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BlackRock Funds IV – ‘N-CEN/A’ for 7/31/23

On:  Wednesday, 4/3/24, at 4:28pm ET   ·   Effective:  4/3/24   ·   For:  7/31/23   ·   Accession #:  1752724-24-76999   ·   File #:  811-23341

Previous ‘N-CEN’:  ‘N-CEN’ on 3/14/24 for 12/31/23   ·   Latest ‘N-CEN’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 4/03/24  BlackRock Funds IV                N-CEN/A     7/31/23    2:482K                                   Confluence Techs Inc./FA
          → BlackRock Global Long/Short Credit Fund ⇒ Class K Shares — Institutional Shares — Investor A Shares — Investor C Shares

Amendment to Annual Report by an Investment Company   —   Form N-CEN   —   ICA’40

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: N-CEN/A     Amendment to Annual Report by an Investment         HTML    480K 
                Company -- primary_doc.xml/4.4                                   
 2: MATERIAL AMENDMENTS  Material Amendment to Organizational          1      3K 
                Documents

‘N-CEN/A’   —   Amendment to Annual Report by an Investment Company — primary_doc.xml/4.4



        

This ‘N-CEN/A’ Document is an XML Data File that may be rendered in various formats:

  Form N-CEN    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Amendment to Annual Report by an Investment Company
 
X0404

N-CEN/A: Filer Information

Submission Contact Information

Name
 
Phone
 
E-Mail Address
 

Notification Information

Notify via Filing Website only?Checkbox not checked

N-CEN/A:Series/Class (Contract) Information

Series ID Record:1
Series ID
S000062370 
Class ID Record:1
Class ID
C000202326 
Class ID Record:2
Class ID
C000202324 
Class ID Record:3
Class ID
C000202327 
Class ID Record:4
Class ID
C000202325 

N-CEN/A:Part A: General Information

Item A.1. Reporting period covered.

a. Report for period ending:
7/31/23 
b. Does this report cover a period of less than 12 months?Radio button not checked Yes Radio button checked No

N-CEN/A:Part B: Information About the Registrant


Item B.1. Background information.

a. Full name of Registrant
BlackRock Funds IV 
b. Investment Company Act file number ( e.g., 811-)
811-23341 
c. CIK
0001738074 
d. LEI
549300PC6HXHVNYAKJ59 

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)
JPMorgan Chase Bank, N.A. 
b. Street 1
383 Madison Avenue 
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
10179 
g. Telephone number (including country code if foreign)
212-648-0466 
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: 2
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: 3
a. Name of person (e.g., a custodian of records)
BlackRock (Singapore) Limited 
b. Street 1
20 Anson Road 
Street 2
 
c. City
Singapore 
d. State, if applicable
 
e. Foreign country, if applicable
SINGAPORE  
f. Zip code and zip code extension, or foreign postal code
079912 
g. Telephone number (including country code if foreign)
65 6411 3000 
h. Briefly describe the books and records kept at this location:
Records related to its functions as sub-advisor 
Location books Record: 4
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: 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 
Location books Record: 6
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 

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? Radio button not checked Yes Radio button checked No
b. Is this the last filing on this form by the Registrant? Radio button not checked Yes Radio button checked 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? Radio button checked Yes Radio button not checked 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.
Checkbox checked  a. Open-end management investment company registered under the Act on Form N-1A 
i. Total number of Series of the Registrant
3 
Checkbox not checked  b. Closed-end management investment company registered under the Act on Form N-2  
Checkbox not checked  c. Separate account offering variable annuity contracts which is registered under the Act as a management investment company on Form N-3 
Checkbox not checked  d. Separate account offering variable annuity contracts which is registered under the Act as a unit investment trust on Form N-4 
Checkbox not checked  e. Small business investment company registered under the Act on Form N-5 
Checkbox not checked  f. Separate account offering variable insurance contracts which is registered under the Act as a unit investment trust on Form N-6 
Checkbox not checked  g. Unit investment trust registered under the Act on Form N-8B-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")? Radio button checked Yes Radio button not checked 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
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))? Radio button checked Yes Radio button not checked 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:
811-23346 
File Number Record: 2
File Number Record:
811-23345 
File Number Record: 3
File Number Record:
811-07354 
File Number Record: 4
File Number Record:
811-21763 
File Number Record: 5
File Number Record:
811-23626 
File Number Record: 6
File Number Record:
811-21318 
File Number Record: 7
File Number Record:
811-21126 
File Number Record: 8
File Number Record:
811-07899 
File Number Record: 9
File Number Record:
811-02739 
File Number Record: 10
File Number Record:
811-02661 
File Number Record: 11
File Number Record:
811-02405 
File Number Record: 12
File Number Record:
811-23357 
File Number Record: 13
File Number Record:
811-07478 
File Number Record: 14
File Number Record:
811-21349 
File Number Record: 15
File Number Record:
811-02809 
File Number Record: 16
File Number Record:
811-10543 
File Number Record: 17
File Number Record:
811-08081 
File Number Record: 18
File Number Record:
811-02857 
File Number Record: 19
File Number Record:
811-23511 
File Number Record: 20
File Number Record:
811-04802 
File Number Record: 21
File Number Record:
811-23343 
File Number Record: 22
File Number Record:
811-04282 
File Number Record: 23
File Number Record:
811-21702 
File Number Record: 24
File Number Record:
811-07177 
File Number Record: 25
File Number Record:
811-06540 
File Number Record: 26
File Number Record:
811-22606 
File Number Record: 27
File Number Record:
811-04375 
File Number Record: 28
File Number Record:
811-21434 
File Number Record: 29
File Number Record:
811-08162 
File Number Record: 30
File Number Record:
811-21178 
File Number Record: 31
File Number Record:
811-05542 
File Number Record: 32
File Number Record:
811-07080 
File Number Record: 33
File Number Record:
811-05178 
File Number Record: 34
File Number Record:
811-23701 
File Number Record: 35
File Number Record:
811-07885 
File Number Record: 36
File Number Record:
811-10339 
File Number Record: 37
File Number Record:
811-21793 
File Number Record: 38
File Number Record:
811-23621 
File Number Record: 39
File Number Record:
811-06660 
File Number Record: 40
File Number Record:
811-22032 
File Number Record: 41
File Number Record:
811-21784 
File Number Record: 42
File Number Record:
811-06414 
File Number Record: 43
File Number Record:
811-08621 
File Number Record: 44
File Number Record:
811-23340 
File Number Record: 45
File Number Record:
811-09191 
File Number Record: 46
File Number Record:
811-07332 
File Number Record: 47
File Number Record:
811-03091 
File Number Record: 48
File Number Record:
811-07171 
File Number Record: 49
File Number Record:
811-10331 
File Number Record: 50
File Number Record:
811-07136 
File Number Record: 51
File Number Record:
811-21656 
File Number Record: 52
File Number Record:
811-03290 
File Number Record: 53
File Number Record:
811-09651 
File Number Record: 54
File Number Record:
811-23285 
File Number Record: 55
File Number Record:
811-05742 
File Number Record: 56
File Number Record:
811-06728 
File Number Record: 57
File Number Record:
811-05603 
File Number Record: 58
File Number Record:
811-21506 
File Number Record: 59
File Number Record:
811-08797 
File Number Record: 60
File Number Record:
811-02688 
File Number Record: 61
File Number Record:
811-22774 
File Number Record: 62
File Number Record:
811-10337 
File Number Record: 63
File Number Record:
811-05611 
File Number Record: 64
File Number Record:
811-06500 
File Number Record: 65
File Number Record:
811-22061 
File Number Record: 66
File Number Record:
811-21729 
File Number Record: 67
File Number Record:
811-23466 
File Number Record: 68
File Number Record:
811-05723 
File Number Record: 69
File Number Record:
811-04264 
File Number Record: 70
File Number Record:
811-21759 
File Number Record: 71
File Number Record:
811-04612 
File Number Record: 72
File Number Record:
811-21348 
File Number Record: 73
File Number Record:
811-21566 
File Number Record: 74
File Number Record:
811-06669 
File Number Record: 75
File Number Record:
811-23344 
File Number Record: 76
File Number Record:
811-23402 
File Number Record: 77
File Number Record:
811-23625 
File Number Record: 78
File Number Record:
811-21413 
File Number Record: 79
File Number Record:
811-22991 
File Number Record: 80
File Number Record:
811-21053 
File Number Record: 81
File Number Record:
811-21972 
File Number Record: 82
File Number Record:
811-21835 
File Number Record: 83
File Number Record:
811-07642 
File Number Record: 84
File Number Record:
811-08603 
File Number Record: 85
File Number Record:
811-02354 
File Number Record: 86
File Number Record:
811-23564 
File Number Record: 87
File Number Record:
811-22603 
File Number Record: 88
File Number Record:
811-05576 
File Number Record: 89
File Number Record:
811-22501 
File Number Record: 90
File Number Record:
811-08217 
File Number Record: 91
File Number Record:
811-23339 
File Number Record: 92
File Number Record:
811-21457 
File Number Record: 93
File Number Record:
811-23428 
File Number Record: 94
File Number Record:
811-22426 
File Number Record: 95
File Number Record:
811-09637 
File Number Record: 96
File Number Record:
811-03189 
File Number Record: 97
File Number Record:
811-08573 
Director Record: 2
a. Full Name
Frank J. Fabozzi 
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))? Radio button not checked Yes Radio button checked 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:
811-23339 
File Number Record: 2
File Number Record:
811-05603 
File Number Record: 3
File Number Record:
811-10337 
File Number Record: 4
File Number Record:
811-04375 
File Number Record: 5
File Number Record:
811-08621 
File Number Record: 6
File Number Record:
811-23344 
File Number Record: 7
File Number Record:
811-04264 
File Number Record: 8
File Number Record:
811-10543 
File Number Record: 9
File Number Record:
811-22606 
File Number Record: 10
File Number Record:
811-22774 
File Number Record: 11
File Number Record:
811-23380 
File Number Record: 12
File Number Record:
811-23621 
File Number Record: 13
File Number Record:
811-05542 
File Number Record: 14
File Number Record:
811-22501 
File Number Record: 15
File Number Record:
811-22991 
File Number Record: 16
File Number Record:
811-22603 
File Number Record: 17
File Number Record:
811-21349 
File Number Record: 18
File Number Record:
811-02857 
File Number Record: 19
File Number Record:
811-06540 
File Number Record: 20
File Number Record:
811-05611 
File Number Record: 21
File Number Record:
811-21126 
File Number Record: 22
File Number Record:
811-21053 
File Number Record: 23
File Number Record:
811-22032 
File Number Record: 24
File Number Record:
811-07354 
File Number Record: 25
File Number Record:
811-08217 
File Number Record: 26
File Number Record:
811-10339 
File Number Record: 27
File Number Record:
811-21434 
File Number Record: 28
File Number Record:
811-21656 
File Number Record: 29
File Number Record:
811-21729 
File Number Record: 30
File Number Record:
811-23343 
File Number Record: 31
File Number Record:
811-23564 
File Number Record: 32
File Number Record:
811-21348 
File Number Record: 33
File Number Record:
811-21506 
File Number Record: 34
File Number Record:
811-23626 
File Number Record: 35
File Number Record:
811-07136 
File Number Record: 36
File Number Record:
811-23701 
File Number Record: 37
File Number Record:
811-08573 
File Number Record: 38
File Number Record:
811-07478 
File Number Record: 39
File Number Record:
811-21413 
File Number Record: 40
File Number Record:
811-23466 
File Number Record: 41
File Number Record:
811-21835 
File Number Record: 42
File Number Record:
811-21702 
File Number Record: 43
File Number Record:
811-06660 
File Number Record: 44
File Number Record:
811-23345 
File Number Record: 45
File Number Record:
811-21972 
File Number Record: 46
File Number Record:
811-06500 
File Number Record: 47
File Number Record:
811-06414 
File Number Record: 48
File Number Record:
811-07080 
File Number Record: 49
File Number Record:
811-21178 
File Number Record: 50
File Number Record:
811-08603 
File Number Record: 51
File Number Record:
811-23625 
File Number Record: 52
File Number Record:
811-06728 
File Number Record: 53
File Number Record:
811-23511 
File Number Record: 54
File Number Record:
811-22426 
File Number Record: 55
File Number Record:
811-23428 
File Number Record: 56
File Number Record:
811-23357 
File Number Record: 57
File Number Record:
811-23340 
File Number Record: 58
File Number Record:
811-21784 
File Number Record: 59
File Number Record:
811-23584 
File Number Record: 60
File Number Record:
811-04802 
File Number Record: 61
File Number Record:
811-10331 
File Number Record: 62
File Number Record:
811-21566 
File Number Record: 63
File Number Record:
811-08081 
File Number Record: 64
File Number Record:
811-07642 
File Number Record: 65
File Number Record:
811-21793 
File Number Record: 66
File Number Record:
811-02688 
File Number Record: 67
File Number Record:
811-09191 
File Number Record: 68
File Number Record:
811-21457 
File Number Record: 69
File Number Record:
811-23346 
File Number Record: 70
File Number Record:
811-23285 
File Number Record: 71
File Number Record:
811-21318 
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))? Radio button checked Yes Radio button not checked 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:
811-23511 
File Number Record: 2
File Number Record:
811-21763 
File Number Record: 3
File Number Record:
811-09637 
File Number Record: 4
File Number Record:
811-23466 
File Number Record: 5
File Number Record:
811-06728 
File Number Record: 6
File Number Record:
811-23564 
File Number Record: 7
File Number Record:
811-21793 
File Number Record: 8
File Number Record:
811-08081 
File Number Record: 9
File Number Record:
811-22991 
File Number Record: 10
File Number Record:
811-21972 
File Number Record: 11
File Number Record:
811-07899 
File Number Record: 12
File Number Record:
811-03189 
File Number Record: 13
File Number Record:
811-04375 
File Number Record: 14
File Number Record:
811-21053 
File Number Record: 15
File Number Record:
811-06660 
File Number Record: 16
File Number Record:
811-08603 
File Number Record: 17
File Number Record:
811-07354 
File Number Record: 18
File Number Record:
811-10339 
File Number Record: 19
File Number Record:
811-22061 
File Number Record: 20
File Number Record:
811-07080 
File Number Record: 21
File Number Record:
811-23701 
File Number Record: 22
File Number Record:
811-23428 
File Number Record: 23
File Number Record:
811-23343 
File Number Record: 24
File Number Record:
811-10337 
File Number Record: 25
File Number Record:
811-02661 
File Number Record: 26
File Number Record:
811-03091 
File Number Record: 27
File Number Record:
811-09651 
File Number Record: 28
File Number Record:
811-21318 
File Number Record: 29
File Number Record:
811-07332 
File Number Record: 30
File Number Record:
811-02739 
File Number Record: 31
File Number Record:
811-21702 
File Number Record: 32
File Number Record:
811-23285 
File Number Record: 33
File Number Record:
811-04264 
File Number Record: 34
File Number Record:
811-06500 
File Number Record: 35
File Number Record:
811-07177 
File Number Record: 36
File Number Record:
811-08162 
File Number Record: 37
File Number Record:
811-23621 
File Number Record: 38
File Number Record:
811-07171 
File Number Record: 39
File Number Record:
811-21729 
File Number Record: 40
File Number Record:
811-08797 
File Number Record: 41
File Number Record:
811-21413 
File Number Record: 42
File Number Record:
811-05611 
File Number Record: 43
File Number Record:
811-09191 
File Number Record: 44
File Number Record:
811-21656 
File Number Record: 45
File Number Record:
811-05603 
File Number Record: 46
File Number Record:
811-21784 
File Number Record: 47
File Number Record:
811-21178 
File Number Record: 48
File Number Record:
811-07136 
File Number Record: 49
File Number Record:
811-23339 
File Number Record: 50
File Number Record:
811-02354 
File Number Record: 51
File Number Record:
811-22606 
File Number Record: 52
File Number Record:
811-23402 
File Number Record: 53
File Number Record:
811-21348 
File Number Record: 54
File Number Record:
811-06540 
File Number Record: 55
File Number Record:
811-06669 
File Number Record: 56
File Number Record:
811-23357 
File Number Record: 57
File Number Record:
811-08573 
File Number Record: 58
File Number Record:
811-05742 
File Number Record: 59
File Number Record:
811-07478 
File Number Record: 60
File Number Record:
811-05178 
File Number Record: 61
File Number Record:
811-23626 
File Number Record: 62
File Number Record:
811-06414 
File Number Record: 63
File Number Record:
811-23340 
File Number Record: 64
File Number Record:
811-23380 
File Number Record: 65
File Number Record:
811-04282 
File Number Record: 66
File Number Record:
811-03290 
File Number Record: 67
File Number Record:
811-04612 
File Number Record: 68
File Number Record:
811-22032 
File Number Record: 69
File Number Record:
811-21506 
File Number Record: 70
File Number Record:
811-21759 
File Number Record: 71
File Number Record:
811-21835 
File Number Record: 72
File Number Record:
811-08217 
File Number Record: 73
File Number Record:
811-07885 
File Number Record: 74
File Number Record:
811-21566 
File Number Record: 75
File Number Record:
811-23346 
File Number Record: 76
File Number Record:
811-22501 
File Number Record: 77
File Number Record:
811-08621 
File Number Record: 78
File Number Record:
811-23625 
File Number Record: 79
File Number Record:
811-23345 
File Number Record: 80
File Number Record:
811-02809 
File Number Record: 81
File Number Record:
811-23584 
File Number Record: 82
File Number Record:
811-21126 
File Number Record: 83
File Number Record:
811-22603 
File Number Record: 84
File Number Record:
811-21434 
File Number Record: 85
File Number Record:
811-21349 
File Number Record: 86
File Number Record:
811-02405 
File Number Record: 87
File Number Record:
811-02857 
File Number Record: 88
File Number Record:
811-21457 
File Number Record: 89
File Number Record:
811-05542 
File Number Record: 90
File Number Record:
811-23344 
File Number Record: 91
File Number Record:
811-02688 
File Number Record: 92
File Number Record:
811-04802 
File Number Record: 93
File Number Record:
811-22774 
File Number Record: 94
File Number Record:
811-05723 
File Number Record: 95
File Number Record:
811-05576 
File Number Record: 96
File Number Record:
811-07642 
File Number Record: 97
File Number Record:
811-10331 
File Number Record: 98
File Number Record:
811-22426 
File Number Record: 99
File Number Record:
811-10543 
Director Record: 4
a. Full Name
Catherine A. Lynch 
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))? Radio button not checked Yes Radio button checked 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:
811-22501 
File Number Record: 2
File Number Record:
811-05542 
File Number Record: 3
File Number Record:
811-22032 
File Number Record: 4
File Number Record:
811-23584 
File Number Record: 5
File Number Record:
811-23564 
File Number Record: 6
File Number Record:
811-08081 
File Number Record: 7
File Number Record:
811-08217 
File Number Record: 8
File Number Record:
811-04264 
File Number Record: 9
File Number Record:
811-21349 
File Number Record: 10
File Number Record:
811-23357 
File Number Record: 11
File Number Record:
811-21702 
File Number Record: 12
File Number Record:
811-23625 
File Number Record: 13
File Number Record:
811-10337 
File Number Record: 14
File Number Record:
811-06660 
File Number Record: 15
File Number Record:
811-23339 
File Number Record: 16
File Number Record:
811-22426 
File Number Record: 17
File Number Record:
811-06500 
File Number Record: 18
File Number Record:
811-21053 
File Number Record: 19
File Number Record:
811-23626 
File Number Record: 20
File Number Record:
811-21729 
File Number Record: 21
File Number Record:
811-07642 
File Number Record: 22
File Number Record:
811-23345 
File Number Record: 23
File Number Record:
811-05611 
File Number Record: 24
File Number Record:
811-07354 
File Number Record: 25
File Number Record:
811-23344 
File Number Record: 26
File Number Record:
811-21506 
File Number Record: 27
File Number Record:
811-23380 
File Number Record: 28
File Number Record:
811-08621 
File Number Record: 29
File Number Record:
811-22991 
File Number Record: 30
File Number Record:
811-02688 
File Number Record: 31
File Number Record:
811-21348 
File Number Record: 32
File Number Record:
811-23466 
File Number Record: 33
File Number Record:
811-09191 
File Number Record: 34
File Number Record:
811-21457 
File Number Record: 35
File Number Record:
811-06540 
File Number Record: 36
File Number Record:
811-23340 
File Number Record: 37
File Number Record:
811-21178 
File Number Record: 38
File Number Record:
811-21835 
File Number Record: 39
File Number Record:
811-23621 
File Number Record: 40
File Number Record:
811-10331 
File Number Record: 41
File Number Record:
811-22606 
File Number Record: 42
File Number Record:
811-06414 
File Number Record: 43
File Number Record:
811-23701 
File Number Record: 44
File Number Record:
811-23285 
File Number Record: 45
File Number Record:
811-10543 
File Number Record: 46
File Number Record:
811-23511 
File Number Record: 47
File Number Record:
811-08603 
File Number Record: 48
File Number Record:
811-21656 
File Number Record: 49
File Number Record:
811-07080 
File Number Record: 50
File Number Record:
811-08573 
File Number Record: 51
File Number Record:
811-23428 
File Number Record: 52
File Number Record:
811-23346 
File Number Record: 53
File Number Record:
811-22774 
File Number Record: 54
File Number Record:
811-21566 
File Number Record: 55
File Number Record:
811-22603 
File Number Record: 56
File Number Record:
811-21972 
File Number Record: 57
File Number Record:
811-07136 
File Number Record: 58
File Number Record:
811-04802 
File Number Record: 59
File Number Record:
811-23343 
File Number Record: 60
File Number Record:
811-21413 
File Number Record: 61
File Number Record:
811-07478 
File Number Record: 62
File Number Record:
811-21434 
File Number Record: 63
File Number Record:
811-21793 
File Number Record: 64
File Number Record:
811-21318 
File Number Record: 65
File Number Record:
811-04375 
File Number Record: 66
File Number Record:
811-21126 
File Number Record: 67
File Number Record:
811-02857 
File Number Record: 68
File Number Record:
811-21784 
File Number Record: 69
File Number Record:
811-05603 
File Number Record: 70
File Number Record:
811-06728 
File Number Record: 71
File Number Record:
811-10339 
Director Record: 5
a. Full Name
R. Glenn Hubbard 
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))? Radio button not checked Yes Radio button checked 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:
811-07136 
File Number Record: 2
File Number Record:
811-21457 
File Number Record: 3
File Number Record:
811-23346 
File Number Record: 4
File Number Record:
811-22501 
File Number Record: 5
File Number Record:
811-21126 
File Number Record: 6
File Number Record:
811-23625 
File Number Record: 7
File Number Record:
811-10337 
File Number Record: 8
File Number Record:
811-07478 
File Number Record: 9
File Number Record:
811-21972 
File Number Record: 10
File Number Record:
811-08217 
File Number Record: 11
File Number Record:
811-21349 
File Number Record: 12
File Number Record:
811-21566 
File Number Record: 13
File Number Record:
811-08573 
File Number Record: 14
File Number Record:
811-06728 
File Number Record: 15
File Number Record:
811-23428 
File Number Record: 16
File Number Record:
811-10331 
File Number Record: 17
File Number Record:
811-08621 
File Number Record: 18
File Number Record:
811-21348 
File Number Record: 19
File Number Record:
811-21434 
File Number Record: 20
File Number Record:
811-21053 
File Number Record: 21
File Number Record:
811-21835 
File Number Record: 22
File Number Record:
811-21729 
File Number Record: 23
File Number Record:
811-23626 
File Number Record: 24
File Number Record:
811-22774 
File Number Record: 25
File Number Record:
811-23340 
File Number Record: 26
File Number Record:
811-23344 
File Number Record: 27
File Number Record:
811-22991 
File Number Record: 28
File Number Record:
811-07642 
File Number Record: 29
File Number Record:
811-07080 
File Number Record: 30
File Number Record:
811-04802 
File Number Record: 31
File Number Record:
811-05603 
File Number Record: 32
File Number Record:
811-09191 
File Number Record: 33
File Number Record:
811-22032 
File Number Record: 34
File Number Record:
811-02857 
File Number Record: 35
File Number Record:
811-21413 
File Number Record: 36
File Number Record:
811-21506 
File Number Record: 37
File Number Record:
811-21793 
File Number Record: 38
File Number Record:
811-23701 
File Number Record: 39
File Number Record:
811-22606 
File Number Record: 40
File Number Record:
811-21178 
File Number Record: 41
File Number Record:
811-04264 
File Number Record: 42
File Number Record:
811-22426 
File Number Record: 43
File Number Record:
811-04375 
File Number Record: 44
File Number Record:
811-10543 
File Number Record: 45
File Number Record:
811-06660 
File Number Record: 46
File Number Record:
811-08081 
File Number Record: 47
File Number Record:
811-06500 
File Number Record: 48
File Number Record:
811-23564 
File Number Record: 49
File Number Record:
811-23343 
File Number Record: 50
File Number Record:
811-23511 
File Number Record: 51
File Number Record:
811-05611 
File Number Record: 52
File Number Record:
811-21784 
File Number Record: 53
File Number Record:
811-07354 
File Number Record: 54
File Number Record:
811-21656 
File Number Record: 55
File Number Record:
811-23345 
File Number Record: 56
File Number Record:
811-23285 
File Number Record: 57
File Number Record:
811-21318 
File Number Record: 58
File Number Record:
811-23357 
File Number Record: 59
File Number Record:
811-21702 
File Number Record: 60
File Number Record:
811-23466 
File Number Record: 61
File Number Record:
811-23621 
File Number Record: 62
File Number Record:
811-22603 
File Number Record: 63
File Number Record:
811-23339 
File Number Record: 64
File Number Record:
811-06414 
File Number Record: 65
File Number Record:
811-06540 
File Number Record: 66
File Number Record:
811-02688 
File Number Record: 67
File Number Record:
811-08603 
File Number Record: 68
File Number Record:
811-05542 
File Number Record: 69
File Number Record:
811-10339 
Director Record: 6
a. Full Name
Lorenzo A. Flores 
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))? Radio button not checked Yes Radio button checked 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:
811-22501 
File Number Record: 2
File Number Record:
811-06540 
File Number Record: 3
File Number Record:
811-07478 
File Number Record: 4
File Number Record:
811-21318 
File Number Record: 5
File Number Record:
811-21126 
File Number Record: 6
File Number Record:
811-06414 
File Number Record: 7
File Number Record:
811-21835 
File Number Record: 8
File Number Record:
811-21413 
File Number Record: 9
File Number Record:
811-10337 
File Number Record: 10
File Number Record:
811-23511 
File Number Record: 11
File Number Record:
811-04802 
File Number Record: 12
File Number Record:
811-07642 
File Number Record: 13
File Number Record:
811-22774 
File Number Record: 14
File Number Record:
811-08081 
File Number Record: 15
File Number Record:
811-08621 
File Number Record: 16
File Number Record:
811-21656 
File Number Record: 17
File Number Record:
811-10339 
File Number Record: 18
File Number Record:
811-06660 
File Number Record: 19
File Number Record:
811-23564 
File Number Record: 20
File Number Record:
811-21349 
File Number Record: 21
File Number Record:
811-05542 
File Number Record: 22
File Number Record:
811-23285 
File Number Record: 23
File Number Record:
811-21729 
File Number Record: 24
File Number Record:
811-08217 
File Number Record: 25
File Number Record:
811-23621 
File Number Record: 26
File Number Record:
811-02688 
File Number Record: 27
File Number Record:
811-05611 
File Number Record: 28
File Number Record:
811-21348 
File Number Record: 29
File Number Record:
811-23339 
File Number Record: 30
File Number Record:
811-10331 
File Number Record: 31
File Number Record:
811-10543 
File Number Record: 32
File Number Record:
811-08603 
File Number Record: 33
File Number Record:
811-05603 
File Number Record: 34
File Number Record:
811-21566 
File Number Record: 35
File Number Record:
811-23466 
File Number Record: 36
File Number Record:
811-22991 
File Number Record: 37
File Number Record:
811-02857 
File Number Record: 38
File Number Record:
811-22426 
File Number Record: 39
File Number Record:
811-04375 
File Number Record: 40
File Number Record:
811-23701 
File Number Record: 41
File Number Record:
811-21972 
File Number Record: 42
File Number Record:
811-22032 
File Number Record: 43
File Number Record:
811-21457 
File Number Record: 44
File Number Record:
811-21784 
File Number Record: 45
File Number Record:
811-04264 
File Number Record: 46
File Number Record:
811-23428 
File Number Record: 47
File Number Record:
811-07080 
File Number Record: 48
File Number Record:
811-23625 
File Number Record: 49
File Number Record:
811-06500 
File Number Record: 50
File Number Record:
811-21178 
File Number Record: 51
File Number Record:
811-23343 
File Number Record: 52
File Number Record:
811-21702 
File Number Record: 53
File Number Record:
811-06728 
File Number Record: 54
File Number Record:
811-21506 
File Number Record: 55
File Number Record:
811-21793 
File Number Record: 56
File Number Record:
811-23346 
File Number Record: 57
File Number Record:
811-22603 
File Number Record: 58
File Number Record:
811-22606 
File Number Record: 59
File Number Record:
811-09191 
File Number Record: 60
File Number Record:
811-23344 
File Number Record: 61
File Number Record:
811-21053 
File Number Record: 62
File Number Record:
811-23345 
File Number Record: 63
File Number Record:
811-23626 
File Number Record: 64
File Number Record:
811-07136 
File Number Record: 65
File Number Record:
811-23357 
File Number Record: 66
File Number Record:
811-23340 
File Number Record: 67
File Number Record:
811-08573 
File Number Record: 68
File Number Record:
811-07354 
File Number Record: 69
File Number Record:
811-21434 
Director Record: 7
a. Full Name
J. Phillip Holloman 
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))? Radio button not checked Yes Radio button checked 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:
811-07080 
File Number Record: 2
File Number Record:
811-23339 
File Number Record: 3
File Number Record:
811-21784 
File Number Record: 4
File Number Record:
811-23466 
File Number Record: 5
File Number Record:
811-23428 
File Number Record: 6
File Number Record:
811-23344 
File Number Record: 7
File Number Record:
811-23285 
File Number Record: 8
File Number Record:
811-21126 
File Number Record: 9
File Number Record:
811-23345 
File Number Record: 10
File Number Record:
811-21053 
File Number Record: 11
File Number Record:
811-09191 
File Number Record: 12
File Number Record:
811-23346 
File Number Record: 13
File Number Record:
811-10337 
File Number Record: 14
File Number Record:
811-22606 
File Number Record: 15
File Number Record:
811-08217 
File Number Record: 16
File Number Record:
811-21348 
File Number Record: 17
File Number Record:
811-06414 
File Number Record: 18
File Number Record:
811-21349 
File Number Record: 19
File Number Record:
811-22774 
File Number Record: 20
File Number Record:
811-08573 
File Number Record: 21
File Number Record:
811-21413 
File Number Record: 22
File Number Record:
811-23340 
File Number Record: 23
File Number Record:
811-10543 
File Number Record: 24
File Number Record:
811-21178 
File Number Record: 25
File Number Record:
811-08603 
File Number Record: 26
File Number Record:
811-07642 
File Number Record: 27
File Number Record:
811-05603 
File Number Record: 28
File Number Record:
811-22991 
File Number Record: 29
File Number Record:
811-04802 
File Number Record: 30
File Number Record:
811-07136 
File Number Record: 31
File Number Record:
811-10339 
File Number Record: 32
File Number Record:
811-23625 
File Number Record: 33
File Number Record:
811-22032 
File Number Record: 34
File Number Record:
811-08081 
File Number Record: 35
File Number Record:
811-23343 
File Number Record: 36
File Number Record:
811-21566 
File Number Record: 37
File Number Record:
811-04375 
File Number Record: 38
File Number Record:
811-05542 
File Number Record: 39
File Number Record:
811-21457 
File Number Record: 40
File Number Record:
811-02688 
File Number Record: 41
File Number Record:
811-06728 
File Number Record: 42
File Number Record:
811-21835 
File Number Record: 43
File Number Record:
811-08621 
File Number Record: 44
File Number Record:
811-06500 
File Number Record: 45
File Number Record:
811-21506 
File Number Record: 46
File Number Record:
811-23357 
File Number Record: 47
File Number Record:
811-02857 
File Number Record: 48
File Number Record:
811-05611 
File Number Record: 49
File Number Record:
811-23511 
File Number Record: 50
File Number Record:
811-23701 
File Number Record: 51
File Number Record:
811-21702 
File Number Record: 52
File Number Record:
811-22426 
File Number Record: 53
File Number Record:
811-21729 
File Number Record: 54
File Number Record:
811-06540 
File Number Record: 55
File Number Record:
811-21793 
File Number Record: 56
File Number Record:
811-06660 
File Number Record: 57
File Number Record:
811-22501 
File Number Record: 58
File Number Record:
811-22603 
File Number Record: 59
File Number Record:
811-07478 
File Number Record: 60
File Number Record:
811-23621 
File Number Record: 61
File Number Record:
811-23564 
File Number Record: 62
File Number Record:
811-07354 
File Number Record: 63
File Number Record:
811-10331 
File Number Record: 64
File Number Record:
811-21318 
File Number Record: 65
File Number Record:
811-23626 
File Number Record: 66
File Number Record:
811-21656 
File Number Record: 67
File Number Record:
811-21972 
File Number Record: 68
File Number Record:
811-21434 
File Number Record: 69
File Number Record:
811-04264 
Director Record: 8
a. Full Name
Stayce D. Harris 
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))? Radio button not checked Yes Radio button checked 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:
811-23626 
File Number Record: 2
File Number Record:
811-23340 
File Number Record: 3
File Number Record:
811-23346 
File Number Record: 4
File Number Record:
811-21702 
File Number Record: 5
File Number Record:
811-10331 
File Number Record: 6
File Number Record:
811-06500 
File Number Record: 7
File Number Record:
811-21656 
File Number Record: 8
File Number Record:
811-23285 
File Number Record: 9
File Number Record:
811-21348 
File Number Record: 10
File Number Record:
811-09191 
File Number Record: 11
File Number Record:
811-23564 
File Number Record: 12
File Number Record:
811-07136 
File Number Record: 13
File Number Record:
811-08217 
File Number Record: 14
File Number Record:
811-23625 
File Number Record: 15
File Number Record:
811-21566 
File Number Record: 16
File Number Record:
811-06414 
File Number Record: 17
File Number Record:
811-10337 
File Number Record: 18
File Number Record:
811-21053 
File Number Record: 19
File Number Record:
811-05611 
File Number Record: 20
File Number Record:
811-21318 
File Number Record: 21
File Number Record:
811-04264 
File Number Record: 22
File Number Record:
811-21413 
File Number Record: 23
File Number Record:
811-21784 
File Number Record: 24
File Number Record:
811-21457 
File Number Record: 25
File Number Record:
811-23357 
File Number Record: 26
File Number Record:
811-23343 
File Number Record: 27
File Number Record:
811-08573 
File Number Record: 28
File Number Record:
811-23621 
File Number Record: 29
File Number Record:
811-23466 
File Number Record: 30
File Number Record:
811-22603 
File Number Record: 31
File Number Record:
811-07642 
File Number Record: 32
File Number Record:
811-07080 
File Number Record: 33
File Number Record:
811-06728 
File Number Record: 34
File Number Record:
811-21178 
File Number Record: 35
File Number Record:
811-22991 
File Number Record: 36
File Number Record:
811-04375 
File Number Record: 37
File Number Record:
811-23511 
File Number Record: 38
File Number Record:
811-21349 
File Number Record: 39
File Number Record:
811-21835 
File Number Record: 40
File Number Record:
811-22774 
File Number Record: 41
File Number Record:
811-21972 
File Number Record: 42
File Number Record:
811-21793 
File Number Record: 43
File Number Record:
811-23339 
File Number Record: 44
File Number Record:
811-08603 
File Number Record: 45
File Number Record:
811-22032 
File Number Record: 46
File Number Record:
811-22426 
File Number Record: 47
File Number Record:
811-23345 
File Number Record: 48
File Number Record:
811-21434 
File Number Record: 49
File Number Record:
811-23701 
File Number Record: 50
File Number Record:
811-07354 
File Number Record: 51
File Number Record:
811-21126 
File Number Record: 52
File Number Record:
811-10339 
File Number Record: 53
File Number Record:
811-08621 
File Number Record: 54
File Number Record:
811-02688 
File Number Record: 55
File Number Record:
811-10543 
File Number Record: 56
File Number Record:
811-05603 
File Number Record: 57
File Number Record:
811-21506 
File Number Record: 58
File Number Record:
811-23344 
File Number Record: 59
File Number Record:
811-22501 
File Number Record: 60
File Number Record:
811-05542 
File Number Record: 61
File Number Record:
811-21729 
File Number Record: 62
File Number Record:
811-06660 
File Number Record: 63
File Number Record:
811-23428 
File Number Record: 64
File Number Record:
811-07478 
File Number Record: 65
File Number Record:
811-22606 
File Number Record: 66
File Number Record:
811-04802 
File Number Record: 67
File Number Record:
811-02857 
File Number Record: 68
File Number Record:
811-08081 
File Number Record: 69
File Number Record:
811-06540 
Director Record: 9
a. Full Name
W. Carl Kester 
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))? Radio button not checked Yes Radio button checked 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:
811-10543 
File Number Record: 2
File Number Record:
811-06660 
File Number Record: 3
File Number Record:
811-07136 
File Number Record: 4
File Number Record:
811-23285 
File Number Record: 5
File Number Record:
811-04264 
File Number Record: 6
File Number Record:
811-02857 
File Number Record: 7
File Number Record:
811-23621 
File Number Record: 8
File Number Record:
811-04375 
File Number Record: 9
File Number Record:
811-23701 
File Number Record: 10
File Number Record:
811-23428 
File Number Record: 11
File Number Record:
811-21702 
File Number Record: 12
File Number Record:
811-06500 
File Number Record: 13
File Number Record:
811-23466 
File Number Record: 14
File Number Record:
811-22501 
File Number Record: 15
File Number Record:
811-23626 
File Number Record: 16
File Number Record:
811-08603 
File Number Record: 17
File Number Record:
811-21506 
File Number Record: 18
File Number Record:
811-05603 
File Number Record: 19
File Number Record:
811-21793 
File Number Record: 20
File Number Record:
811-23625 
File Number Record: 21
File Number Record:
811-21126 
File Number Record: 22
File Number Record:
811-05611 
File Number Record: 23
File Number Record:
811-23345 
File Number Record: 24
File Number Record:
811-22774 
File Number Record: 25
File Number Record:
811-09191 
File Number Record: 26
File Number Record:
811-21457 
File Number Record: 27
File Number Record:
811-22032 
File Number Record: 28
File Number Record:
811-07642 
File Number Record: 29
File Number Record:
811-21413 
File Number Record: 30
File Number Record:
811-22606 
File Number Record: 31
File Number Record:
811-06728 
File Number Record: 32
File Number Record:
811-08573 
File Number Record: 33
File Number Record:
811-06540 
File Number Record: 34
File Number Record:
811-06414 
File Number Record: 35
File Number Record:
811-21972 
File Number Record: 36
File Number Record:
811-04802 
File Number Record: 37
File Number Record:
811-07080 
File Number Record: 38
File Number Record:
811-22603 
File Number Record: 39
File Number Record:
811-23380 
File Number Record: 40
File Number Record:
811-05542 
File Number Record: 41
File Number Record:
811-08621 
File Number Record: 42
File Number Record:
811-23357 
File Number Record: 43
File Number Record:
811-10339 
File Number Record: 44
File Number Record:
811-08217 
File Number Record: 45
File Number Record:
811-02688 
File Number Record: 46
File Number Record:
811-07354 
File Number Record: 47
File Number Record:
811-21318 
File Number Record: 48
File Number Record:
811-23564 
File Number Record: 49
File Number Record:
811-23339 
File Number Record: 50
File Number Record:
811-21434 
File Number Record: 51
File Number Record:
811-10337 
File Number Record: 52
File Number Record:
811-21053 
File Number Record: 53
File Number Record:
811-23511 
File Number Record: 54
File Number Record:
811-22426 
File Number Record: 55
File Number Record:
811-07478 
File Number Record: 56
File Number Record:
811-21566 
File Number Record: 57
File Number Record:
811-21348 
File Number Record: 58
File Number Record:
811-08081 
File Number Record: 59
File Number Record:
811-23344 
File Number Record: 60
File Number Record:
811-10331 
File Number Record: 61
File Number Record:
811-23584 
File Number Record: 62
File Number Record:
811-21835 
File Number Record: 63
File Number Record:
811-23340 
File Number Record: 64
File Number Record:
811-21784 
File Number Record: 65
File Number Record:
811-21729 
File Number Record: 66
File Number Record:
811-21656 
File Number Record: 67
File Number Record:
811-22991 
File Number Record: 68
File Number Record:
811-21349 
File Number Record: 69
File Number Record:
811-21178 
File Number Record: 70
File Number Record:
811-23343 
File Number Record: 71
File Number Record:
811-23346 
Director Record: 10
a. Full Name
Cynthia L. Egan 
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))? Radio button not checked Yes Radio button checked 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:
811-21457 
File Number Record: 2
File Number Record:
811-21318 
File Number Record: 3
File Number Record:
811-07080 
File Number Record: 4
File Number Record:
811-23285 
File Number Record: 5
File Number Record:
811-22991 
File Number Record: 6
File Number Record:
811-21348 
File Number Record: 7
File Number Record:
811-23344 
File Number Record: 8
File Number Record:
811-23701 
File Number Record: 9
File Number Record:
811-10337 
File Number Record: 10
File Number Record:
811-23343 
File Number Record: 11
File Number Record:
811-21053 
File Number Record: 12
File Number Record:
811-21349 
File Number Record: 13
File Number Record:
811-22606 
File Number Record: 14
File Number Record:
811-04802 
File Number Record: 15
File Number Record:
811-10339 
File Number Record: 16
File Number Record:
811-08573 
File Number Record: 17
File Number Record:
811-08217 
File Number Record: 18
File Number Record:
811-08081 
File Number Record: 19
File Number Record:
811-21972 
File Number Record: 20
File Number Record:
811-22774 
File Number Record: 21
File Number Record:
811-04264 
File Number Record: 22
File Number Record:
811-22603 
File Number Record: 23
File Number Record:
811-21126 
File Number Record: 24
File Number Record:
811-06660 
File Number Record: 25
File Number Record:
811-23626 
File Number Record: 26
File Number Record:
811-10543 
File Number Record: 27
File Number Record:
811-23339 
File Number Record: 28
File Number Record:
811-23564 
File Number Record: 29
File Number Record:
811-23511 
File Number Record: 30
File Number Record:
811-05603 
File Number Record: 31
File Number Record:
811-07478 
File Number Record: 32
File Number Record:
811-06500 
File Number Record: 33
File Number Record:
811-21506 
File Number Record: 34
File Number Record:
811-02857 
File Number Record: 35
File Number Record:
811-21566 
File Number Record: 36
File Number Record:
811-05542 
File Number Record: 37
File Number Record:
811-04375 
File Number Record: 38
File Number Record:
811-23466 
File Number Record: 39
File Number Record:
811-05611 
File Number Record: 40
File Number Record:
811-23357 
File Number Record: 41
File Number Record:
811-02688 
File Number Record: 42
File Number Record:
811-23428 
File Number Record: 43
File Number Record:
811-21793 
File Number Record: 44
File Number Record:
811-21729 
File Number Record: 45
File Number Record:
811-22032 
File Number Record: 46
File Number Record:
811-21178 
File Number Record: 47
File Number Record:
811-23346 
File Number Record: 48
File Number Record:
811-21835 
File Number Record: 49
File Number Record:
811-06414 
File Number Record: 50
File Number Record:
811-21784 
File Number Record: 51
File Number Record:
811-10331 
File Number Record: 52
File Number Record:
811-21434 
File Number Record: 53
File Number Record:
811-23345 
File Number Record: 54
File Number Record:
811-07354 
File Number Record: 55
File Number Record:
811-21702 
File Number Record: 56
File Number Record:
811-21656 
File Number Record: 57
File Number Record:
811-23625 
File Number Record: 58
File Number Record:
811-06540 
File Number Record: 59
File Number Record:
811-07136 
File Number Record: 60
File Number Record:
811-08603 
File Number Record: 61
File Number Record:
811-06728 
File Number Record: 62
File Number Record:
811-09191 
File Number Record: 63
File Number Record:
811-22501 
File Number Record: 64
File Number Record:
811-21413 
File Number Record: 65
File Number Record:
811-07642 
File Number Record: 66
File Number Record:
811-23621 
File Number Record: 67
File Number Record:
811-22426 
File Number Record: 68
File Number Record:
811-08621 
File Number Record: 69
File Number Record:
811-23340 

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? Radio button checked Yes Radio button not checked 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? Radio button not checked Yes Radio button checked 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? Radio button not checked Yes Radio button checked No
b. Has any proceeding previously reported been terminated? Radio button not checked Yes Radio button checked 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? Radio button not checked Yes Radio button checked 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? Radio button checked Yes Radio button not checked No
i. If yes, were any claims filed under the policy during the reporting period with respect to the Registrant? Radio button not checked Yes Radio button checked 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? Radio button not checked Yes Radio button checked 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? Radio button checked Yes Radio button not checked No
Release number Record: 1
i. If yes, provide below the release number for each order
IC-25100 
Release number Record: 2
i. If yes, provide below the release number for each order
IC-32252 

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? Radio button checked Yes Radio button not checked No
b. Have any principal underwriters been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item B.17. Independent public accountant.

Provide the following information about eachthe independent public accountant:
Public accountant Record: 1
a. Full Name
PricewaterhouseCoopers LLP 
b. PCAOB Number
238 
c. LEI, if any
5493002GVO7EO8RNNS37 
d. State, if applicable
PENNSYLVANIA  
e. Foreign country, if applicable
UNITED STATES OF AMERICA  
f. Has the independent public accountant changed since the last filing?Radio button not checked Yes Radio button checked 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? Radio button not checked Yes Radio button checked 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? Radio button not checked Yes Radio button checked 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? Radio button not checked Yes Radio button checked 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? Radio button not checked Yes Radio button checked 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)? Radio button not checked Yes Radio button checked 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)? Radio button checked Yes Radio button not checked 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
BlackRock Global Long/Short Credit Fund 
ii. Series identification number

N-CEN/A: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

BlackRock Global Long/Short Credit Fund 

b. Series identication number, if any

S000062370 

c. LEI

OA6RHYR6LGM5LRCG2L62 

d. Is this the first filing on this form by the Fund? Radio button not checked Yes Radio button checked No

Item C.2. Classes of open-end management investment companies.

a. How many Classes of shares of the Fund (if any) are authorized?

4 

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?

0 

d. For each Class with shares outstanding, provide the information requested below:
Shares Outstanding Record: 1
i. Full name of Class
Institutional 
ii. Class identification number, if any

C000202326 

iii. Ticker symbol, if any

BGCIX 

Shares Outstanding Record: 2
i. Full name of Class
Investor A 
ii. Class identification number, if any

C000202324 

iii. Ticker symbol, if any

BGCAX 

Shares Outstanding Record: 3
i. Full name of Class
Class K 
ii. Class identification number, if any

C000202327 

iii. Ticker symbol, if any

BDMKX 

Shares Outstanding Record: 4
i. Full name of Class
Investor C 
ii. Class identification number, if any

C000202325 

iii. Ticker symbol, if any

BGCCX 


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.   Checkbox not checked   Exchange-Traded Fund 
      ii.  Checkbox not checked   Exchange-Traded Managed Fund 
 b.  Checkbox not checked  Index Fund 

 c.  Checkbox not checked   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.  Checkbox not checked   Interval Fund 
 e.  Checkbox not checked   Fund of Funds 
 f.   Checkbox not checked   Master-Feeder Fund 
 g.  Checkbox not checked   Money Market Fund 
 h.  Checkbox not checked   Target Date Fund 
 i.   Checkbox not checked   Underlying fund to a variable annuity or variable life insurance contract 
      Checkbox checked   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))? Radio button not checked Yes Radio button checked 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? Radio button not checked Yes Radio button checked 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? Radio button checked Yes Radio button not checked No
b. Did the Fund lend any of its securities during the reporting period? Radio button not checked Yes Radio button checked 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 Investment Management, LLC 
ii. LEI, if any

5493006MRTEZZ4S4CQ20 

iii. Is the securities lending agent an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button checked Yes Radio button not checked No
iv. Does the securities lending agent or any other entity indemnify the fund against borrower default on loans administered by this agent? Radio button checked Yes Radio button not checked 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
N/A 
2. LEI, if any, of person providing indemnification

N/A 

vi. Did the Fund exercise its indemnification rights during the reporting period? Radio button not checked Yes Radio button checked 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:
i. Full name of cash collateral manager:
ii. LEI, if any:

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? Radio button not checked Yes Radio button not checked No
iv. Is the cash collateral manager an affiliated person, or an affiliated person of an affiliated person, of the Fund? Radio button not checked Yes Radio button not checked No

e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply): Checkbox checked  i. Revenue sharing split 
Checkbox not checked  ii. Non-revenue sharing split (other than administrative fee)  
Checkbox not checked  iii. Administrative fee 
Checkbox checked  iv. Cash collateral reinvestment fee 
Checkbox not checked  v. Indemnification fee 
Checkbox checked  vi. Other  
Checkbox not checked   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

0.00000000 

g. Provide the net income from securities lending activities

0.00000000 


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) Checkbox not checked  a. Rule 10f-3 (17 CFR 270.10f-3)  
Checkbox checked  b. Rule 12d1-1 (17 CFR 270.12d1-1) 
Checkbox not checked  c. Rule 15a-4 (17 CFR 270.15a-4)  
Checkbox checked  d. Rule 17a-6 (17 CFR 270.17a-6)  
Checkbox checked  e. Rule 17a-7 (17 CFR 270.17a-7) 
Checkbox not checked  f. Rule 17a-8 (17 CFR 270.17a-8) 
Checkbox not checked  g. Rule 17e-1 (17 CFR 270.17e-1) 
Checkbox checked  h. Rule 22d-1 (17 CFR 270.22d-1) 
Checkbox not checked  i. Rule 23c-1 (17 CFR 270.23c-1)  
Checkbox checked  j. Rule 32a-4 (17 CFR 270.32a-4) 
Checkbox not checked  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? Radio button checked Yes Radio button not checked No
b. Were any expenses of the Fund reduced or waived pursuant to an expense limitation arrangement during the reporting period? Radio button checked Yes Radio button not checked No
c. Are the fees waived subject to recoupment? Radio button not checked Yes Radio button checked No
d. Were any expenses previously waived recouped during the period? Radio button not checked Yes Radio button checked 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? Radio button not checked Yes Radio button checked 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 (Singapore) Limited 
ii. SEC file number ( e.g., 801- ), if applicable

801-76926 

iii. CRD number
000164594 
iv. LEI, if any

549300UZGBQ6FHD2X729 

v. State, if applicable
 
vi. Foreign country, if applicable
SINGAPORE  
vii. Is the sub-adviser an affiliated person of the Fund's investment adviser(s)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked No
Sub Advisors Record: 2
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)? Radio button checked Yes Radio button not checked No
viii. Was the sub-adviser hired during the reporting period? Radio button not checked Yes Radio button checked 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
The Bank of New York Mellon 
ii.SEC file number ( e.g., 84- or 85- )

85-05006 

iii. LEI, if any

HPFHU0OQ28E4N0NFVK49 

iv. State, if applicable
NEW YORK  
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)? Radio button not checked Yes Radio button checked No
vii. Is the transfer agent a sub-transfer agent? Radio button not checked Yes Radio button checked No
b. Has a transfer agent been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked 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
PricingDirect Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300WIC0TOJ7N7GD54 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked 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

LEI 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)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 3
i. Full name
ICE Data Pricing & Reference Data, LLC 
ii. LEI, if any, or provide and describe other identifying number

5493000NQ9LYLDBCTL34 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 4
i. Full name
IHS Markit Group Holdings Ltd 
ii. LEI, if any, or provide and describe other identifying number

2138005LTLTVZ4WMEX25 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
Pricing Services Record: 5
i. Full name
Refinitiv Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

000109120 

Description of other identifying number

CRD 

iii. State, if applicable
MASSACHUSETTS  
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)? Radio button not checked Yes Radio button checked No
b. Was a pricing service hired or terminated during the reporting period? Radio button not checked Yes Radio button checked 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
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 2
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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 3
i. Full name
Standard Chartered Bank Korea Limited 
ii. LEI, if any

NUXTG47HHHM1K2L0SG39 

iii. State, if applicable
 
iv. Foreign country, if applicable
KOREA (THE REPUBLIC OF)  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 4
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

iii. State, if applicable
 
iv. Foreign country, if applicable
HUNGARY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 5
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button not checked Yes Radio button checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 6
i. Full name
BNP Paribas 
ii. LEI, if any

R0MUWSFPU8MPRO8K5P83 

iii. State, if applicable
 
iv. Foreign country, if applicable
GREECE  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 7
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 8
i. Full name
Bank Handlowy w. Warszawie S.A. 
ii. LEI, if any

XLEZHWWOI4HFQDGL4793 

iii. State, if applicable
 
iv. Foreign country, if applicable
POLAND  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 9
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

549300ZK53CNGEEI6A29 

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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 10
i. Full name
Mizuho Bank, Ltd. 
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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 11
i. Full name
Banco Nacional de Mexico, S.A. 
ii. LEI, if any

2SFFM4FUIE05S37WFU55 

iii. State, if applicable
 
iv. Foreign country, if applicable
MEXICO  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 12
i. Full name
HSBC Bank Bermuda Limited 
ii. LEI, if any

0W1U67PTV5WY3WYWKD79 

iii. State, if applicable
 
iv. Foreign country, if applicable
BERMUDA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 13
i. Full name
Euroclear 
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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 14
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

549300ZK53CNGEEI6A29 

iii. State, if applicable
 
iv. Foreign country, if applicable
NETHERLANDS  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 15
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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 16
i. Full name
Deutsche Bank AG 
ii. LEI, if any

7LTWFZYICNSX8D621K86 

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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 17
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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 18
i. Full name
Bank Leumi le-Israel B.M. 
ii. LEI, if any

7JDSZWRGUQY2DSTWCR57 

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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 19
i. Full name
UniCredit Bank Czech Republic and Slovakia, a.s. 
ii. LEI, if any

KR6LSKV3BTSJRD41IF75 

iii. State, if applicable
 
iv. Foreign country, if applicable
SLOVAKIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 20
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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 21
i. Full name
Citibank A.S. 
ii. LEI, if any

CWZ8NZDH5SKY12Q4US31 

iii. State, if applicable
 
iv. Foreign country, if applicable
TURKEY  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 22
i. Full name
EUROCLEAR 
ii. LEI, if any

549300OZ46BRLZ8Y6F65 

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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 23
i. Full name
BNP Paribas 
ii. LEI, if any

R0MUWSFPU8MPRO8K5P83 

iii. State, if applicable
 
iv. Foreign country, if applicable
PORTUGAL  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 24
i. Full name
PT Bank HSBC Indonesia 
ii. LEI, if any

213800HW5IDIRLWH1203 

iii. State, if applicable
 
iv. Foreign country, if applicable
INDONESIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 25
i. Full name
FirstRand Bank Limited 
ii. LEI, if any

ZAYQDKTCATIXF9OQY690 

iii. State, if applicable
 
iv. Foreign country, if applicable
PHILIPPINES  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 26
i. Full name
UniCredit Bank Czech Republic and Slovakia, a.s. 
ii. LEI, if any

KR6LSKV3BTSJRD41IF75 

iii. State, if applicable
 
iv. Foreign country, if applicable
CZECHIA  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 27
i. Full name
BNP Paribas 
ii. LEI, if any

R0MUWSFPU8MPRO8K5P83 

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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 28
i. Full name
CACEIS Bank Spain, S.A.U. 
ii. LEI, if any

95980020140005970915 

iii. State, if applicable
 
iv. Foreign country, if applicable
SPAIN  
v. Is the custodian an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 29
i. Full name
J.P. Morgan Bank Luxembourg S.A. 
ii. LEI, if any

549300ZK53CNGEEI6A29 

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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 30
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 31
i. Full name
DBS Bank Ltd 
ii. LEI, if any

ATUEL7OJR5057F2PV266 

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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 32
i. Full name
Barclays Capital Inc. 
ii. LEI, if any

AC28XWWI3WIBK2824319 

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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button not checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 33
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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other
Custodians Record: 34
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any

7H6GLXDRUGQFU57RNE97 

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)? Radio button not checked Yes Radio button checked No
vi. Is the custodian a sub-custodian? Radio button checked Yes Radio button not checked No
vii. With respect to the custodian, check below to indicate the type of custody: Radio button not checked 1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Radio button not checked 2.Member national securities exchange - rule 17f-1 (17 CFR 270.17f-1)
Radio button not checked 3.Self - rule 17f-2 (17 CFR 270.17f-2)
Radio button not checked 4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
Radio button checked 5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Radio button not checked 6.Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Radio button not checked 7.Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Radio button not checked 8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
Radio button not checked 9.Other

b. Has a custodian been hired or terminated during the reporting period?* Radio button not checked Yes Radio button checked 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
International Assets Advisory, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-27736 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 2
i. Full name
Chapin Davis Inc 
ii. LEI, if any, or provide and describe other identifying number

8-43485 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 3
i. Full name
Hightower Securities, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-53560 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 4
i. Full name
PNC Capital Markets LLC 
ii. LEI, if any, or provide and describe other identifying number

8-32493 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 5
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 6
i. Full name
Excel Securities & Associates, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-34261 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 7
i. Full name
Jack V. Butterfield Investment Company 
ii. LEI, if any, or provide and describe other identifying number

8-12454 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 8
i. Full name
Crews & Associates, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-24075 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 9
i. Full name
Benefit Plans Administrative Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

N/A 

Description of other identifying number

N/A 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 10
i. Full name
International Research Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-37954 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 11
i. Full name
Planned Financial Programs, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-05727 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 12
i. Full name
Boreal Capital Securities LLC 
ii. LEI, if any, or provide and describe other identifying number

8-68910 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 13
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 14
i. Full name
John Hancock Life Insurance Company 
ii. LEI, if any, or provide and describe other identifying number

QQ0OZ8J9C4B5QT1XDG31 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 15
i. Full name
Westport Resources Investment Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-40904 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 16
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 17
i. Full name
U.S. Bancorp Investments, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-35359 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 18
i. Full name
Key Investment Services LLC 
ii. LEI, if any, or provide and describe other identifying number

8-66999 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 19
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 20
i. Full name
Wellington Shields & Co., LLC 
ii. LEI, if any, or provide and describe other identifying number

8-68098 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 21
i. Full name
CNR Securities LLC 
ii. LEI, if any, or provide and describe other identifying number

8-36759 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 22
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 23
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 24
i. Full name
Arque Capital, Ltd. 
ii. LEI, if any, or provide and describe other identifying number

8-65390 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 25
i. Full name
The Jeffrey Matthews Financial Group, L.L.C. 
ii. LEI, if any, or provide and describe other identifying number

8-49352 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 26
i. Full name
Lombard Securities, Inc. 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 27
i. Full name
Hornor, Townsend & Kent, Inc. 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 28
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 29
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 30
i. Full name
Quincy Cass Associates, Incorporated 
ii. LEI, if any, or provide and describe other identifying number

8-05743 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 31
i. Full name
Vision Financial Markets LLC 
ii. LEI, if any, or provide and describe other identifying number

8-67447 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 32
i. Full name
Invex, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-44695 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 33
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 34
i. Full name
Mesirow Financial, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-28816 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 35
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 36
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 37
i. Full name
Arete Wealth Management, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-50854 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 38
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 39
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

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 40
i. Full name
Feldstein Financial Group, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-53388 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 41
i. Full name
PTS 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 42
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 43
i. Full name
Citizens Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-48744 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 44
i. Full name
Charles Schwab & Co., Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-16514 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 45
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 46
i. Full name
CBIZ Financial Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-34205 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 47
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 48
i. Full name
Nicol Investors Corporation 
ii. LEI, if any, or provide and describe other identifying number

8-65566 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 49
i. Full name
LaBrunerie Financial Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-47830 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 50
i. Full name
Pruco Securities, LLC. 
ii. LEI, if any, or provide and describe other identifying number

8-16402 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 51
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 52
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 53
i. Full name
LPL Financial LLC 
ii. LEI, if any, or provide and describe other identifying number

8-17668 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 54
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 55
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 56
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 57
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
NEW HAMPSHIRE  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 58
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 59
i. Full name
BancWest Investment Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-44261 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 60
i. Full name
JHW Financial Services Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-45304 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 61
i. Full name
BOK Financial Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-35381 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 62
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 63
i. Full name
Thoroughbred Financial Services, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-51944 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 64
i. Full name
Avondale Partners, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-51550 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 65
i. Full name
Coastal Equities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-40822 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 66
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 67
i. Full name
BCG Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-12680 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 68
i. Full name
Shareholders Service Group, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-65778 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 69
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 70
i. Full name
Maxim Group LLC 
ii. LEI, if any, or provide and describe other identifying number

8-65337 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 71
i. Full name
Wells Fargo Clearing Services, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-37180 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 72
i. Full name
NYLife Distributors LLC 
ii. LEI, if any, or provide and describe other identifying number

8-46655 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 73
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 74
i. Full name
Nationwide Planning Associates Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-45310 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 75
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 76
i. Full name
GLP Investment Services 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 77
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
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 78
i. Full name
Rogan & Associates, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-49995 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 79
i. Full name
City National Bank 
ii. LEI, if any, or provide and describe other identifying number

549300MEMKSF7703ZQ25 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 80
i. Full name
Nest Investments BD, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-70117 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 81
i. Full name
BBVA Securities Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-42857 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 82
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 83
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 84
i. Full name
Arkadios Capital 
ii. LEI, if any, or provide and describe other identifying number

8-69729 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 85
i. Full name
Cadaret, Grant & Co., Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-27844 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 86
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 87
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 88
i. Full name
Nelson Ivest Brokerage Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-26448 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 89
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 90
i. Full name
Bancolumbia Capital, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-70822 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 91
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 92
i. Full name
Eagles Coast Capital 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 93
i. Full name
CGIS Securities LLC 
ii. LEI, if any, or provide and describe other identifying number

8-68758 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 94
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 95
i. Full name
The Garbacz Group Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-42366 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 96
i. Full name
Western International Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-48572 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 97
i. Full name
TimeCapital Securities Corporation 
ii. LEI, if any, or provide and describe other identifying number

8-18248 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 98
i. Full name
LINCOLN INVESTMENT 
ii. LEI, if any, or provide and describe other identifying number

8-14354 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 99
i. Full name
Fiduciary Trust Company International 
ii. LEI, if any, or provide and describe other identifying number

N1YKEWO2IYPRS4742F57 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 100
i. Full name
ViewTrade Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-51605 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 101
i. Full name
NorthWestern Mutual Investment Services, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-14088 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 102
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 103
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

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 104
i. Full name
Larson Financial Securities, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-68456 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 105
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 106
i. Full name
Wood (Arthur W.) Company, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-03368 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 107
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

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 108
i. Full name
Voya Retirement Insurance and Annuity Company 
ii. LEI, if any, or provide and describe other identifying number

OK3MKCDYPD4NN6QDGK18 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 109
i. Full name
Digital Retirement Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

N/A 

Description of other identifying number

N/A 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 110
i. Full name
Saxony Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-53490 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 111
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 112
i. Full name
Snowden Account Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-68188 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 113
i. Full name
Capitol Securities Management, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-30353 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 114
i. Full name
Inverness Securities, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-66278 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 115
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

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 116
i. Full name
VBC Securities, LLC 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 117
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 118
i. Full name
Avantax Wealth Management, Inc 
ii. LEI, if any, or provide and describe other identifying number

8-29533 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 119
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 120
i. Full name
Coldstream Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-51549 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 121
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 122
i. Full name
XP Investments US, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-68817 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 123
i. Full name
The Huntington Investment Company 
ii. LEI, if any, or provide and describe other identifying number

8-34867 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 124
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 125
i. Full name
Teachers Insurance and Annuity Association of America 
ii. LEI, if any, or provide and describe other identifying number

O06YD7BJ4EPYNABVFN69 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 126
i. Full name
Oberweis Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-49679 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 127
i. Full name
The Lawrence D. Vitez Corp. DBA Consolidated Securities 
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
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 128
i. Full name
Oriental Financial Services Corp. 
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
PUERTO RICO  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 129
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

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 130
i. Full name
MMC Securities LLC 
ii. LEI, if any, or provide and describe other identifying number

8-52349 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 131
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 132
i. Full name
Cuso Financial Services, L.P. 
ii. LEI, if any, or provide and describe other identifying number

8-49711 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 133
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 134
i. Full name
Saturna Trust Company 
ii. LEI, if any, or provide and describe other identifying number

N/A 

Description of other identifying number

N/A 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 135
i. Full name
Insight Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-16247 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 136
i. Full name
The Vanguard Group, Inc. 
ii. LEI, if any, or provide and describe other identifying number

5493002789CX3L0CJP65 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 137
i. Full name
North South Capital, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-67979 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 138
i. Full name
Massachusetts Mutual Life Insurance Company 
ii. LEI, if any, or provide and describe other identifying number

8-13941 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 139
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 140
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 141
i. Full name
Principal Life Insurance Company 
ii. LEI, if any, or provide and describe other identifying number

SDCMU2LVKGV2AF1KWP64 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 142
i. Full name
Guardian Insurance & Annuity Company, Inc., The 
ii. LEI, if any, or provide and describe other identifying number

TGIU5N0SIMULU6I57R64 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 143
i. Full name
Royal Alliance Associates, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-40218 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 144
i. Full name
D.A. Davidson & Co. 
ii. LEI, if any, or provide and describe other identifying number

8-02399 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 145
i. Full name
American Independent Securities Group, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-66905 

Description of other identifying number

SEC File Number 

iii. State, if applicable
IDAHO  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 146
i. Full name
Cedar Brook Financial 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 147
i. Full name
Etico Partners, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-65500 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 148
i. Full name
Hartford Funds Management Company, LLC 
ii. LEI, if any, or provide and describe other identifying number

801-77209 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 149
i. Full name
Centaurus Financial, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-45185 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 150
i. Full name
Liberty Partners Financial Services, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-66335 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 151
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 152
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 153
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 154
i. Full name
Wells Fargo Securities, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-65876 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 155
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 156
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 157
i. Full name
American Capital Partners, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-65165 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 158
i. Full name
Holistic Brokerage, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-51285 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 159
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 160
i. Full name
Monex Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-44874 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 161
i. Full name
Stifel, Nicolaus & Company, Incorporated 
ii. LEI, if any, or provide and describe other identifying number

8-01447 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 162
i. Full name
Mack Investment Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-35536 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 163
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 164
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 165
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 166
i. Full name
Lincoln Financial Distributors, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-13431 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 167
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 168
i. Full name
Feltl & Company 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 169
i. Full name
Ceros Financial Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-47955 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 170
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 171
i. Full name
Empire Asset Management Company 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 172
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 173
i. Full name
AqGen Ascensus, Inc. 
ii. LEI, if any, or provide and describe other identifying number

549300K5MHNFPEU2RK82 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 174
i. Full name
Altruist Financial LLC 
ii. LEI, if any, or provide and describe other identifying number

8-70244 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 175
i. Full name
First Manhattan Co. 
ii. LEI, if any, or provide and describe other identifying number

8-10438 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 176
i. Full name
Fortune Financial Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-49727 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 177
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 178
i. Full name
Sage, Rutty & Co., 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 179
i. Full name
Tradition Securities and Derivatives LLC 
ii. LEI, if any, or provide and describe other identifying number

8-43559 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 180
i. Full name
Consolidated Financial Investments, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-37004 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 181
i. Full name
UBATCO & Co. 
ii. LEI, if any, or provide and describe other identifying number

N/A 

Description of other identifying number

N/A 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 182
i. Full name
Uhlmann Price Securities, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-50041 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 183
i. Full name
Herbert J. Sims & Co. Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-03315 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 184
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 185
i. Full name
E*Trade Securities 
ii. LEI, if any, or provide and describe other identifying number

8-44112 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 186
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 187
i. Full name
BestVest Investments, Ltd. 
ii. LEI, if any, or provide and describe other identifying number

8-49007 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 188
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 189
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 190
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 191
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 192
i. Full name
Valley Financial Management, Inc 
ii. LEI, if any, or provide and describe other identifying number

8-52993 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 193
i. Full name
IDB Capital Corp. 
ii. LEI, if any, or provide and describe other identifying number

8-53000 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 194
i. Full name
Access Investments, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-49750 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 195
i. Full name
David Lerner Associates, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-20746 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 196
i. Full name
Securities Research, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-23699 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 197
i. Full name
G. W. & 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 198
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 199
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 200
i. Full name
UBS AG, New York Branch 
ii. LEI, if any, or provide and describe other identifying number

BFM8T61CT2L1QCEMIK50 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 201
i. Full name
Colliers Securities LLC 
ii. LEI, if any, or provide and describe other identifying number

8-21937 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 202
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 203
i. Full name
USCA Securities LLC 
ii. LEI, if any, or provide and describe other identifying number

8-52285 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 204
i. Full name
Landaas & Company 
ii. LEI, if any, or provide and describe other identifying number

8-51826 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 205
i. Full name
Hazlett, Burt & Watson, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-17737 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 206
i. Full name
Hancock Whitney Investment Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-49106 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 207
i. Full name
Mutual Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-28580 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 208
i. Full name
Moors & Cabot, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-23060 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 209
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 210
i. Full name
R. Seelaus & Co., Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-31475 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 211
i. Full name
Stonecrest Capital Markets, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-48754 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 212
i. Full name
CIBC World Markets Corp. 
ii. LEI, if any, or provide and describe other identifying number

8-18333 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 213
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 214
i. Full name
Kingswood Capital Partners LLC 
ii. LEI, if any, or provide and describe other identifying number

8-69967 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 215
i. Full name
Zions Direct, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-35721 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 216
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 217
i. Full name
Allegiance Capital, L.L.C. 
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
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 218
i. Full name
Vanguard Marketing Corporation 
ii. LEI, if any, or provide and describe other identifying number

8-21570 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 219
i. Full name
Safra Securities LLC 
ii. LEI, if any, or provide and describe other identifying number

8-51935 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 220
i. Full name
Sanctuary Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-22752 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 221
i. Full name
Alight Financial Solutions LLC 
ii. LEI, if any, or provide and describe other identifying number

8-47344 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 222
i. Full name
BTG Pactual US Capital, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-68148 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 223
i. Full name
Callaway Financial Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-52474 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 224
i. Full name
World Choice Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-45235 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 225
i. Full name
CUNA Brokerage Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-30027 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 226
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 227
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 228
i. Full name
GWN Securities Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-66185 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 229
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 230
i. Full name
L. B. Fisher & Company 
ii. LEI, if any, or provide and describe other identifying number

8-21023 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 231
i. Full name
Rhodes Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-37689 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 232
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 233
i. Full name
M&T Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-35185 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 234
i. Full name
Federated Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-15644 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 235
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 236
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 237
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 238
i. Full name
Voya Investments Distributor, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-48020 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 239
i. Full name
Great Point Capital LLC 
ii. LEI, if any, or provide and describe other identifying number

8-53402 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 240
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 241
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 242
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 243
i. Full name
E*Trade Savings Bank 
ii. LEI, if any, or provide and describe other identifying number

549300DXPO50FJ75QA85 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 244
i. Full name
Bankers Life Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-69562 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 245
i. Full name
J.P. Morgan Securities LLC 
ii. LEI, if any, or provide and describe other identifying number

8-35008 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 246
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 247
i. Full name
Western Growers Financial Services, Inc. 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 248
i. Full name
Rodgers Brothers, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-33475 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 249
i. Full name
Centennial Securities Company, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-23406 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 250
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 251
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 252
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 253
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 254
i. Full name
Calamar Financial Group 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 255
i. Full name
The O.N. Equity Sales Company 
ii. LEI, if any, or provide and describe other identifying number

8-14161 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 256
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 257
i. Full name
VectorGlobal WMG Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-45715 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 258
i. Full name
Coker & Palmer, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-44129 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 259
i. Full name
BNY Mellon Securities Corporation 
ii. LEI, if any, or provide and describe other identifying number

8-13801 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 260
i. Full name
Pershing LLC 
ii. LEI, if any, or provide and describe other identifying number

8-17574 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 261
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 262
i. Full name
Mutual Trust Co. of America Securities 
ii. LEI, if any, or provide and describe other identifying number

8-25547 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 263
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 264
i. Full name
TD Ameritrade Trust Company 
ii. LEI, if any, or provide and describe other identifying number

028-15163 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 265
i. Full name
Conover Securities Corporation 
ii. LEI, if any, or provide and describe other identifying number

8-35085 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 266
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 267
i. Full name
State Farm VP Management Corp. 
ii. LEI, if any, or provide and describe other identifying number

8-50128 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 268
i. Full name
FSB Warner Financial, 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 269
i. Full name
Rothschild Investment Corporation 
ii. LEI, if any, or provide and describe other identifying number

8-16429 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 270
i. Full name
Jefferies, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-15074 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 271
i. Full name
Benefit Trust Company 
ii. LEI, if any, or provide and describe other identifying number

N/A 

Description of other identifying number

N/A 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 272
i. Full name
Integral Financial LLC 
ii. LEI, if any, or provide and describe other identifying number

8-65284 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 273
i. Full name
Essex Securities LLC 
ii. LEI, if any, or provide and describe other identifying number

8-51472 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 274
i. Full name
Fifth Third Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-02428 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 275
i. Full name
ING Financial Markets LLC 
ii. LEI, if any, or provide and describe other identifying number

8-43978 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 276
i. Full name
Watermark Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-43902 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 277
i. Full name
SECU Brokerage Services 
ii. LEI, if any, or provide and describe other identifying number

8-37927 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 278
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 279
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 280
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 281
i. Full name
Portfolio Resources Group, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-45380 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 282
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 283
i. Full name
Gold Coast Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-53148 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 284
i. Full name
MidWestern Securities Trading Company, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-52074 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 285
i. Full name
Peak Brokerage Services, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-68829 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 286
i. Full name
TradeUP Securities Inc 
ii. LEI, if any, or provide and describe other identifying number

8-36754 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 287
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 288
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 289
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 290
i. Full name
FNBB Capital Markets, LLC 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 291
i. Full name
SEI Private Trust Company 
ii. LEI, if any, or provide and describe other identifying number

028-10625 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 292
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 293
i. Full name
DWS Distributors, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-47765 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 294
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 295
i. Full name
General Securities Corp. 
ii. LEI, if any, or provide and describe other identifying number

8-31654 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 296
i. Full name
Aon Securities LLC 
ii. LEI, if any, or provide and describe other identifying number

8-14953 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 297
i. Full name
Thompson Davis & Co., Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-49386 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 298
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
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 299
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 300
i. Full name
T. Rowe Price Investment Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-25130 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 301
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 302
i. Full name
Dinosaur Financial Group, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-52908 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 303
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 304
i. Full name
Aufhaser Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-48786 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 305
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 306
i. Full name
H. C. Denison Co. 
ii. LEI, if any, or provide and describe other identifying number

8-00044 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 307
i. Full name
Caldwell Securities Ltd. 
ii. LEI, if any, or provide and describe other identifying number

8-27639 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 308
i. Full name
SunTrust Bank 
ii. LEI, if any, or provide and describe other identifying number

IYDOJBGJWY9T8XKCSX06 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 309
i. Full name
Morgan Stanley & Co. LLC 
ii. LEI, if any, or provide and describe other identifying number

8-15869 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 310
i. Full name
Loria Financial Group, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-52128 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 311
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 312
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 313
i. Full name
Highlander Capital Group, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-37169 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 314
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

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 315
i. Full name
Pacific Financial Associates, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-40712 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 316
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 317
i. Full name
Cetera Advisors LLC 
ii. LEI, if any, or provide and describe other identifying number

8-26892 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 318
i. Full name
E. E. Powell & Company Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-01893 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 319
i. Full name
American Trust Company 
ii. LEI, if any, or provide and describe other identifying number

028-10498 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 320
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 321
i. Full name
A.G.P/ Alliance Global Partners Corp 
ii. LEI, if any, or provide and describe other identifying number

8-25132 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 322
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 323
i. Full name
Middlegate Securities Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-39031 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 324
i. Full name
Arvest Investments, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-49677 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 325
i. Full name
B.C. Ziegler & Company 
ii. LEI, if any, or provide and describe other identifying number

8-00094 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 326
i. Full name
Trade-PMR 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 327
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 328
i. Full name
Southeast Investments, N.C., Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-50127 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 329
i. Full name
D.M. Kelly & Company 
ii. LEI, if any, or provide and describe other identifying number

8-48398 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 330
i. Full name
MSEC, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-68627 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 331
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 332
i. Full name
William Blair & Company L.L.C. 
ii. LEI, if any, or provide and describe other identifying number

8-02698 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 333
i. Full name
Independent Financial Group, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-22870 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 334
i. Full name
The Oak Ridge Financial Services Group, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-50082 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 335
i. Full name
R.M. Stark & Co., Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-22543 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 336
i. Full name
American Portfolios Financial Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-37085 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 337
i. Full name
Capital Institutional Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-22273 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 338
i. Full name
First Honolulu Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-23919 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 339
i. Full name
Johnstone Brokerage 
ii. LEI, if any, or provide and describe other identifying number

8-70335 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 340
i. Full name
AW SECURITIES 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 341
i. Full name
BTS Securities Corporation 
ii. LEI, if any, or provide and describe other identifying number

8-26818 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 342
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 343
i. Full name
Morris Group, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-28916 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 344
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 345
i. Full name
USAA Investment Management Company 
ii. LEI, if any, or provide and describe other identifying number

8-41241 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 346
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 347
i. Full name
Joseph Gunnar & Co. LLC 
ii. LEI, if any, or provide and describe other identifying number

8-41386 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 348
i. Full name
Commonwealth Equity Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-24040 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 349
i. Full name
Oscar Gruss & Son Incorporated 
ii. LEI, if any, or provide and describe other identifying number

8-22371 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 350
i. Full name
Pyramid Funds Corporation 
ii. LEI, if any, or provide and describe other identifying number

8-12769 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 351
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 352
i. Full name
Synovus Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-34709 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 353
i. Full name
Horace Mann Life Insurance Co. 
ii. LEI, if any, or provide and describe other identifying number

5493000HR2JKKNH2FL09 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 354
i. Full name
BNP Paribas Securities Corp 
ii. LEI, if any, or provide and describe other identifying number

8-40490 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 355
i. Full name
First Bankers' Banc Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-31584 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 356
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
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 357
i. Full name
Raymond James & Associates, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-10999 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 358
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 359
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
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 360
i. Full name
Davenport & Company LLC 
ii. LEI, if any, or provide and describe other identifying number

8-17103 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 361
i. Full name
Global Brokerage Services, Inc. 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 362
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 363
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 364
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 365
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 366
i. Full name
Barclays Capital Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-41342 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 367
i. Full name
Garden State Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-25790 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 368
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 369
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 370
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 371
i. Full name
Searle & Co., Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-28600 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 372
i. Full name
MISSIONSQUARE INVESTMENT SERVICES 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 373
i. Full name
Kovack Securities Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-50847 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 374
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 375
i. Full name
Pinnacle Investments, LLC 
ii. LEI, if any, or provide and describe other identifying number

801-67860 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 376
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 377
i. Full name
Duncan-Williams, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-18971 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 378
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 379
i. Full name
PNC Bank, N.A. 
ii. LEI, if any, or provide and describe other identifying number

AD6GFRVSDT01YPT1CS68 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 380
i. Full name
Apex Clearing Corporation 
ii. LEI, if any, or provide and describe other identifying number

8-23522 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 381
i. Full name
Reliance Trust Company 
ii. LEI, if any, or provide and describe other identifying number

549300NV8FSQRNOUQO50 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 382
i. Full name
Cutter & Company Brokerage, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-39590 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 383
i. Full name
American Century Investment Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-35220 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 384
i. Full name
Sabadell Securities USA, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-67975 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 385
i. Full name
Finance 500, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-28302 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 386
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 387
i. Full name
Neuberger Berman BD LLC 
ii. LEI, if any, or provide and describe other identifying number

8-01068 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 388
i. Full name
First Republic Securities Company, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-52973 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 389
i. Full name
Regions Bank 
ii. LEI, if any, or provide and describe other identifying number

EQTWLK1G7ODGC2MGLV11 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 390
i. Full name
Thurston, Springer, Miller, Herd & Titak, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-25452 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 391
i. Full name
Goldman Sachs & Co. LLC 
ii. LEI, if any, or provide and describe other identifying number

8-00129 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 392
i. Full name
St. Bernard Financial Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-47566 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 393
i. Full name
Allianz Life Financial Services, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-13630 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 394
i. Full name
Prudential Insurance Company of America 
ii. LEI, if any, or provide and describe other identifying number

Y574KRZ6V5A7UBU45C31 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 395
i. Full name
Liberty Capital Investment Corporation 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 396
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 397
i. Full name
Infinex Investments, 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 398
i. Full name
Cambridge Investment Research, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-48740 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 399
i. Full name
Wall Street Access 
ii. LEI, if any, or provide and describe other identifying number

8-25936 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 400
i. Full name
Mid-Atlantic Clearing & Settlement Corp. 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 401
i. Full name
KCD Financial, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-66005 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 402
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 403
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 404
i. Full name
Blakeslee and 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 405
i. Full name
Nationwide Financial Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

5493001H7AZNDS6BKJ36 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 406
i. Full name
Comerica Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-35001 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 407
i. Full name
Mercer HR Services, LLC 
ii. LEI, if any, or provide and describe other identifying number

N/A 

Description of other identifying number

N/A 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 408
i. Full name
Wintrust Investments, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-00484 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 409
i. Full name
Nations Financial Group, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-50588 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 410
i. Full name
Itau International Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-67674 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 411
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
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 413
i. Full name
NewEdge Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-27663 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 414
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 415
i. Full name
J.D. Seibert & Company, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-23604 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 416
i. Full name
Morgan Stanley Smith Barney LLC 
ii. LEI, if any, or provide and describe other identifying number

8-68191 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 417
i. Full name
Great-West Financial Retirement Plan Services, LLC 
ii. LEI, if any, or provide and describe other identifying number

N/A 

Description of other identifying number

N/A 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 418
i. Full name
Citizens Bank 
ii. LEI, if any, or provide and describe other identifying number

254900MFWISYMJ04ZE93 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 419
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 420
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 421
i. Full name
Axiom Capital Management, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-42638 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 422
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

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 423
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 424
i. Full name
Glen Eagle Wealth LLC 
ii. LEI, if any, or provide and describe other identifying number

8-65678 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 425
i. Full name
Corinthian Partners, L.L.C. 
ii. LEI, if any, or provide and describe other identifying number

8-48461 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 426
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 427
i. Full name
Genworth Life & Annuity Insurance Company 
ii. LEI, if any, or provide and describe other identifying number

TAI340D9BWT9R77O0P03 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 428
i. Full name
Invicta Capital, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-69923 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 429
i. Full name
UnionBanc Investment Services LLC 
ii. LEI, if any, or provide and describe other identifying number

8-30706 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 430
i. Full name
Family Investors Company 
ii. LEI, if any, or provide and describe other identifying number

8-11190 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 431
i. Full name
Healthcare Community Securities Corporation 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 432
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 433
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 434
i. Full name
UMB Financial Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-34999 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 435
i. Full name
AE Financial Services, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-70214 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 436
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 437
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 438
i. Full name
Sentinel Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-53142 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 439
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 440
i. Full name
M Holdings Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-50214 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 441
i. Full name
IFP Securities 
ii. LEI, if any, or provide and describe other identifying number

8-70150 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 442
i. Full name
SecureVest Financial Group 
ii. LEI, if any, or provide and describe other identifying number

8-26030 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 443
i. Full name
Broadstone Securities 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 444
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or provide and describe other identifying number

7H6GLYDRUGQFU57RNE97 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 445
i. Full name
National Financial Services, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-26740 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 446
i. Full name
TIAA-CREF Individual & Institutional Services, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-44454 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 447
i. Full name
Insigneo Securities, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-44166 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 448
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 449
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 450
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 451
i. Full name
Fairport Capital, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-32162 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 452
i. Full name
NYLife Securities LLC 
ii. LEI, if any, or provide and describe other identifying number

8-15517 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 453
i. Full name
Great Pacific Securities 
ii. LEI, if any, or provide and describe other identifying number

8-44398 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 454
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 455
i. Full name
Pershing Advisor Solutions, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-47425 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 456
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 457
i. Full name
TRG Advisors, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-50449 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 458
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

N/A 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 459
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 460
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 461
i. Full name
Landolt Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-43645 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 462
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 463
i. Full name
Merrill Lynch, Pierce, Fenner & Smith Incorporated 
ii. LEI, if any, or provide and describe other identifying number

8-07221 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 464
i. Full name
Standard Insurance Company 
ii. LEI, if any, or provide and describe other identifying number

549300KVA8DBYKHPXO21 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 465
i. Full name
Paradigm Equities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-45593 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 466
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 467
i. Full name
Lieblong & Associates, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-49880 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 468
i. Full name
Fidelity Investments Life Insurance Company 
ii. LEI, if any, or provide and describe other identifying number

54930024AKTQGTIV1P93 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 469
i. Full name
Farmers Financial Solutions, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-52361 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 470
i. Full name
R. F. Lafferty & Co., Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-25581 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 471
i. Full name
Ladenburg Thalman & Co. Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-17230 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 472
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 473
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 474
i. Full name
Raymond James Financial, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-17983 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 475
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 476
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 477
i. Full name
SG Americas Securities, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-66125 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 478
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 479
i. Full name
Lebenthal Financial Services, Inc 
ii. LEI, if any, or provide and describe other identifying number

8-67140 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 480
i. Full name
Financial Northeastern Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-34883 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 481
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 482
i. Full name
Arive Capital Markets 
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
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 483
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 484
i. Full name
M. S. Howells & Co. 
ii. LEI, if any, or provide and describe other identifying number

8-52558 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 485
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 486
i. Full name
Northern Trust Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-23689 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 487
i. Full name
Herndon Plant Oakley, LTD 
ii. LEI, if any, or provide and describe other identifying number

8-50912 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 488
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 489
i. Full name
First Heartland Capital, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-46008 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 490
i. Full name
Access Financial Group, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-46065 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 491
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 492
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 493
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 494
i. Full name
Halliday Financial, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-45529 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 495
i. Full name
Folger Nolan Fleming Douglas Incorporated 
ii. LEI, if any, or provide and describe other identifying number

8-03335 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 496
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 497
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 498
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 499
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 500
i. Full name
ACA/Prudent Investors Planning Corporation 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 501
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 502
i. Full name
SKA Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-53366 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 503
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 504
i. Full name
Northland Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-48994 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 505
i. Full name
Bradesco BAC Florida Investments Corp. 
ii. LEI, if any, or provide and describe other identifying number

8-37483 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 506
i. Full name
Ameritas Investment Company, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-31296 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 507
i. Full name
SWBC Investment Services, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-66764 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 508
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 509
i. Full name
Titleist Capital, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-65859 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 510
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 511
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 512
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 513
i. Full name
American National Trust And Investment Management Company 
ii. LEI, if any, or provide and describe other identifying number

028-00344 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 514
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 515
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 516
i. Full name
Northern Capital Securities Corporation 
ii. LEI, if any, or provide and describe other identifying number

8-49130 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 517
i. Full name
Maine Securities Corp. 
ii. LEI, if any, or provide and describe other identifying number

8-34889 

Description of other identifying number

SEC File Number 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 518
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 519
i. Full name
Hunter Associates, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-44779 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 520
i. Full name
Prospera Financial Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-28164 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 521
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 522
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 523
i. Full name
Sisung Securities Corporation 
ii. LEI, if any, or provide and describe other identifying number

8-42121 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 524
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 525
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 526
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
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 527
i. Full name
Carter, Terry & Company, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-33797 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 528
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 529
i. Full name
TD Ameritrade Clearing, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-16335 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 530
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 531
i. Full name
Sigma Financial Corporation 
ii. LEI, if any, or provide and describe other identifying number

8-30466 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 532
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 533
i. Full name
Superior Financial Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-52618 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 534
i. Full name
San Blas Securities LLC 
ii. LEI, if any, or provide and describe other identifying number

8-70036 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 535
i. Full name
Vanderbilt Securities, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-16712 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 536
i. Full name
Horace Mann Investors, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8--6082 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 537
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 538
i. Full name
Fidelity Brokerage Services LLC 
ii. LEI, if any, or provide and describe other identifying number

8-23292 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 539
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 540
i. Full name
Investshares, Inc 
ii. LEI, if any, or provide and describe other identifying number

8-68365 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 541
i. Full name
Edward D. Jones & Co., L.P. 
ii. LEI, if any, or provide and describe other identifying number

8-00759 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 542
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 543
i. Full name
Place Trade Financial, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-65915 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 544
i. Full name
Buckman, Buckman & Reid, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-40413 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 545
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 546
i. Full name
Andbanc Brokerage, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-68759 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 547
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 548
i. Full name
T. Rowe Price Retirement Plan Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-25130 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 549
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 550
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 551
i. Full name
K. W. Chambers & CO. 
ii. LEI, if any, or provide and describe other identifying number

8-10533 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 552
i. Full name
Stephens Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-01927 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 553
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 554
i. Full name
Hancock Whitney Corporation 
ii. LEI, if any, or provide and describe other identifying number

549300GRNBWY8HIICT41 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 555
i. Full name
Deutsche Bank Securities Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-17822 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 556
i. Full name
Muriel Siebert & Co., Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-14900 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 557
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 558
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 559
i. Full name
The GMS Group, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-23936 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 560
i. Full name
Charles Schwab Bank, SSB 
ii. LEI, if any, or provide and describe other identifying number

549300INFJ8TYNZ1G568 

Description of other identifying number

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 561
i. Full name
Institutional Securities Corporation 
ii. LEI, if any, or provide and describe other identifying number

8-38158 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 562
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 563
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 564
i. Full name
Nationwide Securities, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-12500 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 565
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 566
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 567
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 568
i. Full name
GRF Capital Investors, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-41494 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 569
i. Full name
Bolton Global Capital 
ii. LEI, if any, or provide and describe other identifying number

8-33222 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 570
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 571
i. Full name
Piper Jaffray & Co. 
ii. LEI, if any, or provide and describe other identifying number

8-15204 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 572
i. Full name
First Southern, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-69733 

Description of other identifying number

SEC File Number 

iii. State, if applicable
PUERTO RICO  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 573
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 574
i. Full name
Volition Financial Netowrk 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 575
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 576
i. Full name
Hilltop Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-45123 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 577
i. Full name
Woodlands Securities Corporation 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 578
i. Full name
Maplewood Investments, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-52221 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 579
i. Full name
D.H. Hill Securities LLP 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 580
i. Full name
Cetera Financial Specialists LLC 
ii. LEI, if any, or provide and describe other identifying number

8-27082 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 581
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 582
i. Full name
Commerce Brokerage Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-35096 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 583
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 584
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 585
i. Full name
Benjamin F. Edwards & Company, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-68023 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 586
i. Full name
Conduent HR Services LLC 
ii. LEI, if any, or provide and describe other identifying number

8-61145 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 587
i. Full name
NBC Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-35870 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 588
i. Full name
Alterna Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-49311 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 589
i. Full name
Carty & Company, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-19082 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 590
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 591
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 592
i. Full name
TradeStation Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-48711 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 593
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 594
i. Full name
RBC Capital Markets, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-45411 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 595
i. Full name
AMERICAN INVESTORS COMPANY 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 596
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 597
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 598
i. Full name
Purshe Kaplan Sterling Investments 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 599
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 600
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 601
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 602
i. Full name
M.E. Allison & Co. 
ii. LEI, if any, or provide and describe other identifying number

801-58195 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 603
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
 
iv. Foreign country, if applicable
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 604
i. Full name
American Wealth Management 
ii. LEI, if any, or provide and describe other identifying number

8-41807 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 605
i. Full name
Berthel, Fisher & Company Financial Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-29426 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 606
i. Full name
Harvest Financial Corporation 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 607
i. Full name
Nestlerode & Loy, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-12629 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 608
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 609
i. Full name
Planmember Securities Corporation 
ii. LEI, if any, or provide and describe other identifying number

8-25065 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 610
i. Full name
Omni Financial Securities 
ii. LEI, if any, or provide and describe other identifying number

8-44034 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 611
i. Full name
Northwest Investment Advisors, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-65282 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 612
i. Full name
The Tavenner Company 
ii. LEI, if any, or provide and describe other identifying number

8-41206 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 613
i. Full name
Herold & Lantern Investments, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-45285 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 614
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 615
i. Full name
Ascensus Broker Dealer Services, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-47312 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 616
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 617
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 618
i. Full name
Wiley Bros.-Aintree Capital, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-03774 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 619
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 620
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 621
i. Full name
Register Financial Associates, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-45012 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 622
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 623
i. Full name
Huntleigh Securities Corporation 
ii. LEI, if any, or provide and describe other identifying number

8-21893 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 624
i. Full name
The Investment Center, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-35826 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 625
i. Full name
Investment Placement Group 
ii. LEI, if any, or provide and describe other identifying number

8-30700 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 626
i. Full name
MMA Securities LLC 
ii. LEI, if any, or provide and describe other identifying number

8-50591 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 627
i. Full name
First Kentucky Securities Corporation 
ii. LEI, if any, or provide and describe other identifying number

8-22224 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 628
i. Full name
Hantz Financial Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-51291 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 629
i. Full name
Interactive Brokers LLC 
ii. LEI, if any, or provide and describe other identifying number

8-47257 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 630
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 631
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 632
i. Full name
FMSBonds, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-23280 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 633
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 634
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 635
i. Full name
American Financial Associates, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-44065 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 636
i. Full name
Exeter Trust Company 
ii. LEI, if any, or provide and describe other identifying number

028-04279 

Description of other identifying number

SEC File Number 

iii. State, if applicable
NEW HAMPSHIRE  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 637
i. Full name
Cetera Investment Services, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-31826 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 638
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 639
i. Full name
Cary Street Partners LLC 
ii. LEI, if any, or provide and describe other identifying number

8-66085 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 640
i. Full name
OFG Financial Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-40770 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 641
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 642
i. Full name
Sammons Retirement Solutions, Inc. 
ii. LEI, if any, or provide and describe other identifying number

N/A 

Description of other identifying number

N/A 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 643
i. Full name
Alight Solutions LLC 
ii. LEI, if any, or provide and describe other identifying number

084-01996 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 644
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 645
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 646
i. Full name
DFPG Investments, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-68730 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 647
i. Full name
Transamerica Financial Advisors, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-33429 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 648
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 649
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 650
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 651
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 652
i. Full name
Steward Partners Investment Solutions, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-02915 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 653
i. Full name
Innovation Partners LLC 
ii. LEI, if any, or provide and describe other identifying number

8-67812 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 654
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 655
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 656
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 657
i. Full name
HSBC Securities (USA), Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-41562 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 658
i. Full name
Keel Point Capital, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-22990 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 659
i. Full name
ACP Securities, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-67185 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 660
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 661
i. Full name
Leigh Baldwin & Co., LLC 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 662
i. Full name
Schlitt Investor Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-34202 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 663
i. Full name
Citigroup Global Markets Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-08177 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 664
i. Full name
Avisen Securities, 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 665
i. Full name
Investment Planners, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-35642 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 666
i. Full name
Athena Wealth Management 
ii. LEI, if any, or provide and describe other identifying number

304017 

Description of other identifying number

FINRA 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 667
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 668
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 669
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 670
i. Full name
ValMark Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-45463 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 671
i. Full name
Signature Securities Group Corporation 
ii. LEI, if any, or provide and describe other identifying number

8-52697 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 672
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 673
i. Full name
World Equity Group, Incorporated 
ii. LEI, if any, or provide and describe other identifying number

8-44088 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 674
i. Full name
Calton & Associates, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-38635 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 675
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 676
i. Full name
Jessup Wealth Management 
ii. LEI, if any, or provide and describe other identifying number

801-127039 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 677
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 678
i. Full name
1st Discount Brokerage, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-48557 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 679
i. Full name
Samuel A. Ramirez & Company, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-19014 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 680
i. Full name
American Enterprise Investment Services Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-42582 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 681
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 682
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

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 683
i. Full name
LaSalle St. Securities, L.L.C. 
ii. LEI, if any, or provide and describe other identifying number

8-18860 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 684
i. Full name
Hennion & Walsh, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-41988 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 685
i. Full name
Wright Investors' Service Distributors, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-29579 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 686
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
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 687
i. Full name
Sanders Morris Harris LLC 
ii. LEI, if any, or provide and describe other identifying number

8-38325 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 688
i. Full name
Gladowsky Capital Management Corp. 
ii. LEI, if any, or provide and describe other identifying number

8-51017 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 689
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 690
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 691
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
PUERTO RICO  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 692
i. Full name
Sycamore Financial Group 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 693
i. Full name
TCFG Wealth Management, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-69089 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 694
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 695
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 696
i. Full name
Bley Investments 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 697
i. Full name
First Financial Securities of America, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-29565 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 698
i. Full name
Fidelity Investments Institutional Operations Company LLC 
ii. LEI, if any, or provide and describe other identifying number

8-35097 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 699
i. Full name
Bolton Securities Corp. 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 700
i. Full name
Securian Financial Services, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-31955 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 701
i. Full name
United Planners' Financial Services of America A Limited Partner 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 702
i. Full name
Monere Investments, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-52982 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 703
i. Full name
First National Bank Alaska 
ii. LEI, if any, or provide and describe other identifying number

25490089V5DJHFQMOA03 

Description of other identifying number

LEI Number 

iii. State, if applicable
ALASKA  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the shareholder servicing agent an affiliated person of the Fund or its investment adviser(s)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 704
i. Full name
Amerant Investments, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-53612 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 705
i. Full name
AssetMark Trust Company 
ii. LEI, if any, or provide and describe other identifying number

N/A 

Description of other identifying number

N/A 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 706
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 707
i. Full name
American Global Wealth Management, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-21584 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 708
i. Full name
TD Ameritrade, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-23395 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 709
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

LEI 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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 710
i. Full name
Broadridge Business Process Outsourcing, LLC 
ii. LEI, if any, or provide and describe other identifying number

8-53412 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button checked Yes Radio button not checked No
Shareholder servicing agents Record: 711
i. Full name
Voya Institutional Plan Services, LLC 
ii. LEI, if any, or provide and describe other identifying number

N/A 

Description of other identifying number

N/A 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 712
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 713
i. Full name
UBS Financial Services Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-16267 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 714
i. Full name
Intercam Securities, Inc. 
ii. LEI, if any, or provide and describe other identifying number

8-67840 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 715
i. Full name
Crescent Securities Group 
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 716
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 717
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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
Shareholder servicing agents Record: 718
i. Full name
Roberts and Ryan Investments Incorporated 
ii. LEI, if any, or provide and describe other identifying number

8-37469 

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)? Radio button not checked Yes Radio button checked No
vi. Is the shareholder servicing agent a sub-shareholder servicing agent? Radio button not checked Yes Radio button checked No
b. Has a shareholder servicing agent been hired or terminated during the reporting period? Radio button checked Yes Radio button not checked No

Item C.14. Administrators.

a. Provide the following information about each administrator of the Fund:
Administrators Record: 1
i. Full name
JPMorgan Chase Bank, N.A. 
ii. LEI, if any, or other identifying number

7H6GLXDRUGQFU57RNE97 

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)? Radio button not checked Yes Radio button checked No
vi. Is the administrator a sub-administrator? Radio button checked Yes Radio button not checked No
Administrators Record: 2
i. Full name
BlackRock Advisors, LLC 
ii. LEI, if any, or other identifying number

5493001LN9MRM6A35J74 

Description of other identifying number

 

iii. State, if applicable
DELAWARE  
iv. Foreign country, if applicable
UNITED STATES OF AMERICA  
v. Is the administrator an affiliated person of the Fund or its investment adviser(s)? Radio button checked Yes Radio button not checked No
vi. Is the administrator a sub-administrator? Radio button not checked Yes Radio button checked No
b.Has a third-party administrator been hired or terminated during the reporting period? Radio button not checked Yes Radio button checked No

Item C.15. Affiliated broker-dealers.

Provide the following information about each affiliated broker-dealer:
Broker Dealers Record: 1
a. Full name
BlackRock Execution Services 
b. SEC file number

8-48719 

c. CRD number
000039438 
d. LEI, if any

549300HFCRQ0NT5KY652 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 

Broker Dealers Record: 2
a. Full name
BlackRock Investments, LLC 
b. SEC file number

8-48436 

c. CRD number
000038642 
d. LEI, if any

54930061FBHCKXL2G714 

e. State, if applicable
NEW YORK  
f. Foreign country, if applicable
UNITED STATES OF AMERICA  
g. Total commissions paid to the affiliated broker-dealer for the reporting period:

0.00000000 


Item C.16. Brokers.

Instructions to Item C.16 and Item C.17.
To help Registrants distinguish between agency and principal transactions, and to promote consistent reporting of the information required by these items, the following criteria should be used:
1. If a security is purchased or sold in a transaction for which the confirmation specifies the amount of the commission to be paid by the Registrant, the transaction should be considered an agency transaction and included in determining the answers to Item C.16.
2. If a security is purchased or sold in a transaction for which the confirmation specifies only the net amount to be paid or received by the Registrant and such net amount is equal to the market value of the security at the time of the transaction, the transaction should be considered a principal transaction and included in determining the amounts in Item C.17.
3. If a security is purchased by the Registrant in an underwritten offering, the acquisition should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the underwriters are receiving from the issuer.
4. If a security is sold by the Registrant in a tender offer, the sale should be considered a principal transaction and included in answering Item C.17 even though the Registrant has knowledge of the amount the offeror is paying to soliciting brokers or dealers.
5. If a security is purchased directly from the issuer (such as a bank CD), the purchase should be considered a principal transaction and included in answering Item C.17.
6. The value of called or maturing securities should not be counted in either agency or principal transactions and should not be included in determining the amounts shown in Item C.16 and Item C.17. This means that the acquisition of a security may be included, but it is possible that its disposition may not be included. Disposition of a repurchase agreement at its expiration date should not be included.
7. The purchase or sales of securities in transactions not described in paragraphs (1) through (6) above should be evaluated by the Fund based upon the guidelines established in those paragraphs and classified accordingly. The agents considered in Item C.16 may be persons or companies not registered under the Exchange Act as securities brokers. The persons or companies from whom the investment company purchased or to whom it sold portfolio instruments on a principal basis may be persons or entities not registered under the Exchange Act as securities dealers.
a. For each of the ten brokers that received the largest dollar amount of brokerage commissions (excluding dealer concessions in underwritings) by virtue of direct or indirect participation in the Fund’s portfolio transactions, provide the information below:
Brokers Record: 1
i. Full name of broker
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. Gross commissions paid by the Fund for the reporting period

84,714.90 

Brokers Record: 2
i. Full name of broker
Merrill Lynch, Pierce, Fenner & Smith Inc. 
ii. SEC file number

8-07221 

iii. CRD number
000007691 
iv. LEI, if any

8NAV47T0Y26Q87Y0QP81 

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

43,963.19 

Brokers Record: 3
i. Full name of broker
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

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. Gross commissions paid by the Fund for the reporting period

69,449.75 

Brokers Record: 4
i. Full name of broker
Jane Street Execution Services, LLC 
ii. SEC file number

8-69254 

iii. CRD number
000167280 
iv. LEI, if any

549300HXJLXCPDWAH070 

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

88,497.20 

Brokers Record: 5
i. Full name of broker
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

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

102,755.48 

Brokers Record: 6
i. Full name of broker
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. Gross commissions paid by the Fund for the reporting period

127,903.22 

Brokers Record: 7
i. Full name of broker
Mizuho Securities USA LLC 
ii. SEC file number

8-37710 

iii. CRD number
000019647 
iv. LEI, if any

7TK5RJIZDFROZCA6XF66 

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

14,257.57 

Brokers Record: 8
i. Full name of broker
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

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

17,211.89 

Brokers Record: 9
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

34,189.01 

Brokers Record: 10
i. Full name of broker
Cowen and Company 
ii. SEC file number

8-22522 

iii. CRD number
000007616 
iv. LEI, if any

549300WR155U7DVMIW58 

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

14,914.69 

b. Aggregate brokerage commissions paid by Fund during the reporting period:

627,056.24 


Item C.17. Principal transactions.

a. For each of the ten entities acting as principals with which the Fund did the largest dollar amount of principal transactions (include all short-term obligations, and U.S. government and tax-free securities) in both the secondary market and in underwritten offerings, provide the information below:
Principal Transactions Record: 1
i. Full name of dealer
Morgan Stanley & Co. LLC 
ii. SEC file number

8-15869 

iii. CRD number
000008209 
iv. LEI, if any

9R7GPTSO7KV3UQJZQ078 

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:

281,952,580.23 

Principal Transactions Record: 2
i. Full name of dealer
Citigroup Global Markets Inc. 
ii. SEC file number

8-08177 

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:

282,255,960.99 

Principal Transactions Record: 3
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:

305,955,631.35 

Principal Transactions Record: 4
i. Full name of dealer
Goldman Sachs & Co. LLC 
ii. SEC file number

8-00129 

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:

375,545,019.20 

Principal Transactions Record: 5
i. Full name of dealer
Jefferies LLC 
ii. SEC file number

8-15074 

iii. CRD number
000002347 
iv. LEI, if any

58PU97L1C0WSRCWADL48 

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:

109,388,181.84 

Principal Transactions Record: 6
i. Full name of dealer
BNP Paribas Securities Corp. 
ii. SEC file number

8-32682 

iii. CRD number
000015794 
iv. LEI, if any

RCNB6OTYUAMMP879YW96 

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:

917,789,575.38 

Principal Transactions Record: 7
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:

2,181,754,509.11 

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:

110,717,978.58 

Principal Transactions Record: 9
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:

584,717,026.88 

Principal Transactions Record: 10
i. Full name of dealer
Merrill Lynch, Pierce, Fenner & Smith Inc. 
ii. SEC file number

8-07221 

iii. CRD number
000007691 
iv. LEI, if any

8NAV47T0Y26Q87Y0QP81 

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:

99,179,088.37 

b. Aggregate value of principal purchase/sale transactions of Fund during the reporting period:

5,949,124,462.78 


Item C.18. Payments for brokerage and research.

During the reporting period, did the Fund pay commissions to broker-dealers for "brokerage and research services" within the meaning of section 28(e) of the Exchange Act (15 U.S.C. 78bb)? Radio button not checked Yes Radio button checked No

Item C.19. Average net assets.

a. Provide the Fund's (other than a money market fund's) monthly average net assets during the reporting period

1,224,736,263.03000000 

b. Provide the money market fund's daily average net assets during the reporting period

 


Item C.20. Lines of credit, interfund lending and interfund borrowing.

For open-end management investment companies, respond to the following:
a. Does the Fund have available a line of credit?Radio button checked Yes Radio button not checked No
If yes, for each line of credit, provide the information requested below:
Line of Credit details Record: 1
i. Is the line of credit a committed or uncommitted line of credit? Radio button checked Committed Radio button not checked Uncommitted
ii. What size is the line of credit?

1,750,000,000.00000000 

iii. With which institution(s) is the line of credit?
Line Institutions Record: 1
Name of institution
Royal Bank of Canada 
Line Institutions Record: 2
Name of institution
Bank of America, N.A. 
Line Institutions Record: 3
Name of institution
Deutsche Bank AG New York Branch 
Line Institutions Record: 4
Name of institution
The Toronto-Dominion Bank, New York Branch 
Line Institutions Record: 5
Name of institution
Barclays Bank PLC 
Line Institutions Record: 6
Name of institution
Standard Chartered Bank 
Line Institutions Record: 7
Name of institution
Credit Suisse AG, New York Branch 
Line Institutions Record: 8
Name of institution
Societe Generale 
Line Institutions Record: 9
Name of institution
Goldman Sachs Bank USA 
Line Institutions Record: 10
Name of institution
MUFG Bank, Ltd. 
Line Institutions Record: 11
Name of institution
Bank of Montreal 
Line Institutions Record: 12
Name of institution
Mizuho Bank, Ltd. 
Line Institutions Record: 13
Name of institution
BNP Paribas 
Line Institutions Record: 14
Name of institution
JPMorgan Chase Bank, N.A. 
Line Institutions Record: 15
Name of institution
Citibank, N.A. 
Line Institutions Record: 16
Name of institution
Wells Fargo Bank, N.A. 
Line Institutions Record: 17
Name of institution
Banco Bilbao Vizcaya Argentaria, S.A. New York Branch 
Line Institutions Record: 18
Name of institution
Morgan Stanley Bank, N.A. 
Line Institutions Record: 19
Name of institution
The Northern Trust Co. 
Line Institutions Record: 20
Name of institution
State Street Bank and Trust Co. 
Line Institutions Record: 21
Name of institution
The Bank of New York Mellon 
Line Institutions Record: 22
Name of institution
Brown Brothers Harriman & Co. 
iv. Is the line of credit just for the Fund, or is it shared among multiple funds? Radio button not checked Sole Radio button checked Shared
1. If shared, list the names of other funds that may use the line of credit.
Shared Credit Users Record: 1
Name of fund
Diversified Equity Master Portfolio 
SEC File number( e.g., 811- )
811-08162 
Shared Credit Users Record: 2
Name of fund
BlackRock Advantage Small Cap Core Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 3
Name of fund
BATS: Series M Portfolio 
SEC File number( e.g., 811- )
811-21457 
Shared Credit Users Record: 4
Name of fund
BlackRock Advantage Large Cap Core Fund 
SEC File number( e.g., 811- )
811-09637 
Shared Credit Users Record: 5
Name of fund
BlackRock Advantage SMID Cap V.I. Fund 
SEC File number( e.g., 811- )
811-03290 
Shared Credit Users Record: 6
Name of fund
BlackRock California Municipal Opportunities Fund 
SEC File number( e.g., 811- )
811-04264 
Shared Credit Users Record: 7
Name of fund
BlackRock China A Opportunities Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 8
Name of fund
BlackRock LifePath Dynamic 2025 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 9
Name of fund
BlackRock Emerging Markets ex-China Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 10
Name of fund
BlackRock AAA CLO ETF 
SEC File number( e.g., 811- )
811-23511 
Shared Credit Users Record: 11
Name of fund
BlackRock Defensive Advantage Emerging Markets Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 12
Name of fund
BlackRock U.S. Mortgage Portfolio 
SEC File number( e.g., 811- )
811-23340 
Shared Credit Users Record: 13
Name of fund
BlackRock Sustainable Balanced Portfolio 
SEC File number( e.g., 811- )
811-03091 
Shared Credit Users Record: 14
Name of fund
BlackRock Sustainable Emerging Markets Flexible Bond Fund 
SEC File number( e.g., 811- )
811-23339 
Shared Credit Users Record: 15
Name of fund
BlackRock LifePath ESG Index 2050 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 16
Name of fund
BlackRock Infrastructure Sustainable Opportunities Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 17
Name of fund
BlackRock LifePath ESG Index 2035 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 18
Name of fund
BlackRock 60/40 Target Allocation Fund 
SEC File number( e.g., 811- )
811-22061 
Shared Credit Users Record: 19
Name of fund
BlackRock Sustainable Advantage Large Cap Core Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 20
Name of fund
BlackRock 20/80 Target Allocation Fund 
SEC File number( e.g., 811- )
811-22061 
Shared Credit Users Record: 21
Name of fund
BlackRock Advantage Large Cap Value Fund 
SEC File number( e.g., 811- )
811-09637 
Shared Credit Users Record: 22
Name of fund
BlackRock GNMA Portfolio 
SEC File number( e.g., 811- )
811-23339 
Shared Credit Users Record: 23
Name of fund
BlackRock Large Cap Focus Value Fund, Inc. 
SEC File number( e.g., 811- )
811-02739 
Shared Credit Users Record: 24
Name of fund
iShares Russell Mid-Cap Index Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 25
Name of fund
BlackRock High Yield V.I. Fund 
SEC File number( e.g., 811- )
811-23346 
Shared Credit Users Record: 26
Name of fund
BlackRock EuroFund 
SEC File number( e.g., 811- )
811-04612 
Shared Credit Users Record: 27
Name of fund
BlackRock High Equity Income Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 28
Name of fund
BlackRock Health Sciences Opportunities Portfolio 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 29
Name of fund
Large Cap Index Master Portfolio 
SEC File number( e.g., 811- )
811-08162 
Shared Credit Users Record: 30
Name of fund
BlackRock LifePath Dynamic 2040 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 31
Name of fund
BlackRock Total Return V.I. Fund 
SEC File number( e.g., 811- )
811-23346 
Shared Credit Users Record: 32
Name of fund
BlackRock World ex U.S. Carbon Transition Readiness ETF 
SEC File number( e.g., 811- )
811-23402 
Shared Credit Users Record: 33
Name of fund
BlackRock Managed Income Fund 
SEC File number( e.g., 811- )
811-22061 
Shared Credit Users Record: 34
Name of fund
BlackRock Sustainable Advantage CoreAlpha Bond Fund 
SEC File number( e.g., 811- )
811-23341 
Shared Credit Users Record: 35
Name of fund
BlackRock Multi-Sector Opportunities Trust 
SEC File number( e.g., 811- )
811-23285 
Shared Credit Users Record: 36
Name of fund
BlackRock Emerging Markets Fund, Inc. 
SEC File number( e.g., 811- )
811-05723 
Shared Credit Users Record: 37
Name of fund
BlackRock Future Tech ETF 
SEC File number( e.g., 811- )
811-23402 
Shared Credit Users Record: 38
Name of fund
BlackRock LifePath Index 2055 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 39
Name of fund
BlackRock Tactical Opportunities Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 40
Name of fund
BlackRock Advantage Large Cap Value V.I. Fund 
SEC File number( e.g., 811- )
811-03290 
Shared Credit Users Record: 41
Name of fund
BlackRock 40/60 Target Allocation Fund 
SEC File number( e.g., 811- )
811-22061 
Shared Credit Users Record: 42
Name of fund
BlackRock Retirement Income 2040 Fund 
SEC File number( e.g., 811- )
811-22061 
Shared Credit Users Record: 43
Name of fund
BlackRock Global Equity Absolute Return Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 44
Name of fund
BlackRock Advantage Large Cap Growth Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 45
Name of fund
BlackRock LifePath ESG Index 2065 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 46
Name of fund
BlackRock LifePath Dynamic 2060 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 47
Name of fund
BlackRock LifePath ESG Index 2025 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 48
Name of fund
BlackRock Core Bond Portfolio 
SEC File number( e.g., 811- )
811-23339 
Shared Credit Users Record: 49
Name of fund
BlackRock Commodity Strategies Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 50
Name of fund
BlackRock Future Financial and Technology ETF 
SEC File number( e.g., 811- )
811-23402 
Shared Credit Users Record: 51
Name of fund
BlackRock Energy Opportunities Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 52
Name of fund
BlackRock GA Disciplined Volatility Equity Fund 
SEC File number( e.g., 811- )
811-21763 
Shared Credit Users Record: 53
Name of fund
BlackRock LifePath Dynamic 2045 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 54
Name of fund
BlackRock Global Allocation Portfolio 
SEC File number( e.g., 811- )
811-03091 
Shared Credit Users Record: 55
Name of fund
BlackRock Dynamic High Income Portfolio 
SEC File number( e.g., 811- )
811-22061 
Shared Credit Users Record: 56
Name of fund
BlackRock Sustainable Low Duration Bond Fund 
SEC File number( e.g., 811- )
811-23339 
Shared Credit Users Record: 57
Name of fund
BlackRock 80/20 Target Allocation Fund 
SEC File number( e.g., 811- )
811-22061 
Shared Credit Users Record: 58
Name of fund
BlackRock LifePath Index 2050 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 59
Name of fund
BlackRock Event Driven Equity Fund 
SEC File number( e.g., 811- )
811-09637 
Shared Credit Users Record: 60
Name of fund
BlackRock National Municipal Fund 
SEC File number( e.g., 811- )
811-02688 
Shared Credit Users Record: 61
Name of fund
BlackRock LifePath Index Retirement Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 62
Name of fund
iShares U.S. Long Credit Bond Index Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 63
Name of fund
BlackRock International V.I. Fund 
SEC File number( e.g., 811- )
811-03290 
Shared Credit Users Record: 64
Name of fund
BlackRock LifePath Index 2060 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 65
Name of fund
BlackRock Unconstrained Equity Fund 
SEC File number( e.g., 811- )
811-21759 
Shared Credit Users Record: 66
Name of fund
BlackRock LifePath ESG Index Retirement Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 67
Name of fund
iShares U.S. Securitized Bond Index Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 68
Name of fund
BlackRock Retirement Income 2030 Fund 
SEC File number( e.g., 811- )
811-22061 
Shared Credit Users Record: 69
Name of fund
BlackRock Exchange Portfolio 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 70
Name of fund
BlackRock New Jersey Municipal Bond Fund 
SEC File number( e.g., 811- )
811-04375 
Shared Credit Users Record: 71
Name of fund
iShares U.S. Intermediate Credit Bond Index Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 72
Name of fund
BlackRock GA Dynamic Equity Fund 
SEC File number( e.g., 811- )
811-21763 
Shared Credit Users Record: 73
Name of fund
BATS: Series A Portfolio 
SEC File number( e.g., 811- )
811-21457 
Shared Credit Users Record: 74
Name of fund
BlackRock LifePath ESG Index 2030 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 75
Name of fund
BlackRock International Fund 
SEC File number( e.g., 811- )
811-08797 
Shared Credit Users Record: 76
Name of fund
BlackRock Sustainable Advantage Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 77
Name of fund
BlackRock U.S. Equity Factor Rotation ETF 
SEC File number( e.g., 811- )
811-23402 
Shared Credit Users Record: 78
Name of fund
International Tilts Master Portfolio 
SEC File number( e.g., 811- )
811-08162 
Shared Credit Users Record: 79
Name of fund
BlackRock Small Cap Index V.I. Fund 
SEC File number( e.g., 811- )
811-03290 
Shared Credit Users Record: 80
Name of fund
BlackRock Diversified Fixed Income Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 81
Name of fund
iShares MSCI EAFE International Index Fund 
SEC File number( e.g., 811- )
811-07899 
Shared Credit Users Record: 82
Name of fund
BlackRock Advantage Large Cap Core V.I. Fund 
SEC File number( e.g., 811- )
811-03290 
Shared Credit Users Record: 83
Name of fund
BlackRock Capital Appreciation Portfolio 
SEC File number( e.g., 811- )
811-03091 
Shared Credit Users Record: 84
Name of fund
BlackRock Short Obligations Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 85
Name of fund
BlackRock Future U.S. Themes ETF 
SEC File number( e.g., 811- )
811-23402 
Shared Credit Users Record: 86
Name of fund
BlackRock New York Municipal Opportunities Fund 
SEC File number( e.g., 811- )
811-04375 
Shared Credit Users Record: 87
Name of fund
iShares Short-Term TIPS Bond Index Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 88
Name of fund
BlackRock Real Estate Securities Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 89
Name of fund
BlackRock LifePath ESG Index 2045 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 90
Name of fund
BlackRock Large Cap Focus Growth V.I. Fund 
SEC File number( e.g., 811- )
811-03290 
Shared Credit Users Record: 91
Name of fund
BlackRock International Index V.I. Fund 
SEC File number( e.g., 811- )
811-03290 
Shared Credit Users Record: 92
Name of fund
BlackRock High Yield Muni Income Bond ETF 
SEC File number( e.g., 811- )
811-23511 
Shared Credit Users Record: 93
Name of fund
U.S. Total Bond Index Master Portfolio 
SEC File number( e.g., 811- )
811-08162 
Shared Credit Users Record: 94
Name of fund
BlackRock LifePath Index 2065 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 95
Name of fund
BlackRock Natural Resources Trust 
SEC File number( e.g., 811- )
811-04282 
Shared Credit Users Record: 96
Name of fund
BlackRock LifePath Dynamic 2065 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 97
Name of fund
BlackRock LifePath Dynamic 2030 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 98
Name of fund
BlackRock Capital Appreciation V.I. Fund 
SEC File number( e.g., 811- )
811-03290 
Shared Credit Users Record: 99
Name of fund
BlackRock LifePath Dynamic 2055 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 100
Name of fund
BlackRock Multi-Sector Opportunities Trust II 
SEC File number( e.g., 811- )
811-23357 
Shared Credit Users Record: 101
Name of fund
BlackRock Floating Rate Loan ETF 
SEC File number( e.g., 811- )
811-23511 
Shared Credit Users Record: 102
Name of fund
BlackRock Sustainable U.S. Value Equity Fund 
SEC File number( e.g., 811- )
811-02661 
Shared Credit Users Record: 103
Name of fund
BlackRock Inflation Protected Bond Portfolio 
SEC File number( e.g., 811- )
811-23339 
Shared Credit Users Record: 104
Name of fund
BlackRock U.S. Impact Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 105
Name of fund
BlackRock Pennsylvania Municipal Bond Fund 
SEC File number( e.g., 811- )
811-04375 
Shared Credit Users Record: 106
Name of fund
BlackRock Advantage Global Fund, Inc. 
SEC File number( e.g., 811- )
811-07171 
Shared Credit Users Record: 107
Name of fund
S&P 500 Index Master Portfolio 
SEC File number( e.g., 811- )
811-08162 
Shared Credit Users Record: 108
Name of fund
Master Small Cap Index Series 
SEC File number( e.g., 811- )
811-07885 
Shared Credit Users Record: 109
Name of fund
BlackRock Equity Dividend V.I. Fund 
SEC File number( e.g., 811- )
811-03290 
Shared Credit Users Record: 110
Name of fund
BlackRock Global Allocation Fund, Inc. 
SEC File number( e.g., 811- )
811-05576 
Shared Credit Users Record: 111
Name of fund
BlackRock Basic Value V.I. Fund 
SEC File number( e.g., 811- )
811-03290 
Shared Credit Users Record: 112
Name of fund
BlackRock Income Fund 
SEC File number( e.g., 811- )
811-23339 
Shared Credit Users Record: 113
Name of fund
BlackRock LifePath Index 2040 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 114
Name of fund
BlackRock Defensive Advantage U.S. Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 115
Name of fund
BlackRock Floating Rate Income Portfolio 
SEC File number( e.g., 811- )
811-23339 
Shared Credit Users Record: 116
Name of fund
BlackRock U.S. Carbon Transition Readiness ETF 
SEC File number( e.g., 811- )
811-23402 
Shared Credit Users Record: 117
Name of fund
BlackRock Sustainable Emerging Markets Equity Fund 
SEC File number( e.g., 811- )
811-02661 
Shared Credit Users Record: 118
Name of fund
iShares Total U.S. Stock Market Index Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 119
Name of fund
BlackRock Short-Term Municipal Fund 
SEC File number( e.g., 811- )
811-02688 
Shared Credit Users Record: 120
Name of fund
BlackRock High Yield Municipal Fund 
SEC File number( e.g., 811- )
811-02688 
Shared Credit Users Record: 121
Name of fund
Advantage CoreAlpha Bond Master Portfolio 
SEC File number( e.g., 811- )
811-23343 
Shared Credit Users Record: 122
Name of fund
BlackRock Strategic Municipal Opportunities Fund 
SEC File number( e.g., 811- )
811-04802 
Shared Credit Users Record: 123
Name of fund
BlackRock LifePath ESG Index 2060 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 124
Name of fund
BlackRock LifePath Index 2045 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 125
Name of fund
BlackRock LifePath Index 2030 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 126
Name of fund
BlackRock Intermediate Muni Income Bond ETF 
SEC File number( e.g., 811- )
811-23511 
Shared Credit Users Record: 127
Name of fund
BlackRock Sustainable International Equity Fund 
SEC File number( e.g., 811- )
811-02661 
Shared Credit Users Record: 128
Name of fund
BlackRock LifePath Dynamic Retirement Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 129
Name of fund
BlackRock Advantage Small Cap Growth Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 130
Name of fund
BlackRock SMID-Cap Growth Equity Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 131
Name of fund
BlackRock LifePath Dynamic 2050 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 132
Name of fund
BlackRock Total Factor Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 133
Name of fund
BlackRock High Yield Bond Portfolio 
SEC File number( e.g., 811- )
811-23339 
Shared Credit Users Record: 134
Name of fund
BlackRock Impact Municipal Fund 
SEC File number( e.g., 811- )
811-02688 
Shared Credit Users Record: 135
Name of fund
BlackRock Advantage Emerging Markets Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 136
Name of fund
BlackRock Sustainable Balanced Fund, Inc. 
SEC File number( e.g., 811- )
811-02405 
Shared Credit Users Record: 137
Name of fund
BlackRock Managed Volatility V.I. Fund 
SEC File number( e.g., 811- )
811-03290 
Shared Credit Users Record: 138
Name of fund
BlackRock Sustainable Total Return Fund 
SEC File number( e.g., 811- )
811-02857 
Shared Credit Users Record: 139
Name of fund
BlackRock Advantage Large Cap Core Portfolio 
SEC File number( e.g., 811- )
811-03091 
Shared Credit Users Record: 140
Name of fund
BlackRock Sustainable U.S. Growth Equity Fund 
SEC File number( e.g., 811- )
811-02661 
Shared Credit Users Record: 141
Name of fund
BlackRock 60/40 Target Allocation ETF V.I. Fund 
SEC File number( e.g., 811- )
811-03290 
Shared Credit Users Record: 142
Name of fund
BlackRock Future Climate and Sustainable Economy ETF 
SEC File number( e.g., 811- )
811-23402 
Shared Credit Users Record: 143
Name of fund
BlackRock Strategic Income Opportunities Portfolio 
SEC File number( e.g., 811- )
811-23339 
Shared Credit Users Record: 144
Name of fund
BATS: Series V Portfolio 
SEC File number( e.g., 811- )
811-21457 
Shared Credit Users Record: 145
Name of fund
iShares Municipal Bond Index Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 146
Name of fund
BlackRock Global Equity Market Neutral Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 147
Name of fund
BlackRock Systematic Multi-Strategy Fund 
SEC File number( e.g., 811- )
811-23341 
Shared Credit Users Record: 148
Name of fund
BlackRock LifePath ESG Index 2040 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 149
Name of fund
BlackRock Sustainable Advantage International Equity Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 150
Name of fund
BlackRock LifePath ESG Index 2055 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 151
Name of fund
BlackRock Mid-Cap Growth Equity Portfolio 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 152
Name of fund
BlackRock Large Cap Focus Growth Fund, Inc. 
SEC File number( e.g., 811- )
811-09651 
Shared Credit Users Record: 153
Name of fund
BlackRock Capital Appreciation Fund, Inc. 
SEC File number( e.g., 811- )
811-06669 
Shared Credit Users Record: 154
Name of fund
iShares Russell Small/Mid-Cap Index Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 155
Name of fund
BlackRock Sustainable High Yield Bond Fund 
SEC File number( e.g., 811- )
811-23339 
Shared Credit Users Record: 156
Name of fund
BlackRock Technology Opportunities Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 157
Name of fund
iShares U.S. Intermediate Government Bond Index Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 158
Name of fund
BlackRock Multi-Asset Income Portfolio 
SEC File number( e.g., 811- )
811-22061 
Shared Credit Users Record: 159
Name of fund
BATS: Series P Portfolio 
SEC File number( e.g., 811- )
811-21457 
Shared Credit Users Record: 160
Name of fund
BlackRock International Dividend Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 161
Name of fund
BlackRock Advantage SMID Cap Fund, Inc. 
SEC File number( e.g., 811- )
811-02809 
Shared Credit Users Record: 162
Name of fund
iShares U.S. Long Government Bond Index Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 163
Name of fund
BlackRock Defensive Advantage International Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 164
Name of fund
BlackRock Low Duration Bond Portfolio 
SEC File number( e.g., 811- )
811-23339 
Shared Credit Users Record: 165
Name of fund
BlackRock Impact Mortgage Fund 
SEC File number( e.g., 811- )
811-23339 
Shared Credit Users Record: 166
Name of fund
BATS: Series C Portfolio 
SEC File number( e.g., 811- )
811-21457 
Shared Credit Users Record: 167
Name of fund
BlackRock LifePath Index 2035 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 168
Name of fund
BlackRock Global Dividend Portfolio 
SEC File number( e.g., 811- )
811-22061 
Shared Credit Users Record: 169
Name of fund
BlackRock LifePath Dynamic 2035 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 170
Name of fund
BATS: Series E Portfolio 
SEC File number( e.g., 811- )
811-21457 
Shared Credit Users Record: 171
Name of fund
BlackRock Future Innovators ETF 
SEC File number( e.g., 811- )
811-23402 
Shared Credit Users Record: 172
Name of fund
BlackRock Advantage International Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 173
Name of fund
BlackRock High Yield Portfolio 
SEC File number( e.g., 811- )
811-23345 
Shared Credit Users Record: 174
Name of fund
BlackRock S&P 500 Index V.I. Fund 
SEC File number( e.g., 811- )
811-03290 
Shared Credit Users Record: 175
Name of fund
iShares Developed Real Estate Index Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 176
Name of fund
Master Total Return Portfolio 
SEC File number( e.g., 811- )
811-21434 
Shared Credit Users Record: 177
Name of fund
BlackRock Equity Dividend Fund 
SEC File number( e.g., 811- )
811-05178 
Shared Credit Users Record: 178
Name of fund
BlackRock LifePath Index 2025 Fund 
SEC File number( e.g., 811- )
811-07332 
Shared Credit Users Record: 179
Name of fund
BlackRock Strategic Global Bond Fund, Inc. 
SEC File number( e.g., 811- )
811-05603 
Shared Credit Users Record: 180
Name of fund
BlackRock Mid-Cap Value Fund 
SEC File number( e.g., 811- )
811-07177 
Shared Credit Users Record: 181
Name of fund
BlackRock Sustainable Emerging Markets Bond Fund 
SEC File number( e.g., 811- )
811-23339 
Shared Credit Users Record: 182
Name of fund
BATS: Series S Portfolio 
SEC File number( e.g., 811- )
811-21457 
Shared Credit Users Record: 183
Name of fund
Total International Ex U.S. Index Master Portfolio 
SEC File number( e.g., 811- )
811-08162 
Shared Credit Users Record: 184
Name of fund
BlackRock Global Impact Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 185
Name of fund
BlackRock International Impact Fund 
SEC File number( e.g., 811- )
811-05742 
Shared Credit Users Record: 186
Name of fund
BlackRock Future Health ETF 
SEC File number( e.g., 811- )
811-23402 
Shared Credit Users Record: 187
Name of fund
BlackRock Global Allocation V.I. Fund 
SEC File number( e.g., 811- )
811-03290 
v. Did the Fund draw on the line of credit this period?Radio button not checked Yes Radio button checked No


b. Did the Fund engage in interfund lending? Radio button not checked Yes Radio button checked No

c.Did the Fund engage in interfund borrowing? Radio button not checked Yes Radio button checked No

Item C.21. Swing pricing.

For open-end management investment companies, respond to the following:
a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing? Radio button not checked Yes Radio button checked No

N-CEN/A:Part G: Attachments

Item G.1a. Attachments.

Attachments applicable to all Registrants. All Registrants shall file the following attachments, as applicable, with the current report. Indicate the attachments filed with the current report by checking the applicable items below: Checkbox not checked   i. Legal proceedings  
Checkbox not checked  ii. Provision of financial support  
Checkbox checked  iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only)  
Checkbox not checked  iv. Change in accounting principles and practices  
Checkbox not checked  v. Information required to be filed pursuant to exemptive orders  
Checkbox not checked  vi. Other information required to be included as an attachment pursuant to Commission rules and regulations 

Instructions.

1. Item G.1.a.i. Legal proceedings.

(a) If the Registrant responded "YES" to Item B.11.a., provide a brief description of the proceedings. As part of the description, provide the case or docket number (if any), and the full names of the principal parties to the proceeding.
(b) If the Registrant responded "YES" to Item B.11.b., identify the proceeding and give its date of termination.

2. Item G.1.a.ii. Provision of financial support. If the Registrant responded "YES" to Item B.14., provide the following information (unless the Registrant is a Money Market Fund): (a) Description of nature of support.

(b) Person providing support.

(c) Brief description of relationship between the person providing support and the Registrant.

(d) Date support provided.

(e) Amount of support.

(f) Security supported (if applicable). Disclose the full name of the issuer, the title of the issue (including coupon or yield, if applicable) and at least two identifiers, if available (e.g., CIK, CUSIP, ISIN, LEI).
(g) Value of security supported on date support was initiated (if applicable).

(h) Brief description of reason for support.

(i) Term of support.

(j) Brief description of any contractual restrictions relating to support.

3. Item G.1.a.iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only). Each management investment company shall furnish a report of its independent public accountant on the company's system of internal accounting controls. The accountant's report shall be based on the review, study and evaluation of the accounting system, internal accounting controls, and procedures for safeguarding securities made during the audit of the financial statements for the reporting period. The report should disclose any material weaknesses in: (a) the accounting system; (b) system of internal accounting control; or (c) procedures for safeguarding securities which exist as of the end of the Registrant's fiscal year.

The accountant's report shall be furnished as an exhibit to the form and shall: (1) be addressed to the Registrant's shareholders and board of directors; (2) be dated; (3) be signed manually; and (4) indicate the city and state where issued.

Attachments that include a report that discloses a material weakness should include an indication by the Registrant of any corrective action taken or proposed.

The fact that an accountant's report is attached to this form shall not be regarded as acknowledging any review of this form by the independent public accountant.

4. Item G.1.a.iv. Change in accounting principles and practices. If the Registrant responded "YES" to Item B.21, provide an attachment that describes the change in accounting principles or practices, or the change in the method of applying any such accounting principles or practices. State the date of the change and the reasons therefor. A letter from the Registrant's independent accountants, approving or otherwise commenting on the change, shall accompany the description.

5. Item G.1.a.v. Information required to be filed pursuant to exemptive orders. File as an attachment any information required to be reported on Form N-CEN or any predecessor form to Form N-CEN (e.g., Form N-SAR) pursuant to exemptive orders issued by the Commission and relied on by the Registrant.

6. Item G.1.a.vi. Other information required to be included as an attachment pursuant to Commission rules and regulations. File as an attachment any other information required to be included as an attachment pursuant to Commission rules and regulations.

N-CEN/A: Signature

Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Registrant
BlackRock Funds IV 
Date
7/31/23 
Signature
Chuck Pulsfort 
Title
Assistant Treasurer 

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