|
Location books Record:
1 |
| a. Name of person (e.g., a custodian of records) | ALPS Distributors, Inc. |
| b. Street 1 | 1290 Broadway |
| Street 2 | Suite 1000 |
| c. City | Denver |
| d. State, if applicable |
COLORADO
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 80203 |
| g. Telephone number (including country code if foreign) | 800-432-7856 |
| h. Briefly describe the books and records kept at this location:
| Accounts and records as required by the SEC. |
|
Location books Record:
2 |
| a. Name of person (e.g., a custodian of records) | ALPS Fund Services, Inc. |
| b. Street 1 | 1290 Broadway, |
| Street 2 | Suite 1000 |
| c. City | Denver |
| d. State, if applicable |
COLORADO
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 80203 |
| g. Telephone number (including country code if foreign) | 800-432-7856 |
| h. Briefly describe the books and records kept at this location:
| Accounts and records as required by the SEC. |
|
Location books Record:
3 |
| a. Name of person (e.g., a custodian of records) | Brown Brothers Harriman & Co. |
| b. Street 1 | 50 Post Office Square |
| Street 2 | |
| c. City | Boston |
| d. State, if applicable |
MASSACHUSETTS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 02110 |
| g. Telephone number (including country code if foreign) | 617-772-1818 |
| h. Briefly describe the books and records kept at this location:
| Securities including journals, ledgers, canceled checks and bank records, and all records relating to activites as Custodian. |
|
Location books Record:
4 |
| a. Name of person (e.g., a custodian of records) | Heartland Group Inc. |
| b. Street 1 | 790 N. Water Street |
| Street 2 | Suite 1200 |
| c. City | Milwaukee |
| d. State, if applicable |
WISCONSIN
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 53202-5615 |
| g. Telephone number (including country code if foreign) | 414-347-7777 |
| h. Briefly describe the books and records kept at this location:
| Accounts and records as required by the SEC. |
|
Director Record:
1 |
| a. Full Name | Dale J. Kent |
| b. CRD number, if any | N/A |
|
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
| d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
|
File Number Record:
1 |
| File Number Record: | N/A |
|
Director Record:
2 |
| a. Full Name | Dianna Gonzales-Burdin |
| b. CRD number, if any | N/A |
|
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
| d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
|
File Number Record:
1 |
| File Number Record: | 811-21335 |
|
Director Record:
3 |
| a. Full Name | Dina A. Tantra |
| b. CRD number, if any | N/A |
|
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
| d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
|
File Number Record:
1 |
| File Number Record: | 811-23600 |
|
File Number Record:
2 |
| File Number Record: | 811-06526 |
|
Director Record:
4 |
| a. Full Name | Ward D. Armstrong |
| b. CRD number, if any | N/A |
|
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
| d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
|
File Number Record:
1 |
| File Number Record: | 811-22747 |
|
Director Record:
5 |
| a. Full Name | William R. Nasgovitz |
| b. CRD number, if any | 004826680 |
|
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
| d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
|
File Number Record:
1 |
| File Number Record: | N/A |