SEC Info℠  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Trust for Professional Managers – ‘N-Q’ for 8/31/14

On:  Wednesday, 10/29/14, at 3:59pm ET   ·   Effective:  10/29/14   ·   For:  8/31/14   ·   Accession #:  894189-14-5210   ·   File #:  811-10401

Previous ‘N-Q’:  ‘N-Q’ on 10/29/14 for 8/31/14   ·   Next:  ‘N-Q/A’ on 12/12/14 for 5/31/14   ·   Latest:  ‘N-Q’ on 4/29/20 for 2/29/20

Find Words in Filings emoji
 		  in    Show  and   ↓Hints

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

10/29/14  Trust for Professional Managers   N-Q         8/31/14    2:1.0M                                   US Bancorp Fund Svcs LLC
          → M.D. Sass Equity Income Plus Fund ⇒ M.D. Sass Equity Income Plus Fund – Institutional Class (MDEIX) — M.D. Sass Equity Income Plus Fund – Investor Class (MDEPX)
          → M.D. Sass Short Term U.S. Government Agency Income Fund ⇒ 2 Classes/Contracts

Quarterly Schedule of Portfolio Holdings of a Management Investment Company   —   Form N-Q
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: N-Q         Quarterly Notice of Portfolio Holdings              HTML    487K 
 2: EX-99.CERT  Officer Certifications                              HTML     22K

N-Q   —   Quarterly Notice of Portfolio Holdings

This is an HTML Document rendered as filed.  [ Alternative Formats ]

 C:   C:   C: 
 



UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549


 
FORM N-Q
 
 
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY
 




Investment Company Act file number 811-10401



Trust for Professional Managers
(Exact name of registrant as specified in charter)



615 East Michigan Street
Milwaukee, WI 53202
(Address of principal executive offices) (Zip code)



Rachel A. Spearo
U.S. Bancorp Fund Services, LLC
615 East Michigan Street
Milwaukee, WI 53202
(Name and address of agent for service)



(414) 765-5384
Registrant's telephone number, including area code



Date of fiscal year end: May 31, 2015



Date of reporting period:  August 31, 2014

 
 
 
 
 
Item 1. Schedule of Investments.
 
 
M.D. Sass 1-3 Year Duration U.S. Agency Bond Fund
        
Schedule of Investments
        
August 31, 2014 (Unaudited)
        
             
   
Principal
        
   
Amount
    
Value
  
Mortgage Backed Securities - 80.09%
            
Fannie Mae- Aces
            
2014-M5, 0.521%,  01/25/2017 (a)
   $ 1,824,853     $ 1,828,809  
2014-M6, 0.459%,  12/25/2017 (a)
     2,944,011       2,951,228  
2012-M9, 4.227%,  12/25/2017 (a)(c)
     12,961,032       1,395,591  
2014-M8, 0.402%,  05/25/2018 (a)
     2,997,542       3,001,820  
Fannie Mae Pool
                
735794, 7.000%,  06/01/2017
     12,156       12,595  
545825, 6.000%,  07/01/2017
     13,135       13,733  
254443, 6.000%,  09/01/2017
     38,257       40,211  
670372, 6.000%,  09/01/2017
     65,780       68,717  
254473, 5.500%,  10/01/2017
     172,750       183,216  
755513, 4.000%,  11/01/2018
     40,983       43,423  
555872, 5.000%,  11/01/2018
     27,712       29,284  
889972, 7.000%,  11/01/2018
     1,641       1,707  
745498, 7.000%,  11/01/2018
     6,309       6,564  
725098, 5.500%,  12/01/2018
     173,799       184,328  
255208, 4.000%,  04/01/2019
     393,696       417,318  
725352, 4.500%,  04/01/2019
     610,393       646,921  
255176, 4.500%,  04/01/2019
     57,287       60,675  
761402, 4.500%,  05/01/2019
     793,156       845,924  
725527, 5.500%,  05/01/2019
     46,455       49,270  
255273, 4.500%,  06/01/2019
     37,080       39,283  
725792, 4.500%,  08/01/2019
     85,301       90,408  
725707, 5.000%,  08/01/2019
     300,579       321,212  
725993, 6.000%,  09/01/2019
     92,826       97,311  
735990, 4.500%,  11/01/2019
     182,125       193,056  
357695, 4.500%,  01/01/2020
     183,388       195,235  
255547, 4.500%,  01/01/2020
     287,956       305,070  
995182, 5.500%,  06/01/2020
     58,251       61,780  
MA0459, 4.000%,  07/01/2020
     821,507       870,127  
AB1233, 4.000%,  07/01/2020
     683,252       723,842  
745440, 4.500%,  07/01/2020
     41,955       44,470  
MA0521, 3.500%,  09/01/2020
     418,557       442,803  
735920, 4.500%,  10/01/2020
     1,133,797       1,207,559  
995158, 4.500%,  12/01/2020
     547,176       582,732  
995287, 6.500%,  02/01/2021
     71,278       74,570  
MA0688, 4.000%,  03/01/2021
     1,077,232       1,141,263  
745453, 5.500%,  03/01/2021
     195,329       212,600  
MA0704, 4.000%,  04/01/2021
     555,460       588,378  
MA0793, 3.500%,  07/01/2021
     2,264,719       2,396,263  
890330, 5.000%,  10/01/2021
     43,928       46,921  
888136, 6.000%,  12/01/2021
     278,860       305,459  
AE0595, 4.500%,  03/01/2022
     807,974       856,509  
889143, 4.500%,  05/01/2022
     84,344       89,841  
MA1099, 3.500%,  06/01/2022
     784,371       830,595  
890156, 5.000%,  05/01/2023
     49,725       53,680  
254762, 5.000%,  05/01/2023
     250,322       275,951  
254797, 5.000%,  06/01/2023
     237,734       262,075  
254799, 5.000%,  07/01/2023
     395,556       436,055  
254954, 4.500%,  10/01/2023
     439,179       474,594  
254911, 5.000%,  10/01/2023
     330,952       364,837  
254963, 5.500%,  10/01/2023
     41,361       45,952  
995874, 5.500%,  11/01/2023
     19,457       21,182  
725152, 5.500%,  02/01/2024
     144,437       161,966  
255160, 5.500%,  03/01/2024
     293,788       327,448  
255226, 5.000%,  05/01/2024
     145,378       160,263  
255456, 5.500%,  10/01/2024
     215,529       239,976  
255667, 5.000%,  03/01/2025
     257,769       284,161  
AD3081, 4.000%,  04/01/2025
     318,099       340,286  
890216, 4.500%,  07/01/2025
     178,182       190,470  
735734, 5.500%,  07/01/2025
     111,211       123,940  
 TBA, 3.500%,  09/15/2025
     4,125,000       4,359,610  
255984, 4.500%,  11/01/2025
     29,181       31,534  
256045, 5.000%,  12/01/2025
     142,865       157,492  
256247, 6.000%,  05/01/2026
     32,946       37,385  
256272, 5.500%,  06/01/2026
     1,135       1,268  
48081, 4.630%,  12/01/2026 (a)
     21,341       21,680  
888281, 6.000%,  04/01/2027
     181,114       204,673  
47935, 4.781%,  05/01/2027 (a)
     4,134       4,329  
252284, 6.500%,  01/01/2029
     187,343       216,630  
323591, 6.500%,  03/01/2029
     52,592       60,511  
676661, 5.500%,  01/01/2033
     119,207       133,783  
 
 
 
 
 
 
555326, 5.500%,  04/01/2033
     409,696       463,419  
555424, 5.500%,  05/01/2033
     358,289       402,705  
555531, 5.500%,  06/01/2033
     280,550       315,129  
555592, 5.500%,  07/01/2033
     115,603       129,860  
725205, 5.000%,  03/01/2034
     689,628       762,328  
745096, 5.500%,  11/01/2034
     205,670       231,084  
995801, 5.500%,  12/01/2034
     33,404       37,585  
735989, 5.500%,  02/01/2035
     146,701       164,782  
888073, 5.500%,  02/01/2035
     85,325       95,845  
735715, 5.500%,  05/01/2035
     348,070       391,398  
889929, 5.500%,  08/01/2037
     197,797       222,240  
Fannie Mae REMICS
                
2002-7, 5.500%,  03/25/2017
     154,383       161,009  
2002-7, 6.000%,  03/25/2017
     34,538       35,775  
2002-11, 5.500%,  03/25/2017
     16,375       16,824  
2002-19, 6.000%,  04/25/2017
     5,990       6,214  
2002-57, 5.500%,  09/25/2017
     101,722       106,336  
2002-59B, 5.500%,  09/25/2017
     388,499       407,912  
2002-55-QE, 5.500%,  09/25/2017
     136,577       142,968  
2002-55-GC, 5.500%,  09/25/2017
     25,068       26,264  
2002-58, 5.500%,  09/25/2017
     45,022       47,085  
2002-61, 5.500%,  10/25/2017
     37,513       39,510  
2002-74, 5.000%,  11/25/2017
     90,915       95,417  
2002-72, 5.500%,  11/25/2017
     61,164       64,485  
2002-62, 5.500%,  11/25/2017
     132,201       139,302  
2003-27, 3.500%,  03/25/2018
     34,011       34,296  
2003-21, 5.000%,  03/25/2018
     78,611       82,759  
2003-81, 4.500%,  04/25/2018
     26,307       26,345  
2003-57, 3.500%,  06/25/2018
     85,794       88,974  
2003-57, 5.000%,  06/25/2018
     12,727       13,455  
2003-74, 3.750%,  08/25/2018
     39,729       41,355  
2003-81, 4.500%,  09/25/2018
     36,271       38,154  
2003-91, 4.500%,  09/25/2018
     187,796       197,280  
2003-108, 4.000%,  11/25/2018
     276,769       289,374  
2003-128, 4.000%,  01/25/2019
     299,779       313,071  
2004-3, 4.000%,  02/25/2019
     155,113       162,007  
2009-37, 4.000%,  04/25/2019
     15,897       16,592  
1999-15, 6.000%,  04/25/2019
     111,393       119,572  
2004-27, 4.000%,  05/25/2019
     128,682       136,043  
2009-70, 5.000%,  08/25/2019
     39,018       40,932  
2011-9, 5.000%,  04/25/2020
     395,336       422,701  
1990-73, 0.000%,  07/25/2020 (b)
     48,692       47,610  
2011-68, 4.500%,  12/25/2020
     399,426       423,226  
2008-24, 5.000%,  04/25/2023
     612,034       646,988  
2008-36, 4.500%,  05/25/2023
     239,619       256,541  
2003-80, 4.000%,  06/25/2023
     5,588       5,771  
2003-46, 4.000%,  06/25/2023
     9,167       9,288  
2003-55, 5.000%,  06/25/2023
     372,354       404,220  
2003-49, 5.500%,  06/25/2023
     42,500       44,074  
2008-62, 4.000%,  07/25/2023
     210,932       221,503  
2001-64, 6.000%,  11/25/2031
     315,742       356,637  
2010-39, 5.000%,  10/25/2032
     18,605       18,824  
2003-44, 0.905%,  06/25/2033 (a)
     325,009       330,632  
2005-27, 5.500%,  05/25/2034
     41,194       43,719  
2005-23, 5.000%,  04/25/2035
     45,453       48,707  
2005-62, 4.750%,  07/25/2035
     66,367       70,621  
2006-70, 0.000%,  06/25/2036 (b)
     374,539       350,607  
2007-33, 5.500%,  04/25/2037
     14,003       15,490  
2009-15, 4.500%,  10/25/2037
     6,693       6,798  
2008-53, 1.005%,  07/25/2038 (a)
     78,674       80,113  
2010-90, 4.000%,  04/25/2040
     403,930       421,731  
FHLMC Multifamily Structured Pass Through Certificates
                
K-002, 4.879%,  05/19/2017
     333,556       359,527  
K-706, 1.691%,  06/25/2018
     137,831       140,089  
K-F01, 0.505%,  04/25/2019 (a)
     731,161       732,836  
K-714, 0.885%,  10/25/2020 (a)(c)
     12,135,634       463,047  
K-023, 1.438%,  08/25/2022 (a)(c)
     4,954,531       412,185  
FHLMC-GNMA
                
G023, 0.605%,  11/25/2023 (a)
     282,185       284,833  
Freddie Mac Gold Pool
                
G1-1182, 6.500%,  10/01/2014
     -       -  
E0-1098, 6.000%,  02/01/2017
     27,581       28,760  
E0-1138, 6.500%,  03/01/2017
     22,189       23,193  
E0-1140, 6.000%,  05/01/2017
     34,083       35,659  
G1-1418, 6.500%,  07/01/2017
     83,774       87,641  
G1-1350, 6.000%,  10/01/2017
     69,825       72,764  
G1-1337, 5.500%,  11/01/2017
     304,588       323,287  
E0-1251, 5.500%,  11/01/2017
     484,934       514,703  
G1-2166, 6.500%,  01/01/2018
     8,129       8,407  
E0-1323, 4.500%,  03/01/2018
     81,851       86,374  
 
 
 
 
 
 
G1-1516, 6.000%,  03/01/2018
     38,560       40,149  
G1-1509, 6.000%,  03/01/2018
     59,228       61,923  
E0-1343, 5.000%,  04/01/2018
     88,326       93,284  
G1-1399, 5.500%,  04/01/2018
     76,299       80,983  
E0-1386, 5.000%,  06/01/2018
     24,031       25,380  
E0-1425, 4.500%,  08/01/2018
     98,097       103,518  
E0-1488, 5.000%,  10/01/2018
     114,688       121,125  
E0-1490, 5.000%,  11/01/2018
     376,675       397,833  
E0-1497, 5.500%,  11/01/2018
     32,387       34,662  
G1-2471, 4.500%,  12/01/2018
     197,007       207,893  
G1-2883, 5.000%,  12/01/2018
     203,061       214,458  
G1-1731, 5.500%,  12/01/2018
     210,887       224,603  
G1-1551, 5.500%,  02/01/2019
     66,275       70,344  
G1-1574, 6.000%,  02/01/2019
     66,668       69,759  
B1-3150, 4.000%,  03/01/2019
     396,517       419,850  
G1-3052, 5.000%,  03/01/2019
     143,181       151,218  
B1-5137, 4.000%,  06/01/2019
     66,775       70,684  
G1-2081, 4.500%,  06/01/2019
     31,164       32,886  
B1-5759, 4.500%,  07/01/2019
     288,128       304,051  
G1-8009, 5.000%,  09/01/2019
     95,399       101,863  
G1-1694, 6.500%,  09/01/2019
     146,004       153,010  
G1-8016, 5.000%,  10/01/2019
     408,008       435,752  
G1-3330, 6.000%,  10/01/2019
     19,543       20,420  
G1-8020, 4.500%,  11/01/2019
     365,572       385,826  
G1-1653, 5.500%,  12/01/2019
     192,826       206,342  
G1-1649, 4.500%,  02/01/2020
     629,060       663,823  
G1-1650, 5.000%,  02/01/2020
     50,010       53,410  
G1-2569, 4.000%,  05/01/2020
     380,921       403,239  
G1-1717, 5.000%,  06/01/2020
     104,474       113,306  
G1-1722, 5.000%,  07/01/2020
     134,300       145,640  
G1-1754, 6.000%,  07/01/2020
     3,759       4,021  
G1-1720, 4.500%,  08/01/2020
     588,281       629,714  
G1-3272, 4.500%,  08/01/2020
     204,335       215,626  
G1-4921, 4.500%,  08/01/2020
     1,410,480       1,488,423  
G1-1838, 6.000%,  08/01/2020
     69,274       73,261  
G1-3312, 4.500%,  09/01/2020
     112,664       118,891  
G1-3318, 5.000%,  10/01/2020
     323,527       345,482  
G1-1773, 5.000%,  10/01/2020
     77,906       84,489  
G1-2046, 4.000%,  12/01/2020
     129,338       136,925  
J1-4483, 3.500%,  02/01/2021
     325,291       344,134  
J1-4426, 3.500%,  02/01/2021
     498,126       526,974  
G1-2911, 4.000%,  02/01/2021
     52,751       55,773  
G1-1938, 4.500%,  03/01/2021
     182,289       195,152  
G1-2189, 5.500%,  03/01/2021
     242,400       263,539  
J1-5115, 3.500%,  04/01/2021
     1,249,524       1,321,888  
G1-1941, 5.500%,  04/01/2021
     17,085       18,670  
G1-2322, 5.500%,  07/01/2021
     24,609       26,899  
G1-2239, 5.500%,  07/01/2021
     54,112       59,159  
C9-0457, 6.500%,  07/01/2021
     10,227       11,528  
G1-3621, 6.500%,  08/01/2021
     221,454       231,977  
G1-2381, 5.000%,  09/01/2021
     285,054       309,470  
G1-2456, 4.000%,  10/01/2021
     130,429       138,064  
G1-2403, 5.000%,  10/01/2021
     173,511       188,344  
G1-2717, 5.500%,  11/01/2021
     24,096       25,915  
G1-2942, 4.500%,  01/01/2022
     101,551       108,705  
G1-2491, 5.000%,  01/01/2022
     549,074       595,771  
G1-2977, 5.500%,  10/01/2022
     101,463       110,857  
C9-0588, 5.500%,  11/01/2022
     32,014       35,490  
G3-0234, 6.500%,  11/01/2022
     5,831       6,573  
G1-2935, 5.000%,  01/01/2023
     64,827       70,646  
C9-0675, 5.000%,  05/01/2023
     153,377       168,774  
C9-0676, 5.500%,  05/01/2023
     100,399       111,299  
D9-6027, 5.500%,  05/01/2023
     20,135       22,780  
C9-0689, 4.500%,  07/01/2023
     238,706       257,916  
C9-0690, 5.000%,  07/01/2023
     357,588       397,453  
C9-0698, 4.500%,  08/01/2023
     164,299       177,521  
C9-0705, 4.500%,  09/01/2023
     159,223       172,037  
C9-0706, 5.000%,  09/01/2023
     19,650       21,623  
G1-3345, 6.500%,  10/01/2023
     25,038       27,152  
G1-4160, 6.000%,  01/01/2024
     170,494       178,904  
G1-3390, 6.000%,  01/01/2024
     169,110       185,325  
G1-3692, 5.500%,  02/01/2024
     86,038       94,707  
G1-3610, 5.500%,  02/01/2024
     132,743       146,403  
C9-0830, 4.500%,  05/01/2024
     356,608       385,306  
G1-8330, 4.500%,  11/01/2024
     304,601       326,847  
E0-2684, 4.500%,  03/01/2025
     93,972       100,219  
G3-0289, 7.000%,  09/01/2025
     760,467       851,106  
J1-4785, 4.000%,  03/01/2026
     378,286       403,745  
G1-4159, 4.000%,  06/01/2026
     534,960       571,005  
G1-4204, 4.500%,  06/01/2026
     572,633       614,289  
 
 
 
 
 
 
C9-0989, 6.000%,  09/01/2026
     147,159       165,477  
C9-1075, 6.000%,  08/01/2027
     203,407       228,849  
G0-1584, 5.000%,  08/01/2033
     230,013       253,845  
C0-1649, 5.500%,  10/01/2033
     530,184       594,276  
G0-5168, 5.000%,  12/01/2034
     51,750       57,167  
H0-9207, 6.500%,  08/01/2038
     219,447       235,439  
Freddie Mac REMICS
                
2791, 5.000%,  05/15/2015
     7,138       7,180  
2828, 5.500%,  06/15/2015
     29,205       29,330  
2344, 6.000%,  08/15/2016
     220,785       228,956  
2354, 5.750%,  09/15/2016
     102,382       106,349  
2381, 5.500%,  11/15/2016
     258,849       268,284  
3669, 3.500%,  06/15/2017
     178,612       181,030  
2458, 5.500%,  06/15/2017
     36,466       37,716  
3204, 5.000%,  08/15/2017
     376,820       386,858  
2503-TG, 5.500%,  09/15/2017
     40,768       43,032  
2503-BH, 5.500%,  09/15/2017
     18,910       19,935  
2509, 5.000%,  10/15/2017
     17,690       18,572  
2510, 5.000%,  10/15/2017
     54,777       57,513  
2515, 5.000%,  10/15/2017
     182,232       191,319  
2508, 5.000%,  10/15/2017
     102,457       107,583  
2513-JE, 5.000%,  10/15/2017
     101,736       106,765  
2513-DB, 5.000%,  10/15/2017
     57,478       60,316  
2564, 5.500%,  10/15/2017
     32,406       34,187  
2543, 5.000%,  12/15/2017
     195,423       205,400  
2555, 4.250%,  01/15/2018
     130,779       136,014  
2564, 5.000%,  02/15/2018
     132,781       139,876  
2575, 5.000%,  02/15/2018
     89,824       94,635  
2629, 4.000%,  03/15/2018
     49,720       50,375  
3434, 4.000%,  03/15/2018
     77,284       77,548  
2617, 4.500%,  05/15/2018
     393,331       412,462  
2627, 4.500%,  06/15/2018
     141,706       148,710  
2631, 4.500%,  06/15/2018
     82,208       86,157  
2686, 3.500%,  10/15/2018
     226,399       235,468  
2685, 4.000%,  10/15/2018
     435,182       454,368  
2696, 4.000%,  10/15/2018
     103,759       108,564  
2707, 4.500%,  11/15/2018
     194,168       205,588  
2735, 4.000%,  01/15/2019
     435,415       454,586  
2786, 4.000%,  04/15/2019
     276,095       289,796  
2773, 4.000%,  04/15/2019
     471,416       494,880  
2790, 5.000%,  05/15/2019
     89,351       94,599  
3414, 4.000%,  12/15/2019
     286,115       298,693  
2934, 0.000%,  02/15/2020 (b)
     133,667       131,846  
3037, 4.500%,  02/15/2020
     1,939       1,941  
2958, 4.500%,  04/15/2020
     475,945       500,047  
3033, 4.500%,  09/15/2020
     143,633       150,587  
3621, 5.000%,  01/15/2021
     233,163       242,102  
3288, 4.500%,  03/15/2022
     698,721       739,229  
3484, 5.000%,  09/15/2022
     9,903       9,969  
2522, 5.500%,  11/15/2022
     692,265       757,626  
2649, 3.500%,  07/15/2023
     36,537       38,265  
2676, 5.000%,  09/15/2023
     520,029       566,141  
3842, 3.500%,  12/15/2023
     128,735       132,031  
2720, 5.000%,  12/15/2023
     21,724       23,368  
2950, 5.000%,  12/15/2023
     216,484       219,218  
2783, 5.000%,  04/15/2024
     341,563       375,383  
2824, 5.000%,  07/15/2024
     15,865       17,443  
3007, 5.500%,  07/15/2024
     15,132       15,269  
2835, 5.500%,  08/15/2024
     188,127       206,779  
2892, 5.000%,  11/15/2024
     470,709       519,208  
3741, 3.500%,  03/15/2025
     108,298       113,321  
3784, 4.000%,  01/15/2026
     114,690       122,665  
3178, 6.000%,  09/15/2028
     29,562       30,216  
2344, 6.500%,  08/15/2031
     50,596       58,015  
2690, 5.000%,  04/15/2032
     165,729       168,354  
2752, 5.000%,  10/15/2032
     344,706       351,055  
3136, 0.455%,  04/15/2036 (a)
     445,000       446,476  
Freddie Mac Strips
                
S0-1556, 0.000%,  04/01/2028 (b)
     705,218       660,665  
Ginnie Mae I Pool
                
781567X, 5.000%,  02/15/2018
     52,280       55,397  
781731X, 4.500%,  11/15/2018
     205,435       215,512  
782098X, 6.000%,  01/15/2020
     185,731       195,994  
781919X, 5.000%,  05/15/2020
     460,343       492,851  
782039X, 5.500%,  11/15/2020
     186,825       198,297  
782232X, 5.000%,  07/15/2021
     308,707       330,273  
782618X, 4.500%,  04/15/2024
     278,904       300,829  
741854X, 4.000%,  05/15/2025
     452,108       479,578  
Government National Mortgage Association
                
1998-21, 6.500%,  09/20/2028
     65,222       73,336  
 
 
 
 
 
 
2011-38, 2.528%,  06/16/2034
     291,248       293,281  
2013-101, 0.514%,  05/16/2035
     762,186       747,694  
2009-104, 4.250%,  07/20/2036
     215,100       222,357  
2008-55, 5.000%,  07/20/2037
     62,967       64,468  
2010-112, 3.000%,  04/20/2038
     143,137       148,143  
2011-40, 2.500%,  06/20/2038
     168,193       171,476  
2009-15, 4.250%,  12/20/2038
     301,819       315,526  
2009-101, 4.000%,  08/20/2039
     250,455       266,404  
2013-55, 1.579%,  12/16/2042
     764,618       753,147  
2013-165, 0.456%,  11/20/2043 (a)
     577,851       579,325  
2013-107, 0.862%,  11/16/2047 (a)(c)
     7,815,141       494,984  
2013-15, 0.698%,  08/16/2051 (a)(c)
     8,006,629       495,266  
2013-07, 0.828%,  05/16/2053 (a)(c)
     12,091,835       827,057  
2013-01, 0.912%,  02/16/2054 (a)(c)
     9,724,213       781,433  
2013-105, 0.693%,  06/16/2054 (a)(c)
     4,878,227       228,525  
2013-40, 1.077%,  06/16/2054 (a)(c)
     12,708,383       869,336  
2013-17, 1.657%,  06/16/2054 (a)(c)
     19,416,152       1,260,137  
2013-101, 1.232%,  10/16/2054 (a)(c)
     3,665,436       215,709  
2013-156, 0.937%,  06/16/2055 (a)(c)
     7,911,552       510,885  
2014-01, 0.885%,  09/16/2055 (a)(c)
     9,899,291       597,808  
2014-54, 0.908%,  09/16/2055 (a)(c)
     14,095,293       969,263  
2014-73, 0.897%,  04/16/2056 (a)(c)
     14,953,936       1,037,781  
TOTAL MORTGAGE BACKED SECURITIES (Cost $83,758,407)
           $ 92,956,136  
                 
U.S. Government Agency Issue - 9.87%
                
Federal Farm Credit Banks
                
 0.210%,  02/27/2017 (a)
     4,000,000       4,006,448  
TOTAL U.S. GOVERNMENT AGENCY ISSUE (Cost $10,560,620)
           $ 4,006,448  
                 
U.S. Government Note/Bond - 5.88%
                
United States Treasury Floating Rate Note
                
0.075%,  01/31/2016 (a)
     5,541,000       5,541,754  
United States Treasury Inflation Indexed Bonds
                
0.500%,  04/15/2015
     791,863       795,946  
TOTAL U.S. GOVERNMENT NOTE/BOND (Cost $6,340,784)
           $ 6,337,700  
                 
SHORT-TERM INVESTMENT - 7.38%
                
First American U.S. Treasury Money Market Fund, 0.000% (a)
     7,950,807       7,950,807  
TOTAL SHORT-TERM INVESTMENT (Cost $7,950,807)
           $ 7,950,807  
                 
Total Investments (Cost $108,610,618) - 103.22%
             111,251,091  
Other Assets in Excess of Liabilities- (3.22)%
             (3,470,615 )
TOTAL NET ASSETS - 100.00%
           $ 107,780,476  
                 
 
Percentages are stated as a percent of net assets.
(a)
Variable rate security; the rate shown represents the rate at August 31, 2014.
(b)
Represents a principal-only security that entitles holders to receive only principal payments on underlying mortgages.
(c)
Represents an interest-only security that entitles holders to receive only interest payments on underlying mortgages.
 
 
 
 
 
 
 
M.D. Sass Equity Income Plus Fund
            
Schedule of Investments
            
August 31, 2014 (Unaudited)
            
             
   
Shares
    
Value
  
COMMON STOCKS* - 87.71%
            
Airlines - 4.07%
            
Delta Air Lines, Inc.
     87,700     $ 3,471,166  
Chemicals - 2.40%
                
Rockwood Holdings, Inc.
     25,300       2,048,794  
Commercial Services & Supplies - 4.26%
                
ADT Corp.
     98,500       3,630,710  
Computers & Peripherals - 3.07%
                
Apple, Inc.
     25,480       2,611,700  
Consumer Finance - 4.05%
                
Capital One Financial Corp.
     42,000       3,446,520  
Energy Equipment & Services - 6.39%
                
Exterran Holdings, Inc.
     43,900       2,047,057  
Schlumberger Ltd. (a)
     31,000       3,398,840  
              5,445,897  
Food & Staples Retailing - 3.77%
                
CVS Health Corp.
     40,400       3,209,780  
Food Products - 1.88%
                
Mondelez International, Inc.
     44,300       1,603,217  
Health Care Equipment & Supplies - 2.00%
                
Medtronic, Inc.
     26,700       1,704,795  
Hotels, Restaurants & Leisure - 6.58%
                
Apollo Global Management, LLC
     151,700       3,701,480  
SeaWorld Entertainment, Inc.
     91,500       1,902,285  
              5,603,765  
Insurance - 10.98%
                
Hartford Financial Services Group, Inc.
     67,400       2,497,170  
MetLife, Inc.
     61,600       3,371,984  
Prudential Financial, Inc.
     38,800       3,480,360  
              9,349,514  
Media - 13.59%
                
AMC Entertainment Holdings, Inc.
     91,000       2,153,970  
CBS Corp.
     35,624       2,112,147  
Lamar Advertising Co.
     74,556       3,912,699  
Sinclair Broadcast Group, Inc.
     116,761       3,391,907  
              11,570,723  
Oil, Gas & Consumable Fuels - 7.38%
                
Occidental Petroleum Corp.
     24,500       2,541,385  
Williams Cos, Inc.
     63,000       3,744,720  
              6,286,105  
Paper & Forest Products - 2.70%
                
International Paper Co.
     47,400       2,296,530  
Pharmaceuticals - 8.30%
                
Pfizer, Inc.
     60,500       1,778,095  
Sanofi - ADR
     47,600       2,603,720  
Teva Pharmaceutical Industries Ltd. - ADR
     51,100       2,683,772  
              7,065,587  
Specialty Retail - 2.83%
                
Williams-Sonoma, Inc.
     36,600       2,407,182  
Technology Hardware, Storage & Peripherals - 3.46%
                
Western Digital Corp.
     28,600       2,946,086  
Trading Companies & Distributors - 0.00%
                
Veritiv Corp. (c)
     2       89  
TOTAL COMMON STOCKS (Cost $66,037,826)
             74,698,160  
                 
 
 
 
 
 
 
REAL ESTATE INVESTMENT TRUSTS - 12.24%
            
CBS Outdoor Americas, Inc.
     98,145       3,373,244  
Gaming & Leisure Properties, Inc.
     102,512       3,413,649  
NorthStar Realty Finance Corp.
     196,700       3,640,917  
TOTAL REAL ESTATE INVESTMENT TRUSTS (Cost $10,487,085)
             10,427,810  
                 
   
Contracts
          
PURCHASED OPTIONS - 0.63%
                
Put Options - 0.63%
                
SPDR S&P 500 ETF Trust
                
     September, 2014, Exercise Price: $169.00
     670       3,350  
     December, 2014, Exercise Price: $165.00
     450       27,000  
     December, 2014, Exercise Price: $174.00
     850       98,175  
     December, 2014, Exercise Price: $180.00
     273       40,950  
     March, 2015, Exercise Price: $180.00
     1,050       364,350  
TOTAL PURCHASED OPTIONS (Cost $1,481,663)
             533,825  
                 
                 
   
Shares
          
SHORT-TERM INVESTMENT - 1.91%
                
First American U.S. Treasury Money Market Fund 0.000% (b)
     1,623,264       1,623,264  
TOTAL SHORT-TERM INVESTMEMT (Cost $1,623,264)
             1,623,264  
                 
Total Investments (Cost $79,629,838) - 102.49%
             87,283,059  
Liabilities in Excess of Other Assets - (2.49)%
             (2,118,707 )
TOTAL NET ASSETS - 100.00%
           $ 85,164,352  
   
 
*  
All or portion of these securities may be subject to call options written.
(a) 
Foreign issued security.
(b) 
Variable rate security; the rate shown represents the rate at August 31, 2014.
(c) 
Non-income producing security.
ADR 
American Depositary Receipt.
   
The Schedule of Investments incorporates the Global Industry Classification Standard  (GICS®).  GICS was developed
by and/or is the exclusive property of MSCI, Inc. and Standard & Poors Financial Services LLC ("S&P").  GICS is a
service mark of MSCI and S&P and has been licensed for use by U.S. Bancorp Fund Services, LLC.
 
 
 
 
 
 
M.D. Sass Equity Income Plus Fund
  
Schedule of Options Written
  
August 31, 2014 (Unuadited)
  
             
   
Contracts
    
Value
  
CALL OPTIONS
            
The ADT Corp.
            
Expiration: October 2014, Exercise Price: $36.00
     985     $ 167,450  
AMC Entertainment Holdings, Inc.
                
Expiration: September 2014, Exercise Price: $25.00
     910       13,650  
Apollo Global Management, LLC
                
Expiration: September 2014, Exercise Price: $27.50
     560       2,800  
Expiration: September 2014, Exercise Price: $35.00
     100       1,250  
Expiration: September 2014, Exercise Price: $37.50
     644       8,050  
Expiration: December 2014, Exercise Price: $27.50
     213       7,987  
Apple, Inc
                
Expiration: September 2014, Exercise Price: $105.00
     252       36,792  
Capital One Financial Corp.
                
Expiration: September 2014, Exercise Price: $85.00
     210       3,150  
Expiration: September 2014, Exercise Price: $87.50
     210       1,470  
CBS Corp.
                
Expiration: September 2014, Exercise Price: $65.00
     356       1,780  
CBS Outdoor Americas, Inc.
                
Expiration: September 2014, Exercise Price: $34.00
     705       52,875  
Expiration: September 2014, Exercise Price: $35.00
     276       6,900  
CVS Health Corp.
                
Expiration: September 2014, Exercise Price: $80.00
     404       26,260  
Delta Air Lines, Inc.
                
Expiration: September 2014, Exercise Price: $40.00
     121       10,527  
Expiration: September 2014, Exercise Price: $47.00
     756       1,512  
Exterran Holdings, Inc.
                
Expiration: November 2014, Exercise Price: $45.00
     389       110,865  
Gaming & Leisure Properties, Inc.
                
Expiration: October 2014, Exercise Price: $35.00
     250       5,625  
Expiration: October 2014, Exercise Price: $40.00
     775       7,750  
Hartford Financial Services Group, Inc.
                
Expiration: December 2014, Exercise Price: $36.00
     674       139,181  
International Paper Co.
                
Expiration: October 2014, Exercise Price: $50.00
     474       29,862  
Lamar Advertising Co.
                
Expiration: October 2014, Exercise Price: $55.00
     646       8,075  
Expiration: January 2015, Exercise Price: $55.00
     99       3,713  
Medtronic, Inc.
                
Expiration: November 2014, Exercise Price: $65.00
     267       35,244  
MetLife, Inc.
                
Expiration: January 2015, Exercise Price: $60.00
     616       52,052  
Mondelez International, Inc.
                
Expiration: September 2014, Exercise Price: $36.00
     443       21,264  
NorthStar Realty Finance Corp.
                
Expiration: December 2014, Exercise Price: $18.00
     1,967       255,710  
Occidental Petroleum Corp.
                
 
 
 
 
 
 
Expiration: November 2014, Exercise Price: $110.00
     245       28,420  
Pfizer, Inc.
                
Expiration: November 2014, Exercise Price: $30.00
     605       29,040  
Prudential Financial, Inc.
                
Expiration: March 2015, Exercise Price: $97.50
     388       96,806  
Rockwood Holdings, Inc.
                
Expiration: November 2014, Exercise Price: $82.50
     253       50,600  
Sanofi
                
Expiration: September 2014, Exercise Price: $55.00
     476       32,844  
Schlumberger Ltd.
                
Expiration: November 2014, Exercise Price: $125.00
     310       9,300  
SeaWorld Entertainment, Inc.
                
Expiration: December 2014, Exercise Price: $20.00
     915       190,320  
Sinclair Broadcast Group, Inc.
                
Expiration: December 2014, Exercise Price: $35.00
     1,160       55,100  
Teva Pharmaceutical Industries Ltd.
                
Expiration: September 2014, Exercise Price: $52.50
     511       51,611  
Western Digital Corp.
                
Expiration: October 2014, Exercise Price: $90.00
     80       103,800  
Expiration: January 2016, Exercise Price: $87.50
     124       270,320  
Expiration: January 2016, Exercise Price: $90.00
     82       167,690  
Williams Companies, Inc.
                
Expiration: November 2014, Exercise Price: $72.50
     366       29,280  
Expiration: January 2015, Exercise Price: $62.50
     630       86,310  
Toal Call Options
             2,213,235  
                 
Total Options Written (Premiums received $2,415,817)
           $ 2,213,235  
   
 
 
 
 
 
 
 
Footnotes to the Schedules of Investments
      
August 31, 2014 (Unaudited)
        
           
The cost basis of investments for federal income tax purposes at August 31, 2014 for M.D. Sass 1-3 Year Duration U.S. Agency Bond Fund and M.D. Sass Equity Income Plus Fund (the "Funds") were as follows*:
 
 
     
M.D. Sass 1-3 Year Duration U.S. Agency Bond Fund
    
M.D. Sass Equity
Income Plus Fund
    
 
Cost of investments
   $ 108,610,618     $ 79,629,838    
 
Gross unrealized appreciation- Equities
   $ 2,876,581     $ 9,680,893    
 
Gross unrealized appreciation- Options
     -       910,624    
 
Gross unrealized depreciation- Equities
     (236,108 )     (1,079,834 )  
 
Gross unrealized depreciation- Options
     -       (1,655,880 )  
 
Net unrealized appreciation
   $ 2,640,473     $ 7,855,803    
 
*Because tax adjustments are calculated annually, the above table does not reflect tax adjustments.  For the previous fiscal year's federal income tax information for M.D. Sass 1-3 Year Duration U.S. Agency Bond Fund and M.D. Sass Equity Income Plus Fund, please refer to the Notes to Financial Statements section of the Fund's most recent semi-annual or annual report.
 
Significant Accounting Policies
        
 
The following is a summary of significant accounting policies consistently followed by the Fund in the preparation
 
of the financial statements. These policies are in conformity with generally accepted accounting principles in the
  
 
United States of America (“GAAP”).
        
           
Investment Valuation
        
 
Each security owned by the Funds that is listed on a securities exchange is valued at its last sale price on that exchange
 
 on the date as of which assets are valued. When the security is listed on more than one exchange, the Funds will
  
 
use the price of the exchange that the Funds generally consider to be the principal exchange on which the security is traded.
 
Fund securities listed on the NASDAQ Stock Market, Inc. (“NASDAQ”) will be valued at the NASDAQ Official Closing Price (“NOCP”),
 
which may not necessarily represent the last sale price. If the NOCP is not available, such securities shall be valued at the last sale price on
 
the day of valuation. If there has been no sale on such exchange or on NASDAQ on such day, the security is
  
 
valued at the mean between the bid and asked prices on such day and will generally classified as level 2.  When market quotations are not readily available,
 
any security or other asset is valued at its fair value as determined under procedures approved by the Trust's Board of Trustees.
 
These fair value procedures will also be used to price a security when corporate events, events in the securities market and/or world events
 
cause the Adviser to believe that a security's last sale price may not reflect its actual fair value.
  
 
The intended effect of using fair value pricing procedures is to ensure that the Fund is accurately priced.
  
           
 
Mortgage- and asset-backed securities are usually issued as separate tranches, or classes, of securities within each deal.
 
These securities are also normally valued by pricing service providers that use broker dealer quotations or valuation
 
estimates from their internal pricing models. The pricing models for these securities usually consider tranche-level
 
attributes, estimated cash flows and market-based yield spreads for each tranche, current market data and incorporates
 
deal collateral performance, as available. Mortgage- and asset-backed securities that use similar valuation techniques
 
and inputs as described above are categorized as level 2 of the fair value hierarchy.
    
           
 
U.S. Government Securities - U.S. government securities are normally valued using a model that incorporates
  
 
market observable data such as reported sales of similar securities, broker quotes, yields, bids, offers, and reference
  
 
data. Certain securities are valued principally using dealer quotations. U.S. government securities are typically
  
 
categorized in level 2 of the fair value hierarchy.
      
           
 
U.S. Government Agency Securities - U.S. government agency securities are comprised of two main categories
  
 
consisting of agency issued debt and mortgage pass-throughs. Agency issued debt securities are generally valued in
  
 
a manner similar to U.S. government securities. Mortgage pass-throughs include to-be-announced ("TBAs")
  
 
securities and mortgage pass-through certificates. TBA securities and mortgage passthroughs are generally valued
  
 
using dealer quotations. These securities are typically categorized in level 2 of the fair value hierarchy.
  
           
 
Short-term debt securities, such as commercial paper, bankers acceptances and U.S. Treasury Bills, having a maturity
 
of less than 60 days are valued at amortized cost. If a short-term debt security has a maturity of greater than 60 days, it
 
is valued at market price.
        
           
 
Exchange-traded options are valued at the composite price, using the National Best Bid and Offer quotes ("NBBO").
 
NBBO consists of the highest bid price and lowest ask price across any of the exchanges on which an option is
  
 
quoted, thus providing a view across the entire U.S. options marketplace.  Specifically, composite pricing looks at the
 
last trades on the exchanges where the options are traded.  If there are no trades for the options on a given business
 
day, composite option pricing calculates the mean of the highest bid price and lowest ask price across the exchanges
 
where the option is traded and the option will generally be classified as level 2.
    
           
 
 
 
 
 
 
 
Redeemable securities issued by open-end, registered investment companies, including money market funds, are
  
 
valued at the net asset value ("NAV") of such companies for purchase and/or redemption orders placed on that day.
           
 
The Valuation Committee of the Trust shall meet to consider any valuations.  This consideration includes reviewing
 
various factors set forth in the pricing procedures adopted by the Board of Directors and other factors as warranted.
 
In considering a fair value determination, factors that may be considered, among others include; the type and structure
 
of the security; unsual events or circumstances relating to the security's issuer; general market conditions; prior day's
 
valuation; fundamental analytical data; size of the holding; cost of the security on the date of purchase; trading activity
 
and prices of similar securities or financial instruments.
      
           
 
Financial Accounting Standards Board (“FASB”) Accounting Standards Codification, “Fair Value Measurements and Disclosures"
 
Topic 820 (ASC 820"), establishes an authoritative defintion of fair value and sets out a hierarchy for measuring fair value.
 
ASC 820 requires an entity to evaluate certain factors to determine whether there has been a significant decrease in volume
 
and level of activity for the security such that recent transactions and quoted prices may not be determinative of fair value
 
and further analysis and adjustment may be necessary to estimate fair value. ASC 820 also requires enhanced
  
 
disclosure regarding the inputs and valuation techniques used to measure fair value in those instances as well
  
 
as expanded disclosure of valuation levels for each class of investments.
    
           
Other
          
 
Investment transactions are recorded on the trade date. The Funds determine the gain or loss from investment transactions
 
on the identified cost basis by comparing original cost of the security lot sold with the net sale proces. Dividend income and
 
expense, less foreign withholding tax, is recognized on the ex-dividend date and interet income is recognized on an accrual
 
basis.  Any discount or premium on securities purchased are accreted or amortized over the expected life of the respective
 
securities using the interest method.
        
           
Summary of Fair Value Exposure at August 31, 2014
      
           
Various inputs are used in determining the value of the Fund’s investments. These inputs are
    
summarized in the three broad levels listed below:
        
           
 
Level 1 - Quoted prices in active markets for identical securities.
      
 
Level 2 - Other significant observable inputs (including quoted prices for similar
    
 
  securities, interest rates, prepayment speeds, credit risk, etc.)
      
 
Level 3 - Significant unobservable inputs (including the Fund’s own assumptions in
    
 
  determining the fair value of investments.)
      
           
The inputs or methodology used for valuing securities are not an indication of the risk associated
    
with investing in those securities.
        
           
The following is a summary of the inputs used, as of August 31, 2014, in valuing the Fund’s investments
  
carried at fair value:
        
           
 
M.D. Sass Equity Income Plus Fund
                        
   
Level 1
    
Level 2
    
Level 3
    
Total
  
Equities:
                        
Common Stocks(1)
   $ 74,698,160     $ -     $ -     $ 74,698,160  
Real Estate Investment Trusts
     10,427,810       -       -       10,427,810  
Purchased Options
     533,825       -       -       533,825  
Total Equities
     85,659,795       -       -       85,659,795  
Short-Term Investment
     1,623,264       -       -       1,623,264  
Total Investments in Securities
   $ 87,283,059     $ -     $ -     $ 87,283,059  
                                 
Liabilities:
                                
Written Options
   $ 776,444     $ 1,436,791     $ -     $ 2,213,235  
Total Liabilities
   $ 776,444     $ 1,436,791     $ -     $ 2,213,235  
                                 
 
(1) See the Schedule of Investments for industry classifications.
 
M.D. Sass 1-3 Year Duration U.S. Agency Bond Fund
                    
   
Level 1
    
Level 2
    
Level 3
    
Total
  
Fixed Income:
                        
Mortgage Backed Securities
   $ -     $ 92,956,136     $ -     $ 92,956,136  
U.S. Government Agency Issue
     -       4,006,448       -       4,006,448  
U.S. Government Note/Bond
     -       6,337,700       -       6,337,700  
Total Fixed Income
     -       103,300,284       -       103,300,284  
Short-Term Investment
     7,950,807       -       -       7,950,807  
Total Investments in Securities
   $ 7,950,807     $ 103,300,284     $ -     $ 111,251,091  
 
 
 
 
 
 
 
The Funds recognize transfers between levels as of the beginning of the fiscal year. There were no transfers between Level 1 and Level 2 as of August 31, 2014.
             
The Funds measure Level 3 activity as of the beginning and end of the fiscal period.  For the period ended August 31, 2014 the
    
Funds did not have significant unobservable inputs (Level 3 securities) used in determining fair value.  Therefore, a reconciliation of assets in
  
which significant unobservable inputs (Level 3) were used in determining fair value is not applicable.
      
             
The M.D. Sass 1-3 Year Duration U.S. Agency Bond Fund did not invest in derivative securities or engage in hedging activities during the period ended August 31, 2014.
             
The fair value of derivative instruments as reported within this Schedule of Investments as of August 31, 2014 for the M.D. Sass Equity Income Plus was as follows:
 
                     
           
 
 
        
 
        
Derivatives not accounted for
Asset
        
Liability
        
as hedging instruments
Derivative
  
Value
    
Derivative
    
Value
  
Equity Contracts - Options
Investments, at value
   $ 533,825    
Options written,
at value
     $ 2,213,235  
Total
     $ 533,825           $ 2,213,235  
                         
                         
                         
                         
Amount of Realized Gain or (Loss) on Derivatives
  
Recognized in Income
  
                         
Derivatives not accounted for
    
Purchased
    
Written
          
as hedging instruments
    
Options
    
Options
    
Total
  
Equity Contracts
       266,151       (1,932,808 )     (1,666,657 )
Total
     $ 266,151     $ (1,932,808 )   $ (1,666,657 )
                           
                           
Change in Unrealized Appreciation or (Depreciation) on Derivatives
  
Recognized in Income
  
                           
Derivatives not accounted for
    
Purchased
    
Written
          
as hedging instruments
    
Options
    
Options
    
Total
  
Equity Contracts
     $ (242,712 )   $ 567,331     $ 324,619  
Total
     $ (242,712 )   $ 567,331     $ 324,619  
                           
 
 
 
 
 
 
Item 2. Controls and Procedures.
 
(a)  
The Registrant’s President and Treasurer have concluded that the Registrant's disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940 (the “1940 Act”)) (17 CFR 270.30a-3(c)) are effective as of a date within 90 days of the filing date of the report that includes the disclosure required by this paragraph, based on the evaluation of these controls and procedures required by Rule 30a-3(b) under the 1940 Act (17 CFR 270.30a-3(b)) and Rule 13a-15(b) or Rule 15d-15(b) under the Securities Exchange Act of 1934, as amended (17 CFR 240.13a-15(b) or 240.15d-15(d)).

(b)  
There were no changes in the Registrant's internal control over financial reporting (as defined in Rule 30a-3(d) under the 1940 Act) (17 CFR 270.30a-3(d)) that occurred during the Registrant's last fiscal quarter that have materially affected, or are reasonably likely to materially affect, the Registrant's internal control over financial reporting.


 
Item 3. Exhibits.
 
Separate certifications for each principal executive officer and principal financial officer of the Registrant as required by Rule 30a-2(a) under the 1940 Act (17 CFR 270.30a-2(a)).  Filed herewith.
 
 
 
 
 
 
SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
 

(Registrant)  Trust for Professional Managers           

 
By (Signature and Title) /s/ John Buckel                     
                                           John Buckel, President

Date        10/16/14                                                             
 

Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
 

By (Signature and Title)* /s/ John Buckel                  
                                             John Buckel, President

Date        10/16/14                                                             
 
 
By (Signature and Title)* /s/ Jennifer Lima                 
                                             Jennifer Lima, Treasurer

Date        10/17/14                                                             
 

* Print the name and title of each signing officer under his or her signature.

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘N-Q’ Filing    Date    Other Filings
5/31/1524F-2NT,  N-CSR,  N-CSRS,  N-Q,  NSAR-A,  NSAR-B
Filed on / Effective on:10/29/14485BPOS,  497K,  N-Q
For Period End:8/31/1424F-2NT,  N-CSR,  N-CSRS,  N-Q,  NSAR-A,  NSAR-B
 List all Filings 
↑Top
Filing Submission 0000894189-14-005210   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
About — Privacy — Redactions — Help — Sun., Apr. 28, 8:06:27.2am ET