|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
11 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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:
| 732.05 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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:
| 48.7 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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:
| 3,033.36 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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:
| 60.17 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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:
| 64.65 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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 | The Hongkong and Shanghai Banking Corporation Ltd., Parramatta |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
AUSTRALIA
|
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 | Euroclear |
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:
3 |
i. Full name | Credit Suisse (Switzerland) Ltd., Zurich |
ii. LEI, if any | 549300CWR0W0BCS9Q144 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SWITZERLAND
|
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 | UBS Switzerland AG, Zurich |
ii. LEI, if any | 549300WOIFUSNYH0FL22 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SWITZERLAND
|
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 | Deutsche Bank AG, Eschborn |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
GERMANY
|
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:
6 |
i. Full name | State Street Bank International GmbH, Munich |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
GERMANY
|
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:
7 |
i. Full name | Skandinaviska Enskilda Banken AB, Sweden (Copenhagen branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
DENMARK
|
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:
8 |
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:
9 |
i. Full name | Skandinaviska Enskilda Banken AB, Sweden (Helsinki branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
FINLAND
|
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:
10 |
i. Full name | Deutsche Bank AG, Netherlands (Paris branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
FRANCE
|
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:
11 |
i. Full name | State Street Bank and Trust Company, UK branch |
ii. LEI, if any | 213800YAZLPV26WFM449 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
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:
12 |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited, Hong Kong |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
HONG KONG
|
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:
13 |
i. Full name | Deutsche Bank S.p.A., Frankfurt (Milan branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
ITALY
|
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:
14 |
i. Full name | Intesa Sanpaolo S.p.A., Milan |
ii. LEI, if any | 2W8N8UU78PMDQKZENC08 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
ITALY
|
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:
15 |
i. Full name | Mizuho Bank Limited, Tokyo |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
JAPAN
|
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:
16 |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited, Tokyo |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
JAPAN
|
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:
17 |
i. Full name | Deutsche Bank AG, Seoul |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
KOREA (THE REPUBLIC OF)
|
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:
18 |
i. Full name | The Hongkong and Shanghai Banking Corporation Ltd., Seoul |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
KOREA (THE REPUBLIC OF)
|
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:
19 |
i. Full name | Deutsche Bank AG, Amsterdam |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
NETHERLANDS
|
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:
20 |
i. Full name | Skandinaviska Enskilda Banken AB, Sweden (Oslo branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
NORWAY
|
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:
21 |
i. Full name | Skandinaviska Enskilda Banken AB, Stockholm |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SWEDEN
|
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:
22 |
i. Full name | Citibank, N.A., Singapore |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SINGAPORE
|
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:
23 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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:
| 70.75 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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:
| 9.76 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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:
| 153.8 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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 | Deutsche Bank AG, Vienna (operating through Frankfurt branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
AUSTRIA
|
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 | UniCredit Bank Austria AG, Vienna |
ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
AUSTRIA
|
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 | Credit Suisse (Switzerland) Ltd., Zurich |
ii. LEI, if any | 549300CWR0W0BCS9Q144 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SWITZERLAND
|
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 | UBS Switzerland AG, Zurich |
ii. LEI, if any | 549300WOIFUSNYH0FL22 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SWITZERLAND
|
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 | Deutsche Bank AG, Eschborn |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
GERMANY
|
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:
6 |
i. Full name | State Street Bank International GmbH, Munich |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
GERMANY
|
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:
7 |
i. Full name | Skandinaviska Enskilda Banken AB, Sweden (Copenhagen branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
DENMARK
|
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:
8 |
i. Full name | Deutsche Bank S.A.E., Madrid |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SPAIN
|
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:
9 |
i. Full name | Deutsche Bank AG, Netherlands (Paris branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
FRANCE
|
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:
10 |
i. Full name | State Street Bank and Trust Company, UK branch |
ii. LEI, if any | 213800YAZLPV26WFM449 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
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:
11 |
i. Full name | Mizuho Bank Limited, Tokyo |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
JAPAN
|
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:
12 |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited, Tokyo |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
JAPAN
|
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:
13 |
i. Full name | Deutsche Bank AG, Seoul |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
KOREA (THE REPUBLIC OF)
|
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:
14 |
i. Full name | The Hongkong and Shanghai Banking Corporation Ltd., Seoul |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
KOREA (THE REPUBLIC OF)
|
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:
15 |
i. Full name | Banco Nacional de Mexico S.A., Mexico City |
ii. LEI, if any | 2SFFM4FUIE05S37WFU55 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
MEXICO
|
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:
16 |
i. Full name | Deutsche Bank AG, Amsterdam |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
NETHERLANDS
|
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:
17 |
i. Full name | Skandinaviska Enskilda Banken AB, Stockholm |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SWEDEN
|
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:
18 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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 | 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:
2 |
i. Full name | The Hongkong and Shanghai Banking Corporation Ltd., Parramatta |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
AUSTRALIA
|
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 | BNP Paribas Securities Services, S.C.A., France |
ii. LEI, if any | 549300WCGB70D06XZS54 |
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 Trust Company Canada, Toronto |
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
|
Custodians Record:
5 |
i. Full name | Credit Suisse (Switzerland) Ltd., Zurich |
ii. LEI, if any | 549300CWR0W0BCS9Q144 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SWITZERLAND
|
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:
6 |
i. Full name | UBS Switzerland AG, Zurich |
ii. LEI, if any | 549300WOIFUSNYH0FL22 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SWITZERLAND
|
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:
7 |
i. Full name | Deutsche Bank AG, Eschborn |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
GERMANY
|
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:
8 |
i. Full name | State Street Bank International GmbH, Munich |
ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
GERMANY
|
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:
9 |
i. Full name | Skandinaviska Enskilda Banken AB, Sweden (Copenhagen branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
DENMARK
|
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:
10 |
i. Full name | Deutsche Bank S.A.E., Madrid |
ii. LEI, if any | 529900SICIK5OVMVY186 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SPAIN
|
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:
11 |
i. Full name | Skandinaviska Enskilda Banken AB, Sweden (Helsinki branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
FINLAND
|
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:
12 |
i. Full name | Deutsche Bank AG, Netherlands (Paris branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
FRANCE
|
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:
13 |
i. Full name | State Street Bank and Trust Company, UK branch |
ii. LEI, if any | 213800YAZLPV26WFM449 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
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:
14 |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited, Hong Kong |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
HONG KONG
|
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:
15 |
i. Full name | Deutsche Bank AG, Jakarta |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
INDONESIA
|
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:
16 |
i. Full name | Standard Chartered Bank |
ii. LEI, if any | RILFO74KP1CM8P6PCT96 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
INDONESIA
|
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:
17 |
i. Full name | Citibank, N.A., Mumbai |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
INDIA
|
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:
18 |
i. Full name | Deutsche Bank AG, Mumbai |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
INDIA
|
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:
19 |
i. Full name | Deutsche Bank S.p.A., Frankfurt (Milan branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
ITALY
|
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:
20 |
i. Full name | Intesa Sanpaolo S.p.A., Milan |
ii. LEI, if any | 2W8N8UU78PMDQKZENC08 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
ITALY
|
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:
21 |
i. Full name | Mizuho Bank Limited, Tokyo |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
JAPAN
|
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:
22 |
i. Full name | The Hongkong and Shanghai Banking Corporation Limited, Tokyo |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
JAPAN
|
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:
23 |
i. Full name | Deutsche Bank AG, Seoul |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
KOREA (THE REPUBLIC OF)
|
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:
24 |
i. Full name | The Hongkong and Shanghai Banking Corporation Ltd., Seoul |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
KOREA (THE REPUBLIC OF)
|
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:
25 |
i. Full name | Deutsche Bank AG, Amsterdam |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
NETHERLANDS
|
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:
26 |
i. Full name | Deutsche Bank AG, Netherlands (Lisbon branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
PORTUGAL
|
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:
27 |
i. Full name | Citibank Europe plc, Dublin (Ireland) |
ii. LEI, if any | N1FBEDJ5J41VKZLO2475 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
PORTUGAL
|
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:
28 |
i. Full name | Skandinaviska Enskilda Banken AB, Stockholm |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SWEDEN
|
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:
29 |
i. Full name | Citibank, N.A., Singapore |
ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SINGAPORE
|
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 | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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:
| 3,133.53 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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:
| 14.72 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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 | Deutsche Bank AG, Netherlands (Paris branch) |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
FRANCE
|
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 | State Street Bank and Trust Company, UK branch |
ii. LEI, if any | 213800YAZLPV26WFM449 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
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 | Mizuho Bank Limited, Tokyo |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
JAPAN
|
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 | The Hongkong and Shanghai Banking Corporation Limited, Tokyo |
ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
JAPAN
|
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 | Deutsche Bank AG, Amsterdam |
ii. LEI, if any | 7LTWFZYICNSX8D621K86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
NETHERLANDS
|
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:
6 |
i. Full name | Skandinaviska Enskilda Banken AB, Sweden (Oslo branch) |
ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
NORWAY
|
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:
7 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
2 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
11 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
14 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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:
| 700.69 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Pricing Services Record:
1 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
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:
2 |
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:
3 |
i. Full name | Markit Group Limited |
ii. LEI, if any, or provide and describe other
identifying number
| 213800BVVQOBUSJXSB53 |
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:
4 |
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 |
MASSACHUSETTS
|
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 | StatPro Canada Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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:
6 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
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:
7 |
i. Full name | Virtu Financial, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001OPW2K42CH3884 |
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
|
|
Broker Dealers Record:
1 |
a. Full name | Barings Securities LLC |
b. SEC file number | 8-47589 |
c. CRD number | 000036929 |
d. LEI, if any | N/A |
e. State, if applicable |
NORTH CAROLINA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
2 |
a. Full name | Jefferies LLC |
b. SEC file number | 8-15074 |
c. CRD number | 000002347 |
d. LEI, if any | 58PU97L1C0WSRCWADL48 |
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 |
Broker Dealers Record:
3 |
a. Full name | Jefferies Execution Services, Inc. |
b. SEC file number | 8-2671 |
c. CRD number | 000000867 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
4 |
a. Full name | Jefferies Bache Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | JYTD4EG2RV6TZLINOV87 |
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 |
Broker Dealers Record:
5 |
a. Full name | Jefferies International Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | S5THZMDUJCTQZBTRVI98 |
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 |
Broker Dealers Record:
6 |
a. Full name | Jefferies (Japan) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300U9HVFGR0500U77 |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
7 |
a. Full name | Jefferies (Switzerland) Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
SWITZERLAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
8 |
a. Full name | MML Distributors, LLC |
b. SEC file number | 8-48203 |
c. CRD number | 000038030 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
9 |
a. Full name | MML Investors Services, LLC |
b. SEC file number | 8-27250 |
c. CRD number | 000010409 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
10 |
a. Full name | MML Strategic Distributors, LLC |
b. SEC file number | 8-69322 |
c. CRD number | 000168638 |
d. LEI, if any | N/A |
e. State, if applicable |
MASSACHUSETTS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
11 |
a. Full name | Norfolk Markets, LLC |
b. SEC file number | 8-52306 |
c. CRD number | 000103797 |
d. LEI, if any | N/A |
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 |
Broker Dealers Record:
12 |
a. Full name | Jefferies Leveraged Credit Products, LLC |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | SD2WHB6KCKNBO8F61R35 |
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 |
Broker Dealers Record:
13 |
a. Full name | Jefferies Hong Kong Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300NUP2MJOCL4Q619 |
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 |
Broker Dealers Record:
14 |
a. Full name | Jefferies India Private Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300RYCNYHUWYKP329 |
e. State, if applicable | |
f. Foreign country, if applicable |
INDIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
15 |
a. Full name | Talcott Resolution Distribution Company, Inc. |
b. SEC file number | 8-48097 |
c. CRD number | 000037819 |
d. LEI, if any | 549300UHSVZ57W25BC90 |
e. State, if applicable |
CONNECTICUT
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
16 |
a. Full name | Jefferies (Australia) Pty Limited |
b. SEC file number | 8-99999 |
c. CRD number | N/A |
d. LEI, if any | 549300X7WDTDGFQ5TM92 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
17 |
a. Full name | Jefferies Finance LLC |
b. SEC file number | 8-99999 |
c. CRD number | 000162264 |
d. LEI, if any | 549300SKVB18YSSIDT75 |
e. State, if applicable |
DELAWARE
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |
Broker Dealers Record:
18 |
a. Full name | Barings Australia Pty Ltd. |
b. SEC file number | 8-99999 |
c. CRD number | 000169967 |
d. LEI, if any | 549300MKZ00NWL5DZR13 |
e. State, if applicable | |
f. Foreign country, if applicable |
AUSTRALIA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0 |