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
Pricing Services Record:
1 |
i. Full name |
Intercontinental Exchange Inc. |
ii. LEI, if any, or provide and describe other
identifying number
|
5493000F4ZO33MV32P92 |
Description of other identifying number |
|
iii. State, if applicable |
GEORGIA
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
X
No
|
Pricing Services Record:
2 |
i. Full name |
PricingDirect Inc. |
ii. LEI, if any, or provide and describe other
identifying number
|
549300WIC0TOJ7N7GD54 |
Description of other identifying number |
|
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
X
No
|
Pricing Services Record:
3 |
i. Full name |
Bloomberg L.P. |
ii. LEI, if any, or provide and describe other
identifying number
|
549300B56MD0ZC402L06 |
Description of other identifying number |
|
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
X
No
|
Pricing Services Record:
4 |
i. Full name |
Thomson Reuters Pricing Service |
ii. LEI, if any, or provide and describe other
identifying number
|
N/A |
Description of other identifying number |
|
iii. State, if applicable |
|
iv. Foreign country, if applicable |
CANADA (FEDERAL LEVEL)
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
X
No
|
Pricing Services Record:
5 |
i. Full name |
IHS Markit Ltd. |
ii. LEI, if any, or provide and describe other
identifying number
|
549300HLPTRASHS0E726 |
Description of other identifying number |
|
iii. State, if applicable |
|
iv. Foreign country, if applicable |
BERMUDA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
X
No
|
Pricing Services Record:
6 |
i. Full name |
Standard and Poors Financial Services LLC |
ii. LEI, if any, or provide and describe other
identifying number
|
549300U4VWNITEKO2881 |
Description of other identifying number |
|
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
X
No
|
|
Custodians Record:
1 |
i. Full name |
U.S. Bank N.A. |
ii. LEI, if any |
6BYL5QZYBDK8S7L73M02 |
iii. State, if applicable |
OHIO
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
X
No
|
vi. Is the custodian a sub-custodian?
|
Yes
X
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
| X
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
Custodians Record:
2 |
i. Full name |
Euroclear Bank SA/NV |
ii. LEI, if any |
549300OZ46BRLZ8Y6F65 |
iii. State, if applicable |
|
iv. Foreign country, if applicable |
BELGIUM
|
v. Is the custodian an affiliated person of
the Fund
or its
investment adviser(s)?
|
Yes
X
No
|
vi. Is the custodian a sub-custodian?
| X
Yes
No
|
vii. With respect to the custodian, check
below to
indicate
the type
of custody:
|
1.Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
2.Member national securities exchange - rule 17f-1 (17 CFR
270.17f-1)
3.Self - rule 17f-2 (17 CFR 270.17f-2)
4.Securities depository - rule 17f-4 (17 CFR 270.17f-4)
X
5.Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
6.Futures commission merchants and commodity clearing
organizations - rule 17f-6 (17 CFR 270.17f-6)
7.Foreign securities depository - rule 17f-7 (17 CFR
270.17f-7)
8.Insurance company sponsor - rule 26a-2 (17 CFR 270.26a-2)
9.Other
|
|
Shareholder servicing agents Record:
1 |
i. Full name |
U.S. Bancorp Fund Services LLC |
ii. LEI, if any, or provide and describe
other
identifying number
|
N1GZ7BBF3NP8GI976H15 |
Description of other identifying number |
|
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
X
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
X
No
|
|
Administrators Record:
1 |
i. Full name |
Tidal ETF Servcies, LLC |
ii. LEI, if any, or other identifying number |
N/A |
Description of other identifying number |
|
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
| X
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
X
No
|
Administrators Record:
2 |
i. Full name |
U.S. Bancorp Fund Services LLC |
ii. LEI, if any, or other identifying number |
N1GZ7BBF3NP8GI976H15 |
Description of other identifying number |
|
iii. State, if applicable |
WISCONSIN
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
X
No
|
vi. Is the administrator a sub-administrator?
| X
Yes
No
|
|
Principal Transactions Record:
1 |
i. Full name of dealer |
J.P. Morgan Securities, LLC |
ii. SEC file number |
8-35008 |
iii. CRD number
|
000000079 |
iv. LEI, if any |
ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
122,442,396.730000000000 |
Principal Transactions Record:
2 |
i. Full name of dealer |
Citigroup Global Markets, Inc. |
ii. SEC file number |
8-8177 |
iii. CRD number
|
000007059 |
iv. LEI, if any |
MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
10,257,120.760000000000 |
Principal Transactions Record:
3 |
i. Full name of dealer |
Wells Fargo Securities, LLC |
ii. SEC file number |
8-65876 |
iii. CRD number
|
000126292 |
iv. LEI, if any |
VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
63,888,219.250000000000 |
Principal Transactions Record:
4 |
i. Full name of dealer |
Goldman Sachs & Co., LLC |
ii. SEC file number |
8-129 |
iii. CRD number
|
000000361 |
iv. LEI, if any |
FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
63,578,569.840000000000 |
Principal Transactions Record:
5 |
i. Full name of dealer |
RBC Capital Markets, LLC |
ii. SEC file number |
8-45411 |
iii. CRD number
|
000031194 |
iv. LEI, if any |
549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
45,374,380.310000000000 |
Principal Transactions Record:
6 |
i. Full name of dealer |
Morgan Stanley & Co., LLC |
ii. SEC file number |
8-15869 |
iii. CRD number
|
000008209 |
iv. LEI, if any |
9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
40,868,893.840000000000 |
Principal Transactions Record:
7 |
i. Full name of dealer |
Merrill Lynch Professional Clearing Corp. |
ii. SEC file number |
8-33359 |
iii. CRD number
|
000016139 |
iv. LEI, if any |
549300PMHS66E71I2D34 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
34,968,416.140000000000 |
Principal Transactions Record:
8 |
i. Full name of dealer |
MarketAxess Corporation |
ii. SEC file number |
8-50727 |
iii. CRD number
|
000044542 |
iv. LEI, if any |
GPSMMRI21JE7ZCVYF972 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
27,569,956.110000000000 |
Principal Transactions Record:
9 |
i. Full name of dealer |
Barclays Capital, Inc. |
ii. SEC file number |
8-41342 |
iii. CRD number
|
000019714 |
iv. LEI, if any |
AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
23,584,366.050000000000 |
Principal Transactions Record:
10 |
i. Full name of dealer |
Jefferies LLC |
ii. SEC file number |
8-15074 |
iii. CRD number
|
000002347 |
iv. LEI, if any |
58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
|
12,254,291.000000000000 |
|
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
X
Uncommitted
|
ii. What size is the line of credit?
|
10,000,000.000000000000 |
iii. With which institution(s) is the line of credit? |
Line Institutions Record:
1 |
Name of institution |
U.S. Bank N.A. |
iv. Is the line of credit just for the Fund, or is
it shared among
multiple funds?
| X
Sole
Shared
|
v. Did the Fund draw on the line of credit this
period?
| X
Yes
No
|
vi. If the fund drew on the line of credit during this period, what was the average amount outstanding when the line of credit was in use?
|
3,691,000.000000000000 |
vii. If the fund drew on the line of credit during this period, what was the number of days that the line of credit was in use?
|
1 |