Location books Record:
1 |
a. Name of person (e.g., a custodian of records) | U.S. Bank NA |
b. Street 1 | 1555 North River Center Drive |
Street 2 | Suite 302 |
c. City | Milwaukee |
d. State, if applicable |
WISCONSIN
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 53212 |
g. Telephone number (including country code if foreign) | 18336121912 |
h. Briefly describe the books and records kept at this location:
| Custody data |
Location books Record:
2 |
a. Name of person (e.g., a custodian of records) | U.S. Bancorp Fund Services, LLC |
b. Street 1 | 615 E. Michigan Street |
Street 2 | |
c. City | Milwaukee |
d. State, if applicable |
WISCONSIN
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 53202 |
g. Telephone number (including country code if foreign) | 18336121912 |
h. Briefly describe the books and records kept at this location:
| Transfer agency, fund accounting and fund administration data |
Location books Record:
3 |
a. Name of person (e.g., a custodian of records) | Foreside Fund Services, LLC |
b. Street 1 | Three Canal Plaza |
Street 2 | Suite 100 |
c. City | Portland |
d. State, if applicable |
MAINE
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 04101 |
g. Telephone number (including country code if foreign) | 12075537110 |
h. Briefly describe the books and records kept at this location:
| Distribution data from the period 2/9/2019 to 12/31/2019 |
Location books Record:
4 |
a. Name of person (e.g., a custodian of records) | Quasar Distributors, LLC |
b. Street 1 | 777 East Wisconsin Avenue |
Street 2 | |
c. City | Milwaukee |
d. State, if applicable |
WISCONSIN
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 53202 |
g. Telephone number (including country code if foreign) | 18336121912 |
h. Briefly describe the books and records kept at this location:
| Distribution data from the period 1/1/2019 to 2/8/2019 |
Location books Record:
5 |
a. Name of person (e.g., a custodian of records) | Westchester Capital Management, LLC |
b. Street 1 | 100 Summit Lake Drive |
Street 2 | |
c. City | Valhalla |
d. State, if applicable |
NEW YORK
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 10595 |
g. Telephone number (including country code if foreign) | 9147415600 |
h. Briefly describe the books and records kept at this location:
| Advisor Data |
Director Record:
1 |
a. Full Name | Roy Behren |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
2 |
a. Full Name | Michael T. Shannon |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
3 |
a. Full Name | Barry Hamerling |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
4 |
a. Full Name | Richard V. Silver |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
5 |
a. Full Name | Christianna Wood |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Principal underwriter Record:
1 |
i. Full name | Foreside Fund Services, LLC |
ii. SEC file number (e.g., 8-) | 8-51293 |
iii. CRD number | 000046106 |
iv. LEI, if any | |
v. State, if applicable |
MAINE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
No
|
Principal underwriter Record:
2 |
i. Full name | Quasar Distributors, LLC |
ii. SEC file number (e.g., 8-) | 8-52323 |
iii. CRD number | 000103848 |
iv. LEI, if any | |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor?
|
Yes
No
|
b. Have any principal underwriters been hired or terminated during the reporting period?
|
Yes
No
|