 070 J011800 Y 070 J021800 N 070 K011800 Y 070 K021800 N 070 L011800 Y 070 L021800 Y 070 M011800 Y 070 M021800 N 070 N011800 Y 070 N021800 N 070 O011800 Y 070 O021800 N 070 P011800 N 070 P021800 N 070 Q011800 Y 070 Q021800 N 070 R011800 Y 070 R021800 N 071 A001800 1575 071 B001800 1579 071 C001800 3308 071 D001800 48 072 A001800 4 072 B001800 0 072 C001800 4 072 D001800 0 072 E001800 0 072 F001800 6 072 G001800 0 PAGE 84 072 H001800 0 072 I001800 0 072 J001800 0 072 K001800 0 072 L001800 0 072 M001800 0 072 N001800 0 072 O001800 0 072 P001800 0 072 Q001800 0 072 R001800 0 072 S001800 0 072 T001800 0 072 U001800 0 072 V001800 0 072 W001800 0 072 X001800 6 072 Y001800 0 072 Z001800 -2 072AA001800 37 072BB001800 0 072CC011800 0 072CC021800 368 072DD011800 0 072DD021800 0 072EE001800 0 073 A011800 0.0000 073 A021800 0.0000 073 B001800 0.0000 073 C001800 0.0000 074 A001800 10 074 B001800 0 074 C001800 0 074 D001800 0 074 E001800 0 074 F001800 6968 074 G001800 0 074 H001800 0 074 I001800 0 074 J001800 0 074 K001800 0 074 L001800 1 074 M001800 0 074 N001800 6979 074 O001800 0 074 P001800 3 074 Q001800 0 074 R011800 0 074 R021800 0 074 R031800 0 074 R041800 0 PAGE 85 074 S001800 0 074 T001800 6976 074 U011800 350 074 U021800 0 074 V011800 19.93 074 V021800 0.00 074 W001800 0.0000 074 X001800 583 074 Y001800 0 075 A001800 0 075 B001800 3116 076 001800 0.00 024 001900 Y 025 A001901 SUSQUEHANNA FINANCIAL GROUP LLP 025 B001901 23-2666961 025 C001901 E 025 D001901 3 025 D001902 0 025 D001903 0 025 D001904 0 025 D001905 0 025 D001906 0 025 D001907 0 025 D001908 0 028 A011900 0 028 A021900 0 028 A031900 0 028 A041900 0 028 B011900 0 028 B021900 0 028 B031900 0 028 B041900 0 028 C011900 1997 028 C021900 0 028 C031900 0 028 C041900 0 028 D011900 0 028 D021900 0 028 D031900 0 028 D041900 0 028 E011900 0 028 E021900 0 028 E031900 0 028 E041900 0 028 F011900 1052 028 F021900 0 028 F031900 0 028 F041900 1044 028 G011900 3049 028 G021900 0 028 G031900 0 PAGE 86 028 G041900 1044 028 H001900 0 045 001900 Y 046 001900 N 047 001900 Y 048 001900 0.700 048 A011900 0 048 A021900 0.000 048 B011900 0 048 B021900 0.000 048 C011900 0 048 C021900 0.000 048 D011900 0 048 D021900 0.000 048 E011900 0 048 E021900 0.000 048 F011900 0 048 F021900 0.000 048 G011900 0 048 G021900 0.000 048 H011900 0 048 H021900 0.000 048 I011900 0 048 I021900 0.000 048 J011900 0 048 J021900 0.000 048 K011900 0 048 K021900 0.000 049 001900 N 050 001900 N 051 001900 N 052 001900 N 053 A001900 Y 053 B001900 Y 053 C001900 N 055 A001900 N 055 B001900 N 056 001900 Y 057 001900 N 062 A001900 N 062 B001900 0.0 062 C001900 0.0 062 D001900 0.0 062 E001900 0.0 062 F001900 0.0 062 G001900 0.0 062 H001900 0.0 062 I001900 0.0 062 J001900 0.0 062 K001900 0.0 062 L001900 0.0 PAGE 87 062 M001900 0.0 062 N001900 0.0 062 O001900 0.0 062 P001900 0.0 062 Q001900 0.0 062 R001900 0.0 063 A001900 0 063 B001900 0.0 066 A001900 Y 066 B001900 N 066 C001900 Y 066 D001900 N 066 E001900 N 066 F001900 N 066 G001900 N 067 001900 N 068 A001900 N 068 B001900 N 069 001900 Y 070 A011900 Y 070 A021900 N 070 B011900 Y 070 B021900 N 070 C011900 Y 070 C021900 N 070 D011900 Y 070 D021900 N 070 E011900 Y 070 E021900 N 070 F011900 Y 070 F021900 N 070 G011900 Y 070 G021900 N 070 H011900 Y 070 H021900 N 070 I011900 Y 070 I021900 N 070 J011900 Y 070 J021900 N 070 K011900 Y 070 K021900 N 070 L011900 Y 070 L021900 Y 070 M011900 Y 070 M021900 N 070 N011900 Y 070 N021900 N 070 O011900 Y 070 O021900 N 070 P011900 N 070 P021900 N PAGE 88 070 Q011900 Y 070 Q021900 N 070 R011900 Y 070 R021900 N 071 A001900 310 071 B001900 316 071 C001900 2040 071 D001900 15 072 A001900 4 072 B001900 0 072 C001900 7 072 D001900 0 072 E001900 0 072 F001900 4 072 G001900 0 072 H001900 0 072 I001900 0 072 J001900 0 072 K001900 0 072 L001900 0 072 M001900 0 072 N001900 0 072 O001900 0 072 P001900 0 072 Q001900 0 072 R001900 0 072 S001900 0 072 T001900 0 072 U001900 0 072 V001900 0 072 W001900 0 072 X001900 4 072 Y001900 0 072 Z001900 3 072AA001900 106 072BB001900 0 072CC011900 0 072CC021900 131 072DD011900 3 072DD021900 0 072EE001900 0 073 A011900 0.0300 073 A021900 0.0000 073 B001900 0.0000 073 C001900 0.0000 074 A001900 3 074 B001900 0 074 C001900 0 074 D001900 0 074 E001900 0 074 F001900 1977 PAGE 89 074 G001900 0 074 H001900 0 074 I001900 0 074 J001900 0 074 K001900 0 074 L001900 1 074 M001900 0 074 N001900 1981 074 O001900 0 074 P001900 1 074 Q001900 0 074 R011900 0 074 R021900 0 074 R031900 0 074 R041900 0 074 S001900 0 074 T001900 1980 074 U011900 100 074 U021900 0 074 V011900 19.80 074 V021900 0.00 074 W001900 0.0000 074 X001900 58 074 Y001900 0 075 A001900 0 075 B001900 2050 076 001900 0.00 024 002000 N 025 D002001 0 025 D002002 0 025 D002003 0 025 D002004 0 025 D002005 0 025 D002006 0 025 D002007 0 025 D002008 0 028 A012000 0 028 A022000 0 028 A032000 0 028 A042000 0 028 B012000 0 028 B022000 0 028 B032000 0 028 B042000 0 028 C012000 2008 028 C022000 0 028 C032000 0 028 C042000 0 028 D012000 1992 028 D022000 0 028 D032000 0 PAGE 90 028 D042000 0 028 E012000 0 028 E022000 0 028 E032000 0 028 E042000 0 028 F012000 3200 028 F022000 0 028 F032000 0 028 F042000 1071 028 G012000 7200 028 G022000 0 028 G032000 0 028 G042000 1071 028 H002000 0 045 002000 Y 046 002000 N 047 002000 Y 048 002000 0.700 048 A012000 0 048 A022000 0.000 048 B012000 0 048 B022000 0.000 048 C012000 0 048 C022000 0.000 048 D012000 0 048 D022000 0.000 048 E012000 0 048 E022000 0.000 048 F012000 0 048 F022000 0.000 048 G012000 0 048 G022000 0.000 048 H012000 0 048 H022000 0.000 048 I012000 0 048 I022000 0.000 048 J012000 0 048 J022000 0.000 048 K012000 0 048 K022000 0.000 049 002000 N 050 002000 N 051 002000 N 052 002000 N 053 A002000 Y 053 B002000 Y 053 C002000 N 055 A002000 N 055 B002000 N 056 002000 Y 057 002000 N PAGE 91 062 A002000 N 062 B002000 0.0 062 C002000 0.0 062 D002000 0.0 062 E002000 0.0 062 F002000 0.0 062 G002000 0.0 062 H002000 0.0 062 I002000 0.0 062 J002000 0.0 062 K002000 0.0 062 L002000 0.0 062 M002000 0.0 062 N002000 0.0 062 O002000 0.0 062 P002000 0.0 062 Q002000 0.0 062 R002000 0.0 063 A002000 0 063 B002000 0.0 066 A002000 Y 066 B002000 N 066 C002000 Y 066 D002000 N 066 E002000 N 066 F002000 N 066 G002000 N 067 002000 N 068 A002000 N 068 B002000 N 069 002000 Y 070 A012000 Y 070 A022000 N 070 B012000 Y 070 B022000 N 070 C012000 Y 070 C022000 N 070 D012000 Y 070 D022000 N 070 E012000 Y 070 E022000 N 070 F012000 Y 070 F022000 N 070 G012000 Y 070 G022000 N 070 H012000 Y 070 H022000 N 070 I012000 Y 070 I022000 N 070 J012000 Y 070 J022000 N PAGE 92 070 K012000 Y 070 K022000 N 070 L012000 Y 070 L022000 N 070 M012000 Y 070 M022000 N 070 N012000 Y 070 N022000 N 070 O012000 Y 070 O022000 N 070 P012000 N 070 P022000 N 070 Q012000 Y 070 Q022000 N 070 R012000 Y 070 R022000 N 071 A002000 1487 071 B002000 1483 071 C002000 4106 071 D002000 36 072 A002000 4 072 B002000 0 072 C002000 4 072 D002000 0 072 E002000 0 072 F002000 8 072 G002000 0 072 H002000 0 072 I002000 0 072 J002000 0 072 K002000 0 072 L002000 0 072 M002000 0 072 N002000 0 072 O002000 0 072 P002000 0 072 Q002000 0 072 R002000 0 072 S002000 0 072 T002000 0 072 U002000 0 072 V002000 0 072 W002000 0 072 X002000 8 072 Y002000 0 072 Z002000 -4 072AA002000 28 072BB002000 0 072CC012000 0 072CC022000 176 072DD012000 0 PAGE 93 072DD022000 0 072EE002000 0 073 A012000 0.0000 073 A022000 0.0000 073 B002000 0.0000 073 C002000 0.0000 074 A002000 11 074 B002000 0 074 C002000 0 074 D002000 0 074 E002000 0 074 F002000 5971 074 G002000 0 074 H002000 0 074 I002000 0 074 J002000 0 074 K002000 0 074 L002000 49 074 M002000 0 074 N002000 6031 074 O002000 50 074 P002000 4 074 Q002000 0 074 R012000 0 074 R022000 0 074 R032000 0 074 R042000 0 074 S002000 0 074 T002000 5977 074 U012000 300 074 U022000 0 074 V012000 19.92 074 V022000 0.00 074 W002000 0.0000 074 X002000 673 074 Y002000 0 075 A002000 0 075 B002000 3902 076 002000 0.00 024 002100 Y 025 A002101 GOLDMAN SACHS & CO. 025 B002101 13-5108880 025 C002101 E 025 D002101 26 025 D002102 0 025 D002103 0 025 D002104 0 025 D002105 0 025 D002106 0 025 D002107 0 025 D002108 0 PAGE 94 028 A012100 0 028 A022100 0 028 A032100 0 028 A042100 0 028 B012100 0 028 B022100 0 028 B032100 0 028 B042100 0 028 C012100 0 028 C022100 0 028 C032100 0 028 C042100 0 028 D012100 1967 028 D022100 0 028 D032100 0 028 D042100 0 028 E012100 0 028 E022100 0 028 E032100 0 028 E042100 0 028 F012100 2975 028 F022100 0 028 F032100 0 028 F042100 983 028 G012100 4942 028 G022100 0 028 G032100 0 028 G042100 983 028 H002100 0 045 002100 Y 046 002100 N 047 002100 Y 048 002100 0.700 048 A012100 0 048 A022100 0.000 048 B012100 0 048 B022100 0.000 048 C012100 0 048 C022100 0.000 048 D012100 0 048 D022100 0.000 048 E012100 0 048 E022100 0.000 048 F012100 0 048 F022100 0.000 048 G012100 0 048 G022100 0.000 048 H012100 0 048 H022100 0.000 048 I012100 0 048 I022100 0.000 PAGE 95 048 J012100 0 048 J022100 0.000 048 K012100 0 048 K022100 0.000 049 002100 N 050 002100 N 051 002100 N 052 002100 N 053 A002100 Y 053 B002100 Y 053 C002100 N 055 A002100 N 055 B002100 N 056 002100 Y 057 002100 N 062 A002100 N 062 B002100 0.0 062 C002100 0.0 062 D002100 0.0 062 E002100 0.0 062 F002100 0.0 062 G002100 0.0 062 H002100 0.0 062 I002100 0.0 062 J002100 0.0 062 K002100 0.0 062 L002100 0.0 062 M002100 0.0 062 N002100 0.0 062 O002100 0.0 062 P002100 0.0 062 Q002100 0.0 062 R002100 0.0 063 A002100 0 063 B002100 0.0 066 A002100 Y 066 B002100 N 066 C002100 Y 066 D002100 N 066 E002100 N 066 F002100 N 066 G002100 N 067 002100 N 068 A002100 N 068 B002100 N 069 002100 Y 070 A012100 Y 070 A022100 N 070 B012100 Y 070 B022100 N 070 C012100 Y PAGE 96 070 C022100 N 070 D012100 Y 070 D022100 N 070 E012100 Y 070 E022100 N 070 F012100 Y 070 F022100 N 070 G012100 Y 070 G022100 N 070 H012100 Y 070 H022100 N 070 I012100 Y 070 I022100 N 070 J012100 Y 070 J022100 N 070 K012100 Y 070 K022100 N 070 L012100 Y 070 L022100 Y 070 M012100 Y 070 M022100 N 070 N012100 Y 070 N022100 N 070 O012100 Y 070 O022100 N 070 P012100 N 070 P022100 N 070 Q012100 Y 070 Q022100 N 070 R012100 Y 070 R022100 N 071 A002100 1335 071 B002100 1396 071 C002100 2558 071 D002100 52 072 A002100 3 072 B002100 0 072 C002100 8 072 D002100 0 072 E002100 0 072 F002100 4 072 G002100 0 072 H002100 0 072 I002100 0 072 J002100 0 072 K002100 0 072 L002100 0 072 M002100 0 072 N002100 0 072 O002100 0 072 P002100 0 PAGE 97 072 Q002100 0 072 R002100 0 072 S002100 0 072 T002100 0 072 U002100 0 072 V002100 0 072 W002100 0 072 X002100 4 072 Y002100 0 072 Z002100 4 072AA002100 0 072BB002100 10 072CC012100 0 072CC022100 174 072DD012100 4 072DD022100 0 072EE002100 0 073 A012100 0.0175 073 A022100 0.0000 073 B002100 0.0000 073 C002100 0.0000 074 A002100 0 074 B002100 0 074 C002100 0 074 D002100 0 074 E002100 0 074 F002100 3775 074 G002100 0 074 H002100 0 074 I002100 0 074 J002100 0 074 K002100 4 074 L002100 0 074 M002100 0 074 N002100 3779 074 O002100 0 074 P002100 2 074 Q002100 0 074 R012100 0 074 R022100 0 074 R032100 0 074 R042100 0 074 S002100 0 074 T002100 3777 074 U012100 200 074 U022100 0 074 V012100 18.89 074 V022100 0.00 074 W002100 0.0000 074 X002100 301 074 Y002100 0 PAGE 98 075 A002100 0 075 B002100 2532 076 002100 0.00 SIGNATURE LUCY PEREZ TITLE AVP EX-99.77B ACCT LTTR 2 icl2011.txt INTERNAL CONTROL LETTER REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees and Shareholders of First Trust Exchange-Traded AlphaDEX(R) Fund: In planning and performing our audits of the financial statements of First Trust Exchange-Traded AlphaDEX(R) Fund, comprised of First Trust Consumer Discretionary AlphaDEX(R) Fund, First Trust Consumer Staples AlphaDEX(R) Fund, First Trust Energy AlphaDEX(R) Fund, First Trust Financials AlphaDEX(R) Fund, First Trust Health Care AlphaDEX(R) Fund, First Trust Industrials/Producer Durables AlphaDEX(R) Fund, First Trust Materials AlphaDEX(R) Fund, First Trust Technology AlphaDEX(R) Fund, First Trust Utilities AlphaDEX(R) Fund, First Trust Large Cap Core AlphaDEX(R) Fund, First Trust Mid Cap Core AlphaDEX(R) Fund, First Trust Small Cap Core AlphaDEX(R) Fund, First Trust Large Cap Value AlphaDEX(R) Fund (formerly known as First Trust Large Cap Value Opportunities AlphaDEX(R) Fund), First Trust Large Cap Growth AlphaDEX(R) Fund (formerly known as First Trust Large Cap Growth Opportunities AlphaDEX(R) Fund), First Trust Multi Cap Value AlphaDEX(R) Fund, First Trust Multi Cap Growth AlphaDEX(R) Fund, First Trust Mid Cap Value AlphaDEX(R) Fund, First Trust Mid Cap Growth AlphaDEX(R) Fund, First Trust Small Cap Value AlphaDEX(R) Fund, First Trust Small Cap Growth AlphaDEX(R) Fund, and First Trust Mega Cap AlphaDEX(R) Fund (collectively, the "Funds"), as of and for the year or periods ended July 31, 2011, in accordance with the standards of the Public Company Accounting Oversight Board (United States) ("PCAOB"), we considered the Funds' internal control over financial reporting, including controls over 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-SAR, 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 fund's 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 fund's 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 fund; (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 fund are being made only in accordance with authorizations of management and directors of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of a fund's assets that could have a material effect on the financial statements. Because of its 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 a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the Funds' annual or interim financial statements will not be prevented or detected on a timely basis. 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 that we consider to be a material weakness, as defined above, as of July 31, 2011. This report is intended solely for the information and use of management and the Board of Trustees of the First Trust Exchange-Traded AlphaDEX(R) Fund, 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/ DELOITTE & TOUCHE LLP Chicago, Illinois September 27, 2011