| a. How many Classes of shares of the Fund (if
any) are
authorized?
| 1 |
| b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 1 |
| 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 | Regents Park Hedged Market Strategy ETF |
| ii. Class identification number, if any | C000234954 |
| iii. Ticker symbol, if any | RPHS |
|
|
Shareholder servicing agents Record:
1 |
| i. Full name | Brown Brothers Harriman & Co |
| ii. LEI, if any, or provide and describe
other
identifying number | 5493006KMX1VFTPYPW14 |
| Description of other identifying number | LEI |
| 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 | Ultimus Fund Services, LLC |
| ii. LEI, if any, or 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 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 | INTERACTIVE BROKERS |
| ii. SEC file number | 8-47257 |
|
iii. CRD number | 000036418 |
| iv. LEI, if any | 50OBSE5T5521O6SMZR28 |
| v. State, if applicable |
CONNECTICUT
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Gross commissions paid by the Fund for
the
reporting period | 5,129.22000000 |
|
Brokers Record:
2 |
| i. Full name of broker | MISCHLER FINANCIAL GROUP |
| ii. SEC file number | 8-48067 |
|
iii. CRD number | 000037818 |
| iv. LEI, if any | 2549004IPXPSM9EJFC92 |
| 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 | 19.40000000 |
|
Brokers Record:
3 |
| i. Full name of broker | MITSUBISHI SECURITIES INC |
| ii. SEC file number | 008-43026 |
|
iii. CRD number | 000019685 |
| iv. LEI, if any | K5HU16E3LMSVCCJJJ255 |
| 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 | 753.25000000 |
| b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 5,901.87000000 |
|
|
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:
| 20,433,193.00000000 |
|
Principal Transactions Record:
2 |
| i. Full name of dealer | VIRTU FINANCIAL |
| ii. SEC file number | 8-51262 |
|
iii. CRD number | 000045986 |
| iv. LEI, if any | 5493006FX0HRYU3G2R47 |
| 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:
| 2,031,975.00000000 |
|
Principal Transactions Record:
3 |
| i. Full name of dealer | INTERACTIVE BROKERS |
| ii. SEC file number | 8-47257 |
|
iii. CRD number | 000036418 |
| iv. LEI, if any | 50OBSE5T5521O6SMZR28 |
| v. State, if applicable |
CONNECTICUT
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 847,171,485.00000000 |
|
Principal Transactions Record:
4 |
| i. Full name of dealer | ICE BONDS SECURITIES CORP |
| ii. SEC file number | 8-65601 |
|
iii. CRD number | 000123635 |
| iv. LEI, if any | 549300OUQA5TQ2JW3I71 |
| 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:
| 336,505,679.00000000 |
|
Principal Transactions Record:
5 |
| i. Full name of dealer | CITADEL SECURITIES |
| ii. SEC file number | 008-53574 |
|
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:
| 9,578,503.00000000 |
|
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:
| 388,689.00000000 |