Read fundserv.pdf text version

October 2012

FUND/SERV FUNDS

Name ABN AMRO Securities (USA) LLC Accrued Equities, Inc. Adirondack Funds ADP Inc./TPA Advance Capital I, Inc. Adviser Dealer Services, Inc. Advisors Clearing Network, Inc. AIG Retirement Advisors, Inc./Account 2 AIG Retirement Advisors, Inc Alliance Bernstein Investment Research and Investment Management, Inc. AllianceBernstein Investment Research and Investment Mgmt, Inc./Sanford C. Bernstein AllianceBernstein Investment Research and Investment Mgmt., Inc./ACIT AllianceBernstein Investment Research and Investment Mgmt., Inc./International Div. Alliant Securities, Inc. Turner, Nord, Kienbaum Allianz Global Investors Distributors LLC Allianz Global Investors Distributors LLC/Allianz Global Investors Fund SICAV Allianz Global Investors Distributors LLC/College Access Plan Allianz Global Investors Distributors LLC/MI 529 Advisors Plan Allianz Global Investors Distributors LLC/Oklahoma Dream 529 Allianz Global Investors Distributors LLC/Pimco Advisory Service Allianz Life Insurance Company of New York Allianz Life Insurance Company of North America Alpine Securities Corporation ALPS Distributors Inc./James Advantage Funds ALPS Distributors Inc./Whitebox Funds ALPS Distributors, Inc. ALPS Distributors, Inc./Ameristock Mutual Funds ALPS Distributors, Inc./AQR Funds ALPS Distributors, Inc./Aspen Funds ALPS Distributors, Inc./BBH Funds ALPS Distributors, Inc./BPVFunds ALPS Distributors, Inc./Brown Capital ALPS Distributors, Inc./Caldwell & Orkin ALPS Distributors, Inc./Century Capital Management Trust ALPS Distributors, Inc./Corner Cap Funds ALPS Distributors, Inc./Cortina Funds ALPS Distributors, Inc./CRM Funds ALPS Distributors, Inc./Cullen Funds ALPS Distributors, Inc./Cullen Funds plc ALPS Distributors, Inc./Emerald Funds ALPS Distributors, Inc./Fifth Third Funds No. 0349 5678 6613 7120 5860 5706 0359 0681 0542 5515 5553 6584 5809 8084 5554 5609 5579 6768 5921 5784 4524 4523 8072 5613 3763 5642 5455 5922 3717 5722 3768 3740 5684 5597 5384 3762 6619 5466 3710 3619 5874

ALPS Distributors, Inc./Financial Investors Variable Insurance Trust ALPS Distributors, Inc./FirstHand Funds ALPS Distributors, Inc./FIT-ALPS Funds ALPS Distributors, Inc./GLG Partners ALPS Distributors, Inc./Grandeur Peak Funds ALPS Distributors, Inc./Heartland Funds ALPS Distributors, Inc./Heartland International Small Cap Fund ALPS Distributors, Inc./Henssler Funds ALPS Distributors, Inc./Holland Balanced Fund ALPS Distributors, Inc./Index IQ Trust ALPS Distributors, Inc./Laudus Funds ALPS Distributors, Inc./Mairs and Power Funds Trust ALPS Distributors, Inc./MTB Funds ALPS Distributors, Inc./Oak Funds ALPS Distributors, Inc./Pathway Advisors Funds ALPS Distributors, Inc./Paxworld Funds ALPS Distributors, Inc./Redmont Funds ALPS Distributors, Inc./River North Funds ALPS Distributors, Inc./Seafarer Funds ALPS Distributors, Inc./State Street Institutional Investment Trust ALPS Distributors, Inc./Stone Harbor ALPS Distributors, Inc./Stonebridge Capital Management ALPS Distributors, Inc./The Arbitrage Fund ALPS Distributors, Inc./Tilson Funds ALPS Distributors, Inc./Transparent Value Fund ALPS Distributors, Inc./Vulcan Value Partners Fund ALPS Distributors, Inc./Wakefield Fund ALPS Distributors, Inc./WesMark Funds AM&M Financial Services, Inc. American Century Investment Services Inc./Kansas Postsecondary Savings Program American Century Investment Services Inc./SICAV Funds American Century Investment Services, Inc. American Enterprise Investment Services Inc. American Enterprise Investment Services Inc./Funds American Funds Distributors, Inc. American Funds Distributors, Inc. American General Distributors, Inc American General Life Insurance Company of Delaware American Israeli Shared Values Trust American National Insurance Company American United Life Insurance Company American United Life Insurance Company Ameritas Life Insurance Corp. Amundi Luxembourg S.A. Ancora Securities, Inc. Apex Clearing Corporation

6609 4901 5904 5390 3759 5571 5345 6550 6597 6505 4903 6546 5696 5761 3356 4940 3787 6520 3777 6516 5309 5806 5521 5337 5314 5313 3688 5944 3920 5338 3728 5646 0756 0216 5504 0754 5718 4537 5310 4569 4591 4746 4539 3391 4951 0158

Page 1 of 15

October 2012

Apex Clearing Corporation/Ridge Aquila Distributors, Inc. Ariel Distributors LLC Artisan Partners Distributors, LLC ASB Securities, LLC Ashmore Investment Management (US) Corporation Associated Bank, N.A. Aviemore Funds Azzad Funds Baird (Robert W.) & Co., Incorporated Banca IMI Securities Corp. Bancorp Bank (The) Bancorp Bank (The)/Liquid Cash Account Bancorp Bank (The)/Master Demand Account Advantage Bancorp Bank (The)/Participant Protection Account Bank of America N.A. Bank of America N.A./ GWIM TRUST OPERATIONS The Bank of New York Mellon The Bank of New York Mellon/ Mellon Trust of New England, National Association Barclays Capital Inc. Barclays Capital Inc./Barclays Celsius Funds Ireland/Malta Barclays Capital, Inc. Barclays Capital, Inc./LE Baron Capital Inc. Baum (George K.) & Co. Beck (H.), Inc. Benefit Trust Company Benefit Trust Company Benefit Trust Company/DST Squirrel Benefit Trust Company/Prime Plan Solutions Bernstein (Sanford C.) & Co., Inc. Bertolet Capital Trust BHIL Distributors, Inc. BHIL Distributors, Inc./Cook & Bynum Funds BHIL Distributors, Inc./Diamond Hill Funds BHIL Distributors, Inc./Independent Franchise Partners US Equity Fund BHIL Distributors, Inc./Lion Global Investors Limited BHIL Distributors, Inc./Performance Funds BHIL Distributors, Inc./Praxis Funds BHIL Distributors, Inc./Robeco Institutional Asset Management B.V. BHIL Distributors, Inc./The Boston Trust & Walden Funds Black (James I.) & Co. BlackRock Institutional Trust Company, N.A. BlackRock Investments, LLC BlackRock Investments, LLC/BlackRock Global Funds

0543 5552 5751 6653 5581 5195 2257 6509 5662 0547 0136 4859 3388 3606 3308 2236 0955 0901 0954 5340 5375 5101 0229 4862 0129 0731 0761 6647 3383 3694 0013 6701 6532 5928 4729 3754 3368 5854 5791 3607 6622 7031 4722 5882 4982

BlackRock Investments, LLC/BlackRock Liquidity Funds BlackRock Investments, LLC/Bond Allocation Target Shares BlackRock Investments, LLC/ICS Blair (William) & Company, LLC Blair (William) & Company, LLC BMO Harris Bank NA BMO Harris Bank NA/Trust BNP Paribas Prime Brokerage, Inc. BNP Paribas Investment Partners Trust Company BNP Paribas Securities Corp. BNP Paribas Securities Corp. BNP Paribas Securities Corp./Henderson Horizon Funds BNP Paribas Securities Corp./Lion Global Investors BofA Distributors, Inc. Branch Banking and Trust Company Bread & Butter Fund, Inc. Brown Brothers Harriman & Co. Brown Brothers Harriman & Co. Brown Brothers Harriman & Co./BBH Collective Investment Series Trust Burnham Securities Inc. Cadaret, Grant & Co. Inc. Calamos Financial Services LLC Calamos Financial Services LLC/Calamos Global Fund PLC Caldwell Trust Company Calvert Investment Distributors, Inc. CAMCO Investors Trust Capital Guardian Trust Company Capital Guardian Trust Company/Capital International Funds Capital Guardian Trust Company/CGPCS Capital Investment Group, Inc. Capital One Investment Services LLC/Chevy Chase Securities, Inc. Capstone Asset Planning Co./Capstone Church Bond Fund Capstone Financial Services, Inc. Cardinal Bank Central Trust Bank Charles Schwab & Co. Inc./MF Clearing Services Charles Schwab & Co., Inc. Charles Schwab & Co., Inc. Charles Schwab Bank Chevy Chase Trust Company CIBC World Markets Corp. Citibank, N.A. Citigroup Global Markets Inc. City National Bank Clarity Fund, Inc. Clearview Correspondent Services, LLC

5813 4868 5123 0771 5538 2697 0992 2154 5493 5551 0049 5866 3604 5320 5385 5358 0010 5930 5135 5583 0241 5835 6621 2687 5543 3613 4873 5107 5389 5664 0290 5838 5801 5996 2880 7471 5489 0164 5655 4708 0438 0908 0418 2392 5386 0702

Page 2 of 15

October 2012

CMFG Life Insurance Company Cohen & Steers Securities LLC Cohen & Steers Securities, LLC/Cohen & Steers SICAV Funds Columbia Management Investment Distributors, Inc. Columbia Management Investment Distributors, Inc./Future Scholar Columbia Management Investment Distributors, Inc./Trust Collective Funds Comerica Bank Comerica Bank Commerz Markets LLC Commonwealth Annuity and Life Insurance Company Community Bank, N.A. Compass Bank Compass Bank/Asset Management Group Concorde Funds, Inc. Conestoga Funds Cosse International Securities Inc. Country Trust Bank Credit Suisse Securities (USA) LLC Credit Suisse Securities (USA) LLC/Luxembourg Funds Croft Funds Corporation Crowell, Weedon & Co. CUNA Brokerage Services Curian Clearing, LLC Daily Access Corporation Davenport & Company LLC Davidson (D.A.) & Co. Inc. Davis Distributors, LLC Davis Distributors, LLC/Clipper Fund Davis Distributors, LLC/Davis Fund Sicav Davis Distributors, LLC/Selected Davlin Philanthropic Funds DBTC Americas-Private Bank DeAM Investor Services, Inc. DeAM Investor Services, Inc./DWS Investment S.A. Delaware Distributors L.P. Delaware Distributors, L.P./Delaware Investments Global Funds, PLC Delaware Distributors, L.P./Optimum Funds Destra Capital Investments LLC Deutsche Bank National Trust Company Deutsche Bank Securities Inc. DFA Securities LLC DFA Securities LLC/Dimensional Funds PLC and Dimensional Funds II PLC Diamant Investment Corp. Dodge & Cox Funds Dodge & Cox Worldwide Investments Ltd. Driehaus Securities LLC

4734 5780 3600 5501 5601 4843 2108 5878 0126 4521 5960 2483 2484 5669 4917 8153 2561 5735 4994 6640 0574 0239 0300 7100 0715 0361 5563 5965 4890 5850 3612 2177 5863 4974 5510 6572 6672 3739 3649 0573 6684 3746 0344 5483 3684 6642

Driehaus Securities LLC / Driehaus Active Income Fund DSIL Investment Services, LLC Dunham & Associates Investment Counsel, Inc. Dupree & Company, Inc. DWS Investments Distributors, Inc. DWS Investments Distributors Inc./Most 529 DWS Investments Distributors, Inc./Deutsche Bank Eagle Fund Distributors, Inc. Eaton Vance Distributors, Inc. Eaton Vance Distributors, Inc./Eaton Vance International (Ireland) PLC Eaton Vance Distributors, Inc./Eaton Vance Trust Company Eaton Vance Distributors, Inc./Eaton Vance Variable Trust Funds Edmond de Rothschild Asset Management Encompass Fund Essex National Securities, Inc. E*Trade Clearing, LLC EULAV Securities LLC Eaton Vance Distributors, Inc./Eaton Vance International (Caymen Islands) Funds LTD. Fallen Angels Family of Funds FBR Investment Services, Inc. Federated Investors Corp. Federated Securities Corp./Federated International Management Limited Fenimore Asset Management Trust Fidelity Distributors Corporation/Fidelity International Limited Fidelity Investments Institutional Services Co., Inc. Fidelity Investments Life Insurance Company Fiduciary Management Inc. Fiduciary Trust Company International Fifth Third Bank (The) Financial Network Investment Corporation Financial West Group, Inc First Clearing LLC First Clearing, LLC/Wachovia Securities First Dominion Capital Corporation 1st Global Capital Corp. First Investors Corporation First Investors Corporation First National Capital Markets, Inc. First Pacific Mutual Fund, Inc. First Southwest Company First Symetra National Life Insurance Company opf New York/First Symetra NY Fee Based First Tennessee Brokerage, Inc. First Trust Portfolios L.P./First Trust Series Funds First Trust Portfolios, L.P. First Trust Portfolios, L.P.

5923 6631 5675 6618 5503 3721 5459 5822 5509 5438 5456 4938 3718 5397 0254 0385 5827 5715 6589 5526 5529 5759 6632 5785 5894 6908 6664 0937 2116 0343 4713 0141 0030 5823 0296 5545 5146 5371 3745 0309 3382 0192 5374 6575 8244

Page 3 of 15

October 2012

FMSBonds, Inc. FOLIOfn Investments, Inc Foreside Distribution Services, L.P./ACPI Global UCITS Funds PLC Foreside Distribution Services, L.P./AmSouth Funds Foreside Distribution Services, L.P./Asset Management Fund Foreside Distribution Services, L.P./Cavanal Hill Funds Foreside Distribution Services, L.P./First State Trust Company Foreside Distribution Services, L.P./Horizon Global Advisors Umbrella Fund LLC Foreside Distribution Services, L.P./HSBC Funds Foreside Distribution Services, L.P./HSBC Global Investment Funds Foreside Distribution Services, L.P./IMS Funds Foreside Distribution Services, L.P./IRT Mutual Funds Foreside Distribution Services, L.P./IVA Fiduciary Trust Foreside Distribution Services, L.P./IVA Global SICAV Fund Foreside Distribution Services, L.P./Leader Short Ten Bond Fund Foreside Distribution Services, L.P./Matthews International Foreside Distribution Services, L.P./Northern Trust Funds Foreside Distribution Services, L.P./Old Mutual Asset Management Trust Company (BHMS) Collective Investment Trust Foreside Distribution Services, L.P./Old Mutual Global Funds PLC Foreside Distribution Services, L.P./Permal Offshore Funds Foreside Distribution Services, L.P./Ridgeworth Funds Foreside Distribution Services, L.P./Signature Liquidity Fund, Ltd. Foreside Distribution Services, L.P./Skandia Global Funds PLC Foreside Distribution Services, L.P./SunTrust Bank Collective Trust Funds Foreside Distribution Services, L.P./USAllianz Mutual Funds Foreside Distribution Services, L.P./Victory Funds Foreside Distribution Services, L.P./Victory Institutional Funds Foreside Fund Services, LLC Foreside Fund Services, LLC/Nomura Partners Funds, Inc. Foreside Fund Services, LLC/Dundee Wealth Funds

0061 0728 3329 5816 6641 5807 4928 5633 5814 3312 4995 6614 4724 5410 5804 5150 6633

Foreside Fund Services, LLC/ Wright Investor Foreside Fund Services, LLC/361 Capital Foreside Fund Services, LLC/Aberdeen Funds Foreside Fund Services, LLC/American Beacon Funds Foreside Fund Services, LLC/Avenue Mutual Funds Trust Foreside Fund Services, LLC/Bennett Group of Funds Foreside Fund Services, LLC/Bridgeway Funds Foreside Fund Services, LLC/Henderson Global Funds Foreside Fund Services, LLC/Liberty Street Funds Foreside Fund Services, LLC/Performance Trust Foreside Fund Services, LLC/Perimeter Funds Foreside Fund Services, LLC/PMC Funds Foreside Fund Services, LLC/Quaker Funds Foreside Fund Services, LLC/Roxbury Funds Foreside Fund Services, LLC/Salient MF Trust Foreside Fund Services, LLC/Sound Shore Funds Foreside Fund Services, LLC/Turner Funds Foreside Fund Services, LLC/Wintergreen Fund Foreside Funds Distributors LLC/Aston Funds Foreside Funds Distributors LLC/Bogle Investment Management Funds of the RBB Fund, Inc. Foreside Funds Distributors LLC/E.I.I. Realty Securities Trust Foreside Funds Distributors LLC/Fairholme Funds, Inc.

5872 3349 4899 5742 3336 5544 5485 5528 6767 5324 3348 5747 4885 6620 3351 5649 5592 5721 5699

5818 6579 4870 5611 5782 5820 5716 3788 6679 5947 5724 5725 6644 5651 5416 5979

3330 5940 4888 4920 6673 5826 5562 6628 5686 5723 5659 5426 6549

Foreside Funds Distributors LLC/Fundvantage Trust Foreside Funds Distributors LLC/Guidestone Funds Foreside Funds Distributors LLC/HighMark Funds Foreside Funds Distributors LLC/Kalmar Pooled Investment Trust Foreside Funds Distributors LLC/Lincoln Advisors Trust Foreside Funds Distributors LLC/Marvin & Palmer Funds of the RBB Fund, Inc. Foreside Funds Distributors LLC/Matson Family, Inc. Funds of the RBB Fund, Inc. Foreside Funds Distributors LLC/Matthews International Funds DBA Matthews Asia Funds Foreside Funds Distributors LLC/Mercer Funds Foreside Funds Distributors LLC/Metropolitan West Funds Foreside Funds Distributors LLC/Old Westbury Funds, Inc. Foreside Funds Distributors LLC/Perimeter Capital Management of the RBB Fund, Inc. Foreside Funds Distributors LLC/Pyxis Funds

Page 4 of 15

October 2012

Foreside Funds Distributors LLC/Robeco Investment Funds of the RBB Fund, Inc. Foreside Funds Distributors LLC/Schneider Capital Management Funds of the RBB Fund, Inc. Foreside Funds Distributors LLC/Simple Alternatives Funds of The RBB Fund, Inc. Foreside Funds Distributors LLC/Spirit of America Investment Funds Foreside Funds Distributors LLC/Sterling Capital Funds Foreside Funds Distributors LLC/Stratton Family of Funds Foreside Funds Distributors LLC/The Motley Fool Funds Trust Foreside Funds Distributors LLC/The RBB Fund, Inc. Foreside Funds Distributors LLC/The Torray Funds Foreside Funds Distributors LLCConsulting Group Capital Markets Funds Foreside Funds Distributors LLCFirst Puerto Rico Family of Funds Forester Funds, Inc. Foresters Equity Services, Inc. Forward Securities, LLC 401Kstore.com (The) FPA Fund Distributors, Inc. Frank Funds Franklin/Templeton Distributors, Inc. Fred Alger & Co., Inc./Alger Sicav Fred Alger & Company, Incorporated Frontegra Funds, Inc. Frontier Trust Company FSC Securities Corp. FSC Securities Corporation/Advantage Capital Funds Distributor, LLC Funds Distributor, LLC/GMO Trust Funds Distributor, LLC/MIRAE Asset Discovery Funds Funds Distributor, LLC/Munder Funds Funds Distributor, LLC/GMO Series Trust Gabelli Funds - (NFDS) GAM Fund Management LTD GE Financial Trust Company GE Investment Distributors, Inc. Genworth Financial Securities Corporation Genworth Life and Annuity Insurance Company Genworth Life and Annuity Insurance Company Genworth Life Insurance Company of New York Glenmede Trust Company, N.A. (The) Glickenhaus & Co. Global Trust Company Global Trust Company/NTRS Global Trust Company/NRS Gold Coast Securities, Inc.

5800

Goldman, Sachs & Co. Goldman Sachs & Co. Goldman Sachs & Co./Commerce Funds Goldman Sachs & Co./Goldman Sachs International Funds Goldman Sachs Execution & Clearing, L.P. Guardian Insurance & Annuity Company, Inc./Fund Trading Guardian Investor Services LLC GWFS Equities, Inc. GWFS Equities, Inc. GWFS Equities, Inc./Orchard Trust Company LLC Hand Benefits & Trust Company Hand Benefits & Trust Company Hantz Financial Services, Inc. Harbor Funds Distributors, Inc. Hartford Investment Financial Services Co. Hartford Investment Financial Services Co./Upromise Hartford Life Insurance Company (The) Hartford Life Insurance Company/HLS Fund of Funds Hartford Life Insurance Company/Mutual Fund Hartford Securities Distribution Company, Inc. Hartford Securities Distribution Company, Inc./PRG Hazlett, Burt & Watson, Inc. Hewitt Associates LLC Homestead Funds, Inc. HSBC Bank USA, N.A./IPB HSBC Bank USA, National Association HSBC Securities (USA) Inc. Huntingon National Bank ICMA-RC Services, LLC ICMA-RC Services, LLC Icon Distributors, Inc. IFC Holding, Inc./Invest Financial Corporation ING Financial Partners, Inc./LSSI ING Institutional Plan Services, LLC ING Investment Advisors, LLC ING Investment Advisors, LLC/TPA Accounts ING Investments Distributor, LLC ING Investments Distributor, LLC/ING IODC ING Investments Distributor, LLC/ING Offshore ING Investments Distributor, LLC/Wisconsin Tomorrow's Scholar 529 Plan ING Life Insurance and Annuity Company/Fund Serv/Trading ING National Trust Company ING USA Annuity and Life Insurance Company/Mutual Funds Trading Ingalls & Snyder, LLC Institutional Investor Trust Integrity Funds Distributor, Inc. Interactive Brokers, LLC/Retail Clearance

0005 5572 5799 6570 0501 4637 5573 0257 5330 3702 4866 5950 0614 5471 4856 5892 4501 4681 4599 0765 5920 0252 7107 6553 2122 2165 0816 2305 0282 4942 5549 0566 0465 7108 0291 0591 5734 5859 5473 85258 4575 2360 4510 0124 3709 5657 0534

5856 5342 5362 5648 5448 6594 5808 6554 5422 5547 4949 0149 5889 7129 5851 6671 5534 4950 5594 5507 2563 0169 0191 5497 6680 5322 5617 3601 5574 3605 5970 5679 0471 4525 5752 4553 2139 5514 5915 5357 5311 4083

Page 5 of 15

October 2012

International Strategy & Investment Group, Inc. Invesco Distributors, Inc. Invesco Distributors, Inc./Fund Management Co. Invesco Distributors, Inc./Offshore Invesco Distributors, Inc./AIM Global Advisors Limited Investacorp, Inc. Investment Centers of America, Inc. Janney Montgomery Scott LLC Janus Distributors LLC Janus Distributors LLC/Janus Capital International Limited Jefferies & Co., Inc. Jefferson National Life Insurance Company J.J.B. Hilliard, W.L. Lyons, LLC John Hancock Funds, LLC John Hancock Funds, LLC/MGF Offshore Lux John Hancock Life Insurance Company (USA) / Global Diversification John Hancock Life Insurance Company (USA) /Diversified Equity John Hancock Life Insurance Company (USA) /Fundamental Holdings John Hancock Life Insurance Company of New York/RPS SEG Funds & Accounting ET7 Johnson Investment Counsel, Inc. Jones (Edward D.) & Co. JP Morgan Chase Bank/ADP Express Account JP Morgan Chase Bank/J.P. Morgan InstitutionalInvestments Inc. JPMorgan Chase Bank N.A./JPMorgan Chase Health Savings JPMorgan Chase Bank N.A./Worldwide Securities Services Hewitt Accounts JPMorgan Chase Bank/PCS Shared Services JPMorgan Chase Bank/TIAA-CREF J.P. Morgan Clearing Corp. JPMorgan Distribution Services, Inc. J.P. Morgan Institutional Investments, Inc. JP Morgan Retirement Plan Services LLC JPMorgan Chase Bank/PB-PCS Shared Services JPMorgan Distribution Services, Inc./JPM OffShore Funds JPMorgan Distribution Services, Inc./NY Advisor 529 Plan Keeley Investment Corp. Key Bank N.A. KeyBanc Capital Markets Inc. Keybank National Association King (C.L.) & Associates, Inc. KMS Financial Services, Inc. Koonce Securities Inc. Lazard Capital Markets LLC Lazard Freres & Co., LLC

5591 5540 5450 6592 4882 0138 0565 0374 5781 5467 0019 4573 0768 5582 5133 4716 4714 4715 4705 3779 0057 0409 5978 0915 0204 2255 2006 0352 5599 4871 7147 6652 5798 3789 5661 5608 0799 2205 0743 4835 0712 0308 4850

Lazard Freres & Co., LLC/Lazard Global Active Funds (Offshore) COR Clearing LLC Legg Mason Investor Services, LLC Legg Mason Investor Services, LLC/529 Plans Legg Mason Investor Services, LLC/Citifunds Legg Mason Investor Services, LLC/Legg Mason Collective Trust Legg Mason Investor Services, LLC/Legg Mason Global Funds PLC Lerner (David) Associates, Inc. Lifetime Achievement Fund, Inc. Lincoln Investment Planning Inc. Lincoln Life & Annuity Company of New York Lincoln National Life Insurance Company/II Loomis Sayles Trust Company, LLC Lord Abbett Distributors Loring Ward Securities, Inc. LPL Financial Corporation M&I Distributors LLC/Marshall Funds M&I Distributors, LLC Madison Investment Advisors, LLC Madison Investment Advisors, LLC/Members Mutual Fund Madison Investment Advisors, LLC/Ultra Series Fund Mainsail Group, LLC Managers Investment Group, LLC Managers Investment Group, LLC/Yacktman Funds Manning & Napier Investor Services, Inc. Manor Investment Funds, Inc. Manufacturers & Traders Trust Company/TPA Marsco Investment Corporation Massachusetts Mutual Life Insurance Company Massachusetts Mutual Life Insurance Company/Fund Operations Matrix Capital Group, Inc. Matrix Capital Group, Inc. / The Monteagle Funds Matrix Capital Group, Inc./360 Funds Matrix Capital Group, Inc./Amidex Matrix Capital Group, Inc./Congressional Effect Fund Matrix Capital Group, Inc./Frank Funds Matrix Capital Group, Inc./Nest Egg Funds Matrix Capital Group, Inc./Shields & Company Matthew 25 Fund, Inc. MBSC Securities Corporation MBSC Securities Corporation/Mellon Bank N.A. (MCM) MBSC Securities Corporation/Mellon Bank N.A. (SMAM) MBSC Securities Corporation/Mellon Bank, NA (TBC)

5417 0052 5749 5570 5834 5630 5833 5144 6514 0145 4686 4685 3755 5500 5672 0075 6561 5352 6577 4987 3765 5411 5736 5774 5753 5709 2128 0287 4545 4534 5681 6697 5695 6606 5637 5372 5694 5843 6637 5523 6657 6538 6598

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October 2012

MBSC Securities Corporation/Mellon Global Funds MBSC Securities Corporation/The Bank of New York Mellon Mercer Trust Company Mercer Trust Company Merrill Lynch, Pierce, Fenner & Smith Inc. Merrill Lynch, Pierce, Fenner & Smith Incorporated/Fixed Income Mesirow Financial, Inc. MetLife Securities, Inc. Metlife Securities, Inc./Metlife Defined Contribution Group Metlife Securities, Inc./TPA Metropolitan Life Insurance Company MFS Distributors Inc. MFS Heritage Trust Company MFS International Funds M Fund Inc. MG Trust Company, LLC M Holdings Securities, Inc. Mid Atlantic Capital Corp. Mid Atlantic Capital Corp./Sungard-Hinsdale Midas Securities Group, Inc. Midland National Life Insurance Company Midland National Life Insurance Company/Sammons Retirement Solutions M.J. Whitman, LLC / Third Avenue Capital PLC MML Investors Services, Inc. Monumental Life Insurance Company/Peoples Morgan Stanley & Co. LLC Morgan Stanley & Co. LLC Morgan Stanley & Co. LLC/Advisor Funds Morgan Stanley & Co. LLC/Dublin Liquidity Morgan Stanley & Co. LLC/Liquidity Funds Morgan Stanley & Co. LLC/Universal Institutional Inc Morgan Stanley Smith Barney LLC Morgan, Keegan & Company, Inc. M&T Securities, Inc. Multi Financial Securities Corporation Multi-Financial Securities Corporation/Vestax Securities Corporation Mundoval Funds National Financial Services Corporation National Life Insurance Company of Vermont National Planning Corp. National Security Life and Annuity Co. Nationwide Fund Distributors, LLC Nationwide Investment Services Corp. Nationwide Securities, LLC Needham & Company, LLC Neiman Funds Nelnet Capital LLC/College Savings Group Nelnet Capital, LLC Neuberger & Berman Management, Inc.

6615 5913 0347 7103 0161 0773 0727 0484 0597 7131 5777 5516 6605 5840 5425 5954 0757 0101 0102 5890 4709 4758 5916 0255 4565 0050 5857 4970 6646 5767 5512 0015 0780 0040 0466 0444 4902 0226 4555 0668 4656 6559 0263 0605 5587 5738 6583 5880 5810

Neuberger & Berman Management, Inc./AMT Funds Neuberger Berman Management Inc./Lehman Brothers Alpha Funds Neuberger Berman Management Inc./Lehman Brothers Collective Trust Newedge USA LLC/Equity Clearing Division NFP Securities, Inc. NGAM Distribution, L.P. NGAM Distribution, L.P./Hansberger Funds NGAM Distribution, L.P./Loomis Sayles Funds NGAM Distribution, L.P./Natixis International funds (Dublin) I NGAM Distribution, L.P./Natixis International funds (LUX) I Nicholas Company, Inc. Northeast Investors Growth Fund Northeast Investors Trust Northeast Retirement Services, Inc Northern Lights Distributors, LLC Northern Lights Distributors, LLC/13D Activist Fund Northern Lights Distributors, LLC/7Twelve Balanced Fund Northern Lights Distributors, LLC/Adaptive Allocation Fund Northern Lights Distributors, LLC/AdvisorOne Funds Northern Lights Distributors, LLC/AIS Tactical Asset Allocation Portfolio Northern Lights Distributors, LLC/Altegris Mutual Funds Northern Lights Distributors, LLC/Alternative Strategies Mutual Fund Northern Lights Distributors, LLC/Altrius Small Cap Value Fund Northern Lights Distributors, LLC/AmericaFirst Funds Northern Lights Distributors, LLC/Arrow Funds Northern Lights Distributors, LLC/Ascendant Funds Northern Lights Distributors, LLC/Astor Funds Northern Lights Distributors, LLC/Bandon Isolated Alpha Fixed Income Fund Northern Lights Distributors, LLC/BCM Portfolios Northern Lights Distributors, LLC/Beech Hill Total Return Fund Northern Lights Distributors, LLC/Biondo Fund Northern Lights Distributors, LLC/Bishop Volatility Flex Fund Northern Lights Distributors, LLC/Black Knight Funds Northern Lights Distributors, LLC/Bluerock Total Income + Real Estate Fund Northern Lights Distributors, LLC/Boyar Value Fund

5665 6681 6591 0608 0481 5542 5525 5714 6678 6677 5590 5821 5778 7104 4915 3796 5604 6694 4904 3325 5333 5946 3742 3314 4824 3743 5400 5393 3323 5129 5477 5364 6540 3387 5796

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October 2012

Northern Lights Distributors, LLC/Braver Tactical Opportunity Fund Northern Lights Distributors, LLC/BTS Bond Asset Allocation Fund Northern Lights Distributors, LLC/Camelot Funds Northern Lights Distributors, LLC/Catalyst Funds Northern Lights Distributors, LLC/Chadwick & D'Amato Fund Northern Lights Distributors, LLC/CMG Funds Northern Lights Distributors, LLC/Compass EMP Funds Northern Lights Distributors, LLC/Copeland Risk Managed Dividend Growth Fund Northern Lights Distributors, LLC/Crow Point Fund Northern Lights Distributors, LLC/CWC Aggressive Value Small Cap Fund Northern Lights Distributors, LLC/Day Hagan Funds Northern Lights Distributors, LLC/Delux Funds Northern Lights Distributors, LLC/Diversified Risk Parity Fund Northern Lights Distributors, LLC/EAS Funds Northern Lights Distributors, LLC/Eventide Funds Northern Lights Distributors, LLC/Foxhall Global Trends Fund Northern Lights Distributors, LLC/Generations Northern Lights Distributors, LLC/Ginkgo MultiStrategy Fund Northern Lights Distributors, LLC/GL Beyond Income Fund Northern Lights Distributors, LLC/GMG Defensive Beta Fund Northern Lights Distributors, LLC/GPS Multiple Strategy Fund Northern Lights Distributors, LLC/Grant Park Managed Futures Strategy Fund Northern Lights Distributors, LLC/Horizon Active Asset Allocation Fund Northern Lights Distributors, LLC/Hundredfold Funds Northern Lights Distributors, LLC/IASG Managed Futures Strategy Fund Northern Lights Distributors, LLC/Inflation Hedges Strategy Fund Northern Lights Distributors, LLC/Innealta Funds Northern Lights Distributors, LLC/Investment Partners Opportunities Fund Northern Lights Distributors, LLC/Iron Horse Fund Northern Lights Distributors, LLC/JAG Funds Northern Lights Distributors, LLC/JNF Portfolios Northern Lights Distributors, LLC/KCM Macro Trends Fund Northern Lights Distributors, LLC/Kottke Commodity Strategies Fund

3339 5401 3320 5527 5382 6541 6607 5395 3322 5379 3317 3748 5304 5701 3316 5319 5941 3744 3301 5934 3707 5615 3614 3767 3617 3338 3795 5414 3724 3603 3701 5041 3615

Northern Lights Distributors, LLC/Ladenburg Thalmann Alternative Strategies Fund Northern Lights Distributors, LLC/Linde Hansen Contrarian Value Fund Northern Lights Distributors, LLC/Longboard Managed Futures Strategy Fund Northern Lights Distributors, LLC/Makefield Managed Futures Strategy Fund Northern Lights Distributors, LLC/Mariner Hyman Beck Fund Northern Lights Distributors, LLC/Miller Convertible Funds Northern Lights Distributors, LLC/MutualHedge Funds Northern Lights Distributors, LLC/Navigator Equity Hedged Fund Northern Lights Distributors, LLC/Nile Funds Northern Lights Distributors, LLC/North Country Funds Northern Lights Distributors, LLC/North Star Opportunity Fund Northern Lights Distributors, LLC/OCM Gold Fund Northern Lights Distributors, LLC/Pacific Financial Funds Northern Lights Distributors, LLC/Power Income Fund Northern Lights Distributors, LLC/Princeton Credit Income Fund Northern Lights Distributors, LLC/Princeton Futures Strategy Fund Northern Lights Distributors, LLC/PSI Funds Northern Lights Distributors, LLC/PTA Funds Northern Lights Distributors, LLC/Puerto Rico Growth Fund Northern Lights Distributors, LLC/Quantitative Managed Futures Strategy Fund Northern Lights Distributors, LLC/River Rock IV Fund Northern Lights Distributors, LLC/Roge Partners Funds Northern Lights Distributors, LLC/SCA Funds Northern Lights Distributors, LLC/SFG Futures Strategy Fund Northern Lights Distributors, LLC/Sierra Funds Northern Lights Distributors, LLC/SignalPoint Global Alpha Fund Northern Lights Distributors, LLC/SMH Funds Northern Lights Distributors, LLC/SouthernSun Funds Northern Lights Distributors, LLC/Sustainable Opportunities Fund Northern Lights Distributors, LLC/Swan Defined Risk Fund Northern Lights Distributors, LLC/Tatro Capital Tactical Appreciation Fund

5344 3616 3347 3714 3794 5622 5130 5394 5359 5433 3783 6663 5644 5332 3304 5381 5335 5924 6624 3756 3386 4933 5396 3610 5628 3397 3321 6604 3326 3357 3708

Page 8 of 15

October 2012

Northern Lights Distributors, LLC/Taylor Xplor Managed Futures Strategy Fund Northern Lights Distributors, LLC/The Collar Fund Northern Lights Distributors, LLC/The Currency Strategies Fund Northern Lights Distributors, LLC/The FX Strategy Fund Northern Lights Distributors, LLC/The Giralda Fund Northern Lights Distributors, LLC/The Guardian Fund Northern Lights Distributors, LLC/The MultiStrategy Growth & Income Fund Northern Lights Distributors, LLC/The Saratoga Advantage Trust Northern Lights Distributors, LLC/Timothy Plan Northern Lights Distributors, LLC/Toews Funds Northern Lights Distributors, LLC/TOPS Portfolios Northern Lights Distributors, LLC/Tributary Funds Northern Lights Distributors, LLC/Vertical Capital Income Fund Northern Lights Distributors, LLC/VRM Funds Northern Lights Distributors, LLC/Wade Tactical L/S Fund Northern Lights Distributors, LLC/Wintrust Capital Funds Northern Lights Distributors, LLC/WOA All Asset I Northern Lights Distributors, LLC/Zeo Strategic Income Fund Northern Lights Distributors, LLC/Two Oaks Fund Northern Trust Company (The) Northern Trust Company (The) Northern Trust Company (The)/Sub-Advised Collective Funds Trust-LSV Northern Trust Company/Fixed Income Investment Fund, a Fund of the Chicago Equity Partners Group Trust Northern Trust Company/Great Banc Collective Investment Trust I Northern Trust Company/Mondrian Wal-Mart Focused International Equity Fund Nuveen Securities, LLC Nuveen Securities, LLC/Dublin Funds NYLIFE Securities, LLC NYLIFE Securities, LLC/Collective Trust NYLife Securities, LLC/New York Life Insurance Company Group Annuity Contracts Oakmark Funds (The) Oberweis Securities, Inc. Ohio National Life Insurance Company Olstein Associates, Inc. O.N. Equity Sales Company (The) O.N. Equity Sales Company (The)/Ohio National

3384 5927 6696 3722 3716 5403 3784 4959 6518 5906 3711 5853 3769 3315 5939 5740 3632 3715 3751 2669 6625 3698

OneAmerica Funds, Inc. Oppenheimer & Co., Inc. Oppenheimer Trust Company OppenheimerFunds Distributor, Inc. OppenheimerFunds Distributor, Inc./Mass Mutual Institutional Funds OppenheimerFunds Distributor, Inc./MM Separate Investment Accounts OppenheimerFunds Distributor, Inc./New Mexico 529 Plan OppenheimerFunds Distributor, Inc./Oregon 529 Product OptionsXpress, Inc. Pacific Global Fund, Inc. Pacific Life & Annuity Company Pacific Life Insurance Company Pacific Life Insurance Company/ Life Division Pacific Life Insurance Company/Life Division Pacific Select Distributors, Inc. Paradigm Funds Park Avenue Securities, LLC Parnassus Investments Payden & Rygel Distributors Penn Mutual Life Insurance Company People's Securities, Inc. Pershing LLC Pershing LLC/BNYM I.S. Trust FBO Health Savings Accounts Customers Pershing LLC/BNYM I.S. Trust FBO Managers Funds Wrap Program Pershing LLC/BNYM I.S. Trust FBO Morningstar Wrap Program Pershing LLC/Primerica Financial Services PFS Funds PHL Variable Life Insurance Company PHL Variable Life Insurance Company/Part Advisor Phoenix Life Insurance Company PIMCO Investments LLC PIMCO Investments LLC/Global Investor Series Pinnacle Investments, LLC Pinnacle Investments, LLC/Tarkio Fund Pioneer Investment Management USA Inc. Pioneer Investment Management USA Inc./Pioneer Funds International Piper Jaffray & Co. Planmember Securities Corporation PNC Bank, N.A. PNC Funds Distributor, LLC/PNC Funds Popular Securities, Inc. Portfolio Brokerage Services Inc. Presidential Bank, FSB Prime Capital Services, Inc. PrimeVest Financial Services, Inc. Princor Financial Services Princor Financial Services Corporation

5689 0571 0303 5511 5844 3697 4941 5470 0338 4860 4589 4532 6545 4616 5478 5476 0496 5783 5535 4572 0220 0443 0592 0657 0474 0689 6683 4582 4711 4579 4991 4836 4925 3609 5502 5743 0311 0489 2616 5879 5687 8052 5987 0665 0701 0375 5546

3772 6689 4900 5520 4828 5539 5787 5363 4851 5697 4526 5775 0092 4753

Page 9 of 15

October 2012

Princor Financial Services Corporation /Principal Life Insurance Company Princor Financial Services Corporation/PGI Princor Financial Services Corporation/Principal Funds Princor Financial Services Corporation/Union Bond & Trust Princor Financial Services, Inc./M ProFunds Distributors, Inc. Prudential Insurance Company of America Prudential Insurance Company of America/Prudential Insurance Co. of America Prudential Insurance Company of America/Prudential Ret. Insurance & Annuity Corp. Prudential Insurance Company of America/Prudential Trust Company, Inc. Prudential Investment Management Services, LLC Prudential Investment Management Services, LLC Prudential Investment Management Services, LLC/Worldwide Inv. Portfolio Funds Putnam Retail Management Limited Partnership Putnam Retail Management Limited Partnership/Embassy Funds PWMCO, LLC QS Investors, LLC Quasar Distributors, LLC Quasar Distributors, LLC/Aberdeen Offshore Funds Quasar Distributors, LLC/AC One Funds Quasar Distributors, LLC/Academy Fund Trust Quasar Distributors, LLC/ActivePassive Funds Quasar Distributors, LLC/Advantus Funds Quasar Distributors, LLC/Aegis Funds Quasar Distributors, LLC/Akre Funds Quasar Distributors, LLC/AL Frank Fund Quasar Distributors, LLC/Alpha Capital Funds Quasar Distributors, LLC/Alpine Funds Quasar Distributors, LLC/America Trust Allegiance Fund Quasar Distributors, LLC/Appleton Group Funds Quasar Distributors, LLC/Artio Global Fund Quasar Distributors, LLC/Barrett Growth Fund Quasar Distributors, LLC/Becker Value Funds Quasar Distributors, LLC/Boston Common Funds Quasar Distributors, LLC/Brandes Dublin Offshore Quasar Distributors, LLC/Brandes Investment Trust Quasar Distributors, LLC/Brandywine Funds Quasar Distributors, LLC/Bridges Investment Fund Quasar Distributors, LLC/Brookfield Investment Funds

5607 5212 5836 4811 0175 4969 4968 4733

Quasar Distributors, LLC/Brown Advisory Funds Quasar Distributors, LLC/Buffalo Funds Quasar Distributors, LLC/Bushido Funds Quasar Distributors, LLC/Capital Advisor Growth Fund Quasar Distributors, LLC/Chase Growth Funds Quasar Distributors, LLC/Coldstream Dividend Growth Fund Quasar Distributors, LLC/Collins Capital Funds Quasar Distributors, LLC/Congress Asset Management Quasar Distributors, LLC/Contravisory Funds Quasar Distributors, LLC/Country Funds Quasar Distributors, LLC/Cove Street Funds Quasar Distributors, LLC/Cushing Funds Quasar Distributors, LLC/Davidson Funds Quasar Distributors, LLC/Doubleline Funds Quasar Distributors, LLC/Dow Jones Islamic Index Fund Quasar Distributors, LLC/DSM Funds Quasar Distributors, LLC/Duncan Hurst Aggressive Growth Quasar Distributors, LLC/Edgar Lomas Fund Quasar Distributors, LLC/Empiric Funds Quasar Distributors, LLC/Evermore Value Trust Quasar Distributors, LLC/Fort Pitt Capital Funds Quasar Distributors, LLC/Frontegra Small Cap Core Fund Quasar Distributors, LLC/Fund * X Upgrader Fund Quasar Distributors, LLC/Geneva Advisors All Cap Growth Fund Quasar Distributors, LLC/Genworth Funds Quasar Distributors, LLC/Gerstein Fisher Funds Quasar Distributors, LLC/Glenmede Fund, Inc. Quasar Distributors, LLC/Goodhaven Fund Quasar Distributors, LLC/GPS Funds I Quasar Distributors, LLC/GPS Funds II Quasar Distributors, LLC/Great Lakes Funds Quasar Distributors, LLC/Greenspring Fund Quasar Distributors, LLC/Guinness Atkinson Funds Quasar Distributors, LLC/Harding Loevner Funds, Inc. Quasar Distributors, LLC/Hatteras Funds Quasar Distributors, LLC/Hennessy Mutual Funds, Inc. Quasar Distributors, LLC/Hodges Fund Quasar Distributors, LLC/Hotchkis & Wiley Funds Quasar Distributors, LLC/Huber Capital Funds Quasar Distributors, LLC/Intrepid Capital Funds Quasar Distributors, LLC/Investec Global Strategy Funds Quasar Distributors, LLC/Investec Offshore Funds Quasar Distributors, LLC/IronBridge Funds

5437 4931 3360 5691 5626 5327 3306 5741 5797 4922 3749 5328 5945 5353 5566 5952 6567 5727 5561 5407 5887 3736 5666 6527 5864 5938 4955 3700 5495 5977 3366 6513 5754 4981 5449 4869 5792 4984 6530 4815 5057 5755 5321

6525 6526 5805 0450 5746 5505 5893 0467 3766 5368 4957 3639 5612 5614 3364 6612 5937 4993 5365 5896 6638 4935 6675 5480 5291 5350 5911 5693 4978 5531 3734

Page 10 of 15

October 2012

Quasar Distributors, LLC/Jacob Internet Fund Quasar Distributors, LLC/Jensen Portfolio, Inc. Quasar Distributors, LLC/Jordan Opportunity Fund Quasar Distributors, LLC/Julius Baer Offshore Funds Quasar Distributors, LLC/Kellner Funds Quasar Distributors, LLC/Keystone Funds Quasar Distributors, LLC/Kinetics Mutual funds Quasar Distributors, LLC/Kirr Marbach Partners Fund, Inc. Quasar Distributors, LLC/Lawson Kroeker Funds Quasar Distributors, LLC/Litman Gregory Funds Quasar Distributors, LLC/LKCM Funds Quasar Distributors, LLC/LoCorr Investment Trust Quasar Distributors, LLC/Logan Funds Quasar Distributors, LLC/MainGate MLP Funds Quasar Distributors, LLC/Mariner Funds Quasar Distributors, LLC/Matrix Advisors Value Fund, Inc. Quasar Distributors, LLC/MD Sass Funds Quasar Distributors, LLC/Merger Fund Quasar Distributors, LLC/Monetta Funds Quasar Distributors, LLC/Morgan Dempsey Funds Quasar Distributors, LLC/Muhlenkamp Fund Quasar Distributors, LLC/Mutual.com Quasar Distributors, LLC/Muzinich Funds Quasar Distributors, LLC/New Path Funds Quasar Distributors, LLC/Niemann Fund Quasar Distributors, LLC/Nuance Funds Quasar Distributors, LLC/Orinda Long Short Equity Fund Quasar Distributors, LLC/O'Shaughnessy Funds Quasar Distributors, LLC/Osterweis Fund Quasar Distributors, LLC/Pension Partners Fund Quasar Distributors, LLC/Perkins Funds Quasar Distributors, LLC/Permanent Portfolio Quasar Distributors, LLC/Perritt Funds Quasar Distributors, LLC/Phocus Funds Quasar Distributors, LLC/Pictet Funds Quasar Distributors, LLC/PineBridge Funds Quasar Distributors, LLC/PMC RetireFocus Funds Quasar Distributors, LLC/Poplar Forest Partners Fund Quasar Distributors, LLC/Portfolio 21 Quasar Distributors, LLC/Primary Trend Fund Quasar Distributors, LLC/PRIMECAP Odyssey Funds Quasar Distributors, LLC/Prospector Funds Quasar Distributors, LLC/Provident Trust Quasar Distributors, LLC/Purisma Funds Quasar Distributors, LLC/Rainier Funds Quasar Distributors, LLC/RBC Funds Trust

4960 5491 5917 5698 3644 5848 6608 6685 3345 4892 4883 5569 3305 5366 5406 4908 5918 6601 5766 5354 4986 5847 3646 3770 5317 5369 5931 5318 4840 3367 5440 6627 5602 6547 5793 5616 3327 5404 4929 5858 4895 5901 3371 6643 4876 5413

Quasar Distributors, LLC/Reinhart Funds Quasar Distributors, LLC/Rochdale Funds Quasar Distributors, LLC/Rockland Trust Quasar Distributors, LLC/Roosevelt Funds Quasar Distributors, LLC/Samson Funds Quasar Distributors, LLC/Scharf Funds Quasar Distributors, LLC/Schooner Growth & Income Fund Quasar Distributors, LLC/Selector Management Fund Quasar Distributors, LLC/Selkirk Funds Quasar Distributors, LLC/Smead Value Fund Quasar Distributors, LLC/Standard Insurance Quasar Distributors, LLC/Strategic Income Management Funds Quasar Distributors, LLC/TCM Small Cap Growth Fund Quasar Distributors, LLC/Teberg Fund Quasar Distributors, LLC/The Snow Capital Family of Funds Quasar Distributors, LLC/Thomas White Funds Quasar Distributors, LLC/Thompson Plumb Funds Quasar Distributors, LLC/Tiedemann Funds Quasar Distributors, LLC/Tortoise Core Infrastructure Fund Quasar Distributors, LLC/US Bank Institutional Collective Funds Quasar Distributors, LLC/Villere Balanced Fund Quasar Distributors, LLC/Wall Street Fund Quasar Distributors, LLC/WBI Funds Quasar Distributors, LLC/Winslow Green Funds Quasar Distributors, LLC/WisCap Funds Quasar Distributors, LLC/WY Funds Queens Road Securities, LLC Rafferty Capital Markets, LLC Rafferty Capital Markets, LLC/Archer Funds Rafferty Capital Markets, LLC/Berkshire Funds Rafferty Capital Markets, LLC/Chou America Mutual Fund Rafferty Capital Markets, LLC/Entrepreneur Shares Rafferty Capital Markets, LLC/Epiphany Funds Rafferty Capital Markets, LLC/Hagin Keystone Market Neutral Fund Rafferty Capital Markets, LLC/Leuthold Funds Rafferty Capital Markets, LLC/Longleaf Partner Funds Rafferty Capital Markets, LLC/Marketocracy Funds Rafferty Capital Markets, LLC/New Frontiers KC India Fund Rafferty Capital Markets, LLC/Oracle Funds Rafferty Capital Markets, LLC/PIP New Generation Fund

3307 4990 5355 5636 3346 3771 4723 5729 3738 6686 3719 5905 4898 4916 4976 6636 5557 5731 5168 4695 4886 6626 5326 6687 6674 4874 4884 5726 5124 5899 5323 5367 6634 3313 5656 4863 6682 3704 5131 3723

Page 11 of 15

October 2012

Rafferty Capital Markets, LLC/Ranger Funds Investment Trust Rafferty Capital Markets, LLC / Satuit Funds Rafferty Capital Markets, LLC / Sparrow Funds Raymond James & Associates, Inc. RBC Capital Markets Corporation RBS Securities Inc./Equities Reich & Tang Distributors, Inc. Reliance Trust Company Reliance Trust Company Reliance Trust Company/MetLife Stable Value Fund Reliance Trust Company/SSB&T Reliance Trust Company/SWMS1 Reliance Trust Company/SWMS2 Reliastar Life Insurance Company of New York Reliastar Life Insurance Company/Life & Annuity Product Investment Trading Reliastar Life Insurance Company/Reliastar New York Reliastar Life Insurance Company/Reliastar Retirement Plans Renaissance Capital Greenwich Funds Reynolds Funds, Inc. RFS Partners Richards, Merrill & Peterson, Inc. Robeco Trust Company Robert W. Baird & Co. Robinson & Lukens, Inc. Rowe (T.) Price Investment Services, Inc. Royce Fund Services Inc. Ruane, Cunniff & Goldbarb LLC Russell Financial Services, Inc. Russell Trust Company Russell Trust Company Rydex Distributors LLC Sammons Securities Company, LLC/Sammons Financial Network LLC Saturna Brokerage Services, Inc. Schroder Fund Advisors LLC Schroder Fund Advisors LLC/Schroder Fund Advisors International Division Schwab Retirement Plan Services Company Scottrade, Inc. Security Benefit Life Insurance Company Security Life of Denver/Mutual Funds SEI Investments Distribution Co./Advisors Inner Circle Fund SEI Investments Distribution Co./CRA Funds SEI Investments Distribution Co./Causeway Capital Management Trust SEI Investments Distribution Co./CNI Charter Funds SEI Investments Distribution Co./CNI Charter Funds II

3775 5867 5908 0725 0235 0425 5811 5962 4896 5312 3636 2042 2085 4653 4652 4606 4603 5454 6573 4989 8192 5325 4905 7607 5586 5663 3726 5762 4832 5964 4912 3608 4983 4956 4853 7119 0705 4527 4668 5763 5748 4913 6667 5559

SEI Investments Distribution Co./First Hawaiian Fund SEI Investments Distribution Co./Hancock Horizon Family of Funds SEI Investments Distribution Co./SEI Institutional Funds SEI Investments Distribution Co./TD Asset Management USA Funds Inc. SEI Investments Distribution Co./UA S&P 500 Index Fund SEI Investments Distribution Co./Wilshire Funds SEI Investments Distribution Co/New Covenant Funds SEI Private Trust Company SEI Private Trust Company/C/O/ GWP SEI Trust Company Sentinel Financial Services Company SG Americas Securities, LLC SIA Securities Corp. SII Investments Smith Hayes Financial Services Corp./Colorado Bondshares Smith Hayes Financial Services Corporation Smith, Moore & Co. Southwest Securities, Inc. STAAR Investment Trust Standard Insurance Company State Farm VP Management Corp. State Street /ACH HR Solutions LLC/Ford Motor Company State Street Bank & Trust Co./ACS HR Solutions/Rio Tinto State Street Bank & Trust Co../FBO Qualified Plans State Street Bank & Trust Co./ACS HR Solutions, LLC/DTCC State Street Bank & Trust Co./ACS/Glaxosmithkline State Street Bank & Trust Co./ADP-Morgan Stanley State Street Bank & Trust Co./AXA Equitable Life Insurance Company State Street Bank & Trust Co./IBT State Street Bank & Trust Co./Inst'l Custody State Street Bank & Trust Co./JP Morgan Retirement Plan Services State Street Bank & Trust Co./JP Morgan Retirement Plan Services/Deluxe Cp State Street Bank & Trust Co./JP Morgan Retirement Plan Services/Hallmark Cards Inc. State Street Bank & Trust Co./Mainstay State Street Bank & Trust Co./NYLIM/SIP State Street Bank & Trust Co./Sanford Bernstein Alliance Capital State Street Bank & Trust Co./T. Rowe Price Retirement Plan Services

5606 6691 5717 6539 4973 4875 6536 2039 2663 4952 5873 0286 5779 0640 5708 5575 0494 0279 6736 4701 4971 2524 5329 5165 5966 5623 5991 0228 4946 2132 0130 5435 2547 0487 5953 6519 5968

Page 12 of 15

October 2012

State Street Bank & Trust Co./Wealth Management Services 2 State Street Bank & Trust Co./Wealth Manager Services State Street Bank & Trust Co/Lincoln Retirement Services State Street Bank & Trust Company/Hewitt/Ally State Street Bank & Trust Company/ING/State of Minnesota State Street Bank & Trust Company/JPM Retirement Plan Services/Bechtel State Street Bank & Trust Company/JPMorgan/Pacificorp Plus Employees Savings Plan State Street Bank & Trust Company/NRS/Bechtel NR Program DC Master Trust State Street Bank & Trust Company/NRS/Delphi State Street Bank & Trust Company/NRS/Intel State Street Bank & Trust Company/NRS/SBERA State Street Global Markets, LLC State Street Global Markets, LLC/State Street Collective Fund State Street/ACS/ConAgra Foods State Trust Capital, LLC Stephens, Inc. Sterne, Agee & Leach, Inc. Stifel, Nicolaus & Company Incorporated Stockcross Financial Services, Inc. Stoever, Glass & Co., Inc. SunAmerica Capital Services, Inc. SunAmerica Capital Services, Inc./Valic SunTrust Bank - DTC #2971 SunTrust Bank/401K Mutual Funds Settlement SunTrust Robinson Humphrey Inc Sweney, Cartwright & Company Symetra Investment Services, Inc. Symetra Life Insurance Company Symetra Life Insurance Company/Symetra Fee Based Symetra Life Insurance Company/Symetra Mutual Funds Trust Syndicated Capital, Inc. TCW Funds Distributors TD Ameritrade Clearing, Inc. TD Ameritrade Trust Company TD Ameritrade Trust Company Teachers Advisors, Inc. Teachers Advisors, Inc./Life Funds Templeton Sicav Funds/Franklin/Templeton Distributors Inc. Thornburg Securities Corporation Thornburg Securities Corporation/Thornburg Global Investment PLC Thrivent Mutual Funds Tocqueville Securities L.P.

2955 6503 3752 7004 3689 3629

Touchstone Securities Inc. Tower Square Securities, Inc. TradeStation Securities, Inc. Transamerica Advisors Life Insurance Company Transamerica Advisors Life Insurance Company of New York Transamerica Capital, Inc. Transamerica Capital, Inc./Diversified Funds Transamerica Capital, Inc./Series Trust Funds Transamerica Financial Advisors, Inc. Transamerica Financial Life Insurance Company Transamerica Life Insurance Company T. Rowe Price Investment Services, Inc./SICAV Funds SICAV T.Rowe Price Investment Services Inc./ T.Rowe Price Trust Company T. Rowe Price Retirement Plan Services, Inc. Trust Company of America Tweedy, Browne Company LLC UBS Financial Services Inc. UBS Global Asset Management (US), Inc./Puerto Rico Fund UBS Global Asset Management/Group Trust Funds UBS Global Asset Management (US) Inc. UBS Global Asset Management (US), Inc./Offshore Funds UBS Securities LLC Ultimus Fund Distributors, LLC/Alphamark Investment Trust Ultimus Fund Distributors, LLC/Apex Funds Ultimus Fund Distributors, LLC/Berwyn Funds Ultimus Fund Distributors, LLC/Cincinnati Asset Management Funds Ultimus Fund Distributors, LLC/CM Advisers Family of Funds Ultimus Fund Distributors, LLC/Davenport & Company Ultimus Fund Distributors, LLC/Flippin Bruce & Porter Funds Ultimus Fund Distributors, LLC/Gardner Lewis Investment Trust Ultimus Fund Distributors, LLC/Government Street Funds Ultimus Fund Distributors, LLC/Hussman Strategic Growth Fund Ultimus Fund Distributors, LLC/Jamestown Funds Ultimus Fund Distributors, LLC/Papp Investment Trust Ultimus Fund Distributors, LLC/Piedmont Investment Trust Ultimus Fund Distributors, LLC/Profit Funds Investment Trust Ultimus Fund Distributors, LLC/Schwartz Investment Trust

5711 0354 0271 4728 4638 5580 6739 6738 0285 4561 4566 4911 5907 7117 5981 5488 0221 5593 5603 5795 6510 0642 5653 3342 5605 3395 5730 5567 5733 5888 5732 5479 5490 5114 6595 6593 5830

3686

3647 3687 5197 3353 5641 6511 5100 6576 0419 0750 0793 0445 6759 5596 5560 2971 2810 2482 7027 0427 5161 3618 3692 4881 6563 0188 5982 6566 5668 5392 5690 5541 3352 5106 5862

Page 13 of 15

October 2012

Ultimus Fund Distributors, LLC/Stadion Investment Trust Ultimus Fund Distributors, LLC/Stralem Funds Ultimus Fund Distributors, LLC/TFS Capital Investment Trust Ultimus Fund Distributors, LLC/The Cutler Trust Ultimus Fund Distributors, LLC/The GKM Funds Ultimus Fund Distributors, LLC/VFM Funds UMB Bank N.A./UMB Scout Brokerage Services UMB Bank, N.A. UMB Distribution Services LLC/FPA Funds UMB Distribution Services, LLC/Vericimetry UMB Distribution Services, LLC/Comerica Collective Investment Funds UMB Distribution Services, LLC/Commonwealth International Series Trust UMB Distribution Services, LLC/Giant 5 Funds UMB Distribution Services, LLC/Grand DS/Investment Managers Series Trust UMB Distribution Services, LLC/Green Century Funds UMB Distribution Services, LLC/Lotsoff Capital Management Micro Cap Fund UMB Distribution Services, LLC/Marsico Investment Funds UMB Distribution Services, LLC/SteelPath Funds UMB Distribution Services, LLC/Stewart Capital Advisors UMB Distribution Services, LLC/UMB Scout Funds UMB Distribution Services, LLC/Wasatch Advisors Fund Inc. UMB Distribution Services, LLC/Westport Funds Unified Financial Securities, Inc. Unified Financial Securities, Inc./LS Opportunity Fund Unified Financial Securities, Inc./1492 Funds Unified Financial Securities, Inc./API Trust Fund Unified Financial Securities, Inc./Appleseed Fund Unified Financial Securities, Inc./Auer Growth Funds Unified Financial Securities, Inc./Cloud Capital Funds Unified Financial Securities, Inc./Crawford Funds Unified Financial Securities, Inc./Dean Family of Funds Unified Financial Securities, Inc./Dreman Fund Unified Financial Securities, Inc./FBO Alta Trust Unified Financial Securities, Inc./FBO Roosevelt Funds Unified Financial Securities, Inc./Geier Funds Unified Financial Securities, Inc./Golub Group Unified Financial Securities, Inc./Granite Funds Unified Financial Securities, Inc./Green Owl Funds

6692 5639 5430 3335 5558 3394 5988 2450 5851 3761 5943 4878 6534 4985 6676 5841 5728 5116 6599 4854 5773 5598 4965 5380 3797 4972 5286 5290 3729 5296 4927 5418 5287 4725 5294 5306 3790 3774

Unified Financial Securities, Inc./Hirtle Callaghan Trust Unified Financial Securities, Inc./Huntington Fund Unified Financial Securities, Inc./Huntington National Bank Unified Financial Securities, Inc./Iron Funds Unified Financial Securities, Inc./Jones Villlata Opportunity Fund Unified Financial Securities, Inc./Leeb Focus Funds Unified Financial Securities, Inc./Longview Family of Funds Unified Financial Securities, Inc./Marathon Funds Unified Financial Securities, Inc./Martin Funds Unified Financial Securities, Inc./Symons Funds Unified Financial Securities, Inc./TEAM Financial Unified Financial Securities, Inc./Toreador Funds Unified Financial Securities, Inc./TVAM Funds Unified Financial Securities, Inc.Angel Oak Family of Funds Unified Trust Company, National Association Union Bank and Trust Company Nebraska Union Bank N.A. Upromise Investments, Inc. Upromise Investments, Inc./Phoenix Platform Account USAA Investment Management Co. USAA Investment Management Company U.S. Bancorp Investments Inc. U.S. Bank N.A. U.S. Boston Capital Corp. U.S. Global Investors Funds Valley Forge Fund, Inc. Van Eck Sec Corp/VIP Trust Van Eck Securities Corporation Vanguard Fiduciary Trust Company Vanguard Marketing Corp./Vanguard Investments Series PLC Funds Vanguard Marketing Corporation Vanguard Marketing Corporation Vertical Management Systems, Inc./TPA Vest (H.D.) Investment Securities, Inc. Vision Financial Markets LLC VP Distributors, Inc. VP Distributors, Inc./VVIT Series Waddell & Reed, Inc. Waddell & Reed, Inc. Wall Street Advisor Services, LLC Wallace R. Weitz & Company Walnut Street Securities Walthausen Funds Wedbush Securities Inc. Wegener Investment Trust Wellington Trust Company, N.A.

6574 5832 3712 5301 5295 5302 3731 5303 3303 5307 5408 5308 3793 5147 5983 2067 2145 5704 5670 0367 5935 0280 2803 4919 5442 3611 4977 5524 5972 4996 0062 5772 7122 0268 0595 5517 3764 4879 0687 0626 5769 0533 5595 0103 5361 6517

Page 14 of 15

October 2012

Wells Fargo Bank N.A./Wells Fargo Collective Funds Wells Fargo Bank, N.A. Wells Fargo Bank, N.A./Wachovia Wells Fargo Bank, NA TR Recordkeeping Group Wells Fargo Bank, National Association Wells Fargo Funds Distributor, LLC Wells Fargo Funds Distributor, LLC/Wells Fargo(Lux) Worldwide Wells Fargo Securities, LLC/Wells Fargo Securities Safekeeping Western Reserve Life Assurance Company of Ohio Weston Securities Corporation Whitman (M.J.), LLC Wilmington Trust Company Wilmington Trust Company Wilmington Trust Company/Wilmington Trust Retirement & Institutional Services Company Wilmington Trust Company/WTRIS TPS Wilson-Davis & Co., Inc. Woodbury Financial Services, Inc. World Capital Brokerage, Inc. WorldCommodity Funds, Inc. WRP Investments, Inc. XEROX HR Solutions, LLC Ziegler (B.C.) & Company Zions First National Bank

5186 6766 0929 2195 2027 5576 5936 0025 4567 5737 5829 2215 4894 0068 3311 0283 0510 5676 3727 4312 7102 0753 2104

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