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 | Citigroup Inc | ||||
| Ticker/Sedol | 172967NA5 | ||||
| Principal Amount (US$) | $2,750,000,000 | ||||
| Principal Amount (Foreign$) | N/A | ||||
| Amount Purchased (US$) | $730,000 | ||||
| Amount Purchased (Foreign$) | N/A | ||||
| Trade Date | 6/02/2021 | ||||
| Price (US$) | $100.00 | ||||
| Price-Foreign | N/A | ||||
| Underwriter | Citigroup Global Markets | ||||
| Other Syndicate Members: | Barclays Capital Inc. BMO Capital Markets Corp. Capital One Securities, Inc. CastleOak Securities, L.P. Commonwealth Bank of Australia DBS Bank Ltd. Deutsche Bank Securities Inc. Drexel Hamilton, LLC Industrial and Commercial Bank of China (Asia) Ltd Intesa Sanpaolo S.p.A. Natixis Securities Americas LLC Nomura Securities International, Inc. RBC Capital Markets, LLC Roberts & Ryan Investments, Inc. Santander Investment Securities Inc. SG Americas Securities, LLC SMBC Nikko Securities America, Inc. Swedbank AB (publ) TD Securities (USA) LLC UBS Securities LLC UniCredit Capital Markets LLC Westpac Capital Markets LLC ABN AMRO Securities (USA) LLC Academy Securities, Inc. ANZ Securities, Inc. Bank of China Limited, London Branch BBVA Securities Inc. CIBC World Markets Corp. Commerz Markets LLC Credit Suisse Securities (USA) LLC Desjardins Securities Inc. DZ Financial Markets LLC Fifth Third Securities, Inc. Global Oak Capital Markets LLC Great Pacific Securities HSBC Securities (USA) Inc. ING Financial Markets LLC KeyBanc Capital Markets Inc. Loop Capital Markets LLC MFR Securities, Inc. Mizuho Securities USA LLC MUFG Securities Americas Inc. nabSecurities, LLC National Bank of Canada Financial Inc. Nordea Bank Abp PNC Capital Markets LLC R. Seelaus & Co., LLC RB International Markets (USA) LLC Samuel A. Ramirez & Company, Inc. Scotia Capital (USA) Inc. Siebert Williams Shank & Co., LLC Skandinaviska Enskilda Banken AB (publ) Standard Chartered Bank U.S. Bancorp Investments, Inc. Wells Fargo Securities, LLC | ||||
| Underwriting Spread | 0.33% | ||||
| Currency | USD | ||||