a. How many Classes of shares of the Fund (if
any) are
authorized?
| 6 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 1 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | A Shares |
ii. Class identification number, if any | C000013808 |
iii. Ticker symbol, if any | HWAXX |
Shares Outstanding Record:
2 |
i. Full name of Class | Y Shares |
ii. Class identification number, if any | C000013809 |
iii. Ticker symbol, if any | HTYXX |
Shares Outstanding Record:
3 |
i. Full name of Class | I Shares |
ii. Class identification number, if any | C000013813 |
iii. Ticker symbol, if any | HBIXX |
Shares Outstanding Record:
4 |
i. Full name of Class | Intermediary Class Shares |
ii. Class identification number, if any | C000167218 |
iii. Ticker symbol, if any | HTGXX |
Shares Outstanding Record:
5 |
i. Full name of Class | Intermediary Service Class Shares |
ii. Class identification number, if any | C000167219 |
iii. Ticker symbol, if any | HTFXX |
Shares Outstanding Record:
6 |
i. Full name of Class | P Shares |
ii. Class identification number, if any | C000238467 |
iii. Ticker symbol, if any | HTPXX |
|
Transfer Agents Record:
1 |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number (
e.g., 84- or 85-
)
| 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable |
MASSACHUSETTS
|
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
|
Transfer Agents Record:
2 |
i. Full name | SS&C GIDS, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 84-00448 |
iii. LEI, if any | 21B7QCD05XOK0YTYOP98 |
iv. State, if applicable |
MISSOURI
|
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
|
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
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 | 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:
3 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
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:
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | HSBC Bank USA, National Association |
ii. LEI, if any, or provide and describe
other
identifying number | 1IE8VN30JCEQV1H4R804 |
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:
2 |
i. Full name | SS&C GIDS, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 21B7QCD05XOK0YTYOP98 |
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
|
|
Administrators Record:
1 |
i. Full name | HSBC Global Asset Management (USA) Inc. |
ii. LEI, if any, or other identifying number | 213800MB7UGCSL5S3P42 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
Administrators Record:
2 |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or 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 administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | BMO Capital Markets Corp. |
ii. SEC file number | 8-34344 |
iii. CRD number | 000016686 |
iv. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2096146096.85000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Santander Securities LLC |
ii. SEC file number | 8-49571 |
iii. CRD number | 000041791 |
iv. LEI, if any | 0003237133 |
v. State, if applicable |
MASSACHUSETTS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1310812784.52000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1126287111.58000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Barclays Capital Inc. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1321209887.34000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | BofA Securities, Inc. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 9495629459.82000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | J.P. Morgan Securities LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 11644285032.87000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 8797561079.71000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Deutsche Bank Securities Inc. |
ii. SEC file number | 8-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 6547134059.50000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | BNY Capital Markets, LLC |
ii. SEC file number | 8-35255 |
iii. CRD number | 000017454 |
iv. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 11242720922.27000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | Nomura Securities International, Inc. |
ii. SEC file number | 8-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 12934687621.43000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 6 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 1 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | I Shares |
ii. Class identification number, if any | C000013788 |
iii. Ticker symbol, if any | HGIXX |
Shares Outstanding Record:
2 |
i. Full name of Class | Intermediary Service Class Shares |
ii. Class identification number, if any | C000167215 |
iii. Ticker symbol, if any | HGFXX |
Shares Outstanding Record:
3 |
i. Full name of Class | A Shares |
ii. Class identification number, if any | C000013783 |
iii. Ticker symbol, if any | FTRXX |
Shares Outstanding Record:
4 |
i. Full name of Class | Y Shares |
ii. Class identification number, if any | C000013784 |
iii. Ticker symbol, if any | RGYXX |
Shares Outstanding Record:
5 |
i. Full name of Class | P Shares |
ii. Class identification number, if any | C000238466 |
iii. Ticker symbol, if any | HGPXX |
Shares Outstanding Record:
6 |
i. Full name of Class | Intermediary Class Shares |
ii. Class identification number, if any | C000167214 |
iii. Ticker symbol, if any | HGGXX |
|
Transfer Agents Record:
1 |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number (
e.g., 84- or 85-
)
| 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable |
MASSACHUSETTS
|
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
|
Transfer Agents Record:
2 |
i. Full name | SS&C GIDS, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 84-00448 |
iii. LEI, if any | 21B7QCD05XOK0YTYOP98 |
iv. State, if applicable |
MISSOURI
|
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
|
Pricing Services Record:
1 |
i. Full name | PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300WIC0TOJ7N7GD54 |
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 | 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:
3 |
i. Full name | Intercontinental Exchange, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
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:
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | SS&C GIDS, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 21B7QCD05XOK0YTYOP98 |
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:
2 |
i. Full name | HSBC Bank USA, National Association |
ii. LEI, if any, or provide and describe
other
identifying number | 1IE8VN30JCEQV1H4R804 |
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:
3 |
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
|
|
Administrators Record:
1 |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or 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 administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
Administrators Record:
2 |
i. Full name | HSBC Global Asset Management (USA) Inc. |
ii. LEI, if any, or other identifying number | 213800MB7UGCSL5S3P42 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer | Northern Trust Securities, Inc. |
ii. SEC file number | 8-23689 |
iii. CRD number | 000007927 |
iv. LEI, if any | 3CHSO99JSPHD9HGNYJ46 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 714815000000.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Standard Chartered Securities (North America) LLC |
ii. SEC file number | 8-66397 |
iii. CRD number | 000130847 |
iv. LEI, if any | 5493003GCX71N8988W38 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 130525000000.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | BNY Capital Markets, LLC |
ii. SEC file number | 8-35255 |
iii. CRD number | 000017454 |
iv. LEI, if any | VJW2DOOHGDT6PR0ZRO63 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 679604607445.37000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | SG Americas Securities, LLC |
ii. SEC file number | 8-66125 |
iii. CRD number | 000128351 |
iv. LEI, if any | 549300F35UE0BOM1WJ55 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 219697475224.87000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | TD Securities (USA) LLC |
ii. SEC file number | 8-36747 |
iii. CRD number | 000018476 |
iv. LEI, if any | SUVUFHICNZMP2WKHG940 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 130514695845.69000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Wells Fargo Securities, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 153481187160.83000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | Federal Reserve Bank of New York |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 254900Y8NKGV541U8Q32 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 653601000000.00000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | State Street Bank and Trust Company |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | 571474TGEMMWANRLN572 |
v. State, if applicable |
MASSACHUSETTS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 942918286862.12000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 140322194537.87000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | Credit Agricole Securities (USA) Inc. |
ii. SEC file number | 8-13753 |
iii. CRD number | 000000190 |
iv. LEI, if any | 549300WO2DKF0Q3YMV43 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 122481000000.00000000 |
|
Transfer Agents Record:
1 |
i. Full name | SS&C GIDS, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 84-00448 |
iii. LEI, if any | 21B7QCD05XOK0YTYOP98 |
iv. State, if applicable |
MISSOURI
|
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
|
Transfer Agents Record:
2 |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number (
e.g., 84- or 85-
)
| 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable |
MASSACHUSETTS
|
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | Pershing LLC |
ii. LEI, if any, or provide and describe
other
identifying number | ZI8Q1A8EI8LQFJNM0D94 |
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:
2 |
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:
3 |
i. Full name | HSBC Bank USA, National Association |
ii. LEI, if any, or provide and describe
other
identifying number | 1IE8VN30JCEQV1H4R804 |
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:
4 |
i. Full name | SS&C GIDS, Inc. |
ii. LEI, if any, or provide and describe
other
identifying number | 21B7QCD05XOK0YTYOP98 |
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
|
|
Administrators Record:
1 |
i. Full name | HSBC Global Asset Management (USA) Inc. |
ii. LEI, if any, or other identifying number | 213800MB7UGCSL5S3P42 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
Administrators Record:
2 |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or 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 administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
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
i. If the Registrant is a master fund, then provide the
information requested below with respect to each feeder fund:
Feeder funds Record:
1 | 1. Full name | HSBC Radiant U.S. Smaller Companies Fund | 2. For registered feeder funds: | A. Investment Company Act file number (e.g., 811-) | 811-04782 | B. Series identification number, if any | S000005038 | C. LEI of feeder fund | 213800KVTVYOA4N6AY73 | 3. For unregistered feeder funds: | A. SEC file number of the feeder fund's investment
adviser (e.g., 801-)
| N/A | B. LEI of feeder fund, if any | N/A |
Feeder funds Record:
2 | 1. Full name | HSBC Radiant U.S. Smaller Companies Fund Class I | 2. For registered feeder funds: | A. Investment Company Act file number (e.g., 811-) | 811-04782 | B. Series identification number, if any | S000053727 | C. LEI of feeder fund | 213800YYS6TTIK3H4G84 | 3. For unregistered feeder funds: | A. SEC file number of the feeder fund's investment
adviser (e.g., 801-)
| N/A | B. LEI of feeder fund, if any | N/A |
Feeder funds Record:
3 | 1. Full name | HSBC RadiantESG U.S. Smaller Companies Portfolio | 2. For registered feeder funds: | A. Investment Company Act file number (e.g., 811-) | N/A | B. Series identification number, if any | N/A | C. LEI of feeder fund | N/A | 3. For unregistered feeder funds: | A. SEC file number of the feeder fund's investment
adviser (e.g., 801-)
| N/A | B. LEI of feeder fund, if any | 213800KVTVYOA4N6AY73 |
Feeder funds Record:
4 | 1. Full name | HSBC RadiantESG U.S. Smaller Companies Portfolio | 2. For registered feeder funds: | A. Investment Company Act file number (e.g., 811-) | N/A | B. Series identification number, if any | N/A | C. LEI of feeder fund | N/A | 3. For unregistered feeder funds: | A. SEC file number of the feeder fund's investment
adviser (e.g., 801-)
| N/A | B. LEI of feeder fund, if any | 213800YYS6TTIK3H4G84 |
ii. If the Registrant is a feeder fund, then provide the
information requested below with respect to a master fund
registered under the Act: |
g.
Money Market Fund
h.
Target Date Fund
i.
Underlying fund to a variable annuity or variable life
insurance contract
N/A
|
|
Transfer Agents Record:
1 |
i. Full name | SS&C GIDS, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 84-00448 |
iii. LEI, if any | 21B7QCD05XOK0YTYOP98 |
iv. State, if applicable |
MISSOURI
|
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
|
Transfer Agents Record:
2 |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number (
e.g., 84- or 85-
)
| 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable |
MASSACHUSETTS
|
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
|
Pricing Services Record:
1 |
i. Full name | Intercontinental Exchange, Inc. |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000F4ZO33MV32P92 |
Description of other identifying number | |
iii. State, if applicable |
GEORGIA
|
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 | 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
|
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
|
|
Administrators Record:
1 |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or 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 administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
Administrators Record:
2 |
i. Full name | HSBC Global Asset Management (USA) Inc. |
ii. LEI, if any, or other identifying number | 213800MB7UGCSL5S3P42 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Brokers Record:
1 |
i. Full name of broker | Goldman Sachs & Co. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6304.20000000 |
Brokers Record:
2 |
i. Full name of broker | UBS Securities LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4127.70000000 |
Brokers Record:
3 |
i. Full name of broker | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 6368.60000000 |
Brokers Record:
4 |
i. Full name of broker | CFT Securities, LLC |
ii. SEC file number | 8-51345 |
iii. CRD number | 000046226 |
iv. LEI, if any | N/A |
v. State, if applicable |
NEW JERSEY
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4286.55000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 21087.05000000 |
|
Transfer Agents Record:
1 |
i. Full name | SS&C GIDS, Inc. |
ii.SEC file number (
e.g., 84- or 85-
)
| 84-00448 |
iii. LEI, if any | 21B7QCD05XOK0YTYOP98 |
iv. State, if applicable |
MISSOURI
|
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
|
Transfer Agents Record:
2 |
i. Full name | State Street Bank and Trust Company |
ii.SEC file number (
e.g., 84- or 85-
)
| 85-05003 |
iii. LEI, if any | 571474TGEMMWANRLN572 |
iv. State, if applicable |
MASSACHUSETTS
|
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
|
|
Shareholder servicing agents Record:
1 |
i. Full name | HSBC Bank USA, National Association |
ii. LEI, if any, or provide and describe
other
identifying number | 1IE8VN30JCEQV1H4R804 |
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
|
|
Administrators Record:
1 |
i. Full name | HSBC Global Asset Management (USA) Inc. |
ii. LEI, if any, or other identifying number | 213800MB7UGCSL5S3P42 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
Administrators Record:
2 |
i. Full name | State Street Bank and Trust Company |
ii. LEI, if any, or 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 administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|