a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
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 | Pear Tree Quality Fund - Ordinary Shares |
ii. Class identification number, if any | C000025969 |
iii. Ticker symbol, if any | USBOX |
Shares Outstanding Record:
2 |
i. Full name of Class | Pear Tree Quality Fund - Institutional Shares |
ii. Class identification number, if any | C000025970 |
iii. Ticker symbol, if any | QGIAX |
Pricing Services Record:
1 |
i. Full name | State Street Bank & Trust Company |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Pear Tree Institutional Services |
ii. LEI, if any, or provide and describe
other
identifying number | 84-01801 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | BTIG, LLC |
ii. SEC file number | 8-65473 |
iii. CRD number | 000122225 |
iv. LEI, if any | N/A |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 35,965 |
Brokers Record:
2 |
i. Full name of broker | Instinet |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 21,656 |
Brokers Record:
3 |
i. Full name of broker | Goldman Sachs & Co., LLC |
ii. SEC file number | 8-00129 |
iii. CRD number | 000000361 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 681 |
Brokers Record:
4 |
i. Full name of broker | MORGAN STANLEY SMITH BARNEY VENTURE SERVICES LLC |
ii. SEC file number | N/A |
iii. CRD number | 000111386 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 44 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 58,346 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | BTIG, LLC |
ii. SEC file number | 8-65473 |
iii. CRD number | 000122225 |
iv. LEI, if any | N/A |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 79,696,779 |
Principal Transactions Record:
2 |
i. Full name of dealer | Instinet |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 49,146,093 |
Principal Transactions Record:
3 |
i. Full name of dealer | Goldman Sachs & Co., LLC |
ii. SEC file number | 8-00129 |
iii. CRD number | 000000361 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,443,622 |
Principal Transactions Record:
4 |
i. Full name of dealer | MORGAN STANLEY SMITH BARNEY VENTURE SERVICES LLC |
ii. SEC file number | N/A |
iii. CRD number | 000111386 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 85,557 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
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 | Pear Tree Polaris Small Cap Fund - Ordinary Shares |
ii. Class identification number, if any | C000025972 |
iii. Ticker symbol, if any | USBNX |
Shares Outstanding Record:
2 |
i. Full name of Class | Pear Tree Polaris Small Cap Fund - Institutional Shares |
ii. Class identification number, if any | C000025973 |
iii. Ticker symbol, if any | QBNAX |
Pricing Services Record:
1 |
i. Full name | State Street Bank & Trust Company |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Pear Tree Institutional Services |
ii. LEI, if any, or provide and describe
other
identifying number | 84-01801 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Piper Jaffray Investment Management |
ii. SEC file number | 8-68637 |
iii. CRD number | 000145876 |
iv. LEI, if any | N/A |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 13,929 |
Brokers Record:
2 |
i. Full name of broker | Oppenheimer & Co. Inc. |
ii. SEC file number | 8-4077 |
iii. CRD number | 000000249 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 12,194 |
Brokers Record:
3 |
i. Full name of broker | Keefe Bruyette & Woods, Inc. |
ii. SEC file number | 8-10888 |
iii. CRD number | 000000481 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11,286 |
Brokers Record:
4 |
i. Full name of broker | Robert W. Baird Co. Inc. |
ii. SEC file number | 8-497 |
iii. CRD number | 000008158 |
iv. LEI, if any | N/A |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,711 |
Brokers Record:
5 |
i. Full name of broker | Sandler Oneill and Partners L.P. |
ii. SEC file number | 8-40214 |
iii. CRD number | 000023328 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6,252 |
Brokers Record:
6 |
i. Full name of broker | Pavilion Global Markets Inc. |
ii. SEC file number | 8-52850 |
iii. CRD number | 000104387 |
iv. LEI, if any | N/A |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,244 |
Brokers Record:
7 |
i. Full name of broker | Winslow Evans & Crocker Inc. |
ii. SEC file number | 8-44347 |
iii. CRD number | 000029686 |
iv. LEI, if any | N/A |
v. State, if applicable |
MASSACHUSETTS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,037 |
Brokers Record:
8 |
i. Full name of broker | Raymond James and Associates Inc. |
ii. SEC file number | 8-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | N/A |
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 | 3,939 |
Brokers Record:
9 |
i. Full name of broker | Cowen & Company LLC |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,441 |
Brokers Record:
10 |
i. Full name of broker | RBC Capital |
ii. SEC file number | 8-845411 |
iii. CRD number | 000031194 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,333 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 74,366 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Piper Jaffray Investment Management |
ii. SEC file number | 8-68637 |
iii. CRD number | 000145876 |
iv. LEI, if any | N/A |
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:
| 12,105,310 |
Principal Transactions Record:
2 |
i. Full name of dealer | Keefe Bruyette & Woods Inc. |
ii. SEC file number | 8-10888 |
iii. CRD number | 000000481 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 11,673,416 |
Principal Transactions Record:
3 |
i. Full name of dealer | Oppenheimer & Co. Inc. |
ii. SEC file number | 8-4077 |
iii. CRD number | 000000249 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 9,128,813 |
Principal Transactions Record:
4 |
i. Full name of dealer | Winslow Evans & Crocker Inc. |
ii. SEC file number | 8-44347 |
iii. CRD number | 000029686 |
iv. LEI, if any | N/A |
v. State, if applicable |
MASSACHUSETTS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 9,099,965 |
Principal Transactions Record:
5 |
i. Full name of dealer | Cowen & Company LLC |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,612,280 |
Principal Transactions Record:
6 |
i. Full name of dealer | Pavilion Global Markets Inc. |
ii. SEC file number | 8-52850 |
iii. CRD number | 000104387 |
iv. LEI, if any | N/A |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,534,673 |
Principal Transactions Record:
7 |
i. Full name of dealer | Sandler Oneill & Partners L.P. |
ii. SEC file number | 8-40214 |
iii. CRD number | 000023328 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,124,064 |
Principal Transactions Record:
8 |
i. Full name of dealer | Raymond James and Associated Inc. |
ii. SEC file number | 8-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | N/A |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,658,620 |
Principal Transactions Record:
9 |
i. Full name of dealer | Stifel Nicolaus & Co. Inc. |
ii. SEC file number | 8-1447 |
iii. CRD number | 000000793 |
iv. LEI, if any | N/A |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,405,003 |
Principal Transactions Record:
10 |
i. Full name of dealer | Jefferies LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,276,334 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
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 | Pear Tree Axiom Emerging Markets World Equity Fund - Ordinary |
ii. Class identification number, if any | C000025963 |
iii. Ticker symbol, if any | QFFOX |
Shares Outstanding Record:
2 |
i. Full name of Class | Pear Tree Axiom Emerging Markets World Equity Fund - Institutional |
ii. Class identification number, if any | C000025964 |
iii. Ticker symbol, if any | QEMAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Pear Tree Axiom Emerging Markets World Equity Fund - R6 |
ii. Class identification number, if any | C000177796 |
iii. Ticker symbol, if any | QFFRX |
Pricing Services Record:
1 |
i. Full name | State Street Bank & Trust Company |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Pear Tree Institutional Services |
ii. LEI, if any, or provide and describe
other
identifying number | 84-01801 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | HSBC Securities Inc. |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 47,876 |
Brokers Record:
2 |
i. Full name of broker | UBS Securities |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 19,703 |
Brokers Record:
3 |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,003 |
Brokers Record:
4 |
i. Full name of broker | Merrill Lynch |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,641 |
Brokers Record:
5 |
i. Full name of broker | Goldman Sachs & Co., LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,264 |
Brokers Record:
6 |
i. Full name of broker | KBFG Securities America |
ii. SEC file number | 8-48651 |
iii. CRD number | 000039356 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 7,204 |
Brokers Record:
7 |
i. Full name of broker | Bradesco S.A. |
ii. SEC file number | 8-52806 |
iii. CRD number | 000104347 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,267 |
Brokers Record:
8 |
i. Full name of broker | ITAU International Securities |
ii. SEC file number | 8-67674 |
iii. CRD number | 000144769 |
iv. LEI, if any | N/A |
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 | 2,980 |
Brokers Record:
9 |
i. Full name of broker | Sanford C. Bernstein |
ii. SEC file number | 8-52942 |
iii. CRD number | 000104474 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,959 |
Brokers Record:
10 |
i. Full name of broker | Jefferies LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,888 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 112,786 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | HSBC Securities |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 104,225,787 |
Principal Transactions Record:
2 |
i. Full name of dealer | UBS Securities |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 23,561,032 |
Principal Transactions Record:
3 |
i. Full name of dealer | Bradesco S.A. |
ii. SEC file number | 8-52806 |
iii. CRD number | 000104347 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 8,996,702 |
Principal Transactions Record:
4 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 6,538,812 |
Principal Transactions Record:
5 |
i. Full name of dealer | Merrill Lynch |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,285,497 |
Principal Transactions Record:
6 |
i. Full name of dealer | Goldman Sachs and Co. |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,712,360 |
Principal Transactions Record:
7 |
i. Full name of dealer | KBFG Securities America |
ii. SEC file number | 8-48651 |
iii. CRD number | 000039356 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,651,479 |
Principal Transactions Record:
8 |
i. Full name of dealer | Jefferies LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,318,120 |
Principal Transactions Record:
9 |
i. Full name of dealer | Credit Suisse Secruities |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,077,163 |
Principal Transactions Record:
10 |
i. Full name of dealer | ITAU International Securities |
ii. SEC file number | 8-67674 |
iii. CRD number | 000144769 |
iv. LEI, if any | N/A |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,030,874 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
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 | Pear Tree Polaris Foreign Value Fund - Ordinary |
ii. Class identification number, if any | C000025966 |
iii. Ticker symbol, if any | QFVOX |
Shares Outstanding Record:
2 |
i. Full name of Class | Pear Tree Polaris Foreign Value Fund - Institutional |
ii. Class identification number, if any | C000025967 |
iii. Ticker symbol, if any | QFVIX |
Shares Outstanding Record:
3 |
i. Full name of Class | Pear Tree Polaris Foreign Value Fund - R6 |
ii. Class identification number, if any | C000177797 |
iii. Ticker symbol, if any | QFVRX |
Pricing Services Record:
1 |
i. Full name | State Street Bank & Trust Company |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Pear Tree Institutional Services |
ii. LEI, if any, or provide and describe
other
identifying number | 84-01801 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Jefferies LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 180,026 |
Brokers Record:
2 |
i. Full name of broker | JP Morgan Securities Limited |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 155,112 |
Brokers Record:
3 |
i. Full name of broker | Robert W. Baird Co. Incorporated |
ii. SEC file number | 8-497 |
iii. CRD number | 000008158 |
iv. LEI, if any | N/A |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 131,245 |
Brokers Record:
4 |
i. Full name of broker | Kepler Equities |
ii. SEC file number | 8-67194 |
iii. CRD number | 000139148 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 87,884 |
Brokers Record:
5 |
i. Full name of broker | Cowen & Company LLC |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 77,272 |
Brokers Record:
6 |
i. Full name of broker | Citigroup Global Markets |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 74,194 |
Brokers Record:
7 |
i. Full name of broker | Pershing LLC |
ii. SEC file number | 8-17574 |
iii. CRD number | 000007560 |
iv. LEI, if any | N/A |
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 | 63,402 |
Brokers Record:
8 |
i. Full name of broker | Macquarie Bank Limited |
ii. SEC file number | 8-47198 |
iii. CRD number | 000036368 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 52,656 |
Brokers Record:
9 |
i. Full name of broker | HSBC Securities |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 48,215 |
Brokers Record:
10 |
i. Full name of broker | HANDELSBANKEN MARKETS SECURITIES, INC. |
ii. SEC file number | 8-48297 |
iii. CRD number | 000038485 |
iv. LEI, if any | N/A |
v. State, if applicable |
DISTRICT OF COLUMBIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 47,449 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 917,456 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Jefferies LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 245,683,946 |
Principal Transactions Record:
2 |
i. Full name of dealer | JP Morgan Securities Limited |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 211,209,217 |
Principal Transactions Record:
3 |
i. Full name of dealer | Robert W Baird and Company |
ii. SEC file number | 8-497 |
iii. CRD number | 000008158 |
iv. LEI, if any | N/A |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 141,393,072 |
Principal Transactions Record:
4 |
i. Full name of dealer | Cowen & Company LLC |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 122,038,779 |
Principal Transactions Record:
5 |
i. Full name of dealer | Kepler Equities |
ii. SEC file number | 8-67194 |
iii. CRD number | 000139148 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 94,272,822 |
Principal Transactions Record:
6 |
i. Full name of dealer | Citigroup Global Markets |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 83,396,921 |
Principal Transactions Record:
7 |
i. Full name of dealer | Pershing LLC |
ii. SEC file number | 8-17574 |
iii. CRD number | 000007560 |
iv. LEI, if any | N/A |
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:
| 82,704,935 |
Principal Transactions Record:
8 |
i. Full name of dealer | Virtu ITG LLC |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 82,207,708 |
Principal Transactions Record:
9 |
i. Full name of dealer | Macquarie Bank Limited |
ii. SEC file number | 8-47198 |
iii. CRD number | 000036368 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 69,906,586 |
Principal Transactions Record:
10 |
i. Full name of dealer | Merrill Lynch, Pierce, Fenner and Smith |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 65,903,654 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
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 | Pear Tree Polaris Foreign Value Small Cap Fund - Ordinary |
ii. Class identification number, if any | C000063163 |
iii. Ticker symbol, if any | QUSOX |
Shares Outstanding Record:
2 |
i. Full name of Class | Pear Tree Polaris Foreign Value Small Cap Fund - Institutional |
ii. Class identification number, if any | C000063164 |
iii. Ticker symbol, if any | QUSIX |
Shares Outstanding Record:
3 |
i. Full name of Class | Pear Tree Polaris Foreign Value Small Cap Fund - R6 |
ii. Class identification number, if any | C000177800 |
iii. Ticker symbol, if any | QUSRX |
Pricing Services Record:
1 |
i. Full name | State Street Bank & Trust Company |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Pear Tree Institutional Services |
ii. LEI, if any, or provide and describe
other
identifying number | 84-01801 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Yuanta Securities Co., Ltd. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 213800DCGUIXGBT4KU10 |
v. State, if applicable | |
vi. Foreign country, if applicable |
TAIWAN
|
vii. Gross commissions paid by the Fund for
the
reporting period | 102,067 |
Brokers Record:
2 |
i. Full name of broker | Investec securities LLC |
ii. SEC file number | 8-67162 |
iii. CRD number | 000138421 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 88,352 |
Brokers Record:
3 |
i. Full name of broker | JP Morgan Securities Limited |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 58,230 |
Brokers Record:
4 |
i. Full name of broker | Numis Securities Inc. |
ii. SEC file number | 8-66139 |
iii. CRD number | 000128471 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 50,748 |
Brokers Record:
5 |
i. Full name of broker | Daiwa Securities |
ii. SEC file number | 8-12242 |
iii. CRD number | 000001576 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 52,828 |
Brokers Record:
6 |
i. Full name of broker | Oddo BFH New York Corporation |
ii. SEC file number | 8-50975 |
iii. CRD number | 000045104 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 51,748 |
Brokers Record:
7 |
i. Full name of broker | Instinet LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 47,240 |
Brokers Record:
8 |
i. Full name of broker | Merrill Lynch, Pierce, Fenner and Smith |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 23,313 |
Brokers Record:
9 |
i. Full name of broker | Korea Investment and Securities Co. Ltd. |
ii. SEC file number | 8-52615 |
iii. CRD number | 000104158 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 30,521 |
Brokers Record:
10 |
i. Full name of broker | MAYBANK KIM ENG SECURITIES USA INC. |
ii. SEC file number | 8-43264 |
iii. CRD number | 000027861 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 22,370 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 527,417 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Yuanta Securities Company Limited |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 213800DCGUIXGBT4KU10 |
v. State, if applicable | |
vi. Foreign country, if applicable |
TAIWAN
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 101,781,780 |
Principal Transactions Record:
2 |
i. Full name of dealer | Investec Securities Ltd. |
ii. SEC file number | 8-67162 |
iii. CRD number | 000138421 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 88,302,716 |
Principal Transactions Record:
3 |
i. Full name of dealer | JP Morgan Securities Limited |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 81,457,431 |
Principal Transactions Record:
4 |
i. Full name of dealer | Numis Securities Inc. |
ii. SEC file number | 8-66139 |
iii. CRD number | 000128471 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 63,502,146 |
Principal Transactions Record:
5 |
i. Full name of dealer | Daiwa Securities |
ii. SEC file number | 8-12242 |
iii. CRD number | 000001576 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 52,782,414 |
Principal Transactions Record:
6 |
i. Full name of dealer | Oddo BFH New York Corporation |
ii. SEC file number | 8-50975 |
iii. CRD number | 000045104 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 51,763,354 |
Principal Transactions Record:
7 |
i. Full name of dealer | Instinet LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 47,204,026 |
Principal Transactions Record:
8 |
i. Full name of dealer | Merrill Lynch, Pierce, Fenner and Smith |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 33,276,606 |
Principal Transactions Record:
9 |
i. Full name of dealer | Korea Investment and Securities Co. Ltd. |
ii. SEC file number | 8-52615 |
iii. CRD number | 000104158 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 30,504,849 |
Principal Transactions Record:
10 |
i. Full name of dealer | Peel Hunt LLP |
ii. SEC file number | 8-68845 |
iii. CRD number | 000157321 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 22,476,150 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 3 |
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 | Pear Tree Polaris International Opportunities Fund - Ordinary |
ii. Class identification number, if any | C000209789 |
iii. Ticker symbol, if any | QISOX |
Shares Outstanding Record:
2 |
i. Full name of Class | Pear Tree Polaris International Opportunities Fund - Institutional |
ii. Class identification number, if any | C000209788 |
iii. Ticker symbol, if any | QISIX |
Shares Outstanding Record:
3 |
i. Full name of Class | Pear Tree Polaris International Opportunities Fund - R6 |
ii. Class identification number, if any | C000209787 |
iii. Ticker symbol, if any | QISRX |
|
Sub Advisors Record:
1 |
i. Full name | Polaris Capital Management, LLC |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-43216 |
iii. CRD number | 000106278 |
iv. LEI, if any | N/A |
v. State, if applicable |
MASSACHUSETTS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
1. If the sub-adviser was hired during the
period,
indicate the sub-adviser's start date:
| 2019-11-15 |
Pricing Services Record:
1 |
i. Full name | State Street Bank & Trust Company |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Pear Tree Institutional Services |
ii. LEI, if any, or provide and describe
other
identifying number | 84-01801 |
Description of other identifying number | |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Merrill Lynch, Pierce, Fenner and Smith |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 23,614 |
Brokers Record:
2 |
i. Full name of broker | Yuanta Securities Company Limited |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 213800DCGUIXGBT4KU10 |
v. State, if applicable | |
vi. Foreign country, if applicable |
TAIWAN
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,609 |
Brokers Record:
3 |
i. Full name of broker | HSBC Securities |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,175 |
Brokers Record:
4 |
i. Full name of broker | EFG Hermes Kenya Limited |
ii. SEC file number | 8-69816 |
iii. CRD number | 000284894 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 538 |
Brokers Record:
5 |
i. Full name of broker | TAIWANIA CAPITAL MANAGEMENT USA, INC. |
ii. SEC file number | N/A |
iii. CRD number | 000293352 |
iv. LEI, if any | N/A |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 407 |
Brokers Record:
6 |
i. Full name of broker | RBC Dominion Securities Inc. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Gross commissions paid by the Fund for
the
reporting period | 371 |
Brokers Record:
7 |
i. Full name of broker | BNP Paribas Securities |
ii. SEC file number | 8-32682 |
iii. CRD number | 000015794 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 347 |
Brokers Record:
8 |
i. Full name of broker | Mediobanca Securities USA LLC |
ii. SEC file number | 8-67538 |
iii. CRD number | 000143189 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 346 |
Brokers Record:
9 |
i. Full name of broker | Cowen & Company LLC |
ii. SEC file number | 8-68531 |
iii. CRD number | 000153397 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 340 |
Brokers Record:
10 |
i. Full name of broker | Carnegie Inc. |
ii. SEC file number | 8-45389 |
iii. CRD number | 000031184 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 327 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 31,073 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Merrill Lynch, Pierce, Fenner and Smith |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 29,403,377 |
Principal Transactions Record:
2 |
i. Full name of dealer | Yuanta Securities Company Limited |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 213800DCGUIXGBT4KU10 |
v. State, if applicable | |
vi. Foreign country, if applicable |
TAIWAN
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,609,909 |
Principal Transactions Record:
3 |
i. Full name of dealer | HSBC Securities |
ii. SEC file number | 8-41562 |
iii. CRD number | 000019585 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,611,846 |
Principal Transactions Record:
4 |
i. Full name of dealer | Mediobanca Securities USA LLC |
ii. SEC file number | 8-67538 |
iii. CRD number | 000143189 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 345,338 |
Principal Transactions Record:
5 |
i. Full name of dealer | Cowen & Company LLC |
ii. SEC file number | 8-68531 |
iii. CRD number | 000153397 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 337,060 |
Principal Transactions Record:
6 |
i. Full name of dealer | JP Morgan |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 321,802 |
Principal Transactions Record:
7 |
i. Full name of dealer | Carnegie Inc. |
ii. SEC file number | 8-45389 |
iii. CRD number | 000031184 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 308,336 |
Principal Transactions Record:
8 |
i. Full name of dealer | Bradesco S.A CTVM |
ii. SEC file number | 8-52806 |
iii. CRD number | 000104347 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 264,634 |
Principal Transactions Record:
9 |
i. Full name of dealer | BNP Paribas Securities |
ii. SEC file number | 8-32682 |
iii. CRD number | 000015794 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 231,632 |
Principal Transactions Record:
10 |
i. Full name of dealer | HANDELSBANKEN MARKETS SECURITIES, INC. |
ii. SEC file number | 8-48297 |
iii. CRD number | 000038485 |
iv. LEI, if any | N/A |
v. State, if applicable |
DISTRICT OF COLUMBIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 214,352 |