a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000063510 |
iii. Ticker symbol, if any | FOBAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Plus |
ii. Class identification number, if any | C000091256 |
iii. Ticker symbol, if any | FOBPX |
Pricing Services Record:
1 |
i. Full name | JPMorgan Chase & Co. |
ii. LEI, if any, or provide and describe other
identifying number
| 815DZWZKVSZI1NUHU748 |
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:
2 |
i. Full name | Thomson Reuters Global Markets Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 801-55328 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Systems, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-00448 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MISSOURI
|
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
|
Shareholder servicing agents Record:
2 |
i. Full name | First National Bank of Omaha |
ii. LEI, if any, or provide and describe
other
identifying number | 85-10721 |
Description of other identifying number | SEC File Number |
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 | Apex Fund Services |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
MAINE
|
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
|
Administrators Record:
2 |
i. Full name | Tributary Capital Management, LLC |
ii. LEI, if any, or other identifying number | 801-60282 |
Description of other identifying number | SEC file number |
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 | ITG INC. |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 549300S41SMIODVIT266 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,024.64000000 |
Brokers Record:
2 |
i. Full name of broker | UBS SECURITIES LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
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 | 316.00000000 |
Brokers Record:
3 |
i. Full name of broker | NATIONAL FINANCIAL SERVICES CORPORATION |
ii. SEC file number | 8-26740 |
iii. CRD number | 000013041 |
iv. LEI, if any | 549300JRHF1MHHWUAW04 |
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 | 78.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 8,418.64000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | CHASE INVESTMENT SERVICES, INC. |
ii. SEC file number | 8-41840 |
iii. CRD number | 000025574 |
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:
| 474,232.17000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | RAYMOND JAMES & ASSOCIATES, INC. |
ii. SEC file number | 8-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 359,751.95000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | CHARLES SCHWAB & CO INC |
ii. SEC file number | 8-16514 |
iii. CRD number | 000005393 |
iv. LEI, if any | 549300ZP8XN77GK5BS04 |
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:
| 1,750,669.92000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | CITIGROUP GLOBAL MARKETS INC. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | 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:
| 3,043,532.55000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | MARKETAXESS |
ii. SEC file number | 8-50727 |
iii. CRD number | 000044542 |
iv. LEI, if any | 5493002U1CA1XJOVID83 |
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:
| 918,964.17000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | PERSHING LLC |
ii. SEC file number | 8-17574 |
iii. CRD number | 000007560 |
iv. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
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:
| 701,368.76000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | RBC CAPITAL MARKETS, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
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:
| 404,057.98000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | BARCLAYS CAPITAL INC. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
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:
| 1,045,003.92000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | BANC OF AMERICA SECURITIES |
ii. SEC file number | 8-42263 |
iii. CRD number | 000026091 |
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:
| 2,238,896.52000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | WELLS FARGO BROKERAGE SERVICES, LLC |
ii. SEC file number | 8-33283 |
iii. CRD number | 000016100 |
iv. LEI, if any | 88KRVSOEKUGQZJ3DKW55 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,657,237.62000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000063512 |
iii. Ticker symbol, if any | FOGRX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Plus |
ii. Class identification number, if any | C000091258 |
iii. Ticker symbol, if any | FOGPX |
Pricing Services Record:
1 |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Systems, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-00448 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MISSOURI
|
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
|
Shareholder servicing agents Record:
2 |
i. Full name | First National Bank of Omaha |
ii. LEI, if any, or provide and describe
other
identifying number | 85-10721 |
Description of other identifying number | SEC File Number |
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 | Tributary Capital Management, LLC |
ii. LEI, if any, or other identifying number | 801-60282 |
Description of other identifying number | SEC file number |
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
|
Administrators Record:
2 |
i. Full name | Apex Fund Services |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
MAINE
|
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 | UBS SECURITIES LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
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 | 13,612.00000000 |
Brokers Record:
2 |
i. Full name of broker | NATIONAL FINANCIAL SERVICES CORPORATION |
ii. SEC file number | 8-26740 |
iii. CRD number | 000013041 |
iv. LEI, if any | 549300JRHF1MHHWUAW04 |
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 | 6,088.00000000 |
Brokers Record:
3 |
i. Full name of broker | RAYMOND JAMES & ASSOCIATES, INC. |
ii. SEC file number | 8-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6,866.92000000 |
Brokers Record:
4 |
i. Full name of broker | ITG INC. |
ii. SEC file number | 8-44218 |
iii. CRD number | 000029299 |
iv. LEI, if any | 549300S41SMIODVIT266 |
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 | 114,537.80000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 141,104.72000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 1 |
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 | Institutional Plus |
ii. Class identification number, if any | C000164428 |
iii. Ticker symbol, if any | FONPX |
Pricing Services Record:
1 |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | First National Bank of Omaha |
ii. LEI, if any, or provide and describe
other
identifying number | 85-10721 |
Description of other identifying number | SEC File Number |
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
|
Shareholder servicing agents Record:
2 |
i. Full name | DST Systems, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-00448 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MISSOURI
|
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 | Apex Fund Services |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
MAINE
|
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
|
Administrators Record:
2 |
i. Full name | Tributary Capital Management, LLC |
ii. LEI, if any, or other identifying number | 801-60282 |
Description of other identifying number | SEC file number |
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 | CITIGROUP GLOBAL MARKETS INC. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,302,746.75000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | PIPER JAFFRAY & CO. |
ii. SEC file number | 8-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 834,674.20000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | BANC OF AMERICA SECURITIES |
ii. SEC file number | 8-42263 |
iii. CRD number | 000026091 |
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:
| 761,472.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | PERSHING LLC |
ii. SEC file number | 8-17574 |
iii. CRD number | 000007560 |
iv. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
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:
| 1,667,647.80000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | RAYMOND JAMES & ASSOCIATES, INC. |
ii. SEC file number | 8-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,501,278.90000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | UMB BANK, N.A. |
ii. SEC file number | N/A |
iii. CRD number | 000017073 |
iv. LEI, if any | VNOO6EITDJ2YUEBMSZ83 |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,138,437.30000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | FTN FINANCIAL |
ii. SEC file number | 8-51393 |
iii. CRD number | 000046346 |
iv. LEI, if any | PHDL2C07HIPM5DUL8S59 |
v. State, if applicable |
TENNESSEE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 799,988.80000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | ALLFIRST BANK |
ii. SEC file number | 8-35232 |
iii. CRD number | 000017531 |
iv. LEI, if any | N/A |
v. State, if applicable |
MARYLAND
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 659,168.75000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | D.A. DAVIDSON & CO. |
ii. SEC file number | 8-2399 |
iii. CRD number | 000000199 |
iv. LEI, if any | 549300094RQ5A7DYLF51 |
v. State, if applicable |
MONTANA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 8,948,616.60000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | CHARLES SCHWAB & CO INC |
ii. SEC file number | 8-16514 |
iii. CRD number | 000005393 |
iv. LEI, if any | 549300ZP8XN77GK5BS04 |
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:
| 901,905.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 2 |
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 | Institutional |
ii. Class identification number, if any | C000195178 |
iii. Ticker symbol, if any | FSMCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Plus |
ii. Class identification number, if any | C000195179 |
iii. Ticker symbol, if any | FSMBX |
Pricing Services Record:
1 |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | DST Systems, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-00448 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MISSOURI
|
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
|
Shareholder servicing agents Record:
2 |
i. Full name | First National Bank of Omaha |
ii. LEI, if any, or provide and describe
other
identifying number | 85-10721 |
Description of other identifying number | SEC File Number |
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 | Tributary Capital Management, LLC |
ii. LEI, if any, or other identifying number | 801-60282 |
Description of other identifying number | SEC File Number |
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
|
Administrators Record:
2 |
i. Full name | Apex Fund Services |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
MAINE
|
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 | CHASE INVESTMENT SERVICES, INC. |
ii. SEC file number | 8-41840 |
iii. CRD number | 000025574 |
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 | 35.40000000 |
Brokers Record:
2 |
i. Full name of broker | STIFEL, NICOLAUS & COMPANY, INCORPORATED |
ii. SEC file number | 8-1447 |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
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 | 244.16000000 |
Brokers Record:
3 |
i. Full name of broker | MORGAN STANLEY & CO. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
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 | 38.64000000 |
Brokers Record:
4 |
i. Full name of broker | GOLDMAN SACHS & CO |
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 | 1,248.56000000 |
Brokers Record:
5 |
i. Full name of broker | KEEFE, BRUYETTE & WOODS, INC. |
ii. SEC file number | 8-10888 |
iii. CRD number | 000000481 |
iv. LEI, if any | 549300OM47DQV01G4854 |
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 | 3.20000000 |
Brokers Record:
6 |
i. Full name of broker | ROBERT W. BAIRD & CO. INCORPORATED |
ii. SEC file number | 8-497 |
iii. CRD number | 000008158 |
iv. LEI, if any | 549300772UJAHRD6LO53 |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 39.44000000 |
Brokers Record:
7 |
i. Full name of broker | BLOOMBERG TRADEBOOK LLC |
ii. SEC file number | 8-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | 549300P0PVQNO43T7K36 |
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 | 234.72000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 1,844.12000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000063509 |
iii. Ticker symbol, if any | FOINX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Plus |
ii. Class identification number, if any | C000091255 |
iii. Ticker symbol, if any | FOIPX |
Pricing Services Record:
1 |
i. Full name | Thomson Reuters Global Markets Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 801-55328 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | JPMorgan Chase & Co. |
ii. LEI, if any, or provide and describe other
identifying number
| 815DZWZKVSZI1NUHU748 |
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 | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | First National Bank of Omaha |
ii. LEI, if any, or provide and describe
other
identifying number | 85-10721 |
Description of other identifying number | SEC File Number |
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
|
Shareholder servicing agents Record:
2 |
i. Full name | DST Systems, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-00448 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MISSOURI
|
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 | Tributary Capital Management, LLC |
ii. LEI, if any, or other identifying number | 801-60282 |
Description of other identifying number | SEC file number |
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
|
Administrators Record:
2 |
i. Full name | Apex Fund Services |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
MAINE
|
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 | WELLS FARGO BROKERAGE SERVICES, LLC |
ii. SEC file number | 8-33283 |
iii. CRD number | 000016100 |
iv. LEI, if any | 88KRVSOEKUGQZJ3DKW55 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 14,454,354.66000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | RBC CAPITAL MARKETS, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
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:
| 3,556,912.55000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | RAYMOND JAMES & ASSOCIATES, INC. |
ii. SEC file number | 8-10999 |
iii. CRD number | 000000705 |
iv. LEI, if any | U4ONQX15J3RO8XCKE979 |
v. State, if applicable |
FLORIDA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,653,788.35000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | CHARLES SCHWAB & CO INC |
ii. SEC file number | 8-16514 |
iii. CRD number | 000005393 |
iv. LEI, if any | 549300ZP8XN77GK5BS04 |
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:
| 12,914,676.70000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | GOLDMAN SACHS & CO |
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:
| 3,926,447.58000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | US BANK, NA |
ii. SEC file number | 8-35359 |
iii. CRD number | 000017868 |
iv. LEI, if any | H85Z6XZP8B10ES0M2G89 |
v. State, if applicable |
DELAWARE
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,308,099.67000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | MARKETAXESS |
ii. SEC file number | 8-50727 |
iii. CRD number | 000044542 |
iv. LEI, if any | 5493002U1CA1XJOVID83 |
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:
| 10,929,997.15000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | CITIGROUP GLOBAL MARKETS INC. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 11,814,477.12000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | BARCLAYS CAPITAL INC. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,580,433.02000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | BANC OF AMERICA SECURITIES |
ii. SEC file number | 8-42263 |
iii. CRD number | 000026091 |
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:
| 17,642,977.22000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional Plus |
ii. Class identification number, if any | C000091259 |
iii. Ticker symbol, if any | FOSBX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000063513 |
iii. Ticker symbol, if any | FOSCX |
Pricing Services Record:
1 |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | First National Bank of Omaha |
ii. LEI, if any, or provide and describe
other
identifying number | 85-10721 |
Description of other identifying number | SEC File Number |
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
|
Shareholder servicing agents Record:
2 |
i. Full name | DST Systems, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-00448 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MISSOURI
|
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 | Apex Fund Services |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
MAINE
|
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
|
Administrators Record:
2 |
i. Full name | Tributary Capital Management, LLC |
ii. LEI, if any, or other identifying number | 801-60282 |
Description of other identifying number | SEC file number |
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 | MORGAN STANLEY & CO. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
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 | 111,111.40 |
Brokers Record:
2 |
i. Full name of broker | GOLDMAN SACHS & CO |
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 | 112,867.20 |
Brokers Record:
3 |
i. Full name of broker | KEEFE, BRUYETTE & WOODS, INC. |
ii. SEC file number | 8-10888 |
iii. CRD number | 000000481 |
iv. LEI, if any | 5493002U1CA1XJOVID83 |
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 | 39,611.48 |
Brokers Record:
4 |
i. Full name of broker | CHASE INVESTMENT SERVICES, INC. |
ii. SEC file number | 8-41840 |
iii. CRD number | 000025574 |
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 | 151,911.82 |
Brokers Record:
5 |
i. Full name of broker | JEFFERIES LLC |
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 | 10,550.40 |
Brokers Record:
6 |
i. Full name of broker | ROBERT W. BAIRD & CO. INCORPORATED |
ii. SEC file number | 8-497 |
iii. CRD number | 000008158 |
iv. LEI, if any | 549300772UJAHRD6LO53 |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 102,874.84 |
Brokers Record:
7 |
i. Full name of broker | STIFEL, NICOLAUS & COMPANY, INCORPORATED |
ii. SEC file number | 8-1447 |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
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 | 124,619.06 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 653,546.20 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000063508 |
iii. Ticker symbol, if any | FOSIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional Plus |
ii. Class identification number, if any | C000091254 |
iii. Ticker symbol, if any | FOSPX |
Pricing Services Record:
1 |
i. Full name | Thomson Reuters Global Markets Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 801-55328 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MASSACHUSETTS
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | ICE Data Pricing & Reference Data, LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
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 | JPMorgan Chase & Co. |
ii. LEI, if any, or provide and describe other
identifying number
| 815DZWZKVSZI1NUHU748 |
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | First National Bank of Omaha |
ii. LEI, if any, or provide and describe
other
identifying number | 85-10721 |
Description of other identifying number | SEC File Number |
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
|
Shareholder servicing agents Record:
2 |
i. Full name | DST Systems, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 84-00448 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MISSOURI
|
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 | Apex Fund Services |
ii. LEI, if any, or other identifying number | N/A |
Description of other identifying number | |
iii. State, if applicable |
MAINE
|
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
|
Administrators Record:
2 |
i. Full name | Tributary Capital Management, LLC |
ii. LEI, if any, or other identifying number | 801-60282 |
Description of other identifying number | SEC file number |
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 | MERRILL LYNCH PIERCE FENNER & SMITH INC |
ii. SEC file number | 8-7221 |
iii. CRD number | 000007691 |
iv. LEI, if any | 8NAV47T0Y26Q87Y0QP81 |
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:
| 4,924,812.49000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | RBC CAPITAL MARKETS, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
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:
| 12,195,526.07000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | CITIGROUP GLOBAL MARKETS INC. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 33,625,255.31000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | BARCLAYS CAPITAL INC. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
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:
| 20,064,388.24000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | CANTOR FITZGERALD & CO |
ii. SEC file number | 8-201 |
iii. CRD number | 000000134 |
iv. LEI, if any | 5493004J7H4GCPG6OB62 |
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:
| 6,670,942.79000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | MARKETAXESS |
ii. SEC file number | 8-50727 |
iii. CRD number | 000044542 |
iv. LEI, if any | 5493002U1CA1XJOVID83 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 11,810,957.06000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | CHARLES SCHWAB & CO INC |
ii. SEC file number | 8-16514 |
iii. CRD number | 000005393 |
iv. LEI, if any | 549300ZP8XN77GK5BS04 |
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:
| 14,143,805.45000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | BANC OF AMERICA SECURITIES |
ii. SEC file number | 8-42263 |
iii. CRD number | 000026091 |
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:
| 23,429,062.58000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | PERSHING LLC |
ii. SEC file number | 8-17574 |
iii. CRD number | 000007560 |
iv. LEI, if any | ZI8Q1A8EI8LQFJNM0D94 |
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:
| 6,990,631.30000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | WELLS FARGO BROKERAGE SERVICES, LLC |
ii. SEC file number | 8-33283 |
iii. CRD number | 000016100 |
iv. LEI, if any | 88KRVSOEKUGQZJ3DKW55 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 14,402,632.69000000 |