a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | The Merger Fund - Investor Class Shares |
ii. Class identification number, if any | C000014124 |
iii. Ticker symbol, if any | MERFX |
Shares Outstanding Record:
2 |
i. Full name of Class | The Merger Fund - Institutional Class Shares |
ii. Class identification number, if any | C000129310 |
iii. Ticker symbol, if any | MERIX |
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
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 | Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
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:
3 |
i. Full name | Westchester Capital Management, LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 549300JVYLER1U5NDK13 |
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
|
|
Brokers Record:
1 |
i. Full name of broker | HILLTOP SECURITIES INC. |
ii. SEC file number | 8-45123 |
iii. CRD number | 000006220 |
iv. LEI, if any | 549300IXU82PMU6XZT45 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 906,106.000000000000 |
Brokers Record:
2 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 136,568.000000000000 |
Brokers Record:
3 |
i. Full name of broker | COWEN AND COMPANY, LLC |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 501,228.000000000000 |
Brokers Record:
4 |
i. Full name of broker | SUSQUEHANNA FINANCIAL GROUP, LLLP |
ii. SEC file number | 8-44325 |
iii. CRD number | 000035865 |
iv. LEI, if any | 549300E8QX0ZMRDC2M81 |
v. State, if applicable |
PENNSYLVANIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 306,965.000000000000 |
Brokers Record:
5 |
i. Full name of broker | RAYMOND JAMES & ASSOCIATES, INC. |
ii. SEC file number | 8-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 297,161.000000000000 |
Brokers Record:
6 |
i. Full name of broker | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-12900 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 209,134.000000000000 |
Brokers Record:
7 |
i. Full name of broker | BARCLAY INVESTMENTS LLC |
ii. SEC file number | 8-16935 |
iii. CRD number | 000006159 |
iv. LEI, if any | 254900YRC13GGERHVR90 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 191,960.000000000000 |
Brokers Record:
8 |
i. Full name of broker | OLIVETREE FINANCIAL, LLC |
ii. SEC file number | 8-68603 |
iii. CRD number | 000154026 |
iv. LEI, if any | 254900BE8XSWW3AZJE28 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 181,980.000000000000 |
Brokers Record:
9 |
i. Full name of broker | UNITED FIRST PARTNERS LLC |
ii. SEC file number | 8-68718 |
iii. CRD number | 000155456 |
iv. LEI, if any | 254900WD45SOCZ7IKM52 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 168,075.000000000000 |
Brokers Record:
10 |
i. Full name of broker | UBS FINANCIAL SERVICES INC. |
ii. SEC file number | 8-16267 |
iii. CRD number | 000008174 |
iv. LEI, if any | ETYRV6ORNFJB5NONI676 |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 142,193.000000000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 4,582,562.000000000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | U.S. Bancorp Investments, Inc. |
ii. SEC file number | 8-35359 |
iii. CRD number | 000017868 |
iv. LEI, if any | H85Z6XZP8B10ES0M2G89 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 9,037,909,147.000000000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | CITIGROUP GLOBAL MARKETS INC. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 106,073,140.000000000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-12900 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,826,064,980.230000000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | MERRILL LYNCH PROFESSIONAL CLEARING CORP. |
ii. SEC file number | 8-33359 |
iii. CRD number | 000016139 |
iv. LEI, if any | 549300PMHS66E71I2D34 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,209,082,514.320000000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 556,104,774.000000000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | UBS FINANCIAL SERVICES INC. |
ii. SEC file number | 8-16267 |
iii. CRD number | 000008174 |
iv. LEI, if any | ETYRV6ORNFJB5NONI676 |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 215,507,249.000000000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | OPPENHEIMER & CO. INC. |
ii. SEC file number | 8-4077 |
iii. CRD number | 000000249 |
iv. LEI, if any | 254900VH02JQR2L8XD64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 142,972,485.000000000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | UNITED FIRST PARTNERS LLC |
ii. SEC file number | 8-68718 |
iii. CRD number | 000155456 |
iv. LEI, if any | 254900WD45SOCZ7IKM52 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 140,914,275.000000000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | BERENBERG CAPITAL MARKETS LLC |
ii. SEC file number | 8-68821 |
iii. CRD number | 000156757 |
iv. LEI, if any | 5493007EG0CYRKKG9L11 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 110,427,454.000000000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | BARCLAY INVESTMENTS LLC |
ii. SEC file number | 8-16935 |
iii. CRD number | 000006159 |
iv. LEI, if any | 254900YRC13GGERHVR90 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 108,724,980.000000000000 |