| Form N-CEN Filer Information |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-CEN ANNUAL REPORT FOR REGISTERED INVESTMENT COMPANIES | OMB APPROVAL |
| OMB Number: 3235-0729 Estimated average burden hours per response: 19.04 |
N-CEN: Filer Information
| Filer CIK | 0001026144 |
| Filer CCC |
********
|
| Filer Investment Company Type | Form N-1A Filer (Mutual Fund) |
| Is this a LIVE or TEST Filing? | 
LIVE
TEST
|
| Is this an electronic copy of an official filing submitted in paper format? |  |
| Would you like a Return Copy? | |
Submission Contact Information | |
| Name | |
| Phone | |
| E-Mail Address |
Notification Information |
| Notify via Filing Website only? | |
N-CEN:Series/Class (Contract) Information
| Series ID | S000003116 |
| Class ID | C000244427 |
| Class ID | C000201956 |
| Class ID | C000008448 |
| Class ID | C000099168 |
| Class ID | C000008447 |
| Series ID | S000003118 |
| Class ID | C000008451 |
| Class ID | C000008452 |
| Class ID | C000201957 |
| Class ID | C000099169 |
N-CEN:Part A: General Information
Item A.1. Reporting period covered.
| a. Report for period ending: | 2023-12-31 |
| b. Does this report cover a period of less than 12 months? |
Yes
No
|
N-CEN:Part B: Information About the Registrant
Item B.1. Background information.
| a. Full name of Registrant | BlackRock Index Funds, Inc. |
| b. Investment Company Act file number ( e.g., 811-) | 811-07899 |
| c. CIK | 0001026144 |
| d. LEI | 549300R0LV8YE1DSQ620 |
Item B.2. Address and telephone number of Registrant.
| a. Street 1 | 100 Bellevue Parkway |
| Street 2 | |
| b. City | Wilmington |
| c. State, if applicable |
DELAWARE
|
| d. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| e. Zip code and zip code extension, or foreign postal code | 19809 |
| f. Telephone number (including country code if foreign) | 800-441-7762 |
| g. Public Website, if any | www.blackrock.com |
Item B.3. Location of books and records.
| Instruction. Provide the requested information for each person maintaining physical possession of each account, book, or other document required to be maintained by section 31(a) of the Act (15 U.S.C. 80a-30(a)) and the rules under that section. |
| Location books Record: 1 | |
| a. Name of person (e.g., a custodian of records) | BlackRock Investments, LLC |
| b. Street 1 | 50 Hudson Yards |
| Street 2 | |
| c. City | New York |
| d. State, if applicable |
NEW YORK
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 10001 |
| g. Telephone number (including country code if foreign) | 609-282-3046 |
| h. Briefly describe the books and records kept at this location: | Records related to its functions as distributor |
| Location books Record: 2 | |
| a. Name of person (e.g., a custodian of records) | State Street Bank and Trust Company |
| b. Street 1 | One Congress Street |
| Street 2 | Suite 1 |
| c. City | Boston |
| d. State, if applicable |
MASSACHUSETTS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 02114 |
| g. Telephone number (including country code if foreign) | 617-786-3000 |
| h. Briefly describe the books and records kept at this location: | Records related to its functions as custodian, sub-administrator and accounting agent |
| Location books Record: 3 | |
| a. Name of person (e.g., a custodian of records) | BNY Mellon Investment Servicing (US) Inc. |
| b. Street 1 | 301 Bellevue Parkway |
| Street 2 | |
| c. City | Wilmington |
| d. State, if applicable |
DELAWARE
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 19809 |
| g. Telephone number (including country code if foreign) | 302-791-1700 |
| h. Briefly describe the books and records kept at this location: | Records related to its functions as transfer agent |
| Location books Record: 4 | |
| a. Name of person (e.g., a custodian of records) | BlackRock International Limited |
| b. Street 1 | 1 Semple Street |
| Street 2 | |
| c. City | Edinburgh |
| d. State, if applicable | |
| e. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
| f. Zip code and zip code extension, or foreign postal code | EH3 8BL |
| g. Telephone number (including country code if foreign) | 44 131 472 7200 |
| h. Briefly describe the books and records kept at this location: | Records related to its functions as sub-advisor |
| Location books Record: 5 | |
| a. Name of person (e.g., a custodian of records) | BlackRock Advisors, LLC |
| b. Street 1 | 100 Bellevue Parkway |
| Street 2 | |
| c. City | Wilmington |
| d. State, if applicable |
DELAWARE
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Zip code and zip code extension, or foreign postal code | 19809 |
| g. Telephone number (including country code if foreign) | 302-797-2000 |
| h. Briefly describe the books and records kept at this location: | Records related to its functions as advisor and administrator |
Item B.4. Initial of final filings.
| Instruction. Respond "yes" to Item B.4.b only if the Registrant has filed an application to deregister or will file an application to deregister before its next required filing on this form. |
| a. Is this the first filing on this form by the Registrant? |
Yes
No
|
| b. Is this the last filing on this form by the Registrant? |
Yes
No
|
Item B.5. Family of investment companies.
| Instruction. "Family of investment companies" means, except for insurance company separate accounts, any two or more registered investment companies that (i) share the same investment adviser or principal underwriter; and (ii) hold themselves out to investors as related companies for purposes of investment and investor services.In responding to this item, all Registrants in the family of investment companies should report the name of the family of investment companies identically. |
| Insurance company separate accounts that may not hold themselves out to investors as related companies (products) for purposes of investment and investor services should consider themselves part of the same family if the operational or accounting or control systems under which these entities function are substantially similar. |
| a. Is the Registrant part of a family of investment companies? |
Yes
No
|
| i. Full name of family of investment companies | BlackRock-advised Funds |
Item B.6. Organization.
| Instruction. For Item B.6.a.i., the Registrant should include all Series that have been established by the Registrant and have shares outstanding (other than shares issued in connection with an initial investment to satisfy section 14(a) of the Act). |
| Indicate the classification of the Registrant by checking the applicable item below. |
| i. Total number of Series of the Registrant | 2 |
Item B.7. Securities Act registration.
| Is the Registrant the issuer of a class of securities registered under the Securities Act of 1933 ("Securities Act")? |
Yes
No
|
Item B.8. Directors.
| Provide the information requested below about each person serving as director of the Registrant (management investment companies only): |
| Director Record: 1 | |
| a. Full Name | Cynthia A. Montgomery |
| 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: | 811-05178 |
| File Number Record: 2 | |
| File Number Record: | 811-07171 |
| File Number Record: 3 | |
| File Number Record: | 811-04612 |
| File Number Record: 4 | |
| File Number Record: | 811-03091 |
| File Number Record: 5 | |
| File Number Record: | 811-05742 |
| File Number Record: 6 | |
| File Number Record: | 811-04282 |
| File Number Record: 7 | |
| File Number Record: | 811-02405 |
| File Number Record: 8 | |
| File Number Record: | 811-22061 |
| File Number Record: 9 | |
| File Number Record: | 811-02661 |
| File Number Record: 10 | |
| File Number Record: | 811-08797 |
| File Number Record: 11 | |
| File Number Record: | 811-02809 |
| File Number Record: 12 | |
| File Number Record: | 811-23402 |
| File Number Record: 13 | |
| File Number Record: | 811-07885 |
| File Number Record: 14 | |
| File Number Record: | 811-21763 |
| File Number Record: 15 | |
| File Number Record: | 811-03189 |
| File Number Record: 16 | |
| File Number Record: | 811-05723 |
| File Number Record: 17 | |
| File Number Record: | 811-07332 |
| File Number Record: 18 | |
| File Number Record: | 811-02354 |
| File Number Record: 19 | |
| File Number Record: | 811-05576 |
| File Number Record: 20 | |
| File Number Record: | 811-09637 |
| File Number Record: 21 | |
| File Number Record: | 811-07177 |
| File Number Record: 22 | |
| File Number Record: | 811-06669 |
| File Number Record: 23 | |
| File Number Record: | 811-09651 |
| File Number Record: 24 | |
| File Number Record: | 811-02739 |
| File Number Record: 25 | |
| File Number Record: | 811-21759 |
| File Number Record: 26 | |
| File Number Record: | 811-03290 |
| File Number Record: 27 | |
| File Number Record: | 811-08162 |
| Director Record: 2 | |
| a. Full Name | Kenneth L. Urish |
| b. CRD number, if any | 005352005 |
| 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: | 811-09637 |
| File Number Record: 2 | |
| File Number Record: | 811-21763 |
| File Number Record: 3 | |
| File Number Record: | 811-05723 |
| File Number Record: 4 | |
| File Number Record: | 811-04612 |
| File Number Record: 5 | |
| File Number Record: | 811-21759 |
| File Number Record: 6 | |
| File Number Record: | 811-06669 |
| File Number Record: 7 | |
| File Number Record: | 811-02661 |
| File Number Record: 8 | |
| File Number Record: | 811-03091 |
| File Number Record: 9 | |
| File Number Record: | 811-04282 |
| File Number Record: 10 | |
| File Number Record: | 811-23402 |
| File Number Record: 11 | |
| File Number Record: | 811-02405 |
| File Number Record: 12 | |
| File Number Record: | 811-05742 |
| File Number Record: 13 | |
| File Number Record: | 811-03290 |
| File Number Record: 14 | |
| File Number Record: | 811-02354 |
| File Number Record: 15 | |
| File Number Record: | 811-02809 |
| File Number Record: 16 | |
| File Number Record: | 811-07332 |
| File Number Record: 17 | |
| File Number Record: | 811-07885 |
| File Number Record: 18 | |
| File Number Record: | 811-22061 |
| File Number Record: 19 | |
| File Number Record: | 811-03189 |
| File Number Record: 20 | |
| File Number Record: | 811-08797 |
| File Number Record: 21 | |
| File Number Record: | 811-07171 |
| File Number Record: 22 | |
| File Number Record: | 811-07177 |
| File Number Record: 23 | |
| File Number Record: | 811-05178 |
| File Number Record: 24 | |
| File Number Record: | 811-08162 |
| File Number Record: 25 | |
| File Number Record: | 811-05576 |
| File Number Record: 26 | |
| File Number Record: | 811-09651 |
| File Number Record: 27 | |
| File Number Record: | 811-02739 |
| Director Record: 3 | |
| a. Full Name | John M. Perlowski |
| 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: | 811-02809 |
| File Number Record: 2 | |
| File Number Record: | 811-22606 |
| File Number Record: 3 | |
| File Number Record: | 811-06660 |
| File Number Record: 4 | |
| File Number Record: | 811-21759 |
| File Number Record: 5 | |
| File Number Record: | 811-06414 |
| File Number Record: 6 | |
| File Number Record: | 811-05723 |
| File Number Record: 7 | |
| File Number Record: | 811-23466 |
| File Number Record: 8 | |
| File Number Record: | 811-10337 |
| File Number Record: 9 | |
| File Number Record: | 811-08603 |
| File Number Record: 10 | |
| File Number Record: | 811-23626 |
| File Number Record: 11 | |
| File Number Record: | 811-10339 |
| File Number Record: 12 | |
| File Number Record: | 811-03189 |
| File Number Record: 13 | |
| File Number Record: | 811-03290 |
| File Number Record: 14 | |
| File Number Record: | 811-02661 |
| File Number Record: 15 | |
| File Number Record: | 811-09637 |
| File Number Record: 16 | |
| File Number Record: | 811-22501 |
| File Number Record: 17 | |
| File Number Record: | 811-21793 |
| File Number Record: 18 | |
| File Number Record: | 811-22426 |
| File Number Record: 19 | |
| File Number Record: | 811-21729 |
| File Number Record: 20 | |
| File Number Record: | 811-21126 |
| File Number Record: 21 | |
| File Number Record: | 811-22774 |
| File Number Record: 22 | |
| File Number Record: | 811-05603 |
| File Number Record: 23 | |
| File Number Record: | 811-23339 |
| File Number Record: 24 | |
| File Number Record: | 811-22603 |
| File Number Record: 25 | |
| File Number Record: | 811-22991 |
| File Number Record: 26 | |
| File Number Record: | 811-08217 |
| File Number Record: 27 | |
| File Number Record: | 811-21656 |
| File Number Record: 28 | |
| File Number Record: | 811-07642 |
| File Number Record: 29 | |
| File Number Record: | 811-09651 |
| File Number Record: 30 | |
| File Number Record: | 811-21413 |
| File Number Record: 31 | |
| File Number Record: | 811-04282 |
| File Number Record: 32 | |
| File Number Record: | 811-21318 |
| File Number Record: 33 | |
| File Number Record: | 811-02739 |
| File Number Record: 34 | |
| File Number Record: | 811-21434 |
| File Number Record: 35 | |
| File Number Record: | 811-07332 |
| File Number Record: 36 | |
| File Number Record: | 811-07136 |
| File Number Record: 37 | |
| File Number Record: | 811-21566 |
| File Number Record: 38 | |
| File Number Record: | 811-21349 |
| File Number Record: 39 | |
| File Number Record: | 811-09191 |
| File Number Record: 40 | |
| File Number Record: | 811-21702 |
| File Number Record: 41 | |
| File Number Record: | 811-23428 |
| File Number Record: 42 | |
| File Number Record: | 811-06728 |
| File Number Record: 43 | |
| File Number Record: | 811-03091 |
| File Number Record: 44 | |
| File Number Record: | 811-07478 |
| File Number Record: 45 | |
| File Number Record: | 811-06669 |
| File Number Record: 46 | |
| File Number Record: | 811-21763 |
| File Number Record: 47 | |
| File Number Record: | 811-05611 |
| File Number Record: 48 | |
| File Number Record: | 811-04802 |
| File Number Record: 49 | |
| File Number Record: | 811-23625 |
| File Number Record: 50 | |
| File Number Record: | 811-02688 |
| File Number Record: 51 | |
| File Number Record: | 811-21506 |
| File Number Record: 52 | |
| File Number Record: | 811-04612 |
| File Number Record: 53 | |
| File Number Record: | 811-23584 |
| File Number Record: 54 | |
| File Number Record: | 811-10331 |
| File Number Record: 55 | |
| File Number Record: | 811-06500 |
| File Number Record: 56 | |
| File Number Record: | 811-08081 |
| File Number Record: 57 | |
| File Number Record: | 811-04375 |
| File Number Record: 58 | |
| File Number Record: | 811-05542 |
| File Number Record: 59 | |
| File Number Record: | 811-08797 |
| File Number Record: 60 | |
| File Number Record: | 811-21053 |
| File Number Record: 61 | |
| File Number Record: | 811-21835 |
| File Number Record: 62 | |
| File Number Record: | 811-07177 |
| File Number Record: 63 | |
| File Number Record: | 811-23380 |
| File Number Record: 64 | |
| File Number Record: | 811-23346 |
| File Number Record: 65 | |
| File Number Record: | 811-05178 |
| File Number Record: 66 | |
| File Number Record: | 811-21178 |
| File Number Record: 67 | |
| File Number Record: | 811-23341 |
| File Number Record: 68 | |
| File Number Record: | 811-08621 |
| File Number Record: 69 | |
| File Number Record: | 811-23340 |
| File Number Record: 70 | |
| File Number Record: | 811-07080 |
| File Number Record: 71 | |
| File Number Record: | 811-07885 |
| File Number Record: 72 | |
| File Number Record: | 811-22061 |
| File Number Record: 73 | |
| File Number Record: | 811-07171 |
| File Number Record: 74 | |
| File Number Record: | 811-23343 |
| File Number Record: 75 | |
| File Number Record: | 811-23564 |
| File Number Record: 76 | |
| File Number Record: | 811-02354 |
| File Number Record: 77 | |
| File Number Record: | 811-21784 |
| File Number Record: 78 | |
| File Number Record: | 811-08573 |
| File Number Record: 79 | |
| File Number Record: | 811-05576 |
| File Number Record: 80 | |
| File Number Record: | 811-23285 |
| File Number Record: 81 | |
| File Number Record: | 811-21457 |
| File Number Record: 82 | |
| File Number Record: | 811-23402 |
| File Number Record: 83 | |
| File Number Record: | 811-23701 |
| File Number Record: 84 | |
| File Number Record: | 811-02857 |
| File Number Record: 85 | |
| File Number Record: | 811-23344 |
| File Number Record: 86 | |
| File Number Record: | 811-21348 |
| File Number Record: 87 | |
| File Number Record: | 811-23621 |
| File Number Record: 88 | |
| File Number Record: | 811-04264 |
| File Number Record: 89 | |
| File Number Record: | 811-07354 |
| File Number Record: 90 | |
| File Number Record: | 811-05742 |
| File Number Record: 91 | |
| File Number Record: | 811-10543 |
| File Number Record: 92 | |
| File Number Record: | 811-22032 |
| File Number Record: 93 | |
| File Number Record: | 811-08162 |
| File Number Record: 94 | |
| File Number Record: | 811-06540 |
| File Number Record: 95 | |
| File Number Record: | 811-02405 |
| File Number Record: 96 | |
| File Number Record: | 811-23511 |
| File Number Record: 97 | |
| File Number Record: | 811-23345 |
| File Number Record: 98 | |
| File Number Record: | 811-21972 |
| Director Record: 4 | |
| a. Full Name | Mark Stalnecker |
| 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: | 811-08162 |
| File Number Record: 2 | |
| File Number Record: | 811-02405 |
| File Number Record: 3 | |
| File Number Record: | 811-02661 |
| File Number Record: 4 | |
| File Number Record: | 811-08797 |
| File Number Record: 5 | |
| File Number Record: | 811-05178 |
| File Number Record: 6 | |
| File Number Record: | 811-03290 |
| File Number Record: 7 | |
| File Number Record: | 811-07332 |
| File Number Record: 8 | |
| File Number Record: | 811-04282 |
| File Number Record: 9 | |
| File Number Record: | 811-04612 |
| File Number Record: 10 | |
| File Number Record: | 811-09651 |
| File Number Record: 11 | |
| File Number Record: | 811-02739 |
| File Number Record: 12 | |
| File Number Record: | 811-03189 |
| File Number Record: 13 | |
| File Number Record: | 811-02809 |
| File Number Record: 14 | |
| File Number Record: | 811-21759 |
| File Number Record: 15 | |
| File Number Record: | 811-23402 |
| File Number Record: 16 | |
| File Number Record: | 811-21763 |
| File Number Record: 17 | |
| File Number Record: | 811-05723 |
| File Number Record: 18 | |
| File Number Record: | 811-06669 |
| File Number Record: 19 | |
| File Number Record: | 811-03091 |
| File Number Record: 20 | |
| File Number Record: | 811-07171 |
| File Number Record: 21 | |
| File Number Record: | 811-02354 |
| File Number Record: 22 | |
| File Number Record: | 811-07885 |
| File Number Record: 23 | |
| File Number Record: | 811-05576 |
| File Number Record: 24 | |
| File Number Record: | 811-22061 |
| File Number Record: 25 | |
| File Number Record: | 811-09637 |
| File Number Record: 26 | |
| File Number Record: | 811-05742 |
| File Number Record: 27 | |
| File Number Record: | 811-07177 |
| Director Record: 5 | |
| a. Full Name | Susan J. Carter |
| 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: | 811-05723 |
| File Number Record: 2 | |
| File Number Record: | 811-02661 |
| File Number Record: 3 | |
| File Number Record: | 811-05576 |
| File Number Record: 4 | |
| File Number Record: | 811-09651 |
| File Number Record: 5 | |
| File Number Record: | 811-02354 |
| File Number Record: 6 | |
| File Number Record: | 811-03091 |
| File Number Record: 7 | |
| File Number Record: | 811-05742 |
| File Number Record: 8 | |
| File Number Record: | 811-04612 |
| File Number Record: 9 | |
| File Number Record: | 811-07332 |
| File Number Record: 10 | |
| File Number Record: | 811-23402 |
| File Number Record: 11 | |
| File Number Record: | 811-09637 |
| File Number Record: 12 | |
| File Number Record: | 811-05178 |
| File Number Record: 13 | |
| File Number Record: | 811-21763 |
| File Number Record: 14 | |
| File Number Record: | 811-03290 |
| File Number Record: 15 | |
| File Number Record: | 811-02739 |
| File Number Record: 16 | |
| File Number Record: | 811-07885 |
| File Number Record: 17 | |
| File Number Record: | 811-08797 |
| File Number Record: 18 | |
| File Number Record: | 811-06669 |
| File Number Record: 19 | |
| File Number Record: | 811-08162 |
| File Number Record: 20 | |
| File Number Record: | 811-07177 |
| File Number Record: 21 | |
| File Number Record: | 811-21759 |
| File Number Record: 22 | |
| File Number Record: | 811-03189 |
| File Number Record: 23 | |
| File Number Record: | 811-04282 |
| File Number Record: 24 | |
| File Number Record: | 811-07171 |
| File Number Record: 25 | |
| File Number Record: | 811-22061 |
| File Number Record: 26 | |
| File Number Record: | 811-02405 |
| File Number Record: 27 | |
| File Number Record: | 811-02809 |
| Director Record: 6 | |
| a. Full Name | Donald C. Opatrny |
| 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: | 811-09637 |
| File Number Record: 2 | |
| File Number Record: | 811-02354 |
| File Number Record: 3 | |
| File Number Record: | 811-03290 |
| File Number Record: 4 | |
| File Number Record: | 811-05576 |
| File Number Record: 5 | |
| File Number Record: | 811-07332 |
| File Number Record: 6 | |
| File Number Record: | 811-04282 |
| File Number Record: 7 | |
| File Number Record: | 811-02661 |
| File Number Record: 8 | |
| File Number Record: | 811-08162 |
| File Number Record: 9 | |
| File Number Record: | 811-21759 |
| File Number Record: 10 | |
| File Number Record: | 811-07177 |
| File Number Record: 11 | |
| File Number Record: | 811-07885 |
| File Number Record: 12 | |
| File Number Record: | 811-05178 |
| File Number Record: 13 | |
| File Number Record: | 811-03189 |
| File Number Record: 14 | |
| File Number Record: | 811-05723 |
| File Number Record: 15 | |
| File Number Record: | 811-22061 |
| File Number Record: 16 | |
| File Number Record: | 811-02809 |
| File Number Record: 17 | |
| File Number Record: | 811-06669 |
| File Number Record: 18 | |
| File Number Record: | 811-05742 |
| File Number Record: 19 | |
| File Number Record: | 811-02739 |
| File Number Record: 20 | |
| File Number Record: | 811-02405 |
| File Number Record: 21 | |
| File Number Record: | 811-04612 |
| File Number Record: 22 | |
| File Number Record: | 811-07171 |
| File Number Record: 23 | |
| File Number Record: | 811-08797 |
| File Number Record: 24 | |
| File Number Record: | 811-09651 |
| File Number Record: 25 | |
| File Number Record: | 811-23402 |
| File Number Record: 26 | |
| File Number Record: | 811-03091 |
| File Number Record: 27 | |
| File Number Record: | 811-21763 |
| Director Record: 7 | |
| a. Full Name | Henry R. Keizer |
| 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: | 811-07332 |
| File Number Record: 2 | |
| File Number Record: | 811-22061 |
| File Number Record: 3 | |
| File Number Record: | 811-03189 |
| File Number Record: 4 | |
| File Number Record: | 811-07171 |
| File Number Record: 5 | |
| File Number Record: | 811-08162 |
| File Number Record: 6 | |
| File Number Record: | 811-08797 |
| File Number Record: 7 | |
| File Number Record: | 811-03290 |
| File Number Record: 8 | |
| File Number Record: | 811-04612 |
| File Number Record: 9 | |
| File Number Record: | 811-07885 |
| File Number Record: 10 | |
| File Number Record: | 811-02354 |
| File Number Record: 11 | |
| File Number Record: | 811-21759 |
| File Number Record: 12 | |
| File Number Record: | 811-03091 |
| File Number Record: 13 | |
| File Number Record: | 811-09637 |
| File Number Record: 14 | |
| File Number Record: | 811-21763 |
| File Number Record: 15 | |
| File Number Record: | 811-02405 |
| File Number Record: 16 | |
| File Number Record: | 811-07177 |
| File Number Record: 17 | |
| File Number Record: | 811-09651 |
| File Number Record: 18 | |
| File Number Record: | 811-05576 |
| File Number Record: 19 | |
| File Number Record: | 811-23402 |
| File Number Record: 20 | |
| File Number Record: | 811-04282 |
| File Number Record: 21 | |
| File Number Record: | 811-02661 |
| File Number Record: 22 | |
| File Number Record: | 811-02739 |
| File Number Record: 23 | |
| File Number Record: | 811-02809 |
| File Number Record: 24 | |
| File Number Record: | 811-05723 |
| File Number Record: 25 | |
| File Number Record: | 811-06669 |
| File Number Record: 26 | |
| File Number Record: | 811-05178 |
| File Number Record: 27 | |
| File Number Record: | 811-05742 |
| Director Record: 8 | |
| a. Full Name | Lena G. Goldberg |
| 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: | 811-02809 |
| File Number Record: 2 | |
| File Number Record: | 811-23402 |
| File Number Record: 3 | |
| File Number Record: | 811-21759 |
| File Number Record: 4 | |
| File Number Record: | 811-04282 |
| File Number Record: 5 | |
| File Number Record: | 811-05178 |
| File Number Record: 6 | |
| File Number Record: | 811-03189 |
| File Number Record: 7 | |
| File Number Record: | 811-05576 |
| File Number Record: 8 | |
| File Number Record: | 811-07332 |
| File Number Record: 9 | |
| File Number Record: | 811-22061 |
| File Number Record: 10 | |
| File Number Record: | 811-08797 |
| File Number Record: 11 | |
| File Number Record: | 811-21763 |
| File Number Record: 12 | |
| File Number Record: | 811-02661 |
| File Number Record: 13 | |
| File Number Record: | 811-08162 |
| File Number Record: 14 | |
| File Number Record: | 811-02354 |
| File Number Record: 15 | |
| File Number Record: | 811-02739 |
| File Number Record: 16 | |
| File Number Record: | 811-02405 |
| File Number Record: 17 | |
| File Number Record: | 811-06669 |
| File Number Record: 18 | |
| File Number Record: | 811-07885 |
| File Number Record: 19 | |
| File Number Record: | 811-03091 |
| File Number Record: 20 | |
| File Number Record: | 811-04612 |
| File Number Record: 21 | |
| File Number Record: | 811-09651 |
| File Number Record: 22 | |
| File Number Record: | 811-05742 |
| File Number Record: 23 | |
| File Number Record: | 811-09637 |
| File Number Record: 24 | |
| File Number Record: | 811-07171 |
| File Number Record: 25 | |
| File Number Record: | 811-05723 |
| File Number Record: 26 | |
| File Number Record: | 811-03290 |
| File Number Record: 27 | |
| File Number Record: | 811-07177 |
| Director Record: 9 | |
| a. Full Name | Claire A. Walton |
| 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: | 811-02739 |
| File Number Record: 2 | |
| File Number Record: | 811-07885 |
| File Number Record: 3 | |
| File Number Record: | 811-03290 |
| File Number Record: 4 | |
| File Number Record: | 811-21763 |
| File Number Record: 5 | |
| File Number Record: | 811-07332 |
| File Number Record: 6 | |
| File Number Record: | 811-23402 |
| File Number Record: 7 | |
| File Number Record: | 811-07171 |
| File Number Record: 8 | |
| File Number Record: | 811-04612 |
| File Number Record: 9 | |
| File Number Record: | 811-03091 |
| File Number Record: 10 | |
| File Number Record: | 811-04282 |
| File Number Record: 11 | |
| File Number Record: | 811-02354 |
| File Number Record: 12 | |
| File Number Record: | 811-02405 |
| File Number Record: 13 | |
| File Number Record: | 811-02809 |
| File Number Record: 14 | |
| File Number Record: | 811-05178 |
| File Number Record: 15 | |
| File Number Record: | 811-05576 |
| File Number Record: 16 | |
| File Number Record: | 811-02661 |
| File Number Record: 17 | |
| File Number Record: | 811-03189 |
| File Number Record: 18 | |
| File Number Record: | 811-08162 |
| File Number Record: 19 | |
| File Number Record: | 811-05742 |
| File Number Record: 20 | |
| File Number Record: | 811-08797 |
| File Number Record: 21 | |
| File Number Record: | 811-06669 |
| File Number Record: 22 | |
| File Number Record: | 811-07177 |
| File Number Record: 23 | |
| File Number Record: | 811-05723 |
| File Number Record: 24 | |
| File Number Record: | 811-09651 |
| File Number Record: 25 | |
| File Number Record: | 811-22061 |
| File Number Record: 26 | |
| File Number Record: | 811-21759 |
| File Number Record: 27 | |
| File Number Record: | 811-09637 |
| Director Record: 10 | |
| a. Full Name | Collette Chilton |
| 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: | 811-09651 |
| File Number Record: 2 | |
| File Number Record: | 811-21759 |
| File Number Record: 3 | |
| File Number Record: | 811-02809 |
| File Number Record: 4 | |
| File Number Record: | 811-22061 |
| File Number Record: 5 | |
| File Number Record: | 811-04282 |
| File Number Record: 6 | |
| File Number Record: | 811-05723 |
| File Number Record: 7 | |
| File Number Record: | 811-07177 |
| File Number Record: 8 | |
| File Number Record: | 811-03091 |
| File Number Record: 9 | |
| File Number Record: | 811-08797 |
| File Number Record: 10 | |
| File Number Record: | 811-07171 |
| File Number Record: 11 | |
| File Number Record: | 811-02661 |
| File Number Record: 12 | |
| File Number Record: | 811-23402 |
| File Number Record: 13 | |
| File Number Record: | 811-02354 |
| File Number Record: 14 | |
| File Number Record: | 811-02739 |
| File Number Record: 15 | |
| File Number Record: | 811-07885 |
| File Number Record: 16 | |
| File Number Record: | 811-03290 |
| File Number Record: 17 | |
| File Number Record: | 811-21763 |
| File Number Record: 18 | |
| File Number Record: | 811-02405 |
| File Number Record: 19 | |
| File Number Record: | 811-05576 |
| File Number Record: 20 | |
| File Number Record: | 811-06669 |
| File Number Record: 21 | |
| File Number Record: | 811-05178 |
| File Number Record: 22 | |
| File Number Record: | 811-05742 |
| File Number Record: 23 | |
| File Number Record: | 811-03189 |
| File Number Record: 24 | |
| File Number Record: | 811-04612 |
| File Number Record: 25 | |
| File Number Record: | 811-09637 |
| File Number Record: 26 | |
| File Number Record: | 811-07332 |
| File Number Record: 27 | |
| File Number Record: | 811-08162 |
| Director Record: 11 | |
| a. Full Name | Robert Fairbairn |
| b. CRD number, if any | 004992372 |
| 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: | 811-21178 |
| File Number Record: 2 | |
| File Number Record: | 811-06414 |
| File Number Record: 3 | |
| File Number Record: | 811-04375 |
| File Number Record: 4 | |
| File Number Record: | 811-03091 |
| File Number Record: 5 | |
| File Number Record: | 811-04612 |
| File Number Record: 6 | |
| File Number Record: | 811-21348 |
| File Number Record: 7 | |
| File Number Record: | 811-23346 |
| File Number Record: 8 | |
| File Number Record: | 811-21784 |
| File Number Record: 9 | |
| File Number Record: | 811-21457 |
| File Number Record: 10 | |
| File Number Record: | 811-02354 |
| File Number Record: 11 | |
| File Number Record: | 811-07332 |
| File Number Record: 12 | |
| File Number Record: | 811-22032 |
| File Number Record: 13 | |
| File Number Record: | 811-07177 |
| File Number Record: 14 | |
| File Number Record: | 811-07136 |
| File Number Record: 15 | |
| File Number Record: | 811-23285 |
| File Number Record: 16 | |
| File Number Record: | 811-07642 |
| File Number Record: 17 | |
| File Number Record: | 811-04282 |
| File Number Record: 18 | |
| File Number Record: | 811-02809 |
| File Number Record: 19 | |
| File Number Record: | 811-05611 |
| File Number Record: 20 | |
| File Number Record: | 811-23625 |
| File Number Record: 21 | |
| File Number Record: | 811-23428 |
| File Number Record: 22 | |
| File Number Record: | 811-08621 |
| File Number Record: 23 | |
| File Number Record: | 811-22606 |
| File Number Record: 24 | |
| File Number Record: | 811-05742 |
| File Number Record: 25 | |
| File Number Record: | 811-23466 |
| File Number Record: 26 | |
| File Number Record: | 811-09651 |
| File Number Record: 27 | |
| File Number Record: | 811-21434 |
| File Number Record: 28 | |
| File Number Record: | 811-23341 |
| File Number Record: 29 | |
| File Number Record: | 811-06500 |
| File Number Record: 30 | |
| File Number Record: | 811-23343 |
| File Number Record: 31 | |
| File Number Record: | 811-23339 |
| File Number Record: 32 | |
| File Number Record: | 811-21656 |
| File Number Record: 33 | |
| File Number Record: | 811-10543 |
| File Number Record: 34 | |
| File Number Record: | 811-22501 |
| File Number Record: 35 | |
| File Number Record: | 811-21566 |
| File Number Record: 36 | |
| File Number Record: | 811-02661 |
| File Number Record: 37 | |
| File Number Record: | 811-09191 |
| File Number Record: 38 | |
| File Number Record: | 811-23621 |
| File Number Record: 39 | |
| File Number Record: | 811-07171 |
| File Number Record: 40 | |
| File Number Record: | 811-21702 |
| File Number Record: 41 | |
| File Number Record: | 811-06540 |
| File Number Record: 42 | |
| File Number Record: | 811-07478 |
| File Number Record: 43 | |
| File Number Record: | 811-07354 |
| File Number Record: 44 | |
| File Number Record: | 811-10337 |
| File Number Record: 45 | |
| File Number Record: | 811-05576 |
| File Number Record: 46 | |
| File Number Record: | 811-09637 |
| File Number Record: 47 | |
| File Number Record: | 811-21793 |
| File Number Record: 48 | |
| File Number Record: | 811-21835 |
| File Number Record: 49 | |
| File Number Record: | 811-07885 |
| File Number Record: 50 | |
| File Number Record: | 811-08573 |
| File Number Record: 51 | |
| File Number Record: | 811-23511 |
| File Number Record: 52 | |
| File Number Record: | 811-21318 |
| File Number Record: 53 | |
| File Number Record: | 811-10339 |
| File Number Record: 54 | |
| File Number Record: | 811-21759 |
| File Number Record: 55 | |
| File Number Record: | 811-22603 |
| File Number Record: 56 | |
| File Number Record: | 811-05178 |
| File Number Record: 57 | |
| File Number Record: | 811-21053 |
| File Number Record: 58 | |
| File Number Record: | 811-23345 |
| File Number Record: 59 | |
| File Number Record: | 811-21506 |
| File Number Record: 60 | |
| File Number Record: | 811-05603 |
| File Number Record: 61 | |
| File Number Record: | 811-21413 |
| File Number Record: 62 | |
| File Number Record: | 811-08081 |
| File Number Record: 63 | |
| File Number Record: | 811-23626 |
| File Number Record: 64 | |
| File Number Record: | 811-21349 |
| File Number Record: 65 | |
| File Number Record: | 811-05542 |
| File Number Record: 66 | |
| File Number Record: | 811-02405 |
| File Number Record: 67 | |
| File Number Record: | 811-04802 |
| File Number Record: 68 | |
| File Number Record: | 811-02739 |
| File Number Record: 69 | |
| File Number Record: | 811-23564 |
| File Number Record: 70 | |
| File Number Record: | 811-23701 |
| File Number Record: 71 | |
| File Number Record: | 811-21729 |
| File Number Record: 72 | |
| File Number Record: | 811-06660 |
| File Number Record: 73 | |
| File Number Record: | 811-03290 |
| File Number Record: 74 | |
| File Number Record: | 811-22774 |
| File Number Record: 75 | |
| File Number Record: | 811-22061 |
| File Number Record: 76 | |
| File Number Record: | 811-22991 |
| File Number Record: 77 | |
| File Number Record: | 811-07080 |
| File Number Record: 78 | |
| File Number Record: | 811-21763 |
| File Number Record: 79 | |
| File Number Record: | 811-08797 |
| File Number Record: 80 | |
| File Number Record: | 811-23340 |
| File Number Record: 81 | |
| File Number Record: | 811-02857 |
| File Number Record: 82 | |
| File Number Record: | 811-22426 |
| File Number Record: 83 | |
| File Number Record: | 811-04264 |
| File Number Record: 84 | |
| File Number Record: | 811-23402 |
| File Number Record: 85 | |
| File Number Record: | 811-02688 |
| File Number Record: 86 | |
| File Number Record: | 811-05723 |
| File Number Record: 87 | |
| File Number Record: | 811-08162 |
| File Number Record: 88 | |
| File Number Record: | 811-06728 |
| File Number Record: 89 | |
| File Number Record: | 811-23344 |
| File Number Record: 90 | |
| File Number Record: | 811-21972 |
| File Number Record: 91 | |
| File Number Record: | 811-21126 |
| File Number Record: 92 | |
| File Number Record: | 811-08217 |
| File Number Record: 93 | |
| File Number Record: | 811-06669 |
| File Number Record: 94 | |
| File Number Record: | 811-08603 |
| File Number Record: 95 | |
| File Number Record: | 811-10331 |
| File Number Record: 96 | |
| File Number Record: | 811-03189 |
| Director Record: 12 | |
| a. Full Name | Neil A. Cotty |
| 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: | 811-08797 |
| File Number Record: 2 | |
| File Number Record: | 811-03290 |
| File Number Record: 3 | |
| File Number Record: | 811-07332 |
| File Number Record: 4 | |
| File Number Record: | 811-02661 |
| File Number Record: 5 | |
| File Number Record: | 811-05723 |
| File Number Record: 6 | |
| File Number Record: | 811-02739 |
| File Number Record: 7 | |
| File Number Record: | 811-02405 |
| File Number Record: 8 | |
| File Number Record: | 811-05178 |
| File Number Record: 9 | |
| File Number Record: | 811-05576 |
| File Number Record: 10 | |
| File Number Record: | 811-07885 |
| File Number Record: 11 | |
| File Number Record: | 811-05742 |
| File Number Record: 12 | |
| File Number Record: | 811-09637 |
| File Number Record: 13 | |
| File Number Record: | 811-02809 |
| File Number Record: 14 | |
| File Number Record: | 811-07171 |
| File Number Record: 15 | |
| File Number Record: | 811-02354 |
| File Number Record: 16 | |
| File Number Record: | 811-22061 |
| File Number Record: 17 | |
| File Number Record: | 811-07177 |
| File Number Record: 18 | |
| File Number Record: | 811-21759 |
| File Number Record: 19 | |
| File Number Record: | 811-03091 |
| File Number Record: 20 | |
| File Number Record: | 811-04612 |
| File Number Record: 21 | |
| File Number Record: | 811-04282 |
| File Number Record: 22 | |
| File Number Record: | 811-06669 |
| File Number Record: 23 | |
| File Number Record: | 811-08162 |
| File Number Record: 24 | |
| File Number Record: | 811-03189 |
| File Number Record: 25 | |
| File Number Record: | 811-23402 |
| File Number Record: 26 | |
| File Number Record: | 811-21763 |
| File Number Record: 27 | |
| File Number Record: | 811-09651 |
Item B.9. Chief compliance officer.
| Provide the information requested below about each person serving as chief compliance officer of the Registrant for purposes of rule 38a-1 (17 CFR 270.38a- 1): |
| Chief compliance officer Record: 1 | |
| a. Full Name | Aaron Wasserman |
| b. CRD Number, if any | N/A |
| c. Street Address 1 | 50 Hudson Yards |
| Street Address 2 | |
| d. City | New York |
| e. State, if applicable |
NEW YORK
|
| f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| g. Zip code and zip code extension, or foreign postal code | 10001 |
| h. Telephone number (including country code if foreign) | XXXXXX |
| i. Has the chief compliance officer changed since the last filing? |
Yes
No
|
| If the chief compliance officer is compensated or employed by any person other than the Registrant, or an affiliated person of the Registrant, for providing chief compliance officer services, provide: |
| CCO employer Record: 1 | |
| i. Name of the person | N/A |
| ii. Person's IRS Employer Identification Number | N/A |
Item B.10. Matters for security holder vote.
| Instruction. Registrants registered on Forms N-3, N-4 or N-6, should respond "yes" to this Item only if security holder votes were solicited on contract-level matters. |
| Were any matters submitted by the Registrant for its security holders' vote during the reporting period? |
Yes
No
|
Item B.11. Legal proceeding.
| Instruction. For purposes of this Item, the following proceedings should be described: (1) any bankruptcy, receivership or similar proceeding with respect to the Registrant or any of its significant subsidiaries; (2) any proceeding to which any director, officer or other affiliated person of the Registrant is a party adverse to the Registrant or any of its subsidiaries; and (3) any proceeding involving the revocation or suspension of the right of the Registrant to sell securities. |
| a. Have there been any material legal proceedings, other than routine litigation incidental to the business, to which the Registrant or any of its subsidiaries was a party or of which any of their property was the subject during the reporting period? |
Yes
No
|
| b. Has any proceeding previously reported been terminated? |
Yes
No
|
Item B.12. Fidelity bond and insurance (management investment companies only).
| a. Were any claims with respect to the Registrant filed under a fidelity bond (including, but not limited to, the fidelity insuring agreement of the bond) during the reporting period? |
Yes
No
|
Item B.13. Directors and officers/errors and omissions insurance (management investment companies only).
| a. Are the Registrant's officers or directors covered in their capacities as officers or directors under any directors and officers/errors and omissions insurance policy owned by the Registrant or anyone else? |
Yes
No
|
| i. If yes, were any claims filed under the policy during the reporting period with respect to the Registrant? |
Yes
No
|
Item B.14. Provision of financial support.
| Instruction. For purposes of this Item, a provision of financial support includes any (1) capital contribution, (2) purchase of a security from a Money Market Fund in reliance on rule 17a-9 under the Act (17 CFR 270.17a-9), (3) purchase of any defaulted or devalued security at fair value reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio, (4) execution of letter of credit or letter of indemnity, (5) capital support agreement (whether or not the Registrant ultimately received support), (6) performance guarantee, or (7) other similar action reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. Provision of financial support does not include any (1) routine waiver of fees or reimbursement of Registrant's expenses, (2) routine inter-fund lending, (3) routine inter-fund purchases of Registrant's shares, or (4) action that would qualify as financial support as defined above, that the board of directors has otherwise determined not to be reasonably intended to increase or stabilize the value or liquidity of the Registrant's portfolio. |
| Did an affiliated person, promoter, or principal underwriter of the Registrant, or an affiliated person of such a person, provide any form of financial support to the Registrant during the reporting period? |
Yes
No
|
Item B.15. Exemptive orders.
| a. During the reporting period, did the Registrant rely on any orders from the Commission granting an exemption from one or more provisions of the Act, Securities Act or Exchange Act? |
Yes
No
|
| Release number Record: 1 | |
| i. If yes, provide below the release number for each order | IC-32252 |
| Release number Record: 2 | |
| i. If yes, provide below the release number for each order | IC-25878 |
Item B.16. Principal underwriters.
| a. Provide the information requested below about each principal underwriter: |
| Principal underwriter Record: 1 | |
| i. Full name | BlackRock Investments, LLC |
| ii. SEC file number (e.g., 8-) | 8-48436 |
| iii. CRD number | 000038642 |
| iv. LEI, if any | 54930061FBHCKXL2G714 |
| v. State, if applicable |
NEW YORK
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Is the principal underwriter an affiliated person of the Registrant, or its investment adviser(s) or depositor? |
Yes
No
|
| b. Have any principal underwriters been hired or terminated during the reporting period? |
Yes
No
|
Item B.17. Independent public accountant.
| Provide the following information about eachthe independent public accountant: |
| Public accountant Record: 1 | |
| a. Full Name | Deloitte & Touche LLP |
| b. PCAOB Number | 34 |
| c. LEI, if any | N/A |
| d. State, if applicable |
MASSACHUSETTS
|
| e. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| f. Has the independent public accountant changed since the last filing? |
Yes
No
|
Item B.18. Report on internal control (management investment companies only).
| Instruction. Small business investment companies are not required to respond to this item. |
| For the reporting period, did an independent public accountant's report on internal control note any material weaknesses? |
Yes
No
|
Item B.19. Audit opinion.
| For the reporting period, did an independent public accountant issue an opinion other than an unqualified opinion with respect to its audit of the Registrant's financial statements? |
Yes
No
|
Item B.20. Change in valuation methods.
| Instruction. Responses to this item need not include changes to valuation techniques used for individual securities (e.g., changing from market approach to income approach for a private equity security). In responding to Item B.20.c., provide the applicable "asset type" category specified in Item C.4.a. of Form N-PORT. In responding to Item B.20.d., provide a brief description of the type of investments involved. If the change in valuation methods applies only to certain sub-asset types included in the response to Item B.20.c., please provide the sub-asset types in the response to Item B.20.d. The responses to Item B.20.c. and Item B.20.d. should be identical only if the change in valuation methods applies to all assets within that category. |
| Have there been material changes in the method of valuation (e.g., change from use of bid price to mid price for fixed income securities or change in trigger threshold for use of fair value factors on international equity securities) of the Registrant's assets during the reporting period? |
Yes
No
|
Item B.21. Change in accounting principles and practices.
| Have there been any changes in accounting principles or practices, or any change in the method of applying any such accounting principles or practices, which will materially affect the financial statements filed or to be filed for the current year with the Commission and which has not been previously reported? |
Yes
No
|
Item B.22. Net asset value error corrections (open-end management investment companies only).
| a. During the reporting period, were any payments made to shareholders or shareholder accounts reprocessed as a result of an error in calculating the Registrant's net asset value (or net asset value per share)? |
Yes
No
|
Item B.23. Rule 19a-1 notice (management investment companies only).
| During the reporting period, did the Registrant pay any dividend or make any distribution in the nature of a dividend payment, required to be accompanied by a written statement pursuant to section 19(a) of the Act (15 U.S.C. 80a-19(a)) and rule 19a-1 thereunder (17 CFR 270.19a-1)? |
Yes
No
|
| Payment dividend series info Record: 1 | |
| a. If yes, and to the extent the response relates only to certain series of the Registrant, indicate the series involved: | |
| i. Series name | iShares Russell 2000 Small-Cap Index Fund |
| ii. Series identification number | S000003118 |
N-CEN:Part C: Additional Questions for Management Investment Companies
General Instruction.Management investment companies that offer multiple series must complete Part C as to each series separately, even if some information is the same for two or more series. To begin this section or add an additional series(s), click on the bar labeled "Add a New Series" below. |
| Management Investment Record: 1 |
Item C.1. Background information.
| a. Full Name of the Fund | iShares MSCI EAFE International Index Fund |
| b. Series identication number, if any | S000003116 |
| c. LEI | 54930010H61VSB6TRU46 |
| d. Is this the first filing on this form by the Fund? |
Yes
No
|
Item C.2. Classes of open-end management investment companies.
| a. How many Classes of shares of the Fund (if any) are authorized? | 5 |
| b. How many new Classes of shares of the Fund were added during the reporting period? | 1 |
| 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 | Class G |
| ii. Class identification number, if any | C000244427 |
| iii. Ticker symbol, if any | BTMGX |
| Shares Outstanding Record: 2 | |
| i. Full name of Class | Investor P |
| ii. Class identification number, if any | C000201956 |
| iii. Ticker symbol, if any | BTMPX |
| Shares Outstanding Record: 3 | |
| i. Full name of Class | Institutional |
| ii. Class identification number, if any | C000008448 |
| iii. Ticker symbol, if any | MAIIX |
| Shares Outstanding Record: 4 | |
| i. Full name of Class | Class K |
| ii. Class identification number, if any | C000099168 |
| iii. Ticker symbol, if any | BTMKX |
| Shares Outstanding Record: 5 | |
| i. Full name of Class | Investor A |
| ii. Class identification number, if any | C000008447 |
| iii. Ticker symbol, if any | MDIIX |
Item C.3. Type of fund.
| Instructions. 1. "Fund of Funds" means a fund that acquires securities issued by any other investment company in excess of the amounts permitted under paragraph (A) of section 12(d)(1) of the Act (15 U.S.C. 80a-12(d)(1)(A)), but, for purposes of this Item, does not include a fund that acquires securities issued by another company solely in reliance on rule 12d1-1 under the Act (CFR 270.12d1-1). 2. "Index Fund" means an investment company, including an Exchange-Traded Fund, that seeks to track the performance of a specified index. 3. "Interval Fund" means a closed-end management investment company that makes periodic repurchases of its shares pursuant to rule 23c-3 under the Act (17 CFR 270.23c-3). 4. "Master-Feeder Fund" means a two-tiered arrangement in which one or more funds (each a feeder fund) holds shares of a single Fund (the master fund) in accordance with section 12(d)(1)(E) of the Act (15 U.S.C. 80a-12(d)(1)(E)) or pursuant to exemptive relief granted by the Commission. 5. "Target Date Fund" means an investment company that has an investment objective or strategy of providing varying degrees of long-term appreciation and capital preservation through a mix of equity and fixed income exposures that changes over time based on an investor's age, target retirement date, or life expectancy. |
| Indicate if the Fund is any one of the types listed below. Check all that apply. |
|
a. Exchange-Traded Fund or Exchange-Traded Managed Fund or
offers a Class that itself is an Exchange-Traded Fund or
Exchange-Traded Managed Fund
i.
Exchange-Traded Fund
ii.
Exchange-Traded Managed Fund
b. 
Index Fund
c.
Seeks to achieve performance results that are a multiple
of a
benchmark, the inverse of a benchmark, or a multiple of the
inverse
of a benchmark
d.
Interval Fund
e.
Fund of Funds
f.
Master-Feeder Fund
g.
Money Market Fund
h.
Target Date Fund
i.
Underlying fund to a variable annuity or variable life
insurance contract
N/A
|
Item C.4. Diversification.
| Does the Fund seek to operate as a “non-diversified company” as such term is defined in section 5(b)(2) of the Act (15 U.S.C. 80a- 5(b) (2))? |
Yes
No
|
Item C.5. Investments in certain foreign corporations.
| Instruction. "Controlled foreign corporation" has the meaning provided in section 957 of the Internal Revenue Code [26 U.S.C. 957]. |
| a. Does the fund invest in a controlled foreign corporation for the purpose of investing in certain types of instruments such as, but not limited to, commodities? |
Yes
No
|
Item C.6. Securities lending.
| Instruction. For purposes of this Item, other adverse impacts would include, for example, (1) a loss to the Fund if collateral and indemnification were not sufficient to replace the loaned securities or their value, (2) the Fund's ineligibility to vote shares in a proxy, or (3) the Fund's ineligibility to receive a direct distribution from the issuer. |
| a. Is the Fund authorized to engage in securities lending transactions? |
Yes
No
|
| b. Did the Fund lend any of its securities during the reporting period? |
Yes
No
|
| c. Provide the information requested below about each securities lending agent, if any, retained by the Fund: |
| Securities Lending Record: 1 | |
| i. Full name of securities lending agent | BlackRock Institutional Trust Company, National Association |
| ii. LEI, if any | 549300RK1FB0VMTPD087 |
| iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
Yes
No
|
| iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? |
Yes
No
|
| v. If the entity providing the indemnification is not the securities lending agent, provide the following information: |
| Idemnity Providers Record: 1 |
| 1. Name of person providing indemnification | BlackRock, Inc. |
| 2. LEI, if any, of person providing indemnification | 549300LRIF3NWCU26A80 |
| vi. Did the Fund exercise its indemnification rights during the reporting period? |
Yes
No
|
| d. If a person providing cash collateral management services to the Fund in connection with the Fund's securities lending activities does not also serve as securities lending agent, provide the following information about each cash collateral manager: |
| Collateral Managers Record: 1 | |
| i. Full name of cash collateral manager: | BlackRock Fund Advisors |
| ii. LEI, if any: | 549300YOOGP0Y1M95C20 |
| iii. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of a securities lending agent retained by the Fund? |
Yes
No
|
| iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? |
Yes
No
|
| e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): |
i. Revenue sharing split
ii. Non-revenue sharing split (other than administrative
fee)
iii. Administrative fee
iv. Cash collateral reinvestment fee
v. Indemnification fee
vi. Other
N/A
|
| If other, describe: | Rebates paid to borrowers |
| f. Provide the monthly average of the value of portfolio securities on loan during the reporting period | N/A |
| g. Provide the net income from securities lending activities | N/A |
Item C.7. Reliance on certain rules.
| Did the Fund rely on any of the following rules under the Act during the reporting period? (check all that apply) |
a. Rule 10f-3 (17 CFR 270.10f-3)
b. Rule 12d1-1 (17 CFR 270.12d1-1)
c. Rule 15a-4 (17 CFR 270.15a-4)
d. Rule 17a-6 (17 CFR 270.17a-6)
e. Rule 17a-7 (17 CFR 270.17a-7)
f. Rule 17a-8 (17 CFR 270.17a-8)
g. Rule 17e-1 (17 CFR 270.17e-1)
h. Rule 22d-1 (17 CFR 270.22d-1)
i. Rule 23c-1 (17 CFR 270.23c-1)
j. Rule 32a-4 (17 CFR 270.32a-4)
N/A
|
Item C.8. Expense limitations.
| Instruction. Provide information concerning any direct or indirect limitations, waivers or reductions, on the level of expenses incurred by the fund during the reporting period. A limitation, for example, may be applied indirectly (such as when an adviser agrees to accept a reduced fee pursuant to a voluntary fee waiver) or it may apply only for a temporary period such as for a new fund in its start-up phase. |
| a. Did the Fund have an expense limitation arrangement in place during the reporting period? |
Yes
No
|
| b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? |
Yes
No
|
| c. Are the fees waived subject to recoupment? |
Yes
No
|
| d. Were any expenses previously waived recouped during the period? |
Yes
No
|
Item C.9. Investment advisers.
| a. Provide the following information about each investment adviser (other than a sub-adviser) of the Fund: |
| Investment Advisers Record: 1 | |
| i. Full name | BlackRock Advisors, LLC |
| ii. SEC file number ( e.g., 801- ) | 801-47710 |
| iii.CRD number | 000106614 |
| iv. LEI, if any | 5493001LN9MRM6A35J74 |
| v. State, if applicable |
DELAWARE
|
| vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vii. Was the investment adviser hired during the reporting period? |
Yes
No
|
| b. If an investment adviser (other than a sub- adviser) to the Fund was terminated during the reporting period, provide the following with respect to each investment adviser: |
| i. Full name | |
| ii. SEC file number ( e.g., 801- ) | |
| iii. CRD number | |
| iv. LEI, if any | |
| v. State, if applicable | |
| vi. Foreign country, if applicable | |
| vii. Termination date |
| c. For each sub-adviser to the Fund, provide the information requested: |
| Sub Advisors Record: 1 | |
| i. Full name | BlackRock International Limited |
| ii. SEC file number ( e.g., 801- ), if applicable | 801-51087 |
| iii. CRD number | 000106843 |
| iv. LEI, if any | 5493008YUGP5E01IBD70 |
| v. State, if applicable | |
| vi. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
| vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? |
Yes
No
|
| viii. Was the sub-adviser hired during the reporting period? |
Yes
No
|
| d. If a sub-adviser was terminated during the reporting period, provide the following with respect to such sub-adviser: |
| i. Full name | |
| ii. SEC file number ( e.g., 801- ) | |
| iii. CRD number | |
| iv. LEI, if any | |
| v. State, if applicable | |
| vi. Foreign country, if applicable | |
| vii. Termination date |
Item C.10. Transfer agents.
| a. Provide the following information about each person providing transfer agency services to the Fund: |
| Transfer Agents Record: 1 | |
| i. Full name | BNY Mellon Investment Servicing (US) Inc. |
| ii.SEC file number ( e.g., 84- or 85- ) | 084-01761 |
| iii. LEI, if any | 549300CFZQLI9QMJ1Z03 |
| iv. State, if applicable |
DELAWARE
|
| v. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
| vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)? |
Yes
No
|
| vii. Is the transfer agent a sub-transfer agent? |
Yes
No
|
| b. Has a transfer agent been hired or terminated during the reporting period? |
Yes
No
|
Item C.11. Pricing services.
| a. Provide the following information about each person that provided pricing services to the Fund during the reporting period: |
| Pricing Services Record: 1 | |
| i. Full name | S&P Global Inc. |
| ii. LEI, if any, or provide and describe other identifying number | Y6X4K52KMJMZE7I7MY94 |
| 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, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 13-3668779 |
| Description of other identifying number | Tax ID |
| 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: 3 | |
| i. Full name | London Stock Exchange Group PLC |
| ii. LEI, if any, or provide and describe other identifying number | 213800QAUUUP6I445N30 |
| Description of other identifying number | |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
| 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 | Bloomberg L.P. |
| ii. LEI, if any, or provide and describe other identifying number | 549300B56MD0ZC402L06 |
| 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
|
| b. Was a pricing service hired or terminated during the reporting period? |
Yes
No
|
Item C.12. Custodians.
| a. Provide the following information about each person that provided custodial services to the Fund during the reporting period: |
| Custodians Record: 1 | |
| i. Full name | State Street Trust Company Canada |
| ii. LEI, if any | 549300L71XG2CTQ2V827 |
| 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: 2 | |
| i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) |
| ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
| 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: 3 | |
| i. Full name | Skandinaviska Enskilda Banken AB |
| ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SWEDEN
|
| 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 | Bank Hapoalim B.M. |
| ii. LEI, if any | B6ARUI4946ST4S7WOU88 |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
ISRAEL
|
| 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 | UniCredit Bank Austria AG |
| ii. LEI, if any | D1HEB8VEU6D9M8ZUXG17 |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
AUSTRIA
|
| 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 | Citibank Europe Public Limited Company |
| ii. LEI, if any | N1FBEDJ5J41VKZLO2475 |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
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
|
| Custodians Record: 7 | |
| i. Full name | Skandinaviska Enskilda Banken AB (Helsinki, Uusimaa, FI, Branch) |
| ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
| 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: 8 | |
| i. Full name | Skandinaviska Enskilda Banken AB (Oslo, Oslo, NO, Branch) |
| ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
| 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: 9 | |
| i. Full name | Morgan Stanley & Co. LLC |
| ii. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
| 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: 10 | |
| i. Full name | Intesa Sanpaolo S.p.A. |
| ii. LEI, if any | 2W8N8UU78PMDQKZENC08 |
| 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: 11 | |
| i. Full name | Citibank, National Association (Singapore, SG, Branch) |
| ii. LEI, if any | E57ODZWZ7FF32TWEFA76 |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
SINGAPORE
|
| 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 | State Street Bank and Trust Company (Edinburgh, GB, Branch) |
| ii. LEI, if any | 571474TGEMMWANRLN572 |
| 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
|
| Custodians Record: 13 | |
| i. Full name | BofA Securities, Inc. |
| ii. LEI, if any | 549300HN4UKV1E2R3U73 |
| 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: 14 | |
| i. Full name | BNP Paribas |
| ii. LEI, if any | R0MUWSFPU8MPRO8K5P83 |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
FRANCE
|
| 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: 15 | |
| 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: 16 | |
| i. Full name | Skandinaviska Enskilda Banken A/S |
| ii. LEI, if any | F3JS33DEI6XQ4ZBPTN86 |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
DENMARK
|
| 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: 17 | |
| i. Full name | Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) |
| 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: 18 | |
| 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: 19 | |
| i. Full name | State Street Bank International GmbH |
| ii. LEI, if any | ZMHGNT7ZPKZ3UFZ8EO46 |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
GERMANY
|
| 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: 20 | |
| 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: 21 | |
| i. Full name | The Hongkong and Shanghai Banking Corporation Limited |
| ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
HONG KONG
|
| 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: 22 | |
| i. Full name | Goldman Sachs & Co. LLC |
| ii. LEI, if any | FOR8UP27PHTHYVLBNG30 |
| 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: 23 | |
| i. Full name | The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) |
| ii. LEI, if any | 2HI3YI5320L3RW6NJ957 |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
NEW ZEALAND
|
| 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: 24 | |
| i. Full name | Credit Suisse Securities (USA) LLC |
| ii. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
| 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: 25 | |
| i. Full name | Euroclear Bank |
| 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
|
| b. Has a custodian been hired or terminated during the reporting period?* |
Yes
No
|
Item C.13. Shareholder servicing agents.
| a. Provide the following information about each shareholder servicing agent of the Fund: |
| Shareholder servicing agents Record: 1 | |
| i. Full name | Cannon Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-68437 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
GEORGIA
|
| 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 | Rehmann Financial Network, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-69134 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MICHIGAN
|
| 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: 3 | |
| i. Full name | Cetera Investment Services LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900HBKNJ13M56N432 |
| Description of other identifying number | |
| iii. State, if applicable |
MINNESOTA
|
| 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: 4 | |
| i. Full name | Signal Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-32948 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 5 | |
| i. Full name | GW & Wade Asset Management Company, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-42013 |
| 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 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: 6 | |
| i. Full name | Worth Financial Group Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-29827 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 7 | |
| i. Full name | Mutual Trust Company of America Securities |
| ii. LEI, if any, or provide and describe other identifying number | 254900PUBUB7IS4GNY27 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 8 | |
| i. Full name | NewEdge Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 549300HJL2LPNSC0JX96 |
| Description of other identifying number | |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 9 | |
| i. Full name | The Huntington Investment Company |
| ii. LEI, if any, or provide and describe other identifying number | 5493004MEJ6IU9SR1R78 |
| Description of other identifying number | |
| iii. State, if applicable |
OHIO
|
| 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: 10 | |
| i. Full name | Akar Capital Management, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-28026 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
FLORIDA
|
| 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: 11 | |
| i. Full name | Professional Trading Services Brokerage, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-65173 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 12 | |
| i. Full name | Kovack Securities Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 25490070RG17Z4I70I82 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 13 | |
| i. Full name | The Vanguard Group, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 5493002789CX3L0CJP65 |
| Description of other identifying number | |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 14 | |
| i. Full name | Bradesco Investments Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900CAF9OPVE8VT408 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 15 | |
| i. Full name | Mutual of Omaha Investor Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-47290 |
| 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: 16 | |
| i. Full name | COUNTRY Capital Management Company |
| ii. LEI, if any, or provide and describe other identifying number | 8-12645 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ILLINOIS
|
| 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: 17 | |
| i. Full name | Charles Schwab Bank, SSB (San Francisco, CA, US, Branch) |
| ii. LEI, if any, or provide and describe other identifying number | 549300INFJ8TYNZ1G568 |
| Description of other identifying number | |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 18 | |
| i. Full name | SEI Private Trust Company |
| ii. LEI, if any, or provide and describe other identifying number | 254900F25IGTY0ETFV15 |
| Description of other identifying number | |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 19 | |
| i. Full name | Eagles Coast Capital, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-70137 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
SOUTH CAROLINA
|
| 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: 20 | |
| i. Full name | InSight Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 2549007I5MCG270G9341 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 21 | |
| i. Full name | AssetMark Trust Company |
| ii. LEI, if any, or provide and describe other identifying number | N/A |
| Description of other identifying number | |
| iii. State, if applicable |
ARIZONA
|
| 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: 22 | |
| i. Full name | The Leaders Group, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-47639 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
COLORADO
|
| 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: 23 | |
| i. Full name | First Citizens Investor Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-50696 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NORTH CAROLINA
|
| 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: 24 | |
| i. Full name | Sanders Morris LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900ZNPYV465D1NZ47 |
| Description of other identifying number | |
| iii. State, if applicable |
TEXAS
|
| 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: 25 | |
| i. Full name | Sorrento Pacific Financial, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-66046 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 26 | |
| i. Full name | Genworth Life Insurance Company of New York |
| ii. LEI, if any, or provide and describe other identifying number | E5VAS7I8GX5B0SDBX010 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 27 | |
| i. Full name | Mid Atlantic Clearing & Settlement Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 8-47758 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 28 | |
| i. Full name | Sammons Financial Network, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-68905 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
IOWA
|
| 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: 29 | |
| i. Full name | XP Investments US, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300HDFLS7P433PO89 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 30 | |
| i. Full name | Gradient Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-66032 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MINNESOTA
|
| 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: 31 | |
| i. Full name | The Guardian Insurance & Annuity Company, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | TGIU5N0SIMULU6I57R64 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 32 | |
| i. Full name | Northland Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900ZIK4MLVQAWLS15 |
| Description of other identifying number | |
| iii. State, if applicable |
MINNESOTA
|
| 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: 33 | |
| i. Full name | Callaway Financial Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 549300UNHHMAHA7IYO12 |
| Description of other identifying number | |
| iii. State, if applicable |
TEXAS
|
| 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: 34 | |
| i. Full name | Hornor, Townsend & Kent, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-14715 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 35 | |
| i. Full name | Private Client Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-68183 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
KENTUCKY
|
| 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: 36 | |
| i. Full name | PNC Bank, National Association (Pittsburgh, PA, US, Branch) |
| ii. LEI, if any, or provide and describe other identifying number | AD6GFRVSDT01YPT1CS68 |
| Description of other identifying number | |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 37 | |
| i. Full name | Neuberger Berman BD LLC |
| ii. LEI, if any, or provide and describe other identifying number | PWDS3JJ631D5N70JXG61 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 38 | |
| i. Full name | Dinosaur Financial Group, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300CCV3H232GBUN83 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 39 | |
| i. Full name | Rockefeller Financial LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-70054 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 40 | |
| i. Full name | MGO Securities Corp. |
| ii. LEI, if any, or provide and describe other identifying number | 8-47814 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
OHIO
|
| 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: 41 | |
| i. Full name | Principal Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-13975 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
IOWA
|
| 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: 42 | |
| i. Full name | Concorde Investment Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-68388 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MICHIGAN
|
| 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: 43 | |
| i. Full name | Andbanc Brokerage LLC |
| ii. LEI, if any, or provide and describe other identifying number | 213800E4CWGFMCDQZ792 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 44 | |
| i. Full name | UnionBanc Investment Services LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900Y9HI2TG6D79N41 |
| Description of other identifying number | |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 45 | |
| i. Full name | Capital City Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-67771 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
OHIO
|
| 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: 46 | |
| i. Full name | Parkland Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-53482 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MICHIGAN
|
| 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: 47 | |
| i. Full name | Allianz Life Financial Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 5493008TSI0TRWDDGW79 |
| Description of other identifying number | |
| iii. State, if applicable |
MINNESOTA
|
| 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: 48 | |
| i. Full name | Liberty Capital Investment Corp. |
| ii. LEI, if any, or provide and describe other identifying number | 8-42051 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
OREGON
|
| 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: 49 | |
| i. Full name | McDonald Partners LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-66985 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
OHIO
|
| 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: 50 | |
| i. Full name | SCF Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-51760 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 51 | |
| i. Full name | Harbor Investment Advisory, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-68334 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MARYLAND
|
| 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: 52 | |
| i. Full name | N.E. Private Client Advisors, Ltd. |
| ii. LEI, if any, or provide and describe other identifying number | 8-66968 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
RHODE ISLAND
|
| 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: 53 | |
| i. Full name | Athena Wealth Management |
| ii. LEI, if any, or provide and describe other identifying number | N/A |
| Description of other identifying number | |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 54 | |
| i. Full name | Sycamore Financial Group Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-30302 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
INDIANA
|
| 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: 55 | |
| i. Full name | Planned Financial Programs, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-5727 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 56 | |
| i. Full name | Carty & Company, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 2549004VW1160A0HAR55 |
| Description of other identifying number | |
| iii. State, if applicable |
TENNESSEE
|
| 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: 57 | |
| i. Full name | Chauner Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-33980 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ILLINOIS
|
| 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: 58 | |
| i. Full name | Westco Investment Corp. |
| ii. LEI, if any, or provide and describe other identifying number | 8-38452 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 59 | |
| i. Full name | John Hancock Life Insurance Company of New York |
| ii. LEI, if any, or provide and describe other identifying number | 5493007RYG4GXIKSQI18 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 60 | |
| i. Full name | SagePoint Financial, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-66771 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ARIZONA
|
| 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: 61 | |
| i. Full name | MWA Financial Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-53255 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ILLINOIS
|
| 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: 62 | |
| i. Full name | PNC Investments LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-66195 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 63 | |
| i. Full name | Principal Life Insurance Company |
| ii. LEI, if any, or provide and describe other identifying number | SDCMU2LVKGV2AF1KWP64 |
| Description of other identifying number | |
| iii. State, if applicable |
IOWA
|
| 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: 64 | |
| i. Full name | Omega Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-20225 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 65 | |
| i. Full name | Wintrust Investments, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900VR9KGJNQBQZA90 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 66 | |
| i. Full name | Altruist Financial LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300DKQZ64IQE9A857 |
| Description of other identifying number | |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 67 | |
| i. Full name | Samuel A. Ramirez & Company, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900CBKVW7O2ENQA21 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 68 | |
| i. Full name | Capital Synergy Partners, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-68060 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 69 | |
| i. Full name | Pinnacle Investments, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-67515 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 70 | |
| i. Full name | VectorGlobal WMG Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900K52VRYBHUGBC64 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 71 | |
| i. Full name | Benchmark Investments, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-52280 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
GEORGIA
|
| 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: 72 | |
| i. Full name | Buell Securities Corp. |
| ii. LEI, if any, or provide and describe other identifying number | 8-22058 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CONNECTICUT
|
| 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: 73 | |
| i. Full name | Michigan Securities Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-52094 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MICHIGAN
|
| 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: 74 | |
| i. Full name | Kingswood Capital Partners LLC |
| ii. LEI, if any, or provide and describe other identifying number | 5493000S7S0ZD3E40797 |
| Description of other identifying number | |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 75 | |
| i. Full name | Monex Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900VTZ3HYHNEJRX35 |
| Description of other identifying number | |
| iii. State, if applicable |
TEXAS
|
| 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: 76 | |
| i. Full name | Voya Financial Partners, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-46451 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CONNECTICUT
|
| 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: 77 | |
| i. Full name | American National Trust And Investment Management Company |
| ii. LEI, if any, or provide and describe other identifying number | 28-00344 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
INDIANA
|
| 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: 78 | |
| i. Full name | Commerce Brokerage Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 549300158KXZEDLDQA22 |
| Description of other identifying 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: 79 | |
| i. Full name | TD Private Client Wealth LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-69105 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 80 | |
| i. Full name | American United Life Insurance Company |
| ii. LEI, if any, or provide and describe other identifying number | 549300T82H2DXU80LV98 |
| Description of other identifying number | |
| iii. State, if applicable |
INDIANA
|
| 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: 81 | |
| i. Full name | Boreal Capital Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300NMHK6HTSKCG696 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 82 | |
| i. Full name | Hancock Whitney Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 549300GRNBWY8HIICT41 |
| Description of other identifying number | |
| iii. State, if applicable |
MISSISSIPPI
|
| 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: 83 | |
| i. Full name | HighTower Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300F189LKWDZLP954 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 84 | |
| i. Full name | Great Pacific Securities |
| ii. LEI, if any, or provide and describe other identifying number | 254900QRZ90SUI8C4W84 |
| Description of other identifying number | |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 85 | |
| i. Full name | Truist Investment Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-35355 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
GEORGIA
|
| 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: 86 | |
| i. Full name | ARIVE Capital Markets LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-43350 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 87 | |
| i. Full name | Investment Network, Inc |
| ii. LEI, if any, or provide and describe other identifying number | 8-66036 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
OHIO
|
| 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: 88 | |
| i. Full name | Insigneo Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900P4TTO6PU1VDH88 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 89 | |
| i. Full name | International Assets Advisory, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900ARMOHQNS987S09 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 90 | |
| i. Full name | National Financial Services LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300JRHF1MHHWUAW04 |
| Description of other identifying number | |
| iii. State, if applicable |
MASSACHUSETTS
|
| 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: 91 | |
| i. Full name | Innovation Partners, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300IEQ78ON1HMTU71 |
| Description of other identifying number | |
| iii. State, if applicable |
NORTH CAROLINA
|
| 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: 92 | |
| i. Full name | First Republic Securities Company, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 5493000IMDFZDQYB2Q11 |
| Description of other identifying number | |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 93 | |
| i. Full name | Diversified Resources, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-45497 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
RHODE ISLAND
|
| 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: 94 | |
| i. Full name | Great Point Capital LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900HN4IGCO53HDK23 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 95 | |
| i. Full name | Herold & Lantern Investments, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900J6QB9C3UNBJJ49 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 96 | |
| i. Full name | Concourse Financial Group Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-32590 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ALABAMA
|
| 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: 97 | |
| i. Full name | USI Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-50429 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CONNECTICUT
|
| 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: 98 | |
| i. Full name | Somerset Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-11539 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
OREGON
|
| 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: 99 | |
| i. Full name | Investors Brokerage of Texas, Ltd. |
| ii. LEI, if any, or provide and describe other identifying number | 8-28644 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 100 | |
| i. Full name | McLaughlin Ryder Investments, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-67911 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
VIRGINIA
|
| 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: 101 | |
| i. Full name | LifeMark Securities Corp. |
| ii. LEI, if any, or provide and describe other identifying number | 8-33478 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 102 | |
| i. Full name | Beaconsfield Financial Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-30993 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 103 | |
| i. Full name | FSC Securities Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 8-21770 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
GEORGIA
|
| 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: 104 | |
| i. Full name | MMC Securities LLC |
| ii. LEI, if any, or provide and describe other identifying number | 2549001ZA93O65N2ZM60 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 105 | |
| i. Full name | TD Ameritrade Clearing, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | MRK678VXOI09YSSN8X19 |
| Description of other identifying 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: 106 | |
| i. Full name | Rodgers Brothers, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900LRFV1CEITPX737 |
| Description of other identifying number | |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 107 | |
| i. Full name | First Command Brokerage Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-07072 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 108 | |
| i. Full name | Wellington Shields & Co., LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900ULLOEJ3RYQ9S69 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 109 | |
| i. Full name | BNA Wealth, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-48642 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
SOUTH CAROLINA
|
| 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: 110 | |
| i. Full name | D.H. Hill Securities, LLLP |
| ii. LEI, if any, or provide and describe other identifying number | 8-49475 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 111 | |
| i. Full name | Equity Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-14286 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
VERMONT
|
| 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: 112 | |
| i. Full name | Bestvest Investments, Ltd. |
| ii. LEI, if any, or provide and describe other identifying number | 254900SL6FW130BMS922 |
| Description of other identifying number | |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 113 | |
| i. Full name | The Jeffrey Matthews Financial Group, L.L.C. |
| ii. LEI, if any, or provide and describe other identifying number | 25490086M6MGMYYVOJ50 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 114 | |
| i. Full name | Trade-PMR Group, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-51390 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
FLORIDA
|
| 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: 115 | |
| i. Full name | WesBanco Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-50220 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
OHIO
|
| 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: 116 | |
| i. Full name | Citizens Bank |
| ii. LEI, if any, or provide and describe other identifying number | 38-0421450 |
| Description of other identifying number | Tax ID |
| iii. State, if applicable |
MICHIGAN
|
| 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: 117 | |
| i. Full name | Girard Investment Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-14145 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 118 | |
| i. Full name | Sanctuary Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 2549007WBAL2Z578XQ34 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 119 | |
| i. Full name | Wall Street Access Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 549300Z0MOT47D6OQV22 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 120 | |
| i. Full name | Ausdal Financial Partners, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-24519 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
IOWA
|
| 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: 121 | |
| i. Full name | Ballew Investments, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-45660 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MISSISSIPPI
|
| 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: 122 | |
| i. Full name | Investments For You, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-44179 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
OHIO
|
| 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: 123 | |
| i. Full name | Kestra Investment Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-49672 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 124 | |
| i. Full name | Leo Brokerage, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-53487 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 125 | |
| i. Full name | Chelsea Morgan Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-51916 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 126 | |
| i. Full name | Aon Securities LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300JF73MZNI4CMN58 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 127 | |
| i. Full name | WBB Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-53660 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 128 | |
| i. Full name | Folio Investments, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-52009 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
VIRGINIA
|
| 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: 129 | |
| i. Full name | GLP Investment Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-41868 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MICHIGAN
|
| 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: 130 | |
| i. Full name | Amegy Investments, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-65399 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 131 | |
| i. Full name | DMK Advisor Group, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-49279 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
COLORADO
|
| 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: 132 | |
| i. Full name | Hancock Whitney Investment Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900PJ7SNKYPK21W02 |
| Description of other identifying number | |
| iii. State, if applicable |
LOUISIANA
|
| 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: 133 | |
| i. Full name | MML Distributors, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-48203 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CONNECTICUT
|
| 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: 134 | |
| i. Full name | McClurg Capital Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 8-34473 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 135 | |
| i. Full name | Sunbelt Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-49748 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 136 | |
| i. Full name | Alliant Securities, Inc. Turner, Nord, Kienbaum |
| ii. LEI, if any, or provide and describe other identifying number | 8-23305 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
WASHINGTON
|
| 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: 137 | |
| i. Full name | Madison Avenue Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-40426 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 138 | |
| i. Full name | First Western Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-37613 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 139 | |
| i. Full name | American Enterprise Investment Services Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 549300NT7GLLVGTH0249 |
| Description of other identifying number | |
| iii. State, if applicable |
MINNESOTA
|
| 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: 140 | |
| i. Full name | Leigh Baldwin & Co., L.L.C. |
| ii. LEI, if any, or provide and describe other identifying number | 8-48385 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 141 | |
| i. Full name | Cetera Advisor Networks LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-29577 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 142 | |
| i. Full name | Corecap Investments, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-47783 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MICHIGAN
|
| 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: 143 | |
| i. Full name | Ceros Financial Services Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 549300N2YQ0P5G0WE562 |
| Description of other identifying number | |
| iii. State, if applicable |
MARYLAND
|
| 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: 144 | |
| i. Full name | Cape Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-20747 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
GEORGIA
|
| 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: 145 | |
| i. Full name | B.B. Graham & Company, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-49477 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 146 | |
| i. Full name | Moloney Securities Co., Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-48326 |
| 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: 147 | |
| i. Full name | Heim, Young & Associates, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-48500 |
| 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: 148 | |
| i. Full name | Integrity Investments, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-45302 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
FLORIDA
|
| 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: 149 | |
| i. Full name | Santander Securities LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-49571 |
| 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 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: 150 | |
| i. Full name | Transamerica Financial Advisors, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 549300JW32XCZSHI0878 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 151 | |
| i. Full name | Woodbury Financial Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-13846 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MINNESOTA
|
| 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: 152 | |
| i. Full name | Herbert J Sims & Co. Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900SV6UESQBS8XP98 |
| Description of other identifying number | |
| iii. State, if applicable |
CONNECTICUT
|
| 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: 153 | |
| i. Full name | TradeUP Securities Inc |
| ii. LEI, if any, or provide and describe other identifying number | 254900LJV422VU8GR603 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 154 | |
| i. Full name | Fintrust Brokerage Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-49514 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
GEORGIA
|
| 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: 155 | |
| i. Full name | Bankoh Investment Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-44201 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
HAWAII
|
| 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: 156 | |
| i. Full name | Capital Investment Brokerage, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-49118 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NORTH CAROLINA
|
| 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: 157 | |
| i. Full name | Park Avenue Securities LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-51324 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 158 | |
| i. Full name | B. C. Ziegler and Company |
| ii. LEI, if any, or provide and describe other identifying number | 549300NLEOFP92P38Q71 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 159 | |
| i. Full name | Coker & Palmer, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900V1KTPDN88TDS68 |
| Description of other identifying number | |
| iii. State, if applicable |
MISSISSIPPI
|
| 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: 160 | |
| i. Full name | Hand Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-51001 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 161 | |
| i. Full name | Ace Diversified Capital, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-49555 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 162 | |
| i. Full name | ViewTrade Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 549300CHLQDUD0NL5851 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 163 | |
| i. Full name | Integrated Financial Planning Services |
| ii. LEI, if any, or provide and describe other identifying number | 8-35120 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
GERMANY
|
| 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: 164 | |
| i. Full name | Vorpahl Wing Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-51823 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
WASHINGTON
|
| 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: 165 | |
| i. Full name | Charles Schwab & Co., Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 549300ZP8XN77GK5BS04 |
| Description of other identifying number | |
| iii. State, if applicable |
TEXAS
|
| 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: 166 | |
| i. Full name | Oriental Financial Services LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-44516 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
PUERTO RICO
|
| 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: 167 | |
| i. Full name | American Heritage Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-44466 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
OHIO
|
| 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: 168 | |
| i. Full name | Osaic Institutions, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-46661 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CONNECTICUT
|
| 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: 169 | |
| i. Full name | Arthur W. Wood Company |
| ii. LEI, if any, or provide and describe other identifying number | 98450095C1A5707C4I40 |
| Description of other identifying number | |
| iii. State, if applicable |
MASSACHUSETTS
|
| 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: 170 | |
| i. Full name | MSEC, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 2549009EK3GVO5B3DK31 |
| Description of other identifying number | |
| iii. State, if applicable |
KANSAS
|
| 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: 171 | |
| i. Full name | James I. Black & Company |
| ii. LEI, if any, or provide and describe other identifying number | 8-12077 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
FLORIDA
|
| 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: 172 | |
| i. Full name | CFS Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-51330 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CONNECTICUT
|
| 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: 173 | |
| i. Full name | Zions Direct, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900VGN65XF3JVA633 |
| Description of other identifying number | |
| iii. State, if applicable |
UTAH
|
| 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: 174 | |
| i. Full name | Sisung Securities Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 254900KJI3EYKKPWT989 |
| Description of other identifying number | |
| iii. State, if applicable |
LOUISIANA
|
| 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: 175 | |
| i. Full name | First Southern LLC |
| ii. LEI, if any, or provide and describe other identifying number | 5493006LKFHMTRXT7796 |
| Description of other identifying number | |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
PUERTO RICO
|
| 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: 176 | |
| i. Full name | Davenport & Company LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900GN2SAXJGLMS075 |
| Description of other identifying number | |
| iii. State, if applicable |
VIRGINIA
|
| 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: 177 | |
| i. Full name | United Brokerage Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-48685 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
WEST VIRGINIA
|
| 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: 178 | |
| i. Full name | United Advisor Group, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 801-127090 |
| 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: 179 | |
| i. Full name | BOK Financial Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 5493008UZFTI4G7UQ733 |
| Description of other identifying number | |
| iii. State, if applicable |
OKLAHOMA
|
| 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: 180 | |
| i. Full name | T.R. Winston & Company, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-27519 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 181 | |
| i. Full name | Blakeslee & Blakeslee, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-32071 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 182 | |
| i. Full name | Lincoln Financial Advisors Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 8-14685 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
INDIANA
|
| 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: 183 | |
| i. Full name | Dominari Securities LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-37105 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CONNECTICUT
|
| 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: 184 | |
| i. Full name | Verity Investments, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-49474 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NORTH CAROLINA
|
| 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: 185 | |
| i. Full name | M. E. Allison & Co., Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 2549001B1UO62MZQWQ16 |
| Description of other identifying number | |
| iii. State, if applicable |
TEXAS
|
| 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: 186 | |
| i. Full name | Crescent Securities Group, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-53457 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 187 | |
| i. Full name | RNR Securities, L.L.C. |
| ii. LEI, if any, or provide and describe other identifying number | 8-50366 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 188 | |
| i. Full name | Midland Securities, Ltd. |
| ii. LEI, if any, or provide and describe other identifying number | 8-40685 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 189 | |
| i. Full name | Cadaret, Grant & Co., Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 2549003ZDQPBPYR9KD35 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 190 | |
| i. Full name | Sorsby Financial Corp. |
| ii. LEI, if any, or provide and describe other identifying number | 8-48718 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ILLINOIS
|
| 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: 191 | |
| i. Full name | Independent Financial Group, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900KYWXHSQ7RMNP09 |
| Description of other identifying number | |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 192 | |
| i. Full name | Roberts and Ryan Investments Incorporated |
| ii. LEI, if any, or provide and describe other identifying number | 254900A6VIVO4DP1T126 |
| Description of other identifying number | |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 193 | |
| i. Full name | Mutual Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900UQFSLK9OUNAC76 |
| Description of other identifying number | |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 194 | |
| i. Full name | Bley Investment Group, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-42701 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 195 | |
| i. Full name | Alexander Capital, L.P. |
| ii. LEI, if any, or provide and describe other identifying number | 8-48957 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 196 | |
| i. Full name | CreativeOne Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-68494 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
KANSAS
|
| 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: 197 | |
| i. Full name | Sunset Financial Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-14148 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 198 | |
| i. Full name | Morgan Stanley Smith Barney LLC |
| ii. LEI, if any, or provide and describe other identifying number | 7PDDXEMZ0ZV0CEDU4D16 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 199 | |
| i. Full name | Capital Investment Group, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-31225 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NORTH CAROLINA
|
| 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: 200 | |
| i. Full name | Perryman Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-53546 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 201 | |
| i. Full name | Allegiance Capital, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-52978 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MINNESOTA
|
| 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: 202 | |
| i. Full name | Camden Financial Services |
| ii. LEI, if any, or provide and describe other identifying number | 8-37303 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 203 | |
| i. Full name | The Windmill Group, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-25280 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 204 | |
| i. Full name | Cabot Lodge Securities LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-69009 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 205 | |
| i. Full name | Packerland Brokerage Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-47572 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
WISCONSIN
|
| 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: 206 | |
| i. Full name | TFS Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-38377 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 207 | |
| i. Full name | Oberweis Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 5493008EZH6DO1631P71 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 208 | |
| i. Full name | E*TRADE Securities LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300PJRJFMBCDPWR57 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 209 | |
| i. Full name | FMN Capital Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 8-48082 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 210 | |
| i. Full name | Geneos Wealth Management, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-65357 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
COLORADO
|
| 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: 211 | |
| i. Full name | Capital Institutional Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 54930061X8RDWFDJIS05 |
| Description of other identifying number | |
| iii. State, if applicable |
TEXAS
|
| 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: 212 | |
| i. Full name | Navigator Securities Limited |
| ii. LEI, if any, or provide and describe other identifying number | 8-39700 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 213 | |
| i. Full name | Polar Investment Counsel, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-50039 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MINNESOTA
|
| 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: 214 | |
| i. Full name | Transamerica Advisors Life Insurance Company |
| ii. LEI, if any, or provide and describe other identifying number | F1PLTWZ8OU4HQGZQAP31 |
| Description of other identifying number | |
| iii. State, if applicable |
ARKANSAS
|
| 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: 215 | |
| i. Full name | Independence Capital Co., Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-41331 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
OHIO
|
| 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: 216 | |
| i. Full name | Allegheny Investments, Ltd. |
| ii. LEI, if any, or provide and describe other identifying number | 8-22183 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 217 | |
| i. Full name | MML Investors Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-27250 |
| 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 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: 218 | |
| i. Full name | ACA Prudent Investors Planning Corp. |
| ii. LEI, if any, or provide and describe other identifying number | 8-51899 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 219 | |
| i. Full name | TCAdvisors Network Inc |
| ii. LEI, if any, or provide and describe other identifying number | 8-46909 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
COLORADO
|
| 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: 220 | |
| i. Full name | Associated Investment Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-00099 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
WISCONSIN
|
| 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: 221 | |
| i. Full name | Western Equity Group, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-66403 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 222 | |
| i. Full name | Middlegate Securities Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 549300ZVONUQ845QCH95 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 223 | |
| i. Full name | Amuni Financial, Inc |
| ii. LEI, if any, or provide and describe other identifying number | 8-25338 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
FLORIDA
|
| 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: 224 | |
| i. Full name | Jacques Financial, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-52675 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MARYLAND
|
| 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: 225 | |
| i. Full name | FSB Premier Wealth Management, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-44865 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
IOWA
|
| 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: 226 | |
| i. Full name | Great American Investors, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-44380 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
KANSAS
|
| 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: 227 | |
| i. Full name | Digital Retirement Solutions, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 84-1477138 |
| Description of other identifying number | Tax ID |
| iii. State, if applicable |
COLORADO
|
| 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: 228 | |
| i. Full name | Newport Group Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 801-60427 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
FLORIDA
|
| 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: 229 | |
| i. Full name | Landolt Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900B2XEQ2HZGN7K90 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 230 | |
| i. Full name | American Global Wealth Management, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 39-1259164 |
| Description of other identifying number | Tax ID |
| iii. State, if applicable |
GEORGIA
|
| 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: 231 | |
| i. Full name | Mesirow Financial, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 549300BIV46SUHPOFE54 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 232 | |
| i. Full name | PTI Securities & Futures, L.P. |
| ii. LEI, if any, or provide and describe other identifying number | 8-44412 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ILLINOIS
|
| 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: 233 | |
| i. Full name | Raymond James Financial, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | RGUZHJ05YTITL6D76949 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 234 | |
| i. Full name | CIBC World Markets Corp. |
| ii. LEI, if any, or provide and describe other identifying number | 549300445CON3DBMU275 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 235 | |
| i. Full name | XML Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-67776 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
VIRGINIA
|
| 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: 236 | |
| i. Full name | Advanced Advisor Group, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-67313 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MINNESOTA
|
| 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: 237 | |
| i. Full name | World Equity Group, Incorporated |
| ii. LEI, if any, or provide and describe other identifying number | 25490078J1OM7KOXR686 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 238 | |
| i. Full name | Buckman, Buckman & Reid, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900D688L15B5HJB06 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 239 | |
| i. Full name | LPL Financial LLC |
| ii. LEI, if any, or provide and describe other identifying number | 5493005NM7F0H1N3EQ39 |
| Description of other identifying number | |
| iii. State, if applicable |
MASSACHUSETTS
|
| 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: 240 | |
| i. Full name | The Strategic Financial Alliance, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-65885 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
GEORGIA
|
| 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: 241 | |
| i. Full name | Talcott Resolution Life Insurance Company |
| ii. LEI, if any, or provide and describe other identifying number | 8CE7JPU9IU72L3PPD756 |
| Description of other identifying number | |
| iii. State, if applicable |
CONNECTICUT
|
| 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: 242 | |
| i. Full name | New England Pension Plan Systems, LLC |
| ii. LEI, if any, or provide and describe other identifying number | N/A |
| Description of other identifying number | |
| iii. State, if applicable |
RHODE ISLAND
|
| 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: 243 | |
| i. Full name | L.S.Y. Incorporated |
| ii. LEI, if any, or provide and describe other identifying number | 8-17613 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 244 | |
| i. Full name | Maine Securities Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 01-0411722 |
| Description of other identifying number | Tax ID |
| iii. State, if applicable |
MAINE
|
| 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: 245 | |
| i. Full name | Sammons institutional Group, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | BBG00LBNPZL2 |
| Description of other identifying number | Bloomberg Global ID |
| iii. State, if applicable |
IOWA
|
| 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: 246 | |
| i. Full name | Lesko Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-26408 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 247 | |
| i. Full name | USAA Investment Services Company |
| ii. LEI, if any, or provide and describe other identifying number | 549300VSPLQ1XBNPD479 |
| Description of other identifying number | |
| iii. State, if applicable |
TEXAS
|
| 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: 248 | |
| i. Full name | Veritas Independent Partners, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-69363 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ARKANSAS
|
| 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: 249 | |
| i. Full name | Grove Point Investments, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-31165 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MARYLAND
|
| 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: 250 | |
| i. Full name | Colorado Financial Service Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 8-52817 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
COLORADO
|
| 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: 251 | |
| i. Full name | Conduent HR Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 84-06035 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 252 | |
| i. Full name | Fiduciary Trust Company International |
| ii. LEI, if any, or provide and describe other identifying number | N1YKEWO2IYPRS4742F57 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 253 | |
| i. Full name | Horan Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-49192 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
OHIO
|
| 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: 254 | |
| i. Full name | TradeStation Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 549300T08P71XXBYLW62 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 255 | |
| i. Full name | Global Brokerage Services Ltd |
| ii. LEI, if any, or provide and describe other identifying number | 8-47763 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MARYLAND
|
| 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: 256 | |
| i. Full name | San Blas Securities LLC |
| ii. LEI, if any, or provide and describe other identifying number | 25490079436TZN10JD83 |
| Description of other identifying number | |
| iii. State, if applicable |
GEORGIA
|
| 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: 257 | |
| i. Full name | Citigroup Global Markets Inc. |
| ii. LEI, if any, or provide and describe other identifying number | MBNUM2BPBDO7JBLYG310 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 258 | |
| i. Full name | G. A. Repple & Company |
| ii. LEI, if any, or provide and describe other identifying number | 8-35315 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
FLORIDA
|
| 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: 259 | |
| i. Full name | Center Street Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-42786 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TENNESSEE
|
| 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: 260 | |
| i. Full name | Monere Investments, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 2549004LPCIR92BLYF90 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 261 | |
| i. Full name | Buckram Securities Ltd. |
| ii. LEI, if any, or provide and describe other identifying number | 8-65939 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 262 | |
| i. Full name | Colliers Securities LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300OD1C69R64IVC38 |
| Description of other identifying number | |
| iii. State, if applicable |
MINNESOTA
|
| 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: 263 | |
| i. Full name | AGES Financial Services, Ltd. |
| ii. LEI, if any, or provide and describe other identifying number | 8-32155 |
| 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 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: 264 | |
| i. Full name | CC Capital Advisors, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-44574 |
| 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: 265 | |
| i. Full name | Smith, Brown & Groover, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-13079 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
GEORGIA
|
| 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: 266 | |
| i. Full name | Abacus Investments, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-46571 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
WISCONSIN
|
| 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: 267 | |
| i. Full name | Valley National Investments, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-34427 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 268 | |
| i. Full name | Mutual Funds Associates, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-13026 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 269 | |
| i. Full name | BTG Pactual US Capital, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300EUEDL5GKQW8U35 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 270 | |
| i. Full name | Institutional Securities Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 2549007EJ1PSLA8XVA50 |
| Description of other identifying number | |
| iii. State, if applicable |
TEXAS
|
| 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: 271 | |
| i. Full name | BNY Mellon Securities Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 801-54739 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 272 | |
| i. Full name | Strategic Wealth Capital, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 801-127930 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 273 | |
| i. Full name | Citizens Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 2138006RAPI5PE2ZGW36 |
| Description of other identifying number | |
| iii. State, if applicable |
MASSACHUSETTS
|
| 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: 274 | |
| i. Full name | Harold W. Dance, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-12160 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
UTAH
|
| 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: 275 | |
| i. Full name | IDB Capital Corp. |
| ii. LEI, if any, or provide and describe other identifying number | 254900SH3QL0IL3S9R34 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 276 | |
| i. Full name | ACP Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900GHLAGD9J81O211 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 277 | |
| i. Full name | Feltl and Company, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-18435 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MINNESOTA
|
| 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: 278 | |
| i. Full name | Ashton Thomas Private Wealth LLC |
| ii. LEI, if any, or provide and describe other identifying number | 801-71512 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ARIZONA
|
| 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: 279 | |
| i. Full name | Davinci Capital Management, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-51580 |
| 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 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: 280 | |
| i. Full name | Security Distributors, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-10781 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
KANSAS
|
| 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: 281 | |
| i. Full name | Jefferies LLC |
| ii. LEI, if any, or provide and describe other identifying number | 58PU97L1C0WSRCWADL48 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 282 | |
| i. Full name | Safra Securities LLC |
| ii. LEI, if any, or provide and describe other identifying number | E51AOUORNWWT747CBW71 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 283 | |
| i. Full name | Hilltop Securities Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 549300IXU82PMU6XZT45 |
| Description of other identifying number | |
| iii. State, if applicable |
TEXAS
|
| 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: 284 | |
| i. Full name | Trustmont Financial Group, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-36439 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 285 | |
| i. Full name | Abacus International Capital Corp. |
| ii. LEI, if any, or provide and describe other identifying number | 8-46418 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 286 | |
| i. Full name | Globalink Securities, Inc |
| ii. LEI, if any, or provide and describe other identifying number | 8-44509 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 287 | |
| i. Full name | Etico Partners, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900YC5I0IY6GSBI85 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 288 | |
| i. Full name | APW Capital, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-50433 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 289 | |
| i. Full name | Silver Oak Securities, Incorporated |
| ii. LEI, if any, or provide and describe other identifying number | 8-51601 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TENNESSEE
|
| 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: 290 | |
| i. Full name | International Money Management Group, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-30417 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MARYLAND
|
| 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: 291 | |
| i. Full name | Teachers Insurance and Annuity Association of America |
| ii. LEI, if any, or provide and describe other identifying number | O06XD7BJ4EPXNABVFN69 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 292 | |
| i. Full name | Intervest International Equities Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 8-38156 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
COLORADO
|
| 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: 293 | |
| i. Full name | Genworth Life and Annuity Insurance Company |
| ii. LEI, if any, or provide and describe other identifying number | TAI340D9BWT9R77O0P03 |
| Description of other identifying number | |
| iii. State, if applicable |
VIRGINIA
|
| 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: 294 | |
| i. Full name | Independent Brokerage Solutions LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-68549 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 295 | |
| i. Full name | Huntleigh Securities Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 894500C7FPHBY5AKXH71 |
| Description of other identifying 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: 296 | |
| i. Full name | Equitable Advisors, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-17883 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 297 | |
| i. Full name | Deutsche Bank Securities Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 9J6MBOOO7BECTDTUZW19 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 298 | |
| i. Full name | Maxim Group LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900OJ6JZO6SDMHQ83 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 299 | |
| i. Full name | Variable Investment Advisors, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-50699 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
SOUTH DAKOTA
|
| 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: 300 | |
| i. Full name | Mcnally Financial Services Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 8-65388 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 301 | |
| i. Full name | Lombard Securities, Incorporated |
| ii. LEI, if any, or provide and describe other identifying number | 8-43340 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MARYLAND
|
| 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: 302 | |
| i. Full name | Grant Williams L.P. |
| ii. LEI, if any, or provide and describe other identifying number | 8-51249 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 303 | |
| i. Full name | Flagstar Advisors, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900KRZU45UT6QSG35 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 304 | |
| i. Full name | Vision Financial Markets LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300J0X8HK9GUADL55 |
| Description of other identifying number | |
| iii. State, if applicable |
CONNECTICUT
|
| 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: 305 | |
| i. Full name | Dorn & Co., Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-08707 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MINNESOTA
|
| 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: 306 | |
| i. Full name | First Asset Financial Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-67191 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
KANSAS
|
| 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: 307 | |
| i. Full name | ICMA-RC Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-40268 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
DISTRICT OF COLUMBIA
|
| 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: 308 | |
| i. Full name | S.L. Reed & Company |
| ii. LEI, if any, or provide and describe other identifying number | 8-49178 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 309 | |
| i. Full name | R. Seelaus & Co. Inc |
| ii. LEI, if any, or provide and describe other identifying number | 2138004J7AJDLCOJYA06 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 310 | |
| i. Full name | BBVA Securities Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 549300RJFN0Z663VE860 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 311 | |
| i. Full name | Portsmouth Financial Services |
| ii. LEI, if any, or provide and describe other identifying number | 8-30097 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 312 | |
| i. Full name | USCA Securities LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900GBMSP1Y45THR66 |
| Description of other identifying number | |
| iii. State, if applicable |
TEXAS
|
| 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: 313 | |
| i. Full name | UBS Financial Services Inc. |
| ii. LEI, if any, or provide and describe other identifying number | ETYRV6ORNFJB5NONI676 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 314 | |
| i. Full name | Merrill Lynch, Pierce, Fenner & Smith Incorporated |
| ii. LEI, if any, or provide and describe other identifying number | 8NAV47T0Y26Q87Y0QP81 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 315 | |
| i. Full name | Fidelity Investments Institutional Operations Company LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300XVSM8LN3LQOK63 |
| Description of other identifying number | |
| iii. State, if applicable |
MASSACHUSETTS
|
| 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: 316 | |
| i. Full name | Hazard & Siegel, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-13942 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 317 | |
| i. Full name | SWBC Investment Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900YIJJWABADWZ455 |
| Description of other identifying number | |
| iii. State, if applicable |
TEXAS
|
| 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: 318 | |
| i. Full name | Horace Mann Investors, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900OFJVU7T8WTK224 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 319 | |
| i. Full name | Raymond James & Associates, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | U4ONQX15J3RO8XCKE979 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 320 | |
| i. Full name | William Blair & Company, L.L.C. |
| ii. LEI, if any, or provide and describe other identifying number | 549300J0P7XYE8BMZ775 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 321 | |
| i. Full name | Tradition Securities and Derivatives LLC |
| ii. LEI, if any, or provide and describe other identifying number | WRYEFMSVQCH0EMD08461 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 322 | |
| i. Full name | Oscar Gruss & Son Incorporated |
| ii. LEI, if any, or provide and describe other identifying number | 549300V78DH9XCK5UI63 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 323 | |
| i. Full name | Hennion & Walsh, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 2549007B0CCUSX9P2580 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 324 | |
| i. Full name | Mercer HR Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 20-1932099 |
| Description of other identifying number | Tax ID |
| iii. State, if applicable |
NEW YORK
|
| 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: 325 | |
| i. Full name | Money Concepts Capital Corp |
| ii. LEI, if any, or provide and describe other identifying number | 8-29671 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
FLORIDA
|
| 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: 326 | |
| i. Full name | Hudson Heritage Capital Management Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-50648 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 327 | |
| i. Full name | Avondale Partners, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900799PKXEPTDRJ40 |
| Description of other identifying number | |
| iii. State, if applicable |
TENNESSEE
|
| 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: 328 | |
| i. Full name | Sovereign Legacy Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-00621 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NORTH CAROLINA
|
| 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: 329 | |
| i. Full name | Griffinest Asia Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-66571 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 330 | |
| i. Full name | VALIC Retirement Services Company |
| ii. LEI, if any, or provide and describe other identifying number | 84-06057 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 331 | |
| i. Full name | Holistic Brokerage, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900EMZBEIM1FAO022 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 332 | |
| i. Full name | Portfolio Resources Group, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 549300TKCYL1XNXOL896 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 333 | |
| i. Full name | Quincy Cass Associates |
| ii. LEI, if any, or provide and describe other identifying number | 8-5743 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 334 | |
| i. Full name | VALIC Financial Advisors, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-50018 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 335 | |
| i. Full name | Glen Eagle Wealth LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300KIBM3JOKOD9P59 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 336 | |
| i. Full name | T.S. Phillips Investments, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-65661 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
OKLAHOMA
|
| 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: 337 | |
| i. Full name | Bolton Securities Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 8-68187 |
| 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 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: 338 | |
| i. Full name | Founders Financial Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-67137 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MARYLAND
|
| 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: 339 | |
| i. Full name | Stifel Independent Advisors, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-43514 |
| 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: 340 | |
| i. Full name | North South Capital LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300ODEKJCRN2AM859 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 341 | |
| i. Full name | J.P. Morgan Institutional Investments Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-52182 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 342 | |
| i. Full name | Joseph Gunnar & Co., L.L.C. |
| ii. LEI, if any, or provide and describe other identifying number | 2549001XBRI5XQ0ZDA12 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 343 | |
| i. Full name | Infinity Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-67647 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 344 | |
| i. Full name | First Manhattan Co. |
| ii. LEI, if any, or provide and describe other identifying number | 549300NNJKVSO48I3G76 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 345 | |
| i. Full name | Allstate Financial Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-36365 |
| 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: 346 | |
| i. Full name | Darwood Associates, Incorporated |
| ii. LEI, if any, or provide and describe other identifying number | 8-16560 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 347 | |
| i. Full name | Thurston, Springer, Miller, Herd & Titak, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 549300VFTCJPQNF6P182 |
| Description of other identifying number | |
| iii. State, if applicable |
INDIANA
|
| 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: 348 | |
| i. Full name | M&T Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900VRUF9FN7AZI864 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 349 | |
| i. Full name | NEXT Financial Group, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-51356 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 350 | |
| i. Full name | Steward Partners Investment Solutions, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 25490043UEOX7JZ3AC58 |
| Description of other identifying number | |
| iii. State, if applicable |
OREGON
|
| 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: 351 | |
| i. Full name | L.O. Thomas & Co., Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-40875 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 352 | |
| i. Full name | Prudential Investment Management Services LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-36540 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 353 | |
| i. Full name | Regal Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-21765 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ILLINOIS
|
| 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: 354 | |
| i. Full name | Essex Securities LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900RAMRWZOR870Q30 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 355 | |
| i. Full name | N.I.S. Financial Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-15919 |
| 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: 356 | |
| i. Full name | American Equity Investment Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 8-49078 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
INDIANA
|
| 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: 357 | |
| i. Full name | Arlington Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-38098 |
| 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: 358 | |
| i. Full name | Carl M. Hennig, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-14509 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
WISCONSIN
|
| 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: 359 | |
| i. Full name | Symphonic Securities LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-67220 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 360 | |
| i. Full name | Arete Wealth Management LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900PEVHP73QVT1G09 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 361 | |
| i. Full name | Navy Federal Investment Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-67161 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
VIRGINIA
|
| 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: 362 | |
| i. Full name | Gill Capital Partners, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-30563 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
COLORADO
|
| 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: 363 | |
| i. Full name | Alight Solutions LLC |
| ii. LEI, if any, or provide and describe other identifying number | 84-01996 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ILLINOIS
|
| 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: 364 | |
| i. Full name | SPIRE Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-67635 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
VIRGINIA
|
| 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: 365 | |
| i. Full name | Lincoln-Douglas Investments, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-68728 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
OHIO
|
| 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: 366 | |
| i. Full name | ADP Broker-Dealer, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-47885 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 367 | |
| i. Full name | Dempsey Lord Smith, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-67469 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
GEORGIA
|
| 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: 368 | |
| i. Full name | U.S. Bancorp Investments, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | H85Z6XZP8B10ES0M2G89 |
| Description of other identifying number | |
| iii. State, if applicable |
MINNESOTA
|
| 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: 369 | |
| i. Full name | Classic, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-68981 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NORTH DAKOTA
|
| 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: 370 | |
| i. Full name | Ameriprise Financial Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-16791 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MINNESOTA
|
| 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: 371 | |
| i. Full name | Gregory J. Schwartz & Co., Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-20955 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MICHIGAN
|
| 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: 372 | |
| i. Full name | Allen C. Ewing & Co. |
| ii. LEI, if any, or provide and describe other identifying number | 8-42393 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
FLORIDA
|
| 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: 373 | |
| i. Full name | USA Financial Securities Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 8-52342 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MICHIGAN
|
| 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: 374 | |
| i. Full name | Oak Tree Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-36138 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 375 | |
| i. Full name | Emerson Equity LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-66296 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 376 | |
| i. Full name | Hartford Funds Management Company, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300P3DI8LOUAPBT80 |
| Description of other identifying number | |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 377 | |
| i. Full name | TrustFirst, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-48509 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TENNESSEE
|
| 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: 378 | |
| i. Full name | Muriel Siebert & Co., Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900ILZFIE2ULRPV24 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 379 | |
| i. Full name | Teckmeyer Financial Services, L.L.C. |
| ii. LEI, if any, or provide and describe other identifying number | 8-48501 |
| 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: 380 | |
| i. Full name | Crews and Associates, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 5493001BWSV3E82LZ446 |
| Description of other identifying number | |
| iii. State, if applicable |
ARKANSAS
|
| 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: 381 | |
| i. Full name | Anovest Financial Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-66742 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
GEORGIA
|
| 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: 382 | |
| i. Full name | Western Growers Financial Services |
| ii. LEI, if any, or provide and describe other identifying number | 8-53458 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 383 | |
| i. Full name | Empower Financial Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-33854 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
COLORADO
|
| 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: 384 | |
| i. Full name | Massachusetts Mutual Life Insurance Company |
| ii. LEI, if any, or provide and describe other identifying number | R6ZXK5P01NP6HXSY1S07 |
| Description of other identifying number | |
| iii. State, if applicable |
MASSACHUSETTS
|
| 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: 385 | |
| i. Full name | Ascensus Financial Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-67891 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 386 | |
| i. Full name | CapFinancial Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-65870 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NORTH CAROLINA
|
| 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: 387 | |
| i. Full name | Axxcess Wealth Management, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 35-2436156 |
| Description of other identifying number | Tax ID |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 388 | |
| i. Full name | Voya Investments Distributor, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300UXSQ6ZVMSJFH64 |
| Description of other identifying number | |
| iii. State, if applicable |
ARIZONA
|
| 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: 389 | |
| i. Full name | Navaid Financial Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-49897 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 390 | |
| i. Full name | United States Life Insurance Company in the City of New York |
| ii. LEI, if any, or provide and describe other identifying number | 549300C1JQGJ0MNUMG79 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 391 | |
| i. Full name | The GMS Group, L.L.C. |
| ii. LEI, if any, or provide and describe other identifying number | 254900OXZT27TA5CGU56 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 392 | |
| i. Full name | Devenir, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-65837 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MINNESOTA
|
| 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: 393 | |
| i. Full name | J.W. Cole Financial, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-65698 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
FLORIDA
|
| 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: 394 | |
| i. Full name | R. F. Lafferty & Co., Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900KLPTMWPBZWH264 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 395 | |
| i. Full name | Parkmount Financial Partners LLC |
| ii. LEI, if any, or provide and describe other identifying number | 801-127185 |
| 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 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: 396 | |
| i. Full name | Brokers International Financial Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-67239 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
IOWA
|
| 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: 397 | |
| i. Full name | Laidlaw & Company (UK) Ltd. |
| ii. LEI, if any, or provide and describe other identifying number | 8-53731 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 398 | |
| i. Full name | Capital Portfolio Management, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-44225 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MARYLAND
|
| 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: 399 | |
| i. Full name | Investment Placement Group |
| ii. LEI, if any, or provide and describe other identifying number | 5493005L3RL45FY4HR07 |
| Description of other identifying number | |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 400 | |
| i. Full name | S.G. Long & Company |
| ii. LEI, if any, or provide and describe other identifying number | 8-51816 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MONTANA
|
| 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: 401 | |
| i. Full name | Cardinal Investments, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-47493 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ILLINOIS
|
| 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: 402 | |
| i. Full name | United Planners Financial Services of America A Limited Partnership |
| ii. LEI, if any, or provide and describe other identifying number | 8-38485 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ARIZONA
|
| 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: 403 | |
| i. Full name | GAINLINE FINANCIAL PARTNERS, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 801-128065 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
COLORADO
|
| 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: 404 | |
| i. Full name | Pensionmark Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-69773 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 405 | |
| i. Full name | Standard Insurance Company |
| ii. LEI, if any, or provide and describe other identifying number | 549300KVA8DBYKHPXO21 |
| Description of other identifying number | |
| iii. State, if applicable |
OREGON
|
| 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: 406 | |
| i. Full name | Moors & Cabot, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900SDQ5IONENQ7U67 |
| Description of other identifying number | |
| iii. State, if applicable |
MASSACHUSETTS
|
| 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: 407 | |
| i. Full name | B. Riley Wealth Management Holdings, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-31206 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TENNESSEE
|
| 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: 408 | |
| i. Full name | The Logan Group Securities |
| ii. LEI, if any, or provide and describe other identifying number | 8-48995 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 409 | |
| i. Full name | Intercarolina Financial Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-37519 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NORTH CAROLINA
|
| 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: 410 | |
| i. Full name | Commonwealth Equity Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900TMHIZZ1AGR7A95 |
| Description of other identifying number | |
| iii. State, if applicable |
MASSACHUSETTS
|
| 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: 411 | |
| i. Full name | Oakwood Capital Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-38631 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MINNESOTA
|
| 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: 412 | |
| i. Full name | L.M. Kohn & Company |
| ii. LEI, if any, or provide and describe other identifying number | 8-43303 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
OHIO
|
| 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: 413 | |
| i. Full name | Intercam Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900YUQYHGAT6VVA56 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 414 | |
| i. Full name | Securities America, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-26602 |
| 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: 415 | |
| i. Full name | Hanson McClain Retirement Network, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-52250 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 416 | |
| i. Full name | Bolton Global Capital, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 2549009M08YVOG46LO79 |
| Description of other identifying number | |
| iii. State, if applicable |
MASSACHUSETTS
|
| 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: 417 | |
| i. Full name | LPL Enterprise, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-26037 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 418 | |
| i. Full name | American Capital Partners, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 254900I8NH46ZJJ4Z956 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 419 | |
| i. Full name | World Capital Brokerage, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-06805 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
COLORADO
|
| 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: 420 | |
| i. Full name | Union Capital Company |
| ii. LEI, if any, or provide and describe other identifying number | 8-53127 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ARIZONA
|
| 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: 421 | |
| i. Full name | LaSalle St. Securities, L.L.C. |
| ii. LEI, if any, or provide and describe other identifying number | 254900T7U4ODG86YRV13 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 422 | |
| i. Full name | Multiple Financial Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-52017 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 423 | |
| i. Full name | SFA Financial, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-68156 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
SOUTH CAROLINA
|
| 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: 424 | |
| i. Full name | Voya Financial Advisors, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-13987 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
IOWA
|
| 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: 425 | |
| i. Full name | Regulus Financial Group, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-68275 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MICHIGAN
|
| 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: 426 | |
| i. Full name | Securities Equity Group |
| ii. LEI, if any, or provide and describe other identifying number | 8-51706 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 427 | |
| i. Full name | Stifel, Nicolaus & Company, Incorporated |
| ii. LEI, if any, or provide and describe other identifying number | 5WUVMA08EYG4KEUPW589 |
| Description of other identifying 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: 428 | |
| i. Full name | White Mountain Capital, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-52572 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 429 | |
| i. Full name | Triad Advisors, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-42007 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
GEORGIA
|
| 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: 430 | |
| i. Full name | Cedar Brook Financial Partners, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 801-112173 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
OHIO
|
| 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: 431 | |
| i. Full name | Impact U. Investments, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-65527 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 432 | |
| i. Full name | Stonecrest Capital Markets, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 25490062H4ICVOPZ2X80 |
| Description of other identifying number | |
| iii. State, if applicable |
TEXAS
|
| 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: 433 | |
| i. Full name | Brighton Securities Corp. |
| ii. LEI, if any, or provide and describe other identifying number | 8-14599 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 434 | |
| i. Full name | Amerant Investments, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900M8G8SSAIMHET60 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 435 | |
| i. Full name | Horace Mann Life Insurance Company |
| ii. LEI, if any, or provide and describe other identifying number | 5493000HR2JKKNH2FL09 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 436 | |
| i. Full name | Janney Montgomery Scott LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-00462 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 437 | |
| i. Full name | Principled Advisors, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-66451 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 438 | |
| i. Full name | Lion Street Financial, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-69183 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 439 | |
| i. Full name | PNC Capital Markets LLC |
| ii. LEI, if any, or provide and describe other identifying number | 7OGNSSLOQJ8U3B9Y5F18 |
| Description of other identifying number | |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 440 | |
| i. Full name | Caldwell Securities Ltd. |
| ii. LEI, if any, or provide and describe other identifying number | 549300ORF2FMHXODHJ66 |
| Description of other identifying number | |
| iii. State, if applicable | |
| iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
| 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: 441 | |
| i. Full name | Benefit Plans Administrative Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | BBG002ZR1639 |
| Description of other identifying number | Bloomberg Global ID |
| iii. State, if applicable |
NEW YORK
|
| 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: 442 | |
| i. Full name | The Oak Ridge Financial Services Group, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 2549003647MDU9F6QN39 |
| Description of other identifying number | |
| iii. State, if applicable |
MINNESOTA
|
| 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: 443 | |
| i. Full name | Capital Management Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-27779 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MINNESOTA
|
| 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: 444 | |
| i. Full name | Crown Capital Securities, L.P. |
| ii. LEI, if any, or provide and describe other identifying number | 8-17264 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 445 | |
| i. Full name | Aventura Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-67458 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
FLORIDA
|
| 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: 446 | |
| i. Full name | FNBB Capital Markets, L.L.C. |
| ii. LEI, if any, or provide and describe other identifying number | 8-66553 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ALABAMA
|
| 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: 447 | |
| i. Full name | Investment Security Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 8-51832 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 448 | |
| i. Full name | Sabadell Securities USA, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 2549002UK8JK82ABGD45 |
| Description of other identifying number | |
| iii. State, if applicable |
FLORIDA
|
| 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: 449 | |
| i. Full name | Tocqueville Securities L.P. |
| ii. LEI, if any, or provide and describe other identifying number | 8-42223 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 450 | |
| i. Full name | Purshe Kaplan Sterling Investments, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-46844 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 451 | |
| i. Full name | Coinbase Capital Markets Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 8-28032 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 452 | |
| i. Full name | Coordinated Capital Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-31173 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
WISCONSIN
|
| 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: 453 | |
| i. Full name | Syndicated Capital, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-44162 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 454 | |
| i. Full name | First Horizon Advisors, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-35061 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TENNESSEE
|
| 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: 455 | |
| i. Full name | Comerica Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 5493009QV211JEW7ZV59 |
| Description of other identifying number | |
| iii. State, if applicable |
MICHIGAN
|
| 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: 456 | |
| i. Full name | Stephens Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 213800LH6T9XDYZCA534 |
| Description of other identifying number | |
| iii. State, if applicable |
ARKANSAS
|
| 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: 457 | |
| i. Full name | Henley & Company LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-66463 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 458 | |
| i. Full name | Brooklight Place Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-32673 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ILLINOIS
|
| 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: 459 | |
| i. Full name | Morgan Stanley & Co. LLC |
| ii. LEI, if any, or provide and describe other identifying number | 9R7GPTSO7KV3UQJZQ078 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 460 | |
| i. Full name | Northwestern Mutual Investment Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | CYO86L8D7HTXW9SOZX28 |
| Description of other identifying number | |
| iii. State, if applicable |
WISCONSIN
|
| 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: 461 | |
| i. Full name | Reliance Trust Company |
| ii. LEI, if any, or provide and describe other identifying number | 549300NV8FSQRNOUQO50 |
| Description of other identifying number | |
| iii. State, if applicable |
GEORGIA
|
| 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: 462 | |
| i. Full name | Woodmen Financial Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-53592 |
| 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: 463 | |
| i. Full name | T. Rowe Price Retirement Plan Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 84-06219 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
MARYLAND
|
| 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: 464 | |
| i. Full name | Signature Estate Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-37065 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 465 | |
| i. Full name | &Partners |
| ii. LEI, if any, or provide and describe other identifying number | 8-3774 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TENNESSEE
|
| 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: 466 | |
| i. Full name | DWS Distributors, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 5299007T18XBURKJ1V64 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 467 | |
| i. Full name | Cresap, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-42117 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 468 | |
| i. Full name | Stonebridge Wealth Management LLC |
| ii. LEI, if any, or provide and describe other identifying number | 801-112745 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ILLINOIS
|
| 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: 469 | |
| i. Full name | Ni Advisors |
| ii. LEI, if any, or provide and describe other identifying number | 8-66841 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 470 | |
| i. Full name | Avisen Wealth Management, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-65833 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 471 | |
| i. Full name | Interactive Brokers LLC |
| ii. LEI, if any, or provide and describe other identifying number | 50OBSE5T5521O6SMZR28 |
| Description of other identifying number | |
| iii. State, if applicable |
CONNECTICUT
|
| 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: 472 | |
| i. Full name | Exeter Trust Company |
| ii. LEI, if any, or provide and describe other identifying number | 28-04279 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 473 | |
| i. Full name | CFD Investments, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-41727 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
INDIANA
|
| 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: 474 | |
| i. Full name | Westminster Financial Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-38426 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
OHIO
|
| 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: 475 | |
| i. Full name | D.M. Kelly & Company |
| ii. LEI, if any, or provide and describe other identifying number | 254900MPA2M5G6DL5C63 |
| Description of other identifying number | |
| iii. State, if applicable |
IOWA
|
| 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: 476 | |
| i. Full name | Saturna Brokerage Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-36558 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
WASHINGTON
|
| 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: 477 | |
| i. Full name | Sage Rutty and Company, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-00533 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 478 | |
| i. Full name | Harbour Investments, Inc |
| ii. LEI, if any, or provide and describe other identifying number | 8-37373 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
WISCONSIN
|
| 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: 479 | |
| i. Full name | Smith, Moore & Co. |
| ii. LEI, if any, or provide and describe other identifying number | 8-27480 |
| 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: 480 | |
| i. Full name | Empire Asset Management Company, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-67520 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 481 | |
| i. Full name | Healthcare Community Securities Corp. |
| ii. LEI, if any, or provide and describe other identifying number | 8-46981 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 482 | |
| i. Full name | Apex Clearing Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 5493000418CITRF5BO80 |
| Description of other identifying number | |
| iii. State, if applicable |
TEXAS
|
| 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: 483 | |
| i. Full name | Sunstreet Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-67541 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ARIZONA
|
| 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: 484 | |
| i. Full name | Wright Investors' Service Distributors, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 06-1071596 |
| Description of other identifying number | Tax ID |
| iii. State, if applicable |
CONNECTICUT
|
| 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: 485 | |
| i. Full name | J. Alden Associates, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-48938 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
PENNSYLVANIA
|
| 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: 486 | |
| i. Full name | VBC Securities, L.L.C. |
| ii. LEI, if any, or provide and describe other identifying number | 8-44141 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW JERSEY
|
| 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: 487 | |
| i. Full name | Profinancial, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-32026 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
LOUISIANA
|
| 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: 488 | |
| i. Full name | Volition Financial Network, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 83-4714227 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
OHIO
|
| 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: 489 | |
| i. Full name | Fifth Third Bank, National Association |
| ii. LEI, if any, or provide and describe other identifying number | QFROUN1UWUYU0DVIWD51 |
| Description of other identifying number | |
| iii. State, if applicable |
OHIO
|
| 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: 490 | |
| i. Full name | Lincoln Financial Securities Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 8-14609 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
INDIANA
|
| 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: 491 | |
| i. Full name | John Hancock Trust Company LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300W205WZCFZS6R51 |
| Description of other identifying number | |
| iii. State, if applicable |
MASSACHUSETTS
|
| 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: 492 | |
| i. Full name | Wells Fargo Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | VYVVCKR63DVZZN70PB21 |
| Description of other identifying number | |
| iii. State, if applicable |
NORTH CAROLINA
|
| 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: 493 | |
| i. Full name | State Street Bank and Trust Company |
| ii. LEI, if any, or provide and describe other identifying number | 571474TGEMMWANRLN572 |
| Description of other identifying number | |
| iii. State, if applicable |
MASSACHUSETTS
|
| 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: 494 | |
| i. Full name | Arvest Investments, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900F30H09HHDIEI45 |
| Description of other identifying number | |
| iii. State, if applicable |
ARKANSAS
|
| 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: 495 | |
| i. Full name | KW Securities Corporation |
| ii. LEI, if any, or provide and describe other identifying number | 8-24792 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
CALIFORNIA
|
| 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: 496 | |
| i. Full name | E*TRADE Savings Bank |
| ii. LEI, if any, or provide and describe other identifying number | 549300DXPO50FJ75QA85 |
| Description of other identifying number | |
| iii. State, if applicable |
VIRGINIA
|
| 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: 497 | |
| i. Full name | OneAmerica Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-15009 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
INDIANA
|
| 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: 498 | |
| i. Full name | American Trust Investment Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-14394 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
INDIANA
|
| 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: 499 | |
| i. Full name | Northern Trust Securities, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 3CHSO99JSPHD9HGNYJ46 |
| Description of other identifying number | |
| iii. State, if applicable |
ILLINOIS
|
| 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: 500 | |
| i. Full name | UBS AG (New York, NY, US, Branch) |
| ii. LEI, if any, or provide and describe other identifying number | BFM8T61CT2L1QCEMIK50 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 501 | |
| i. Full name | Wells Fargo Clearing Services, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 88KRVSOEKUGQZJ3DKW55 |
| Description of other identifying 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: 502 | |
| i. Full name | SA Stone Wealth Management Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-36638 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
ALABAMA
|
| 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: 503 | |
| i. Full name | UBATCO & Co. |
| ii. LEI, if any, or provide and describe other identifying number | N/A |
| Description of other identifying 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: 504 | |
| i. Full name | Axiom Capital Management, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 254900WW7SK1IMK6NO54 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 505 | |
| i. Full name | SG Americas Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 549300F35UE0BOM1WJ55 |
| Description of other identifying number | |
| iii. State, if applicable |
NEW YORK
|
| 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: 506 | |
| i. Full name | Calamar Financial Group, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-69777 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
NEW YORK
|
| 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: 507 | |
| i. Full name | Dominion Investor Services, Inc. |
| ii. LEI, if any, or provide and describe other identifying number | 8-39029 |
| Description of other identifying number | SEC File Number |
| iii. State, if applicable |
TEXAS
|
| 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: 508 | |
| i. Full name | Lockton Investment Securities, LLC |
| ii. LEI, if any, or provide and describe other identifying number | 8-67090 |
| 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
|