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 | Energy & Basic Materials Class C |
ii. Class identification number, if any | C000030193 |
iii. Ticker symbol, if any | SEPCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Energy & Basic Materials Class I |
ii. Class identification number, if any | C000030191 |
iii. Ticker symbol, if any | SEPIX |
Shares Outstanding Record:
3 |
i. Full name of Class | Energy & Basic Materials Class A |
ii. Class identification number, if any | C000030194 |
iii. Ticker symbol, if any | SBMBX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
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 | Moderate Balanced Allocation Portfolio Class A |
ii. Class identification number, if any | C000196877 |
iii. Ticker symbol, if any | SMPAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Moderate Balanced Allocation Portfolio Class I |
ii. Class identification number, if any | C000196879 |
iii. Ticker symbol, if any | SBMIX |
Shares Outstanding Record:
3 |
i. Full name of Class | Moderate Balanced Allocation Portfolio Class C |
ii. Class identification number, if any | C000196878 |
iii. Ticker symbol, if any | SBMCX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
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 | U.S. Government Money Market Portfolio Class A |
ii. Class identification number, if any | C000030147 |
iii. Ticker symbol, if any | SGAXX |
Shares Outstanding Record:
2 |
i. Full name of Class | U.S. Government Money Market Portfolio Class I |
ii. Class identification number, if any | C000030148 |
iii. Ticker symbol, if any | SGMXX |
Shares Outstanding Record:
3 |
i. Full name of Class | U.S. Government Money Market Portfolio Class C |
ii. Class identification number, if any | C000030150 |
iii. Ticker symbol, if any | SZCXX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEVADA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
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 | Conservative Balanced Allocation Portfolio Class A |
ii. Class identification number, if any | C000196874 |
iii. Ticker symbol, if any | SCAAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Conservative Balanced Allocation Portfolio Class C |
ii. Class identification number, if any | C000196875 |
iii. Ticker symbol, if any | SUMCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Conservative Balanced Allocation Portfolio Class I |
ii. Class identification number, if any | C000196876 |
iii. Ticker symbol, if any | LUNAX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
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 | Aggressive Balanced Allocation Portfolio Class C |
ii. Class identification number, if any | C000196872 |
iii. Ticker symbol, if any | SABCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Aggressive Balanced Allocation Portfolio Class I |
ii. Class identification number, if any | C000196873 |
iii. Ticker symbol, if any | SABIX |
Shares Outstanding Record:
3 |
i. Full name of Class | Aggressive Balanced Allocation Portfolio Class A |
ii. Class identification number, if any | C000196871 |
iii. Ticker symbol, if any | SABAX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
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 | Moderately Aggressive Balanced Allocation Portfolio Class I |
ii. Class identification number, if any | C000196882 |
iii. Ticker symbol, if any | SAMIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Moderately Aggressive Balanced Allocation Portfolio Class A |
ii. Class identification number, if any | C000196880 |
iii. Ticker symbol, if any | SAMAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Moderately Aggressive Balanced Allocation Portfolio Class C |
ii. Class identification number, if any | C000196881 |
iii. Ticker symbol, if any | SAMCX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
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 | Municipal Bond Portfolio Class C |
ii. Class identification number, if any | C000030170 |
iii. Ticker symbol, if any | SMBCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Municipal Bond Portfolio Class A |
ii. Class identification number, if any | C000030167 |
iii. Ticker symbol, if any | SMBAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Municipal Bond Portfolio Class I |
ii. Class identification number, if any | C000030168 |
iii. Ticker symbol, if any | SMBPX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | Morgan Stanley Smith Barney |
ii. SEC file number | 8-68191 |
iii. CRD number | 000149777 |
iv. LEI, if any | 7PDDXEMZ0ZV0CEDU4D16 |
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:
| 227,571.30000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Oberweis Securities |
ii. SEC file number | 8-49679 |
iii. CRD number | 000042060 |
iv. LEI, if any | 5493008EZH6DO1631P71 |
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:
| 91,496.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Crews & Associates |
ii. SEC file number | 8-24075 |
iii. CRD number | 000008052 |
iv. LEI, if any | 5493001BWSV3E82LZ446 |
v. State, if applicable |
ARKANSAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 280,003.75000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Bank of New York Mellon |
ii. SEC file number | N/A |
iii. CRD number | 000112559 |
iv. LEI, if any | HPFHU0OQ28E4N0NFVK49 |
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:
| 643,500.01000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Citigroup |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 48,322.40000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Ramirez & Co. Inc. |
ii. SEC file number | 8-19014 |
iii. CRD number | 000006963 |
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:
| 16,764.90000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | Gates Capital Management |
ii. SEC file number | N/A |
iii. CRD number | 000137842 |
iv. LEI, if any | 254900Y4M9ETSDWLVR32 |
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:
| 47,814.80000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Sumridge Partners |
ii. SEC file number | 8-68454 |
iii. CRD number | 000152437 |
iv. LEI, if any | 529900ECMK8VI6Q1FG89 |
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:
| 103,012.60000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | James Alpha Managed Risk Domestic Equity Portfolio Class I |
ii. Class identification number, if any | C000157427 |
iii. Ticker symbol, if any | JDIEX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Managed Risk Domestic Equity Portfolio Class S Shares |
ii. Class identification number, if any | C000188363 |
iii. Ticker symbol, if any | JDSEX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Managed Risk Domestic Equity Portfolio Class C |
ii. Class identification number, if any | C000157429 |
iii. Ticker symbol, if any | JDCEX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Managed Risk Domestic Equity Portfolio Class A |
ii. Class identification number, if any | C000157428 |
iii. Ticker symbol, if any | JDAEX |
Pricing Services Record:
1 |
i. Full name | Bloomberg |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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 | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | James Alpha Global Real Estate Investments Portfolio Class C Shares |
ii. Class identification number, if any | C000109475 |
iii. Ticker symbol, if any | JACRX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Global Real Estate Investments Portfolio Class I Shares |
ii. Class identification number, if any | C000102468 |
iii. Ticker symbol, if any | JARIX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Global Real Estate Investments Portfolio Class S Shares |
ii. Class identification number, if any | C000188360 |
iii. Ticker symbol, if any | JARSX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Global Real Estate Investments Portfolio Class A Shares |
ii. Class identification number, if any | C000102469 |
iii. Ticker symbol, if any | JAREX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | KEMPEN & CO |
ii. SEC file number | 8-48389 |
iii. CRD number | 000038760 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 259,549.86000000 |
Brokers Record:
2 |
i. Full name of broker | KNIGHT CAPITAL GROUP |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | OYLND20HCVC12JS4WU59 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 232,016.10000000 |
Brokers Record:
3 |
i. Full name of broker | CREDIT SUISSE |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 95,001.25000000 |
Brokers Record:
4 |
i. Full name of broker | Citigroup |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 122,338.39000000 |
Brokers Record:
5 |
i. Full name of broker | JEFFERIES GROUP |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 49,982.76000000 |
Brokers Record:
6 |
i. Full name of broker | GREEN STREET ADVISORS |
ii. SEC file number | N/A |
iii. CRD number | 000172378 |
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 | 189,394.94000000 |
Brokers Record:
7 |
i. Full name of broker | JPMORGAN CHASE |
ii. SEC file number | 8-36950 |
iii. CRD number | 000018718 |
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 | 286,805.33000000 |
Brokers Record:
8 |
i. Full name of broker | GOLDMAN SACHS |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 63,580.75000000 |
Brokers Record:
9 |
i. Full name of broker | UBS AG |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | BFM8T61CT2L1QCEMIK50 |
v. State, if applicable | |
vi. Foreign country, if applicable |
SWITZERLAND
|
vii. Gross commissions paid by the Fund for
the
reporting period | 70,218.53000000 |
Brokers Record:
10 |
i. Full name of broker | BANK OF AMERICA MERRILL LYNCH |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 71,313.92999999 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 1,658,831.87000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | JEFFERIES GROUP |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
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:
| 22,890,882.13000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | CITIGROUP |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 22,351,217.60000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | RAYMOND JAMES |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 16,436,854.15000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | GOLDMAN SACHS |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,396,015.73000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | CREDIT SUISSE FIRST BOSTON |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
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:
| 14,975,376.60000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | KEMPEN & CO |
ii. SEC file number | 8-48389 |
iii. CRD number | N/A |
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:
| 1,460,917.21000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | BANK OF AMERICA MERRILL LYNCH |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 3,470,648.50000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | JPMORGAN CHASE |
ii. SEC file number | 8-36950 |
iii. CRD number | 000018718 |
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:
| 24,662,956.63000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | ESPOSITO SECURITIES |
ii. SEC file number | 8-67596 |
iii. CRD number | 000143710 |
iv. LEI, if any | 5493005PRA6C64RLD847 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,755.30000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | WELLS FARGO BANK |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 1,444,042.00000000 |
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 | Moderately Conservative Balanced Allocation Portfolio Class A |
ii. Class identification number, if any | C000196883 |
iii. Ticker symbol, if any | SMACX |
Shares Outstanding Record:
2 |
i. Full name of Class | Moderately Conservative Balanced Allocation Portfolio Class C |
ii. Class identification number, if any | C000196884 |
iii. Ticker symbol, if any | SBCCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Moderately Conservative Balanced Allocation Portfolio Class I |
ii. Class identification number, if any | C000196885 |
iii. Ticker symbol, if any | SMICX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | James Alpha Macro Portfolio Class C Shares |
ii. Class identification number, if any | C000109474 |
iii. Ticker symbol, if any | GRRCX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Macro Portfolio Class I Shares |
ii. Class identification number, if any | C000095117 |
iii. Ticker symbol, if any | GRRIX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Macro Portfolio Class A Shares |
ii. Class identification number, if any | C000095118 |
iii. Ticker symbol, if any | GRRAX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Macro Portfolio Class S Shares |
ii. Class identification number, if any | C000188359 |
iii. Ticker symbol, if any | GRRSX |
Pricing Services Record:
1 |
i. Full name | Bloomberg |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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 | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| N/A |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
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 | Investment Quality Bond Class C |
ii. Class identification number, if any | C000030166 |
iii. Ticker symbol, if any | SQBCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Investment Quality Bond Class I |
ii. Class identification number, if any | C000030164 |
iii. Ticker symbol, if any | SIBPX |
Shares Outstanding Record:
3 |
i. Full name of Class | Investment Quality Bond Class A |
ii. Class identification number, if any | C000030163 |
iii. Ticker symbol, if any | SQBAX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | Janney Capital Management |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 459,422.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Southwestsecurities.com |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 99,900.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Robert Baird & Co. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 243,982.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | BNY Mellon |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 4,862,474.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Morgan Stanley Smith Barney |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 2,879,189.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Hilltop Securities |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 2,632,107.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | William Blair & Co. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 79,867.00000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Maxim Group |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 301,206.00000000 |
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 | Technology & Communications Class I |
ii. Class identification number, if any | C000030159 |
iii. Ticker symbol, if any | STPIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Technology & Communications Class C |
ii. Class identification number, if any | C000030161 |
iii. Ticker symbol, if any | STPCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Technology & Communications Class A |
ii. Class identification number, if any | C000030162 |
iii. Ticker symbol, if any | STPAX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
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 | Large Capitalization Value Class I |
ii. Class identification number, if any | C000030172 |
iii. Ticker symbol, if any | SLCVX |
Shares Outstanding Record:
2 |
i. Full name of Class | Large Capitalization Value Class A |
ii. Class identification number, if any | C000030171 |
iii. Ticker symbol, if any | SLVYX |
Shares Outstanding Record:
3 |
i. Full name of Class | Large Capitalization Value Class C |
ii. Class identification number, if any | C000030174 |
iii. Ticker symbol, if any | SLVCX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
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 | Health & Biotechnology Class I |
ii. Class identification number, if any | C000030151 |
iii. Ticker symbol, if any | SBHIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Health & Biotechnology Class A |
ii. Class identification number, if any | C000030154 |
iii. Ticker symbol, if any | SHPAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Health & Biotechnology Class C |
ii. Class identification number, if any | C000030153 |
iii. Ticker symbol, if any | SHPCX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
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 | James Alpha Hedged High Income Class C |
ii. Class identification number, if any | C000169728 |
iii. Ticker symbol, if any | INCCX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Hedged High Income Class I |
ii. Class identification number, if any | C000169729 |
iii. Ticker symbol, if any | INCIX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Hedged High Income Class S |
ii. Class identification number, if any | C000188366 |
iii. Ticker symbol, if any | INCSX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Hedged High Income Class A |
ii. Class identification number, if any | C000169727 |
iii. Ticker symbol, if any | INCAX |
|
Sub Advisors Record:
1 |
i. Full name | Amundi Pioneer Institutional Asset Management, Inc. |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-8255 |
iii. CRD number | N/A |
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
|
|
Sub Advisors Record:
2 |
i. Full name | Concise Capital Management, LP |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-68737 |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
3 |
i. Full name | Coherence Capital Partners, LLC. |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-76577 |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Goldman Sachs |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 6,382.00000000 |
Brokers Record:
2 |
i. Full name of broker | JPMorgan Chase |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 3,029.00000000 |
Brokers Record:
3 |
i. Full name of broker | Knight Capital Group |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 3,451.00000000 |
Brokers Record:
4 |
i. Full name of broker | Bank of America Merrill Lynch |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 20.00000000 |
Brokers Record:
5 |
i. Full name of broker | Mora WM Securities |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 1,125.00000000 |
Brokers Record:
6 |
i. Full name of broker | TD Ameritrade |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
NEBRASKA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 20.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 14,177.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | JPMorgan Chase |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 119,163,417.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Deutsche Bank |
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 |
GERMANY
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,437,241.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Wells Fargo Bank |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 7,196,131.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Barclays |
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 |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 11,257,649.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | GMP Securities |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 4,757,168.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Bank of American Merrill Lynch |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 12,747,046.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | UBS AG |
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 |
SWITZERLAND
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 6,143,892.00000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Goldman Sachs |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 9,975,463.00000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | Citigroup |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 10,630,506.00000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | BNY Mellon |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 17,969,498.00000000 |
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 | International Equity Class I |
ii. Class identification number, if any | C000030184 |
iii. Ticker symbol, if any | SIEPX |
Shares Outstanding Record:
2 |
i. Full name of Class | International Equity Class C |
ii. Class identification number, if any | C000030186 |
iii. Ticker symbol, if any | SIECX |
Shares Outstanding Record:
3 |
i. Full name of Class | International Equity Class A |
ii. Class identification number, if any | C000030183 |
iii. Ticker symbol, if any | SIEYX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Instinet, Inc. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 13,116.00000000 |
Brokers Record:
2 |
i. Full name of broker | Citigroup |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 372.00000000 |
Brokers Record:
3 |
i. Full name of broker | Btg Pactual |
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 |
BRAZIL
|
vii. Gross commissions paid by the Fund for
the
reporting period | 307.00000000 |
Brokers Record:
4 |
i. Full name of broker | Bank of America Merrill Lynch |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,794.00000000 |
Brokers Record:
5 |
i. Full name of broker | UBS AG |
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 |
SWITZERLAND
|
vii. Gross commissions paid by the Fund for
the
reporting period | 179.00000000 |
Brokers Record:
6 |
i. Full name of broker | Jefferies Group |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 151.00000000 |
Brokers Record:
7 |
i. Full name of broker | CIMB Securities |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 69.00000000 |
Brokers Record:
8 |
i. Full name of broker | Maybank |
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 |
MALAYSIA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 58.00000000 |
Brokers Record:
9 |
i. Full name of broker | Auerbach Grayson |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 103.00000000 |
Brokers Record:
10 |
i. Full name of broker | Mainfirst |
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 |
GERMANY
|
vii. Gross commissions paid by the Fund for
the
reporting period | 49.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 17,305.00000000 |
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 | James Alpha Managed Risk Emerging Markets Equity Portfolio Class S |
ii. Class identification number, if any | C000188364 |
iii. Ticker symbol, if any | JESMX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Managed Risk Emerging Markets Equity Portfolio Class I |
ii. Class identification number, if any | C000157432 |
iii. Ticker symbol, if any | JEIMX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Managed Risk Emerging Markets Equity Portfolio Class C |
ii. Class identification number, if any | C000157431 |
iii. Ticker symbol, if any | JECMX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Managed Risk Emerging Markets Equity Portfolio Class A |
ii. Class identification number, if any | C000157430 |
iii. Ticker symbol, if any | JEAMX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Pershing |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 1,947.00000000 |
Brokers Record:
2 |
i. Full name of broker | Dash Financial |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 42,579.00000000 |
Brokers Record:
3 |
i. Full name of broker | ICAP Capital Markets |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 3,000.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 47,526.00000000 |
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 | James Alpha Multi Strategy Alternative Income Portfolio Class A |
ii. Class identification number, if any | C000144545 |
iii. Ticker symbol, if any | JAIMX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Multi Strategy Alternative Income Portfolio Class C |
ii. Class identification number, if any | C000144546 |
iii. Ticker symbol, if any | JAAMX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Multi Strategy Alternative Income Portfolio Class S |
ii. Class identification number, if any | C000188361 |
iii. Ticker symbol, if any | JASMX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Multi Strategy Alternative Income Portfolio Class I |
ii. Class identification number, if any | C000144547 |
iii. Ticker symbol, if any | JACMX |
|
Sub Advisors Record:
1 |
i. Full name | Kellner Private Fund Management LP |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-78189 |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
2 |
i. Full name | Ranger Global Real Estate Advisors, LLC. |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-108081 |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
COLORADO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
3 |
i. Full name | Coherence Capital Partners, LLC. |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-76577 |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
Sub Advisors Record:
4 |
i. Full name | Bullseye Asset Management LLC. |
ii. SEC file number (
e.g., 801-
), if applicable
| 801-79982 |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
COLORADO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Is the sub-adviser an affiliated person
of the
Fund's
investment
adviser(s)?
|
Yes
No
|
viii. Was the sub-adviser hired during the
reporting
period?
|
Yes
No
|
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | William Blair & Co. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 633.00000000 |
Brokers Record:
2 |
i. Full name of broker | Aegis Capital Corp |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 3,955.00000000 |
Brokers Record:
3 |
i. Full name of broker | Fidelity Capital Markets |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 3,015.00000000 |
Brokers Record:
4 |
i. Full name of broker | Goldman Sachs |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 9,505.00000000 |
Brokers Record:
5 |
i. Full name of broker | Kempen & Co. |
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 |
NETHERLANDS
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,696.00000000 |
Brokers Record:
6 |
i. Full name of broker | Knight Capital Group |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 1,622.00000000 |
Brokers Record:
7 |
i. Full name of broker | Citigroup |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 889.00000000 |
Brokers Record:
8 |
i. Full name of broker | Cantor Fitzgerald |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 899.00000000 |
Brokers Record:
9 |
i. Full name of broker | Green Street Advisors |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 1,233.00000000 |
Brokers Record:
10 |
i. Full name of broker | JPMorgan Chase |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 2,644.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 32,219.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Jefferies Group |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 328,884.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Morgan Stanley Smith Barney |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 314,673.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | TD Ameritrade |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
NEBRASKA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 300,716.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Deutsche Bank |
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 |
GERMANY
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 407,700.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Aegis Capital Corp |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 4,263,006.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | JPMorgan Chase |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 1,745,553.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | BNY Mellon |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 829,703.00000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Credit Suisse First Boston |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 319,025.00000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | Goldman Sachs |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 634,865.00000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | Citigroup |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 613,771.00000000 |
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 | Large Capitalization Growth Class I |
ii. Class identification number, if any | C000030176 |
iii. Ticker symbol, if any | SLCGX |
Shares Outstanding Record:
2 |
i. Full name of Class | Large Capitalization Growth Class A |
ii. Class identification number, if any | C000030175 |
iii. Ticker symbol, if any | SLGYX |
Shares Outstanding Record:
3 |
i. Full name of Class | Large Capitalization Growth Class C |
ii. Class identification number, if any | C000030178 |
iii. Ticker symbol, if any | SLGCX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
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 | Mid Capitalization Class C |
ii. Class identification number, if any | C000030157 |
iii. Ticker symbol, if any | SPMCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Mid Capitalization Class A |
ii. Class identification number, if any | C000030158 |
iii. Ticker symbol, if any | SPMAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Mid Capitalization Class I |
ii. Class identification number, if any | C000030155 |
iii. Ticker symbol, if any | SMIPX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Jefferies Group |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 120.00000000 |
Brokers Record:
2 |
i. Full name of broker | Instinet, Inc. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 2,062.00000000 |
Brokers Record:
3 |
i. Full name of broker | UBS AG |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 134.00000000 |
Brokers Record:
4 |
i. Full name of broker | Liquidnet |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 3,049.00000000 |
Brokers Record:
5 |
i. Full name of broker | Oppenheimer & Co. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 668.00000000 |
Brokers Record:
6 |
i. Full name of broker | Jones Trading |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 65.00000000 |
Brokers Record:
7 |
i. Full name of broker | Investment Technology Group |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 121.00000000 |
Brokers Record:
8 |
i. Full name of broker | Virtus Investment Partners |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
CONNECTICUT
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 109.00000000 |
Brokers Record:
9 |
i. Full name of broker | Stifel Nicolaus |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | N/A |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 91.00000000 |
Brokers Record:
10 |
i. Full name of broker | JPMorgan Chase |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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 | 138.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 6,745.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Keefe, Bruyette & Woods |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 6,339.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Liquidnet |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 23,513.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Instinet, Inc. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
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:
| 9,049.00000000 |
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 | James Alpha Momentum Portfolio Class C |
ii. Class identification number, if any | C000199404 |
iii. Ticker symbol, if any | MOMCX |
Shares Outstanding Record:
2 |
i. Full name of Class | James Alpha Momentum Portfolio Class I |
ii. Class identification number, if any | C000199405 |
iii. Ticker symbol, if any | MOMOX |
Shares Outstanding Record:
3 |
i. Full name of Class | James Alpha Managed Risk Emerging Markets Equity Portfolio Class S |
ii. Class identification number, if any | C000199406 |
iii. Ticker symbol, if any | MOMSX |
Shares Outstanding Record:
4 |
i. Full name of Class | James Alpha Momentum Portfolio Class A |
ii. Class identification number, if any | C000199403 |
iii. Ticker symbol, if any | MOMAX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
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 | Small Capitalization Class A |
ii. Class identification number, if any | C000030179 |
iii. Ticker symbol, if any | SSCYX |
Shares Outstanding Record:
2 |
i. Full name of Class | Small Capitalization Class I |
ii. Class identification number, if any | C000030180 |
iii. Ticker symbol, if any | SSCPX |
Shares Outstanding Record:
3 |
i. Full name of Class | Small Capitalization Class C |
ii. Class identification number, if any | C000030182 |
iii. Ticker symbol, if any | SSCCX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
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 | Financial Services Class C |
ii. Class identification number, if any | C000030189 |
iii. Ticker symbol, if any | SFPCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Financial Services Class I |
ii. Class identification number, if any | C000030187 |
iii. Ticker symbol, if any | SFPIX |
Shares Outstanding Record:
3 |
i. Full name of Class | Financial Services Class A |
ii. Class identification number, if any | C000030190 |
iii. Ticker symbol, if any | SFPAX |
|
Shareholder servicing agents Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or provide and describe
other
identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | Gemini Fund Services, LLC |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | N/A |
iii. State, if applicable |
NEBRASKA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|