a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Dunham Small Cap Value Fund Class C |
ii. Class identification number, if any | C000059518 |
iii. Ticker symbol, if any | DCSVX |
Shares Outstanding Record:
2 |
i. Full name of Class | Dunham Small Cap Value Fund Class A |
ii. Class identification number, if any | C000059517 |
iii. Ticker symbol, if any | DASVX |
Shares Outstanding Record:
3 |
i. Full name of Class | Dunham Small Cap Value Fund Class N |
ii. Class identification number, if any | C000059519 |
iii. Ticker symbol, if any | DNSVX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Dunham & Associates Investment Counsel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 000013162 |
Description of other identifying number | CRD Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | MORGAN STANLEY SMITH BARNEY |
ii. SEC file number | 8-68191 |
iii. CRD number | 000149777 |
iv. LEI, if any | 7PDDXEMZ0ZV0CEDU4D16 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,124.43999999 |
Brokers Record:
2 |
i. Full name of broker | CAPITAL INSTITUTIONAL SERVICES, INC. |
ii. SEC file number | 8-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | 54930061X8RDWFDJIS05 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 53,325.68000000 |
Brokers Record:
3 |
i. Full name of broker | ROYAL BANK OF CANADA CAPITAL MARKETS |
ii. SEC file number | 8-39947 |
iii. CRD number | 000022698 |
iv. LEI, if any | ES7IP3U3RHIGC71XBU11 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 32,267.72000000 |
Brokers Record:
4 |
i. Full name of broker | KEYBANC CAPITAL MARKETS INC. |
ii. SEC file number | 8-30177 |
iii. CRD number | 000000566 |
iv. LEI, if any | 2EQWV0180Z211YVAD813 |
v. State, if applicable |
OHIO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,370.60000000 |
Brokers Record:
5 |
i. Full name of broker | ALEX.BROWN |
ii. SEC file number | 8-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,430.28000000 |
Brokers Record:
6 |
i. Full name of broker | JPMORGAN CHASE |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 83,028.28000000 |
Brokers Record:
7 |
i. Full name of broker | DEUTSCHE BANK |
ii. SEC file number | 8-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 7,562.00000000 |
Brokers Record:
8 |
i. Full name of broker | PIPER SANDLER |
ii. SEC file number | 8-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,694.24000000 |
Brokers Record:
9 |
i. Full name of broker | SANFORD FINANCIAL SERVICES |
ii. SEC file number | 8-52942 |
iii. CRD number | 000151388 |
iv. LEI, if any | 549300I7JYZHT7D5CO04 |
v. State, if applicable |
MICHIGAN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,907.72000000 |
Brokers Record:
10 |
i. Full name of broker | WILLIAM BLAIR & CO |
ii. SEC file number | 8-02698 |
iii. CRD number | 000001252 |
iv. LEI, if any | 549300J0P7XYE8BMZ775 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6,825.68000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 199,536.64000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Dunham Monthly Distribution Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
2 |
Name of fund | Dunham Dynamic Macro Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
3 |
Name of fund | Dunham Focused Large Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
4 |
Name of fund | Dunham Real Estate Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
5 |
Name of fund | Dunham Corporate/Government Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
6 |
Name of fund | Dunham Large Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
7 |
Name of fund | Dunham Floating Rate Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
8 |
Name of fund | Dunham Emerging Markets Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
9 |
Name of fund | Dunham International Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
10 |
Name of fund | Dunham Long/Short Credit |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
11 |
Name of fund | Dunham High-Yield Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
12 |
Name of fund | Dunham Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
13 |
Name of fund | Dunham International Opportunity Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 1,468,278.00000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 18 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Dunham International Opportunity Bond Fund Class A |
ii. Class identification number, if any | C000131120 |
iii. Ticker symbol, if any | DAIOX |
Shares Outstanding Record:
2 |
i. Full name of Class | Dunham International Opportunity Bond Fund Class N |
ii. Class identification number, if any | C000131122 |
iii. Ticker symbol, if any | DNIOX |
Shares Outstanding Record:
3 |
i. Full name of Class | Dunham International Opportunity Bond Fund Class C |
ii. Class identification number, if any | C000131121 |
iii. Ticker symbol, if any | DCIOX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Dunham & Associates Investment Counsel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 000013162 |
Description of other identifying number | CRD Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | JPMORGAN CHASE |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 8,042,464.49000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | U.S. BANCORP INVESTMENTS, INC. |
ii. SEC file number | 8-35359 |
iii. CRD number | 000017868 |
iv. LEI, if any | H85Z6XZP8B10ES0M2G89 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 24,816,000.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | HSBC SECURITIES |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | MP6I5ZYZBEU3UXPYFY54 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 9,332,160.46000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | JEFFERIES GROUP |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,862,578.56000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | MORGAN STANLEY SMITH BARNEY |
ii. SEC file number | 8-68191 |
iii. CRD number | 000149777 |
iv. LEI, if any | 7PDDXEMZ0ZV0CEDU4D16 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,594,256.47000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | BANK OF AMERICA MERRILL LYNCH |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 6,496,630.25000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | BARRINGTON RESEARCH |
ii. SEC file number | 8-29831 |
iii. CRD number | 000013820 |
iv. LEI, if any | 549300EAYDU2H358PB45 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 84,769,413.41000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | CAPSTONE GLOBAL MARKETS |
ii. SEC file number | 8-67583 |
iii. CRD number | 000143612 |
iv. LEI, if any | 9845002A4C51D9EF8B27 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,936,205.33000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | Goldman Sachs |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,199,579.50000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | BARCLAYS |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 237,073,198.35000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Dunham Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
2 |
Name of fund | Dunham Floating Rate Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
3 |
Name of fund | Dunham Corporate/Government Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
4 |
Name of fund | Dunham Monthly Distribution Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
5 |
Name of fund | Dunham Dynamic Macro Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
6 |
Name of fund | Dunham High-Yield Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
7 |
Name of fund | Dunham Long/Short Credit |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
8 |
Name of fund | Dunham Large Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
9 |
Name of fund | Dunham Focused Large Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
10 |
Name of fund | Dunham International Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
11 |
Name of fund | Dunham Real Estate Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
12 |
Name of fund | Dunham Small Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
13 |
Name of fund | Dunham Emerging Markets Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 1,053,056.00000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 18 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Dunham Long/Short Credit Fund Class A |
ii. Class identification number, if any | C000059520 |
iii. Ticker symbol, if any | DAAIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Dunham Long/Short Credit Fund Class N |
ii. Class identification number, if any | C000059522 |
iii. Ticker symbol, if any | DNAIX |
Shares Outstanding Record:
3 |
i. Full name of Class | Dunham Long/Short Credit Fund Class C |
ii. Class identification number, if any | C000059521 |
iii. Ticker symbol, if any | DCAIX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Dunham & Associates Investment Counsel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 000013162 |
Description of other identifying number | CRD Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | Morgan Stanley Smith Barney |
ii. SEC file number | 8-68191 |
iii. CRD number | 000149777 |
iv. LEI, if any | 7PDDXEMZ0ZV0CEDU4D16 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 142,060,510.61000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Barclays |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 74,701,946.96000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | JPMorgan Chase |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 32,689,946.46000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | CITADEL SECURITIES |
ii. SEC file number | 8-53574 |
iii. CRD number | 000116797 |
iv. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 110,959,167.83000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Goldman Sachs |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 43,291,311.36999999 |
Principal Transactions Record:
6 |
i. Full name of dealer | RELIGARE CAPITAL MARKETS |
ii. SEC file number | 8-48591 |
iii. CRD number | 000039142 |
iv. LEI, if any | 549300EE5KQ1LFZMHQ89 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 58,688,382.49000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | PIERPONT CAPITAL |
ii. SEC file number | 8-68282 |
iii. CRD number | 000150696 |
iv. LEI, if any | 549300LGG2RLWD21SU97 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 31,633,215.35999999 |
Principal Transactions Record:
8 |
i. Full name of dealer | Bank of America Merrill Lynch |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 116,441,557.17000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | HSBC Securities |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | MP6I5ZYZBEU3UXPYFY54 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 441,753,148.09350002 |
Principal Transactions Record:
10 |
i. Full name of dealer | BNP PARIBAS |
ii. SEC file number | 8-40490 |
iii. CRD number | 000024962 |
iv. LEI, if any | 549300K202RXT0NG9L40 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 36,637,127.07999999 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Dunham Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
2 |
Name of fund | Dunham Corporate/Government Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
3 |
Name of fund | Dunham International Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
4 |
Name of fund | Dunham Emerging Markets Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
5 |
Name of fund | Dunham Large Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
6 |
Name of fund | Dunham International Opportunity Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
7 |
Name of fund | Dunham Floating Rate Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
8 |
Name of fund | Dunham Small Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
9 |
Name of fund | Dunham Real Estate Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
10 |
Name of fund | Dunham Monthly Distribution Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
11 |
Name of fund | Dunham High-Yield Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
12 |
Name of fund | Dunham Dynamic Macro Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
13 |
Name of fund | Dunham Focused Large Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Dunham Monthly Distribution Fund Class A |
ii. Class identification number, if any | C000066378 |
iii. Ticker symbol, if any | DAMDX |
Shares Outstanding Record:
2 |
i. Full name of Class | Dunham Monthly Distribution Fund Class C |
ii. Class identification number, if any | C000066379 |
iii. Ticker symbol, if any | DCMDX |
Shares Outstanding Record:
3 |
i. Full name of Class | Dunham Monthly Distribution Fund Class N |
ii. Class identification number, if any | C000066380 |
iii. Ticker symbol, if any | DNMDX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Dunham & Associates Investment Counsel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 000013162 |
Description of other identifying number | CRD Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | LIQUIDNET |
ii. SEC file number | 8-52461 |
iii. CRD number | 000103987 |
iv. LEI, if any | 213800HSKBBO1GCVRG79 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11,751.09000000 |
Brokers Record:
2 |
i. Full name of broker | UBS AG |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | |
vi. Foreign country, if applicable |
SWITZERLAND
|
vii. Gross commissions paid by the Fund for
the
reporting period | 43,730.62000000 |
Brokers Record:
3 |
i. Full name of broker | JEFFERIES GROUP |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | NY9Q8VBNB6D1L6YV0J84 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 125,217.63000000 |
Brokers Record:
4 |
i. Full name of broker | COWEN GROUP |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 94,477.71000000 |
Brokers Record:
5 |
i. Full name of broker | JPMORGAN CHASE |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 36,400.94999999 |
Brokers Record:
6 |
i. Full name of broker | MORGAN STANLEY SMITH BARNEY |
ii. SEC file number | 8-68191 |
iii. CRD number | 000149777 |
iv. LEI, if any | 7PDDXEMZ0ZV0CEDU4D16 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 41,712.19000000 |
Brokers Record:
7 |
i. Full name of broker | CITIBANK |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | CYSD4L2598RQ9BPPCB72 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 21,357.63000000 |
Brokers Record:
8 |
i. Full name of broker | INSTINET INC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 99,905.64000000 |
Brokers Record:
9 |
i. Full name of broker | GOLDMAN SACHS |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,412.41000000 |
Brokers Record:
10 |
i. Full name of broker | UNITED FIRST PARTNERS |
ii. SEC file number | 8-68718 |
iii. CRD number | 000155456 |
iv. LEI, if any | 254900WD45SOCZ7IKM52 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 18,691.38000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 530,762.66000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Dunham Long/Short Credit |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
2 |
Name of fund | Dunham Dynamic Macro Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
3 |
Name of fund | Dunham International Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
4 |
Name of fund | Dunham Small Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
5 |
Name of fund | Dunham Emerging Markets Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
6 |
Name of fund | Dunham Real Estate Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
7 |
Name of fund | Dunham High-Yield Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
8 |
Name of fund | Dunham Corporate/Government Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
9 |
Name of fund | Dunham Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
10 |
Name of fund | Dunham International Opportunity Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
11 |
Name of fund | Dunham Focused Large Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
12 |
Name of fund | Dunham Floating Rate Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
13 |
Name of fund | Dunham Large Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 1,699,167.00000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 6 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Dunham Large Cap Value Fund Class N |
ii. Class identification number, if any | C000059513 |
iii. Ticker symbol, if any | DNLVX |
Shares Outstanding Record:
2 |
i. Full name of Class | Dunham Large Cap Value Fund Class C |
ii. Class identification number, if any | C000059512 |
iii. Ticker symbol, if any | DCLVX |
Shares Outstanding Record:
3 |
i. Full name of Class | Dunham Large Cap Value Fund Class A |
ii. Class identification number, if any | C000059511 |
iii. Ticker symbol, if any | DALVX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Dunham & Associates Investment Counsel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 000013162 |
Description of other identifying number | CRD Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Goldman Sachs |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 474.75000000 |
Brokers Record:
2 |
i. Full name of broker | TRUIST SECURITIES |
ii. SEC file number | 8-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
v. State, if applicable |
TENNESSEE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 732.00000000 |
Brokers Record:
3 |
i. Full name of broker | FERRETTI GROUP |
ii. SEC file number | 8-51895 |
iii. CRD number | 000047768 |
iv. LEI, if any | 254900CIWUSRGAPET478 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,737.29000000 |
Brokers Record:
4 |
i. Full name of broker | RAYMOND JAMES |
ii. SEC file number | 8-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 651.70000000 |
Brokers Record:
5 |
i. Full name of broker | COWEN & COMPANY |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 412.79000000 |
Brokers Record:
6 |
i. Full name of broker | BANK OF AMERICA MERRILL LYNCH |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 357.35000000 |
Brokers Record:
7 |
i. Full name of broker | CAPITAL INSTITUTIONAL SERVICES, INC. |
ii. SEC file number | 8-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | 54930061X8RDWFDJIS05 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,463.18000000 |
Brokers Record:
8 |
i. Full name of broker | STIFEL NICOLAUS |
ii. SEC file number | 008-01447 |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,548.44000000 |
Brokers Record:
9 |
i. Full name of broker | JPMorgan Chase |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,736.10000000 |
Brokers Record:
10 |
i. Full name of broker | KEEFE, BRUYETTE & WOODS |
ii. SEC file number | 8-10888 |
iii. CRD number | 000000481 |
iv. LEI, if any | 549300OM47DQV01G4854 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 567.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 14,698.69000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Dunham Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
2 |
Name of fund | Dunham Corporate/Government Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
3 |
Name of fund | Dunham Real Estate Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
4 |
Name of fund | Dunham Small Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
5 |
Name of fund | Dunham International Opportunity Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
6 |
Name of fund | Dunham High-Yield Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
7 |
Name of fund | Dunham Focused Large Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
8 |
Name of fund | Dunham Long/Short Credit |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
9 |
Name of fund | Dunham Monthly Distribution Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
10 |
Name of fund | Dunham International Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
11 |
Name of fund | Dunham Floating Rate Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
12 |
Name of fund | Dunham Emerging Markets Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
13 |
Name of fund | Dunham Dynamic Macro Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Dunham Small Cap Growth Fund Class N |
ii. Class identification number, if any | C000059516 |
iii. Ticker symbol, if any | DNDGX |
Shares Outstanding Record:
2 |
i. Full name of Class | Dunham Small Cap Growth Fund Class C |
ii. Class identification number, if any | C000059515 |
iii. Ticker symbol, if any | DCDGX |
Shares Outstanding Record:
3 |
i. Full name of Class | Dunham Small Cap Growth Fund Class A |
ii. Class identification number, if any | C000059514 |
iii. Ticker symbol, if any | DADGX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Dunham & Associates Investment Counsel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 000013162 |
Description of other identifying number | CRD Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | CAPITAL INSTITUTIONAL SERVICES (CAPIS) |
ii. SEC file number | 8-22273 |
iii. CRD number | 000007551 |
iv. LEI, if any | 54930061X8RDWFDJIS05 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 23,430.42000000 |
Brokers Record:
2 |
i. Full name of broker | STIFEL NICOLAUS |
ii. SEC file number | 008-01447 |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 12,004.83000000 |
Brokers Record:
3 |
i. Full name of broker | JPMORGAN CHASE |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6,744.02000000 |
Brokers Record:
4 |
i. Full name of broker | PIPER SANDLER |
ii. SEC file number | 008-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,179.49000000 |
Brokers Record:
5 |
i. Full name of broker | OPPENHEIMER & CO |
ii. SEC file number | 8-4077 |
iii. CRD number | 000000249 |
iv. LEI, if any | 254900VH02JQR2L8XD64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 7,145.80000000 |
Brokers Record:
6 |
i. Full name of broker | ROBERT W. BAIRD & CO. |
ii. SEC file number | 008-00497 |
iii. CRD number | 000008158 |
iv. LEI, if any | 549300772UJAHRD6LO53 |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,224.87999999 |
Brokers Record:
7 |
i. Full name of broker | WILLIAM BLAIR & CO |
ii. SEC file number | 008-02698 |
iii. CRD number | 000001252 |
iv. LEI, if any | 549300J0P7XYE8BMZ775 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,855.31000000 |
Brokers Record:
8 |
i. Full name of broker | COWEN GROUP |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,008.84000000 |
Brokers Record:
9 |
i. Full name of broker | RAYMOND JAMES |
ii. SEC file number | 008-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,982.37999999 |
Brokers Record:
10 |
i. Full name of broker | JEFFERIES GROUP |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | NY9Q8VBNB6D1L6YV0J84 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,812.43000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 166,265.64000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Dunham Focused Large Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
2 |
Name of fund | Dunham Emerging Markets Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
3 |
Name of fund | Dunham Monthly Distribution Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
4 |
Name of fund | Dunham Dynamic Macro Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
5 |
Name of fund | Dunham Corporate/Government Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
6 |
Name of fund | Dunham Floating Rate Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
7 |
Name of fund | Dunham Long/Short Credit |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
8 |
Name of fund | Dunham Real Estate Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
9 |
Name of fund | Dunham International Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
10 |
Name of fund | Dunham Small Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
11 |
Name of fund | Dunham International Opportunity Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
12 |
Name of fund | Dunham High-Yield Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
13 |
Name of fund | Dunham Large Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 1,066,714.00000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 6 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Dunham Floating Rate Bond Fund Class C |
ii. Class identification number, if any | C000131124 |
iii. Ticker symbol, if any | DCFRX |
Shares Outstanding Record:
2 |
i. Full name of Class | Dunham Floating Rate Bond Fund Class A |
ii. Class identification number, if any | C000131123 |
iii. Ticker symbol, if any | DAFRX |
Shares Outstanding Record:
3 |
i. Full name of Class | Dunham Floating Rate Bond Fund Class N |
ii. Class identification number, if any | C000131125 |
iii. Ticker symbol, if any | DNFRX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Dunham & Associates Investment Counsel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 000013162 |
Description of other identifying number | CRD Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | Credit Suisse |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 549300506SI9CRFV9Z86 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 23,466,079.08830300 |
Principal Transactions Record:
2 |
i. Full name of dealer | Goldman Sachs |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 35,542,007.19651820 |
Principal Transactions Record:
3 |
i. Full name of dealer | Bank of America Merrill Lynch |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 56,829,065.77444270 |
Principal Transactions Record:
4 |
i. Full name of dealer | Barclays |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 30,159,330.37252080 |
Principal Transactions Record:
5 |
i. Full name of dealer | Citibank |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | CYSD4L2598RQ9BPPCB72 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 14,448,434.07055710 |
Principal Transactions Record:
6 |
i. Full name of dealer | JP Morgan Chase |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 58,073,438.66000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | US Bancorp |
ii. SEC file number | 8-35359 |
iii. CRD number | 000017868 |
iv. LEI, if any | H85Z6XZP8B10ES0M2G89 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 42,340,908.53980000 |
Principal Transactions Record:
8 |
i. Full name of dealer | ROYAL BANK OF CANADA CAPITAL MARKETS |
ii. SEC file number | 8-39947 |
iii. CRD number | 000022698 |
iv. LEI, if any | ES7IP3U3RHIGC71XBU11 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 12,288,634.69787420 |
Principal Transactions Record:
9 |
i. Full name of dealer | Wells Fargo bank |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 13,620,568.07851980 |
Principal Transactions Record:
10 |
i. Full name of dealer | Deutsche Bank |
ii. SEC file number | 8-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 11,864,332.11427499 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Dunham Large Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
2 |
Name of fund | Dunham Corporate/Government Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
3 |
Name of fund | Dunham International Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
4 |
Name of fund | Dunham International Opportunity Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
5 |
Name of fund | Dunham Real Estate Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
6 |
Name of fund | Dunham Dynamic Macro Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
7 |
Name of fund | Dunham Small Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
8 |
Name of fund | Dunham Monthly Distribution Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
9 |
Name of fund | Dunham Long/Short Credit |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
10 |
Name of fund | Dunham Focused Large Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
11 |
Name of fund | Dunham Emerging Markets Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
12 |
Name of fund | Dunham Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
13 |
Name of fund | Dunham High-Yield Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 3,105,524.00000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 21 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Dunham High Yield Bond Fund Class A |
ii. Class identification number, if any | C000059529 |
iii. Ticker symbol, if any | DAHYX |
Shares Outstanding Record:
2 |
i. Full name of Class | Dunham High Yield Bond Fund Class C |
ii. Class identification number, if any | C000059530 |
iii. Ticker symbol, if any | DCHYX |
Shares Outstanding Record:
3 |
i. Full name of Class | Dunham High Yield Bond Fund Class N |
ii. Class identification number, if any | C000059531 |
iii. Ticker symbol, if any | DNHYX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Dunham & Associates Investment Counsel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 000013162 |
Description of other identifying number | CRD Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | GOLDMAN SACHS |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 10,268,618.20085230 |
Principal Transactions Record:
2 |
i. Full name of dealer | RAYMOND JAMES |
ii. SEC file number | 008-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 8,345,400.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | BANK OF AMERICA MERRILL LYNCH |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 11,573,716.42999870 |
Principal Transactions Record:
4 |
i. Full name of dealer | CREDIT SUISSE FIRST BOSTON |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 549300506SI9CRFV9Z86 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,505,757.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | JEFFERIES GROUP |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | NY9Q8VBNB6D1L6YV0J84 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,419,983.59999999 |
Principal Transactions Record:
6 |
i. Full name of dealer | CITIGROUP |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 9,936,605.86000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | MORGAN STANLEY SMITH BARNEY |
ii. SEC file number | 8-68191 |
iii. CRD number | 000149777 |
iv. LEI, if any | 7PDDXEMZ0ZV0CEDU4D16 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,843,306.84000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | JPMORGAN CHASE |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 8,310,408.68035578 |
Principal Transactions Record:
9 |
i. Full name of dealer | BARCLAYS |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,598,196.50000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | WELLS FARGO BANK |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,493,950.00000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Dunham Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
2 |
Name of fund | Dunham International Opportunity Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
3 |
Name of fund | Dunham Corporate/Government Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
4 |
Name of fund | Dunham Focused Large Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
5 |
Name of fund | Dunham Emerging Markets Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
6 |
Name of fund | Dunham Long/Short Credit |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
7 |
Name of fund | Dunham Floating Rate Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
8 |
Name of fund | Dunham Dynamic Macro Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
9 |
Name of fund | Dunham Small Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
10 |
Name of fund | Dunham Monthly Distribution Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
11 |
Name of fund | Dunham Real Estate Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
12 |
Name of fund | Dunham International Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
13 |
Name of fund | Dunham Large Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Dunham International Stock Fund Class A |
ii. Class identification number, if any | C000059532 |
iii. Ticker symbol, if any | DAINX |
Shares Outstanding Record:
2 |
i. Full name of Class | Dunham International Stock Fund Class N |
ii. Class identification number, if any | C000059534 |
iii. Ticker symbol, if any | DNINX |
Shares Outstanding Record:
3 |
i. Full name of Class | Dunham International Stock Fund Class C |
ii. Class identification number, if any | C000059533 |
iii. Ticker symbol, if any | DCINX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Dunham & Associates Investment Counsel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 000013162 |
Description of other identifying number | CRD Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | BANK OF MONTREAL |
ii. SEC file number | 8-67064 |
iii. CRD number | 000137115 |
iv. LEI, if any | 3Y4U8VZURTYWI1W2K376 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,215.38000000 |
Brokers Record:
2 |
i. Full name of broker | MORGAN STANLEY SMITH BARNEY |
ii. SEC file number | 8-68191 |
iii. CRD number | 000149777 |
iv. LEI, if any | 7PDDXEMZ0ZV0CEDU4D16 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,484.24000000 |
Brokers Record:
3 |
i. Full name of broker | BARCLAYS |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,481.34000000 |
Brokers Record:
4 |
i. Full name of broker | BANK OF AMERICA MERRILL LYNCH |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,956.08000000 |
Brokers Record:
5 |
i. Full name of broker | CITIGROUP |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,296.17000000 |
Brokers Record:
6 |
i. Full name of broker | JPMORGAN CHASE |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,006.10000000 |
Brokers Record:
7 |
i. Full name of broker | ROYAL BANK OF CANADA CAPITAL MARKETS |
ii. SEC file number | 8-39947 |
iii. CRD number | 000022698 |
iv. LEI, if any | ES7IP3U3RHIGC71XBU11 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,788.37000000 |
Brokers Record:
8 |
i. Full name of broker | UBS |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CENTRAL AFRICAN REPUBLIC
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,739.72000000 |
Brokers Record:
9 |
i. Full name of broker | JEFFERIES GROUP |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,924.87000000 |
Brokers Record:
10 |
i. Full name of broker | PENSERRA SECURITIES |
ii. SEC file number | 8-67773 |
iii. CRD number | 000145994 |
iv. LEI, if any | 549300WY8ZBI168Y6Z05 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,030.63000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 59,174.44000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | US BANCORP |
ii. SEC file number | 8-35359 |
iii. CRD number | 000017868 |
iv. LEI, if any | H85Z6XZP8B10ES0M2G89 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 14,528,000.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | UBS |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CENTRAL AFRICAN REPUBLIC
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,331.38000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | JPMORGAN CHASE |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5.91000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | COWEN & COMPANY |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 337,328.56000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | HSBC SECURITIES |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | CYYGQCGNHMHPSMRL3R97 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 27,269.46000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | UBS |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CENTRAL AFRICAN REPUBLIC
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,617,468.24000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | NOMURA GROUP |
ii. SEC file number | 8-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7.98000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | MORGAN STANLEY SMITH BARNEY |
ii. SEC file number | 8-68191 |
iii. CRD number | 000149777 |
iv. LEI, if any | 7PDDXEMZ0ZV0CEDU4D16 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 396,277.09000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | BANK OF AMERICA MERRILL LYNCH |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 230,018.12000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | BARCLAYS |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 168,832.43000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Dunham Floating Rate Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
2 |
Name of fund | Dunham Corporate/Government Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
3 |
Name of fund | Dunham Monthly Distribution Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
4 |
Name of fund | Dunham Dynamic Macro Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
5 |
Name of fund | Dunham Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
6 |
Name of fund | Dunham High-Yield Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
7 |
Name of fund | Dunham International Opportunity Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
8 |
Name of fund | Dunham Long/Short Credit |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
9 |
Name of fund | Dunham Large Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
10 |
Name of fund | Dunham Focused Large Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
11 |
Name of fund | Dunham Real Estate Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
12 |
Name of fund | Dunham Small Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
13 |
Name of fund | Dunham Emerging Markets Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 475,521.00000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 48 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Dunham Real Estate Stock Fund Class C |
ii. Class identification number, if any | C000059509 |
iii. Ticker symbol, if any | DCREX |
Shares Outstanding Record:
2 |
i. Full name of Class | Dunham Real Estate Stock Fund Class N |
ii. Class identification number, if any | C000059510 |
iii. Ticker symbol, if any | DNREX |
Shares Outstanding Record:
3 |
i. Full name of Class | Dunham Real Estate Stock Fund Class A |
ii. Class identification number, if any | C000059508 |
iii. Ticker symbol, if any | DAREX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Dunham & Associates Investment Counsel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 000013162 |
Description of other identifying number | CRD Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | STIFEL NICOLAUS |
ii. SEC file number | 008-01447 |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 16,682.88000000 |
Brokers Record:
2 |
i. Full name of broker | ALEX.BROWN |
ii. SEC file number | 008-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
MARYLAND
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11,764.70000000 |
Brokers Record:
3 |
i. Full name of broker | MORGAN STANLEY SMITH BARNEY |
ii. SEC file number | 8-68191 |
iii. CRD number | 000149777 |
iv. LEI, if any | 7PDDXEMZ0ZV0CEDU4D16 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 16,419.18000000 |
Brokers Record:
4 |
i. Full name of broker | WELLS FARGO BANK |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,450.23000000 |
Brokers Record:
5 |
i. Full name of broker | JPMORGAN CHASE |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 28,612.83000000 |
Brokers Record:
6 |
i. Full name of broker | COMPASS POINT |
ii. SEC file number | 8-65866 |
iii. CRD number | 000126258 |
iv. LEI, if any | 254900VW04UOPUJ5PX70 |
v. State, if applicable |
MARYLAND
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,463.50000000 |
Brokers Record:
7 |
i. Full name of broker | RAYMOND JAMES |
ii. SEC file number | 008-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 18,979.84000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 117,874.98000000 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Dunham Focused Large Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
2 |
Name of fund | Dunham Emerging Markets Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
3 |
Name of fund | Dunham Large Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
4 |
Name of fund | Dunham Long/Short Credit |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
5 |
Name of fund | Dunham Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
6 |
Name of fund | Dunham Dynamic Macro Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
7 |
Name of fund | Dunham Corporate/Government Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
8 |
Name of fund | Dunham Monthly Distribution Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
9 |
Name of fund | Dunham International Opportunity Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
10 |
Name of fund | Dunham High-Yield Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
11 |
Name of fund | Dunham Small Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
12 |
Name of fund | Dunham Floating Rate Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
13 |
Name of fund | Dunham International Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 560,949.00000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 39 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Dunham Emerging Markets Stock Fund Class C |
ii. Class identification number, if any | C000059527 |
iii. Ticker symbol, if any | DCEMX |
Shares Outstanding Record:
2 |
i. Full name of Class | Dunham Emerging Markets Stock Fund Class N |
ii. Class identification number, if any | C000059528 |
iii. Ticker symbol, if any | DNEMX |
Shares Outstanding Record:
3 |
i. Full name of Class | Dunham Emerging Markets Stock Fund Class A |
ii. Class identification number, if any | C000059526 |
iii. Ticker symbol, if any | DAEMX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Dunham & Associates Investment Counsel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 000013162 |
Description of other identifying number | CRD Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | CICC US SECURITIES, INC. |
ii. SEC file number | 8-67544 |
iii. CRD number | 000143221 |
iv. LEI, if any | 2549000DUR72WYLKY616 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,749.86000000 |
Brokers Record:
2 |
i. Full name of broker | CLSA |
ii. SEC file number | 8-69166 |
iii. CRD number | 000165533 |
iv. LEI, if any | 213800M2DXATWY7JMS07 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 45,971.49000000 |
Brokers Record:
3 |
i. Full name of broker | JEFFERIES GROUP |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 49,514.57000000 |
Brokers Record:
4 |
i. Full name of broker | SANFORD FINANCIAL SERVICES |
ii. SEC file number | 8-52942 |
iii. CRD number | 000151388 |
iv. LEI, if any | 549300I7JYZHT7D5CO04 |
v. State, if applicable |
MICHIGAN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6,495.19000000 |
Brokers Record:
5 |
i. Full name of broker | BANK OF AMERICA MERRILL LYNCH |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 14,067.70000000 |
Brokers Record:
6 |
i. Full name of broker | MAYBANK |
ii. SEC file number | 8-43264 |
iii. CRD number | 000027861 |
iv. LEI, if any | 2549009H2HEH6G0DLU87 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,423.57000000 |
Brokers Record:
7 |
i. Full name of broker | WOOD & COMPANY |
ii. SEC file number | 8-3368 |
iii. CRD number | 000003798 |
iv. LEI, if any | N/A |
v. State, if applicable |
MASSACHUSETTS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 272.69000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 126,495.07000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | JEFFERIES GROUP |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 889,236.74000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | CLSA |
ii. SEC file number | 8-69166 |
iii. CRD number | 000165533 |
iv. LEI, if any | 213800M2DXATWY7JMS07 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 32,226.20000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | U.S. BANCORP INVESTMENTS, INC. |
ii. SEC file number | 8-35359 |
iii. CRD number | 000017868 |
iv. LEI, if any | H85Z6XZP8B10ES0M2G89 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 704,500.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | CLSA |
ii. SEC file number | 8-69166 |
iii. CRD number | 000165533 |
iv. LEI, if any | 213800M2DXATWY7JMS07 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 45,971.49 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Dunham Corporate/Government Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
2 |
Name of fund | Dunham Monthly Distribution Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
3 |
Name of fund | Dunham Dynamic Macro Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
4 |
Name of fund | Dunham High-Yield Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
5 |
Name of fund | Dunham International Opportunity Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
6 |
Name of fund | Dunham Long/Short Credit |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
7 |
Name of fund | Dunham Large Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
8 |
Name of fund | Dunham Focused Large Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
9 |
Name of fund | Dunham International Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
10 |
Name of fund | Dunham Real Estate Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
11 |
Name of fund | Dunham Small Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
12 |
Name of fund | Dunham Floating Rate Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
13 |
Name of fund | Dunham Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 577,545.00000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 22 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Dunham Corporate/Government Bond Fund Class N |
ii. Class identification number, if any | C000059525 |
iii. Ticker symbol, if any | DNCGX |
Shares Outstanding Record:
2 |
i. Full name of Class | Dunham Corporate/Government Bond Fund Class A |
ii. Class identification number, if any | C000059523 |
iii. Ticker symbol, if any | DACGX |
Shares Outstanding Record:
3 |
i. Full name of Class | Dunham Corporate/Government Bond Fund Class C |
ii. Class identification number, if any | C000059524 |
iii. Ticker symbol, if any | DCCGX |
Pricing Services Record:
1 |
i. Full name | Pricing Direct |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
Description of other identifying number | |
iii. State, if applicable |
NEVADA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Markit |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Dunham & Associates Investment Counsel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 000013162 |
Description of other identifying number | CRD Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | CREDIT SUISSE |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 549300506SI9CRFV9Z86 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,715,380.50162616 |
Principal Transactions Record:
2 |
i. Full name of dealer | GOLDMAN SACHS |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,906,619.87886012 |
Principal Transactions Record:
3 |
i. Full name of dealer | BANK OF AMERICA MERRILL LYNCH |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,573,093.69450209 |
Principal Transactions Record:
4 |
i. Full name of dealer | BARCLAYS |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,531,814.17068598 |
Principal Transactions Record:
5 |
i. Full name of dealer | SIEBERT BRANDFORD SHANK & CO |
ii. SEC file number | 8-49877 |
iii. CRD number | 000042568 |
iv. LEI, if any | 254900VTARX8RAY9QK77 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,391,596.29999999 |
Principal Transactions Record:
6 |
i. Full name of dealer | WELLS FARGO BANK |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 6,032,846.23198172 |
Principal Transactions Record:
7 |
i. Full name of dealer | MORGAN STANLEY SMITH BARNEY |
ii. SEC file number | 8-68191 |
iii. CRD number | 000149777 |
iv. LEI, if any | 7PDDXEMZ0ZV0CEDU4D16 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,956,955.43571309 |
Principal Transactions Record:
8 |
i. Full name of dealer | US BANCORP |
ii. SEC file number | 8-35359 |
iii. CRD number | 000017868 |
iv. LEI, if any | H85Z6XZP8B10ES0M2G89 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 9,649,656.32000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | JPMORGAN CHASE |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 8,189,051.19614257 |
Principal Transactions Record:
10 |
i. Full name of dealer | CITIGROUP |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,440,656.93268568 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Dunham High-Yield Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
2 |
Name of fund | Dunham International Opportunity Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
3 |
Name of fund | Dunham Long/Short Credit |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
4 |
Name of fund | Dunham Large Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
5 |
Name of fund | Dunham Focused Large Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
6 |
Name of fund | Dunham Floating Rate Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
7 |
Name of fund | Dunham Monthly Distribution Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
8 |
Name of fund | Dunham International Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
9 |
Name of fund | Dunham Real Estate Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
10 |
Name of fund | Dunham Small Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
11 |
Name of fund | Dunham Dynamic Macro Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
12 |
Name of fund | Dunham Emerging Markets Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
13 |
Name of fund | Dunham Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 758,733.00000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 45 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Dunham Dynamic Macro Fund Class A |
ii. Class identification number, if any | C000087895 |
iii. Ticker symbol, if any | DAAVX |
Shares Outstanding Record:
2 |
i. Full name of Class | Dunham Dynamic Macro Fund Class N |
ii. Class identification number, if any | C000087897 |
iii. Ticker symbol, if any | DNAVX |
Shares Outstanding Record:
3 |
i. Full name of Class | Dunham Dynamic Macro Fund Class C |
ii. Class identification number, if any | C000087896 |
iii. Ticker symbol, if any | DCAVX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Dunham & Associates Investment Counsel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 000013162 |
Description of other identifying number | CRD Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | FLOW TRADERS |
ii. SEC file number | 8-68300 |
iii. CRD number | 000150780 |
iv. LEI, if any | 549300K64LZQW7R9ST34 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 59.37000000 |
Brokers Record:
2 |
i. Full name of broker | GOLDMAN SACHS |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11,799.71000000 |
Brokers Record:
3 |
i. Full name of broker | JPMORGAN CHASE |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 170.62000000 |
Brokers Record:
4 |
i. Full name of broker | CITIGROUP |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 24.51000000 |
Brokers Record:
5 |
i. Full name of broker | SUSQUEHANNA CAPITAL GROUP |
ii. SEC file number | 8-43174 |
iii. CRD number | 000029337 |
iv. LEI, if any | 549300RX9GZX8Y9IGJ81 |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,197.60000000 |
Brokers Record:
6 |
i. Full name of broker | SUSQUEHANNA CAPITAL GROUP |
ii. SEC file number | 8-43174 |
iii. CRD number | 000029337 |
iv. LEI, if any | 549300RX9GZX8Y9IGJ81 |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 58.14000000 |
Brokers Record:
7 |
i. Full name of broker | CANTOR FITZGERALD |
ii. SEC file number | 8-00201 |
iii. CRD number | 000159296 |
iv. LEI, if any | 549300DWZ3YOKJO5X179 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 102.58000000 |
Brokers Record:
8 |
i. Full name of broker | Jane Street |
ii. SEC file number | 8-69254 |
iii. CRD number | 000167280 |
iv. LEI, if any | 549300HXJLXCPDWAH070 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 86.29000000 |
Brokers Record:
9 |
i. Full name of broker | CITADEL SECURITIES |
ii. SEC file number | 8-53574 |
iii. CRD number | 000116797 |
iv. LEI, if any | 12UUJYTN7D3SW8KCSG25 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11.93000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 14,167.93000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Goldman Sachs |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 520,685,099.94805998 |
Principal Transactions Record:
2 |
i. Full name of dealer | CITIGROUP |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 11,498,279.63409000 |
Principal Transactions Record:
3 |
i. Full name of dealer | MORGAN STANLEY SMITH BARNEY |
ii. SEC file number | 8-68191 |
iii. CRD number | 000149777 |
iv. LEI, if any | 7PDDXEMZ0ZV0CEDU4D16 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 24,069,517.95074899 |
Principal Transactions Record:
4 |
i. Full name of dealer | CAPSTONE GLOBAL MARKETS |
ii. SEC file number | 8-67583 |
iii. CRD number | 000143612 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,643,152.66494800 |
Principal Transactions Record:
5 |
i. Full name of dealer | JPMORGAN CHASE |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,367,099.53250000 |
Principal Transactions Record:
6 |
i. Full name of dealer | BANK OF AMERICA MERRILL LYNCH |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,980,230.55470199 |
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Dunham Corporate/Government Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
2 |
Name of fund | Dunham Monthly Distribution Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
3 |
Name of fund | Dunham High-Yield Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
4 |
Name of fund | Dunham International Opportunity Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
5 |
Name of fund | Dunham Long/Short Credit |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
6 |
Name of fund | Dunham Large Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
7 |
Name of fund | Dunham Floating Rate Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
8 |
Name of fund | Dunham Focused Large Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
9 |
Name of fund | Dunham International Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
10 |
Name of fund | Dunham Real Estate Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
11 |
Name of fund | Dunham Small Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
12 |
Name of fund | Dunham Emerging Markets Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
13 |
Name of fund | Dunham Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Dunham Focused Large Cap Growth Fund Class A |
ii. Class identification number, if any | C000107185 |
iii. Ticker symbol, if any | DAFGX |
Shares Outstanding Record:
2 |
i. Full name of Class | Dunham Focused Large Cap Growth Fund Class N |
ii. Class identification number, if any | C000107187 |
iii. Ticker symbol, if any | DNFGX |
Shares Outstanding Record:
3 |
i. Full name of Class | Dunham Focused Large Cap Growth Fund Class C |
ii. Class identification number, if any | C000107186 |
iii. Ticker symbol, if any | DCFGX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Dunham & Associates Investment Counsel, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 000013162 |
Description of other identifying number | CRD Number |
iii. State, if applicable |
CALIFORNIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
Shareholder servicing agents Record:
2 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or other identifying number | 84-05829 |
Description of other identifying number | Filing Number |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
If yes, for each line of credit, provide the information
requested below:
Line of Credit details Record:
1 |
i. Is the line of credit a committed or uncommitted
line of
credit?
|
Committed
Uncommitted
|
ii. What size is the line of credit?
| 50,000,000.00000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution | U.S Bank National Association |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
|
Sole
Shared
|
1. If shared, list the names of other funds that may use
the line of credit.
Shared Credit Users Record:
1 |
Name of fund | Dunham Monthly Distribution Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
2 |
Name of fund | Dunham Large Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
3 |
Name of fund | Dunham International Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
4 |
Name of fund | Dunham Small Cap Growth Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
5 |
Name of fund | Dunham Small Cap Value Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
6 |
Name of fund | Dunham International Opportunity Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
7 |
Name of fund | Dunham Emerging Markets Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
8 |
Name of fund | Dunham Corporate/Government Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
9 |
Name of fund | Dunham Floating Rate Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
10 |
Name of fund | Dunham High-Yield Bond Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
11 |
Name of fund | Dunham Real Estate Stock Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
12 |
Name of fund | Dunham Dynamic Macro Fund |
SEC File number(
e.g., 811-
)
| 811-22153 |
Shared Credit Users Record:
13 |
Name of fund | Dunham Long/Short Credit |
SEC File number(
e.g., 811-
)
| 811-22153 |
v. Did the Fund draw on the line of credit this
period? |
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
| 0.00000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
| 0 |