FUND/SERV FUNDS - DTCC

FUND/SERV FUNDS

Name ABN AMRO Securities (USA) LLC Accrued Equities, Inc. ACPI Global UCITS Funds PLC Adirondack Funds ADP Inc./TPA Advance Capital I, Inc. Adviser Dealer Services, Inc. Advisors Clearing Network, Inc. AIG Capital Services, Inc. AIG Capital Services, Inc. AIG Capital Services, Inc./VALIC Alerus Financial, N.A.

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. 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/Premier Multi-Series VIT Allianz Life Insurance Company of New York

No. 0349 5678 3329 6613 7120 5860 5706 0359 5596 5718 5560 1381

5515

5553

6584

5809 5554

5609

5579

6768

5921

5703 4524

Allianz Life Insurance Company of North America Alpine Securities Corporation ALPS Distributors Inc. ALPS Distributors Inc./1290 Funds ALPS Distributors Inc./Broadview Funds ALPS Distributors Inc./Centre Funds ALPS Distributors Inc./Cognios Funds ALPS Distributors Inc./Cupps Funds

ALPS Distributors Inc./GKE Asian Opportunities Fund

ALPS Distributors Inc./Griffin Institutional Access Real Estate Fund ALPS Distributors Inc./James Advantage Funds

ALPS Distributors Inc./Litman Gregory Masters Funds ALPS Distributors Inc./Longleaf Partner Funds ALPS Distributors Inc./New Sheridan Funds

ALPS Distributors Inc./Resource Real Estate Diversified Income Fund

4523 8072 5642 3144 1349 5455 7032 3062

7944

3086 5613

4892 4863 3113

7047

November 2014

ALPS Distributors Inc./Whitebox Funds ALPS Distributors, Inc./13D Activist Fund

ALPS Distributors, Inc./ALPS Variable Investment Trust #6609 ALPS Distributors, Inc./AQR Funds ALPS Distributors, Inc./Aspen Funds

ALPS Distributors, Inc./Babson Capital Funds Trust ALPS Distributors, Inc./BBH Funds ALPS Distributors, Inc./Brown Capital ALPS Distributors, Inc./Caldwell & Orkin ALPS Distributors, Inc./Centaur Mutual Funds

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./Crystal Strategy Funds ALPS Distributors, Inc./Cullen Funds ALPS Distributors, Inc./Cullen Funds plc ALPS Distributors, Inc./Emerald Funds ALPS Distributors, Inc./FirstHand Funds ALPS Distributors, Inc./FIT-ALPS Funds ALPS Distributors, Inc./Grandeur Peak Funds ALPS Distributors, Inc./Heartland Funds ALPS Distributors, Inc./Henssler Funds ALPS Distributors, Inc./Holland Balanced Fund ALPS Distributors, Inc./Index IQ Trust ALPS Distributors, Inc./Insignia Funds ALPS Distributors, Inc./Laudus Funds

ALPS Distributors, Inc./Mairs and Power Funds Trust 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./Riverside Funds ALPS Distributors, Inc./Seafarer Funds ALPS Distributors, Inc./Stadion 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./Transparent Value Fund

ALPS Distributors, Inc./Vulcan Value Partners Fund ALPS Distributors, Inc./Wakefield Fund ALPS Distributors, Inc./WesMark Funds ALPS Distributors, Inc./Wilmington Funds AM&M Financial Services, Inc. America Northcoast Securities, Inc.

American Century Investment Services Inc./Kansas Postsecondary Savings Program

3763 3796

6609 5922 3717

7957 5722 3740 5684 5337

5597 5384 3762 6619 1329 5466 3710 3619 4901 5904 3759 5571 6550 6597 6505 3024 4903

6546 5761 3356 4940 3787 6520 3028 3777 6692

6516 5309

5806 5521 5314

5313 3688 5944 5696 3920 4951

5338

Page 1 of 16

November 2014

American Century Investment Services Inc./SICAV Funds American Century Investment Services, Inc. American Enterprise Investment Services Inc. American Funds Distributors, Inc. American Funds Distributors, Inc. American National Insurance Company American United Life Insurance Company American United Life Insurance Company Ameritas Life Insurance Corp. AMG Funds LLC AMG Funds LLC/Tweedy Browne Company Amundi Luxembourg S.A. Apex Clearing Corporation Aquila Distributors, Inc. Arbor Court Capital LLC

Arbor Court Capital LLC/ Tea Leaf Management Investment Trust Arbor Court Capital LLC/CCA Investments Trust Arbor Court Capital LLC/Clark Fork Trust

Arbor Court Capital LLC/Elessar Funds Investment Trust Arbor Court Capital LLC/Endurance Series Trust

Arbor Court Capital LLC/Grand Prix Investors Trust

Arbor Court Capital, LLC/Archer Investment Series Trust

Arbor Court Capital, LLC/Meyers Capital Investments Trust Arbor Court Capital, LLC/MP63 Fund

Arbor Court Capital, LLC/PSG Capital Management Trust Archer Distributors LLC/Arrow Funds Archer Distributors, LLC Ariel Distributors LLC Artisan Partners Distributors, LLC ASB Securities, LLC Ascensus Trust Company

Ashmore Investment Management (US) Corporation

Ashmore Investment Management (US) Corporation/Foreign Account AssetMark Trust Company Associated Bank, N.A. Azzad Funds Babson Capital Securities LLC 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.

3728 5646 0756 5504 0754 4569 4591 4746 4539 5736 5488 3391 0158 5552 7023

7106 7099 7934

7931 7932

3030

7952

3122 3123

3051 4824 7021 5751 6653 5581 2563

5195

3370 5970 2257 5662 3040 0547 0136 4859 3388

3606

3308 2236

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. BB&T Securities, LLC Beck (H.), Inc. Benefit Trust Company Benefit Trust Company Benefit Trust Company/Prime Plan Solutions Bernstein (Sanford C.) & Co., Inc. Bertolet Capital Trust BHIL Distributors, Inc.

BHIL Distributors, Inc./AIT Global Emerging Markets Opportunity Fund BHIL Distributors, Inc./Asset Management Fund BHIL Distributors, Inc./Cook & Bynum Funds BHIL Distributors, Inc./Diamond Hill Funds BHIL Distributors, Inc./Highland Funds

BHIL Distributors, Inc./Independent Franchise Partners US Equity Fund BHIL Distributors, Inc./JOHCM 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

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 BMO Investment Distributors, LLC

BMO Investment Distributors, LLC/ George Frontier Markets Equity Fund BMO Investment Distributors, LLC/BMO Funds BNP Paribas Prime Brokerage, Inc. BNP Paribas Investment Partners Trust Company BNP Paribas Securities Corp.

0955 0901

0954 5340

5375 5101 0229 4862 0129 0702 0731 0761 6647 3694 0013 6701 6532

7091 6641 5928 4729 5979

3754 7979 5791

3607

6622 7031 4722 5882

4982

5813

4868 5123 0771 5538 2697 0992 5352

1392 6561 2154

5493 5551

Page 2 of 16

BNP Paribas Securities Corp./Lion Global Investors BNP Paribas, New York Branch BNP Paribas, New York Branch 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. Capital Guardian Trust Company

Capital Guardian Trust Company/Capital International Funds Capital Guardian Trust Company/CGPCS Capital Guardian Trust Company/US Bank 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. Central Trust Bank Cetera Advisor Networks LLC Cetera Advisors LLC Cetera Financial Specialists LLC Cetera Investment Services LLC 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 CMFG Life Insurance Company Cohen & Steers Securities LLC

Cohen & Steers Securities, LLC/Cohen & Steers SICAV Funds College Savings Bank

Columbia Management Investment Distributors, Inc.

Columbia Management Investment Distributors, Inc./Future Scholar

Columbia Management Investment Distributors, Inc./Trust Collective Funds Comerica Bank Comerica Bank

3604 2787 1310 5320 5385 5358 0010 5930

5135 5583 0241 5835

6621 2687 5543 4873

5107 5389 7077 5664

0290

5838 5801 2880 0343 0466 0471 0701 7471 5489 0164 5655 4708 0438 0908 0418 2392 4734 5780

3600 7073

5501

5601

4843 2108 5878

November 2014

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 COR Clearing LLC Cosse International Securities Inc. Country Trust Bank Credit Suisse Securities (USA) LLC

Credit Suisse Securities (USA) LLC/Luxembourg Funds Croft Funds Corporation 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 DeAWM Distributors, Inc DeAWM Distributors, Inc/DeAWM Distributors SA

DeAWM Distributors, Inc/DeAWM Distributors SICAV DeAWM Distributors, Inc/MOST 529 Delaware Distributors L.P.

Delaware Distributors, L.P./Delaware Investments Global Funds, PLC Delaware Distributors, L.P./Optimum Funds Delaware Life Insurance Company/Annuity Se2 Destra Capital Investments LLC Destra Capital Investments LLC/Meridian Funds 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

Driehaus Securities LLC / Driehaus Active Income Fund DSIL Investment Services, LLC DST Market Services LLC/GW DST Market Services, LLC Dunham & Associates Investment Counsel, Inc. Dupree & Company, Inc. Eagle Fund Distributors, Inc. Eaton Vance Distributors, Inc.

0126

4521 5960 2483 2484 5669 4917 0052 8153 2561 5735

4994 6640 0239 0300 7100 0715 0361 5563 5965 4890 5850 3612 2177 5503 4974

5863 3721 5510

6572 6672 3053 3739 1324 3649 0573 6684

3746 0344 5483 3684 6642

5923 6631 3038 0626 5675 6618 5822 5509

Page 3 of 16

November 2014

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

Edmond De Rothschild Asset Management/Edmond De Rothschild Luxembourg Sicav 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 Federated Investors Corp.

Federated Securities Corp./Federated International Management Limited Fenimore Asset Management Trust

Fidelity Investments Institutional Services Co., Inc.

Fidelity Investments Institutional Services Company, Inc./Fidelity Advisor World Funds Fidelity Investments Life Insurance Company Fiduciary Management Inc. Fiduciary Trust Company International Fifth Third Bank (The) Financial West Group, Inc First Clearing LLC First Clearing, LLC/Wachovia Securities First Dominion Capital Corporation 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

5438

5456

4938 3718

3143 5397 0254 0385 5827

5715 6589 5529

5759 6632

5894

5785 6908 6664 0937 2116 4713 0141 0030 5823 5545 5146 5371 3745 0309

3382

First Trust Portfolios L.P./First Trust Series Funds First Trust Portfolios, L.P. First Trust Portfolios, L.P. FMSBonds, Inc. FOLIOfn Investments, Inc

Foreside Distribution Services, L.P./Cavanal Hill Funds

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 Collective Funds

5374 6575 8244 0061 0728

5807

5633 5814

3312 4995

6614

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./Permal Offshore Funds

Foreside Distribution Services, L.P./Ridgeworth Funds

Foreside Distribution Services, L.P./Signature Liquidity Fund, Ltd.

Foreside Distribution Services, L.P./SunTrust Bank Collective Trust Funds

Foreside Distribution Services, L.P./USAllianz Mutual Funds

4724 5410 5804 5150 6633 4888 4920 6673 5562 6628

Foreside Distribution Services, L.P./Victory Funds

Foreside Distribution Services, L.P./Victory Institutional Funds Foreside Fund Services LLC/Carlyle Select Trust Foreside Fund Services LLC/ING Offshore

Foreside Fund Services Llc/Montage Managers Trust Foreside Fund Services, LLC

Foreside Fund Services, LLC/Nomura Partners Funds, Inc. Foreside Fund Services, LLC/ Wright Investor Foreside Fund Services, LLC/361 Capital Foreside Fund Services, LLC/Aberdeen Funds

5686

5723 3070 5473

3104 5659

5426 5872 3349 4899

Foreside Fund Services, LLC/Aberdeen Investment Funds-Formally Known As Artio Global Fund

Foreside Fund Services, LLC/American Beacon Funds

Foreside Fund Services, LLC/Arden Investment Series Trust

Foreside Fund Services, LLC/Avenue Mutual Funds Trust

Foreside Fund Services, LLC/Blackstone Alternative Investment Funds Foreside Fund Services, LLC/BP Capital Funds Foreside Fund Services, LLC/Bridgeway Funds Foreside Fund Services, LLC/Broadmark Funds Foreside Fund Services, LLC/Cane Capital

6675

5742

3398

3336

7555 1389 5485 7049 3119

Foreside Fund Services, LLC/Citi American Opportunity Income Fund, a Sub-Fund of Citi Investment Trust (Cayman) II

Foreside Fund Services, LLC/Gottex Trust

Foreside Fund Services, LLC/Henderson Global Funds

7079 3008

5528

Page 4 of 16

Foreside Fund Services, LLC/Investment Managers Series Trust

Foreside Fund Services, LLC/Investment Managers Series Trust II

Foreside Fund Services, LLC/Liberty Street Funds

Foreside Fund Services, LLC/Lincoln Stable Value Fund

Foreside Fund Services, LLC/Manor Investment Funds, Inc.

Foreside Fund Services, LLC/Old Mutual Global Investor Series

Foreside Fund Services, LLC/Old Mutual Global Investors (UK) Limited

Foreside Fund Services, LLC/Outlook Funds Trust Foreside Fund Services, LLC/Performance Trust Foreside Fund Services, LLC/Perimeter Funds Foreside Fund Services, LLC/PMC Funds

Foreside Fund Services, LLC/Polen Capital Investment Funds PLC Foreside Fund Services, LLC/Quaker Funds Foreside Fund Services, LLC/Ramius Funds Foreside Fund Services, LLC/Roxbury Funds Foreside Fund Services, LLC/Salient MF Trust

Foreside Fund Services, LLC/Sharespost 100 Fund

Foreside Fund Services, LLC/Sound Shore Funds

Foreside Fund Services, LLC/Steben Alternative Investment Funds Foreside Fund Services, LLC/Turner Funds Foreside Fund Services, LLC/V2 Capital

Foreside Fund Services, LLC/Wellington Management Portfolios 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.

Foreside Funds Distributors LLC/Fundvantage Trust

Foreside Funds Distributors LLC/Guidestone Funds

Foreside Funds Distributors LLC/Kalmar Pooled Investment Trust

Foreside Funds Distributors LLC/Lincoln Advisors Trust

Foreside Funds Distributors LLC/Matson Family, Inc. Funds of the RBB Fund, Inc.

Foreside Funds Distributors LLC/Matthews International Funds DBA Matthews Asia Funds

4985

3009

6767

7143

5709

5826

7112

3029 5324 3348 5747

7071 4885 7063 6620 3351

7942

5649

3036 5592 3114

7938 5721 5699

5818

6579

4870

5611

5782

5716

3788

5947

5724

November 2014

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/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.

Forethought Life Insurance Company Forethought Life Distributors, LLC Forward Securities, LLC (The) FPA Fund Distributors, Inc. Frank Funds Franklin/Templeton Distributors, Inc. Fred Alger & Co., Inc./Alger Sicav Fred Alger & Company, Incorporated Frontegra Funds, Inc. FSC Securities Corp. FSC Securities Corporation/Advantage Capital FTB Advisors, Inc. 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 G.Research, Inc. GAM Fund Management LTD GE Investment Distributors, Inc. Genworth Life and Annuity Insurance Company Genworth Life and Annuity Insurance Company

5725

6644

5651

5416

5800

5856

5342

5362

5648

5448

6594

5808

6554

5422

5547 4949 0149

7012 5889 7129 5851 6671 5534 4950 5594 5507 0169 0191 0192 5497 6680

5322 5617 3601 5574 3605 5679 4525 5752

Page 5 of 16

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