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 | Balanced Fund | ||||
| Issuer | Bank of America Corp | ||||
| Ticker/Sedol | 06051GLE7 | ||||
| Principal Amount (US$) | $3,000,000,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $500,000 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 1/17/2023 | ||||
| Price (US$) | $100 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | BofA Securities Inc | ||||
| Other Syndicate Members: | Apto Partners, LLC CastleOak Securities, L.P. Independence Point Securities LLC Loop Capital Markets LLC Multi-Bank Securities, Inc. Roberts & Ryan Investments, Inc. BMO Capital Markets Corp. BNY Mellon Capital Markets, LLC Capital One Securities, Inc. CIBC World Markets Corp. Citizens Capital Markets, Inc. Commonwealth Bank of Australia ING Financial Markets LLC Intesa Sanpaolo S.p.A. Lloyds Securities Inc. M&T Securities, Inc. Mizuho Securities USA LLC MUFG Securities Americas Inc. Natixis Securities Americas LLC Nomura Securities International, Inc. Nordea Bank Abp PNC Capital Markets LLC Regions Securities LLC Santander Investment Securities Inc. Scotia Capital (USA) Inc. SG Americas Securities, LLC SMBC Nikko Securities America, Inc. Standard Chartered Bank SVB Securities LLC TD Securities (USA) LLC Truist Securities, Inc. | ||||
| Underwriting Spread | 0.250% | ||||
| Currency | USD | ||||
| Fund | Balanced Fund | ||||
| Issuer | Mitsubishi UFJ Finance Group | ||||
| Ticker/Sedol | 606822CX0 | ||||
| Principal Amount (US$) | $1,250,000,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $200,000 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 02/15/2023 | ||||
| Price (US$) | $100 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | MUFG Securities Americas Inc | ||||
| Other Syndicate Members: | JP Morgan Securities LLC Morgan Stanley Barclays Capital BofA Securities Citigroup Global Markets Inc BNP Paribas/New York Credit Agricole Corporate & Investment HSBC Securities Natixis Securities Americas LLC Nomura Securities International Societe Generale TD Securities USA LLC Wells Fargo Securities LLC | ||||
| Underwriting Spread | 0.450% | ||||
| Currency | USD | ||||
| Fund | Balanced Fund | ||||
| Issuer | Mitsubishi UFJ Finance Group, Inc | ||||
| Ticker/Sedol | 606822DA9 | ||||
| Principal Amount (US$) | $500,000,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $200,000 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 04/11/2023 | ||||
| Price (US$) | $100 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | MUFG Securities Americas Inc | ||||
| Other Syndicate Members: | Morgan Stanley & Co. LLC BofA Securities, Inc. Barclays Capital Inc. Citigroup Global Markets Inc. J.P. Morgan Securities LLC BNP Paribas HSBC Securities (USA) Inc. TD Securities USA LLC Crédit Agricole Corporate and Investment Bank Natixis Securities Americas LLC Société Générale Nomura Securities International, Inc. Bank of China Limited Industrial and Commercial Bank of China Limited, Singapore Branch Wells Fargo Securities, LLC | ||||
| Underwriting Spread | 0.200% | ||||
| Currency | USD | ||||
| Fund | Balanced Fund | ||||
| Issuer | VISIO 2023-2 Trust | ||||
| Ticker/Sedol | 92839CAC1 | ||||
| Principal Amount (US$) | $20,692,654 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $426,992.87 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 08/22/2023 | ||||
| Price (US$) | $99.99833 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | Barclays Capital Inc. | ||||
| Other Syndicate Members: | ATLAS SP Securities Nomura Securities International Inc | ||||
| Underwriting Spread | 0.030% | ||||
| Currency | USD | ||||
| Fund | Balanced Fund | ||||
| Issuer | Toyota Motor Credit Corp | ||||
| Ticker/Sedol | 89236TLB9 | ||||
| Principal Amount (US$) | $748,695,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $309,460.60 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 09/06/2023 | ||||
| Price (US$) | $99.826 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | BofA Securities Inc. | ||||
| Other Syndicate Members: | Citigroup Global Markets Inc. Lloyds Securities Inc. Mizuho Securities USA LLC U.S. Bancorp Investments, Inc. BNY Mellon Capital Markets, LLC ING Financial Markets LLC Loop Capital Markets LLC Nomura Securities International, Inc. C.L. King & Associates, Inc. Multi-Bank Securities, Inc. | ||||
| Underwriting Spread | 0.350% | ||||
| Currency | USD | ||||
| Fund | Balanced Fund | ||||
| Issuer | Bank of America Corporation | ||||
| Ticker/Sedol | 06051GLG2 | ||||
| Principal Amount (US$) | $3,500,000,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $375,000 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 04/19/2023 | ||||
| Price (US$) | $100 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | BofA Securities | ||||
| Other Syndicate Members: | Academy Securities, Inc. AmeriVet Securities, Inc. Blaylock Van, LLC Cabrera Capital Markets, LLC C.L. King & Associates, Inc. Stern Brothers & Co. ANZ Securities, Inc. Bankinter S.A. Capital One Securities, Inc. CIBC World Markets Corp. Commonwealth Bank of Australia HSBC Securities (USA) Inc. Huntington Securities, Inc. ING Financial Markets LLC Intesa Sanpaolo S.p.A. KeyBanc Capital Markets Inc. Lloyds Securities Inc. M&T Securities, Inc. Mizuho Securities USA LLC nabSecurities, LLC Natixis Securities Americas LLC Nomura Securities International, Inc. PNC Capital Markets LLC Rabo Securities USA, Inc. Santander US Capital Markets LLC Scotia Capital (USA) Inc. SMBC Nikko Securities America, Inc. Standard Chartered Bank TD Securities (USA) LLC Truist Securities, Inc. Westpac Capital Markets LLC | ||||
| Underwriting Spread | 0.350% | ||||
| Currency | USD | ||||
| Fund | Balanced Fund | ||||
| Issuer | Citigroup Inc | ||||
| Ticker/Sedol | 17327CAR4 | ||||
| Principal Amount (US$) | $3,200,000,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $183,000 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 05/22/2023 | ||||
| Price (US$) | $100 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | Citigroup Global Markets Inc. | ||||
| Other Syndicate Members: | Academy Securities, Inc. American Veterans Group, PBC AmeriVet Securities Bancroft Capital CAVU Securities Drexel Hamilton Mischler Financial Group, Inc. Multi-Bank Securities, Inc. Roberts & Ryan Investments, Inc. Barclays Capital Inc. BBVA Securities Inc. BMO Capital Markets Corp. Capital One Securities, Inc. CIBC World Markets Corp. HSBC Securities (USA) Inc. ING Financial Markets LLC Intesa Sanpaolo S.p.A. Lloyds Securities Inc. MUFG Securities Americas Inc. Natixis Securities Americas LLC Nordea Bank AB PNC Capital Markets LLC RBC Capital Markets, LLC Santander US Capital Markets LLC Scotia Capital (USA) Inc. SG Americas Securities, LLC SMBC Nikko Securities America, Inc. Standard Chartered Bank TD Securities (USA) LLC Truist Securities, Inc. U.S. Bancorp Investments, Inc. UBS Securities LLC ANZ Securities, Inc. Apto Partners, LLC Banco de Sabadell, S.A. Bank of China Limited, London Branch BNY Mellon Capital Markets, LLC C.L. King & Associates, Inc. Cabrera Capital Markets LLC CastleOak Securities, L.P. China CITIC Bank International Limited Citizens Capital Markets, Inc. Commerz Markets LLC Commonwealth Bank of Australia Danske Markets Inc. DBS Bank Ltd. Desjardins Securities Inc. Deutsche Bank Securities Inc. DZ Financial Markets LLC Emirates NBD Bank PJSC Erste Group Bank AG Fifth Third Securities, Inc. Great Pacific Securities Huntington Securities, Inc. ICBC Standard Bank Plc Independence Point Securities LLC KeyBanc Capital Markets Inc. M&T Securities Inc. Mashreqbank psc Mediobanca – Banca di Credito Finanziario S.p.A. Melvin Securities LLC Mizuho Securities USA LLC nabSecurities, LLC National Bank of Canada Financial Inc. NatWest Markets Securities Inc. Nomura Securities International, Inc. Oversea-Chinese Banking Corporation Limited Penserra Securities LLC R. Seelaus & Co., LLC Rabo Securities USA, Inc. RB International Markets (USA) LLC Regions Securities LLC Samuel A. Ramirez & Company San Blas Securities, LLC Security Capital Brokerage, Inc. Stern Brothers & Co. Tigress Financial Partners LLC United Overseas Bank Limited Westpac Capital Markets LLC | ||||
| Underwriting Spread | 0.450% | ||||
| Currency | USD | ||||
| Fund | Balanced Fund | ||||
| Issuer | Bank of America Corporation | ||||
| Ticker/Sedol | 06051GLS6 | ||||
| Principal Amount (US$) | $2,750,000,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $380,000 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 09/12/2023 | ||||
| Price (US$) | $100 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | BofA Securities Inc. | ||||
| Other Syndicate Members: | CAVU Securities, LLC Independence Point Securities LLC Loop Capital Markets LLC Multi-Bank Securities, Inc. R. Seelaus & Co., LLC Samuel A. Ramirez & Company, Inc. ABN AMRO Securities (USA) LLC ANZ Securities, Inc. Banco de Sabadell, S.A. BBVA Securities Inc. BMO Capital Markets Corp. CaixaBank, S.A. Capital One Securities, Inc. CIBC World Markets Corp. Citizens JMP Securities, LLC Comerica Securities, Inc. Danske Markets Inc. ING Financial Markets LLC Intesa Sanpaolo IMI Securities Corp. Lloyds Securities Inc. Mizuho Securities USA LLC MUFG Securities Americas Inc. nabSecurities, LLC Nomura Securities International, Inc. Nordea Bank Abp PNC Capital Markets LLC Regions Securities LLC Scotia Capital (USA) Inc. SG Americas Securities, LLC SMBC Nikko Securities America, Inc. Standard Chartered Bank U.S. Bancorp Investments, Inc. Westpac Capital Markets LLC | ||||
| Underwriting Spread | 0.350% | ||||
| Currency | USD | ||||
| Fund | Balanced Fund | ||||
| Issuer | The Bank of New York Mellon Corporation | ||||
| Ticker/Sedol | 06406RBU0 | ||||
| Principal Amount (US$) | $1,100,000,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $288,000 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 10/18/2023 | ||||
| Price (US$) | $100 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | Morgan Stanley & Co LLC | ||||
| Other Syndicate Members: | DEUTSCHE BANK SECURITIES INC. J.P. MORGAN SECURITIES LLC SIEBERT WILLIAMS SHANK & CO., LLC BNY MELLON CAPITAL MARKETS, LLC AMERIVET SECURITIES, INC. BANCROFT CAPITAL LLC BANK OF CHINA LIMITED, LONDON BRANCH CABRERA CAPITAL MARKETS LLC CAVU SECURITIES, LLC FIFTH THIRD SECURITIES, INC. NOMURA SECURITIES INTERNATIONAL, INC. SANTANDER US CAPITAL MARKETS LLC | ||||
| Underwriting Spread | 0.150% | ||||
| Currency | USD | ||||
| Fund | Balanced Fund | ||||
| Issuer | Barclays PLC | ||||
| Ticker/Sedol | 06738ECH6 | ||||
| Principal Amount (US$) | $1,500,000,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $200,000 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 6/20/2023 | ||||
| Price (US$) | $100 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | Barclays Capital Inc | ||||
| Other Syndicate Members: | BBVA Securities Inc. CIBC World Markets Corp. ING Financial Markets LLC Intesa Sanpaolo S.p.A. Lloyds Securities Inc. Natixis Securities Americas LLC Nomura Securities International, Inc. Nordea Bank Abp RBC Capital Markets, LLC RB International Markets (USA) LLC Santander US Capital Markets LLC SMBC Nikko Securities America, Inc. TD Securities (USA) LLC Bancroft Capital, LLC Bankinter SA Capital One Securities, Inc. CastleOak Securities, L.P. Citizens Capital Markets, Inc. C.L. King & Associates, Inc. DBS Bank Ltd. DZ Financial Markets LLC Falcon Square Capital LLC Multi-Bank Securities, Inc. nabSecurities, LLC PNC Capital Markets LLC Rabo Securities USA, Inc. SG Americas Securities, LLC Truist Securities, Inc. U.S. Bancorp Investments, Inc. | ||||
| Underwriting Spread | 0.450% | ||||
| Currency | USD | ||||