# EDGAR Filing Document

**Accession Number:** 0000835620
**File Stem:** 0001752724-23-051641
**Filing Date:** 2023-3
**Character Count:** 356718
**Document Hash:** 68c5dd8dbe85730f428476f7254fbed4
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001752724-23-051641.hdr.sgml**: 20230310

**ACCESSION NUMBER**: 0001752724-23-051641

**CONFORMED SUBMISSION TYPE**: N-CEN

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230310

**DATE AS OF CHANGE**: 20230310

**EFFECTIVENESS DATE**: 20230310

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BlackRock Strategic Global Bond Fund, Inc.
- **CENTRAL INDEX KEY:** 0000835620
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** MD
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** N-CEN
- **SEC ACT:** 1940 Act
- **SEC FILE NUMBER:** 811-05603
- **FILM NUMBER:** 23722214

**BUSINESS ADDRESS:**
- **STREET 1:** 100 BELLEVUE PARKWAY
- **CITY:** WILMINGTON
- **STATE:** DE
- **ZIP:** 19809
- **BUSINESS PHONE:** 800-441-7762

**MAIL ADDRESS:**
- **STREET 1:** 100 BELLEVUE PARKWAY
- **CITY:** WILMINGTON
- **STATE:** DE
- **ZIP:** 19809

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BLACKROCK WORLD INCOME FUND, INC.
- **DATE OF NAME CHANGE:** 20061002

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** MERRILL LYNCH WORLD INCOME FUND INC
- **DATE OF NAME CHANGE:** 19920703

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** WORLD INCOME FUND INC
- **DATE OF NAME CHANGE:** 19910916

## Series and Classes Contracts Data

### BlackRock Strategic Global Bond Fund, Inc. (Series ID: S000002866)

| Class ID   | Class Name    | Ticker Symbol   |
|:---|:---|:---|
| C000007879 | Investor A    |  |
| C000007882 | Institutional |  |
| C000038980 | Investor C    |  |
| C000162768 | Class K       |  |

## Internal

**REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** 

**To the Shareholders and the Board of Directors of BlackRock Strategic Global Bond Fund, Inc.:**

In planning and performing our audit of the consolidated financial statements of BlackRock Strategic Global Bond Fund, Inc. (the "Fund") as of and for the year ended December 31, 2022, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Fund's internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Fund's internal control over financial reporting. Accordingly, we express no such opinion.

The management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company's internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of a company's assets that could have a material effect on the financial statements.

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions or that the degree of compliance with the policies or procedures may deteriorate.

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company's annual or interim financial statements will not be prevented or detected on a timely basis.

Our consideration of the Fund's internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Fund's internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness, as defined above, as of December 31, 2022.

This report is intended solely for the information and use of management and the Board of Directors of the Fund and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

/s/Deloitte & Touche LLP

Boston, Massachusetts

February 23, 2023

# Form N-CEN: Annual Report for Registered Investment Companies

## N-CEN: Filer Information
**Submission Type:** N-CEN
**CIK:** 0000835620

## N-CEN: Series/Class (Contract) Information

**Series ID Record:1**
- **Series ID:** S000002866

**Class ID Record:1**
- **Class ID:** C000162768

**Class ID Record:2**
- **Class ID:** C000038980

**Class ID Record:3**
- **Class ID:** C000007879

**Class ID Record:4**
- **Class ID:** C000007882

### N-CEN: Part A: General Information

**Item A.1.a - Report for period ending:** 2022-12-31

**Item A.1.b - Does this report cover a period of less than 12 months?:** No

## N-CEN: Part B: Information About the Registrant

- **Item B.1.a - Full name of Registrant:** BlackRock Strategic Global Bond Fund, Inc.

- **Item B.1.b - Investment Company Act file number:** 811-05603

- **Item B.1.c - CIK:** 0000835620

- **Item B.1.d - LEI:** WLNAPPG3EBO2UQ0EB806

- **Item B.2.a - Street 1:** 100 BELLEVUE PARKWAY

- **Item B.2.b - City:** WILMINGTON

- **Item B.2.c - State:** DE

- **Item B.2.e - Zip Code:** 19809

- **Item B.2.f - Telephone:** 800-441-7762

- **Item B.2.g - Public Website:** www.blackrock.com

### Item B.3 - Location of books and records

**Location books Record: 1**

- **a. Name of person (e.g., a custodian of records):** State Street Bank and Trust Company

- **b. Street 1:** 1 Lincoln Street

- **c. City:** Boston

- **d. State, if applicable:** MA

- **e. Foreign country, if applicable:** US

- **f. Zip code and zip code extension, or foreign postal code:** 02111

- **g. Telephone number:** 617-786-3000

- **h. Briefly describe the books and records kept at this location:** Records related to its functions as custodian, sub-administrator and accounting agent

**Location books Record: 2**

- **a. Name of person (e.g., a custodian of records):** BlackRock (Singapore) Limited

- **b. Street 1:** 20 Anson Road

- **c. City:** Singapore

- **f. Zip code and zip code extension, or foreign postal code:** 079912

- **g. Telephone number:** 65 6411 3000

- **h. Briefly describe the books and records kept at this location:** Records related to its functions as sub-advisor

**Location books Record: 3**

- **a. Name of person (e.g., a custodian of records):** BlackRock Investments, LLC

- **b. Street 1:** 50 Hudson Yards

- **c. City:** New York

- **d. State, if applicable:** NY

- **e. Foreign country, if applicable:** US

- **f. Zip code and zip code extension, or foreign postal code:** 10001

- **g. Telephone number:** 609-282-3046

- **h. Briefly describe the books and records kept at this location:** Records related to its functions as distributor

**Location books Record: 4**

- **a. Name of person (e.g., a custodian of records):** BNY Mellon Investment Servicing (US) Inc.

- **b. Street 1:** 301 Bellevue Parkway

- **c. City:** Wilmington

- **d. State, if applicable:** DE

- **e. Foreign country, if applicable:** US

- **f. Zip code and zip code extension, or foreign postal code:** 19809

- **g. Telephone number:** 302-791-1700

- **h. Briefly describe the books and records kept at this location:** Records related to its functions as transfer agent

**Location books Record: 5**

- **a. Name of person (e.g., a custodian of records):** BlackRock International Limited

- **b. Street 1:** 1 Semple Street

- **c. City:** Edinburgh

- **f. Zip code and zip code extension, or foreign postal code:** EH3 8BL

- **g. Telephone number:** 44 131 472 7200

- **h. Briefly describe the books and records kept at this location:** Records related to its functions as sub-advisor

**Location books Record: 6**

- **a. Name of person (e.g., a custodian of records):** BlackRock Advisors, LLC

- **b. Street 1:** 100 Bellevue Parkway

- **c. City:** Wilmington

- **d. State, if applicable:** DE

- **e. Foreign country, if applicable:** US

- **f. Zip code and zip code extension, or foreign postal code:** 19809

- **g. Telephone number:** 302-797-2000

- **h. Briefly describe the books and records kept at this location:** Records related to its functions as advisor and administrator

- **Item B.4.a - Is this the first filing by the Registrant?:** No

- **Item B.4.b - Is this the last filing by the Registrant?:** No

- **Item B.5.a - Is the Registrant part of a family of investment companies?:** Yes

- **Item B.5.a.i - Full name of family of investment companies:** BlackRock-advised Funds

### Item B.6 - Organization

- [x] a. Open-end management investment company registered under the Act on Form N-1A

- [ ] b. Closed-end management investment company registered under the Act on Form N-2

- [ ] c. Separate account offering variable annuity contracts which is registered under the Act as a management investment company on Form N-3

- [ ] d. Separate account offering variable annuity contracts which is registered under the Act as a unit investment trust on Form N-4

- [ ] e. Small business investment company registered under the Act on Form N-5

- [ ] f. Separate account offering variable insurance contracts which is registered under the Act as a unit investment trust on Form N-6

- [ ] g. Unit investment trust registered under the Act on Form N-8B-2

- **Item B.6.i - Total number of Series:** 1

- **Item B.7 - Is the Registrant the issuer of a class of securities registered under the Securities Act?:** Yes

### Item B.8 - Directors

| Name                | Is Interested Person?   | Other Investment Company File Numbers                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                           |
|:---|:---|:---|
| R. Glenn Hubbard    | No                      | 811-21434, 811-23285, 811-21506, 811-04375, 811-22603, 811-07136, 811-22426, 811-08573, 811-21702, 811-23346, 811-22501, 811-06660, 811-23343, 811-23511, 811-06728, 811-23340, 811-23626, 811-21053, 811-22606, 811-05611, 811-07354, 811-23428, 811-21566, 811-22774, 811-21972, 811-02857, 811-10543, 811-21784, 811-08217, 811-10339, 811-06414, 811-07080, 811-08081, 811-21835, 811-23466, 811-07478, 811-09191, 811-21126, 811-23701, 811-23621, 811-06500, 811-07642, 811-10337, 811-23357, 811-23345, 811-04802, 811-21413, 811-21318, 811-05542, 811-10331, 811-21793, 811-21729, 811-23344, 811-23341, 811-21656, 811-02688, 811-22032, 811-08603, 811-23625, 811-21457, 811-21348, 811-23564, 811-23339, 811-08621, 811-21178, 811-22991, 811-04264, 811-06540, 811-21349                                                                                                                                                                                                                                                                                                                                           |
| John M. Perlowski   | Yes                     | 811-02809, 811-22606, 811-06660, 811-21759, 811-06414, 811-05723, 811-23466, 811-10337, 811-08603, 811-23626, 811-10339, 811-03189, 811-03290, 811-02661, 811-09637, 811-22501, 811-21793, 811-07899, 811-22426, 811-21729, 811-21126, 811-22774, 811-23339, 811-22603, 811-22991, 811-08217, 811-21656, 811-07642, 811-09651, 811-21413, 811-04282, 811-21318, 811-02739, 811-21434, 811-07332, 811-07136, 811-21566, 811-21349, 811-09191, 811-21702, 811-23428, 811-06728, 811-03091, 811-07478, 811-06669, 811-21763, 811-05611, 811-04802, 811-23625, 811-02688, 811-21506, 811-04612, 811-23584, 811-10331, 811-06500, 811-08081, 811-04375, 811-05542, 811-08797, 811-21053, 811-21835, 811-07177, 811-23380, 811-23346, 811-05178, 811-21178, 811-23341, 811-08621, 811-23340, 811-07080, 811-07885, 811-22061, 811-07171, 811-23343, 811-23564, 811-02354, 811-21784, 811-08573, 811-05576, 811-23285, 811-21457, 811-23402, 811-23701, 811-02857, 811-23344, 811-21348, 811-23621, 811-04264, 811-07354, 811-05742, 811-10543, 811-22032, 811-08162, 811-06540, 811-02405, 811-23511, 811-23345, 811-21972, 811-23357 |
| Stayce D. Harris    | No                      | 811-21434, 811-22603, 811-23466, 811-06728, 811-23564, 811-23428, 811-23621, 811-09191, 811-10337, 811-21053, 811-21729, 811-23626, 811-08217, 811-22606, 811-04375, 811-23343, 811-21702, 811-08603, 811-23345, 811-08081, 811-08621, 811-02857, 811-08573, 811-22032, 811-06414, 811-21126, 811-07136, 811-23511, 811-23344, 811-21413, 811-21506, 811-23625, 811-23339, 811-23340, 811-23346, 811-07354, 811-04802, 811-10331, 811-21318, 811-06500, 811-23701, 811-06540, 811-04264, 811-21972, 811-02688, 811-21348, 811-21178, 811-22774, 811-05611, 811-22501, 811-23341, 811-22426, 811-10543, 811-10339, 811-21784, 811-21566, 811-07080, 811-05542, 811-23357, 811-07478, 811-21349, 811-06660, 811-21835, 811-21793, 811-23285, 811-21457, 811-07642, 811-22991, 811-21656                                                                                                                                                                                                                                                                                                                                           |
| Lorenzo A. Flores   | No                      | 811-22501, 811-21972, 811-06660, 811-21434, 811-10543, 811-21506, 811-21413, 811-21729, 811-23285, 811-08217, 811-23626, 811-08603, 811-22991, 811-21566, 811-06540, 811-05542, 811-21126, 811-21656, 811-08621, 811-22606, 811-04264, 811-07642, 811-21702, 811-22426, 811-21835, 811-22603, 811-10339, 811-04375, 811-21793, 811-23357, 811-23428, 811-07354, 811-22774, 811-23339, 811-21349, 811-21318, 811-10331, 811-23344, 811-06414, 811-23621, 811-23701, 811-21348, 811-23345, 811-10337, 811-08573, 811-23511, 811-07080, 811-21053, 811-23341, 811-06728, 811-23343, 811-23466, 811-05611, 811-04802, 811-08081, 811-21457, 811-02688, 811-07478, 811-21178, 811-23625, 811-06500, 811-23340, 811-09191, 811-22032, 811-02857, 811-23564, 811-21784, 811-07136, 811-23346                                                                                                                                                                                                                                                                                                                                           |
| Cynthia L. Egan     | No                      | 811-22991, 811-04375, 811-21835, 811-22603, 811-23564, 811-06500, 811-07642, 811-02857, 811-23341, 811-06414, 811-23511, 811-23345, 811-21318, 811-23466, 811-02688, 811-23357, 811-23626, 811-08573, 811-07354, 811-22032, 811-21784, 811-21349, 811-21413, 811-21793, 811-04802, 811-23285, 811-23625, 811-05542, 811-23339, 811-23701, 811-21729, 811-10339, 811-10331, 811-06540, 811-23343, 811-23344, 811-06660, 811-23346, 811-07478, 811-06728, 811-08217, 811-21178, 811-21434, 811-21506, 811-08603, 811-23621, 811-07136, 811-21972, 811-21566, 811-22426, 811-22501, 811-23428, 811-10543, 811-08621, 811-21656, 811-07080, 811-21348, 811-22774, 811-21457, 811-08081, 811-21126, 811-04264, 811-09191, 811-23340, 811-05611, 811-21702, 811-10337, 811-22606, 811-21053                                                                                                                                                                                                                                                                                                                                           |
| Frank J. Fabozzi    | No                      | 811-04375, 811-23285, 811-07080, 811-10331, 811-06540, 811-22774, 811-07354, 811-22606, 811-22603, 811-07136, 811-21972, 811-21784, 811-23625, 811-23341, 811-23428, 811-08573, 811-08217, 811-05542, 811-23380, 811-21126, 811-10337, 811-06414, 811-10339, 811-21729, 811-23340, 811-06660, 811-06500, 811-22426, 811-23344, 811-21413, 811-09191, 811-21656, 811-23339, 811-07478, 811-21835, 811-23564, 811-23346, 811-21434, 811-23466, 811-22501, 811-10543, 811-21348, 811-04264, 811-08621, 811-21318, 811-02688, 811-21793, 811-06728, 811-21053, 811-23701, 811-21506, 811-21178, 811-22032, 811-21457, 811-23584, 811-04802, 811-21702, 811-23626, 811-21349, 811-21566, 811-02857, 811-05611, 811-23343, 811-23511, 811-07642, 811-23621, 811-08603, 811-23357, 811-08081, 811-23345, 811-22991                                                                                                                                                                                                                                                                                                                     |
| W. Carl Kester      | No                      | 811-22032, 811-23626, 811-23341, 811-07642, 811-07136, 811-02688, 811-22603, 811-07354, 811-08621, 811-06728, 811-08603, 811-05611, 811-23428, 811-21318, 811-22426, 811-21126, 811-10339, 811-23511, 811-21053, 811-22991, 811-09191, 811-21434, 811-08573, 811-10543, 811-23701, 811-23466, 811-21566, 811-22606, 811-21972, 811-07478, 811-22774, 811-21835, 811-23345, 811-06500, 811-21348, 811-04375, 811-23339, 811-23343, 811-23625, 811-23357, 811-23564, 811-22501, 811-23621, 811-23380, 811-06540, 811-02857, 811-08081, 811-23285, 811-21413, 811-21349, 811-07080, 811-08217, 811-10337, 811-04264, 811-21793, 811-23340, 811-23584, 811-05542, 811-21702, 811-21506, 811-10331, 811-21178, 811-04802, 811-06660, 811-21457, 811-21656, 811-21784, 811-23344, 811-06414, 811-23346, 811-21729                                                                                                                                                                                                                                                                                                                     |
| J. Phillip Holloman | No                      | 811-23343, 811-23285, 811-23345, 811-21972, 811-21656, 811-21506, 811-04375, 811-23621, 811-23428, 811-21729, 811-21784, 811-09191, 811-22603, 811-04802, 811-07354, 811-23340, 811-04264, 811-22774, 811-21702, 811-05542, 811-10337, 811-22606, 811-06728, 811-21835, 811-23341, 811-07136, 811-06540, 811-23511, 811-22501, 811-07080, 811-23701, 811-21318, 811-21349, 811-21413, 811-23357, 811-23626, 811-22991, 811-05611, 811-23339, 811-02688, 811-21566, 811-23346, 811-06414, 811-23564, 811-02857, 811-21348, 811-08603, 811-08573, 811-10339, 811-08217, 811-21457, 811-21434, 811-23625, 811-23466, 811-08621, 811-22032, 811-21178, 811-08081, 811-23344, 811-21053, 811-07478, 811-07642, 811-21126, 811-22426, 811-06660, 811-06500, 811-10331, 811-21793, 811-10543                                                                                                                                                                                                                                                                                                                                           |
| Catherine A. Lynch  | No                      | 811-23625, 811-21434, 811-21126, 811-02857, 811-23380, 811-21835, 811-21506, 811-22991, 811-08621, 811-02688, 811-21349, 811-22774, 811-23511, 811-23343, 811-07478, 811-23564, 811-08573, 811-09191, 811-22501, 811-10331, 811-05611, 811-07080, 811-23345, 811-04375, 811-08081, 811-23341, 811-23428, 811-21457, 811-07642, 811-08217, 811-21656, 811-21318, 811-06414, 811-23621, 811-22606, 811-21702, 811-10543, 811-08603, 811-21053, 811-21566, 811-10337, 811-22426, 811-23340, 811-05542, 811-22603, 811-21348, 811-23344, 811-23357, 811-21784, 811-06540, 811-23466, 811-06728, 811-23584, 811-06660, 811-06500, 811-23626, 811-10339, 811-07354, 811-04264, 811-04802, 811-23285, 811-21972, 811-23339, 811-21793, 811-07136, 811-23701, 811-22032, 811-21178, 811-23346, 811-21729, 811-21413                                                                                                                                                                                                                                                                                                                     |
| Robert Fairbairn    | Yes                     | 811-21178, 811-06414, 811-04375, 811-03091, 811-04612, 811-21348, 811-23346, 811-21784, 811-21457, 811-23357, 811-02354, 811-07332, 811-22032, 811-07177, 811-07136, 811-07899, 811-23285, 811-07642, 811-04282, 811-02809, 811-05611, 811-23625, 811-23428, 811-08621, 811-22606, 811-05742, 811-23466, 811-09651, 811-21434, 811-23341, 811-06500, 811-23343, 811-23339, 811-21656, 811-10543, 811-22501, 811-21566, 811-02661, 811-09191, 811-23621, 811-07171, 811-21702, 811-06540, 811-07478, 811-07354, 811-10337, 811-05576, 811-09637, 811-21793, 811-21835, 811-07885, 811-08573, 811-23511, 811-21318, 811-10339, 811-21759, 811-22603, 811-05178, 811-21053, 811-23345, 811-21506, 811-21413, 811-08081, 811-23626, 811-21349, 811-05542, 811-02405, 811-04802, 811-02739, 811-23564, 811-23701, 811-21729, 811-06660, 811-03290, 811-22774, 811-22061, 811-22991, 811-07080, 811-21763, 811-08797, 811-23340, 811-02857, 811-22426, 811-04264, 811-23402, 811-02688, 811-05723, 811-08162, 811-06728, 811-23344, 811-21972, 811-21126, 811-08217, 811-06669, 811-08603, 811-10331, 811-03189                       |

### Item B.9. Chief compliance officer.

**Chief compliance officer Record: 1**

- **a. Full Name:** Charles Park

- **b. CRD Number, if any:** N/A

- **c. Street Address 1:** 50 Hudson Yards

- **d. City:** New York

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Zip code:** 10001

- **h. Telephone number:** XXXXXX

- **i. Has the chief compliance officer changed since the last filing?:** No

If the chief compliance officer is compensated or employed by any person other than the Registrant, provide:

**CCO employer Record: 1**

- **i. Name of the person:** —

- **ii. Person’s IRS Employer Identification Number:** —

### Item B.10. Matters for security holder vote.

- **Were any matters submitted by the Registrant for its security holders’ vote during the reporting period?** No

- **Item B.11.a - Have there been any material legal proceedings?:** No

- **Item B.11.b - Has any proceeding previously reported been terminated?:** No

- **Item B.12.a - Were any claims with respect to the Registrant filed under a fidelity bond?:** No

- **Item B.13.a - Are the Registrant's officers or directors covered under any insurance policy?:** Yes

- **Item B.13.a.i - If yes, were any claims filed under the policy during the reporting period?:** No

- **Item B.14 - Did an affiliated person provide any form of financial support to the Registrant?:** No

- **Item B.15.a.i - Release numbers:**
  - IC-32252
  - IC-25100

### Item B.16. Principal underwriters.

**Principal underwriter Record: 1**

- **i. Full name:** BlackRock Investments, LLC

- **ii. SEC file number:** 8-48436

- **iii. CRD number:** 000038642

- **iv. LEI, if any:** 54930061FBHCKXL2G714

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Is the principal underwriter an affiliated person...?:** Yes

- **b. Have any principal underwriters been hired or terminated during the reporting period?** No

### Item B.17. Independent public accountant.

**Public accountant Record: 1**

- **a. Full Name:** Deloitte & Touche LLP

- **b. PCAOB Number:** 34

- **c. LEI, if any:** N/A

- **d. State, if applicable:** MA

- **e. Foreign country, if applicable:** US

- **f. Has the independent public accountant changed since the last filing?** No

- **Item B.18 - Did an independent public accountant's report on internal control note any material weaknesses?:** No

- **Item B.19 - Did an independent public accountant issue an opinion other than an unqualified opinion?:** No

- **Item B.20 - Have there been material changes in the method of valuation?:** No

- **Item B.21 - Have there been any changes in accounting principles or practices?:** No

- **Item B.22.a - Were any payments made to shareholders as a result of an error in calculating NAV?:** No

## Part C: Additional Questions for Management Investment Companies

### Management Investment Record: 1 - BlackRock Strategic Global Bond Fund, Inc.

**Item C.1. Background information.**

- **a. Full Name of the Fund:** BlackRock Strategic Global Bond Fund, Inc.

- **b. Series identification number, if any:** S000002866

- **c. LEI:** WLNAPPG3EBO2UQ0EB806

- **d. Is this the first filing on this form by the Fund?:** No

**Item C.2. Classes of open-end management investment companies.**

- **a. How many Classes of shares of the Fund (if any) are authorized?:** 4

- **b. How many new Classes of shares of the Fund were added during the reporting period?:** 0

- **c. How many Classes of shares of the Fund were terminated during the reporting period?:** 0

**d. For each Class with shares outstanding, provide the information requested below:**

|   Shares Outstanding Record | i. Full name of Class   | ii. Class identification number, if any   | iii. Ticker symbol, if any   |
|---:|:---|:---|:---|
|                           1 | Class K                 | C000162768                                | MKWIX                        |
|                           2 | Investor C              | C000038980                                | MHWIX                        |
|                           3 | Investor A              | C000007879                                | MDWIX                        |
|                           4 | Institutional           | C000007882                                | MAWIX                        |

**Item C.3. Type of fund.**

- [ ] Exchange-Traded Fund or Exchange-Traded Managed Fund or offers a Class that itself is an Exchange-Traded Fund or Exchange-Traded Managed Fund

-   [ ] i. Exchange-Traded Fund

-   [ ] ii. Exchange-Traded Managed Fund

- [ ] b. Index Fund

- [ ] c. Seeks to achieve performance results that are a multiple of a benchmark, the inverse of a benchmark, or a multiple of the inverse of a benchmark

- [ ] d. Interval Fund

- [ ] e. Fund of Funds

- [ ] f. Master-Feeder Fund

- [ ] g. Money Market Fund

- [ ] h. Target Date Fund

-   [ ] i. Underlying fund to a variable annuity or variable life insurance contract

- [x] N/A

**Item C.4 - Does the Fund seek to operate as a 'non-diversified company'?** No

**Item C.5 - Does the fund invest in a controlled foreign corporation?** —

**Item C.6. Securities lending.**

- **a. Is the Fund authorized to engage in securities lending transactions?** Yes

**c. Provide the information requested below about each securities lending agent, if any, retained by the Fund:**

**Securities Lending Record: 1**

- **i. Full name of securities lending agent:** BlackRock Investment Management, LLC

- **ii. LEI, if any:** 5493006MRTEZZ4S4CQ20

- **iii. Is the securities lending agent an affiliated person...?** Yes

- **iv. Does the securities lending agent... indemnify the Fund against borrower default?** Yes

- **v. If the entity providing the indemnification is not the securities lending agent, provide the following information:**

  **Idemnity Providers Record: 1**

  - **1. Name of person providing indemnification:** —

  - **2. LEI, if any:** —

- **vi. Did the Fund exercise its indemnification rights during the reporting period?** No

**e. Types of payments made to one or more securities lending agents and cash collateral managers (check all that apply):**

- [x] Revenue sharing split

- [ ] Fee-based revenue split (other than administrative fee)

- [ ] Administrative fee

- [x] Cash collateral reinvestment fee

- [ ] Indemnification fee

- [x] Other

- [ ] N/A

- **f. Provide the monthly average of the value of portfolio securities on loan during the reporting period:** —

- **g. Provide the net income from securities lending activities:** —

**Item C.7. Reliance on certain statutory exemption and rules.**

Did the Fund rely on the following rules?

- Rule 18f-4(f)(17 CFR 270.18f-4(f))

- Rule 18f-4(e) (17 CFR 270.18f-4(e))

- Rule 17a-6 (17 CFR 270.17a-6)

- Rule 12d1-1 (17 CFR 270.12d1-1)

- Rule 17a-7 (17 CFR 270.17a-7)

- Rule 18f-4(d)(i) (17 CFR 270.18f-4(d)(i))

- Rule 32a-4 (17 CFR 270.32a-4)

- Rule 22d-1 (17 CFR 270.22d-1)

- Rule 18f-4 (17 CFR 270.18f-4)

**Item C.8. Expense limitations.**

- **a. Did the Fund have an expense limitation arrangement?** Yes

- **b. Were any expenses reduced or waived?** Yes

- **c. Are the fees waived subject to recoupment?** No

- **d. Were any expenses previously waived recouped during the period?** No

**Item C.9. Investment advisers.**

**Investment Advisers Record: 1**

- **i. Full name:** BlackRock Advisors, LLC

- **ii. SEC file number:** 801-47710

- **iii. CRD number:** 000106614

- **iv. LEI, if any:** 5493001LN9MRM6A35J74

- **v. State, if applicable:** DE

- **vi. Foreign country, if applicable:** US

- **vii. Was the investment adviser hired during the reporting period?:** No

**Item C.9.b. Sub-advisers.**

**Sub-adviser Record: 1**

- **i. Full name:** BlackRock International Limited

- **ii. SEC file number:** 801-51087

- **iii. CRD number:** 000106843

- **iv. LEI, if any:** 5493008YUGP5E01IBD70

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vi. Foreign country, if applicable:** GB

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Sub-adviser Record: 2**

- **i. Full name:** BlackRock (Singapore) Limited

- **ii. SEC file number:** 801-76926

- **iii. CRD number:** 000164594

- **iv. LEI, if any:** 549300UZGBQ6FHD2X729

- **v. Is the sub-adviser an affiliated person?:** Yes

- **vi. Foreign country, if applicable:** SG

- **vii. Was the sub-adviser hired during the reporting period?:** No

**Item C.10. Transfer agents.**

**Transfer Agents Record: 1**

- **i. Full name:** BNY Mellon Investment Servicing (US) Inc.

- **ii. SEC file number:** 084-01761

- **iii. LEI, if any:** 549300CFZQLI9QMJ1Z03

- **iv. State, if applicable:** DE

- **v. Foreign country, if applicable:** US

- **vi. Is the transfer agent an affiliated person of the Fund or its investment adviser(s)?:** No

- **vii. Is the transfer agent a sub-transfer agent?:** No

- **b. Has a transfer agent been hired or terminated during the reporting period?** No

**Item C.11. Pricing services.**

**Pricing Services Record: 1**

- **i. Full name:** Refinitiv US Holdings Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300NF240HXJO7N016

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 2**

- **i. Full name:** IHS Markit Ltd.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300HLPTRASHS0E726

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 3**

- **i. Full name:** Bloomberg L.P.

- **ii. LEI, if any, or provide and describe other identifying number:** 549300B56MD0ZC402L06

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

**Pricing Services Record: 4**

- **i. Full name:** ICE Data Services, Inc.

- **ii. LEI, if any, or provide and describe other identifying number:** 13-3668779

- **Description of other identifying number:** Tax ID

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the pricing service an affiliated person of the Fund or its investment adviser(s)?:** No

- **b. Was a pricing service hired or terminated during the reporting period?** No

**Item C.12. Custodians.**

**a. Provide the following information about each person that provided custodial services to the Fund during the reporting period:**

**Custodians Record: 1**

- **i. Full name:** Intesa Sanpaolo S.p.A.

- **ii. LEI, if any:** 2W8N8UU78PMDQKZENC08

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 2**

- **i. Full name:** Ceskoslovenska obchodni banka, a. s.

- **ii. LEI, if any:** Q5BP2UEQ48R75BOTCB92

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 3**

- **i. Full name:** UniCredit Bank Austria AG

- **ii. LEI, if any:** D1HEB8VEU6D9M8ZUXG17

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 4**

- **i. Full name:** Royal Bank of Canada

- **ii. LEI, if any:** ES7IP3U3RHIGC71XBU11

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 5**

- **i. Full name:** The Hongkong and Shanghai Banking Corporation Limited

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 6**

- **i. Full name:** Standard Chartered Bank Malaysia Berhad

- **ii. LEI, if any:** 549300JTJBG2QBI8KD48

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 7**

- **i. Full name:** BNP Paribas Securities Services (Athens, Attica, GR, Branch)

- **ii. LEI, if any:** 549300WCGB70D06XZS54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 8**

- **i. Full name:** Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch)

- **ii. LEI, if any:** E57ODZWZ7FF32TWEFA76

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 9**

- **i. Full name:** State Street Bank International GmbH

- **ii. LEI, if any:** ZMHGNT7ZPKZ3UFZ8EO46

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 10**

- **i. Full name:** Bank Handlowy w Warszawie Spolka Akcyjna

- **ii. LEI, if any:** XLEZHWWOI4HFQDGL4793

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 11**

- **i. Full name:** Morgan Stanley & Co. LLC

- **ii. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)

**Custodians Record: 12**

- **i. Full name:** The Hongkong and Shanghai Banking Corporation Limited (Colombo, Western, LK, Branch)

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 13**

- **i. Full name:** BofA Securities, Inc.

- **ii. LEI, if any:** 549300HN4UKV1E2R3U73

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)

**Custodians Record: 14**

- **i. Full name:** Bank Hapoalim B.M.

- **ii. LEI, if any:** B6ARUI4946ST4S7WOU88

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 15**

- **i. Full name:** Citibank, National Association (Singapore, SG, Branch)

- **ii. LEI, if any:** E57ODZWZ7FF32TWEFA76

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 16**

- **i. Full name:** Barclays Capital Inc.

- **ii. LEI, if any:** AC28XWWI3WIBK2824319

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)

**Custodians Record: 17**

- **i. Full name:** State Street Trust Company Canada

- **ii. LEI, if any:** 549300L71XG2CTQ2V827

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 18**

- **i. Full name:** Cititrust Colombia S A Sociedad Fiduciaria

- **ii. LEI, if any:** 549300242J3IJCOSGI49

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 19**

- **i. Full name:** Credit Suisse Securities (USA) LLC

- **ii. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)

**Custodians Record: 20**

- **i. Full name:** UniCredit Bank Hungary Zrt.

- **ii. LEI, if any:** Y28RT6GGYJ696PMW8T44

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 21**

- **i. Full name:** Citibank, National Association (Cairo, Cairo, EG, Branch)

- **ii. LEI, if any:** E57ODZWZ7FF32TWEFA76

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 22**

- **i. Full name:** Skandinaviska Enskilda Banken AB

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 23**

- **i. Full name:** Deutsche Bank Aktiengesellschaft (Mumbai, Maharashtra, IN, Branch)

- **ii. LEI, if any:** 7LTWFZYICNSX8D621K86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 24**

- **i. Full name:** Credit Suisse (Schweiz) AG

- **ii. LEI, if any:** 549300CWR0W0BCS9Q144

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 25**

- **i. Full name:** State Street Bank and Trust Company (Edinburgh, GB, Branch)

- **ii. LEI, if any:** 571474TGEMMWANRLN572

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 26**

- **i. Full name:** First Abu Dhabi Bank P.J.S.C.

- **ii. LEI, if any:** 2138002Y3WMK6RZS8H90

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 27**

- **i. Full name:** Joint Stock Company Citibank

- **ii. LEI, if any:** 549300E0ROTI7ACBZH02

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 28**

- **i. Full name:** Citibank, National Association (Ciudad Autonoma de Buenos Aires, Ciudad Autonoma de Buenos Aires, AR, Branch)

- **ii. LEI, if any:** 579100KKDGKCFFKKF005

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 29**

- **i. Full name:** The Hongkong and Shanghai Banking Corporation Limited (Chuo ku, Tokyo, JP, Branch)

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 30**

- **i. Full name:** Euroclear Bank

- **ii. LEI, if any:** 549300OZ46BRLZ8Y6F65

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)

**Custodians Record: 31**

- **i. Full name:** J.P. Morgan Securities LLC

- **ii. LEI, if any:** ZBUT11V806EZRVTWT807

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)

**Custodians Record: 32**

- **i. Full name:** Joint Stock Company Commercial Bank Citibank

- **ii. LEI, if any:** CHSQDSVI1UI96Y2SW097

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 33**

- **i. Full name:** Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex

- **ii. LEI, if any:** 2SFFM4FUIE05S37WFU55

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 34**

- **i. Full name:** Standard Chartered Bank (Hong Kong) Limited

- **ii. LEI, if any:** X5AV1MBDXGRPX5UGMX13

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 35**

- **i. Full name:** Citibank del Peru S.A.

- **ii. LEI, if any:** MYTK5NHHP1G8TVFGT193

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 36**

- **i. Full name:** FirstRand Bank Limited

- **ii. LEI, if any:** ZAYQDKTCATIXF9OQY690

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 37**

- **i. Full name:** The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch)

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 38**

- **i. Full name:** HSBC Bank (China) Company Limited

- **ii. LEI, if any:** 2CZOJRADNJXBLT55G526

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 39**

- **i. Full name:** Standard Chartered Bank (Thai) Public Company Limited

- **ii. LEI, if any:** 549300O1LQYCQ7G1IM57

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 40**

- **i. Full name:** Banco de Chile

- **ii. LEI, if any:** 8B4EZFY8IHJC44TT2K84

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 41**

- **i. Full name:** The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 42**

- **i. Full name:** Standard Chartered Bank (Jakarta, Jakarta, ID, Branch)

- **ii. LEI, if any:** 254900XJQ7BKPSDXNP74

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 43**

- **i. Full name:** Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)

- **ii. LEI, if any:** RB0PEZSDGCO3JS6CEU02

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 44**

- **i. Full name:** Citibank, Anonim Sirketi

- **ii. LEI, if any:** CWZ8NZDH5SKY12Q4US31

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 45**

- **i. Full name:** Standard Chartered Bank (Makati City, Metro Manila, PH, Branch)

- **ii. LEI, if any:** RILFO74KP1CM8P6PCT96

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 46**

- **i. Full name:** Skandinaviska Enskilda Banken A/S

- **ii. LEI, if any:** F3JS33DEI6XQ4ZBPTN86

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 47**

- **i. Full name:** Stanbic IBTC Bank PLC

- **ii. LEI, if any:** 549300NIVXF92ZIOVW61

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 48**

- **i. Full name:** The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch)

- **ii. LEI, if any:** 2HI3YI5320L3RW6NJ957

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 49**

- **i. Full name:** Banco Itau Uruguay S.A.

- **ii. LEI, if any:** 549300HU8OQS1VTVXN55

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 50**

- **i. Full name:** Goldman Sachs & Co. LLC

- **ii. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)

**Custodians Record: 51**

- **i. Full name:** Citibank Europe Public Limited Company

- **ii. LEI, if any:** N1FBEDJ5J41VKZLO2475

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 52**

- **i. Full name:** Privredna Banka Zagreb - Dionicko Drustvo

- **ii. LEI, if any:** 549300ZHFZ4CSK7VS460

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

**Custodians Record: 53**

- **i. Full name:** State Street Bank and Trust Company

- **ii. LEI, if any:** 571474TGEMMWANRLN572

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** No

- **vii. With respect to the custodian, check below to indicate the type of custody:** Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))

**Custodians Record: 54**

- **i. Full name:** BNP Paribas Securities Services

- **ii. LEI, if any:** 549300WCGB70D06XZS54

- **v. Is the custodian an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the custodian a sub-custodian?:** Yes

- **vii. With respect to the custodian, check below to indicate the type of custody:** Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)

- **b. Was a custodian hired or terminated during the reporting period?** No

**Item C.13 - Shareholder Servicing Agents**

**Shareholder Servicing Agents Record: 1**

- **i. Full name:** Infinex Investments, Inc.

- **ii. LEI, if any:** 8-46661

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 2**

- **i. Full name:** K. W. Chambers & Co.

- **ii. LEI, if any:** 8-10533

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 3**

- **i. Full name:** Voya Retirement Insurance and Annuity Company

- **ii. LEI, if any:** OK3MKCDYPD4NN6QDGK18

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 4**

- **i. Full name:** The Prudential Insurance Company of America

- **ii. LEI, if any:** X574KRZ6V5A7UBU45C31

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 5**

- **i. Full name:** Johnstone Brokerage Services LLC

- **ii. LEI, if any:** 8-70335

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 6**

- **i. Full name:** J. Alden Associates, Inc.

- **ii. LEI, if any:** 8-48938

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 7**

- **i. Full name:** The GMS Group, L.L.C.

- **ii. LEI, if any:** 254900OXZT27TA5CGU56

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 8**

- **i. Full name:** Horace Mann Investors, Inc.

- **ii. LEI, if any:** 254900OFJVU7T8WTK224

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 9**

- **i. Full name:** United Planners Financial Services of America, A Limited Partnership

- **ii. LEI, if any:** 8-38485

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 10**

- **i. Full name:** OFG Financial Services, Inc.

- **ii. LEI, if any:** 8-40770

- **iii. State, if applicable:** KS

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 11**

- **i. Full name:** John Hancock Life Insurance Company

- **ii. LEI, if any:** QQ0OZ8J9C4B5QT1XDG31

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 12**

- **i. Full name:** First National Bank Alaska

- **ii. LEI, if any:** 25490089V5DJHFQMOA03

- **iii. State, if applicable:** AK

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 13**

- **i. Full name:** Capital Management Securities, Inc.

- **ii. LEI, if any:** 8-27779

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 14**

- **i. Full name:** Sentinel Securities, Inc.

- **ii. LEI, if any:** 8-53142

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 15**

- **i. Full name:** DWS Distributors, Inc.

- **ii. LEI, if any:** 5299007T18XBURKJ1V64

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 16**

- **i. Full name:** Deutsche Bank Securities Inc.

- **ii. LEI, if any:** 9J6MBOOO7BECTDTUZW19

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 17**

- **i. Full name:** Voya Investments Distributor, LLC

- **ii. LEI, if any:** 549300UXSQ6ZVMSJFH64

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 18**

- **i. Full name:** Truist Investment Services, Inc.

- **ii. LEI, if any:** 8-35355

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 19**

- **i. Full name:** Empower Financial Services, Inc.

- **ii. LEI, if any:** 8-33854

- **iii. State, if applicable:** CO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 20**

- **i. Full name:** Grant Williams L.P.

- **ii. LEI, if any:** 8-51249

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 21**

- **i. Full name:** American Enterprise Investment Services Inc.

- **ii. LEI, if any:** 549300NT7GLLVGTH0249

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 22**

- **i. Full name:** Wescom Financial Services, LLC

- **ii. LEI, if any:** 8-66189

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 23**

- **i. Full name:** Polar Investment Counsel, Inc.

- **ii. LEI, if any:** 8-50039

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 24**

- **i. Full name:** Western Growers Financial Services

- **ii. LEI, if any:** 8-53458

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 25**

- **i. Full name:** USI Securities, Inc.

- **ii. LEI, if any:** 8-50429

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 26**

- **i. Full name:** The Garbacz Group Inc.

- **ii. LEI, if any:** 8-42366

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 27**

- **i. Full name:** Wellington Shields & Co., LLC

- **ii. LEI, if any:** 254900ULLOEJ3RYQ9S69

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 28**

- **i. Full name:** Interactive Brokers LLC

- **ii. LEI, if any:** 50OBSE5T5521O6SMZR28

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 29**

- **i. Full name:** Exeter Trust Company

- **ii. LEI, if any:** 28-04279

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 30**

- **i. Full name:** Commerce Brokerage Services, Inc.

- **ii. LEI, if any:** 549300158KXZEDLDQA22

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 31**

- **i. Full name:** Investment Network, Inc

- **ii. LEI, if any:** 8-66036

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 32**

- **i. Full name:** Lebenthal Financial Services, Inc.

- **ii. LEI, if any:** 8-67140

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 33**

- **i. Full name:** Madison Avenue Securities, LLC

- **ii. LEI, if any:** 8-40426

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 34**

- **i. Full name:** Farmers Financial Solutions, LLC

- **ii. LEI, if any:** 8-52361

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 35**

- **i. Full name:** D.M. Kelly & Company

- **ii. LEI, if any:** 254900MPA2M5G6DL5C63

- **iii. State, if applicable:** IA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 36**

- **i. Full name:** Fidelity Investments Institutional Operations Company LLC

- **ii. LEI, if any:** 549300XVSM8LN3LQOK63

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 37**

- **i. Full name:** Monex Securities, Inc.

- **ii. LEI, if any:** 254900VTZ3HYHNEJRX35

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 38**

- **i. Full name:** Abacus Investments, Inc.

- **ii. LEI, if any:** 8-46571

- **iii. State, if applicable:** WI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 39**

- **i. Full name:** Securities America, Inc.

- **ii. LEI, if any:** 8-26602

- **iii. State, if applicable:** NE

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 40**

- **i. Full name:** Neuberger Berman BD LLC

- **ii. LEI, if any:** PWDS3JJ631D5N70JXG61

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 41**

- **i. Full name:** Coldstream Securities, Inc.

- **ii. LEI, if any:** 8-51549

- **iii. State, if applicable:** WA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 42**

- **i. Full name:** Cadaret, Grant & Co., Inc.

- **ii. LEI, if any:** 2549003ZDQPBPYR9KD35

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 43**

- **i. Full name:** International Money Management Group, Inc.

- **ii. LEI, if any:** 8-30417

- **iii. State, if applicable:** MD

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 44**

- **i. Full name:** FMSbonds, Inc.

- **ii. LEI, if any:** 549300TUTBK58NSF2517

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 45**

- **i. Full name:** Cabot Lodge Securities LLC

- **ii. LEI, if any:** 8-69009

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 46**

- **i. Full name:** L. B. Fisher & Company

- **ii. LEI, if any:** 8-21023

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 47**

- **i. Full name:** Family Investors Company

- **ii. LEI, if any:** 8-11190

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 48**

- **i. Full name:** Sigma Financial Corporation

- **ii. LEI, if any:** 8-30466

- **iii. State, if applicable:** MI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 49**

- **i. Full name:** Wells Fargo Bank, National Association

- **ii. LEI, if any:** KB1H1DSPRFMYMCUFXT09

- **iii. State, if applicable:** SD

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 50**

- **i. Full name:** Cambridge Investment Research, Inc.

- **ii. LEI, if any:** 254900OXTK7YO6I8E612

- **iii. State, if applicable:** IA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 51**

- **i. Full name:** Vorpahl Wing Securities, Inc.

- **ii. LEI, if any:** 8-51823

- **iii. State, if applicable:** WA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 52**

- **i. Full name:** Saturna Trust Company

- **ii. LEI, if any:** 26-3918998

- **iii. State, if applicable:** NV

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 53**

- **i. Full name:** Bradesco BAC Florida Investments Corp.

- **ii. LEI, if any:** 254900CAF9OPVE8VT408

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 54**

- **i. Full name:** Associated Investment Services, Inc.

- **ii. LEI, if any:** 8-00099

- **iii. State, if applicable:** WI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 55**

- **i. Full name:** Founders Financial Securities, LLC

- **ii. LEI, if any:** 8-67137

- **iii. State, if applicable:** MD

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 56**

- **i. Full name:** Folger Nolan Fleming Douglas Incorporated

- **ii. LEI, if any:** 254900DD93O7YH65O708

- **iii. State, if applicable:** DC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 57**

- **i. Full name:** Superior Financial Services, Inc.

- **ii. LEI, if any:** 549300BK1DNLS1A2MZ43

- **iii. State, if applicable:** TN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 58**

- **i. Full name:** Corinthian Partners, L.L.C.

- **ii. LEI, if any:** 8-48461

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 59**

- **i. Full name:** Comerica Securities, Inc.

- **ii. LEI, if any:** 5493009QV211JEW7ZV59

- **iii. State, if applicable:** MI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 60**

- **i. Full name:** Dinosaur Financial Group, LLC

- **ii. LEI, if any:** 549300CCV3H232GBUN83

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 61**

- **i. Full name:** Rogan & Associates, Inc.

- **ii. LEI, if any:** 8-49995

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 62**

- **i. Full name:** Rhodes Securities, Inc.

- **ii. LEI, if any:** 254900MVXWUYG3F22X71

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 63**

- **i. Full name:** J.W. Cole Financial, Inc.

- **ii. LEI, if any:** 8-65698

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 64**

- **i. Full name:** GWN Securities, Inc.

- **ii. LEI, if any:** 8-66185

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 65**

- **i. Full name:** Nest Investments BD LLC

- **ii. LEI, if any:** 8-70117

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 66**

- **i. Full name:** MMC Securities LLC

- **ii. LEI, if any:** 2549001ZA93O65N2ZM60

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 67**

- **i. Full name:** Vanderbilt Securities, Inc.

- **ii. LEI, if any:** 8-16712

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 68**

- **i. Full name:** McDonald Partners LLC

- **ii. LEI, if any:** 8-66985

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 69**

- **i. Full name:** GW & Wade Asset Management Company, LLC

- **ii. LEI, if any:** 8-42013

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 70**

- **i. Full name:** American Heritage Securities, Inc.

- **ii. LEI, if any:** 8-44466

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 71**

- **i. Full name:** Colliers Securities LLC

- **ii. LEI, if any:** 549300OD1C69R64IVC38

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 72**

- **i. Full name:** Davenport & Company LLC

- **ii. LEI, if any:** 254900GN2SAXJGLMS075

- **iii. State, if applicable:** VA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 73**

- **i. Full name:** Kalos Capital, Inc.

- **ii. LEI, if any:** 8-50630

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 74**

- **i. Full name:** TD Ameritrade, Inc.

- **ii. LEI, if any:** CWQYQU0TV2NLMLZKNB44

- **iii. State, if applicable:** NE

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 75**

- **i. Full name:** PNC Investments LLC

- **ii. LEI, if any:** 8-66195

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 76**

- **i. Full name:** M&T Securities, Inc.

- **ii. LEI, if any:** 254900VRUF9FN7AZI864

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 77**

- **i. Full name:** Omega Securities, Inc.

- **ii. LEI, if any:** 8-20225

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 78**

- **i. Full name:** Worth Financial Group Inc.

- **ii. LEI, if any:** 8-29827

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 79**

- **i. Full name:** OneAmerica Securities, Inc.

- **ii. LEI, if any:** 8-15009

- **iii. State, if applicable:** IN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 80**

- **i. Full name:** Vision Financial Markets LLC

- **ii. LEI, if any:** 549300J0X8HK9GUADL55

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 81**

- **i. Full name:** Lombard Securities, Incorporated

- **ii. LEI, if any:** 8-43340

- **iii. State, if applicable:** MD

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 82**

- **i. Full name:** Lion Street Financial, LLC

- **ii. LEI, if any:** 8-69183

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 83**

- **i. Full name:** Coordinated Capital Securities, Inc.

- **ii. LEI, if any:** 8-31173

- **iii. State, if applicable:** WI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 84**

- **i. Full name:** Sammons Financial Network, LLC

- **ii. LEI, if any:** 8-68905

- **iii. State, if applicable:** IA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 85**

- **i. Full name:** Folio Investments, Inc.

- **ii. LEI, if any:** 8-52009

- **iii. State, if applicable:** VA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 86**

- **i. Full name:** Edward D. Jones & Co., L.P.

- **ii. LEI, if any:** YZRCLX72FTV74B522G90

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 87**

- **i. Full name:** Tradition Securities and Derivatives LLC

- **ii. LEI, if any:** WRYEFMSVQCH0EMD08461

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 88**

- **i. Full name:** American Century Investment Services, Inc.

- **ii. LEI, if any:** 8-35220

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 89**

- **i. Full name:** Shareholders Service Group, Inc.

- **ii. LEI, if any:** 8-65778

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 90**

- **i. Full name:** Equity Services, Inc.

- **ii. LEI, if any:** 8-14286

- **iii. State, if applicable:** VT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 91**

- **i. Full name:** Snowden Account Services LLC

- **ii. LEI, if any:** 254900WVSS0BX602UF45

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 92**

- **i. Full name:** The Strategic Financial Alliance, Inc.

- **ii. LEI, if any:** 8-65885

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 93**

- **i. Full name:** Raymond James & Associates, Inc.

- **ii. LEI, if any:** U4ONQX15J3RO8XCKE979

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 94**

- **i. Full name:** Allen C. Ewing & Co.

- **ii. LEI, if any:** 8-42393

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 95**

- **i. Full name:** Hantz Financial Services, Inc.

- **ii. LEI, if any:** 8-51291

- **iii. State, if applicable:** MI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 96**

- **i. Full name:** Ni Advisors

- **ii. LEI, if any:** 8-66841

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 97**

- **i. Full name:** Camden Financial Services

- **ii. LEI, if any:** 8-37303

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 98**

- **i. Full name:** Independent Brokerage Solutions LLC

- **ii. LEI, if any:** 8-68549

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 99**

- **i. Full name:** Robinson and Robinson, Inc.

- **ii. LEI, if any:** 8-17109

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 100**

- **i. Full name:** Security Distributors, LLC

- **ii. LEI, if any:** 8-10781

- **iii. State, if applicable:** KS

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 101**

- **i. Full name:** Avondale Partners, LLC

- **ii. LEI, if any:** 254900799PKXEPTDRJ40

- **iii. State, if applicable:** TN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 102**

- **i. Full name:** SCF Securities Inc

- **ii. LEI, if any:** 8-51760

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 103**

- **i. Full name:** Conover Securities Corporation

- **ii. LEI, if any:** 8-35085

- **iii. State, if applicable:** WA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 104**

- **i. Full name:** PlanMember Securities Corporation

- **ii. LEI, if any:** 8-25065

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 105**

- **i. Full name:** Saxony Securities, Inc.

- **ii. LEI, if any:** 8-53490

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 106**

- **i. Full name:** Pyramid Funds Corporation

- **ii. LEI, if any:** 8-12769

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 107**

- **i. Full name:** Equitable Advisors, LLC

- **ii. LEI, if any:** 8-17883

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 108**

- **i. Full name:** Nationwide Securities, LLC

- **ii. LEI, if any:** 8-12500

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 109**

- **i. Full name:** Voya Financial Partners, LLC

- **ii. LEI, if any:** 8-46451

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 110**

- **i. Full name:** Somerset Securities, Inc.

- **ii. LEI, if any:** 8-11539

- **iii. State, if applicable:** OR

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 111**

- **i. Full name:** Abacus International Capital Corp.

- **ii. LEI, if any:** 8-46418

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 112**

- **i. Full name:** E.E. Powell & Company, Inc.

- **ii. LEI, if any:** 8-1893

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 113**

- **i. Full name:** Roberts and Ryan Investments Incorporated

- **ii. LEI, if any:** 254900A6VIVO4DP1T126

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 114**

- **i. Full name:** Aventura Securities, LLC

- **ii. LEI, if any:** 8-67458

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 115**

- **i. Full name:** Sammons institutional Group, Inc.

- **ii. LEI, if any:** BBG00LBNPZL2

- **iii. State, if applicable:** IA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 116**

- **i. Full name:** Thoroughbred Financial Services, LLC

- **ii. LEI, if any:** 8-51944

- **iii. State, if applicable:** TN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 117**

- **i. Full name:** Conduent HR Services, LLC

- **ii. LEI, if any:** 84-06035

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 118**

- **i. Full name:** Oriental Financial Services LLC

- **ii. LEI, if any:** 8-44516

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 119**

- **i. Full name:** Principled Advisors, Inc.

- **ii. LEI, if any:** 8-66451

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 120**

- **i. Full name:** Harvest Financial Corporation

- **ii. LEI, if any:** 8-26037

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 121**

- **i. Full name:** JPMorgan Chase Bank, National Association

- **ii. LEI, if any:** 7H6GLXDRUGQFU57RNE97

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 122**

- **i. Full name:** State Street Bank and Trust Company

- **ii. LEI, if any:** 571474TGEMMWANRLN572

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 123**

- **i. Full name:** North South Capital LLC

- **ii. LEI, if any:** 549300ODEKJCRN2AM859

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 124**

- **i. Full name:** John Hancock Life Insurance Company of New York

- **ii. LEI, if any:** 5493007RYG4GXIKSQI18

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 125**

- **i. Full name:** Diversified Resources, LLC

- **ii. LEI, if any:** 8-45497

- **iii. State, if applicable:** RI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 126**

- **i. Full name:** Etico Partners, LLC

- **ii. LEI, if any:** 254900YC5I0IY6GSBI85

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 127**

- **i. Full name:** AE Financial Services, LLC

- **ii. LEI, if any:** 254900V6AVD8481O0767

- **iii. State, if applicable:** KS

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 128**

- **i. Full name:** TradeUP Securities Inc

- **ii. LEI, if any:** 8-36754

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 129**

- **i. Full name:** GRF Capital Investors, Inc.

- **ii. LEI, if any:** 8-41494

- **iii. State, if applicable:** OK

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 130**

- **i. Full name:** Safra Securities LLC

- **ii. LEI, if any:** E51AOUORNWWT747CBW71

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 131**

- **i. Full name:** Empire Asset Management Company, LLC

- **ii. LEI, if any:** 8-67520

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 132**

- **i. Full name:** Signal Securities, Inc.

- **ii. LEI, if any:** 8-32948

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 133**

- **i. Full name:** FSB Premier Wealth Management, Inc.

- **ii. LEI, if any:** 8-44865

- **iii. State, if applicable:** IA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 134**

- **i. Full name:** Purshe Kaplan Sterling Investments, Inc.

- **ii. LEI, if any:** 8-46844

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 135**

- **i. Full name:** Intercam Securities, Inc.

- **ii. LEI, if any:** 254900YUQYHGAT6VVA56

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 136**

- **i. Full name:** USA Financial Securities Corporation

- **ii. LEI, if any:** 8-52342

- **iii. State, if applicable:** MI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 137**

- **i. Full name:** E*TRADE Savings Bank

- **ii. LEI, if any:** 549300DXPO50FJ75QA85

- **iii. State, if applicable:** VA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 138**

- **i. Full name:** Feldstein Financial Group, L.L.C.

- **ii. LEI, if any:** 8-53388

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 139**

- **i. Full name:** Coinbase Capital Markets Corporation

- **ii. LEI, if any:** 8-28032

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 140**

- **i. Full name:** UBS AG (New York, NY, US, Branch)

- **ii. LEI, if any:** BFM8T61CT2L1QCEMIK50

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 141**

- **i. Full name:** McClurg Capital Corporation

- **ii. LEI, if any:** 8-34473

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 142**

- **i. Full name:** Alliant Securities, Inc. Turner, Nord, Kienbaum

- **ii. LEI, if any:** 8-23305

- **iii. State, if applicable:** WA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 143**

- **i. Full name:** BCG Securities, Inc

- **ii. LEI, if any:** 8-12680

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 144**

- **i. Full name:** Quincy Cass Associates

- **ii. LEI, if any:** 8-5743

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 145**

- **i. Full name:** Globalink Securities, Inc

- **ii. LEI, if any:** 8-44509

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 146**

- **i. Full name:** BNP Paribas Securities Corp.

- **ii. LEI, if any:** RCNB6OTYUAMMP879YW96

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 147**

- **i. Full name:** Classic, LLC

- **ii. LEI, if any:** 8-68981

- **iii. State, if applicable:** ND

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 148**

- **i. Full name:** Capital Investment Group, Inc.

- **ii. LEI, if any:** 8-31225

- **iii. State, if applicable:** NC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 149**

- **i. Full name:** Glen Eagle Wealth LLC

- **ii. LEI, if any:** 549300KIBM3JOKOD9P59

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 150**

- **i. Full name:** J.P. Morgan Securities LLC

- **ii. LEI, if any:** ZBUT11V806EZRVTWT807

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 151**

- **i. Full name:** Packerland Brokerage Services, Inc.

- **ii. LEI, if any:** 8-47572

- **iii. State, if applicable:** WI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 152**

- **i. Full name:** Securian Financial Services, Inc.

- **ii. LEI, if any:** 8-31955

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 153**

- **i. Full name:** Broadridge Business Process Outsourcing, LLC

- **ii. LEI, if any:** 8-53412

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 154**

- **i. Full name:** Goldman Sachs & Co. LLC

- **ii. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 155**

- **i. Full name:** Hancock Whitney Investment Services, Inc.

- **ii. LEI, if any:** 254900PJ7SNKYPK21W02

- **iii. State, if applicable:** LA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 156**

- **i. Full name:** American Trust Investment Services, Inc.

- **ii. LEI, if any:** 8-14394

- **iii. State, if applicable:** IN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 157**

- **i. Full name:** Benefit Trust Company

- **ii. LEI, if any:** 549300ICEK1VVZC9R735

- **iii. State, if applicable:** KS

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 158**

- **i. Full name:** Regal Securities, Inc.

- **ii. LEI, if any:** 8-21765

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 159**

- **i. Full name:** PNC Bank, National Association (Pittsburgh, PA, US, Branch)

- **ii. LEI, if any:** AD6GFRVSDT01YPT1CS68

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 160**

- **i. Full name:** American Portfolios Financial Services, Inc.

- **ii. LEI, if any:** 8-37085

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 161**

- **i. Full name:** MWA Financial Services, Inc.

- **ii. LEI, if any:** 8-53255

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 162**

- **i. Full name:** T. Rowe Price Retirement Plan Services, Inc.

- **ii. LEI, if any:** 84-06219

- **iii. State, if applicable:** MD

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 163**

- **i. Full name:** Hazard & Siegel, Inc.

- **ii. LEI, if any:** 8-13942

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 164**

- **i. Full name:** SWBC Investment Services, LLC

- **ii. LEI, if any:** 254900YIJJWABADWZ455

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 165**

- **i. Full name:** Center Street Securities, Inc.

- **ii. LEI, if any:** 8-42786

- **iii. State, if applicable:** TN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 166**

- **i. Full name:** D.A. Davidson & Co.

- **ii. LEI, if any:** 549300094RQ5A7DYLF51

- **iii. State, if applicable:** MT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 167**

- **i. Full name:** Ascensus Financial Services, LLC

- **ii. LEI, if any:** 8-67891

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 168**

- **i. Full name:** Tocqueville Securities L.P.

- **ii. LEI, if any:** 8-42223

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 169**

- **i. Full name:** First Honolulu Securities, Inc.

- **ii. LEI, if any:** 8-23919

- **iii. State, if applicable:** HI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 170**

- **i. Full name:** Liberty Partners Financial Services, LLC

- **ii. LEI, if any:** 8-66335

- **iii. State, if applicable:** SC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 171**

- **i. Full name:** Ausdal Financial Partners, Inc.

- **ii. LEI, if any:** 8-24519

- **iii. State, if applicable:** IA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 172**

- **i. Full name:** Voya Institutional Plan Services, LLC

- **ii. LEI, if any:** 02-0488491

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 173**

- **i. Full name:** Anovest Financial Services, Inc.

- **ii. LEI, if any:** 8-66742

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 174**

- **i. Full name:** Rockefeller Financial LLC

- **ii. LEI, if any:** 8-70054

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 175**

- **i. Full name:** Genworth Life and Annuity Insurance Company

- **ii. LEI, if any:** TAI340D9BWT9R77O0P03

- **iii. State, if applicable:** VA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 176**

- **i. Full name:** Garden State Securities Inc.

- **ii. LEI, if any:** 8-25790

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 177**

- **i. Full name:** Genworth Life Insurance Company of New York

- **ii. LEI, if any:** E5VAS7I8GX5B0SDBX010

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 178**

- **i. Full name:** Sanders Morris Harris LLC

- **ii. LEI, if any:** 254900ZNPYV465D1NZ47

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 179**

- **i. Full name:** Lieblong & Associates, Inc.

- **ii. LEI, if any:** 8-49880

- **iii. State, if applicable:** AR

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 180**

- **i. Full name:** Dorn & Co., Inc.

- **ii. LEI, if any:** 8-08707

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 181**

- **i. Full name:** Kingswood Capital Partners LLC

- **ii. LEI, if any:** 5493000S7S0ZD3E40797

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 182**

- **i. Full name:** Moors & Cabot, Inc.

- **ii. LEI, if any:** 254900SDQ5IONENQ7U67

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 183**

- **i. Full name:** Lincoln Financial Advisors Corporation

- **ii. LEI, if any:** 8-14685

- **iii. State, if applicable:** IN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 184**

- **i. Full name:** Fintrust Brokerage Services, LLC

- **ii. LEI, if any:** 8-49514

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 185**

- **i. Full name:** BOK Financial Securities, Inc.

- **ii. LEI, if any:** 5493008UZFTI4G7UQ733

- **iii. State, if applicable:** OK

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 186**

- **i. Full name:** Avantax Wealth Management, Inc

- **ii. LEI, if any:** 8-29533

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 187**

- **i. Full name:** Great Pacific Securities

- **ii. LEI, if any:** 254900QRZ90SUI8C4W84

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 188**

- **i. Full name:** Sorsby Financial Corp.

- **ii. LEI, if any:** 8-48718

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 189**

- **i. Full name:** Corecap Investments, LLC

- **ii. LEI, if any:** 8-47783

- **iii. State, if applicable:** MI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 190**

- **i. Full name:** LaSalle St. Securities, L.L.C.

- **ii. LEI, if any:** 254900T7U4ODG86YRV13

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 191**

- **i. Full name:** Prudential Investment Management Services LLC

- **ii. LEI, if any:** 8-36540

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 192**

- **i. Full name:** CUSO Financial Services, L.P.

- **ii. LEI, if any:** 254900SMTUGUAHW1JN77

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 193**

- **i. Full name:** Capitol Securities Management, Inc.

- **ii. LEI, if any:** 8-30353

- **iii. State, if applicable:** VA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 194**

- **i. Full name:** R. Seelaus & Co. Inc

- **ii. LEI, if any:** 2138004J7AJDLCOJYA06

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 195**

- **i. Full name:** Crews and Associates, Inc.

- **ii. LEI, if any:** 5493001BWSV3E82LZ446

- **iii. State, if applicable:** AR

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 196**

- **i. Full name:** Dominion Investor Services, Inc.

- **ii. LEI, if any:** 8-39029

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 197**

- **i. Full name:** L.O. Thomas & Co., Inc.

- **ii. LEI, if any:** 8-40875

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 198**

- **i. Full name:** M.S. Howells & Co.

- **ii. LEI, if any:** 549300ZY1ODMQ4MPJT53

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 199**

- **i. Full name:** Watermark Securities, Inc.

- **ii. LEI, if any:** 254900NK1ZHBYG91LX55

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 200**

- **i. Full name:** Brokers International Financial Services, LLC

- **ii. LEI, if any:** 8-67239

- **iii. State, if applicable:** IA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 201**

- **i. Full name:** Halliday Financial, LLC

- **ii. LEI, if any:** 8-45529

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 202**

- **i. Full name:** TD Private Client Wealth LLC

- **ii. LEI, if any:** 8-69105

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 203**

- **i. Full name:** Pensionmark Securities, LLC

- **ii. LEI, if any:** 8-69773

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 204**

- **i. Full name:** AGES Financial Services, Ltd.

- **ii. LEI, if any:** 8-32155

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 205**

- **i. Full name:** IFP Securities, LLC

- **ii. LEI, if any:** 8-70150

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 206**

- **i. Full name:** SouthState DuncanWilliams Securities Corp.

- **ii. LEI, if any:** 25490045VHLUZ7H92Y27

- **iii. State, if applicable:** TN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 207**

- **i. Full name:** Wells Fargo Clearing Services, LLC

- **ii. LEI, if any:** 88KRVSOEKUGQZJ3DKW55

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 208**

- **i. Full name:** Carl M. Hennig, Inc.

- **ii. LEI, if any:** 8-14509

- **iii. State, if applicable:** WI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 209**

- **i. Full name:** Muriel Siebert & Co., Inc.

- **ii. LEI, if any:** 254900ILZFIE2ULRPV24

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 210**

- **i. Full name:** Planners Financial Services, Inc.

- **ii. LEI, if any:** 8-18027

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 211**

- **i. Full name:** WesBanco Securities, Inc.

- **ii. LEI, if any:** 8-50220

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 212**

- **i. Full name:** Northwest Investment Advisors, Inc.

- **ii. LEI, if any:** 8-65282

- **iii. State, if applicable:** WA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 213**

- **i. Full name:** Titleist Asset Management, Ltd.

- **ii. LEI, if any:** 8-65859

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 214**

- **i. Full name:** The Vanguard Group, Inc.

- **ii. LEI, if any:** 5493002789CX3L0CJP65

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 215**

- **i. Full name:** L.S.Y. Incorporated

- **ii. LEI, if any:** 8-17613

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 216**

- **i. Full name:** Sorrento Pacific Financial, LLC

- **ii. LEI, if any:** 8-66046

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 217**

- **i. Full name:** Cresap, Inc.

- **ii. LEI, if any:** 8-42117

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 218**

- **i. Full name:** Amegy Investments, Inc.

- **ii. LEI, if any:** 8-65399

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 219**

- **i. Full name:** Henley & Company LLC

- **ii. LEI, if any:** 8-66463

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 220**

- **i. Full name:** Citizens Bank

- **ii. LEI, if any:** 38-0421450

- **iii. State, if applicable:** MI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 221**

- **i. Full name:** UMB Financial Services, Inc.

- **ii. LEI, if any:** 254900GFVO9NGQ21JC37

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 222**

- **i. Full name:** First Southern LLC

- **ii. LEI, if any:** 5493006LKFHMTRXT7796

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 223**

- **i. Full name:** Centennial Securities Company, Inc.

- **ii. LEI, if any:** 5493003M2XPY7LFS1Y68

- **iii. State, if applicable:** MI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 224**

- **i. Full name:** State Farm VP Management Corp.

- **ii. LEI, if any:** 8-50128

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 225**

- **i. Full name:** Stifel, Nicolaus & Company, Incorporated

- **ii. LEI, if any:** 5WUVMA08EYG4KEUPW589

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 226**

- **i. Full name:** Grove Point Investments, LLC

- **ii. LEI, if any:** 8-31165

- **iii. State, if applicable:** MD

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 227**

- **i. Full name:** Herold & Lantern Investments, Inc.

- **ii. LEI, if any:** 254900J6QB9C3UNBJJ49

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 228**

- **i. Full name:** David Lerner Associates, Inc.

- **ii. LEI, if any:** 8-20746

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 229**

- **i. Full name:** T.R. Winston & Company, LLC

- **ii. LEI, if any:** 8-27519

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 230**

- **i. Full name:** ADP Broker-Dealer, Inc.

- **ii. LEI, if any:** 8-47885

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 231**

- **i. Full name:** MMA Securities LLC

- **ii. LEI, if any:** 8-50591

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 232**

- **i. Full name:** Symphonic Securities LLC

- **ii. LEI, if any:** 8-67220

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 233**

- **i. Full name:** MGO Securities Corp.

- **ii. LEI, if any:** 8-47814

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 234**

- **i. Full name:** Wall Street Access Corporation

- **ii. LEI, if any:** 549300Z0MOT47D6OQV22

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 235**

- **i. Full name:** Chauner Securities, Inc.

- **ii. LEI, if any:** 8-33980

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 236**

- **i. Full name:** NewEdge Securities, Inc.

- **ii. LEI, if any:** 549300HJL2LPNSC0JX96

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 237**

- **i. Full name:** Fortune Financial Services, Inc.

- **ii. LEI, if any:** 8-49727

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 238**

- **i. Full name:** Benchmark Investments, LLC

- **ii. LEI, if any:** 8-52280

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 239**

- **i. Full name:** AssetMark Trust Company

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 240**

- **i. Full name:** Concourse Financial Group Securities, Inc.

- **ii. LEI, if any:** 8-32590

- **iii. State, if applicable:** AL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 241**

- **i. Full name:** The Tavenner Company

- **ii. LEI, if any:** 8-41206

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 242**

- **i. Full name:** Great Point Capital LLC

- **ii. LEI, if any:** 254900HN4IGCO53HDK23

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 243**

- **i. Full name:** Dempsey Lord Smith, LLC

- **ii. LEI, if any:** 8-67469

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 244**

- **i. Full name:** Girard Investment Services, LLC

- **ii. LEI, if any:** 8-14145

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 245**

- **i. Full name:** Park Avenue Securities LLC

- **ii. LEI, if any:** 8-51324

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 246**

- **i. Full name:** Transam Securities, Inc.

- **ii. LEI, if any:** 8-37065

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 247**

- **i. Full name:** Morgan Stanley Smith Barney LLC

- **ii. LEI, if any:** 7PDDXEMZ0ZV0CEDU4D16

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 248**

- **i. Full name:** Andbanc Brokerage LLC

- **ii. LEI, if any:** 213800E4CWGFMCDQZ792

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 249**

- **i. Full name:** Valley Financial Management, Inc

- **ii. LEI, if any:** 5493005SJQ3VQ5DEE756

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 250**

- **i. Full name:** Boenning & Scattergood Inc.

- **ii. LEI, if any:** 2549005FER5A7K7II574

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 251**

- **i. Full name:** Invicta Capital LLC

- **ii. LEI, if any:** 549300QY87LR84LRLL97

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 252**

- **i. Full name:** 1st Discount Brokerage, Inc.

- **ii. LEI, if any:** 8-48557

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 253**

- **i. Full name:** MSEC, LLC

- **ii. LEI, if any:** 2549009EK3GVO5B3DK31

- **iii. State, if applicable:** KS

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 254**

- **i. Full name:** Gary Goldberg & Co., LLC

- **ii. LEI, if any:** 8-51974

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 255**

- **i. Full name:** American Wealth Management, Inc.

- **ii. LEI, if any:** 8-41807

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 256**

- **i. Full name:** Kovack Securities Inc.

- **ii. LEI, if any:** 25490070RG17Z4I70I82

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 257**

- **i. Full name:** New England Pension Plan Systems, LLC

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** RI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 258**

- **i. Full name:** BD4RIA, Inc.

- **ii. LEI, if any:** 8-70022

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 259**

- **i. Full name:** Access Financial Group, Inc.

- **ii. LEI, if any:** 8-46065

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 260**

- **i. Full name:** The Leaders Group, Inc.

- **ii. LEI, if any:** 8-47639

- **iii. State, if applicable:** CO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 261**

- **i. Full name:** TIAA-CREF Individual & Institutional Services, LLC

- **ii. LEI, if any:** 8-44454

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 262**

- **i. Full name:** Securevest Financial Group Inc.

- **ii. LEI, if any:** 254900LG3HPQV4J0WH27

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 263**

- **i. Full name:** International Assets Advisory, LLC

- **ii. LEI, if any:** 254900ARMOHQNS987S09

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 264**

- **i. Full name:** Sovereign Legacy Securities, Inc.

- **ii. LEI, if any:** 8-00621

- **iii. State, if applicable:** NC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 265**

- **i. Full name:** Hennion & Walsh, Inc.

- **ii. LEI, if any:** 2549007B0CCUSX9P2580

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 266**

- **i. Full name:** Veritas Independent Partners, LLC

- **ii. LEI, if any:** 8-69363

- **iii. State, if applicable:** AR

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 267**

- **i. Full name:** Sabadell Securities USA, Inc.

- **ii. LEI, if any:** 2549002UK8JK82ABGD45

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 268**

- **i. Full name:** ViewTrade Securities, Inc.

- **ii. LEI, if any:** 549300CHLQDUD0NL5851

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 269**

- **i. Full name:** Pruco Securities, LLC

- **ii. LEI, if any:** 8-16402

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 270**

- **i. Full name:** Herbert J Sims & Co. Inc.

- **ii. LEI, if any:** 254900SV6UESQBS8XP98

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 271**

- **i. Full name:** Maine Securities Corporation

- **ii. LEI, if any:** 01-0411722

- **iii. State, if applicable:** ME

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 272**

- **i. Full name:** TFS Securities, Inc.

- **ii. LEI, if any:** 8-38377

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 273**

- **i. Full name:** The Investment Center, Inc.

- **ii. LEI, if any:** 8-35826

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 274**

- **i. Full name:** Teckmeyer Financial Services, L.L.C.

- **ii. LEI, if any:** 8-48501

- **iii. State, if applicable:** NE

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 275**

- **i. Full name:** Southeast Investments, N.C. Inc.

- **ii. LEI, if any:** 8-50127

- **iii. State, if applicable:** NC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 276**

- **i. Full name:** Cardinal Investments, Inc.

- **ii. LEI, if any:** 8-47493

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 277**

- **i. Full name:** Financial Northeastern Securities, Inc.

- **ii. LEI, if any:** 549300QRRF2NAV5G3869

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 278**

- **i. Full name:** Bestvest Investments, Ltd.

- **ii. LEI, if any:** 254900SL6FW130BMS922

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 279**

- **i. Full name:** Ceros Financial Services Inc.

- **ii. LEI, if any:** 549300N2YQ0P5G0WE562

- **iii. State, if applicable:** MD

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 280**

- **i. Full name:** Arvest Investments, Inc.

- **ii. LEI, if any:** 254900F30H09HHDIEI45

- **iii. State, if applicable:** AR

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 281**

- **i. Full name:** Heim, Young & Associates, Inc.

- **ii. LEI, if any:** 8-48500

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 282**

- **i. Full name:** Smith, Brown & Groover, Inc.

- **ii. LEI, if any:** 8-13079

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 283**

- **i. Full name:** Capital Investment Brokerage, Inc.

- **ii. LEI, if any:** 8-49118

- **iii. State, if applicable:** NC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 284**

- **i. Full name:** Laidlaw & Company (UK) Ltd.

- **ii. LEI, if any:** 8-53731

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 285**

- **i. Full name:** R.M. Stark & Co., Inc.

- **ii. LEI, if any:** 8-22543

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 286**

- **i. Full name:** Talcott Resolution Life Insurance Company

- **ii. LEI, if any:** 8CE7JPU9IU72L3PPD756

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 287**

- **i. Full name:** Amerant Investments, Inc.

- **ii. LEI, if any:** 254900M8G8SSAIMHET60

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 288**

- **i. Full name:** Crown Capital Securities, L.P.

- **ii. LEI, if any:** 8-17264

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 289**

- **i. Full name:** NYLIFE Securities LLC

- **ii. LEI, if any:** 8-15517

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 290**

- **i. Full name:** Maxim Group LLC

- **ii. LEI, if any:** 254900OJ6JZO6SDMHQ83

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 291**

- **i. Full name:** Principal Securities, Inc.

- **ii. LEI, if any:** 8-13975

- **iii. State, if applicable:** IA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 292**

- **i. Full name:** NYLIFE Distributors LLC

- **ii. LEI, if any:** 8-46655

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 293**

- **i. Full name:** A.G.P. / Alliance Global Partners Corp

- **ii. LEI, if any:** 549300QJQ08RJGC7D885

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 294**

- **i. Full name:** James I. Black & Company

- **ii. LEI, if any:** 8-12077

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 295**

- **i. Full name:** SunTrust Bank

- **ii. LEI, if any:** IYDOJBGJWY9T8XKCSX06

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 296**

- **i. Full name:** Boreal Capital Securities, LLC

- **ii. LEI, if any:** 549300NMHK6HTSKCG696

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 297**

- **i. Full name:** SEI Private Trust Company

- **ii. LEI, if any:** 28-10625

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 298**

- **i. Full name:** Trade-PMR Group, Inc.

- **ii. LEI, if any:** 8-51390

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 299**

- **i. Full name:** SKA Securities, Inc.

- **ii. LEI, if any:** 8-53366

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 300**

- **i. Full name:** Professional Trading Services Brokerage, LLC

- **ii. LEI, if any:** 8-65173

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 301**

- **i. Full name:** United States Life Insurance Company in the City of New York

- **ii. LEI, if any:** 549300C1JQGJ0MNUMG79

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 302**

- **i. Full name:** Aon UK Holdings Limited

- **ii. LEI, if any:** 5493002ME0O127QJJG03

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 303**

- **i. Full name:** Carter, Terry & Company, Inc.

- **ii. LEI, if any:** 8-33797

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 304**

- **i. Full name:** The Jeffrey Matthews Financial Group, L.L.C.

- **ii. LEI, if any:** 25490086M6MGMYYVOJ50

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 305**

- **i. Full name:** United Brokerage Services, Inc.

- **ii. LEI, if any:** 8-48685

- **iii. State, if applicable:** WV

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 306**

- **i. Full name:** Oakwood Capital Securities, Inc.

- **ii. LEI, if any:** 8-38631

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 307**

- **i. Full name:** Amuni Financial, Inc

- **ii. LEI, if any:** 8-25338

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 308**

- **i. Full name:** Western International Securities, Inc.

- **ii. LEI, if any:** 25490001S7ICOSF8JC56

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 309**

- **i. Full name:** Perryman Securities, Inc.

- **ii. LEI, if any:** 8-53546

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 310**

- **i. Full name:** Omni Financial Securities, Inc.

- **ii. LEI, if any:** 8-44034

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 311**

- **i. Full name:** COUNTRY Capital Management Company

- **ii. LEI, if any:** 8-12645

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 312**

- **i. Full name:** BNY Mellon Securities Corporation

- **ii. LEI, if any:** 801-54739

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 313**

- **i. Full name:** SA Stone Wealth Management Inc.

- **ii. LEI, if any:** 8-36638

- **iii. State, if applicable:** AL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 314**

- **i. Full name:** Horace Mann Life Insurance Company

- **ii. LEI, if any:** 5493000HR2JKKNH2FL09

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 315**

- **i. Full name:** Reliance Trust Company

- **ii. LEI, if any:** 549300NV8FSQRNOUQO50

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 316**

- **i. Full name:** CIBC World Markets Corp.

- **ii. LEI, if any:** 549300445CON3DBMU275

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 317**

- **i. Full name:** N.I.S. Financial Services, Inc.

- **ii. LEI, if any:** 8-15919

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 318**

- **i. Full name:** Nationwide Planning Associates Inc.

- **ii. LEI, if any:** 8-45310

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 319**

- **i. Full name:** Rodgers Brothers, Inc.

- **ii. LEI, if any:** 254900LRFV1CEITPX737

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 320**

- **i. Full name:** Stephens Inc.

- **ii. LEI, if any:** 213800LH6T9XDYZCA534

- **iii. State, if applicable:** AR

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 321**

- **i. Full name:** Lincoln-Douglas Investments, LLC

- **ii. LEI, if any:** 8-68728

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 322**

- **i. Full name:** Concorde Investment Services, LLC

- **ii. LEI, if any:** 8-68388

- **iii. State, if applicable:** MI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 323**

- **i. Full name:** Gradient Securities, LLC

- **ii. LEI, if any:** 8-66032

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 324**

- **i. Full name:** JHW Financial Services, Inc.

- **ii. LEI, if any:** 8-45304

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 325**

- **i. Full name:** Nestlerode & Loy, Inc

- **ii. LEI, if any:** 8-12629

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 326**

- **i. Full name:** Mid Atlantic Clearing & Settlement Corporation

- **ii. LEI, if any:** 8-47758

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 327**

- **i. Full name:** Ascensus Broker Dealer Services, LLC

- **ii. LEI, if any:** 8-47312

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 328**

- **i. Full name:** American Financial Securities, Inc.

- **ii. LEI, if any:** 8-53205

- **iii. State, if applicable:** IA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 329**

- **i. Full name:** VBC Securities, L.L.C.

- **ii. LEI, if any:** 8-44141

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 330**

- **i. Full name:** Colorado Financial Service Corporation

- **ii. LEI, if any:** 8-52817

- **iii. State, if applicable:** CO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 331**

- **i. Full name:** Vanguard Marketing Corporation

- **ii. LEI, if any:** 549300M16F306POWCS41

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 332**

- **i. Full name:** J.P. Morgan Institutional Investments Inc.

- **ii. LEI, if any:** 8-52182

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 333**

- **i. Full name:** Private Client Services, LLC

- **ii. LEI, if any:** 8-68183

- **iii. State, if applicable:** KY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 334**

- **i. Full name:** Jefferies LLC

- **ii. LEI, if any:** 58PU97L1C0WSRCWADL48

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 335**

- **i. Full name:** SagePoint Financial, Inc.

- **ii. LEI, if any:** 8-66771

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 336**

- **i. Full name:** Gladowsky Capital Management, Corp.

- **ii. LEI, if any:** 8-51017

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 337**

- **i. Full name:** Northwestern Mutual Investment Services, LLC

- **ii. LEI, if any:** CYO86L8D7HTXW9SOZX28

- **iii. State, if applicable:** WI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 338**

- **i. Full name:** The Windmill Group, Inc.

- **ii. LEI, if any:** 8-25280

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 339**

- **i. Full name:** Variable Investment Advisors, Inc

- **ii. LEI, if any:** 8-50699

- **iii. State, if applicable:** SD

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 340**

- **i. Full name:** D.H. Hill Securities, LLLP

- **ii. LEI, if any:** 8-49475

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 341**

- **i. Full name:** Essex Securities LLC

- **ii. LEI, if any:** 254900RAMRWZOR870Q30

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 342**

- **i. Full name:** Harbour Investments, Inc

- **ii. LEI, if any:** 8-37373

- **iii. State, if applicable:** WI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 343**

- **i. Full name:** Peak Brokerage Services, LLC

- **ii. LEI, if any:** 8-68829

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 344**

- **i. Full name:** FSC Securities Corporation

- **ii. LEI, if any:** 8-21770

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 345**

- **i. Full name:** World Capital Brokerage, Inc.

- **ii. LEI, if any:** 8-06805

- **iii. State, if applicable:** CO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 346**

- **i. Full name:** Mcnally Financial Services Corporation

- **ii. LEI, if any:** 8-65388

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 347**

- **i. Full name:** International Research Securities, Inc.

- **ii. LEI, if any:** 8-37954

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 348**

- **i. Full name:** Hanson McClain Retirement Network, LLC

- **ii. LEI, if any:** 8-52250

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 349**

- **i. Full name:** Standard Insurance Company

- **ii. LEI, if any:** 549300KVA8DBYKHPXO21

- **iii. State, if applicable:** OR

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 350**

- **i. Full name:** Triad Advisors, Inc.

- **ii. LEI, if any:** 8-42007

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 351**

- **i. Full name:** Raymond James Financial, Inc.

- **ii. LEI, if any:** RGUZHJ05YTITL6D76949

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 352**

- **i. Full name:** Hefren-Tillotson, Inc.

- **ii. LEI, if any:** 8-10646

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 353**

- **i. Full name:** Sanctuary Securities, Inc.

- **ii. LEI, if any:** 2549007WBAL2Z578XQ34

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 354**

- **i. Full name:** Bankoh Investment Services, Inc.

- **ii. LEI, if any:** 8-44201

- **iii. State, if applicable:** HI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 355**

- **i. Full name:** RNR Securities, L.L.C.

- **ii. LEI, if any:** 8-50366

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 356**

- **i. Full name:** Coker & Palmer, Inc.

- **ii. LEI, if any:** 254900V1KTPDN88TDS68

- **iii. State, if applicable:** MS

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 357**

- **i. Full name:** Fiduciary Trust Company International

- **ii. LEI, if any:** N1YKEWO2IYPRS4742F57

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 358**

- **i. Full name:** Allianz Life Financial Services, LLC

- **ii. LEI, if any:** 5493008TSI0TRWDDGW79

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 359**

- **i. Full name:** First Republic Securities Company, LLC

- **ii. LEI, if any:** 5493000IMDFZDQYB2Q11

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 360**

- **i. Full name:** USAA Investment Services Company

- **ii. LEI, if any:** 549300VSPLQ1XBNPD479

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 361**

- **i. Full name:** Money Concepts Capital Corp

- **ii. LEI, if any:** 8-29671

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 362**

- **i. Full name:** Place Trade Financial, Inc.

- **ii. LEI, if any:** 8-65915

- **iii. State, if applicable:** NC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 363**

- **i. Full name:** Thurston, Springer, Miller, Herd & Titak, Inc.

- **ii. LEI, if any:** 8-25452

- **iii. State, if applicable:** IN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 364**

- **i. Full name:** Morris Group Inc

- **ii. LEI, if any:** 35-1546402

- **iii. State, if applicable:** IN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 365**

- **i. Full name:** Zions Direct, Inc.

- **ii. LEI, if any:** 254900VGN65XF3JVA633

- **iii. State, if applicable:** UT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 366**

- **i. Full name:** The Huntington Investment Company

- **ii. LEI, if any:** 5493004MEJ6IU9SR1R78

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 367**

- **i. Full name:** Searle & Co., Inc.

- **ii. LEI, if any:** 254900QO3OSPRE9KIA46

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 368**

- **i. Full name:** Pinnacle Investments, LLC

- **ii. LEI, if any:** 8-67515

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 369**

- **i. Full name:** World Choice Securities, Inc.

- **ii. LEI, if any:** 8-45235

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 370**

- **i. Full name:** Crescent Securities Group, Inc.

- **ii. LEI, if any:** 8-53457

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 371**

- **i. Full name:** AqGen Ascensus, Inc.

- **ii. LEI, if any:** 549300K5MHNFPEU2RK82

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 372**

- **i. Full name:** SECU Brokerage Services, Inc.

- **ii. LEI, if any:** 8-37927

- **iii. State, if applicable:** NC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 373**

- **i. Full name:** Sunbelt Securities, Inc.

- **ii. LEI, if any:** 8-49748

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 374**

- **i. Full name:** S.G. Long & Company

- **ii. LEI, if any:** 8-51816

- **iii. State, if applicable:** MT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 375**

- **i. Full name:** Arlington Securities, Inc.

- **ii. LEI, if any:** 8-38098

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 376**

- **i. Full name:** Navaid Financial Services, Inc.

- **ii. LEI, if any:** 8-49897

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 377**

- **i. Full name:** KCD Financial, Inc.

- **ii. LEI, if any:** 8-66005

- **iii. State, if applicable:** WI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 378**

- **i. Full name:** Lincoln Financial Securities Corporation

- **ii. LEI, if any:** 8-14609

- **iii. State, if applicable:** IN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 379**

- **i. Full name:** Thompson Davis & Co., Inc.

- **ii. LEI, if any:** 8-49386

- **iii. State, if applicable:** VA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 380**

- **i. Full name:** Lockton Investment Securities, LLC

- **ii. LEI, if any:** 8-67090

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 381**

- **i. Full name:** Excel Securities & Associates, Inc.

- **ii. LEI, if any:** 8-34261

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 382**

- **i. Full name:** S.L. Reed & Company

- **ii. LEI, if any:** 8-49178

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 383**

- **i. Full name:** TD Ameritrade Trust Company

- **ii. LEI, if any:** 20-0937408

- **iii. State, if applicable:** NE

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 384**

- **i. Full name:** Saturna Brokerage Services, Inc.

- **ii. LEI, if any:** 8-36558

- **iii. State, if applicable:** WA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 385**

- **i. Full name:** Oppenheimer & Co. Inc.

- **ii. LEI, if any:** 254900VH02JQR2L8XD64

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 386**

- **i. Full name:** Cary Street Partners LLC

- **ii. LEI, if any:** 8-66085

- **iii. State, if applicable:** VA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 387**

- **i. Full name:** Charles Schwab Bank, SSB (San Francisco, CA, US, Branch)

- **ii. LEI, if any:** 549300INFJ8TYNZ1G568

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 388**

- **i. Full name:** Woodlands Securities Corporation

- **ii. LEI, if any:** 8-39700

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 389**

- **i. Full name:** Paradigm Equities, Inc.

- **ii. LEI, if any:** 8-45593

- **iii. State, if applicable:** MI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 390**

- **i. Full name:** San Blas Securities LLC

- **ii. LEI, if any:** 25490079436TZN10JD83

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 391**

- **i. Full name:** Arkadios Capital, LLC

- **ii. LEI, if any:** 2549004VFYBIASQ1A234

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 392**

- **i. Full name:** Silver Oak Securities, Incorporated

- **ii. LEI, if any:** 8-51601

- **iii. State, if applicable:** TN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 393**

- **i. Full name:** White Mountain Capital, LLC

- **ii. LEI, if any:** 8-52572

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 394**

- **i. Full name:** Hand Securities, Inc.

- **ii. LEI, if any:** 8-51001

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 395**

- **i. Full name:** Creativeone Securities, LLC

- **ii. LEI, if any:** 8-68494

- **iii. State, if applicable:** KS

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 396**

- **i. Full name:** MML Investors Services, LLC

- **ii. LEI, if any:** 8-27250

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 397**

- **i. Full name:** Independent Financial Group, LLC

- **ii. LEI, if any:** 254900KYWXHSQ7RMNP09

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 398**

- **i. Full name:** Whitehall-Parker Securities Inc.

- **ii. LEI, if any:** 8-27688

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 399**

- **i. Full name:** Monere Investments, Inc.

- **ii. LEI, if any:** 2549004LPCIR92BLYF90

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 400**

- **i. Full name:** First Western Securities, Inc.

- **ii. LEI, if any:** 8-37613

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 401**

- **i. Full name:** TimeCapital Securities Corporation

- **ii. LEI, if any:** 8-18248

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 402**

- **i. Full name:** GLS & Associates, Inc.

- **ii. LEI, if any:** 8-51808

- **iii. State, if applicable:** AL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 403**

- **i. Full name:** Ameritas Investment Company, LLC

- **ii. LEI, if any:** 549300913B54XKSRM258

- **iii. State, if applicable:** NE

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 404**

- **i. Full name:** Schlitt Investor Services, Inc.

- **ii. LEI, if any:** 8-34202

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 405**

- **i. Full name:** American Trust Company

- **ii. LEI, if any:** 5493005EOTYFH88SI914

- **iii. State, if applicable:** TN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 406**

- **i. Full name:** Northern Capital Securities Corporation

- **ii. LEI, if any:** 254900ZANH7XTB94LS53

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 407**

- **i. Full name:** Keel Point Capital, LLC

- **ii. LEI, if any:** 8-22990

- **iii. State, if applicable:** AL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 408**

- **i. Full name:** Gerwin Group, Inc.

- **ii. LEI, if any:** 8-40282

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 409**

- **i. Full name:** Cetera Advisors LLC

- **ii. LEI, if any:** 8-26892

- **iii. State, if applicable:** CO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 410**

- **i. Full name:** Oberweis Securities, Inc.

- **ii. LEI, if any:** 5493008EZH6DO1631P71

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 411**

- **i. Full name:** Jacques Financial, LLC

- **ii. LEI, if any:** 8-52675

- **iii. State, if applicable:** MD

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 412**

- **i. Full name:** J. D. Seibert & Co., Inc.

- **ii. LEI, if any:** 8-23604

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 413**

- **i. Full name:** Massachusetts Mutual Life Insurance Company

- **ii. LEI, if any:** R6ZXK5P01NP6HXSY1S07

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 414**

- **i. Full name:** Samuel A. Ramirez & Company, Inc.

- **ii. LEI, if any:** 254900CBKVW7O2ENQA21

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 415**

- **i. Full name:** American Equity Investment Corporation

- **ii. LEI, if any:** 8-49078

- **iii. State, if applicable:** IN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 416**

- **i. Full name:** First Financial Securities of America, Inc.

- **ii. LEI, if any:** 8-29565

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 417**

- **i. Full name:** Invex, LLC

- **ii. LEI, if any:** NPOTUCXQYGXX5PO6VH74

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 418**

- **i. Full name:** BancWest Investment Services, Inc.

- **ii. LEI, if any:** 5493001GJYTESEZEBA51

- **iii. State, if applicable:** NE

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 419**

- **i. Full name:** General Securities Corp.

- **ii. LEI, if any:** 8-31654

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 420**

- **i. Full name:** First Heartland Capital, Inc.

- **ii. LEI, if any:** 8-46008

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 421**

- **i. Full name:** Transamerica Financial Advisors, Inc.

- **ii. LEI, if any:** 549300JW32XCZSHI0878

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 422**

- **i. Full name:** Buell Securities Corp.

- **ii. LEI, if any:** 8-22058

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 423**

- **i. Full name:** Axiom Capital Management, Inc.

- **ii. LEI, if any:** 254900WW7SK1IMK6NO54

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 424**

- **i. Full name:** Eagles Coast Capital, LLC

- **ii. LEI, if any:** 8-70137

- **iii. State, if applicable:** SC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 425**

- **i. Full name:** Bley Investment Group, Inc.

- **ii. LEI, if any:** 8-42701

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 426**

- **i. Full name:** TrustFirst, Inc.

- **ii. LEI, if any:** 8-48509

- **iii. State, if applicable:** TN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 427**

- **i. Full name:** American Financial Associates, Inc.

- **ii. LEI, if any:** 8-44065

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 428**

- **i. Full name:** Emerson Equity LLC

- **ii. LEI, if any:** 8-66296

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 429**

- **i. Full name:** Capital Synergy Partners, Inc.

- **ii. LEI, if any:** 8-68060

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 430**

- **i. Full name:** Trustmont Financial Group, Inc.

- **ii. LEI, if any:** 8-36439

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 431**

- **i. Full name:** Lincoln Financial Distributors, Inc.

- **ii. LEI, if any:** 8-13431

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 432**

- **i. Full name:** Blakeslee & Blakeslee, Inc.

- **ii. LEI, if any:** 8-32071

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 433**

- **i. Full name:** Royal Alliance Associates, Inc.

- **ii. LEI, if any:** 2549008QNG03YMMNXZ09

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 434**

- **i. Full name:** Northern Trust Securities, Inc.

- **ii. LEI, if any:** 3CHSO99JSPHD9HGNYJ46

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 435**

- **i. Full name:** Profinancial, Inc.

- **ii. LEI, if any:** 8-32026

- **iii. State, if applicable:** LA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 436**

- **i. Full name:** Westco Investment Corp.

- **ii. LEI, if any:** 8-38452

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 437**

- **i. Full name:** Merrill Lynch, Pierce, Fenner & Smith Incorporated

- **ii. LEI, if any:** 8NAV47T0Y26Q87Y0QP81

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 438**

- **i. Full name:** Janney Montgomery Scott LLC

- **ii. LEI, if any:** 8-00462

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 439**

- **i. Full name:** City National Bank

- **ii. LEI, if any:** 593C3GZG957YOJPS2Z63

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 440**

- **i. Full name:** Brighton Securities Corp.

- **ii. LEI, if any:** 8-14599

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 441**

- **i. Full name:** Principal Life Insurance Company

- **ii. LEI, if any:** SDCMU2LVKGV2AF1KWP64

- **iii. State, if applicable:** IA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 442**

- **i. Full name:** Syndicated Capital, Inc.

- **ii. LEI, if any:** 8-44162

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 443**

- **i. Full name:** First Horizon Advisors, Inc.

- **ii. LEI, if any:** 8-35061

- **iii. State, if applicable:** TN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 444**

- **i. Full name:** Devenir, LLC

- **ii. LEI, if any:** 8-65837

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 445**

- **i. Full name:** Fieldpoint Private Securities, LLC

- **ii. LEI, if any:** 8-37105

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 446**

- **i. Full name:** Portfolio Resources Group, Inc.

- **ii. LEI, if any:** 549300TKCYL1XNXOL896

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 447**

- **i. Full name:** T. Rowe Price Investment Services, Inc.

- **ii. LEI, if any:** 8-25130

- **iii. State, if applicable:** MD

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 448**

- **i. Full name:** Chapin Davis Inc.

- **ii. LEI, if any:** 801-70987

- **iii. State, if applicable:** MD

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 449**

- **i. Full name:** R. F. Lafferty & Co., Inc.

- **ii. LEI, if any:** 254900KLPTMWPBZWH264

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 450**

- **i. Full name:** Key Investment Services LLC

- **ii. LEI, if any:** 8-66999

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 451**

- **i. Full name:** CBIZ Financial Solutions, Inc.

- **ii. LEI, if any:** 8-34205

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 452**

- **i. Full name:** Leigh Baldwin & Co., L.L.C.

- **ii. LEI, if any:** 8-48385

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 453**

- **i. Full name:** BNA Wealth, Inc.

- **ii. LEI, if any:** 8-48642

- **iii. State, if applicable:** SC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 454**

- **i. Full name:** N.E. Private Client Advisors, Ltd.

- **ii. LEI, if any:** 8-66968

- **iii. State, if applicable:** RI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 455**

- **i. Full name:** Teachers Insurance and Annuity Association of America

- **ii. LEI, if any:** O06XD7BJ4EPXNABVFN69

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 456**

- **i. Full name:** World Equity Group, Incorporated

- **ii. LEI, if any:** 25490078J1OM7KOXR686

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 457**

- **i. Full name:** First Command Brokerage Services, Inc.

- **ii. LEI, if any:** 8-07072

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 458**

- **i. Full name:** Multiple Financial Services, Inc.

- **ii. LEI, if any:** 8-52017

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 459**

- **i. Full name:** Citigroup Global Markets Inc.

- **ii. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 460**

- **i. Full name:** National Financial Services LLC

- **ii. LEI, if any:** 549300JRHF1MHHWUAW04

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 461**

- **i. Full name:** Harbor Investment Advisory, LLC

- **ii. LEI, if any:** 8-68334

- **iii. State, if applicable:** MD

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 462**

- **i. Full name:** Fifth Third Securities, Inc.

- **ii. LEI, if any:** 5493003IMO3TYX51WE43

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 463**

- **i. Full name:** Nations Financial Group, Inc.

- **ii. LEI, if any:** 8-50588

- **iii. State, if applicable:** IA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 464**

- **i. Full name:** Beaconsfield Financial Services, Inc.

- **ii. LEI, if any:** 8-30993

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 465**

- **i. Full name:** Xml Securities, LLC

- **ii. LEI, if any:** 8-67776

- **iii. State, if applicable:** VA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 466**

- **i. Full name:** Cetera Investment Services LLC

- **ii. LEI, if any:** 254900HBKNJ13M56N432

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 467**

- **i. Full name:** Stifel Independent Advisors, LLC

- **ii. LEI, if any:** 8-43514

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 468**

- **i. Full name:** Bolton Global Capital, Inc.

- **ii. LEI, if any:** 2549009M08YVOG46LO79

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 469**

- **i. Full name:** Jack V. Butterfield Investment Company

- **ii. LEI, if any:** 8-12454

- **iii. State, if applicable:** MI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 470**

- **i. Full name:** Empower Plan Services, LLC

- **ii. LEI, if any:** 71-0930784

- **iii. State, if applicable:** CO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 471**

- **i. Full name:** Gill Capital Partners, LLC

- **ii. LEI, if any:** 8-30563

- **iii. State, if applicable:** CO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 472**

- **i. Full name:** Feltl and Company, Inc.

- **ii. LEI, if any:** 8-18435

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 473**

- **i. Full name:** Berthel Fisher & Company Financial Services, Inc.

- **ii. LEI, if any:** 8-29426

- **iii. State, if applicable:** IA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 474**

- **i. Full name:** Integral Financial LLC

- **ii. LEI, if any:** 2549000I2CBZTJRHG786

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 475**

- **i. Full name:** Investments For You, Inc.

- **ii. LEI, if any:** 8-44179

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 476**

- **i. Full name:** First Bankers' Banc Securities, Inc.

- **ii. LEI, if any:** 549300XZ7YYT3Y0SU530

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 477**

- **i. Full name:** Intervest International Equities Corporation

- **ii. LEI, if any:** 8-38156

- **iii. State, if applicable:** CO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 478**

- **i. Full name:** Regulus Financial Group, LLC

- **ii. LEI, if any:** 8-68275

- **iii. State, if applicable:** MI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 479**

- **i. Full name:** SFA Financial, LLC

- **ii. LEI, if any:** 8-68156

- **iii. State, if applicable:** SC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 480**

- **i. Full name:** Independence Capital Co., Inc.

- **ii. LEI, if any:** 8-41331

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 481**

- **i. Full name:** CUNA Brokerage Services, Inc.

- **ii. LEI, if any:** 549300G6Y6BPF9ZL4706

- **iii. State, if applicable:** IA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 482**

- **i. Full name:** Landolt Securities, Inc.

- **ii. LEI, if any:** 254900B2XEQ2HZGN7K90

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 483**

- **i. Full name:** Smith, Moore & Co.

- **ii. LEI, if any:** 8-27480

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 484**

- **i. Full name:** Mutual Securities, Inc.

- **ii. LEI, if any:** 254900UQFSLK9OUNAC76

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 485**

- **i. Full name:** GLP Investment Services, LLC

- **ii. LEI, if any:** 8-41868

- **iii. State, if applicable:** MI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 486**

- **i. Full name:** Sisung Securities Corporation

- **ii. LEI, if any:** 254900KJI3EYKKPWT989

- **iii. State, if applicable:** LA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 487**

- **i. Full name:** Larson Financial Securities LLC

- **ii. LEI, if any:** 8-68456

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 488**

- **i. Full name:** Maplewood Investments, Inc.

- **ii. LEI, if any:** 8-52221

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 489**

- **i. Full name:** Robert W. Baird & Co. Incorporated

- **ii. LEI, if any:** 8-497

- **iii. State, if applicable:** WI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 490**

- **i. Full name:** Ameriprise Financial Services, LLC

- **ii. LEI, if any:** 8-16791

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 491**

- **i. Full name:** Arete Wealth Management LLC

- **ii. LEI, if any:** 8-50854

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 492**

- **i. Full name:** William Blair & Company, L.L.C.

- **ii. LEI, if any:** 549300J0P7XYE8BMZ775

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 493**

- **i. Full name:** CGIS Securities LLC

- **ii. LEI, if any:** 254900GOI7SHVRZ5BG90

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 494**

- **i. Full name:** Wells Fargo Securities, LLC

- **ii. LEI, if any:** VYVVCKR63DVZZN70PB21

- **iii. State, if applicable:** NC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 495**

- **i. Full name:** Alterna Securities, Inc.

- **ii. LEI, if any:** 254900FT947VQZ1WHT28

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 496**

- **i. Full name:** Parkland Securities, LLC

- **ii. LEI, if any:** 8-53482

- **iii. State, if applicable:** MI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 497**

- **i. Full name:** The Guardian Insurance & Annuity Company, Inc.

- **ii. LEI, if any:** TGIU5N0SIMULU6I57R64

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 498**

- **i. Full name:** FMN Capital Corporation

- **ii. LEI, if any:** 8-48082

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 499**

- **i. Full name:** Wright Investors' Service Distributors, Inc.

- **ii. LEI, if any:** 06-1071596

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 500**

- **i. Full name:** Benefit Plans Administrative Services, Inc.

- **ii. LEI, if any:** BBG002ZR1639

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 501**

- **i. Full name:** Finance 500, Inc.

- **ii. LEI, if any:** 8-28302

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 502**

- **i. Full name:** InSight Securities, Inc.

- **ii. LEI, if any:** 2549007I5MCG270G9341

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 503**

- **i. Full name:** M. E. Allison & Co., Inc.

- **ii. LEI, if any:** 2549001B1UO62MZQWQ16

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 504**

- **i. Full name:** Steward Partners Investment Solutions, LLC

- **ii. LEI, if any:** 25490043UEOX7JZ3AC58

- **iii. State, if applicable:** OR

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 505**

- **i. Full name:** G. A. Repple & Company

- **ii. LEI, if any:** 8-35315

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 506**

- **i. Full name:** KW Securities Corporation

- **ii. LEI, if any:** 8-24792

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 507**

- **i. Full name:** Barclays Capital Inc.

- **ii. LEI, if any:** AC28XWWI3WIBK2824319

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 508**

- **i. Full name:** First Citizens Investor Services, Inc.

- **ii. LEI, if any:** 8-50696

- **iii. State, if applicable:** NC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 509**

- **i. Full name:** Fifth Third Bank, National Association

- **ii. LEI, if any:** QFROUN1UWUYU0DVIWD51

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 510**

- **i. Full name:** PTI Securities & Futures, L.P.

- **ii. LEI, if any:** 8-44412

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 511**

- **i. Full name:** John Hancock Trust Company LLC

- **ii. LEI, if any:** 549300W205WZCFZS6R51

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 512**

- **i. Full name:** Caldwell Securities Ltd.

- **ii. LEI, if any:** 549300ORF2FMHXODHJ66

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 513**

- **i. Full name:** Mutual Funds Associates, Inc.

- **ii. LEI, if any:** 8-13026

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 514**

- **i. Full name:** Alight Solutions LLC

- **ii. LEI, if any:** 84-01996

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 515**

- **i. Full name:** Investment Security Corporation

- **ii. LEI, if any:** 8-51832

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 516**

- **i. Full name:** Carty & Company, Inc.

- **ii. LEI, if any:** 2549004VW1160A0HAR55

- **iii. State, if applicable:** TN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 517**

- **i. Full name:** Northland Securities, Inc.

- **ii. LEI, if any:** 254900ZIK4MLVQAWLS15

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 518**

- **i. Full name:** Ace Diversified Capital, Inc.

- **ii. LEI, if any:** 8-49555

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 519**

- **i. Full name:** ACP Securities, LLC

- **ii. LEI, if any:** 254900GHLAGD9J81O211

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 520**

- **i. Full name:** Benjamin F. Edwards & Company, Inc.

- **ii. LEI, if any:** 2549003FIOJT37PTTC29

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 521**

- **i. Full name:** L.M. Kohn & Company

- **ii. LEI, if any:** 8-43303

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 522**

- **i. Full name:** Mack Investment Securities, Inc.

- **ii. LEI, if any:** 8-35536

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 523**

- **i. Full name:** Impact U. Investments, LLC

- **ii. LEI, if any:** 8-65527

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 524**

- **i. Full name:** Synovus Securities, Inc.

- **ii. LEI, if any:** 254900CM2K7N1E0JF171

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 525**

- **i. Full name:** VectorGlobal WMG Inc.

- **ii. LEI, if any:** 254900K52VRYBHUGBC64

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 526**

- **i. Full name:** Buckram Securities Ltd.

- **ii. LEI, if any:** 8-65939

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 527**

- **i. Full name:** Lincoln Investment Planning, LLC

- **ii. LEI, if any:** 8-14354

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 528**

- **i. Full name:** Cape Securities, Inc.

- **ii. LEI, if any:** 8-20747

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 529**

- **i. Full name:** Geneos Wealth Management, Inc.

- **ii. LEI, if any:** 8-65357

- **iii. State, if applicable:** CO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 530**

- **i. Full name:** Oscar Gruss & Son Incorporated

- **ii. LEI, if any:** 549300V78DH9XCK5UI63

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 531**

- **i. Full name:** Pacific Financial Associates, Inc.

- **ii. LEI, if any:** 8-40712

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 532**

- **i. Full name:** Planned Financial Programs, Inc.

- **ii. LEI, if any:** 8-5727

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 533**

- **i. Full name:** Inverness Securities, LLC

- **ii. LEI, if any:** 8-66278

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 534**

- **i. Full name:** Fidelity Brokerage Services LLC

- **ii. LEI, if any:** 549300OQFQ4NFIOD5695

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 535**

- **i. Full name:** USCA Securities LLC

- **ii. LEI, if any:** 254900GBMSP1Y45THR66

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 536**

- **i. Full name:** American United Life Insurance Company

- **ii. LEI, if any:** 549300T82H2DXU80LV98

- **iii. State, if applicable:** IN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 537**

- **i. Full name:** Liberty Capital Investment Corp.

- **ii. LEI, if any:** 8-42051

- **iii. State, if applicable:** OR

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 538**

- **i. Full name:** Infinity Securities, Inc.

- **ii. LEI, if any:** 8-67647

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 539**

- **i. Full name:** Integrity Investments, Inc.

- **ii. LEI, if any:** 8-45302

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 540**

- **i. Full name:** People's Securities, Inc.

- **ii. LEI, if any:** 801-63122

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 541**

- **i. Full name:** Mutual of Omaha Investor Services, Inc.

- **ii. LEI, if any:** 8-47290

- **iii. State, if applicable:** NE

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 542**

- **i. Full name:** DMK Advisor Group, Inc.

- **ii. LEI, if any:** 8-49279

- **iii. State, if applicable:** CO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 543**

- **i. Full name:** Calton & Associates, Inc.

- **ii. LEI, if any:** 254900TDJ7LH64ZKRY86

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 544**

- **i. Full name:** Darwood Associates, Incorporated

- **ii. LEI, if any:** 8-16560

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 545**

- **i. Full name:** Cutter and Company Brokerage, Inc.

- **ii. LEI, if any:** 8-39590

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 546**

- **i. Full name:** Transamerica Advisors Life Insurance Company

- **ii. LEI, if any:** F1PLTWZ8OU4HQGZQAP31

- **iii. State, if applicable:** AR

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 547**

- **i. Full name:** CapFinancial Securities, LLC

- **ii. LEI, if any:** 8-65870

- **iii. State, if applicable:** NC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 548**

- **i. Full name:** LPL Financial LLC

- **ii. LEI, if any:** 5493005NM7F0H1N3EQ39

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 549**

- **i. Full name:** Hunter Associates, Inc.

- **ii. LEI, if any:** 8-44779

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 550**

- **i. Full name:** CFD Investments, Inc.

- **ii. LEI, if any:** 8-41727

- **iii. State, if applicable:** IN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 551**

- **i. Full name:** Innovation Partners, LLC

- **ii. LEI, if any:** 549300IEQ78ON1HMTU71

- **iii. State, if applicable:** NC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 552**

- **i. Full name:** Mercer HR Services, LLC

- **ii. LEI, if any:** 20-1932099

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 553**

- **i. Full name:** Aufhauser Securities, Inc.

- **ii. LEI, if any:** 8-48786

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 554**

- **i. Full name:** Westminster Financial Securities, Inc.

- **ii. LEI, if any:** 8-38426

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 555**

- **i. Full name:** American Global Wealth Management, Inc.

- **ii. LEI, if any:** 39-1259164

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 556**

- **i. Full name:** First Manhattan Co.

- **ii. LEI, if any:** 549300NNJKVSO48I3G76

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 557**

- **i. Full name:** H. C. Denison Co.

- **ii. LEI, if any:** 8-00044

- **iii. State, if applicable:** WI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 558**

- **i. Full name:** Uhlmann Price Securities, LLC

- **ii. LEI, if any:** 8-50041

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 559**

- **i. Full name:** Calamar Financial Group, LLC

- **ii. LEI, if any:** 8-69777

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 560**

- **i. Full name:** Healthcare Community Securities Corp.

- **ii. LEI, if any:** 8-46981

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 561**

- **i. Full name:** Gregory J. Schwartz & Co., Inc.

- **ii. LEI, if any:** 8-20955

- **iii. State, if applicable:** MI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 562**

- **i. Full name:** ICMA-RC Services, LLC

- **ii. LEI, if any:** 8-40268

- **iii. State, if applicable:** DC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 563**

- **i. Full name:** Woodbury Financial Services, Inc.

- **ii. LEI, if any:** 8-13846

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 564**

- **i. Full name:** Mid-atlantic Securities, Inc.

- **ii. LEI, if any:** 8-36997

- **iii. State, if applicable:** NC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 565**

- **i. Full name:** Nationwide Financial Services, Inc.

- **ii. LEI, if any:** 5493001H7AZNDS6BKJ36

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 566**

- **i. Full name:** Davinci Capital Management, Inc.

- **ii. LEI, if any:** 8-51580

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 567**

- **i. Full name:** Wintrust Investments, LLC

- **ii. LEI, if any:** 254900VR9KGJNQBQZA90

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 568**

- **i. Full name:** Itau International Securities Inc.

- **ii. LEI, if any:** 54930086LDFU8Z86AH91

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 569**

- **i. Full name:** DFPG Investments, LLC

- **ii. LEI, if any:** 8-68730

- **iii. State, if applicable:** UT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 570**

- **i. Full name:** Mesirow Financial, Inc.

- **ii. LEI, if any:** 549300BIV46SUHPOFE54

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 571**

- **i. Full name:** Western Equity Group, Inc.

- **ii. LEI, if any:** 8-66403

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 572**

- **i. Full name:** XP Investments US, LLC

- **ii. LEI, if any:** 549300HDFLS7P433PO89

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 573**

- **i. Full name:** B. Riley Wealth Management Holdings, Inc.

- **ii. LEI, if any:** 8-31206

- **iii. State, if applicable:** TN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 574**

- **i. Full name:** Hudson Heritage Capital Management Inc.

- **ii. LEI, if any:** 8-50648

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 575**

- **i. Full name:** Pershing LLC

- **ii. LEI, if any:** ZI8Q1A8EI8LQFJNM0D94

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 576**

- **i. Full name:** Newport Group Securities, Inc.

- **ii. LEI, if any:** 801-60427

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 577**

- **i. Full name:** Michigan Securities Inc.

- **ii. LEI, if any:** 8-52094

- **iii. State, if applicable:** MI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 578**

- **i. Full name:** NEXT Financial Group, Inc.

- **ii. LEI, if any:** 8-51356

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 579**

- **i. Full name:** ACA Prudent Investors Planning Corp.

- **ii. LEI, if any:** 8-51899

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 580**

- **i. Full name:** American National Trust And Investment Management Company

- **ii. LEI, if any:** 28-00344

- **iii. State, if applicable:** IN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 581**

- **i. Full name:** Midland Securities, Ltd.

- **ii. LEI, if any:** 8-40685

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 582**

- **i. Full name:** Morgan Stanley & Co. LLC

- **ii. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 583**

- **i. Full name:** Investshares, Inc

- **ii. LEI, if any:** 8-68365

- **iii. State, if applicable:** MI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 584**

- **i. Full name:** Capital City Securities, LLC

- **ii. LEI, if any:** 8-67771

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 585**

- **i. Full name:** SPIRE Securities, LLC

- **ii. LEI, if any:** 8-67635

- **iii. State, if applicable:** VA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 586**

- **i. Full name:** B. C. Ziegler and Company

- **ii. LEI, if any:** 549300NLEOFP92P38Q71

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 587**

- **i. Full name:** U.S. Bancorp Investments, Inc.

- **ii. LEI, if any:** H85Z6XZP8B10ES0M2G89

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 588**

- **i. Full name:** Fidelity Investments Life Insurance Company

- **ii. LEI, if any:** 54930024AKTQGTIV1P93

- **iii. State, if applicable:** RI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 589**

- **i. Full name:** MML Distributors, LLC

- **ii. LEI, if any:** 8-48203

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 590**

- **i. Full name:** Chelsea Morgan Securities, Inc.

- **ii. LEI, if any:** 8-51916

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 591**

- **i. Full name:** Piper Sandler & Co.

- **ii. LEI, if any:** 549300GRQCWQ3XGH0H10

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 592**

- **i. Full name:** Investors Brokerage of Texas, Ltd.

- **ii. LEI, if any:** 8-28644

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 593**

- **i. Full name:** Wiley Bros. - Aintree Capital, LLC

- **ii. LEI, if any:** 8-3774

- **iii. State, if applicable:** TN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 594**

- **i. Full name:** Pershing Advisor Solutions LLC

- **ii. LEI, if any:** 549300KTC63JRN36GZ84

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 595**

- **i. Full name:** Hancock Whitney Corporation

- **ii. LEI, if any:** 549300GRNBWY8HIICT41

- **iii. State, if applicable:** MS

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 596**

- **i. Full name:** The Logan Group Securities

- **ii. LEI, if any:** 8-48995

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 597**

- **i. Full name:** IDB Capital Corp.

- **ii. LEI, if any:** 254900SH3QL0IL3S9R34

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 598**

- **i. Full name:** Bankers Life Securities, Inc.

- **ii. LEI, if any:** 549300YBBLCDP5GDSH97

- **iii. State, if applicable:** IN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 599**

- **i. Full name:** Rothschild Investment Corporation

- **ii. LEI, if any:** 8-16429

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 600**

- **i. Full name:** Securities Equity Group

- **ii. LEI, if any:** 8-51706

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 601**

- **i. Full name:** HSBC Securities (USA) Inc.

- **ii. LEI, if any:** CYYGQCGNHMHPSMRL3R97

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 602**

- **i. Full name:** Hartford Funds Management Company, LLC

- **ii. LEI, if any:** 549300P3DI8LOUAPBT80

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 603**

- **i. Full name:** Cannon Securities, Inc.

- **ii. LEI, if any:** 8-68437

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 604**

- **i. Full name:** E*TRADE Securities LLC

- **ii. LEI, if any:** 549300PJRJFMBCDPWR57

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 605**

- **i. Full name:** Arthur W. Wood Company

- **ii. LEI, if any:** 8-3368

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 606**

- **i. Full name:** Securities Research, Inc.

- **ii. LEI, if any:** 8-23699

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 607**

- **i. Full name:** TCAdvisors Network Inc

- **ii. LEI, if any:** 8-46909

- **iii. State, if applicable:** CO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 608**

- **i. Full name:** Register Financial Associates, Inc.

- **ii. LEI, if any:** 8-45012

- **iii. State, if applicable:** GA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 609**

- **i. Full name:** Prospera Financial Services, Inc.

- **ii. LEI, if any:** 2549009CIEPO956KXD30

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 610**

- **i. Full name:** Akar Capital Management, Inc.

- **ii. LEI, if any:** 8-28026

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 611**

- **i. Full name:** Alexander Capital, L.P.

- **ii. LEI, if any:** 8-48957

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 612**

- **i. Full name:** TRG Advisors, Inc.

- **ii. LEI, if any:** 8-50449

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 613**

- **i. Full name:** Great American Investors, Inc.

- **ii. LEI, if any:** 8-44380

- **iii. State, if applicable:** KS

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 614**

- **i. Full name:** Sycamore Financial Group Inc

- **ii. LEI, if any:** 8-30302

- **iii. State, if applicable:** IN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 615**

- **i. Full name:** Sage Rutty and Company, Inc.

- **ii. LEI, if any:** 8-00533

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 616**

- **i. Full name:** Bancolombia Capital LLC

- **ii. LEI, if any:** 25490051GIQ3D8QQR978

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 617**

- **i. Full name:** Nicol Investors Corporation

- **ii. LEI, if any:** 8-65566

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 618**

- **i. Full name:** Woodmen Financial Services, Inc.

- **ii. LEI, if any:** 8-53592

- **iii. State, if applicable:** NE

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 619**

- **i. Full name:** The O. N. Equity Sales Company

- **ii. LEI, if any:** 8-14161

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 620**

- **i. Full name:** PNC Capital Markets LLC

- **ii. LEI, if any:** 7OGNSSLOQJ8U3B9Y5F18

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 621**

- **i. Full name:** Investment Planners, Inc.

- **ii. LEI, if any:** 8-35642

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 622**

- **i. Full name:** Cetera Financial Specialists LLC

- **ii. LEI, if any:** 8-27082

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 623**

- **i. Full name:** Nelson Ivest Brokerage Services, Inc.

- **ii. LEI, if any:** 8-26448

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 624**

- **i. Full name:** Intercarolina Financial Services, Inc.

- **ii. LEI, if any:** 8-37519

- **iii. State, if applicable:** NC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 625**

- **i. Full name:** SG Americas Securities, LLC

- **ii. LEI, if any:** 549300F35UE0BOM1WJ55

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 626**

- **i. Full name:** Capital Portfolio Management, Inc.

- **ii. LEI, if any:** 8-44225

- **iii. State, if applicable:** MD

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 627**

- **i. Full name:** UBATCO & Co.

- **ii. LEI, if any:** N/A

- **iii. State, if applicable:** NE

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 628**

- **i. Full name:** Coastal Equities, Inc.

- **ii. LEI, if any:** 8-40822

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 629**

- **i. Full name:** LifeMark Securities Corp.

- **ii. LEI, if any:** 8-33478

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 630**

- **i. Full name:** Horan Securities, Inc.

- **ii. LEI, if any:** 8-49192

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 631**

- **i. Full name:** Regions Bank

- **ii. LEI, if any:** EQTWLK1G7ODGC2MGLV11

- **iii. State, if applicable:** AL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 632**

- **i. Full name:** The Oak Ridge Financial Services Group, Inc.

- **ii. LEI, if any:** 2549003647MDU9F6QN39

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 633**

- **i. Full name:** Leo Brokerage, LLC

- **ii. LEI, if any:** 8-53487

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 634**

- **i. Full name:** TCFG Wealth Management, LLC

- **ii. LEI, if any:** 8-69089

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 635**

- **i. Full name:** M Holdings Securities, Inc.

- **ii. LEI, if any:** 8-50214

- **iii. State, if applicable:** OR

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 636**

- **i. Full name:** Alight Financial Solutions, LLC

- **ii. LEI, if any:** 8-47344

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 637**

- **i. Full name:** Navy Federal Investment Services, LLC

- **ii. LEI, if any:** 8-67161

- **iii. State, if applicable:** VA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 638**

- **i. Full name:** Sunstreet Securities, LLC

- **ii. LEI, if any:** 8-67541

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 639**

- **i. Full name:** Oak Tree Securities, Inc.

- **ii. LEI, if any:** 8-36138

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 640**

- **i. Full name:** TradeStation Securities, Inc.

- **ii. LEI, if any:** 549300T08P71XXBYLW62

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 641**

- **i. Full name:** Centaurus Financial, Inc.

- **ii. LEI, if any:** 8-45185

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 642**

- **i. Full name:** Harold W. Dance, Inc.

- **ii. LEI, if any:** 8-12160

- **iii. State, if applicable:** UT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 643**

- **i. Full name:** CC Capital Advisors, Inc.

- **ii. LEI, if any:** 8-44574

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 644**

- **i. Full name:** Federated Securities, Inc.

- **ii. LEI, if any:** 8-15644

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 645**

- **i. Full name:** Investment Placement Group

- **ii. LEI, if any:** 5493005L3RL45FY4HR07

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 646**

- **i. Full name:** Bolton Securities Corporation

- **ii. LEI, if any:** 8-68187

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 647**

- **i. Full name:** Huntleigh Securities Corporation

- **ii. LEI, if any:** 8-21893

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 648**

- **i. Full name:** Labrunerie Financial Services, Inc.

- **ii. LEI, if any:** 8-47830

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 649**

- **i. Full name:** B.B. Graham & Company, Inc.

- **ii. LEI, if any:** 8-49477

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 650**

- **i. Full name:** Portsmouth Financial Services

- **ii. LEI, if any:** 8-30097

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 651**

- **i. Full name:** RBC Capital Markets, LLC

- **ii. LEI, if any:** 549300LCO2FLSSVFFR64

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 652**

- **i. Full name:** Digital Retirement Solutions, Inc.

- **ii. LEI, if any:** 84-1477138

- **iii. State, if applicable:** CO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 653**

- **i. Full name:** Midwestern Securities Trading Company, LLC

- **ii. LEI, if any:** 8-52074

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 654**

- **i. Full name:** NTB Financial Corporation

- **ii. LEI, if any:** 8-21884

- **iii. State, if applicable:** CO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 655**

- **i. Full name:** Rehmann Financial Network, LLC

- **ii. LEI, if any:** 8-69134

- **iii. State, if applicable:** MI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 656**

- **i. Full name:** Signature Securities Group Corporation

- **ii. LEI, if any:** 254900KRZU45UT6QSG35

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 657**

- **i. Full name:** Allstate Financial Services, LLC

- **ii. LEI, if any:** 8-36365

- **iii. State, if applicable:** NE

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 658**

- **i. Full name:** Citizens Securities, Inc.

- **ii. LEI, if any:** 2138006RAPI5PE2ZGW36

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 659**

- **i. Full name:** FNBB Capital Markets, L.L.C.

- **ii. LEI, if any:** 8-66553

- **iii. State, if applicable:** AL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 660**

- **i. Full name:** Moloney Securities Co., Inc.

- **ii. LEI, if any:** 8-48326

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 661**

- **i. Full name:** Integrated Financial Planning Services

- **ii. LEI, if any:** 8-35120

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 662**

- **i. Full name:** Verity Investments, Inc.

- **ii. LEI, if any:** 8-49474

- **iii. State, if applicable:** NC

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 663**

- **i. Full name:** Mclaughlin Ryder Investments, Inc.

- **ii. LEI, if any:** 8-67911

- **iii. State, if applicable:** VA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 664**

- **i. Full name:** Hilltop Securities Inc.

- **ii. LEI, if any:** 549300IXU82PMU6XZT45

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 665**

- **i. Full name:** UBS Financial Services Inc.

- **ii. LEI, if any:** ETYRV6ORNFJB5NONI676

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 666**

- **i. Full name:** Apex Clearing Corporation

- **ii. LEI, if any:** 5493000418CITRF5BO80

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 667**

- **i. Full name:** Allegheny Investments, Ltd.

- **ii. LEI, if any:** 8-22183

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 668**

- **i. Full name:** Union Capital Company

- **ii. LEI, if any:** 8-53127

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 669**

- **i. Full name:** HighTower Securities, LLC

- **ii. LEI, if any:** 549300F189LKWDZLP954

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 670**

- **i. Full name:** CNR Securities LLC

- **ii. LEI, if any:** 894500JXD2XN50UHZI74

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 671**

- **i. Full name:** TD Ameritrade Clearing, Inc.

- **ii. LEI, if any:** MRK678VXOI09YSSN8X19

- **iii. State, if applicable:** NE

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 672**

- **i. Full name:** Brooklight Place Securities, Inc.

- **ii. LEI, if any:** 8-32673

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 673**

- **i. Full name:** Stonecrest Capital Markets, Inc.

- **ii. LEI, if any:** 25490062H4ICVOPZ2X80

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 674**

- **i. Full name:** Capital Institutional Services, Inc.

- **ii. LEI, if any:** 54930061X8RDWFDJIS05

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 675**

- **i. Full name:** BTG Pactual US Capital, LLC

- **ii. LEI, if any:** 549300EUEDL5GKQW8U35

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 676**

- **i. Full name:** Arque Capital, Ltd.

- **ii. LEI, if any:** 8-65390

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 677**

- **i. Full name:** NBC Securities, Inc.

- **ii. LEI, if any:** 254900GIP7RJQGHH5S19

- **iii. State, if applicable:** AL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 678**

- **i. Full name:** Ballew Investments, Inc.

- **ii. LEI, if any:** 8-45660

- **iii. State, if applicable:** MS

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 679**

- **i. Full name:** CFS Securities, Inc.

- **ii. LEI, if any:** 8-51330

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 680**

- **i. Full name:** Insigneo Securities, LLC

- **ii. LEI, if any:** 254900P4TTO6PU1VDH88

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 681**

- **i. Full name:** VALIC Retirement Services Company

- **ii. LEI, if any:** 84-06057

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 682**

- **i. Full name:** Joseph Gunnar & Co., L.L.C.

- **ii. LEI, if any:** 2549001XBRI5XQ0ZDA12

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 683**

- **i. Full name:** Middlegate Securities Inc.

- **ii. LEI, if any:** 549300ZVONUQ845QCH95

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 684**

- **i. Full name:** Hornor, Townsend & Kent, LLC

- **ii. LEI, if any:** 8-14715

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 685**

- **i. Full name:** Highlander Capital Group, Inc.

- **ii. LEI, if any:** 8-37169

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 686**

- **i. Full name:** Buckman, Buckman & Reid, Inc.

- **ii. LEI, if any:** 254900D688L15B5HJB06

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 687**

- **i. Full name:** Santander Securities LLC

- **ii. LEI, if any:** 8-49571

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 688**

- **i. Full name:** Mutual Trust Company of America Securities

- **ii. LEI, if any:** 254900PUBUB7IS4GNY27

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 689**

- **i. Full name:** American Independent Securities Group, LLC

- **ii. LEI, if any:** 8-66905

- **iii. State, if applicable:** ID

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 690**

- **i. Full name:** Cantella & Co.,Inc.

- **ii. LEI, if any:** 254900Z33Q34HCFGHO19

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 691**

- **i. Full name:** Valley National Investments, Inc.

- **ii. LEI, if any:** 8-34427

- **iii. State, if applicable:** PA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 692**

- **i. Full name:** Callaway Financial Services, Inc.

- **ii. LEI, if any:** 549300UNHHMAHA7IYO12

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 693**

- **i. Full name:** WBB Securities, LLC

- **ii. LEI, if any:** 8-53660

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 694**

- **i. Full name:** St. Bernard Financial Services, Inc.

- **ii. LEI, if any:** 8-47566

- **iii. State, if applicable:** AR

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 695**

- **i. Full name:** Herndon Plant Oakley Ltd.

- **ii. LEI, if any:** 8-50912

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 696**

- **i. Full name:** American Capital Partners, LLC

- **ii. LEI, if any:** 254900I8NH46ZJJ4Z956

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 697**

- **i. Full name:** Kestra Investment Services, LLC

- **ii. LEI, if any:** 8-49672

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 698**

- **i. Full name:** Consolidated Financial Investments, Inc.

- **ii. LEI, if any:** 8-37004

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 699**

- **i. Full name:** UnionBanc Investment Services LLC

- **ii. LEI, if any:** 254900Y9HI2TG6D79N41

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 700**

- **i. Full name:** Charles Schwab & Co., Inc.

- **ii. LEI, if any:** 549300ZP8XN77GK5BS04

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** Yes

**Shareholder Servicing Agents Record: 701**

- **i. Full name:** Cetera Advisor Networks LLC

- **ii. LEI, if any:** 8-29577

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 702**

- **i. Full name:** BTS Securities Corporation

- **ii. LEI, if any:** 8-26818

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 703**

- **i. Full name:** BBVA Securities Inc.

- **ii. LEI, if any:** 549300RJFN0Z663VE860

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 704**

- **i. Full name:** Ladenburg Thalmann & Co. Inc.

- **ii. LEI, if any:** 2549000V3L2KK4L76W91

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 705**

- **i. Full name:** Global Brokerage Services Ltd

- **ii. LEI, if any:** 8-47763

- **iii. State, if applicable:** MD

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 706**

- **i. Full name:** Advanced Advisor Group, LLC

- **ii. LEI, if any:** 8-67313

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 707**

- **i. Full name:** Holistic Brokerage, LLC

- **ii. LEI, if any:** 254900EMZBEIM1FAO022

- **iii. State, if applicable:** FL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 708**

- **i. Full name:** Gold Coast Securities, Inc.

- **ii. LEI, if any:** 8-53148

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 709**

- **i. Full name:** APW Capital, Inc.

- **ii. LEI, if any:** 8-50433

- **iii. State, if applicable:** NJ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 710**

- **i. Full name:** Access Investments, Inc.

- **ii. LEI, if any:** 8-49750

- **iii. State, if applicable:** OK

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 711**

- **i. Full name:** First Asset Financial Inc.

- **ii. LEI, if any:** 8-67191

- **iii. State, if applicable:** KS

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 712**

- **i. Full name:** Hazlett, Burt & Watson, Inc.

- **ii. LEI, if any:** 8-17737

- **iii. State, if applicable:** WV

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 713**

- **i. Full name:** Sunset Financial Services, Inc.

- **ii. LEI, if any:** 8-14148

- **iii. State, if applicable:** MO

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 714**

- **i. Full name:** Commonwealth Equity Services, Inc.

- **ii. LEI, if any:** 254900TMHIZZ1AGR7A95

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 715**

- **i. Full name:** Loria Financial Group, LLC

- **ii. LEI, if any:** 8-52128

- **iii. State, if applicable:** IL

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 716**

- **i. Full name:** First Kentucky Securities Corporation

- **ii. LEI, if any:** 8-22224

- **iii. State, if applicable:** KY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 717**

- **i. Full name:** Lesko Securities, Inc.

- **ii. LEI, if any:** 8-26408

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 718**

- **i. Full name:** Westport Resources Investment Services, Inc.

- **ii. LEI, if any:** 8-40904

- **iii. State, if applicable:** CT

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 719**

- **i. Full name:** Fairport Capital, Inc.

- **ii. LEI, if any:** 8-32162

- **iii. State, if applicable:** AZ

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 720**

- **i. Full name:** Landaas & Company, LLC

- **ii. LEI, if any:** 8-51826

- **iii. State, if applicable:** WI

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 721**

- **i. Full name:** T.S. Phillips Investments, Inc.

- **ii. LEI, if any:** 8-65661

- **iii. State, if applicable:** OK

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 722**

- **i. Full name:** ING Financial Markets LLC

- **ii. LEI, if any:** KBVRJ5K57JZ3E2AVWX40

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 723**

- **i. Full name:** Arive Capital Markets LLC

- **ii. LEI, if any:** 8-43350

- **iii. State, if applicable:** NY

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 724**

- **i. Full name:** Avisen Securities, Inc.

- **ii. LEI, if any:** 8-65833

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 725**

- **i. Full name:** Griffinest Asia Securities, LLC

- **ii. LEI, if any:** 8-66571

- **iii. State, if applicable:** CA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 726**

- **i. Full name:** Institutional Securities Corporation

- **ii. LEI, if any:** 2549007EJ1PSLA8XVA50

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 727**

- **i. Full name:** Allegiance Capital, LLC

- **ii. LEI, if any:** 8-52978

- **iii. State, if applicable:** MN

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 728**

- **i. Full name:** Voya Financial Advisors, Inc.

- **ii. LEI, if any:** 8-13987

- **iii. State, if applicable:** IA

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 729**

- **i. Full name:** Valmark Securities, Inc.

- **ii. LEI, if any:** 8-45463

- **iii. State, if applicable:** OH

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

**Shareholder Servicing Agents Record: 730**

- **i. Full name:** VALIC Financial Advisors, Inc.

- **ii. LEI, if any:** 8-50018

- **iii. State, if applicable:** TX

- **iv. Foreign country, if applicable:** US

- **v. Is the shareholder servicing agent an affiliated person?:** No

- **vi. Is the shareholder servicing agent a sub-shareholder servicing agent?:** No

- **b. Has a shareholder servicing agent been hired or terminated during the reporting period?** Yes

**Item C.14. Administrators.**

**a. Provide the following information about each administrator of the Fund:**

**Administrators Record: 1**

- **i. Full name:** State Street Bank and Trust Company

- **ii. LEI, if any, or other identifying number:** 571474TGEMMWANRLN572

- **iii. State, if applicable:** MA

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** No

- **vi. Is the administrator a sub-administrator?:** Yes

**Administrators Record: 2**

- **i. Full name:** BlackRock Advisors, LLC

- **ii. LEI, if any, or other identifying number:** 5493001LN9MRM6A35J74

- **iii. State, if applicable:** DE

- **iv. Foreign country, if applicable:** US

- **v. Is the administrator an affiliated person of the Fund or its investment adviser(s)?:** Yes

- **vi. Is the administrator a sub-administrator?:** No

- **b. Has a third-party administrator been hired or terminated during the reporting period?** No

**Item C.15 - Affiliated broker-dealers.**

**Broker Dealers Record: 1**

- **a. Full name:** BlackRock Investments, LLC

- **b. SEC file number:** 8-48436

- **c. CRD number:** 000038642

- **d. LEI, if any:** 54930061FBHCKXL2G714

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Broker Dealers Record: 2**

- **a. Full name:** BlackRock Execution Services

- **b. SEC file number:** 8-48719

- **c. CRD number:** 000039438

- **d. LEI, if any:** 549300HFCRQ0NT5KY652

- **e. State, if applicable:** NY

- **f. Foreign country, if applicable:** US

- **g. Total commissions paid to the affiliated broker-dealer for the reporting period::** $0.00

**Item C.16. Brokers.**

**a. For each of the ten brokers that received the largest dollar amount of brokerage commissions...**

**Brokers Record: 1**

- **i. Full name of broker:** J.P. Morgan Securities LLC

- **ii. SEC file number:** 8-35008

- **iii. CRD number:** 000000079

- **iv. LEI, if any:** ZBUT11V806EZRVTWT807

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $28,877.11

**Brokers Record: 2**

- **i. Full name of broker:** Credit Suisse Securities (USA) LLC

- **ii. SEC file number:** 8-422

- **iii. CRD number:** 000000816

- **iv. LEI, if any:** 1V8Y6QCX6YMJ2OELII46

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $24,797.04

**Brokers Record: 3**

- **i. Full name of broker:** Mizuho Securities USA LLC

- **ii. SEC file number:** 8-37710

- **iii. CRD number:** 000019647

- **iv. LEI, if any:** 7TK5RJIZDFROZCA6XF66

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,260.08

**Brokers Record: 4**

- **i. Full name of broker:** Barclays Capital Inc.

- **ii. SEC file number:** 8-41342

- **iii. CRD number:** 000019714

- **iv. LEI, if any:** AC28XWWI3WIBK2824319

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $7,441.88

**Brokers Record: 5**

- **i. Full name of broker:** Goldman Sachs & Co. LLC

- **ii. SEC file number:** 8-129

- **iii. CRD number:** 000000361

- **iv. LEI, if any:** FOR8UP27PHTHYVLBNG30

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $24,811.84

**Brokers Record: 6**

- **i. Full name of broker:** Morgan Stanley & Co. LLC

- **ii. SEC file number:** 8-15869

- **iii. CRD number:** 000008209

- **iv. LEI, if any:** 9R7GPTSO7KV3UQJZQ078

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $6,455.30

**Brokers Record: 7**

- **i. Full name of broker:** Citigroup Global Markets Inc.

- **ii. SEC file number:** 8-8177

- **iii. CRD number:** 000007059

- **iv. LEI, if any:** MBNUM2BPBDO7JBLYG310

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $62,607.25

**Brokers Record: 8**

- **i. Full name of broker:** BofA Securities, Inc.

- **ii. SEC file number:** 8-69787

- **iii. CRD number:** 000283942

- **iv. LEI, if any:** 549300HN4UKV1E2R3U73

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $250,209.93

**Brokers Record: 9**

- **i. Full name of broker:** Cowen and Company, LLC

- **ii. SEC file number:** 8-22522

- **iii. CRD number:** 000007616

- **iv. LEI, if any:** 549300WR155U7DVMIW58

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $1,146.66

**Brokers Record: 10**

- **i. Full name of broker:** Nomura Securities International, Inc.

- **ii. SEC file number:** 8-15255

- **iii. CRD number:** 000004297

- **iv. LEI, if any:** OXTKY6Q8X53C9ILVV871

- **v. State, if applicable:** NY

- **vi. Foreign country, if applicable:** US

- **vii. Gross commissions paid by the Fund for the reporting period:** $4,100.00

**Aggregate Commission:** $415,715.79

**Item C.17.a. Principal transaction counterparties.**

| Name                               | SEC file number   | CRD number   | LEI                  | State   | Country   | Total Purchase/Sale ($)   |
|:---|:---|:---|:---|:---|:---|:---|
| Citigroup Global Markets Inc.      | 8-8177            | 000007059    | MBNUM2BPBDO7JBLYG310 | NY      | US        | $579,393,760.92           |
| Goldman Sachs & Co. LLC            | 8-129             | 000000361    | FOR8UP27PHTHYVLBNG30 | NY      | US        | $585,206,206.48           |
| J.P. Morgan Securities LLC         | 8-35008           | 000000079    | ZBUT11V806EZRVTWT807 | NY      | US        | $543,531,227.78           |
| Wells Fargo Securities, LLC        | 8-65876           | 000126292    | VYVVCKR63DVZZN70PB21 | NC      | US        | $287,035,305.49           |
| BlackRock Liquidity Funds - T-Fund | N/A               | N/A          | 5493002L9DNZ83RX7V61 | DE      | US        | $1,050,755,990.02         |
| Morgan Stanley & Co. LLC           | 8-15869           | 000008209    | 9R7GPTSO7KV3UQJZQ078 | NY      | US        | $560,642,383.34           |
| Barclays Capital Inc.              | 8-41342           | 000019714    | AC28XWWI3WIBK2824319 | NY      | US        | $189,089,331.49           |
| BofA Securities, Inc.              | 8-69787           | 000283942    | 549300HN4UKV1E2R3U73 | NY      | US        | $903,695,600.45           |
| Credit Suisse Securities (USA) LLC | 8-422             | 000000816    | 1V8Y6QCX6YMJ2OELII46 | NY      | US        | $465,761,525.23           |
| Deutsche Bank Securities Inc.      | 8-17822           | 000002525    | 9J6MBOOO7BECTDTUZW19 | NY      | US        | $92,949,858.36            |

- **Item C.17.b - Aggregate value of principal purchase/sale transactions:** $5,844,421,506.24

- **Item C.18 - Did the Fund pay commissions for 'brokerage and research services'?:** No

- **Item C.19.a - Fund's monthly average net assets:** $792,536,639.79

**Item C.20. Lines of credit, interfund lending and interfund borrowing.**

- **a. Does the Fund have available a line of credit?** Yes

**If yes, for each line of credit, provide the information requested below:**

**Line of Credit details Record: 1**

- **i. Is the line of credit a committed or uncommitted line of credit?** Committed

- **ii. What size is the line of credit?** $1,750,000,000.00

- **iii. With which institution(s) is the line of credit?**

  - **Line Institutions Record: 1 Name of institution:** Barclays Bank PLC

  - **Line Institutions Record: 2 Name of institution:** Bank of America, N.A.

  - **Line Institutions Record: 3 Name of institution:** Societe Generale

  - **Line Institutions Record: 4 Name of institution:** Brown Brothers Harriman & Co.

  - **Line Institutions Record: 5 Name of institution:** Credit Suisse AG, New York Branch

  - **Line Institutions Record: 6 Name of institution:** State Street Bank and Trust Co.

  - **Line Institutions Record: 7 Name of institution:** Wells Fargo Bank, N.A.

  - **Line Institutions Record: 8 Name of institution:** Royal Bank of Canada

  - **Line Institutions Record: 9 Name of institution:** Goldman Sachs Bank USA

  - **Line Institutions Record: 10 Name of institution:** The Northern Trust Co.

  - **Line Institutions Record: 11 Name of institution:** Deutsche Bank AG New York Branch

  - **Line Institutions Record: 12 Name of institution:** MUFG Bank, Ltd.

  - **Line Institutions Record: 13 Name of institution:** The Toronto-Dominion Bank, New York Branch

  - **Line Institutions Record: 14 Name of institution:** Citibank, N.A.

  - **Line Institutions Record: 15 Name of institution:** Mizuho Bank, Ltd.

  - **Line Institutions Record: 16 Name of institution:** BNP Paribas

  - **Line Institutions Record: 17 Name of institution:** Standard Chartered Bank

  - **Line Institutions Record: 18 Name of institution:** The Bank of New York Mellon

  - **Line Institutions Record: 19 Name of institution:** Banco Bilbao Vizcaya Argentaria, S.A. New York Branch

  - **Line Institutions Record: 20 Name of institution:** Bank of Montreal

  - **Line Institutions Record: 21 Name of institution:** JPMorgan Chase Bank, N.A.

  - **Line Institutions Record: 22 Name of institution:** Morgan Stanley Bank, N.A.

- **iv. Is the line of credit just for the Fund, or is it shared among multiple funds?** Shared

  - **1. If shared, list the names of other funds that may use the line of credit:**

| Name of fund                                                 | SEC File number   |
|:---|:---|
| BATS: Series C Portfolio                                     | 811-21457         |
| BlackRock LifePath Dynamic 2045 Fund                         | 811-07332         |
| iShares U.S. Intermediate Credit Bond Index Fund             | 811-05742         |
| BlackRock LifePath Dynamic 2055 Fund                         | 811-07332         |
| BlackRock Advantage Large Cap Core Portfolio                 | 811-03091         |
| BlackRock Future Financial and Technology ETF                | 811-23402         |
| BlackRock Managed Income Fund                                | 811-22061         |
| BlackRock Global Equity Absolute Return Fund                 | 811-05742         |
| BlackRock Capital Appreciation Fund, Inc.                    | 811-06669         |
| BlackRock LifePath Index 2050 Fund                           | 811-07332         |
| BlackRock Advantage Small Cap Growth Fund                    | 811-05742         |
| BlackRock Retirement Income 2030 Fund                        | 811-22061         |
| BlackRock Equity Dividend V.I. Fund                          | 811-03290         |
| BlackRock Defensive Advantage U.S. Fund                      | 811-05742         |
| BlackRock Short Obligations Fund                             | 811-05742         |
| BlackRock Sustainable International Equity Fund              | 811-02661         |
| BlackRock Energy Opportunities Fund                          | 811-05742         |
| BlackRock Capital Appreciation Portfolio                     | 811-03091         |
| BlackRock Total Factor Fund                                  | 811-05742         |
| BlackRock 20/80 Target Allocation Fund                       | 811-22061         |
| BlackRock Advantage Large Cap Core Fund                      | 811-09637         |
| BlackRock Global Allocation V.I. Fund                        | 811-03290         |
| BATS: Series V Portfolio                                     | 811-21457         |
| BlackRock Impact Municipal Fund                              | 811-02688         |
| BlackRock Equity Dividend Fund                               | 811-05178         |
| BlackRock LifePath Index Retirement Fund                     | 811-07332         |
| BlackRock High Yield Portfolio                               | 811-23345         |
| BlackRock GNMA Portfolio                                     | 811-23339         |
| BlackRock Global Dividend Portfolio                          | 811-22061         |
| BlackRock Mid-Cap Growth Equity Portfolio                    | 811-05742         |
| BlackRock LifePath Dynamic 2040 Fund                         | 811-07332         |
| BlackRock Strategic Municipal Opportunities Fund             | 811-04802         |
| BlackRock Pennsylvania Municipal Bond Fund                   | 811-04375         |
| BlackRock LifePath ESG Index 2060 Fund                       | 811-07332         |
| BlackRock Large Cap Focus Growth Fund, Inc.                  | 811-09651         |
| BlackRock Large Cap Focus Growth V.I. Fund                   | 811-03290         |
| Diversified Equity Master Portfolio                          | 811-08162         |
| BlackRock LifePath Index 2025 Fund                           | 811-07332         |
| BlackRock LifePath ESG Index 2025 Fund                       | 811-07332         |
| BlackRock Basic Value V.I. Fund                              | 811-03290         |
| BlackRock Managed Volatility V.I. Fund                       | 811-03290         |
| BlackRock Sustainable Emerging Markets Equity Fund           | 811-02661         |
| BlackRock Multi-Sector Opportunities Trust II                | 811-23357         |
| BlackRock GA Disciplined Volatility Equity Fund              | 811-21763         |
| BlackRock Sustainable Low Duration Bond Fund                 | 811-23339         |
| BlackRock World ex U.S. Carbon Transition Readiness ETF      | 811-23402         |
| BlackRock GA Dynamic Equity Fund                             | 811-21763         |
| BlackRock High Yield Municipal Fund                          | 811-02688         |
| S&P 500 Index Master Portfolio                               | 811-08162         |
| BlackRock International Impact Fund                          | 811-05742         |
| BlackRock Floating Rate Income Portfolio                     | 811-23339         |
| BlackRock Future Tech ETF                                    | 811-23402         |
| BlackRock Sustainable Balanced Portfolio                     | 811-03091         |
| BlackRock Technology Opportunities Fund                      | 811-05742         |
| BlackRock International Index V.I. Fund                      | 811-03290         |
| BlackRock Dynamic High Income Portfolio                      | 811-22061         |
| BlackRock Exchange Portfolio                                 | 811-05742         |
| iShares U.S. Intermediate Government Bond Index Fund         | 811-05742         |
| BlackRock Advantage SMID Cap Fund, Inc.                      | 811-02809         |
| BlackRock Sustainable Advantage Emerging Markets Equity Fund | 811-05742         |
| BlackRock 60/40 Target Allocation Fund                       | 811-22061         |
| BlackRock Advantage Emerging Markets Fund                    | 811-05742         |
| BlackRock Event Driven Equity Fund                           | 811-09637         |
| BlackRock U.S. Government Bond Portfolio                     | 811-23345         |
| BlackRock Global Equity Market Neutral Fund                  | 811-05742         |
| BlackRock LifePath Index 2065 Fund                           | 811-07332         |
| BlackRock LifePath ESG Index 2030 Fund                       | 811-07332         |
| BlackRock Sustainable Total Return Fund                      | 811-02857         |
| BlackRock Natural Resources Trust                            | 811-04282         |
| BlackRock LifePath ESG Index 2045 Fund                       | 811-07332         |
| BlackRock Floating Rate Loan ETF                             | 811-23511         |
| BlackRock Large Cap Focus Value Fund, Inc.                   | 811-02739         |
| iShares Russell Mid-Cap Index Fund                           | 811-05742         |
| BATS: Series A Portfolio                                     | 811-21457         |
| BlackRock Emerging Markets Fund, Inc.                        | 811-05723         |
| BlackRock International V.I. Fund                            | 811-03290         |
| Advantage CoreAlpha Bond Master Portfolio                    | 811-23343         |
| BlackRock Sustainable Advantage International Equity Fund    | 811-05742         |
| BlackRock LifePath ESG Index 2040 Fund                       | 811-07332         |
| BlackRock S&P 500 Index V.I. Fund                            | 811-03290         |
| BlackRock Global Long/Short Credit Fund                      | 811-23341         |
| BlackRock U.S. Government Bond V.I. Fund                     | 811-23346         |
| BlackRock High Yield V.I. Fund                               | 811-23346         |
| BATS: Series P Portfolio                                     | 811-21457         |
| BlackRock Global Impact Fund                                 | 811-05742         |
| BlackRock LifePath ESG Index 2035 Fund                       | 811-07332         |
| iShares Russell Small/Mid-Cap Index Fund                     | 811-05742         |
| BlackRock Advantage Large Cap Value V.I. Fund                | 811-03290         |
| BlackRock Advantage Large Cap Growth Fund                    | 811-05742         |
| BlackRock Defensive Advantage Emerging Markets Fund          | 811-05742         |
| BlackRock Sustainable U.S. Value Equity Fund                 | 811-02661         |
| BlackRock Sustainable U.S. Growth Equity Fund                | 811-02661         |
| BlackRock LifePath Dynamic 2025 Fund                         | 811-07332         |
| BlackRock Capital Appreciation V.I. Fund                     | 811-03290         |
| iShares U.S. Securitized Bond Index Fund                     | 811-05742         |
| BlackRock Infrastructure Sustainable Opportunities Fund      | 811-05742         |
| BlackRock Small Cap Index V.I. Fund                          | 811-03290         |
| Total International Ex U.S. Index Master Portfolio           | 811-08162         |
| BlackRock Unconstrained Equity Fund                          | 811-21759         |
| BlackRock International Fund                                 | 811-08797         |
| BlackRock High Equity Income Fund                            | 811-05742         |
| BlackRock U.S. Mortgage Portfolio                            | 811-23340         |
| BlackRock LifePath Index 2030 Fund                           | 811-07332         |
| International Tilts Master Portfolio                         | 811-08162         |
| BlackRock LifePath ESG Index 2055 Fund                       | 811-07332         |
| iShares MSCI EAFE International Index Fund                   | 811-07899         |
| BlackRock New Jersey Municipal Bond Fund                     | 811-04375         |
| Master Small Cap Index Series                                | 811-07885         |
| BlackRock Advantage International Fund                       | 811-05742         |
| BlackRock Future Climate and Sustainable Economy ETF         | 811-23402         |
| BlackRock Low Duration Bond Portfolio                        | 811-23339         |
| BlackRock Advantage Large Cap Value Fund                     | 811-09637         |
| BlackRock Real Estate Securities Fund                        | 811-05742         |
| iShares U.S. Long Credit Bond Index Fund                     | 811-05742         |
| BlackRock SMID-Cap Growth Equity Fund                        | 811-05742         |
| BlackRock 80/20 Target Allocation Fund                       | 811-22061         |
| BlackRock Multi-Sector Opportunities Trust                   | 811-23285         |
| Master Total Return Portfolio                                | 811-21434         |
| BlackRock LifePath Index 2060 Fund                           | 811-07332         |
| BlackRock EuroFund                                           | 811-04612         |
| BlackRock Sustainable Balanced Fund, Inc.                    | 811-02405         |
| BlackRock Commodity Strategies Fund                          | 811-05742         |
| BlackRock Multi-Asset Income Portfolio                       | 811-22061         |
| BlackRock Sustainable Emerging Markets Flexible Bond Fund    | 811-23339         |
| BlackRock LifePath ESG Index 2050 Fund                       | 811-07332         |
| BlackRock Strategic Income Opportunities Portfolio           | 811-23339         |
| BlackRock Retirement Income 2040 Fund                        | 811-22061         |
| BlackRock Advantage Large Cap Core V.I. Fund                 | 811-03290         |
| BlackRock Future Health ETF                                  | 811-23402         |
| BATS: Series S Portfolio                                     | 811-21457         |
| BlackRock Income Fund                                        | 811-23339         |
| BlackRock U.S. Impact Fund                                   | 811-05742         |
| BlackRock Sustainable Advantage CoreAlpha Bond Fund          | 811-23341         |
| iShares Developed Real Estate Index Fund                     | 811-05742         |
| BlackRock Total Return V.I. Fund                             | 811-23346         |
| BlackRock Core Bond Portfolio                                | 811-23339         |
| BlackRock LifePath Dynamic 2065 Fund                         | 811-07332         |
| BlackRock Sustainable High Yield Bond Fund                   | 811-23339         |
| BlackRock LifePath Dynamic Retirement Fund                   | 811-07332         |
| BlackRock New York Municipal Opportunities Fund              | 811-04375         |
| BlackRock Global Allocation Portfolio                        | 811-03091         |
| iShares Short-Term TIPS Bond Index Fund                      | 811-05742         |
| BlackRock High Yield Bond Portfolio                          | 811-23339         |
| BlackRock Advantage Small Cap Core Fund                      | 811-05742         |
| BlackRock Sustainable Advantage Large Cap Core Fund          | 811-05742         |
| BATS: Series M Portfolio                                     | 811-21457         |
| BlackRock Defensive Advantage International Fund             | 811-05742         |
| iShares Total U.S. Stock Market Index Fund                   | 811-05742         |
| BlackRock LifePath Index 2055 Fund                           | 811-07332         |
| U.S. Total Bond Index Master Portfolio                       | 811-08162         |
| BlackRock 40/60 Target Allocation Fund                       | 811-22061         |
| BlackRock LifePath Dynamic 2035 Fund                         | 811-07332         |
| BlackRock Health Sciences Opportunities Portfolio            | 811-05742         |
| BlackRock LifePath Index 2035 Fund                           | 811-07332         |
| Large Cap Index Master Portfolio                             | 811-08162         |
| BlackRock Future Innovators ETF                              | 811-23402         |
| BlackRock LifePath Dynamic 2030 Fund                         | 811-07332         |
| BlackRock Advantage SMID Cap V.I. Fund                       | 811-03290         |
| BlackRock Inflation Protected Bond Portfolio                 | 811-23339         |
| BlackRock Systematic Multi-Strategy Fund                     | 811-23341         |
| BlackRock Impact Mortgage Fund                               | 811-23339         |
| iShares Municipal Bond Index Fund                            | 811-05742         |
| BlackRock Global Allocation Fund, Inc.                       | 811-05576         |
| BlackRock Tactical Opportunities Fund                        | 811-05742         |
| BlackRock LifePath ESG Index 2065 Fund                       | 811-07332         |
| BlackRock LifePath Index 2045 Fund                           | 811-07332         |
| BlackRock LifePath Dynamic 2060 Fund                         | 811-07332         |
| BlackRock Sustainable Emerging Markets Bond Fund             | 811-23339         |
| BlackRock LifePath ESG Index Retirement Fund                 | 811-07332         |
| BlackRock Short-Term Municipal Fund                          | 811-02688         |
| BlackRock California Municipal Opportunities Fund            | 811-04264         |
| BlackRock LifePath Index 2040 Fund                           | 811-07332         |
| BlackRock International Dividend Fund                        | 811-05742         |
| BlackRock Mid-Cap Value Fund                                 | 811-07177         |
| BlackRock Advantage Global Fund, Inc.                        | 811-07171         |
| BlackRock 60/40 Target Allocation ETF V.I. Fund              | 811-03290         |
| iShares U.S. Long Government Bond Index Fund                 | 811-05742         |
| BlackRock National Municipal Fund                            | 811-02688         |
| BlackRock LifePath Dynamic 2050 Fund                         | 811-07332         |
| BATS: Series E Portfolio                                     | 811-21457         |
| BlackRock China A Opportunities Fund                         | 811-05742         |

- **v. Did the Fund draw on the line of credit this period?** No

- **b. Did the Fund engage in interfund lending?** No

- **c. Did the Fund engage in interfund borrowing?** No

**Item C.21. Swing pricing.**

- **a. Did the Fund (if not a Money Market Fund, Exchange-Traded Fund, or Exchange-Traded Managed Fund) engage in swing pricing?** No

## N-CEN: Part G: Attachments

**Item G.1a. Attachments.**

Attachments applicable to all Registrants. All Registrants shall file the following attachments, as applicable, with the current report. Indicate the attachments filed with the current report by checking the applicable items below:

- [ ] i. Legal proceedings

- [ ] ii. Provision of financial support

- [x] iii. Independent public accountant's report on internal control (management investment companies other than small business investment companies only)

- [ ] iv. Change in accounting principles and practices

- [ ] v. Information required to be filed pursuant to exemptive orders

- [ ] vi. Other information required to be included as an attachment pursuant to Commission rules and regulations

## N-CEN: Signature

Pursuant to the requirements of the Investment Company Act of 1940, the Registrant has duly caused this report to a be signed on its behalf by the undersigned hereunto duly authorized.

**Registrant:** BlackRock Strategic Global Bond Fund, Inc.

**Date:** 2023-03-02

**Signature:** Chuck Pulsfort

**Title:** Assistant Treasurer