Director Record:
1 |
a. Full Name |
Lisa M. Jones |
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))?
| X
Yes
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: |
N/A |
Director Record:
2 |
a. Full Name |
Marguerite A. Piret |
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))?
|
Yes
X
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: |
811-05399 |
Director Record:
3 |
a. Full Name |
Benjamin M. Friedman |
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))?
|
Yes
X
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: |
N/A |
Director Record:
4 |
a. Full Name |
Thomas J. Perna |
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))?
|
Yes
X
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: |
N/A |
Director Record:
5 |
a. Full Name |
Lorraine H. Monchak |
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))?
|
Yes
X
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: |
N/A |
Director Record:
6 |
a. Full Name |
Fred J. Ricciardi |
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))?
|
Yes
X
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: |
N/A |
Director Record:
7 |
a. Full Name |
Kenneth J. Taubes |
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))?
| X
Yes
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: |
N/A |
Director Record:
8 |
a. Full Name |
Margaret B.W. Graham |
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))?
|
Yes
X
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: |
N/A |
Director Record:
9 |
a. Full Name |
David R. Bock |
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))?
|
Yes
X
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: |
N/A |
Director Record:
10 |
a. Full Name |
Diane Durnin |
b. CRD number, if any |
004798101 |
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))?
|
Yes
X
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: |
N/A |
Director Record:
11 |
a. Full Name |
John E. Baumgardner Jr. |
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))?
|
Yes
X
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: |
N/A |
Principal underwriter Record:
1 |
i. Full name |
ADVEST, INC. |
ii. SEC file number (e.g., 8-) |
8-21409 |
iii. CRD number |
N/A |
iv. LEI, if any | |
v. State, if applicable |
CONNECTICUT
|
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?
|
Yes
X
No
|
Principal underwriter Record:
2 |
i. Full name |
A.G. EDWARDS |
ii. SEC file number (e.g., 8-) |
8-13580 |
iii. CRD number |
N/A |
iv. LEI, if any | |
v. State, if applicable |
MISSOURI
|
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?
|
Yes
X
No
|
Principal underwriter Record:
3 |
i. Full name |
RBC CAPITAL MARKETS CORP. |
ii. SEC file number (e.g., 8-) |
8-045411 |
iii. CRD number |
000031194 |
iv. LEI, if any | |
v. State, if applicable |
MINNESOTA
|
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?
|
Yes
X
No
|
Principal underwriter Record:
4 |
i. Full name |
JANNEY MONTGOMERY SCOTT, LLC |
ii. SEC file number (e.g., 8-) |
8-462 |
iii. CRD number |
N/A |
iv. LEI, if any | |
v. State, if applicable |
PENNSYLVANIA
|
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?
|
Yes
X
No
|
Principal underwriter Record:
5 |
i. Full name |
ROBERT W. BAIRD & CO. |
ii. SEC file number (e.g., 8-) |
8-00497 |
iii. CRD number |
N/A |
iv. LEI, if any | |
v. State, if applicable |
WISCONSIN
|
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?
|
Yes
X
No
|
Principal underwriter Record:
6 |
i. Full name |
FERRIS, BAKER WATTS, INC. |
ii. SEC file number (e.g., 8-) |
8-16427 |
iii. CRD number |
N/A |
iv. LEI, if any | |
v. State, if applicable |
MARYLAND
|
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?
|
Yes
X
No
|
Principal underwriter Record:
7 |
i. Full name |
STIFEL, NICOLAUS & CO., INC. |
ii. SEC file number (e.g., 8-) |
8-001447 |
iii. CRD number |
000000793 |
iv. LEI, if any | |
v. State, if applicable |
MISSOURI
|
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?
|
Yes
X
No
|
Principal underwriter Record:
8 |
i. Full name |
AMUNDI PIONEER DISTRIBUTOR, INC. |
ii. SEC file number (e.g., 8-) |
8-41256 |
iii. CRD number |
000024497 |
iv. LEI, if any | |
v. State, if applicable |
MASSACHUSETTS
|
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?
| X
Yes
No
|
Principal underwriter Record:
9 |
i. Full name |
UBS INVESTMENT BANK |
ii. SEC file number (e.g., 8-) |
8-022651 |
iii. CRD number |
000007654 |
iv. LEI, if any | |
v. State, if applicable |
CONNECTICUT
|
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?
|
Yes
X
No
|
Principal underwriter Record:
10 |
i. Full name |
MORGAN KEEGAN & CO., INC. |
ii. SEC file number (e.g., 8-) |
8-15001 |
iii. CRD number |
N/A |
iv. LEI, if any | |
v. State, if applicable |
TENNESSEE
|
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?
|
Yes
X
No
|
Principal underwriter Record:
11 |
i. Full name |
KEYBANC CAPITAL MARKETS |
ii. SEC file number (e.g., 8-) |
8-30177 |
iii. CRD number |
000000566 |
iv. LEI, if any | |
v. State, if applicable |
OHIO
|
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?
|
Yes
X
No
|
Principal underwriter Record:
12 |
i. Full name |
J.J.B. HILLIARD, W.L. LYONS, INC. |
ii. SEC file number (e.g., 8-) |
8-03868 |
iii. CRD number |
N/A |
iv. LEI, if any | |
v. State, if applicable |
KENTUCKY
|
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?
|
Yes
X
No
|
Principal underwriter Record:
13 |
i. Full name |
WELLS FARGO SECURITIES, LLC |
ii. SEC file number (e.g., 8-) |
8-22947 |
iii. CRD number |
N/A |
iv. LEI, if any | |
v. State, if applicable |
CALIFORNIA
|
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?
|
Yes
X
No
|
Principal underwriter Record:
14 |
i. Full name |
RYAN BECK & CO., INC. |
ii. SEC file number (e.g., 8-) |
8-12296 |
iii. CRD number |
N/A |
iv. LEI, if any | |
v. State, if applicable |
NEW JERSEY
|
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?
|
Yes
X
No
|
Principal underwriter Record:
15 |
i. Full name |
MERRILL LYNCH & CO. |
ii. SEC file number (e.g., 8-) |
8-07221 |
iii. CRD number |
000007691 |
iv. LEI, if any | |
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?
|
Yes
X
No
|
Principal underwriter Record:
16 |
i. Full name |
WEDBUSH MORGAN SECURITIES, LLC. |
ii. SEC file number (e.g., 8-) |
8-12987 |
iii. CRD number |
N/A |
iv. LEI, if any | |
v. State, if applicable |
CALIFORNIA
|
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?
|
Yes
X
No
|
Principal underwriter Record:
17 |
i. Full name |
OPPENHEIMER & CO. |
ii. SEC file number (e.g., 8-) |
8-04077 |
iii. CRD number |
000000249 |
iv. LEI, if any | |
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?
|
Yes
X
No
|
Principal underwriter Record:
18 |
i. Full name |
SUNTRUST ROBINSON HUMPHREY |
ii. SEC file number (e.g., 8-) |
8-17212 |
iii. CRD number |
N/A |
iv. LEI, if any | |
v. State, if applicable |
GEORGIA
|
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?
|
Yes
X
No
|
b. Have any principal underwriters been hired or terminated during the reporting period?
|
Yes
X
No
|