# Neuberger Berman CLO Income Fund (Continued)
## Statement of Significant Purchases and Sales
In accordance with the European Communities (Undertakings for Collective Investment in Transferable Securities) Regulations, 2011 as amended, a statement of changes in the composition of the Schedule of Investments during the reporting period is provided to ensure that Shareholders can identify changes in the investments held by the Portfolio. The following statements present the aggregate purchases and sales of transferable securities exceeding one percent of the total value of purchases or sales, respectively, for the period. At a minimum, the largest twenty purchases and twenty sales are presented, if available.
Aggregate purchases greater than one percent of the total value of purchases:
| Units | Security Description | Cost US$ |
| --- | --- | --- |
| 4,125,000 | OCP CLO 2016-12 Ltd Series 2016-12X Class DR, 7.94%, 18/10/2028 | 4,125,000 |
| 4,000,000 | Trinitas CLO Xii Ltd Series 2020-12X Class E, 7.58%, 25/04/2033 | 4,015,260 |
| 4,000,000 | Ares XXXVII CLO Ltd Series 2015-4X Class DR, 7.37%, 15/10/2030 | 3,942,840 |
| 3,270,000 | Octagon Investment Partners XV Ltd Series 2013-1X Class ER, 7.22%, 19/07/2030 | 3,264,212 |
| 2,825,000 | Ballyrock CLO 2018-1 Ltd Series 2018-1X Class D, 8.16%, 20/04/2031 | 2,722,509 |
| 2,650,000 | OCP CLO 2014-6 Ltd Series 2014-6X Class DR, 7.98%, 17/10/2030 | 2,632,325 |
| 2,650,000 | Magnetite VIII Ltd Series 2014-8X Class FR2, 9.53%, 15/04/2031 | 2,612,132 |
| 2,500,000 | Riserva CLO Ltd Series 2016-3X Class ERE, 6.61%, 18/01/2034 | 2,500,000 |
| 2,500,000 | Octagon Investment Partners XXIII Ltd Series 2015-1X Class ER, 8.01%, 15/07/2027 | 2,474,300 |
| 2,490,000 | Magnetite XVII Ltd Series 2016-18X Class FR, 10.22%, 15/11/2028 | 2,437,038 |
| 2,170,000 | Ares XLI CLO Ltd Series 2016-41X Class E, 7.96%, 15/01/2029 | 2,166,159 |
| 2,000,000 | Goldentree Loan Management US CLO 1 Ltd Series 2017-1X Class ER2, 6.70%, 20/04/2034 | 2,000,000 |
| 2,000,000 | PPM CLO 3 Ltd Series 2019-3X Class E, 6.80%, 17/04/2034 | 1,980,000 |
| 1,700,000 | Flatiron CLO 17 Ltd Series 2017-1X Class E, 6.06%, 15/05/2030 | 1,700,000 |
| 1,675,000 | Trinitas CLO X Ltd Series 2019-10X Class E, 9.52%, 15/04/2032 | 1,657,334 |
| 1,650,000 | Magnetite VII Ltd Series 2012-7X Class ER2, 8.32%, 15/01/2028 | 1,577,780 |
| 1,500,000 | Symphony CLO XXV Ltd Series 2021-25X Class E, 6.69%, 23/01/2032 | 1,485,000 |
| 1,500,000 | Aimco CLO 2017-A Series 2017-AX Class FR, 8.73%, 20/04/2034 | 1,455,150 |
| 1,400,000 | Goldentree Loan Management US CLO 5 Ltd Series 2019-5X Class F, 8.76%, 20/10/2032 | 1,303,694 |
| 1,250,000 | Eaton Vance CLO 2015-1 Ltd Series 2015-1X Class ER, 7.29%, 20/01/2030 | 1,220,888 |
| 1,100,000 | Bardot CLO Ltd Series 2019-2X Class E, 8.82%, 22/10/2032 | 1,109,911 |
| 1,050,000 | Galaxy XIX CLO Ltd Series 2015-19X Class D1R, 7.93%, 24/07/2030 | 1,040,246 |
| 1,000,000 | Invesco CLO 2021-1 Ltd Series 2021-1X Class E, 6.63%, 15/04/2034 | 980,000 |
| 1,000,000 | CIFC Funding Ltd Series 2017-5X Class D, 7.68%, 16/11/2030 | 979,920 |
| 1,000,000 | Long Point Park CLO Ltd Series 2017-1X Class D2, 6.73%, 17/01/2030 | 978,230 |
| 1,000,000 | Galaxy XXIII CLO Ltd Series 2017-23X Class E, 7.40%, 24/04/2029 | 975,710 |
| 1,000,000 | Ares XLIX CLO Ltd Series 2018-49X Class E, 8.11%, 22/07/2030 | 974,220 |
| 750,000 | Grippen Park CLO Ltd Series 2017-1X Class E, 6.97%, 20/01/2030 | 745,613 |
| 750,000 | KKR CLO 17 Ltd Series 17X Class E, 7.57%, 15/04/2034 | 720,000 |

INTERIM REPORT 2021  723
FINANCIAL STATEMENTS STATEMENT OF SIGNIFICANT PURCHASES AND SALES

Translation (ENDE, 2021-06-30):
# Neuberger Berman CLO Income Fund (Fortsetzung)
## Gewinn- und Verlustrechnung
Sechsmonatiger Berichtszeitraum
Sechsmonatiger Berichtszeitraum
Erträge
Anm.	30. Juni 2021	30. Juni 2020
US$	US$
| Zinserträge | 3.912.623 | 6.137.396 |
| --- | --- | --- |
| Nettogewinn/(-verlust) aus erfolgswirksam zum beizulegenden Zeitwert be und Verbindlichkeiten | werteten finanziellen Vermögenswerten | 2.664.473 | (26.381.494) |
|  |  | 6.577.096 | (20.244.098) |
|  |  |  |  |
| Aufwendungen |  |  |  |
| Managementgebühr | 5 | 422.986 | 416.041 |
| Verwaltungsgebühren | 5 | 64.001 | 81.349 |
| Bereitstellungsprovision | 16 | 9.848 | 7.251 |
| Depotgebühren | 5 | 5.955 | 5.958 |
| Gebühren der Verwahrstelle | 5 | 3.671 | 7.677 |
| Honorare | 7 | 33.858 | 31.122 |
| Honorare der Direktoren | 6 | 2.413 | 2.375 |
| Transaktionskosten | 7 | 6.997 | 8.441 |
| Prüfungshonorare | 7 | 5.265 | 8.055 |
| Umsatzsteuerentlastung |  | (640) | (533) |
| Sonstige Aufwendungen | 7 | – | 7.175 |
| Aufwendungen insgesamt |  | 554.354 | 574.911 |
|  |  |  |  |
| Finanzierungskosten |  |  |  |
| Gezahlte Ausschüttungen | 1 | 2.464.987 | 4.021.760 |
|  |  | 2.464.987 | 4.021.760 |

Auf Inhaber rückzahlbarer, gewinnberechtigter Anteile entfallender Gewinn/(Verlust) aus der Geschäftstätigkeit
Alle Gewinne und Verluste ergaben sich ausschließlich aus der laufenden Geschäftstätigkeit.
3.557.755	(24.840.769)
Die Anmerkungen im Anhang sind wesentlicher Bestandteil des Halbjahresabschlusses. 718 NEUBERGER BERMAN INVESTMENT FUNDS PLC
AUFSTELLUNG ÜBER DIE ENTWICKLUNG DES NETTOVERMÖGENS HALBJAHRESABSCHLUSS