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?
| 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 | Easterly Global Real Estate Fund Class A |
ii. Class identification number, if any | C000224297 |
iii. Ticker symbol, if any | JAREX |
Shares Outstanding Record:
2 |
i. Full name of Class | Easterly Global Real Estate Fund Class I |
ii. Class identification number, if any | C000224295 |
iii. Ticker symbol, if any | JARIX |
Shares Outstanding Record:
3 |
i. Full name of Class | Easterly Global Real Estate Fund Class C |
ii. Class identification number, if any | C000224296 |
iii. Ticker symbol, if any | JACRX |
Shares Outstanding Record:
4 |
i. Full name of Class | Easterly Global Real Estate Fund Class R6 |
ii. Class identification number, if any | C000224298 |
iii. Ticker symbol, if any | JARSX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | N/A |
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 | 84-05829 |
Description of other identifying number | N/A |
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 |
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 | 102,620.83000000 |
Brokers Record:
2 |
i. Full name of broker | ROYAL BANK OF CANADA CAPITAL MARKETS |
ii. SEC file number | 8-39947 |
iii. CRD number | 000022698 |
iv. LEI, if any | ES7IP3U3RHIGC71XBU11 |
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 | 53,959.58000000 |
Brokers Record:
3 |
i. Full name of broker | BTIG LLC |
ii. SEC file number | 8-65473 |
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 | 42,249.74000000 |
Brokers Record:
4 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 49,054.17000000 |
Brokers Record:
5 |
i. Full name of broker | KNIGHT CAPITAL GROUP |
ii. SEC file number | 8-68193 |
iii. CRD number | 000149823 |
iv. LEI, if any | 549300RA02N3BNSWBV74 |
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 | 85,357.94000000 |
Brokers Record:
6 |
i. Full name of broker | JPMORGAN CHASE |
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 | 282,923.80000000 |
Brokers Record:
7 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 172,082.51000000 |
Brokers Record:
8 |
i. Full name of broker | RAYMOND JAMES |
ii. SEC file number | 8-10999 |
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 | 47,417.66000000 |
Brokers Record:
9 |
i. Full name of broker | EVERCORE |
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 | 52,173.27000000 |
Brokers Record:
10 |
i. Full name of broker | KEMPEN & CO |
ii. SEC file number | 8-48389 |
iii. CRD number | 000038760 |
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 | 44,184.84000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 1,249,219.44000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | JPMORGAN CHASE |
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:
| 34,790,512.29000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | KEMPEN & CO |
ii. SEC file number | 8-48389 |
iii. CRD number | 000038760 |
iv. LEI, if any | N/A |
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:
| 13,932,402.69000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | ROYAL BANK OF CANADA CAPITAL MARKETS |
ii. SEC file number | 8-39947 |
iii. CRD number | 000022698 |
iv. LEI, if any | ES7IP3U3RHIGC71XBU11 |
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:
| 46,621,725.67000000 |
Principal Transactions Record:
4 |
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:
| 23,931,824.50000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | SMITH MOORE |
ii. SEC file number | 8-27480 |
iii. CRD number | 000003441 |
iv. LEI, if any | N/A |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,554,797.05000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | MORGAN STANLEY SMITH BARNEY |
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:
| 36,553,189.89000000 |
Principal Transactions Record:
7 |
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:
| 5,918,233.43000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | BROWN BROTHERS & HARRIMAN |
ii. SEC file number | 8-69731 |
iii. CRD number | 000282732 |
iv. LEI, if any | 5493006KMX1VFTPYPW14 |
v. State, if applicable |
MASSACHUSETTS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,506.17000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | CITIGROUP |
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:
| 26,965,578.54000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | BLOOMBERG |
ii. SEC file number | 8-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | 549300B56MD0ZC402L06 |
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:
| 393,604.68000000 |
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?
| 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 | Easterly Multi Strategy Alternative Income Fund Class R6 |
ii. Class identification number, if any | C000224313 |
iii. Ticker symbol, if any | JASMX |
Shares Outstanding Record:
2 |
i. Full name of Class | Easterly Multi Strategy Alternative Income Fund Class A |
ii. Class identification number, if any | C000224316 |
iii. Ticker symbol, if any | JAAMX |
Shares Outstanding Record:
3 |
i. Full name of Class | Easterly Multi Strategy Alternative Income Fund Class I |
ii. Class identification number, if any | C000224314 |
iii. Ticker symbol, if any | JAIMX |
Shares Outstanding Record:
4 |
i. Full name of Class | Easterly Multi Strategy Alternative Income Fund Class C |
ii. Class identification number, if any | C000224315 |
iii. Ticker symbol, if any | JACMX |
|
Sub Advisors Record:
1 |
i. Full name | Bullseye Asset Management LLC |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-79982 |
iii. CRD number | 000153990 |
iv. LEI, if any | N/A |
v. State, if applicable |
COLORADO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
2 |
i. Full name | Ranger Global Real Estate Advisors, LLC |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-108081 |
iii. CRD number | 000284412 |
iv. LEI, if any | 254900QZ1X0L69RAJQ17 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
3 |
i. Full name | Kellner Private Fund Management LP |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-78189 |
iii. CRD number | 000167870 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
4 |
i. Full name | Lazard Asset Management, LLC |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-61701 |
iii. CRD number | 000122836 |
iv. LEI, if any | P1IBQ1I6K7EXV2Q96E20 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
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 | 84-05829 |
Description of other identifying number | N/A |
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 | 84-05829 |
Description of other identifying number | N/A |
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 |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 549300506SI9CRFV9Z86 |
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 | 320.85000000 |
Brokers Record:
2 |
i. Full name of broker | JPMORGAN CHASE |
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 | 3,207.65000000 |
Brokers Record:
3 |
i. Full name of broker | 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. Gross commissions paid by the Fund for
the
reporting period | 5,893.25000000 |
Brokers Record:
4 |
i. Full name of broker | AEGIS CAPITAL CORP |
ii. SEC file number | 8-31616 |
iii. CRD number | 000015007 |
iv. LEI, if any | 254900S6STN2SDK6LR76 |
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 | 1,055.08999999 |
Brokers Record:
5 |
i. Full name of broker | ROTH CAPITAL PARTNERS |
ii. SEC file number | 8-32129 |
iii. CRD number | 000015407 |
iv. LEI, if any | 549300FMF3TPT1HFRF48 |
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 | 441.95000000 |
Brokers Record:
6 |
i. Full name of broker | AUERBACH GRAYSON |
ii. SEC file number | 8-45136 |
iii. CRD number | 000030761 |
iv. LEI, if any | 254900THN5ANAH8X1V30 |
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 | 461.98000000 |
Brokers Record:
7 |
i. Full name of broker | KNIGHT CAPITAL GROUP |
ii. SEC file number | 8-68193 |
iii. CRD number | 000149823 |
iv. LEI, if any | 549300RA02N3BNSWBV74 |
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 | 454.61000000 |
Brokers Record:
8 |
i. Full name of broker | FBN |
ii. SEC file number | 8-30461 |
iii. CRD number | 000018315 |
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 | 951.34000000 |
Brokers Record:
9 |
i. Full name of broker | SEAPORT GROUP |
ii. SEC file number | 8-53535 |
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 | 1,678.21000000 |
Brokers Record:
10 |
i. Full name of broker | CITIGROUP |
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 | 657.73000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 19,285.14000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | BNY MELLON |
ii. SEC file number | 8-51710 |
iii. CRD number | 000047268 |
iv. LEI, if any | 4EP6JBYBTPTQ47LZOB67 |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,314,607.24000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | CREDIT SUISSE FIRST BOSTON |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 549300506SI9CRFV9Z86 |
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:
| 705,375.00000000 |
Principal Transactions Record:
3 |
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:
| 733,878.50000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | CITIGROUP |
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:
| 1,173,856.40189999 |
Principal Transactions Record:
5 |
i. Full name of dealer | STIFEL NICOLAUS |
ii. SEC file number | 8-01447 |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 899,818.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | PERSHING |
ii. SEC file number | 8-17574 |
iii. CRD number | 000007560 |
iv. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
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:
| 751,766.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | WELLS FARGO BANK |
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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 649,877.22000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | UBS AG |
ii. SEC file number | 8-22651 |
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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,928,341.79000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | ROYAL BANK OF CANADA CAPITAL MARKETS |
ii. SEC file number | 8-39947 |
iii. CRD number | 000022698 |
iv. LEI, if any | ES7IP3U3RHIGC71XBU11 |
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:
| 779,741.56000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | JPMORGAN CHASE |
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:
| 3,236,628.74000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
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?
| 2 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Easterly Global Macro Fund Class I |
ii. Class identification number, if any | C000224304 |
iii. Ticker symbol, if any | GRRIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Easterly Global Macro Fund Class R6 |
ii. Class identification number, if any | C000224303 |
iii. Ticker symbol, if any | GRRSX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | N/A |
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 | 84-05829 |
Description of other identifying number | N/A |
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 | 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. Gross commissions paid by the Fund for
the
reporting period | 2,609.00000000 |
Brokers Record:
2 |
i. Full name of broker | BNY MELLON |
ii. SEC file number | 8-51710 |
iii. CRD number | 000047268 |
iv. LEI, if any | 4EP6JBYBTPTQ47LZOB67 |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,101.00000000 |
Brokers Record:
3 |
i. Full name of broker | KNIGHT CAPITAL GROUP |
ii. SEC file number | 8-68193 |
iii. CRD number | 000149823 |
iv. LEI, if any | 549300RA02N3BNSWBV74 |
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 | 869.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 4,579.00000000 |
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?
| 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 | Easterly Hedge High Income Class A |
ii. Class identification number, if any | C000224302 |
iii. Ticker symbol, if any | INCAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Easterly Hedge High Income Class C |
ii. Class identification number, if any | C000224300 |
iii. Ticker symbol, if any | INCCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Easterly Hedge High Income Class R6 |
ii. Class identification number, if any | C000224301 |
iii. Ticker symbol, if any | INCSX |
Shares Outstanding Record:
4 |
i. Full name of Class | Easterly Hedge High Income Class I |
ii. Class identification number, if any | C000224299 |
iii. Ticker symbol, if any | INCIX |
|
SubAdvisors Terminated Record:
1 |
i. Full name | Amundi Asset Management US, Inc. |
ii. SEC file number (
e.g., 801-
)
| 801-8255 |
iii. CRD number | 000107719 |
iv. LEI, if any | N/A |
v. State, if applicable |
MASSACHUSETTS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Termination date | 2021-08-05 |
SubAdvisors Terminated Record:
2 |
i. Full name | Concise Capital Management, LP |
ii. SEC file number (
e.g., 801-
)
| 801-68737 |
iii. CRD number | 000145778 |
iv. LEI, if any | N/A |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Termination date | 2021-08-05 |
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | N/A |
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 | 84-05829 |
Description of other identifying number | N/A |
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 | 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. Gross commissions paid by the Fund for
the
reporting period | 310.52000000 |
Brokers Record:
2 |
i. Full name of broker | UBS AG |
ii. SEC file number | 8-22651 |
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 | 40.00000000 |
Brokers Record:
3 |
i. Full name of broker | WEEDEN & CO |
ii. SEC file number | 8-37267 |
iii. CRD number | 000016835 |
iv. LEI, if any | 549300OYBLKSN8M8EW67 |
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 | 51.03000000 |
Brokers Record:
4 |
i. Full name of broker | ITG |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 549300S41SMIODVIT266 |
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 | 1.82000000 |
Brokers Record:
5 |
i. Full name of broker | KNIGHT CAPITAL GROUP |
ii. SEC file number | 8-68193 |
iii. CRD number | 000149823 |
iv. LEI, if any | 549300RA02N3BNSWBV74 |
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 | 225.41000000 |
Brokers Record:
6 |
i. Full name of broker | BOREAL CAPITAL MANAGEMENT |
ii. SEC file number | 8-68910 |
iii. CRD number | 000158599 |
iv. LEI, if any | 549300NMHK6HTSKCG696 |
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 | 719.46000000 |
Brokers Record:
7 |
i. Full name of broker | JPMORGAN CHASE |
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 | 6,100.44000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 7,448.68000000 |
|
Principal Transactions Record:
1 |
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:
| 9,054,179.43000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | DEUTSCHE BANK |
ii. SEC file number | 8-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
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:
| 5,789,559.72000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | JPMORGAN CHASE |
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:
| 103,586,982.23000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | CREDIT SUISSE FIRST BOSTON |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 549300506SI9CRFV9Z86 |
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:
| 6,198,316.41000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | MORGAN STANLEY SMITH BARNEY |
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:
| 4,854,743.86000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | STIFEL NICOLAUS |
ii. SEC file number | 8-01447 |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 6,226,904.60000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | WELLS FARGO BANK |
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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,689,570.00000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | CITIGROUP |
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:
| 9,171,093.48000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | CANTOR FITZGERALD |
ii. SEC file number | 8-00201 |
iii. CRD number | 000159296 |
iv. LEI, if any | 549300DWZ3YOKJO5X179 |
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:
| 6,369,189.27000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | UBS AG |
ii. SEC file number | 8-22651 |
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. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 10,926,388.42000000 |
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?
| 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 | Easterly Hedged Equity Fund Class I |
ii. Class identification number, if any | C000224307 |
iii. Ticker symbol, if any | JDIEX |
Shares Outstanding Record:
2 |
i. Full name of Class | Easterly Hedged Equity Fund Class A |
ii. Class identification number, if any | C000224305 |
iii. Ticker symbol, if any | JDAEX |
Shares Outstanding Record:
3 |
i. Full name of Class | Easterly Hedged Equity Fund Class C |
ii. Class identification number, if any | C000224306 |
iii. Ticker symbol, if any | JDCEX |
Shares Outstanding Record:
4 |
i. Full name of Class | Easterly Hedged Equity Fund Class R6 |
ii. Class identification number, if any | C000224308 |
iii. Ticker symbol, if any | JDSEX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Ultimus Fund Solutions, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 84-05829 |
Description of other identifying number | N/A |
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 | 84-05829 |
Description of other identifying number | N/A |
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 | BNY MELLON |
ii. SEC file number | 8-51710 |
iii. CRD number | 000047268 |
iv. LEI, if any | 4EP6JBYBTPTQ47LZOB67 |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 24.50000000 |
Brokers Record:
2 |
i. Full name of broker | PERSHING |
ii. SEC file number | 8-17574 |
iii. CRD number | 000007560 |
iv. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
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 | 86,799.57000000 |
Brokers Record:
3 |
i. Full name of broker | DASH FINANCIAL |
ii. SEC file number | 8-52503 |
iii. CRD number | 000104031 |
iv. LEI, if any | 549300VYG4AYVBIDN394 |
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 | 940.54000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 87,764.61000000 |