Pursuant to the Fund’s procedures adopted under Rule 10f-3, the Fund’s Board of Directors/Trustees receives a quarterly report in the form of a checklist as to the satisfaction of the applicable conditions of paragraph (c)(1) through (c)(8) of Rule 10f-3.
Fund | Diversified Corporate Bond ETF | ||||
Issuer | Bank of America Corp. | ||||
Ticker/Sedol | 06051GJB6 | ||||
Principal Amount (US$) | $3,000,000,000 | ||||
Principal Amount (Foreign$) | N/A | ||||
Amount Purchased (US$) | $900,000 | ||||
Amount Purchased (Foreign$) | N/A | ||||
Trade Date | 4/22/2020 | ||||
Price (US$) | $100.00 | ||||
Price-Foreign | N/A | ||||
Underwriter | BofA Securities | ||||
Other Syndicate Members: | Mizuho Securities USA LLC, Morgan Stanley & Co. LLC, BMO Capital Markets Corp., Nomura Securities International, Inc., MUFG Securities Americas Inc, ABN AMRO Securities (USA) LLC, ANZ Securities, Inc., Banca IMI S.p.A., Banco de Sabadell, S.A., BBVA Securities Inc., BNY Mellon Capital Markets, LLC, Capital One Securities, Inc., CIBC World Markets Corp., Citizens Capital Markets, Inc., Commerz Markets LLC, Commonwealth Bank of Australia, Credit Agricole Securities (USA) Inc., Danske Markets Inc., DBS Bank Ltd., Huntington Securities, Inc., ING Financial Markets LLC, KeyBanc Capital Markets Inc., Lloyds Securities Inc., nabSecurities, LLC, Natixis Securities Americas LLC, NatWest Markets Securities Inc., Nordea Bank ABP, RB International Markets (USA) LLC, Regions Securities LLC, Santander Investment Securities Inc., Scotia Capital (USA) Inc., SMBC Nikko Securities America, Inc., Standard Chartered Bank, SunTrust Robinson Humphrey, Inc., TD Securities (USA) LLC, UniCredit Capital Markets LLC, Apto Partners, LLC, Drexel Hamilton, LLC | ||||
Underwriting Spread | 0.45% | ||||
Currency | USD |
Fund | Diversified Corporate Bond ETF | ||||
Issuer | Citigroup Inc. | ||||
Ticker/Sedol | 172967MS7 | ||||
Principal Amount (US$) | $3,500,000,000 | ||||
Principal Amount (Foreign$) | N/A | ||||
Amount Purchased (US$) | $170,000 | ||||
Amount Purchased (Foreign$) | N/A | ||||
Trade Date | 5/26/2020 | ||||
Price (US$) | $100.00 | ||||
Price-Foreign | N/A | ||||
Underwriter | Citigroup Global Markets Inc. | ||||
Other Syndicate Members: | BMO Capital Markets Corp., Nomura Securities International, Inc., Banca IMI S.p.A., BBVA Securities Inc., Capital One Securities, Inc., CIBC World Markets Corp., Citizens Capital Markets, Inc., Commonwealth Bank of Australia, DBS Bank Ltd., Huntington Securities, Inc., ICBC Standard Bank Plc, ING Financial Markets LLC, KeyBanc Capital Markets Inc., Lloyds Securities Inc., nabSecurities, LLC, Natixis Securities Americas LLC, NatWest Markets Securities Inc., RBC Capital Markets, LLC, Regions Securities LLC, Santander Investment Securities Inc., SMBC Nikko Securities America, Inc., SG Americas Securities, LLC, TD Securities (USA) LLC, UniCredit Capital Markets LLC, Academy Securities, Inc., CastleOak Securities, L.P., Deutsche Bank Securities Inc., MUFG Securities Americas Inc., Scotia Capital (USA) Inc., UBS Securities LLC, ABN AMRO Securities (USA) LLC, Bank of China Limited, London Branch, Cabrera Capital Markets LLC, Credit Suisse Securities (USA) LLC, Desjardins Securities Inc., Fifth Third Securities, Inc., HSBC Securities (USA) Inc., Mischler Financial Group, Inc., National Bank of Canada Financial Inc., Roberts & Ryan Investments Inc., U.S. Bancorp Investments, Inc. | ||||
Underwriting Spread | 0.425% | ||||
Currency | USD |
Fund | Diversified Corporate Bond ETF | ||||
Issuer | Apollo Management Holdings, L.P. | ||||
Ticker/Sedol | 03765HAF8 | ||||
Principal Amount (US$) | $498,520,000 | ||||
Principal Amount (Foreign$) | N/A | ||||
Amount Purchased (US$) | $244,274.80 | ||||
Amount Purchased (Foreign$) | N/A | ||||
Trade Date | 6/02/2020 | ||||
Price (US$) | $99.70 | ||||
Price-Foreign | N/A | ||||
Underwriter | Citigroup Global Markets | ||||
Other Syndicate Members: | Goldman Sachs & Co. LLC, Mizuho Securities USA LLC, Morgan Stanley & Co. LLC, HSBC Securities (USA) Inc., Barclays Capital Inc., BMO Capital Markets Corp., BofA Securities, Inc., Credit Suisse Securities (USA) LLC, Deutsche Bank Securities Inc., J.P. Morgan Securities LLC, Nomura Securities International, Inc., RBC Capital Markets, LLC, UBS Securities LLC, Wells Fargo Securities, LLC, Apollo Global Securities, LLC, BNP Paribas Securities Corp, U.S. Bancorp Investments, Inc., MUFG Securities Americas Inc, SG Americas Securities, LLC | ||||
Underwriting Spread | 0.65% | ||||
Currency | USD |
Fund | Diversified Corporate Bond ETF | ||||
Issuer | Toronto Dominion Bank | ||||
Ticker/Sedol | 89114QCG1 | ||||
Principal Amount (US$) | $1,748,705,000 | ||||
Principal Amount (Foreign$) | N/A | ||||
Amount Purchased (US$) | $279,792.80 | ||||
Amount Purchased (Foreign$) | N/A | ||||
Trade Date | 6/10/2020 | ||||
Price (US$) | $99.926 | ||||
Price-Foreign | N/A | ||||
Underwriter | TD Securities (USA) LLC | ||||
Other Syndicate Members: | Nomura Securities International, Inc., ING Financial Markets LLC, Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Wells Fargo Securities, LLC, Santander Investment Securities Inc., SMBC Nikko Securities America, Inc., Banca IMI S.p.A, CIBC World Markets Corp., Danske Markets Inc., DBS Bank Ltd., nabSecurities, LLC, Rabo Securities USA, Inc., Westpac Capital Markets LLC, Academy Securities, Inc., Capital Institutional Services, Inc., R. Seelaus & Co., LLC, Samuel A. Ramirez & Company, Inc., Siebert Williams Shank & Co., LLC | ||||
Underwriting Spread | 0.25% | ||||
Currency | USD |
Fund | Diversified Corporate Bond ETF | ||||
Issuer | Bank of America Corporation | ||||
Ticker/Sedol | 06051GJD2 | ||||
Principal Amount (US$) | $3,000,000,000 | ||||
Principal Amount (Foreign$) | N/A | ||||
Amount Purchased (US$) | $280,000 | ||||
Amount Purchased (Foreign$) | N/A | ||||
Trade Date | 6/16/2020 | ||||
Price (US$) | $100.00 | ||||
Price-Foreign | N/A | ||||
Underwriter | BofA Securities, Inc. | ||||
Other Syndicate Members: | Mizuho Securities USA LLC, BMO Capital Markets Corp., Nomura Securities International, Inc., MUFG Securities Americas Inc, ABN AMRO Securities (USA) LLC, ANZ Securities, Inc., Banca IMI S.p.A., Bankinter S.A., BBVA Securities Inc., Capital One Securities, Inc., CIBC World Markets Corp., Citizens Capital Markets, Inc., Commerz Markets LLC, Commonwealth Bank of Australia, Credit Agricole Securities (USA) Inc., Danske Markets Inc., DBS Bank Ltd., DZ Financial Markets LLC, Huntington Securities, Inc., ICBC Standard Bank Plc, ING Financial Markets LLC, KeyBanc Capital Markets Inc., Lloyds Securities Inc., nabSecurities, LLC, Natixis Securities Americas LLC, NatWest Markets Securities Inc., Nordea Bank ABP, Rabo Securities USA, Inc., RBC Capital Markets, LLC, RB International Markets (USA) LLC, Regions Securities LLC, Santander Investment Securities Inc., SMBC Nikko Securities America, Inc., Standard Chartered Bank, SG Americas Securities, LLC, TD Securities (USA) LLC, UniCredit Capital Markets LLC, Academy Securities, Inc., Bancroft Capital, LLC, CastleOak Securities, L.P., Siebert Williams Shank & Co., LLC | ||||
Underwriting Spread | 0.35% | ||||
Currency | USD |
Fund | Diversified Corporate Bond ETF | ||||
Issuer | Sumitomo Mitsui Financial Group, Inc. | ||||
Ticker/Sedol | 86562MCA6 | ||||
Principal Amount (US$) | $1,500,000,000 | ||||
Principal Amount (Foreign$) | N/A | ||||
Amount Purchased (US$) | $605,000 | ||||
Amount Purchased (Foreign$) | N/A | ||||
Trade Date | 6/29/2020 | ||||
Price (US$) | $100.00 | ||||
Price-Foreign | N/A | ||||
Underwriter | SMBC Nikko Securities America, Inc. | ||||
Other Syndicate Members: | Nomura Securities International, Inc., ING Financial Markets LLC, TD Securities (USA) LLC, Goldman Sachs & Co. LLC, Citigroup Global Markets Inc., J.P. Morgan Securities LLC, Barclays Capital Inc., BofA Securities, Inc., Daiwa Capital Markets America Inc., HSBC Securities (USA) Inc., BNY Mellon Capital Markets LLC, CCB International Capital Limited | ||||
Underwriting Spread | 0.35% | ||||
Currency | USD |