Pricing Services Record:
1 |
i. Full name | IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
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 | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
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:
3 |
i. Full name | Thomson Reuters Corporation |
ii. LEI, if any, or provide and describe other
identifying number
| 549300561UZND4C7B569 |
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
|
Pricing Services Record:
4 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
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:
5 |
i. Full name | Ice Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
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
|
|
Custodians Record:
1 |
i. Full name | Clearstream Banking S.A. |
ii. LEI, if any | 549300OL514RA0SXJJ44 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
LUXEMBOURG
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
2 |
i. Full name | Royal Bank of Canada |
ii. LEI, if any | ES7IP3U3RHIGC71XBU11 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
3 |
i. Full name | Euroclear Bank |
ii. LEI, if any | 549300OZ46BRLZ8Y6F65 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BELGIUM
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
4 |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
5 |
i. Full name | State Street Trust Company Canada |
ii. LEI, if any | 549300L71XG2CTQ2V827 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
|
Broker Dealers Record:
1 |
a. Full name | Goldman Sachs & Co. LLC |
b. SEC file number | 8-129 |
c. CRD number | 000000361 |
d. LEI, if any | FOR8UP27PHTHYVLBNG30 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 60,501.20000000 |
Broker Dealers Record:
2 |
a. Full name | Goldman Sachs Gao Hua Securities Company Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300BNHLLHDMRJKL16 |
e. State, if applicable | |
f. Foreign country, if applicable |
CHINA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Folio Investments, Inc. |
b. SEC file number | 8-52009 |
c. CRD number | 000048015 |
d. LEI, if any | 0005537864 |
e. State, if applicable |
VIRGINIA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Goldman Sachs Bank AG |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | S81F8KH474EY7PUWI149 |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Goldman Sachs Investments (Mauritius) I Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | B3YMDTGLQBI8P83MLI39 |
e. State, if applicable | |
f. Foreign country, if applicable |
MAURITIUS
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Goldman Sachs Canada Inc. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 5493009SS6U10C4KDV21 |
e. State, if applicable | |
f. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | OOO Goldman Sachs Bank |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | SGXZS5T6LB2RET473S56 |
e. State, if applicable | |
f. Foreign country, if applicable |
RUSSIAN FEDERATION
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
8 |
a. Full name | Goldman Sachs Bank Europe SE |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 8IBZUGJ7JPLH368JE346 |
e. State, if applicable | |
f. Foreign country, if applicable |
GERMANY
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
9 |
a. Full name | Goldman Sachs Japan Co., Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 5NGPZ37H6T4XS5MO5N09 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
10 |
a. Full name | Goldman Sachs Financial Markets, L.P. |
b. SEC file number | 8-51753 |
c. CRD number | 000047340 |
d. LEI, if any | VF1AUT09OCSW5Y7OE568 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
11 |
a. Full name | Goldman Sachs (Asia) Securities Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 5493009FWOE6CQ1J5K28 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
12 |
a. Full name | Goldman Sachs Paris Inc. et Cie |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | ZSLF02UC3X1JFV1UX676 |
e. State, if applicable | |
f. Foreign country, if applicable |
FRANCE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
13 |
a. Full name | Goldman Sachs Futures Pte Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | JAK0ZABYQXDI5R26CX11 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
14 |
a. Full name | Goldman Sachs Israel LLC |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300LCITTTQIP3QB34 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
15 |
a. Full name | Goldman Sachs International |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | W22LROWP2IHZNBB6K528 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
16 |
a. Full name | Simon Markets LLC |
b. SEC file number | 8-70052 |
c. CRD number | 000290965 |
d. LEI, if any | 254900ZQ96RPN3NLEP45 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
17 |
a. Full name | Goldman Sachs (Asia) Finance |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 0FRBUZNK0A53GHYLTX63 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
18 |
a. Full name | Goldman Sachs (India) Securities Private Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300R0SMAPALLYQD57 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
19 |
a. Full name | Goldman Sachs Asset Management Australia Pty Ltd |
b. SEC file number | N/A |
c. CRD number | 000282984 |
d. LEI, if any | 549300ZYM1ZRTMQ77Q48 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
20 |
a. Full name | Goldman Sachs Saudi Arabia |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300OD9B3Z017FKI66 |
e. State, if applicable | |
f. Foreign country, if applicable |
SAUDI ARABIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
21 |
a. Full name | Goldman Sachs (Russia) |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300ZGZN1H83NL5B44 |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
22 |
a. Full name | Goldman Sachs (Asia) L.L.C. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300NIUPNUFRZ8LJ52 |
e. State, if applicable | |
f. Foreign country, if applicable |
HONG KONG
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
23 |
a. Full name | Goldman Sachs (India) Capital Markets Private Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | BNYCRRX33E5OU2WAW724 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
24 |
a. Full name | Goldman Sachs Australia Pty Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300GGFLRSTQ15VF10 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
25 |
a. Full name | Goldman Sachs (Singapore) Pte. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | YIC3WZ4VO0ZQ38Z36K22 |
e. State, if applicable | |
f. Foreign country, if applicable |
SINGAPORE
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
26 |
a. Full name | Qian Kun Futures Co., Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300KNUZPLW6UD1E30 |
e. State, if applicable | |
f. Foreign country, if applicable |
CHINA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
27 |
a. Full name | Japannext Co., Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
28 |
a. Full name | Goldman Sachs Financial Markets Pty Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | RWESXOGR61NDWTFBLX79 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
29 |
a. Full name | Goldman Sachs do Brasil Corretora de Titulos e Valores Mobiliarios S/A |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300TQXGXQ9IUEPP48 |
e. State, if applicable | |
f. Foreign country, if applicable |
BRAZIL
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
30 |
a. Full name | Goldman Sachs Mexico Casa de Bolsa, S.A. de C.V. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300N4N8Z6E2PYR089 |
e. State, if applicable | |
f. Foreign country, if applicable |
MEXICO
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
31 |
a. Full name | Mercer Allied Company, L.P. |
b. SEC file number | 8-47739 |
c. CRD number | 000037404 |
d. LEI, if any | 0004001470 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
32 |
a. Full name | Beijing Gao Hua Securities Co., Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 549300V9CB2J5I3SR572 |
e. State, if applicable | |
f. Foreign country, if applicable |
CHINA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
33 |
a. Full name | Goldman Sachs New Zealand Limited |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | 5493003ZCWT6KYU7FW22 |
e. State, if applicable | |
f. Foreign country, if applicable |
NEW ZEALAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
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 | 11,411.24000000 |
Brokers Record:
2 |
i. Full name of broker | Wells Fargo Securities, LLC |
ii. SEC file number | 8-65876 |
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 | 27,362.78000000 |
Brokers Record:
3 |
i. Full name of broker | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
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 | 40,504.12000000 |
Brokers Record:
4 |
i. Full name of broker | Evercore Group L.L.C. |
ii. SEC file number | 8-49830 |
iii. CRD number | 000042405 |
iv. LEI, if any | 5493008F0LRLS5N8LZ81 |
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 | 12,654.41000000 |
Brokers Record:
5 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
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 | 19,644.22000000 |
Brokers Record:
6 |
i. Full name of broker | Goldman Sachs & Co. LLC |
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. Gross commissions paid by the Fund for
the
reporting period | 60,501.20000000 |
Brokers Record:
7 |
i. Full name of broker | USCA Securities LLC |
ii. SEC file number | 8-52285 |
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 | 48,129.92000000 |
Brokers Record:
8 |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
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 | 22,143.53000000 |
Brokers Record:
9 |
i. Full name of broker | Telsey Advisory Group LLC |
ii. SEC file number | 8-67988 |
iii. CRD number | 000148234 |
iv. LEI, if any | 54930080BFVVEZCZGF48 |
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 | 12,072.00000000 |
Brokers Record:
10 |
i. Full name of broker | Jefferies LLC |
ii. SEC file number | 8-15074 |
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 | 29,653.90000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 322,443.69000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
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:
| 3,011,737.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
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:
| 5.10000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
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:
| 262.49000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Jefferies LLC |
ii. SEC file number | 8-15074 |
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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 783.41000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
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:
| 2,238,740.60000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Evercore Group L.L.C. |
ii. SEC file number | 8-49830 |
iii. CRD number | 000042405 |
iv. LEI, if any | 5493008F0LRLS5N8LZ81 |
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:
| 1,515.75000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | Credit Suisse Securities (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
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:
| 248.22000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
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:
| 2,942.43000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | Sanford C. Bernstein & Co., LLC |
ii. SEC file number | 8-52942 |
iii. CRD number | 000104474 |
iv. LEI, if any | 549300I7JYZHT7D5CO04 |
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:
| 465.80000000 |