a. How many Classes of shares of the Fund (if
any) are
authorized?
| 6 |
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 | MainStay Cushing Energy Income Fund - Class A |
ii. Class identification number, if any | C000142701 |
iii. Ticker symbol, if any | CURAX |
Shares Outstanding Record:
2 |
i. Full name of Class | MainStay Cushing Energy Income Fund - Class C |
ii. Class identification number, if any | C000142698 |
iii. Ticker symbol, if any | CURCX |
Shares Outstanding Record:
3 |
i. Full name of Class | MainStay Cushing Energy Income Fund - Class I |
ii. Class identification number, if any | C000142699 |
iii. Ticker symbol, if any | CURZX |
Shares Outstanding Record:
4 |
i. Full name of Class | MainStay Cushing Energy Income Fund - Investor Class |
ii. Class identification number, if any | C000142700 |
iii. Ticker symbol, if any | CURNX |
|
Transfer Agents Record:
1 |
i. Full name | NYLIM Service Company LLC |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-05844 |
iii. LEI, if any | N/A |
iv. State, if applicable |
NEW JERSEY
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Transfer Agents Record:
2 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| N/A |
iii. LEI, if any | 21B7QCD05XOK0YTYOP98 |
iv. State, if applicable |
MASSACHUSETTS
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
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 | Thomson Reuters Pricing Service |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | NYLIM Service Company LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | 084-05844 |
iii. State, if applicable |
NEW JERSEY
|
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 | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 21B7QCD05XOK0YTYOP98 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
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 | New York Life Investment Management LLC |
ii. LEI, if any, or other identifying number | IGJ1X7QLRC5K7CY9GE11 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
Administrators Record:
2 |
i. Full name | U.S. Bancorp Fund Services LLC |
ii. LEI, if any, or other identifying number | N1GZ7BBF3NP8GI976H15 |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
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 | BAYPOINT TRADING LLC/BASS TRADING |
ii. SEC file number | 8-65473-0 |
iii. CRD number | 000122225 |
iv. LEI, if any | 549300GTG9PL6WO3EC51 |
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 | 17,374.480000000000 |
Brokers Record:
2 |
i. Full name of broker | ISI GROUP INC. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
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 | 1,620.000000000000 |
Brokers Record:
3 |
i. Full name of broker | MORGAN STANLEY & CO. INC. |
ii. SEC file number | 8-15869-0 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,639.280000000000 |
Brokers Record:
4 |
i. Full name of broker | WACHOVIA BANK N.A. |
ii. SEC file number | 8-65876-0 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,252.200000000000 |
Brokers Record:
5 |
i. Full name of broker | USCA SECURITIES LLC, MEMBER FINRA/SIPC |
ii. SEC file number | 8-52285-0 |
iii. CRD number | 000103789 |
iv. LEI, if any | 254900GBMSP1Y45THR66 |
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 | 4,377.480000000000 |
Brokers Record:
6 |
i. Full name of broker | R.B.C. DOMINION SECURITIES INC. |
ii. SEC file number | 8-45411 |
iii. CRD number | 411416330 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
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 | 4,091.520000000000 |
Brokers Record:
7 |
i. Full name of broker | GOLDMAN SACHS & CO |
ii. SEC file number | 8-12900-0 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,920.000000000000 |
Brokers Record:
8 |
i. Full name of broker | PICKERING ENERGY PARTNERS INC. |
ii. SEC file number | 8-68888-1 |
iii. CRD number | 000158253 |
iv. LEI, if any | N/A |
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 | 3,345.600000000000 |
Brokers Record:
9 |
i. Full name of broker | UBS FINANCIAL SERVICES INC. |
ii. SEC file number | 8-22651-0 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
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 | 3,303.080000000000 |
Brokers Record:
10 |
i. Full name of broker | FRIEDMAN BILLINGS & RAMSEY |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
VIRGINIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,360.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 59,869.830000000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 6 |
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 | MainStay Cushing MLP Premier Fund - Class A |
ii. Class identification number, if any | C000142690 |
iii. Ticker symbol, if any | CSHAX |
Shares Outstanding Record:
2 |
i. Full name of Class | MainStay Cushing MLP Premier Fund - Class C |
ii. Class identification number, if any | C000142691 |
iii. Ticker symbol, if any | CSHCX |
Shares Outstanding Record:
3 |
i. Full name of Class | MainStay Cushing MLP Premier Fund - Class I |
ii. Class identification number, if any | C000142692 |
iii. Ticker symbol, if any | CSHZX |
Shares Outstanding Record:
4 |
i. Full name of Class | MainStay Cushing MLP Premier Fund - Investor Class |
ii. Class identification number, if any | C000142693 |
iii. Ticker symbol, if any | CSHNX |
|
Transfer Agents Record:
1 |
i. Full name | NYLIM Service Company LLC |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-05844 |
iii. LEI, if any | N/A |
iv. State, if applicable |
NEW JERSEY
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Transfer Agents Record:
2 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| N/A |
iii. LEI, if any | 21B7QCD05XOK0YTYOP98 |
iv. State, if applicable |
MASSACHUSETTS
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
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 | Thomson Reuters Pricing Service |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | NYLIM Service Company LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | 084-05844 |
iii. State, if applicable |
NEW JERSEY
|
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 | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 21B7QCD05XOK0YTYOP98 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
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 | New York Life Investment Management LLC |
ii. LEI, if any, or other identifying number | IGJ1X7QLRC5K7CY9GE11 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
Administrators Record:
2 |
i. Full name | U.S. Bancorp Fund Services LLC |
ii. LEI, if any, or other identifying number | N1GZ7BBF3NP8GI976H15 |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
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 | BAYPOINT TRADING LLC/BASS TRADING |
ii. SEC file number | 8-65473-0 |
iii. CRD number | 000122225 |
iv. LEI, if any | 549300GTG9PL6WO3EC51 |
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 | 537,402.400000000000 |
Brokers Record:
2 |
i. Full name of broker | UBS FINANCIAL SERVICES INC. |
ii. SEC file number | 8-22651-0 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 53,279.240000000000 |
Brokers Record:
3 |
i. Full name of broker | R.B.C. DOMINION SECURITIES INC. |
ii. SEC file number | 8-45411-0 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
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 | 307,263.130000000000 |
Brokers Record:
4 |
i. Full name of broker | GOLDMAN SACHS & CO |
ii. SEC file number | 8-12900-0 |
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 | 237,174.960000000000 |
Brokers Record:
5 |
i. Full name of broker | MORGAN STANLEY & CO. INC. |
ii. SEC file number | 8-15869-0 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 198,061.360000000000 |
Brokers Record:
6 |
i. Full name of broker | RAYMOND JAMES & ASSOCIATES INC. |
ii. SEC file number | 8-10999-0 |
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 | 146,810.440000000000 |
Brokers Record:
7 |
i. Full name of broker | CITIGROUP GLOBAL MARKETS INC. |
ii. SEC file number | 8-81770-0 |
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 | 113,358.320000000000 |
Brokers Record:
8 |
i. Full name of broker | WACHOVIA BANK N.A. |
ii. SEC file number | 8-65876-0 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 110,992.000000000000 |
Brokers Record:
9 |
i. Full name of broker | FRIEDMAN BILLINGS & RAMSEY |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
VIRGINIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 91,085.240000000000 |
Brokers Record:
10 |
i. Full name of broker | ISI GROUP INC. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
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 | 55,067.340000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 2,250,092.780000000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | CITIGROUP GLOBAL MARKETS INC. |
ii. SEC file number | 8-81770-0 |
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:
| 11,636,900.000000000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | CREDIT SUISSE |
ii. SEC file number | 8-42200-0 |
iii. CRD number | 000000806 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 10,682,000.000000000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | RAYMOND JAMES & ASSOCIATES INC. |
ii. SEC file number | 8-10999-0 |
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:
| 8,048,297.280000000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | US Capital Advisors Securities LLC |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,487,606.080000000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | WELLS FARGO BANK N.A. |
ii. SEC file number | 8-65876-0 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,223,682.390000000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 6 |
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 | MainStay Cushing Renaissance Advantage Fund - Class A |
ii. Class identification number, if any | C000142694 |
iii. Ticker symbol, if any | CRZAX |
Shares Outstanding Record:
2 |
i. Full name of Class | MainStay Cushing Renaissance Advantage Fund - Class C |
ii. Class identification number, if any | C000142695 |
iii. Ticker symbol, if any | CRZCX |
Shares Outstanding Record:
3 |
i. Full name of Class | MainStay Cushing Renaissance Advantage Fund - Class I |
ii. Class identification number, if any | C000142696 |
iii. Ticker symbol, if any | CRZZX |
Shares Outstanding Record:
4 |
i. Full name of Class | MainStay Cushing Renaissance Advantage Fund - Investor Class |
ii. Class identification number, if any | C000142697 |
iii. Ticker symbol, if any | CRZNX |
|
Transfer Agents Record:
1 |
i. Full name | NYLIM Service Company LLC |
ii.SEC file number (
e.g., 84- or 85-
)
| 084-05844 |
iii. LEI, if any | N/A |
iv. State, if applicable |
NEW JERSEY
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Transfer Agents Record:
2 |
i. Full name | DST Asset Manager Solutions, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| N/A |
iii. LEI, if any | 21B7QCD05XOK0YTYOP98 |
iv. State, if applicable |
MASSACHUSETTS
|
v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vi. Is the transfer agent an affiliated
person of the
Fund
or its
investment adviser(s)?
|
Yes
No
|
vii. Is the transfer agent a sub-transfer
agent?
|
Yes
No
|
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
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 | Thomson Reuters Pricing Service |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | NYLIM Service Company LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | 084-05844 |
iii. State, if applicable |
NEW JERSEY
|
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 | DST Asset Manager Solutions, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 21B7QCD05XOK0YTYOP98 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
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 | New York Life Investment Management LLC |
ii. LEI, if any, or other identifying number | IGJ1X7QLRC5K7CY9GE11 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
Administrators Record:
2 |
i. Full name | U.S. Bancorp Fund Services LLC |
ii. LEI, if any, or other identifying number | N1GZ7BBF3NP8GI976H15 |
Description of other identifying number | |
iii. State, if applicable |
WISCONSIN
|
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 | BAYPOINT TRADING LLC/BASS TRADING |
ii. SEC file number | 8-65473-0 |
iii. CRD number | 000122225 |
iv. LEI, if any | 549300GTG9PL6WO3EC51 |
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 | 187,881.680000000000 |
Brokers Record:
2 |
i. Full name of broker | WACHOVIA BANK N.A. |
ii. SEC file number | 8-65876-0 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 19,683.080000000000 |
Brokers Record:
3 |
i. Full name of broker | R.B.C. DOMINION SECURITIES INC. |
ii. SEC file number | 8-45411-0 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
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 | 36,263.530000000000 |
Brokers Record:
4 |
i. Full name of broker | ISI GROUP INC. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 34,577.110000000000 |
Brokers Record:
5 |
i. Full name of broker | RAYMOND JAMES & ASSOCIATES INC. |
ii. SEC file number | 8-10999-0 |
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 | 27,018.760000000000 |
Brokers Record:
6 |
i. Full name of broker | CANTOR FITZGERALD & CO. |
ii. SEC file number | 8-20100-0 |
iii. CRD number | 000000134 |
iv. LEI, if any | 5493004J7H4GCPG6OB62 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 25,041.520000000000 |
Brokers Record:
7 |
i. Full name of broker | COWEN EXECUTION SERVICES |
ii. SEC file number | 8-46838-0 |
iii. CRD number | 000035693 |
iv. LEI, if any | 5493005RJDJD18OPUP27 |
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 | 24,003.560000000000 |
Brokers Record:
8 |
i. Full name of broker | SEAPORT GROUP |
ii. SEC file number | 8-53535-0 |
iii. CRD number | 000116270 |
iv. LEI, if any | 54930028D6D0G5RZJ888 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 23,502.480000000000 |
Brokers Record:
9 |
i. Full name of broker | KEYBANC CAPITAL MARKETS INC |
ii. SEC file number | 8-30177-0 |
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 | 23,382.440000000000 |
Brokers Record:
10 |
i. Full name of broker | CITIGROUP GLOBAL MARKETS INC. |
ii. SEC file number | 8-81770-0 |
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 | 23,379.440000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 584,960.360000000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | CREDIT SUISSE |
ii. SEC file number | 8-42200-0 |
iii. CRD number | 000000806 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,194,030.000000000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | COWEN EXECUTION SERVICES |
ii. SEC file number | 8-46838-0 |
iii. CRD number | 000035693 |
iv. LEI, if any | 5493005RJDJD18OPUP27 |
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:
| 771,086.400000000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | MORGAN STANLEY & CO. INC. |
ii. SEC file number | 8-15869-0 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 345,950.000000000000 |