a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 4 |
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 | A Class |
ii. Class identification number, if any | C000237953 |
iii. Ticker symbol, if any | SBTAX |
Shares Outstanding Record:
2 |
i. Full name of Class | C Class |
ii. Class identification number, if any | C000237954 |
iii. Ticker symbol, if any | SBTCX |
Shares Outstanding Record:
3 |
i. Full name of Class | F Class |
ii. Class identification number, if any | C000237955 |
iii. Ticker symbol, if any | BTPIX |
Shares Outstanding Record:
4 |
i. Full name of Class | Institutional Class |
ii. Class identification number, if any | C000237956 |
iii. Ticker symbol, if any | SBTIX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 54930000F4ZO33MV32P92 |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC File 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 | 084-05829 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
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 | Citigroup, Inc. |
ii. SEC file number | 008-08177 |
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 | 30,189.80000000 |
Brokers Record:
2 |
i. Full name of broker | Credit Suisse Group AG |
ii. SEC file number | 008-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
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 | 49,610.86000000 |
Brokers Record:
3 |
i. Full name of broker | Morgan Stanley & Co., LLC |
ii. SEC file number | 008-15869 |
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 | 14,188.55000000 |
Brokers Record:
4 |
i. Full name of broker | Morgan Stanley |
ii. SEC file number | 008-15869 |
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 | 122,092.70000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 216,081.91000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 4 |
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 | Institutional Class |
ii. Class identification number, if any | C000237961 |
iii. Ticker symbol, if any | SMLPX |
Shares Outstanding Record:
2 |
i. Full name of Class | Ultra Class |
ii. Class identification number, if any | C000237962 |
iii. Ticker symbol, if any | SMRPX |
Shares Outstanding Record:
3 |
i. Full name of Class | C Class |
ii. Class identification number, if any | C000237963 |
iii. Ticker symbol, if any | SMFPX |
Shares Outstanding Record:
4 |
i. Full name of Class | A Class |
ii. Class identification number, if any | C000237964 |
iii. Ticker symbol, if any | SMAPX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 54930000F4ZO33MV32P92 |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC File 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 | 084-05829 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
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 | Alliance Bernstein Holding, L.P. |
ii. SEC file number | N/A |
iii. CRD number | 000106998 |
iv. LEI, if any | 549300EKK5IRKRYY4K34 |
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 | 86,267.18000000 |
Brokers Record:
2 |
i. Full name of broker | Piper Sandler Companies |
ii. SEC file number | 008-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
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 | 81,510.34000000 |
Brokers Record:
3 |
i. Full name of broker | Tudor, Pickering, Holt & Company |
ii. SEC file number | 008-66251 |
iii. CRD number | 000129772 |
iv. LEI, if any | 254900QNRC4536M3YW31 |
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 | 100,051.34000000 |
Brokers Record:
4 |
i. Full name of broker | Northern Trust Securities, Inc. |
ii. SEC file number | 008-23689 |
iii. CRD number | 000007927 |
iv. LEI, if any | 3CHSO99JSPHD9HGNYJ46 |
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 | 67,856.00000000 |
Brokers Record:
5 |
i. Full name of broker | Wells Fargo Securities Co., LLC |
ii. SEC file number | 008-65876 |
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 | 181,990.35000000 |
Brokers Record:
6 |
i. Full name of broker | Seaport Global Securities, LLC |
ii. SEC file number | 008-253535 |
iii. CRD number | 000116270 |
iv. LEI, if any | 54930028D6D0G5RZJ888 |
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 | 178,778.00000000 |
Brokers Record:
7 |
i. Full name of broker | Jefferies Group |
ii. SEC file number | 008-15074 |
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 | 152,164.20000000 |
Brokers Record:
8 |
i. Full name of broker | Royal Bank of Canada |
ii. SEC file number | N/A |
iii. CRD number | 000112284 |
iv. LEI, if any | 549300HXQQQCCUBS2Z23 |
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 | 66,355.00000000 |
Brokers Record:
9 |
i. Full name of broker | UBS Group AG |
ii. SEC file number | 008-16267 |
iii. CRD number | 000008174 |
iv. LEI, if any | ETYRV6ORNFJB5NONI676 |
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 | 67,172.17000000 |
Brokers Record:
10 |
i. Full name of broker | Cantor Fitzgerald, L.P |
ii. SEC file number | 008-00201 |
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 | 85,371.45000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 1,607,877.45000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Citigroup, Inc. |
ii. SEC file number | 008-08177 |
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:
| 15,683,394.30000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Barclays |
ii. SEC file number | 008-41342 |
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:
| 25,195,937.50000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Merrill |
ii. SEC file number | 008-07221 |
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:
| 3,356,518.00000000 |
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?
| 3 |
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 | A Class |
ii. Class identification number, if any | C000237958 |
iii. Ticker symbol, if any | KIRAX |
Shares Outstanding Record:
2 |
i. Full name of Class | C Class |
ii. Class identification number, if any | C000237959 |
iii. Ticker symbol, if any | KIRCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Institutional Class |
ii. Class identification number, if any | C000237960 |
iii. Ticker symbol, if any | KIRYX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC File 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 | 084-05829 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
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 | Citigroup, Inc. |
ii. SEC file number | 008-08177 |
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 | 109.60000000 |
Brokers Record:
2 |
i. Full name of broker | Raymond James Financial, Inc. |
ii. SEC file number | 008-17983 |
iii. CRD number | 000006694 |
iv. LEI, if any | BJXJW0QPHK3JR8A9D249 |
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 | 8.03999999 |
Brokers Record:
3 |
i. Full name of broker | Northern Trust Securities, Inc. |
ii. SEC file number | 008-23689 |
iii. CRD number | 000007927 |
iv. LEI, if any | 3CHSO99JSPHD9HGNYJ46 |
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 | 1,557.16000000 |
Brokers Record:
4 |
i. Full name of broker | Bloomberg Tradebook, LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | 549300P0PVQNO43T7K36 |
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 | 8,903.56000000 |
Brokers Record:
5 |
i. Full name of broker | SunTrust Banks, Inc. |
ii. SEC file number | 008-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
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 | 674.73000000 |
Brokers Record:
6 |
i. Full name of broker | The Bank of America Corporation |
ii. SEC file number | 008-69787 |
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 | 352.04000000 |
Brokers Record:
7 |
i. Full name of broker | Evercore, Inc. |
ii. SEC file number | 008-49830 |
iii. CRD number | 000042405 |
iv. LEI, if any | 5493008F0LRLS5N8LZ81 |
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 | 636.12000000 |
Brokers Record:
8 |
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 | 894.60000000 |
Brokers Record:
9 |
i. Full name of broker | Stifel Financial Corp. |
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 | 485.52000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 13,621.37000000 |
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?
| 3 |
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 | C Class |
ii. Class identification number, if any | C000237949 |
iii. Ticker symbol, if any | FTGOX |
Shares Outstanding Record:
2 |
i. Full name of Class | A Class |
ii. Class identification number, if any | C000237952 |
iii. Ticker symbol, if any | FTAGX |
Shares Outstanding Record:
3 |
i. Full name of Class | Institutional Class |
ii. Class identification number, if any | C000237951 |
iii. Ticker symbol, if any | FTGWX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 54930000F4ZO33MV32P92 |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC File 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 | 084-05829 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
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 | Credit Suisse Group AG |
ii. SEC file number | 008-00422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
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 | 50,868.39000000 |
Brokers Record:
2 |
i. Full name of broker | Morgan Stanley & Co., LLC |
ii. SEC file number | 008-15869 |
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 | 1,617.35000000 |
Brokers Record:
3 |
i. Full name of broker | Citigroup, Inc. |
ii. SEC file number | 008-08177 |
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 | 1,039.50000000 |
Brokers Record:
4 |
i. Full name of broker | Morgan Stanley |
ii. SEC file number | 008-15869 |
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 | 112,071.89000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 165,597.13000000 |
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?
| 3 |
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 | Institutional Class |
ii. Class identification number, if any | C000237966 |
iii. Ticker symbol, if any | KIFYX |
Shares Outstanding Record:
2 |
i. Full name of Class | C Class |
ii. Class identification number, if any | C000237969 |
iii. Ticker symbol, if any | KIFCX |
Shares Outstanding Record:
3 |
i. Full name of Class | A Class |
ii. Class identification number, if any | C000237968 |
iii. Ticker symbol, if any | KIFAX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 54930000F4ZO33MV32P92 |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05829 |
Description of other identifying number | SEC File 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 | 084-05829 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
OHIO
|
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 | SunTrust Banks, Inc. |
ii. SEC file number | 008-17212 |
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 | 14,094.86000000 |
Brokers Record:
2 |
i. Full name of broker | Raymond James Financial, Inc. |
ii. SEC file number | 008-17983 |
iii. CRD number | 000006694 |
iv. LEI, if any | BJXJW0QPHK3JR8A9D249 |
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 | 12,496.32000000 |
Brokers Record:
3 |
i. Full name of broker | JonesTrading Institutional Services, LLC |
ii. SEC file number | 008-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
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 | 15,228.34000000 |
Brokers Record:
4 |
i. Full name of broker | Northern Trust Securities, Inc. |
ii. SEC file number | 008-23689 |
iii. CRD number | 000007927 |
iv. LEI, if any | 3CHSO99JSPHD9HGNYJ46 |
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 | 18,132.45000000 |
Brokers Record:
5 |
i. Full name of broker | The Bank of America Corporation |
ii. SEC file number | 008-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
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 | 13,072.04000000 |
Brokers Record:
6 |
i. Full name of broker | Stifel Financial Corp. |
ii. SEC file number | 008-01447 |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
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 | 21,032.45000000 |
Brokers Record:
7 |
i. Full name of broker | Bloomberg Tradebook, LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | 549300P0PVQNO43T7K36 |
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 | 271,095.98000000 |
Brokers Record:
8 |
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 | 11,822.80000000 |
Brokers Record:
9 |
i. Full name of broker | Citigroup, Inc. |
ii. SEC file number | 008-08177 |
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 | 7,690.40000000 |
Brokers Record:
10 |
i. Full name of broker | Evercore, Inc. |
ii. SEC file number | 008-49830 |
iii. CRD number | 000042405 |
iv. LEI, if any | 5493008F0LRLS5N8LZ81 |
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 | 21,613.20000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 411,966.73000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Brown Brothers Harriman & Co. |
ii. SEC file number | 008-69731 |
iii. CRD number | 000282732 |
iv. LEI, if any | 5493006KMX1VFTPYPW14 |
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:
| 773,550.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Raymond James Financial, Inc. |
ii. SEC file number | 008-17983 |
iii. CRD number | 000006694 |
iv. LEI, if any | BJXJW0QPHK3JR8A9D249 |
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:
| 12,581,500.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Bloomberg Tradebook, LLC |
ii. SEC file number | 008-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | 549300P0PVQNO43T7K36 |
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:
| 173,269.48000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Captial One Financial Corporation |
ii. SEC file number | N/A |
iii. CRD number | 000127236 |
iv. LEI, if any | ZUE8T73ROZOF6FLBAR73 |
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:
| 193,300.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Morgan Stanley |
ii. SEC file number | 008-15869 |
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:
| 6,365,000.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Stifel Financial Corp. |
ii. SEC file number | 008-01447 |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
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:
| 98,704.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | Cantor Fitzgerald, L.P |
ii. SEC file number | 008-00201 |
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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 8,481,305.76000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Wells Fargo & Company |
ii. SEC file number | 008-65876 |
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:
| 4,255,000.00000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | Janney Montgomery Scott, LLC |
ii. SEC file number | 008-00462 |
iii. CRD number | 000000463 |
iv. LEI, if any | 549300QQRY1JCFQHYS08 |
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:
| 2,261,786.10000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | Cabrera Capital Markets, LLC |
ii. SEC file number | 008-26406 |
iii. CRD number | 000010081 |
iv. LEI, if any | 254900BIRJU76JRBK985 |
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:
| 5,216,814.19000000 |