Location books Record:
1 |
a. Name of person (e.g., a custodian of records) | U.S. Bank, N.A. |
b. Street 1 | 1555 N Rivercenter Dr., Ste 302 |
Street 2 | |
c. City | Milwaukee |
d. State, if applicable |
WISCONSIN
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 53212 |
g. Telephone number (including country code if foreign) | 414-276-3737 |
h. Briefly describe the books and records kept at this location:
| Records as Custodian for Funds |
Location books Record:
2 |
a. Name of person (e.g., a custodian of records) | First National Advisers, LLC |
b. Street 1 | 205 West Oak Street, 3rd Floor |
Street 2 | |
c. City | Fort Collins |
d. State, if applicable |
COLORADO
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 80521 |
g. Telephone number (including country code if foreign) | 402-602-3424 |
h. Briefly describe the books and records kept at this location:
| Records as Sub-Adviser for Funds |
Location books Record:
3 |
a. Name of person (e.g., a custodian of records) | Tributary Capital Management, LLC |
b. Street 1 | 1620 Dodge Street, Stop 1089 |
Street 2 | |
c. City | Omaha |
d. State, if applicable |
NEBRASKA
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 68197 |
g. Telephone number (including country code if foreign) | 800-662-4203 |
h. Briefly describe the books and records kept at this location:
| Records as Adviser for Funds |
Location books Record:
4 |
a. Name of person (e.g., a custodian of records) | SS&C GIDS, Inc. |
b. Street 1 | 333 West 11th Street |
Street 2 | |
c. City | Kansas City |
d. State, if applicable |
MISSOURI
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 64105 |
g. Telephone number (including country code if foreign) | 816-435-1000 |
h. Briefly describe the books and records kept at this location:
| Shareholder records |
Location books Record:
5 |
a. Name of person (e.g., a custodian of records) | Apex Fund Services |
b. Street 1 | Three Canal Plaza, Suite 600 |
Street 2 | |
c. City | Portland |
d. State, if applicable |
MAINE
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 04101 |
g. Telephone number (including country code if foreign) | 207-347-2000 |
h. Briefly describe the books and records kept at this location:
| Fund records |
Location books Record:
6 |
a. Name of person (e.g., a custodian of records) | Northern Lights Distributors, LLC |
b. Street 1 | 4221 North 203rd Street, Suite 100 |
Street 2 | |
c. City | Elkhorn |
d. State, if applicable |
NEBRASKA
|
e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
f. Zip code and zip code extension, or foreign postal code | 68022 |
g. Telephone number (including country code if foreign) | 855-891-0091 |
h. Briefly describe the books and records kept at this location:
| Records as Distributor for the Funds |
Director Record:
1 |
a. Full Name | Donna Walsh |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
2 |
a. Full Name | Gary D. Parker |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
3 |
a. Full Name | Brittany A. Fahrenkrog |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
4 |
a. Full Name | David F. Larrabee |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |
Director Record:
5 |
a. Full Name | Stephen C. Wade |
b. CRD number, if any | N/A |
c. Is the person an "interested person" of the Registrant as that term is defined in section 2(a)(19) of the Act (15 U.S.C. 80a-2(a)(19))?
|
Yes
No
|
d. Investment Company Act file number of any other registered investment company for which the person also serves as a director (e.g., 811-)
|
File Number Record:
1 |
File Number Record: | N/A |