Pursuant to the Fund’s procedures adopted under Rule 10f-3, the Fund’s Board of Directors/Trustees receives a quarterly report in the form of a checklist as to the satisfaction of the applicable conditions of paragraph (c)(1) through (c)(8) of Rule 10f-3.
| Fund | Small Cap Growth Fund | ||||
| Issuer | Ortho Clinical Diagnostics Holdings, PLC | ||||
| Ticker/Sedol | OCDX (G6829J107) | ||||
| Principal Amount (US$) | $1,292,000,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $12,265,058 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 1/28/2021 | ||||
| Price (US$) | $17.00 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | JP Morgan Securities | ||||
| Other Syndicate Members: | Bank of America Merrill, Barclays Capital, Citigroup Capital Markets, Credit Suisse, Drexel Hamilton LLC, Goldman Sachs, ING, Instinet-OTC, Instinet Holdings, Evercore ISI, Macquarie Securities, Morgan Stanley, Siebert Williams Shank, Nomura Securities, Piper Sandler & Co, Samuel Ramirez & Co, UBS Warburg, TCG BDC Inc, HC Wainright | ||||
| Underwriting Spread | 4.00% | ||||
| Currency | USD | ||||
| Fund | Small Cap Growth Fund | ||||
| Issuer | Hayward Holdings Inc | ||||
| Ticker/Sedol | HAYW (421298100) | ||||
| Principal Amount (US$) | $684,722,226 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $16,397,129 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 3/12/2021 | ||||
| Price (US$) | $17.00 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | Bank of America Merrill | ||||
| Other Syndicate Members: | Goldman Sachs & Co LLC, Nomura Securities International PLC, Credit Suisse Securities (USA) LLC, Morgan Stanley & Co LLC, Robert W Baird & Co Incorporated, Guggenheim Securities, Jefferies LLC, BMO Capital Markets Corp, KeyBanc Capital Markets Inc, William Blair & Company, LLC, Houlihan Lokey Capital, Inc. Moelis & Company LLC | ||||
| Underwriting Spread | 5.50% | ||||
| Currency | USD | ||||
| Fund | Small Cap Growth Fund | ||||
| Issuer | Sun Country Airlines Holdings | ||||
| Ticker/Sedol | SNCY (866683105) | ||||
| Principal Amount (US$) | $218,181,816 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $3,334,200 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 3/17/2021 | ||||
| Price (US$) | $24.00 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | Morgan Stanley | ||||
| Other Syndicate Members: | Barclays, Deutsche Bank Securities, Goldman Sachs & Co LLC, Nomura, Apollo Global Securities, AmeriVet Securities, Siebert Williams Shank, Tribal Capital Markets, LLC | ||||
| Underwriting Spread | 6.25% | ||||
| Currency | USD | ||||
| Fund | Small Cap Growth Fund | ||||
| Issuer | Mister Car Wash | ||||
| Ticker/Sedol | MCW (60646V105) | ||||
| Principal Amount (US$) | $562,507,500 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $8,321,385 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 6/25/2021 | ||||
| Price (US$) | $15.00 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | BAML | ||||
| Other Syndicate Members: | Morgan Stanley & Co, LLC, Goldman Sachs & Co, LLC, Jefferies LLC, BMO Capital Markets Corp, UBS Securities LLC, Guzman & Company, Loop Capital Markets LLC, Mischler Financial Group, Nomura Securities International, Inc, Piper Sandler & Co, R. Seelaus & Co, LLC | ||||
| Underwriting Spread | 5.25% | ||||
| Currency | USD | ||||
| Fund | Small Cap Growth Fund | ||||
| Issuer | Ryan Specialty Group Holdings Inc | ||||
| Ticker/Sedol | RYAN (78351F107) | ||||
| Principal Amount (US$) | $1,337,620,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $8,547,608 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 7/22/2021 | ||||
| Price (US$) | $23.50 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | Barclays Capital | ||||
| Other Syndicate Members: | Goldman Sachs, Nomura Securities, J.P. Morgan Securities, Barclays Capital, BMO Capital Markets, CIBC World Markets, Dowling and Company, Keefe Bruyette Woods Inc, Loop Capital Markets, RBC Capital Markets, UBS Warburg, William Blair & Co, Wells Fargo Securities | ||||
| Underwriting Spread | 5.00 % | ||||
| Currency | USD | ||||
| Fund | Small Cap Growth Fund | ||||
| Issuer | Thoughtworks Holding Inc | ||||
| Ticker/Sedol | TWKS (88546E105) | ||||
| Principal Amount (US$) | $889,736,841 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $5,796,924 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 9/15/2021 | ||||
| Price (US$) | $21.00 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | J.P. Morgan Securities | ||||
| Other Syndicate Members: | Goldman Sachs & Co, Citigroup Capital Markets Inc, RBC Capital Markets, HSBC Securities (USA) Inc, Robert W Baird & Co Inc, Cowen and Company, Piper Sandler & Co, Wedbush Securities Inc, William Blair & Company, Wolfe Research Securities, CastleOak Securities LP, Mischler Financial Group Inc, Siebert Williams, Shank & Co, BofA Securities, Nomura Securities International, Credit Suisse Securities (USA), | ||||
| Underwriting Spread | 5.50% | ||||
| Currency | USD | ||||
| Fund | Small Cap Growth Fund | ||||
| Issuer | Remitly Global Inc | ||||
| Ticker/Sedol | RELY (75960P104) | ||||
| Principal Amount (US$) | $522,880,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $4,048,020 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 9/23/2021 | ||||
| Price (US$) | $43.00 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | Goldman Sachs & Co | ||||
| Other Syndicate Members: | J.P. Morgan Securities, Barclays Capital Inc, Citigroup Global Markets Inc, William Blair & Company, JMP Securities, Keybanc Capital Markets, Nomura Securities International | ||||
| Underwriting Spread | 5.50% | ||||
| Currency | USD | ||||
| Fund | Small Cap Growth Fund | ||||
| Issuer | Sterling Check Corp | ||||
| Ticker/Sedol | STER (85917T109) | ||||
| Principal Amount (US$) | $328,670,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $6,312,971 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 9/23/2021 | ||||
| Price (US$) | $23.00 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | Goldman Sachs & Co | ||||
| Other Syndicate Members: | J.P. Morgan Securities, Robert W Baird & Co Inc, William Blair & Company, Keybanc Capital Markets Inc, Nomura Securities International, Stifel Nicolaus Weisel, ING Financial Markets, R. Seelaus & Co, Morgan Stanley & Co | ||||
| Underwriting Spread | 6.25% | ||||
| Currency | USD | ||||
| Fund | Small Cap Growth Fund | ||||
| Issuer | Fluence Energy Inc | ||||
| Ticker/Sedol | FLNC (34379V103) | ||||
| Principal Amount (US$) | $868,000,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $3,838,548 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 10/28/2021 | ||||
| Price (US$) | $28.00 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | Morgan Stanley & Co | ||||
| Other Syndicate Members: | J.P. Morgan Securities, Barclays Capital Inc, BofA Securities, Citigroup Global Markets Inc, Credit Suisse, Evercore ISI, HSBC Securities, UBS Investment Bank, Nomura Securities International, Penserra Securities LLC, RBC Capital Markets, Raymond James & Associates, Robert W. Baird & Co, Seaport Global, Siebert Williams Shank & Co | ||||
| Underwriting Spread | 3.42% | ||||
| Currency | USD | ||||
| Fund | Balanced Fund | ||||
| Issuer | 7-Eleven Inc | ||||
| Ticker/Sedol | 817826AG5 | ||||
| Principal Amount (US$) | $1,245,212,500 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $149,426 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 01/27/2021 | ||||
| Price (US$) | $99.62 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | Credit Suisse Securities (USA) LLC | ||||
| Other Syndicate Members: | SMBC Nikko Securities America Inc, BofA Securities Inc, Citigroup Global Markets Inc, J.P. Morgan Securities, Mizuho Securities USA, MUFG Securities Americas Inc, Nomura Securities International, Scotia Capital (USA) Inc, Wells Fargo Securities, U.S. Bancorp Investments Inc | ||||
| Underwriting Spread | .88% | ||||
| Currency | USD | ||||
| Fund | Balanced Fund | ||||
| Issuer | Citigroup Inc | ||||
| Ticker/Sedol | 172967NA5 | ||||
| Principal Amount (US$) | $2,750,000,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $600,000 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 06/02/2021 | ||||
| Price (US$) | $100.00 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | Citigroup Global Markets Inc. | ||||
| Other Syndicate Members: | Barclays Capital Inc. BMO Capital Markets Corp. Capital One Securities, Inc. CastleOak Securities, L.P. Commonwealth Bank of Australia DBS Bank Ltd. Deutsche Bank Securities Inc. Drexel Hamilton, LLC Industrial and Commercial Bank of China (Asia) Limited Intesa Sanpaolo S.p.A. Natixis Securities Americas LLC Nomura Securities International, Inc. RBC Capital Markets, LLC Roberts & Ryan Investments, Inc. Santander Investment Securities Inc. SG Americas Securities, LLC SMBC Nikko Securities America, Inc. Swedbank AB (publ) TD Securities (USA) LLC UBS Securities LLC UniCredit Capital Markets LLC Westpac Capital Markets LLC ABN AMRO Securities (USA) LLC Academy Securities, Inc. ANZ Securities, Inc. Bank of China Limited, London Branch BBVA Securities Inc. CIBC World Markets Corp. Commerz Markets LLC Credit Suisse Securities (USA) LLC Desjardins Securities Inc. DZ Financial Markets LLC Fifth Third Securities, Inc. Global Oak Capital Markets LLC Great Pacific Securities HSBC Securities (USA) Inc. ING Financial Markets LLC KeyBanc Capital Markets Inc. Loop Capital Markets LLC MFR Securities, Inc. Mizuho Securities USA LLC MUFG Securities Americas Inc. nabSecurities, LLC National Bank of Canada Financial Inc. Nordea Bank Abp PNC Capital Markets LLC R. Seelaus & Co., LLC RB International Markets (USA) LLC Samuel A. Ramirez & Company, Inc. Scotia Capital (USA) Inc. Siebert Williams Shank & Co., LLC Skandinaviska Enskilda Banken AB (publ) Standard Chartered Bank U.S. Bancorp Investments, Inc. Wells Fargo Securities, LLC | ||||
| Underwriting Spread | .33% | ||||
| Currency | USD | ||||
| Fund | Balanced Fund | ||||
| Issuer | Mitsubishi UFJ Financing Group | ||||
| Ticker/Sedol | 606822CA0 | ||||
| Principal Amount (US$) | $1,000,000,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $336,000 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 10/05/2021 | ||||
| Price (US$) | $100.00 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | MUFG Securities Americas Inc. | ||||
| Other Syndicate Members: | Morgan Stanley & Co. LLC Citigroup Global Markets Inc Barclays Capital Inc. BofA Securities, Inc. J.P. Morgan Securities LLC Bank of China Limited BNP Paribas CastleOak Securities L.P. Crédit Agricole Corporate and Investment Bank HSBC Securities (USA) Inc. Industrial and Commercial Bank of China Limited Natixis Securities Americas LLC Nomura Securities International, Inc. Penserra Securities LLC Roberts & Ryan Investments, Inc. R. Seelaus & Co., LLC Société Générale Wells Fargo Securities, LLC | ||||
| Underwriting Spread | .25% | ||||
| Currency | USD | ||||
| Fund | Balanced Fund | ||||
| Issuer | Bank of America Corp | ||||
| Ticker/Sedol | 06051GKD0 | ||||
| Principal Amount (US$) | $3,250,000,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $640,000 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 10/15/2021 | ||||
| Price (US$) | $100.00 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | BofA Securities Inc | ||||
| Other Syndicate Members: | Apto Partners, LLC CastleOak Securities, L.P. C.L. King & Associates, Inc. Drexel Hamilton, LLC Stern Brothers & Co. Tribal Capital Markets, LLC ABN AMRO Securities (USA) LLC Capital One Securities, Inc. CIBC World Markets Corp. HSBC Securities (USA) Inc. Huntington Securities, Inc. ING Financial Markets LLC Intesa Sanpaolo S.p.A. KeyBanc Capital Markets Inc. Lloyds Securities Inc. Mizuho Securities USA LLC MUFG Securities Americas Inc. nabSecurities, LLC Natixis Securities Americas LLC NatWest Markets Securities Inc. Nomura Securities International, Inc. Nordea Bank Abp PNC Capital Markets LLC Regions Securities LLC Santander Investment Securities Inc. SMBC Nikko Securities America, Inc. Standard Chartered Bank TD Securities (USA) LLC Truist Securities, Inc. U.S. Bancorp Investments, Inc. Westpac Capital Markets LLC | ||||
| Underwriting Spread | .45% | ||||
| Currency | USD | ||||