As Of	Filer	Filing¹	For·On·As	Docs:Size	Issuer		Filing Agent

 11/1/16  Cboe BZX Exchange, Inc.           19B-4E      11/1/16    1:2K                                     SEC #7                   
 11/1/16  Cboe BYX Exchange, Inc.           19B-4E      11/1/16    1:2K                                     SEC #7                   
 11/1/16  Cboe EDGA Exchange, Inc.          19B-4E      11/1/16    1:2K                                     SEC #7                   
 11/1/16  Cboe EDGX Exchange, Inc.          19B-4E      11/1/16    1:2K                                     SEC #7                   
 11/1/16  Investors Exchange LLC            19B-4E      11/1/16    1:2K                                     SEC #7                   
 11/1/16‡ Aethlon Medical Inc.              EFFECT      11/1/16    1:2K                                     SEC #5                   
 11/1/16  AECOM                             NO ACT     10/18/16    1:2K                                     SEC #7                   
 11/1/16  Citibank, N.A./ADR                F-6EF       11/1/16    5:950K GDF Suez                          E-Data Systems, Inc./FA  
 11/1/16  Waite Carol Farmer                DEFC14A     11/1/16    1:289K Farmer Brothers Co.               Olshan Frome Wolosky LLP 
 11/1/16‡ FT 6371                           EFFECT      11/1/16    1:2K                                     SEC #5                   
 11/1/16‡ W&T Offshore Inc.                 EFFECT      11/1/16    1:2K                                     SEC #5                   
 11/1/16‡ GDS Holdings Ltd.                 EFFECT      11/1/16    1:2K                                     SEC #5                   
 11/1/16‡ Great Panther Mining Ltd.         EFFECT      11/1/16    1:2K                                     SEC #5                   
 11/1/16‡ Applied Optoelectronics, Inc.     EFFECT      11/1/16    1:2K                                     SEC #5                   
 11/1/16‡ GDS Holdings Ltd.                 EFFECT      11/1/16    1:2K                                     SEC #5                   
 11/1/16‡ Iovance Biotherapeutics, Inc.     EFFECT      11/1/16    1:2K                                     SEC #5                   
 11/1/16‡ CommunityOne Bancorp              EFFECT      11/1/16    1:2K                                     SEC #5                   
 11/1/16‡ FT 6304                           EFFECT      11/1/16    1:2K                                     SEC #5                   
 11/1/16‡ Invesco Unit Trusts Series 1712   EFFECT      11/1/16    1:2K                                     SEC #5                   
 11/1/16‡ Series Portfolios Trust           EFFECT      11/1/16    1:3K                                     SEC #5                   
          → Highmore Managed Volatility Fund

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‡	A non-Insider-Ownership Filing that was accepted after the SEC “closed” at 5:30:00pm ET.  The legal “Filed As Of” date may be the next, or another, day.
¹	Filing/Form Types:
	19B-4E	Info from a Self-Regulatory Organization (SRO) Listing and Trading a New Derivative Securities Product — Form 19b-4(e).
	DEFC14A	Definitive Proxy Statement – Contested Solicitation — Schedule 14A.
	EFFECT	SEC Notice of Effectiveness.
	F-6EF	Registration Statement – Depositary Shares Evidenced by American Depositary Receipts (ADRs) (Immediately Effective) — Form F-6.
	NO ACT	SEC No-Action Letter re: a Shareholder Proposal.
→	Fund / Series:  Fund or Series of this Filer with a Class or Contract that this Filing pertains to.