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 | T. Rowe Price U.S. Equity Research Fund - I Class |
ii. Class identification number, if any | C000177207 |
iii. Ticker symbol, if any | PCCOX |
Shares Outstanding Record:
2 |
i. Full name of Class | T. Rowe Price U.S. Equity Research Fund - R Class |
ii. Class identification number, if any | C000005431 |
iii. Ticker symbol, if any | RRCOX |
Shares Outstanding Record:
3 |
i. Full name of Class | T. Rowe Price U.S. Equity Research Fund |
ii. Class identification number, if any | C000005429 |
iii. Ticker symbol, if any | PRCOX |
Shares Outstanding Record:
4 |
i. Full name of Class | T. Rowe Price U.S. Equity Research Fund - Advisor Class |
ii. Class identification number, if any | C000005430 |
iii. Ticker symbol, if any | PACOX |
Pricing Services Record:
1 |
i. Full name | Refinitiv US Holdings Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300NF240HXJO7N016 |
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 |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Bloomberg Finance L.P. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493001KJTIIGC8Y1R12 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Markit North America, Inc. |
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
|
|
Custodians Record:
1 |
i. Full name | UBS Switzerland AG |
ii. LEI, if any | 549300WOIFUSNYH0FL22 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
SWITZERLAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
2 |
i. Full name | EUROCLEAR BANK SA/NV |
ii. LEI, if any | 549300OZ46BRLZ8Y6F65 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
BELGIUM
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
3 |
i. Full name | JPMorgan Chase Bank, N.A. |
ii. LEI, if any | 7H6GLXDRUGQFU57RNE97 |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
4 |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any | 571474TGEMMWANRLN572 |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
5 |
i. Full name | JPMorgan Chase Bank, N.A. - Sydney Branch |
ii. LEI, if any | 7H6GLXDRUGQFU57RNE97 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
AUSTRALIA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
6 |
i. Full name | Nordea Bank Abp - Norway Branch |
ii. LEI, if any | 529900ODI3047E2LIV03 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
NORWAY
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
7 |
i. Full name | BNP Paribas Securities Services S.C.A. - Milan Branch |
ii. LEI, if any | 549300WCGB70D06XZS54 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
ITALY
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
8 |
i. Full name | J.P. Morgan Bank Luxembourg S.A. |
ii. LEI, if any | 7W1GMC6J4KGLBBUSYP52 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
LUXEMBOURG
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
9 |
i. Full name | Royal Bank of Canada |
ii. LEI, if any | ES7IP3U3RHIGC71XBU11 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
10 |
i. Full name | Nordea Bank Abp - Finland Branch |
ii. LEI, if any | 529900ODI3047E2LIV03 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
FINLAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
11 |
i. Full name | Mizuho Bank, Ltd. |
ii. LEI, if any | RB0PEZSDGCO3JS6CEU02 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
JAPAN
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
12 |
i. Full name | JPMorgan Chase Bank, London |
ii. LEI, if any | 7H6GLXDRUGQFU57RNE97 |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
No
|
vi. Is the custodian a sub-custodian?
|
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
|
Brokers Record:
1 |
i. Full name of broker | JP MORGAN CHASE & CO. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
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 | 48,740.00000000 |
Brokers Record:
2 |
i. Full name of broker | Bank of America Corporation |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 9DJT3UXIJIZJI4WXO774 |
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 | 59,325.00000000 |
Brokers Record:
3 |
i. Full name of broker | Citigroup, Inc. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 6SHGI4ZSSLCXXQSBB395 |
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 | 46,108.00000000 |
Brokers Record:
4 |
i. Full name of broker | Virtu Financial Capital Markets LLC |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 5493001OPW2K42CH3884 |
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 | 37,788.00000000 |
Brokers Record:
5 |
i. Full name of broker | Royal Bank of Canada |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | ES7IP3U3RHIGC71XBU11 |
v. State, if applicable | |
vi. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
vii. Gross commissions paid by the Fund for
the
reporting period | 46,484.00000000 |
Brokers Record:
6 |
i. Full name of broker | UBS Group AG |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300SZJ9VS8SGXAN81 |
v. State, if applicable | |
vi. Foreign country, if applicable |
SWITZERLAND
|
vii. Gross commissions paid by the Fund for
the
reporting period | 62,849.00000000 |
Brokers Record:
7 |
i. Full name of broker | The Goldman Sachs Group, Inc. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 784F5XWPLTWKTBV3E584 |
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 | 45,980.00000000 |
Brokers Record:
8 |
i. Full name of broker | Jefferies Financial Group Inc. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300HOF34RGOJ5YL07 |
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 | 68,321.00000000 |
Brokers Record:
9 |
i. Full name of broker | Morgan Stanley |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | IGJSJL3JD5P30I6NJZ34 |
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 | 106,303.00000000 |
Brokers Record:
10 |
i. Full name of broker | BARCLAYS PLC |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 213800LBQA1Y9L22JB70 |
v. State, if applicable | |
vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
vii. Gross commissions paid by the Fund for
the
reporting period | 30,895.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 763,394.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Citigroup Inc. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 6SHGI4ZSSLCXXQSBB395 |
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:
| 2,247,231.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | KKR CAPITAL MARKETS LIMITED |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 213800U4XPKX88KLZ921 |
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:
| 2,270,149.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | The Goldman Sachs Group, Inc. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 784F5XWPLTWKTBV3E584 |
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:
| 4,116,551.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | EVERCORE GROUP L.L.C. |
ii. SEC file number | 008-49830 |
iii. CRD number | 000042405 |
iv. LEI, if any | 5493008F0LRLS5N8LZ81 |
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:
| 681,557.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Nomura Holdings, Inc. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 549300B3CEAHYG7K8164 |
v. State, if applicable | |
vi. Foreign country, if applicable |
JAPAN
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,338,887.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | BARCLAYS PLC |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 213800LBQA1Y9L22JB70 |
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:
| 1,448,003.00000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | Bank of America Corporation |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 9DJT3UXIJIZJI4WXO774 |
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:
| 2,196,939.00000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | BTIG LLC |
ii. SEC file number | 008-65473 |
iii. CRD number | 000122225 |
iv. LEI, if any | 549300GTG9PL6WO3EC51 |
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:
| 761,755.00000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | JP MORGAN CHASE & CO. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 8I5DZWZKVSZI1NUHU748 |
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:
| 4,071,327.00000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | Morgan Stanley |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | IGJSJL3JD5P30I6NJZ34 |
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:
| 2,774,618.00000000 |