EX-99.(3) 4 dex993.htm RULE 17G-1 INSURANCE REQUIREMENT Rule 17G-1 Insurance Requirement

Rule 17g-1 Insurance Requirement

March 31, 2009

Based on Net Assets - Fund Level

 

Fund Number

   

Fund Name

    Control Date    Gross Assets    Net Assets    Variance     min_coverage by Fund

N41S

   

SMASh Series M Seed Account Spoke

    3/31/2009    2,555.17    691.68    1,863.49     50,000.00

N43S

   

SMASh Series C Seed Account Spoke

    3/31/2009    3,941.51    947.89    2,993.62     50,000.00

N47S

   

SMASh Series EC Seed Account Spoke

    3/31/2009    4,694.72    883.43    3,811.29     50,000.00

N4XL

   

LMP Target Retirement 2050

    3/31/2009    679,747.34    636,574.49    43,172.85     75,000.00

N4XJ

   

LMP Target Retirement 2045

    3/31/2009    707,745.59    663,621.24    44,124.35     75,000.00

N4XI

   

LMP Target Retirement 2040

    3/31/2009    710,474.35    654,918.11    55,556.24     75,000.00

N4XE

   

LMP Target Retirement 2020

    3/31/2009    1,024,140.85    988,539.46    35,601.39     125,000.00

N4XH

   

LMP Target Retirement 2035

    3/31/2009    675,902.10    643,907.22    31,994.88     75,000.00

N4XD

   

LMP Target Retirement 2015

    3/31/2009    748,950.07    713,480.83    35,469.24     75,000.00

N4XF

   

LMP Target Retirement 2025

    3/31/2009    824,368.12    791,142.16    33,225.96     75,000.00

N4XG

   

LMP Target Retirement 2030

    3/31/2009    813,739.46    780,478.97    33,260.49     75,000.00

N4XM

   

LMP Target Date Retirement Fund

    3/31/2009    844,376.26    799,297.68    45,078.58     75,000.00

N49K

   

LMP 130/30 U.S. Large Cap Equity Fund

    3/31/2009    6,236,731.37    6,101,187.12    135,544.25     150,000.00

LI72

   

Citi Institutional Enhanced Income Portfolio Ltd

    3/31/2009    7,290,132.71    7,199,231.16    90,901.55     150,000.00

N4XN

   

LMP Equity Income Builder Fund

    3/31/2009    21,231,000.65    21,053,649.15    177,351.50     250,000.00

N4XP

   

WA AMT Tax Free Money Market Fund

    3/31/2009    11,348,018.80    11,322,200.97    25,817.83     200,000.00

N4U0

   

WA Emerging Markets Debt Portfolio

    3/31/2009    14,644,357.50    14,545,446.15    98,911.35     200,000.00

N4D6

   

Scholars Choice Fixed Income Portfolio

    3/31/2009    26,406,188.93    26,389,811.83    16,377.10     300,000.00

N4N2

   

LMP Small Cap Core Fund

    3/31/2009    18,971,091.41    18,889,259.78    81,831.63     225,000.00

N4Y8

   

LMP Variable Adjustable Rate Income Port

    3/31/2009    19,709,381.36    19,066,334.26    643,047.10     225,000.00

N4F7

   

LMP Lifestyle Income Fund

    3/31/2009    28,047,516.27    27,814,933.38    232,582.89     300,000.00

LI71

   

Citi Institutional Enhanced Income Fund

    3/31/2009    884,301.22    811,608.86    72,692.36     75,000.00

N4SB

   

SMASh Series C Portfolio Hub

    3/31/2009    35,918,577.44    35,904,810.67    13,766.77     350,000.00

N43U

   

LMP SMASh Series C Fund Spoke

    3/31/2009    35,970,530.51    34,787,641.42    1,182,889.09     350,000.00

N4T9

   

WA Global High Yield Bond Portfolio

    3/31/2009    29,903,779.89    26,311,740.16    3,592,039.73     300,000.00

N47U

   

LMP SMASh Series EC Fund Spoke

    3/31/2009    32,603,827.51    31,317,611.97    1,286,215.54     300,000.00

N4U5

   

WA High Income Fund Inc.

    3/31/2009    33,041,810.87    32,921,166.00    120,644.87     300,000.00

N4VG

   

LMP Emerging Markets Equity Fund

    3/31/2009    29,042,962.40    28,209,768.29    833,194.11     300,000.00

N4P3

   

LMP Convertible Fund

    3/31/2009    32,617,999.63    31,972,033.97    645,965.66     300,000.00

LI70

   

Citi Institutional Enhanced Income Portfolio Hub

    3/31/2009    8,164,579.03    8,393,749.07    (229,170.04 )   175,000.00

N4SD

   

SMASh Series EC Portfolio Hub

    3/31/2009    35,533,426.84    32,529,783.88    3,003,642.96     350,000.00

N4U7

   

WA Emerging Markets Float Rate Fd Inc

    3/31/2009    43,218,029.43    43,003,108.29    214,921.14     350,000.00

N431

   

LMP Variable Global Equity Portfolio

    3/31/2009    36,086,631.43    35,002,123.57    1,084,507.86     350,000.00

N4YR

   

Scholars Choice Portfolio Cash Reserve Option

    3/31/2009    62,119,103.43    62,091,197.64    27,905.79     400,000.00

N4IC

   

LMP Variable Dividend Strategy Port

    3/31/2009    38,767,953.08    38,570,869.77    197,083.31     350,000.00

N41P

   

LMP Variable Div Strategic Inc Port

    3/31/2009    41,950,446.45    38,894,650.80    3,055,795.65     350,000.00

N4LF

   

LMP Lifestyle Allocation 100%

    3/31/2009    50,328,613.92    50,231,960.27    96,653.65     400,000.00

N4P6

   

LMP Variable Social Awareness Port

    3/31/2009    51,638,940.27    51,451,166.71    187,773.56     400,000.00

N4G2

   

LMP Variable Lifestyle Allocation 85%

    3/31/2009    58,298,855.71    58,273,143.39    25,712.32     400,000.00

N4M4

   

LMP Variable Mid Cap Core Port

    3/31/2009    56,972,544.26    56,533,882.90    438,661.36     400,000.00

N4G3

   

LMP Variable Lifestyle Allocation 70%

    3/31/2009    55,694,264.50    55,666,033.52    28,230.98    400,000.00

N4Q8

   

LMP Inflation Management Fund

    3/31/2009    104,223,219.27    31,465,309.69    72,757,909.58    525,000.00

N4U1

   

LMP Variable Strategic Bond Port

    3/31/2009    58,648,909.99    47,274,283.55    11,374,626.44    400,000.00

N4C6

   

LMP Variable International All Cap Opp Port

    3/31/2009    63,021,201.90    60,313,505.02    2,707,696.88    400,000.00

N4Y4

   

LMP Short Duration Muni Income Fund

    3/31/2009    202,302,768.86    176,579,438.95    25,723,329.91    600,000.00

N4O5

   

Barrett Opportunity Fund, Inc.

    3/31/2009    58,011,644.63    57,883,317.23    128,327.40    400,000.00

N4F0

   

LMP Lifestyle Allocation 30%

    3/31/2009    74,122,139.50    73,363,726.20    758,413.30    400,000.00

KVC5

   

LMP Diversified Large Cap Growth Fund

    3/31/2009    74,435,321.80    74,251,727.14    183,594.66    400,000.00

N4U2

   

LMP Variable Global High Yield Bond Port

    3/31/2009    90,202,451.88    88,514,929.46    1,687,522.42    450,000.00

N4H9

   

LMP Oregon Municipals Fund

    3/31/2009    95,382,975.66    92,191,296.94    3,191,678.72    450,000.00

N4T5

   

LMP Variable Small Cap Growth Port

    3/31/2009    79,287,826.01    79,001,869.14    285,956.87    450,000.00

N4D5

   

Scholars Choice Portfolio VII

    3/31/2009    89,774,726.10    89,717,547.89    57,178.21    450,000.00

N4LA

   

LMP Real Estate Income Fund Inc.

    3/31/2009    67,765,549.98    48,934,388.01    18,831,161.97    400,000.00

N4Y1

   

LMP Variable Capital Portfolio

    3/31/2009    94,721,961.75    93,665,099.24    1,056,862.51    450,000.00

N41U

   

LMP SMASh Series M Fund Spoke

    3/31/2009    98,016,957.20    94,804,526.80    3,212,430.40    450,000.00

N4J0

   

LMP Inter Maturity CA Municipals Fund

    3/31/2009    109,835,513.69    109,296,668.11    538,845.58    525,000.00

N4J3

   

LMP Massachusetts Municipals Fund

    3/31/2009    114,909,666.20    114,326,170.80    583,495.40    525,000.00

N4C4

   

LMP Variable Lifestyle Allocation 50%

    3/31/2009    103,905,539.61    103,867,593.48    37,946.13    525,000.00

N4VF

   

WA Variable Rate Strategic Fd Inc.

    3/31/2009    116,708,941.37    108,875,821.06    7,833,120.31    525,000.00

N4K1

   

LMP Variable High Income Port

    3/31/2009    121,080,107.73    120,466,127.12    613,980.61    525,000.00

N4JF

   

WA Inflation Management Fund Inc.

    3/31/2009    161,576,036.89    117,012,162.32    44,563,874.57    600,000.00

LI25

   

Citi Premium Liquid Reserves Ltd

    3/31/2009    240,578,066.47    240,282,931.71    295,134.76    600,000.00

N4I1

   

LMP Inter Maturity NY Municipals Fund

    3/31/2009    152,434,327.71    145,431,680.15    7,002,647.56    600,000.00

N4SA

   

SMASh Series M Portfolio Hub

    3/31/2009    118,653,914.53    97,898,885.80    20,755,028.73    525,000.00

N4AJ

   

WA Worldwide Income Fund Inc.

    3/31/2009    142,077,197.79    141,781,750.55    295,447.24    525,000.00

0963

   

LMP Financial Services Fund

    3/31/2009    138,218,710.10    51,657,366.91    86,561,343.19    525,000.00

N4C0

   

Scholars Choice Portfolio II

    3/31/2009    128,100,887.84    128,030,285.00    70,602.84    525,000.00

N4L0

   

LMP Variable Large Cap Growth Port

    3/31/2009    137,216,828.72    136,951,999.05    264,829.67    525,000.00

N4J1

   

WA Municipal High Income Fund Inc.

    3/31/2009    142,090,092.89    141,833,328.96    256,763.93    525,000.00

N4V6

   

LMP Corporate Loan Fund Inc.

    3/31/2009    146,023,175.70    115,423,648.71    30,599,526.99    525,000.00

N4P7

   

LMP Social Awareness Fund

    3/31/2009    135,138,723.60    134,234,841.37    903,882.23    525,000.00

KVC3

   

LMP Global Equity Fund

    3/31/2009    134,525,405.40    128,652,984.71    5,872,420.69    525,000.00

N4C9

   

Scholars Choice Portfolio I

    3/31/2009    149,468,639.15    149,388,652.85    79,986.30    525,000.00

N4U6

   

WA Global Partners Income Fund Inc.

    3/31/2009    162,456,370.22    110,832,179.02    51,624,191.20    600,000.00

N4H7

   

LMP Pennsylvania Municipals Fund

    3/31/2009    182,957,282.07    182,134,234.82    823,047.25    600,000.00

N4H6

   

WA Intermediate Muni Fund Inc.

    3/31/2009    173,365,807.96    173,178,649.60    187,158.36    600,000.00

N4J8

   

WA Managed High Income Fund Inc.

    3/31/2009    189,253,202.91    188,779,831.32    473,371.59    600,000.00

N4Q4

   

LMP International All Cap Opportunity Fd

    3/31/2009    170,463,625.90    163,216,031.49    7,247,594.41    600,000.00

LI07

   

Citi California Tax Free Reserves

    3/31/2009    148,922,800.01    148,738,748.76    184,051.25    525,000.00

N4D1

   

Scholars Choice Portfolio III

    3/31/2009    188,696,117.26    188,588,494.46    107,622.80    600,000.00

N4V2

   

WA Municipal Partners Fund Inc.

    3/31/2009    210,792,511.87    209,129,306.60    1,663,205.27    600,000.00

N4K6

   

LMP Core Plus Bond Fund

    3/31/2009    193,370,946.31    161,043,177.93    32,327,768.38    600,000.00

N4D3

   

Scholars Choice Portfolio V

    3/31/2009    205,789,366.80    205,666,934.38    122,432.42    600,000.00

N4W6

   

LMP Small Cap Value Fund

    3/31/2009    169,774,966.27    168,072,562.94    1,702,403.33    600,000.00

N4D4

   

Scholars Choice Portfolio VI

    3/31/2009    212,965,373.09    212,833,376.15    131,996.94    600,000.00

N4F6

   

LMP Lifestyle Allocation 50%

    3/31/2009    209,718,989.53    206,580,985.91    3,138,003.62    600,000.00

N45C

   

LMP Variable Capital and Income Port

    3/31/2009    210,930,292.68    191,980,250.81    18,950,041.87    600,000.00

N4Q2

   

LMP Variable Investors Port

    3/31/2009    210,651,348.58    210,218,588.66    432,759.92    600,000.00

N4J5

   

LMP New Jersey Municipals Fund

    3/31/2009    274,264,918.94    272,952,161.21    1,312,757.73    750,000.00

N4N0

   

LMP Adjustable Rate Income Fund

    3/31/2009    235,500,626.77    234,479,419.55    1,021,207.22    600,000.00

N4N3

   

LMP S&P 500 Index Fund

    3/31/2009    222,010,595.20    221,549,427.50    461,167.70    600,000.00

N4K7

   

LMP Short Term Inv Grade Bond Fund

    3/31/2009    242,381,703.24    222,326,908.62    20,054,794.62    600,000.00

LI21

   

Citi Connecticut Tax Free Reserves

    3/31/2009    297,173,368.17    294,443,300.93    2,730,067.24    750,000.00

LI14

   

Citi Tax Free Reserves

    3/31/2009    295,881,965.39    295,570,181.78    311,783.61    750,000.00

N4K0

   

WA High Income Opportunity Fd Inc.

    3/31/2009    312,260,876.98    311,944,818.63    316,058.35    750,000.00

N4AH

   

WA Emerging Markets Income Fd II Inc.

    3/31/2009    306,435,468.66    305,891,146.70    544,321.96    750,000.00

N4G0

   

WA Massachusetts Municipal Money Market Fund

    3/31/2009    256,287,006.87    254,061,517.67    2,225,489.20    750,000.00

N4J7

   

LMP High Income Fund

    3/31/2009    322,927,129.61    317,174,492.39    5,752,637.22    750,000.00

N4K5

   

LMP Investment Grade Bond Fund

    3/31/2009    323,723,766.48    320,718,438.02    3,005,328.46    750,000.00

N4D7

   

Scholars Choice Equity Portfolio

    3/31/2009    305,317,956.76    305,146,044.11    171,912.65    750,000.00

N4I6

   

LMP Core Bond Fund

    3/31/2009    310,544,534.07    238,743,296.83    71,801,237.24    750,000.00

N4D2

   

Scholars Choice Portfolio IV

    3/31/2009    338,443,277.11    338,244,679.80    198,597.31    750,000.00

N4F9

   

LMP Lifestyle Allocation 70%

    3/31/2009    330,052,172.47    329,488,455.35    563,717.12    750,000.00

N4M0

   

LMP All Cap Fund

    3/31/2009    323,237,616.82    321,166,676.19    2,070,940.63    750,000.00

LI10

   

Citi Premium Liquid Reserves

    3/31/2009    446,024,193.91    445,450,895.38    573,298.53    750,000.00

LI18

   

Citi Premium U.S. Treasury Reserves

    3/31/2009    575,342,669.93    575,059,803.90    282,866.03    900,000.00

N4O8

   

LMP Capital Fund

    3/31/2009    367,530,557.04    363,114,117.47    4,416,439.57    750,000.00

N4TP

   

LMP U.S. Large Cap Equity Fund

    3/31/2009    370,091,779.60    367,746,157.00    2,345,622.60    750,000.00

N4F8

   

LMP Lifestyle Allocation 85%

    3/31/2009    385,552,276.26    384,751,389.66    800,886.60    750,000.00

N4JB

   

WA Emerging Markets Debt Fund Inc.

    3/31/2009    425,100,080.46    424,642,434.78    457,645.68    750,000.00

N4T8

   

LMP Equity Fund

    3/31/2009    399,499,409.83    395,510,119.22    3,989,290.61    750,000.00

N4J2

   

LMP Municipal High Income Fund

    3/31/2009    486,282,578.04    483,228,406.92    3,054,171.12    750,000.00

N4NK

   

LMP Capital and Income Fund Inc.

    3/31/2009    380,264,547.57    278,953,825.26    101,310,722.31    750,000.00

N4U3

   

LMP Global High Yield Bond Fund

    3/31/2009    555,683,106.67    504,102,624.29    51,580,482.38    900,000.00

N4Y7

   

WA Global High Income Fund Inc.

    3/31/2009    500,835,512.15    261,046,919.38    239,788,592.77    900,000.00

N4P0

   

LMP Small Cap Growth Fund

    3/31/2009    521,805,775.53    520,302,115.87    1,503,659.66    900,000.00

N4P0

   

LMP Small Cap Growth Fund

    3/31/2009    521,805,775.53    520,302,115.87    1,503,659.66    900,000.00

N4M5

   

LMP Mid Cap Core Fund

    3/31/2009    565,883,924.16    561,939,593.46    3,944,330.70    900,000.00

N41O

   

LMP Diversified Strategic Income Fund

    3/31/2009    504,239,287.69    443,586,431.46    60,652,856.23    900,000.00

N4C7

   

LMP Variable Appreciation Port

    3/31/2009    495,030,504.86    491,920,750.96    3,109,753.90    750,000.00

N4C5

   

LMP Variable Aggressive Growth Port

    3/31/2009    551,721,661.61    550,949,378.77    772,282.84    900,000.00

N4W8

   

LMP Variable Fundamental Value Port

    3/31/2009    510,633,801.64    509,878,462.61    755,339.03    900,000.00

N4N1

   

LMP Variable Equity Index Port

    3/31/2009    523,995,902.31    523,489,823.00    506,079.31    900,000.00

N4V8

   

WA High Income Fund II Inc.

    3/31/2009    643,721,941.30    439,322,725.37    204,399,215.93    900,000.00

N4I4

   

WA Managed Municipals Fund Inc.

    3/31/2009    705,797,344.64    697,816,591.37    7,980,753.27    900,000.00

N4O9

   

LMP Investors Value Fund

    3/31/2009    566,784,545.08    560,597,608.08    6,186,937.00    900,000.00

N4H5

   

LMP Variable Money Market Port

    3/31/2009    705,934,895.99    705,310,550.35    624,345.64    900,000.00

N4I3

   

LMP New York Municipals Fund

    3/31/2009    756,273,906.60    752,989,639.68    3,284,266.92    1,000,000.00

N4B6

   

LMP Government Securities Fund

    3/31/2009    815,373,007.53    642,026,004.63    173,347,002.90    1,000,000.00

LI15

   

Citi New York Tax Free Reserves

    3/31/2009    565,683,142.92    565,114,949.92    568,193.00    900,000.00

N4I5

   

LMP California Municipals Fund

    3/31/2009    779,876,276.42    775,849,790.01    4,026,486.41    1,000,000.00

N4J6

   

LMP Intermediate-Term Municipals Fd

    3/31/2009    950,091,399.42    923,765,272.08    26,326,127.34    1,000,000.00

LI09

   

Citi Cash Reserves

    3/31/2009    837,416,567.05    836,492,360.04    924,207.01     1,000,000.00

N4WC

   

LMP Dividend Strategy Fund

    3/31/2009    1,454,355,523.28    1,439,706,892.72    14,648,630.56     1,250,000.00

N4G4

   

WA Institutional Money Market Fund

    3/31/2009    1,973,658,485.47    1,971,804,895.04    1,853,590.43     1,500,000.00

N4L1

   

LMP Large Cap Growth Fund

    3/31/2009    1,731,993,294.11    1,728,502,407.77    3,490,886.34     1,500,000.00

N4BK

   

LMP Capital and Income Fund

    3/31/2009    1,681,298,969.51    1,514,984,754.30    166,314,215.21     1,500,000.00

LI34

   

Citi Institutional Cash Reserves Ltd

    3/31/2009    2,400,885,657.32    2,398,948,703.89    1,936,953.43     1,700,000.00

N4C1

   

LMP Fundamental Value Fund

    3/31/2009    1,741,336,357.60    1,735,877,528.73    5,458,828.87     1,500,000.00

LI44

   

Citi Institutional Tax Free Reserves

    3/31/2009    2,389,497,876.06    2,387,691,299.42    1,806,576.64     1,700,000.00

N4G6

   

WA Institutional Municipal Money Market Fund

    3/31/2009    2,045,859,225.53    2,040,017,319.95    5,841,905.58     1,700,000.00

LI13

   

Citi Institutional Tax Free Reserves Hub

    3/31/2009    2,689,244,062.01    2,684,646,444.58    4,597,617.43     1,900,000.00

N4G8

   

WA New York Municipal Money Market Fund

    3/31/2009    2,384,831,869.60    2,383,073,047.11    1,758,822.49     1,700,000.00

LI17

   

Citi U.S. Treasury Reserves

    3/31/2009    1,914,755,342.21    1,914,496,216.47    259,125.74     1,500,000.00

N4G9

   

WA California Municipal Money Market Fund

    3/31/2009    2,771,286,791.87    2,769,532,539.73    1,754,252.14     1,900,000.00

N4I9

   

LMP Managed Municipals Fund

    3/31/2009    4,050,246,185.81    3,903,728,639.86    146,517,545.95     2,500,000.00

N4P5

   

LMP Appreciation Fund

    3/31/2009    3,287,319,809.48    3,266,228,971.08    21,090,838.40     2,100,000.00

N4L9

   

LMP Aggressive Growth Fund

    3/31/2009    3,845,645,755.47    3,838,310,601.93    7,335,153.54     2,300,000.00

LI33

   

Citi Institutional Cash Reserves

    3/31/2009    8,784,734,918.16    8,777,151,869.15    7,583,049.01     2,500,000.00

LI11

   

Citi Institutional Liquid Reserves

    3/31/2009    7,402,813,074.95    7,395,308,839.96    7,504,234.99     2,500,000.00

N4H2

   

WA Government Money Market Fund

    3/31/2009    9,431,644,205.08    9,423,728,437.24    7,915,767.84     2,500,000.00

LI32

   

Citi Prime Cash Reserves Hub

    3/31/2009    11,186,156,290.93    12,608,929,108.49    (1,422,772,817.56 )   2,500,000.00

LI29

   

WA U.S. Treasury Reserves, Ltd.

    3/31/2009    8,029,790,283.34    8,026,734,765.57    3,055,517.77     2,500,000.00

N4G7

   

WA Municipal Money Market Fund

    3/31/2009    8,913,276,668.56    8,907,062,926.21    6,213,742.35     2,500,000.00

LI26

   

Citi Institutional Liquid Reserves Ltd

    3/31/2009    15,397,066,257.00    15,382,409,257.58    14,656,999.42     2,500,000.00

N4H0

   

WA Money Market Fund

    3/31/2009    21,295,285,973.80    21,225,445,149.04    69,840,824.76     2,500,000.00

LI08

   

Citi Liquid Reserves Hub

    3/31/2009    24,574,657,559.86    24,322,398,919.96    252,258,639.90     2,500,000.00

LI19

   

Citi Institutional U.S. Treasury Reserves

    3/31/2009    22,640,789,076.40    22,635,205,845.22    5,583,231.18     2,500,000.00

LI16

   

Citi Treasury Reserves Hub

    3/31/2009    35,879,714,164.57    33,157,374,695.45    2,722,339,469.12     2,500,000.00

N4XP

   

WA AMT Tax Free Money Market Fund

    3/31/2009    11,348,018.80    11,322,200.97    25,817.83     200,000.00

N4XR

   

WA Municipal Defined Opportunity Trust Inc.

    3/31/2009    219,101,738.30    207,932,351.72    11,169,386.58     600,000.00

N4G5

   

WA Government Portfolio

    3/31/2009    9,987,328,808.37        

N4XW

   

LM Permal Tactical Allocation Fund

    4/9/2009    5,000,000.00