mutual fund guide book 2010 - voya financial login€¦ · american century funds american century...

Mutual Fund Guide 2010

Fund Family Name Fund Name Symbol Status Morningstar Prospectus Objective Expense Ratio

Sales Charge

Settlement Days

Security Class

Aberdeen Funds ABERDEEN EQUITY LONG -SHORT FUND INSTL AELSX NTF Growth -999 None 1 EquityAberdeen Funds ABERDEEN GLOBAL FIXED INC INSTL CL CGFIX NTF Worldwide Bond 0.95 None 1 BondAbsolute Funds ABSOLUTE STRATEGIES CLASS R ASFAX NTF Growth 2.23 None 3 EquityAcadian Asset Management Mutual Funds ACADIAN EMERGING MARKETS PORT INSTL AEMGX NTF Diversified Emerging Markets 1.48 None 1 EquityAccessor Funds ACCESSOR FRONTIER MARKETS FD INVT CL FRONX NTF Growth -999 None 1 EquityAccessor Funds ACCESSOR STRATEGIC ALTERNATIVE INVT CL FSAFX NTF Growth and Income -999 None 1 EquityAdams Harkness Funds ADAMS HARKNESS SMALL CAP GROWTH FUND ASCGX NTF Growth 3.08 None 1 EquityAdirondack Funds ADIRONDACK SMALL CAP FUND ADKSX NTF Growth 1.7 None 1 EquityAdvisor One Funds ADVISOR LIAHONA FUND CLASS N CLHAX NTF Growth and Income 1.15 None 1 EquityAdvisor One Funds ADVISOR ONE DESCARTES FD CL N CLDEX NTF Growth 1.15 None 1 EquityAdvisor One Funds ADVISORONE AMERIGO CL N CLSAX NTF Growth 1.15 None 1 EquityAdvisor One Funds ADVISORONE CLERMONT CL N CLERX NTF Growth and Income 1.15 None 1 EquityAdvisor One Funds ADVISORONE ENHANCED INCOME FUND CL N CLEIX NTF Growth -999 None 1 EquityAdvisor One Funds ADVISORONE FLEXIBLE INCOME FUND CL N CLFLX NTF Growth -999 None 1 EquityAdvisor One Funds ADVISORONE RESERVOIR FUND INVESTOR CLASS CHREX NTF Worldwide Bond -999 None 1 EquityAdvisor One Funds ADVISORONE SELECT ALLOCATION CL N CLBLX NTF Growth and Income 1.15 None 1 EquityAdvisor One Funds ADVISORONE SELECT APPRECIATION FD CL N CLACX NTF Growth -999 None 1 EquityAdvisor One Funds ADVISORONE SHELTER FUND CL N CLSHX NTF Growth -999 None 1 EquityAIP Funds ALPHA HEDGED STRATEGIES FUND ALPHX NTF Asset Allocation 3.99 None 1 EquityAIP Funds BETA HEDGED STRATEGIES FUND BETAX NTF Aggressive Growth 2.14 None 1 EquityAkre Funds AKRE FOCUS FUND RETAIL AKREX NTF Growth -999 None 1 EquityAkros Funds AKROS ABSOLUTE RETURN AARFX NTF Growth and Income 2.03 None 1 EquityAl Frank Funds AL FRANK DIVIDEND VALUE FUND VALDX NTF Growth 1.98 None 1 EquityAl Frank Funds AL FRANK FUND VALUX NTF Growth 1.49 None 1 EquityAmana Funds AMANA DEVELOPING WORLD FUND AMDWX NTF Growth -999 None 1 EquityAmana Funds AMANA MUTUAL FUND TRUST GROWTH AMAGX NTF Growth 1.3 None 1 EquityAmana Funds AMANA MUTUAL FUND TRUST INCOME AMANX NTF Equity-Income 1.32 None 1 EquityAmerican Beacon Funds AMERICAN BEACON BALANCED INVST AABPX NTF Balanced 0.89 None 1 EquityAmerican Beacon Funds AMERICAN BEACON EMRG MARKETS INVESTOR AAEPX NTF Diversified Emerging Markets 1.96 None 1 EquityAmerican Beacon Funds AMERICAN BEACON ENHANCED INVESTOR AANPX NTF Growth and Income 1.01 None 1 BondAmerican Beacon Funds AMERICAN BEACON HIGH YIELD INVESTOR AHYPX NTF Corporate Bond - High Yield 1.01 None 1 BondAmerican Beacon Funds AMERICAN BEACON INTERMEDIATE BD INVT ABIPX NTF Corporate Bond - General 0.81 None 1 BondAmerican Beacon Funds AMERICAN BEACON INTL EQUITY INVESTOR AAIPX NTF Foreign Stock 1.05 None 1 EquityAmerican Beacon Funds AMERICAN BEACON LARGE CAP INVESTOR AAGPX NTF Growth and Income 0.93 None 1 EquityAmerican Beacon Funds AMERICAN BEACON MID CAP INVESTOR AMPAX NTF Growth and Income 1.23 None 1 EquityAmerican Beacon Funds AMERICAN BEACON REAL ESTATE INVESTOR CL CGLAX NTF None 1 EquityAmerican Beacon Funds AMERICAN BEACON S&P 500 INDEX INVST AAFPX NTF Growth 0.62 None 1 EquityAmerican Beacon Funds AMERICAN BEACON SHORT TERM BD INVST AALPX NTF Corporate Bond - High Quality 0.54 None 1 BondAmerican Beacon Funds AMERICAN BEACON SMALL CAP INVESTOR AVPAX NTF Growth 1.15 None 1 EquityAmerican Beacon Funds AMERICAN BEACON TREAS NFLATION INVT ABTPX NTF Income -999 None 1 BondAmerican Century Funds AMER CENTURY TARGET MATURITIES TR 2010 BTTNX NTF Government Bond - Treasury 0.57 None 1 BondAmerican Century Funds AMER CENTURY TARGET MATURITIES TR 2015 BTFTX NTF Government Bond - Treasury 0.57 None 1 BondAmerican Century Funds AMER CENTURY TARGET MATURITIES TR 2020 BTTTX NTF Government Bond - Treasury 0.57 None 1 BondAmerican Century Funds AMER CENTURY TARGET MATURITIES TR 2025 BTTRX NTF Government Bond - Treasury 0.57 None 1 BondAmerican Century Funds AMERICAN CEN INFLA PROTECTION BD INV CL APOIX NTF Income 0.59 None 1 BondAmerican Century Funds AMERICAN CEN INTL STOCK FD INVT CL SHS ASKIX NTF Foreign Stock 1.5 None 1 EquityAmerican Century Funds AMERICAN CEN LEGACY FOCUSED LG CAP INVT ACFOX NTF Growth 1.11 None 1 EquityAmerican Century Funds AMERICAN CEN LEGACY LG CAP INVT CL ACGOX NTF Growth 1.1 None 1 EquityAmerican Century Funds AMERICAN CEN LONG SH MRTK NEUTRAL INVT ALHIX NTF Growth 3.34 None 1 EquityAmerican Century Funds AMERICAN CEN ONE CHOICE CONV INVT CL AOCIX NTF Asset Allocation 0 None 1 EquityAmerican Century Funds AMERICAN CENT ONE CHOICE VERY CON PORT AONIX NTF Asset Allocation 0 None 1 Equity

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Sales Charge

Settlement Days

Security Class

American Century Funds AMERICAN CENTURY BALANCED TWBIX NTF Balanced 0.9 None 1 EquityAmerican Century Funds AMERICAN CENTURY CA HIGH YIELD MUNI BCHYX NTF Municipal Bond - Single State 0.52 None 1 BondAmerican Century Funds AMERICAN CENTURY CA LONG-TRM TAX FREE BCLTX NTF Municipal Bond - Single State 0.49 None 1 BondAmerican Century Funds AMERICAN CENTURY CA TAX FREE BOND FD BCITX NTF Municipal Bond - Single State 0.49 None 1 BondAmerican Century Funds AMERICAN CENTURY CAP GRWTH INVT CL SHS ACLIX NTF Growth 1.01 None 1 EquityAmerican Century Funds AMERICAN CENTURY CAPITAL VAL INV SHR ACTIX NTF Growth 1.1 None 1 EquityAmerican Century Funds AMERICAN CENTURY CORE PLUS INVT CL ACCNX NTF Growth and Income 0.67 None 1 BondAmerican Century Funds AMERICAN CENTURY DIS GROWTH FD INVT CL SH ADSIX NTF Growth 1.05 None 1 EquityAmerican Century Funds AMERICAN CENTURY DIVERSIFIED BOND ADFIX NTF Corporate Bond - General 0.62 None 1 BondAmerican Century Funds AMERICAN CENTURY EMERGING MARKETS INV TWMIX NTF Diversified Emerging Markets 1.78 None 1 EquityAmerican Century Funds AMERICAN CENTURY EQUITY GROWTH BEQGX NTF Growth 0.7 None 1 EquityAmerican Century Funds AMERICAN CENTURY EQUITY INCOME TWEIX NTF Equity-Income 0.98 None 1 EquityAmerican Century Funds AMERICAN CENTURY FOCUSED GRWTH INVEST AFSIX NTF Growth 1 None 1 EquityAmerican Century Funds AMERICAN CENTURY FUNDAMENTAL EQ INV AFDIX NTF Growth and Income 1.01 None 1 EquityAmerican Century Funds AMERICAN CENTURY GINNIE MAE BGNMX NTF Government Bond - Mortgage 0.53 None 1 BondAmerican Century Funds AMERICAN CENTURY GLOBAL GOLD BGEIX NTF Specialty - Precious Metals 0.7 None 1 EquityAmerican Century Funds AMERICAN CENTURY GLOBAL GROWTH INVEST TWGGX NTF World Stock 1.22 None 1 EquityAmerican Century Funds AMERICAN CENTURY GOVERNMENT BOND CPTNX NTF Government Bond - Treasury 0.49 None 1 BondAmerican Century Funds AMERICAN CENTURY GROWTH TWCGX NTF Growth 1 None 1 EquityAmerican Century Funds AMERICAN CENTURY HERITAGE TWHIX NTF Growth 1.01 None 1 EquityAmerican Century Funds AMERICAN CENTURY HIGH YIELD INV FD ABHIX NTF Corporate Bond - High Yield 0.8 None 1 BondAmerican Century Funds AMERICAN CENTURY HIGH YIELD MUNI ABHYX NTF Municipal Bond - National 0.62 None 1 BondAmerican Century Funds AMERICAN CENTURY INCOME & GROWTH BIGRX NTF Growth and Income 0.7 None 1 EquityAmerican Century Funds AMERICAN CENTURY INFLATION ADJ TREAS ACITX NTF Government Bond - General 0.49 None 1 BondAmerican Century Funds AMERICAN CENTURY INT L OPP. FUND INV CL AIOIX NTF Foreign Stock 1.95 None 1 EquityAmerican Century Funds AMERICAN CENTURY INTERNATIONAL BOND BEGBX NTF Worldwide Bond 0.83 None 1 BondAmerican Century Funds AMERICAN CENTURY INTERNATL VALUE INV ACEVX NTF Foreign Stock 1.31 None 1 EquityAmerican Century Funds AMERICAN CENTURY INT'L GROWTH TWIEX NTF Foreign Stock 1.38 None 1 EquityAmerican Century Funds AMERICAN CENTURY LARGE COMPANY FD ALVIX NTF Growth 0.83 None 1 EquityAmerican Century Funds AMERICAN CENTURY LEGACY MULTICAP-INVS ACMNX NTF Growth 1.15 None 1 EquityAmerican Century Funds AMERICAN CENTURY LIVESTRONG 2015 INV ARFIX NTF Growth and Income 0.2 None 1 BondAmerican Century Funds AMERICAN CENTURY LIVESTRONG 2020 INV ARBVX NTF Growth and Income 0.2 None 1 EquityAmerican Century Funds AMERICAN CENTURY LIVESTRONG 2025 INV ARWIX NTF Growth and Income 0.2 None 1 EquityAmerican Century Funds AMERICAN CENTURY LIVESTRONG 2030 INV ARCVX NTF Growth and Income 0.2 None 1 EquityAmerican Century Funds AMERICAN CENTURY LIVESTRONG 2035 INV ARYIX NTF Growth and Income 0.2 None 1 EquityAmerican Century Funds AMERICAN CENTURY LIVESTRONG 2040 INV ARDVX NTF Growth and Income 0.2 None 1 EquityAmerican Century Funds AMERICAN CENTURY LIVESTRONG 2045 INV AROIX NTF Growth and Income 0.2 None 1 BondAmerican Century Funds AMERICAN CENTURY LIVESTRONG 2050 INV ARFVX NTF Growth and Income 0.2 None 1 EquityAmerican Century Funds AMERICAN CENTURY LIVESTRONG INC INV ARTOX NTF Growth and Income 0.2 None 1 BondAmerican Century Funds AMERICAN CENTURY LONG TERM TAX FREE ACLVX NTF Municipal Bond - National 0.49 None 1 BondAmerican Century Funds AMERICAN CENTURY MID CAP VALUE INV SHS ACMVX NTF Growth 1 None 1 EquityAmerican Century Funds AMERICAN CENTURY NEW OPPORT INVESTOR CL TWNOX NTF Small Company 1.5 None 1 EquityAmerican Century Funds AMERICAN CENTURY NY TAX FREE FD INVT CL ANYIX NTF Multisector Bond -999 None 1 BondAmerican Century Funds AMERICAN CENTURY ONE CHOICE AGGR PORT INV AOGIX NTF Asset Allocation 0 None 1 EquityAmerican Century Funds AMERICAN CENTURY ONE CHOICE MOD INV CL AOMIX NTF Asset Allocation 0 None 1 EquityAmerican Century Funds AMERICAN CENTURY ONE CHOICE VERY AGGR INV AOVIX NTF Asset Allocation 0 None 1 EquityAmerican Century Funds AMERICAN CENTURY REAL ESTATE REACX NTF Specialty - Real Estate 1.15 None 1 EquityAmerican Century Funds AMERICAN CENTURY SELECT TWCIX NTF Growth 1 None 1 EquityAmerican Century Funds AMERICAN CENTURY SHORT DURATION INVT ACSNX NTF Growth and Income 0.62 None 1 BondAmerican Century Funds AMERICAN CENTURY SHORT TERM GOVT TWUSX NTF Government Bond - General 0.57 None 1 BondAmerican Century Funds AMERICAN CENTURY SMALL CAP GRWTH INV ANOIX NTF Small Company 1.41 None 1 EquityAmerican Century Funds AMERICAN CENTURY SMALL CAP VALUE INV ASVIX NTF Small Company 1.25 None 1 EquityAmerican Century Funds AMERICAN CENTURY SMALL COMPANY INV ASQIX NTF Small Company 0.9 None 1 EquityAmerican Century Funds AMERICAN CENTURY STRAT ALLOC AGG INV CL TWSAX NTF Asset Allocation 1.21 None 1 EquityAmerican Century Funds AMERICAN CENTURY STRAT ALLOC CON INV CL TWSCX NTF Asset Allocation 1 None 1 EquityAmerican Century Funds AMERICAN CENTURY STRAT ALLOC MOD INV CL TWSMX NTF Asset Allocation 1.08 None 1 EquityAmerican Century Funds AMERICAN CENTURY TAX FREE BOND TWTIX NTF Municipal Bond - National 0.49 None 1 BondAmerican Century Funds AMERICAN CENTURY ULTRA TWCUX NTF Growth 1 None 1 EquityAmerican Century Funds AMERICAN CENTURY UTILITIES BULIX NTF Specialty - Utility 0.7 None 1 Equity

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Sales Charge

Settlement Days

Security Class

American Century Funds AMERICAN CENTURY VALUE TWVLX NTF Growth 1 None 1 EquityAmerican Century Funds AMERICAN CENTURY VEEDOT FUND AMVIX NTF Growth 1.25 None 1 EquityAmerican Century Funds AMERICAN CENTURY VISTA TWCVX NTF Aggressive Growth 1 None 1 EquityAmeristock Funds AMERISTOCK MUTUAL FUND AMSTX NTF Growth and Income 0.91 None 1 EquityAMIDEX35 Funds AMIDEX35 MUTUAL AMDEX NTF Foreign Stock 3.24 None 1 EquityAnalytic Funds ANALYTIC SHORT TERM GOVERMENT INSTL ANSTX NTF Government Bond - General 0.6 None 1 BondAppleseed Funds THE APPLESEED FUND APPLX NTF Growth 1.17 None 1 EquityAppleton Funds APPLETON GROUP PLUS FUND AGPLX NTF Growth and Income 2 None 1 EquityAQR Funds AQR DIVERSIFIED ARBITRAGE CLASS N ADANX NTF Growth -999 None 1 EquityAQR Funds AQR GLOBAL EQUITY FUND CLASS N AQGNX NTF World Stock -999 None 1 EquityAQR Funds AQR INTERNATIONAL EQUITY FUND CL N AQINX NTF Foreign Stock -999 None 1 EquityAQR Funds AQR MANAGED FUTURES FUND CL N AQMNX NTF Growth and Income -999 None 1 EquityArbitrage Funds ARBITRAGE FUND CLASS R ARBFX NTF Growth 1.95 None 3 EquityAriel Funds ARIEL APPRECIATION CAAPX NTF Growth 1.25 None 1 EquityAriel Funds ARIEL FOCUS FUND ARFFX NTF Growth 1.25 None 1 EquityAriel Funds ARIEL FUND ARGFX NTF Small Company 1.14 None 1 EquityArtio Global Investors ARTIO GLOBAL EQUITY FUND CL A BJGQX NTF World Stock 1.4 None 1 EquityArtio Global Investors ARTIO GLOBAL HIGH INCOME FUND CL A BJBHX NTF Income 1 None 1 BondArtio Global Investors ARTIO INTERNATIONAL EQUITY FUND CL A BJBIX NTF Foreign Stock 1.21 None 1 EquityArtio Global Investors ARTIO INTERNATIONAL EQUITY FUND II CL A JETAX NTF Foreign Stock 1.24 None 1 EquityArtio Global Investors ARTIO TOTAL RETURN BOND FUND CL A BJBGX NTF Worldwide Bond 0.69 None 1 BondArtio Global Investors ARTIO US MICROCAP FUND CL A JMCAX NTF Growth 1.8 None 1 EquityArtio Global Investors ARTIO US MIDCAP FUND CL A JMDAX NTF Growth 1.35 None 1 EquityArtio Global Investors ARTIO US MULTICAP FUND CL A JMLAX NTF Growth 1.3 None 1 EquityArtio Global Investors ARTIO US SMALLCAP FUND CL A JSCAX NTF Small Company 1.5 None 1 EquityArtisan Funds ARTISAN GLOBAL EQUITY FUND INVESTOR ARTHX NTF None 1 EquityArtisan Funds ARTISAN GLOBAL VALUE FD INVT SHARES ARTGX NTF Growth 1.5 None 1 EquityArtisan Funds ARTISAN INTERNAT'L INVESTOR CLASS ARTIX NTF Foreign Stock 1.22 None 1 EquityArtisan Funds ARTISAN INTL SMALL CAP ARTJX NTF Small Company 1.5 None 1 EquityArtisan Funds ARTISAN INTL VALUE FUND INV CL ARTKX NTF Foreign Stock 1.25 None 1 EquityArtisan Funds ARTISAN MID CAP ARTMX NTF Growth 1.23 None 1 EquityArtisan Funds ARTISAN MID CAP VALUE ARTQX NTF Growth 1.21 None 1 EquityArtisan Funds ARTISAN OPP'ISTIC GROWTH INVESTOR SHRS ARTRX NTF Growth 1.47 None 1 EquityArtisan Funds ARTISAN OPPORTUNISTIC VALUE ARTLX NTF Growth 1.32 None 1 EquityArtisan Funds ARTISAN SMALL CAP GROWTH ARTSX NTF Small Company 1.26 None 1 EquityArtisan Funds ARTISAN SMALL CAP VALUE ARTVX NTF Small Company 1.22 None 1 EquityAscentia Funds ASCENTIA ALTERNATIVE STRATEGIES AASFX NTF Growth 2.76 None 1 EquityAsset Mark Funds ASSETMARK CORE PLUS FIXED INCOME AFCFX NTF Corporate Bond - General 1.18 None 1 BondAsset Mark Funds ASSETMARK FUNDAMENTL INDEX LRG CO GRWTH AILGX NTF Growth 1.22 None 1 EquityAsset Mark Funds ASSETMARK FUNDAMENTL INDEX LRG CO VALUE AILVX NTF Growth 1.22 None 1 EquityAsset Mark Funds ASSETMARK FUNDAMENTL INDEX SMALL CO GRWTH AISGX NTF Growth 1.22 None 1 EquityAsset Mark Funds ASSETMARK FUNDAMENTL INDEX SMALL CO VALUE AISVX NTF Growth 1.22 None 1 EquityAsset Mark Funds ASSETMARK INTERNATNL EQUITY AFIEX NTF Foreign Stock 1.52 None 1 EquityAsset Mark Funds ASSETMARK LARGECAP GROWTH AFLGX NTF Growth 1.27 None 1 EquityAsset Mark Funds ASSETMARK LARGECAP VALUE AFLVX NTF Growth 1.22 None 1 EquityAsset Mark Funds ASSETMARK REAL ESTATE SECURITIES AFREX NTF Specialty - Real Estate 1.49 None 1 EquityAsset Mark Funds ASSETMARK SMALL MID CAP GROWTH AFSGX NTF Growth 1.26 None 1 EquityAsset Mark Funds ASSETMARK SMALL/MID CAP VALUE AFSVX NTF Growth 1.28 None 1 EquityAsset Mark Funds ASSETMARK TAX-EXEMPT FIXED INCOME FUND AFTIX NTF Municipal Bond - National 1.29 None 1 BondAston Asset Management Funds ASTON FORTIS REAL ESTATE CL N ARFCX NTF Specialty - Real Estate 1.37 None 1 EquityAston Asset Management Funds ASTON VALUE FD CL N RVALX NTF Growth and Income 1.07 None 1 EquityAston Asset Management Funds ASTON/ MONTAG & CALDWELL GROWTH CL N MCGFX NTF Growth 1.11 None 1 EquityAston Asset Management Funds ASTON/CARNINAL MID CAP VALUE FUND CL N ACDMX NTF Equity-Income 1.4 None 1 EquityAston Asset Management Funds ASTON/FASCIANO SMALL CAP FUND CLASS N AFASX NTF Small Company -999 None 1 EquityAston Asset Management Funds ASTON/LAKE PARTNERS LASSO ALTERNATIVE N ALSNX NTF None 1 EquityAston Asset Management Funds ASTON/MB ENHANCED EQUITY INCOME CL N AMBEX NTF Growth and Income 1.25 None 1 EquityAston Asset Management Funds ASTON/MONTAG & CALDWELL BALANCED N MOBAX NTF Balanced 1.26 None 1 EquityAston Asset Management Funds ASTON/MONTAG & CALDWELL MIDCAP GR N AMCMX NTF Growth and Income 1.4 None 1 EquityAston Asset Management Funds ASTON/NEPTUNE INTERNATIONAL CL N ANINX NTF Foreign Stock 1.27 None 1 Equity

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Sales Charge

Settlement Days

Security Class

Aston Asset Management Funds ASTON/NEW CENTURY ABSOLUTE RTN ETF N ANENX NTF Income 1.21 None 1 EquityAston Asset Management Funds ASTON/OPTIMUM LARGE CAP OPPT CL N AOLCX NTF Growth 1.19 None 1 EquityAston Asset Management Funds ASTON/OPTIMUM MID CAP CL N CHTTX NTF Growth 1.2 None 1 EquityAston Asset Management Funds ASTON/RIVER RD DIVIDEND ALL CAP N ARDEX NTF Equity-Income 1.21 None 1 EquityAston Asset Management Funds ASTON/RIVER RD SMALL CAP VAL CL N ARSVX NTF Growth 1.4 None 1 EquityAston Asset Management Funds ASTON/RIVER ROAD SELECT VALUE CL N ARSMX NTF Growth 1.44 None 1 EquityAston Asset Management Funds ASTON/SMART PORTFOLIOS CL N ASENX NTF Growth 1.3 None 1 EquityAston Asset Management Funds ASTON/TAMRO ALL CAP FUND CL N ATLVX NTF Growth 1.2 None 1 EquityAston Asset Management Funds ASTON/TAMRO SMALL CAP CL N ATASX NTF Growth 1.36 None 1 EquityAston Asset Management Funds ASTON/TCH FIXED INC CL N CHTBX NTF Corporate Bond - General 0.61 None 1 BondAston Asset Management Funds ASTON/VEREDUS AGGRESS GROWTH CL N VERDX NTF Aggressive Growth 1.49 None 1 EquityAston Asset Management Funds ASTON/VEREDUS SELECT GRW FD CL N AVSGX NTF Growth 1.3 None 1 EquityAstor Funds ASTOR LONG/SHORT ETF FUND CLASS R ASTRX NTF Growth -999 None 1 EquityAuer Funds AUER GROWTH AUERX NTF Growth 1.82 None 1 EquityAutopilot Fund AUTOPILOT MANAGED GROWTH AUTOX NTF Growth 2.24 None 1 EquityAuxier Funds AUXIER FOCUS FUND INVESTOR CLASS AUXFX NTF Growth 1.35 None 1 EquityAviemore Funds ETF MARKET OPPORTUNITIES FD ETFOX NTF Growth 1.75 None 1 EquityAzzad Funds AZZAD ETHICHAL MID CAP FUND CL A ADJEX NTF Growth and Income 1.9 None 3 EquityBaird Mutual Funds BAIRD AGGREGATE BOND FUND INVESTOR CL BAGSX NTF Income 0.55 None 1 BondBaird Mutual Funds BAIRD CORE PLUS BOND FD INVESTOR CL BCOSX NTF Income 0.55 None 1 BondBaird Mutual Funds BAIRD INTERMEDIATE BOND FD CL INV BIMSX NTF Income 0.55 None 1 BondBaird Mutual Funds BAIRD INTERMEDIATE MUNI BOND INVS CL BMBSX NTF Municipal Bond - National 0.55 None 3 BondBaird Mutual Funds BAIRD RIVERFRONT LONG TERM GRWTH INVS RLTSX NTF Growth 1.15 None 3 EquityBaron Asset Funds BARON ASSET BARAX NTF Growth 1.36 None 1 EquityBaron Asset Funds BARON FIFTH AVENUE GROWTH FUND BFTHX NTF Growth 1.4 None 1 EquityBaron Asset Funds BARON GROWTH BGRFX NTF Growth 1.35 None 1 EquityBaron Asset Funds BARON I OPPORTUNITY BIOPX NTF Growth 1.5 None 1 EquityBaron Asset Funds BARON INTERNATIONAL GROWTH FUND BIGFX NTF Growth 1.5 None 1 EquityBaron Asset Funds BARON PARTNERS FUND BPTRX NTF Growth 1.41 None 1 EquityBaron Asset Funds BARON REAL ESTATE FUND RETAIL QDGWQ NTF Growth -999 None 1 EquityBaron Asset Funds BARON RETIREMENT INCOME FUND BRIFX NTF Growth 1.35 None 1 EquityBaron Asset Funds BARON SMALL CAP FD BSCFX NTF Small Company 1.34 None 1 EquityBarrett Funds BARRETT GROWTH BGRWX NTF Growth 1.25 None 3 EquityBB&T Funds BB&T STERLING CAP SMALL-CAP VALUE CL I SPSCX NTF Small Company 1.42 None 3 EquityBeck Mack & Oliver Funds BECK, MACK & OLIVER GLOBAL EQUITY FD BMGEX NTF World Stock 1.75 None 1 EquityBeck Mack & Oliver Funds BECK, MACK & OLIVER PARTNERS FUND BMPEX NTF Growth -999 None 1 EquityBecker Funds BECKER VALUE EQUITY FUND BVEFX NTF Growth 0.95 None 1 EquityBerkshire Funds BERKSHIRE FOCUS FUND BFOCX NTF Specialty - Technology 2 None 1 EquityBiondo Funds BIONDO GROWTH FUND INVESTOR CLASS BIONX NTF Growth 1.5 None 1 EquityBlackrock Institutional Trust Co BLACKROCK LIFEPATH 2050 PORTFOLIO CL I STLFX NTF Asset Allocation 0.68 None 1 EquityBoston Balanced Funds BOSTON TRUST BALANCED FUND BTBFX NTF Asset Allocation 1 None 1 EquityBoston Balanced Funds BOSTON TRUST SMALL CAP FUND BOSOX NTF Small Company 1.1 None 1 EquityBoston Balanced Funds WALDEN SMALL CAP INNOVATIONS FUND WASOX NTF Small Company 1.16 None 1 EquityBoston Balanced Funds WALDEN SOCIAL EQUITY FUND WSEFX NTF Growth 1 None 1 EquityBrandywine Funds BRANDYWINE ADVISORS FUND BWAFX NTF Growth 1.3 None 3 EquityBrown IA Funds BROWN ADVISORY OPPORTUNITY FUND BIAOX NTF Growth 1.5 None 1 EquityBuffalo Funds BUFFALO BALANCED FUND BUFBX NTF Balanced 1.03 None 1 EquityBuffalo Funds BUFFALO GROWTH FUND BUFGX NTF Growth 1.05 None 1 EquityBuffalo Funds BUFFALO HIGH YIELD BUFHX NTF Corporate Bond - High Yield 1.03 None 1 BondBuffalo Funds BUFFALO INTERNATIONAL FUND BUFIX NTF Foreign Stock 1.2 None 1 EquityBuffalo Funds BUFFALO JAYHAWK CHINA FUND BUFCX NTF Pacific Stock 1.83 None 1 EquityBuffalo Funds BUFFALO LARGE CAP BUFEX NTF Growth 1.09 None 1 EquityBuffalo Funds BUFFALO MICRO CAP FD BUFOX NTF Growth 1.55 None 1 EquityBuffalo Funds BUFFALO MID CAP FUND BUFMX NTF Growth 1.02 None 1 EquityBuffalo Funds BUFFALO SCIENCE & TECHNOLOGY FD BUFTX NTF Specialty - Technology 1.03 None 1 EquityBuffalo Funds BUFFALO SMALL CAP GROWTH BUFSX NTF Small Company 1.01 None 1 EquityBurnham Funds BURNHAM FINANCIAL INDUSTRIES FUND CL I BMFIX NTF Specialty - Financial 1.36 None 3 EquityCalvert Funds CALVERT HIGH YIELD BOND CLASS I CYBIX NTF Corporate Bond - High Yield 1.22 None 1 BondCalvert Funds CALVERT SHORT TERM GOV CLASS I CSTIX NTF Government Bond - General 0.73 None 1 Bond

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Security Class

Cambiar Funds CAMBIAR AGGRESSIVE VALUE - INVESTOR CAMAX NTF Growth 1.5 None 1 EquityCambiar Funds CAMBIAR INTL EQUITY INVESTOR CL CAMIX NTF Foreign Stock 1.38 None 1 EquityCambiar Funds CAMBIAR OPPORTUNITY INVESTOR CL CAMOX NTF Growth and Income 1.2 None 1 EquityCambiar Funds CAMBIAR SMALL CAP FUND INVESTOR CL CAMSX NTF Growth and Income 1.32 None 1 EquityCan Slim Funds CAN SLIM SELECT GROWTH FUND CANGX NTF Growth 1.7 None 1 EquityCatalyst Funds EVENTIDE GILEAD FUND CL N ETGLX NTF Growth 1.69 None 1 EquityCauseway Capital Funds CAUSEWAY EMERGING MRKTS FD INV CL CEMVX NTF Diversified Emerging Markets 1.45 None 1 EquityCauseway Capital Funds CAUSEWAY INTERNATL OPPORTUNITIES INVST CIOVX NTF None 1 EquityCauseway Capital Funds CAUSEWAY INTERNATNAL VALUE INVESTOR CIVVX NTF Foreign Stock 1.23 None 1 EquityCentury Funds CENTURY SHARES TRUST INVESTOR CLASS SHS CENVX NTF Growth 1.45 None 1 EquityCentury Funds CENTURY SMALL CAP SELECT INVESTOR CSMVX NTF Small Company 1.53 None 1 EquityChamplain Funds CHAMPLAIN MID CAP ADVISOR SHARE CIPMX NTF Growth 1.3 None 1 EquityChamplain Funds CHAMPLAIN SMALL COMPANY FUND ADV CL CIPSX NTF Small Company 1.4 None 1 EquityChase Growth Fund CHASE GROWTH FUND CHASX NTF Growth 1.19 None 1 EquityChase Growth Fund CHASE MID CAP GROWTH CLASS A CHAMX NTF Growth 1.48 None 3 EquityClipper Funds CLIPPER CFIMX NTF Growth 0.76 None 1 EquityCNI Charter Funds CNI CHARTER DIVERS EQUITY CL N AHADX NTF Growth 1.23 None 3 EquityCNI Charter Funds CNI CHARTER LMTD MTY F/I CL N AHALX NTF Corporate Bond - High Quality 1 None 1 BondCNI Charter Funds CNI CHARTER SOCIALLY RESPONS EQUITY CL N AHRAX NTF Growth 1.22 None 3 EquityCohen & Steers Funds COHEN & STEERS REALTY SHARES CSRSX NTF Specialty - Real Estate 1.06 None 1 EquityColumbia Funds COLUMBIA ASSET ALLOCATION CL Z GAATX NTF Asset Allocation 1 None 1 EquityColumbia Funds COLUMBIA BALANCED FD CL Z CBALX NTF Balanced 0.79 None 1 EquityColumbia Funds COLUMBIA CONSERV HIGH YIELD CL Z CMHYX NTF Corporate Bond - High Yield 0.82 None 1 BondColumbia Funds COLUMBIA CONTRARIAN CORE FUND CL Z SMGIX NTF Growth and Income 0.92 None 1 EquityColumbia Funds COLUMBIA CONVERTIBLE SECURITIES FD Z NCIAX NTF Growth and Income 0.96 None 1 EquityColumbia Funds COLUMBIA CORE BOND FUND CL Z GHQTX NTF Growth and Income 0.45 None 1 BondColumbia Funds COLUMBIA CT INTERM MUNI BOND CL Z SCTEX NTF Municipal Bond - Single State 0.53 None 1 BondColumbia Funds COLUMBIA DISCIPLINED VAL CL Z GEVTX NTF Growth and Income 1.04 None 1 EquityColumbia Funds COLUMBIA DIVIDEND INCOME FUND CL Z GSFTX NTF Growth and Income 0.8 None 1 EquityColumbia Funds COLUMBIA GEORGIA INTERM MUNI BOND Z NGAMX NTF Municipal Bond - Single State 0.5 None 1 BondColumbia Funds COLUMBIA GREATER CHINA FD CL Z LNGZX NTF Pacific Stock 1.44 None 1 EquityColumbia Funds COLUMBIA HIGH INCOME CL Z NYPAX NTF Corporate Bond - High Yield 0.93 None 1 BondColumbia Funds COLUMBIA HIGH YIELD MUNI CL Z SRHMX NTF Municipal Bond - National 0.7 None 1 BondColumbia Funds COLUMBIA HIGH YIELD OPPORTUNITY Z LHYZX NTF Corporate Bond - High Yield 0.85 None 1 BondColumbia Funds COLUMBIA INCOME CL Z SRINX NTF Growth and Income 0.78 None 1 BondColumbia Funds COLUMBIA INTERMED BOND CL Z SRBFX NTF Growth and Income 0.64 None 1 BondColumbia Funds COLUMBIA INTERMED TAX EXEMPT BOND CL Z SETMX NTF Municipal Bond - National 0.53 None 1 BondColumbia Funds COLUMBIA INTERNATL BOND FUND CL Z CNBZX NTF Growth and Income 0.8 None 1 BondColumbia Funds COLUMBIA LARGE CAP GROWTH CL Z GEGTX NTF Growth 0.88 None 1 EquityColumbia Funds COLUMBIA LIBERTY FUND CL Z CTCFX NTF Asset Allocation 0.92 None 1 BondColumbia Funds COLUMBIA LIFE GOAL INCOME FUND CL Z CLGZX NTF Equity-Income 0.42 None 1 BondColumbia Funds COLUMBIA MASS INTERM MUNI BD CL Z SEMAX NTF Municipal Bond - Single State 0.53 None 1 BondColumbia Funds COLUMBIA MASTER INTL EQUITY PORT Z CMTZX NTF Growth 0 None 1 EquityColumbia Funds COLUMBIA MID CAP GROWTH CL Z CLSPX NTF Growth 1.01 None 1 EquityColumbia Funds COLUMBIA NEW JERSEY INTER MUNI BD CL Z GNJTX NTF Municipal Bond - Single State 0.53 None 1 BondColumbia Funds COLUMBIA NEW YORK INTERM MUNI BD CL Z GNYTX NTF Municipal Bond - Single State 0.53 None 1 BondColumbia Funds COLUMBIA OREGON INTE MUNI BOND CL Z CMBFX NTF Municipal Bond - Single State 0.5 None 1 BondColumbia Funds COLUMBIA REAL ESTATE EQUITY CL Z CREEX NTF Specialty - Real Estate 1.14 None 1 EquityColumbia Funds COLUMBIA RHODE ISLND INTERM MINU BD CL Z GRITX NTF Municipal Bond - Single State 0.54 None 1 BondColumbia Funds COLUMBIA SMALL CAP CORE CL Z SMCEX NTF Small Company 1.08 None 1 EquityColumbia Funds COLUMBIA SMALL CAP GROWTH I CL Z CMSCX NTF Small Company 1.12 None 1 EquityColumbia Funds COLUMBIA SMALL CAP VAL I FD CL Z CSCZX NTF Small Company 1.13 None 1 EquityColumbia Funds COLUMBIA STRATEGIC INCOME FD CL Z LSIZX NTF Multisector Bond 0.73 None 1 EquityColumbia Funds COLUMBIA STRATEGIC INVESTORS CL Z CSVFX NTF Growth 0.99 None 1 EquityColumbia Funds COLUMBIA TAX EXEMPT CLASS Z CTEZX NTF Municipal Bond - National 0.6 None 1 EquityColumbia Funds COLUMBIA TECHNOLOGY FUND CL Z CMTFX NTF Specialty - Technology 1.21 None 1 EquityCommerce Funds COMMERCE KANSAS TAX FREE INTER INSTL KTXIX NTF Municipal Bond - Single State 0.7 None 3 BondCommerce Funds COMMERCE MISSOURI TAX FREE INTER BOND CFMOX NTF Municipal Bond - Single State 0.7 None 3 BondCommerce Funds COMMERCE NATIONAL TAX FREE INTER BOND CFNLX NTF Municipal Bond - National 0.7 None 3 Bond

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Sales Charge

Settlement Days

Security Class

Commonwealth Funds COMMONWEALTH GLOBAL FUND CNGLX NTF Growth and Income 3.4 None 1 EquityCommonwealth Funds COMMONWEALTH JAPAN CNJFX NTF Pacific Stock 4.56 None 1 EquityCommonwealth Funds COMMONWEALTH NEW ZEALAND CNZLX NTF Foreign Stock 3.59 None 1 EquityCommonwealth Funds COMMONWEALTH REAL ESTATE SECURITIES CNREX NTF Specialty - Real Estate 3.71 None 1 EquityCongress Street Funds CONGRESS LARGE CAP GROWTH CAMLX NTF Growth and Income -999 None 1 EquityCRA Funds CRA QUALIFIED INVESTMENT CRAIX NTF Income 0.95 None 1 EquityCRA Funds CRA QUALIFIED INVESTMENT RETAIL CL CRATX NTF Income 0.84 None 1 BondCredit Suisse Funds CREDIT SUISSE LARGE CAP BLEND -COMMON SH WFDCX NTF Growth 1.3 None 1 EquityCredit Suisse Funds CREDIT SUISSE LARGE CAP GROWTH FD - ADV WCATX NTF Growth 1.75 None 1 EquityCredit Suisse Funds CREDIT SUISSE LARGE CAP GROWTH FD COMMON CUCAX NTF Growth 1.25 None 1 EquityCredit Suisse Funds CREDIT SUISSE LARGE CAP VALUE ADVISOR CL CSLVX NTF Growth and Income 1.55 None 1 EquityCredit Suisse Funds CREDIT SUISSE MID CAP CORE FD-ADVISOR WEGTX NTF Growth 1.95 None 1 EquityCredit Suisse Funds CREDIT SUISSE MID CAP CORE FD-COMMON CUEGX NTF Growth 1.45 None 1 EquityCredit Suisse Funds CREDIT SUISSE SMALL CAP CORE COMMON CSWCX NTF Small Company 1.55 None 1 EquityCRM Funds CRM 130/30 VALUE FUND - INVESTOR CL CRMTX NTF Growth 2 None 1 EquityCRM Funds CRM ALL CAP VALUE INVESTOR CL CRMEX NTF Growth 1.5 None 1 EquityCRM Funds CRM GLOBAL OPPORTUNITY INVESTOR CRMWX NTF Growth 1.5 None 1 EquityCRM Funds CRM INTERNATIONAL OPPORTUNITY INVESTOR CRMIX NTF Growth 1.5 None 1 EquityCRM Funds CRM LARGE CAP OPPT FUND-INVESTOR CLASS CRMGX NTF Growth 1.34 None 1 EquityCRM Funds CRM MID CAP VALUE INVESTOR SHARES CRMMX NTF Growth and Income 1.09 None 1 EquityCRM Funds CRM SMALL CAP VALUE CRMSX NTF Small Company 1.11 None 1 EquityCRM Funds CRM SMALL/MID CAP VALUE FD INVT CL CRMAX NTF Growth 1.18 None 1 EquityCroft Funds CROFT INCOME FUND CLINX NTF Corporate Bond - General 1.1 None 1 BondCroft Funds CROFT VALUE FUND CLVFX NTF Growth 1.46 None 1 EquityCullen Funds CULLEN HIGH DIVIDEND EQUITY FUND CHDEX NTF Equity-Income 1 None 1 EquityCullen Funds CULLEN INTL HIGH DIV FD RETAIL CL SH CIHDX NTF Growth and Income 1.25 None 1 EquityCullen Funds CULLEN SMALL CAP VALUE FUND RETAIL CL CUSRX NTF Small Company -999 None 1 EquityDirexion Evolution Funds DIREXION EVOLUTION ALT INVESTMENT INVST PETRX NTF Income 1.9 None 1 EquityDirexion Evolution Funds DIREXION EVOLUTION MARKET LEADERS INVST PEVSX NTF Income 1.9 None 1 EquityDirexion Funds DIREIXION MONTHLY CHINA BULL 2X INV DXHLX NTF None 1 EquityDirexion Funds DIREXION COMMODITY TRENDS STRTGY INVEST DXCTX NTF Growth 1.93 None 1 EquityDirexion Funds DIREXION DYNAMIC HIGH YIELD BOND INVT PDHYX NTF Growth and Income 1.73 None 1 BondDirexion Funds DIREXION FINANCIAL TRENDS STRATEGY INVS DXFTX NTF Growth 1.9 None 1 EquityDirexion Funds DIREXION HIGH YIELD BEAR INVESTOR SHS PHBRX NTF Income 1.88 None 1 BondDirexion Funds DIREXION LONG/SHORT GLOBAL IPO INVT CL DXIIX NTF None 1 EquityDirexion Funds DIREXION MONTHLY 10 YR BEAR 2X INVST DXKSX NTF Growth 1.8 None 1 BondDirexion Funds DIREXION MONTHLY 10 YR NOTE BULL 2X INV DXKLX NTF Growth 1.77 None 1 BondDirexion Funds DIREXION MONTHLY COM BULL 2X INVT DXCLX NTF Growth 1.88 None 1 EquityDirexion Funds DIREXION MONTHLY DEV MKT BEAR 2X INV DXDSX NTF World Stock 1.84 None 1 EquityDirexion Funds DIREXION MONTHLY DEV MKTS BULL 2X DXDLX NTF World Stock 1.87 None 1 EquityDirexion Funds DIREXION MONTHLY DOLLAR BEAR 2X INV DXDDX NTF Growth 1.8 None 1 EquityDirexion Funds DIREXION MONTHLY DOLLAR BULL 2X INV DXDBX NTF Growth 1.71 None 1 EquityDirexion Funds DIREXION MONTHLY EMERG MKRTS BEAR 2X DXESX NTF Income 1.84 None 1 EquityDirexion Funds DIREXION MONTHLY EMRG MKT BULL 2X INV DXELX NTF Income 1.89 None 1 EquityDirexion Funds DIREXION MONTHLY LATIN AM BULL 2X INV DXZLX NTF World Stock 1.75 None 1 EquityDirexion Funds DIREXION MONTHLY NASDAQ 100BEAR2X INV DXQSX NTF Growth 1.81 None 1 EquityDirexion Funds DIREXION MONTHLY NASDAQ100BULL2X INV DXQLX NTF Growth 1.81 None 1 EquityDirexion Funds DIREXION MONTHLY S&P 500 BEAR 2X INV DXSSX NTF Growth 1.8 None 1 EquityDirexion Funds DIREXION MONTHLY S&P 500 BULL 2X INV DXSLX NTF Growth 1.81 None 1 EquityDirexion Funds DIREXION MONTHLY SM CAP BULL 2X INV DXRLX NTF Small Company 1.89 None 1 EquityDirexion Funds DIREXION MONTHLY SML CAP BEAR 2X INV DXRSX NTF Small Company 1.86 None 1 EquityDirexion Funds DIREXION/WILSHIRE DYNAMIC FD INVESTOR DXDWX NTF Growth 1.55 None 1 EquityDomini Funds DOMINI INTERNATIONAL SOCIAL EQUITY INVT DOMIX NTF Growth 1.6 None 1 EquityDomini Funds DOMINI SOCIAL BOND INVESTOR DSBFX NTF Corporate Bond - General 0.95 None 1 BondDomini Funds DOMINI SOCIAL EQUITY INVESTOR DSEFX NTF Growth 1.18 None 1 EquityDreman Funds DREMAN CONTRARIAN LARGE CAP FUND DRLVX NTF Growth and Income 0.81 None 1 EquityDreman Funds DREMAN CONTRARIAN MID CAP VAL FD DRMVX NTF Growth 1.22 None 1 EquityDreman Funds DREMAN CONTRARIAN SMALL CAP VALUE DRSVX NTF Growth 1.38 None 1 EquityDreyfus Funds BNY MELLON BALANCED FUND INVESTOR MIBLX NTF Balanced 0.85 None 3 Equity

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Sales Charge

Settlement Days

Security Class

Dreyfus Funds BNY MELLON BD INVT CLASS SHARES MIBDX NTF Corporate Bond - General 0.81 None 1 BondDreyfus Funds BNY MELLON EMERGING MKTS FD INV SH MIEGX NTF Diversified Emerging Markets 1.91 None 3 EquityDreyfus Funds BNY MELLON INERMED BOND FUND INVESTOR MIIDX NTF Corporate Bond - General 0.56 None 3 BondDreyfus Funds BNY MELLON INTERM APP INVT CL SHS MARIX NTF Foreign Stock 0.91 None 3 EquityDreyfus Funds BNY MELLON INTERM MUNI BD INVT MINMX NTF Municipal Bond - National 0.76 None 3 BondDreyfus Funds BNY MELLON INTERM US GOV'T FD INV CL MOVIX NTF Government Bond - General 0.9 None 3 BondDreyfus Funds BNY MELLON INTL FD INV SH MIINX NTF Foreign Stock 1.28 None 3 EquityDreyfus Funds BNY MELLON MID CAP S TOCK FD INV SH MIMSX NTF Growth 1.17 None 3 EquityDreyfus Funds BNY MELLON NY INTER TAX EXEMPT BD INV MNYIX NTF Municipal Bond - Single State 0.84 None 3 BondDreyfus Funds BNY MELLON SHORT TERM US GOV'T INVT MISTX NTF Government Bond - General 0.82 None 3 BondDreyfus Funds BNY MELLON SMALL CAP STOCK FD INV SHS MISCX NTF Growth 1.23 None 3 EquityDreyfus Funds BNY MELON LARGE CAP STOCK FD INV SH MILCX NTF Growth 1.06 None 3 EquityDreyfus Funds DREYFUS AMT-FREE MUNI BOND CLASS Z DRMBX NTF Municipal Bond - National 0.45 None 1 BondDreyfus Funds DREYFUS APPRECIATION FUND DGAGX NTF Growth 1.07 None 1 EquityDreyfus Funds DREYFUS BALANCED OPP CL Z DBOZX NTF Balanced 1.16 None 3 EquityDreyfus Funds DREYFUS BALANCED OPPORT CL J THPBX NTF Balanced 1.05 None 3 EquityDreyfus Funds DREYFUS BOND MARKET INDEX INVS DBMIX NTF Corporate Bond - General 0.4 None 1 BondDreyfus Funds DREYFUS BRAZIL EQUITY FUND CL I DBZIX NTF Foreign Stock -999 None 3 EquityDreyfus Funds DREYFUS CA AMT-FREE MUNI BOND CLASS Z DRCAX NTF Municipal Bond - Single State 0.72 None 3 BondDreyfus Funds DREYFUS CONSERVATIVE ALLOCAITON FUND SCALX NTF Asset Allocation -999 None 3 EquityDreyfus Funds DREYFUS CT MUNI BOND CL Z DPMZX NTF Municipal Bond - Single State 0.74 None 3 BondDreyfus Funds DREYFUS DISCIPLINED STOCK DDSTX NTF Growth and Income 1 None 1 EquityDreyfus Funds DREYFUS DISCOVERY CL F FDISX NTF Small Company 1.47 None 1 EquityDreyfus Funds DREYFUS DYNAMIC ALTERNATIVE FD CL I DDYIX NTF None 3 EquityDreyfus Funds DREYFUS EMERGING ASIA FUND INVT CLASS DEAIX NTF Foreign Stock 1.75 None 3 EquityDreyfus Funds DREYFUS EMERGING LEADERS FUND DRELX NTF Small Company 1.43 None 1 EquityDreyfus Funds DREYFUS EQUITY GROWT CL F FRMUX NTF Growth and Income 1.06 None 1 EquityDreyfus Funds DREYFUS FUND DREVX NTF Growth and Income 0.75 None 1 EquityDreyfus Funds DREYFUS GNMA FUND CLASS Z DRGMX NTF Government Bond - Mortgage 0.86 None 1 BondDreyfus Funds DREYFUS GROWTH & INCOME DGRIX NTF Growth and Income 1.05 None 1 EquityDreyfus Funds DREYFUS GROWTH ALLOCATION FUND SGALX NTF Asset Allocation -999 None 3 EquityDreyfus Funds DREYFUS HIGHYIELD MUNI BONDCL Z DHMBX NTF Municipal Bond - National 0.84 None 3 BondDreyfus Funds DREYFUS INFLATION ADJ INVT CL SHARES DIAVX NTF Corporate Bond - General 0.55 None 3 BondDreyfus Funds DREYFUS INFLATION ADJUSTED SECURITIES DIASX NTF Corporate Bond - General 0.3 None 3 EquityDreyfus Funds DREYFUS INTERMEDIATE MUNICIPAL BOND DITEX NTF Municipal Bond - National 0.75 None 1 BondDreyfus Funds DREYFUS INTERNATL STOCK INDEX DIISX NTF Foreign Stock 0.6 None 1 EquityDreyfus Funds DREYFUS INTERTNAT'L BOND FUND CL I DIBRX NTF Worldwide Bond 0.83 None 3 EquityDreyfus Funds DREYFUS LIFETIME GROWTH & INCOME INVS DGIIX NTF Growth and Income 1.4 None 3 EquityDreyfus Funds DREYFUS MID CAP GROWTH CL F FRSPX NTF Growth 1.22 None 1 EquityDreyfus Funds DREYFUS MIDCAP INDEX FUND PESPX NTF Growth 0.5 None 1 EquityDreyfus Funds DREYFUS MODERATE ALLOCAITON FUND SMDAX NTF Asset Allocation -999 None 3 EquityDreyfus Funds DREYFUS MUNIBD FD CL Z DMBZX NTF Municipal Bond - National 0.87 None 3 BondDreyfus Funds DREYFUS MUNICIPAL BOND FUND DRTAX NTF Municipal Bond - National 0.76 None 1 BondDreyfus Funds DREYFUS NEW YORK TAX EXEMPT BOND DRNYX NTF Municipal Bond - Single State 0.73 None 1 BondDreyfus Funds DREYFUS NJ MUNICIPAL BOND CL Z DZNJX NTF Municipal Bond - Single State 0.78 None 3 BondDreyfus Funds DREYFUS RESEARCH GRWTH CL Z DREQX NTF Growth 1.09 None 1 EquityDreyfus Funds DREYFUS S & P 500 INDEX FUND PEOPX NTF Growth and Income 0.5 None 1 EquityDreyfus Funds DREYFUS SHORT - INTERMEDIATE MUNI I DIMIX NTF Municipal Bond - National 0.65 None 3 BondDreyfus Funds DREYFUS SHORT INTER GOVERNMENT DSIGX NTF Government Bond - General 0.73 None 1 BondDreyfus Funds DREYFUS SHORT TERM INC D DSTIX NTF Income 0.95 None 3 BondDreyfus Funds DREYFUS SHORT TERM INC FUND CL P DSHPX NTF Income 0.96 None 3 BondDreyfus Funds DREYFUS SHRT INTERM MUNI BD CL D DSIBX NTF Municipal Bond - National 0.77 None 1 BondDreyfus Funds DREYFUS SMALL CAP STOCK INDEX DISSX NTF Small Company 0.5 None 1 EquityDreyfus Funds DREYFUS SMALL COMPANY VALUE FUND DSCVX NTF Small Company 1.37 None 1 EquityDreyfus Funds DREYFUS STATE MUNI BOND CLASS Z DPENX NTF Municipal Bond - Single State 0.77 None 3 BondDreyfus Funds DREYFUS STATE MUNI BOND MASS CL Z PMAZX NTF Municipal Bond - Single State 0.73 None 3 BondDreyfus Funds DREYFUS THIRD CENTURY FUND CL Z DRTHX NTF Growth 1.1 None 1 EquityDreyfus Funds DREYFUS US TREASURY INTERMEDIATE TERM DRGIX NTF Government Bond - Treasury 0.65 None 1 BondDreyfus Funds DREYFUS US TREASURY LONG TERM DRGBX NTF Government Bond - Treasury 0.65 None 1 Bond

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Sales Charge

Settlement Days

Security Class

Driehaus Capital Management DRIEHAUS ACTIVE INCOME FUND LCMAX NTF Growth and Income 0.91 None 1 BondDriehaus Capital Management DRIEHAUS EMERGING MARKETS DREGX NTF Diversified Emerging Markets 1.75 None 1 EquityDriehaus Capital Management DRIEHAUS GLOBAL GROWTH FUND DRGGX NTF World Stock 2 None 1 EquityDriehaus Capital Management DRIEHAUS INTERNATL DISCOVERY DRIDX NTF Foreign Stock 1.64 None 1 EquityDriehaus Capital Management DRIEHAUS INTERNAT'L SMALL CAP GROWTH FD DRIOX NTF Small Company 1.83 None 1 EquityDriehaus Capital Management DRIEHAUS LARGE CAP GROWTH FUND DRLGX NTF Growth -999 None 1 EquityDriehaus Capital Management DRIEHAUS MID CAP GROWTH FUND DRMGX NTF Growth -999 None 1 EquityDundeewealth Funds DYNAMIC CONTRARIAN ADVANTAGE FD CL I DWGVX NTF Growth 1.15 None 1 EquityDundeewealth Funds DYNAMIC ENERGY INCOME FUND CLASS I DWEIX NTF Specialty - Natural Resources 1.15 None 1 EquityDundeewealth Funds DYNAMIC GOLD AND PRECIOUS METALS CL I DWGOX NTF Specialty - Precious Metals 1.25 None 1 EquityDundeewealth Funds DYNAMIC US GROWTH FUND CLASS I DWUGX NTF Growth 0.95 None 1 EquityDWS Funds DWS ALTERNATIVE ASSE T ALLOCATION PLUS S AAASX NTF Growth 0.24 None 1 EquityDWS Funds DWS BALANCED CLASS S KTRSX NTF Balanced 0.72 None 1 EquityDWS Funds DWS BLUE CHIP FUND CLASS S KBCSX NTF Growth and Income 0.96 None 3 EquityDWS Funds DWS CALIFORNIA TAX FREE INCOME CLASS S SDCSX NTF Municipal Bond - Single State 0.62 None 1 BondDWS Funds DWS CAPITAL GROWTH CL S SCGSX NTF Growth 0.84 None 1 EquityDWS Funds DWS CLIMATE CHANGE FUND CLASS S WRMSX NTF Growth and Income 1.5 None 1 EquityDWS Funds DWS CORE FIXED INCOME CLASS S SFXSX NTF Corporate Bond - High Quality 0.56 None 1 BondDWS Funds DWS CORE PLUS INCOME CLASS S SCSBX NTF Corporate Bond - High Quality 0.75 None 1 BondDWS Funds DWS DIVERSIFIED INTL EQUITY FUND CLASS S DBIVX NTF Foreign Stock 0.94 None 1 EquityDWS Funds DWS DREMAN MID CAP VALUE FD CL S MIDTX NTF Growth 0.99 None 1 EquityDWS Funds DWS DREMAN SMALL CAP VALUE CL S KDSSX NTF Small Company 1.07 None 1 EquityDWS Funds DWS EMERGING MARKETS EQUITY CLASS S SEMGX NTF Diversified Emerging Markets 1.43 None 1 EquityDWS Funds DWS EMERGING MARKETS FIXED INCOME CL S SCEMX NTF Worldwide Bond 1.04 None 1 BondDWS Funds DWS ENHANCED COMMODITY STRATEGY S SKSRX NTF Growth 1.31 None 1 EquityDWS Funds DWS EUROPE EQUITY CLASS S SCGEX NTF Europe Stock 1.24 None 1 EquityDWS Funds DWS GLOBAL BOND CLASS S SSTGX NTF Worldwide Bond 0.91 None 1 BondDWS Funds DWS GLOBAL INFLATION PLUS CL S TIPSX NTF Multisector Bond 0.67 None 1 BondDWS Funds DWS GLOBAL INSTRUCTURE CL S TOLSX NTF Growth and Income 1.26 None 1 EquityDWS Funds DWS GLOBAL OPPORTUNITIES CL S SGSCX NTF World Stock 1.3 None 1 EquityDWS Funds DWS GLOBAL THEMATIC CL S SCOBX NTF World Stock 1.3 None 1 EquityDWS Funds DWS GNMA CLASS S SGINX NTF Government Bond - Mortgage 0.55 None 1 BondDWS Funds DWS GOLD & PRECIOUS METALS CL S SCGDX NTF Specialty - Precious Metals 1.17 None 1 EquityDWS Funds DWS GROWTH & INCOME CL S SCDGX NTF Growth and Income 0.69 None 1 EquityDWS Funds DWS HEALTH CARE CL S SCHLX NTF Specialty - Health 1.3 None 1 EquityDWS Funds DWS HIGH INCOME PLUS CLASS S SGHSX NTF Corporate Bond - High Yield 0.7 None 1 BondDWS Funds DWS INTERMEDIATE TAX/AMT FREE CL S SCMTX NTF Municipal Bond - National 0.65 None 1 BondDWS Funds DWS INTERNATIONAL CLASS S SCINX NTF Foreign Stock 0.94 None 1 EquityDWS Funds DWS INTERNATIONAL VALUE OPPT CL S DNVSX NTF Growth 1.28 None 1 EquityDWS Funds DWS LARGE CAP VALUE CLASS S KDCSX NTF Growth and Income 0.71 None 1 EquityDWS Funds DWS LARGE COMPANY GROWTH CL S SCQGX NTF Growth 1.16 None 1 EquityDWS Funds DWS LATIN AMERICA EQUITY CLASS S SLAFX NTF Foreign Stock 1.47 None 1 EquityDWS Funds DWS LIFE CAOMPASS RETIREMENT CLASS S SCPCX NTF Asset Allocation 0.27 None 1 EquityDWS Funds DWS LIFE COMPASS 2015 FUND CLASS S SPBAX NTF Asset Allocation 0.23 None 1 EquityDWS Funds DWS LIFE COMPASS 2020 FD CLASS S SPGRX NTF Asset Allocation 0.24 None 1 EquityDWS Funds DWS LIFE COMPASS 2030 FUND CL S PPLSX NTF Asset Allocation 0.2 None 1 EquityDWS Funds DWS LIFECYCLE LONG RANGE FD CL S BTILX NTF Balanced 0.82 None 1 EquityDWS Funds DWS MANAGED MUNICIPAL BOND CL S SCMBX NTF Municipal Bond - National 0.89 None 1 BondDWS Funds DWS MASSACHUSETTS TAX FREE CLASS S SCMAX NTF Municipal Bond - Single State 0.68 None 1 BondDWS Funds DWS MID CAP GROWTH CL S SMCSX NTF Growth 1.13 None 1 EquityDWS Funds DWS NEW YORK TAX FREE INCOME CLASS S SNWYX NTF Municipal Bond - Single State 0.61 None 1 BondDWS Funds DWS RREF GLOBAL REAL ESTATE SEC CL S RRGTX NTF Specialty - Real Estate 1.26 None 1 EquityDWS Funds DWS RREF REAL ESTATE SECURITY CL S RRREX NTF Specialty - Real Estate 0.79 None 1 EquityDWS Funds DWS S&P 500 PLUS CLASS S SSFFX NTF Growth and Income 0.94 None 1 EquityDWS Funds DWS SELECT ALTERNATI VE ALLOCATION FUND S SELSX NTF Asset Allocation 0.11 None 1 EquityDWS Funds DWS SHORT DURATION PLUS FUND CL S DBPIX NTF Corporate Bond - General 0.65 None 1 BondDWS Funds DWS SHORT TERM MUNICIPAL BOND CL S SRMSX NTF Municipal Bond - National 0.57 None 1 BondDWS Funds DWS SMALL CAP CORE CL S SSLCX NTF Small Company 1.52 None 1 EquityDWS Funds DWS SMALL CAP GROWTH CL S SSDSX NTF Small Company 1 None 1 Equity

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Sales Charge

Settlement Days

Security Class

DWS Funds DWS STRATEGIC GOV'T SECURITIES CLASS S KUSMX NTF Government Bond - Mortgage 0.64 None 3 EquityDWS Funds DWS STRATEGIC HIGH YIELD TAX FREE CL S SHYTX NTF Municipal Bond - National 0.67 None 1 BondDWS Funds DWS STRATEGIC INCOME FUND CLASS S KSTSX NTF Multisector Bond 0.81 None 1 BondDWS Funds DWS TECHNOLOGY CL S KTCSX NTF Specialty - Technology 1.11 None 1 EquityDWS Funds DWS U.S. BOND INDEX CL S BONSX NTF Corporate Bond - General -999 None 3 BondEdgar Lomax Funds EDGAR LOMAX VALUE FUND LOMAX NTF Growth and Income 0.92 None 1 EquityEdgewood Funds EDGEWOOD GROWTH FUND RETAIL CLASS EGFFX NTF Growth 1.35 None 1 EquityEpiphany Funds EPIPHANY FFV FUND CL N EPVNX NTF Growth 1.5 None 1 EquityFAM Funds FAM EQUITY INCOME FAMEX NTF Equity-Income 1.4 None 1 EquityFAM Funds FAM VALUE FAMVX NTF Small Company 1.26 None 1 EquityFBR Funds FBR BALANCED INVESTOR CLASS AFSAX NTF None 1 EquityFBR Funds FBR CORE BOND INVESTOR CLASS AFHAX NTF None 1 BondFBR Funds FBR FOCUS FUND FBRVX NTF Growth 1.43 None 1 EquityFBR Funds FBR FOCUS FUND RETIREMENT R-SHARES FBRRX NTF Growth 2.2 None 1 EquityFBR Funds FBR GAS UTILITY INDEX GASFX NTF Specialty - Utility 0.76 None 1 EquityFBR Funds FBR GAS UTILITY INDEX FD RET R-SHRS GASSX NTF Specialty - Utility 1.35 None 1 EquityFBR Funds FBR LARGE CAP FINANCIAL FBRFX NTF Specialty - Financial 1.81 None 1 EquityFBR Funds FBR PEGASUS FD FBRPX NTF Growth 1.25 None 1 EquityFBR Funds FBR PEGASUS MID CAP FUND FBRMX NTF Growth 1.35 None 1 EquityFBR Funds FBR PEGASUS SMALL CAP FUND FBRYX NTF Small Company 1.46 None 1 EquityFBR Funds FBR PEGASUS SMALL CAP GROWTH FUND FBRCX NTF Growth 1.45 None 1 EquityFBR Funds FBR PEGASUS SMALL CAP GRWTH RET R-SHRS FBPSX NTF Growth 1.7 None 1 EquityFBR Funds FBR SMALL CAP FINANCIAL FBRSX NTF Specialty - Financial 1.51 None 1 EquityFBR Funds FBR SMALL CAP FIN'L FD RETIREMENT R-SHRS FBRWX NTF Specialty - Financial 2.2 None 1 EquityFBR Funds FBR TECHNOLOGY FUND FBRTX NTF Specialty - Technology 1.95 None 1 EquityFederated Funds FEDERATED CAPITAL APPRECIATION FD K CPAKX NTF Growth 1.71 None 3 EquityFederated Funds FEDERATED CLOVER SMALL VALUE CL IS VSFIX NTF Growth 1.19 None 3 EquityFederated Funds FEDERATED CLOVER VALUE FUND CLASS IS VFCIX NTF Growth 0.94 None 3 EquityFederated Funds FEDERATED GOVERNMENT ULTRA SHT DURATIN SS FEUSX NTF Government Bond - General 0.35 None 3 BondFederated Funds FEDERATED KAUFMANN CLASS K KAUFX NTF Aggressive Growth 1.95 None 3 EquityFederated Funds FEDERATED STOCK BOND FD CLASS K FSBKX NTF Asset Allocation 1.75 None 3 EquityFederated Funds FEDERATED TOTAL RETURN BOND FD K FTRKX NTF Income 1.1 None 3 BondFederated Funds FEDERATED US GOV'T SECURITIES 2-5 CL K FIGKX NTF Government Bond - Treasury 1.24 None 3 BondFederated Institutional Funds FEDERATED ADJUSTABLE RATE SECURITIES FND FASSX NTF Government Bond - ARM 0.88 None 3 BondFederated Institutional Funds FEDERATED CAPITAL APPRECIATION CL IS CPAIX NTF Growth 0.96 None 3 EquityFederated Institutional Funds FEDERATED GNMA INSTL SERVICE FGSSX NTF Government Bond - Mortgage 0.82 None 3 BondFederated Institutional Funds FEDERATED HIGH YIELD INSTL FUND FHYTX NTF Corporate Bond - High Yield 0.99 None 3 BondFederated Institutional Funds FEDERATED INCOME TRUST INSTL SERVICE FITSX NTF Government Bond - Mortgage 0.81 None 3 BondFederated Institutional Funds FEDERATED INST HIGH YIELD BOND FD FIHBX NTF Corporate Bond - High Yield 0.49 None 3 BondFederated Institutional Funds FEDERATED INTERMED MUNI TRUST INSTL FD FIMTX NTF Municipal Bond - National 0.55 None 3 BondFederated Institutional Funds FEDERATED MAX CAP INDEX SS FUND FMXSX NTF Growth and Income 0.65 None 3 EquityFederated Institutional Funds FEDERATED MDT STOCK TRUST IS FSTKX NTF Growth and Income 0.99 None 3 EquityFederated Institutional Funds FEDERATED SHORT TERM INCOME INSTL SERVICE FSISX NTF Corporate Bond - High Quality 0.7 None 3 BondFederated Institutional Funds FEDERATED SHORT TERM MUNI INSTL SVC FSHSX NTF Municipal Bond - National 0.71 None 3 BondFederated Institutional Funds FEDERATED TOTAL RET GOVT BOND SS FTGSX NTF Government Bond - Treasury 0.6 None 3 BondFederated Institutional Funds FEDERATED ULTRA SHORT BOND INST SVC FULBX NTF Income 0.8 None 3 BondFederated Institutional Funds FEDERATED US GOVT SECS 1-3 YR INST SVC FSGIX NTF Government Bond - Treasury 0.79 None 3 BondFederated Institutional Funds FEDERATED US GOVT SECS 2-5 YR INST SVC FIGIX NTF Government Bond - Treasury 0.78 None 3 BondFidelity Funds FID ADV EMRG EUROPE AFRICA MIDEAST CL I FIEMX NTF Foreign Stock 1.14 None 1 EquityFidelity Funds FID EMERGING EURO MID EAST AFRICA FND FEMEX NTF Foreign Stock 1.14 None 1 EquityFidelity Funds FID INC REPLACEMENT 2016 FND ADV CLASS I FRJIX NTF Growth and Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2016 FUND FIRJX NTF Growth and Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2018 FND ADV CLASS I FRKIX NTF Growth and Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2018 FUND FIRKX NTF Growth and Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2020 FND ADV CLASS I FILIX NTF Growth and Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2020 FUND FIRLX NTF Growth and Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2022 FND ADV CLASS I FRIMX NTF Growth and Income 0.01 None 1 EquityFidelity Funds FID INC REPLACEMENT 2022 FUND FIRMX NTF Growth and Income 0.01 None 1 EquityFidelity Funds FID INC REPLACEMENT 2024 FND ADV CLASS I FRNIX NTF Growth and Income 0 None 1 Equity

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Security Class

Fidelity Funds FID INC REPLACEMENT 2024 FUND FIRNX NTF Growth and Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2026 FND ADV CLASS I FIOIX NTF Growth and Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2026 FUND FIROX NTF Growth and Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2028 FND ADV CLASS I FRAPX NTF Growth and Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2028 FUND FIRPX NTF Growth and Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2030 FND ADV CLASS I FRQIX NTF Growth and Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2030 FUND FIRQX NTF Growth and Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2032 FND ADV CLASS I FIIRX NTF Growth and Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2032 FUND FIRRX NTF Growth and Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2034 FND ADV CLASS I FRASX NTF Growth and Income 0.01 None 1 EquityFidelity Funds FID INC REPLACEMENT 2034 FUND FIRSX NTF Growth and Income 0.01 None 1 EquityFidelity Funds FID INC REPLACEMENT 2036 FND ADV CLASS I FURIX NTF Growth and Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2036 FUND FIRUX NTF Growth and Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2038 FND ADV CLASS I FIIVX NTF Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2038 FUND FIRVX NTF Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2040 FND ADV CLASS I FIIWX NTF Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2040 FUND FIRWX NTF Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2042 FND ADV CLASS I FIRFX NTF Income 0 None 1 EquityFidelity Funds FID INC REPLACEMENT 2042 FUND FIXRX NTF Income 0 None 1 EquityFidelity Funds FID LARGE CAP CORE ENHANCED IDX INV CL FLCEX NTF Growth 0.45 None 1 EquityFidelity Funds FID LARGE CAP GROWTH ENHANCED INDEX FLGEX NTF Growth 0.45 None 1 EquityFidelity Funds FID LARGE CAP VALUE ENHANCED INDEX FLVEX NTF Growth 0.45 None 1 EquityFidelity Funds FIDELITY 130/30 LARGE CAP FUND FOTTX NTF Growth and Income 1.28 None 1 EquityFidelity Funds FIDELITY ADV 130/30 LARGE CAP FUND CL I FITOX NTF Growth and Income 1.12 None 1 EquityFidelity Funds FIDELITY ADV ASSET MANAGER 20% CL I FTIWX NTF Asset Allocation 0.56 None 1 EquityFidelity Funds FIDELITY ADV ASSET MANAGER 30% CL I FTINX NTF Asset Allocation 0.65 None 1 EquityFidelity Funds FIDELITY ADV ASSET MANAGER 40% CL I FFNIX NTF Asset Allocation 0.65 None 1 EquityFidelity Funds FIDELITY ADV ASSET MANAGER 50% CL I FFIMX NTF Asset Allocation 0.69 None 1 EquityFidelity Funds FIDELITY ADV ASSET MANAGER 60% CL I FSNIX NTF Asset Allocation 0.84 None 1 EquityFidelity Funds FIDELITY ADV ASSET MANAGER 85% CL I FEYIX NTF Asset Allocation 0.81 None 1 EquityFidelity Funds FIDELITY ADV DYNAMIC STRATEGIES I FDYIX NTF Income 0.4 None 1 EquityFidelity Funds FIDELITY ADV FOCUS COMM EQUIPMENT CL I FDMIX NTF Specialty - Communications 1.15 None 1 EquityFidelity Funds FIDELITY ADV FOCUS CONSUMER DISCRET'RY CLASS I FCNIX NTF Specialty - Unaligned 1.15 None 1 EquityFidelity Funds FIDELITY ADV FREEDOM 2045 CL I FFFIX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY ADV FREEDOM 2050 CL I FFFPX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY ADV GOVT INCOME CL I FVIIX NTF Government Bond - General 0.51 None 1 BondFidelity Funds FIDELITY ADV GROWTH STRATEGIES FUND CL I FRVIX NTF Aggressive Growth 1.03 None 1 EquityFidelity Funds FIDELITY ADV INT'L GROWTH FUND CLASS I FIIIX NTF Growth 1.23 None 1 EquityFidelity Funds FIDELITY ADV INTL REAL ESTATE CL I FIRIX NTF Specialty - Real Estate 1.17 None 1 EquityFidelity Funds FIDELITY ADV INTL SMALL CAP OPP INSTL FOPIX NTF Growth 0.64 None 1 EquityFidelity Funds FIDELITY ADV INT'L VALUE INST CL FIVQX NTF Growth 0.92 None 1 EquityFidelity Funds FIDELITY ADV LARGE CAP GROWTH CL I FLNOX NTF Growth 0.68 None 1 EquityFidelity Funds FIDELITY ADV LARGE CAP VALUE CL I FLUIX NTF Growth 0.85 None 1 EquityFidelity Funds FIDELITY ADV MEGA CAP STOCK FUND CL I FTRIX NTF Growth and Income 0.77 None 1 EquityFidelity Funds FIDELITY ADV MID CAP GROWTH CLASS I FGCOX NTF Growth 0.59 None 1 EquityFidelity Funds FIDELITY ADV MID CAP VALUE CLASS I FMPOX NTF Growth 0.87 None 1 EquityFidelity Funds FIDELITY ADV SMALL CAP INDEPENDENCE I FCDIX NTF Small Company 0.62 None 1 EquityFidelity Funds FIDELITY ADV STRAT DIVIDEND & INC CL I FSIDX NTF Income 0.91 None 1 EquityFidelity Funds FIDELITY ADV TOTAL INT'L EQUITY CLASS I FTEIX NTF Growth 1.22 None 1 EquityFidelity Funds FIDELITY ADVISOR BALANCED CL I FAIOX NTF Balanced 0.78 None 1 EquityFidelity Funds FIDELITY ADVISOR BIOTECHNOLOGY CL I FBTIX NTF Specialty - Health 1.11 None 1 EquityFidelity Funds FIDELITY ADVISOR CALIF MUNI INC CL I FCMQX NTF Municipal Bond - Single State 0.48 None 1 BondFidelity Funds FIDELITY ADVISOR CANADA CLASS I FICCX NTF Foreign Stock 1.14 None 1 EquityFidelity Funds FIDELITY ADVISOR CAP DEVELOPMENT CL I FDEIX NTF Growth 0.79 None 1 EquityFidelity Funds FIDELITY ADVISOR CONSUMER STPLES CL I FDIGX NTF Specialty - Unaligned 0.91 None 1 EquityFidelity Funds FIDELITY ADVISOR CONVERTABLE SEC CL I FICVX NTF Convertible Bond 0.73 None 1 EquityFidelity Funds FIDELITY ADVISOR DIVERSIFIED INT'L I FDVIX NTF Foreign Stock 1.04 None 1 EquityFidelity Funds FIDELITY ADVISOR DIVERSIFIED STOCK I FDTIX NTF Growth 0.77 None 1 EquityFidelity Funds FIDELITY ADVISOR DIVIDEND GROWTH CL I FDGIX NTF Growth 0.69 None 1 Equity

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Settlement Days

Security Class

Fidelity Funds FIDELITY ADVISOR DYNAMIC CAP APP CL I FDCIX NTF Growth 0.72 None 1 EquityFidelity Funds FIDELITY ADVISOR ELECTRONICS CL I FELIX NTF Specialty - Technology 1.15 None 1 EquityFidelity Funds FIDELITY ADVISOR EMERG MKTS INC CL I FMKIX NTF Worldwide Bond 0.95 None 1 BondFidelity Funds FIDELITY ADVISOR EMERGING ASIA CL I FERIX NTF Pacific Stock 1.16 None 1 EquityFidelity Funds FIDELITY ADVISOR EMERGING MKTS CL I FIMKX NTF Growth 1.23 None 1 EquityFidelity Funds FIDELITY ADVISOR EQUITY GROWTH CL I EQPGX NTF Growth 0.84 None 1 EquityFidelity Funds FIDELITY ADVISOR EQUITY INCOME CL I EQPIX NTF Equity-Income 0.78 None 1 EquityFidelity Funds FIDELITY ADVISOR EQUITY VALUE CL I FAIVX NTF Growth 1 None 1 EquityFidelity Funds FIDELITY ADVISOR EUROPE CAP APP CL I FIEAX NTF Europe Stock 1.21 None 1 EquityFidelity Funds FIDELITY ADVISOR FIFTY CL I FFYIX NTF Growth 0.97 None 1 EquityFidelity Funds FIDELITY ADVISOR FINANCIAL SVCS CL I FFSIX NTF Specialty - Financial 1.03 None 1 EquityFidelity Funds FIDELITY ADVISOR FL RATE HIGH INC CL I FFRIX NTF Corporate Bond - General 0.77 None 1 BondFidelity Funds FIDELITY ADVISOR FOCUS ENERGY CL I FANIX NTF Specialty - Natural Resources 0.94 None 1 EquityFidelity Funds FIDELITY ADVISOR FOCUS INDSTRLS CL I FCLIX NTF Specialty - Unaligned 0.95 None 1 EquityFidelity Funds FIDELITY ADVISOR FOCUS UTILITIES CL I FUGIX NTF Specialty - Utility 1 None 1 EquityFidelity Funds FIDELITY ADVISOR FREEDOM 2005 CL I FFIVX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY ADVISOR FREEDOM 2010 CL I FCIFX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY ADVISOR FREEDOM 2015 CL I FFVIX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY ADVISOR FREEDOM 2020 CL I FDIFX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY ADVISOR FREEDOM 2025 CL I FITWX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY ADVISOR FREEDOM 2030 CL I FEFIX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY ADVISOR FREEDOM 2035 CL I FITHX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY ADVISOR FREEDOM 2040 CL I FIFFX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY ADVISOR FREEDOM INCOME CL I FIAFX NTF Income 0 None 1 EquityFidelity Funds FIDELITY ADVISOR GLOBAL BAL FND CL I FGLIX NTF Multi-Asset Global 1.1 None 1 EquityFidelity Funds FIDELITY ADVISOR GLOBAL CAP APP CL I FEUIX NTF World Stock 1.18 None 1 EquityFidelity Funds FIDELITY ADVISOR GOLD CL I FGDIX NTF Specialty - Precious Metals 0.86 None 1 EquityFidelity Funds FIDELITY ADVISOR GROWTH & INCOME CL I FGIOX NTF Growth and Income 0.77 None 1 EquityFidelity Funds FIDELITY ADVISOR GROWTH OPPTIES CL I FAGCX NTF Growth 0.46 None 1 EquityFidelity Funds FIDELITY ADVISOR HEALTH CARE CL I FHCIX NTF Specialty - Health 0.98 None 1 EquityFidelity Funds FIDELITY ADVISOR HIGH INCOME ADV CL I FAHCX NTF Corporate Bond - High Yield 0.81 None 1 BondFidelity Funds FIDELITY ADVISOR HIGH INCOME CL I FHNIX NTF Income 0.85 None 1 BondFidelity Funds FIDELITY ADVISOR INFLATN PROTECT BD I FIPIX NTF Multisector Bond 0.5 None 1 BondFidelity Funds FIDELITY ADVISOR INTER MUNI INC CL I FZIIX NTF Municipal Bond - National 0.46 None 1 BondFidelity Funds FIDELITY ADVISOR INTERMED BOND CL I EFIPX NTF Corporate Bond - General 0.54 None 1 BondFidelity Funds FIDELITY ADVISOR INTL CAP APPREC CL I FCPIX NTF Foreign Stock 0.89 None 1 EquityFidelity Funds FIDELITY ADVISOR INT'L DISCOVERY CL I FIADX NTF Foreign Stock 1 None 1 EquityFidelity Funds FIDELITY ADVISOR INTL SMALL CAP CL I FIXIX NTF World Stock 1.37 None 1 EquityFidelity Funds FIDELITY ADVISOR INVEST GRADE BD I FGBPX NTF Income 0.53 None 1 BondFidelity Funds FIDELITY ADVISOR JAPAN CL I FAJIX NTF Pacific Stock 1.17 None 1 EquityFidelity Funds FIDELITY ADVISOR LARGE CAP CL I FALIX NTF Growth 0.83 None 1 EquityFidelity Funds FIDELITY ADVISOR LATIN AMERICA I FLNIX NTF Foreign Stock 1.19 None 1 EquityFidelity Funds FIDELITY ADVISOR LEVERGED CO STK CL I FLVIX NTF Growth 0.93 None 1 EquityFidelity Funds FIDELITY ADVISOR MATERIALS CL I FMFEX NTF Specialty - Natural Resources 0.9 None 1 EquityFidelity Funds FIDELITY ADVISOR MID CAP CL I FMCCX NTF Growth 0.47 None 1 EquityFidelity Funds FIDELITY ADVISOR MID CAP II CL I FIIMX NTF Growth 0.94 None 1 EquityFidelity Funds FIDELITY ADVISOR MORTGAGE SECS CL I FMSCX NTF Government Bond - Mortgage 0.52 None 1 BondFidelity Funds FIDELITY ADVISOR MUNI INCOME CL I FMPIX NTF Municipal Bond - National 0.55 None 1 BondFidelity Funds FIDELITY ADVISOR NEW INSIGHTS CL I FINSX NTF Growth 0.95 None 1 EquityFidelity Funds FIDELITY ADVISOR NEW YORK MUNI INC CL I FEMIX NTF Municipal Bond - Single State 0.47 None 1 BondFidelity Funds FIDELITY ADVISOR OVERSEAS CL I FAOIX NTF Foreign Stock 1.02 None 1 EquityFidelity Funds FIDELITY ADVISOR REAL ESTATE CL I FHEIX NTF Specialty - Real Estate 1 None 1 EquityFidelity Funds FIDELITY ADVISOR SHORT FIXED INC CL I FSXIX NTF Corporate Bond - General 0.54 None 1 BondFidelity Funds FIDELITY ADVISOR SHT INTER MUNI INC CL I FISHX NTF Municipal Bond - National 0.53 None 1 BondFidelity Funds FIDELITY ADVISOR SMALL CAP CL I FSCIX NTF Small Company 1.15 None 1 EquityFidelity Funds FIDELITY ADVISOR SMALL CAP GROWTH I FCIGX NTF Growth 1.04 None 1 EquityFidelity Funds FIDELITY ADVISOR SMALL CAP VALUE CL I FCVIX NTF Growth 1.15 None 1 EquityFidelity Funds FIDELITY ADVISOR STRAT GROWTH CL I FTQIX NTF Growth 1 None 1 EquityFidelity Funds FIDELITY ADVISOR STRAT REAL RETURN I FSIRX NTF Growth and Income 0.77 None 1 Bond

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Settlement Days

Security Class

Fidelity Funds FIDELITY ADVISOR STRATEGIC INC CL I FSRIX NTF Multisector Bond 0.78 None 1 BondFidelity Funds FIDELITY ADVISOR TAX MANAGED STOCK: CL I FTXIX NTF Growth 0.98 None 1 EquityFidelity Funds FIDELITY ADVISOR TECHNOLOGY CL I FATIX NTF Specialty - Technology 0.97 None 1 EquityFidelity Funds FIDELITY ADVISOR TELECOMM CL I FTUIX NTF Specialty - Communications 0.9 None 1 EquityFidelity Funds FIDELITY ADVISOR TOTAL BOND CLASS I FEPIX NTF Income 0.53 None 1 BondFidelity Funds FIDELITY ADVISOR ULTRA SHORT BOND I FUBIX NTF Income 0.54 None 1 BondFidelity Funds FIDELITY ADVISOR VALUE CL I FVIFX NTF Growth 1 None 1 EquityFidelity Funds FIDELITY ADVISOR VALUE LEADERS CL I FVLIX NTF Growth 1 None 1 EquityFidelity Funds FIDELITY ADVISOR VALUE STRAT CL I FASOX NTF Growth 0.69 None 1 EquityFidelity Funds FIDELITY ADVISOR WORLDWIDE FUND CL I FWIFX NTF World Stock 1.15 None 1 EquityFidelity Funds FIDELITY ARIZONA MUNICIPAL INCOME FSAZX NTF Municipal Bond - Single State 0.55 None 1 BondFidelity Funds FIDELITY ASSET MANAGER 20% FASIX NTF Asset Allocation 0.58 None 1 EquityFidelity Funds FIDELITY ASSET MANAGER 30% FTANX NTF Asset Allocation 0.65 None 1 EquityFidelity Funds FIDELITY ASSET MANAGER 40% FFANX NTF Asset Allocation 0.64 None 1 EquityFidelity Funds FIDELITY ASSET MANAGER 50% FASMX NTF Asset Allocation 0.77 None 1 EquityFidelity Funds FIDELITY ASSET MANAGER 60% FSANX NTF Asset Allocation 0.84 None 1 EquityFidelity Funds FIDELITY ASSET MANAGER 70% FASGX NTF Asset Allocation 0.86 None 1 EquityFidelity Funds FIDELITY ASSET MANAGER 85% FAMRX NTF Asset Allocation 0.94 None 1 EquityFidelity Funds FIDELITY BALANCED FBALX NTF Balanced 0.68 None 1 EquityFidelity Funds FIDELITY BLUE CHIP GROWTH FBGRX NTF Growth 0.76 None 1 EquityFidelity Funds FIDELITY BLUE CHIP VALUE FBCVX NTF Growth 0.77 None 1 EquityFidelity Funds FIDELITY CA SHT INT TAX-FREE BOND FUND FCSTX NTF Municipal Bond - Single State 0.31 None 1 BondFidelity Funds FIDELITY CANADA FICDX NTF Foreign Stock 1.13 None 1 EquityFidelity Funds FIDELITY CAPITAL & INCOME FAGIX NTF Corporate Bond - High Yield 0.78 None 1 BondFidelity Funds FIDELITY CAPITAL APPRECIATION FDCAX NTF Aggressive Growth 0.78 None 1 EquityFidelity Funds FIDELITY CHINA REGION FHKCX NTF Pacific Stock 1.03 None 1 EquityFidelity Funds FIDELITY CONNECTICUT MUNICIPAL INCOME FICNX NTF Municipal Bond - Single State 0.48 None 1 BondFidelity Funds FIDELITY CONTRAFUND FCNTX NTF Growth 1.01 None 1 EquityFidelity Funds FIDELITY CONVERTIBLE SECURITIES FCVSX NTF Convertible Bond 0.69 None 1 EquityFidelity Funds FIDELITY DISCIPLINED EQUITY FDEQX NTF Growth 0.83 None 1 EquityFidelity Funds FIDELITY DIVERSIFIED INTERNATIONAL FDIVX NTF Foreign Stock 0.99 None 1 EquityFidelity Funds FIDELITY DIVIDEND GROWTH FDGFX NTF Growth 0.62 None 1 EquityFidelity Funds FIDELITY DYNAMIC STRATEGIES FUND FDYSX NTF Income 0.4 None 1 EquityFidelity Funds FIDELITY EMERGING MARKETS FEMKX NTF Diversified Emerging Markets 1.1 None 1 EquityFidelity Funds FIDELITY EQUITY INCOME FEQIX NTF Equity-Income 0.71 None 1 EquityFidelity Funds FIDELITY EQUITY INCOME II FEQTX NTF Equity-Income 0.74 None 1 EquityFidelity Funds FIDELITY EUROPE FIEUX NTF Europe Stock 1.04 None 1 EquityFidelity Funds FIDELITY EUROPE CAPITAL APPRECIATION FECAX NTF Europe Stock 1.07 None 1 EquityFidelity Funds FIDELITY EXPORT & MULTINATIONAL FEXPX NTF Growth 0.91 None 1 EquityFidelity Funds FIDELITY FIFTY FFTYX NTF Growth 0.7 None 1 EquityFidelity Funds FIDELITY FLOATING RATE HIGH INCOME FFRHX NTF Corporate Bond - General 0.75 None 1 BondFidelity Funds FIDELITY FOCUSED HIGH INCOME FUND FHIFX NTF Income 0.85 None 1 BondFidelity Funds FIDELITY FOCUSED STOCK FUND FTQGX NTF Growth 0.99 None 1 EquityFidelity Funds FIDELITY FOUR-IN-ONE INDEX FFNOX NTF Asset Allocation 0.08 None 1 EquityFidelity Funds FIDELITY FREEDOM 2000 FFFBX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY FREEDOM 2005 FFFVX NTF Balanced 0 None 1 EquityFidelity Funds FIDELITY FREEDOM 2010 FFFCX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY FREEDOM 2015 FFVFX NTF Balanced 0 None 1 EquityFidelity Funds FIDELITY FREEDOM 2020 FFFDX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY FREEDOM 2025 FFTWX NTF Balanced 0 None 1 EquityFidelity Funds FIDELITY FREEDOM 2030 FFFEX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY FREEDOM 2035 FFTHX NTF Balanced 0 None 1 EquityFidelity Funds FIDELITY FREEDOM 2040 FFFFX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY FREEDOM 2045 FFFGX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY FREEDOM 2050 FFFHX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY FREEDOM INCOME FFFAX NTF Asset Allocation 0 None 1 EquityFidelity Funds FIDELITY FUND FFIDX NTF Growth 0.64 None 1 EquityFidelity Funds FIDELITY GLOBAL BALANCED FGBLX NTF Multi-Asset Global 1.21 None 1 EquityFidelity Funds FIDELITY GLOBAL COMMODITY STOCK FUND FFGCX NTF Growth 1.23 None 1 Equity

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Sales Charge

Settlement Days

Security Class

Fidelity Funds FIDELITY GNMA FUND FGMNX NTF Government Bond - Mortgage 0.45 None 1 BondFidelity Funds FIDELITY GOVERNMENT INCOME FGOVX NTF Government Bond - General 0.45 None 1 BondFidelity Funds FIDELITY GROWTH & INCOME FGRIX NTF Growth and Income 0.78 None 1 EquityFidelity Funds FIDELITY GROWTH COMPANY FDGRX NTF Growth 0.93 None 1 EquityFidelity Funds FIDELITY GROWTH DISCOVERY FUND FDSVX NTF Growth 0.89 None 1 EquityFidelity Funds FIDELITY GROWTH STRATEGIES FUND FDEGX NTF Aggressive Growth 0.85 None 1 EquityFidelity Funds FIDELITY HIGH INCOME SPHIX NTF Corporate Bond - High Yield 0.77 None 1 BondFidelity Funds FIDELITY INDEPENDENCE FDFFX NTF Growth 0.91 None 1 EquityFidelity Funds FIDELITY INFLATION PROTECTED BOND FINPX NTF Multisector Bond 0.45 None 1 BondFidelity Funds FIDELITY INTER BOND FTHRX NTF Corporate Bond - High Quality 0.45 None 1 BondFidelity Funds FIDELITY INTER MEDIATE MUNI INCOME FLTMX NTF Municipal Bond - National 0.41 None 1 BondFidelity Funds FIDELITY INTERM GOV'T INCOME FSTGX NTF Government Bond - General 0.45 None 1 BondFidelity Funds FIDELITY INTERNAT'L REAL ESTATE FUND FIREX NTF Specialty - Real Estate 1.16 None 1 EquityFidelity Funds FIDELITY INTERN'TL SMALL CAP FISMX NTF World Stock 1.44 None 1 EquityFidelity Funds FIDELITY INTL CAP APPRECIATION FUND FIVFX NTF Foreign Stock 0.72 None 1 EquityFidelity Funds FIDELITY INT'L DISCOVERY FIGRX NTF Foreign Stock 1.07 None 1 EquityFidelity Funds FIDELITY INT'L ENHANCED INDEX FUND FIENX NTF Growth 0.62 None 1 EquityFidelity Funds FIDELITY INT'L GROWTH FUND FIGFX NTF Growth 1.23 None 1 EquityFidelity Funds FIDELITY INTL SMALL CAP OPP FUND FSCOX NTF Growth 0.64 None 1 EquityFidelity Funds FIDELITY INT'L VALUE FIVLX NTF Growth 1.06 None 1 EquityFidelity Funds FIDELITY INVESTMENT GRADE FBNDX NTF Income 0.46 None 1 BondFidelity Funds FIDELITY JAPAN FJPNX NTF Pacific Stock 0.89 None 1 EquityFidelity Funds FIDELITY JAPAN SMALLER COMPANIES FJSCX NTF Pacific Stock 1.14 None 1 EquityFidelity Funds FIDELITY LARGE CAP GROWTH FSLGX NTF Growth 0.74 None 1 EquityFidelity Funds FIDELITY LARGE CAP STOCK FLCSX NTF Growth 0.83 None 1 EquityFidelity Funds FIDELITY LARGE CAP VALUE FSLVX NTF Growth 0.86 None 1 EquityFidelity Funds FIDELITY LATIN AMERICA FLATX NTF Foreign Stock 1.05 None 1 EquityFidelity Funds FIDELITY LEVERAGED COMPANY STOCK FLVCX NTF Growth 0.92 None 1 EquityFidelity Funds FIDELITY LOW PRICED STOCK FLPSX NTF Small Company 0.98 None 1 EquityFidelity Funds FIDELITY MAGELLAN FMAGX NTF Growth 0.71 None 1 EquityFidelity Funds FIDELITY MARYLAND MUNICIPAL INCOME SMDMX NTF Municipal Bond - Single State 0.54 None 1 BondFidelity Funds FIDELITY MASS MUNI INCOME FDMMX NTF Municipal Bond - Single State 0.44 None 1 BondFidelity Funds FIDELITY MEGA CAP STOCK FUND FGRTX NTF Growth and Income 0.78 None 1 EquityFidelity Funds FIDELITY MICHIGAN MUNICIPAL INCOME FMHTX NTF Municipal Bond - Single State 0.5 None 1 BondFidelity Funds FIDELITY MID CAP ENHANCED INDEX FUND FMEIX NTF Growth 0.6 None 1 EquityFidelity Funds FIDELITY MID CAP GROWTH FSMGX NTF Growth 0.67 None 1 EquityFidelity Funds FIDELITY MID CAP STOCK FMCSX NTF Growth 0.72 None 1 EquityFidelity Funds FIDELITY MID CAP VALUE FSMVX NTF Growth 0.84 None 1 EquityFidelity Funds FIDELITY MINNESOTA MUNICIPAL INCOME FIMIX NTF Municipal Bond - Single State 0.51 None 1 BondFidelity Funds FIDELITY MORTGAGE SECURITIES FMSFX NTF Government Bond - Mortgage 0.45 None 1 BondFidelity Funds FIDELITY MUNICIPAL INCOME FHIGX NTF Municipal Bond - National 0.48 None 1 BondFidelity Funds FIDELITY NASDAQ COMPOSITE INDEX FNCMX NTF Growth 0.35 None 1 EquityFidelity Funds FIDELITY NEW JERSEY MUNICIPAL INCOME FNJHX NTF Municipal Bond - Single State 0.47 None 1 BondFidelity Funds FIDELITY NEW MILLENNIUM FMILX NTF Aggressive Growth 1.03 None 1 EquityFidelity Funds FIDELITY NEW YORK MUNI INCOME FTFMX NTF Municipal Bond - Single State 0.46 None 1 BondFidelity Funds FIDELITY NORDIC FNORX NTF Europe Stock 1.12 None 1 EquityFidelity Funds FIDELITY OHIO MUNI INCOME FOHFX NTF Municipal Bond - Single State 0.5 None 1 BondFidelity Funds FIDELITY OTC PORT FOCPX NTF Growth 1.13 None 1 EquityFidelity Funds FIDELITY OVERSEAS FOSFX NTF Foreign Stock 0.98 None 1 EquityFidelity Funds FIDELITY PA MUNI INCOME FPXTX NTF Municipal Bond - Single State 0.51 None 1 BondFidelity Funds FIDELITY PACIFIC BASIN FPBFX NTF Pacific Stock 0.85 None 1 EquityFidelity Funds FIDELITY PURITAN FPURX NTF Balanced 0.67 None 1 EquityFidelity Funds FIDELITY REAL ESTATE INCOME FRIFX NTF Specialty - Real Estate 1 None 1 EquityFidelity Funds FIDELITY REAL ESTATE INVESTMENT FRESX NTF Specialty - Real Estate 0.92 None 1 EquityFidelity Funds FIDELITY SELECT AIR TRANSPORT FSAIX NTF Specialty - Unaligned 1.07 None 1 EquityFidelity Funds FIDELITY SELECT AUTOMOTIVE FSAVX NTF Specialty - Unaligned 1.15 None 1 EquityFidelity Funds FIDELITY SELECT BANKING PORTFOLIO FSRBX NTF Specialty - Financial 0.93 None 1 EquityFidelity Funds FIDELITY SELECT BIOTECHNOLOGY FBIOX NTF Specialty - Health 0.89 None 1 EquityFidelity Funds FIDELITY SELECT BROKERAGE & INVS MGT FSLBX NTF Specialty - Financial 0.89 None 1 Equity

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Security Class

Fidelity Funds FIDELITY SELECT CHEMICALS FSCHX NTF Specialty - Unaligned 0.9 None 1 EquityFidelity Funds FIDELITY SELECT CNSMER DSCRTNRY PORT FSCPX NTF Specialty - Unaligned 1.15 None 1 EquityFidelity Funds FIDELITY SELECT COMM EQUIPMENT PORT FSDCX NTF Specialty - Communications 0.94 None 1 EquityFidelity Funds FIDELITY SELECT COMPUTERS FDCPX NTF Specialty - Technology 0.91 None 1 EquityFidelity Funds FIDELITY SELECT CONSTRUCTN & HOUSING FSHOX NTF Specialty - Unaligned 1.02 None 1 EquityFidelity Funds FIDELITY SELECT CONSUMER STPLES PORT FDFAX NTF Specialty - Unaligned 0.9 None 1 EquityFidelity Funds FIDELITY SELECT DEFENSE & AEROSPACE FSDAX NTF Specialty - Unaligned 0.88 None 1 EquityFidelity Funds FIDELITY SELECT ELECTRONICS FSELX NTF Specialty - Technology 0.88 None 1 EquityFidelity Funds FIDELITY SELECT ENERGY FSENX NTF Specialty - Natural Resources 0.83 None 1 EquityFidelity Funds FIDELITY SELECT ENERGY SERVICE FSESX NTF Specialty - Natural Resources 0.82 None 1 EquityFidelity Funds FIDELITY SELECT ENVIRONMENTAL SVCS FSLEX NTF Specialty - Unaligned 1.06 None 1 EquityFidelity Funds FIDELITY SELECT FINANCIAL SVCS FIDSX NTF Specialty - Financial 0.93 None 1 EquityFidelity Funds FIDELITY SELECT GOLD FSAGX NTF Specialty - Precious Metals 0.86 None 1 EquityFidelity Funds FIDELITY SELECT HEALTH CARE FSPHX NTF Specialty - Health 0.86 None 1 EquityFidelity Funds FIDELITY SELECT HOME FINANCE FSVLX NTF Specialty - Financial 0.99 None 1 EquityFidelity Funds FIDELITY SELECT INDUSTRIAL EQUIPMENT FSCGX NTF Specialty - Unaligned 0.9 None 1 EquityFidelity Funds FIDELITY SELECT INDUSTRIALS PORT FCYIX NTF Specialty - Unaligned 0.99 None 1 EquityFidelity Funds FIDELITY SELECT INSURANCE FSPCX NTF Specialty - Financial 0.97 None 1 EquityFidelity Funds FIDELITY SELECT IT SERVICES PORTFOLIO FBSOX NTF Specialty - Unaligned 1 None 1 EquityFidelity Funds FIDELITY SELECT LEISURE FDLSX NTF Specialty - Unaligned 0.93 None 1 EquityFidelity Funds FIDELITY SELECT MATERIALS PORTFOLIO FSDPX NTF Specialty - Natural Resources 0.9 None 1 EquityFidelity Funds FIDELITY SELECT MEDICAL DELIVERY FSHCX NTF Specialty - Health 0.94 None 1 EquityFidelity Funds FIDELITY SELECT MEDICAL EQUIP&SYSTEM FSMEX NTF Specialty - Health 0.87 None 1 EquityFidelity Funds FIDELITY SELECT MULTIMEDIA FBMPX NTF Specialty - Communications 1.07 None 1 EquityFidelity Funds FIDELITY SELECT NATURAL GAS FSNGX NTF Specialty - Natural Resources 0.85 None 1 EquityFidelity Funds FIDELITY SELECT NATURAL RESOURCES FNARX NTF Specialty - Natural Resources 0.84 None 1 EquityFidelity Funds FIDELITY SELECT PHARMACEUTICAL FPHAX NTF Specialty - Health 0.99 None 1 EquityFidelity Funds FIDELITY SELECT RETAILING FSRPX NTF Specialty - Unaligned 1.06 None 1 EquityFidelity Funds FIDELITY SELECT SOFTWARE & COMPUTER FSCSX NTF Specialty - Technology 0.87 None 1 EquityFidelity Funds FIDELITY SELECT TECHNOLOGY FSPTX NTF Specialty - Technology 0.89 None 1 EquityFidelity Funds FIDELITY SELECT TELECOMM FSTCX NTF Specialty - Communications 0.96 None 1 EquityFidelity Funds FIDELITY SELECT TRANSPORT FSRFX NTF Specialty - Unaligned 1.03 None 1 EquityFidelity Funds FIDELITY SELECT UTILITIES PORTFOLIO FSUTX NTF Specialty - Utility 0.89 None 1 EquityFidelity Funds FIDELITY SELECT WIRELESS PORTFOLIOS FWRLX NTF Specialty - Communications 0.94 None 1 EquityFidelity Funds FIDELITY SERIES INV GRADE BOND FUND FSIGX NTF Income 0.45 None 1 BondFidelity Funds FIDELITY SHORT TERM BOND FSHBX NTF Corporate Bond - General 0.45 None 1 BondFidelity Funds FIDELITY SHORT-INTER MEDIATE MUNI INCOME FSTFX NTF Municipal Bond - National 0.5 None 1 BondFidelity Funds FIDELITY SMALL CAP DISCOVERY FUND FSCRX NTF Small Company 1.05 None 1 EquityFidelity Funds FIDELITY SMALL CAP ENHANCED INDEX FUND FCPEX NTF Growth 0.67 None 1 EquityFidelity Funds FIDELITY SMALL CAP GROWTH FCPGX NTF Growth 1.08 None 1 EquityFidelity Funds FIDELITY SMALL CAP INDEPENDENCE FDSCX NTF Small Company 0.75 None 1 EquityFidelity Funds FIDELITY SMALL CAP STOCK FSLCX NTF Small Company 0.95 None 1 EquityFidelity Funds FIDELITY SMALL CAP VALUE FCPVX NTF Growth 1.2 None 1 EquityFidelity Funds FIDELITY SOUTHEAST ASIA FSEAX NTF Pacific Stock 0.99 None 1 EquityFidelity Funds FIDELITY STOCK SELECTOR FDSSX NTF Growth 0.87 None 1 EquityFidelity Funds FIDELITY STRATEGIC DIVIDEND & INCOME FSDIX NTF Income 0.92 None 1 EquityFidelity Funds FIDELITY STRATEGIC INCOME FSICX NTF Multisector Bond 0.74 None 1 BondFidelity Funds FIDELITY STRATEGIC REAL RETURN FSRRX NTF Growth and Income 0.77 None 1 BondFidelity Funds FIDELITY TAX MANAGED STOCK FTXMX NTF Growth 0.91 None 1 EquityFidelity Funds FIDELITY TAX-FREE BOND FTABX NTF Municipal Bond - National 0.22 None 1 BondFidelity Funds FIDELITY TELECOM AND UTILITIES FUND FIUIX NTF Specialty - Utility 0.77 None 1 EquityFidelity Funds FIDELITY TOTAL BOND FTBFX NTF Income 0.45 None 1 BondFidelity Funds FIDELITY TOTAL INT'L EQUITY FUND FTIEX NTF Growth 1.22 None 1 EquityFidelity Funds FIDELITY TREND FTRNX NTF Growth 0.8 None 1 EquityFidelity Funds FIDELITY ULTRA-SHORT BOND FUSFX NTF Income 0.44 None 1 BondFidelity Funds FIDELITY US BOND INDEX FBIDX NTF Corporate Bond - General 0.32 None 1 BondFidelity Funds FIDELITY VALUE FDVLX NTF Growth 0.64 None 1 EquityFidelity Funds FIDELITY VALUE DISCOVERY FVDFX NTF Growth and Income 0.92 None 1 EquityFidelity Funds FIDELITY VALUE STRATEGIES FSLSX NTF Growth 0.77 None 1 Equity

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Security Class

Fidelity Funds FIDELITY WORLDWIDE FWWFX NTF World Stock 1.24 None 1 EquityFidelity Funds SPARTAN 500 INDEX FD ADVANTAGE CLASS FUSVX NTF Growth and Income 0.07 None 1 EquityFidelity Funds SPARTAN 500 INDEX FD INVESTOR CLASS FUSEX NTF Growth and Income 0.1 None 1 EquityFidelity Funds SPARTAN EXT MKT INDX FID ADVANTAGE CLASS FSEVX NTF Growth and Income 0.07 None 1 EquityFidelity Funds SPARTAN INTL INDEX FID ADVANTAGE CLASS FSIVX NTF Foreign Stock 0.07 None 1 EquityFidelity Funds SPARTAN INTL INDEX INVESTOR CLASS FSIIX NTF Foreign Stock 0.1 None 1 EquityFidelity Funds SPARTAN S/T TREAS BD FID ADVANTAGE CLASS FSBAX NTF Growth 0.1 None 1 BondFidelity Funds SPARTAN S/T TREAS BD INVESTOR CLASS FSBIX NTF Growth 0.2 None 1 BondFidelity Funds SPRTN EXT MKT INDEX INVESTOR CLASS FSEMX NTF Growth and Income 0.1 None 1 EquityFidelity Funds SPRTN TOTAL MKT INDX FID ADVANTAGE CLASS FSTVX NTF Growth and Income 0.07 None 1 EquityFidelity Funds SPRTN TOTAL MKT INDX INVESTOR CLASS FSTMX NTF Growth and Income 0.1 None 1 EquityFidelity Funds SPTN INTER TREAS BND FID ADVANTAGE CLASS FIBAX NTF Income 0.1 None 1 BondFidelity Funds SPTN INTER TREAS BND INVESTOR CLASS FIBIX NTF Income 0.2 None 1 BondFidelity Funds SPTN LN-TM TREAS BND FID ADVANTAGE CLASS FLBAX NTF Government Bond - Treasury 0.1 None 1 BondFidelity Funds SPTN LN-TM TREAS BND INVESTOR CLASS FLBIX NTF Government Bond - Treasury 0.2 None 1 BondFirst Focus Funds FIRST FOCUS BALANCED FD INSTL FOBAX NTF Balanced 1.35 None 1 EquityFirst Focus Funds FIRST FOCUS GROWTH OPPORTUNITIES INSTL FOGRX NTF Growth 1.27 None 1 EquityFirst Focus Funds FIRST FOCUS INCOME INSTL CL FOINX NTF Corporate Bond - General 0.79 None 1 EquityFirst Focus Funds FIRST FOCUS INTL FD INSTL CL FFITX NTF Foreign Stock 1.52 None 1 EquityFirst Focus Funds FIRST FOCUS LARGE CAP GROWTH INSTL FOLCX NTF Growth 0.99 None 1 EquityFirst Focus Funds FIRST FOCUS SHORT/ INTERM BD INSTL CL FOSIX NTF Corporate Bond - General 0.9 None 1 EquityFirst Focus Funds FIRST FOCUS SMALL CO FD INSTL CL FOSCX NTF Small Company 1.43 None 1 EquityFirst Focus Funds FIST FOCUS EQUITY FD INSTL CL FOEQX NTF Growth 1.24 None 1 EquityFirsthand Funds FIRSTHAND ALTERNATIVE ENERGY ALTEX NTF Growth 2.11 None 1 EquityFirsthand Funds FIRSTHAND E-COMMERCE TEFQX NTF Specialty - Technology 1.95 None 1 EquityFirsthand Funds FIRSTHAND TECHNOLOGY LEADERS TLFQX NTF Specialty - Technology 1.95 None 1 EquityFirsthand Funds FIRSTHAND TECHNOLOGY VALUE TVFQX NTF Specialty - Technology 1.94 None 1 EquityFlex-funds THE DEFENSIVE BALANCED FUND FLDFX NTF Growth 1.55 None 1 EquityFlex-funds THE STRATEGIC GROWTH FUND FLFGX NTF Growth 1.59 None 1 EquityFMI Funds FMI COMMON STOCK FMIMX NTF Growth 1.26 None 1 EquityFMI Funds FMI FOCUS FUND FMIOX NTF Growth 1.4 None 1 EquityFMI Funds FMI LARGE CAP FUND FMIHX NTF Growth 0.97 None 1 EquityFMI Funds FMI PROVIDENT TRUST STRATEGY FUND FMIRX NTF Growth 1 None 1 EquityForester Funds FORESTER DISCOVERY FUND INTLX NTF Foreign Stock 0 None 1 EquityForester Funds FORESTER VALUE FUND FVALX NTF Growth 1.35 None 1 EquityFort Pitt Funds FORT PITT CAPITAL TOTAL RETURN FUND FPCGX NTF Growth and Income 1.24 None 1 EquityForward Funds FORWARD EMERGING MKTS INV CL PGERX NTF Diversified Emerging Markets 1.72 None 1 EquityForward Funds FORWARD INTERNATIONL EQUITY FUND FFINX NTF Foreign Stock 1.3 None 1 EquityForward Funds FORWARD INTERNAT'L FIXED INCOME INVSTR FFXRX NTF Growth and Income 1.16 None 1 BondForward Funds FORWARD INTERNTL SMALL CO INVESTOR CL PISRX NTF Foreign Stock 1.58 None 1 EquityForward Funds FORWARD LONG/SHORT CREDIT ANALYSIS INVT FLSRX NTF Growth and Income 1.84 None 1 BondForward Funds FORWARD REAL ESTATE FD INVESTOR CL FFREX NTF Specialty - Real Estate 1.47 None 1 EquityForward Funds FORWARD SMALL CAP EQUITY INV CL FFSCX NTF Small Company 1.65 None 1 EquityForward Funds FORWARD TACTICAL GROWTH INVESTOR FFTGX NTF Growth -999 None 1 EquityFrank Russell Funds RUSSELL GLOBAL EQUITY CLASS C RGECX NTF Growth 2.26 None 1 EquityFrank Russell Funds RUSSELL GLOBAL EQUITY CLASS E RGEEX NTF Growth 1.51 None 1 EquityFrank Russell Funds RUSSELL GLOBAL EQUITY CLASS S RGESX NTF Growth 1.26 None 1 EquityFrank Russell Funds RUSSELL INTERNATL DEVELOPED MRKS CL C RLNCX NTF Foreign Stock 2 None 1 EquityFrank Russell Funds RUSSELL INTERNATL DEVELOPED MRKT CL S RINTX NTF Foreign Stock 1 None 1 EquityFrank Russell Funds RUSSELL LIFEPOINT MODERT STRAT FD R1 RMLRX NTF Balanced 0.26 None 1 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2010 STRATGY FD R1 RJLRX NTF Growth and Income 0 None 1 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2017 ACCEL DIST S RADSX NTF Asset Allocation 0.26 None 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2017 RET DIST CL S RRDSX NTF Asset Allocation 0.19 None 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2020 STRATGY FD R1 RLLRX NTF Growth and Income 0 None 1 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2027 EXTENDED DIST S RESIX NTF Asset Allocation 0.25 None 3 EquityFrank Russell Funds RUSSELL U.S. CORE EQUITY FUND CL C REQSX NTF Growth and Income 1.81 None 1 EquityFrank Russell Funds RUSSELL U.S. CORE EQUITY FUND CL S RLISX NTF Growth and Income 0.82 None 1 EquityFrank Russell Funds RUSSELL U.S. QUANTITATIVE EQ CL C REQCX NTF Growth and Income 2.06 None 1 EquityFrank Russell Funds RUSSELL U.S. QUANTITATIVE EQ S REQTX NTF Growth and Income 1.06 None 1 Equity

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Security Class

Frank Russell Funds RUSSELL U.S. SMALL & MID CAP FUND CL C RLECX NTF Small Company 1.98 None 1 EquityFrank Russell Funds RUSSELL U.S. SMALL & MID CAP FUND CL S RLESX NTF Small Company 0.98 None 1 EquityFrontegra Funds FRONTEGRA COLUMBUS CORE PLUS FUND CL Y FRTYX NTF Corporate Bond - General -999 None 1 BondFrontegra Funds FRONTEGRA NETOLS SMALL CAP VALUE CL Y FNSYX NTF Growth 1.5 None 1 EquityFund*X Upgrader Funds FUND X TACTICAL UPGRADER FUND TACTX NTF Growth 1.25 None 1 EquityFund*X Upgrader Funds FUND*X UPGRADER FUND FUNDX NTF Growth 1.2 None 1 EquityFund*X Upgrader Funds FUNDX AGGRESSIVE UPGRADER FUND HOTFX NTF Growth 1.3 None 1 EquityFund*X Upgrader Funds FUNDX CONSERVATIVE UPGRADER FUND RELAX NTF Growth and Income 1.32 None 1 EquityFund*X Upgrader Funds FUNDX ETF AGGRESSIVE UPGRADER FD UNBOX NTF Aggressive Growth 1.46 None 1 EquityFund*X Upgrader Funds FUNDX ETF UPGRADER FUND REMIX NTF Aggressive Growth 1.5 None 1 EquityFund*X Upgrader Funds FUNDX FLEXIBLE INCOME FUND INCMX NTF Growth and Income 0.97 None 1 BondFund*X Upgrader Funds FUNDX TACTICAL TOTAL RETURN FUND TOTLX NTF Growth 1.5 None 1 EquityGabelli Westwood Funds COMSTOCK CAPITAL VALUE FUND CLASS AAA COMVX NTF Multi-Asset Global 2.22 None 1 EquityGabelli Westwood Funds GABELLI ASSET FUND GABAX NTF Growth 1.38 None 1 EquityGabelli Westwood Funds GABELLI BLUE CHIP VALUE GABBX NTF Growth 2 None 1 EquityGabelli Westwood Funds GABELLI EQUITY INCOME FUND GABEX NTF Equity-Income 1.5 None 1 EquityGabelli Westwood Funds GABELLI SMALL CAP GROWTH GABSX NTF Small Company 1.48 None 1 EquityGabelli Westwood Funds GABELLI SRI FUND AAA SRIGX NTF Growth 2.01 None 1 EquityGabelli Westwood Funds GABELLI UTILITIES GABUX NTF Specialty - Utility 1.43 None 1 EquityGabelli Westwood Funds GABELLI WOODLAND SMALL CAP VALUE AAA GWSVX NTF Small Company 2 None 1 EquityGabelli Westwood Funds GAMCO GLOBAL CONVERTIBLE SECS GAGCX NTF Convertible Bond 2.02 None 1 EquityGabelli Westwood Funds GAMCO GLOBAL GROWTH FUND GICPX NTF World Stock 1.8 None 1 EquityGabelli Westwood Funds GAMCO GLOBAL OPPORTUNITY FUND GABOX NTF World Stock 2.01 None 1 EquityGabelli Westwood Funds GAMCO GLOBAL TELECOMMUNICATIONS GABTX NTF Specialty - Communications 1.57 None 1 EquityGabelli Westwood Funds GAMCO GOLD FUND GOLDX NTF Specialty - Precious Metals 1.43 None 1 EquityGabelli Westwood Funds GAMCO GROWTH FUND GABGX NTF Growth 1.4 None 1 EquityGabelli Westwood Funds GAMCO INTERNATIONAL GROWTH FUND GIGRX NTF Foreign Stock 2 None 1 EquityGabelli Westwood Funds GAMCO MATHERS FUND MATRX NTF Asset Allocation 2.13 None 1 EquityGabelli Westwood Funds GAMCO WESTWOOD BALANCED FD CL AAA WEBAX NTF Balanced 1.25 None 1 EquityGabelli Westwood Funds GAMCO WESTWOOD EQUITY FD AAA WESWX NTF Growth 1.57 None 1 EquityGabelli Westwood Funds GAMCO WESTWOOD INCOME FD CL AAA WESRX NTF Growth and Income 1.5 None 1 EquityGabelli Westwood Funds GAMCO WESTWOOD INTERMEDIATE BD AAA WEIBX NTF Multisector Bond 1 None 1 BondGabelli Westwood Funds GAMCO WESTWOOD MIGHTY MITES FD AAA WEMMX NTF Small Company 1.57 None 1 EquityGabelli Westwood Funds GAMCO WESTWOOD SMALL CAP EQUITY FD AAA WESCX NTF Small Company 1.5 None 1 EquityGardner Lewis Chesapeake Funds CHESAPEAKE CORE GROWTH FUND CHCGX NTF Growth 1.32 None 3 EquityGardner Lewis Chesapeake Funds CHESAPEAKE GROWTH FD INVESTOR CLASS CHEAX NTF Growth 2.49 None 3 EquityGE Funds GE INTERNATIONAL EQUITY SERVICE CL GIESX NTF Foreign Stock 0.8 None 3 EquityGE Funds GE PREMIER GRWTH EQ FD SERVICE CL GEPSX NTF Growth 0.64 None 3 EquityGE Funds GE SMALL CAP EQUITY FD SERVICE CL GSQSX NTF Small Company 1.16 None 3 EquityGE Funds GE STRATEGIC INVT FD SCVS CL SH GSRVX NTF Income 0.56 None 3 EquityGE Funds GE US EQUITY FD SERVICE CL GUSSX NTF Growth 0.62 None 3 EquityGE Funds GE VALUE EQUITY SERVICE CL GEVSX NTF Growth 0.67 None 3 EquityGeneva Advisors Funds GENEVA ADVISORS ALL CAP GROWTH CLASS R GNVRX NTF Growth 1.5 None 1 EquityGlenmede Funds GLENMEDE STRATEGIC EQUITY GTCEX NTF Growth 0.88 None 1 EquityGoldman Sachs Funds GOLDMAN SACHS CAPITAL SERVICE CL GSPSX NTF Growth 1.35 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS CONCTR INTERNTL EQUITY SVC GSISX NTF Foreign Stock 1.64 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS CORE FIXED INCOME SVC SHS GSCSX NTF Corporate Bond - General 0.96 None 3 BondGoldman Sachs Funds GOLDMAN SACHS EQUITY GRTH STRGY FD CL SVC GAPSX NTF Aggressive Growth 0.69 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS GRWTH INC FD SVCS CL GSGSX NTF Growth and Income 1.28 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS GRWTH INCOME PRTFLO CL SVC GOISX NTF Growth and Income 0.69 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS GRWTH OPPORT FD CL SVC GGOSX NTF Growth 1.55 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS GVMT INCME FD CL SVC GSOSX NTF Government Bond - General 1.08 None 3 BondGoldman Sachs Funds GOLDMAN SACHS HIGH YIELD SVS SHRS GSHSX NTF Corporate Bond - High Yield 1.23 None 3 BondGoldman Sachs Funds GOLDMAN SACHS MID CAP VAL FD CL SVC GSMSX NTF Growth 1.29 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS REAL ESTATE SEC FD CL SVC GRESX NTF Specialty - Real Estate 1.54 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS SHORT DURATION GOV'T SCVS GSDSX NTF Government Bond - General 1.02 None 3 BondGoldman Sachs Funds GOLDMAN SACHS SMALL CAP VALUE SVCS CL GSSSX NTF Small Company 1.6 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT TAX-MANAGED EQ SVCS GCTSX NTF Growth 1.19 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT US EQUITY FD CL SVC GSESX NTF Growth and Income 1.05 None 3 Equity

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Goldman Sachs Funds GOLDMAN SACHS STRUCTURED INTL SVC GCISX NTF Foreign Stock 1.35 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS ULTRA SHT DURATN GOV SV SH GSASX NTF Government Bond - ARM 0.99 None 3 BondGreen Century Funds GREEN CENTURY BALANCED GCBLX NTF Balanced 1.38 None 1 EquityGreen Century Funds GREEN CENTURY EQUITY GCEQX NTF Growth and Income 0.95 None 1 EquityGreenspring Fund GREENSPRING FUND GRSPX NTF Growth and Income 1.06 None 1 EquityGRT Funds GRT VALUE ADVISOR CL GRTVX NTF Growth 1.3 None 1 EquityGuinness Atkinson Funds GUINNESS ATKINSON ALTERNATIVE ENERGY GAAEX NTF Growth 1.69 None 1 EquityGuinness Atkinson Funds GUINNESS ATKINSON ASIA FOCUS IASMX NTF Pacific Stock 1.75 None 1 EquityGuinness Atkinson Funds GUINNESS ATKINSON ASIA PACIFIC DIV GAADX NTF Growth and Income 2.1 None 1 EquityGuinness Atkinson Funds GUINNESS ATKINSON CHINA & HONG KONG ICHKX NTF Pacific Stock 1.52 None 1 EquityGuinness Atkinson Funds GUINNESS ATKINSON GLOBAL INNOVATORS IWIRX NTF Specialty - Technology 1.4 None 1 EquityHansberger Funds HANSBERGER INTERNTL CORE - ADVISOR HICCX NTF Growth 1.29 None 1 EquityHansberger Funds HANSBERGER INTNATL GROWTH - ADVISOR HIGGX NTF Growth and Income 1.04 None 1 EquityHansberger Funds HANSBERGER INTNATL VALUE - ADVISOR HIVVX NTF Growth 1.15 None 1 EquityHarbor Funds HARBOR CAPITAL APPRECIATION INV CL HCAIX NTF Growth 1.06 None 1 EquityHarbor Funds HARBOR GLOBAL GROWTH INVESTOR SHARE CL HGGIX NTF Growth 1.37 None 1 EquityHarbor Funds HARBOR GLOBAL VALUE FD INVESTOR CL HIGVX NTF Multi-Asset Global 1.37 None 1 EquityHarbor Funds HARBOR HIGH YIELD BOND INVESTOR FD HYFIX NTF Corporate Bond - High Yield 1.12 None 1 BondHarbor Funds HARBOR INTERNATIONAL GROWTH INV CLASS HIIGX NTF Foreign Stock 1.27 None 1 EquityHarbor Funds HARBOR INTERNATIONAL INVESTOR SHARES HIINX NTF Foreign Stock 1.2 None 1 EquityHarbor Funds HARBOR LARGE CAP VALUE INV CLASS HILVX NTF Growth and Income 1.07 None 1 EquityHarbor Funds HARBOR MID CAP GROWTH INV CLASS HIMGX NTF Growth 1.26 None 1 EquityHarbor Funds HARBOR MID CAP VALUE INVESTOR CLASS HIMVX NTF Growth 1.35 None 1 EquityHarbor Funds HARBOR SM CAP GROWTH FUND INV CLASS HISGX NTF Small Company 1.25 None 1 EquityHarbor Funds HARBOR SMALL CAP VALUE INV CLASS HISVX NTF Small Company 1.24 None 1 EquityHarbor Funds HARBOR SMALL COMPANY VALUE - INVESTOR CL HISMX NTF Growth 1.32 None 1 EquityHarding Loevner Funds HARDING LOEVNER EMERGING MKT PORT HLEMX NTF Diversified Emerging Markets 1.64 None 1 EquityHaverford Funds HAVERFORD QUALITY GRWTH STOCK INSTL CL HAVGX NTF Growth 1 None 1 EquityHeartland Funds HEARTLAND SELECT VALUE HRSVX NTF Growth 1.27 None 1 EquityHeartland Funds HEARTLAND VALUE HRTVX NTF Small Company 1.18 None 1 EquityHeartland Funds HEARTLAND VALUE PLUS HRVIX NTF Equity-Income 1.21 None 1 EquityHennessy Funds HENNESSY BALANCED HBFBX NTF Balanced 1.73 None 1 EquityHennessy Funds HENNESSY CORNERSTONE GROWTH HFCGX NTF Growth 1.36 None 1 EquityHennessy Funds HENNESSY CORNERSTONE GROWTH FD SERIES II HENLX NTF Growth 1.7 None 1 EquityHennessy Funds HENNESSY CORNERSTONE LARGE GRWTH ORIGINAL HFLGX NTF Growth 1.26 None 1 EquityHennessy Funds HENNESSY CORNERSTONE VALUE HFCVX NTF Equity-Income 1.27 None 1 EquityHennessy Funds HENNESSY FOCUS 30 FUND HFTFX NTF Growth 1.39 None 1 EquityHennessy Funds HENNESSY SELECT LARGE VALUE ORIGINAL HSVFX NTF Growth and Income 1.3 None 1 EquityHennessy Funds HENNESSY SELECT SPARX JAPAN ORIGINAL SPXJX NTF Growth 1.24 None 1 EquityHennessy Funds HENNESSY SELECT SPARX JAPAN SM CO SPJSX NTF Growth 1.6 None 1 EquityHennessy Funds HENNESSY TOTAL RETURN HDOGX NTF Balanced 1.27 None 1 EquityHenssler Funds HENSSLER EQUITY HEQFX NTF Growth 1.29 None 1 EquityHodges Funds HODGES BLUE CHIP 25 FUND - RETAIL HDPBX NTF Growth -999 None 3 EquityHodges Funds HODGES EQUITY INCOME FUND - RETAIL HDPEX NTF Income -999 None 3 EquityHodges Funds HODGES FUND HDPMX NTF Growth 1.37 None 1 EquityHodges Funds HODGES PURE CONTRARIAN - RETAIL HDPCX NTF Growth -999 None 3 EquityHodges Funds HODGES SMALL CAP FUND HDPSX NTF Growth 1.4 None 1 EquityICON Funds ICON ASIA REGION ICARX NTF Pacific Stock 1.54 None 1 EquityICON Funds ICON BOND CLASS I IOBIX NTF Income 1 None 1 BondICON Funds ICON CONSUMER DISCRETIONARY ICCCX NTF Specialty - Unaligned 1.63 None 1 EquityICON Funds ICON CORE EQUITY CLASS I ICNIX NTF Growth and Income 1.37 None 1 EquityICON Funds ICON ENERGY ICENX NTF Specialty - Natural Resources 1.24 None 1 EquityICON Funds ICON EQUITY INCOME CLASS I IOEIX NTF Growth and Income 1.4 None 1 EquityICON Funds ICON EUROPE FUND ICSEX NTF Europe Stock 1.57 None 1 EquityICON Funds ICON FINANCIAL FUND ICFSX NTF Specialty - Financial 1.42 None 1 EquityICON Funds ICON HEALTHCARE ICHCX NTF Specialty - Health 1.37 None 1 EquityICON Funds ICON INCOME OPPORTY CL I IOCIX NTF Growth 1.44 None 1 EquityICON Funds ICON INFORMATION TECHNOLOGY ICTEX NTF Specialty - Technology 1.38 None 1 EquityICON Funds ICON INTERNATIONAL EQUITY CL I IIQIX NTF Foreign Stock 1.73 None 1 Equity

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ICON Funds ICON INTERNATIONAL EQUITY FUND CL Z ICNEX NTF Foreign Stock 1.25 None 1 EquityICON Funds ICON LEISURE AND CONSUMER STAPLES ICLEX NTF Specialty - Unaligned 1.58 None 1 EquityICON Funds ICON LONG SHORT CLASS I IOLIX NTF Growth 1.97 None 1 EquityICON Funds ICON MATERIALS ICBMX NTF Specialty - Unaligned 1.4 None 1 EquityICON Funds ICON TELECOMM AND UTILITIES ICTUX NTF Specialty - Communications 1.7 None 1 EquityICON Funds ICON TRANSPORTATION INDUSTRIALS ICTRX NTF Specialty - Unaligned 1.37 None 1 EquityIDEX Funds TRANSAMERICA BALANCE FD CLASS P TABPX NTF Balanced -999 None 3 EquityIDEX Funds TRANSAMERICA DIVERS EQUITY CL P TADPX NTF Growth 1.15 None 3 EquityIDEX Funds TRANSAMERICA EQUITY CLASS P TAEPX NTF Growth -999 None 3 EquityIDEX Funds TRANSAMERICA FOCUS CL P TAFPX NTF Aggressive Growth 1.45 None 3 EquityIDEX Funds TRANSAMERICA GROWTH OPPT FD CL P TGOPX NTF Growth -999 None 3 EquityIDEX Funds TRANSAMERICA HIGH YIELD BOND CLASS P THYPX NTF Corporate Bond - High Yield -999 None 3 BondIMS Funds IMS CAPITAL VALUE IMSCX NTF Growth 1.67 None 1 EquityIMS Funds IMS DIVIDEND GROWTH FUND IMSAX NTF Growth 2.28 None 1 EquityIMS Funds IMS STRATEGIC INCOME FUND IMSIX NTF Income 1.83 None 1 EquityIncline Funds INCLINE CAPITAL LONG /SHORT FUND ILSCX NTF Growth -999 None 1 EquityIndex IQ Funds IQ ALPHA HEDGE STRATEGY INSTL IQHIX NTF Growth 1.15 None 3 EquityIndex IQ Funds IQ ALPHA HEDGE STRATEGY INVESTOR IQHOX NTF Growth 1.4 None 3 EquityIndustry Leaders Funds INDUSTRY LEADERS FUND CL I ILFIX NTF Growth 0.83 None 1 EquityIntrepid Funds INTREPID ALL CAP FUND ICMCX NTF Growth 1.95 None 1 EquityIntrepid Funds INTREPID CAPITAL FUND ICMBX NTF Growth and Income 1.8 None 1 EquityIntrepid Funds INTREPID INCOME FUND ICMYX NTF Growth and Income 1.25 None 1 EquityIntrepid Funds INTREPID SMALL CAP FUND ICMAX NTF Growth 1.57 None 1 EquityINVESCO AIM Family of Funds AIM BASIC BALANCED INVESTOR CL BBLTX NTF Balanced 1.2 None 3 EquityINVESCO AIM Family of Funds AIM CAPITAL DEVELOPMENT INVESTOR ACDIX NTF Growth 1.44 None 3 EquityINVESCO AIM Family of Funds AIM DIVERSIFIED DIVIDEND INVESTOR CL LCEIX NTF Growth and Income 1.01 None 3 EquityINVESCO AIM Family of Funds AIM DYNAMICS INV CLASS FIDYX NTF Aggressive Growth 1.21 None 3 EquityINVESCO AIM Family of Funds AIM ENERGY INVESTOR CLASS FSTEX NTF Specialty - Natural Resources 1.16 None 3 EquityINVESCO AIM Family of Funds AIM EUROPEAN GROWTH INVESTORS EGINX NTF Europe Stock 1.64 None 3 EquityINVESCO AIM Family of Funds AIM FINANCIAL SERVICES INV CLASS FSFSX NTF Specialty - Financial 1.64 None 3 EquityINVESCO AIM Family of Funds AIM GLOBAL HEALTH CARE INVESTOR CL GTHIX NTF Specialty - Health 1.31 None 3 EquityINVESCO AIM Family of Funds AIM GOLD & PRECIOUS METALS INV CLASS FGLDX NTF Specialty - Precious Metals 1.46 None 3 EquityINVESCO AIM Family of Funds AIM HIGH YIELD INVESTOR CLASS HYINX NTF Corporate Bond - High Yield 1.11 None 3 BondINVESCO AIM Family of Funds AIM INCOME INV CLASS AIIVX NTF Corporate Bond - General 1.18 None 3 BondINVESCO AIM Family of Funds AIM INTERNATIONAL CORE EQUITY INV CL IIBCX NTF Foreign Stock 1.62 None 3 EquityINVESCO AIM Family of Funds AIM INTERNTL CORE EQUITY INSTL CL IBVIX NTF Foreign Stock 0.94 None 1 EquityINVESCO AIM Family of Funds AIM LARGE CAP BASIC VALUE INV CLASS LCINX NTF Growth 1.32 None 3 EquityINVESCO AIM Family of Funds AIM LARGE CAP GROWTH INV CLASS LCGIX NTF Growth 1.3 None 3 EquityINVESCO AIM Family of Funds AIM LEISURE INVESTOR CLASS FLISX NTF Specialty - Unaligned 1.36 None 1 EquityINVESCO AIM Family of Funds AIM MUNICIPAL BOND INVESTOR AMBIX NTF Municipal Bond - National 0.64 None 1 BondINVESCO AIM Family of Funds AIM REAL ESTATE INVESTOR CLASS REINX NTF Specialty - Real Estate 1.43 None 3 EquityINVESCO AIM Family of Funds AIM SMALL CAP GROWTH INVESTOR SHS GTSIX NTF Small Company 1.28 None 3 EquityINVESCO AIM Family of Funds AIM STRUCTURED CORE FD INVT CL SHARES SCNUX NTF Growth 0.66 None 3 EquityINVESCO AIM Family of Funds AIM TECHNOLOGY INV CLASS FTCHX NTF Specialty - Technology 1.53 None 3 EquityINVESCO AIM Family of Funds AIM US GOV'T INVT CLASS AGIVX NTF Government Bond - General 0.98 None 1 BondINVESCO AIM Family of Funds AIM UTILITIES INVESTOR CLASS FSTUX NTF Specialty - Utility 1.48 None 3 EquityIvy Funds IVY ASSET STRATEGY CLASS R IASRX NTF Asset Allocation 1.99 None 3 EquityIvy Funds IVY LIMITED TERM BD FUND CLASS Y WLTYX NTF Corporate Bond - General 0.86 None 3 BondJ.P. Morgan Funds JPMORGAN HIGHBDG STAT MK NEU SEL CL HSKSX NTF Income 1.7 None 3 EquityJ.P. Morgan Funds JPMORGAN MID-CAP VALUE FUND SELECT CL JMVSX NTF Growth 1 None 1 EquityJ.P. Morgan Funds JPMORGAN TAX AWARE REAL RTRN SELECT CL TXRSX NTF Municipal Bond - National 0.64 None 1 BondJ.P. Morgan Funds JPMORGAN US LG CAP CORE PLUS SELECT SHS JLPSX NTF Growth 1.09 None 3 EquityJacob Internet Fund JACOB INTERNET JAMFX NTF Specialty - Technology 3.64 None 1 EquityJacob Internet Fund JACOB SMALL CAP GROWTH FUND JSCGX NTF Small Company -999 None 3 EquityJames Advantage Funds JAMES ADVANTAGE EQUITY JALCX NTF Growth 1.5 None 1 EquityJames Advantage Funds JAMES ADVANTAGE SMALL CAP JASCX NTF Small Company 1.5 None 1 EquityJames Advantage Funds JAMES BALANCED: GOLDEN RAINBOW FUND GLRBX NTF Balanced 1.16 None 1 EquityJames Advantage Funds JAMES MARKET NEUTRAL JAMNX NTF Income 1.95 None 1 EquityJanus Funds INTECH RISK MANAGED CORE FUND CLASS T JRMSX NTF Growth 0.91 None 1 Equity

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Security Class

Janus Funds JANUS BALANCED FUND CLASS T JABAX NTF Balanced 0.82 None 1 EquityJanus Funds JANUS CONTRARIAN FUND CLASS T JSVAX NTF Growth 1 None 1 EquityJanus Funds JANUS ENTERPRISE FUND CLASS T SHARES JAENX NTF Growth 0.98 None 1 EquityJanus Funds JANUS FLEXIBLE BOND FUND CLASS T JAFIX NTF Multisector Bond 0.73 None 1 BondJanus Funds JANUS FORTY FUND CL T JACTX NTF Growth 0.95 None 1 EquityJanus Funds JANUS FUND CLASS T SHARES JANSX NTF Growth 0.88 None 1 EquityJanus Funds JANUS GLOBAL LIFE SCIENCES FUND CL T JAGLX NTF Specialty - Health 1.03 None 1 EquityJanus Funds JANUS GLOBAL OPPORTUNITIES CL T JGVAX NTF World Stock 1.3 None 1 EquityJanus Funds JANUS GLOBAL RESEARCH CLASS T JARFX NTF Growth and Income 1.24 None 1 EquityJanus Funds JANUS GLOBAL TECHNOLOGY CLASS T JAGTX NTF Specialty - Technology 1.05 None 1 EquityJanus Funds JANUS GROWTH AND INCOME CLASS T JAGIX NTF Growth and Income 0.89 None 1 EquityJanus Funds JANUS HIGH YIELD FUND CLASS T JAHYX NTF Corporate Bond - High Yield 0.89 None 1 BondJanus Funds JANUS ORION FUND CLASS T SHARES JORNX NTF Aggressive Growth 0.96 None 1 EquityJanus Funds JANUS OVERSEAS FUND CLASS T JAOSX NTF Foreign Stock 0.9 None 1 EquityJanus Funds JANUS PERKINS LR CAP VALUE FUND CL T JPLTX NTF Growth 4.7 None 1 EquityJanus Funds JANUS RESEARCH CORE FUND CLASS T JAEIX NTF Equity-Income 0.93 None 1 EquityJanus Funds JANUS RESEARCH FUND CLASS T JAMRX NTF Growth 1.01 None 1 EquityJanus Funds JANUS SHORT TERM BOND FUND CLASS T JASBX NTF Corporate Bond - General 0.72 None 1 BondJanus Funds JANUS TRITON FUND CLASS T SHARES JATTX NTF Growth 1.17 None 1 EquityJanus Funds JANUS TWENTY FUND CLASS T JAVLX NTF Growth 0.86 None 1 EquityJanus Funds JANUS VENTURE FUND CLASS T JAVTX NTF Small Company 0.93 None 1 EquityJanus Funds JANUS WORLDWIDE FUND CLASS T JAWWX NTF World Stock 0.76 None 1 EquityJanus Funds PERKINS MID CAP VALUE FUND CLASS T JMCVX NTF Growth 1.11 None 1 EquityJanus Funds PERKINS SMALL CAP VALUE FUND CLASS T JSCVX NTF Small Company 1.11 None 1 EquityJensen Fund JENSEN PORTFOLIO CLASS J JENSX NTF Growth 0.86 None 3 EquityJohn Hancock Funds JOHN HANCOCK DISCIPLINED VAL ADV JVLDX NTF Growth and Income 1 None 3 EquityJohn Hancock Funds JOHN HANCOCK RAINIER GROWTH FD ADV CLASS RGRDX NTF Growth 1.14 None 3 EquityKCM Marco Funds KCM MACRO TRENDS CLASS R1 KCMTX NTF Growth 1.66 None 1 EquityKinetics Funds KINETICS GLOBAL FUND WWWEX NTF Specialty - Technology 1.41 None 1 EquityKinetics Funds KINETICS MARKET OPPORTUNITIES FD KMKNX NTF Specialty - Financial 1.66 None 1 EquityKinetics Funds KINETICS MULTI - DISCIPLINARY - INVST KMDNX NTF None 3 EquityKinetics Funds KINETICS PARADIGM FUND WWNPX NTF Growth 1.66 None 1 EquityKinetics Funds KINETICS SMALL CAP OPPORTUNITIES KSCOX NTF Small Company 1.67 None 1 EquityKinetics Funds KINETICS TACTICAL PARADIGM INVESTOR CL KPANX NTF Growth -999 None 1 EquityKinetics Funds KINETICS WATER INFRA STRUCTURE INVESTOR KWINX NTF Growth and Income 1.65 None 3 EquityKinetics Funds THE INTERNET FUND WWWFX NTF Specialty - Technology 1.9 None 1 EquityKinetics Funds THE MEDICAL FUND MEDRX NTF Specialty - Health 1.41 None 1 EquityLaudus Funds LAUDUS MONDRIAN EMRG MARKETS INVST LEMIX NTF Growth 1.8 None 1 EquityLaudus Funds LAUDUS ROSENBERG INTL DISC INVT CL LIDIX NTF Growth and Income 1.65 None 1 EquityLaudus Funds LAUDUS ROSENBERG US LARGE CAP INV CLASS AXLVX NTF Growth 1.15 None 1 EquityLazard Funds LAZARD CAP ALLOC OPPT STRAT PORT OPEN LCAOX NTF Growth 1.32 None 1 EquityLazard Funds LAZARD DEVELOPING MRKTS EQ CL SHARES LDMOX NTF Diversified Emerging Markets 1.6 None 1 EquityLazard Funds LAZARD EMERGING MKTS OPEN CLASS LZOEX NTF Diversified Emerging Markets 1.53 None 1 EquityLazard Funds LAZARD HIGH YIELD PORTFOLIO OPEN CL LZHOX NTF Corporate Bond - High Yield 0.85 None 1 BondLazard Funds LAZARD INTERNATIONAL EQUITY OPEN CLASS LZIOX NTF Foreign Stock 1.28 None 1 EquityLazard Funds LAZARD INTERNATIONAL SMALL CAP OPEN CLASS LZSMX NTF Foreign Stock 1.31 None 1 EquityLazard Funds LAZARD INT'L EQUITY SELECT PORT OPEN CL LZESX NTF Foreign Stock 1.45 None 1 EquityLazard Funds LAZARD INTL STRAT EQUITY PORT OPEN CL LISOX NTF Growth 1.24 None 1 EquityLazard Funds LAZARD MID CAP OPEN CLASS LZMOX NTF Growth 1.15 None 1 EquityLazard Funds LAZARD US EQUITY VAL PORT-OPEN CL SHS LEVOX NTF Growth 1.3 None 1 EquityLazard Funds LAZARD US GL LISTED INFRASTRUCTURE OPEN GLFOX NTF Equity-Income -999 None 1 EquityLazard Funds LAZARD US SMALL MID CAP EQ PORT OPEN CL LZCOX NTF Growth 1.49 None 1 EquityLazard Funds LAZARD US STRATEGIC EQUITY PORT OPEN SHS LZUOX NTF Growth 1.35 None 1 EquityLegg Mason Funds LEGG MASON CBA AGGRESSIVE GRWTH FI LMPFX NTF Aggressive Growth 1.19 None 1 EquityLeuthold Funds LEUTHOLD ASSET ALLOCATION FD LAALX NTF Asset Allocation 1.34 None 3 EquityLeuthold Funds LEUTHOLD CORE INVESTMENT LCORX NTF Growth and Income 1.15 None 3 EquityLeuthold Funds LEUTHOLD GLOBAL CLEAN TECHN RETAIL LGCTX NTF Specialty - Technology 2.07 None 3 EquityLeuthold Funds LEUTHOLD GLOBAL FUND RETAIL CLASS SHARES GLBLX NTF Growth and Income 1.82 None 1 EquityLeuthold Funds LEUTHOLD GRIZZLY SHORT FUND GRZZX NTF Growth 3.53 None 3 Equity

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Security Class

Leuthold Funds LEUTHOLD HEDGED EQ FD RETAIL CLASS LHEQX NTF Growth 2.69 None 1 EquityLeuthold Funds LEUTHOLD SELECT INDUSTRIES LSLTX NTF Growth 1.38 None 3 EquityLeuthold Funds LEUTHOLD UNDERVALUED AND UNLOVED FD UGLYX NTF Growth and Income 1.5 None 1 EquityLoomis Sayles Funds LOOMIS SAYLES BOND RETAIL SHARES LSBRX NTF Corporate Bond - General 0.95 None 1 BondLoomis Sayles Funds LOOMIS SAYLES GLOBAL BOND RETAIL LSGLX NTF Worldwide Bond 1 None 1 BondLoomis Sayles Funds LOOMIS SAYLES SMALL CAP GRWTH RETAIL LCGRX NTF Small Company 1.25 None 1 EquityLoomis Sayles Funds LOOMIS SAYLES SMALL CAP VALUE RETAIL LSCRX NTF Small Company 1.15 None 1 EquityLou Holland Funds LOU HOLLAND GRWTH FD INVESTOR SHS LHGFX NTF Growth 1.35 None 3 EquityMadison Mosaic Funds MADISON MOSAIC BALANCED FD BHBFX NTF Balanced 1.25 None 1 EquityMadison Mosaic Funds MADISON MOSAIC CORE BOND MADBX NTF Corporate Bond - High Yield 0.7 None 1 BondMadison Mosaic Funds MADISON MOSAIC DISCIPLINED EQUITY MADEX NTF Growth 0.96 None 1 BondMadison Mosaic Funds MADISON MOSAIC GOVERNMENT FUND MADTX NTF Government Bond - General 0.69 None 1 BondMadison Mosaic Funds MADISON MOSAIC INSTL EQUITY OPTION MADOX NTF Growth 0.76 None 1 BondMadison Mosaic Funds MADISON MOSAIC INV FD MINVX NTF Growth 1 None 1 EquityMadison Mosaic Funds MADISON MOSAIC MID CAP FD GTSGX NTF Growth 1.26 None 1 EquityMadison Mosaic Funds MADISON MOSAIC TAX FREE NATIONAL FUND GTFHX NTF Municipal Bond - National 1.06 None 1 EquityMadison Mosaic Funds MADISON MOSAIC VIRGINIA TAX FREE FD GTVAX NTF Municipal Bond - Single State 1.03 None 1 BondManagers Funds GW&K MUNICIPAL BOND FUND INVESTOR GWMTX NTF Municipal Bond - National -999 None 1 EquityManagers Funds GW&K MUNICIPAL ENHANCED YLD INVT CL GWMNX NTF Growth and Income -999 None 1 EquityManagers Funds GW&K SMALL-CAP EQUITY INVESTOR GWETX NTF Small Company 1.2 None 1 EquityManagers Funds MANAGERS AMG ESSEX LARGE CAP GROWTH FD MGCAX NTF Growth 1.24 None 1 EquityManagers Funds MANAGERS BOND MGFIX NTF Corporate Bond - General 0.99 None 1 BondManagers Funds MANAGERS EMERGING MARKETS EQUITY MEMEX NTF Diversified Emerging Markets 1.77 None 1 EquityManagers Funds MANAGERS FREMONT GLOBAL FUND MMAFX NTF Growth and Income 0.92 None 1 EquityManagers Funds MANAGERS FRONTIER SM CAP GRWTH INVESTOR MSSVX NTF Small Company -999 None 1 EquityManagers Funds MANAGERS GLOBAL BOND MGGBX NTF Worldwide Bond 1.1 None 1 BondManagers Funds MANAGERS INTERMEDIAT DURATION GOVERNMENT MGIDX NTF Government Bond - Mortgage 0.89 None 1 BondManagers Funds MANAGERS INTERNATL EQUITY MGITX NTF Foreign Stock 1.48 None 1 EquityManagers Funds MANAGERS MICRO-CAP MMCFX NTF Small Company 1.53 None 1 EquityManagers Funds MANAGERS REAL ESTATE SECURITIES FUND MRESX NTF Specialty - Real Estate 1.48 None 1 EquityManagers Funds MANAGERS RENAISSANCE LR CAP GRTH INVESTOR MRLTX NTF Growth -999 None 1 EquityManagers Funds MANAGERS SHORT DURATION GOVERNMENT MGSDX NTF Government Bond - General 0.83 None 1 BondManagers Funds MANAGERS SMALL CAP FUND MSSCX NTF Small Company 1.46 None 1 EquityManagers Funds MANAGERS SPECIAL EQUITY MGSEX NTF Growth 1.48 None 1 EquityManagers Funds SKYLINE SPECIAL EQUITIES SKSEX NTF Small Company 1.32 None 3 EquityManagers Funds TIMES SQUARE MID CAP GRWTH FD PREMIER CL TMDPX NTF Growth 1.29 None 1 EquityManning & Napier Funds MANNING & NAPIER EQUITY SERIES EXEYX NTF Growth 1.05 None 1 EquityManning & Napier Funds MANNING & NAPIER PRO BLEND CONSV CL S EXDAX NTF Asset Allocation 0.9 None 1 BondManning & Napier Funds MANNING & NAPIER PRO BLEND EXTD CL S MNBAX NTF Asset Allocation 1.1 None 1 EquityManning & Napier Funds MANNING & NAPIER PRO BLEND MAX TERM CL S EXHAX NTF Growth 1.1 None 1 EquityManning & Napier Funds MANNING & NAPIER PRO BLEND MOD CL S EXBAX NTF Asset Allocation 1.1 None 1 EquityManning & Napier Funds MANNING & NAPIER SMALL CAP SERIES MNSMX NTF Small Company 1.15 None 1 EquityManning & Napier Funds MANNING & NAPIER TAX MANAGED SERIES CL A EXTAX NTF Growth 1.2 None 1 EquityManning & Napier Funds MANNING & NAPIER WORLD OPPT SER CL A EXWAX NTF Foreign Stock 1.17 None 1 EquityMarketfield Funds MARKETFIELD FUND MFLDX NTF Growth and Income 1.81 None 1 EquityMarketocracy Funds MARKETOCRACY MASTERS 100 FUND MOFQX NTF Growth 1.95 None 1 EquityMarshall Funds MARSHALL AGGREGATE BOND FUND CL Y MABYX NTF Government Bond - General 0.8 None 1 BondMarshall Funds MARSHALL CORE PLUS BOND FUND CL Y MCYBX NTF Corporate Bond - General 0.8 None 1 BondMarshall Funds MARSHALL CORPORATE INCOME FUND CL Y MCIYX NTF Corporate Bond - General 0.8 None 1 BondMarshall Funds MARSHALL EMERGING MARKETS EQ FD CL Y MEMYX NTF Diversified Emerging Markets 1.5 None 1 EquityMarshall Funds MARSHALL GOVERNMENT INCOME CL Y MRGIX NTF Government Bond - Mortgage 0.8 None 1 BondMarshall Funds MARSHALL INTERMED TAX FREE CL Y MITFX NTF Municipal Bond - National 0.55 None 1 BondMarshall Funds MARSHALL INTERNATL STOCK CL Y MRISX NTF Foreign Stock 1.69 None 1 EquityMarshall Funds MARSHALL LARGE CAP GROWTH CL Y MASTX NTF Growth 1.39 None 1 EquityMarshall Funds MARSHALL LARGE CAP VALUE FUND CL Y MREIX NTF Growth and Income 1.33 None 1 EquityMarshall Funds MARSHALL MID CAP GROWTH CL Y MRMSX NTF Growth 1.35 None 1 EquityMarshall Funds MARSHALL MID CAP VALUE CL Y MRVEX NTF Growth 1.37 None 1 EquityMarshall Funds MARSHALL SHORT INTERMEDIATE BD Y MAIBX NTF Corporate Bond - High Quality 0.8 None 1 BondMarshall Funds MARSHALL SHORT TERM INCOME CL Y MSINX NTF Corporate Bond - High Quality 0.6 None 1 Bond

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Security Class

Marshall Funds MARSHALL SMALL CAP GROWTH CL Y MRSCX NTF Small Company 1.6 None 1 EquityMarshall Funds MARSHALL ULTRA SHORT TAX-FREE INVSTR CL Y MUYSX NTF Municipal Bond - National -999 None 1 BondMarsico Funds MARSICO 21ST CENTURY FUND MXXIX NTF Growth 1.37 None 1 EquityMarsico Funds MARSICO FLEXIBLE CAPITAL FUND MFCFX NTF Growth 0.75 None 1 EquityMarsico Funds MARSICO FOCUS MFOCX NTF Growth 1.31 None 1 EquityMarsico Funds MARSICO GLOBAL FUND MGLBX NTF World Stock 1.4 None 1 EquityMarsico Funds MARSICO GROWTH FUND MGRIX NTF Growth 1.3 None 1 EquityMarsico Funds MARSICO INTERNAT'L OPPORTUNITIES MIOFX NTF Foreign Stock 1.48 None 1 EquityMasters' Select Funds MASTER'S SELECT EQUITY FUND INVESTOR MSENX NTF Growth -999 None 1 EquityMasters' Select Funds MASTER'S SELECT INTERNATIONAL INVST MNILX NTF Foreign Stock -999 None 1 EquityMatrix Advisors Funds MATRIX ADVISORS VALUE MAVFX NTF Growth and Income 0.99 None 1 EquityMatthew 25 Fund MATTHEW 25 MXXVX NTF Growth 1.25 None 1 EquityMatthews Asian Funds MATTHEWS ASIA DIVIDEND FUND MAPIX NTF Pacific Stock 1.32 None 1 EquityMatthews Asian Funds MATTHEWS ASIA PACIFIC FUND MPACX NTF Pacific Stock 1.23 None 1 EquityMatthews Asian Funds MATTHEWS ASIA SMALL COMPANIES FUND MSMLX NTF Pacific Stock 2 None 1 EquityMatthews Asian Funds MATTHEWS ASIAN GROWTH & INCOME FUND MACSX NTF Pacific Stock 1.16 None 1 EquityMatthews Asian Funds MATTHEWS ASIAN TECHNOLOGY FUND MATFX NTF Pacific Stock 1.33 None 1 EquityMatthews Asian Funds MATTHEWS CHINA DIV FUND INVESTOR CLASS MCDFX NTF Pacific Stock -999 None 1 EquityMatthews Asian Funds MATTHEWS CHINA FUND MCHFX NTF Pacific Stock 1.23 None 1 EquityMatthews Asian Funds MATTHEWS INDIA FUND MINDX NTF Pacific Stock 1.29 None 1 EquityMatthews Asian Funds MATTHEWS JAPAN FUND MJFOX NTF Pacific Stock 1.23 None 1 EquityMatthews Asian Funds MATTHEWS KOREA FUND MAKOX NTF Pacific Stock 1.27 None 1 EquityMatthews Asian Funds MATTHEWS PACIFIC TIGER FUND MAPTX NTF Pacific Stock 1.12 None 1 EquityMcKee Funds MCKEE INTL EQUITY PORT INTL MKIEX NTF Foreign Stock 1.01 None 1 EquityMerger Fund MERGER FUND MERFX NTF Growth 1.54 None 1 EquityMerk Funds MERK ABSOLUTE RETURN CURRENCY INVESTOR MABFX NTF Income -999 None 1 EquityMerk Funds MERK ASIAN CURRENCY FUND - INVESTOR MEAFX NTF Income 1.3 None 1 EquityMerk Funds MERK HARD CURRENCY FUND INVESTOR CL MERKX NTF Income 1.32 None 1 EquityMetropolitan West Funds METROPOLITAN WEST HIGH YIELD BOND CL M MWHYX NTF Corporate Bond - High Yield 0.8 None 1 BondMetropolitan West Funds METROPOLITAN WEST INTERMED BOND FUND M MWIMX NTF Worldwide Bond 0.65 None 1 BondMetropolitan West Funds METROPOLITAN WEST LOW DURATION M MWLDX NTF Corporate Bond - General 0.59 None 1 BondMetropolitan West Funds METROPOLITAN WEST STRAT INC FD CL M MWSTX NTF Corporate Bond - General 0.79 None 1 BondMetropolitan West Funds METROPOLITAN WEST TOT RETURN BOND CL M MWTRX NTF Corporate Bond - General 0.65 None 1 BondMetropolitan West Funds METROPOLITAN WEST ULTRA SHRT BD FD M MWUSX NTF Worldwide Bond 0.5 None 1 BondMetzler Payden Funds METZLER PAYDEN EURO EMERGING MKTS CL MPYMX NTF Europe Stock 1.5 None 1 EquityMidas Funds MIDAS FUND MIDSX NTF Specialty - Precious Metals 2.02 None 1 EquityMorgan Stanley Institutional Funds MORGAN STAN INSTL AC INTL ALLOC PORT P MSIBX NTF Foreign Stock 1.04 None 1 EquityMorgan Stanley Institutional Funds MORGAN STAN INSTL IN GLOB REAL EST PORT P MRLBX NTF Specialty - Real Estate 1.29 None 1 EquityMorgan Stanley Institutional Funds MORGAN STAN INSTL IN LG CAP RELAT PORT P IVABX NTF Equity-Income 0.92 None 1 EquityMorgan Stanley Institutional Funds MORGAN STAN INSTL INC EMERG MKT PORT P MMKBX NTF Diversified Emerging Markets 1.68 None 1 EquityMorgan Stanley Institutional Funds MORGAN STANLEY BALANCED PORT CL P MBAAX NTF Balanced 1.03 None 1 EquityMorgan Stanley Institutional Funds MORGAN STANLEY CORE FIXED INCOME PORT P MDIAX NTF Corporate Bond - High Quality 0.75 None 1 BondMorgan Stanley Institutional Funds MORGAN STANLEY CORE PLUS FIXED INC PRT P MFXAX NTF Corporate Bond - General 0.73 None 1 BondMorgan Stanley Institutional Funds MORGAN STANLEY EMERG MRKTS DEBT CL P IEDBX NTF Worldwide Bond 1.1 None 1 EquityMorgan Stanley Institutional Funds MORGAN STANLEY INSTL US REAL ESTATE PRT P MUSDX NTF Specialty - Real Estate 1.16 None 1 EquityMorgan Stanley Institutional Funds MORGAN STANLEY INTERNATL SM CAPP MSCPX NTF Foreign Stock 1.39 None 1 EquityMorgan Stanley Institutional Funds MORGAN STANLEY MUNI PORT CLASS H MSMHX NTF Municipal Bond - National 0.75 Waived 1 BondMorgan Stanley Institutional Funds MORGAN STANLEY MUNICIPAL PORT CL P MSMPX NTF Municipal Bond - National 0.75 None 1 EquityMotley Fool Funds MOTLEY FOOL INDEPENDENCE FD FOOLX NTF Growth and Income 1.35 None 1 EquityMTB Funds MTB SHORT DURT GOVT BOND INST CLASS I GVLDX NTF Government Bond - General 0.65 None 1 BondMTB Funds MTB SHORT TERM CORP BD FD INSTIT 1 SHS MVSTX NTF Corporate Bond - General 0.73 None 1 BondMuhlenkamp Fund MUHLENKAMP FUND MUHLX NTF Growth and Income 1.18 None 1 EquityMutuals.com Funds GENERATION WAVE GROWTH FUND GWGFX NTF Growth and Income 1.5 None 1 EquityMutuals.com Funds VICE FUND VICEX NTF Growth 1.75 None 1 EquityNavellier Funds NAVELLIER FUNDAMENTAL A PORT NFMAX NTF Growth 1.49 None 3 EquityNeedham Funds NEEDHAM AGGRESSIVE GROWTH NEAGX NTF Aggressive Growth 2.5 None 1 EquityNeedham Funds NEEDHAM GROWTH FUND NEEGX NTF Growth 2.03 None 1 EquityNeedham Funds NEEDHAM SMALL CAP GROWTH NESGX NTF Growth 2.5 None 1 EquityNeiman Funds NEIMAN LARGE CAP VALUE FUND NEIMX NTF Growth 1.75 None 1 Equity

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Settlement Days

Security Class

Neuberger Berman Funds NEUBERGER BERMAN FOCUS ADVISOR CL NBFAX NTF Growth 1.5 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN FOCUS TRUST CLASS NBFCX NTF Growth 1.24 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN GENESIS ADVISOR CL NBGAX NTF Small Company 1.38 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN GENESIS TRUST CLASS NBGEX NTF Small Company 1.12 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN GUARDIAN ADVISOR CL NBGUX NTF Growth 1.5 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN GUARDIAN TRUST CLASS NBGTX NTF Growth 1.14 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN HIGH INC BD IVT NHINX NTF Corporate Bond - High Yield 0.92 None 1 BondNeuberger Berman Funds NEUBERGER BERMAN INT'L TRUST CLASS NBITX NTF Foreign Stock 1.49 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN INTRNL LRG CAP TRUST NILTX NTF Foreign Stock 1.27 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN MID CAP GRWTH ADV NBMBX NTF Growth 1.5 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN MID CAP GRWTH TRUST NBMTX NTF Growth 1.26 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN PARTNERS ADVISOR CL NBPBX NTF Growth 1.2 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN PARTNERS TRUST CLASS NBPTX NTF Growth 1.04 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN REAL ESTATE TRUST CL NBRFX NTF Specialty - Real Estate 0.99 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN REGENCY TRUST CLASS NBREX NTF Growth 1.25 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN SHORT DURATION BD NSBTX NTF Corporate Bond - High Quality 0.8 None 1 BondNeuberger Berman Funds NEUBERGER BERMAN SMALL CAP GRWTH ADV NBMVX NTF Small Company 1.6 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN SMALL CAP GRWTH TRUS NBMOX NTF Small Company 1.4 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN SOCIALLY RESP TR CL NBSTX NTF Growth 1.13 None 1 EquityNew Century Funds NEW CENTURY ALTER STRATEGIES PORTFOLIO NCHPX NTF Growth 1.06 None 1 EquityNew Century Funds NEW CENTURY BALANCED PORTFOLIO NCIPX NTF Balanced 1.45 None 1 EquityNew Century Funds NEW CENTURY CAPITAL PORTFOLIO NCCPX NTF Growth 1.41 None 1 EquityNew Century Funds NEW CENTURY INTERNAT PORTFOLIO NCFPX NTF Foreign Stock 1.44 None 1 EquityNew Century Funds NEW CENTURY OPPORTUN ISTIC PORTFOLIO NCAPX NTF Aggressive Growth 1.5 None 1 EquityNew Covenant Funds NEW CONVENANT BALANCED GROWTH FD NCBGX NTF Balanced 0.13 None 1 EquityNew Covenant Funds NEW COVENANT BALANCED INCOME NCBIX NTF Balanced 0.16 None 1 EquityNew Covenant Funds NEW COVENANT GROWTH FUND NCGFX NTF Growth 1.12 None 1 EquityNew Covenant Funds NEW COVENANT INCOME FUND NCICX NTF Multisector Bond 0.86 None 1 EquityNicholas Funds NICHOLAS HIGH INCOME FUND INC CLASS N NNHIX NTF Corporate Bond - High Yield 1.06 None 1 BondNicholas Funds NICHOLAS II INC CLASS N NNTWX NTF Growth 0.98 None 1 EquityNicholas Funds NICHOLAS LIMITED EDITION INC CLASS N NNLEX NTF Growth 1.16 None 1 EquityNomura Funds JAPAN FUND CLASS S SJPNX NTF Pacific Stock 1.75 None 1 EquityNomura Funds NOMURA ASIA PACIFIC EX JAPAN FUND CL I NPAIX NTF Pacific Stock 1.6 None 1 EquityNomura Funds NOMURA GLOBAL ALPHA EQUITY FUND CLASS I NPGIX NTF World Stock 1.6 None 1 EquityNomura Funds NOMURA GLOBAL EMRG MARKETS FUND CLASS I NPEIX NTF World Stock 1.7 None 1 EquityNomura Funds NOMURA GLOBAL EQUITY INCOME FUND CL I NPWIX NTF World Stock 1.5 None 1 EquityNomura Funds NOMURA GREATER CHINA FUND CLASS I NPCIX NTF Pacific Stock 1.7 None 1 EquityNomura Funds NOMURA INDIA FUND CLASS I NPIIX NTF Foreign Stock 1.7 None 1 EquityNomura Funds NOMURA INTERNATIONAL EQUITY FUND CLASS I NPQIX NTF World Stock 1.5 None 1 EquityNomura Funds NOMURA INTERNATIONAL GROWTH EQUITY CL I NPLIX NTF Foreign Stock 1.76 None 1 EquityNomura Funds NOMURA THE JAPAN FUND CLASS I NPJIX NTF Pacific Stock 1.6 None 1 EquityNorthern Funds NORTHERN ARIZONA TAX EXEMPT NOAZX NTF Municipal Bond - Single State 0.75 None 1 BondNorthern Funds NORTHERN CALIFORNIA INTERMEDIATE TAX EX NCITX NTF Municipal Bond - Single State 0.75 None 1 BondNorthern Funds NORTHERN FIXED INCOME FUND NOFIX NTF Corporate Bond - General 0.9 None 1 BondNorthern Funds NORTHERN FUNDS CAL TAX EXEMPT FUND NCATX NTF Municipal Bond - Single State 0.75 None 1 BondNorthern Funds NORTHERN GLOBAL FIXED INCOME NOIFX NTF Worldwide Bond 1.15 None 1 BondNorthern Funds NORTHERN GROWTH EQUITY NOGEX NTF Growth 1 None 1 EquityNorthern Funds NORTHERN HIGH YIELD FIXED INCOME NHFIX NTF Corporate Bond - High Yield 0.9 None 1 BondNorthern Funds NORTHERN HIGH YIELD MUNICIPAL NHYMX NTF Municipal Bond - National 0.85 None 1 BondNorthern Funds NORTHERN INCOME EQUITY NOIEX NTF Convertible Bond 1 None 1 EquityNorthern Funds NORTHERN INTERMED TAX EXEMPT FUND NOITX NTF Municipal Bond - National 0.75 None 1 BondNorthern Funds NORTHERN INTERNAT'L GROWTH EQUITY NOIGX NTF Foreign Stock 1.26 None 1 EquityNorthern Funds NORTHERN LARGE CAP VALUE NOLVX NTF Growth 1.1 None 1 EquityNorthern Funds NORTHERN MULTI - MANAGER EMG MRKT EQ NMMEX NTF Growth 1.5 None 1 EquityNorthern Funds NORTHERN MULTI MAN GLOBAL REAL ESTATE NMMGX NTF Growth and Income 1.3 None 1 EquityNorthern Funds NORTHERN MULTI MAN INTL EQUITY FD NMIEX NTF World Stock 1.44 None 1 EquityNorthern Funds NORTHERN MULTI MAN MID CAP FD NMMCX NTF Growth 1.2 None 1 EquityNorthern Funds NORTHERN MULTI MAN SMALL CAP FD NMMSX NTF Small Company 1.4 None 1 EquityNorthern Funds NORTHERN MULTI- MANAGER LR CAP FUND NMMLX NTF Growth and Income 1.2 None 1 Equity

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Sales Charge

Settlement Days

Security Class

Northern Funds NORTHERN MULTI-MANG HIGH YLD OPPORTUNITY NMHYX NTF Corporate Bond - High Yield -999 None 1 EquityNorthern Funds NORTHERN SELECT EQUITY NOEQX NTF Growth 1 None 1 EquityNorthern Funds NORTHERN SHORT INTER US GOVT FUND NSIUX NTF Government Bond - General 0.9 None 1 BondNorthern Funds NORTHERN SMALL CAP GROWTH NSGRX NTF Growth 1.25 None 1 EquityNorthern Funds NORTHERN SMALL CAP VALUE NOSGX NTF Small Company 1 None 1 EquityNorthern Funds NORTHERN TAX EXEMPT NOTEX NTF Municipal Bond - National 0.75 None 1 BondNorthern Funds NORTHERN TECHNOLOGY NTCHX NTF Specialty - Technology 1.25 None 1 EquityNorthern Funds NORTHERN US GOVT FND NOUGX NTF Government Bond - General 0.9 None 1 BondOak Associates Funds BLACK OAK EMERGING TECHNOLOGY FUND BOGSX NTF Specialty - Technology 1.35 None 1 EquityOak Associates Funds LIVE OAK HEALTH SCIENCES FUND LOGSX NTF Specialty - Health 1.35 None 1 EquityOak Associates Funds PIN OAK AGGRESSIVE STOCK POGSX NTF Aggressive Growth 1.25 None 1 EquityOak Associates Funds RED OAK TECHNOLOGY SELECT ROGSX NTF Specialty - Technology 1.35 None 1 EquityOak Associates Funds RIVER OAK DISCOVERY FUND RIVSX NTF Growth 1.35 None 1 EquityOak Associates Funds ROCK OAK CORE GROWTH FUND RCKSX NTF Growth 1.25 None 1 EquityOak Associates Funds WHITE OAK SELECT GROWTH FUND WOGSX NTF Growth 1.25 None 1 EquityOak Value Funds OAK VALUE FUND OAKVX NTF Growth 1.57 None 1 EquityOakmark Funds OAKMARK EQUITY & INCOME FD I OAKBX NTF Balanced 0.85 None 1 EquityOakmark Funds OAKMARK FUND I OAKMX NTF Growth 1.23 None 1 EquityOakmark Funds OAKMARK GLOBAL FUND I OAKGX NTF World Stock 1.23 None 1 EquityOakmark Funds OAKMARK GLOBAL SELECT FD CL 1 OAKWX NTF Growth 1.43 None 1 EquityOakmark Funds OAKMARK INTERNAT'L I OAKIX NTF Foreign Stock 1.17 None 1 EquityOakmark Funds OAKMARK INTERNAT'L SMALL CAP I OAKEX NTF Foreign Stock 1.54 None 1 EquityOakmark Funds OAKMARK SELECT I OAKLX NTF Growth 1.19 None 1 EquityOberweis Funds OBERWEIS ASIA OPPORTUNITIES FUND OBAOX NTF Foreign Stock 2.49 None 1 EquityOberweis Funds OBERWEIS CHINA OPPORTUNITIES FUND OBCHX NTF Foreign Stock 2 None 1 EquityOberweis Funds OBERWEIS EMERGING GROWTH FUND OBEGX NTF Small Company 1.4 None 1 EquityOberweis Funds OBERWEIS INTL OPPORTUNITIES FUND OBIOX NTF Foreign Stock 2.23 None 1 EquityOberweis Funds OBERWEIS SMALL-CAP OPPORTUNITIES OBSOX NTF Growth 2 None 1 EquityOld Mutual Funds OLD MUTUAL TS&W MID CAP VALUE FD CL Z OTMZX NTF Growth 1.12 None 1 EquityOld Mutual Funds OLD MUTUAL TS&W SMALL CAP FD Z OSMVX NTF Growth 1.23 None 1 EquityPalantir Funds PALANTIR FUND PALIX NTF Growth 2.02 None 1 EquityParadigm Funds PARADIGM OPPORTUNITY FUND PFOPX NTF Growth 1.5 None 1 EquityParadigm Funds PARADIGM SELECT FUND PFSLX NTF Growth 1.5 None 1 EquityParadigm Funds PARADIGM VALUE FUND PVFAX NTF Growth 1.99 None 1 EquityParnassus Funds PARNASSUS EQUITY INCOME PORTFOLIO PRBLX NTF Equity-Income 0.99 None 1 EquityParnassus Funds PARNASSUS FIXED INCOME FUND PRFIX NTF Corporate Bond - General 0.75 None 1 BondParnassus Funds PARNASSUS FUND PARNX NTF Growth 0.99 None 1 EquityParnassus Funds PARNASSUS MID CAP PARMX NTF Growth 1.2 None 1 EquityParnassus Funds PARNASSUS SMALL CAP PARSX NTF Growth 1.2 None 1 EquityParnassus Funds PARNASSUS WORKPLACE PARWX NTF Growth 1.2 None 1 EquityPax World Funds PAX WORLD BALANCED INDIVIDUAL INV CL PAXWX NTF Balanced 0.95 None 1 EquityPax World Funds PAX WORLD GLOBAL GREEN - IND INV CL PGRNX NTF Growth 1.4 None 1 EquityPax World Funds PAX WORLD GLOBAL GREEN FD CL R PGRGX NTF Growth 1.65 None 1 EquityPax World Funds PAX WORLD GROWTH INDIVIDUAL INV CL PXWGX NTF Growth 1.46 None 1 EquityPax World Funds PAX WORLD HIGH YIELD BOND INDIV INV CL PAXHX NTF Corporate Bond - High Yield 0.99 None 1 BondPax World Funds PAX WORLD INTERNATL FUND - CL R PXIRX NTF World Stock 1.65 None 1 EquityPax World Funds PAX WORLD INTNATL - INDIVIDUAL INV CL PXINX NTF World Stock 1.4 None 1 EquityPax World Funds PAX WORLD SMALL CAP FD -INDVIDUAL INV CL PXSCX NTF Small Company 1.24 None 1 EquityPax World Funds PAX WORLD SMALL CAP FUND CL R PXSRX NTF Small Company 1.49 None 1 EquityPax World Funds PAX WORLD WOMEN'S EQUITY INDIVIDUAL IN PXWEX NTF Growth 1.24 None 1 EquityPaydenFunds PAYDEN CORE BOND FUND ADVISER PYCWX NTF Corporate Bond - High Quality -999 None 1 BondPaydenFunds PAYDEN CORPORATE BOND FUND PYACX NTF Corporate Bond - General 0.65 None 1 BondPaydenFunds PAYDEN EMERGING MARKETS BOND ADVISER PYEWX NTF Worldwide Bond -999 None 1 BondPaydenFunds PAYDEN GLOBAL FXED INC PYGFX NTF Worldwide Bond 0.7 None 1 BondPaydenFunds PAYDEN GLOBAL SHORT BOND PYGSX NTF Worldwide Bond 0.71 None 1 BondPaydenFunds PAYDEN GNMA FUND ADVISER PYGWX NTF Government Bond - Mortgage -999 None 1 BondPaydenFunds PAYDEN HIGH INCOME FUND ADVISER PYHWX NTF Corporate Bond - High Yield -999 None 1 BondPaydenFunds PAYDEN HIGH INCOME INVESTOR CLASS PYHRX NTF Corporate Bond - High Yield 0.65 None 1 BondPaydenFunds PAYDEN LIMITED MATURITY PYLMX NTF Corporate Bond - High Quality 0.5 None 1 Bond

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Sales Charge

Settlement Days

Security Class

PaydenFunds PAYDEN SHORT BOND PYSBX NTF Corporate Bond - High Quality 0.53 None 1 BondPaydenFunds PAYDEN TAX EXEMPT BOND PYTEX NTF Municipal Bond - National 0.55 None 1 BondPaydenFunds PAYDEN US GOVERNMENT FUND ADVISER PYUWX NTF Government Bond - General -999 None 1 BondPaydenFunds PAYDEN US GROWTH LEADERS FD PUGLX NTF Growth 1 None 1 EquityPaydenFunds PAYDEN VALUE LEADERS FUND PYVLX NTF Growth and Income 0.8 None 1 EquityPaydenFunds PAYDEN/KRAVITZ CASH BALANCE PLAN RET SHR PKCRX NTF Income 1.75 None 1 BondPaydenFunds PAYDEN/KRAVITZ CASH BALANCED - ADVISOR PKCBX NTF Income 1.5 None 1 EquityPerimeter Funds PERIMETER SMALL CAP GROWTH INVESTOR CL PSCGX NTF Small Company 1.09 None 3 EquityPermanent Portfolio Fund PERMANENT AGGRESSIVE GROWTH PORTFOLIO PAGRX NTF Aggressive Growth 1.2 None 1 EquityPermanent Portfolio Fund PERMANENT PORTFOLIO PRPFX NTF Multi-Asset Global 0.84 None 1 EquityPermanent Portfolio Fund PERMANENT TREASURY BILL PRTFOLIO PRTBX NTF Government Bond - Treasury 0.74 None 1 BondPermanent Portfolio Fund PERMANENT VERSATILE BOND PORTFOLIO PRVBX NTF Corporate Bond - High Quality 0.89 None 1 BondPerritt Funds PERRITT EMERGING OPPORTUNITIES FUND PREOX NTF Growth 2.11 None 1 EquityPerritt Funds PERRITT MICROCAP OPPORTUNITIES PRCGX NTF Growth 1.42 None 1 EquityPIMCO Advisors Funds ALLIANZ CCM CAPITAL APPRECIATION CL D PCADX NTF Growth 1.11 None 3 EquityPIMCO Advisors Funds ALLIANZ CCM FOCUSED GRWOWTH CL D AFWDX NTF Growth 1.11 None 3 EquityPIMCO Advisors Funds ALLIANZ CCM MID-CAP L D PMCDX NTF Growth 1.11 None 3 EquityPIMCO Advisors Funds ALLIANZ GLOBAL INVTS SOLUTION 2015 CL D AZGDX NTF Income 0.5 None 3 EquityPIMCO Advisors Funds ALLIANZ GLOBAL INVTS SOLUTION RET INC D ARTDX NTF Income 0.52 None 3 EquityPIMCO Advisors Funds ALLIANZ GLOBAL INVTS SOLUTIONS 2020 CL D AGLDX NTF Income 0.53 None 3 EquityPIMCO Advisors Funds ALLIANZ GLOBAL INVTS SOLUTIONS 2030 CL D ABDIX NTF Income 0.63 None 3 EquityPIMCO Advisors Funds ALLIANZ GLOBAL INVTS SOLUTIONS 2040 CL D AVSDX NTF Income 0.56 None 3 EquityPIMCO Advisors Funds ALLIANZ GLOBAL INVTS SOLUTIONS 2050 CL D ASNDX NTF Income 0.56 None 3 EquityPIMCO Advisors Funds ALLIANZ NACM EMRGING MARKETS OPPORT CL D AOTDX NTF Growth 1.85 None 3 EquityPIMCO Advisors Funds ALLIANZ NACM GLOBAL FD CLASS D NGBDX NTF World Stock 1.47 None 3 EquityPIMCO Advisors Funds ALLIANZ NACM GROWTH FD CLASS D NGWDX NTF Growth 1.18 None 3 EquityPIMCO Advisors Funds ALLIANZ NACM INCOME & GROWTH CL D AZNDX NTF Growth and Income 1.28 None 3 EquityPIMCO Advisors Funds ALLIANZ NACM INTERNATIONAL CL D PNIDX NTF Foreign Stock 1.48 None 3 EquityPIMCO Advisors Funds ALLIANZ NACM PACIFIC RIM FUND CL D PPRDX NTF Pacific Stock 1.78 None 3 EquityPIMCO Advisors Funds ALLIANZ NFJ ALL-CAP VALUE CL D PNFDX NTF Growth and Income 1.33 None 3 EquityPIMCO Advisors Funds ALLIANZ NFJ GLOBAL DIVIDEND VALUE CL D ANUDX NTF Growth and Income 1.5 None 3 EquityPIMCO Advisors Funds ALLIANZ NFJ INTL VALUE FD CLASS D AFJDX NTF Foreign Stock 1.45 None 3 EquityPIMCO Advisors Funds ALLIANZ NFJ LARGE VALUE FD CLASS D PNBDX NTF Growth 1.11 None 3 EquityPIMCO Advisors Funds ALLIANZ NFJ MID-CAP VALUE FD CL D ANVDX NTF Growth and Income 1.27 None 3 EquityPIMCO Advisors Funds ALLIANZ NFJ RENAISSANCE CLASS D PREDX NTF Growth and Income 1.21 None 3 EquityPIMCO Advisors Funds ALLIANZ OCC GROWTH CLASS D PGRDX NTF Growth 1.16 None 3 EquityPIMCO Advisors Funds ALLIANZ OCC OPPORTUN FUND CL D APPDX NTF Aggressive Growth 1.3 None 3 EquityPIMCO Advisors Funds ALLIANZ OCC TARGET CL D PTRDX NTF Growth 1.22 None 3 EquityPIMCO Advisors Funds ALLIANZ RCM DISC INTL EQUITY CLASS D DIENX NTF Foreign Stock 1.37 None 3 EquityPIMCO Advisors Funds ALLIANZ RCM DISCIPLINED EQ CL D ARDDX NTF Growth 1.34 None 3 EquityPIMCO Advisors Funds ALLIANZ RCM GLOBAL ECO TRENDS FUND CL D AECDX NTF Growth 2.14 None 3 EquityPIMCO Advisors Funds ALLIANZ RCM GLOBAL RESOURCES FD D ARMDX NTF Specialty - Natural Resources 1.47 None 3 EquityPIMCO Advisors Funds ALLIANZ RCM GLOBAL SMALL CAP CL D DGSNX NTF World Stock 1.77 None 3 EquityPIMCO Advisors Funds ALLIANZ RCM GLOBAL WATER FUND CL D AWTDX NTF Specialty - Natural Resources 2.4 None 3 EquityPIMCO Advisors Funds ALLIANZ RCM LARGECAP GROWTH CLASS D DLCNX NTF Growth 1.12 None 3 EquityPIMCO Advisors Funds ALLIANZ RCM MID-CAP CLASS D DMCNX NTF Growth 1.14 None 1 EquityPIMCO Advisors Funds ALLIANZ RCM STRATEGIES GRWTH D ARCDX NTF Growth 1.7 None 3 EquityPIMCO Advisors Funds ALLIANZ RCM TECHNOLOGY CL D DGTNX NTF Specialty - Technology 1.66 None 3 EquityPIMCO Advisors Funds ALLIANZ RCM WELLNESS FD CL D DGHCX NTF Specialty - Health 1.51 None 3 EquityPIMCO Advisors Funds NACM MID CAP GROWTH FUND CL D ANGDX NTF Growth 1.34 None 3 EquityPIMCO Advisors Funds PIMCO ALL ASSET FUND CLASS D PASDX NTF Asset Allocation 0.7 None 3 EquityPIMCO Advisors Funds PIMCO ALL ASSETS ALL AUTHORITY CL D PAUDX NTF Asset Allocation 0.75 None 3 BondPIMCO Advisors Funds PIMCO CALIFORNIA INTERM MUNI BOND D PCIDX NTF Municipal Bond - Single State 0.78 None 3 BondPIMCO Advisors Funds PIMCO COMMODITY REAL RETURN CL D PCRDX NTF Specialty - Natural Resources 1.24 None 3 EquityPIMCO Advisors Funds PIMCO DEVELOPING LOCAL MKTS D PLMDX NTF Diversified Emerging Markets 1.25 None 3 BondPIMCO Advisors Funds PIMCO DIVERSIFIED INCOME FUND CL D PDVDX NTF Multisector Bond 1.15 None 3 BondPIMCO Advisors Funds PIMCO EMERGING LOCAL BOND FUND CL D PLBDX NTF Diversified Emerging Markets 1.35 None 3 BondPIMCO Advisors Funds PIMCO EMERGING MKTS BOND CLASS D PEMDX NTF Diversified Emerging Markets 1.25 None 3 BondPIMCO Advisors Funds PIMCO FLOATING RATE INCOME CL D PFIDX NTF Income 0.95 None 3 Bond

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Security Class

PIMCO Advisors Funds PIMCO FOREIGN BOND (US $-HEDGED) CL D PFODX NTF Worldwide Bond 0.93 None 3 BondPIMCO Advisors Funds PIMCO FOREIGN BOND FUND CL D (UNHEDGED) PFBDX NTF Worldwide Bond 0.93 None 3 BondPIMCO Advisors Funds PIMCO FUNDAMENTAL ADV TOTAL RT STRAT D PFSDX NTF Income 1.29 None 3 BondPIMCO Advisors Funds PIMCO FUNDAMENTAL INDEXPLUS TR FD CL D PIXDX NTF Income 1.19 None 3 EquityPIMCO Advisors Funds PIMCO GLOBAL ADVANT STRATEGY BOND CL D PGSDX NTF Income 1.1 None 3 BondPIMCO Advisors Funds PIMCO GLOBAL BOND FUND (UNHEDGED) CL D PGBDX NTF Worldwide Bond 0.95 None 3 BondPIMCO Advisors Funds PIMCO GLOBAL MULTI ASSET FUND CL D PGMDX NTF Income 1.12 None 3 BondPIMCO Advisors Funds PIMCO GNMA FUND CLASS D PGNDX NTF Government Bond - Mortgage 0.9 None 3 BondPIMCO Advisors Funds PIMCO HIGH YIELD CLASS D PHYDX NTF Corporate Bond - High Yield 0.9 None 3 BondPIMCO Advisors Funds PIMCO HIGH YIELD MUNI BD CL D PYMDX NTF Corporate Bond - High Yield 0.79 None 3 BondPIMCO Advisors Funds PIMCO INCOME FD CL D PONDX NTF Multisector Bond 0.7 None 3 BondPIMCO Advisors Funds PIMCO INTERNATIONAL STOCK PLUS TR CL D PIPDX NTF Foreign Stock 1.15 None 3 EquityPIMCO Advisors Funds PIMCO INTL STOCKSPLU S STRGY UNHGD CL D PPUDX NTF Growth and Income 1.04 None 3 EquityPIMCO Advisors Funds PIMCO INVESTMENT GRADE CORP BOND CL D PBDDX NTF Corporate Bond - General 0.9 None 3 BondPIMCO Advisors Funds PIMCO LOW DURATION CLASS D PLDDX NTF Income 0.75 None 3 BondPIMCO Advisors Funds PIMCO MORTGAGE BACKED SEC FD CL D PTMDX NTF Income 0.9 None 3 BondPIMCO Advisors Funds PIMCO MUNI BOND CLASS D PMBDX NTF Municipal Bond - National 0.78 None 3 BondPIMCO Advisors Funds PIMCO MUNIGO FUND CL D APNDX NTF Municipal Bond - National -999 None 3 BondPIMCO Advisors Funds PIMCO NY MUNI BOND CLASS D PNYDX NTF Municipal Bond - Single State 0.78 None 3 BondPIMCO Advisors Funds PIMCO REAL ESTATE REAL RETURN CL D PETDX NTF Specialty - Real Estate 1.18 None 3 EquityPIMCO Advisors Funds PIMCO REAL INCOME 2019 FUND CL D PRLDX NTF Growth -999 None 3 EquityPIMCO Advisors Funds PIMCO REAL INCOME 2029 FUND CL D PORDX NTF Growth -999 None 3 EquityPIMCO Advisors Funds PIMCO REAL RETURN CLASS D PRRDX NTF Government Bond - General 0.88 None 3 BondPIMCO Advisors Funds PIMCO REALRETIREMENT 2010 FUND CL D PTNDX NTF Growth and Income 0.87 None 3 BondPIMCO Advisors Funds PIMCO REALRETIREMENT 2020 FUND CL D PTYDX NTF Growth and Income 0.93 None 3 BondPIMCO Advisors Funds PIMCO REALRETIREMENT 2030 FUND CL D PEHDX NTF Growth and Income 0.98 None 3 BondPIMCO Advisors Funds PIMCO REALRETIREMENT 2040 FUND CL D POFDX NTF Growth and Income 0.93 None 3 BondPIMCO Advisors Funds PIMCO REALRETIREMENT 2050 FUND CL D PFYDX NTF Growth and Income 0.96 None 3 BondPIMCO Advisors Funds PIMCO SHORT DURATION MUNI BOND CL D PSDDX NTF Municipal Bond - National 0.75 None 3 BondPIMCO Advisors Funds PIMCO SHORT-TERM CLASS D PSHDX NTF Income 0.75 None 3 BondPIMCO Advisors Funds PIMCO SMALL CAP STOCK PLUS TR CL D PCKDX NTF Small Company 1.09 None 3 EquityPIMCO Advisors Funds PIMCO STOCK PLUS TOTAL RETURN FD CL D PSTDX NTF Growth and Income 1.04 None 3 EquityPIMCO Advisors Funds PIMCO STOCK PLUS TR SHORT STRATEGY CL D PSSDX NTF Growth and Income 1.09 None 3 EquityPIMCO Advisors Funds PIMCO STOCKS PLUS CLASS D PSPDX NTF Growth and Income 0.9 None 3 EquityPIMCO Advisors Funds PIMCO TAX-MANAGED REAL RETURN FD CL D PXMDX NTF Municipal Bond - National -999 None 3 EquityPIMCO Advisors Funds PIMCO TOTAL RETURN CLASS D PTTDX NTF Corporate Bond - General 0.75 None 3 BondPIMCO Advisors Funds PIMCO UNCONSTRAINED BOND FUND CL D PUBDX NTF Income 1.3 None 3 BondPIMCO Advisors Funds PIMCO UNSONSTRAINED TAX MANAGED BOND D ATMDX NTF Corporate Bond - General 1.1 None 3 BondPIMCO Funds PIMCO DEVELOPING LOCAL MRTKS ADM CL PDEVX NTF Diversified Emerging Markets 1.1 None 1 BondPIMCO Funds PIMCO EMERGING LOCAL BOND FUND ADMIN SH PEBLX NTF Diversified Emerging Markets 1.2 None 1 BondPIMCO Funds PIMCO FLOATING INCOME ADMINSTRATIVE PFTAX NTF Income 0.8 None 1 BondPIMCO Funds PIMCO FOREIGN BD FD UNHEDGED ADM CL PFUUX NTF Worldwide Bond 0.75 None 1 BondPIMCO Funds PIMCO INVESTMENT GRADE CORP ADMIN CL PGCAX NTF Corporate Bond - General 0.75 None 1 BondPIMCO Funds PIMCO MORTGAGE BACKED SECURITIES AD PMTAX NTF Income 0.75 None 1 BondPlumb Funds PLUMB BALANCED PLBBX NTF Growth 1.1 None 1 EquityPlumb Funds PLUMB EQUITY PLBEX NTF Growth 1.2 None 1 EquityPMC Funds PMC CORE FIXED INCOME PMFIX NTF Income 1 None 3 BondPMC Funds PMC DIVERSIFIED EQUITY FUND PMDEX NTF Growth 1.4 None 3 BondPrimary Trend Fund PRIMARY TREND FD INC PTFDX NTF Growth and Income 2 None 1 EquityProFunds ACCESS FLEX BEAR HIGH YIELD INV CLASS AFBIX NTF Income 1.83 None 1 BondProFunds ACCESS FLEX HIGH YIELD FD-INVESTOR CL FYAIX NTF Income 1.59 None 1 BondProFunds BANKS ULTRA SECTOR PRO FUND INVESTOR BKPIX NTF Specialty - Financial 1.63 None 1 EquityProFunds BASIC MATERIAL ULTRA SEC PRO FD INVESTOR BMPIX NTF Specialty - Unaligned 1.74 None 1 EquityProFunds BEAR PRO FUND INVESTORS SHARES BRPIX NTF Growth 1.68 None 1 EquityProFunds BIOTECHNOLOGY ULTRA SECTOR PRO FD INVS BIPIX NTF Specialty - Health 1.72 None 1 EquityProFunds BULL PRO FUND INVESTORS SHARES BLPIX NTF Growth and Income 1.79 None 1 EquityProFunds CONSUMER GOODS ULTRA SECTOR PRO FDS -INV CNPIX NTF Growth 1.63 None 1 EquityProFunds CONSUMER SERV ULTRA SECTOR PRO FD-INVEST CYPIX NTF Growth 1.64 None 1 EquityProFunds EUROPE 30 PRO FUND INVESTOR UEPIX NTF Europe Stock 1.94 None 1 Equity

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ProFunds FALLING US DOLLAR PRO FUND INV CLASS FDPIX NTF Income 1.88 None 1 BondProFunds FINANCIALS ULTRA SECTOR PRO FD INVS FNPIX NTF Specialty - Financial 1.62 None 1 EquityProFunds HEALTH CARE ULTRA SECTOR PRO FD INVSTR HCPIX NTF Specialty - Health 1.61 None 1 EquityProFunds INDUSTRIALS ULTRA SECTOR PRO FDS -INV IDPIX NTF Growth 1.64 None 1 EquityProFunds INTERNET ULTRASECTOR PRO FD INVESTOR INPIX NTF Specialty - Technology 1.94 None 1 EquityProFunds LARGE CAP GROWTH PRO FUND INVESTOR LGPIX NTF Growth 1.95 None 1 EquityProFunds LARGE CAP VALUE PRO FUND INVESTOR LVPIX NTF Growth and Income 1.79 None 1 EquityProFunds MID CAP GROWTH PRO FUND INVESTOR MGPIX NTF Growth 1.71 None 1 EquityProFunds MID CAP PRO FUND INVESTOR MDPIX NTF Growth 1.65 None 1 EquityProFunds MID CAP VALUE PRO FUND INVESTOR MLPIX NTF Growth 1.8 None 1 EquityProFunds MOBILE TELCOMM ULTRA SECTOR PRO FD INVSTR WCPIX NTF Specialty - Communications 1.64 None 1 EquityProFunds NASDAQ-100 PRO FUND INVESTOR CLASS OTPIX NTF Growth 1.63 None 1 EquityProFunds OIL & GAS ULTRA SECT PRO FDS -INVESTOR ENPIX NTF Specialty - Natural Resources 1.65 None 1 EquityProFunds OIL EQUIPMENT SCVS & DIST ULTRA INVT CL OEPIX NTF Specialty - Utility 1.85 None 1 EquityProFunds PHARMACEUTICAL ULTRA SECTOR PRO FUND INV PHPIX NTF Specialty - Health 1.64 None 1 EquityProFunds PRECIOUS METALS ULTRA SEC PRO INVST PMPIX NTF Specialty - Precious Metals 1.61 None 1 EquityProFunds PRO FUNDS SHORT REAL ESTATE INVESTOR CL SRPIX NTF Specialty - Real Estate 1.68 None 1 EquityProFunds PRO FUNDS ULTRA LATIN AMERICA INVST UBPIX NTF Aggressive Growth 1.8 None 1 EquityProFunds PRO FUNDS ULTRA SHORT MID-CAP-INV CL UIPIX NTF Growth 1.79 None 1 EquityProFunds PRO FUNDS ULTRASHORT LATIN AMERICA INVST UFPIX NTF Aggressive Growth 1.63 None 1 EquityProFunds PROFUNDS SHORT OIL & GAS INVESTOR CLASS SNPIX NTF Specialty - Natural Resources 2.01 None 1 EquityProFunds PROFUNDS: SHORT PREC METALS INVESTOR CL SPPIX NTF Specialty - Natural Resources 1.86 None 1 EquityProFunds REAL ESTATE ULTRA SECTOR PRO FD INVSTR REPIX NTF Specialty - Real Estate 1.74 None 1 EquityProFunds RISING RATES OPP 10 PROFUND INV CLASS RTPIX NTF Income 1.63 None 1 BondProFunds RISING RATES OPPTY PRO FUND INVESTOR RRPIX NTF Government Bond - Treasury 1.64 None 1 EquityProFunds RISING US DOLLAR PRO FUND INV CLASS RDPIX NTF Income 1.58 None 1 BondProFunds SEMICONDUCTOR ULTRA SECTOR PRO FD INVSTR SMPIX NTF Specialty - Technology 1.64 None 1 EquityProFunds SHORT NASDAQ-100 PRO FUND INVESTOR CLASS SOPIX NTF Asset Allocation 1.86 None 1 EquityProFunds SHORT SMALL CAP PRO FUND INVESTOR SHPIX NTF Small Company 1.82 None 1 EquityProFunds SMALL CAP GROWTH PRO FUND INVESTOR SGPIX NTF Small Company 1.6 None 1 EquityProFunds SMALL CAP PRO FUND INVESTOR SLPIX NTF Small Company 1.59 None 1 EquityProFunds SMALL CAP VALUE PRO FUND INVESTOR SVPIX NTF Small Company 1.53 None 1 EquityProFunds TECHNOLOGY ULTRA SECTOR PRO FD INVSTR TEPIX NTF Specialty - Technology 1.64 None 1 EquityProFunds TELECOMM ULTRA SECTOR PRO FD INVSTR TCPIX NTF Specialty - Communications 1.77 None 1 EquityProFunds U.S. GOVERNMENT PLUS PRO FUND INVESTOR GVPIX NTF Government Bond - Treasury 1.34 None 1 BondProFunds ULTRA BEAR PRO FUND INVESTORS SHARES URPIX NTF Growth 1.59 None 1 EquityProFunds ULTRA BULL PRO FUND INVESTORS SHARES ULPIX NTF Growth and Income 1.65 None 1 EquityProFunds ULTRA CHINA PRO FUND - INVESTOR CLASS UGPIX NTF Foreign Stock 1.86 None 1 EquityProFunds ULTRA DOW 30 PRO FUND INVESTOR UDPIX NTF Growth 1.84 None 1 EquityProFunds ULTRA EMERGING MRKTS PRO FD INVT CL UUPIX NTF Growth 1.61 None 1 EquityProFunds ULTRA INTL PRO FD INVT CL UNPIX NTF Growth 1.84 None 1 EquityProFunds ULTRA JAPAN PRO FUND INVESTORS SHS UJPIX NTF Pacific Stock 1.84 None 1 EquityProFunds ULTRA MID CAP PRO FUND INVESTOR SHS UMPIX NTF Growth 1.76 None 1 EquityProFunds ULTRA NASDAQ-100 PRO FUND INVESTOR CLASS UOPIX NTF Growth 1.61 None 1 EquityProFunds ULTRA SHORT CHINA PRO FUND - INVESTOR UHPIX NTF Foreign Stock 1.95 None 1 EquityProFunds ULTRA SHORT DOW 30 INVESTOR SHARES UWPIX NTF Aggressive Growth 1.86 None 1 EquityProFunds ULTRA SHORT EMERGING MRKTS PRO FD INV CL UVPIX NTF Growth 1.95 None 1 EquityProFunds ULTRA SHORT INTL PRO FD INVT CL UXPIX NTF Growth 1.72 None 1 EquityProFunds ULTRA SHORT JAPAN PRO INVT CL SHS UKPIX NTF Growth 1.63 None 1 EquityProFunds ULTRA SHORT NASDAQ- 100 PROFUND INVESTOR USPIX NTF Growth 1.67 None 1 EquityProFunds ULTRA SHORT SMALL CAP PRO FDS-INVST CL UCPIX NTF Aggressive Growth 1.88 None 1 EquityProFunds ULTRA SMALL CAP PRO FUND INVESTOR SHS UAPIX NTF Growth 1.8 None 1 EquityProFunds UTILITIES ULTRA SECTOR PRO FUND INV UTPIX NTF Specialty - Utility 1.86 None 1 EquityQuant Funds QUANT FOREIGN VALUE FUND ORDINARY SHS QFVOX NTF Growth 1.62 None 1 EquityQuant Funds QUANT FOREIGN VALUE SMALL CAP ORDINARY QUSOX NTF Foreign Stock 1.97 None 1 EquityQuant Funds QUANTITATIVE EMRG MKTS FD-ORDINARY SHS QFFOX NTF Growth 1.67 None 1 EquityQuant Funds QUANTITATIVE LONG/ SHORT FD ORDIN SHS USBOX NTF Growth 1.98 None 1 EquityQuant Funds QUANTITATIVE SMALL CAP ORDINARY SHS (FRMRLY NUMERIC FD) USBNX NTF Growth 1.64 None 1 EquityQueens Road Funds QUEENS ROAD SMALL CAP VALUE FUND QRSVX NTF Small Company 1.35 None 1 Equity

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Queens Road Funds QUEENS ROAD VALUE FUND QRVLX NTF Growth 0.95 None 1 EquityRainier Investment Funds RAINIER BALANCED RIMBX NTF Balanced 0.78 None 1 EquityRainier Investment Funds RAINIER LARGE CAP EQUITY PORTFOLIO RIMEX NTF Growth 1.07 None 1 EquityRainier Investment Funds RAINIER MID CAP EQ PORTFOLIO RIMMX NTF Growth 1.22 None 1 EquityRainier Investment Funds RAINIER SMALL MID CAP EQUITY RIMSX NTF Growth 1.16 None 1 EquityRBC Funds RBC ENTERPRISE FD CL S TETSX NTF Small Company 1.08 None 1 EquityRBC Funds RBC MICROCAP VALUE FD CL S TMVSX NTF Growth 1.07 None 1 EquityRBC Funds RBC SMALL CAP CORE FD CL S TEESX NTF Small Company 1.3 None 1 EquityRenaissance Funds RENAISSANCE IPO PLUS AFTERMARKET IPOSX NTF Aggressive Growth 2.5 None 1 EquityRice Hall James Funds RICE HALL JAMES MICRO CAP PORT INSTL RHJSX NTF Small Company 1.47 None 1 EquityRice Hall James Funds RICE HALL JAMES MID CAP PORTFOLIO INV CL RHJVX NTF Income 1.4 None 3 EquityRice Hall James Funds RICE HALL JAMES SM MID CAP PORT INSTL RHJMX NTF Growth 1.34 None 3 EquityRigel Funds RIGEL US EQUITY LARGE CAP GROWTH RGLLX NTF Growth 1 None 1 EquityRiver North Funds RIVERNORTH CORE OPPPORTUNITY FUND RNCOX NTF Balanced 1.53 None 1 EquityRobeco Investment Management BOSTON PARTNERS LONG SHORT EQUITY FD BPLEX NTF Growth 2.75 None 1 EquityRobeco Investment Management ROBECO BOSTON PRTNS ALL CAP VALUE INVT BPAVX NTF Growth and Income 1.2 None 1 EquityRobeco Investment Management ROBECO BOSTON PRTNS MID CAP VAL INVT CL BPMCX NTF Growth 1.25 None 1 EquityRobeco Investment Management ROBECO BOSTON PRTNS SM CAP VAL 11 INVT BPSCX NTF Small Company 1.55 None 1 EquityRobeco Investment Management ROBECO SAM SUSTAIN GLOBAL ACTIVE INVST SGAQX NTF None 1 EquityRobeco Investment Management ROBECO SAM SUSTAIN WATER - INVESTOR SMWNX NTF Growth 1.75 None 1 EquityRobeco Investment Management ROBECO SAM SUSTAINAB LE CLIMATE INVESTOR SMCNX NTF Growth 1.75 None 1 EquityRoosevelt Funds ROOSEVELT MULTI-CAP BULLX NTF Growth 1.26 None 1 EquityRoyce Funds ROYCE FOCUS VALUE FUND RYFVX NTF Growth -999 None 1 EquityRoyce Funds ROYCE INTERNATIONAL SMALLER CO SVCS CL RYGSX NTF Foreign Stock 1.69 None 1 EquityRoyce Funds ROYCE LOW PRICED STOCK FD-SERVICE CL RYLPX NTF Small Company 1.49 None 1 EquityRoyce Funds ROYCE MID-CAP FUND SERVICE CLASS RMIDX NTF Growth -999 None 3 EquityRoyce Funds ROYCE PARTNERS FUND RPTRX NTF Growth -999 None 1 EquityRoyce Funds ROYCE SMID-CAP VALUE FUND SERVICE CLASS RMVSX NTF Growth 1.49 None 5 EquityRoyce Funds ROYCE VALUE FUND SERVICE CL RYVFX NTF Growth 1.45 None 1 EquityRoyce Funds ROYCE VALUE PLUS SERVICE CLASS RYVPX NTF Growth 1.43 None 1 EquityRydex Funds RYDEX BANKING INV CLASS RYKIX NTF Specialty - Financial 1.37 None 1 EquityRydex Funds RYDEX BASIC MATERIALS INV CLASS RYBIX NTF Specialty - Natural Resources 1.37 None 1 EquityRydex Funds RYDEX BIOTECHNOLOGY INV CLASS RYOIX NTF Specialty - Health 1.38 None 1 EquityRydex Funds RYDEX COMMODITIES STRATEGY CL H RYMBX NTF Growth 1.2 None 1 EquityRydex Funds RYDEX CONSUMER PRODUCTS INVESTOR CL RYCIX NTF Specialty - Unaligned 1.38 None 1 EquityRydex Funds RYDEX DOW 2X STRATEGY CL H RYCVX NTF Growth 1.74 None 1 EquityRydex Funds RYDEX ELECTRONICS INV CLASS RYSIX NTF Specialty - Technology 1.34 None 1 EquityRydex Funds RYDEX ENERGY INVESTOR CLASS RYEIX NTF Specialty - Natural Resources 1.37 None 1 EquityRydex Funds RYDEX ENERGY SVCS INVESTOR CLASS RYVIX NTF Specialty - Natural Resources 1.37 None 1 EquityRydex Funds RYDEX EUROPE 1.25X STRATEGY CL H RYEUX NTF Europe Stock 1.71 None 1 EquityRydex Funds RYDEX FINANCIAL SERVICES INVESTOR CL RYFIX NTF Specialty - Financial 1.37 None 1 EquityRydex Funds RYDEX GOVT LONG BOND 1.2X STRATEGY INV CL RYGBX NTF Government Bond - General 0.98 None 1 BondRydex Funds RYDEX HEALTH CARE INVESTOR CLASS RYHIX NTF Specialty - Health 1.36 None 1 EquityRydex Funds RYDEX HIGH YIELD STRATEGY FUND CL H RYHGX NTF Corporate Bond - High Yield 1.56 None 1 EquityRydex Funds RYDEX INTERNET INVESTOR CLASS RYIIX NTF Specialty - Technology 1.35 None 1 EquityRydex Funds RYDEX INVERSE DOW 2X STRATEGY CL H RYCWX NTF Growth 1.74 None 1 EquityRydex Funds RYDEX INVERSE GOVT LONG BOND STRAT INV RYJUX NTF Government Bond - Treasury 1.41 None 1 EquityRydex Funds RYDEX INVERSE HIGH YIELD STRATEGY CL H RYIHX NTF Growth 1.53 None 1 EquityRydex Funds RYDEX INVERSE MID CAP STRATEGY CL H RYMHX NTF Growth 1.7 None 1 EquityRydex Funds RYDEX INVERSE NASDAQ 100 STRATEGY INV RYAIX NTF Growth 1.46 None 1 EquityRydex Funds RYDEX INVERSE NASDAQ 1002X CL H RYVNX NTF Growth 1.76 None 1 EquityRydex Funds RYDEX INVERSE RUSSEL 2000 2X STRAT CL H RYIRX NTF Growth 1.77 None 1 EquityRydex Funds RYDEX INVERSE RUSSEL 2000 STRATEGY CL H RYSHX NTF Growth 1.7 None 1 EquityRydex Funds RYDEX INVERSE S&P 500 2X STRATEGY CL H RYTPX NTF Growth 1.73 None 1 EquityRydex Funds RYDEX INVERSE S&P 500 STRATEGY INV CL RYURX NTF Growth 1.43 None 1 EquityRydex Funds RYDEX JAPAN 2X STRATEGY CLASS H RYJHX NTF Pacific Stock 1.52 None 1 EquityRydex Funds RYDEX LARGE CAP GROWTH H CLASS RYAWX NTF Growth 1.53 None 1 EquityRydex Funds RYDEX LARGE CAP VALUE H CLASS RYZAX NTF Growth 1.53 None 1 EquityRydex Funds RYDEX LEISURE INV CLASS RYLIX NTF Specialty - Unaligned 1.37 None 1 Equity

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Security Class

Rydex Funds RYDEX LONG/SHORT COMMODITIES STRGY H RYLFX NTF Growth -999 None 1 EquityRydex Funds RYDEX MID CAP 1.5X STRATEGY CL H RYMDX NTF Growth 1.68 None 1 EquityRydex Funds RYDEX MID CAP GROWTH H CLASS RYBHX NTF Growth 1.55 None 1 EquityRydex Funds RYDEX MID CAP VALUE H CLASS RYAVX NTF Growth 1.54 None 1 EquityRydex Funds RYDEX NASDAQ 100 2X STRATEGY CL H RYVYX NTF Growth 1.77 None 1 EquityRydex Funds RYDEX NASDAQ 100 INV CLASS RYOCX NTF Growth 1.3 None 1 EquityRydex Funds RYDEX NOVA INVESTOR CLASS RYNVX NTF Aggressive Growth 1.29 None 1 EquityRydex Funds RYDEX PRECIOUS METALS INVESTOR CL RYPMX NTF Specialty - Precious Metals 1.28 None 1 EquityRydex Funds RYDEX REAL ESTATE H CLASS RYHRX NTF Growth 1.64 None 1 EquityRydex Funds RYDEX RETAILING INV CLASS RYRIX NTF Specialty - Unaligned 1.32 None 1 EquityRydex Funds RYDEX RUSSELL 2000 1.5X STRATEGY CL H RYMKX NTF Growth 1.7 None 1 EquityRydex Funds RYDEX RUSSELL 2000 2X STRATEGY CL H RYRSX NTF Growth 1.75 None 1 EquityRydex Funds RYDEX RUSSELL 2000 FD CL H RYRHX NTF Growth 1.55 None 1 EquityRydex Funds RYDEX S&P 500 2X STRATEGY CL H RYTNX NTF Growth 1.73 None 1 EquityRydex Funds RYDEX S&P 500 FD CL H RYSPX NTF Growth 1.53 None 1 EquityRydex Funds RYDEX SGI ALL ASSET AGGRESSIVE CL H RYGHX NTF Growth 0.02 None 1 EquityRydex Funds RYDEX SGI ALL ASSET CONSERV STATEGY H RYEPX NTF Growth 0 None 1 EquityRydex Funds RYDEX SGI ALL ASSET MODERATE STRATEGY H RYMLX NTF Growth 0 None 1 EquityRydex Funds RYDEX SGI ALL CAP OPPT CLASS H RYSRX NTF Specialty - Unaligned 1.68 None 1 EquityRydex Funds RYDEX SGI ALTERNATIV STRATEGIED ALL H RYFOX NTF Growth and Income 0 None 1 EquityRydex Funds RYDEX SGI GLOBAL 130/30 STRATEGY RYQMX NTF Growth 1.11 None 1 EquityRydex Funds RYDEX SGI INTL OPPT FUND CLASS H RYFHX NTF Multi-Asset Global 1.68 None 1 EquityRydex Funds RYDEX SGI MANAGED FUTURES STRAT CL H RYMFX NTF Growth 1.75 None 1 EquityRydex Funds RYDEX SGI MULTI HEDGE STRATEGIED H RYMSX NTF Growth 1.41 None 1 EquityRydex Funds RYDEX SMALL CAP GROWTH H CLASS RYWAX NTF Growth 1.56 None 1 EquityRydex Funds RYDEX SMALL CAP VALUE H CLASS RYAZX NTF Growth 1.55 None 1 EquityRydex Funds RYDEX STRENGTHENING DOLLAR 2X STRAT CL H RYSBX NTF Growth 1.69 None 1 EquityRydex Funds RYDEX TECHNOLOGY INVESTOR CLASS RYTIX NTF Specialty - Technology 1.37 None 1 EquityRydex Funds RYDEX TELECOMM INV CLASS RYMIX NTF Specialty - Communications 1.39 None 1 EquityRydex Funds RYDEX TRANSPORTATION INVESTOR CLASS RYPIX NTF Specialty - Unaligned 1.38 None 1 EquityRydex Funds RYDEX UTILITIES INVESTOR CLASS RYUIX NTF Specialty - Utility 1.39 None 1 EquityRydex Funds RYDEX WEAKENING DOLLAR 2X STRAT CL H RYWBX NTF Growth 1.7 None 1 EquitySchroder Funds SCHRODER EMERGING MARKET EQUITY ADV CL SEMVX NTF Diversified Emerging Markets 1.5 None 1 EquitySchroder Funds SCHRODER INTL ALPHA FD ADV CL SCVEX NTF Foreign Stock 1.4 None 1 EquitySchroder Funds SCHRODER INTL DIVERSIFIED VAL ADV SIDVX NTF Foreign Stock 1.4 None 1 EquitySchroder Funds SCHRODER MULTI-ASSET GROWTH PORT ADV SHRS SALVX NTF Growth 1.5 None 1 EquitySchroder Funds SCHRODER NORTH AMERICAN EQUITY ADV SNAVX NTF Growth 0.78 None 1 EquitySchroder Funds SCHRODER TOTAL RET FIXED INC FD ADV CL SBBVX NTF Government Bond - Mortgage 0.65 None 1 EquitySchroder Funds SCHRODER US OPPT FD ADV CL SCUVX NTF Small Company 1.65 None 1 EquitySchroder Funds SCHRODER US SMALL MID CAP OPPT ADV CL SMDVX NTF Growth 1.3 None 1 EquitySchwartz Funds AVE MARIA CATHOLIC VALUES AVEMX NTF Growth 1.5 None 1 EquitySchwartz Funds AVE MARIA GROWTH AVEGX NTF Growth 1.5 None 1 EquitySchwartz Funds AVE MARIA OPPORTUNITY FUND AVESX NTF Small Company 1.25 None 1 EquitySchwartz Funds AVE MARIA RISING DIVIDEND FUND AVEDX NTF Growth and Income 1.11 None 1 EquitySchwartz Funds SCHWARTZ VALUE RCMFX NTF Growth 1.55 None 1 EquityScout Funds SCOUT BOND UMBBX NTF Corporate Bond - High Quality 0.57 None 1 BondScout Funds SCOUT INTERNATIONAL FUND UMBWX NTF Foreign Stock 1.02 None 1 EquityScout Funds SCOUT INTL DISCOVERY FUND UMBDX NTF Growth 1.6 None 1 EquityScout Funds SCOUT MID CAP FUND UMBMX NTF Growth 1.4 None 1 EquityScout Funds SCOUT SMALL CAP FUND UMBHX NTF Small Company 1.08 None 1 EquityScout Funds SCOUT STOCK FUND UMBSX NTF Growth and Income 0.9 None 1 EquityScout Funds SCOUT TRENDSTAR SMALL CAP TRESX NTF Small Company 1.4 None 1 EquitySelected Funds SELECTED SPECIAL SHARES CL S SLSSX NTF Asset Allocation 1.26 None 1 EquitySextant Funds SEXTANT INTRNATIONAL FUND SSIFX NTF Foreign Stock 1.13 None 1 EquitySierra Core Funds SIERRA CORE RETIREMENT CLASS I SIRIX NTF Balanced 1.7 None 1 EquitySIT Group SIT DEVELOPING MARKETS GROWTH SDMGX NTF Diversified Emerging Markets 2 None 1 EquitySIT Group SIT DIVIDEND GROWTH FD CL S SDVSX NTF Growth and Income 1.25 None 1 EquitySIT Group SIT INTERNATIONAL GROWTH SNGRX NTF Foreign Stock 1.5 None 1 EquitySIT Group SIT LARGE CAP GROWTH SNIGX NTF Growth 1 None 1 Equity

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Security Class

SIT Group SIT MID CAP GROWTH NBNGX NTF Growth 1.15 None 1 EquitySIT Group SIT MINNESOTA TAX FREE INCOME FUND SMTFX NTF Municipal Bond - Single State 0.8 None 1 BondSIT Group SIT MUTUAL INC BALANCED SIBAX NTF Balanced 1 None 1 EquitySIT Group SIT SMALL CAP GROWTH SSMGX NTF Small Company 1.5 None 1 EquitySIT Group SIT TAX FREE INCOME SNTIX NTF Municipal Bond - National 0.79 None 1 BondSIT Group SIT US GOV'T SECS SNGVX NTF Government Bond - General 0.8 None 1 BondSound Shore Funds SOUND SHORE FD INC SSHFX NTF Growth 0.94 None 1 EquitySouthern Sun Funds SOUTHERNSUN SMALL-CAP SSSFX NTF Small Company 1.5 None 1 EquitySSgA Funds SSGA DIRECTIONAL CORE EQUITY FUND SDCQX NTF Growth 1.85 None 1 EquitySSgA Funds SSGA DISCIPLINED EQUITY SSMTX NTF Growth and Income 0.63 None 1 EquitySSgA Funds SSGA EMERGING MARKETS SSEMX NTF Diversified Emerging Markets 1.2 None 1 EquitySSgA Funds SSGA ENHANCED SMALL CAP FD SESPX NTF Growth 0.75 None 1 EquitySSgA Funds SSGA HIGH YIELD BOND SSHYX NTF Corporate Bond - High Yield 0.75 None 1 BondSSgA Funds SSGA INTERMEDIATE SSINX NTF Government Bond - General 0.6 None 1 BondSSgA Funds SSGA INTERNATIONAL STOCK SELECTION SSAIX NTF Foreign Stock 1 None 1 EquitySSgA Funds SSGA SMALL CAP EQUITY SVSCX NTF Growth 1.81 None 1 EquitySSgA Funds SSGA TUCKERMAN ACTIVE REIT SSREX NTF Specialty - Real Estate 1 None 1 EquitySteward Funds STEWARD GLOBAL EQ INCOME - INDIVIDUAL SGIDX NTF Equity-Income 1.09 None 1 EquitySteward Funds STEWARD INTL ENHANCED INDEX INDV SNTKX NTF Multi-Asset Global 1.09 None 1 EquitySteward Funds STEWARD LARGE CAP ENHANCED INDEX INDV SEEKX NTF Growth 0.93 None 1 EquitySteward Funds STEWARD SELECT BOND FUND INDIVIDUAL CL SEAKX NTF Income 0.95 None 1 BondSteward Funds STEWARD SMALL CAP ENHANCED INDEX INDV TRDFX NTF Growth 0.98 None 1 EquityStonebridge Funds STONEBRIDGE GROWTH FUND SBSCX NTF Small Company 3.85 None 1 EquityStonebridge Funds STONEBRIDGE SMALL CAP GROWTH FUND SBAGX NTF Small Company 4.72 None 1 EquityStralem Funds STRALEM EQUITY FD ADVISOR CLASS STRAX NTF Growth -999 None 1 EquitySymons Funds SYMONS CAPITAL APPRECIATION INSTL SAGIX NTF Growth 1.46 None 1 EquitySymons Funds SYMONS SMALL CAP INSTL FUND SSMIX NTF Small Company 1.56 None 1 EquitySymons Funds SYMONS VALUE INSTL SAVIX NTF Growth 1.46 None 1 EquityT. Rowe Price Funds T ROWE PRICE GLOBAL INFRASTRUCTURE ADVIS PAGFX NTF Specialty - Utility -999 None 1 EquityT. Rowe Price Funds T ROWE PRICE GLOBAL LARGE CAP STOCK ADV PAGLX NTF Growth 1.1 None 1 EquityT. Rowe Price Funds T ROWE PRICE GLOBAL REAL ESTATE ADV CL PAGEX NTF Specialty - Real Estate 1.15 None 1 EquityT. Rowe Price Funds T ROWE PRICE GLOBAL STOCK ADVISOR CL PAGSX NTF World Stock 1.15 None 1 EquityT. Rowe Price Funds T ROWE PRICE GROWTH STOCK ADVISOR CL TRSAX NTF Growth 0.92 None 1 EquityT. Rowe Price Funds T ROWE PRICE HIGH YIELD ADVISOR CL PAHIX NTF Corporate Bond - High Yield 1.01 None 1 BondT. Rowe Price Funds T ROWE PRICE NEW AME GROWTH ADV CL PAWAX NTF Growth 1.1 None 1 EquityT. Rowe Price Funds T ROWE PRICE REAL ESTATE FUND ADV CL PAREX NTF Specialty - Real Estate 1.04 None 1 EquityT. Rowe Price Funds T ROWE PRICE RET 2050 ADV CL SHS PARFX NTF Growth and Income 0.24 None 1 EquityT. Rowe Price Funds T ROWE PRICE RTMT 2005 FUND ADV SHRS PARGX NTF Growth and Income 0.24 None 1 EquityT. Rowe Price Funds T ROWE PRICE RTMT 2015 ADVISOR CLASS PARHX NTF Growth and Income 0.25 None 1 EquityT. Rowe Price Funds T ROWE PRICE RTMT 2025 FUND ADV SHRS PARJX NTF Growth and Income 0.25 None 1 EquityT. Rowe Price Funds T ROWE PRICE RTMT 2035 ADVISOR CLASS PARKX NTF Growth and Income 0.25 None 1 EquityT. Rowe Price Funds T ROWE PRICE RTMT 2045 FUND ADV SHRS PARLX NTF Growth and Income 0.25 None 1 EquityT. Rowe Price Funds T ROWE PRICE RTMT 2055 FUND ADV SHRS PAROX NTF Growth and Income 0.25 None 1 EquityTCW Galileo Funds TCW CORE FIXED INCOME CLASS N TGFNX NTF Corporate Bond - High Quality 0.74 None 1 BondTCW Galileo Funds TCW EMERGING MARKETS EQUITIES FUND CL N TGMMX NTF Growth -999 None 1 EquityTCW Galileo Funds TCW EMERGING MARKETS INCOME CL N TGINX NTF Worldwide Bond 1.3 None 1 BondTCW Galileo Funds TCW FOCUSED EQUITIES CL N TGFVX NTF Growth 1.25 None 1 EquityTCW Galileo Funds TCW GROWTH EQUITIES CL N TGDNX NTF Growth 1.47 None 1 EquityTCW Galileo Funds TCW HIGH YIELD BOND CLASS N TGHNX NTF Corporate Bond - High Yield 1.2 None 1 BondTCW Galileo Funds TCW LARGE CAP FLEXIBLE GROWTH CL N TGLFX NTF Growth 1.34 None 1 EquityTCW Galileo Funds TCW RELATIVE VALUE LARGE CAP CLASS N TGDVX NTF Growth 1.21 None 1 EquityTCW Galileo Funds TCW RELATIVE VALUE SMALL CAP CL N TGONX NTF Small Company 1.42 None 1 EquityTCW Galileo Funds TCW SELECT EQUITIES CLASS N TGCNX NTF Growth 1.25 None 1 EquityTCW Galileo Funds TCW SMALL CAP GROWTH CLASS N TGSNX NTF Small Company 1.59 None 1 EquityTCW Galileo Funds TCW TOTAL RETURN BOND CLASS N TGMNX NTF Government Bond - Mortgage 0.74 None 1 BondTCW Galileo Funds TCW VAL OPPORTUNITY CLASS N TGVNX NTF Growth 1.36 None 1 EquityThird Avenue Funds THIRD AVENUE FOCSED CREDIT FUND INVESTOR TFCVX NTF Growth 1.4 None 3 BondThird Avenue Funds THIRD AVENUE INTL VALUE FUND INVESTOR TVIVX NTF Foreign Stock -999 None 3 EquityThird Avenue Funds THIRD AVENUE REAL ESTATE VALUE INVST TVRVX NTF Specialty - Real Estate -999 None 3 Equity

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Settlement Days

Security Class

Third Avenue Funds THIRD AVENUE SMALL - CAP VALUE INVESTOR TVSVX NTF Small Company -999 None 3 EquityThird Avenue Funds THIRD AVENUE VALUE FUND INVESTOR CLASS TVFVX NTF Growth -999 None 3 EquityThomas White Funds THOMAS WHITE AMERICAN OPPTIES TWAOX NTF Growth 1.35 None 1 EquityThomas White Funds THOMAS WHITE INTERNATIONAL TWWDX NTF Foreign Stock 1.46 None 1 EquityThompson Plumb Funds THOMPSON PLUMB BOND FUND THOPX NTF Corporate Bond - General 0.75 None 3 BondThompson Plumb Funds THOMPSON PLUMB GROWTH FUND THPGX NTF Growth 1.54 None 3 EquityThompson Plumb Funds THOMPSON PLUMB MIDCAP FUND THPMX NTF Growth 1.3 None 3 EquityThunderstorm Funds THUNDERSTORM VALUE THUNX NTF Growth 1.99 None 3 EquityTocqueville Trust THE DELAFIELD FUND DEFIX NTF Growth 1.38 None 3 EquityTocqueville Trust TOCQUEVILLE FUND TOCQX NTF Growth 1.25 None 3 EquityTocqueville Trust TOCQUEVILLE GOLD FUND TGLDX NTF Specialty - Precious Metals 1.5 None 3 EquityTocqueville Trust TOCQUEVILLE INTL VALUE TIVFX NTF Foreign Stock 1.62 None 3 EquityTocqueville Trust TOCQUEVILLE SMALL CAP VALUE TSCVX NTF Small Company 1.41 None 3 EquityToreador Funds TOREADOR LARGE CAP TORLX NTF Growth 1.5 None 1 EquityTouchstone Family of Funds TOUCHSTONE MID CAP FUND CL Z TMCTX NTF Growth 1.15 None 3 EquityTouchstone Family of Funds TOUCHSTONE SANDS CAP SEL GRWTH Z PTSGX NTF Growth 1.23 None 3 EquityTouchstone Family of Funds TOUCHSTONE SHORT DUR FIX INC CL Z TSDGX NTF Government Bond - General 0.74 None 3 EquityTouchstone Family of Funds TOUCHSTONE SMALL CAP VALUE OPPORT CL Z TSVOX NTF Small Company 1.5 None 3 EquityTouchstone Family of Funds TOUCHSTONE ULTRA SHR DUR FIX INC CL Z TSDOX NTF Government Bond - General 0.69 None 3 EquityTurner Funds TURNER CONCENTRATED GROWTH INV CL TTOPX NTF Growth 0.82 None 1 EquityTurner Funds TURNER CORE GROWTH INV CLS TCGFX NTF Growth 0.94 None 1 EquityTurner Funds TURNER EMERGING GROWTH INV CL TMCGX NTF Small Company 1.4 None 1 EquityTurner Funds TURNER LARGE CAP GRWTH INVT CL SHS TSGFX NTF Growth 0.94 None 1 EquityTurner Funds TURNER MIDCAP GROWTH INV CL TMGFX NTF Growth 1.18 None 1 EquityTurner Funds TURNER MIDCAP GROWTH RETIREMENT CL TMIIX NTF Growth 1.43 None 1 EquityTurner Funds TURNER NEW ENTERPRISE INV CL TBTBX NTF Growth 0.62 None 1 EquityTurner Funds TURNER QUANTATIVE BROAD MRKT EQ INV CL TBMFX NTF Growth 0.89 None 1 EquityTurner Funds TURNER QUANTITATIVE LARGE CAP VAL INVEST TLVEX NTF Growth 0.89 None 1 EquityTurner Funds TURNER SMALL CAP EQUITY INV CL TSEIX NTF Small Company 1.45 None 1 EquityTurner Funds TURNER SMALL CAPITAL GROWTH INV CL TSCEX NTF Small Company 1.25 None 1 EquityTurner Funds TURNER SPECTRUM FD INVESTOR CLASS TSPCX NTF Growth 2.71 None 1 EquityU.S. Global Investors ALL AMERICAN EQUITY FUND GBTFX NTF Growth and Income 1.75 None 1 EquityU.S. Global Investors CHINA REGION FUND USCOX NTF Pacific Stock 2.19 None 1 EquityU.S. Global Investors EASTERN EUROPEAN FUND EUROX NTF Europe Stock 2.1 None 1 EquityU.S. Global Investors GLOBAL EMERGING MARKETS FUND GEMFX NTF World Stock 2.5 None 1 EquityU.S. Global Investors GLOBAL MEGA TRENDS FUND MEGAX NTF Growth 1.85 None 1 EquityU.S. Global Investors GLOBAL RESOURCES FUND PSPFX NTF Specialty - Natural Resources 1.08 None 1 EquityU.S. Global Investors HOLMES GROWTH FUND ACBGX NTF Growth 1.75 None 1 EquityU.S. Global Investors WORLD PRECIOUS MINERALS FUND UNWPX NTF Specialty - Precious Metals 1.25 None 1 EquityValley Forge Funds VALLEY FORGE INSTL VAFGX NTF Asset Allocation 1.26 None 1 EquityValue Line Mutual Funds VALUE LINE VLIFX NTF Growth 0.92 None 1 EquityValue Line Mutual Funds VALUE LINE AGGRESSIVE INCOME VAGIX NTF Corporate Bond - High Yield 0.98 None 1 BondValue Line Mutual Funds VALUE LINE ASSET ALLOCATION VLAAX NTF Asset Allocation 1.17 None 1 EquityValue Line Mutual Funds VALUE LINE CONVERTIBLE VALCX NTF Convertible Bond 1.62 None 1 EquityValue Line Mutual Funds VALUE LINE EMERGING OPPORTUNITY VLEOX NTF Growth 1.18 None 1 EquityValue Line Mutual Funds VALUE LINE INCOME VALIX NTF Equity-Income 1.09 None 1 EquityValue Line Mutual Funds VALUE LINE LARGER COMPANIES FD VALLX NTF Aggressive Growth 0.93 None 1 EquityValue Line Mutual Funds VALUE LINE NEW YORK TAX EXEMPT TRUST VLNYX NTF Municipal Bond - Single State 0.75 None 1 BondValue Line Mutual Funds VALUE LINE PREMIER GROWTH FUND VALSX NTF Aggressive Growth 1.16 None 1 EquityValue Line Mutual Funds VALUE LINE TAX EXMPT NAT'L BD PORT VLHYX NTF Municipal Bond - National 0.69 None 1 BondValue Line Mutual Funds VALUE LINE US GOVT SECURITIES VALBX NTF Government Bond - General 0.82 None 1 BondVan Wagoner Funds EMBARCADERO ABSOLUTE RETURN EFARX NTF Small Company 8.27 None 1 EquityVan Wagoner Funds EMBARCADERO MARKET NEUTRAL EFMNX NTF Growth 7.92 None 1 EquityVeracity Funds VERACITY SMALL CAP VALUE FUND VSCVX NTF Growth and Income 1.5 None 1 EquityVictoria 1522 Funds VICTORIA 1522 ADVISOR CLASS VMDAX NTF Diversified Emerging Markets 1.9 None 1 EquityVillere Funds VILLERE BALANCED VILLX NTF Balanced 1.28 None 1 EquityWalthausen Funds WALTHAUSEN SMALL CAP VALUE FD WSCVX NTF Growth 1.54 None 1 EquityWasatch Funds WASATCH 1ST SOURCE INCOME EQUITY FUND FMIEX NTF Equity-Income 1.1 None 1 EquityWasatch Funds WASATCH 1ST SOURCE INCOME FD FMEQX NTF Corporate Bond - High Quality 0.84 None 1 Bond

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Sales Charge

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Security Class

Wasatch Funds WASATCH 1ST SOURCE LONG/SHORT FD FMLSX NTF Aggressive Growth 1.47 None 1 EquityWasatch Funds WASATCH CORE GROWTH WGROX NTF Growth 1.34 None 1 EquityWasatch Funds WASATCH EMERGING MARKETS SMALL CAP FD WAEMX NTF Growth 2.1 None 1 EquityWasatch Funds WASATCH GLOBAL OPPORTUNITIES RETAIL WAGOX NTF World Stock 2.25 None 1 EquityWasatch Funds WASATCH GLOBAL SCIENCE & TECHNOLOGY WAGTX NTF Specialty - Technology 1.95 None 1 EquityWasatch Funds WASATCH HERITAGE GROWTH FUND WAHGX NTF Growth 0.95 None 1 EquityWasatch Funds WASATCH HERITAGE VALUE FD WAHVX NTF Growth and Income 0.95 None 1 EquityWasatch Funds WASATCH HOISINGTON US TREASURY WHOSX NTF Government Bond - Treasury 0.75 None 1 BondWasatch Funds WASATCH INTERNATIONAL GROWTH WAIGX NTF Foreign Stock 1.94 None 1 EquityWasatch Funds WASATCH INTERNATIONL OPPORTUNITIES FD WAIOX NTF Foreign Stock 2.26 None 1 EquityWasatch Funds WASATCH MICROCAP WMICX NTF Small Company 2.24 None 1 EquityWasatch Funds WASATCH MICRO-CAP VALUE FUND WAMVX NTF Small Company 2.26 None 1 EquityWasatch Funds WASATCH SMALL CAP GROWTH WAAEX NTF Aggressive Growth 1.29 None 1 EquityWasatch Funds WASATCH SMALL CAP VALUE WMCVX NTF Small Company 1.92 None 1 EquityWasatch Funds WASATCH STRATEGIC INCOME FD WASIX NTF Income 0.95 None 1 EquityWasatch Funds WASATCH ULTRA GROWTH WAMCX NTF Growth 1.75 None 1 EquityWeitz Funds WEITZ BALANCED FUND WBALX NTF Balanced 1.17 None 1 EquityWeitz Funds WEITZ NEBRASKA TAX-FREE INCOME FUND WNTFX NTF Equity-Income 0.75 None 1 BondWeitz Funds WEITZ PARTNERS VALUE WPVLX NTF Growth 1.19 None 1 EquityWeitz Funds WEITZ SHORT INTERMED INCOME FUND WEFIX NTF Corporate Bond - General 0.69 None 1 BondWeitz Funds WEITZ VALUE WVALX NTF Growth 1.2 None 1 EquityWells Fargo Funds WELLS FARGO ADV DOW JONES TAR INV 2030 WFETX NTF Asset Allocation 0.97 None 3 EquityWells Fargo Funds WELLS FARGO ADV EMRG GRWTH FD INVESTOR WFGTX NTF Growth 1.49 None 3 EquityWells Fargo Funds WELLS FARGO ADVAN GOVNT SEC INV CL STVSX NTF Government Bond - General 0.94 None 3 BondWells Fargo Funds WELLS FARGO ADVAN SHORT TERM BOND INV SSTBX NTF Corporate Bond - General 0.85 None 3 BondWells Fargo Funds WELLS FARGO ADVANTAG INCOME PLUS INVT CL WIPNX NTF Asset Allocation 0.94 None 3 BondWells Fargo Funds WELLS FARGO ASIA PACIFIC FD-INVESTOR SASPX NTF Pacific Stock 1.65 None 3 EquityWells Fargo Funds WELLS FARGO C&B LARGE CAP VALUE INVT CBEQX NTF Growth 1.2 None 1 EquityWells Fargo Funds WELLS FARGO C&B MID CAP VALUE FD INVT CL CBMDX NTF Growth 1.25 None 1 EquityWells Fargo Funds WELLS FARGO CAPITAL GROWTH FD-INVESTOR SLGIX NTF Growth and Income 1.36 None 3 EquityWells Fargo Funds WELLS FARGO ENTERPRISE-INVESTOR SENTX NTF Growth 1.46 None 3 EquityWells Fargo Funds WELLS FARGO GROWTH & INCOME FD-INVESTOR SGRIX NTF Growth and Income 1.29 None 3 EquityWells Fargo Funds WELLS FARGO GROWTH FUND-INVESTOR CLASS SGROX NTF Growth 1.4 None 3 EquityWells Fargo Funds WELLS FARGO HIGH INCOME-INVESTOR STHYX NTF Corporate Bond - High Yield 0.92 None 3 BondWells Fargo Funds WELLS FARGO INTER TAX/AMT FREE INV SIMBX NTF Municipal Bond - National 0.75 None 3 BondWells Fargo Funds WELLS FARGO LARGE CO VALUE INVESTOR SDVIX NTF Growth 1.35 None 3 EquityWells Fargo Funds WELLS FARGO MID CAP DISCIPLINED FD-INVES SMCDX NTF Growth 1.31 None 3 EquityWells Fargo Funds WELLS FARGO MUNI BOND FD-INVESTOR SXFIX NTF Municipal Bond - National 0.8 None 3 BondWells Fargo Funds WELLS FARGO OPPORT. FUND-INVESTOR SOPFX NTF Growth 1.35 None 3 EquityWells Fargo Funds WELLS FARGO SHORT TERM HI YIELD BD-INV STHBX NTF Corporate Bond - High Yield 0.84 None 3 BondWells Fargo Funds WELLS FARGO SHORT TERM MUNI BD-INVEST STSMX NTF Municipal Bond - National 0.66 None 3 BondWells Fargo Funds WELLS FARGO SMALL/ MID CAP VAL FD-INVES SMMVX NTF Growth 1.49 None 3 EquityWells Fargo Funds WELLS FARGO ULTRA SHRT TERM INC-INVEST STADX NTF Corporate Bond - General 0.75 None 3 BondWells Fargo Funds WELLS FARGO ULTRA SHRT TM MUNI INC-ADV SMUAX NTF Municipal Bond - National 0.72 None 3 BondWells Fargo Funds WELLS FARGO WISCON TAX FREE-INVESTOR SWFRX NTF Municipal Bond - Single State 0.75 None 3 BondWells Fargo Funds WELLSFARGO DISCOVERY FUND-INVESTOR CL STDIX NTF Aggressive Growth 1.38 None 3 EquityWells Fargo Funds WELLSFARGO LARGE CAP GROWTH FD-INVESTOR STRFX NTF Growth 1.19 None 3 EquityWells Fargo Funds WELLSFARGO SMALL CAP DISCIPLINED FD-INVES SCOVX NTF Small Company 1.49 None 3 EquityWesmark Funds WESMARK BALANCED FUND WMBLX NTF Balanced 1.44 None 1 EquityWesmark Funds WESMARK GOVERNMENT BOND FD WMBDX NTF Corporate Bond - General 1.11 None 1 BondWesmark Funds WESMARK GROWTH FUND WMKGX NTF Growth 1.25 None 1 EquityWesmark Funds WESMARK SMALL COMPANY GROWTH FD WMKSX NTF Small Company 1.38 None 1 BondWestcore Funds WESTCORE BLUE CHIP FUND WTMVX NTF Growth and Income 1.13 None 1 EquityWestcore Funds WESTCORE COLORADO TAX EXEMPT WTCOX NTF Municipal Bond - Single State 0.65 None 1 BondWestcore Funds WESTCORE FLEXIBLE INCOME FUND WTLTX NTF Corporate Bond - General 0.85 None 1 BondWestcore Funds WESTCORE GROWTH WTEIX NTF Growth 1.03 None 1 EquityWestcore Funds WESTCORE INTERNAT'L FRONTIER WTIFX NTF Growth 1.5 None 1 EquityWestcore Funds WESTCORE MICRO CAP OPPORTUNITY FUND WTMIX NTF Growth 1.3 None 1 EquityWestcore Funds WESTCORE MID CAP VALUE FUND WTMCX NTF Growth 1.19 None 1 Equity

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Sales Charge

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Security Class

Westcore Funds WESTCORE MIDCO GROWTH WTMGX NTF Growth 1.03 None 1 EquityWestcore Funds WESTCORE PLUS BOND FUND WTIBX NTF Corporate Bond - High Quality 0.55 None 1 BondWestcore Funds WESTCORE SELECT WTSLX NTF Growth 1.15 None 1 EquityWestcore Funds WESTCORE SMALL CAP OPPORTUNITY WTSCX NTF Small Company 1.3 None 1 EquityWestcore Funds WESTCORE SMALL CAP VALUE FUND WTSVX NTF Small Company 1.3 None 1 EquityWestern Asset Funds WESTERN ASSET ABSOLU TE RTN PORT-FIN INTR WARIX NTF Aggressive Growth 1.05 None 1 BondWestern Asset Funds WESTERN ASSET CORE PLUS FI CLASS WACIX NTF Corporate Bond - General 0.7 None 1 BondWestern Asset Funds WESTERN ASSET CORE PORTFOLIO FI CLASS WAPIX NTF Corporate Bond - General 0.75 None 1 BondWestern Asset Funds WESTERN ASSET INFLAT INDEXED PLUS BOND FI WATPX NTF Government Bond - General 0.52 None 1 BondWestport Funds WESTPORT FUND CLASS R WPFRX NTF Growth 1.37 None 1 EquityWestport Funds WESTPORT SELECT CAP CLASS R WPSRX NTF Small Company 1.37 None 1 EquityWH Reaves Funds WH REAVES SELECT RESEARCH INV CL RSRAX NTF Aggressive Growth 1.55 None 1 EquityWilliam Blair Funds WILLIAM BLAIR BOND FUND CL N WBBNX NTF Growth and Income 0.65 None 1 BondWilliam Blair Funds WILLIAM BLAIR EMERG MARKETS GRTH FD CL N WBENX NTF Diversified Emerging Markets 1.7 None 1 EquityWilliam Blair Funds WILLIAM BLAIR GLOBAL GROWTH FD CL N WGGNX NTF World Stock 1.55 None 1 EquityWilliam Blair Funds WILLIAM BLAIR GROWTH CLASS N WBGSX NTF Growth 1.23 None 1 EquityWilliam Blair Funds WILLIAM BLAIR INCOME CLASS N WBRRX NTF Corporate Bond - High Quality 0.85 None 1 BondWilliam Blair Funds WILLIAM BLAIR INTER NATIONAL EQ FD CL N WIENX NTF Foreign Stock 1.45 None 1 EquityWilliam Blair Funds WILLIAM BLAIR INT'L GROWTH CLASS N WBIGX NTF Foreign Stock 1.45 None 1 EquityWilliam Blair Funds WILLIAM BLAIR INTL SMALL CAP GRW N WISNX NTF Growth 1.65 None 1 EquityWilliam Blair Funds WILLIAM BLAIR LARGE CAP GROWTH FD N LCGNX NTF Growth 1.23 None 1 EquityWilliam Blair Funds WILLIAM BLAIR LOW DURATION FUND CL N WBLNX NTF Multisector Bond 0.7 None 1 BondWilliam Blair Funds WILLIAM BLAIR MID CAP GRWTH FD CL N WCGNX NTF Growth 1.36 None 1 EquityWilliam Blair Funds WILLIAM BLAIR SMALL CAP GROWTH CLASS N WBSNX NTF Growth 1.5 None 1 EquityWilliam Blair Funds WILLIAM BLAIR SMALL MID CAP GROWTH CL N WSMNX NTF Growth 1.36 None 1 EquityWilliam Blair Funds WILLIAM BLAIR VALUE DISCOVERY CLASS N WBVDX NTF Small Company 1.29 None 1 EquityWilshire Target Funds DOW JONES WILSHIRE 5000 INDEX PORT INVT WFIVX NTF Growth 0.78 None 1 EquityWilshire Target Funds WILSHIRE LARGE CAP CORE 130/30 - INVEST WLCTX NTF Aggressive Growth 1.5 None 3 EquityWilshire Target Funds WILSHIRE LARGE CO GROWTH PORT INVT CL DTLGX NTF Growth 1.43 None 1 EquityWilshire Target Funds WILSHIRE LARGE CO VAL PORT INVT CL DTLVX NTF Growth 1.49 None 1 EquityWilshire Target Funds WILSHIRE SMALL CO GROWTH PORT INVT CL DTSGX NTF Small Company 2.07 None 1 EquityWilshire Target Funds WILSHIRE SMALL CO VALUE PORT INVT CL DTSVX NTF Small Company 1.94 None 1 EquityWinslow Funds WINSLOW GREEN GROWTH INV WGGFX NTF Growth 1.4 None 1 EquityWintergreen Funds WINTERGREEN FUND WGRNX NTF Growth 1.86 None 1 EquityWireless Fund THE WIRELESS FUND WIREX NTF Specialty - Communications 1.95 None 1 EquityWorld Funds THE EXCEPTIONATOR FUND CL P QCGUQ NTF None 1 EquityWorld Funds Trust SHERWOOD FOREST LONG /SHORT FUND PLATFORM SFCPX NTF Growth 1.9 None 1 EquityWright Funds WRIGHT CURRENT INCOME WCIFX NTF Government Bond - Mortgage 0.95 None 1 BondWright Funds WRIGHT INTERNATIONAL BLUE CHIP WIBCX NTF Foreign Stock 1.53 None 1 EquityWright Funds WRIGHT MAJOR BLUE CHIP WQCEX NTF Growth and Income 1.25 None 1 EquityWright Funds WRIGHT MANAGED SELECTED BLUE CHIP WSBEX NTF Growth and Income 1.25 None 1 EquityWright Funds WRIGHT MANAGED TOTAL RETURN BOND WTRBX NTF Corporate Bond - High Quality 0.7 None 1 BondYacktman Fund YACKTMAN FOCUSED FD YAFFX NTF Growth 1.25 None 3 EquityYacktman Fund YACKTMAN FUND YACKX NTF Growth 0.95 None 3 EquityYield Quest Funds YIELD QUEST CORE EQUITY FD - INVESTOR YCEIX NTF Growth and Income 1.54 None 1 BondColumbia Funds COLUMBIA RETIREMENT 2035 PORT CLASS Z BAGZX Non-NTF Growth and Income 0.1 None 1 EquityColumbia Funds COLUMBIA RETIREMENT 2040 PORT CLASS Z BFHZX Non-NTF Growth and Income 0.1 None 1 EquityColumbia Funds COLUMBIA RETIRMENT 2005 PORT CLASS Z BAAZX Non-NTF Growth and Income 0.1 None 1 EquityColumbia Funds COLUMBIA RHODE ISLAN INTERM MUNI BD CL T GRBAX Non-NTF Municipal Bond - Single State 0.54 4.75 3 BondColumbia Funds COLUMBIA RHODE ISLND INTER MUNI BD CL A LRIAX Non-NTF Municipal Bond - Single State 0.79 3.25 3 BondColumbia Funds COLUMBIA RHODE ISLND INTERM MUNI BD CL C LRICX Non-NTF Municipal Bond - Single State 1.19 1.00 3 BondColumbia Funds COLUMBIA S CAROLINA INTERMED MUNI CL A NSCIX Non-NTF Municipal Bond - Single State 0.75 3.25 3 BondColumbia Funds COLUMBIA S CAROLINA INTERMED MUNI CL C NSICX Non-NTF Municipal Bond - Single State 1.5 1.00 3 BondColumbia Funds COLUMBIA SELECT LRG CAP GROWTH CLASS A ELGAX Non-NTF World Stock 1.28 5.75 3 EquityColumbia Funds COLUMBIA SELECT LRG CAP GROWTH CLASS C ELGCX Non-NTF World Stock 2.03 1.00 3 EquityColumbia Funds COLUMBIA SELECT OPPORTUNITIES CL A EEOAX Non-NTF Growth 1.07 5.75 3 EquityColumbia Funds COLUMBIA SELECT OPPORTUNITIES CL C EEOCX Non-NTF Growth 1.82 1.00 3 EquityColumbia Funds COLUMBIA SELECT SMALL CAP CLASS A ESCAX Non-NTF Small Company 1.36 5.75 3 EquityColumbia Funds COLUMBIA SELECT SMALL CAP CLASS C ESCCX Non-NTF Small Company 2.11 1.00 3 Equity

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Security Class

Columbia Funds COLUMBIA SHORT INTERMEDIATE BD C CHOCX Non-NTF Growth and Income 1.65 1.00 3 BondColumbia Funds COLUMBIA SHORT INTERMEDIATE BD CL A CHOAX Non-NTF Growth and Income 0.9 3.25 3 BondColumbia Funds COLUMBIA SHORT TERM BOND CL A NSTRX Non-NTF Income 0.73 1.00 3 BondColumbia Funds COLUMBIA SHORT TERM INCOME CL C NSTIX Non-NTF Income 1.04 1.00 3 BondColumbia Funds COLUMBIA SHORT TERM MUNI BOND CL A NSMMX Non-NTF Municipal Bond - National 0.65 1.00 3 BondColumbia Funds COLUMBIA SHORT TERM MUNI BOND FD CL C NSMUX Non-NTF Municipal Bond - National 1.4 1.00 3 BondColumbia Funds COLUMBIA SMALL CAP CORE CL A LSMAX Non-NTF Small Company 1.33 5.75 3 EquityColumbia Funds COLUMBIA SMALL CAP CORE CL C LSMCX Non-NTF Small Company 2.08 1.00 3 EquityColumbia Funds COLUMBIA SMALL CAP CORE CL T SSCEX Non-NTF Small Company 1.38 5.75 3 EquityColumbia Funds COLUMBIA SMALL CAP GROWTH FD I CL A CGOAX Non-NTF Small Company 1.37 5.75 3 EquityColumbia Funds COLUMBIA SMALL CAP GROWTH FD I CL C CGOCX Non-NTF Small Company 2.12 1.00 3 EquityColumbia Funds COLUMBIA SMALL CAP GROWTH FD II CL A NSCGX Non-NTF Small Company 1.27 5.75 3 EquityColumbia Funds COLUMBIA SMALL CAP GROWTH FUND II CL C NCPCX Non-NTF Small Company 2.02 1.00 3 EquityColumbia Funds COLUMBIA SMALL CAP INDEX FUND A NMSAX Non-NTF Small Company 0.45 None 3 EquityColumbia Funds COLUMBIA SMALL CAP INDEX FUND Z NMSCX Non-NTF Small Company 0.2 None 1 EquityColumbia Funds COLUMBIA SMALL CAP VAL I CL C CSSCX Non-NTF Small Company 2.13 1.00 3 EquityColumbia Funds COLUMBIA SMALL CAP VAL I FUND CL A CSMIX Non-NTF Small Company 1.38 5.75 3 EquityColumbia Funds COLUMBIA SMALL CAP VALUE FD II CL C COVCX Non-NTF Small Company 2.03 1.00 3 EquityColumbia Funds COLUMBIA SMALL CAP VALUE II CL A COVAX Non-NTF Small Company 1.28 5.75 3 EquityColumbia Funds COLUMBIA STRATEGIC INCOME CL A COSIX Non-NTF Multisector Bond 0.98 4.75 3 EquityColumbia Funds COLUMBIA STRATEGIC INCOME CL C CLSCX Non-NTF Multisector Bond 1.58 1.00 3 BondColumbia Funds COLUMBIA STRATEGIC INVESTORS CL A CSVAX Non-NTF Growth 1.24 5.75 3 EquityColumbia Funds COLUMBIA STRATEGIC INVESTORS FD CL C CSRCX Non-NTF Growth 1.99 1.00 3 EquityColumbia Funds COLUMBIA TAX EXEMPT CLASS A COLTX Non-NTF Municipal Bond - National 0.8 4.75 3 BondColumbia Funds COLUMBIA TAX EXEMPT CLASS C COLCX Non-NTF Municipal Bond - National 1.4 1.00 3 BondColumbia Funds COLUMBIA TECHNOLOGY CL A CTCAX Non-NTF Specialty - Technology 1.46 5.75 3 EquityColumbia Funds COLUMBIA TECHNOLOGY FD CL C CTHCX Non-NTF Specialty - Technology 2.21 1.00 3 EquityColumbia Funds COLUMBIA THERMOSTAT CL A CTFAX Non-NTF Growth 0.5 5.75 3 EquityColumbia Funds COLUMBIA THERMOSTAT CL C CTFDX Non-NTF Growth 1.25 1.00 3 EquityColumbia Funds COLUMBIA TOTAL RETURN BOND FD CL A NSFAX Non-NTF Growth and Income 0.85 3.25 3 BondColumbia Funds COLUMBIA US TREASURY INDEX CL A LUTAX Non-NTF Government Bond - Treasury 0.55 4.75 3 BondColumbia Funds COLUMBIA US TREASURY INDEX CL Z IUTIX Non-NTF Government Bond - Treasury 0.3 None 1 BondColumbia Funds COLUMBIA US TREASURY INDEX FD CL C LUTCX Non-NTF Government Bond - Treasury 1.15 1.00 3 BondColumbia Funds COLUMBIA VALUE AND RESTRUCTURING CL A EVRAX Non-NTF Growth 1.14 5.75 3 EquityColumbia Funds COLUMBIA VALUE AND RESTRUCTURING CL C EVRCX Non-NTF Growth 1.89 1.00 3 EquityColumbia Funds COLUMBIA VALUE AND RESTRUCTURING CL R URBIX Non-NTF Growth 1.39 None 1 EquityColumbia Funds COLUMBIA VIRGINIA INTERM MUNI BD A NVAFX Non-NTF Municipal Bond - Single State 0.75 3.25 3 BondColumbia Funds COLUMBIA VIRGINIA INTERM MUNI BD C NVRCX Non-NTF Municipal Bond - Single State 1.5 1.00 3 BondColumbia Funds COLUMBIA WORLD EQUITY CL A CGUAX Non-NTF World Stock 1.58 5.75 3 EquityColumbia Funds COLUMBIA WORLD EQUITY CL C CGUCX Non-NTF World Stock 2.33 1.00 3 EquityColumbia Funds NATIONS CORPORATE BD PORT A NCOBX Non-NTF None 3 EquityColumbia Funds NATIONS MORTGAGE & ASSET BACKED PORT A NMTGX Non-NTF Growth and Income -999 None 3 EquityComerica Funds COMERICA MID CAP INDEX FUND CLASS A QXKAQ Non-NTF None 1 EquityComerica Funds COMERICA SMALL CAP INDEX CLASS A QXKBQ Non-NTF None 1 EquityCommerce Funds COMMERCE BOND CFBNX Non-NTF Corporate Bond - High Quality 0.81 None 3 BondCommerce Funds COMMERCE GROWTH CFGRX Non-NTF Growth 1.13 None 3 EquityCommerce Funds COMMERCE MID CAP GROWTH INSTL CFAGX Non-NTF Aggressive Growth 1.33 None 3 EquityCommerce Funds COMMERCE SHORT TERM GOV'T CFSTX Non-NTF Government Bond - General 0.68 None 3 BondCommerce Funds COMMERCE VALUE INSTITUTIONAL CFVLX Non-NTF Growth and Income 1.2 None 3 EquityConcorde Funds CONCORDE VALUE FUND CONVX Non-NTF Growth 2 None 1 EquityConegstoga Funds CONESTOGA SMALL CAP CCASX Non-NTF Small Company 1.1 None 1 EquityConegstoga Funds INSTITUTIONAL ADV LARGE CAP FUND CL A IALFX Non-NTF Growth 1.35 5.50 1 EquityCore Funds THE CORE FUND INSTL SHARES SGBFX Non-NTF Government Bond - General 0.69 None 1 BondCounterpoint Funds COUNTERPOINT SELECT CPFSX Non-NTF Aggressive Growth 1.1 None 1 EquityCRA Funds CRA QUALIFIED INVESTMENT FD INSTL CRANX Non-NTF Income 0.49 None 1 BondCrawford Funds CRAWFORD DIVIDEND GROWTH FD CL C CDGCX Non-NTF Growth 2 1.00 1 EquityCrawford Funds CRAWFORD DIVIDEND GROWTH FUND CL I CDGIX Non-NTF Growth 1 None 1 EquityCredit Suisse Funds CREDIT SUISSE COMMOD RETURN STRATEGY A CRSAX Non-NTF Specialty - Natural Resources 0.95 3.00 1 EquityCredit Suisse Funds CREDIT SUISSE COMMOD RETURN STRATEGY C CRSCX Non-NTF Specialty - Natural Resources 1.7 1.00 1 Equity

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Security Class

Credit Suisse Funds CREDIT SUISSE GLOBAL HIGH YLD FD INSTL RBSFX Non-NTF Corporate Bond - High Yield 0.7 None 1 BondCredit Suisse Funds CREDIT SUISSE HI INCOME CL C CHICX Non-NTF Corporate Bond - High Yield 1.85 1.00 1 BondCredit Suisse Funds CREDIT SUISSE HIGH INCOME BOND CL A CHIAX Non-NTF Corporate Bond - High Yield 1.1 4.75 1 BondCredit Suisse Funds CREDIT SUISSE HIGH INCOME CL B CHOBX Non-NTF Corporate Bond - High Yield 1.85 4.00 1 BondCredit Suisse Funds CREDIT SUISSE LARGE CAP BLEND B CFFBX Non-NTF Growth 2.05 4.00 1 EquityCredit Suisse Funds CREDIT SUISSE LARGE CAP BLEND C CFFCX Non-NTF Growth 2.05 1.00 1 EquityCredit Suisse Funds CREDIT SUISSE LARGE CAP BLEND CL A CFFAX Non-NTF Growth 1.3 5.75 1 EquityCredit Suisse Funds CREDIT SUISSE LARGE CAP GROWTH FD CL A CUAAX Non-NTF Growth 1.5 5.75 1 EquityCredit Suisse Funds CREDIT SUISSE LARGE CAP GROWTH FD CL B CUCBX Non-NTF Growth 2.25 4.00 1 EquityCredit Suisse Funds CREDIT SUISSE LARGE CAP VALUE CL A WFGIX Non-NTF Growth and Income 1.3 5.75 1 EquityCredit Suisse Funds CREDIT SUISSE LARGE CAP VALUE CLASS B WGIBX Non-NTF Growth and Income 2.05 4.00 1 EquityCredit Suisse Funds CREDIT SUISSE LARGE CAP VALUE CLASS C CVUCX Non-NTF Growth and Income 2.05 1.00 1 EquityCredit Suisse Funds CREDIT SUISSE MID CAP CORE FD CL A CUWAX Non-NTF Growth 1.7 5.75 1 EquityCredit Suisse Funds CREDIT SUISSE SMALL CAP CORE CL A WFAGX Non-NTF Small Company 1.55 5.75 1 EquityCredit Suisse Funds CREDIT SUISSE SMALL CAP CORE CL B WSCBX Non-NTF Small Company 2.3 4.00 1 EquityCredit Suisse Funds CREDIT SUISSE SMALL CAP CORE CL C CCPCX Non-NTF Small Company 2.3 1.00 1 EquityCritical Math Fund ADAPTIVE ALLOCATION FUND AAXCX Non-NTF Growth 2.79 None 1 EquityCRM Funds CRM 130/30 VALUE FUND - INSTL CL CRITX Non-NTF Growth 1.75 None 1 EquityCRM Funds CRM ALL CAP VALUE INSTITUTIONAL CL CRIEX Non-NTF Growth 1.25 None 1 EquityCRM Funds CRM GLOBAL OPPORTUNITY INSTL CL CRIWX Non-NTF Growth 1.25 None 1 EquityCRM Funds CRM INTERNATIONAL OPPORTUNITY INSTL CL CRIIX Non-NTF Growth 1.25 None 1 EquityCRM Funds CRM LARGE CAP OPPT FUND-INSTL CLASS CRIGX Non-NTF Growth 1.09 None 1 EquityCRM Funds CRM MID-CAP VALUE FD-INSTITUTIONAL CRIMX Non-NTF Growth and Income 0.84 None 1 EquityCRM Funds CRM SMALL CAP VALUE INSTITUTIONAL CRISX Non-NTF Small Company 0.86 None 1 EquityCRM Funds CRM SMALL/MID CAP VALUE FD CRIAX Non-NTF Growth 0.93 None 1 EquityCullen Funds CULLEN HIGH DIVIDEND EQUITY CLASS I CHDVX Non-NTF Equity-Income 0.75 None 1 EquityCullen Funds CULLEN HIGH DIVIDEND EQUITY FD CLASS C CHVCX Non-NTF Equity-Income 1.75 None 1 EquityCullen Funds CULLEN INTERNATIONAL HIGH DIV CL I CIHIX Non-NTF Growth and Income 1 None 1 EquityCurrency Funds THE CURRENCY FUND ADVISOR CLASS FOREX Non-NTF Growth -999 5.75 1 EquityCutler Funds CUTLER VALUE CALEX Non-NTF Growth and Income 1.4 None 1 EquityDavis Funds DAVIS APPRECIATION & INCOME FD CL Y DCSYX Non-NTF Convertible Bond 0.79 None 3 EquityDavis Funds DAVIS APPRECIATION AND INCOME CLASS A RPFCX Non-NTF Convertible Bond 1.07 4.75 3 EquityDavis Funds DAVIS APPRECIATION AND INCOME CLASS B DCSBX Non-NTF Convertible Bond 1.93 4.00 3 EquityDavis Funds DAVIS APPRECIATION AND INCOME CLASS C DCSCX Non-NTF Convertible Bond 1.87 1.00 3 EquityDavis Funds DAVIS FINANCIAL CLASS A RPFGX Non-NTF Specialty - Financial 1.06 4.75 3 EquityDavis Funds DAVIS FINANCIAL CLASS B DFIBX Non-NTF Specialty - Financial 2.08 4.00 3 EquityDavis Funds DAVIS FINANCIAL CLASS C DFFCX Non-NTF Specialty - Financial 1.94 1.00 3 EquityDavis Funds DAVIS FINANCIAL FUND CLASS Y DVFYX Non-NTF Specialty - Financial 0.97 None 3 EquityDavis Funds DAVIS GLOBAL FUND CL A DGFAX Non-NTF World Stock 1.3 4.75 3 EquityDavis Funds DAVIS GLOBAL FUND CL B DGFBX Non-NTF World Stock 2.3 4.00 3 EquityDavis Funds DAVIS GLOBAL FUND CL C DGFCX Non-NTF World Stock 2.3 1.00 3 EquityDavis Funds DAVIS GOVERNMENT BOND CLASS A RFBAX Non-NTF Government Bond - Mortgage 0.87 4.75 3 BondDavis Funds DAVIS GOVERNMENT BOND CLASS B VRPFX Non-NTF Government Bond - Mortgage 1.69 4.00 3 BondDavis Funds DAVIS GOVERNMENT BOND CLASS C DGVCX Non-NTF Government Bond - Mortgage 1.63 1.00 3 BondDavis Funds DAVIS INTERNATIONAL FUND CLASS C DILCX Non-NTF 1.00 3 EquityDavis Funds DAVIS NEW YORK VENTURE CLASS A NYVTX Non-NTF Growth 0.92 4.75 3 EquityDavis Funds DAVIS NEW YORK VENTURE CLASS B NYVBX Non-NTF Growth 1.81 4.00 3 EquityDavis Funds DAVIS NEW YORK VENTURE CLASS C NYVCX Non-NTF Growth 1.71 1.00 3 EquityDavis Funds DAVIS NEW YORK VENTURE INSTL CL Y DNVYX Non-NTF Growth 0.63 None 3 EquityDavis Funds DAVIS NY VENTURE FD CL R SHARES NYVRX Non-NTF Growth 1.32 None 3 EquityDavis Funds DAVIS OPPORTUNITY CLASS A RPEAX Non-NTF Growth 1.15 4.75 3 EquityDavis Funds DAVIS OPPORTUNITY CLASS B RPFEX Non-NTF Growth 2 4.00 3 EquityDavis Funds DAVIS OPPORTUNITY CLASS C DGOCX Non-NTF Growth 1.91 1.00 3 EquityDavis Funds DAVIS OPPORTUNITY FUND CL Y DGOYX Non-NTF Growth 0.85 None 3 EquityDavis Funds DAVIS REAL ESTATE CLASS A RPFRX Non-NTF Specialty - Real Estate 1.23 4.75 3 EquityDavis Funds DAVIS REAL ESTATE CLASS B DREBX Non-NTF Specialty - Real Estate 2.13 4.00 3 EquityDavis Funds DAVIS REAL ESTATE CLASS C DRECX Non-NTF Specialty - Real Estate 2 1.00 3 EquityDavis Funds DAVIS REAL ESTATE CLASS Y DREYX Non-NTF Specialty - Real Estate 0.89 None 3 EquityDean Funds DEAN LARGE CAP VALUE DALCX Non-NTF Growth and Income 1.5 None 3 Equity

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Security Class

Dean Funds DEAN SMALL-CAP VALUE DASCX Non-NTF Growth 1.5 None 3 EquityDelaware Funds DELAWARE CORE PLUS B OND FUND INSTL DUGIX Non-NTF Income 0.73 None 1 BondDelaware Funds DELAWARE CORE PLUS BOND FD CL A DEGGX Non-NTF Income 0.98 4.50 3 BondDelaware Funds DELAWARE CORE PLUS BOND FUND CL C DUGCX Non-NTF Income 1.73 1.00 3 BondDelaware Funds DELAWARE CORPORATE BOND CLASS I DGCIX Non-NTF Corporate Bond - General 0.65 None 1 BondDelaware Funds DELAWARE CORPORATE BOND FUND A DGCAX Non-NTF Corporate Bond - General 0.9 4.50 3 BondDelaware Funds DELAWARE CORPORATE BOND FUND C DGCCX Non-NTF Corporate Bond - General 1.65 1.00 3 BondDelaware Funds DELAWARE CORPORATE BOND FUND CL R DGCRX Non-NTF Corporate Bond - General 1.15 None 3 BondDelaware Funds DELAWARE DIVERSIFIED FLOATING RATE CL A DDFAX Non-NTF 2.75 3 BondDelaware Funds DELAWARE DIVERSIFIED INCM FD CL I DPFFX Non-NTF Multisector Bond 0.72 None 3 BondDelaware Funds DELAWARE DIVERSIFIED INCOME CL C DPCFX Non-NTF Multisector Bond 1.72 1.00 3 BondDelaware Funds DELAWARE DIVERSIFIED INCOME FD CL A DPDFX Non-NTF Multisector Bond 0.97 4.50 3 BondDelaware Funds DELAWARE DIVERSIFIED INCOME FUND CL R DPRFX Non-NTF Multisector Bond 1.22 None 3 BondDelaware Funds DELAWARE DIVIDEND INC FD INSTL CL SHS DDIIX Non-NTF Asset Allocation 0.92 None 1 EquityDelaware Funds DELAWARE DIVIDEND INCOME DDDRX Non-NTF Asset Allocation 1.42 None 3 EquityDelaware Funds DELAWARE DIVIDEND INCOME CLASS C DDICX Non-NTF Asset Allocation 1.92 1.00 3 EquityDelaware Funds DELAWARE DIVIDEND INCOME FD CL A DDIAX Non-NTF Asset Allocation 1.17 5.75 3 EquityDelaware Funds DELAWARE EMERGING MARKETS CLASS A DEMAX Non-NTF Diversified Emerging Markets 1.91 5.75 3 EquityDelaware Funds DELAWARE EMERGING MARKETS CLASS C DEMCX Non-NTF Diversified Emerging Markets 2.66 1.00 3 EquityDelaware Funds DELAWARE EMERGING MKTS FD-INSTITUT CL DEMIX Non-NTF Diversified Emerging Markets 1.66 None 1 EquityDelaware Funds DELAWARE EXTENDED DURATION BOND A DEEAX Non-NTF Corporate Bond - General 1.29 4.50 3 BondDelaware Funds DELAWARE EXTENDED DURATION BOND C DEECX Non-NTF Corporate Bond - General 1.98 1.00 3 BondDelaware Funds DELAWARE EXTENDED DURATION BOND CL I DEEIX Non-NTF Corporate Bond - General 0.99 None 1 BondDelaware Funds DELAWARE EXTENDED DURATION BOND CL R DEERX Non-NTF Corporate Bond - General 1.59 None 3 EquityDelaware Funds DELAWARE FOUNDATION AGGRESSIVE ALLOC R DFGRX Non-NTF Growth 1.36 None 3 EquityDelaware Funds DELAWARE FOUNDATION CONSERV ALLOC CL A DFIAX Non-NTF Balanced 1.13 5.75 3 EquityDelaware Funds DELAWARE FOUNDATION CONSERV ALLOC INSTL DFIIX Non-NTF Balanced 0.88 None 1 EquityDelaware Funds DELAWARE FOUNDATION CONSERVATIVE ALLOC R DFIRX Non-NTF Balanced 1.38 None 3 EquityDelaware Funds DELAWARE FOUNDATION CONSV ALLOC CL C DFICX Non-NTF Balanced 1.88 1.00 3 EquityDelaware Funds DELAWARE FOUNDATION GRWTH ALLOC CL A DFGAX Non-NTF Growth 1.11 5.75 3 EquityDelaware Funds DELAWARE FOUNDATION GRWTH ALLOC CL C DFGCX Non-NTF Growth 1.86 1.00 3 EquityDelaware Funds DELAWARE FOUNDATION GRWTH ALLOC INSTL DFGIX Non-NTF Growth 0.86 None 1 EquityDelaware Funds DELAWARE FOUNDATION MODERATE ALLOC CL A DFBAX Non-NTF Growth and Income 1.12 5.75 3 EquityDelaware Funds DELAWARE FOUNDATION MODERATE ALLOC CL C DFBCX Non-NTF Growth and Income 1.89 1.00 3 EquityDelaware Funds DELAWARE FOUNDATION MODERATE ALLOC INSTL DFFIX Non-NTF Growth and Income 0.89 None 1 EquityDelaware Funds DELAWARE FOUNDATION MODERATE ALLOC R DFBRX Non-NTF Growth and Income 1.39 None 3 EquityDelaware Funds DELAWARE GLOBAL REAL ESTATE PORT CL SHS DGROX Non-NTF Specialty - Real Estate 1.07 None 1 EquityDelaware Funds DELAWARE GLOBAL VALUE FUND CL A DABAX Non-NTF Foreign Stock 1.56 5.75 3 EquityDelaware Funds DELAWARE GLOBAL VALUE FUND CL C DABCX Non-NTF Foreign Stock 2.31 1.00 3 EquityDelaware Funds DELAWARE GLOBAL VALUE FUND INSTL CL DABIX Non-NTF Foreign Stock 1.31 None 1 EquityDelaware Funds DELAWARE GROWTH EQUITY CLASS A DASAX Non-NTF Growth 1.54 5.75 3 EquityDelaware Funds DELAWARE GROWTH EQUITY CLASS C DAMCX Non-NTF Growth 2.29 1.00 3 EquityDelaware Funds DELAWARE GROWTH EQUITY CLASS I DASIX Non-NTF Growth 1.29 None 1 EquityDelaware Funds DELAWARE GROWTH EQUITY CLASS R DASRX Non-NTF Growth 1.79 None 3 EquityDelaware Funds DELAWARE HEALTHCARE FUND CLASS A DLHAX Non-NTF Specialty - Health 1.35 5.75 3 EquityDelaware Funds DELAWARE HIGH YIELD OPPORTUNITIES CL A DHOAX Non-NTF Corporate Bond - High Yield 1.15 4.50 3 BondDelaware Funds DELAWARE HIGH YIELD OPPORTUNITIES CL C DHOCX Non-NTF Corporate Bond - High Yield 1.85 1.00 3 BondDelaware Funds DELAWARE HIGH YLD OPPT FUND CLASS I DHOIX Non-NTF Corporate Bond - High Yield 0.85 None 1 EquityDelaware Funds DELAWARE HIGH-YIELD OPPORTUNITIES CL R DHIRX Non-NTF Corporate Bond - High Yield 1.35 None 3 BondDelaware Funds DELAWARE INFLATION PROTECTED BOND CL A DIPAX Non-NTF Government Bond - Treasury 0.75 4.50 3 BondDelaware Funds DELAWARE INFLATION PROTECTED BOND FD C DIPCX Non-NTF Government Bond - Treasury 1.5 1.00 3 BondDelaware Funds DELAWARE INFLATION PROTECTED FUND INSTL DIPIX Non-NTF Government Bond - Treasury 0.5 None 1 BondDelaware Funds DELAWARE INTERNAT'L VALUE EQUITY CL A DEGIX Non-NTF Foreign Stock 1.52 5.75 3 EquityDelaware Funds DELAWARE INTERNAT'L VALUE EQUITY CL R DIVRX Non-NTF Foreign Stock 1.72 None 3 EquityDelaware Funds DELAWARE INTERNAT'L VALUE EQUITY FD CL C DEGCX Non-NTF Foreign Stock 2.22 1.00 3 EquityDelaware Funds DELAWARE INTL EQUITY PORT POOLED TRUST DPIEX Non-NTF Foreign Stock 0.88 None 1 EquityDelaware Funds DELAWARE INTL VALUE EQUITY CLASS I DEQIX Non-NTF Foreign Stock 1.22 None 3 EquityDelaware Funds DELAWARE LARGE CAP VALUE CL R DECRX Non-NTF Growth 1.4 None 3 EquityDelaware Funds DELAWARE LARGE CAP VALUE FUND CL A DELDX Non-NTF Growth 1.18 5.75 3 Equity

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Security Class

Delaware Funds DELAWARE LARGE CAP VALUE FUND CL C DECCX Non-NTF Growth 1.9 1.00 3 EquityDelaware Funds DELAWARE LARGE CAP VALUE FUND INSTL DEDIX Non-NTF Growth 0.9 None 1 EquityDelaware Funds DELAWARE LIMITED TERM DIV INCOME CL A DTRIX Non-NTF Income 0.84 2.75 3 BondDelaware Funds DELAWARE LIMITED TERM DIV INCOME CL C DTICX Non-NTF Income 1.69 1.00 3 BondDelaware Funds DELAWARE LIMITED TERM DIV INCOME CL I DTINX Non-NTF Income 0.69 None 1 BondDelaware Funds DELAWARE LIMITED TERM DIV INCOME CL R DLTRX Non-NTF Income 1.19 None 3 BondDelaware Funds DELAWARE MACQUARIE GL INFRASTRUCTURE A DMGAX Non-NTF 5.75 3 EquityDelaware Funds DELAWARE MID CAP VALUE FUND CL A DLMAX Non-NTF Growth 1.25 5.75 3 EquityDelaware Funds DELAWARE MID CAP VALUE FUND CL R DLMRX Non-NTF Growth 1.5 None 3 EquityDelaware Funds DELAWARE MID CAP VALUE FUND INSTL DLMIX Non-NTF Growth 1 None 1 EquityDelaware Funds DELAWARE MINNESOTA HI YLD MUNI BD CL C DVMMX Non-NTF Municipal Bond - Single State 1.68 1.00 3 BondDelaware Funds DELAWARE MINNESOTA HIGH YIELD MUNI BD A DVMHX Non-NTF Municipal Bond - Single State 0.93 4.50 3 BondDelaware Funds DELAWARE NATIONAL HIGH YIELD MUNI BD A CXHYX Non-NTF Municipal Bond - National 0.9 4.50 3 BondDelaware Funds DELAWARE NATIONAL HIGH YIELD MUNI BD C DVHCX Non-NTF Municipal Bond - National 1.65 1.00 3 BondDelaware Funds DELAWARE PLUS BOND FUND CL R DUGRX Non-NTF Income 1.23 None 3 BondDelaware Funds DELAWARE REAL ESTATE INSTITUTIONAL DPRSX Non-NTF Specialty - Real Estate 1.23 None 1 EquityDelaware Funds DELAWARE REAL ESTATE INVESTMENT TR CL R DPRRX Non-NTF Specialty - Real Estate 1.73 None 3 BondDelaware Funds DELAWARE REAL ESTATE INVST TRUST CLASS A DPREX Non-NTF Specialty - Real Estate 1.48 5.75 3 EquityDelaware Funds DELAWARE REAL ESTATE INVST TRUST CLASS C DPRCX Non-NTF Specialty - Real Estate 2.23 1.00 3 EquityDelaware Funds DELAWARE SELECT GROWTH CL I VAGGX Non-NTF Growth 1.24 None 1 EquityDelaware Funds DELAWARE SELECT GROWTH CLASS A DVEAX Non-NTF Growth 1.49 5.75 3 EquityDelaware Funds DELAWARE SELECT GROWTH CLASS C DVECX Non-NTF Growth 2.24 1.00 3 EquityDelaware Funds DELAWARE SELECT GROWTH FUND CL R DFSRX Non-NTF Growth 1.74 None 3 EquityDelaware Funds DELAWARE SMALL CAP CORE CL C DCCCX Non-NTF Small Company 2.2 1.00 3 EquityDelaware Funds DELAWARE SMALL CAP CORE FD CLASS A DCCAX Non-NTF Small Company 1.45 5.75 3 EquityDelaware Funds DELAWARE SMALL CAP CORE FUND CL R DCCRX Non-NTF Small Company 1.7 None 3 EquityDelaware Funds DELAWARE SMALL CAP CORE INSTL DCCIX Non-NTF Small Company 1.2 None 1 EquityDelaware Funds DELAWARE SMALL CAP VALUE CL R DVLRX Non-NTF Small Company 1.68 None 3 EquityDelaware Funds DELAWARE SMALL CAP VALUE CLASS A DEVLX Non-NTF Small Company 1.43 5.75 3 EquityDelaware Funds DELAWARE SMALL CAP VALUE CLASS C DEVCX Non-NTF Small Company 2.18 1.00 3 EquityDelaware Funds DELAWARE SMALL CAP VALUE INSTL CL DEVIX Non-NTF Small Company 1.18 None 1 EquityDelaware Funds DELAWARE SMID CAP GROWTH CLASS A DFCIX Non-NTF Growth 1.44 5.75 3 EquityDelaware Funds DELAWARE SMID CAP GROWTH CLASS C DEEVX Non-NTF Growth 2.14 1.00 3 EquityDelaware Funds DELAWARE SMID CAP GROWTH CLASS I DFDIX Non-NTF Growth 1.14 None 1 EquityDelaware Funds DELAWARE SMID CAP GROWTH CLASS R DFRIX Non-NTF Growth 1.64 None 3 EquityDelaware Funds DELAWARE TAX FREE NEW YORK CL A FTNYX Non-NTF Municipal Bond - Single State 0.85 4.50 3 BondDelaware Funds DELAWARE TAX FREE PENNSLYVANIA CLASS C DPTCX Non-NTF Municipal Bond - Single State 1.67 1.00 3 BondDelaware Funds DELAWARE TAX FREE PENNSYLVANIA CLASS A DELIX Non-NTF Municipal Bond - Single State 0.9 4.50 3 BondDelaware Funds DELAWARE TAX FREE USA CLASS A DMTFX Non-NTF Municipal Bond - National 0.84 4.50 3 BondDelaware Funds DELAWARE TAX FREE USA CLASS C DUSCX Non-NTF Municipal Bond - National 1.6 1.00 3 BondDelaware Funds DELAWARE TAX FREE USA INTERMED CLASS A DMUSX Non-NTF Municipal Bond - National 0.75 2.75 3 BondDelaware Funds DELAWARE TAX FREE USA INTERMED CLASS C DUICX Non-NTF Municipal Bond - National 1.6 1.00 3 BondDelaware Funds DELAWARE TAX-FREE CALIFORNIA CL A DVTAX Non-NTF Municipal Bond - Single State 0.88 4.50 3 BondDelaware Funds DELAWARE TAX-FREE CALIFORNIA CL C DVFTX Non-NTF Municipal Bond - Single State 1.63 1.00 3 BondDelaware Funds DELAWARE TAX-FREE COLORADO CL A VCTFX Non-NTF Municipal Bond - Single State 0.9 4.50 3 BondDelaware Funds DELAWARE TAX-FREE COLORADO CL C DVCTX Non-NTF Municipal Bond - Single State 1.65 1.00 3 BondDelaware Funds DELAWARE TAX-FREE FUND CL A VAZIX Non-NTF Municipal Bond - Single State 0.75 4.50 3 BondDelaware Funds DELAWARE TAX-FREE FUND CL C DVACX Non-NTF Municipal Bond - Single State 1.5 1.00 3 BondDelaware Funds DELAWARE TAX-FREE IDAHO CL A VIDAX Non-NTF Municipal Bond - Single State 0.88 4.50 3 BondDelaware Funds DELAWARE TAX-FREE IDAHO CL C DVICX Non-NTF Municipal Bond - Single State 1.63 1.00 3 BondDelaware Funds DELAWARE TAX-FREE MINNESOTA CL A DEFFX Non-NTF Municipal Bond - Single State 0.93 4.50 3 BondDelaware Funds DELAWARE TAX-FREE MINNESOTA CL C DMOCX Non-NTF Municipal Bond - Single State 1.68 1.00 3 BondDelaware Funds DELAWARE TAX-FREE MINNESOTA INTER CL A DXCCX Non-NTF Municipal Bond - Single State 0.75 2.75 3 BondDelaware Funds DELAWARE TAX-FREE MINNESOTA INTER CL C DVSCX Non-NTF Municipal Bond - Single State 1.6 1.00 3 BondDelaware Funds DELAWARE TAX-FREE NEW YORK CL C DVFNX Non-NTF Municipal Bond - Single State 1.6 1.00 3 BondDelaware Funds DELAWARE TREND CLASS A DELTX Non-NTF Growth 1.48 5.75 3 EquityDelaware Funds DELAWARE TREND CLASS C DETCX Non-NTF Growth 2.19 1.00 3 EquityDelaware Funds DELAWARE TREND FUND CL R DETRX Non-NTF Growth 1.69 None 3 EquityDelaware Funds DELAWARE TREND INSTITUTIONAL DGTIX Non-NTF Growth 1.19 None 1 Equity

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Settlement Days

Security Class

Delaware Funds DELAWARE U S GROWTH CL R DEURX Non-NTF Growth 1.25 None 3 EquityDelaware Funds DELAWARE US GROWTH CLASS A DUGAX Non-NTF Growth 1 5.75 3 EquityDelaware Funds DELAWARE US GROWTH CLASS C DEUCX Non-NTF Growth 1.75 1.00 3 EquityDelaware Funds DELAWARE US GROWTH CLASS I DEUIX Non-NTF Growth 0.75 None 1 EquityDelaware Funds DELAWARE VALUE CL R DDVRX Non-NTF Growth 1.32 None 3 EquityDelaware Funds DELAWARE VALUE FD CL A DDVAX Non-NTF Growth 1.07 5.75 3 EquityDelaware Funds DELAWARE VALUE FD CL C DDVCX Non-NTF Growth 1.82 1.00 3 EquityDelaware Funds DELAWARE VALUE FUND INSTITUTIONAL DDVIX Non-NTF Growth 0.82 None 1 EquityDiamond Hill Funds DIAMOND HILL FINANCI AL LONG-SHORT FUND I DHFSX Non-NTF Specialty - Financial 1.18 None 3 EquityDiamond Hill Funds DIAMOND HILL FINANCIAL LONG/SHT A BANCX Non-NTF Specialty - Financial 1.56 5.00 3 EquityDiamond Hill Funds DIAMOND HILL FINANCIAL LONG/SHT C BSGCX Non-NTF Specialty - Financial 2.3 1.00 3 EquityDiamond Hill Funds DIAMOND HILL LARGE CAP CLASS A DHLAX Non-NTF Growth 1.16 5.00 3 EquityDiamond Hill Funds DIAMOND HILL LARGE CAP CLASS C DHLCX Non-NTF Growth 1.91 1.00 3 EquityDiamond Hill Funds DIAMOND HILL LARGE CAP FUND CLASS I DHLRX Non-NTF Growth 0.78 None 3 EquityDiamond Hill Funds DIAMOND HILL LONG SHORT CLASS A DIAMX Non-NTF Growth 1.45 5.00 3 EquityDiamond Hill Funds DIAMOND HILL LONG SHORT CLASS C DHFCX Non-NTF Growth 2.2 1.00 3 EquityDiamond Hill Funds DIAMOND HILL LONG/SHRT FUND CL I DHLSX Non-NTF Growth 1.08 None 3 EquityDiamond Hill Funds DIAMOND HILL SELECT D CL A DHTAX Non-NTF Growth 1.28 5.00 3 EquityDiamond Hill Funds DIAMOND HILL SELECT FD CL C DHTCX Non-NTF Growth 2.01 1.00 3 EquityDiamond Hill Funds DIAMOND HILL SELECT FD CL I DHLTX Non-NTF Growth 0.87 None 3 EquityDiamond Hill Funds DIAMOND HILL SMALL - MID CAP FD A DHMAX Non-NTF Growth 1.32 5.00 3 EquityDiamond Hill Funds DIAMOND HILL SMALL CAP CLASS A DHSCX Non-NTF Small Company 1.35 5.00 3 EquityDiamond Hill Funds DIAMOND HILL SMALL CAP CLASS C DHSMX Non-NTF Small Company 2.11 1.00 3 EquityDiamond Hill Funds DIAMOND HILL SMALL CAP FUND CLASS I DHSIX Non-NTF Small Company 0.98 None 3 EquityDiamond Hill Funds DIAMOND HILL SMALL- MID CAP FD I DHMIX Non-NTF Growth 0.93 None 3 EquityDiamond Hill Funds DIAMOND HILL STRAT INCOME CLASS I DHSTX Non-NTF Income 0.67 None 3 BondDiamond Hill Funds DIAMOND HILL STRATEG INCOME FUND CL A DSIAX Non-NTF Income 1.06 3.50 3 BondDiamond Hill Funds DIAMOND HILL STRATEGIC INCOME C DSICX Non-NTF Income 1.8 1.00 3 BondDiamond Hill Funds DIAMOND HILL-SMALL MID CAP FD CL C DHMCX Non-NTF Growth 2.05 1.00 3 EquityDirexion Evolution Funds DIREXION PSI CORE STRENGTH FD CL INV DXCSX Non-NTF Growth 2 None 1 EquityDirexion Evolution Funds DIREXION PSI MACRO TRENDS INV CLASS DXMTX Non-NTF Growth 2 None 1 EquityDirexion Evolution Funds DIREXION PSI TOTAL RETURN FD CL INV DXTRX Non-NTF Growth and Income 2 None 1 EquityDirexion Evolution Funds DIREXION SPECTRUM GLO PERS SERVICE CL SFGPX Non-NTF Multi-Asset Global 2.49 None 1 EquityDirexion Evolution Funds DIREXION SPECTRUM OPPORTUNITY ADVISOR SFEOX Non-NTF Aggressive Growth 2.72 None 1 EquityDirexion Evolution Funds DIREXION SPECTTRUM SEL ALT SERVICE SHS SFHYX Non-NTF Asset Allocation 2.59 None 1 BondDirexion Funds DIREXION COMMODITY TRENDS STRAT INSTL DXCIX Non-NTF Growth 1.44 None 1 EquityDirexion Funds DIREXION COMMODITY TRENDS STRATEGY CL C DXSCX Non-NTF 1.00 1 EquityDirexion Funds DIREXION FINANCIAL TRENDS STRATEGY CL C DXFCX Non-NTF 1.00 1 EquityDirexion Funds DIREXION FINANCIAL TRENDS STRATEGY INST DXFIX Non-NTF Growth 1.4 None 1 EquityDirexion Funds DIREXION LONG/SHORT GLOBAL IPO CL C DXGCX Non-NTF 1.00 1 EquityDirexion Funds DIREXION/WILSHIRE DYNAMIC FUND CLASS C DXWCX Non-NTF 1.00 1 EquityDodge & Cox Funds DODGE & COX BALANCE DODBX Non-NTF Balanced 0.53 None 1 EquityDodge & Cox Funds DODGE & COX GLOBAL STOCK FUND DODWX Non-NTF Growth 0.74 None 1 EquityDodge & Cox Funds DODGE & COX INCOME DODIX Non-NTF Corporate Bond - High Quality 0.43 None 1 BondDodge & Cox Funds DODGE & COX INTERNATL STOCK FUND DODFX Non-NTF Foreign Stock 0.65 None 1 EquityDodge & Cox Funds DODGE & COX STOCK DODGX Non-NTF Growth and Income 0.52 None 1 EquityDomini Funds DOMINI INTERNATIONAL SOCAIL EQUITY FD A DOMAX Non-NTF Growth 1.57 4.75 1 EquityDomini Funds DOMINI SOCIAL EQUITY CLASS A DSEPX Non-NTF Growth 1.18 4.75 3 EquityDomini Funds DOMINI SOCIAL EQUITY FUND CL R DSFRX Non-NTF Growth 0.85 None 1 EquityDomini Funds DOMINI SOCIAL EQUITY INSTL DIEQX Non-NTF Growth 0.65 None 1 EquityDreman Funds DREMAN CONTRARIAN SM CAP VALUE - INSTL DRISX Non-NTF Growth 1.09 None 1 EquityDreyfus Funds BNY MELLON CL M MPBFX Non-NTF Corporate Bond - General 0.56 None 3 BondDreyfus Funds BNY MELLON EMERGING MKTKS FD CL M MEMKX Non-NTF Diversified Emerging Markets 1.64 None 3 EquityDreyfus Funds BNY MELLON INTER APPRECIATION CL M MPPMX Non-NTF Foreign Stock 0.66 None 3 EquityDreyfus Funds BNY MELLON INTER US GOV'T CL M MGVMX Non-NTF Government Bond - General 0.65 None 3 BondDreyfus Funds BNY MELLON INTL FD CL M MPITX Non-NTF Foreign Stock 1.03 None 3 EquityDreyfus Funds BNY MELLON LARGE CAP STOCK CL M MPLCX Non-NTF Growth 0.81 None 3 EquityDreyfus Funds BNY MELLON MD CAP STOCK CL M MPMCX Non-NTF Growth 0.92 None 3 EquityDreyfus Funds BNY MELLON NATL INTER MUNI BD CL M MPNIX Non-NTF Municipal Bond - National 0.51 None 3 Bond

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Sales Charge

Settlement Days

Security Class

Dreyfus Funds BNY MELLON NY INTERM TAX EX BD M MNYMX Non-NTF Municipal Bond - Single State 0.59 None 3 BondDreyfus Funds BNY MELLON SMALL CAP STOCK CL M MPSSX Non-NTF Growth 0.99 None 3 EquityDreyfus Funds DREYFUS ACTIVE MID CAP FUND CL A DNLDX Non-NTF Growth 1.21 5.75 3 EquityDreyfus Funds DREYFUS ACTIVE MID CAP FUND CL C DNLCX Non-NTF Growth 2.03 1.00 3 EquityDreyfus Funds DREYFUS ACTIVE MID CAP FUND CL I DNLRX Non-NTF Growth 1.5 None 3 EquityDreyfus Funds DREYFUS ALPH GROWTH CL A DPWAX Non-NTF Growth 1.26 5.75 3 EquityDreyfus Funds DREYFUS ALPH GROWTH FD CL I DPARX Non-NTF Growth 0.83 None 3 EquityDreyfus Funds DREYFUS ALPHA GRWTH CL C BSFCX Non-NTF Growth 2.07 1.00 3 EquityDreyfus Funds DREYFUS AMT-FREE MUNI BOND CLASS A DMUAX Non-NTF Municipal Bond - National 0.7 4.50 3 BondDreyfus Funds DREYFUS AMT-FREE MUNI BOND CLASS C DMUCX Non-NTF Municipal Bond - National 1.45 1.00 3 BondDreyfus Funds DREYFUS BALANCED OPP CL I DBORX Non-NTF Balanced 0.85 None 3 EquityDreyfus Funds DREYFUS BALANCED OPPT CL A DBOAX Non-NTF Balanced 1.12 5.75 3 EquityDreyfus Funds DREYFUS BALANCED OPPT CL C DBOCX Non-NTF Balanced 1.88 1.00 3 EquityDreyfus Funds DREYFUS BASIC GNMA DIGFX Non-NTF Government Bond - Mortgage 0.56 None 1 BondDreyfus Funds DREYFUS BOND MARKET INDEX CLASS R DBIRX Non-NTF Corporate Bond - General 0.15 None 1 BondDreyfus Funds DREYFUS BOSTON CO EMER MKTS CORE I SBCEX Non-NTF Foreign Stock 1.43 None 3 EquityDreyfus Funds DREYFUS BOSTON CO INTL EQ CL I SDIEX Non-NTF Foreign Stock 1.21 None 3 EquityDreyfus Funds DREYFUS BOSTON CO SM MID CAP GRW I SDSCX Non-NTF Small Company 0.93 None 3 EquityDreyfus Funds DREYFUS BOSTON CO SMALL CAP TAX SEN I SDCEX Non-NTF Small Company 1.05 None 3 EquityDreyfus Funds DREYFUS BOSTON CO SMALL CAP VAL CL I STSVX Non-NTF Small Company 0.97 None 3 EquityDreyfus Funds DREYFUS BRAZIL EQUITY FUND CL A DBZAX Non-NTF Foreign Stock -999 5.75 3 EquityDreyfus Funds DREYFUS BRAZIL EQUITY FUND CL C DBZCX Non-NTF Foreign Stock -999 1.00 3 EquityDreyfus Funds DREYFUS CA AMT-FREE MUNI BOND CLASS A DCAAX Non-NTF Municipal Bond - Single State 0.93 4.50 3 BondDreyfus Funds DREYFUS CA AMT-FREE MUNI BOND CLASS C DCACX Non-NTF Municipal Bond - Single State 1.71 1.00 3 BondDreyfus Funds DREYFUS CONNECTICUT MUN BD A PSCTX Non-NTF Municipal Bond - Single State 0.91 4.50 3 BondDreyfus Funds DREYFUS CONNECTICUT MUNI C PMCCX Non-NTF Municipal Bond - Single State 1.66 1.00 3 BondDreyfus Funds DREYFUS CORE EQUITY CL A DLTSX Non-NTF Growth 1.25 5.75 1 EquityDreyfus Funds DREYFUS CORE EQUITY CL C DPECX Non-NTF Growth 2 1.00 3 EquityDreyfus Funds DREYFUS CORE EQUITY CL I DPERX Non-NTF Growth 1.01 None 3 EquityDreyfus Funds DREYFUS CORE VALUE CL C DCVCX Non-NTF Growth 1.9 1.00 3 EquityDreyfus Funds DREYFUS CORE VALUE CLASS A DCVIX Non-NTF Growth 1.15 5.75 3 EquityDreyfus Funds DREYFUS CORE VALUE CLASS I DTCRX Non-NTF Growth 0.9 None 1 EquityDreyfus Funds DREYFUS CORE VALUE INSTL FUND DCVFX Non-NTF Growth 1.05 None 1 EquityDreyfus Funds DREYFUS DISCOVERY CL I FDIRX Non-NTF Small Company 1.61 None 1 EquityDreyfus Funds DREYFUS DISCOVERY CLASS A FDIDX Non-NTF Small Company 1.77 5.75 3 EquityDreyfus Funds DREYFUS DISCOVERY CLASS B FDIEX Non-NTF Small Company 2.75 4.00 3 EquityDreyfus Funds DREYFUS DISCOVERY CLASS C FDICX Non-NTF Small Company 2.6 1.00 3 EquityDreyfus Funds DREYFUS DIVERSIFIED INTL A DFPAX Non-NTF Foreign Stock 0.37 5.75 3 EquityDreyfus Funds DREYFUS DYNAMIC ALTERNATIVE FD CL A DDYAX Non-NTF 5.75 3 EquityDreyfus Funds DREYFUS DYNAMIC ALTERNATIVES FD CL C DDYCX Non-NTF 1.00 3 EquityDreyfus Funds DREYFUS EMERGING ASIA FUND A DEAAX Non-NTF Foreign Stock 2 5.75 3 EquityDreyfus Funds DREYFUS EMERGING ASIA FUND C DEACX Non-NTF Foreign Stock 2.75 1.00 3 EquityDreyfus Funds DREYFUS EMERGING MARKETS OPP FD CL C SEOCX Non-NTF Diversified Emerging Markets 2.75 1.00 3 EquityDreyfus Funds DREYFUS EMERGING MARKTS CL A DRFMX Non-NTF Diversified Emerging Markets 2 5.75 3 EquityDreyfus Funds DREYFUS EMERGING MKTS CL B DBPEX Non-NTF Diversified Emerging Markets 2.78 4.00 3 EquityDreyfus Funds DREYFUS EMERGING MKTS CL C DCPEX Non-NTF Diversified Emerging Markets 2.72 1.00 3 EquityDreyfus Funds DREYFUS EMERGING MKTS CL I DRPEX Non-NTF Diversified Emerging Markets 1.79 None 3 EquityDreyfus Funds DREYFUS EMERGING MKTS OPPOR FUND CL A SEOAX Non-NTF Diversified Emerging Markets 2 5.75 3 EquityDreyfus Funds DREYFUS EMG MRKT DEBT LOCAL CUR A DDBAX Non-NTF Growth 1.35 4.50 3 EquityDreyfus Funds DREYFUS EMG MRKT DEBT LOCAL CUR CL C DDBCX Non-NTF Growth 2.1 1.00 3 BondDreyfus Funds DREYFUS EQUITY GROWT CL A FRMAX Non-NTF Growth and Income 1.31 5.75 3 EquityDreyfus Funds DREYFUS EQUITY GROWT CL C FRMDX Non-NTF Growth and Income 2.1 1.00 3 EquityDreyfus Funds DREYFUS EQUITY INCME FD CL A DQIAX Non-NTF Growth and Income 1.5 5.75 3 EquityDreyfus Funds DREYFUS GLOBAL ABSOLUTE RETURN A DGPAX Non-NTF Growth 1.5 5.75 3 EquityDreyfus Funds DREYFUS GLOBAL ABSOLUTE RETURN CL C DGPCX Non-NTF Growth 2.25 1.00 3 EquityDreyfus Funds DREYFUS GLOBAL ALPHA FD CL C AVGCX Non-NTF Growth 2.72 1.00 3 EquityDreyfus Funds DREYFUS GLOBAL ALPHA FD CL I AVGRX Non-NTF Growth 1.59 None 3 EquityDreyfus Funds DREYFUS GLOBAL ALPHA FUND CL A AVGAX Non-NTF Growth 1.97 5.75 3 EquityDreyfus Funds DREYFUS GLOBAL EQUITY INC CL C DEQCX Non-NTF World Stock 2.25 1.00 3 Equity

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Sales Charge

Settlement Days

Security Class

Dreyfus Funds DREYFUS GLOBAL STOCK FD CL C DGLCX Non-NTF Growth 2.09 1.00 3 EquityDreyfus Funds DREYFUS GLOBAL STOCK FUND CLASS A DGLAX Non-NTF Growth 1.38 5.75 3 EquityDreyfus Funds DREYFUS GLOBAL STOCK FUND CLASS I DGLRX Non-NTF Growth 0.99 None 3 EquityDreyfus Funds DREYFUS GNMA INC CL A GPGAX Non-NTF Government Bond - Mortgage 1.04 4.50 3 BondDreyfus Funds DREYFUS GNMA INC CL C GPNCX Non-NTF Government Bond - Mortgage 1.78 1.00 3 BondDreyfus Funds DREYFUS GREATER CHINA CL A DPCAX Non-NTF Foreign Stock 1.94 5.75 3 EquityDreyfus Funds DREYFUS GREATER CHINA CL C DPCCX Non-NTF Foreign Stock 2.68 1.00 3 EquityDreyfus Funds DREYFUS GREATER CHINA CL I DPCRX Non-NTF Foreign Stock 1.62 None 3 EquityDreyfus Funds DREYFUS HIGH YIELD FD CLASS A DPLTX Non-NTF Corporate Bond - High Yield 0.95 4.50 3 BondDreyfus Funds DREYFUS HIGH YIELD FUND CLASS C PTHIX Non-NTF Corporate Bond - High Yield 1.7 1.00 3 BondDreyfus Funds DREYFUS HIGH YIELD FUND CLASS I DLHRX Non-NTF Corporate Bond - High Yield 0.69 None 3 BondDreyfus Funds DREYFUS HIGH YIELD MUNI BD A DHYAX Non-NTF Municipal Bond - National 1.02 4.50 3 BondDreyfus Funds DREYFUS HIGH YLD MUNI BD CL C DHYCX Non-NTF Municipal Bond - National 1.8 1.00 3 BondDreyfus Funds DREYFUS INTER TERM INCOME C DTECX Non-NTF Corporate Bond - General 1.69 1.00 3 BondDreyfus Funds DREYFUS INTERNAT EQUITY CL A DIEAX Non-NTF Foreign Stock 1.12 5.75 3 EquityDreyfus Funds DREYFUS INTERNATINL EQUITY CL I DIERX Non-NTF Foreign Stock 0.85 None 3 EquityDreyfus Funds DREYFUS INTERNTL BOND FD C DIBCX Non-NTF Worldwide Bond 1.82 1.00 3 BondDreyfus Funds DREYFUS INTER-TERM INC CL I DITIX Non-NTF Corporate Bond - General 0.54 None 3 BondDreyfus Funds DREYFUS INTER-TERM INCOME A DRITX Non-NTF Corporate Bond - General 0.82 4.50 1 BondDreyfus Funds DREYFUS INT'L EQUITY FD CL C DIECX Non-NTF Foreign Stock 1.9 1.00 3 EquityDreyfus Funds DREYFUS INTL STOCK FUND CLASS A DISAX Non-NTF Foreign Stock 1.42 5.75 3 EquityDreyfus Funds DREYFUS INTL STOCK FUND CLASS C DISCX Non-NTF Foreign Stock 2.22 1.00 3 EquityDreyfus Funds DREYFUS INTL STOCK FUND CLASS I DISRX Non-NTF Foreign Stock 1.01 None 3 EquityDreyfus Funds DREYFUS INTL VALUE CL C DICVX Non-NTF Foreign Stock 2.63 1.00 3 EquityDreyfus Funds DREYFUS INT'L VALUE CL I DIRVX Non-NTF Foreign Stock 1.36 None 3 EquityDreyfus Funds DREYFUS INTL VALUE FUND CL A DVLAX Non-NTF Foreign Stock 1.84 5.75 3 EquityDreyfus Funds DREYFUS INTLBD FD CL A DIBAX Non-NTF Worldwide Bond 1.08 4.50 3 EquityDreyfus Funds DREYFUS LARGE CAP VALUE FUND CL A DAUAX Non-NTF Growth and Income 1.46 5.75 3 EquityDreyfus Funds DREYFUS LG CAP EQUIT CL I DLQIX Non-NTF Growth 0.78 None 3 EquityDreyfus Funds DREYFUS LG CAP EQUIT FD CL A DLQAX Non-NTF Growth 1.5 5.75 3 EquityDreyfus Funds DREYFUS LG CAP GROWT FD CL I DAPIX Non-NTF Growth 0.84 None 3 EquityDreyfus Funds DREYFUS LG CAP GRWTH CL A DAPAX Non-NTF Growth 1.1 5.75 3 EquityDreyfus Funds DREYFUS LG CAP VALUE FD CL I DAUIX Non-NTF Growth and Income 0.8 None 3 EquityDreyfus Funds DREYFUS LIFETIME GRWTH&INC PORT CL R DGIRX Non-NTF Growth and Income 1.04 None 1 EquityDreyfus Funds DREYFUS MARYLAND MUNI BD A PSMDX Non-NTF Municipal Bond - Single State 0.94 4.50 3 BondDreyfus Funds DREYFUS MASS MUNI BD A PSMAX Non-NTF Municipal Bond - Single State 0.94 4.50 3 BondDreyfus Funds DREYFUS MASS MUNI BOND CL C PCMAX Non-NTF Municipal Bond - Single State 1.69 1.00 3 BondDreyfus Funds DREYFUS MD MUNI BOND CLASS C PMDCX Non-NTF Municipal Bond - Single State 1.73 1.00 3 BondDreyfus Funds DREYFUS MID CAP GROW CLASS A FRSDX Non-NTF Growth 1.44 5.75 3 EquityDreyfus Funds DREYFUS MID CAP GROWTH FD CL C FRSCX Non-NTF Growth 2.19 1.00 3 EquityDreyfus Funds DREYFUS MID CAP GROWTH FD CL I FRSRX Non-NTF Growth 1.19 None 3 EquityDreyfus Funds DREYFUS MID CAP VALUE CLASS C DVLCX Non-NTF Growth and Income 1.88 1.00 3 EquityDreyfus Funds DREYFUS MID CAP VALUE FD A DMCVX Non-NTF Growth and Income 1.22 5.75 1 EquityDreyfus Funds DREYFUS MINNESOTA MUNI BD A PSMNX Non-NTF Municipal Bond - Single State 0.96 4.50 3 BondDreyfus Funds DREYFUS MINNESOTA MUNI BD C PMNCX Non-NTF Municipal Bond - Single State 1.73 1.00 3 BondDreyfus Funds DREYFUS MRKT DEBT LOCAL CURR CL I DDBIX Non-NTF Growth 1.1 None 3 BondDreyfus Funds DREYFUS MUNI BOND CLASS C DMBCX Non-NTF Municipal Bond - National 1.68 1.00 3 BondDreyfus Funds DREYFUS MUNICIPAL BOND CL A PTEBX Non-NTF Municipal Bond - National 0.92 4.50 3 BondDreyfus Funds DREYFUS NATURAL RESOURCES A DNLAX Non-NTF Specialty - Natural Resources 2 5.75 3 EquityDreyfus Funds DREYFUS NATURAL RESOURCES C DLDCX Non-NTF Specialty - Natural Resources 2.77 1.00 3 EquityDreyfus Funds DREYFUS NEW JERSEY MUNI BD CL A DRNJX Non-NTF Municipal Bond - Single State 0.85 4.50 3 BondDreyfus Funds DREYFUS NEWTON INTL EQUITY SNIEX Non-NTF Foreign Stock 1.13 None 3 EquityDreyfus Funds DREYFUS NEWTON INTL EQUITY CLASS A NIEAX Non-NTF Foreign Stock 1.26 5.75 3 EquityDreyfus Funds DREYFUS NEWTON INTL EQUITY CLASS C NIECX Non-NTF Foreign Stock 1.42 1.00 3 EquityDreyfus Funds DREYFUS NJ MUNI BOND CL C DCNJX Non-NTF Municipal Bond - Single State 1.6 1.00 3 BondDreyfus Funds DREYFUS NY AMT-FREE MUNI BOND CLASS A PSNYX Non-NTF Municipal Bond - Single State 0.86 4.50 3 BondDreyfus Funds DREYFUS NY AMT-FREE MUNI BOND CLASS C PNYCX Non-NTF Municipal Bond - Single State 1.61 1.00 3 BondDreyfus Funds DREYFUS OHIO MUNI BD CLASS A PSOHX Non-NTF Municipal Bond - Single State 0.95 4.50 3 BondDreyfus Funds DREYFUS OHIO MUNI BD CLASS C POHCX Non-NTF Municipal Bond - Single State 1.7 1.00 3 Bond

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Sales Charge

Settlement Days

Security Class

Dreyfus Funds DREYFUS PENNSYL MUNI BD A PTPAX Non-NTF Municipal Bond - Single State 0.96 4.50 3 BondDreyfus Funds DREYFUS PENNSYL MUNI BD CL C PPACX Non-NTF Municipal Bond - Single State 1.69 1.00 3 BondDreyfus Funds DREYFUS RESEARCH GROWTH FD CL A DWOAX Non-NTF Growth 1.57 5.75 3 EquityDreyfus Funds DREYFUS RESOURCES CL I DLDRX Non-NTF Specialty - Natural Resources 1.7 None 3 EquityDreyfus Funds DREYFUS S & P STARS CL A DPPAX Non-NTF Growth and Income 1.36 5.75 3 EquityDreyfus Funds DREYFUS S&P 500 STOCK INDEX FUND DSPIX Non-NTF Growth and Income 0.2 None 1 EquityDreyfus Funds DREYFUS S&P STARS CL C BSPCX Non-NTF Growth and Income 2.12 1.00 3 EquityDreyfus Funds DREYFUS S&P STARS CL I BSSPX Non-NTF Growth and Income 0.85 None 1 EquityDreyfus Funds DREYFUS S&P STARS OPP FD CL I DSORX Non-NTF Growth 1.16 None 3 EquityDreyfus Funds DREYFUS S&P STARS OPPR CL A DPOAX Non-NTF Growth 1.34 5.75 3 EquityDreyfus Funds DREYFUS S&P STARS OPPR CL C BSOCX Non-NTF Growth 2.08 1.00 3 EquityDreyfus Funds DREYFUS SELECT MNGS SMALL CAP VALUE CL C DMECX Non-NTF Small Company 2.15 1.00 3 EquityDreyfus Funds DREYFUS SHORT INTERM MUNI BD CL A DMBAX Non-NTF Municipal Bond - National -999 2.50 3 BondDreyfus Funds DREYFUS SMAL L CAP EQUITY DSECX Non-NTF Small Company 2.2 1.00 3 EquityDreyfus Funds DREYFUS SMALL CAP CL A DSVAX Non-NTF Small Company 1.36 5.75 3 EquityDreyfus Funds DREYFUS SMALL CAP CL C DSVCX Non-NTF Small Company 2.11 1.00 3 EquityDreyfus Funds DREYFUS SMALL CAP CL I DSVRX Non-NTF Small Company 1.11 None 1 EquityDreyfus Funds DREYFUS SMALL CAP EQUITY A DSEAX Non-NTF Small Company 1.37 5.75 3 EquityDreyfus Funds DREYFUS SMALL CAP EQUITY I DSERX Non-NTF Small Company 1.13 None 3 EquityDreyfus Funds DREYFUS STANDISH MELLON FIXED INC I SDFIX Non-NTF Corporate Bond - General 0.5 None 3 BondDreyfus Funds DREYFUS STANDISH MELLON GL FIXED I SDGIX Non-NTF Worldwide Bond 0.65 None 3 BondDreyfus Funds DREYFUS STANDISH MELLON INTER TX EX I SDITX Non-NTF Municipal Bond - National 0.45 None 3 BondDreyfus Funds DREYFUS STANDISH MELLON INTL FIXED I SDIFX Non-NTF Worldwide Bond 0.78 None 3 BondDreyfus Funds DREYFUS STRATEGIC INCOME CL A DSTAX Non-NTF Income 1.1 4.50 3 EquityDreyfus Funds DREYFUS STRATEGIC INCOME FUND CL C DSTCX Non-NTF Income 1.85 1.00 3 BondDreyfus Funds DREYFUS STRATEGIC VALUE CL A DAGVX Non-NTF Growth 1.26 5.75 3 EquityDreyfus Funds DREYFUS STRATEGIC VALUE CL C DCGVX Non-NTF Growth 2.03 1.00 3 EquityDreyfus Funds DREYFUS STRATEGIC VALUE CL I DRGVX Non-NTF Growth 1.11 None 1 EquityDreyfus Funds DREYFUS STRUCTURED MID CAP FUND CL A DPSAX Non-NTF Growth 1.51 5.75 3 EquityDreyfus Funds DREYFUS STRUCTURED MID CAP FUND CL C DPSCX Non-NTF Growth 2.22 1.00 3 EquityDreyfus Funds DREYFUS STRUCTURED MID CAP FUND CL I DPSRX Non-NTF Growth 1.17 None 3 EquityDreyfus Funds DREYFUS TAX MANAGED GROWTH CL A DTMGX Non-NTF Growth 1.25 5.75 3 EquityDreyfus Funds DREYFUS TAX MANAGED GROWTH CL C DPTAX Non-NTF Growth 2 1.00 3 EquityDreyfus Funds DREYFUS TECHNOLOGY GROWTH CLASS A DTGRX Non-NTF Specialty - Technology 1.67 5.75 3 EquityDreyfus Funds DREYFUS TECHNOLOGY GROWTH CLASS C DTGCX Non-NTF Specialty - Technology 2.73 1.00 3 EquityDreyfus Funds DREYFUS TECHNOLOGY GROWTH CLASS I DGVRX Non-NTF Specialty - Technology 1.24 None 1 EquityDreyfus Funds DREYFUS THIRD CENTURY FUND CL A DTCAX Non-NTF Growth 1.3 5.75 3 EquityDreyfus Funds DREYFUS THIRD CENTURY FUND CL C DTCCX Non-NTF Growth 2.14 1.00 3 EquityDreyfus Funds DREYFUS THIRD CENTURY FUND CL I DRTCX Non-NTF Growth 0.95 None 1 EquityDreyfus Funds DREYFUS TOTAL RETURN ADVANTAGE CL A DTRAX Non-NTF Growth and Income 0.9 4.50 3 EquityDreyfus Funds DREYFUS TOTAL RETURN ADVANTAGE CL C DTRCX Non-NTF Growth and Income 1.65 1.00 3 BondDreyfus Funds DREYFUS TOTAL RETURN ADVANTAGE CL I DTRRX Non-NTF Growth and Income 0.65 4.50 3 EquityDreyfus Funds DREYFUS US EQUITY FUND CL A DPUAX Non-NTF Growth 1.4 5.75 3 EquityDreyfus Funds DREYFUS US EQUITY FUND CL C DPUCX Non-NTF Growth 2.15 1.00 3 EquityDreyfus Funds DREYFUS US EQUITY FUND CL I DPUIX Non-NTF Growth 1.15 None 3 EquityDreyfus Funds DREYFUS WORLDWIDE GROWTH FUND CL A PGROX Non-NTF World Stock 1.33 5.75 3 EquityDreyfus Funds DREYFUS WORLDWIDE GROWTH FUND CL C PGRCX Non-NTF World Stock 2.06 1.00 3 EquityDreyfus Funds DREYFUS WORLDWIDE GROWTH FUND CL I DPWRX Non-NTF World Stock 1.06 None 1 EquityDreyfus Funds DREYFUS/STANDISH GLOBAL FIXED INC A DHGAX Non-NTF Worldwide Bond -999 5.75 3 BondDreyfus Funds DREYFUS/TBC SMALL / MID CAP FUND CL A DBMAX Non-NTF Small Company 1.25 5.75 3 EquityDreyfus Funds EMERGING MARKETS OPPORTUNITY CL I SEORX Non-NTF Diversified Emerging Markets 1.75 None 3 EquityDundeewealth Funds DUNDEE WEALTH FOCUS EQUITY FD CL I BMLEX Non-NTF Growth 0.95 None 1 EquityDundeewealth Funds DUNDEE WEALTH LARGE CORE FD BSLGX Non-NTF Growth 0.79 None 1 EquityDundeewealth Funds JOHCM INTERNATIONAL SELECT FUND CLASS I JOHIX Non-NTF Foreign Stock 1.09 None 1 EquityDunham Funds DUNAHM SMALL CAP GROWTH FD CL A DADGX Non-NTF Small Company 2.57 5.75 1 EquityDunham Funds DUNHAM APPRECIATION & INCOME FD CL A DAAIX Non-NTF Growth and Income 2.08 5.75 1 EquityDunham Funds DUNHAM CORPORATE GOV'T BD FD CL A DACGX Non-NTF Growth and Income 1.43 4.50 1 EquityDunham Funds DUNHAM CORPORATE/GOV BOND FD CLASS C DCCGX Non-NTF Growth and Income 1.93 1.00 1 BondDunham Funds DUNHAM EMERGING MKTS STOCK FD CL A DAEMX Non-NTF Diversified Emerging Markets 2.67 5.75 1 Equity

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Settlement Days

Security Class

Dunham Funds DUNHAM HIGH YIELD BOND FD CL A DAHYX Non-NTF Corporate Bond - High Yield 1.8 4.50 1 BondDunham Funds DUNHAM HIGH YIELD BOND FUND CLASS C DCHYX Non-NTF Corporate Bond - High Yield 2.3 1.00 1 BondDunham Funds DUNHAM INTL STOCK FUND CL A DAINX Non-NTF Foreign Stock 2.85 5.75 1 EquityDunham Funds DUNHAM LARGE CAP GROWTH FD CL A DALGX Non-NTF Growth and Income 1.26 5.75 1 EquityDunham Funds DUNHAM LARGE CAP VALUE FD CL A DALVX Non-NTF Growth and Income 1.94 5.75 1 EquityDunham Funds DUNHAM MONTHLY DISTRIBUTION CLASS A DAMDX Non-NTF Growth 2.6 5.75 1 EquityDunham Funds DUNHAM MONTHLY DISTRIBUTION CLASS C DCMDX Non-NTF Growth 3.35 1.00 1 EquityDunham Funds DUNHAM REAL ESTATE STOCK FUND CL A DAREX Non-NTF Specialty - Real Estate 3.27 5.75 1 EquityDunham Funds DUNHAM SMALL CAP VALUE FD CL A DASVX Non-NTF Small Company 1.7 5.75 1 EquityDupree Funds DUPREE ALABAMA TAX FREE INCOME SERIES DUALX Non-NTF Municipal Bond - Single State 0.45 None 1 BondDupree Funds DUPREE KENTUCKY TAX FREE INCOME KYTFX Non-NTF Municipal Bond - Single State 0.58 None 1 BondDupree Funds DUPREE KENTUCKY TAX FREE SHORT TO MEDIUM KYSMX Non-NTF Municipal Bond - Single State 0.72 None 1 BondDupree Funds DUPREE MISSISSIPPI TAX-FREE INC FD DUMSX Non-NTF Municipal Bond - Single State 0.44 None 1 BondDupree Funds DUPREE N CAROLINA TAX FR SHORT TO MED NTSMX Non-NTF Municipal Bond - Single State 0.81 None 1 BondDupree Funds DUPREE N CAROLINA TAX FREE INCOME NTFIX Non-NTF Municipal Bond - Single State 0.72 None 1 BondDupree Funds DUPREE TENNESSEE TAX FREE INCOME TNTIX Non-NTF Municipal Bond - Single State 0.7 None 1 BondDupree Funds DUPREE TENNESSEE TAX FREE SHORT TO MEDIUM TTSMX Non-NTF Municipal Bond - Single State 0.82 None 1 BondDWS Funds DWS ALTERNATIVE ASSE T ALLOCATION PLUS A AAAAX Non-NTF Growth 0.49 5.75 3 EquityDWS Funds DWS ALTERNATIVE ASSET ALL PLUS INSTL AAAZX Non-NTF Growth 0.24 None 1 EquityDWS Funds DWS ALTERNATIVE ASSET ALLOC PLUS C AAAPX Non-NTF Growth 1.24 1.00 3 EquityDWS Funds DWS BALANCED CLASS A KTRAX Non-NTF Balanced 0.97 5.75 3 EquityDWS Funds DWS BALANCED CLASS C KTRCX Non-NTF Balanced 1.81 1.00 3 EquityDWS Funds DWS BLUE CHIP CL A KBCAX Non-NTF Growth and Income 1.26 5.75 3 EquityDWS Funds DWS BLUE CHIP CL C KBCCX Non-NTF Growth and Income 2.02 1.00 3 EquityDWS Funds DWS BLUE CHIP FUND - INSTITUTIONAL KBCIX Non-NTF Growth and Income 1.16 None 3 EquityDWS Funds DWS CALIFORNIA TAX FREE INCOME CLASS A KCTAX Non-NTF Municipal Bond - Single State 0.82 2.75 3 BondDWS Funds DWS CALIFORNIA TAX FREE INCOME CLASS C KCTCX Non-NTF Municipal Bond - Single State 1.62 1.00 3 BondDWS Funds DWS CAPITAL GROWTH CL A SDGAX Non-NTF Growth 1.11 5.75 3 EquityDWS Funds DWS CAPITAL GROWTH CL C SDGCX Non-NTF Growth 1.9 1.00 3 EquityDWS Funds DWS CAPITAL GROWTH INSTITUTIONAL SHARES SDGTX Non-NTF Growth 0.71 None 1 EquityDWS Funds DWS CASH MANAGEMENT INSTITUTIONAL SHARES BICXX Non-NTF None 1 EquityDWS Funds DWS CLIMATE CHANGE FD CL C WRMCX Non-NTF Growth and Income 2.5 1.00 3 BondDWS Funds DWS CLIMATE CHANGE FUND CL I WRMIX Non-NTF Growth and Income 1.5 None 3 EquityDWS Funds DWS CLIMATE CHANGE FUND CLASS A WRMAX Non-NTF Growth and Income 1.75 5.75 3 EquityDWS Funds DWS COMMUNICATIONS CLASS A TISHX Non-NTF Specialty - Communications 1.46 5.75 3 EquityDWS Funds DWS COMMUNICATIONS CLASS C FTICX Non-NTF Specialty - Communications 2.21 1.00 3 EquityDWS Funds DWS CORE FIXED INCOME CLASS A SFXAX Non-NTF Corporate Bond - High Quality 0.78 4.50 3 BondDWS Funds DWS CORE FIXED INCOME CLASS C SFXCX Non-NTF Corporate Bond - High Quality 1.55 1.00 3 BondDWS Funds DWS CORE FIXED INCOME CLASS R SFXRX Non-NTF Corporate Bond - High Quality 1.06 None 3 BondDWS Funds DWS CORE FIXED INCOME INSTITUTIONAL MFINX Non-NTF Corporate Bond - High Quality 0.55 None 1 BondDWS Funds DWS CORE PLUS INCOME CLASS A SZIAX Non-NTF Corporate Bond - High Quality 1 4.50 3 BondDWS Funds DWS CORE PLUS INCOME CLASS C SZICX Non-NTF Corporate Bond - High Quality 1.75 1.00 3 BondDWS Funds DWS DISCIPLINED LONG /SHORT GRWTH FD CL A LSGAX Non-NTF Growth 1.46 5.75 3 EquityDWS Funds DWS DISCIPLINED MARK ET NEUTRAL FD CL C DDMCX Non-NTF Growth 2.5 1.00 3 EquityDWS Funds DWS DISCIPLINED MARKET NEUTRAL INSTL DDMIX Non-NTF Growth 1.45 None 3 EquityDWS Funds DWS DISCIPLINED MKT NEUTRAL FUND CL A DDMAX Non-NTF Growth 1.75 5.75 3 EquityDWS Funds DWS DIVERSIFIED INTL EQUITY CLASS A DBISX Non-NTF Foreign Stock 1.41 5.75 3 EquityDWS Funds DWS DIVERSIFIED INTL EQUITY FD CLASS C DBICX Non-NTF Foreign Stock 2.24 1.00 3 EquityDWS Funds DWS DIVERSIFIED INTL EQUITY FD INSTL CL MGINX Non-NTF Foreign Stock 0.94 None 1 EquityDWS Funds DWS DREMAN MID CAP VALUE CLASS A MIDVX Non-NTF Growth 1.34 5.75 3 EquityDWS Funds DWS DREMAN MID CAP VALUE CLASS C MIDZX Non-NTF Growth 2.04 1.00 3 EquityDWS Funds DWS DREMAN SMALL CAP VALUE CLASS A KDSAX Non-NTF Small Company 1.25 5.75 3 EquityDWS Funds DWS DREMAN SMALL CAP VALUE CLASS C KDSCX Non-NTF Small Company 2.01 1.00 3 EquityDWS Funds DWS DREMAN SMALL CAP VALUE INSTL CL KDSIX Non-NTF Small Company 0.8 None 1 EquityDWS Funds DWS EMERGING MARKETS EQUITY CLASS A SEKAX Non-NTF Diversified Emerging Markets 1.83 5.75 3 EquityDWS Funds DWS EMERGING MARKETS EQUITY CLASS C SEKCX Non-NTF Diversified Emerging Markets 2.73 1.00 3 EquityDWS Funds DWS EMERGING MARKETS EQUITY FUND CL I SEKIX Non-NTF Diversified Emerging Markets 1.38 None 3 EquityDWS Funds DWS EMERGING MARKETS FIXED INCOME CL A SZEAX Non-NTF Worldwide Bond 1.29 4.50 3 EquityDWS Funds DWS EMERGING MARKETS FIXED INCOME CL C SZECX Non-NTF Worldwide Bond 2.04 1.00 3 Bond

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Settlement Days

Security Class

DWS Funds DWS ENHANCED COMMOD STRATEGY INSTL SKIRX Non-NTF Growth 1.26 None 3 EquityDWS Funds DWS ENHANCED COMMODITY STRATEGY A SKNRX Non-NTF Growth 1.51 5.75 3 EquityDWS Funds DWS ENHANCED COMMODITY STRATEGY C SKCRX Non-NTF Growth 2.26 1.00 3 EquityDWS Funds DWS EQUITY 500 INDEX FUND CL S BTIEX Non-NTF Growth 0.21 None 1 EquityDWS Funds DWS EUROPE EQUITY CLASS A SERAX Non-NTF Europe Stock 1.53 5.75 3 EquityDWS Funds DWS EUROPE EQUITY CLASS C SERCX Non-NTF Europe Stock 2.44 1.00 3 EquityDWS Funds DWS FLOATING RATE PLUS CLASS A DFRAX Non-NTF Income 1.16 2.75 3 BondDWS Funds DWS FLOATING RATE PLUS FD CLASS C DFRCX Non-NTF Income 1.96 1.00 3 EquityDWS Funds DWS GLOBAL BOND CL A SZGAX Non-NTF Worldwide Bond 1.21 4.50 3 BondDWS Funds DWS GLOBAL BOND CL C SZGCX Non-NTF Worldwide Bond 1.95 1.00 3 BondDWS Funds DWS GLOBAL INFLATION PLUS CL A TIPAX Non-NTF Multisector Bond 0.91 2.75 3 BondDWS Funds DWS GLOBAL INFLATION PLUS CL C TIPCX Non-NTF Multisector Bond 1.66 1.00 3 BondDWS Funds DWS GLOBAL INFLATION PLUS INSTL TIPIX Non-NTF Multisector Bond 0.66 None 1 BondDWS Funds DWS GLOBAL OPPORTUNITIES CL A KGDAX Non-NTF World Stock 1.56 5.75 3 EquityDWS Funds DWS GLOBAL OPPORTUNITIES CL C KGDCX Non-NTF World Stock 2.32 1.00 3 EquityDWS Funds DWS GLOBAL THEMATIC CL A SGQAX Non-NTF World Stock 1.59 5.75 3 EquityDWS Funds DWS GLOBAL THEMATIC CL C SGQCX Non-NTF World Stock 2.37 1.00 3 EquityDWS Funds DWS GLOBAL THEMATIC FUND - R SGQRX Non-NTF World Stock 1.83 None 3 EquityDWS Funds DWS GNMA FUND CLASS A GGGGX Non-NTF Government Bond - Mortgage 0.64 2.75 3 BondDWS Funds DWS GOLD & PRECIOUS METALS CL A SGDAX Non-NTF Specialty - Precious Metals 1.42 5.75 3 EquityDWS Funds DWS GOLD & PRECIOUS METALS CL C SGDCX Non-NTF Specialty - Precious Metals 2.16 1.00 3 EquityDWS Funds DWS GROWTH & INCOME CL A SUWAX Non-NTF Growth and Income 1.09 5.75 3 EquityDWS Funds DWS GROWTH & INCOME CL C SUWCX Non-NTF Growth and Income 1.86 1.00 3 EquityDWS Funds DWS HEALTH CARE CLASS A SUHAX Non-NTF Specialty - Health 1.58 5.75 3 EquityDWS Funds DWS HEALTH CARE CLASS C SUHCX Non-NTF Specialty - Health 2.32 1.00 3 EquityDWS Funds DWS HIGH INCOME CLAS A KHYAX Non-NTF Corporate Bond - High Yield 0.96 4.50 3 BondDWS Funds DWS HIGH INCOME CLAS C KHYCX Non-NTF Corporate Bond - High Yield 1.72 1.00 3 BondDWS Funds DWS HIGH INCOME PLUS CLASS A SGHAX Non-NTF Corporate Bond - High Yield 0.98 4.50 3 BondDWS Funds DWS HIGH INCOME PLUS CLASS C SGHCX Non-NTF Corporate Bond - High Yield 1.71 1.00 3 BondDWS Funds DWS HIGH INCOME PLUS INSTITUTIONAL SHARES MGHYX Non-NTF Corporate Bond - High Yield 0.6 None 1 BondDWS Funds DWS INTERMEDIATE TAX /AMT FREE INSTL SHS SZMIX Non-NTF Municipal Bond - National 0.55 None 1 BondDWS Funds DWS INTERMEDIATE TAX/AMT FREE CL A SZMAX Non-NTF Municipal Bond - National 0.84 2.75 3 BondDWS Funds DWS INTERMEDIATE TAX/AMT FREE CL C SZMCX Non-NTF Municipal Bond - National 1.61 1.00 3 BondDWS Funds DWS INTERNATIONAL CLASS A SUIAX Non-NTF Foreign Stock 1.28 5.75 3 EquityDWS Funds DWS INTERNATIONAL CLASS C SUICX Non-NTF Foreign Stock 2.03 1.00 3 EquityDWS Funds DWS INTERNATIONAL VALUE OPPOR FD CL C DNVCX Non-NTF Growth 2.28 1.00 3 EquityDWS Funds DWS INTERNATIONAL VALUE OPPT CL A DNVAX Non-NTF Growth 1.53 5.75 3 EquityDWS Funds DWS LARGE CAP VALUE CLASS A KDCAX Non-NTF Growth and Income 1.02 5.75 3 EquityDWS Funds DWS LARGE CAP VALUE CLASS C KDCCX Non-NTF Growth and Income 1.78 1.00 3 EquityDWS Funds DWS LARGE CAP VALUE FUND - INSTITUTIONAL KDCIX Non-NTF Growth and Income 0.63 None 1 EquityDWS Funds DWS LARGE COMPANY GROWTH CL A SGGAX Non-NTF Growth 1.34 5.75 3 EquityDWS Funds DWS LARGE COMPANY GROWTH CL C SGGCX Non-NTF Growth 2.09 1.00 3 EquityDWS Funds DWS LARGE COMPANY GROWTH FUND INSTL SGGIX Non-NTF Growth 0.89 None 3 EquityDWS Funds DWS LATIN AMERICA EQUITY CLASS A SLANX Non-NTF Foreign Stock 1.82 5.75 3 EquityDWS Funds DWS LATIN AMERICA EQUITY CLASS C SLAPX Non-NTF Foreign Stock 2.75 1.00 3 EquityDWS Funds DWS LIFE COMPASS 2015 FUND CLASS A SPDAX Non-NTF Asset Allocation 0.48 5.75 3 EquityDWS Funds DWS LIFE COMPASS 2015 FUND CLASS C SPDCX Non-NTF Asset Allocation 1.23 1.00 3 EquityDWS Funds DWS LIFE COMPASS 2020 CLASS A SUPAX Non-NTF Asset Allocation 0.49 5.75 3 EquityDWS Funds DWS LIFE COMPASS 2020 FUND CLASS C SUPCX Non-NTF Asset Allocation 1.24 1.00 3 EquityDWS Funds DWS LIFE COMPASS 2030 FUND CL C PLSCX Non-NTF Asset Allocation 1.2 1.00 3 EquityDWS Funds DWS LIFE COMPASS 2030 FUND CLASS A PLUSX Non-NTF Asset Allocation 0.45 5.75 3 EquityDWS Funds DWS LIFE COMPASS PROTECT 2017 CL A PROAX Non-NTF Balanced 1.75 5.75 3 EquityDWS Funds DWS LIFE COMPASS PROTECT 2017 CL C PROCX Non-NTF Balanced 2.5 1.00 3 EquityDWS Funds DWS LIFE COMPASS PROTECT 2017 INSTL PROTX Non-NTF Balanced 1.5 None 1 EquityDWS Funds DWS LIFE COMPASS RETIREMENT CLASS C SUCCX Non-NTF Asset Allocation 1.27 1.00 3 EquityDWS Funds DWS LIFE COMPASS RETIRMENT FD CLASS A SUCAX Non-NTF Asset Allocation 0.52 5.75 3 EquityDWS Funds DWS LIFECYCLE LONG RANGE FUND CL I BTAMX Non-NTF Balanced 0.57 None 3 EquityDWS Funds DWS MANAGED MUNICIPAL BOND CL A SMLAX Non-NTF Municipal Bond - National 1.1 2.75 3 BondDWS Funds DWS MANAGED MUNICIPAL BOND CL C SMLCX Non-NTF Municipal Bond - National 1.87 1.00 3 Bond

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Security Class

DWS Funds DWS MANAGED MUNICIPAL BOND CL I SMLIX Non-NTF Municipal Bond - National 0.89 None 3 EquityDWS Funds DWS MASSACHUSETTS TAX FREE CLASS A SQMAX Non-NTF Municipal Bond - Single State 0.91 2.75 3 BondDWS Funds DWS MASSACHUSETTS TAX FREE CLASS C SQMCX Non-NTF Municipal Bond - Single State 1.66 1.00 3 BondDWS Funds DWS MID CAP GROWTH CL A SMCAX Non-NTF Growth 1.22 5.75 3 EquityDWS Funds DWS MID CAP GROWTH CL C SMCCX Non-NTF Growth 2.2 1.00 3 EquityDWS Funds DWS MID CAP GROWTH INSTITUTIONAL SHARES BTEAX Non-NTF Growth 1.03 None 1 EquityDWS Funds DWS NEW YORK TAX FREE INCOME CLASS A KNTAX Non-NTF Municipal Bond - Single State 0.86 2.75 3 BondDWS Funds DWS NEW YORK TAX FREE INCOME CLASS C KNTCX Non-NTF Municipal Bond - Single State 1.61 1.00 3 BondDWS Funds DWS RREEF GLBL REAL ESTATE SEC FD CL I RRGIX Non-NTF Specialty - Real Estate 1.26 None 3 EquityDWS Funds DWS RREEF GLOBAL INFRASTRUCTED CL A TOLLX Non-NTF Growth and Income 1.51 5.75 3 EquityDWS Funds DWS RREEF GLOBAL REAL ESTATE FD C RRGCX Non-NTF Specialty - Real Estate 2.26 1.00 3 EquityDWS Funds DWS RREEF REAL ESTATE SEC FD CL A RRRAX Non-NTF Specialty - Real Estate 0.94 5.75 3 EquityDWS Funds DWS RREEF REAL ESTATE SEC FD CL C RRRCX Non-NTF Specialty - Real Estate 1.78 1.00 3 EquityDWS Funds DWS RREEF REAL ESTATE SEC FD-INSTL RRRRX Non-NTF Specialty - Real Estate 0.63 None 1 EquityDWS Funds DWS RREF GLOBAL REAL ESTATE SEC CL A RRGAX Non-NTF Specialty - Real Estate 1.5 5.75 3 EquityDWS Funds DWS RREFF GLOBAL INFRASTRUCTURE FD C TOLCX Non-NTF Growth and Income 2.26 1.00 3 EquityDWS Funds DWS S&P 500 INDEX CL A SXPAX Non-NTF Growth and Income 0.65 4.50 3 EquityDWS Funds DWS S&P 500 INDEX CL C SXPCX Non-NTF Growth and Income 1.41 1.00 3 BondDWS Funds DWS S&P 500 INDEX CL S SCPIX Non-NTF Growth and Income 0.39 None 1 EquityDWS Funds DWS S&P 500 PLUS CLASS A OUTDX Non-NTF Growth and Income 1.17 5.75 3 EquityDWS Funds DWS S&P 500 PLUS CLASS C OUTCX Non-NTF Growth and Income 1.92 1.00 3 EquityDWS Funds DWS SELECT ALTERNATIVE ALLOC A SELAX Non-NTF Asset Allocation 0.36 5.75 1 EquityDWS Funds DWS SELECT ALTERNTV ALLOCATION FUND CL C SELEX Non-NTF Asset Allocation 1.11 1.00 3 EquityDWS Funds DWS SHORT DURATION CLASS A SDUAX Non-NTF Income 0.7 2.75 3 BondDWS Funds DWS SHORT DURATION CLASS C SDUCX Non-NTF Income 1.46 1.00 3 BondDWS Funds DWS SHORT DURATION INSTITUTIONAL SHARES MGSFX Non-NTF Income 0.45 None 1 BondDWS Funds DWS SHORT DURATION PLUS CL A PPIAX Non-NTF Corporate Bond - General 0.87 2.75 3 BondDWS Funds DWS SHORT DURATION PLUS CL C PPLCX Non-NTF Corporate Bond - General 1.62 1.00 3 BondDWS Funds DWS SHORT TERM MUNI BOND CLASS A SRMAX Non-NTF Municipal Bond - National 0.84 2.00 3 BondDWS Funds DWS SHORT TERM MUNI BOND CLASS C SRMCX Non-NTF Municipal Bond - National 1.59 1.00 3 BondDWS Funds DWS SHORT TERM MUNI BOND INSTITUTIONAL S MGSMX Non-NTF Municipal Bond - National 0.58 None 1 BondDWS Funds DWS SMALL CAP CORE CL A SZCAX Non-NTF Small Company 1.52 5.75 3 EquityDWS Funds DWS SMALL CAP CORE CL C SZCCX Non-NTF Small Company 2.27 1.00 3 EquityDWS Funds DWS SMALL CAP GROWTH CL A SSDAX Non-NTF Small Company 1.25 5.75 3 EquityDWS Funds DWS SMALL CAP GROWTH CL C SSDCX Non-NTF Small Company 2 1.00 3 EquityDWS Funds DWS STRATEGIC GOV'T SECURITIES CL A KUSAX Non-NTF Government Bond - Mortgage 0.81 2.75 3 BondDWS Funds DWS STRATEGIC HIGH YIELD FD INSTL CL SH NOTIX Non-NTF Municipal Bond - National 0.67 None 3 EquityDWS Funds DWS STRATEGIC HIGH YIELD TAX FREE A NOTAX Non-NTF Municipal Bond - National 0.92 2.75 3 BondDWS Funds DWS STRATEGIC HIGH YIELD TAX FREE C NOTCX Non-NTF Municipal Bond - National 1.67 1.00 3 BondDWS Funds DWS STRATEGIC INCOME CLASS A KSTAX Non-NTF Multisector Bond 1.07 2.75 3 BondDWS Funds DWS STRATEGIC INCOME CLASS C KSTCX Non-NTF Multisector Bond 1.82 1.00 3 BondDWS Funds DWS STRATEGIC SECURITIES CLASS C KUSCX Non-NTF Government Bond - Mortgage 1.59 1.00 3 BondDWS Funds DWS STRATEGIC VALUE FUND CL A KDHAX Non-NTF Growth and Income 1.11 5.75 3 EquityDWS Funds DWS STRATEGIC VALUE FUND CL C KDHCX Non-NTF Growth and Income 1.85 1.00 3 EquityDWS Funds DWS STRATEGIC VALUE FUND CL S KDHSX Non-NTF Growth and Income 0.97 None 1 EquityDWS Funds DWS STRATEGIC VALUE FUND INSTL CLASS KDHIX Non-NTF Growth and Income 0.72 None 1 EquityDWS Funds DWS TECHNOLOGY CL A KTCAX Non-NTF Specialty - Technology 1.13 5.75 3 EquityDWS Funds DWS TECHNOLOGY CL C KTCCX Non-NTF Specialty - Technology 2.08 1.00 3 EquityDWS Funds DWS TECHNOLOGY FUND INSTL CL KTCIX Non-NTF Specialty - Technology 0.65 None 3 EquityDWS Funds DWS U.S. BOND INDEX FUND CLASS A BONDX Non-NTF Corporate Bond - General -999 2.75 3 BondE.I.I. Realty E.I.I GLOBAL PROPERT FD INSTL CL EIIGX Non-NTF Specialty - Real Estate 1 None 1 EquityEagle Funds EAGLE CAPITAL APPRECIATION FD CL I HRCIX Non-NTF Growth 0.94 None 3 EquityEagle Funds EAGLE CAPITAL APPRECIATION FUND R5 HRCMX Non-NTF Growth 0.87 None 3 EquityEagle Funds EAGLE CAPITAL APPRECIATION TR CL A HRCPX Non-NTF Growth 1.32 4.75 3 EquityEagle Funds EAGLE CAPITAL APPRECIATION TR CL C HRCCX Non-NTF Growth 2.08 1.00 3 EquityEagle Funds EAGLE GROWTH AND INC FUND CLASS A HRCVX Non-NTF Growth and Income 1.39 4.75 3 EquityEagle Funds EAGLE GROWTH AND INC FUND CLASS C HIGCX Non-NTF Growth and Income 2.19 1.00 3 EquityEagle Funds EAGLE INTERNATIONAL EQUITY CLASS A HEIAX Non-NTF Foreign Stock 1.7 4.75 3 EquityEagle Funds EAGLE INTERNATIONAL EQUITY CLASS C HEICX Non-NTF Foreign Stock 2.48 1.00 3 Equity

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Settlement Days

Security Class

Eagle Funds EAGLE INVESTMENT GRADE BOND FUND CL A EGBAX Non-NTF 3.75 3 BondEagle Funds EAGLE LARGE CAP CORE FD CLASS A HTCAX Non-NTF Growth 1.38 4.75 3 EquityEagle Funds EAGLE LARGE CAP CORE FD CLASS C HTCCX Non-NTF Growth 2.18 1.00 3 EquityEagle Funds EAGLE LARGE CAP CORE FUND CL R5 HTCSX Non-NTF Growth 0.95 None 3 EquityEagle Funds EAGLE LARGE CAP CORE FUND CLASS I HTCIX Non-NTF Growth 0.95 None 3 EquityEagle Funds EAGLE MID CAP GROWTH FD CLASS C HAGCX Non-NTF Growth 2.22 1.00 3 EquityEagle Funds EAGLE MID CAP GROWTH FUND CLASS A HAGAX Non-NTF Growth 1.44 4.75 3 EquityEagle Funds EAGLE MID CAP GROWTH FUND CLASS I HAGIX Non-NTF Growth 0.95 None 3 EquityEagle Funds EAGLE MID CAP STOCK CLASS A HMCAX Non-NTF Growth 1.26 4.75 3 EquityEagle Funds EAGLE MID CAP STOCK FUND CL C HMCCX Non-NTF Growth 2 1.00 3 EquityEagle Funds EAGLE MID CAP STOCK FUND CL R5 HMRSX Non-NTF Growth 0.79 None 3 EquityEagle Funds EAGLE MID CAP STOCK FUND CLASS I HMCJX Non-NTF Growth 0.87 None 3 EquityEagle Funds EAGLE MID CAP STOCK FUND CLASS R3 HMRRX Non-NTF Growth 1.4 None 3 EquityEagle Funds EAGLE SMALL CAP CORE FUND CLASS C EGECX Non-NTF Growth 2.28 1.00 3 EquityEagle Funds EAGLE SMALL CAP CORE VALUE CLASS R5 EGESX Non-NTF Growth -999 None 3 EquityEagle Funds EAGLE SMALL CAP CORE VALUE FD CL A EGEAX Non-NTF Growth 1.48 4.75 3 EquityEagle Funds EAGLE SMALL CAP CORE VALUE FD CLASS I EGEIX Non-NTF Growth 0.95 None 3 EquityEagle Funds EAGLE SMALL CAP CORE VALUE FUND CL R3 EGERX Non-NTF Growth -999 None 3 EquityEagle Funds EAGLE SMALL CAP GROWTH FD CL C HSCCX Non-NTF Growth 2.17 1.00 3 EquityEagle Funds EAGLE SMALL CAP GROWTH FD CLASS A HRSCX Non-NTF Growth 1.37 4.75 3 EquityEagle Funds EAGLE SMALL CAP GROWTH FUND CL I HSIIX Non-NTF Growth 0.87 None 3 EquityEagle Funds EAGLE SMALL CAP GROWTH FUND CL R5 HSRSX Non-NTF Growth 0.9 None 3 EquityEAS Genesis Funds EAS GENESIS CLASS A EASAX Non-NTF Growth and Income 1.95 5.50 1 EquityEAS Genesis Funds EAS GENESIS CLASS C EASYX Non-NTF Growth and Income 2.7 1.00 1 EquityEAS Genesis Funds EAS GENESIS CLASS I EASIX Non-NTF Growth and Income 1.7 None 1 EquityEastern Point Funds RISING DIV GROWTH FD CL C ICRGX Non-NTF Growth and Income 2.25 1.00 3 EquityEastern Point Funds RISING DIVIDEND GROWTH CL A ICRDX Non-NTF Growth and Income 1.65 5.75 3 EquityEastern Point Funds RISING DIVIDEND GROWTH FUND I SHRS ICRIX Non-NTF Growth and Income 1.25 1.00 3 EquityEaton Vance CIT EATON VANCE CAP VAL COLLECTIVE TRUST I EATLT Non-NTF None 1 BondEaton Vance Funds E V ARKANSAS MUNI INCOME CLASS A ETARX Non-NTF Municipal Bond - Single State 0.78 4.75 3 BondEaton Vance Funds E V ARKANSAS MUNI INCOME FUND CL B EVARX Non-NTF Municipal Bond - Single State 1.53 5.00 3 BondEaton Vance Funds E V CALI LIM MAT MUNI INCOME CL B ELCAX Non-NTF Municipal Bond - Single State 1.68 3.00 3 BondEaton Vance Funds E V CALI LIM MAT MUNI INCOME CLASS A EXCAX Non-NTF Municipal Bond - Single State 0.93 2.25 3 BondEaton Vance Funds E V LOUISIANA MUNI INCOME CLASS A ETLAX Non-NTF Municipal Bond - Single State 0.75 4.75 3 BondEaton Vance Funds E V LOUISIANA MUNI INCOME CLASS B EVLAX Non-NTF Municipal Bond - Single State 1.5 5.00 3 BondEaton Vance Funds E V NATL LIM MAT MUNI INCOME CL A EXNAX Non-NTF Municipal Bond - National 0.71 2.25 3 BondEaton Vance Funds EATON VANCE ALABAMA MUNI INCOME CLASS B EVALX Non-NTF Municipal Bond - Single State 1.54 5.00 3 BondEaton Vance Funds EATON VANCE ALABAMA MUNI INCOME CLASS C ECALX Non-NTF Municipal Bond - Single State 1.54 1.00 3 BondEaton Vance Funds EATON VANCE ALABAMA MUNICIPAL INC CL A ETALX Non-NTF Municipal Bond - Single State 0.79 4.75 3 BondEaton Vance Funds EATON VANCE AMT FREE MUNI INCOME CL A ETMBX Non-NTF Municipal Bond - National 0.84 4.75 3 BondEaton Vance Funds EATON VANCE AMT FREE MUNI INCOME CL B EBMBX Non-NTF Municipal Bond - National 1.59 5.00 3 BondEaton Vance Funds EATON VANCE AMT FREE MUNI INCOME CL I EVMBX Non-NTF Municipal Bond - National 0.59 None 3 BondEaton Vance Funds EATON VANCE ARIZONA MUNI INCOME CL B EVAZX Non-NTF Municipal Bond - Single State 1.54 5.00 3 BondEaton Vance Funds EATON VANCE ARIZONA MUNI INCOME CL C ECAZX Non-NTF Municipal Bond - Single State 1.54 1.00 3 BondEaton Vance Funds EATON VANCE ARIZONA MUNI INCOME CLASS A ETAZX Non-NTF Municipal Bond - Single State 0.79 4.75 3 BondEaton Vance Funds EATON VANCE ARKANSAS MUNI INCOME CLASS C ECARX Non-NTF Municipal Bond - Single State 1.53 1.00 3 BondEaton Vance Funds EATON VANCE ASIAN SMALL CO CLASS A EVASX Non-NTF Foreign Stock 2.66 5.75 3 EquityEaton Vance Funds EATON VANCE ASIAN SMALL COMPANY CL B EBASX Non-NTF Foreign Stock 3.2 5.00 3 EquityEaton Vance Funds EATON VANCE ATLANTA CAP FOCUSED GRWTH A EAALX Non-NTF Growth 1.25 5.75 3 EquityEaton Vance Funds EATON VANCE ATLANTA CAP FOCUSED GRWTH I EILGX Non-NTF Growth 1 None 3 EquityEaton Vance Funds EATON VANCE ATLANTA CAP SMALL CAP FD R ERSMX Non-NTF Growth 1.45 None 3 EquityEaton Vance Funds EATON VANCE ATLANTA CAP SMID CAP FD A EAASX Non-NTF Growth 1.2 5.75 3 EquityEaton Vance Funds EATON VANCE ATLANTA CAP SMID CAP FD I EISMX Non-NTF Growth 0.95 None 3 EquityEaton Vance Funds EATON VANCE ATLANTA CAPITAL SMID CAP C ECASX Non-NTF Growth -999 1.00 3 EquityEaton Vance Funds EATON VANCE BALANCED CLASS A EVIFX Non-NTF Asset Allocation 1.23 5.75 3 EquityEaton Vance Funds EATON VANCE BALANCED CLASS B EMIFX Non-NTF Asset Allocation 1.98 5.00 3 EquityEaton Vance Funds EATON VANCE BALANCED CLASS C ECIFX Non-NTF Asset Allocation 1.98 1.00 3 EquityEaton Vance Funds EATON VANCE BUILD AMERICA BOND FUND A EBABX Non-NTF Growth -999 4.75 3 BondEaton Vance Funds EATON VANCE BUILD AMERICA BOND FUND C ECBAX Non-NTF Growth -999 1.00 3 Bond

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Sales Charge

Settlement Days

Security Class

Eaton Vance Funds EATON VANCE BUILD AMERICA BOND FUND I EIBAX Non-NTF Growth -999 None 3 BondEaton Vance Funds EATON VANCE CA LTD MAT MUNI INCOME CL C EZCAX Non-NTF Municipal Bond - Single State 1.68 1.00 3 BondEaton Vance Funds EATON VANCE CA MUNI INCOME FUND CL C ECCAX Non-NTF Municipal Bond - Single State 1.66 1.00 3 BondEaton Vance Funds EATON VANCE CALI MUNI INCOME CL A EACAX Non-NTF Municipal Bond - Single State 0.91 4.75 3 BondEaton Vance Funds EATON VANCE CALI MUNI INCOME CLASS B EVCAX Non-NTF Municipal Bond - Single State 1.66 5.00 3 BondEaton Vance Funds EATON VANCE COLORADO MUNI INCOME CL A ETCOX Non-NTF Municipal Bond - Single State 0.78 4.75 3 BondEaton Vance Funds EATON VANCE COLORADO MUNI INCOME CL B EVCLX Non-NTF Municipal Bond - Single State 1.54 5.00 3 BondEaton Vance Funds EATON VANCE COLORADO MUNI INCOME CLASS C ECCOX Non-NTF Municipal Bond - Single State 1.54 1.00 3 BondEaton Vance Funds EATON VANCE CONN MUNI INCOME CL B EVCTX Non-NTF Municipal Bond - Single State 1.54 5.00 3 BondEaton Vance Funds EATON VANCE CONN MUNI INCOME CLASS A ETCTX Non-NTF Municipal Bond - Single State 0.79 4.75 3 BondEaton Vance Funds EATON VANCE CONN MUNI INCOME CLASS I EICTX Non-NTF Municipal Bond - Single State 0.59 None 3 BondEaton Vance Funds EATON VANCE CT MUNI INCOME CL C ECCTX Non-NTF Municipal Bond - Single State 1.54 1.00 3 EquityEaton Vance Funds EATON VANCE DIVERS'D INCOME FUND CL I EIDDX Non-NTF Asset Allocation 0.99 None 3 BondEaton Vance Funds EATON VANCE DIVERSIF INCOME CLASS A EADDX Non-NTF Asset Allocation 1.17 4.75 3 BondEaton Vance Funds EATON VANCE DIVERSIF INCOME CLASS B EBDDX Non-NTF Asset Allocation 1.93 5.00 3 BondEaton Vance Funds EATON VANCE DIVERSIF INCOME CLASS C ECDDX Non-NTF Asset Allocation 1.93 1.00 3 BondEaton Vance Funds EATON VANCE DIVIDEND BUILDER CL A EVTMX Non-NTF Income 1.19 5.75 3 EquityEaton Vance Funds EATON VANCE DIVIDEND BUILDER CL B EMTMX Non-NTF Income 1.94 5.00 3 EquityEaton Vance Funds EATON VANCE DIVIDEND BUILDER CL C ECTMX Non-NTF Income 1.94 1.00 3 EquityEaton Vance Funds EATON VANCE DIVIDEND BUILDER CL I EIUTX Non-NTF Income 0.94 None 3 EquityEaton Vance Funds EATON VANCE DIVIDEND INCOME CL A EDIAX Non-NTF Income 1.33 5.75 3 EquityEaton Vance Funds EATON VANCE DIVIDEND INCOME FD CL C EDICX Non-NTF Income 2.08 1.00 3 EquityEaton Vance Funds EATON VANCE DIVIDEND INCOME FD R EDIRX Non-NTF Income 1.58 None 3 EquityEaton Vance Funds EATON VANCE DIVIDEND INCOME FUND CL I EDIIX Non-NTF Income 1.08 None 3 EquityEaton Vance Funds EATON VANCE EMERGING MARKETS CLASS A ETEMX Non-NTF Diversified Emerging Markets 2.56 5.75 3 EquityEaton Vance Funds EATON VANCE EMERGING MARKETS CLASS B EMEMX Non-NTF Diversified Emerging Markets 3.06 5.00 3 EquityEaton Vance Funds EATON VANCE EMRG MARKETS LOCAL INC A EEIAX Non-NTF Income 1.25 4.75 3 BondEaton Vance Funds EATON VANCE ENHANCED EQ OPTION INCOME A EEEAX Non-NTF Equity-Income 1.5 5.75 3 EquityEaton Vance Funds EATON VANCE ENHANCED EQ OPTION INCOME I EEEIX Non-NTF Equity-Income 1.25 None 3 EquityEaton Vance Funds EATON VANCE ENHANCED EQUITY OPTION INC C EEECX Non-NTF Equity-Income 2.25 1.00 3 EquityEaton Vance Funds EATON VANCE EQUITY ASSET ALLOC FD CL A EEAAX Non-NTF Growth and Income 1.45 5.75 3 EquityEaton Vance Funds EATON VANCE EQUITY ASSET ALLOC FD CL C EEACX Non-NTF Growth and Income 2.2 1.00 3 EquityEaton Vance Funds EATON VANCE FLOATING RATE ADV EABLX Non-NTF Income 1.12 None 3 BondEaton Vance Funds EATON VANCE FLOATING RATE ADVANTAGE ADV EVFAX Non-NTF Income 1.29 None 1 BondEaton Vance Funds EATON VANCE FLOATING RATE ADVANTAGE CL A EAFAX Non-NTF Income 1.29 2.25 3 BondEaton Vance Funds EATON VANCE FLOATING RATE ADVANTAGE CL B EBFAX Non-NTF Income 1.64 3.00 3 BondEaton Vance Funds EATON VANCE FLOATING RATE ADVANTAGE CL C ECFAX Non-NTF Income 1.79 1.00 3 BondEaton Vance Funds EATON VANCE FLOATING RATE ADVANTAGE CL I EIFAX Non-NTF Income 1.04 None 3 BondEaton Vance Funds EATON VANCE FLOATING RATE CLASS B EBBLX Non-NTF Income 1.88 5.00 3 BondEaton Vance Funds EATON VANCE FLOATING RATE CLASS C ECBLX Non-NTF Income 1.87 1.00 3 BondEaton Vance Funds EATON VANCE FLOATING RATE CLASS I EIBLX Non-NTF Income 0.87 None 3 BondEaton Vance Funds EATON VANCE FLOATING RATE FUND CLASS A EVBLX Non-NTF Income 1.12 2.25 3 BondEaton Vance Funds EATON VANCE FLOATING RATE HI INC FD CL A EVFHX Non-NTF Income 1.2 2.25 3 BondEaton Vance Funds EATON VANCE FLOATING RATE HI INCOME CL I EIFHX Non-NTF Income 0.96 None 3 BondEaton Vance Funds EATON VANCE FLOATING RATE HIGH INCOME ADV EAFHX Non-NTF Income 1.2 None 3 BondEaton Vance Funds EATON VANCE FLOATING RATE HIGH INCOME B EBFHX Non-NTF Income 1.95 5.00 3 BondEaton Vance Funds EATON VANCE FLOATING RATE HIGH INCOME C ECFHX Non-NTF Income 1.95 1.00 3 BondEaton Vance Funds EATON VANCE GA MUNI INCOME CLASS C ECGAX Non-NTF Municipal Bond - Single State 1.56 1.00 3 BondEaton Vance Funds EATON VANCE GEORGIA MUNI INCOME CL A ETGAX Non-NTF Municipal Bond - Single State 0.81 4.75 3 BondEaton Vance Funds EATON VANCE GEORGIA MUNI INCOME CLASS B EVGAX Non-NTF Municipal Bond - Single State 1.56 5.00 3 BondEaton Vance Funds EATON VANCE GLOBAL GROWTH FUND CL A ETIAX Non-NTF World Stock 2 5.75 3 EquityEaton Vance Funds EATON VANCE GLOBAL GROWTH FUND CL B EMIAX Non-NTF World Stock 2.5 5.00 3 EquityEaton Vance Funds EATON VANCE GLOBAL GROWTH FUND CL C ECIAX Non-NTF World Stock 2.5 1.00 3 EquityEaton Vance Funds EATON VANCE GLOBAL MACRO ABSLTE RT CL A EAGMX Non-NTF Multisector Bond 1.18 4.75 3 EquityEaton Vance Funds EATON VANCE GLOBAL MACRO ABSLTE RT CL I EIGMX Non-NTF Multisector Bond 0.88 None 3 EquityEaton Vance Funds EATON VANCE GOVERNMT OBLIGATIONS FD CL R ERGOX Non-NTF Government Bond - General 1.41 None 3 EquityEaton Vance Funds EATON VANCE GOVT OBLIGATION C ECGOX Non-NTF Government Bond - General 1.91 1.00 3 BondEaton Vance Funds EATON VANCE GOVT OBLIGATIONS A EVGOX Non-NTF Government Bond - General 1.16 4.75 3 BondEaton Vance Funds EATON VANCE GOVT OBLIGATIONS B EMGOX Non-NTF Government Bond - General 1.91 5.00 3 Bond

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Sales Charge

Settlement Days

Security Class

Eaton Vance Funds EATON VANCE GREATER CHINA GROWTH CL A EVCGX Non-NTF Pacific Stock 2.32 5.75 3 EquityEaton Vance Funds EATON VANCE GREATER CHINA GROWTH CL B EMCGX Non-NTF Pacific Stock 2.82 5.00 3 EquityEaton Vance Funds EATON VANCE GREATER CHINA GROWTH CL C ECCGX Non-NTF Pacific Stock 2.82 1.00 3 EquityEaton Vance Funds EATON VANCE GREATER INDIA FD CL C ECGIX Non-NTF Foreign Stock 2.73 1.00 3 EquityEaton Vance Funds EATON VANCE GREATER INDIA FUND CLASS A ETGIX Non-NTF Foreign Stock 2.23 5.75 3 EquityEaton Vance Funds EATON VANCE GREATER INDIA FUND CLASS B EMGIX Non-NTF Foreign Stock 2.73 5.00 3 EquityEaton Vance Funds EATON VANCE GROWTH CLASS B EMGFX Non-NTF Growth 2.16 5.00 3 EquityEaton Vance Funds EATON VANCE HIGH INC OPPORTUNITIES CL A ETHIX Non-NTF Corporate Bond - High Yield 1.27 4.75 3 BondEaton Vance Funds EATON VANCE HIGH INC OPPORTUNITIES CL B EVHIX Non-NTF Corporate Bond - High Yield 2.02 5.00 3 BondEaton Vance Funds EATON VANCE HIGH INC OPPORTUNITIES CL C ECHIX Non-NTF Corporate Bond - High Yield 2.02 1.00 3 BondEaton Vance Funds EATON VANCE HIGH YLD MUNI INCOME CL B EVHYX Non-NTF Municipal Bond - National 1.71 5.00 3 BondEaton Vance Funds EATON VANCE HIGH YLD MUNI INCOME CLASS A ETHYX Non-NTF Municipal Bond - National 0.96 4.75 3 BondEaton Vance Funds EATON VANCE HIGH YLD MUNI INCOME CLASS C ECHYX Non-NTF Municipal Bond - National 1.71 1.00 3 BondEaton Vance Funds EATON VANCE INCOME FUND OF BOSTON CL A EVIBX Non-NTF Corporate Bond - High Yield 1.11 4.75 3 BondEaton Vance Funds EATON VANCE INCOME FUND OF BOSTON CL B EBIBX Non-NTF Corporate Bond - High Yield 1.86 5.00 3 BondEaton Vance Funds EATON VANCE INCOME FUND OF BOSTON CL C ECIBX Non-NTF Corporate Bond - High Yield 1.86 1.00 3 BondEaton Vance Funds EATON VANCE INCOME FUND OF BOSTON CL I EIBIX Non-NTF Corporate Bond - High Yield 0.86 None 3 BondEaton Vance Funds EATON VANCE INCOME FUND OF BOSTON CL R ERIBX Non-NTF Corporate Bond - High Yield 1.36 None 3 BondEaton Vance Funds EATON VANCE INSURED MUNI INCOME CLASS A EAFIX Non-NTF Municipal Bond - Single State 0.86 4.75 3 BondEaton Vance Funds EATON VANCE INSURED MUNI INCOME CLASS B EBFIX Non-NTF Municipal Bond - Single State 1.61 5.00 3 BondEaton Vance Funds EATON VANCE INSURED MUNI INCOME CLASS C EFICX Non-NTF Municipal Bond - Single State 1.6 1.00 3 EquityEaton Vance Funds EATON VANCE INTERNAT INCOME FUND CL A EAIIX Non-NTF Worldwide Bond 1.1 4.75 3 EquityEaton Vance Funds EATON VANCE INTL EQUITY FD CL A EAIEX Non-NTF Foreign Stock 1.5 5.75 3 EquityEaton Vance Funds EATON VANCE INTL EQUITY FD CL C ECIEX Non-NTF Foreign Stock 2.25 1.00 3 EquityEaton Vance Funds EATON VANCE INTL EQUITY FD CL I EIIEX Non-NTF Foreign Stock 1.25 None 3 EquityEaton Vance Funds EATON VANCE INVEST GRADE INCOME CL I EIGIX Non-NTF Income 0.7 None 3 BondEaton Vance Funds EATON VANCE INVT GRADE INCOME FD CL A EAGIX Non-NTF Income 0.95 4.75 3 BondEaton Vance Funds EATON VANCE KANSAS MUNI INCOME CLASS A ETKSX Non-NTF Municipal Bond - Single State 0.74 4.75 3 BondEaton Vance Funds EATON VANCE KANSAS MUNI INCOME CLASS B EVKSX Non-NTF Municipal Bond - Single State 1.5 5.00 3 BondEaton Vance Funds EATON VANCE KANSAS MUNI INCOME CLASS C ECKSX Non-NTF Municipal Bond - Single State 1.49 1.00 3 EquityEaton Vance Funds EATON VANCE KENTUCKY MUNI INCOME CLASS A ETKYX Non-NTF Municipal Bond - Single State 0.77 4.75 3 BondEaton Vance Funds EATON VANCE KENTUCKY MUNI INCOME CLASS B EVKYX Non-NTF Municipal Bond - Single State 1.52 5.00 3 BondEaton Vance Funds EATON VANCE KENTUCKY MUNI INCOME CLASS C ECKYX Non-NTF Municipal Bond - Single State 1.52 1.00 3 BondEaton Vance Funds EATON VANCE LA MUNI INCOME CLASS C ELACX Non-NTF Municipal Bond - Single State 1.5 1.00 3 BondEaton Vance Funds EATON VANCE LARGE - CAP CORE RESEARCH A EAERX Non-NTF Growth 1.25 5.75 3 EquityEaton Vance Funds EATON VANCE LARGE - CAP GROWTH FUND CL R ELCRX Non-NTF Growth and Income 1.5 None 3 EquityEaton Vance Funds EATON VANCE LARGE CAP CORE RESEARCH C ECERX Non-NTF Growth 2 1.00 3 EquityEaton Vance Funds EATON VANCE LARGE CAP CORE RESEARCH I EIERX Non-NTF Growth 1 None 3 EquityEaton Vance Funds EATON VANCE LARGE CAP GROWTH CLASS A EALCX Non-NTF Growth and Income 1.25 5.75 3 EquityEaton Vance Funds EATON VANCE LARGE CAP GROWTH CLASS B EBLCX Non-NTF Growth and Income 1.88 5.00 3 EquityEaton Vance Funds EATON VANCE LARGE CAP GROWTH CLASS C ECLCX Non-NTF Growth and Income 2 1.00 3 EquityEaton Vance Funds EATON VANCE LARGE CAP GROWTH FD CL I ELCIX Non-NTF Growth and Income 1 None 3 EquityEaton Vance Funds EATON VANCE LARGE CAP VALUE FD CL R ERSTX Non-NTF Growth and Income 1.28 None 3 EquityEaton Vance Funds EATON VANCE LARGE-CAP VALUE CL A EHSTX Non-NTF Growth and Income 1.03 5.75 3 EquityEaton Vance Funds EATON VANCE LARGE-CAP VALUE CL B EMSTX Non-NTF Growth and Income 1.78 5.00 3 EquityEaton Vance Funds EATON VANCE LARGE-CAP VALUE CL C ECSTX Non-NTF Growth and Income 1.78 1.00 3 EquityEaton Vance Funds EATON VANCE LG CAP VALUE FD CL I EILVX Non-NTF Growth and Income 0.78 None 3 EquityEaton Vance Funds EATON VANCE LOW DURATION CLASS A EALDX Non-NTF Corporate Bond - High Quality 1 2.25 3 BondEaton Vance Funds EATON VANCE LOW DURATION CLASS B EBLDX Non-NTF Corporate Bond - High Quality 1.75 3.00 3 BondEaton Vance Funds EATON VANCE LOW DURATION CLASS C ECLDX Non-NTF Corporate Bond - High Quality 1.6 1.00 3 BondEaton Vance Funds EATON VANCE MARYLAND MUNI INCOME CLASS A ETMDX Non-NTF Municipal Bond - Single State 0.81 4.75 3 BondEaton Vance Funds EATON VANCE MARYLAND MUNI INCOME CLASS B EVMYX Non-NTF Municipal Bond - Single State 1.56 5.00 3 BondEaton Vance Funds EATON VANCE MARYLAND MUNI INCOME CLASS C ECMDX Non-NTF Municipal Bond - Single State 1.56 1.00 3 BondEaton Vance Funds EATON VANCE MARYLAND MUNICIPAL INCOME I EIMDX Non-NTF Municipal Bond - Single State 0.61 None 3 BondEaton Vance Funds EATON VANCE MASS LTD MAT MUNI INCOME CL A EXMAX Non-NTF Municipal Bond - Single State 0.84 2.25 3 BondEaton Vance Funds EATON VANCE MASS LTD MAT MUNI INCOME CL B ELMAX Non-NTF Municipal Bond - Single State 1.59 3.00 3 BondEaton Vance Funds EATON VANCE MASS LTD MAT MUNI INCOME CL C EZMAX Non-NTF Municipal Bond - Single State 1.59 1.00 3 BondEaton Vance Funds EATON VANCE MASS MUNI INCOME CL I EIMAX Non-NTF Municipal Bond - Single State 0.63 None 3 BondEaton Vance Funds EATON VANCE MASS MUNI INCOME CLASS A ETMAX Non-NTF Municipal Bond - Single State 0.83 4.75 3 Bond

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Sales Charge

Settlement Days

Security Class

Eaton Vance Funds EATON VANCE MASS MUNI INCOME CLASS B EVMAX Non-NTF Municipal Bond - Single State 1.58 5.00 3 BondEaton Vance Funds EATON VANCE MASS MUNI INCOME CLASS C ECMMX Non-NTF Municipal Bond - Single State 1.58 1.00 3 EquityEaton Vance Funds EATON VANCE MICHIGAN MUNI INCOME CL C ECMIX Non-NTF Municipal Bond - Single State 1.55 1.00 3 BondEaton Vance Funds EATON VANCE MICHIGAN MUNI INCOME CLASS A ETMIX Non-NTF Municipal Bond - Single State 0.8 4.75 3 BondEaton Vance Funds EATON VANCE MINN MUNI INCOME CLASS A ETMNX Non-NTF Municipal Bond - Single State 0.79 4.75 3 BondEaton Vance Funds EATON VANCE MINN MUNI INCOME CLASS B EVMNX Non-NTF Municipal Bond - Single State 1.54 5.00 3 BondEaton Vance Funds EATON VANCE MINN MUNI INCOME CLASS C ECMNX Non-NTF Municipal Bond - Single State 1.54 1.00 3 BondEaton Vance Funds EATON VANCE MISS MUNI INCOME CLASS A ETMOX Non-NTF Municipal Bond - Single State 0.79 4.75 3 BondEaton Vance Funds EATON VANCE MISS MUNI INCOME CLASS B EVMOX Non-NTF Municipal Bond - Single State 1.54 5.00 3 BondEaton Vance Funds EATON VANCE MISSOURI MUNI INCOME CL C ECMOX Non-NTF Municipal Bond - Single State 1.54 1.00 3 BondEaton Vance Funds EATON VANCE MULTI CAP GROWTH FD CL C ECGFX Non-NTF Growth 2.17 1.00 3 EquityEaton Vance Funds EATON VANCE MULTI CAP GRWTH CL A EVGFX Non-NTF Growth 1.42 5.75 3 EquityEaton Vance Funds EATON VANCE NAT MUNI INCOME FUND CLASS A EANAX Non-NTF Municipal Bond - National 0.7 4.75 3 BondEaton Vance Funds EATON VANCE NATIONAL LMT MATURIY MUNI I EINAX Non-NTF Municipal Bond - National -999 None 3 BondEaton Vance Funds EATON VANCE NATIONAL MUNI INCOME CLASS B EVHMX Non-NTF Municipal Bond - National 1.45 5.00 3 BondEaton Vance Funds EATON VANCE NATIONAL MUNI INCOME CLASS C ECHMX Non-NTF Municipal Bond - National 1.45 1.00 3 BondEaton Vance Funds EATON VANCE NATL LTD MAT MUNI INCOME CL B ELNAX Non-NTF Municipal Bond - National 1.46 3.00 3 BondEaton Vance Funds EATON VANCE NATL LTD MAT MUNI INCOME CL C EZNAX Non-NTF Municipal Bond - National 1.46 1.00 3 BondEaton Vance Funds EATON VANCE NAT'L MUNI INCOME CL I EIHMX Non-NTF Municipal Bond - National 0.44 None 3 BondEaton Vance Funds EATON VANCE NC MUNI INCOME CLASS B EVNCX Non-NTF Municipal Bond - Single State 1.57 5.00 3 BondEaton Vance Funds EATON VANCE NC MUNI INCOME FUND CLASS A ETNCX Non-NTF Municipal Bond - Single State 0.82 4.75 3 BondEaton Vance Funds EATON VANCE NC MUNI INCOME FUND CLASS C ECNCX Non-NTF Municipal Bond - Single State 1.57 1.00 3 EquityEaton Vance Funds EATON VANCE NJ LMTD MAT MUNI INCOME CL C EZNJX Non-NTF Municipal Bond - Single State 1.62 1.00 3 BondEaton Vance Funds EATON VANCE NJ LTD MAT MUNI INCOME CL A EXNJX Non-NTF Municipal Bond - Single State 0.87 2.25 3 BondEaton Vance Funds EATON VANCE NJ LTD MAT MUNI INCOME CL B ELNJX Non-NTF Municipal Bond - Single State 1.62 3.00 3 BondEaton Vance Funds EATON VANCE NJ MUNI INCOME CL C ECNJX Non-NTF Municipal Bond - Single State 1.59 1.00 3 EquityEaton Vance Funds EATON VANCE NJ MUNI INCOME FUND CLASS A ETNJX Non-NTF Municipal Bond - Single State 0.85 4.75 3 BondEaton Vance Funds EATON VANCE NY LMT MAT MUNI INCOME CL A EXNYX Non-NTF Municipal Bond - Single State 0.79 2.25 3 BondEaton Vance Funds EATON VANCE NY LTD MAT MUNI INCOME CL B ELNYX Non-NTF Municipal Bond - Single State 1.54 3.00 3 BondEaton Vance Funds EATON VANCE NY LTD MAT MUNI INCOME CL C EZNYX Non-NTF Municipal Bond - Single State 1.55 1.00 3 BondEaton Vance Funds EATON VANCE NY MUNI INCOME CLASS B EVNYX Non-NTF Municipal Bond - Single State 1.58 5.00 3 BondEaton Vance Funds EATON VANCE NY MUNI INCOME FUND CL A ETNYX Non-NTF Municipal Bond - Single State 0.83 4.75 3 BondEaton Vance Funds EATON VANCE NY MUNI INCOME FUND CLASS C ECNYX Non-NTF Municipal Bond - Single State 1.58 1.00 3 BondEaton Vance Funds EATON VANCE OHIO MUNI INCOME CL C ECOHX Non-NTF Municipal Bond - Single State 1.55 1.00 3 EquityEaton Vance Funds EATON VANCE OHIO MUNI INCOME CLASS A ETOHX Non-NTF Municipal Bond - Single State 0.8 4.75 3 BondEaton Vance Funds EATON VANCE OREGON MUNI INCOME CLASS A ETORX Non-NTF Municipal Bond - Single State 0.81 4.75 3 BondEaton Vance Funds EATON VANCE OREGON MUNI INCOME CLASS B EVORX Non-NTF Municipal Bond - Single State 1.56 5.00 3 BondEaton Vance Funds EATON VANCE OREGON MUNI INCOME CLASS C ECORX Non-NTF Municipal Bond - Single State 1.56 1.00 3 EquityEaton Vance Funds EATON VANCE PA LTD MAT MUNI INCOME CL A EXPNX Non-NTF Municipal Bond - Single State 0.86 2.25 3 BondEaton Vance Funds EATON VANCE PA LTD MAT MUNI INCOME CL B ELPNX Non-NTF Municipal Bond - Single State 1.61 3.00 3 BondEaton Vance Funds EATON VANCE PA LTD MAT MUNI INCOME CL C EZPNX Non-NTF Municipal Bond - Single State 1.61 1.00 3 BondEaton Vance Funds EATON VANCE PENN MUNI INCOME CL B EVPAX Non-NTF Municipal Bond - Single State 1.57 5.00 3 BondEaton Vance Funds EATON VANCE PENN MUNI INCOME CLASS A ETPAX Non-NTF Municipal Bond - Single State 0.82 4.75 3 BondEaton Vance Funds EATON VANCE PENN MUNI INCOME CLASS C ECPAX Non-NTF Municipal Bond - Single State 1.57 1.00 3 BondEaton Vance Funds EATON VANCE RI MUNI INCOME CLASS A ETRIX Non-NTF Municipal Bond - Single State 0.79 4.75 3 BondEaton Vance Funds EATON VANCE RI MUNI INCOME FUND CL C ERICX Non-NTF Municipal Bond - Single State 1.54 1.00 3 BondEaton Vance Funds EATON VANCE RI MUNI INCOME FUND CLASS B EVRIX Non-NTF Municipal Bond - Single State 1.54 5.00 3 BondEaton Vance Funds EATON VANCE RISK MGD EQUITY INCOME CL A EROAX Non-NTF Equity-Income 1.5 5.75 3 EquityEaton Vance Funds EATON VANCE RISK-MGD EQUITY OPTION INC C EROCX Non-NTF Equity-Income 2.25 1.00 3 EquityEaton Vance Funds EATON VANCE RISK-MGD EQUITY OPTION INC I EROIX Non-NTF Equity-Income 1.25 None 3 EquityEaton Vance Funds EATON VANCE SC MUNI INCOME CL C ECSCX Non-NTF Municipal Bond - Single State 1.55 1.00 3 BondEaton Vance Funds EATON VANCE SC MUNI INCOME CLASS A EASCX Non-NTF Municipal Bond - Single State 0.8 4.75 3 BondEaton Vance Funds EATON VANCE SC MUNI INCOME FUND CLASS B EVSCX Non-NTF Municipal Bond - Single State 1.56 5.00 3 BondEaton Vance Funds EATON VANCE SMALL - CAP FUND CL I EISGX Non-NTF Growth 1.25 None 3 EquityEaton Vance Funds EATON VANCE SMALL- CAP FUND CL R ERSGX Non-NTF Growth 1.75 None 3 EquityEaton Vance Funds EATON VANCE SMALL CAP FUND CLASS B EBSMX Non-NTF Growth 2.25 5.00 3 EquityEaton Vance Funds EATON VANCE SMALL CAP FUND CLASS C ECSMX Non-NTF Growth 2.25 1.00 3 EquityEaton Vance Funds EATON VANCE SMALL CAP VALUE CL A EAVSX Non-NTF Growth 1.65 5.75 3 EquityEaton Vance Funds EATON VANCE SMALL CAP VALUE CL B EBVSX Non-NTF Growth 2.4 5.00 3 Equity

of 203


Sales Charge

Settlement Days

Security Class

Eaton Vance Funds EATON VANCE SMALL CAP VALUE CLASS C ECVSX Non-NTF Growth 2.4 1.00 3 EquityEaton Vance Funds EATON VANCE SMALL-CAP FUND CL A ETEGX Non-NTF Growth 1.5 5.75 3 EquityEaton Vance Funds EATON VANCE SPECIAL EQUITIES A EVSEX Non-NTF Growth 1.57 5.75 3 EquityEaton Vance Funds EATON VANCE SPECIAL EQUITIES B EMSEX Non-NTF Growth 2.32 5.00 3 EquityEaton Vance Funds EATON VANCE SPECIAL EQUITIES C ECSEX Non-NTF Growth 2.32 1.00 3 EquityEaton Vance Funds EATON VANCE STRAT INCOME CLASS A ETSIX Non-NTF Multisector Bond 1.08 4.75 3 BondEaton Vance Funds EATON VANCE STRATEGIC INC FD I ESIIX Non-NTF Multisector Bond 0.83 None 3 BondEaton Vance Funds EATON VANCE STRATEGIC INCOME B EVSGX Non-NTF Multisector Bond 1.83 5.00 3 BondEaton Vance Funds EATON VANCE STRATEGIC INCOME C ECSIX Non-NTF Multisector Bond 1.83 1.00 3 BondEaton Vance Funds EATON VANCE STRATEGIC INCOME R ERSIX Non-NTF Multisector Bond 1.33 None 3 EquityEaton Vance Funds EATON VANCE STRCTRD EMRGNG MKTS FD CL C ECEMX Non-NTF Growth and Income 2.32 1.00 3 EquityEaton Vance Funds EATON VANCE STRUCTD EMERGING MKTS CL A EAEMX Non-NTF Growth and Income 1.57 5.75 3 EquityEaton Vance Funds EATON VANCE STRUCTRD EMERGING MKTS CL I EIEMX Non-NTF Growth and Income 1.33 None 3 EquityEaton Vance Funds EATON VANCE TAX - MANAGED VALUE CL I EITVX Non-NTF Growth 0.94 None 3 EquityEaton Vance Funds EATON VANCE TAX ADV BOND STRAT S/T CL A EABSX Non-NTF Municipal Bond - National -999 2.25 3 BondEaton Vance Funds EATON VANCE TAX ADV BOND STRAT S/T CL I EIBSX Non-NTF Municipal Bond - National -999 None 3 BondEaton Vance Funds EATON VANCE TAX ADV BOND STRG LNG TERMA EALTX Non-NTF Growth -999 4.75 3 BondEaton Vance Funds EATON VANCE TAX MANAGED INTL EQ CL I EITIX Non-NTF Foreign Stock 1.48 None 3 EquityEaton Vance Funds EATON VANCE TAX MANG DIV & INC FD CL B EBDIX Non-NTF Equity-Income 1.96 5.00 3 EquityEaton Vance Funds EATON VANCE TAX MANG DIV INC FD CL A EADIX Non-NTF Equity-Income 1.21 5.75 3 EquityEaton Vance Funds EATON VANCE TAX MANG DIV INC FD CL C ECDIX Non-NTF Equity-Income 1.96 1.00 3 EquityEaton Vance Funds EATON VANCE TAX MGD GROWTH 1.1 CLASS A ETTGX Non-NTF Growth 0.91 5.75 3 EquityEaton Vance Funds EATON VANCE TAX MGD GROWTH 1.1 CLASS B EMTGX Non-NTF Growth 1.67 5.00 3 EquityEaton Vance Funds EATON VANCE TAX MGD GROWTH 1.1 CLASS C ECTGX Non-NTF Growth 1.66 1.00 3 EquityEaton Vance Funds EATON VANCE TAX MGD GROWTH 1.2 CLASS C EZTGX Non-NTF Growth 1.84 1.00 3 EquityEaton Vance Funds EATON VANCE TAX MGD GRWTH FD 1.1 CL I EITMX Non-NTF Growth 0.67 None 3 EquityEaton Vance Funds EATON VANCE TAX MGD INTL EQUITY CLASS A ETIGX Non-NTF Foreign Stock 1.73 5.75 3 EquityEaton Vance Funds EATON VANCE TAX MGD INTL EQUITY CLASS B EMIGX Non-NTF Foreign Stock 2.49 5.00 3 EquityEaton Vance Funds EATON VANCE TAX MGD INTL EQUITY CLASS C ECIGX Non-NTF Foreign Stock 2.48 1.00 3 EquityEaton Vance Funds EATON VANCE TAX MGD MULTI-CAP GRWTH CL A EACPX Non-NTF Growth 1.57 5.75 3 EquityEaton Vance Funds EATON VANCE TAX MGD MULTI-CAP GRWTH CL B EBCPX Non-NTF Growth 2.33 5.00 3 EquityEaton Vance Funds EATON VANCE TAX MGD VALUE CLASS A EATVX Non-NTF Growth 1.19 5.75 3 EquityEaton Vance Funds EATON VANCE TAX MGD VALUE CLASS B EBTVX Non-NTF Growth 1.29 5.00 3 EquityEaton Vance Funds EATON VANCE TAX MGD VALUE CLASS C ECTVX Non-NTF Growth 1.94 1.00 3 EquityEaton Vance Funds EATON VANCE TAX MGNT MULTI CAP GRWTH C ECCPX Non-NTF Growth 2.32 1.00 3 EquityEaton Vance Funds EATON VANCE TAX MNGD EMERGING MKTS INSTL EITEX Non-NTF Diversified Emerging Markets 0.95 None 3 EquityEaton Vance Funds EATON VANCE TAX MNGD EQTY ASSET ALLOC A EAEAX Non-NTF Asset Allocation 1.44 5.75 3 EquityEaton Vance Funds EATON VANCE TAX MNGD EQTY ASSET ALLOC B EBEAX Non-NTF Asset Allocation 2.19 5.00 3 EquityEaton Vance Funds EATON VANCE TAX MNGD EQUITY ASSET ALLOC C ECEAX Non-NTF Asset Allocation 2.19 1.00 3 EquityEaton Vance Funds EATON VANCE TAX MNGD GROWTH 1.2 CL A EXTGX Non-NTF Growth 1.09 5.75 3 EquityEaton Vance Funds EATON VANCE TAX MNGD GROWTH 1.2 CL B EYTGX Non-NTF Growth 1.85 5.00 3 EquityEaton Vance Funds EATON VANCE TAX MNGD GROWTH 1.2 CL I EITGX Non-NTF Growth 0.85 None 3 EquityEaton Vance Funds EATON VANCE TAX MNGD MID CAP CORE CL B EBMCX Non-NTF Growth 2.35 5.00 3 EquityEaton Vance Funds EATON VANCE TAX MNGD MID CAP CORE CL C ECMCX Non-NTF Growth 2.35 1.00 3 EquityEaton Vance Funds EATON VANCE TAX MNGD MID CAP CORE CLASS A EXMCX Non-NTF Growth 1.6 5.75 3 EquityEaton Vance Funds EATON VANCE TAX MNGD SMALL CAP VALUE CL A ESVAX Non-NTF Small Company 1.65 5.75 3 EquityEaton Vance Funds EATON VANCE TAX MNGD SMALL CAP VALUE CL B ESVBX Non-NTF Small Company 2.4 5.00 3 EquityEaton Vance Funds EATON VANCE TAX MNGD SMALL CAP VALUE CL C ESVCX Non-NTF Small Company 2.4 1.00 3 EquityEaton Vance Funds EATON VANCE TAX-ADV BD STRT LONG TERM I EILTX Non-NTF Growth -999 None 3 BondEaton Vance Funds EATON VANCE TAX-ADV BOND STRAT S/T CL C ECBSX Non-NTF Municipal Bond - National -999 1.00 3 BondEaton Vance Funds EATON VANCE TAX-ADV BOND STRG INTD TRMA EITAX Non-NTF Growth and Income -999 2.25 3 BondEaton Vance Funds EATON VANCE TAX-MANG DIVIDEND INCOME CL I EIDIX Non-NTF Equity-Income 0.94 None 3 EquityEaton Vance Funds EATON VANCE TAX-MGD SMALL-CAP FUND CL I EIMGX Non-NTF Small Company 1.19 None 3 BondEaton Vance Funds EATON VANCE TENN MUNI INCOME CL A ETTNX Non-NTF Municipal Bond - Single State 0.79 4.75 3 BondEaton Vance Funds EATON VANCE TENN MUNI INCOME CL B EVTNX Non-NTF Municipal Bond - Single State 1.54 5.00 3 BondEaton Vance Funds EATON VANCE TENN MUNI INCOME CL C ECTNX Non-NTF Municipal Bond - Single State 1.54 1.00 3 BondEaton Vance Funds EATON VANCE TXMAN SMALL CAP FUND CL A ETMGX Non-NTF Small Company 1.44 5.75 3 EquityEaton Vance Funds EATON VANCE TXMAN SMALL CAP FUND CL B EMMGX Non-NTF Small Company 2.2 5.00 3 EquityEaton Vance Funds EATON VANCE TXMAN SMALL CAP FUND CL C ECMGX Non-NTF Small Company 2.19 1.00 3 Equity

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Sales Charge

Settlement Days

Security Class

Eaton Vance Funds EATON VANCE VIRGINIA MUNI INCOME CLASS A ETVAX Non-NTF Municipal Bond - Single State 0.82 4.75 3 BondEaton Vance Funds EATON VANCE VIRGINIA MUNI INCOME CLASS B EVVAX Non-NTF Municipal Bond - Single State 1.57 5.00 3 BondEaton Vance Funds EATON VANCE VIRGINIA MUNI INCOME CLASS C ECVAX Non-NTF Municipal Bond - Single State 1.58 1.00 3 BondEaton Vance Funds EATON VANCE WORLD WIDE HEALTH SCI CL R ERHSX Non-NTF Specialty - Health 2.36 None 3 EquityEaton Vance Funds EATON VANCE WORLDWIDE HEALTH SCIENCES CLASS A ETHSX Non-NTF Specialty - Health 2.11 5.75 3 EquityEaton Vance Funds EATON VANCE WORLDWIDE HEALTH SCIENCES CLASS B EMHSX Non-NTF Specialty - Health 2.86 5.00 3 EquityEaton Vance Funds EATON VANCE WRLDWIDE HEALTH SCIENCES C ECHSX Non-NTF Specialty - Health 2.86 1.00 3 EquityEaton Vance Funds EATON-VANCE AMT FREE MUNI INCOME CLASS C ECMBX Non-NTF Municipal Bond - National 1.59 1.00 3 BondEaton Vance Funds EV AMT FREE LIMITED MAT MUNI INCOME CL C EZFLX Non-NTF Municipal Bond - National 1.71 1.00 3 BondEaton Vance Funds EV AMT FREE LMTD MAT MUNI INCOME CLASS A EXFLX Non-NTF Municipal Bond - National 0.95 2.25 3 BondEaton Vance Funds EV AMT FREE LMTD MAT MUNI INCOME CLASS B ELFLX Non-NTF Municipal Bond - National 1.71 3.00 3 BondEaton Vance Funds EV GLOBAL MACRO ABSOLUTE RETURN CL C ECGMX Non-NTF Multisector Bond 1.9 1.00 3 BondEdgewood Funds EDGEWOOD GROWTH FUND INSTL CL EGFIX Non-NTF Growth 1 None 1 EquityEM Capital Funds EM CAPITAL INDIA GATEWAY CLASS A EMINX Non-NTF Foreign Stock 2.3 5.00 1 EquityEM Capital Funds EM CAPITAL INDIA GATEWAY CLASS I EMIIX Non-NTF Foreign Stock 1.8 None 1 EquityEmpiric Funds EMPIRIC CORE EQUITY FUND CL A EMCAX Non-NTF Growth 1.73 5.75 3 EquityEmpiric Funds EMPIRIC CORE EQUITY FUND CL C EMCCX Non-NTF 1.00 3 EquityEpiphany Funds EPIPHANY FFV FUND CL A EPVAX Non-NTF Growth 1.5 5.00 1 EquityEpiphany Funds EPIPHANY FFV FUND CL C EPVCX Non-NTF Growth 2.25 1.00 1 EquityEvermore Funds EVERMORE EUROPEAN VALUE FD CL A EVEAX Non-NTF Growth -999 5.00 3 EquityEvermore Funds EVERMORE EUROPEAN VALUE FD CL I EVEIX Non-NTF Growth -999 None 3 EquityEvermore Funds EVERMORE GLOBAL VALUE FD CL A EVGBX Non-NTF Growth -999 5.00 3 EquityEvermore Funds EVERMORE GLOBAL VALUE FD CL I EVGIX Non-NTF Growth -999 None 3 EquityFairholme Funds FAIRHOLME FOCUSED INCOME FUND FOCIX Non-NTF Income -999 None 1 BondFairholme Funds FAIRHOLME FUND FAIRX Non-NTF Growth 1 None 1 EquityFAM Funds FAM EQUITY INCOME FUND - ADVISOR FFCEX Non-NTF None 1 EquityFAM Funds FAM VALUE FUND -ADVISOR FFCVX Non-NTF None 1 EquityFBR Funds FBR BALANCED CLASS I AFBAX Non-NTF None 1 BondFBR Funds FBR CORE BOND CLASS I AFHYX Non-NTF None 1 BondFBR Funds FBR FOCUS FUND INSTL I-SHARES FBRIX Non-NTF Growth 1.15 None 1 EquityFBR Funds FBR PEGASUS FUND - INSTL - I SHARES FBPIX Non-NTF Growth 1 None 1 EquityFBR Funds FBR PEGASUS MID CAP FUND INSTL I-SHARES FBPMX Non-NTF Growth 1.1 None 1 EquityFBR Funds FBR PEGASUS SM CAP FUND INSTL I-SHARES FBPYX Non-NTF Small Company 1.2 None 1 EquityFBR Funds FBR PEGASUS SM CAP GRWTH INSTL I SHRS FBPGX Non-NTF Growth 1.2 None 1 EquityFBR Funds FBR SMALL CAP FINANCIAL INSL I SHS FBRUX Non-NTF Specialty - Financial 1.56 None 1 EquityFBR Funds FBR TECHNOLOGY CLASS I FBRQX Non-NTF None 1 EquityFederated Funds FEDEATED GOVT ULTRA SHORT DURATION BD A FGUAX Non-NTF Government Bond - General 0.7 2.00 3 BondFederated Funds FEDERATED AUTOMATED CASH MANAGEMENT CL K ACKXX Non-NTF None 3 EquityFederated Funds FEDERATED BALANCED ALLOCATION CL A BAFAX Non-NTF Growth 0.27 5.50 3 EquityFederated Funds FEDERATED BALANCED ALLOCATION CL B BAFBX Non-NTF Growth 1.02 5.50 3 EquityFederated Funds FEDERATED BALANCED ALLOCATION FD CL C BAFCX Non-NTF Growth 1.02 1.00 3 EquityFederated Funds FEDERATED BOND CLASS A FDBAX Non-NTF Corporate Bond - General 0.99 4.50 3 BondFederated Funds FEDERATED BOND CLASS B FDBBX Non-NTF Corporate Bond - General 1.79 5.50 3 BondFederated Funds FEDERATED BOND CLASS C FDBCX Non-NTF Corporate Bond - General 1.79 1.00 3 BondFederated Funds FEDERATED BOND CLASS F ISHIX Non-NTF Corporate Bond - General 1.02 1.00 3 BondFederated Funds FEDERATED CAPITAL APPRECIATION CLASS A FEDEX Non-NTF Growth 1.23 5.50 3 EquityFederated Funds FEDERATED CAPITAL APPRECIATION CLASS B CPABX Non-NTF Growth 2.1 5.50 3 EquityFederated Funds FEDERATED CAPITAL APPRECIATION CLASS C CPACX Non-NTF Growth 2.06 1.00 3 EquityFederated Funds FEDERATED CAPITAL INCOME CL B CAPBX Non-NTF Growth and Income 2.04 5.50 3 EquityFederated Funds FEDERATED CAPITAL INCOME CL C CAPCX Non-NTF Growth and Income 2.04 1.00 3 EquityFederated Funds FEDERATED CAPITAL INCOME CL F CAPFX Non-NTF Growth and Income 1.33 1.00 3 EquityFederated Funds FEDERATED CAPTIAL INCOME CL A CAPAX Non-NTF Growth and Income 1.29 5.50 3 EquityFederated Funds FEDERATED CLOVER SMALL VALUE CLASS C VSFCX Non-NTF Growth 2.2 1.00 3 EquityFederated Funds FEDERATED CLOVER SMALL VALUE FUND A VSFAX Non-NTF Growth 1.45 5.50 3 EquityFederated Funds FEDERATED CLOVER VALUE CL C VFCCX Non-NTF Growth 1.94 1.00 3 EquityFederated Funds FEDERATED CLOVER VALUE FD CL B VFCBX Non-NTF Growth 1.92 5.50 3 EquityFederated Funds FEDERATED CLOVER VALUE FUND CL A VFCAX Non-NTF Growth 1.19 5.50 3 EquityFederated Funds FEDERATED EQUITY INCOME CLASS A LEIFX Non-NTF Equity-Income 1.13 5.50 3 EquityFederated Funds FEDERATED EQUITY INCOME CLASS B LEIBX Non-NTF Equity-Income 1.98 5.50 3 Equity

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Sales Charge

Settlement Days

Security Class

Federated Funds FEDERATED EQUITY INCOME CLASS C LEICX Non-NTF Equity-Income 1.98 1.00 3 EquityFederated Funds FEDERATED EQUITY INCOME CLASS F LFEIX Non-NTF Equity-Income 1.48 1.00 3 EquityFederated Funds FEDERATED FD FOR US GOVT SECS CLASS A FUSGX Non-NTF Government Bond - Mortgage 0.95 4.50 3 BondFederated Funds FEDERATED FD FOR US GOVT SECS CLASS B FUSBX Non-NTF Government Bond - Mortgage 1.7 5.50 3 BondFederated Funds FEDERATED FD FOR US GOVT SECS CLASS C FUSCX Non-NTF Government Bond - Mortgage 1.7 1.00 3 BondFederated Funds FEDERATED FLORIDA MUNI CASH TRUST CASH SERIES CLASS FLSXX Non-NTF None 0 BondFederated Funds FEDERATED GA MUNI CASH TRUST QFGAQ Non-NTF None 0 BondFederated Funds FEDERATED GOVERNMENT INCOME SECS CLASS A FGOAX Non-NTF Government Bond - General 0.98 4.50 3 BondFederated Funds FEDERATED GOVERNMENT INCOME SECS CLASS B FGOBX Non-NTF Government Bond - General 1.75 5.50 3 BondFederated Funds FEDERATED GOVERNMENT OBLIGATION TAX MGD I QGTSQ Non-NTF None 0 BondFederated Funds FEDERATED GOVT CASH SERIES CTGXX Non-NTF None 0 BondFederated Funds FEDERATED GOV'T ULTRASHT DURATION IS FGUSX Non-NTF Government Bond - General 0.25 None 3 BondFederated Funds FEDERATED HIGH INCOME BOND CLASS A FHIIX Non-NTF Corporate Bond - High Yield 1.23 4.50 3 BondFederated Funds FEDERATED HIGH INCOME BOND CLASS B FHBBX Non-NTF Corporate Bond - High Yield 1.99 5.50 3 EquityFederated Funds FEDERATED HIGH INCOME BOND CLASS C FHICX Non-NTF Corporate Bond - High Yield 1.98 1.00 3 EquityFederated Funds FEDERATED INTER CONTINENTAL CL K ICFKX Non-NTF Foreign Stock 1.91 None 3 EquityFederated Funds FEDERATED INTER CONTINENTAL CLASS A RIMAX Non-NTF Foreign Stock 1.5 5.50 3 EquityFederated Funds FEDERATED INTER CONTINENTAL FD CL C ICFFX Non-NTF Foreign Stock 2.27 1.00 3 EquityFederated Funds FEDERATED INTER CONTINENTAL FD CL IS ICFIX Non-NTF Foreign Stock 1.18 None 3 BondFederated Funds FEDERATED INTERCONTINENTAL B ICFBX Non-NTF Foreign Stock 2.29 5.50 3 BondFederated Funds FEDERATED INTERMEDIA TE GOVT CORP FD IS FGCIX Non-NTF Growth and Income 0.3 None 3 BondFederated Funds FEDERATED INTERNAT'L BOND CLASS A FTIIX Non-NTF Worldwide Bond 0.98 4.50 3 BondFederated Funds FEDERATED INTERNAT'L BOND CLASS B FTBBX Non-NTF Worldwide Bond 1.69 5.50 3 BondFederated Funds FEDERATED INTERNAT'L BOND CLASS C FTIBX Non-NTF Worldwide Bond 1.7 1.00 3 BondFederated Funds FEDERATED INTERNAT'L HIGH INCOME CL A IHIAX Non-NTF Income 1.24 4.50 3 BondFederated Funds FEDERATED INTERNAT'L HIGH INCOME CL B IHIBX Non-NTF Income 1.99 5.50 3 BondFederated Funds FEDERATED INTERNAT'L HIGH INCOME CL C IHICX Non-NTF Income 1.99 1.00 3 EquityFederated Funds FEDERATED INTERNAT'L HIGH INCOME FUND F IHIFX Non-NTF Income 1.22 1.00 3 EquityFederated Funds FEDERATED INTERNATL LEADERS CL A FGFAX Non-NTF Growth 1.78 5.50 3 EquityFederated Funds FEDERATED INTERNATL LEADERS CL B FGFBX Non-NTF Growth 2.52 5.50 3 EquityFederated Funds FEDERATED INTERNATL LEADERS CL C FGFCX Non-NTF Growth 2.54 1.00 3 EquityFederated Funds FEDERATED INTERNAT'L SMALL MID CO CL A ISCAX Non-NTF Small Company 1.8 5.50 3 EquityFederated Funds FEDERATED INTERNAT'L SMALL MID CO CL B ISCBX Non-NTF Small Company 2.6 5.50 3 EquityFederated Funds FEDERATED INTERNAT'L SMALL MID CO CL C ISCCX Non-NTF Small Company 2.6 1.00 3 EquityFederated Funds FEDERATED INTERNATL SMALL-MID CO FD IS ISCIX Non-NTF Small Company 1.6 None 3 EquityFederated Funds FEDERATED INT'L STRAT VALUE DIV CL A IVFAX Non-NTF Growth and Income 0.99 5.50 3 EquityFederated Funds FEDERATED INT'L STRAT VALUE DIV IS IVFIX Non-NTF Growth and Income 0.74 None 3 EquityFederated Funds FEDERATED KAUFMAN LARGE CAP FUND CL C KLCCX Non-NTF Growth 2.32 1.00 3 EquityFederated Funds FEDERATED KAUFMAN LARGE CAP FUND CL IS KLCIX Non-NTF Growth 1.25 None 3 EquityFederated Funds FEDERATED KAUFMAN SMALL CAP CL C FKCSX Non-NTF Small Company 2.5 1.00 3 EquityFederated Funds FEDERATED KAUFMAN SMALL CAP FD CL K FKKSX Non-NTF Small Company 1.95 None 3 EquityFederated Funds FEDERATED KAUFMAN SMALLCAP FD CL B FKBSX Non-NTF Small Company 2.5 5.50 3 EquityFederated Funds FEDERATED KAUFMANN CLASS A KAUAX Non-NTF Aggressive Growth 1.95 5.50 3 EquityFederated Funds FEDERATED KAUFMANN CLASS B KAUBX Non-NTF Aggressive Growth 2.5 5.50 3 EquityFederated Funds FEDERATED KAUFMANN CLASS C KAUCX Non-NTF Aggressive Growth 2.5 1.00 3 EquityFederated Funds FEDERATED KAUFMANN SMALL CAP FUND CL A FKASX Non-NTF Small Company 1.95 5.50 3 EquityFederated Funds FEDERATED LIBERTY US GOVT MMKT CL B LIBXX Non-NTF 5.50 1 EquityFederated Funds FEDERATED MARKET OPPORTUNITY CL A FMAAX Non-NTF Growth 1.24 5.50 3 EquityFederated Funds FEDERATED MARKET OPPORTUNITY CL B FMBBX Non-NTF Growth 1.99 5.50 3 EquityFederated Funds FEDERATED MASS MUNI CASH TRUST CASH SERS QFMXQ Non-NTF None 0 EquityFederated Funds FEDERATED MASTER TR M/M OBLIGATION TRUST FMTXX Non-NTF None 1 EquityFederated Funds FEDERATED MAX CAP INDEX C FUND MXCCX Non-NTF Growth and Income 1.43 1.00 3 EquityFederated Funds FEDERATED MAX CAP INDEX FD K FMXKX Non-NTF Growth and Income 1.1 None 3 EquityFederated Funds FEDERATED MDT ALL CAP CORE FD QIACX Non-NTF Growth 1.06 None 3 EquityFederated Funds FEDERATED MDT ALL CAP CORE FD CL A QAACX Non-NTF Growth 1.34 5.50 3 EquityFederated Funds FEDERATED MDT ALL CAP CORE FD CL C QCACX Non-NTF Growth 2.14 1.00 3 EquityFederated Funds FEDERATED MDT ALL CAP CORE FUND CK K QKACX Non-NTF Growth 1.8 None 3 EquityFederated Funds FEDERATED MDT BALANCED CL A QABGX Non-NTF Balanced 1.3 5.50 3 EquityFederated Funds FEDERATED MDT BALANCED CL C QCBGX Non-NTF Balanced 2.05 1.00 3 Equity

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Settlement Days

Security Class

Federated Funds FEDERATED MDT BALANCED CL IS QIBGX Non-NTF Balanced 1.05 None 3 EquityFederated Funds FEDERATED MDT BALANCED FUND CL K QKBGX Non-NTF Balanced 1.79 None 3 EquityFederated Funds FEDERATED MDT LARGE CAP GROWTH CL A QALGX Non-NTF Growth 1.5 5.50 3 EquityFederated Funds FEDERATED MDT LARGE CAP GROWTH CL B QBLGX Non-NTF Growth 2.25 5.50 3 EquityFederated Funds FEDERATED MDT LARGE CAP GROWTH CL C QCLGX Non-NTF Growth 2.25 1.00 3 EquityFederated Funds FEDERATED MDT LARGE CAP GROWTH CL IS QILGX Non-NTF Growth 1.25 None 3 EquityFederated Funds FEDERATED MDT MID CAP GROWTH CL A QAMGX Non-NTF Growth 1.49 5.50 3 EquityFederated Funds FEDERATED MDT MID CAP GROWTH CL IS QIMGX Non-NTF Growth 1.24 None 3 EquityFederated Funds FEDERATED MDT MID CAP GRWTH FD CL C QCMGX Non-NTF Growth 2.24 1.00 3 EquityFederated Funds FEDERATED MDT SMALL CAP CORE CL IS QISCX Non-NTF Growth 1.49 None 3 EquityFederated Funds FEDERATED MDT SMALL CAP CORE FD CL A QASCX Non-NTF Growth 1.74 5.50 3 EquityFederated Funds FEDERATED MDT SMALL CAP CORE FD CL C QCSCX Non-NTF Growth 2.49 1.00 3 EquityFederated Funds FEDERATED MDT SMALL CAP GROWTH CL A QASGX Non-NTF Growth 1.75 5.50 3 EquityFederated Funds FEDERATED MDT SMALL CAP GROWTH CL IS MTXT QISGX Non-NTF Growth 1.5 None 3 EquityFederated Funds FEDERATED MDT SMALL CAP GROWTH CLASS C QCSGX Non-NTF Growth 2.5 1.00 3 BondFederated Funds FEDERATED MDT SMALL CAP GROWTH FD CL B QBSGX Non-NTF Growth 2.5 5.50 3 EquityFederated Funds FEDERATED MICHIGAN INTERMED MUNI CL A MMIFX Non-NTF Municipal Bond - Single State 0.54 3.00 3 EquityFederated Funds FEDERATED MID CAP GROWTH STRATEGIES A FGSAX Non-NTF Growth 0.99 5.50 3 EquityFederated Funds FEDERATED MID CAP GROWTH STRATEGIES C FGSCX Non-NTF Growth 1.74 1.00 3 EquityFederated Funds FEDERATED MINNESOTA MUNI CA TRUST CA SER MNMXX Non-NTF None 0 EquityFederated Funds FEDERATED MUNI & STK ADVANT FD CL C FMUCX Non-NTF Income 1.75 1.00 3 EquityFederated Funds FEDERATED MUNI & STK ADVANT FUND CL B FMNBX Non-NTF Income 1.75 5.50 3 EquityFederated Funds FEDERATED MUNI & STOCK ADV CL A FMUAX Non-NTF Income 1 5.50 3 BondFederated Funds FEDERATED MUNI & STOCK ADVANTAGE CL F FMUFX Non-NTF Income 0.89 1.00 3 BondFederated Funds FEDERATED MUNI HIGH YLD ADV CL A FMOAX Non-NTF Municipal Bond - National 0.79 4.50 3 BondFederated Funds FEDERATED MUNI HIGH YLD ADV CL B FMOBX Non-NTF Municipal Bond - National 1.54 5.50 3 BondFederated Funds FEDERATED MUNI HIGH YLD ADV CL C FMNCX Non-NTF Municipal Bond - National 1.54 1.00 3 EquityFederated Funds FEDERATED MUNI HIGH YLD ADV FD CL F FHTFX Non-NTF Municipal Bond - National 0.79 1.00 3 BondFederated Funds FEDERATED MUNI SECURITIES FD CL F LMFFX Non-NTF Municipal Bond - National 0.87 1.00 3 BondFederated Funds FEDERATED MUNI ULTRA SHORT CL IS FMUSX Non-NTF Income 0.35 None 3 BondFederated Funds FEDERATED MUNICIPAL SECURITIES CLASS A LMSFX Non-NTF Municipal Bond - National 0.87 4.50 3 BondFederated Funds FEDERATED MUNICIPAL SECURITIES CLASS B LMSBX Non-NTF Municipal Bond - National 1.76 5.50 3 BondFederated Funds FEDERATED NC MUNI CASH TRUST SVC SHS QFNCQ Non-NTF None 0 BondFederated Funds FEDERATED NEW YORK MUNI CASH TRUST FNCXX Non-NTF None 0 BondFederated Funds FEDERATED NJ MUNI CASH TRUST NJCXX Non-NTF None 0 BondFederated Funds FEDERATED NY MUNI CA TRUST CA II SHS NYCXX Non-NTF None 0 BondFederated Funds FEDERATED OHIO MUNI INCOME CLASS F OMIFX Non-NTF Municipal Bond - Single State 0.9 1.00 3 BondFederated Funds FEDERATED OHIO MUNI INCOME FUND CLASS A OMIAX Non-NTF Municipal Bond - Single State 0.75 4.50 3 BondFederated Funds FEDERATED PRIME VAL OBLIGATION INST SVC QPVSQ Non-NTF None 0 EquityFederated Funds FEDERATED PRIME VALUE OBLIGATION PVOXX Non-NTF None 1 EquityFederated Funds FEDERATED PRUDENT BEAR CLASS C PBRCX Non-NTF Growth 2.46 1.00 3 EquityFederated Funds FEDERATED PRUDENT BEAR FUND CL IS PBRIX Non-NTF Growth 1.5 None 3 EquityFederated Funds FEDERATED PRUDENT BEAR FUND CLASS A BEARX Non-NTF Growth 1.73 5.50 3 BondFederated Funds FEDERATED PRUDENT DOLLARBEAR CL A PSAFX Non-NTF Growth and Income 1.28 4.50 3 BondFederated Funds FEDERATED PRUDENT DOLLARBEAR CL C FPGCX Non-NTF Growth and Income 2.03 1.00 3 BondFederated Funds FEDERATED REAL RETRN BOND FUND CL A RRFAX Non-NTF Government Bond - General 0.7 4.50 3 BondFederated Funds FEDERATED REAL RETURN BOND CL C RRFCX Non-NTF Government Bond - General 1.45 1.00 3 BondFederated Funds FEDERATED SHORT TERM INCOME FD CL A FTIAX Non-NTF Corporate Bond - High Quality 1.09 1.00 3 BondFederated Funds FEDERATED SHORT TERM MUNI TRUST CL A FMTAX Non-NTF Municipal Bond - National 0.97 1.00 3 EquityFederated Funds FEDERATED STOCK & BD INSTL CLASS SHARES SBFIX Non-NTF Asset Allocation 1 None 1 EquityFederated Funds FEDERATED STOCK & BOND CLASS A FSTBX Non-NTF Asset Allocation 1.25 5.50 3 EquityFederated Funds FEDERATED STOCK & BOND CLASS B FSBBX Non-NTF Asset Allocation 2.05 5.50 3 BondFederated Funds FEDERATED STOCK & BOND CLASS C FSBCX Non-NTF Asset Allocation 2.05 1.00 3 BondFederated Funds FEDERATED STRATEGIC INCOME CLASS A STIAX Non-NTF Multisector Bond 1.27 4.50 3 BondFederated Funds FEDERATED STRATEGIC INCOME CLASS B SINBX Non-NTF Multisector Bond 2.02 5.50 3 BondFederated Funds FEDERATED STRATEGIC INCOME CLASS C SINCX Non-NTF Multisector Bond 2.02 1.00 3 EquityFederated Funds FEDERATED STRATEGIC INCOME CLASS F STFSX Non-NTF Multisector Bond 1.27 1.00 3 EquityFederated Funds FEDERATED TAX FREE OBLIGATION INST QTBIQ Non-NTF None 0 BondFederated Funds FEDERATED TAX FREE OBLIGATION INSTL TBIXX Non-NTF None 1 Bond

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Sales Charge

Settlement Days

Security Class

Federated Funds FEDERATED TOTAL RETURN BOND CL A TLRAX Non-NTF Income 0.89 4.50 3 BondFederated Funds FEDERATED TREASURY OBLIGATION MMKT TOCXX Non-NTF None 0 BondFederated Funds FEDERATED TRUST FOR US TRES OBLIGTNS FD TTOXX Non-NTF None 1 EquityFederated Funds TREASUR CASH RESERVE INSTL CL SH UTIXX Non-NTF None 1 BondFederated Institutional Funds FEDERATED ADJUSTABLE RATE SECURITIES FND FEUGX Non-NTF Government Bond - ARM 0.63 None 3 BondFederated Institutional Funds FEDERATED FLORIDA MUNI CASH INSTL SHS FLMXX Non-NTF None 1 BondFederated Institutional Funds FEDERATED GNMA INSTL FUND FGMAX Non-NTF Government Bond - Mortgage 0.66 None 3 BondFederated Institutional Funds FEDERATED GOVERNMENT OBLIG TAX MGD INSTL GTSXX Non-NTF None 1 BondFederated Institutional Funds FEDERATED HIGH YIELD STRATEGY PORT FHYSX Non-NTF None 1 BondFederated Institutional Funds FEDERATED INCOME TRUST INSTL FUND FICMX Non-NTF Government Bond - Mortgage 0.61 None 3 BondFederated Institutional Funds FEDERATED INTERMED CORP BOND FD CL SS INISX Non-NTF Corporate Bond - High Quality 0.8 None 3 BondFederated Institutional Funds FEDERATED INTERMED CORP BOND FD IS FIIFX Non-NTF Corporate Bond - High Quality 0.56 None 3 BondFederated Institutional Funds FEDERATED INTERMED GOVT FUND (IS) FLDIX Non-NTF Government Bond - General 0.3 None 3 BondFederated Institutional Funds FEDERATED INTERMED GOVT FUND (SS) FLDSX Non-NTF Government Bond - General 0.53 None 3 BondFederated Institutional Funds FEDERATED INTERMED MUNI TRUST CL Y FIMYX Non-NTF Municipal Bond - National 0.37 None 3 BondFederated Institutional Funds FEDERATED INTERNATL BOND STRATEGY PORT FIBPX Non-NTF None 1 EquityFederated Institutional Funds FEDERATED INTRMDIATE GVMT CORP FD CL I FGCSX Non-NTF Growth and Income 0.55 None 3 EquityFederated Institutional Funds FEDERATED MID CAP INDEX FUND FMDCX Non-NTF Growth and Income 0.54 None 3 BondFederated Institutional Funds FEDERATED MMKT GOVT OBLIGATIONS INSTL SH GOIXX Non-NTF None 1 BondFederated Institutional Funds FEDERATED MORTGAGE INSTL SERVICE SHS FGFSX Non-NTF Government Bond - Mortgage 0.63 None 3 EquityFederated Institutional Funds FEDERATED PRIME OBLIGATION CLASS IS POIXX Non-NTF None 1 BondFederated Institutional Funds FEDERATED PRIME VAL OBLIGATIONS INST SVC PVSXX Non-NTF None 1 BondFederated Institutional Funds FEDERATED PRUDENT DOLLARBEAR IS FPGIX Non-NTF Growth and Income 1.03 None 3 BondFederated Institutional Funds FEDERATED SHORT TERM INCOME FD CL Y FSTYX Non-NTF Corporate Bond - High Quality 0.35 None 3 BondFederated Institutional Funds FEDERATED SHORT TERM INCOME INSTL FUND FSTIX Non-NTF Corporate Bond - High Quality 0.52 None 3 EquityFederated Institutional Funds FEDERATED STRATEGIC VALUE CLASS I SVAIX Non-NTF Income 0.8 None 3 BondFederated Institutional Funds FEDERATED TAX FREE OBLIGATION INSTL SVC TBSXX Non-NTF None 1 BondFederated Institutional Funds FEDERATED TOTAL RET GOVT BOND IS FTRGX Non-NTF Government Bond - Treasury 0.26 None 3 BondFederated Institutional Funds FEDERATED TOTAL RETURN INSTL SHS FTRBX Non-NTF Income 0.35 None 3 BondFederated Institutional Funds FEDERATED TOTAL RETURN INSTL SVC FTRFX Non-NTF Income 0.65 None 3 BondFederated Institutional Funds FEDERATED ULTRA SHORT BOND INSTL FULIX Non-NTF Income 0.35 None 3 BondFederated Institutional Funds FEDERATED US GOVT BOND INSTL FUND FEDBX Non-NTF Government Bond - General 0.91 None 3 BondFidelity FIMM PRIME MONEY MARKET PORTFOLIO CUSIP 31607A208 QCKUQ Non-NTF None 1 EquityFidelity FIMMM MONEY MARKET PORTFOLIO CUSIP 31607A109 QCKTQ Non-NTF None 1 EquityFidelity Advisor Funds FIDELITY ADV ASSET MANAGER 20% CL A FTAWX Non-NTF Asset Allocation 0.87 5.75 3 EquityFidelity Advisor Funds FIDELITY ADV ASSET MANAGER 20% CL B FTBWX Non-NTF Asset Allocation 1.65 5.00 3 EquityFidelity Advisor Funds FIDELITY ADV ASSET MANAGER 20% CL C FTCWX Non-NTF Asset Allocation 1.63 1.00 3 EquityFidelity Advisor Funds FIDELITY ADV ASSET MANAGER 20% CL T FTDWX Non-NTF Asset Allocation 1.11 3.50 3 EquityFidelity Advisor Funds FIDELITY ADV ASSET MANAGER 85% CL A FEYAX Non-NTF Asset Allocation 1.16 5.75 3 EquityFidelity Advisor Funds FIDELITY ADV ASSET MANAGER 85% CL B FEYBX Non-NTF Asset Allocation 1.97 5.00 3 EquityFidelity Advisor Funds FIDELITY ADV ASSET MANAGER 85% CL C FEYCX Non-NTF Asset Allocation 1.93 1.00 3 EquityFidelity Advisor Funds FIDELITY ADV ASSET MANAGER 85% CL T FEYTX Non-NTF Asset Allocation 1.43 3.50 3 EquityFidelity Advisor Funds FIDELITY ADV DYNAMIC STRATEGIES CLASS A FDASX Non-NTF Income 0.65 5.75 3 EquityFidelity Advisor Funds FIDELITY ADV DYNAMIC STRATEGIES CLASS B FDBSX Non-NTF Income 1.4 5.00 3 EquityFidelity Advisor Funds FIDELITY ADV DYNAMIC STRATEGIES CLASS C FDCSX Non-NTF Income 1.4 1.00 3 EquityFidelity Advisor Funds FIDELITY ADV DYNAMIC STRATEGIES CLASS T FDTSX Non-NTF Income 0.9 3.50 3 EquityFidelity Advisor Funds FIDELITY ADV EMERG EURO MID EAST AFR A FMEAX Non-NTF Foreign Stock 1.39 5.75 3 EquityFidelity Advisor Funds FIDELITY ADV EMERG EURO MID EAST AFR B FEMBX Non-NTF Foreign Stock 2.14 5.00 3 EquityFidelity Advisor Funds FIDELITY ADV EMERG EURO MID EAST AFR C FEMCX Non-NTF Foreign Stock 2.14 1.00 3 EquityFidelity Advisor Funds FIDELITY ADV EMERG EURO MID EAST AFR T FEMTX Non-NTF Foreign Stock 1.64 3.50 3 EquityFidelity Advisor Funds FIDELITY ADV GLOBAL COMM STOCK C FCGCX Non-NTF Growth 2.23 1.00 3 EquityFidelity Advisor Funds FIDELITY ADV GLOBAL COMM STOCK CL B FFGBX Non-NTF Growth 2.23 5.00 3 BondFidelity Advisor Funds FIDELITY ADV GLOBAL COMM STOCK T FFGTX Non-NTF Growth 1.73 3.50 3 BondFidelity Advisor Funds FIDELITY ADV HIGH INC ADVANTAGE CL A FAHDX Non-NTF Corporate Bond - High Yield 1.07 4.00 3 BondFidelity Advisor Funds FIDELITY ADV HIGH INC ADVANTAGE CL B FAHBX Non-NTF Corporate Bond - High Yield 1.75 5.00 3 BondFidelity Advisor Funds FIDELITY ADV HIGH INC ADVANTAGE CL C FAHEX Non-NTF Corporate Bond - High Yield 1.81 1.00 3 BondFidelity Advisor Funds FIDELITY ADV HIGH INC ADVANTAGE CL T FAHYX Non-NTF Corporate Bond - High Yield 1.05 4.00 3 BondFidelity Advisor Funds FIDELITY ADV INFLATN PROTECTED BOND CL B FBIPX Non-NTF Multisector Bond 1.4 5.00 3 BondFidelity Advisor Funds FIDELITY ADV INFLATN PROTECTED BOND CL C FIPCX Non-NTF Multisector Bond 1.5 1.00 3 Bond

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Sales Charge

Settlement Days

Security Class

Fidelity Advisor Funds FIDELITY ADV INFLATN PROTECTED BOND CL T FIPTX Non-NTF Multisector Bond 0.75 4.00 3 BondFidelity Advisor Funds FIDELITY ADV INFLATN PROTECTION BD CL A FIPAX Non-NTF Multisector Bond 0.75 4.00 3 BondFidelity Advisor Funds FIDELITY ADV INTER MED MUNI INCOME CL A FZIAX Non-NTF Municipal Bond - National 0.71 4.00 3 BondFidelity Advisor Funds FIDELITY ADV INTER MED MUNI INCOME CL B FZIBX Non-NTF Municipal Bond - National 1.35 5.00 3 BondFidelity Advisor Funds FIDELITY ADV INTER MED MUNI INCOME CL C FZICX Non-NTF Municipal Bond - National 1.45 1.00 3 EquityFidelity Advisor Funds FIDELITY ADV INTER MED MUNI INCOME CL T FZITX Non-NTF Municipal Bond - National 0.68 4.00 3 EquityFidelity Advisor Funds FIDELITY ADV INTL SMALL CAP OPP CL A FOPAX Non-NTF Growth 0.89 5.75 3 EquityFidelity Advisor Funds FIDELITY ADV INTL SMALL CAP OPP CL B FOPBX Non-NTF Growth 1.64 5.00 3 EquityFidelity Advisor Funds FIDELITY ADV INTL SMALL CAP OPP CL C FOPCX Non-NTF Growth 1.63 1.00 3 EquityFidelity Advisor Funds FIDELITY ADV INTL SMALL CAPP OPP CL T FOPTX Non-NTF Growth 1.15 3.50 3 EquityFidelity Advisor Funds FIDELITY ADV STRAT DIVIDEND & INC CL A FASDX Non-NTF Income 1.21 5.75 3 EquityFidelity Advisor Funds FIDELITY ADV STRAT DIVIDEND & INC CL B FBSDX Non-NTF Income 1.98 5.00 3 EquityFidelity Advisor Funds FIDELITY ADV STRAT DIVIDEND & INC CL C FCSDX Non-NTF Income 1.96 1.00 3 EquityFidelity Advisor Funds FIDELITY ADV STRAT DIVIDEND & INC CL T FTSDX Non-NTF Income 1.45 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR 130 30 LARGE CAP CL B FOBTX Non-NTF Growth and Income 2.25 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR 130 30 LARGE CAP CL C FOCTX Non-NTF Growth and Income 2.28 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR 130 30 LARGE CAP CL T FORTX Non-NTF Growth and Income 1.77 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR 130 30 LARGE CAP FD CL A FOATX Non-NTF Growth and Income 1.53 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAG 30% CL A FTAAX Non-NTF Asset Allocation 0.89 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAG 30% CL B FTBNX Non-NTF Asset Allocation 1.65 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAG 30% CL C FCANX Non-NTF Asset Allocation 1.64 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAG 30% CL T FTTNX Non-NTF Asset Allocation 1.14 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAG 40% CL A FFNAX Non-NTF Asset Allocation 0.9 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAG 40% CL B FFNBX Non-NTF Asset Allocation 1.65 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAG 40% CL C FFNCX Non-NTF Asset Allocation 1.65 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAG 40% CL T FFNTX Non-NTF Asset Allocation 1.15 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAG 60% CL A FSAAX Non-NTF Asset Allocation 1.09 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAG 60% CL B FSABX Non-NTF Asset Allocation 1.84 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAG 60% CL C FSCNX Non-NTF Asset Allocation 1.84 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAG 60% CL T FSATX Non-NTF Asset Allocation 1.34 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAGER 50% A FFAMX Non-NTF Asset Allocation 1.01 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAGER 50% B FFBMX Non-NTF Asset Allocation 1.84 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAGER 50% C FFCMX Non-NTF Asset Allocation 1.81 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAGER 50% T FFTMX Non-NTF Asset Allocation 1.28 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAGER 70% A FAASX Non-NTF Asset Allocation 1.18 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAGER 70% B FBASX Non-NTF Asset Allocation 1.94 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAGER 70% C FCASX Non-NTF Asset Allocation 1.91 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ASSET MANAGER 70% T FTASX Non-NTF Asset Allocation 1.43 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR BALANCED CL A FABLX Non-NTF Balanced 1.06 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR BALANCED CL B FAISX Non-NTF Balanced 1.83 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR BALANCED CL C FABCX Non-NTF Balanced 1.81 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR BALANCED CL T FAIGX Non-NTF Balanced 1.29 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR BIOTECHNOLOGY CL A FBTAX Non-NTF Specialty - Health 1.4 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR BIOTECHNOLOGY CL B FBTBX Non-NTF Specialty - Health 2.15 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR BIOTECHNOLOGY CL C FBTCX Non-NTF Specialty - Health 2.15 1.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR BIOTECHNOLOGY CL T FBTTX Non-NTF Specialty - Health 1.65 3.50 3 BondFidelity Advisor Funds FIDELITY ADVISOR CALIF MUNI INC CL A FCMAX Non-NTF Municipal Bond - Single State 0.74 4.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR CALIF MUNI INC CL B FCMBX Non-NTF Municipal Bond - Single State 1.4 5.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR CALIF MUNI INC CL C FCMKX Non-NTF Municipal Bond - Single State 1.48 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CALIF MUNI INC CL T FCMTX Non-NTF Municipal Bond - Single State 0.72 4.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CANADA CL A FACNX Non-NTF Foreign Stock 1.39 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CANADA CL B FBCNX Non-NTF Foreign Stock 2.16 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CANADA CL C FCCNX Non-NTF Foreign Stock 2.15 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CANADA CL T FTCNX Non-NTF Foreign Stock 1.67 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CAPITAL DEV CL A FDTTX Non-NTF Growth 1.01 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CAPITAL DEV CL B FDEBX Non-NTF Growth 1.93 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CAPITAL DEV CL C FDECX Non-NTF Growth 1.92 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CAPITAL DEV CL T FDTZX Non-NTF Growth 1.47 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CHINA REGION CL C FCHKX Non-NTF Pacific Stock 2.07 1.00 3 Equity

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Sales Charge

Settlement Days

Security Class

Fidelity Advisor Funds FIDELITY ADVISOR CHINA REGION CL T FHKTX Non-NTF Pacific Stock 1.58 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CHINA REGION FD CL A FHKAX Non-NTF Pacific Stock 1.31 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CHINA REGION FD CL B FHKBX Non-NTF Pacific Stock 2.06 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR COMM EQUIPMENT CL A FDMAX Non-NTF Specialty - Communications 1.4 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR COMM EQUIPMENT CL B FDMBX Non-NTF Specialty - Communications 2.15 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR COMM EQUIPMENT CL C FDMCX Non-NTF Specialty - Communications 2.15 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR COMM EQUIPMENT CL T FDMTX Non-NTF Specialty - Communications 1.65 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CONSUM STAPLES CL A FDAGX Non-NTF Specialty - Unaligned 1.18 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CONSUM STAPLES CL B FDBGX Non-NTF Specialty - Unaligned 1.96 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CONSUM STAPLES CL C FDCGX Non-NTF Specialty - Unaligned 1.93 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CONSUM STAPLES CL T FDTGX Non-NTF Specialty - Unaligned 1.46 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CONSUMER DSCRTNRY A FCNAX Non-NTF Specialty - Unaligned 1.4 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CONSUMER DSCRTNRY B FCIBX Non-NTF Specialty - Unaligned 2.15 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CONSUMER DSCRTNRY C FCECX Non-NTF Specialty - Unaligned 2.15 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CONSUMER DSCRTNRY T FACPX Non-NTF Specialty - Unaligned 1.65 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CONVERTIBLE SEC C FCCVX Non-NTF Convertible Bond 1.8 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CONVERTIBLE SECS A FACVX Non-NTF Convertible Bond 1.04 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CONVERTIBLE SECS B FCBVX Non-NTF Convertible Bond 1.78 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR CONVERTIBLE SECS T FTCVX Non-NTF Convertible Bond 1.25 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR DIVERSIFIED INTL A FDVAX Non-NTF Foreign Stock 1.31 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR DIVERSIFIED INTL B FDIBX Non-NTF Foreign Stock 2.07 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR DIVERSIFIED INTL C FADCX Non-NTF Foreign Stock 2.06 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR DIVERSIFIED INTL T FADIX Non-NTF Foreign Stock 1.55 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR DIVERSIFIED STOCK A FDTOX Non-NTF Growth 0.93 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR DIVERSIFIED STOCK B FDTBX Non-NTF Growth 1.81 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR DIVERSIFIED STOCK C FDTCX Non-NTF Growth 1.81 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR DIVERSIFIED STOCK T FDTEX Non-NTF Growth 1.32 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR DIVIDEND GROWTH CL A FADAX Non-NTF Growth 1.08 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR DIVIDEND GROWTH CL B FADBX Non-NTF Growth 1.8 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR DIVIDEND GROWTH CL C FDGCX Non-NTF Growth 1.81 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR DIVIDEND GROWTH CL T FDGTX Non-NTF Growth 1.3 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR DYNAMIC CAP APP CL A FARAX Non-NTF Growth 1.08 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR DYNAMIC CAP APP CL B FRMBX Non-NTF Growth 1.83 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR DYNAMIC CAP APP CL C FRECX Non-NTF Growth 1.82 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR DYNAMIC CAP APP CL T FRGTX Non-NTF Growth 1.33 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ELECTRONICS CL A FELAX Non-NTF Specialty - Technology 1.4 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ELECTRONICS CL B FELBX Non-NTF Specialty - Technology 2.15 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ELECTRONICS CL C FELCX Non-NTF Specialty - Technology 2.15 1.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR ELECTRONICS CL T FELTX Non-NTF Specialty - Technology 1.65 3.50 3 BondFidelity Advisor Funds FIDELITY ADVISOR EMERG MKTS INC CL A FMKAX Non-NTF Worldwide Bond 1.2 4.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR EMERG MKTS INC CL B FBEMX Non-NTF Worldwide Bond 1.85 5.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR EMERG MKTS INC CL C FMKCX Non-NTF Worldwide Bond 1.95 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EMERG MKTS INC CL T FAEMX Non-NTF Worldwide Bond 1.2 4.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EMERGING ASIA CL A FEAAX Non-NTF Pacific Stock 1.41 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EMERGING ASIA CL B FERBX Non-NTF Pacific Stock 2.16 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EMERGING ASIA CL C FERCX Non-NTF Pacific Stock 2.16 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EMERGING ASIA CL T FEATX Non-NTF Pacific Stock 1.66 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EMERGING MKTS CL A FAMKX Non-NTF Growth 1.53 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EMERGING MKTS CL B FBMKX Non-NTF Growth 2.28 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EMERGING MKTS CL C FMCKX Non-NTF Growth 2.28 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EMERGING MKTS CL T FTMKX Non-NTF Growth 1.78 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ENERGY CLASS A FANAX Non-NTF Specialty - Natural Resources 1.21 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ENERGY CLASS B FANRX Non-NTF Specialty - Natural Resources 1.96 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ENERGY CLASS C FNRCX Non-NTF Specialty - Natural Resources 1.95 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ENERGY CLASS T FAGNX Non-NTF Specialty - Natural Resources 1.45 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EQUITY GROWTH CL A EPGAX Non-NTF Growth 1.18 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EQUITY GROWTH CL B EPGBX Non-NTF Growth 1.93 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EQUITY GROWTH CL C EPGCX Non-NTF Growth 1.93 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EQUITY GROWTH CL T FAEGX Non-NTF Growth 1.39 3.50 3 Equity

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Settlement Days

Security Class

Fidelity Advisor Funds FIDELITY ADVISOR EQUITY INCOME CL A FEIAX Non-NTF Equity-Income 1.07 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EQUITY INCOME CL B FEIBX Non-NTF Equity-Income 1.84 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EQUITY INCOME CL C FEICX Non-NTF Equity-Income 1.83 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EQUITY INCOME CL T FEIRX Non-NTF Equity-Income 1.27 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EQUITY VALUE CL A FAVAX Non-NTF Growth 1.24 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EQUITY VALUE CL B FAVBX Non-NTF Growth 1.99 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EQUITY VALUE CL C FAVCX Non-NTF Growth 1.99 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EQUITY VALUE CL T FAVTX Non-NTF Growth 1.49 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EUROPE CAP APP CL A FAEAX Non-NTF Europe Stock 1.46 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EUROPE CAP APP CL B FBEAX Non-NTF Europe Stock 2.21 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EUROPE CAP APP CL C FCEAX Non-NTF Europe Stock 2.21 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR EUROPE CAP APP CL T FAECX Non-NTF Europe Stock 1.71 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FIFTY CL A FFYAX Non-NTF Growth 1.22 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FIFTY CL B FFYBX Non-NTF Growth 1.97 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FIFTY CL C FFYCX Non-NTF Growth 1.97 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FIFTY CL T FFYTX Non-NTF Growth 1.47 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FINANCIAL SVCS CL A FAFDX Non-NTF Specialty - Financial 1.28 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FINANCIAL SVCS CL B FAFBX Non-NTF Specialty - Financial 2.03 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FINANCIAL SVCS CL C FAFCX Non-NTF Specialty - Financial 2.03 1.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR FINANCIAL SVCS CL T FAFSX Non-NTF Specialty - Financial 1.54 3.50 3 BondFidelity Advisor Funds FIDELITY ADVISOR FL RATE HIGH INC CL A FFRAX Non-NTF Corporate Bond - General 1.04 2.75 3 BondFidelity Advisor Funds FIDELITY ADVISOR FL RATE HIGH INC CL B FFRBX Non-NTF Corporate Bond - General 1.55 3.50 3 BondFidelity Advisor Funds FIDELITY ADVISOR FL RATE HIGH INC CL C FFRCX Non-NTF Corporate Bond - General 1.78 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FL RATE HIGH INC CL T FFRTX Non-NTF Corporate Bond - General 1.04 2.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FOCUS INDUSTRIALS T FCLTX Non-NTF Specialty - Unaligned 1.48 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FRE EDOM 2045 CL T FFFTX Non-NTF Asset Allocation 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FRE EDOM 2050 CL B FFFWX Non-NTF Asset Allocation 1 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2005 CL A FFAVX Non-NTF Asset Allocation 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2005 CL B FFBVX Non-NTF Asset Allocation 1 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2005 CL C FCFVX Non-NTF Asset Allocation 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2005 CL T FFTVX Non-NTF Asset Allocation 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2010 CL A FACFX Non-NTF Asset Allocation 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2010 CL B FCFBX Non-NTF Asset Allocation 1 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2010 CL C FCFCX Non-NTF Asset Allocation 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2010 CL T FCFTX Non-NTF Asset Allocation 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2015 CL A FFVAX Non-NTF Asset Allocation 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2015 CL B FFVBX Non-NTF Asset Allocation 1 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2015 CL C FFVCX Non-NTF Asset Allocation 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2015 CL T FFVTX Non-NTF Asset Allocation 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2020 CL A FDAFX Non-NTF Asset Allocation 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2020 CL B FDBFX Non-NTF Asset Allocation 1 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2020 CL C FDCFX Non-NTF Asset Allocation 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2020 CL T FDTFX Non-NTF Asset Allocation 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2025 CL A FATWX Non-NTF Asset Allocation 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2025 CL B FBTWX Non-NTF Asset Allocation 1 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2025 CL C FCTWX Non-NTF Asset Allocation 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2025 CL T FTTWX Non-NTF Asset Allocation 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2030 CL A FAFEX Non-NTF Asset Allocation 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2030 CL B FBFEX Non-NTF Asset Allocation 1 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2030 CL C FCFEX Non-NTF Asset Allocation 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2030 CL T FTFEX Non-NTF Asset Allocation 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2035 CL A FATHX Non-NTF Asset Allocation 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2035 CL B FBTHX Non-NTF Asset Allocation 1 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2035 CL C FCTHX Non-NTF Asset Allocation 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2035 CL T FTTHX Non-NTF Asset Allocation 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2040 CL A FAFFX Non-NTF Asset Allocation 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2040 CL B FBFFX Non-NTF Asset Allocation 1 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2040 CL C FCFFX Non-NTF Asset Allocation 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2040 CL T FTFFX Non-NTF Asset Allocation 0.5 3.50 3 Equity

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Settlement Days

Security Class

Fidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2045 CL A FFFZX Non-NTF Asset Allocation 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2045 CL B FFFKX Non-NTF Asset Allocation 1 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2045 CL C FFFJX Non-NTF Asset Allocation 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2050 CL A FFFLX Non-NTF Asset Allocation 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2050 CL C FFFYX Non-NTF Asset Allocation 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM 2050 CL T FFFQX Non-NTF Asset Allocation 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM INCOME CL A FAFAX Non-NTF Income 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM INCOME CL B FBFAX Non-NTF Income 1 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM INCOME CL C FCAFX Non-NTF Income 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR FREEDOM INCOME CL T FTAFX Non-NTF Income 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GLOBAL BALANCED CL A FGLAX Non-NTF Multi-Asset Global 1.46 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GLOBAL BALANCED CL B FGLBX Non-NTF Multi-Asset Global 2.2 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GLOBAL BALANCED CL C FGLCX Non-NTF Multi-Asset Global 2.19 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GLOBAL BALANCED CL T FGLTX Non-NTF Multi-Asset Global 1.68 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GLOBAL CAP APPREC A FGEAX Non-NTF World Stock 1.43 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GLOBAL CAP APPREC B FGEBX Non-NTF World Stock 2.18 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GLOBAL CAP APPREC C FEUCX Non-NTF World Stock 2.18 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GLOBAL CAP APPREC T FGETX Non-NTF World Stock 1.69 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GLOBAL COMM STOCK A FFGAX Non-NTF Growth 1.48 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GOLD FD CL A FGDAX Non-NTF Specialty - Precious Metals 1.15 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GOLD FD CL B FGDBX Non-NTF Specialty - Precious Metals 1.89 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GOLD FD CL C FGDCX Non-NTF Specialty - Precious Metals 1.89 1.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR GOLD FD CL T FGDTX Non-NTF Specialty - Precious Metals 1.41 3.50 3 BondFidelity Advisor Funds FIDELITY ADVISOR GOVT INCOME FD CL A FVIAX Non-NTF Government Bond - General 0.77 4.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR GOVT INCOME FD CL B FVIBX Non-NTF Government Bond - General 1.5 5.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR GOVT INCOME FD CL C FVICX Non-NTF Government Bond - General 1.51 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GOVT INCOME FD CL T FVITX Non-NTF Government Bond - General 0.76 4.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GROWTH & INCOME CL A FGIRX Non-NTF Growth and Income 1.08 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GROWTH & INCOME CL B FGISX Non-NTF Growth and Income 1.84 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GROWTH & INCOME CL C FGIUX Non-NTF Growth and Income 1.83 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GROWTH & INCOME CL T FGITX Non-NTF Growth and Income 1.34 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GROWTH OPP CLASS T FAGOX Non-NTF Growth 1.02 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GROWTH OPPS CLASS A FAGAX Non-NTF Growth 0.8 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GROWTH OPPTIES CL B FABGX Non-NTF Growth 1.55 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GROWTH OPPTIES CL C FACGX Non-NTF Growth 1.55 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GROWTH STRATEGIES A FGVAX Non-NTF Aggressive Growth 1.28 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GROWTH STRATEGIES B FGVBX Non-NTF Aggressive Growth 2.03 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GROWTH STRATEGIES C FGECX Non-NTF Aggressive Growth 2.03 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR GROWTH STRATEGIES T FGVTX Non-NTF Aggressive Growth 1.53 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR HEALTH CARE CL A FACDX Non-NTF Specialty - Health 1.23 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR HEALTH CARE CL B FAHTX Non-NTF Specialty - Health 1.98 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR HEALTH CARE CL C FHCCX Non-NTF Specialty - Health 1.98 1.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR HEALTH CARE CL T FACTX Non-NTF Specialty - Health 1.49 3.50 3 BondFidelity Advisor Funds FIDELITY ADVISOR HIGH INCOME CL A FHIAX Non-NTF Income 1.08 4.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR HIGH INCOME CL B FHCBX Non-NTF Income 1.75 5.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR HIGH INCOME CL C FHNCX Non-NTF Income 1.85 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR HIGH INCOME CL T FHITX Non-NTF Income 1.1 4.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPL 2038 CL A FARVX Non-NTF Income 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPL 2038 CL C FCRVX Non-NTF Income 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPL 2038 CL T FTRVX Non-NTF Income 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPL 2040 CL A FARWX Non-NTF Income 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPL 2040 CL C FCRWX Non-NTF Income 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPL 2040 CL T FTRWX Non-NTF Income 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPL 2042 CL A FARFX Non-NTF Income 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPL 2042 CL C FCRFX Non-NTF Income 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPL 2042 CL T FITTX Non-NTF Income 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2016 CL A FRJAX Non-NTF Growth and Income 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2016 CL C FRJCX Non-NTF Growth and Income 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2016 CL T FRJTX Non-NTF Growth and Income 0.5 3.50 3 Equity

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Security Class

Fidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2018 CL A FRKAX Non-NTF Growth and Income 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2018 CL C FRKCX Non-NTF Growth and Income 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2018 CL T FRKTX Non-NTF Growth and Income 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2020 CL A FILAX Non-NTF Growth and Income 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2020 CL C FILCX Non-NTF Growth and Income 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2020 CL T FILTX Non-NTF Growth and Income 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2022 CL A FRAMX Non-NTF Growth and Income 0.26 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2022 CL C FRCMX Non-NTF Growth and Income 1.01 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2022 CL T FRTMX Non-NTF Growth and Income 0.51 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2024 CL A FRNAX Non-NTF Growth and Income 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2024 CL C FRNCX Non-NTF Growth and Income 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2024 CL T FRNTX Non-NTF Growth and Income 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2026 CL A FIOAX Non-NTF Growth and Income 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2026 CL C FIOCX Non-NTF Growth and Income 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2026 CL T FIOTX Non-NTF Growth and Income 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2028 CL A FARPX Non-NTF Growth and Income 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2028 CL C FCRPX Non-NTF Growth and Income 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2028 CL T FTRPX Non-NTF Growth and Income 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2030 CL A FRQAX Non-NTF Growth and Income 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2030 CL C FRQCX Non-NTF Growth and Income 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2030 CL T FRQTX Non-NTF Growth and Income 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2032 CL A FIARX Non-NTF Growth and Income 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2032 CL C FICRX Non-NTF Growth and Income 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2032 CL T FTIRX Non-NTF Growth and Income 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2034 CL A FARSX Non-NTF Growth and Income 0.26 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2034 CL C FCRSX Non-NTF Growth and Income 1.01 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2034 CL T FTRSX Non-NTF Growth and Income 0.51 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2036 CL A FURAX Non-NTF Growth and Income 0.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2036 CL C FURCX Non-NTF Growth and Income 1 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INC REPLACE 2036 CL T FURTX Non-NTF Growth and Income 0.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INDUSTRIALS CLASS A FCLAX Non-NTF Specialty - Unaligned 1.23 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INDUSTRIALS CLASS B FCLBX Non-NTF Specialty - Unaligned 1.98 5.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR INDUSTRIALS CLASS C FCLCX Non-NTF Specialty - Unaligned 1.98 1.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR INTERMED BOND CL A FDIAX Non-NTF Corporate Bond - General 0.87 2.75 3 BondFidelity Advisor Funds FIDELITY ADVISOR INTERMED BOND CL B FIBBX Non-NTF Corporate Bond - General 1.54 3.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR INTERMED BOND CL C FNBCX Non-NTF Corporate Bond - General 1.59 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTERMED BOND CL T FTBRX Non-NTF Corporate Bond - General 0.82 2.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL CAP APPREC CL A FCPAX Non-NTF Foreign Stock 1.15 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL CAP APPREC CL B FCPBX Non-NTF Foreign Stock 1.9 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL CAP APPREC CL C FCPCX Non-NTF Foreign Stock 1.9 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL CAP APPREC CL T FIATX Non-NTF Foreign Stock 1.41 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INT'L DISCOVERY CL A FAIDX Non-NTF Foreign Stock 1.32 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INT'L DISCOVERY CL B FADDX Non-NTF Foreign Stock 2.11 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INT'L DISCOVERY CL C FCADX Non-NTF Foreign Stock 2.09 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INT'L DISCOVERY CL T FTADX Non-NTF Foreign Stock 1.6 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL GROWTH CLASS A FIAGX Non-NTF Growth 1.47 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL GROWTH CLASS B FBIGX Non-NTF Growth 2.23 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL GROWTH CLASS C FIGCX Non-NTF Growth 2.23 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL GROWTH CLASS T FITGX Non-NTF Growth 1.73 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL REAL ESTATE A FIRAX Non-NTF Specialty - Real Estate 1.42 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL REAL ESTATE B FIRBX Non-NTF Specialty - Real Estate 2.17 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL REAL ESTATE C FIRCX Non-NTF Specialty - Real Estate 2.17 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL REAL ESTATE T FIRTX Non-NTF Specialty - Real Estate 1.68 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL SMALL CAP CL A FIASX Non-NTF World Stock 1.62 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL SMALL CAP CL B FIBSX Non-NTF World Stock 2.36 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL SMALL CAP CL C FICSX Non-NTF World Stock 2.36 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL SMALL CAP CL T FTISX Non-NTF World Stock 1.86 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL VALUE CL A FIVMX Non-NTF Growth 1.32 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INTL VALUE CL B FIVNX Non-NTF Growth 2.07 5.00 3 Equity

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Security Class

Fidelity Advisor Funds FIDELITY ADVISOR INTL VALUE CL C FIVOX Non-NTF Growth 2.06 1.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR INTL VALUE CL T FIVPX Non-NTF Growth 1.59 3.50 3 BondFidelity Advisor Funds FIDELITY ADVISOR INVEST GRADE BD CL A FGBAX Non-NTF Income 0.79 4.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR INVEST GRADE BD CL B FGBBX Non-NTF Income 1.51 5.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR INVEST GRADE BD CL C FGBCX Non-NTF Income 1.55 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR INVEST GRADE BD CL T FGBTX Non-NTF Income 0.82 4.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR JAPAN CL A FJPAX Non-NTF Pacific Stock 1.49 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR JAPAN CL B FAJBX Non-NTF Pacific Stock 2.24 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR JAPAN CL C FAJCX Non-NTF Pacific Stock 2.24 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR JAPAN CL T FAJTX Non-NTF Pacific Stock 1.74 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LARGE CAP CL A FALAX Non-NTF Growth 1.15 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LARGE CAP CL B FALHX Non-NTF Growth 1.9 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LARGE CAP CL C FLCCX Non-NTF Growth 1.9 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LARGE CAP CL T FALGX Non-NTF Growth 1.41 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LATIN AMERICA CL A FLTAX Non-NTF Foreign Stock 1.46 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LATIN AMERICA CL B FLTBX Non-NTF Foreign Stock 2.21 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LATIN AMERICA CL C FLACX Non-NTF Foreign Stock 2.21 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LATIN AMERICA CL T FLTTX Non-NTF Foreign Stock 1.73 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LEVERGD CO STK CL T FLSTX Non-NTF Growth 1.42 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LEVERGED CO STK CL A FLSAX Non-NTF Growth 1.2 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LEVERGED CO STK CL C FLSCX Non-NTF Growth 1.94 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LEVERGRD CO STK CL B FLCBX Non-NTF Growth 1.97 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LRG CAP GROWTH CL B FLNBX Non-NTF Growth 1.76 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LRG CAP GROWTH CL C FLNEX Non-NTF Growth 1.77 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LRG CAP GROWTH FD CL A FLNAX Non-NTF Growth 1.01 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LRG CAP GROWTH FD CL T FLNTX Non-NTF Growth 1.31 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LRG CAP VALUE FD CL A FLUAX Non-NTF Growth 1.17 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LRG CAP VALUE FD CL B FLUBX Non-NTF Growth 2 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LRG CAP VALUE FD CL C FLUEX Non-NTF Growth 1.91 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR LRG CAP VALUE FD CL T FLUTX Non-NTF Growth 1.49 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MATERIALS FD CL A FMFAX Non-NTF Specialty - Natural Resources 1.2 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MATERIALS FD CL B FMFBX Non-NTF Specialty - Natural Resources 1.95 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MATERIALS FD CL C FMFCX Non-NTF Specialty - Natural Resources 1.95 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MATERIALS FD CL T FMFTX Non-NTF Specialty - Natural Resources 1.46 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MEGA CAP STOCK CL A FGTAX Non-NTF Growth and Income 1.13 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MEGA CAP STOCK CL B FGRBX Non-NTF Growth and Income 1.88 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MEGA CAP STOCK CL C FGRCX Non-NTF Growth and Income 1.88 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MEGA CAP STOCK CL T FTGRX Non-NTF Growth and Income 1.36 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MID CAP CL A FMCDX Non-NTF Growth 0.81 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MID CAP CL B FMCBX Non-NTF Growth 1.57 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MID CAP CL C FMCEX Non-NTF Growth 1.55 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MID CAP CL T FMCAX Non-NTF Growth 0.99 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MID CAP GROWTH FD CL A FGCAX Non-NTF Growth 0.94 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MID CAP GROWTH FD CL B FGCBX Non-NTF Growth 1.69 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MID CAP GROWTH FD CL C FGCCX Non-NTF Growth 1.68 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MID CAP GROWTH FD CL T FGCTX Non-NTF Growth 1.22 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MID CAP II CL A FIIAX Non-NTF Growth 1.17 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MID CAP II CL B FIIBX Non-NTF Growth 1.95 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MID CAP II CL C FIICX Non-NTF Growth 1.93 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MID CAP II CL T FITIX Non-NTF Growth 1.41 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MID CAP VALUE FD CL A FMPAX Non-NTF Growth 1.12 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MID CAP VALUE FD CL B FMPBX Non-NTF Growth 1.87 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MID CAP VALUE FD CL C FMPEX Non-NTF Growth 1.86 1.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR MID CAP VALUE FD CL T FMPTX Non-NTF Growth 1.38 3.50 3 BondFidelity Advisor Funds FIDELITY ADVISOR MORTGAGE SECS CL A FMGAX Non-NTF Government Bond - Mortgage 0.84 4.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR MORTGAGE SECS CL B FMSBX Non-NTF Government Bond - Mortgage 1.5 5.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR MORTGAGE SECS CL C FOMCX Non-NTF Government Bond - Mortgage 1.57 1.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR MORTGAGE SECS CL T FMSAX Non-NTF Government Bond - Mortgage 0.83 4.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR MUNI INCOME CL A FAMUX Non-NTF Municipal Bond - National 0.79 4.00 3 Bond

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Settlement Days

Security Class

Fidelity Advisor Funds FIDELITY ADVISOR MUNI INCOME CL B FAIBX Non-NTF Municipal Bond - National 1.45 5.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR MUNI INCOME CL C FAMCX Non-NTF Municipal Bond - National 1.53 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR MUNI INCOME CL T FAHIX Non-NTF Municipal Bond - National 0.78 4.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR NEW INSIGHTS CL A FNIAX Non-NTF Growth 1.18 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR NEW INSIGHTS CL B FNIBX Non-NTF Growth 1.99 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR NEW INSIGHTS CL C FNICX Non-NTF Growth 1.94 1.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR NEW INSIGHTS CL T FNITX Non-NTF Growth 1.44 3.50 3 BondFidelity Advisor Funds FIDELITY ADVISOR NEW YORK MUNI INC CL A FNMAX Non-NTF Municipal Bond - Single State 0.74 4.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR NEW YORK MUNI INC CL B FNYBX Non-NTF Municipal Bond - Single State 1.4 5.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR NEW YORK MUNI INC CL C FNYCX Non-NTF Municipal Bond - Single State 1.5 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR NEW YORK MUNI INC CL T FNYPX Non-NTF Municipal Bond - Single State 0.71 4.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR OVERSEAS CL A FAOAX Non-NTF Foreign Stock 1.33 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR OVERSEAS CL B FAOBX Non-NTF Foreign Stock 2.08 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR OVERSEAS CL C FAOCX Non-NTF Foreign Stock 2.08 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR OVERSEAS CL T FAERX Non-NTF Foreign Stock 1.54 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR REAL ESTATE CL A FHEAX Non-NTF Specialty - Real Estate 1.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR REAL ESTATE CL B FHEBX Non-NTF Specialty - Real Estate 2 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR REAL ESTATE CL C FHECX Non-NTF Specialty - Real Estate 2 1.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR REAL ESTATE CL T FHETX Non-NTF Specialty - Real Estate 1.5 3.50 3 BondFidelity Advisor Funds FIDELITY ADVISOR SHORT FIXED INC CL A FSFAX Non-NTF Corporate Bond - General 0.74 1.50 3 BondFidelity Advisor Funds FIDELITY ADVISOR SHORT FIXED INC CL B FBSFX Non-NTF Corporate Bond - General 1.54 3.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR SHORT FIXED INC CL C FSFCX Non-NTF Corporate Bond - General 1.57 1.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR SHORT FIXED INC CL T FASFX Non-NTF Corporate Bond - General 0.75 1.50 3 BondFidelity Advisor Funds FIDELITY ADVISOR SHT INTER MUNI INC CL B FBSHX Non-NTF Municipal Bond - National 1.43 3.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR SHT INTER MUNI INC CL C FCSHX Non-NTF Municipal Bond - National 1.53 1.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR SHT INTER MUNI INC CL T FTSHX Non-NTF Municipal Bond - National 0.77 2.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR SHT INTERM MUNI INC CL A FASHX Non-NTF Municipal Bond - National 0.78 2.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR SMALL CAP CL A FSCDX Non-NTF Small Company 1.4 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR SMALL CAP CL B FSCBX Non-NTF Small Company 2.15 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR SMALL CAP CL C FSCEX Non-NTF Small Company 2.15 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR SMALL CAP CL T FSCTX Non-NTF Small Company 1.65 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR SMALL CAP GROWTH A FCAGX Non-NTF Growth 1.33 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR SMALL CAP GROWTH B FCBGX Non-NTF Growth 2.08 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR SMALL CAP GROWTH C FCCGX Non-NTF Growth 2.07 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR SMALL CAP GROWTH T FCTGX Non-NTF Growth 1.59 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR SMALL CAP VALUE CL A FCVAX Non-NTF Growth 1.4 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR SMALL CAP VALUE CL B FCVBX Non-NTF Growth 2.15 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR SMALL CAP VALUE CL C FCVCX Non-NTF Growth 2.15 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR SMALL CAP VALUE CL T FCVTX Non-NTF Growth 1.65 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR SML CAP INDPNDENCE CL A FCDAX Non-NTF Small Company 1.01 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR SML CAP INDPNDENCE CL B FCDBX Non-NTF Small Company 1.75 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR SML CAP INDPNDENCE CL C FCDCX Non-NTF Small Company 1.75 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR SML CAP INDPNDENCE CL T FCDTX Non-NTF Small Company 1.29 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR STRAT GROWTH CL A FTQAX Non-NTF Growth 1.24 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR STRAT GROWTH CL B FTQBX Non-NTF Growth 1.99 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR STRAT GROWTH CL C FTQCX Non-NTF Growth 1.99 1.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR STRAT GROWTH CL T FTQTX Non-NTF Growth 1.49 3.50 3 BondFidelity Advisor Funds FIDELITY ADVISOR STRAT REAL RTN CL A FSRAX Non-NTF Growth and Income 1.03 4.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR STRAT REAL RTN CL B FSBRX Non-NTF Growth and Income 1.75 5.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR STRAT REAL RTN CL C FCSRX Non-NTF Growth and Income 1.83 1.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR STRAT REAL RTN CL T FSRTX Non-NTF Growth and Income 1.07 4.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR STRATEGIC INC CL B FSINX Non-NTF Multisector Bond 1.72 5.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR STRATEGIC INC CL C FSRCX Non-NTF Multisector Bond 1.75 1.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR STRATEGIC INC CL T FSIAX Non-NTF Multisector Bond 1.01 4.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR STRATEGIC INCOME A FSTAX Non-NTF Multisector Bond 1.01 4.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR TAX MANAGED STOCK CL A FTXAX Non-NTF Growth 1.23 5.75 1 EquityFidelity Advisor Funds FIDELITY ADVISOR TAX MANAGED STOCK CL B FTXBX Non-NTF Growth 1.98 5.00 1 EquityFidelity Advisor Funds FIDELITY ADVISOR TAX MANAGED STOCK CL C FTXCX Non-NTF Growth 1.98 1.00 1 EquityFidelity Advisor Funds FIDELITY ADVISOR TAX MANAGED STOCK CL T FTXTX Non-NTF Growth 1.48 3.50 1 Equity

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Settlement Days

Security Class

Fidelity Advisor Funds FIDELITY ADVISOR TECHNOLOGY CL A FADTX Non-NTF Specialty - Technology 1.22 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR TECHNOLOGY CL B FABTX Non-NTF Specialty - Technology 1.97 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR TECHNOLOGY CL C FTHCX Non-NTF Specialty - Technology 1.97 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR TECHNOLOGY CL T FATEX Non-NTF Specialty - Technology 1.48 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR TELCOMMUNCATION CL A FTUAX Non-NTF Specialty - Communications 1.21 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR TELCOMMUNCATION CL B FTUBX Non-NTF Specialty - Communications 1.96 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR TELCOMMUNCATION CL C FTUCX Non-NTF Specialty - Communications 1.96 1.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR TELCOMMUNCATION CL T FTUTX Non-NTF Specialty - Communications 1.48 3.50 3 BondFidelity Advisor Funds FIDELITY ADVISOR TOTAL BOND CLASS A FEPAX Non-NTF Income 0.8 4.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR TOTAL BOND CLASS B FBEPX Non-NTF Income 1.53 5.00 3 BondFidelity Advisor Funds FIDELITY ADVISOR TOTAL BOND CLASS C FCEPX Non-NTF Income 1.52 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR TOTAL BOND CLASS T FEPTX Non-NTF Income 0.85 4.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR TOTAL INTL EQUITY A FTAEX Non-NTF Growth 1.47 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR TOTAL INTL EQUITY B FTBEX Non-NTF Growth 2.22 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR TREASURY CL B FDBXX Non-NTF 5.00 1 BondFidelity Advisor Funds FIDELITY ADVISOR TREASURY CL C FDCXX Non-NTF 1.00 1 BondFidelity Advisor Funds FIDELITY ADVISOR ULTRA SHORT BOND A FUBAX Non-NTF Income 0.67 1.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR ULTRA SHORT BOND T FTUSX Non-NTF Income 0.69 1.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR UTILITIES CLASS A FUGAX Non-NTF Specialty - Utility 1.26 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR UTILITIES CLASS B FAUBX Non-NTF Specialty - Utility 2.01 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR UTILITIES CLASS C FUGCX Non-NTF Specialty - Utility 2.01 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR UTILITIES CLASS T FAUFX Non-NTF Specialty - Utility 1.52 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR VALUE CL A FAVFX Non-NTF Growth 1.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR VALUE CL B FBVFX Non-NTF Growth 2 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR VALUE CL C FCVFX Non-NTF Growth 2 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR VALUE CL T FTVFX Non-NTF Growth 1.5 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR VALUE LEADER CL B FVLBX Non-NTF Growth 2 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR VALUE LEADERS CL A FVLAX Non-NTF Growth 1.25 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR VALUE LEADERS CL C FVLCX Non-NTF Growth 2 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR VALUE LEADERS CL T FVLTX Non-NTF Growth 1.49 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR VALUE STRAT CL A FSOAX Non-NTF Growth 1.02 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR VALUE STRAT CL B FASBX Non-NTF Growth 1.77 5.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR VALUE STRAT CL C FVCSX Non-NTF Growth 1.77 1.00 3 EquityFidelity Advisor Funds FIDELITY ADVISOR VALUE STRAT CL T FASPX Non-NTF Growth 1.22 3.50 3 EquityFidelity Advisor Funds FIDELITY ADVISOR WORLDWIDE FUND CL A FWAFX Non-NTF World Stock 1.49 5.75 3 EquityFidelity Advisor Funds FIDELITY ADVISOR WORLDWIDE FUND CL B FWBFX Non-NTF World Stock 2.17 5.00 3 EquityFidelity Funds FIDELITY INSTL MMKT PORT CL I FMPXX Non-NTF None 1 BondFidelity Funds FIDELITY INSTL TREAS ONLY PORT CL I FSIXX Non-NTF None 1 EquityFidelity Funds FIDELITY INSTL TREAS PORT CL I FISXX Non-NTF None 1 EquityFifth Third Funds FIFTH THIRD ALL CAP CLASS A MXLAX Non-NTF Growth 1.41 5.00 3 EquityFifth Third Funds FIFTH THIRD ALL CAP CLASS C MXLCX Non-NTF Growth 2.16 1.00 3 EquityFifth Third Funds FIFTH THIRD ALL CAP INSTL MXEIX Non-NTF Growth 1.16 None 3 EquityFifth Third Funds FIFTH THIRD DISCIPLD LARGE CAP INSTL FEINX Non-NTF Growth and Income 0.98 None 3 EquityFifth Third Funds FIFTH THIRD DISCIPLD LARGE CAP VALUE CL A FSSIX Non-NTF Growth and Income 1.23 5.00 3 EquityFifth Third Funds FIFTH THIRD DISCIPLD LARGE CAP VALUE CL C FEQCX Non-NTF Growth and Income 1.98 1.00 3 EquityFifth Third Funds FIFTH THIRD DIVIDEND GROWTH CL C FTPCX Non-NTF Growth 1.73 1.00 3 EquityFifth Third Funds FIFTH THIRD DIVIDEND GROWTH CLASS A FSPIX Non-NTF Growth 0.98 5.00 3 EquityFifth Third Funds FIFTH THIRD DIVIDEND GROWTH INSTITUTIONL FPFIX Non-NTF Growth 0.73 None 3 EquityFifth Third Funds FIFTH THIRD EQUITY INDEX CLASS A KNIDX Non-NTF Growth and Income 0.44 5.00 3 EquityFifth Third Funds FIFTH THIRD EQUITY INDEX CLASS C FCINX Non-NTF Growth and Income 1.19 1.00 3 EquityFifth Third Funds FIFTH THIRD EQUITY INDEX FD PREFERED CL KNIPX Non-NTF Growth and Income 0.34 None 3 BondFifth Third Funds FIFTH THIRD EQUITY INDEX TRUST CLASS KNITX Non-NTF Growth and Income 0.44 None 3 BondFifth Third Funds FIFTH THIRD HIGH YLD BD FD INSTL CL SHS FTYIX Non-NTF Income 0.74 None 3 BondFifth Third Funds FIFTH THIRD INSTL MONEY MARKET SELECT LSSXX Non-NTF None 0 EquityFifth Third Funds FIFTH THIRD INTERN'L EQUITY CLASS A FSIEX Non-NTF Foreign Stock 1.47 5.00 3 EquityFifth Third Funds FIFTH THIRD INTERN'L EQUITY CLASS C FTECX Non-NTF Foreign Stock 2.22 1.00 3 EquityFifth Third Funds FIFTH THIRD INTERN'L EQUITY INSTITUTIONAL FIEIX Non-NTF Foreign Stock 1.22 None 3 EquityFifth Third Funds FIFTH THIRD LIFE MOD CONSERVATIVE CL C LCVCX Non-NTF Asset Allocation 1.08 1.00 3 EquityFifth Third Funds FIFTH THIRD LIFE MOD MODERATE CONSRV CL C LCMVX Non-NTF Growth and Income 1.08 1.00 3 Equity

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Security Class

Fifth Third Funds FIFTH THIRD LIFE MOD MODERATELY AGG INSTL LMAIX Non-NTF Asset Allocation 0.08 None 3 EquityFifth Third Funds FIFTH THIRD LIFE MOD MODERATELY CONS INST LIMVX Non-NTF Growth and Income 0.08 None 3 EquityFifth Third Funds FIFTH THIRD LIFE MODEL AGG FD CL C LASCX Non-NTF Growth 1.08 1.00 3 EquityFifth Third Funds FIFTH THIRD LIFE MODEL AGGR CLASS A LASAX Non-NTF Growth 0.33 5.00 3 EquityFifth Third Funds FIFTH THIRD LIFE MODEL AGGR INSTL LASIX Non-NTF Growth 0.08 None 3 EquityFifth Third Funds FIFTH THIRD LIFE MODEL CONSERV CL A LCVAX Non-NTF Asset Allocation 0.33 5.00 3 EquityFifth Third Funds FIFTH THIRD LIFE MODEL CONSRV INSTL LCVIX Non-NTF Asset Allocation 0.08 None 3 EquityFifth Third Funds FIFTH THIRD LIFE MODEL MOD AGG CL C LMACX Non-NTF Asset Allocation 1.08 1.00 3 EquityFifth Third Funds FIFTH THIRD LIFE MODEL MOD AGGR CL A LMAAX Non-NTF Asset Allocation 0.33 5.00 3 EquityFifth Third Funds FIFTH THIRD LIFE MODEL MOD CONSV CL A LAMVX Non-NTF Growth and Income 0.33 5.00 3 EquityFifth Third Funds FIFTH THIRD LIFE MODEL MODERATE CL A LMDAX Non-NTF Growth and Income 0.33 5.00 3 EquityFifth Third Funds FIFTH THIRD LIFE MODEL MODERATE CL C LMDCX Non-NTF Growth and Income 1.08 1.00 3 EquityFifth Third Funds FIFTH THIRD LIFE MODEL MODERATE INSTL LMDIX Non-NTF Growth and Income 0.08 None 3 EquityFifth Third Funds FIFTH THIRD MICRO CAP VALUE CLASS A MXCAX Non-NTF Small Company 1.6 5.00 3 EquityFifth Third Funds FIFTH THIRD MICRO CAP VALUE CLASS C MXCSX Non-NTF Small Company 2.35 1.00 3 EquityFifth Third Funds FIFTH THIRD MICRO CAP VALUE INSTL MXAIX Non-NTF Small Company 1.35 None 3 EquityFifth Third Funds FIFTH THIRD MID CAP GROWTH CLASS A FSMCX Non-NTF Growth 1.24 5.00 3 EquityFifth Third Funds FIFTH THIRD PRIME MONEY MARKET CLASS A FSCXX Non-NTF None 1 EquityFifth Third Funds FIFTH THIRD PRIME MONEY MARKET CLASS C FPCXX Non-NTF 1.00 1 EquityFifth Third Funds FIFTH THIRD QUALITY GROWTH CLASS A FSQGX Non-NTF Growth 1.31 5.00 3 EquityFifth Third Funds FIFTH THIRD QUALITY GROWTH CLASS C FSQCX Non-NTF Growth 2.06 1.00 3 BondFifth Third Funds FIFTH THIRD QUALITY GROWTH INSTITUTIONAL FQGIX Non-NTF Growth 1.06 None 3 BondFifth Third Funds FIFTH THIRD SHORT TERM BOND CL A KNLIX Non-NTF Corporate Bond - General 0.89 3.00 3 EquityFifth Third Funds FIFTH THIRD SHORT TERM BOND CLASS I KNLMX Non-NTF Corporate Bond - General 0.64 None 3 EquityFifth Third Funds FIFTH THIRD SMALL CAP GROWTH CLASS A KNEMX Non-NTF Small Company 1.26 5.00 3 EquityFifth Third Funds FIFTH THIRD SMALL CAP GROWTH CLASS C FTGCX Non-NTF Small Company 2.01 1.00 3 EquityFifth Third Funds FIFTH THIRD SMALL CAP GROWTH INSTL KNEEX Non-NTF Small Company 1.01 None 3 EquityFifth Third Funds FIFTH THIRD SMALL CAP VALUE CLASS A FTVAX Non-NTF Small Company 1.45 5.00 3 EquityFifth Third Funds FIFTH THIRD SMALL CAP VALUE CLASS C FTVCX Non-NTF Small Company 2.2 1.00 3 EquityFifth Third Funds FIFTH THIRD SMALL CAP VALUE INST'L FTVIX Non-NTF Small Company 1.2 None 3 EquityFifth Third Funds FIFTH THIRD STRATEG INCOME CLASS A FFSAX Non-NTF Asset Allocation 1.18 5.00 3 EquityFifth Third Funds FIFTH THIRD STRATEG INCOME CLASS C FRACX Non-NTF Asset Allocation 1.93 1.00 3 BondFifth Third Funds FIFTH THIRD STRATEG INCOME INSTITUTIONAL MXIIX Non-NTF Asset Allocation 0.93 None 3 BondFifth Third Funds FIFTH THIRD TOTAL RETURN BOND CLASS A KIFIX Non-NTF Corporate Bond - General 0.91 4.75 3 BondFifth Third Funds FIFTH THIRD US TREAS MONEY MKRT SELECT CL FTSXX Non-NTF None 1 EquityFifth Third Funds FIFTH THIRD US TREASURY MMKT INSTL FQTXX Non-NTF None 0 BondFirst American Funds FIRST AMER LARGE CAP GROWTH OPPORT CL A FRGWX Non-NTF Growth 1.22 5.50 3 EquityFirst American Funds FIRST AMER LARGE CAP GROWTH OPPORT CL C FAWCX Non-NTF Growth 1.97 1.00 3 EquityFirst American Funds FIRST AMER LARGE CAP GROWTH OPPORT CL Y FIGWX Non-NTF Growth 0.97 None 3 EquityFirst American Funds FIRST AMER MID CAP GROWTH OPPORT CL A FRSLX Non-NTF Growth 1.23 5.50 3 EquityFirst American Funds FIRST AMER MID CAP GROWTH OPPORT CL C FMECX Non-NTF Growth 1.98 1.00 3 BondFirst American Funds FIRST AMER MID CAP GROWTH OPPORT CL Y FISGX Non-NTF Growth 0.98 None 3 EquityFirst American Funds FIRST AMER OREGON INTER TAX FREE CL A FOTAX Non-NTF Municipal Bond - Single State 0.85 2.25 3 EquityFirst American Funds FIRST AMER SMALL CAP GROW OPPORT CL C FMPCX Non-NTF Small Company 2.22 1.00 3 EquityFirst American Funds FIRST AMER SMALL CAP GROW OPPORT CL Y FIMPX Non-NTF Small Company 1.22 None 3 BondFirst American Funds FIRST AMER SMALL CAP GROWTH OPPORT CL A FRMPX Non-NTF Small Company 1.47 5.50 3 BondFirst American Funds FIRST AMERICAN CA TAX FREE CL A FCAAX Non-NTF Municipal Bond - Single State 0.65 4.25 3 BondFirst American Funds FIRST AMERICAN CALIF TAX FREE BOND CL Y FCAYX Non-NTF Municipal Bond - Single State 0.5 None 3 BondFirst American Funds FIRST AMERICAN CALIF TAX FREE FD CL C FCCAX Non-NTF Municipal Bond - Single State 1.15 1.00 3 BondFirst American Funds FIRST AMERICAN CO TAX FREE FD CL Y FCOYX Non-NTF Municipal Bond - Single State 0.5 None 3 BondFirst American Funds FIRST AMERICAN COLORADO T/F CL A FCOAX Non-NTF Municipal Bond - Single State 0.75 4.25 3 BondFirst American Funds FIRST AMERICAN COLORADO TAX FREE C FCCOX Non-NTF Municipal Bond - Single State 1.15 1.00 3 BondFirst American Funds FIRST AMERICAN CORE BOND CLASS A FAFIX Non-NTF Corporate Bond - High Quality 0.95 4.25 3 BondFirst American Funds FIRST AMERICAN CORE BOND CLASS C FFAIX Non-NTF Corporate Bond - High Quality 1.7 1.00 3 EquityFirst American Funds FIRST AMERICAN CORE BOND CLASS Y FFIIX Non-NTF Corporate Bond - High Quality 0.7 None 3 EquityFirst American Funds FIRST AMERICAN EQUITY INCOME CL A FFEIX Non-NTF Equity-Income 1.19 5.50 3 EquityFirst American Funds FIRST AMERICAN EQUITY INCOME CL C FFECX Non-NTF Equity-Income 1.94 1.00 3 EquityFirst American Funds FIRST AMERICAN EQUITY INCOME CL Y FAQIX Non-NTF Equity-Income 0.94 None 3 EquityFirst American Funds FIRST AMERICAN EQUITY INDEX CL A FAEIX Non-NTF Growth and Income 0.62 5.50 3 Equity

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Settlement Days

Security Class

First American Funds FIRST AMERICAN EQUITY INDEX CL C FCEIX Non-NTF Growth and Income 1.37 1.00 3 EquityFirst American Funds FIRST AMERICAN EQUITY INDEX CL R FADSX Non-NTF Growth and Income 0.87 None 3 EquityFirst American Funds FIRST AMERICAN EQUITY INDEX CL Y FEIIX Non-NTF Growth and Income 0.37 None 3 EquityFirst American Funds FIRST AMERICAN GL INFRASTRUCTURE CL A FGIAX Non-NTF Growth and Income 1.25 5.50 3 BondFirst American Funds FIRST AMERICAN GL INFRASTRUCTURE CL Y FGIYX Non-NTF Growth and Income 1 None 3 BondFirst American Funds FIRST AMERICAN GOV'T OBLIGATIONS CL A FAAXX Non-NTF None 3 BondFirst American Funds FIRST AMERICAN HIGH INCOME BOND CL A FJSIX Non-NTF Corporate Bond - High Yield 1.1 4.25 3 BondFirst American Funds FIRST AMERICAN HIGH INCOME BOND CLASS C FCSIX Non-NTF Corporate Bond - High Yield 1.85 1.00 3 BondFirst American Funds FIRST AMERICAN HIGH INCOME BOND FD CL Y FJSYX Non-NTF Corporate Bond - High Yield 0.85 None 3 BondFirst American Funds FIRST AMERICAN INFLA PROTECTED CL C FCIPX Non-NTF Income 1.59 1.00 3 BondFirst American Funds FIRST AMERICAN INFLA PROTECTED SEC FD A FAIPX Non-NTF Income 0.85 4.25 3 BondFirst American Funds FIRST AMERICAN INFLATION PROT SEC Y FYIPX Non-NTF Income 0.6 None 3 BondFirst American Funds FIRST AMERICAN INTER GOVERNMENT BOND CL C FYGCX Non-NTF 1.00 3 BondFirst American Funds FIRST AMERICAN INTER GOVT BOND CL A FIGAX Non-NTF Government Bond - General 0.75 2.25 3 BondFirst American Funds FIRST AMERICAN INTER NAT'L SELECT CLASS A ISACX Non-NTF Growth 1.49 5.50 3 BondFirst American Funds FIRST AMERICAN INTER TAX FR CL A FAMBX Non-NTF Municipal Bond - National 0.75 2.25 3 BondFirst American Funds FIRST AMERICAN INTER TAX FREE CL C FMBCX Non-NTF 1.00 3 BondFirst American Funds FIRST AMERICAN INTER TAX FREE CL Y FMBIX Non-NTF Municipal Bond - National 0.7 None 3 BondFirst American Funds FIRST AMERICAN INTER TERM BOND CL Y FINIX Non-NTF Corporate Bond - High Quality 0.7 None 3 BondFirst American Funds FIRST AMERICAN INTER TRM INC CL A FAIIX Non-NTF Corporate Bond - High Quality 0.85 2.25 3 EquityFirst American Funds FIRST AMERICAN INTERMED GOV BD CL Y FYGYX Non-NTF Government Bond - General 0.6 None 3 EquityFirst American Funds FIRST AMERICAN INTERNATIONAL CL A FAIAX Non-NTF Foreign Stock 1.49 5.50 3 EquityFirst American Funds FIRST AMERICAN INTERNATIONAL CL C FIACX Non-NTF Foreign Stock 2.24 1.00 3 EquityFirst American Funds FIRST AMERICAN INTERNATIONAL CL Y FAICX Non-NTF Foreign Stock 1.24 None 3 EquityFirst American Funds FIRST AMERICAN INTERNAT'L SELECT R ISRCX Non-NTF Growth 1.74 None 3 EquityFirst American Funds FIRST AMERICAN INTERNAT'L SELECT Y ISYCX Non-NTF Growth 1.24 None 3 EquityFirst American Funds FIRST AMERICAN LARGE CAP CLASS C FLYCX Non-NTF Growth and Income 2.05 1.00 3 EquityFirst American Funds FIRST AMERICAN LARGE CAP CORE FUND CL C FQCCX Non-NTF Growth and Income 1.44 1.00 3 EquityFirst American Funds FIRST AMERICAN LARGE CAP SELECT A FLRAX Non-NTF Growth and Income 1.29 5.50 3 EquityFirst American Funds FIRST AMERICAN LARGE CAP SELECT FD CL R FLSSX Non-NTF Growth and Income 1.56 None 3 EquityFirst American Funds FIRST AMERICAN LARGE CAP SELECT FD CL Y FLRYX Non-NTF Growth and Income 1.04 None 3 EquityFirst American Funds FIRST AMERICAN LARGE CAP VALUE A FASKX Non-NTF Growth and Income 1.22 5.50 3 EquityFirst American Funds FIRST AMERICAN LARGE CAP VALUE CLASS C FALVX Non-NTF Growth and Income 1.97 1.00 3 EquityFirst American Funds FIRST AMERICAN LARGE CAP VALUE CLASS Y FSKIX Non-NTF Growth and Income 0.97 None 3 EquityFirst American Funds FIRST AMERICAN LARGE CAP VALUE FUND C ICCSX Non-NTF Growth 2.24 1.00 3 EquityFirst American Funds FIRST AMERICAN MID CAP GRWTH OPP CL R FMEYX Non-NTF Growth 1.48 None 3 EquityFirst American Funds FIRST AMERICAN MID CAP INDEX CL A FDXAX Non-NTF Growth and Income 0.75 5.50 3 EquityFirst American Funds FIRST AMERICAN MID CAP INDEX FUND CL R FMCYX Non-NTF Growth and Income 1 None 3 EquityFirst American Funds FIRST AMERICAN MID CAP INDEX Y FIMEX Non-NTF Growth and Income 0.5 None 3 EquityFirst American Funds FIRST AMERICAN MID CAP VALUE CL A FASEX Non-NTF Growth 1.25 5.50 3 EquityFirst American Funds FIRST AMERICAN MID CAP VALUE CL Y FSEIX Non-NTF Growth 1 None 3 EquityFirst American Funds FIRST AMERICAN MID CAP VALUE CLASS C FACSX Non-NTF Growth 2 1.00 3 EquityFirst American Funds FIRST AMERICAN MID CAP VALUE FUND CL R FMVSX Non-NTF Growth 1.5 None 3 BondFirst American Funds FIRST AMERICAN MID-C AP INCDEX CL C FDXCX Non-NTF Growth and Income 1.5 1.00 1 BondFirst American Funds FIRST AMERICAN MINN INTERMED TAX FREE C FACMX Non-NTF 1.00 3 BondFirst American Funds FIRST AMERICAN MINN TAX FREE BD CL Y FYMNX Non-NTF Municipal Bond - Single State 0.7 None 3 BondFirst American Funds FIRST AMERICAN MINN TAX FREE CLASS C FCMNX Non-NTF Municipal Bond - Single State 1.35 1.00 3 BondFirst American Funds FIRST AMERICAN MISSOURI TAX EX BD A ARMOX Non-NTF Municipal Bond - Single State 0.95 4.25 3 BondFirst American Funds FIRST AMERICAN MISSOURI TAX EX BD Y ARMIX Non-NTF Municipal Bond - Single State 0.7 None 3 BondFirst American Funds FIRST AMERICAN MN INSD INTER TAX FR A FAMAX Non-NTF Municipal Bond - Single State 0.75 2.25 3 BondFirst American Funds FIRST AMERICAN MN INTERMED TAX FREE Y FAMTX Non-NTF Municipal Bond - Single State 0.7 None 3 BondFirst American Funds FIRST AMERICAN MN TAX FREE CL A FJMNX Non-NTF Municipal Bond - Single State 0.85 4.25 3 BondFirst American Funds FIRST AMERICAN NEB TAX FREE FD CL A FNTAX Non-NTF Municipal Bond - Single State 0.75 4.25 3 BondFirst American Funds FIRST AMERICAN NEB TAX FREE FD CL C FNTCX Non-NTF Municipal Bond - Single State 1.15 1.00 3 BondFirst American Funds FIRST AMERICAN NEB TAX FREE FD CL Y FNTYX Non-NTF Municipal Bond - Single State 0.5 None 3 BondFirst American Funds FIRST AMERICAN OHIO TAX FREE BD CL Y FOTYX Non-NTF Municipal Bond - Single State 0.5 None 3 BondFirst American Funds FIRST AMERICAN OREGON INT TX FREE Y FORCX Non-NTF Municipal Bond - Single State 0.7 None 3 BondFirst American Funds FIRST AMERICAN PRIME OBLIGATN RETAIL CL B FPBXX Non-NTF 5.00 3 EquityFirst American Funds FIRST AMERICAN QUANT LARG CAP CORE FD A FQCAX Non-NTF Growth and Income 0.69 5.50 3 Equity

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Security Class

First American Funds FIRST AMERICAN QUANT LARGE CAP CORE CL Y FQCYX Non-NTF Growth and Income 0.44 None 3 EquityFirst American Funds FIRST AMERICAN QUANT LARGE CAP GROWTH Y FQGYX Non-NTF Growth and Income 0.45 None 3 EquityFirst American Funds FIRST AMERICAN QUANT LARGE CAP VAL CL Y FQVYX Non-NTF Growth and Income 0.45 None 3 BondFirst American Funds FIRST AMERICAN QUANT LRG CAP GROWTH CL C FQGCX Non-NTF Growth and Income 1.45 1.00 3 BondFirst American Funds FIRST AMERICAN QUAT LARGE CAP GROWTH A FQGAX Non-NTF Growth and Income 0.7 5.50 3 EquityFirst American Funds FIRST AMERICAN QUAT LARGE CAP VALUE A FQVAX Non-NTF Growth and Income 0.7 5.50 3 EquityFirst American Funds FIRST AMERICAN REAL ESTATE CLASS C FRLCX Non-NTF Specialty - Real Estate 2.02 1.00 3 EquityFirst American Funds FIRST AMERICAN REAL ESTATE CLASS Y FARCX Non-NTF Specialty - Real Estate 1.02 None 3 EquityFirst American Funds FIRST AMERICAN REAL ESTATE SEC CL A FREAX Non-NTF Specialty - Real Estate 1.27 5.50 3 EquityFirst American Funds FIRST AMERICAN REAL ESTATE SECURITIES R FRSSX Non-NTF Specialty - Real Estate 1.52 None 3 BondFirst American Funds FIRST AMERICAN SHORT TAX-FREE FD CL Y FSHYX Non-NTF Municipal Bond - National 0.6 None 3 BondFirst American Funds FIRST AMERICAN SHORT TERM BOND CL A FALTX Non-NTF Corporate Bond - High Quality 0.74 2.25 3 BondFirst American Funds FIRST AMERICAN SHORT TERM BOND CL C FBSCX Non-NTF Corporate Bond - High Quality 0.01 1.00 3 BondFirst American Funds FIRST AMERICAN SHORT TERM BOND CL Y FLTIX Non-NTF Corporate Bond - High Quality 0.59 None 3 EquityFirst American Funds FIRST AMERICAN SHORT TERM TAX FREE A FSHAX Non-NTF Municipal Bond - National 0.75 2.25 3 EquityFirst American Funds FIRST AMERICAN SMALL CAP INDEX CL A FMDAX Non-NTF Growth 0.82 5.50 3 EquityFirst American Funds FIRST AMERICAN SMALL CAP INDEX CLASS R ARSCX Non-NTF Growth 1.07 None 3 EquityFirst American Funds FIRST AMERICAN SMALL CAP INDEX FD CL C FPXCX Non-NTF Growth 1.57 1.00 1 EquityFirst American Funds FIRST AMERICAN SMALL CAP INDEX FD CL Y ASETX Non-NTF Growth 0.57 None 3 EquityFirst American Funds FIRST AMERICAN SMALL CAP SELECT CL A EMGRX Non-NTF Small Company 1.26 5.50 3 EquityFirst American Funds FIRST AMERICAN SMALL CAP SELECT CL C FHMCX Non-NTF Small Company 2.01 1.00 3 EquityFirst American Funds FIRST AMERICAN SMALL CAP SELECT CL Y ARSTX Non-NTF Small Company 1.01 None 3 EquityFirst American Funds FIRST AMERICAN SMALL CAP SELECT FD CL R ASEIX Non-NTF Small Company 1.51 None 3 EquityFirst American Funds FIRST AMERICAN SMALL CAP VALUE CLASS A FSCAX Non-NTF Small Company 1.37 5.50 3 EquityFirst American Funds FIRST AMERICAN SMALL CAP VALUE CLASS C FSCVX Non-NTF Small Company 2.12 1.00 3 EquityFirst American Funds FIRST AMERICAN SMALL CAP VALUE CLASS Y FSCCX Non-NTF Small Company 1.12 None 3 EquityFirst American Funds FIRST AMERICAN SMALL CAP VALUE FD CL R FSVSX Non-NTF Small Company 1.62 None 3 EquityFirst American Funds FIRST AMERICAN SMALL MID CAP CORE CLASS A FATAX Non-NTF Growth 1.41 5.50 3 EquityFirst American Funds FIRST AMERICAN SMALL MID CAP CORE CLASS C FTACX Non-NTF Growth 2.16 1.00 3 EquityFirst American Funds FIRST AMERICAN SMALL MID CAP CORE CLASS Y FATCX Non-NTF Growth 1.16 None 3 EquityFirst American Funds FIRST AMERICAN STRAT AGG ALLOCATIONCL Y FSAYX Non-NTF Aggressive Growth 0.15 None 3 EquityFirst American Funds FIRST AMERICAN STRAT AGGR FD CL C FSACX Non-NTF Aggressive Growth 1.15 1.00 3 EquityFirst American Funds FIRST AMERICAN STRAT BAL ALLOC CL C FSKCX Non-NTF Balanced 1.15 1.00 3 EquityFirst American Funds FIRST AMERICAN STRAT BAL ALLOC CL R FSKSX Non-NTF Balanced 0.65 None 3 EquityFirst American Funds FIRST AMERICAN STRAT BAL ALLOC CL Y FSKYX Non-NTF Balanced 0.15 None 3 EquityFirst American Funds FIRST AMERICAN STRAT CONV ALLOC C FSJCX Non-NTF Corporate Bond - General 1.15 1.00 3 EquityFirst American Funds FIRST AMERICAN STRAT CONV ALLOC Y FSFYX Non-NTF Corporate Bond - General 0.15 None 3 EquityFirst American Funds FIRST AMERICAN STRAT GR ALLOCA CL Y FSGYX Non-NTF Growth 0.15 None 3 EquityFirst American Funds FIRST AMERICAN STRAT GR ALLOCATION CL C FSNCX Non-NTF Growth 1.15 1.00 3 EquityFirst American Funds FIRST AMERICAN STRAT GR ALLOCATION CL R FSNSX Non-NTF Growth 0.65 None 3 EquityFirst American Funds FIRST AMERICAN STRTEGY AGG GR ALLOC FAAGX Non-NTF Aggressive Growth 0.4 5.50 3 EquityFirst American Funds FIRST AMERICAN STRTEGY BAL ALLOC A FSGNX Non-NTF Balanced 0.4 5.50 3 EquityFirst American Funds FIRST AMERICAN STRTEGY CONV ALLOC A FSFIX Non-NTF Corporate Bond - General 0.4 5.50 3 BondFirst American Funds FIRST AMERICAN STRTEGY GRWTH ALLOC FAGSX Non-NTF Growth 0.4 5.50 3 BondFirst American Funds FIRST AMERICAN TAX FREE CL Y FYNTX Non-NTF Municipal Bond - National 0.7 None 3 BondFirst American Funds FIRST AMERICAN TAX FREE FUND CL A FJNTX Non-NTF Municipal Bond - National 0.75 4.25 3 BondFirst American Funds FIRST AMERICAN TAX FREE OBLIGATIONS A FTAXX Non-NTF None 0 BondFirst American Funds FIRST AMERICAN TOTAL RETURN BOND CL C FCBCX Non-NTF Corporate Bond - General 1.75 1.00 3 BondFirst American Funds FIRST AMERICAN TREAS OBLIGATIONS CL A FATXX Non-NTF None 3 EquityFirst American Funds FIRST AMERICAN TREASURY RESERVE A STSXX Non-NTF None 0 EquityFirst Eagle Funds FIRST EAGLE FUND OF AMERICA CL A FEFAX Non-NTF Growth 1.5 5.00 3 EquityFirst Eagle Funds FIRST EAGLE FUND OF AMERICA CLASS C FEAMX Non-NTF Growth 2.25 1.00 3 EquityFirst Eagle Funds FIRST EAGLE GLOBAL CLASS A SGENX Non-NTF Multi-Asset Global 1.19 5.00 3 EquityFirst Eagle Funds FIRST EAGLE GLOBAL CLASS C FESGX Non-NTF Multi-Asset Global 1.94 1.00 3 EquityFirst Eagle Funds FIRST EAGLE GLOBAL CLASS I SGIIX Non-NTF Multi-Asset Global 0.94 None 3 EquityFirst Eagle Funds FIRST EAGLE GOLD CLASS A SGGDX Non-NTF Specialty - Precious Metals 1.26 5.00 3 EquityFirst Eagle Funds FIRST EAGLE GOLD FUND CL I FEGIX Non-NTF Specialty - Precious Metals 1.01 None 3 EquityFirst Eagle Funds FIRST EAGLE GOLD FUND CLASS C FEGOX Non-NTF Specialty - Precious Metals 2.01 1.00 3 EquityFirst Eagle Funds FIRST EAGLE OVERSEAS CLASS A SGOVX Non-NTF Foreign Stock 1.2 5.00 3 Equity

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Security Class

First Eagle Funds FIRST EAGLE OVERSEAS CLASS C FESOX Non-NTF Foreign Stock 1.95 1.00 3 EquityFirst Eagle Funds FIRST EAGLE OVERSEAS CLASS I SGOIX Non-NTF Foreign Stock 0.95 None 3 EquityFirst Eagle Funds FIRST EAGLE US VALUE CL C FEVCX Non-NTF Growth 2 1.00 3 EquityFirst Eagle Funds FIRST EAGLE US VALUE CLASS A FEVAX Non-NTF Growth 1.26 5.00 3 EquityFirst Eagle Funds FIRST EAGLE US VALUE FD CLASS I FEVIX Non-NTF Growth 1.01 None 3 EquityFirst Puerto Rico Funds FIRST PUERTO EQUITY OPPORTUNITIES CL A QCGZQ Non-NTF 5.00 3 EquityFirst Puerto Rico Funds FIRST PUERTO EQUITY OPPORTUNITIES CL Z QCGYQ Non-NTF 5.00 3 EquityFirst Puerto Rico Funds FIRST PUERTO RICO AAA FIXED INCOME A QCUTQ Non-NTF 3.50 3 EquityFirst Puerto Rico Funds FIRST PUERTO RICO TAX EXEMPT CL A QCHBQ Non-NTF 3.50 3 EquityFirst Puerto Rico Funds FIRST PUERTO RICO TAX EXEMPT CLASS B QCLQQ Non-NTF 3.00 3 EquityFlex-funds FLEX AGRESSIVE GROWTH FLAGX Non-NTF Aggressive Growth 1.65 None 1 EquityFlex-funds FLEX DYNAMIC GROWTH FLDGX Non-NTF Growth 1.46 None 1 EquityFlex-funds FLEX MUIRFIELD FLMFX Non-NTF Asset Allocation 1.48 None 1 EquityFlex-funds THE QUANTEX FUND FLCGX Non-NTF Growth 1.73 None 1 BondFlex-funds THE TOTAL RETURN UTILITIES FUND FLRUX Non-NTF Specialty - Utility 1.96 None 1 EquityFlex-funds THE US GOVERNMENT BOND FUND FLXBX Non-NTF Government Bond - General 0.99 None 1 EquityForum Funds BROWN ADVISORY GRWTH EQUITY FD INSTL CL BIAGX Non-NTF Growth 1.13 None 3 EquityForward Funds FORWARD BANKING AND FINANCE CLASS A HSSAX Non-NTF Specialty - Financial 1.65 5.75 1 EquityForward Funds FORWARD BANKING AND FINANCE CLASS C HSSCX Non-NTF Specialty - Financial 2.3 1.00 1 EquityForward Funds FORWARD EMERGING MKTS INSTL PTEMX Non-NTF Diversified Emerging Markets 1.39 None 1 EquityForward Funds FORWARD GLOBAL INFRASTRUCTURE CL A KGIAX Non-NTF Growth and Income 1.51 5.75 1 EquityForward Funds FORWARD GLOBAL INFRASTRUCTURE CL C KGICX Non-NTF Growth and Income 2.26 1.00 1 EquityForward Funds FORWARD GLOBAL INFRASTRUCTURE INSTL KGIYX Non-NTF Growth and Income 1.26 None 1 EquityForward Funds FORWARD GROWTH CLASS A HSPGX Non-NTF Small Company 1.35 5.75 1 EquityForward Funds FORWARD GROWTH CLASS C HSPCX Non-NTF Small Company 2.04 1.00 1 BondForward Funds FORWARD INTERNAT'L EQUITY - INSTL FFIEX Non-NTF Foreign Stock 0.99 None 1 EquityForward Funds FORWARD INTERNAT'L FIXED INCOME CL C FFXCX Non-NTF Growth and Income 1.35 1.00 1 EquityForward Funds FORWARD INTERNTL SMALL CO -INSTIT SHS PTSCX Non-NTF Foreign Stock 1.23 None 1 EquityForward Funds FORWARD INTL REAL ESTATE CLASS A KIRAX Non-NTF Specialty - Real Estate 1.66 5.75 1 EquityForward Funds FORWARD INTL REAL ESTATE CLASS C KIRCX Non-NTF Specialty - Real Estate 2.41 1.00 1 EquityForward Funds FORWARD INTL REAL ESTATE INSTL KIRYX Non-NTF Specialty - Real Estate 1.41 None 1 EquityForward Funds FORWARD INTL SMALL COMPANIES CLASS A FFIAX Non-NTF Foreign Stock 1.61 5.75 1 EquityForward Funds FORWARD LARGE CAP EQ UITY FD CL A FFLAX Non-NTF Growth and Income 1.44 5.75 1 EquityForward Funds FORWARD LARGE CAP EQUITY FUND - INSTL FFLSX Non-NTF Growth and Income 0.99 None 1 EquityForward Funds FORWARD LEGATO FUND CLASS A FFLMX Non-NTF Growth and Income 1.77 5.75 1 EquityForward Funds FORWARD REAL ESTATE CLASS A KREAX Non-NTF Specialty - Real Estate -999 5.75 1 EquityForward Funds FORWARD REAL ESTATE CLASS C KRECX Non-NTF Specialty - Real Estate -999 1.00 1 EquityForward Funds FORWARD SELECT INCOME CLASS A KIFAX Non-NTF Specialty - Real Estate 1.58 5.75 1 EquityForward Funds FORWARD SELECT INCOME CLASS C KIFCX Non-NTF Specialty - Real Estate 2.33 1.00 1 EquityForward Funds FORWARD SELECT INCOME INSTL KIFYX Non-NTF Specialty - Real Estate 1.33 None 1 EquityForward Funds FORWARD SMALL CAP EQUITY CLASS A FFHAX Non-NTF Small Company 1.61 5.75 1 EquityForward Funds FORWARD SMALL CAP EQUITY INSTL CLASS FFHIX Non-NTF Small Company 0.25 None 1 EquityForward Funds FORWARD STRATEGIC REALTY CLASS A KSRAX Non-NTF Specialty - Real Estate 0.71 5.75 1 EquityForward Funds FORWARD STRATEGIC REALTY CLASS C KSRCX Non-NTF Specialty - Real Estate 1.46 1.00 1 EquityForward Funds FORWARD TACTICAL GROWTH FD CL A FTAGX Non-NTF 5.75 1 EquityForward Funds FORWARD TACTICAL GROWTH FUND CL C FTGOX Non-NTF Growth -999 1.00 1 BondForward Funds FORWARD TACTICAL GROWTH FUND INSTL FTGWX Non-NTF Growth -999 None 1 EquityForward Funds FORWARD/LONG-SHORT CREDIT ANALYSIS INST FLSIX Non-NTF Growth and Income 1.49 None 1 EquityFPA Funds FPA CAPITAL FUND FPPTX Non-NTF Small Company 0.93 5.25 3 BondFPA Funds FPA CRESCENT INSTL FPACX Non-NTF Balanced 1.23 None 1 EquityFPA Funds FPA NEW INCOME FPNIX Non-NTF Corporate Bond - High Quality 0.6 3.50 3 EquityFPA Funds FPA PARAMOUNT FPRAX Non-NTF Growth and Income 0.99 5.25 3 EquityFPA Funds FPA PERENNIAL FPPFX Non-NTF Growth and Income 1.07 5.25 3 EquityFrank Funds FRANK VALUE FUND FRNKX Non-NTF Growth 1.5 None 1 EquityFrank Funds LEIGH BALDWIN TOTAL RETURN LEBOX Non-NTF Growth and Income 1.75 1.00 1 EquityFrank Russell Funds RUSSELL 2030 STRATEGY FD CL A RRLAX Non-NTF Growth and Income 0.25 5.75 3 EquityFrank Russell Funds RUSSELL 2040 STRATEGY FD CL A RXLAX Non-NTF Growth and Income 0.25 5.75 3 EquityFrank Russell Funds RUSSELL EMERGING MAR KETS CLASS A REMAX Non-NTF Foreign Stock 1.78 5.75 1 EquityFrank Russell Funds RUSSELL GLOBAL EQUITY CLASS A RGEAX Non-NTF Growth 1.52 5.75 3 Equity

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Security Class

Frank Russell Funds RUSSELL INTERNATL DEVELOPED MRKTS A RLNAX Non-NTF Foreign Stock 1.25 5.75 3 EquityFrank Russell Funds RUSSELL LIFE POINTS BALANCED STRAT A RBLAX Non-NTF Balanced 0.52 5.75 3 EquityFrank Russell Funds RUSSELL LIFE POINTS CONVS STRAT A RCLAX Non-NTF Balanced 0.5 5.75 3 EquityFrank Russell Funds RUSSELL LIFE POINTS EQ GROWTH STRAT A REAAX Non-NTF Growth and Income 0.52 5.75 3 EquityFrank Russell Funds RUSSELL LIFE POINTS GROWTH STRAT A RALAX Non-NTF Balanced 0.52 5.75 3 EquityFrank Russell Funds RUSSELL LIFE POINTS MODERATE STRAT A RMLAX Non-NTF Balanced 0.51 5.75 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2015 STRATEGY R1 RKLRX Non-NTF Growth and Income 0 None 1 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2015 STRATEGY R2 RKLTX Non-NTF Growth and Income 0.25 None 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2015 STRATEGY R3 RKLDX Non-NTF Growth and Income 0.5 None 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2017 ACCEL DIS CL A RADAX Non-NTF Asset Allocation 0.5 5.75 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2017 RET DIST FD A RRDAX Non-NTF Asset Allocation 0.47 5.75 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2025 STRATEGY R1 RPLRX Non-NTF Growth and Income 0 None 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2025 STRATEGY R2 RPLTX Non-NTF Growth and Income 0.25 None 1 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2025 STRATEGY R3 RPLDX Non-NTF Growth and Income 0.5 None 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2027 EXTENDED DIST A REIAX Non-NTF Asset Allocation 0.49 5.75 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2035 STRATEGY R1 RVLRX Non-NTF Growth and Income 0 None 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2035 STRATEGY R2 RVLTX Non-NTF Growth and Income 0.25 None 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2045 STRATEGY R1 RWLRX Non-NTF Growth and Income 0 None 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2045 STRATEGY R2 RWLTX Non-NTF Growth and Income 0.25 None 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2045 STRATEGY R3 RWLDX Non-NTF Growth and Income 0.5 None 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2050 STRATEGY R1 RYLRX Non-NTF Growth and Income 0 None 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2050 STRATEGY R2 RYLTX Non-NTF Growth and Income 0.25 None 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS 2050 STRATEGY R3 RYLYX Non-NTF Growth and Income 0.5 None 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS IN RETIREMENT STR R1 RZLRX Non-NTF Growth and Income 0 None 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS IN RETIREMENT STR R2 RZLTX Non-NTF Growth and Income 0.25 None 3 EquityFrank Russell Funds RUSSELL LIFEPOINTS IN RETIREMENT STR R3 RZLDX Non-NTF Growth and Income 0.5 None 3 BondFrank Russell Funds RUSSELL REAL ESTATE EQUITY CLASS A RREAX Non-NTF Specialty - Real Estate 1.34 5.75 1 EquityFrank Russell Funds RUSSELL SHORT DURATION BOND CL A RSBTX Non-NTF Multisector Bond 0.96 3.75 1 EquityFrank Russell Funds RUSSELL STRATEGIC BOND FUND CL A RFDAX Non-NTF Multisector Bond 0.93 3.75 3 EquityFrank Russell Funds RUSSELL U.S. CORE EQUITY FUND CL A RSQAX Non-NTF Growth and Income 1.07 5.75 3 EquityFrank Russell Funds RUSSELL U.S. QUANTITATIVE EQ CL A REQAX Non-NTF Growth and Income 1.31 5.75 3 EquityFrank Russell Funds RUSSELL US SMALL AND MID CAP CLASS A RLACX Non-NTF Small Company 1.24 5.75 3 BondFrank Russell Funds YUSSELL LIFEPOINTS 2035 STRATEGY R3 RVLDX Non-NTF Growth and Income 0.5 None 3 BondFranklin Funds FRANKLIN ADJ US GOVT CLASS C FCSCX Non-NTF Government Bond - Mortgage 1.27 1.00 3 BondFranklin Funds FRANKLIN ADJ US GOV'T SEC ADV CL FAGZX Non-NTF Government Bond - Mortgage 0.62 None 3 BondFranklin Funds FRANKLIN ADJUSTABLE US GOVERNMENT A FISAX Non-NTF Government Bond - Mortgage 0.87 2.25 3 BondFranklin Funds FRANKLIN ALABAMA TAX FREE CLASS C FALEX Non-NTF Municipal Bond - Single State 1.26 1.00 3 EquityFranklin Funds FRANKLIN ALABAMA TAX FREE INCOME A FRALX Non-NTF Municipal Bond - Single State 0.71 4.25 3 EquityFranklin Funds FRANKLIN ALL CAP VALUE CLASS A FRAVX Non-NTF Growth 1.21 5.75 3 BondFranklin Funds FRANKLIN ALL CAP VALUE FD CL C QCAAQ Non-NTF Growth 1.88 1.00 3 BondFranklin Funds FRANKLIN ARIZONA TAX FREE CLASS C FAZIX Non-NTF Municipal Bond - Single State 1.17 1.00 3 BondFranklin Funds FRANKLIN ARIZONA TAX FREE INC ADV CL QCWRQ Non-NTF Municipal Bond - Single State 0.52 None 3 EquityFranklin Funds FRANKLIN ARIZONA TAX FREE INCOME A FTAZX Non-NTF Municipal Bond - Single State 0.62 4.25 3 EquityFranklin Funds FRANKLIN BALANCE SHEET INV ADV CL SHS FBSAX Non-NTF Growth and Income 0.75 None 3 EquityFranklin Funds FRANKLIN BALANCE SHEET INVEST CL C FCBSX Non-NTF Growth and Income 1.75 1.00 3 EquityFranklin Funds FRANKLIN BALANCE SHEET INVEST CLASS R FBSRX Non-NTF Growth and Income 1.25 None 3 BondFranklin Funds FRANKLIN BALANCE SHEET INVESTMENT A FRBSX Non-NTF Growth and Income 1 5.75 3 EquityFranklin Funds FRANKLIN BALANCED FD ADVISOR CL SH QBHPQ Non-NTF Balanced 0.71 None 3 EquityFranklin Funds FRANKLIN BALANCED FD CL A FBLAX Non-NTF Balanced 0.99 5.75 3 EquityFranklin Funds FRANKLIN BALANCED FUND CL C FBMCX Non-NTF Balanced 1.69 1.00 3 EquityFranklin Funds FRANKLIN BIOTECH DISCOVERY FD ADVIOR QDIHQ Non-NTF Specialty - Health -999 None 3 BondFranklin Funds FRANKLIN BIOTECH DISCOVERY FUND A FBDIX Non-NTF Specialty - Health 1.32 5.75 3 BondFranklin Funds FRANKLIN CA INSURED TAX FREE CLASS A FRCIX Non-NTF Municipal Bond - Single State 0.61 4.25 3 BondFranklin Funds FRANKLIN CA INSURED TAX FREE CLASS C FRCAX Non-NTF Municipal Bond - Single State 1.16 1.00 3 BondFranklin Funds FRANKLIN CA TAX FREE INCOME ADVISOR FCAVX Non-NTF Municipal Bond - Single State 0.48 None 3 BondFranklin Funds FRANKLIN CA TAX FREE INCOME CLASS A FKTFX Non-NTF Municipal Bond - Single State 0.57 4.25 3 BondFranklin Funds FRANKLIN CA TAX FREE INCOME CLASS C FRCTX Non-NTF Municipal Bond - Single State 1.13 1.00 3 BondFranklin Funds FRANKLIN CA TAX FREE INTERMEDIATE TERM A FKCIX Non-NTF Municipal Bond - Single State 0.66 2.25 3 BondFranklin Funds FRANKLIN CAL INTERM T/F INC CL C FCCIX Non-NTF Municipal Bond - Single State 1.21 1.00 3 Equity

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Security Class

Franklin Funds FRANKLIN CAL INTERMD TERM TAX FREE ADV CL FRCZX Non-NTF Municipal Bond - Single State 0.56 None 3 BondFranklin Funds FRANKLIN CALIF GROWTH CLASS R FRCGX Non-NTF Growth 1.25 None 3 BondFranklin Funds FRANKLIN CALIFORNIA HIGH YIELD FD - ADV FVCAX Non-NTF Municipal Bond - Single State 0.53 None 3 BondFranklin Funds FRANKLIN CALIFORNIA HIGH YIELD MUNI A FCAMX Non-NTF Municipal Bond - Single State 0.63 4.25 3 BondFranklin Funds FRANKLIN CALIFORNIA HIGH YIELD MUNI C FCAHX Non-NTF Municipal Bond - Single State 1.17 1.00 3 BondFranklin Funds FRANKLIN CALIFORNIA INSURED TAX-FREE ADV QCWNQ Non-NTF Municipal Bond - Single State 0.51 None 3 BondFranklin Funds FRANKLIN COLORADO TAX FREE CLASS C FCOIX Non-NTF Municipal Bond - Single State 1.21 1.00 3 BondFranklin Funds FRANKLIN COLORADO TAX FREE INCOME A FRCOX Non-NTF Municipal Bond - Single State 0.66 4.25 3 BondFranklin Funds FRANKLIN COLORADO TAX FREE INCOME ADV FCOZX Non-NTF Municipal Bond - Single State -999 None 3 BondFranklin Funds FRANKLIN CONNECTICUT TAX FREE CLASS C FCTIX Non-NTF Municipal Bond - Single State 1.23 1.00 3 EquityFranklin Funds FRANKLIN CONNECTICUT TAX FREE INCOME A FXCTX Non-NTF Municipal Bond - Single State 0.68 4.25 3 EquityFranklin Funds FRANKLIN CONVERTIBLE SECURITIES A FISCX Non-NTF Convertible Bond 0.96 5.75 3 EquityFranklin Funds FRANKLIN CONVERTIBLE SECURITIES ADVISOR FCSZX Non-NTF Convertible Bond 0.71 None 3 EquityFranklin Funds FRANKLIN CONVERTIBLE SECURITIES CLASS C FROTX Non-NTF Convertible Bond 1.71 1.00 3 EquityFranklin Funds FRANKLIN COREFOLIO ALLOCATION ADVISOR QWLTQ Non-NTF Growth 0.11 None 3 EquityFranklin Funds FRANKLIN COREFOLIO ALLOCATION CL A FTCOX Non-NTF Growth 0.38 5.75 3 EquityFranklin Funds FRANKLIN COREFOLIO ALLOCATION CL R QWLUQ Non-NTF Growth 0.61 None 3 BondFranklin Funds FRANKLIN COREFOLIO CL C FTCLX Non-NTF Growth 1.1 1.00 3 BondFranklin Funds FRANKLIN DOUBLE TAX FREE INCOME CLASS A FPRTX Non-NTF Municipal Bond - National 0.68 4.25 3 EquityFranklin Funds FRANKLIN DOUBLE TAX FREE INCOME CLASS C FPRIX Non-NTF Municipal Bond - National 1.23 1.00 3 EquityFranklin Funds FRANKLIN DYNATECH CLASS C FDYNX Non-NTF Growth 1.91 1.00 3 EquityFranklin Funds FRANKLIN DYNATECH FD ADV CLASS SHARES QCWOQ Non-NTF Growth 0.91 None 3 EquityFranklin Funds FRANKLIN DYNATECH FUND A FKDNX Non-NTF Growth 1.16 5.75 3 EquityFranklin Funds FRANKLIN EQUITY INCOME CLASS C FRETX Non-NTF Equity-Income 1.79 1.00 3 BondFranklin Funds FRANKLIN EQUITY INCOME FUND A FISEX Non-NTF Equity-Income 1.04 5.75 3 BondFranklin Funds FRANKLIN FEDERAL INTERM TAX FREE INC FITZX Non-NTF Municipal Bond - National 0.58 None 3 BondFranklin Funds FRANKLIN FEDERAL INTR TERM TAX FREE A FKITX Non-NTF Municipal Bond - National 0.68 2.25 3 BondFranklin Funds FRANKLIN FEDERAL LTD TAX FREE INC CL A FFTFX Non-NTF Municipal Bond - National 0.53 2.25 3 BondFranklin Funds FRANKLIN FEDERAL TAX FREE CLASS A FKTIX Non-NTF Municipal Bond - National 0.61 4.25 3 BondFranklin Funds FRANKLIN FEDERAL TAX FREE CLASS C FRFTX Non-NTF Municipal Bond - National 1.17 1.00 3 EquityFranklin Funds FRANKLIN FEDERAL TAX FREE INCOME ADV FAFTX Non-NTF Municipal Bond - National 0.52 None 3 EquityFranklin Funds FRANKLIN FLEX CAP GROWTH ADVISOR CLASS FKCAX Non-NTF Growth 0.75 None 3 EquityFranklin Funds FRANKLIN FLEX CAP GROWTH CL A FKCGX Non-NTF Growth 1 5.75 3 BondFranklin Funds FRANKLIN FLEX CAP GROWTH CLASS C FCIIX Non-NTF Growth 1.74 1.00 3 BondFranklin Funds FRANKLIN FLOATING RATE DAILY FD ADV CL FDAAX Non-NTF Corporate Bond - General 0.71 None 3 BondFranklin Funds FRANKLIN FLOATING RT DAILY ACCESS CL A FAFRX Non-NTF Corporate Bond - General 0.96 2.25 3 BondFranklin Funds FRANKLIN FLOATING RT DAILY ACCESS CL C FCFRX Non-NTF Corporate Bond - General 1.36 1.00 3 BondFranklin Funds FRANKLIN FLORIDA TAX FREE CLASS C FRFIX Non-NTF Municipal Bond - Single State 1.17 1.00 3 EquityFranklin Funds FRANKLIN FLORIDA TAX FREE INCOME CL A FRFLX Non-NTF Municipal Bond - Single State 0.62 4.25 3 EquityFranklin Funds FRANKLIN FOCUSED CORE EQUITY ADV CL QCFFQ Non-NTF Growth 0.89 None 3 EquityFranklin Funds FRANKLIN FOCUSED CORE EQUITY CL A FCEQX Non-NTF Growth 1.17 5.75 3 EquityFranklin Funds FRANKLIN FOCUSED CORE EQUITY CL C QCFEQ Non-NTF Growth 1.85 1.00 3 EquityFranklin Funds FRANKLIN FOCUSED CORE EQUITY CL R QCFGQ Non-NTF Growth 1.39 None 3 EquityFranklin Funds FRANKLIN FOUNDING FD PORTFOLIO CL A FFALX Non-NTF Asset Allocation 0.37 5.75 3 EquityFranklin Funds FRANKLIN FOUNDING FD PORTFOLIO CL C FFACX Non-NTF Asset Allocation 1.11 1.00 3 EquityFranklin Funds FRANKLIN FOUNDING FUNDS ALLOCATION ADV FFAAX Non-NTF Asset Allocation 0.11 None 3 BondFranklin Funds FRANKLIN FOUNDING FUNDS ALLOCATION CLR FFARX Non-NTF Asset Allocation 0.61 None 3 BondFranklin Funds FRANKLIN GEORGIA TAX FREE CLASS C FGAIX Non-NTF Municipal Bond - Single State 1.24 1.00 3 EquityFranklin Funds FRANKLIN GEORGIA TAX FREE INCOME A FTGAX Non-NTF Municipal Bond - Single State 0.69 4.25 3 EquityFranklin Funds FRANKLIN GLOBAL REAL ESTATE ADV CL FVGRX Non-NTF Specialty - Real Estate 1.05 None 3 EquityFranklin Funds FRANKLIN GLOBAL REAL ESTATE FD A FAGRX Non-NTF Specialty - Real Estate 1.35 5.75 3 EquityFranklin Funds FRANKLIN GLOBAL REAL ESTATE FD CL C QBFVQ Non-NTF Specialty - Real Estate 2.04 1.00 3 EquityFranklin Funds FRANKLIN GOLD AND PREC METALS ADV CL FGADX Non-NTF Specialty - Precious Metals 0.76 None 3 EquityFranklin Funds FRANKLIN GOLD AND PRECIOUS METALS CL A FKRCX Non-NTF Specialty - Precious Metals 1.01 5.75 3 EquityFranklin Funds FRANKLIN GOLD AND PRECIOUS METALS CL C FRGOX Non-NTF Specialty - Precious Metals 1.76 1.00 3 EquityFranklin Funds FRANKLIN GROWTH ADVISOR CLASS FCGAX Non-NTF Growth 0.75 None 3 EquityFranklin Funds FRANKLIN GROWTH CLASS A FKGRX Non-NTF Growth 1 5.75 3 EquityFranklin Funds FRANKLIN GROWTH CLASS C FRGSX Non-NTF Growth 1.75 1.00 3 EquityFranklin Funds FRANKLIN GROWTH OPPORTUNITIES FD A FGRAX Non-NTF Aggressive Growth 1.32 5.75 3 Equity

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Security Class

Franklin Funds FRANKLIN GROWTH OPPORTUNITIES FD ADV FRAAX Non-NTF Aggressive Growth 1.04 None 3 EquityFranklin Funds FRANKLIN GROWTH OPPORTUNITIES FD C FKACX Non-NTF Aggressive Growth 2.03 1.00 3 EquityFranklin Funds FRANKLIN GROWTH OPPORTUNITIES FD R FKARX Non-NTF Aggressive Growth 1.54 None 3 BondFranklin Funds FRANKLIN GROWTH SERI ES CLASS R FGSRX Non-NTF Growth 1.25 None 3 BondFranklin Funds FRANKLIN HIGH INCOME FD - ADV CL FVHIX Non-NTF Corporate Bond - High Yield 0.63 None 3 BondFranklin Funds FRANKLIN HIGH INCOME FD CL A FHAIX Non-NTF Corporate Bond - High Yield 0.78 4.25 3 BondFranklin Funds FRANKLIN HIGH INCOME FD CL C FCHIX Non-NTF Corporate Bond - High Yield 1.28 1.00 3 BondFranklin Funds FRANKLIN HIGH INCOME FD CL R FHIRX Non-NTF Corporate Bond - High Yield 1.13 None 3 BondFranklin Funds FRANKLIN HIGH YIELD TAX FREE CLASS C FHYIX Non-NTF Municipal Bond - National 1.18 1.00 3 BondFranklin Funds FRANKLIN HIGH YIELD TAX FREE INC ADV CL FHYVX Non-NTF Municipal Bond - National 0.53 None 3 EquityFranklin Funds FRANKLIN HIGH YIELD TAX FREE INCOME A FRHIX Non-NTF Municipal Bond - National 0.63 4.25 3 EquityFranklin Funds FRANKLIN INCOME ADVISOR CLASS FRIAX Non-NTF Balanced 0.53 None 3 EquityFranklin Funds FRANKLIN INCOME CLASS A FKINX Non-NTF Balanced 0.68 4.25 3 EquityFranklin Funds FRANKLIN INCOME CLASS C FCISX Non-NTF Balanced 1.18 1.00 3 EquityFranklin Funds FRANKLIN INCOME FUND CL R FISRX Non-NTF Balanced 1.03 None 3 EquityFranklin Funds FRANKLIN INDIA GROWTH FUND ADVISOR FIGZX Non-NTF Foreign Stock 1.4 None 3 EquityFranklin Funds FRANKLIN INDIA GROWTH FUND CL A FINGX Non-NTF Foreign Stock 1.7 5.75 3 BondFranklin Funds FRANKLIN INDIA GROWTH FUND CL C QCHVQ Non-NTF Foreign Stock 2.4 1.00 3 BondFranklin Funds FRANKLIN INSURED TAX FREE CLASS C FRITX Non-NTF Municipal Bond - National 1.18 1.00 3 BondFranklin Funds FRANKLIN INSURED TAX FREE INC ADV CLASS FINZX Non-NTF Municipal Bond - National 0.53 None 3 BondFranklin Funds FRANKLIN INSURED TAX FREE INCOME A FTFIX Non-NTF Municipal Bond - National 0.63 4.25 3 EquityFranklin Funds FRANKLIN INTERMED FED TAX FREE CLASS C FCITX Non-NTF Municipal Bond - National 1.23 1.00 3 EquityFranklin Funds FRANKLIN INTERNATL SM CAP GRWTH ADVISOR FKSCX Non-NTF Foreign Stock 0.95 None 3 EquityFranklin Funds FRANKLIN INTL GROWTH CL A QCLUQ Non-NTF Foreign Stock 1.45 5.75 3 EquityFranklin Funds FRANKLIN INTL GROWTH FD CLASS C QCUWQ Non-NTF Foreign Stock 2.15 1.00 3 EquityFranklin Funds FRANKLIN INTL SMALL CAP GROWTH C QDBKQ Non-NTF Foreign Stock 1.95 1.00 3 BondFranklin Funds FRANKLIN INTL SMALL CAP GROWTH CL A FINAX Non-NTF Foreign Stock 1.25 5.75 3 EquityFranklin Funds FRANKLIN KENTUCKY TAX FREE INCOME A FRKYX Non-NTF Municipal Bond - Single State 0.76 4.25 3 EquityFranklin Funds FRANKLIN LARGE CAP VALUE CLASS A FLVAX Non-NTF Growth 1.48 5.75 3 BondFranklin Funds FRANKLIN LARGE CAP VALUE CLASS C FLCVX Non-NTF Growth 2.2 1.00 3 BondFranklin Funds FRANKLIN LIMITED MATURITY US GOV CL A FRGVX Non-NTF Government Bond - General 0.82 2.25 3 BondFranklin Funds FRANKLIN LIMITED MATURITY US GOV-ADVS FSUAX Non-NTF Government Bond - General 0.72 None 3 BondFranklin Funds FRANKLIN LOUISIANA TAX FREE INCOME A FKLAX Non-NTF Municipal Bond - Single State 0.71 4.25 3 EquityFranklin Funds FRANKLIN LOUSIANA TAX FREE CLASS C FLAIX Non-NTF Municipal Bond - Single State 1.26 1.00 3 BondFranklin Funds FRANKLIN LOW DURATN TOTAL RETURN CL A FLDAX Non-NTF Income 0.9 2.25 3 BondFranklin Funds FRANKLIN MA TAX FREE INCOME FUND CLASS A FMISX Non-NTF Municipal Bond - Single State 0.66 4.25 3 BondFranklin Funds FRANKLIN MARYLAND TAX FREE CLASS C FMDIX Non-NTF Municipal Bond - Single State 1.22 1.00 3 BondFranklin Funds FRANKLIN MARYLAND TAX FREE INCOME A FMDTX Non-NTF Municipal Bond - Single State 0.67 4.25 3 BondFranklin Funds FRANKLIN MARYLAND TAX-FREE INCOME ADV QDGEQ Non-NTF Municipal Bond - Single State -999 None 3 BondFranklin Funds FRANKLIN MASS TAX - FREE INCOME ADVISOR QDERQ Non-NTF Municipal Bond - Single State -999 None 3 BondFranklin Funds FRANKLIN MASS TAX FREE INC CL C FMAIX Non-NTF Municipal Bond - Single State 1.2 1.00 3 BondFranklin Funds FRANKLIN MI TAX FREE INCOME FD CLASS A FTTMX Non-NTF Municipal Bond - Single State 0.63 4.25 3 BondFranklin Funds FRANKLIN MICHIGAN TAX FREE CLASS C FRMTX Non-NTF Municipal Bond - Single State 1.18 1.00 3 EquityFranklin Funds FRANKLIN MICHIGAN TAX-FREE INCOME ADV QDHWQ Non-NTF Municipal Bond - Single State 0.53 None 3 EquityFranklin Funds FRANKLIN MICRO CAP VALUE ADV CL FVRMX Non-NTF Growth and Income 0.93 None 3 EquityFranklin Funds FRANKLIN MICROCAP VALUE CLASS A FRMCX Non-NTF Growth and Income 1.17 5.75 3 EquityFranklin Funds FRANKLIN MID CAP VALUE FUND CL C FMVCX Non-NTF Growth 2.04 1.00 3 BondFranklin Funds FRANKLIN MID CAP VALUE FUND CLASS A FMVAX Non-NTF Growth 1.36 5.75 3 BondFranklin Funds FRANKLIN MINNESOTA TAX FREE INC CL C FMNIX Non-NTF Municipal Bond - Single State 1.21 1.00 3 BondFranklin Funds FRANKLIN MISSOURI TAX FREE CLASS C FMOIX Non-NTF Municipal Bond - Single State 1.2 1.00 3 BondFranklin Funds FRANKLIN MISSOURI TAX FREE INCOME A FRMOX Non-NTF Municipal Bond - Single State 0.65 4.25 3 EquityFranklin Funds FRANKLIN MN TAX FREE INCOME FUND CLASS A FMINX Non-NTF Municipal Bond - Single State 0.66 4.25 3 EquityFranklin Funds FRANKLIN MUTUAL INTERNATIONAL CL Z QDBDQ Non-NTF Foreign Stock -999 None 3 EquityFranklin Funds FRANKLIN MUTUAL INTERNATIONAL FUND A QDBFQ Non-NTF Foreign Stock -999 5.75 3 EquityFranklin Funds FRANKLIN MUTUAL INTERNATIONAL FUND C QDBGQ Non-NTF Foreign Stock -999 1.00 3 EquityFranklin Funds FRANKLIN MUTUAL INTERNATIONAL FUND R QDBHQ Non-NTF Foreign Stock -999 None 3 EquityFranklin Funds FRANKLIN MUTUAL QUEST FUND CLASS A TEQIX Non-NTF World Stock 1.11 5.75 3 EquityFranklin Funds FRANKLIN MUTUAL RECOVERY CL A FMRAX Non-NTF Growth 1.44 5.75 3 EquityFranklin Funds FRANKLIN MUTUAL RECOVERY FD ADV CL FMRVX Non-NTF Growth 1.1 None 3 Equity

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Settlement Days

Security Class

Franklin Funds FRANKLIN MUTUAL RECOVERY FUND CL C FCMRX Non-NTF Growth 2.06 1.00 3 BondFranklin Funds FRANKLIN MUTUAL SERI GLOBAL DIS CL R TEDRX Non-NTF World Stock 1.52 None 3 BondFranklin Funds FRANKLIN N CAROLINA TAX FREE INCOME A FXNCX Non-NTF Municipal Bond - Single State 0.64 4.25 3 EquityFranklin Funds FRANKLIN N CAROLINA TAX-FREE CLASS C FNCIX Non-NTF Municipal Bond - Single State 1.19 1.00 3 EquityFranklin Funds FRANKLIN NATURAL RESOURCES A FRNRX Non-NTF Specialty - Natural Resources 1.09 5.75 3 EquityFranklin Funds FRANKLIN NATURAL RESOURCES ADVISOR CL FNRAX Non-NTF Specialty - Natural Resources 0.82 None 3 BondFranklin Funds FRANKLIN NATURAL RESOURCES FD CL C FNCRX Non-NTF Specialty - Natural Resources 1.82 1.00 3 BondFranklin Funds FRANKLIN NEW JERSEY TAX FREE CLASS C FNIIX Non-NTF Municipal Bond - Single State 1.18 1.00 3 BondFranklin Funds FRANKLIN NEW JERSEY TAX FREE INCOME A FRNJX Non-NTF Municipal Bond - Single State 0.63 4.25 3 BondFranklin Funds FRANKLIN NEW YORK INS TAX FREE CL C FNYKX Non-NTF Municipal Bond - Single State 1.21 1.00 3 BondFranklin Funds FRANKLIN NEW YORK INSD TAX FREE CL A FRNYX Non-NTF Municipal Bond - Single State 0.67 4.25 3 BondFranklin Funds FRANKLIN NEW YORK TAX FREE CLASS A FNYTX Non-NTF Municipal Bond - Single State 0.6 4.25 3 BondFranklin Funds FRANKLIN NEW YORK TAX FREE CLASS C FNYIX Non-NTF Municipal Bond - Single State 1.16 1.00 3 BondFranklin Funds FRANKLIN NEW YORK TAX-FREE INC ADV CL FNYAX Non-NTF Municipal Bond - Single State 0.51 None 3 BondFranklin Funds FRANKLIN NY INTERM T/F INCOME CL C FKNCX Non-NTF Municipal Bond - Single State 1.26 1.00 3 BondFranklin Funds FRANKLIN NY INTERM TERM TAX FREE A FKNIX Non-NTF Municipal Bond - Single State 0.71 2.25 3 BondFranklin Funds FRANKLIN NY INTERMD TAX-FREE INCOME ADV FNYZX Non-NTF Municipal Bond - Single State 0.61 None 3 BondFranklin Funds FRANKLIN OH TAX FREE CLASS A FTOIX Non-NTF Municipal Bond - Single State 0.64 4.25 3 BondFranklin Funds FRANKLIN OH TAX FREE CLASS C FOITX Non-NTF Municipal Bond - Single State 1.19 1.00 3 BondFranklin Funds FRANKLIN OHIO TAX - FREE FUND ADVISOR CL FROZX Non-NTF Municipal Bond - Single State 0.54 None 3 BondFranklin Funds FRANKLIN OREGON TAX FREE A FRORX Non-NTF Municipal Bond - Single State 0.64 4.25 3 BondFranklin Funds FRANKLIN OREGON TAX FREE CLASS C FORIX Non-NTF Municipal Bond - Single State 1.19 1.00 3 BondFranklin Funds FRANKLIN PA TAX FREE CLASS C FRPTX Non-NTF Municipal Bond - Single State 1.2 1.00 3 BondFranklin Funds FRANKLIN PENN TAX - FREE INCOME ADVISOR QDEWQ Non-NTF Municipal Bond - Single State -999 None 3 EquityFranklin Funds FRANKLIN PENN TAX FREE A FRPAX Non-NTF Municipal Bond - Single State 0.65 4.25 3 EquityFranklin Funds FRANKLIN PERSPECTIVE ALLOCATION ADVISOR QXJRQ Non-NTF Growth 0.12 None 3 EquityFranklin Funds FRANKLIN PERSPECTIVE ALLOCATION CL A FPAAX Non-NTF Growth 0.4 5.75 3 EquityFranklin Funds FRANKLIN PERSPECTIVE ALLOCATION CL C FPCAX Non-NTF Growth 1.11 1.00 3 EquityFranklin Funds FRANKLIN PERSPECTIVE ALLOCATION CL R QXJQQ Non-NTF Growth 0.62 1.00 3 EquityFranklin Funds FRANKLIN REAL ESTATE ADVISOR CLASS FRLAX Non-NTF Specialty - Real Estate 0.97 None 3 EquityFranklin Funds FRANKLIN REAL ESTATE SECURITIES CLASS A FREEX Non-NTF Specialty - Real Estate 1.22 5.75 3 BondFranklin Funds FRANKLIN REAL ESTATE SECURITIES CLASS C FRRSX Non-NTF Specialty - Real Estate 1.97 1.00 3 BondFranklin Funds FRANKLIN REAL RETURN CL C FRRCX Non-NTF Income 1.3 1.00 3 BondFranklin Funds FRANKLIN REAL RETURN CLASS A FRRAX Non-NTF Income 0.9 4.25 3 EquityFranklin Funds FRANKLIN REAL RETURN FUND - ADVISOR FARRX Non-NTF Income 0.65 None 3 EquityFranklin Funds FRANKLIN RISING DIV CLASS R FRDRX Non-NTF Growth and Income 1.38 None 3 EquityFranklin Funds FRANKLIN RISING DIVIDENDS CLASS A FRDPX Non-NTF Growth and Income 1.13 5.75 3 EquityFranklin Funds FRANKLIN RISING DIVIDENDS CLASS C FRDTX Non-NTF Growth and Income 1.88 1.00 3 EquityFranklin Funds FRANKLIN SMALL CAP GROWTH ADVISOR CL FSSAX Non-NTF Small Company 1.04 None 3 EquityFranklin Funds FRANKLIN SMALL CAP GROWTH CL A FSGRX Non-NTF Small Company 1.34 5.75 3 EquityFranklin Funds FRANKLIN SMALL CAP GROWTH CL C FCSGX Non-NTF Small Company 2.04 1.00 3 EquityFranklin Funds FRANKLIN SMALL CAP GROWTH CLASS R FSSRX Non-NTF Small Company 1.54 None 3 EquityFranklin Funds FRANKLIN SMALL CAP VALUE ADVISOR CLASS FVADX Non-NTF Growth and Income 1.1 None 3 EquityFranklin Funds FRANKLIN SMALL CAP VALUE CL R FVFRX Non-NTF Growth and Income 1.6 None 3 EquityFranklin Funds FRANKLIN SMALL CAP VALUE CLASS A FRVLX Non-NTF Growth and Income 1.37 5.75 3 EquityFranklin Funds FRANKLIN SMALL CAP VALUE CLASS C FRVFX Non-NTF Growth and Income 2.1 1.00 3 EquityFranklin Funds FRANKLIN SMALL MID CAP GROWTH CLASS R FSMRX Non-NTF Growth 1.33 None 3 EquityFranklin Funds FRANKLIN SMALL-MID CAP GROWTH A FRSGX Non-NTF Growth 1.08 5.75 3 EquityFranklin Funds FRANKLIN SMALL-MID CAP GROWTH ADVISOR FSGAX Non-NTF Growth 0.83 None 3 BondFranklin Funds FRANKLIN SMALL-MID CAP GROWTH CLASS C FRSIX Non-NTF Growth 1.83 1.00 3 BondFranklin Funds FRANKLIN STRATEGIC INC CL R FKSRX Non-NTF Multisector Bond 1.14 None 3 BondFranklin Funds FRANKLIN STRATEGIC INCOME C FSGCX Non-NTF Multisector Bond 1.29 1.00 3 BondFranklin Funds FRANKLIN STRATEGIC INCOME CLASS A FRSTX Non-NTF Multisector Bond 0.89 4.25 3 BondFranklin Funds FRANKLIN STRATEGIC MORTGAGE PORTF CL A FSMIX Non-NTF Government Bond - Mortgage 0.67 4.25 3 EquityFranklin Funds FRANKLIN TAX EXEMPT MONEY FUND FTMXX Non-NTF None 3 EquityFranklin Funds FRANKLIN TEMP CONSRV TARGET FD CL R FTCRX Non-NTF Asset Allocation 0.75 None 3 EquityFranklin Funds FRANKLIN TEMP DEV MARKETS TRUST CL R TDMRX Non-NTF Diversified Emerging Markets 2.11 None 3 EquityFranklin Funds FRANKLIN TEMP EQUITY INC FD CL R FREIX Non-NTF Equity-Income 1.29 None 3 EquityFranklin Funds FRANKLIN TEMP GRTH TARGET FD CL R FGTRX Non-NTF Asset Allocation 0.75 None 3 Equity

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Settlement Days

Security Class

Franklin Funds FRANKLIN TEMP LARGE CAP VALUE FD CL R FLCRX Non-NTF Growth 1.7 None 3 EquityFranklin Funds FRANKLIN TEMP MOD TARGET FD CL R FTMRX Non-NTF Asset Allocation 0.75 None 3 BondFranklin Funds FRANKLIN TEMP MUTUAL SERIES CLASS R TESRX Non-NTF Growth and Income 1.28 None 3 EquityFranklin Funds FRANKLIN TEMP TOTAL RETURN FD CL R FTRRX Non-NTF Income 1.1 None 3 EquityFranklin Funds FRANKLIN TEMPLETON 2015 RET CL C QBGPQ Non-NTF Growth 1.16 1.00 3 EquityFranklin Funds FRANKLIN TEMPLETON 2015 RET TARGET A FTRAX Non-NTF Growth 0.46 5.75 3 EquityFranklin Funds FRANKLIN TEMPLETON 2015 RET TARGET CL R QBGVQ Non-NTF Growth 0.66 None 3 EquityFranklin Funds FRANKLIN TEMPLETON 2025 RET TARGET C QBGQQ Non-NTF Growth 1.16 1.00 3 EquityFranklin Funds FRANKLIN TEMPLETON 2025 RET TARGET FD A FTRTX Non-NTF Growth 0.46 5.75 3 EquityFranklin Funds FRANKLIN TEMPLETON 2035 RET TARGET CL C QBGSQ Non-NTF Growth 1.15 1.00 3 EquityFranklin Funds FRANKLIN TEMPLETON 2035 RET TARGET FD A FRTAX Non-NTF Growth 0.45 5.75 3 EquityFranklin Funds FRANKLIN TEMPLETON 2045 RET TARGET CL C QBGRQ Non-NTF Growth 1.15 1.00 3 EquityFranklin Funds FRANKLIN TEMPLETON 2045 RET TARGET FD A QBGGQ Non-NTF Growth 0.45 5.75 3 EquityFranklin Funds FRANKLIN TEMPLETON CONSERV TARGET CL A FTCIX Non-NTF Asset Allocation 0.5 5.75 3 EquityFranklin Funds FRANKLIN TEMPLETON CONSERV TARGET CL C FTCCX Non-NTF Asset Allocation 1.24 1.00 3 BondFranklin Funds FRANKLIN TEMPLETON CONSVT TARGET ADV FTCZX Non-NTF Asset Allocation 0.25 None 3 EquityFranklin Funds FRANKLIN TEMPLETON EMG MRKTS DEBT INSTL FEMDX Non-NTF Income 1.04 None 3 EquityFranklin Funds FRANKLIN TEMPLETON GROWTH TARGET - ADV FGTZX Non-NTF Asset Allocation 0.25 None 3 EquityFranklin Funds FRANKLIN TEMPLETON GROWTH TARGET CL A FGTIX Non-NTF Asset Allocation 0.5 5.75 3 BondFranklin Funds FRANKLIN TEMPLETON GROWTH TARGET CL C FTGTX Non-NTF Asset Allocation 1.25 1.00 3 BondFranklin Funds FRANKLIN TEMPLETON HARD CURRENCY A ICPHX Non-NTF Worldwide Bond 0.94 2.25 3 EquityFranklin Funds FRANKLIN TEMPLETON HARD CURRENCY ADV ICHHX Non-NTF Worldwide Bond 0.66 None 3 EquityFranklin Funds FRANKLIN TEMPLETON MOD TARGET CLASS A FMTIX Non-NTF Asset Allocation 0.5 5.75 3 EquityFranklin Funds FRANKLIN TEMPLETON MONEY CLASS A FMFXX Non-NTF None 3 BondFranklin Funds FRANKLIN TEMPLETON MONEY FUND CL R FMRXX Non-NTF None 3 BondFranklin Funds FRANKLIN TENNESSEE MUNICIPAL BOND A FRTIX Non-NTF Municipal Bond - Single State 0.7 4.25 3 BondFranklin Funds FRANKLIN TOTAL RETURN ADVISOR CL FBDAX Non-NTF Income 0.6 None 3 BondFranklin Funds FRANKLIN TOTAL RETURN CL A FKBAX Non-NTF Income 0.85 4.25 3 BondFranklin Funds FRANKLIN TOTAL RETURN CLASS C FCTLX Non-NTF Income 1.25 1.00 3 BondFranklin Funds FRANKLIN US GOVT ADVISOR CLASS FUSAX Non-NTF Government Bond - Mortgage 0.59 None 3 BondFranklin Funds FRANKLIN US GOV'T CLASS A FKUSX Non-NTF Government Bond - Mortgage 0.73 4.25 3 BondFranklin Funds FRANKLIN US GOV'T CLASS C FRUGX Non-NTF Government Bond - Mortgage 1.24 1.00 3 EquityFranklin Funds FRANKLIN US GOV'T SECURITIES CLASS R FUSRX Non-NTF Government Bond - Mortgage 1.09 None 3 EquityFranklin Funds FRANKLIN UTILITIES ADVISOR CLASS FRUAX Non-NTF Specialty - Utility 0.65 None 3 EquityFranklin Funds FRANKLIN UTILITIES CLASS A FKUTX Non-NTF Specialty - Utility 0.8 4.25 3 EquityFranklin Funds FRANKLIN UTILITIES CLASS C FRUSX Non-NTF Specialty - Utility 1.3 1.00 3 BondFranklin Funds FRANKLIN UTILITIES FUND CL R FRURX Non-NTF Specialty - Utility 1.15 None 3 BondFranklin Funds FRANKLIN VIRGINIA TAX FREE A FRVAX Non-NTF Municipal Bond - Single State 0.66 4.25 3 EquityFranklin Funds FRANKLIN VIRGINIA TAX FREE CLASS C FVAIX Non-NTF Municipal Bond - Single State 1.21 1.00 3 EquityFranklin Funds FRANKLING RISING DIVIDENDS FUND - ADV FRDAX Non-NTF Growth and Income 0.88 None 3 EquityFranklin Funds MUTUAL SERIES BEACON CLASS Z BEGRX Non-NTF Growth and Income 0.84 None 3 EquityFranklin Funds MUTUAL SERIES EUROPEAN CLASS Z MEURX Non-NTF Europe Stock 1.09 None 3 EquityFranklin Funds MUTUAL SERIES FINCL SERVICES CLASS A TFSIX Non-NTF Specialty - Financial 1.48 5.75 3 EquityFranklin Funds MUTUAL SERIES FINCL SERVICES CLASS C TMFSX Non-NTF Specialty - Financial 2.18 1.00 3 EquityFranklin Funds MUTUAL SERIES FINCL SERVICES CLASS Z TEFAX Non-NTF Specialty - Financial 1.18 None 3 EquityFranklin Funds MUTUAL SERIES GLOBAL DISCOVERY CLASS A TEDIX Non-NTF World Stock 1.3 5.75 3 EquityFranklin Funds MUTUAL SERIES GLOBAL DISCOVERY CLASS C TEDSX Non-NTF World Stock 2.01 1.00 3 EquityFranklin Funds MUTUAL SERIES GLOBAL DISCOVERY CLASS Z MDISX Non-NTF World Stock 1.02 None 3 EquityFranklin Funds MUTUAL SERIES MUTUAL BEACON CLASS A TEBIX Non-NTF Growth and Income 1.13 5.75 3 EquityFranklin Funds MUTUAL SERIES MUTUAL BEACON CLASS C TEMEX Non-NTF Growth and Income 1.84 1.00 3 EquityFranklin Funds MUTUAL SERIES MUTUAL EUROPEAN CLASS A TEMIX Non-NTF Europe Stock 1.38 5.75 3 EquityFranklin Funds MUTUAL SERIES MUTUAL EUROPEAN CLASS C TEURX Non-NTF Europe Stock 2.08 1.00 3 EquityFranklin Funds MUTUAL SERIES MUTUAL SHARES CLASS A TESIX Non-NTF Growth and Income 1.07 5.75 3 EquityFranklin Funds MUTUAL SERIES MUTUAL SHARES CLASS C TEMTX Non-NTF Growth and Income 1.76 1.00 3 EquityFranklin Funds MUTUAL SERIES QWEST CLASS C TEMQX Non-NTF World Stock 1.8 1.00 3 EquityFranklin Funds MUTUAL SERIES QWEST CLASS Z MQIFX Non-NTF World Stock 0.81 None 3 EquityFranklin Funds MUTUAL SERIES SHARES CLASS Z MUTHX Non-NTF Growth and Income 0.78 None 3 EquityFranklin Funds TEMPLETON BRIC FD CL A TABRX Non-NTF Growth 2.17 5.75 3 EquityFranklin Funds TEMPLETON BRIC FD CL C TPBRX Non-NTF Growth 2.82 1.00 3 Equity

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Sales Charge

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Security Class

Franklin Funds TEMPLETON BRIC FUND ADVISOR TZBRX Non-NTF Growth 1.88 None 3 EquityFranklin Funds TEMPLETON CHINA WORLD FD CL A TCWAX Non-NTF Growth 2.04 5.75 3 EquityFranklin Funds TEMPLETON CHINA WORLD FUND ADV CLASS TACWX Non-NTF Growth 1.76 None 3 EquityFranklin Funds TEMPLETON CHINA WORLD FUND CLASS C TCWCX Non-NTF Growth 2.75 1.00 3 EquityFranklin Funds TEMPLETON DEVELOPING MARKETS ADVISOR CL TDADX Non-NTF Diversified Emerging Markets 1.61 None 3 EquityFranklin Funds TEMPLETON DEVELOPING MARKETS CLASS A TEDMX Non-NTF Diversified Emerging Markets 1.87 5.75 3 EquityFranklin Funds TEMPLETON DEVELOPING MARKETS CLASS C TDMTX Non-NTF Diversified Emerging Markets 2.6 1.00 3 EquityFranklin Funds TEMPLETON EMERGING MRKTS SMALL CAP ADV TEMZX Non-NTF Growth 1.8 None 3 EquityFranklin Funds TEMPLETON EMERGING MRKTS SMALL CAP C TCEMX Non-NTF Growth 2.74 1.00 3 EquityFranklin Funds TEMPLETON EMERGING MRKTS SMALL CAP R QBIJQ Non-NTF Growth 2.3 None 3 EquityFranklin Funds TEMPLETON EMERGING MRTKS SMALL CAP A TEMMX Non-NTF Growth 2.09 5.75 3 EquityFranklin Funds TEMPLETON FOREIGN ADVISOR CLASS TFFAX Non-NTF Foreign Stock 0.94 None 3 EquityFranklin Funds TEMPLETON FOREIGN CLASS A TEMFX Non-NTF Foreign Stock 1.19 5.75 3 EquityFranklin Funds TEMPLETON FOREIGN CLASS C TEFTX Non-NTF Foreign Stock 1.93 1.00 3 EquityFranklin Funds TEMPLETON FOREIGN CLASS R TEFRX Non-NTF Foreign Stock 1.44 None 3 EquityFranklin Funds TEMPLETON FOREIGN SMALL COMPANIES CL C FCFSX Non-NTF Foreign Stock 2.46 1.00 3 EquityFranklin Funds TEMPLETON FOREIGN SMALLER CO ADVISOR FTFAX Non-NTF Foreign Stock 1.46 None 3 EquityFranklin Funds TEMPLETON FOREIGN SMALLER CO INSL ADV TFSCX Non-NTF Foreign Stock 0.95 None 3 EquityFranklin Funds TEMPLETON FOREIGN SMALLER COMPANIES A FINEX Non-NTF Foreign Stock 1.71 5.75 3 EquityFranklin Funds TEMPLETON FRONTIER MARKETS FUND CL A TFMAX Non-NTF Growth and Income 2.15 5.75 3 EquityFranklin Funds TEMPLETON FRONTIER MARKETS FUND CL C QCTRQ Non-NTF Growth and Income 2.85 1.00 3 BondFranklin Funds TEMPLETON FRONTIER MARKETS FUND CL R QCTSQ Non-NTF Growth and Income 2.04 None 3 BondFranklin Funds TEMPLETON FRONTIER MRTKS FD ADV CL QCTPQ Non-NTF Growth and Income 1.85 None 3 BondFranklin Funds TEMPLETON GLOBAL BOND ADVISOR CLASS TGBAX Non-NTF Worldwide Bond 0.67 None 3 BondFranklin Funds TEMPLETON GLOBAL BOND CLASS A TPINX Non-NTF Worldwide Bond 0.92 4.25 3 BondFranklin Funds TEMPLETON GLOBAL BOND CLASS C TEGBX Non-NTF Worldwide Bond 1.32 1.00 3 EquityFranklin Funds TEMPLETON GLOBAL BOND FUND CL R QDGDQ Non-NTF Worldwide Bond 1.17 None 3 BondFranklin Funds TEMPLETON GLOBAL LONG SHORT CLASS A TLSAX Non-NTF World Stock 3.78 5.75 3 EquityFranklin Funds TEMPLETON GLOBAL LONG-SHRT FD ADVISOR QBXRQ Non-NTF World Stock 3.53 None 3 EquityFranklin Funds TEMPLETON GLOBAL OPPORTUNITIES CL A TEGOX Non-NTF World Stock 1.34 5.75 3 EquityFranklin Funds TEMPLETON GLOBAL OPPORTUNITIES CL C TEGPX Non-NTF World Stock 2.08 1.00 3 EquityFranklin Funds TEMPLETON GLOBAL SMALL CO FUND CL A TEMGX Non-NTF World Stock 1.49 5.75 3 EquityFranklin Funds TEMPLETON GLOBAL SMALL CO GRWTH CL C TESGX Non-NTF World Stock 2.26 1.00 3 BondFranklin Funds TEMPLETON GLOBAL SMALLER CO ADVISOR TGSAX Non-NTF World Stock 1.26 None 3 BondFranklin Funds TEMPLETON GLOBAL TOTAL RETURN CL C TTRCX Non-NTF Worldwide Bond 1.49 1.00 3 BondFranklin Funds TEMPLETON GLOBAL TOTAL RETURN CL R QCULQ Non-NTF Worldwide Bond 1.31 None 3 BondFranklin Funds TEMPLETON GLOBAL TOTAL RT ADV CL SH TTRZX Non-NTF Worldwide Bond 0.84 None 3 EquityFranklin Funds TEMPLETON GLOBOL TOTAL RETURN CL A TGTRX Non-NTF Worldwide Bond 1.04 4.25 3 EquityFranklin Funds TEMPLETON GROWTH ADVISOR CLASS TGADX Non-NTF World Stock 0.87 None 3 EquityFranklin Funds TEMPLETON GROWTH CLASS A TEPLX Non-NTF World Stock 1.12 5.75 3 EquityFranklin Funds TEMPLETON GROWTH CLASS C TEGTX Non-NTF World Stock 1.86 1.00 3 EquityFranklin Funds TEMPLETON GROWTH CLASS R TEGRX Non-NTF World Stock 1.37 None 3 BondFranklin Funds TEMPLETON INCOME FUND - ADVISOR TZINX Non-NTF Growth and Income 0.95 None 3 BondFranklin Funds TEMPLETON INCOME FUND A TINCX Non-NTF Growth and Income 1.2 4.25 3 EquityFranklin Funds TEMPLETON INCOME FUND CLASS C TCINX Non-NTF Growth and Income 1.58 1.00 3 EquityFranklin Funds TEMPLETON INSTL EMERGING MARKETS TEEMX Non-NTF Diversified Emerging Markets 1.4 None 1 EquityFranklin Funds TEMPLETON INSTL FDS FOREIGN EQ SCVC CL TFESX Non-NTF Foreign Stock 0.95 None 3 BondFranklin Funds TEMPLETON INSTL FOREIGN EQUITIES TFEQX Non-NTF Foreign Stock 0.8 None 1 BondFranklin Funds TEMPLETON INTERNAT BOND FUND CL C QCKRQ Non-NTF Worldwide Bond 1.39 1.00 3 BondFranklin Funds TEMPLETON INTERNAT BOND FUND CL R QCKSQ Non-NTF Worldwide Bond 1.24 None 3 BondFranklin Funds TEMPLETON INTERNATL BOND FUND ADVISOR FIBZX Non-NTF Worldwide Bond 0.74 None 3 EquityFranklin Funds TEMPLETON INTL BOND CLASS A TBOAX Non-NTF Worldwide Bond 1.02 4.25 3 EquityFranklin Funds TEMPLETON WORLD CLASS A TEMWX Non-NTF World Stock 1.1 5.75 3 EquityFranklin Funds TEMPLETON WORLD CLASS C TEWTX Non-NTF World Stock 1.85 1.00 3 EquityFranklin Funds TEMPLETON WORLD FUND - ADVISOR TWDAX Non-NTF World Stock 0.86 None 3 BondFranklin Funds TIF GLOBAL EQUITY SERIES INSTITUTIONAL TGESX Non-NTF Growth 0.81 None 1 BondFrontegra Funds FRONTEGRA COLUMBUS CORE FUND FRIGX Non-NTF Corporate Bond - General 0.35 None 1 EquityFrontegra Funds FRONTEGRA COLUMBUS CORE PLUS INTL CL FRTRX Non-NTF Corporate Bond - General 0.35 None 1 EquityFrontegra Funds FRONTEGRA IRONBRIDGE SMALL CAP IBSCX Non-NTF Growth 1.09 None 1 Equity

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Sales Charge

Settlement Days

Security Class

Frontegra Funds FRONTEGRA IRONBRIDGE SMID FD IBSMX Non-NTF Growth 0.95 None 1 EquityFrontegra Funds FRONTEGRA NETOLS SMALL CAP VALUE INST FNSVX Non-NTF Growth 1.1 None 1 EquityFrontegra Funds FRONTEGRA NEW STAR INTERNATIONL EQUITY FMHIX Non-NTF Growth 0.75 None 1 EquityFrost Funds FROST CORE GROWTH EQUITY CLASS A FACEX Non-NTF Growth 1.1 5.75 1 BondFrost Funds FROST CORE GROWTH EQUITY FUND INSTL FICEX Non-NTF Growth 0.85 None 1 EquityFrost Funds FROST DIVIDEND VALUE EQUITY CL A FADVX Non-NTF Growth and Income 1.11 5.75 1 BondFrost Funds FROST DIVIDEND VALUE EQUITY INSTL FIDVX Non-NTF Growth and Income 0.86 None 1 BondFrost Funds FROST HOOVER SMALL CAP EQUITY CL A FAHMX Non-NTF Growth and Income 1.5 5.75 1 BondFrost Funds FROST INTERNATIONAL EQUITY CLASS A FANTX Non-NTF Foreign Stock 1.46 5.75 1 BondFrost Funds FROST KEMPNER MULTI CAP DEEP VALUE CL A FAKDX Non-NTF Growth and Income 1.06 5.75 1 BondFrost Funds FROST LOW DURATION BOND CLASS A FADLX Non-NTF Growth and Income 0.77 3.00 1 BondFrost Funds FROST LOW DURATION BOND FUND INSTL FILDX Non-NTF Growth and Income 0.52 None 1 BondFrost Funds FROST LOW DURATION MUNI BOND CLASS A FALMX Non-NTF Municipal Bond - National 0.86 2.75 1 BondFrost Funds FROST MUNICIPAL BOND CLASS A FAUMX Non-NTF Municipal Bond - National 0.87 4.50 1 EquityFrost Funds FROST STRATEGIC BALANCED CLASS A FASTX Non-NTF Growth and Income 1.45 5.75 1 BondFrost Funds FROST STRATEGIC BALANCED INSTL FIBTX Non-NTF Growth and Income 1.18 None 1 BondFrost Funds FROST TOTAL RETURN BOND CLASS A FATRX Non-NTF Growth and Income 0.84 4.50 1 EquityFrost Funds FROST TOTAL RETURN BOND FUND INSTL FIJEX Non-NTF Growth and Income 0.59 None 1 EquityGabelli Westwood Funds COMSTOCK PARTNERS CAPITAL VALUE CL A DRCVX Non-NTF Multi-Asset Global 2.22 5.75 3 EquityGabelli Westwood Funds COMSTOCK PARTNERS CAPITAL VALUE CL C CPCCX Non-NTF Multi-Asset Global 2.97 1.00 3 EquityGabelli Westwood Funds GABELLI ABC FUND - ADVISOR CLASS GADVX Non-NTF Growth and Income 0.88 None 3 EquityGabelli Westwood Funds GABELLI ASSET FD CLASS A GATAX Non-NTF Growth 1.38 5.75 3 EquityGabelli Westwood Funds GABELLI ASSET FD CLASS C GATCX Non-NTF Growth 2.13 1.00 3 EquityGabelli Westwood Funds GABELLI ASSET FUND CL I GABIX Non-NTF Growth 1.13 None 1 EquityGabelli Westwood Funds GABELLI BLUE CHIP VALUE FUND CL A GBCAX Non-NTF Growth 2 5.75 3 EquityGabelli Westwood Funds GABELLI ENTER MERG & ACQUISITIONS CL Y EMAYX Non-NTF Growth 1.29 None 1 EquityGabelli Westwood Funds GABELLI ENTER MERG & ACQUISITIONS CLASS A EMAAX Non-NTF Growth 1.74 5.75 1 EquityGabelli Westwood Funds GABELLI ENTER MERG & ACQUISITIONS CLASS B EMABX Non-NTF Growth 2.29 5.00 3 EquityGabelli Westwood Funds GABELLI ENTER MERG & ACQUISITIONS CLASS C EMACX Non-NTF Growth 2.29 1.00 3 EquityGabelli Westwood Funds GABELLI EQUITY INCOME CL A GCAEX Non-NTF Equity-Income 1.5 5.75 3 EquityGabelli Westwood Funds GABELLI EQUITY INCOME FUND CL C GCCEX Non-NTF Equity-Income 2.25 1.00 3 EquityGabelli Westwood Funds GABELLI EQUITY INCOME FUND CL I GCIEX Non-NTF Equity-Income 1.25 None 1 EquityGabelli Westwood Funds GABELLI SMALL CAP GROWTH CL A GCASX Non-NTF Small Company 1.48 5.75 3 EquityGabelli Westwood Funds GABELLI SMALL CAP GROWTH FD CL C GCCSX Non-NTF Small Company 2.23 1.00 3 EquityGabelli Westwood Funds GABELLI SMALL CAP GROWTH FUND CL I GACIX Non-NTF Small Company 1.23 None 1 EquityGabelli Westwood Funds GABELLI SRI FUND CLASS A SRIAX Non-NTF Growth 2.01 5.75 3 EquityGabelli Westwood Funds GABELLI SRI FUND CLASS C SRICX Non-NTF Growth 2.76 1.00 3 EquityGabelli Westwood Funds GABELLI UTILITIES FUND CL I GAUIX Non-NTF Specialty - Utility 1.18 None 1 EquityGabelli Westwood Funds GABELLI UTILITIES FUND CLASS A GAUAX Non-NTF Specialty - Utility 1.43 5.75 1 EquityGabelli Westwood Funds GABELLI UTILITIES FUND CLASS C GAUCX Non-NTF Specialty - Utility 2.18 1.00 3 EquityGabelli Westwood Funds GABELLI VALUE CLASS C GVCCX Non-NTF Growth 2.16 1.00 3 EquityGabelli Westwood Funds GABELLI VALUE FD INC GABVX Non-NTF Growth 1.41 5.75 3 EquityGabelli Westwood Funds GABELLI WOODLAND SM CAP VALUE CL A GWSAX Non-NTF Small Company 2 5.75 3 EquityGabelli Westwood Funds GAMCO BLUE CHIP VALUE FUND CL I GBCIX Non-NTF Growth 1.75 None 1 EquityGabelli Westwood Funds GAMCO GLOBAL CONV SECURITIES CL A GAGAX Non-NTF Convertible Bond 2.02 5.75 3 EquityGabelli Westwood Funds GAMCO GLOBAL GROWTH CLASS A GGGAX Non-NTF World Stock 1.8 5.75 3 EquityGabelli Westwood Funds GAMCO GLOBAL GROWTH FUND CL C GGGCX Non-NTF World Stock 2.55 1.00 3 EquityGabelli Westwood Funds GAMCO GLOBAL OPPORTUNITY CL A GOCAX Non-NTF World Stock 2.01 5.75 3 EquityGabelli Westwood Funds GAMCO GLOBAL TELECOMMUNICATIONS A GTCAX Non-NTF Specialty - Communications 1.57 5.75 3 EquityGabelli Westwood Funds GAMCO GLOBAL TELECOMMUNICATIONS C GTCCX Non-NTF Specialty - Communications 2.32 1.00 3 EquityGabelli Westwood Funds GAMCO GOLD FUND CL A GLDAX Non-NTF Specialty - Precious Metals 1.43 5.75 3 EquityGabelli Westwood Funds GAMCO GOLD FUND CL C GLDCX Non-NTF Specialty - Precious Metals 2.18 1.00 3 EquityGabelli Westwood Funds GAMCO GOLD FUND CLASS I GLDIX Non-NTF Specialty - Precious Metals 1.18 None 1 EquityGabelli Westwood Funds GAMCO GROWTH FUND CLASS A GGCAX Non-NTF Growth 1.4 5.75 1 EquityGabelli Westwood Funds GAMCO INTERNATIONAL GROWTH CL A GAIGX Non-NTF Foreign Stock 2 5.75 3 EquityGabelli Westwood Funds GAMCO INTERNATIONAL GROWTH CL C GCIGX Non-NTF Foreign Stock 2.75 1.00 3 EquityGabelli Westwood Funds GAMCO INTERNATIONAL GROWTH FUDN CL I GIIGX Non-NTF Foreign Stock 1.75 None 1 EquityGabelli Westwood Funds GAMCO WESTWOOD BALANCED FD CL A WEBCX Non-NTF Balanced 1.5 4.00 3 EquityGabelli Westwood Funds GAMCO WESTWOOD BALANCED FD CL C WBCCX Non-NTF Balanced 2 1.00 3 Equity

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Settlement Days

Security Class

Gabelli Westwood Funds GAMCO WESTWOOD EQUITY CL A WEECX Non-NTF Growth 1.82 4.00 3 EquityGabelli Westwood Funds GAMCO WESTWOOD EQUITY FD CL C WEQCX Non-NTF Growth 2.32 1.00 3 EquityGabelli Westwood Funds GAMCO WESTWOOD EQUITY FUND CL I WEEIX Non-NTF Growth 1.32 None 1 EquityGabelli Westwood Funds GAMCO WESTWOOD INCOME FD A WEIAX Non-NTF Growth and Income 1.75 4.00 3 BondGabelli Westwood Funds GAMCO WESTWOOD INCOME FD CL C WEICX Non-NTF Growth and Income 2.25 1.00 3 BondGabelli Westwood Funds GAMCO WESTWOOD INTERMEDIATE BD FD A WEAIX Non-NTF Multisector Bond 1.1 4.00 3 EquityGabelli Westwood Funds GAMCO WESTWOOD INTERMEDIATE BD FD C WECIX Non-NTF Multisector Bond 1.75 1.00 3 EquityGabelli Westwood Funds GAMCO WESTWOOD MIGHTY MITES C WMMCX Non-NTF Small Company 2.32 1.00 3 EquityGabelli Westwood Funds GAMCO WESTWOOD MIGHTY MITES FD CL A WMMAX Non-NTF Small Company 1.82 4.00 3 EquityGabelli Westwood Funds GAMCO WESTWOOD MIGTHY MITES FD CL I WEIMX Non-NTF Small Company 1.4 None 1 EquityGabelli Westwood Funds GAMCO WESTWOOD SMALL CAP EQUITY CL A WWSAX Non-NTF 4.00 3 EquityGabelli Westwood Funds THE GAMCO GROWTH FD CLASS C GGCCX Non-NTF Growth 2.15 1.00 3 EquityGardner Lewis Chesapeake Funds CHESAPEAKE GROWTH FD INSTL CLASS CHESX Non-NTF Growth 2.25 None 1 BondGE Funds G E INCOME FD INVT CL GFIIX Non-NTF Corporate Bond - General 0.2 None 3 BondGE Funds GE FIXED INCOME CLASS A GEFIX Non-NTF Corporate Bond - General 0.85 4.25 3 EquityGE Funds GE FIXED INCOME CLASS C GEFCX Non-NTF Corporate Bond - General 1.6 1.00 3 EquityGE Funds GE GLOBAL EQUITY CLASS A GEGEX Non-NTF World Stock 1.7 5.75 3 BondGE Funds GE GLOBAL EQUITY FD CLASS C GEQCX Non-NTF World Stock 2.45 1.00 3 BondGE Funds GE GOVERNMENT SECS CLASS A ITGAX Non-NTF Government Bond - General 0.84 4.25 3 BondGE Funds GE GOV'T SECURITIES CLASS C GVSCX Non-NTF Government Bond - General 1.59 1.00 3 EquityGE Funds GE INCOME FD SERVICE CL GEISX Non-NTF Corporate Bond - General 0.45 None 3 EquityGE Funds GE INTERNATIONAL EQTY FD CL C GIECX Non-NTF Foreign Stock 2.28 1.00 3 EquityGE Funds GE INTERNATIONAL EQUITY FD INVT CL GIEIX Non-NTF Foreign Stock 0.55 None 3 EquityGE Funds GE MONEY MARKET CLASS A GEMXX Non-NTF None 3 EquityGE Funds GE PREMIER GROWTH EQUITY CLASS A GEPCX Non-NTF Growth 1.1 5.75 3 EquityGE Funds GE PREMIER GROWTH EQUITY CLASS C GPGCX Non-NTF Growth 1.85 1.00 3 EquityGE Funds GE PREMIER GROWTH EQUITY CLASS Y GEPDX Non-NTF Growth 0.85 None 1 EquityGE Funds GE PREMIER GRWTH EQ FD INVT CL GEIPX Non-NTF Growth 0.39 None 3 EquityGE Funds GE S&P 500 INDEX FD SERVICE CLASS GIDSX Non-NTF Growth and Income 0.41 None 3 BondGE Funds GE S&P INDEX FD INVT CL GIDIX Non-NTF Growth and Income 0.16 None 3 BondGE Funds GE SHORT TERM GOVT CLASS A GGVCX Non-NTF Government Bond - General 0.77 2.50 3 BondGE Funds GE SHORT TERM GOVT FUND CLASS C GGVEX Non-NTF Government Bond - General 1.52 1.00 3 EquityGE Funds GE SHORT-TERM GOVERNMENT FUND CL Y GGVDX Non-NTF Government Bond - General 0.52 None 1 EquityGE Funds GE SMALL CAP EQUITY FD INVT CL SH GSVIX Non-NTF Small Company 0.91 None 3 EquityGE Funds GE SMALL CAP VALUE EQUITY CL C GESCX Non-NTF Small Company 2.89 1.00 3 EquityGE Funds GE SMALL CAP VALUE EQUITY CLASS A GASCX Non-NTF Small Company 2.14 5.75 3 BondGE Funds GE STRATEGIC INVT C L GSIVX Non-NTF Income 0.31 None 3 BondGE Funds GE TAX EXEMPT CLASS A GETAX Non-NTF Municipal Bond - National 0.86 4.25 3 EquityGE Funds GE TAX EXEMPT CLASS C GETCX Non-NTF Municipal Bond - National 1.61 1.00 3 EquityGE Funds GE TOTAL RETURN CLASS A GESIX Non-NTF Asset Allocation 1.08 5.75 3 EquityGE Funds GE TOTAL RETURN CLASS C GECSX Non-NTF Asset Allocation 1.83 1.00 3 EquityGE Funds GE US EQUITY CLASS A GEEQX Non-NTF Growth and Income 0.81 5.75 3 EquityGE Funds GE US EQUITY CLASS C GEECX Non-NTF Growth and Income 1.56 1.00 3 EquityGE Funds GE US EQUITY FD INVT CL GUSIX Non-NTF Growth 0.37 None 3 EquityGE Funds GE US EQUITY FUND CLASS Y GEEDX Non-NTF Growth and Income 0.56 None 3 EquityGE Funds GE VALUE EQUITY CLASS A ITVAX Non-NTF Equity-Income 1.33 5.75 3 EquityGE Funds GE VALUE EQUITY FD INVT CL GEIVX Non-NTF Growth 0.43 None 3 EquityGE Funds GE VALUE EQUITY FUND CLASS C ITVCX Non-NTF Equity-Income 2.08 1.00 3 EquityGenerations Funds GENERATIONS MULTI STRATEGIES GMSFX Non-NTF Growth 0.97 None 1 EquityGeneva Advisors Funds GENEVA ADVISORS ALL CAP GROWTH CLASS I GNVIX Non-NTF Growth 1.25 None 1 EquityGiant 5 Funds GIANT 5 TOTAL INDEX SYSTEM INDEP SHS INDEX Non-NTF Growth and Income 1.74 None 1 EquityGiant 5 Funds GIANT 5 TOTAL INVEST INDEPENDENCE SHS FIVEX Non-NTF Growth and Income 1.64 None 1 EquityGKM Funds GKM GROWTH FUND GKMGX Non-NTF Growth 1.41 None 1 EquityGlenmede Funds GLENMEDE LARGE CAP VALUE PORTFOLIO GTMEX Non-NTF Growth 0.97 None 1 EquityGlenmede Funds GLENMEDE SMALL CAP EQUITY - ADVISOR CL GTCSX Non-NTF Small Company 0.94 None 1 EquityGMG Funds GMG DEFENSIVE BETA FUND MPDAX Non-NTF Growth -999 5.50 1 EquityGMO Trust Funds GMO FOREIGN FUND CL III GMOFX Non-NTF Foreign Stock 0.75 None 1 EquityGMO Trust Funds GMO US CORE EQUITY CL M GMTMX Non-NTF Growth and Income 0.76 None 1 EquityGMO Trust Funds GMO US CORE EQUITY FUND CL III GMUEX Non-NTF Growth and Income 0.46 None 1 Equity

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Security Class

GMO Trust Funds GMO US GROWTH FUND CL M GMWMX Non-NTF Growth 0.76 None 1 EquityGoldman Sachs Funds G S FINANCIAL SQUARE MONEY MARKET SELECT GSMXX Non-NTF None 1 EquityGoldman Sachs Funds G S FINANCIAL SQUARE TREASURY INSTR INSTL FTIXX Non-NTF None 1 EquityGoldman Sachs Funds GOLDMAN SACH US EQU DIVIDEND & PREM FD I GSPKX Non-NTF Equity-Income 0.84 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS ABSOLU RETURN TRACKER A GARTX Non-NTF Income 1.6 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS ABSOLU RETURN TRACKER INSTL GJRTX Non-NTF Income 1.2 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS ABSOLU RT TRACKER FD C GCRTX Non-NTF Income 2.35 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS ALL CAP GROWTH - INSTL GILLX Non-NTF Growth 0.98 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS ALL CAP GROWTH FUND CL A GALLX Non-NTF Growth 1.38 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS ASIA EQUITY CLASS A GSAGX Non-NTF Pacific Stock 1.6 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS ASIA EQUITY CLASS C GSACX Non-NTF Pacific Stock 2.35 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS ASIA EQUITY FD CL INSTL GSAIX Non-NTF Pacific Stock 1.2 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS ASSET ALLOC GR & INC STR A GOIAX Non-NTF Growth and Income 0.59 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS ASSET ALLOC GR & INC STR C GOICX Non-NTF Growth and Income 1.34 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS ASSET ALLOC GROWTH STRAT C GGSCX Non-NTF Growth 1.34 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS ASSET ALLOC GRWTH STRAT A GGSAX Non-NTF Growth 0.59 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS BAL STRATEGY INST GIPIX Non-NTF Asset Allocation 0.19 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS BALANCED FUND A GSBFX Non-NTF Balanced 1.05 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS BALANCED FUND C GSBCX Non-NTF Balanced 1.8 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS BALANCED STRAT A GIPAX Non-NTF Asset Allocation 0.59 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS BALANCED STRAT C GIPCX Non-NTF Asset Allocation 1.34 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS BRIC FD CL A GBRAX Non-NTF Growth 1.97 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS BRIC FD CL C GBRCX Non-NTF Growth 2.72 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS BRIC FD CL I GBRIX Non-NTF Growth 1.57 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS CAP GROWTH CLASS A GSCGX Non-NTF Growth 1.25 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS CAP GROWTH INSTL GSPIX Non-NTF Growth 0.85 None 3 BondGoldman Sachs Funds GOLDMAN SACHS CAPITAL GROWTH CL C GSPCX Non-NTF Growth 2 1.00 3 BondGoldman Sachs Funds GOLDMAN SACHS COMM STRATEGY INSTL CL SH GCCIX Non-NTF Income 0.58 None 3 BondGoldman Sachs Funds GOLDMAN SACHS COMMODITY STRAT FD A GSCAX Non-NTF Income 0.92 4.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS COMMODITY STRATEGY C GSCCX Non-NTF Income 1.67 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS CONCENTRATED GROWTH GCRIX Non-NTF Growth 0.97 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS CONCENTRATED GRW C GCGCX Non-NTF Growth 2.12 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS CONCENTRATED GRWTH A GCGAX Non-NTF Growth 1.37 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS CONCTR INTERNTL EQUITY A GSIFX Non-NTF Foreign Stock 1.54 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS CONCTR INTERNTL EQUITY C GSICX Non-NTF Foreign Stock 2.29 1.00 3 BondGoldman Sachs Funds GOLDMAN SACHS CONCTR INTERNTL EQUITY INST GSIEX Non-NTF Foreign Stock 1.14 None 3 BondGoldman Sachs Funds GOLDMAN SACHS CORE FIXED INCOME CL C GCFCX Non-NTF Corporate Bond - General 1.55 1.00 3 BondGoldman Sachs Funds GOLDMAN SACHS CORE FIXED INCOME CLASS A GCFIX Non-NTF Corporate Bond - General 0.8 3.75 3 BondGoldman Sachs Funds GOLDMAN SACHS CORE FIXED INCOME INSTL GSFIX Non-NTF Corporate Bond - General 0.46 None 3 BondGoldman Sachs Funds GOLDMAN SACHS CORE PL FXED INC FD CL C GSFCX Non-NTF Growth and Income 1.5 1.00 3 BondGoldman Sachs Funds GOLDMAN SACHS CORE PLUS FXD INC INST CL GSNIX Non-NTF Growth and Income 0.41 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS CORE PLUS FXED INC CL A GSFAX Non-NTF Growth and Income 0.75 3.75 3 EquityGoldman Sachs Funds GOLDMAN SACHS DYNAMIC ALLOC INSTL GDIFX Non-NTF Growth -999 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS DYNAMIC ALLOCATION A GDAFX Non-NTF Growth -999 5.50 1 BondGoldman Sachs Funds GOLDMAN SACHS EMERG MRKTS EQ INSTL CL GEMIX Non-NTF Diversified Emerging Markets 1.49 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS EMERGE MKTS DEBT FUND CL A GSDAX Non-NTF Diversified Emerging Markets 1.22 4.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS EMERGING MARKETS A GEMAX Non-NTF Diversified Emerging Markets 1.89 5.50 3 BondGoldman Sachs Funds GOLDMAN SACHS EMERGING MARKETS C GEMCX Non-NTF Diversified Emerging Markets 2.64 1.00 3 BondGoldman Sachs Funds GOLDMAN SACHS EMERGING MRKTS C GSCDX Non-NTF Diversified Emerging Markets 1.97 1.00 3 BondGoldman Sachs Funds GOLDMAN SACHS EMRG MARKETS DEBT INSTL GSDIX Non-NTF Diversified Emerging Markets 0.88 None 3 BondGoldman Sachs Funds GOLDMAN SACHS ENHANCED INC ADMIN GEADX Non-NTF Government Bond - General 0.5 None 3 BondGoldman Sachs Funds GOLDMAN SACHS ENHANCED INCOME CL A GEIAX Non-NTF Government Bond - General 0.59 1.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS ENHANCED INCOME CL I GEIIX Non-NTF Government Bond - General 0.25 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS EQ GRWTH STRAT PORT INS GAPIX Non-NTF Aggressive Growth 0.19 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS FIN SQ FEDERAL FD ADMIN CL FVAXX Non-NTF None 1 EquityGoldman Sachs Funds GOLDMAN SACHS FINANCIAL TR OBLIG FTOXX Non-NTF None 3 BondGoldman Sachs Funds GOLDMAN SACHS FINL SQUARE M/MKT FST CL FSMXX Non-NTF None 1 BondGoldman Sachs Funds GOLDMAN SACHS GLOBAL INCOME CLASS A GSGIX Non-NTF Worldwide Bond 1.02 3.75 3 BondGoldman Sachs Funds GOLDMAN SACHS GLOBAL INCOME CLASS C GSLCX Non-NTF Worldwide Bond 1.77 1.00 3 Bond

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Security Class

Goldman Sachs Funds GOLDMAN SACHS GLOBAL INCOME INSTITUTIONAL GSGLX Non-NTF Worldwide Bond 0.68 None 3 BondGoldman Sachs Funds GOLDMAN SACHS GLOBAL INCOME SERVICE SHS GGISX Non-NTF Worldwide Bond 1.18 None 3 BondGoldman Sachs Funds GOLDMAN SACHS GOVT INCOME CLASS A GSGOX Non-NTF Government Bond - General 0.92 3.75 3 BondGoldman Sachs Funds GOLDMAN SACHS GOVT INCOME CLASS C GSOCX Non-NTF Government Bond - General 1.67 1.00 3 BondGoldman Sachs Funds GOLDMAN SACHS GOVT INCOME FUND CL R GSORX Non-NTF Government Bond - General 1.17 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS GOVT INCOME-INSTITUTIONAL GSOIX Non-NTF Government Bond - General 0.58 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS GROWTH & INCOME INSTL GSIIX Non-NTF Growth and Income 0.78 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS GROWTH AND INCOME CLASS A GSGRX Non-NTF Growth and Income 1.18 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS GROWTH AND INCOME CLASS C GSGCX Non-NTF Growth and Income 1.93 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS GROWTH OPPOR CL I GGOIX Non-NTF Growth 1.05 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS GROWTH OPPORTUNITIES CL A GGOAX Non-NTF Growth 1.45 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS GROWTH OPPORTUNITIES CL C GGOCX Non-NTF Growth 2.2 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS GROWTH OPPORTUNITIES CL R GGORX Non-NTF Growth 1.7 None 3 BondGoldman Sachs Funds GOLDMAN SACHS GRWTH AND INC STRAT INST GOIIX Non-NTF Growth and Income 0.19 None 3 BondGoldman Sachs Funds GOLDMAN SACHS HI YIELD MUNI INSTL GHYIX Non-NTF Municipal Bond - National 0.57 None 3 BondGoldman Sachs Funds GOLDMAN SACHS HIGH YIELD CLASS A GSHAX Non-NTF Corporate Bond - High Yield 1.07 4.50 3 BondGoldman Sachs Funds GOLDMAN SACHS HIGH YIELD CLASS C GSHCX Non-NTF Corporate Bond - High Yield 1.82 1.00 3 BondGoldman Sachs Funds GOLDMAN SACHS HIGH YIELD INSTITUTIONAL GSHIX Non-NTF Corporate Bond - High Yield 0.73 None 3 BondGoldman Sachs Funds GOLDMAN SACHS ILA TX EXMPT NY PORT ILNXX Non-NTF None 0 EquityGoldman Sachs Funds GOLDMAN SACHS INC STRATEGIES PORT INST GXIIX Non-NTF Income 0.17 None 3 BondGoldman Sachs Funds GOLDMAN SACHS INCOME STRAT PORT CL A GXIAX Non-NTF Income 0.57 5.50 3 BondGoldman Sachs Funds GOLDMAN SACHS INCOME STRAT PORT CL C GXICX Non-NTF Income 1.32 1.00 3 BondGoldman Sachs Funds GOLDMAN SACHS INFL PROTECTED SECS CL A GSAPX Non-NTF Growth and Income 0.67 3.75 3 BondGoldman Sachs Funds GOLDMAN SACHS INFLATION PROTECT C GSCFX Non-NTF Growth and Income 1.42 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS INSTIT LIQUID ASSETS PRIME OBLIGATION PORTFOLIO QGSPQ Non-NTF None 0 EquityGoldman Sachs Funds GOLDMAN SACHS INTL EQTY FLX FD CL A GAFLX Non-NTF Growth 1.6 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS INTL EQUITY & PREMIUM A GIDAX Non-NTF Income 1.3 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS INTL ESTATE FD CL A GIRAX Non-NTF Growth and Income 1.53 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS INTL REAL ESTATE SEC CL C GIRCX Non-NTF Growth and Income 2.28 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS INTL REAL ESTATE SEC FD GIRIX Non-NTF Growth and Income 1.13 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS INT'L SMALL CAP CL A GISAX Non-NTF Foreign Stock 1.6 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS INT'L SMALL CAP CL C GISCX Non-NTF Foreign Stock 2.35 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS INTL SMALL CAP INSTL GISIX Non-NTF Foreign Stock 1.2 None 3 BondGoldman Sachs Funds GOLDMAN SACHS INTNAT EQ DIV & PREM INSTL GIDHX Non-NTF Income 0.9 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS INVT GRADE CREDIT CL A GSGAX Non-NTF Growth 0.76 3.75 3 EquityGoldman Sachs Funds GOLDMAN SACHS LARGE CAP VALUE CL C GSVCX Non-NTF Growth 1.94 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS LARGE CAP VALUE CLASS A GSLAX Non-NTF Growth 1.19 5.50 3 BondGoldman Sachs Funds GOLDMAN SACHS LARGE CAP VALUE INSTL GSLIX Non-NTF Growth 0.79 None 3 BondGoldman Sachs Funds GOLDMAN SACHS LOCAL EMRG MRKTS DEBT A GAMDX Non-NTF Growth and Income 1.33 4.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS LOCAL EMRG MRKTS DEBT CL I GIMDX Non-NTF Growth and Income 0.99 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS MID CAP VALUE CLASS A GCMAX Non-NTF Growth 1.19 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS MID CAP VALUE CLASS C GCMCX Non-NTF Growth 1.94 1.00 3 BondGoldman Sachs Funds GOLDMAN SACHS MID CAP VALUE-INSTL SH GSMCX Non-NTF Growth 0.79 None 3 BondGoldman Sachs Funds GOLDMAN SACHS MUNI INCOME CLASS A GSMIX Non-NTF Municipal Bond - National 0.88 3.75 3 BondGoldman Sachs Funds GOLDMAN SACHS MUNI INCOME CLASS C GSMUX Non-NTF Municipal Bond - National 1.63 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS MUNI INCOME INSTL GSMTX Non-NTF Municipal Bond - National 0.54 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS REAL ESTATE SEC FD CL I GREIX Non-NTF Specialty - Real Estate 1.04 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS REAL ESTATE SECS CLASS A GREAX Non-NTF Specialty - Real Estate 1.44 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS REAL ESTATE SECS CLASS C GRECX Non-NTF Specialty - Real Estate 2.19 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS RET STRAT 2010 PORT CL A GRCAX Non-NTF Growth and Income 0.55 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS RET STRAT 2015 PORT CL A GRDAX Non-NTF Growth and Income 0.55 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS RET STRAT 2020 PORT CL A GRJAX Non-NTF Growth and Income 0.55 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS RET STRAT 2030 PORT CL A GRLAX Non-NTF Growth and Income 0.55 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS RET STRAT 2040 PORT CL A GRNAX Non-NTF Growth and Income 0.55 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS RET STRAT 2050 PORT CL A GRPAX Non-NTF Growth and Income 0.55 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS RET STRG 2010 PORT INSTL GRCIX Non-NTF Growth and Income 0.15 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS RET STRG 2015 PORT INSTL GRDIX Non-NTF Growth and Income 0.15 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS RET STRG 2020 PORT INSTL GRJIX Non-NTF Growth and Income 0.15 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS RET STRG 2030 PORT INSTL GRLIX Non-NTF Growth and Income 0.15 None 3 Equity

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Security Class

Goldman Sachs Funds GOLDMAN SACHS RET STRG 2040 PORT INSTL GRNIX Non-NTF Growth and Income 0.15 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS RET STRG 2050 PORT INSTL GRPIX Non-NTF Growth and Income 0.15 None 3 BondGoldman Sachs Funds GOLDMAN SACHS SATELL ITE STRATEGIES CL A GXSAX Non-NTF Growth 0.57 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS SATELL STRATEGY PORT INSTL GXSIX Non-NTF Growth 0.17 None 3 BondGoldman Sachs Funds GOLDMAN SACHS SATELLITE PORT CL C GXSCX Non-NTF Growth 1.32 1.00 3 BondGoldman Sachs Funds GOLDMAN SACHS SHORT DURATION GOVT CL A GSSDX Non-NTF Government Bond - General 0.86 1.50 3 BondGoldman Sachs Funds GOLDMAN SACHS SHORT DURATION GOVT CL C GSDCX Non-NTF Government Bond - General 1.61 1.00 3 BondGoldman Sachs Funds GOLDMAN SACHS SHORT DURATION GOVT INSTL GSTGX Non-NTF Government Bond - General 0.52 None 3 BondGoldman Sachs Funds GOLDMAN SACHS SHORT DURATION T/F INST CL GSDUX Non-NTF Municipal Bond - National 0.39 None 3 BondGoldman Sachs Funds GOLDMAN SACHS SHORT DURATION TAX FR C GSTCX Non-NTF Municipal Bond - National 1.48 1.00 3 BondGoldman Sachs Funds GOLDMAN SACHS SHORT DURATION TAX FREE A GSDTX Non-NTF Municipal Bond - National 0.73 1.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS SHRT DUR TAX FREE SVC SHS GSFSX Non-NTF Municipal Bond - National 0.89 None 1 EquityGoldman Sachs Funds GOLDMAN SACHS SMALL CAP VALUE CLASS A GSSMX Non-NTF Small Company 1.5 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS SMALL CAP VALUE CLASS C GSSCX Non-NTF Small Company 2.25 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS SMALL CAP VALUE FUND CL R GSQRX Non-NTF Small Company 1.75 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS SMALL CAP VALUE INSTL GSSIX Non-NTF Small Company 1.1 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS SMALL/ MID CAP GROWTH CL R GTMRX Non-NTF Growth 1.75 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS SMALL/ MID CAP GRTH CL C GSMGX Non-NTF Growth 2.25 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS SMALL/ MID CAP GRWTH CL A GSMAX Non-NTF Growth 1.5 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRAT GROWTH CLASS C GGRCX Non-NTF Growth 2.03 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRATE INTL EQ C GSCKX Non-NTF Growth 2.2 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRATE INTL EQ INSTL GSIKX Non-NTF Growth 1.05 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRATEGIC GROWTH GSTIX Non-NTF Growth 0.88 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRATEGIC GROWTH A GGRAX Non-NTF Growth 1.28 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRATEGIC INTL EQ A GSAKX Non-NTF Growth 1.45 5.50 3 BondGoldman Sachs Funds GOLDMAN SACHS STRCTD INTL EQTY FL FD CL I GIFLX Non-NTF Growth 1.2 None 3 BondGoldman Sachs Funds GOLDMAN SACHS STRUCT EMERGING MRKTS EQ A GERAX Non-NTF Growth 1.45 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT EMRG MKTS EQ INSTL GERIX Non-NTF Growth 1.05 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT INTL EQTY FLX CL C GCFLX Non-NTF Growth 2.35 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT INTL EQUITY CLASS A GCIAX Non-NTF Foreign Stock 1.25 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT INTL EQUITY CLASS C GCICX Non-NTF Foreign Stock 2 1.00 3 BondGoldman Sachs Funds GOLDMAN SACHS STRUCT INTL EQUITY FD INSTL GCIIX Non-NTF Foreign Stock 0.85 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT INTL SMALL CAP CL A GICAX Non-NTF Growth 1.3 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT INTL TAX MNGD EQ GHTMX Non-NTF Foreign Stock 0.86 None 3 BondGoldman Sachs Funds GOLDMAN SACHS STRUCT INTL TAX MNGD EQ A GATMX Non-NTF Foreign Stock 1.26 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT INTNL SM CAP INSTL GICIX Non-NTF Growth 0.9 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT LARGE CAP GROWTH A GLCGX Non-NTF Growth 0.95 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT LARGE CAP GROWTH C GLCCX Non-NTF Growth 1.7 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT LARGE CAP VALUE CL A GCVAX Non-NTF Growth 0.95 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT LARGE CAP VALUE CL C GCVCX Non-NTF Growth 1.7 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT LG CAP GRWTH INSTL GCGIX Non-NTF Growth 0.55 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT SM CAP GRWTH CL A GSAOX Non-NTF Growth 1.25 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT SM CAP VAL INSTL GSITX Non-NTF Growth 0.85 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT SMALL CAP EQUITY A GCSAX Non-NTF Small Company 1.25 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT SMALL CAP EQUITY C GCSCX Non-NTF Small Company 2 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT SMALL CAP GRWTH C GSCOX Non-NTF Growth 2 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT SMALL CAP GRWTH CL R GSROX Non-NTF Growth 1.5 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT SMALL CAP GRWTH INST GSIOX Non-NTF Growth 0.85 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT SMALL CAP VAL C GSCTX Non-NTF Growth 2 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT SMALL CAP VALUE CL A GSATX Non-NTF Growth 1.25 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT TAX MANGD EQ INSTL GCTIX Non-NTF Growth 0.69 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT TAX-MANAGED EQUITY A GCTAX Non-NTF Growth 1.09 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT TAX-MANAGED EQUITY C GCTCX Non-NTF Growth 1.84 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT US EQUITY CLASS A GSSQX Non-NTF Growth and Income 0.95 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT US EQUITY CLASS C GSUSX Non-NTF Growth and Income 1.7 1.00 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCT US EQUITY INSTL GSELX Non-NTF Growth and Income 0.55 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS STRUCTED LG CAP INST GCVIX Non-NTF Growth 0.55 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS TOLLKEEPER CLASS A GITAX Non-NTF Specialty - Technology 1.5 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS TOLLKEEPER CLASS C GITCX Non-NTF Specialty - Technology 2.25 1.00 3 Equity

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Security Class

Goldman Sachs Funds GOLDMAN SACHS TOLLKEEPER INSTL GITIX Non-NTF Specialty - Technology 1.1 None 3 BondGoldman Sachs Funds GOLDMAN SACHS TRUST GROWTH STRAT INSTL GGSIX Non-NTF Growth 0.19 None 3 BondGoldman Sachs Funds GOLDMAN SACHS ULTRA SH DURATN GOVT INST GSARX Non-NTF Government Bond - ARM 0.49 None 3 EquityGoldman Sachs Funds GOLDMAN SACHS ULTRA SHRT DURATN GOV'T-A GSAMX Non-NTF Government Bond - ARM 0.83 1.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS US EQUITY DIV PREM C GSPQX Non-NTF Equity-Income 1.99 1.00 3 BondGoldman Sachs Funds GOLDMAN SACHS US EQUITY DIV PREM CL A GSPAX Non-NTF Equity-Income 1.24 5.50 3 EquityGoldman Sachs Funds GOLDMAN SACHS US MORTGAGE FUND INSTL GSUIX Non-NTF Government Bond - Mortgage 0.4 None 3 EquityGoldman Sachs Funds GS ILA TAX EXEMPT DIVERSIFIED PORT ITEXX Non-NTF None 0 EquityGreenwich Funds GREENWICH ADVISORS INDIA SELECT CL A GINAX Non-NTF Growth 2.35 5.75 1 EquityGreenwich Funds GREENWICH ADVISORS INDIA SELECT CL C GINCX Non-NTF Growth 2.85 1.00 1 EquityGrubb and Ellis Funds GRUBB & ELLIS AGA INTERNATL REALTY A GBEWX Non-NTF Specialty - Real Estate 2 5.00 3 EquityGrubb and Ellis Funds GRUBB & ELLIS AGA REALTY INCOME CL A GBEIX Non-NTF Specialty - Real Estate 1.48 5.00 3 EquityGrubb and Ellis Funds GRUBB & ELLIS AGA U.S. REALTY FD CL A GBEUX Non-NTF Specialty - Real Estate 2 5.00 3 EquityGuidestone Funds GUIDESTONE AGGRESSIV ALLOC CLASS I GS2 GGBYX Non-NTF Growth 0.15 None 1 EquityGuidestone Funds GUIDESTONE BALANCED ALLOC CLASS I GS2 GGIYX Non-NTF Balanced 0.14 None 1 EquityGuidestone Funds GUIDESTONE CONSERV ALLOC CLASS I GS2 GFIYX Non-NTF Growth and Income 0.15 None 1 EquityGuidestone Funds GUIDESTONE EQUITY INDEX FUND GS2 GEQYX Non-NTF Balanced 0.21 None 1 BondGuidestone Funds GUIDESTONE EQUITY INDEX FUND GS4 GEQZX Non-NTF Balanced 0.37 None 1 EquityGuidestone Funds GUIDESTONE EXTENDED- DURATION BOND GS2 GEDYX Non-NTF Income 0.52 None 1 EquityGuidestone Funds GUIDESTONE GROWTH ALLOC CLASS IGS2 GCOYX Non-NTF Growth and Income 0.15 None 1 EquityGuidestone Funds GUIDESTONE GROWTH EQUITY FUND GS2 GGEYX Non-NTF Growth 0.86 None 1 EquityGuidestone Funds GUIDESTONE INTERNAT' L EQUITY FUND GS2 GIEYX Non-NTF Foreign Stock 0.93 None 1 EquityGuidestone Funds GUIDESTONE LOW - DURATION BOND GS2 GLDYX Non-NTF Income 0.36 None 1 EquityGuidestone Funds GUIDESTONE MEDIUM DURATION FUND GS2 GMDYX Non-NTF Balanced 0.47 None 1 EquityGuidestone Funds GUIDESTONE SMALL CAP FUND GS2 GSCYX Non-NTF Small Company 1.02 None 1 EquityGuidestone Funds GUIDESTONE VALUE EQUITY FUND GS2 GVEYX Non-NTF Balanced 0.65 None 1 EquityHancock Horizon Funds HANCOCK HORIZON BURKENROAD FUND CL A HHBUX Non-NTF Small Company 1.4 5.25 3 EquityHancock Horizon Funds HANCOCK HORIZON BURKENROAD FUND CL D HYBUX Non-NTF Small Company 1.65 1.00 1 EquityHancock Horizon Funds HANCOCK HORIZON DIVERSIFIED INTNTL A HHDAX Non-NTF Foreign Stock 1.75 5.25 3 EquityHancock Horizon Funds HANCOCK HORIZON GROWTH CLASS A HHRAX Non-NTF Growth 1.32 5.25 3 EquityHancock Horizon Funds HANCOCK HORIZON GROWTH CLASS C HHRCX Non-NTF Growth 2.08 1.00 3 EquityHancock Horizon Funds HANCOCK HORIZON QUANT LONG/SHORT A HHQAX Non-NTF Growth 1.95 5.25 1 BondHancock Horizon Funds HANCOCK HORIZON QUAT LONG/SHORT CL C HHQCX Non-NTF Growth 2.67 1.00 1 BondHancock Horizon Funds HANCOCK HORIZON STRATEGIC INCOME A HHBAX Non-NTF Corporate Bond - General 1 4.00 3 EquityHancock Horizon Funds HANCOCK HORIZON STRATEGIC INCOME C HHBCX Non-NTF Corporate Bond - General 1.75 1.00 3 EquityHancock Horizon Funds HANCOCK HORIZON VALUE CL A HHGAX Non-NTF Growth and Income 1.29 5.25 3 EquityHancock Horizon Funds HANCOCK HORIZON VALUE CL C HHGCX Non-NTF Growth and Income 2.04 1.00 3 EquityHansberger Funds HANSBERGER INTL GROWTH - INSTL HITGX Non-NTF Growth and Income 0.88 None 1 EquityHansberger Funds HANSBERGER INTNATL CORE - INSTL HICFX Non-NTF Growth 1.1 None 1 BondHansberger Funds HANSBERGER INTNATL VALUE - INSTL HINTX Non-NTF Growth 0.97 None 1 BondHarbor Funds HARBOR BOND ADMINISTRATIVE CL HRBDX Non-NTF Corporate Bond - General 0.82 None 1 EquityHarbor Funds HARBOR BOND INST HABDX Non-NTF Corporate Bond - General 0.57 None 1 EquityHarbor Funds HARBOR CAPITAL APPRECIAT INSTL HACAX Non-NTF Growth 0.69 None 1 EquityHarbor Funds HARBOR CAPITAL APPRECIATION ADM CL HRCAX Non-NTF Growth 0.94 None 1 BondHarbor Funds HARBOR COMMOD REAL RT STRATEGY ADM HCMRX Non-NTF Growth 1.19 None 1 EquityHarbor Funds HARBOR COMMODITY RET STRATEGY FD INSTL CL HACMX Non-NTF Growth 0.94 None 1 EquityHarbor Funds HARBOR GLOBAL GROWTH INSTITUTIONAL CL HGGAX Non-NTF Growth 1 None 1 EquityHarbor Funds HARBOR GLOBAL VALUE ADM CL HRGVX Non-NTF Multi-Asset Global 1.25 None 1 BondHarbor Funds HARBOR GLOBAL VALUE FUND INSTITUTIONAL HAGVX Non-NTF Multi-Asset Global 1 None 1 BondHarbor Funds HARBOR HIGH YIELD BD ADM CLASS HYFRX Non-NTF Corporate Bond - High Yield 1 None 1 EquityHarbor Funds HARBOR HIGH YIELD BD INST. HYFAX Non-NTF Corporate Bond - High Yield 0.75 None 1 EquityHarbor Funds HARBOR INTERNATIONAL ADMISTRATIVE CL HRINX Non-NTF Foreign Stock 1.09 None 1 EquityHarbor Funds HARBOR INTERNATIONAL GROWTH ADM CL HRIGX Non-NTF Foreign Stock 1.16 None 1 EquityHarbor Funds HARBOR INTERNATIONAL GROWTH INSTITUTIONAL HAIGX Non-NTF Foreign Stock 0.91 None 1 EquityHarbor Funds HARBOR INTERNATIONAL INSTITUTIONAL FD HAINX Non-NTF Foreign Stock 0.83 None 1 EquityHarbor Funds HARBOR LARGE CAP VALUE ADM CL SHARE HRLVX Non-NTF Growth and Income 0.96 None 1 EquityHarbor Funds HARBOR LARGE CAP VALUE INSTL FD HAVLX Non-NTF Growth and Income 0.71 None 1 EquityHarbor Funds HARBOR MID CAP GROWTH ADM CL HRMGX Non-NTF Growth 1.15 None 1 EquityHarbor Funds HARBOR MID CAP GROWTH INSTL FD HAMGX Non-NTF Growth 0.9 None 1 Equity

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Security Class

Harbor Funds HARBOR MID CAP VALUE ADM CL HRMVX Non-NTF Growth 1.23 None 1 BondHarbor Funds HARBOR MID CAP VALUE INSTITL FD HAMVX Non-NTF Growth 0.98 None 1 BondHarbor Funds HARBOR REAL RETURN FD ADM CLASS HRRRX Non-NTF Growth and Income 0.86 None 1 EquityHarbor Funds HARBOR REAL RETURN FD INSTL CLASS SHS HARRX Non-NTF Growth and Income 0.6 None 1 BondHarbor Funds HARBOR SHORT DURATION ADM CL HRSDX Non-NTF Corporate Bond - High Quality 0.63 None 1 EquityHarbor Funds HARBOR SHORT DURATION INSTL FD HASDX Non-NTF Corporate Bond - High Quality 0.38 None 1 EquityHarbor Funds HARBOR SMALL CAP GROWTH ADM CL HRSGX Non-NTF Small Company 1.13 None 1 EquityHarbor Funds HARBOR SMALL CAP GROWTH INSTL FD HASGX Non-NTF Small Company 0.88 None 1 EquityHarbor Funds HARBOR SMALL CAP VALUE ADM CL HSVRX Non-NTF Small Company 1.12 None 1 EquityHarbor Funds HARBOR SMALL CAP VALUE INSTL FD HASCX Non-NTF Small Company 0.87 None 1 EquityHarding Funds HARDING LOEVNER GL EQUITY PORT INSTL HLMGX Non-NTF World Stock 1.25 None 1 EquityHarding Loevner Funds HARDING LOEVNER INTERNATL EQ INV CL HLMNX Non-NTF Foreign Stock 1.25 None 1 EquityHarding Loevner Funds HARDING LOEVNER INTL EQUITY PORT INSTL HLMIX Non-NTF Foreign Stock 1 None 1 EquityHarness Funds HARNESS ABOLSUTE RETURN INSTL HIARX Non-NTF Growth -999 None 1 EquityHartford Funds HARTFORD ADVISERS CLASS C HAFCX Non-NTF Asset Allocation 1.98 1.00 3 EquityHartford Funds HARTFORD ADVISORS CLASS A ITTAX Non-NTF Asset Allocation 1.15 5.50 3 EquityHartford Funds HARTFORD BALANCED ALLOC FD CL C HBACX Non-NTF Growth and Income 1.34 1.00 3 EquityHartford Funds HARTFORD BALANCED ALLOC FD CL I HBAIX Non-NTF Growth and Income 0.28 None 3 EquityHartford Funds HARTFORD BALANCED ALLOCATION CL R3 HBARX Non-NTF Growth and Income 0.96 None 3 EquityHartford Funds HARTFORD BALANCED ALLOCATION CL R5 HBATX Non-NTF Growth and Income 0.29 None 3 EquityHartford Funds HARTFORD BALANCED ALLOCATION FD CL A HBAAX Non-NTF Growth and Income 0.58 5.50 3 EquityHartford Funds HARTFORD BALANCED ALLOCATION R4 HBASX Non-NTF Growth and Income 0.59 None 3 EquityHartford Funds HARTFORD BALANCED INCOME FD CL A HBLAX Non-NTF Income 1.19 5.50 3 EquityHartford Funds HARTFORD BALANCED INCOME FD CL C HBLCX Non-NTF Income 1.94 1.00 3 EquityHartford Funds HARTFORD CAPITAL APP II FUND CLASS C HFCCX Non-NTF Growth 2.25 1.00 3 EquityHartford Funds HARTFORD CAPITAL APPRECIAT II FD CL I HCTIX Non-NTF Growth 1.16 None 3 EquityHartford Funds HARTFORD CAPITAL APPRECIATION CL A ITHAX Non-NTF Growth 1.22 5.50 3 EquityHartford Funds HARTFORD CAPITAL APPRECIATION CL C HCACX Non-NTF Growth 1.93 1.00 3 EquityHartford Funds HARTFORD CAPITAL APPRECIATION CL R5 ITHTX Non-NTF Growth 0.81 None 1 EquityHartford Funds HARTFORD CAPITAL APPRECIATION CL Y HCAYX Non-NTF Growth 0.72 None 3 EquityHartford Funds HARTFORD CAPITAL APPRECIATION FD CL I ITHIX Non-NTF Growth 0.89 None 3 EquityHartford Funds HARTFORD CAPITAL APPRECIATION HLS IA HIACX Non-NTF Growth 0.67 None 1 EquityHartford Funds HARTFORD CAPITAL APPRECIATION II CL A HCTAX Non-NTF Growth 1.54 5.50 3 EquityHartford Funds HARTFORD CAPITAL APPRECIATION R3 ITHRX Non-NTF Growth 1.46 None 1 EquityHartford Funds HARTFORD CAPITAL APPRECIATION R4 ITHSX Non-NTF Growth 1.12 None 1 EquityHartford Funds HARTFORD CHECKS AND BALANCED FUND CL A HCKAX Non-NTF Growth and Income 0.46 5.50 3 EquityHartford Funds HARTFORD CHECKS AND BALANCED FUND CL C HCKCX Non-NTF Growth and Income 1.22 1.00 3 EquityHartford Funds HARTFORD CHECKS AND BALANCES FUND CL I HCKIX Non-NTF Growth and Income 0.2 None 3 BondHartford Funds HARTFORD CONSERV ALLOC FD CL C HCVCX Non-NTF Income 1.38 1.00 3 BondHartford Funds HARTFORD CONSERV ALLOCATION CL R3 HCVRX Non-NTF Income 1.02 None 3 EquityHartford Funds HARTFORD CONSERV ALLOCATION CL R4 HCVSX Non-NTF Income 0.66 None 3 EquityHartford Funds HARTFORD CONSERV ALLOCATION FD CL A HCVAX Non-NTF Income 0.62 5.50 3 EquityHartford Funds HARTFORD CONSERVATVE ALLOCATION FD CL I HCVIX Non-NTF Income 0.36 None 3 EquityHartford Funds HARTFORD DISCIPLINED EQUITY CL A HAIAX Non-NTF Growth 1.17 5.50 3 EquityHartford Funds HARTFORD DISCIPLINED EQUITY CL C HGICX Non-NTF Growth 2.03 1.00 3 EquityHartford Funds HARTFORD DISCIPLINED EQUITY FD CL R3 HGIRX Non-NTF Growth 1.38 None 3 EquityHartford Funds HARTFORD DISCIPLINED EQUITY FD CL R4 HGISX Non-NTF Growth 1.29 None 3 EquityHartford Funds HARTFORD DISCIPLINED EQUITY FD CL R5 HGITX Non-NTF Growth 0.95 None 3 EquityHartford Funds HARTFORD DIV AND GROWTH FD CL Y HDGYX Non-NTF Equity-Income 0.69 None 3 EquityHartford Funds HARTFORD DIVERSIFIED INTERNATIONAL CL A HDVAX Non-NTF Growth 1.65 5.50 3 EquityHartford Funds HARTFORD DIVERSIFIED INTERNATIONAL FUND C HDVCX Non-NTF Growth 2.4 1.00 3 EquityHartford Funds HARTFORD DIVIDEND & GROWTH CLASS A IHGIX Non-NTF Equity-Income 1.17 5.50 3 EquityHartford Funds HARTFORD DIVIDEND & GROWTH CLASS C HDGCX Non-NTF Equity-Income 1.92 1.00 3 EquityHartford Funds HARTFORD DIVIDEND & GROWTH FD CL R3 HDGRX Non-NTF Equity-Income 1.47 None 3 EquityHartford Funds HARTFORD DIVIDEND & GROWTH FD CL R4 HDGSX Non-NTF Equity-Income 1.09 None 3 EquityHartford Funds HARTFORD DIVIDEND & GROWTH FD CL R5 HDGTX Non-NTF Equity-Income 0.8 None 3 EquityHartford Funds HARTFORD EQUITY GROWTH ALLOCATION R3 HAARX Non-NTF Aggressive Growth 0.96 None 3 EquityHartford Funds HARTFORD EQUITY GROWTH ALLOCATION R4 HAASX Non-NTF Aggressive Growth 0.65 None 3 EquityHartford Funds HARTFORD EQUITY GROWTH ALLOCATION R5 HAATX Non-NTF Aggressive Growth 0.34 None 3 Equity

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Security Class

Hartford Funds HARTFORD EQUITY GROWTH CL A HAAAX Non-NTF Aggressive Growth 0.72 5.50 3 EquityHartford Funds HARTFORD EQUITY GROWTH CL C HAACX Non-NTF Aggressive Growth 1.47 1.00 3 EquityHartford Funds HARTFORD EQUITY GROWTH CL I HAAIX Non-NTF Aggressive Growth 0.28 None 3 EquityHartford Funds HARTFORD EQUITY INC FD CL R4 HQISX Non-NTF Equity-Income 1.21 None 3 EquityHartford Funds HARTFORD EQUITY INC FUND CL C HQICX Non-NTF Equity-Income 1.98 1.00 3 EquityHartford Funds HARTFORD EQUITY INCOME CL A HQIAX Non-NTF Equity-Income 1.25 5.50 3 EquityHartford Funds HARTFORD EQUITY INCOME FD CL R3 HQIRX Non-NTF Equity-Income 1.6 None 3 BondHartford Funds HARTFORD EQUITY INCOME FD CL R5 HQITX Non-NTF Equity-Income 0.89 None 3 BondHartford Funds HARTFORD FLOATING RATE CL C HFLCX Non-NTF Income 1.75 1.00 3 BondHartford Funds HARTFORD FLOATING RATE FD CL R3 HFLRX Non-NTF Income 1.25 None 3 BondHartford Funds HARTFORD FLOATING RATE FD CL R5 HFLTX Non-NTF Income 0.85 None 3 BondHartford Funds HARTFORD FLOATING RATE FD R4 HFLSX Non-NTF Income 1 None 3 EquityHartford Funds HARTFORD FLOATING RATE FUND CLASS A HFLAX Non-NTF Income 1 3.00 3 EquityHartford Funds HARTFORD FUNDAMENTAL GROWTH CLASS A HFFAX Non-NTF Asset Allocation 1.4 5.50 3 EquityHartford Funds HARTFORD FUNDAMENTAL GROWTH CLASS C HFFCX Non-NTF Asset Allocation 2.17 1.00 3 EquityHartford Funds HARTFORD GLBAL HEALTH FD CL R5 HGHTX Non-NTF Specialty - Health 1.11 None 3 EquityHartford Funds HARTFORD GLOBAL GROWTH CL A HALAX Non-NTF World Stock 1.13 5.50 3 EquityHartford Funds HARTFORD GLOBAL GROWTH CL C HGLCX Non-NTF World Stock 2.01 1.00 3 EquityHartford Funds HARTFORD GLOBAL GROWTH CL R3 HALRX Non-NTF World Stock 1.73 None 3 EquityHartford Funds HARTFORD GLOBAL GROWTH CL R4 HALSX Non-NTF World Stock 1.37 None 3 EquityHartford Funds HARTFORD GLOBAL GROWTH CL R5 HALTX Non-NTF World Stock 1.05 None 3 EquityHartford Funds HARTFORD GLOBAL HEALTH CL A HGHAX Non-NTF Specialty - Health 1.55 5.50 3 EquityHartford Funds HARTFORD GLOBAL HEALTH CL C HGHCX Non-NTF Specialty - Health 2.28 1.00 3 EquityHartford Funds HARTFORD GLOBAL HEALTH FD CL R3 HGHRX Non-NTF Specialty - Health 1.79 None 3 EquityHartford Funds HARTFORD GLOBAL HEALTH R4 HGHSX Non-NTF Specialty - Health 1.4 None 3 EquityHartford Funds HARTFORD GLOBAL RESEARCH FD CL A HLEAX Non-NTF Equity-Income 1.59 5.50 3 EquityHartford Funds HARTFORD GLOBAL RESEARCH FD CL C HLECX Non-NTF Equity-Income 2.39 1.00 3 EquityHartford Funds HARTFORD GROWTH ALLOC FD CL C HRACX Non-NTF Growth 1.43 1.00 3 EquityHartford Funds HARTFORD GROWTH ALLOCATION FD CL A HRAAX Non-NTF Growth 0.68 5.50 3 EquityHartford Funds HARTFORD GROWTH ALLOCATION FD CL R3 HRARX Non-NTF Growth 1 None 3 EquityHartford Funds HARTFORD GROWTH ALLOCATION FD CL R4 HGOSX Non-NTF Growth 1.21 None 3 EquityHartford Funds HARTFORD GROWTH ALLOCATION FD CL R5 HRATX Non-NTF Growth 0.31 None 3 EquityHartford Funds HARTFORD GROWTH ALLOCATION FD R4 HRASX Non-NTF Growth 0.61 None 3 EquityHartford Funds HARTFORD GROWTH CLASS A HGWAX Non-NTF Growth 1.24 5.50 3 EquityHartford Funds HARTFORD GROWTH CLASS C HGWCX Non-NTF Growth 2.05 1.00 3 EquityHartford Funds HARTFORD GROWTH CLASS L FECLX Non-NTF Growth 1.07 4.75 3 EquityHartford Funds HARTFORD GROWTH FD CL R3 HGWRX Non-NTF Growth 1.55 None 3 EquityHartford Funds HARTFORD GROWTH FD CL R4 HGWSX Non-NTF Growth 1.23 None 3 EquityHartford Funds HARTFORD GROWTH FD CL R5 HGWUX Non-NTF Growth 0.95 None 3 EquityHartford Funds HARTFORD GROWTH FUND CL I HGWJX Non-NTF Growth 0.94 None 3 BondHartford Funds HARTFORD GROWTH FUND CLASS Y HGWYX Non-NTF Growth 0.84 None 3 EquityHartford Funds HARTFORD GROWTH OPPORT FD CL I HGOIX Non-NTF Growth 0.99 None 3 EquityHartford Funds HARTFORD GROWTH OPPORTUNITIES CL L FGRWX Non-NTF Growth 1.04 4.75 3 EquityHartford Funds HARTFORD GROWTH OPPORTUNITIES HLS IA HAGOX Non-NTF Growth 0.64 None 1 EquityHartford Funds HARTFORD GROWTH OPPORTUNITIES HLS IB HBGOX Non-NTF Growth 0.89 None 1 EquityHartford Funds HARTFORD GROWTH OPPORTUNITY CLASS A HGOAX Non-NTF Growth 1.24 5.50 3 EquityHartford Funds HARTFORD GROWTH OPPORTUNITY CLASS C HGOCX Non-NTF Growth 2.04 1.00 3 EquityHartford Funds HARTFORD GROWTH OPPT FD CL R3 HGORX Non-NTF Growth 1.55 None 3 EquityHartford Funds HARTFORD GROWTH OPPT FD CL R5 HGOTX Non-NTF Growth 0.92 None 3 BondHartford Funds HARTFORD GROWTH OPPT FUND CL Y HGOYX Non-NTF Growth 0.8 None 3 BondHartford Funds HARTFORD HIGH YIELD CL A HAHAX Non-NTF Corporate Bond - High Yield 1.15 4.50 3 BondHartford Funds HARTFORD HIGH YIELD CL C HAHCX Non-NTF Corporate Bond - High Yield 1.9 1.00 3 BondHartford Funds HARTFORD HIGH YIELD FD CL R3 HAHRX Non-NTF Corporate Bond - High Yield 1.4 None 3 BondHartford Funds HARTFORD HIGH YIELD FD CL R4 HAHSX Non-NTF Corporate Bond - High Yield 1.1 None 3 EquityHartford Funds HARTFORD HIGH YIELD FD CL R5 HAHTX Non-NTF Corporate Bond - High Yield 0.89 None 3 EquityHartford Funds HARTFORD HIGH YIELD FUND CL I HAHIX Non-NTF Corporate Bond - High Yield 0.86 None 3 EquityHartford Funds HARTFORD HIGH YIELD MUNI BD INCOME C HHMCX Non-NTF Municipal Bond - National 1.62 1.00 3 EquityHartford Funds HARTFORD HIGH YIELD MUNI BOND INCOME I HHMIX Non-NTF Municipal Bond - National 0.62 None 3 BondHartford Funds HARTFORD HIGH YIELD MUNICIPAL BOND CL A HHMAX Non-NTF Municipal Bond - National 0.85 4.50 3 Bond

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Settlement Days

Security Class

Hartford Funds HARTFORD INCOME CLASS A HTIAX Non-NTF Income 0.95 4.50 3 BondHartford Funds HARTFORD INCOME CLASS C HTICX Non-NTF Income 1.7 1.00 3 BondHartford Funds HARTFORD INFLATION F D CL R5 HIPTX Non-NTF Income 0.76 None 3 EquityHartford Funds HARTFORD INFLATION PLUS CL C HIPCX Non-NTF Income 1.6 1.00 3 BondHartford Funds HARTFORD INFLATION PLUS CL R4 HIPSX Non-NTF Income 1 None 3 EquityHartford Funds HARTFORD INFLATION PLUS CLASS A HIPAX Non-NTF Income 0.85 4.50 3 BondHartford Funds HARTFORD INFLATION PLUS FD CL I HIPIX Non-NTF Income 0.6 None 3 BondHartford Funds HARTFORD INFLATION PLUS FD CL L HIPLX Non-NTF Income -999 4.50 3 EquityHartford Funds HARTFORD INFLATION PLUS FD CL R3 HIPRX Non-NTF Income 1.25 None 3 EquityHartford Funds HARTFORD INFLATION PLUS FUND CLASS Y HIPYX Non-NTF Income 0.59 None 3 EquityHartford Funds HARTFORD INTERNAT'L GROWTH CL A HNCAX Non-NTF Foreign Stock 1.39 5.50 3 EquityHartford Funds HARTFORD INTERNAT'L GROWTH CL C HNCCX Non-NTF Foreign Stock 2.17 1.00 3 EquityHartford Funds HARTFORD INTERNATL GROWTH HLS CL IA HNCIX Non-NTF Foreign Stock 0.84 None 1 EquityHartford Funds HARTFORD INTERNATL OPPORT FD CL Y HAOYX Non-NTF Foreign Stock 0.96 None 3 EquityHartford Funds HARTFORD INTERNATL OPPORTUNITIES CL A IHOAX Non-NTF Foreign Stock 1.42 5.50 3 EquityHartford Funds HARTFORD INTERNATL OPPORTUNITIES CL C HIOCX Non-NTF Foreign Stock 2.23 1.00 3 EquityHartford Funds HARTFORD INTERNAT'L SMALL CO CLASS A HNSAX Non-NTF Foreign Stock 1.39 5.50 3 EquityHartford Funds HARTFORD INTERNAT'L SMALL CO FUND CL I HNSJX Non-NTF Foreign Stock 1.09 None 3 EquityHartford Funds HARTFORD INTERNATL SMALL COM CL C HNSCX Non-NTF Foreign Stock 2.14 1.00 3 EquityHartford Funds HARTFORD INTL CAP APPR FD CL R4 IHOSX Non-NTF Foreign Stock 1.38 None 3 EquityHartford Funds HARTFORD INTL GROWTH CL I HNCJX Non-NTF Foreign Stock 0.95 None 3 EquityHartford Funds HARTFORD INTL GROWTH CL R3 HNCRX Non-NTF Foreign Stock 1.85 None 3 EquityHartford Funds HARTFORD INTL GROWTH CL R4 HNCSX Non-NTF Foreign Stock 1.4 None 3 EquityHartford Funds HARTFORD INTL GROWTH CL R5 HNCTX Non-NTF Foreign Stock 1.25 None 3 EquityHartford Funds HARTFORD INTL GROWTH CL Y HNCYX Non-NTF Foreign Stock 0.96 None 3 EquityHartford Funds HARTFORD INTL OPPT F D CL R3 IHORX Non-NTF Foreign Stock 1.82 None 3 EquityHartford Funds HARTFORD INTL OPPT FD CL R5 IHOTX Non-NTF Foreign Stock 1.09 None 3 EquityHartford Funds HARTFORD MID CAP CLASS A HFMCX Non-NTF Growth 1.36 5.50 3 EquityHartford Funds HARTFORD MID CAP FD CLASS I HFMIX Non-NTF Growth 1.03 None 3 EquityHartford Funds HARTFORD MID CAP FUND CL Y HMDYX Non-NTF Growth 0.81 None 3 EquityHartford Funds HARTFORD MID CAP VALUE CLASS A HMVAX Non-NTF Growth 1.21 5.50 3 EquityHartford Funds HARTFORD MID CAP VALUE CLASS C HMVCX Non-NTF Growth 2.02 1.00 3 EquityHartford Funds HARTFORD MIDCAP CLASS C HMDCX Non-NTF Growth 2.01 1.00 3 EquityHartford Funds HARTFORD MIDCAP FUND CL R3 HFMRX Non-NTF Growth 1.5 None 3 EquityHartford Funds HARTFORD MIDCAP FUND CL R4 HFMSX Non-NTF Growth 1.18 None 3 EquityHartford Funds HARTFORD MIDCAP FUND CL R5 HFMTX Non-NTF Growth 0.88 None 3 EquityHartford Funds HARTFORD MIDCAP HLS FUND CL IB HBMCX Non-NTF Growth 0.94 None 1 EquityHartford Funds HARTFORD MIDCAP VALUE CLASS B HMVBX Non-NTF Growth 1.78 5.00 3 EquityHartford Funds HARTFORD MIDCAP VALUE FUND CL Y HMVYX Non-NTF Growth 0.9 None 3 EquityHartford Funds HARTFORD SELECT SML CAP VAL FD CL A HTVAX Non-NTF Growth 1.5 5.50 3 BondHartford Funds HARTFORD SELECT SML CAP VALUE FD CL C HTVCX Non-NTF Growth 2.12 1.00 3 BondHartford Funds HARTFORD SHORT DURATION CLASS A HSDAX Non-NTF Income 0.9 2.00 3 EquityHartford Funds HARTFORD SHORT DURATION CLASS C HSDCX Non-NTF Income 1.65 1.00 3 EquityHartford Funds HARTFORD SM/MID CAP EQ & PORT MANAGER A HSMAX Non-NTF Growth 1.21 5.50 3 EquityHartford Funds HARTFORD SM/MID CAP EQ & PORT MANAGER C HTSCX Non-NTF Growth 1.88 1.00 3 EquityHartford Funds HARTFORD SMALL CAP GROWTH CLASS A HSLAX Non-NTF Small Company 1.07 5.50 3 EquityHartford Funds HARTFORD SMALL CAP GROWTH CLASS C HSLCX Non-NTF Small Company 1.87 1.00 3 EquityHartford Funds HARTFORD SMALL CAP GROWTH CLASS L FACAX Non-NTF Small Company 1.25 4.75 3 EquityHartford Funds HARTFORD SMALL CAP GROWTH CLASS Y HSLYX Non-NTF Small Company 1.02 None 3 EquityHartford Funds HARTFORD SMALL CAP GROWTH FD CL R5 HSLTX Non-NTF Small Company 1.05 None 3 EquityHartford Funds HARTFORD SMALL CAP GROWTH HLS FD CL IA HISCX Non-NTF Small Company 0.64 None 3 EquityHartford Funds HARTFORD SMALL CAP GRWTH CL I HSLIX Non-NTF Small Company 1.08 None 3 EquityHartford Funds HARTFORD SMALL COMPANY CL I IHSIX Non-NTF Small Company 1.11 None 3 EquityHartford Funds HARTFORD SMALL COMPANY CLASS A IHSAX Non-NTF Small Company 1.32 5.50 3 EquityHartford Funds HARTFORD SMALL COMPANY CLASS C HSMCX Non-NTF Small Company 2.04 1.00 3 EquityHartford Funds HARTFORD SMALL COMPANY FD CL R3 IHSRX Non-NTF Small Company 1.65 None 3 EquityHartford Funds HARTFORD SMALL COMPANY FD CL R3 HSLRX Non-NTF Small Company 1.65 None 3 EquityHartford Funds HARTFORD SMALL COMPANY FD CL R4 HSLSX Non-NTF Small Company 1.35 None 3 EquityHartford Funds HARTFORD SMALL COMPANY FD CL R4 IHSSX Non-NTF Small Company 1.31 None 3 Equity

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Settlement Days

Security Class

Hartford Funds HARTFORD SMALL COMPANY FD CL R5 IHSUX Non-NTF Small Company 1.05 None 3 EquityHartford Funds HARTFORD SMALL COMPANY FUND CL Y HSCYX Non-NTF Small Company 0.91 None 3 EquityHartford Funds HARTFORD STRATEGIC INCOME FUND CL A HSNAX Non-NTF Growth and Income 1 4.50 3 EquityHartford Funds HARTFORD STRATEGIC INCOME FUND CL C HSNCX Non-NTF Growth and Income 1.74 1.00 3 EquityHartford Funds HARTFORD STRATEGIC INCOME FUND CL I HSNIX Non-NTF Growth and Income 0.75 None 3 EquityHartford Funds HARTFORD TARGET RET 2010 CL R4 HTTSX Non-NTF Growth and Income 0.09 None 3 EquityHartford Funds HARTFORD TARGET RET 2010 FD CL R3 HTTRX Non-NTF Growth and Income 0.39 None 3 EquityHartford Funds HARTFORD TARGET RET 2010 FD CL R5 HTTTX Non-NTF Growth and Income 0.04 None 3 EquityHartford Funds HARTFORD TARGET RET 2020 FD CL R3 HTWRX Non-NTF Growth and Income 0.4 None 3 EquityHartford Funds HARTFORD TARGET RET 2020 FD CL R4 HTWSX Non-NTF Growth and Income 0.1 None 3 EquityHartford Funds HARTFORD TARGET RET 2020 FD R5 HTWTX Non-NTF Growth and Income 0.05 None 3 EquityHartford Funds HARTFORD TARGET RET 2030 CL R3 HTHRX Non-NTF Growth and Income 0.39 None 3 EquityHartford Funds HARTFORD TARGET RETIREMENT 2010 CL A HTTAX Non-NTF Growth and Income 0.24 5.50 3 EquityHartford Funds HARTFORD TARGET RETIREMENT 2020 CL A HTWAX Non-NTF Growth and Income 0.25 5.50 3 EquityHartford Funds HARTFORD TARGET RETIREMENT 2030 FD A HTHAX Non-NTF Growth and Income 0.24 5.50 3 EquityHartford Funds HARTFORD TARGET RETIREMENT 2030 R4 HTHSX Non-NTF Growth and Income 0.09 None 3 BondHartford Funds HARTFORD TARGET RETIREMENT 2030 R5 HTHTX Non-NTF Growth and Income 0.04 None 3 BondHartford Funds HARTFORD TAX FREE NATIONAL CL C HTNCX Non-NTF Municipal Bond - National 1.6 1.00 3 EquityHartford Funds HARTFORD TAX FREE NATIONAL CL L FTNAX Non-NTF Municipal Bond - National 0.8 4.50 3 BondHartford Funds HARTFORD TAX FREE NATIONAL CL Y HTNYX Non-NTF Municipal Bond - National 0.59 None 3 BondHartford Funds HARTFORD TAX FREE NATIONAL CLASS A HTNAX Non-NTF Municipal Bond - National 0.85 4.50 3 BondHartford Funds HARTFORD TAX-FREE NATIONAL FUND CL I HTNIX Non-NTF Municipal Bond - National 0.6 None 3 BondHartford Funds HARTFORD TOTAL RETURN BD CL R3 ITBRX Non-NTF Corporate Bond - General 1.25 None 3 BondHartford Funds HARTFORD TOTAL RETURN BD FD CL I ITBIX Non-NTF Corporate Bond - General 0.75 None 3 BondHartford Funds HARTFORD TOTAL RETURN BD FD CL R4 ITBUX Non-NTF Corporate Bond - General 0.98 None 3 BondHartford Funds HARTFORD TOTAL RETURN BD FD CL R5 ITBTX Non-NTF Corporate Bond - General 0.69 None 3 BondHartford Funds HARTFORD TOTAL RETURN BOND CL A ITBAX Non-NTF Corporate Bond - General 1 4.50 3 EquityHartford Funds HARTFORD TOTAL RETURN BOND CL C HABCX Non-NTF Corporate Bond - General 1.75 1.00 3 EquityHartford Funds HARTFORD VALUE CL A HVFAX Non-NTF Asset Allocation 1.4 5.50 3 EquityHartford Funds HARTFORD VALUE CLASS C HVFCX Non-NTF Asset Allocation 2.14 1.00 3 EquityHartford Funds HARTFORD VALUE FD CL R3 HVFRX Non-NTF Asset Allocation 1.63 None 3 EquityHartford Funds HARTFORD VALUE FD CL R4 HVFSX Non-NTF Asset Allocation 1.29 None 3 EquityHartford Funds HARTFORD VALUE FD CL R5 HVFTX Non-NTF Asset Allocation 0.97 None 3 EquityHartford Funds HARTFORD VALUE FUND CL I HVFIX Non-NTF Asset Allocation 1 None 3 EquityHartford Funds HARTFORD VALUE OPP CL C HVOCX Non-NTF Growth 1.98 1.00 3 EquityHartford Funds HARTFORD VALUE OPP FD CL R5 HVOTX Non-NTF Growth 1 None 3 EquityHartford Funds HARTFORD VALUE OPPORTUNITIES CL I HVOIX Non-NTF Growth 1.1 None 3 EquityHartford Funds HARTFORD VALUE OPPORTUNITIES CL L FVAAX Non-NTF Growth 1.2 4.75 3 EquityHartford Funds HARTFORD VALUE OPPORTUNITY CL A HVOAX Non-NTF Growth 1.2 5.50 3 EquityHartford Funds HARTFORD VALUE OPPT FD CL R3 HVORX Non-NTF Growth 1.6 None 3 EquityHartford Funds HARTFORD VALUE OPPT FD CL R4 HVOSX Non-NTF Growth 1.3 None 3 EquityHartford Funds THE HARTFORD BALANCED INCOME CL I HBLIX Non-NTF None 3 EquityHartford Funds THE HARTFORD DIV AND GROWTH FD CL I HDGIX Non-NTF Equity-Income 0.85 None 3 EquityHartford Funds THE HARTFORD EQUITY INCOME FD CL I HQIIX Non-NTF Equity-Income 0.96 None 3 BondHartford Funds THE HARTFORD EQUITY INCOME FD CL Y HQIYX Non-NTF Equity-Income 0.81 None 3 EquityHartford Funds THE HARTFORD FLOAT RATE FD CL I HFLIX Non-NTF Income 0.74 None 3 EquityHartford Funds THE HARTFORD GLOBAL HEALTH FUND CL I HGHIX Non-NTF Specialty - Health 1.27 None 3 EquityHartford Funds THE HARTFORD GROWTH ALLOCATION FUND CL I HRAIX Non-NTF Growth 0.28 None 3 EquityHartford Funds THE HARTFORD INTL OPPT FD CLASS I IHOIX Non-NTF Foreign Stock 1.23 None 3 EquityHartford Funds THE HARTFORD SHORT DURATION FUND CL I HSDIX Non-NTF None 3 EquityHeartland Funds HEARTLAND SELECT VALUE FUND - INSTL HNSVX Non-NTF Growth 0.94 None 1 EquityHeartland Funds HEARTLAND VALUE FUND INSTL CL HNTVX Non-NTF Small Company 0.94 None 1 EquityHeartland Funds HEARTLAND VALUE PLUS INSTL CL HNVIX Non-NTF Equity-Income 0.99 None 1 EquityHenderson Funds HENDERSON EUROPEAN FOCUS CL C HFECX Non-NTF Asset Allocation 2.47 1.00 3 EquityHenderson Funds HENDERSON EUROPEAN FOCUS CLASS A HFEAX Non-NTF Asset Allocation 1.72 5.75 3 EquityHenderson Funds HENDERSON EUROPEAN FOCUS CLASS B HFEBX Non-NTF Asset Allocation 2.47 5.00 3 EquityHenderson Funds HENDERSON EUROPEAN FOCUS FUND CL W HFEWX Non-NTF Asset Allocation 1.6 None 3 EquityHenderson Funds HENDERSON GLOBAL EQTY INC FD CL A HFQAX Non-NTF Equity-Income 1.4 5.75 3 EquityHenderson Funds HENDERSON GLOBAL EQTY INC FD CL C HFQCX Non-NTF Equity-Income 2.15 1.00 3 Equity

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Sales Charge

Settlement Days

Security Class

Henderson Funds HENDERSON GLOBAL OPPPRTUNITIES CL C HFPCX Non-NTF Asset Allocation 2.7 1.00 3 EquityHenderson Funds HENDERSON GLOBAL OPPT FD CL A HFPAX Non-NTF Asset Allocation 1.95 5.75 3 EquityHenderson Funds HENDERSON GLOBAL TECHNOLOGY CLASS A HFGAX Non-NTF Specialty - Technology 1.81 5.75 3 EquityHenderson Funds HENDERSON GLOBAL TECHNOLOGY CLASS B HFGBX Non-NTF Specialty - Technology 2.56 5.00 3 EquityHenderson Funds HENDERSON GLOBAL TECHNOLOGY CLASS C HFGCX Non-NTF Specialty - Technology 2.56 1.00 3 EquityHenderson Funds HENDERSON INTERNAT'L OPPORTUNITIES CL C HFOCX Non-NTF Foreign Stock 2.36 1.00 3 EquityHenderson Funds HENDERSON INTERNAT'L OPPORTUNTIES CLASS A HFOAX Non-NTF Foreign Stock 1.61 5.75 3 EquityHenderson Funds HENDERSON INTERNATNL OPPORTUNITIES CL B HFOBX Non-NTF Foreign Stock 2.36 5.00 3 EquityHenderson Funds HENDERSON INTL EQUITY CL I HIEIX Non-NTF Growth 1.15 None 3 EquityHenderson Funds HENDERSON JAPAN ASIA FD CL A HFJAX Non-NTF Pacific Stock 1.97 5.75 3 BondHenderson Funds HENDERSON JAPAN ASIA FOCUS FD CL C HFJCX Non-NTF Pacific Stock 2.72 1.00 3 BondHenderson Funds HENDERSON WORLD WIDE BOND FUND CLASS A HFAAX Non-NTF Growth and Income 1.3 4.75 3 BondHenderson Funds HENDERSON WORLD WIDE BOND FUND CLASS B HFABX Non-NTF Growth and Income 2.05 5.00 3 EquityHenderson Funds HENDERSON WORLD WIDE BOND FUND CLASS C HFACX Non-NTF Growth and Income 2.05 1.00 3 EquityHennessy Funds HENNESSY CORNERSTONE GR FD SRS II INSTL HINLX Non-NTF Growth 0.98 None 1 EquityHennessy Funds HENNESSY CORNERSTONE GROWTH FUND INSTL HICGX Non-NTF Growth 0.98 None 1 EquityHennessy Funds HENNESSY CORNERSTONE LR GROWTH FD INSTL HILGX Non-NTF Growth 0.98 None 1 EquityHennessy Funds HENNESSY CORNERSTONE VALUE FUND - INSTL HICVX Non-NTF Equity-Income 0.98 None 1 EquityHennessy Funds HENNESSY FOCUS 30 FUND INSTL HIFTX Non-NTF Growth 0.98 None 1 EquityHennessy Funds HENNESSY SELECT LR VALUE FUND INSTL HSVIX Non-NTF Growth and Income 0.98 None 1 BondHGK Funds HGK EQUITY VALUE INV HGKEX Non-NTF Growth 1.5 None 3 BondHighland Funds HIGHLAND CAP FLOAT RATE ADVANTAGE CL A XSFRX Non-NTF Corporate Bond - General 1.87 3.50 3 BondHighland Funds HIGHLAND CAP FLOAT RATE ADVANTAGE CL C XLACX Non-NTF Corporate Bond - General 2.37 1.00 3 BondHighland Funds HIGHLAND CAP FLOAT RATE ADVANTAGE CL Z XLAZX Non-NTF Corporate Bond - General 1.52 None 3 BondHighland Funds HIGHLAND CAPITAL FLOATING RATE CL A XLFAX Non-NTF Corporate Bond - General 1.65 3.50 3 BondHighland Funds HIGHLAND CAPITAL FLOATING RATE CL C XLFCX Non-NTF Corporate Bond - General 2.15 1.00 3 EquityHighland Funds HIGHLAND CAPITAL FLOATING RATE CL Z XLFZX Non-NTF Corporate Bond - General 1.3 None 3 EquityHighland Funds HIGHLAND LONG/SHORT EQUITY CLASS A HEOAX Non-NTF Income 2.49 5.50 3 EquityHighMark Funds HIGHMARK 100% US TREAS MMKT FIDUC CL HMTXX Non-NTF None 0 EquityHighMark Funds HIGHMARK 100% US TREASURY MMKT CL S HUSXX Non-NTF None 0 EquityHighMark Funds HIGHMARK BALANCED CLASS A HMBRX Non-NTF Balanced 1.22 5.50 3 BondHighMark Funds HIGHMARK BALANCED CLASS C HMBCX Non-NTF Balanced 1.82 1.00 1 BondHighMark Funds HIGHMARK BOND FIDUCIARY HMBDX Non-NTF Corporate Bond - General 0.77 None 1 BondHighMark Funds HIGHMARK BOND FUND CLASS A HMRBX Non-NTF Corporate Bond - General 1.02 2.25 3 BondHighMark Funds HIGHMARK BOND FUND CLASS C HBDCX Non-NTF Corporate Bond - General 1.45 1.00 1 BondHighMark Funds HIGHMARK CA TAX FREE MMKT CL A HMAXX Non-NTF None 0 EquityHighMark Funds HIGHMARK CA TAX FREE MMKT FIDUCIARY CL HMCXX Non-NTF None 0 EquityHighMark Funds HIGHMARK CAPITAL GROWTH ALLOC CLASS C HMACX Non-NTF Growth 1.27 1.00 1 EquityHighMark Funds HIGHMARK CAPITAL GROWTH ALLOC FID FD HGAFX Non-NTF Growth 0.33 None 1 EquityHighMark Funds HIGHMARK CAPITAL GROWTH ALLOCATION A HMAAX Non-NTF Growth 0.58 5.50 1 EquityHighMark Funds HIGHMARK COGNITIVE VALUE CL C HCLCX Non-NTF Small Company 2.02 1.00 1 EquityHighMark Funds HIGHMARK COGNITIVE VALUE FD A HCLAX Non-NTF Small Company 1.4 5.50 1 EquityHighMark Funds HIGHMARK CORE EQUITY FIDUCIARY CLASS HMCFX Non-NTF Growth 0.92 None 1 EquityHighMark Funds HIGHMARK CORE EQUITY FUND CLASS C HCECX Non-NTF Growth 1.8 1.00 1 EquityHighMark Funds HIGHMARK CORE EQUITY RETAIL CL A HCEAX Non-NTF Growth 1.2 5.50 1 EquityHighMark Funds HIGHMARK DIVERSIFIED EQTY ALLOC FD CL C HEACX Non-NTF Growth 1.29 1.00 1 EquityHighMark Funds HIGHMARK DIVERSIFIED MMKT FIDUCIARY CL HMDXX Non-NTF None 0 EquityHighMark Funds HIGHMARK DIVERSIFIED MONEY MARKET CL S HDSXX Non-NTF None 0 EquityHighMark Funds HIGHMARK ENHANCED GROWTH FD C HEGCX Non-NTF Specialty - Technology 2 1.00 1 EquityHighMark Funds HIGHMARK ENHANCED GRWTH FD CL A HEHAX Non-NTF Specialty - Technology 1.4 5.50 3 EquityHighMark Funds HIGHMARK EQUITY FUND CL F NJPFX Non-NTF None 1 EquityHighMark Funds HIGHMARK EQUITY INCOME CLASS C NJPCX Non-NTF Income 1.87 1.00 1 EquityHighMark Funds HIGHMARK EQUITY INCOME FUND CL A NJPAX Non-NTF Income 1.16 5.50 1 EquityHighMark Funds HIGHMARK FUNDAMENTAL EQUITY CL A HMFAX Non-NTF Growth 1.22 5.50 1 EquityHighMark Funds HIGHMARK FUNDAMENTAL EQUITY CL C HMFCX Non-NTF Growth 1.82 1.00 1 EquityHighMark Funds HIGHMARK FUNDAMENTAL EQUITY CL F HMFFX Non-NTF Growth 0.82 None 1 EquityHighMark Funds HIGHMARK GENEVA MID CAP GRWTH A PNMAX Non-NTF Growth 1.7 5.50 1 EquityHighMark Funds HIGHMARK GENEVA MID CAP GRWTH CL C MGPCX Non-NTF Growth 2.42 1.00 1 EquityHighMark Funds HIGHMARK GENEVA MID CAP GRWTH CL F PNMFX Non-NTF Growth 1.13 None 1 Equity

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Security Class

HighMark Funds HIGHMARK GENEVA SMALL CAP GROWTH A HGASX Non-NTF Growth 1.62 5.50 1 EquityHighMark Funds HIGHMARK GENEVA SMALL CAP GROWTH F HGFSX Non-NTF Growth 1.37 None 1 EquityHighMark Funds HIGHMARK GOVERNMENT MONEY MARKET CL S HGSXX Non-NTF None 0 EquityHighMark Funds HIGHMARK GROWTH & INC ALLOCATION CL A HMRAX Non-NTF Growth and Income 0.58 5.50 1 EquityHighMark Funds HIGHMARK GROWTH & INCOME ALLOC CLASS C HMRCX Non-NTF Growth and Income 1.28 1.00 1 EquityHighMark Funds HIGHMARK GROWTH CLASS C HGRCX Non-NTF Growth 1.81 1.00 1 EquityHighMark Funds HIGHMARK GROWTH FIDUCIARY HMGRX Non-NTF Growth 0.93 None 1 EquityHighMark Funds HIGHMARK GROWTH FUND CLASS A HMRGX Non-NTF Growth 1.21 5.50 3 EquityHighMark Funds HIGHMARK INCOME PLUS ALLOCATION CL C HMPCX Non-NTF Income 1.3 1.00 1 BondHighMark Funds HIGHMARK INCOME PLUS ALLOCATION CLASS A HMPAX Non-NTF Income 0.6 4.50 1 EquityHighMark Funds HIGHMARK INTERMED CALIFORNIA TAXFREE C HCTCX Non-NTF Municipal Bond - Single State 1.22 1.00 1 EquityHighMark Funds HIGHMARK INTL OPP FD CL A HIOAX Non-NTF Foreign Stock 1.57 5.50 1 EquityHighMark Funds HIGHMARK INTL OPP FIDUCIARY CL SHS HIOFX Non-NTF Foreign Stock 1.39 None 1 EquityHighMark Funds HIGHMARK INTL OPPORTUNITIES FD C HITCX Non-NTF Foreign Stock 2.27 1.00 1 EquityHighMark Funds HIGHMARK LARGE CAP VALUE CL A HMERX Non-NTF Growth 1.2 5.50 3 EquityHighMark Funds HIGHMARK LARGE CAP VALUE CLASS C HIECX Non-NTF Growth 1.8 1.00 1 BondHighMark Funds HIGHMARK LARGE CAP VALUE FIDUCIARY HMIEX Non-NTF Growth 0.94 None 1 BondHighMark Funds HIGHMARK NATIONAL INTER TAXFREE BD A HMNFX Non-NTF Municipal Bond - National 0.69 2.25 1 BondHighMark Funds HIGHMARK NATIONAL INTER TAX-FREE BD C HNTCX Non-NTF Municipal Bond - National 0.97 1.00 1 EquityHighMark Funds HIGHMARK NATL INTER TAXFREE BD FIDUCIARY HMNTX Non-NTF Municipal Bond - National 0.44 None 1 EquityHighMark Funds HIGHMARK NYSE ARCA TECH 100 INDEX A PPTIX Non-NTF Specialty - Technology 1.27 5.50 1 EquityHighMark Funds HIGHMARK NYSE ARCA TECH 100 INDEX CL F PTSFX Non-NTF Specialty - Technology 0.83 None 1 BondHighMark Funds HIGHMARK NYSE ARCA TECH INDEX CL C PTICX Non-NTF Specialty - Technology 1.99 1.00 1 BondHighMark Funds HIGHMARK SHORT TERM BOND CLASS A HMSAX Non-NTF Corporate Bond - General 0.93 2.25 1 BondHighMark Funds HIGHMARK SHORT TERM BOND FIDUCIARY HMSFX Non-NTF Corporate Bond - General 0.66 None 3 EquityHighMark Funds HIGHMARK SHORT TERM BOND FUND CL C HMTCX Non-NTF Corporate Bond - General 1.38 1.00 3 EquityHighMark Funds HIGHMARK SMALL CAP ADVANTAGE FIDUCIARY HSAFX Non-NTF Small Company 1.27 None 1 EquityHighMark Funds HIGHMARK SMALL CAP ADVANTAGE FUND CL A HSAAX Non-NTF Small Company 1.57 5.50 1 EquityHighMark Funds HIGHMARK SMALL CAP ADVANTAGE FUND CL C HSCAX Non-NTF Small Company 2.17 1.00 1 EquityHighMark Funds HIGHMARK SMALL CAP FIDUCIARY HMSCX Non-NTF Small Company 1.25 None 1 EquityHighMark Funds HIGHMARK US GOV'T MMKT FIDUCIARY CL HMGXX Non-NTF None 0 EquityHighMark Funds HIGHMARK US GOV'T MMKT RETAIL CL A HMUXX Non-NTF None 0 EquityHighMark Funds HIGHMARK VALUE MOMENTUM CLASS A HMVLX Non-NTF Growth 1.21 5.50 1 EquityHighMark Funds HIGHMARK VALUE MOMENTUM CLASS C HVMCX Non-NTF Growth 1.81 1.00 1 BondHighMark Funds HIGHMARK VALUE MOMENTUM FIDUCIARY HMVMX Non-NTF Growth 0.96 None 1 BondHighMark Funds HIGHMARK WISCONSIN TAX EXEMPT CLASS A PWTEX Non-NTF Municipal Bond - Single State 0.95 2.25 1 BondHighMark Funds HIGHMARK WISCONSIN TAX EXEMPT CLASS C WTECX Non-NTF Municipal Bond - Single State 1.7 1.00 1 EquityHighMark Funds HIGHMARK WISCONSIN TAX-EXEMPT FUND CL F WTEFX Non-NTF None 1 EquityHignmark Funds HIGHMARK ENHANCED GRWTH FD FID SH HEGFX Non-NTF Specialty - Technology 1 None 1 EquityHillman Funds HILLMAN ADVANTAGE EQ FUND NO LOAD CL SH HCMTX Non-NTF Growth and Income 1.45 None 1 EquityHillman Funds HILLMAN ADVANTAGE EQUITY FD CL C HAECX Non-NTF Growth and Income 1.25 1.00 3 EquityHillman Funds HILLMAN FOCUSED ADVA FD CL A HCFAX Non-NTF Aggressive Growth 1.49 5.75 3 EquityHillman Funds HILLMAN FOCUSED ADVANTAGE HCMAX Non-NTF Aggressive Growth 1.45 None 1 EquityHillman Funds THE HILLMAN FOCUSED ADVANTAGE FD CL C HCFCX Non-NTF Aggressive Growth 2.2 1.00 3 EquityHomestead Funds HOMESTEAD INTL VALUE FUND HISIX Non-NTF Growth 0.98 None 1 EquityHomestead Funds HOMESTEAD SMALL COMPANY STOCK FD HSCSX Non-NTF Small Company 1.25 None 1 EquityHomestead Funds HOMESTEAD VALUE FD HOVLX Non-NTF Growth and Income 0.7 None 1 BondHotchkis & Wiley Funds HOTCHKIS & WILEY DIV VALUE CLASS C HWCCX Non-NTF Growth 1.73 1.00 3 EquityHotchkis & Wiley Funds HOTCHKIS & WILEY HIGH YIELD FUND CL A HWHAX Non-NTF Corporate Bond - High Yield 0.95 3.75 1 EquityHotchkis & Wiley Funds HOTCHKIS & WILEY LARGE CAP VALUE CL A HWLAX Non-NTF Equity-Income 1.3 5.25 3 EquityHotchkis & Wiley Funds HOTCHKIS & WILEY LARGE CAP VALUE CL C HWLCX Non-NTF Equity-Income 1.73 1.00 3 EquityHotchkis & Wiley Funds HOTCHKIS & WILEY LARGE CAP VALUE CL I HWLIX Non-NTF Equity-Income 1.05 None 3 EquityHotchkis & Wiley Funds HOTCHKIS & WILEY LARGE CAP VALUE CL R HWLRX Non-NTF Equity-Income 1.55 None 3 EquityHotchkis & Wiley Funds HOTCHKIS & WILEY MID CAP VALUE CL A HWMAX Non-NTF Growth 1.4 5.25 3 EquityHotchkis & Wiley Funds HOTCHKIS & WILEY MID CAP VALUE CL C HWMCX Non-NTF Growth 1.66 1.00 3 EquityHotchkis & Wiley Funds HOTCHKIS & WILEY MID CAP VALUE CL I HWMIX Non-NTF Growth 1.15 None 3 EquityHotchkis & Wiley Funds HOTCHKIS & WILEY MID CAP VALUE CLASS R HWMRX Non-NTF Growth 1.65 None 3 EquityHotchkis & Wiley Funds HOTCHKIS & WILEY SMALL CAP VALUE CL A HWSAX Non-NTF Small Company 1.37 5.25 3 EquityHotchkis & Wiley Funds HOTCHKIS & WILEY SMALL CAP VALUE CL C HWSCX Non-NTF Small Company 1.72 1.00 3 Equity

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Settlement Days

Security Class

Hotchkis & Wiley Funds HOTCHKIS & WILEY SMALL CAP VALUE CL I HWSIX Non-NTF Small Company 1.12 None 3 EquityHotchkis & Wiley Funds HOTCHKIS & WILEY VALUE OPP CLASS A HWAAX Non-NTF Growth 1.44 5.25 3 EquityHotchkis & Wiley Funds HOTCHKIS & WILEY VALUE OPP CLASS C HWACX Non-NTF Growth 1.86 1.00 3 EquityHotchkis & Wiley Funds HOTCHKIS AND WILEY DIV VALUE CLASS A HWCAX Non-NTF Growth 1.2 5.25 3 EquityHotchkis & Wiley Funds HOTCHKIS AND WILEY DIV VALUE CLASS I HWCIX Non-NTF Growth 0.95 None 3 BondHotchkis & Wiley Funds HOTCHKIS AND WILEY VALUE OPP CLASS I HWAIX Non-NTF Growth 1.19 None 3 EquityHotchkis & Wiley Funds HOTHKIS AND WILEY HIGH YIELD FUND CL I HWHIX Non-NTF Corporate Bond - High Yield 0.7 None 3 EquityHuntington Funds HUNTINGTON BALANCED ALLOCATION CL A HBAFX Non-NTF 4.75 3 EquityHuntington Funds HUNTINGTON CONSERVATIVE ALLOC A HCAFX Non-NTF 4.75 3 EquityHuntington Funds HUNTINGTON DIVIDEND CAPTURE CLASS A HDCAX Non-NTF Growth and Income 1.56 4.75 3 EquityHuntington Funds HUNTINGTON DIVIDEND CAPTURE CLASS B HDCBX Non-NTF Growth and Income 2.06 5.00 3 BondHuntington Funds HUNTINGTON DIVIDEND CAPTURE FD TRUST CL HDCTX Non-NTF Growth and Income 1.31 None 3 BondHuntington Funds HUNTINGTON FIXED INC SECS FUND CL A HFIIX Non-NTF Corporate Bond - High Quality 1.31 3.75 3 BondHuntington Funds HUNTINGTON FIXED INCOME SECURITIES B HFIBX Non-NTF Corporate Bond - High Quality 1.81 5.00 3 EquityHuntington Funds HUNTINGTON FIXED INCOME-TRUST SHS HFISX Non-NTF Corporate Bond - High Quality 1.06 None 3 EquityHuntington Funds HUNTINGTON GLOBAL SELECT MARKETS CL A HGSAX Non-NTF Growth -999 4.75 3 EquityHuntington Funds HUNTINGTON GLOBAL SELECT MARKETS CL I HGSIX Non-NTF Growth -999 None 3 EquityHuntington Funds HUNTINGTON GROWTH ALLOCATION CL A HGRFX Non-NTF 4.75 3 EquityHuntington Funds HUNTINGTON GROWTH CLASS A HGWIX Non-NTF Growth 1.4 4.75 3 EquityHuntington Funds HUNTINGTON GROWTH CLASS B HUGBX Non-NTF Growth 1.9 5.00 3 EquityHuntington Funds HUNTINGTON GROWTH FUND TRUST SHARES HGWTX Non-NTF Growth 1.15 None 1 EquityHuntington Funds HUNTINGTON INCOME EQUITY CLASS B HUIEX Non-NTF Equity-Income 1.91 5.00 3 EquityHuntington Funds HUNTINGTON INCOME EQUITY FD-TRUST SHS HIEFX Non-NTF Equity-Income 1.16 None 1 BondHuntington Funds HUNTINGTON INCOME EQUITY FUND CL A HUINX Non-NTF Equity-Income 1.41 4.75 3 BondHuntington Funds HUNTINGTON INTER GOV INCOME FD TRUST CL HMGIX Non-NTF Government Bond - General 1.07 None 3 BondHuntington Funds HUNTINGTON INTER GOVT INCOME CL A HMGCX Non-NTF Government Bond - General 1.32 3.75 3 EquityHuntington Funds HUNTINGTON INTERMED GOVE INCOME FD CL B HGVBX Non-NTF Government Bond - General 1.82 5.00 3 EquityHuntington Funds HUNTINGTON INTERNATL EQUITY CLASS A HIEAX Non-NTF Foreign Stock 1.82 4.75 3 EquityHuntington Funds HUNTINGTON INTERNATL EQUITY CLASS B HUIBX Non-NTF Foreign Stock 2.32 5.00 1 EquityHuntington Funds HUNTINGTON INTERNATL EQUITY FD-TRUST SHS HIETX Non-NTF Foreign Stock 1.57 None 1 EquityHuntington Funds HUNTINGTON MACRO 100 FD TRUST CL. HMTPX Non-NTF Growth and Income 1.56 None 3 EquityHuntington Funds HUNTINGTON MACRO 100 FUND CL A HMALX Non-NTF Growth and Income 1.82 4.75 3 EquityHuntington Funds HUNTINGTON MACRO 100 FUND CL B HMBNX Non-NTF Growth and Income 2.32 5.00 3 EquityHuntington Funds HUNTINGTON MID CORP AMERICA TRUST SHS HMATX Non-NTF Growth 1.31 None 1 EquityHuntington Funds HUNTINGTON MONEY MARKET INVST SHS HFIXX Non-NTF None 0 BondHuntington Funds HUNTINGTON MORTGAGE SEC FD CLASS B HMBGX Non-NTF Government Bond - Mortgage 1.85 5.00 3 BondHuntington Funds HUNTINGTON MORTGAGE SECS TRUST SHS HMTGX Non-NTF Government Bond - Mortgage 1.1 None 1 EquityHuntington Funds HUNTINGTON NEW ECONOMY CLASS A HNEAX Non-NTF Growth 1.69 4.75 3 EquityHuntington Funds HUNTINGTON NEW ECONOMY FD TRUST SHS HNETX Non-NTF Growth 1.44 None 1 BondHuntington Funds HUNTINGTON OHIO TAX FREE FUND CL A HOHFX Non-NTF Municipal Bond - Single State 1.47 3.75 3 BondHuntington Funds HUNTINGTON OHIO TAX FREE FUND CL B HOHBX Non-NTF Municipal Bond - Single State 1.97 5.00 3 EquityHuntington Funds HUNTINGTON OHIO TX FREE FD. TR CL. HOHTX Non-NTF Municipal Bond - Single State 1.22 None 3 EquityHuntington Funds HUNTINGTON REAL STRATEGIES FD CL A HRSAX Non-NTF Growth 1.63 4.75 1 EquityHuntington Funds HUNTINGTON REAL STRATEGIES FD CL B HRBSX Non-NTF Growth 2.13 5.00 3 EquityHuntington Funds HUNTINGTON REAL STRATEGIES FUDN HRSTX Non-NTF Growth 1.38 None 1 EquityHuntington Funds HUNTINGTON ROTATING INDEX CL A HRIAX Non-NTF Growth 1.43 4.75 3 EquityHuntington Funds HUNTINGTON ROTATING MARKETS CL B HRIBX Non-NTF Growth 1.95 5.00 3 BondHuntington Funds HUNTINGTON ROTATING MRKTS TRUST CL HRITX Non-NTF Growth 1.18 None 1 BondHuntington Funds HUNTINGTON SHORT INT FIXED INC SEC TR CL HSIFX Non-NTF Corporate Bond - High Quality 1.08 None 3 EquityHuntington Funds HUNTINGTON SHORT TRM INTERM FIXED INCM A HSIAX Non-NTF Corporate Bond - High Quality 1.33 1.50 3 EquityHuntington Funds HUNTINGTON SITUS CLASS A HSUAX Non-NTF Growth 1.59 4.75 3 EquityHuntington Funds HUNTINGTON SITUS CLASS B HSUBX Non-NTF Growth 2.09 5.00 3 EquityHuntington Funds HUNTINGTON SITUS TRUST CLASS HSUTX Non-NTF Growth 1.34 None 3 EquityHuntington Funds HUNTINGTON TECHNICAL OPPORTUNITIES CL A HTOAX Non-NTF Growth and Income 3.13 4.75 3 EquityHuntington Funds HUNTINGTON TECHNICAL OPPORTUNITIES TRUST HTOTX Non-NTF Growth and Income 2.58 None 3 EquityHussman Funds HUSSMAN STRATEGIC GROWTH HSGFX Non-NTF Growth 1.09 None 1 EquityHussman Funds HUSSMAN STRATEGIC TOTAL RETURN HSTRX Non-NTF Corporate Bond - General 0.75 None 1 EquityICM Funds ICM SMALL COMPANY PORTFOLIO ICSCX Non-NTF Small Company 0.89 None 1 EquityICON Funds ICON ASIA PACIFIC REGION FD CL A IPCAX Non-NTF Pacific Stock 1.82 5.75 3 Bond

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Sales Charge

Settlement Days

Security Class

ICON Funds ICON ASIA-PACIFIC REGION FUND CL C ICPCX Non-NTF Pacific Stock 2.55 1.00 3 EquityICON Funds ICON BOND FUND CL C IOBCX Non-NTF Income 1.6 1.00 1 EquityICON Funds ICON CORE EQUITY CL C ICNCX Non-NTF Growth and Income 2.25 1.00 1 EquityICON Funds ICON CORE EQUITY FD CL A ICNAX Non-NTF Growth and Income 2.43 5.75 3 EquityICON Funds ICON CORE EQUITY FD CL Z ICNZX Non-NTF Growth and Income 1.45 None 3 EquityICON Funds ICON EQUITY INCOME FD CL A IEQAX Non-NTF Growth and Income 1.46 5.75 3 EquityICON Funds ICON EQUITY INCOME FUND CL C IOECX Non-NTF Growth and Income 2.21 1.00 3 EquityICON Funds ICON EUROPE FD CL A IERAX Non-NTF Europe Stock 1.82 5.75 3 EquityICON Funds ICON EUROPE FUND CLASS C ICUCX Non-NTF Europe Stock 2.57 1.00 3 EquityICON Funds ICON INCOME OPPORTY CL A IOCAX Non-NTF Growth 1.49 5.75 3 EquityICON Funds ICON INCOME OPPORTY CL C IOCCX Non-NTF Growth 2.24 1.00 3 EquityICON Funds ICON INTERNATIONAL EQUITY CL A IIQAX Non-NTF Foreign Stock 1.76 5.75 3 EquityICON Funds ICON INTERNATIONAL EQUITY FUND CL S ICESX Non-NTF Foreign Stock 1.29 None 3 EquityICON Funds ICON INTERNATL EQUITY FD CL C IIQCX Non-NTF Foreign Stock 2.52 1.00 1 EquityICON Funds ICON LONG SHORT FUND CLASS C IOLCX Non-NTF Growth 2.81 1.00 1 EquityICON Funds ICON LONG/SHORT FD CL A ISTAX Non-NTF Growth 2.06 5.75 3 EquityIDEX Funds TA ASSET ALLOC CONC PORT CL C ICLLX Non-NTF Asset Allocation 1.23 1.00 3 EquityIDEX Funds TA ASSET ALLOC MOD GRWTH PORT A IMLAX Non-NTF Asset Allocation 0.66 5.50 3 EquityIDEX Funds TA ASSET ALLOC MOD GRWTH PORT CL R IMGRX Non-NTF Asset Allocation 0.82 None 3 EquityIDEX Funds TA ASSET ALLOC MODERATE PORT C IMOLX Non-NTF Asset Allocation 1.24 1.00 3 EquityIDEX Funds TA ASSET ALLOC MODERATE PORT CL A IMOAX Non-NTF Asset Allocation 0.63 5.50 3 EquityIDEX Funds TA ASSET ALLOC MODERATE PORT CL B IMOBX Non-NTF Asset Allocation 1.3 5.00 3 EquityIDEX Funds TA ASSET ALLOCT MOD GROWTH PORT C IMLLX Non-NTF Asset Allocation 1.28 1.00 3 EquityIDEX Funds TA ASSET ALLOCT MOD GRWTH PORT B IMLBX Non-NTF Asset Allocation 1.33 5.00 3 EquityIDEX Funds TA IDEX ASSET ALLOC- MOERATE PORT CL R IMDRX Non-NTF Asset Allocation 0.86 None 3 EquityIDEX Funds TA MULT MAN ALT STRAT PORT A IMUAX Non-NTF Growth 0.81 5.50 3 EquityIDEX Funds TA MULT MAN ALT STRAT PORT C IMUCX Non-NTF Growth 1.45 1.00 3 EquityIDEX Funds TA MULTI MAN INTL PORT A IMNAX Non-NTF Growth 0.74 5.50 3 EquityIDEX Funds TA MULTI MANAGE INTL PORT B IMNBX Non-NTF Growth 1.45 5.00 3 BondIDEX Funds TA MULTI MANAGER INTL PORT C IMNCX Non-NTF Growth 1.43 1.00 3 BondIDEX Funds TRANSAMERICA AEGON HIGH YIELD BOND CL A IHIYX Non-NTF Corporate Bond - High Yield 1.19 4.75 3 BondIDEX Funds TRANSAMERICA AEGON HIGH YIELD BOND CL B INCBX Non-NTF Corporate Bond - High Yield 1.91 5.00 3 EquityIDEX Funds TRANSAMERICA AEGON HUGH YIELD BOND CL C INCLX Non-NTF Corporate Bond - High Yield 1.81 1.00 3 EquityIDEX Funds TRANSAMERICA ASSET ALL CONV PORT CL A ICLAX Non-NTF Asset Allocation 0.65 5.50 3 EquityIDEX Funds TRANSAMERICA ASSET ALL CONV PORT R ICVRX Non-NTF Asset Allocation 0.89 None 3 EquityIDEX Funds TRANSAMERICA ASSET ALLOC CONV PORT B ICLBX Non-NTF Asset Allocation 1.28 5.00 3 EquityIDEX Funds TRANSAMERICA ASSET ALLOC GROWTH PORT R IGWRX Non-NTF Asset Allocation 0.85 None 3 EquityIDEX Funds TRANSAMERICA ASSET ALLOC GRWTH PORT A IAAAX Non-NTF Asset Allocation 0.73 5.50 3 EquityIDEX Funds TRANSAMERICA ASSET ALLOC GRWTH PORT B IAABX Non-NTF Asset Allocation 1.4 5.00 3 EquityIDEX Funds TRANSAMERICA ASSET ALLOC PORT CL C IAALX Non-NTF Asset Allocation 1.33 1.00 3 EquityIDEX Funds TRANSAMERICA BALANCED CLASS A IBALX Non-NTF Balanced 1.73 5.50 3 EquityIDEX Funds TRANSAMERICA BALANCED CLASS B IBABX Non-NTF Balanced 2.46 5.00 3 EquityIDEX Funds TRANSAMERICA BALANCED CLASS C IBLLX Non-NTF Balanced 2.27 1.00 3 EquityIDEX Funds TRANSAMERICA CLARION GL REAL ESTATE SEC I TRSIX Non-NTF Specialty - Real Estate 0.89 None 3 EquityIDEX Funds TRANSAMERICA DIVERSI EQUITY CL I QDDWQ Non-NTF Growth -999 None 3 EquityIDEX Funds TRANSAMERICA DIVERSIFIED EQUITY A TADAX Non-NTF Growth -999 5.50 3 EquityIDEX Funds TRANSAMERICA DIVERSIFIED EQUITY B TADBX Non-NTF Growth -999 5.00 3 EquityIDEX Funds TRANSAMERICA DIVERSIFIED EQUITY C TADCX Non-NTF Growth -999 1.00 3 EquityIDEX Funds TRANSAMERICA EQUITY CL T IEQTX Non-NTF Growth 1.03 8.50 3 EquityIDEX Funds TRANSAMERICA EQUITY CLASS A ITQAX Non-NTF Growth 1.52 5.50 3 EquityIDEX Funds TRANSAMERICA EQUITY CLASS B ITQBX Non-NTF Growth 2.17 5.00 3 EquityIDEX Funds TRANSAMERICA EQUITY CLASS C ITQLX Non-NTF Growth 2.17 1.00 3 BondIDEX Funds TRANSAMERICA EQUITY FD CL I QDEBQ Non-NTF Growth 0.82 None 3 BondIDEX Funds TRANSAMERICA FLEXIBLE INCOME CL A IDITX Non-NTF Income 1.47 4.75 3 BondIDEX Funds TRANSAMERICA FLEXIBLE INCOME CL B IFLBX Non-NTF Income 2.16 5.00 3 EquityIDEX Funds TRANSAMERICA FLEXIBLE INCOME CL C IFLLX Non-NTF Income 2.06 1.00 3 EquityIDEX Funds TRANSAMERICA FOCUS FUND CLASS A IALAX Non-NTF Aggressive Growth 1.55 5.50 3 EquityIDEX Funds TRANSAMERICA FOCUS FUND CLASS B IACBX Non-NTF Aggressive Growth 2.2 5.00 3 EquityIDEX Funds TRANSAMERICA FOCUS FUND CLASS C ILLLX Non-NTF Aggressive Growth 2.15 1.00 3 Equity

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Sales Charge

Settlement Days

Security Class

IDEX Funds TRANSAMERICA GROWTH OPPS CL C ITSLX Non-NTF Growth 2.4 1.00 3 EquityIDEX Funds TRANSAMERICA GROWTH OPPS CLASS B ITCBX Non-NTF Growth 2.4 5.00 3 BondIDEX Funds TRANSAMERICA HIGH YIELD BOND INSTL QDEXQ Non-NTF Corporate Bond - High Yield 0.67 None 3 BondIDEX Funds TRANSAMERICA SHORT TERM BD CL C ITACX Non-NTF Income 1.65 1.00 3 EquityIDEX Funds TRANSAMERICA SHORT TERM BOND CL A ITAAX Non-NTF Income 0.91 2.50 3 EquityIDEX Funds TRANSAMERICA SMALL MID CAP VAL CL A IIVAX Non-NTF Small Company 1.59 5.50 3 EquityIDEX Funds TRANSAMERICA SMALL MID CAP VAL CL B IIVBX Non-NTF Small Company 2.24 5.00 3 EquityIDEX Funds TRANSAMERICA SMALL MID CAP VAL CL C IIVLX Non-NTF Small Company 2.2 1.00 3 EquityIDEX Funds TRANSAMERICA WMC EMERGING MARKETS I2 TWMCX Non-NTF Foreign Stock 1.4 None 3 EquityIDEX Funds TRANSMERICA GROWTH OPPS CL A ITSAX Non-NTF Growth 1.75 5.50 3 EquityIndustry Leaders Funds INDUSTRY LEADERS FUND CL L ILFLX Non-NTF Growth 0.58 None 1 EquityING Funds ING ALTERNATIVE BETA FUND CL A IABAX Non-NTF Growth and Income -999 5.75 3 EquityING Funds ING ALTERNATIVE BETA FUND CLASS I IIABX Non-NTF Growth and Income -999 None 3 EquityING Funds ING ALTERNATIVE BETA FUND CLASS W IABWX Non-NTF Growth and Income -999 None 3 EquityING Funds ING ASIAN PACICFIC REAL ESTATE FD CL A IAPAX Non-NTF Specialty - Real Estate 1.77 5.75 3 EquityING Funds ING ASIAN PACIFIC REAL ESTATE FD CL C IAPCX Non-NTF Specialty - Real Estate 2.52 1.00 3 EquityING Funds ING BALANCED CLASS A AETAX Non-NTF Balanced 1.23 5.75 3 EquityING Funds ING BALANCED CLASS C ACBLX Non-NTF Balanced 1.98 1.00 3 EquityING Funds ING BALANCED CLASS I AETFX Non-NTF Balanced 0.98 None 3 EquityING Funds ING CORPORATE LEADER 100 FD CL I IICLX Non-NTF Growth 0.65 None 3 EquityING Funds ING CORPORATE LEADER TRUST LEXCX Non-NTF Growth and Income 0.51 None 3 EquityING Funds ING CORPORATE LEADERS 100 FD CL A IACLX Non-NTF Growth 0.9 5.75 3 EquityING Funds ING CORPORATE LEADERS 100 FD CL W IWCLX Non-NTF Growth 0.65 None 3 EquityING Funds ING DIVERSIFIED INTL FD CL I IFFIX Non-NTF Foreign Stock 0.1 None 3 EquityING Funds ING DIVERSIFIED INTL FD CLASS A IFFAX Non-NTF Foreign Stock 0.38 5.75 3 EquityING Funds ING DIVERSIFIED INTL FD CLASS C IFFCX Non-NTF Foreign Stock 1.13 1.00 3 EquityING Funds ING EMERGING COUNTRIES CL A NECAX Non-NTF Diversified Emerging Markets 2.04 5.75 3 EquityING Funds ING EMERGING COUNTRIES CL C NAEMX Non-NTF Diversified Emerging Markets 2.79 1.00 3 EquityING Funds ING EMERGING COUNTRIES CL W IECWX Non-NTF Diversified Emerging Markets 1.6 None 3 EquityING Funds ING EQUITY DIVIDEND FD CL A IEDAX Non-NTF Equity-Income 1.25 5.75 3 EquityING Funds ING EQUITY DIVIDEND FUND CLASS C IEDCX Non-NTF Equity-Income 2 1.00 3 EquityING Funds ING EQUITY INCOME CLASS C AEICX Non-NTF Growth and Income 1.83 1.00 3 EquityING Funds ING EQUITY INCOME CLASS I AEGIX Non-NTF Growth and Income 0.83 None 3 EquityING Funds ING EUROPEAN REAL ESTATE FD CL A IAERX Non-NTF Specialty - Real Estate 1.75 5.75 3 EquityING Funds ING EUROPEAN REAL ESTATE FUND CL C ICERX Non-NTF Specialty - Real Estate 2.5 1.00 3 EquityING Funds ING FOREIGN FUND CL I IAFIX Non-NTF Foreign Stock 1.31 None 3 EquityING Funds ING FOREIGN FUND CLASS A IAFAX Non-NTF Foreign Stock 1.7 5.75 3 EquityING Funds ING FOREIGN FUND CLASS C ICFCX Non-NTF Foreign Stock 2.45 1.00 3 BondING Funds ING FOREIGN FUND CLASS W IFFWX Non-NTF Foreign Stock 1.31 None 3 BondING Funds ING GLOBAL BOND FD CL A INGBX Non-NTF Worldwide Bond 0.91 2.50 3 EquityING Funds ING GLOBAL BOND FUND CL C IGBCX Non-NTF Worldwide Bond 1.66 1.00 3 EquityING Funds ING GLOBAL EQUITY DIV FUND CL C ICGEX Non-NTF Growth 2.15 1.00 3 EquityING Funds ING GLOBAL EQUITY DIVIDEND FD CL A IAGEX Non-NTF Growth 1.4 5.75 3 EquityING Funds ING GLOBAL NATURAL RESOURCES FD CL A LEXMX Non-NTF Specialty - Natural Resources 1.64 5.75 3 EquityING Funds ING GLOBAL REAL ESTATE CL A IGLAX Non-NTF Specialty - Real Estate 1.49 5.75 3 EquityING Funds ING GLOBAL REAL ESTATE CL C IGCAX Non-NTF Specialty - Real Estate 2.24 1.00 3 EquityING Funds ING GLOBAL REAL ESTATE CLASS I IGLIX Non-NTF Specialty - Real Estate 1.12 None 3 EquityING Funds ING GLOBAL REAL ESTATE FUND CL W IRGWX Non-NTF Specialty - Real Estate 1.12 None 3 EquityING Funds ING GLOBAL TARGET PAYMENT FUND CL A IGPAX Non-NTF Growth and Income 0.49 5.75 3 EquityING Funds ING GLOBAL TARGET PAYMENT FUND CL I IGPIX Non-NTF Growth and Income 0.24 None 3 EquityING Funds ING GLOBAL TARGET PAYMENT FUND CL W IGPWX Non-NTF Growth and Income 0.24 None 3 EquityING Funds ING GLOBAL TARGET PAYMENT FUND CLASS C IGPCX Non-NTF Growth and Income 1.24 1.00 3 EquityING Funds ING GLOBAL VALUE CHOICE CL A NAWGX Non-NTF World Stock 1.49 5.75 3 EquityING Funds ING GLOBAL VALUE CHOICE CL C NAWCX Non-NTF World Stock 2.24 1.00 3 BondING Funds ING GLOBAL VALUE CHOICE CLASS W IGVWX Non-NTF World Stock 1.16 None 1 BondING Funds ING GNMA INCOME CL A LEXNX Non-NTF Government Bond - Mortgage 0.96 2.50 3 EquityING Funds ING GNMA INCOME CL C LEGNX Non-NTF Government Bond - Mortgage 1.71 1.00 3 BondING Funds ING GNMA INCOME FD CLASS W IGMWX Non-NTF Government Bond - Mortgage 0.65 None 3 EquityING Funds ING GOVERNMENT CL I LEINX Non-NTF Government Bond - Mortgage 0.65 None 3 Equity

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Sales Charge

Settlement Days

Security Class

ING Funds ING GREATER CHINA FD CLASS A IFCAX Non-NTF Growth 2.11 5.75 3 EquityING Funds ING GREATER CHINA FUND CL C IFCCX Non-NTF Growth 2.86 1.00 3 EquityING Funds ING GROWTH AND INCOME FD CLASS A AAGIX Non-NTF Growth and Income 1.08 5.75 3 EquityING Funds ING GROWTH OPPORTUNITIES CL A NLCAX Non-NTF Growth 1.42 5.75 3 EquityING Funds ING GROWTH OPPORTUNITIES CL C NLCCX Non-NTF Growth 2.07 1.00 3 BondING Funds ING GROWTH OPPORTUNITIES CL W IGOWX Non-NTF Growth -999 None 1 BondING Funds ING HIGH YIELD BOND CL A IHYAX Non-NTF Corporate Bond - High Yield 1.1 2.50 3 EquityING Funds ING HIGH YIELD BOND CL C IMYCX Non-NTF Corporate Bond - High Yield 1.85 1.00 3 EquityING Funds ING INDEX PLUS INTL EQUITY CL A IFIAX Non-NTF Foreign Stock 1.15 5.75 3 EquityING Funds ING INDEX PLUS INTL EQUITY CL C IFICX Non-NTF Foreign Stock 1.9 1.00 3 EquityING Funds ING INDEX PLUS INTL EQUITY CLASS I IFIIX Non-NTF Foreign Stock 0.9 None 3 EquityING Funds ING INDEX PLUS LARGE CAP CLASS A AELAX Non-NTF Growth and Income 0.95 3.00 3 EquityING Funds ING INDEX PLUS LARGE CAP CLASS C AELCX Non-NTF Growth and Income 1.45 0.75 3 EquityING Funds ING INDEX PLUS LARGE CAP CLASS I AELIX Non-NTF Growth and Income 0.7 None 3 EquityING Funds ING INDEX PLUS MIDCAP CLASS A AIMAX Non-NTF Growth 1 3.00 3 EquityING Funds ING INDEX PLUS MIDCAP CLASS C APMCX Non-NTF Growth 1.5 0.75 3 EquityING Funds ING INDEX PLUS MIDCAP CLASS I AIMIX Non-NTF Growth 0.75 None 3 EquityING Funds ING INDEX PLUS MIDCP FD CL R AIMRX Non-NTF Growth 1.25 None 3 EquityING Funds ING INDEX PLUS SMALLCAP CL A AISAX Non-NTF Small Company 1 3.00 3 EquityING Funds ING INDEX PLUS SMALLCAP CL C APSCX Non-NTF Small Company 1.5 0.75 3 BondING Funds ING INDEX PLUS SMALLCAP CL I AISIX Non-NTF Small Company 0.75 None 3 BondING Funds ING INTERMEDIATE BOND CL A IIBAX Non-NTF Growth and Income 0.7 2.50 3 BondING Funds ING INTERMEDIATE BOND CL C IICCX Non-NTF Growth and Income 1.45 1.00 3 BondING Funds ING INTERMEDIATE BOND CL I IICIX Non-NTF Growth and Income 0.37 None 3 EquityING Funds ING INTERMEDIATE BOND FUND CL R IIBOX Non-NTF Growth and Income 0.95 None 3 EquityING Funds ING INTERMEDIATE BOND FUND CL W IIBWX Non-NTF Growth and Income 0.37 None 3 EquityING Funds ING INTERNATIONAL CAP APPRECTION CL A IACAX Non-NTF Foreign Stock 1.5 5.75 3 EquityING Funds ING INTERNATIONAL REAL ESTATE CL A IIRAX Non-NTF Specialty - Real Estate 1.53 5.75 3 EquityING Funds ING INTERNATIONAL REAL ESTATE CL C IIRCX Non-NTF Specialty - Real Estate 2.28 1.00 3 EquityING Funds ING INTERNATIONAL REAL ESTATE FD CL I IIRIX Non-NTF Specialty - Real Estate 1.23 None 3 EquityING Funds ING INTERNATIONAL VALUE CHOICE CL A IVCAX Non-NTF Foreign Stock 1.7 5.75 3 EquityING Funds ING INTERNATIONAL VALUE CHOICE CL C IVCCX Non-NTF Foreign Stock 2.45 1.00 3 EquityING Funds ING INTERNATIONAL VALUE CL A NIVAX Non-NTF Foreign Stock 1.75 5.75 3 EquityING Funds ING INTERNATIONAL VALUE CL I NIIVX Non-NTF Foreign Stock 1.33 None 3 EquityING Funds ING INTERNATIONAL VALUE CLASS W IIVWX Non-NTF Foreign Stock 1.33 None 1 EquityING Funds ING INTERNATIONAL VALUE GROW CL C NIVCX Non-NTF Foreign Stock 2.4 1.00 3 EquityING Funds ING INTERTNATL SMALL CAP MULIT-MANAGER W ISCWX Non-NTF Small Company 1.45 None 3 EquityING Funds ING INTL CAPITAL APPRECIATION CL C ICACX Non-NTF Foreign Stock 2.25 1.00 3 EquityING Funds ING INTL CAPITAL APPRECIATION CL W IWCAX Non-NTF None 3 EquityING Funds ING INTL REAL ESTATE CL W IIRWX Non-NTF Specialty - Real Estate 1.23 None 3 EquityING Funds ING INTL SMALL CAP MULTI MANAGER CL A NTKLX Non-NTF Small Company 1.95 5.75 3 EquityING Funds ING INTL SMALL CAP MULTI MANAGER CL C NARCX Non-NTF Small Company 2.6 1.00 3 EquityING Funds ING INTL SMALL CAP MULTI MANAGER CL I NAPIX Non-NTF Small Company 1.45 None 3 EquityING Funds ING MID CAP OPPORTUNITY CL W IMOWX Non-NTF Growth -999 None 1 EquityING Funds ING MIDCAP OPPOORTUNITIES CL I NMCIX Non-NTF Growth 0.85 None 3 EquityING Funds ING MONEY MARKET CL C AMCXX Non-NTF 1.00 3 EquityING Funds ING MONEY MARKET CL I ATNXX Non-NTF None 3 EquityING Funds ING OPPORTUNISTIC LARGECAP CLASS C ILCPX Non-NTF Growth 2.47 1.00 3 EquityING Funds ING OPPORTUNISTIC LARGECAP CLASS I ILIPX Non-NTF Growth 0.81 None 3 EquityING Funds ING OPPORTUNISTS LG CAP CL A IOLAX Non-NTF Growth 1.72 5.75 3 EquityING Funds ING REAL ESTATE CL I CRARX Non-NTF Specialty - Real Estate 0.91 None 3 EquityING Funds ING REAL ESTATE FUND A CLARX Non-NTF Specialty - Real Estate 1.34 5.75 3 EquityING Funds ING REAL ESTATE FUND CLASS C CRCRX Non-NTF Specialty - Real Estate 2.09 1.00 3 BondING Funds ING RUSSIA CL A LETRX Non-NTF Europe Stock 2.21 5.75 3 BondING Funds ING SENIOR INCOME CL A XSIAX Non-NTF Income 1.71 2.50 3 EquityING Funds ING SENIOR INCOME CL C XSICX Non-NTF Income 2.21 1.00 3 EquityING Funds ING SMALL CAP OPPORTUNITIES CL W ISOWX Non-NTF Small Company 1.01 None 1 EquityING Funds ING SMALL COMPANY CL A AESAX Non-NTF Small Company 1.48 5.75 3 EquityING Funds ING SMALL COMPANY CL C ASCCX Non-NTF Small Company 2.23 1.00 3 Equity

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Settlement Days

Security Class

ING Funds ING SMALL COMPANY CL I AESGX Non-NTF Small Company 1.23 None 3 EquityING Funds ING SMALL COMPANY FUND CL W ISMWX Non-NTF Small Company -999 None 3 EquityING Funds ING SMALLCAP OPPORTUNITIES CL A NSPAX Non-NTF Small Company 1.5 5.75 3 EquityING Funds ING SMALLCAP OPPORTUNITIES CL C NSPCX Non-NTF Small Company 2.25 1.00 3 EquityING Funds ING STRATEGIC ALLOC CONSERV CL A ATLAX Non-NTF Asset Allocation 0.62 5.75 3 EquityING Funds ING STRATEGIC ALLOC CONSERV CL C ACLGX Non-NTF Asset Allocation 1.37 1.00 3 EquityING Funds ING STRATEGIC ALLOC MODERATE CL A ATCAX Non-NTF Asset Allocation 0.58 5.75 3 EquityING Funds ING STRATEGIC ALLOC MODERATE CL C ACCRX Non-NTF Asset Allocation 1.33 1.00 3 EquityING Funds ING STRATEGIC ALLOCATION GWTH CL A ATAAX Non-NTF Asset Allocation 0.54 5.75 3 EquityING Funds ING STRATEGIC ALLOCATION GWTH CL C AAFCX Non-NTF Asset Allocation 1.29 1.00 3 EquityING Funds ING STRATEGIC ALLOCATION GWTH CL I ASCEX Non-NTF Asset Allocation 0.29 None 3 EquityING Funds ING VALUE CHOICE FD A PAVAX Non-NTF Growth 1.39 5.75 3 EquityING Funds ING VALUE CHOICE FD C PAVCX Non-NTF Growth 2.14 1.00 3 EquityING Funds ING VALUE CHOICE FD I PAVIX Non-NTF Growth 1.14 None 3 BondING Funds ING VALUE CHOICE FUND CL W IVCWX Non-NTF Growth 1.14 None 3 EquityING Funds ING VP INTER BD PORTFOLIO CL I QBCIQ Non-NTF Growth and Income 0.5 None 3 BondIntegrity Viking Funds INTEGRITY GROWTH & INCOME FUND CL A IGIAX Non-NTF Growth and Income 1.6 None 3 BondIntegrity Viking Funds INTEGRITY HIGH INCOME FUND CL A IHFAX Non-NTF Income 1.6 4.25 3 BondIntegrity Viking Funds INTEGRITY HIGH INCOME FUND CLASS C IHFCX Non-NTF Income 2.35 1.00 3 BondIntegrity Viking Funds INTEGRITY KANSAS INTERMEDIATE CLASS A KSIMX Non-NTF Municipal Bond - Single State 0.75 2.75 3 BondIntegrity Viking Funds INTEGRITY NEBRASKA MUNICIPAL CLASS A NEMUX Non-NTF Municipal Bond - Single State 1.07 4.25 3 BondIntegrity Viking Funds VIKING TAX FREE FD F OR ND VNDFX Non-NTF Municipal Bond - Single State 0.92 3.75 3 EquityIntegrity Viking Funds VIKING TAX FREE FD FOR MONTANA VMTTX Non-NTF Municipal Bond - Single State 0.92 3.75 3 EquityIntrepid Funds INTREPID SMALL CAP FUND - INSTITUTIONAL ICMZX Non-NTF None 1 EquityINVESCO AIM Family of Funds AIM AGGRESSIVE ALLOCATION CL R AADRX Non-NTF Asset Allocation 0.71 None 3 EquityINVESCO AIM Family of Funds AIM ASIA PACIFIC GROWTH CLASS A ASIAX Non-NTF Pacific Stock 1.78 5.50 3 EquityINVESCO AIM Family of Funds AIM ASIA PACIFIC GROWTH CLASS B ASIBX Non-NTF Pacific Stock 2.53 5.00 3 EquityINVESCO AIM Family of Funds AIM ASIA PACIFIC GROWTH CLASS C ASICX Non-NTF Pacific Stock 2.53 1.00 3 EquityINVESCO AIM Family of Funds AIM ASIA PACIFIC GRWTH FD CLASS Y ASIYX Non-NTF Pacific Stock 1.53 None 3 EquityINVESCO AIM Family of Funds AIM BALANCED RISK ALLOCATION FD CL B ABRBX Non-NTF Growth and Income 1.99 5.00 3 EquityINVESCO AIM Family of Funds AIM BALANCED RISK ALLOCATION FD CL C ABRCX Non-NTF Growth and Income 1.99 1.00 3 EquityINVESCO AIM Family of Funds AIM BALANCED-RISK ALLOCATION CL R ABRRX Non-NTF Growth and Income 1.49 None 3 EquityINVESCO AIM Family of Funds AIM BALANCED-RISK ALLOCATION FD CL Y ABRYX Non-NTF Growth and Income 0.99 None 3 EquityINVESCO AIM Family of Funds AIM BALANCED-RISK ALLOCATION FUND CL A ABRZX Non-NTF Growth and Income 1.24 5.50 3 EquityINVESCO AIM Family of Funds AIM BASIC BALANCED CL R BBLRX Non-NTF Balanced 1.45 None 3 EquityINVESCO AIM Family of Funds AIM BASIC BALANCED CLASS A BBLAX Non-NTF Balanced 1.2 5.50 3 EquityINVESCO AIM Family of Funds AIM BASIC BALANCED CLASS B BBLBX Non-NTF Balanced 1.95 5.00 3 EquityINVESCO AIM Family of Funds AIM BASIC BALANCED CLASS C BBLCX Non-NTF Balanced 1.95 1.00 3 EquityINVESCO AIM Family of Funds AIM BASIC BALANCED FD CL I BBLIX Non-NTF Balanced 0.73 None 1 EquityINVESCO AIM Family of Funds AIM BASIC VALUE CLASS A GTVLX Non-NTF Growth and Income 1.26 5.50 3 EquityINVESCO AIM Family of Funds AIM BASIC VALUE CLASS B GTVBX Non-NTF Growth and Income 2.01 5.00 3 EquityINVESCO AIM Family of Funds AIM BASIC VALUE CLASS C GTVCX Non-NTF Growth and Income 2.01 1.00 3 EquityINVESCO AIM Family of Funds AIM BASIC VALUE FD CL I GTVVX Non-NTF Growth and Income 0.81 None 1 BondINVESCO AIM Family of Funds AIM BASIC VALUE FUND CLASS R GTVRX Non-NTF Growth and Income 1.51 None 3 BondINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2010 CL A INJAX Non-NTF Growth and Income 0.33 5.50 3 BondINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2010 CL B INJBX Non-NTF Growth and Income 1.08 5.00 3 BondINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2010 CL C INJCX Non-NTF Growth and Income 1.08 1.00 3 BondINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2010 CL R INJRX Non-NTF Growth and Income 0.58 None 3 EquityINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2010 INST INJIX Non-NTF Growth and Income 0.08 None 3 BondINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2020 CL A AFTAX Non-NTF Growth and Income 0.38 5.50 3 EquityINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2020 CL B AFTBX Non-NTF Growth and Income 1.13 5.00 3 EquityINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2020 CL C AFTCX Non-NTF Growth and Income 1.13 1.00 3 EquityINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2020 CL R ATFRX Non-NTF Growth and Income 0.63 None 3 EquityINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2020 INST AFTSX Non-NTF Growth and Income 0.13 None 3 BondINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2030 CL A TNAAX Non-NTF Growth and Income 0.4 5.50 3 BondINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2030 CL B TNABX Non-NTF Growth and Income 1.15 5.00 3 BondINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2030 CL C TNACX Non-NTF Growth and Income 1.15 1.00 3 EquityINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2030 CL R TNARX Non-NTF Growth and Income 0.65 None 3 EquityINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2030 INST TNAIX Non-NTF Growth and Income 0.15 None 3 Bond

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Sales Charge

Settlement Days

Security Class

INVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2040 CL A TNDAX Non-NTF Growth and Income 0.41 5.50 3 EquityINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2040 CL B TNDBX Non-NTF Growth and Income 1.16 5.00 3 BondINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2040 CL C TNDCX Non-NTF Growth and Income 1.16 1.00 3 EquityINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2040 CL R TNDRX Non-NTF Growth and Income 0.66 None 3 EquityINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2040 INST TNDIX Non-NTF Growth and Income 0.15 None 3 BondINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2050 CL A TNEAX Non-NTF Growth and Income 0.42 5.50 3 EquityINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2050 CL B TNEBX Non-NTF Growth and Income 1.17 5.00 3 EquityINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2050 CL C TNECX Non-NTF Growth and Income 1.17 1.00 3 EquityINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2050 CL R TNERX Non-NTF Growth and Income 0.67 None 3 BondINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT 2050 INST TNEIX Non-NTF Growth and Income 0.15 None 3 BondINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT NOW CL A IANAX Non-NTF Income 0.31 5.50 3 BondINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT NOW CL B IANBX Non-NTF Income 1.06 5.00 3 BondINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT NOW CL C IANCX Non-NTF Income 1.06 1.00 3 BondINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT NOW CL R IANRX Non-NTF Income 0.56 None 3 EquityINVESCO AIM Family of Funds AIM BLANCED RISK RETIREMENT NOW INST IANIX Non-NTF Income 0.06 None 3 EquityINVESCO AIM Family of Funds AIM CAPITAL DEVELOP FUND CL R ACDRX Non-NTF Growth 1.69 None 3 EquityINVESCO AIM Family of Funds AIM CAPITAL DEVELOPEMNET CL Y ACDYX Non-NTF Growth 1.19 None 3 EquityINVESCO AIM Family of Funds AIM CAPITAL DEVELOPMENT CLASS B ACDBX Non-NTF Growth 2.19 5.00 3 EquityINVESCO AIM Family of Funds AIM CAPITAL DEVELOPMENT CLASS C ACDCX Non-NTF Growth 2.19 1.00 3 EquityINVESCO AIM Family of Funds AIM CAPITAL DEVELOPMENT INSTL CL ACDVX Non-NTF Growth 0.88 None 1 EquityINVESCO AIM Family of Funds AIM CAPITAL DEVLM'T CLASS A ACDAX Non-NTF Growth 1.44 5.50 3 EquityINVESCO AIM Family of Funds AIM CHARTER CLASS A CHTRX Non-NTF Growth 1.26 5.50 3 EquityINVESCO AIM Family of Funds AIM CHARTER CLASS B BCHTX Non-NTF Growth 2.01 5.00 3 EquityINVESCO AIM Family of Funds AIM CHARTER CLASS C CHTCX Non-NTF Growth 2.01 1.00 3 EquityINVESCO AIM Family of Funds AIM CHARTER FD CL I CHTVX Non-NTF Growth 0.75 None 1 EquityINVESCO AIM Family of Funds AIM CHARTER FUND CL Y CHTYX Non-NTF Growth 1.01 None 3 EquityINVESCO AIM Family of Funds AIM CHARTER FUND CLASS R CHRRX Non-NTF Growth 1.51 None 3 EquityINVESCO AIM Family of Funds AIM CHINA FD CL B ABCFX Non-NTF Growth 2.64 5.00 3 EquityINVESCO AIM Family of Funds AIM CHINA FD CL C CACFX Non-NTF Growth 2.64 1.00 3 EquityINVESCO AIM Family of Funds AIM CHINA FD CLASS A AACFX Non-NTF Growth 1.89 5.50 3 EquityINVESCO AIM Family of Funds AIM CHINA FUND CLASS Y AMCYX Non-NTF Growth 1.64 None 3 EquityINVESCO AIM Family of Funds AIM CONSERVATIVE ALLOC FD CL A ACNAX Non-NTF Asset Allocation 0.48 5.50 3 EquityINVESCO AIM Family of Funds AIM CONSERVATIVE ALLOC FD I ACNIX Non-NTF Asset Allocation 0.23 None 1 EquityINVESCO AIM Family of Funds AIM CONSERVATIVE ALLOCATION CL R ACNRX Non-NTF Asset Allocation 0.73 None 3 EquityINVESCO AIM Family of Funds AIM CONSERVATIVE ALLOCATION FD CL B ACNBX Non-NTF Asset Allocation 1.23 5.00 3 EquityINVESCO AIM Family of Funds AIM CONSERVATIVE ALLOCATION FD CL C ACNCX Non-NTF Asset Allocation 1.23 1.00 3 EquityINVESCO AIM Family of Funds AIM CONSETLLATION FUND CLASS R CSTRX Non-NTF Growth 1.67 None 3 EquityINVESCO AIM Family of Funds AIM CONSTELLATION CLASS A CSTGX Non-NTF Growth 1.42 5.50 3 EquityINVESCO AIM Family of Funds AIM CONSTELLATION CLASS B CSTBX Non-NTF Growth 2.17 5.00 3 EquityINVESCO AIM Family of Funds AIM CONSTELLATION CLASS C CSTCX Non-NTF Growth 2.17 1.00 3 EquityINVESCO AIM Family of Funds AIM CONSTELLATION FD CLASS Y CSTYX Non-NTF Growth 1.17 None 3 BondINVESCO AIM Family of Funds AIM CONSTELLATION FD INSTITUTIONAL CL CSITX Non-NTF Growth 0.75 None 1 BondINVESCO AIM Family of Funds AIM CORE BOND FD CL A TBRAX Non-NTF Corporate Bond - General 0.91 4.75 3 BondINVESCO AIM Family of Funds AIM CORE BOND FUND CL Y TBRYX Non-NTF Corporate Bond - General 0.64 None 3 BondINVESCO AIM Family of Funds AIM CORE BOND FUND CLASS B TBRDX Non-NTF Corporate Bond - General 1.66 5.00 3 BondINVESCO AIM Family of Funds AIM CORE BOND FUND CLASS C TBRCX Non-NTF Corporate Bond - General 1.66 1.00 3 BondINVESCO AIM Family of Funds AIM CORE BOND INSTITUTIONAL FD TBRIX Non-NTF Corporate Bond - General 0.6 None 1 BondINVESCO AIM Family of Funds AIM CORE PLUS BOND FUND CL A ACPSX Non-NTF Income 0.84 4.75 3 EquityINVESCO AIM Family of Funds AIM CORE PLUS BOND FUND CL R CPBRX Non-NTF Income 1.09 None 3 BondINVESCO AIM Family of Funds AIM CORE PLUS BOND FUND CL Y CPBYX Non-NTF Income 0.59 None 3 BondINVESCO AIM Family of Funds AIM CORE PLUS BOND FUND CLASS B CPBBX Non-NTF Income 1.59 5.00 3 EquityINVESCO AIM Family of Funds AIM CORE PLUS BOND FUND CLASS C CPCFX Non-NTF Income 1.59 1.00 3 EquityINVESCO AIM Family of Funds AIM DEVELOPING MARKETS CL Y GTDYX Non-NTF Diversified Emerging Markets 1.41 None 3 EquityINVESCO AIM Family of Funds AIM DEVELOPING MARKETS CLASS A GTDDX Non-NTF Diversified Emerging Markets 1.66 5.50 3 EquityINVESCO AIM Family of Funds AIM DEVELOPING MARKETS CLASS B GTDBX Non-NTF Diversified Emerging Markets 2.41 5.00 3 EquityINVESCO AIM Family of Funds AIM DEVELOPING MARKETS CLASS C GTDCX Non-NTF Diversified Emerging Markets 2.41 1.00 3 EquityINVESCO AIM Family of Funds AIM DEVELOPING MARKETS FUND INSTL GTDIX Non-NTF Diversified Emerging Markets 1.17 None 1 EquityINVESCO AIM Family of Funds AIM DISCIPLINED EQUITY CLASS Y AWEIX Non-NTF Growth and Income 1.12 None 3 EquityINVESCO AIM Family of Funds AIM DIVERSIFIED DIVIDEND CLASS A LCEAX Non-NTF Growth and Income 1.11 5.50 3 Equity

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Sales Charge

Settlement Days

Security Class

INVESCO AIM Family of Funds AIM DIVERSIFIED DIVIDEND CLASS B LCEDX Non-NTF Growth and Income 1.86 5.00 3 EquityINVESCO AIM Family of Funds AIM DIVERSIFIED DIVIDEND CLASS C LCEVX Non-NTF Growth and Income 1.86 1.00 3 EquityINVESCO AIM Family of Funds AIM DIVERSIFIED DIVIDEND FUND CL Y LCEYX Non-NTF Growth and Income 0.86 None 3 EquityINVESCO AIM Family of Funds AIM DYNAMICS CLASS A IDYAX Non-NTF Aggressive Growth 1.21 5.50 3 EquityINVESCO AIM Family of Funds AIM DYNAMICS CLASS B IDYBX Non-NTF Aggressive Growth 1.96 5.00 3 EquityINVESCO AIM Family of Funds AIM DYNAMICS CLASS C IFDCX Non-NTF Aggressive Growth 1.96 1.00 3 EquityINVESCO AIM Family of Funds AIM DYNAMICS CLASS R IDYRX Non-NTF Aggressive Growth 1.46 None 3 EquityINVESCO AIM Family of Funds AIM DYNAMICS FUND CL Y IDYYX Non-NTF Aggressive Growth 1.21 None 3 EquityINVESCO AIM Family of Funds AIM DYNAMICS FUND INSTL IDICX Non-NTF Aggressive Growth 0.72 None 1 EquityINVESCO AIM Family of Funds AIM ENERGY CLASS A IENAX Non-NTF Specialty - Natural Resources 1.16 5.50 3 EquityINVESCO AIM Family of Funds AIM ENERGY CLASS B IENBX Non-NTF Specialty - Natural Resources 1.91 5.00 3 EquityINVESCO AIM Family of Funds AIM ENERGY CLASS C IEFCX Non-NTF Specialty - Natural Resources 1.91 1.00 3 EquityINVESCO AIM Family of Funds AIM ENERGY FUND CL Y IENYX Non-NTF Specialty - Natural Resources 1.04 None 3 EquityINVESCO AIM Family of Funds AIM ENERGY INSTL CLASS SHARES IENIX Non-NTF Specialty - Natural Resources 0.7 None 1 EquityINVESCO AIM Family of Funds AIM EUROPEAN GROWTH CLASS A AEDAX Non-NTF Europe Stock 1.64 5.50 3 EquityINVESCO AIM Family of Funds AIM EUROPEAN GROWTH CLASS B AEDBX Non-NTF Europe Stock 2.39 5.00 3 EquityINVESCO AIM Family of Funds AIM EUROPEAN GROWTH CLASS C AEDCX Non-NTF Europe Stock 2.39 1.00 3 EquityINVESCO AIM Family of Funds AIM EUROPEAN GROWTH FUND CLASS Y AEDYX Non-NTF Europe Stock 1.39 None 3 EquityINVESCO AIM Family of Funds AIM EUROPEAN GROWTH FUND R AEDRX Non-NTF Europe Stock 1.89 None 3 EquityINVESCO AIM Family of Funds AIM EUROPEAN SMALL COMPANY CLASS A ESMAX Non-NTF Europe Stock 1.63 5.50 3 EquityINVESCO AIM Family of Funds AIM EUROPEAN SMALL COMPANY CLASS B ESMBX Non-NTF Europe Stock 2.38 5.00 3 EquityINVESCO AIM Family of Funds AIM EUROPEAN SMALL COMPANY CLASS C ESMCX Non-NTF Europe Stock 2.38 1.00 3 EquityINVESCO AIM Family of Funds AIM EUROPEAN SMALL COMPANY FD CL Y ESMYX Non-NTF Europe Stock 1.67 None 3 EquityINVESCO AIM Family of Funds AIM FINANCIAL SERVICES CLASS A IFSAX Non-NTF Specialty - Financial 1.64 5.50 3 EquityINVESCO AIM Family of Funds AIM FINANCIAL SERVICES CLASS B IFSBX Non-NTF Specialty - Financial 2.39 5.00 3 BondINVESCO AIM Family of Funds AIM FINANCIAL SERVICES CLASS C IFSCX Non-NTF Specialty - Financial 2.39 1.00 3 BondINVESCO AIM Family of Funds AIM FLOATING RATE CL A AFRAX Non-NTF Corporate Bond - General 1.24 2.50 3 BondINVESCO AIM Family of Funds AIM FLOATING RATE CL C AFRCX Non-NTF Corporate Bond - General 1.74 1.00 3 BondINVESCO AIM Family of Funds AIM FLOATING RATE FD CLASS Y AFRYX Non-NTF Corporate Bond - General 1 None 3 EquityINVESCO AIM Family of Funds AIM FLOATING RATE FUND INSTL CLASS AFRIX Non-NTF Corporate Bond - General 0.88 None 1 EquityINVESCO AIM Family of Funds AIM GLOBAL CORE EQUITY FD CL B AWSBX Non-NTF World Stock 2.33 5.00 3 EquityINVESCO AIM Family of Funds AIM GLOBAL CORE EQUITY FD CL C AWSCX Non-NTF World Stock 2.33 1.00 3 EquityINVESCO AIM Family of Funds AIM GLOBAL CORE EQUITY FD CLASS A AWSAX Non-NTF World Stock 1.58 5.50 3 EquityINVESCO AIM Family of Funds AIM GLOBAL EQTY FD CL I GNDIX Non-NTF World Stock 1.07 None 1 EquityINVESCO AIM Family of Funds AIM GLOBAL EQUITY CLASS A GTNDX Non-NTF World Stock 1.54 5.50 3 EquityINVESCO AIM Family of Funds AIM GLOBAL EQUITY CLASS B GNDBX Non-NTF World Stock 2.29 5.00 3 EquityINVESCO AIM Family of Funds AIM GLOBAL EQUITY CLASS C GNDCX Non-NTF World Stock 2.29 1.00 3 EquityINVESCO AIM Family of Funds AIM GLOBAL GROWTH CLASS A AGGAX Non-NTF World Stock 1.59 5.50 3 EquityINVESCO AIM Family of Funds AIM GLOBAL GROWTH CLASS B AGGBX Non-NTF World Stock 2.34 5.00 3 EquityINVESCO AIM Family of Funds AIM GLOBAL GROWTH CLASS C AGGCX Non-NTF World Stock 2.34 1.00 3 EquityINVESCO AIM Family of Funds AIM GLOBAL HEALTH CARE CLASS A GGHCX Non-NTF Specialty - Health 1.31 5.50 3 EquityINVESCO AIM Family of Funds AIM GLOBAL HEALTH CARE CLASS B GTHBX Non-NTF Specialty - Health 2.06 5.00 3 EquityINVESCO AIM Family of Funds AIM GLOBAL HEALTH CARE CLASS C GTHCX Non-NTF Specialty - Health 2.06 1.00 3 EquityINVESCO AIM Family of Funds AIM GLOBAL HEALTH CARE FUND CLASS Y GGHYX Non-NTF Specialty - Health 1.06 None 3 EquityINVESCO AIM Family of Funds AIM GLOBAL REAL ESTATE CL A AGREX Non-NTF Specialty - Real Estate 1.59 5.50 3 EquityINVESCO AIM Family of Funds AIM GLOBAL REAL ESTATE CL B BGREX Non-NTF Specialty - Real Estate 2.34 5.00 3 EquityINVESCO AIM Family of Funds AIM GLOBAL REAL ESTATE CL I IGREX Non-NTF Specialty - Real Estate 0.98 None 1 EquityINVESCO AIM Family of Funds AIM GLOBAL REAL ESTATE CLASS C CGREX Non-NTF Specialty - Real Estate 2.34 1.00 3 EquityINVESCO AIM Family of Funds AIM GLOBAL REAL ESTATE FD CL R RGREX Non-NTF Specialty - Real Estate 1.84 None 3 EquityINVESCO AIM Family of Funds AIM GLOBAL REAL ESTATE FUND CL Y ARGYX Non-NTF Specialty - Real Estate 1.4 None 3 EquityINVESCO AIM Family of Funds AIM GLOBAL SMALL AND MID CAP GROWTH CL A AGAAX Non-NTF World Stock 1.61 5.50 3 EquityINVESCO AIM Family of Funds AIM GLOBAL SMALL AND MID CAP GROWTH CL B AGABX Non-NTF World Stock 2.36 5.00 3 EquityINVESCO AIM Family of Funds AIM GLOBAL SMALL AND MID CAP GROWTH CL C AGACX Non-NTF World Stock 2.36 1.00 3 EquityINVESCO AIM Family of Funds AIM GOLD & PRECIOUS METALS CLASS A IGDAX Non-NTF Specialty - Precious Metals 1.46 5.50 3 EquityINVESCO AIM Family of Funds AIM GOLD & PRECIOUS METALS CLASS B IGDBX Non-NTF Specialty - Precious Metals 2.21 5.00 3 EquityINVESCO AIM Family of Funds AIM GOLD & PRECIOUS METALS CLASS C IGDCX Non-NTF Specialty - Precious Metals 2.21 1.00 3 EquityINVESCO AIM Family of Funds AIM GOLD & PRECIOUS METALS FUND CLASS Y IGDYX Non-NTF Specialty - Precious Metals 1.44 None 3 EquityINVESCO AIM Family of Funds AIM GROWTH ALLOCATIO FD CL I AADIX Non-NTF Asset Allocation 0.12 None 1 EquityINVESCO AIM Family of Funds AIM GROWTH ALLOCATION FD CL A AADAX Non-NTF Asset Allocation 0.46 5.50 3 Equity

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Sales Charge

Settlement Days

Security Class

INVESCO AIM Family of Funds AIM GROWTH ALLOCATION FD CL B AAEBX Non-NTF Asset Allocation 1.21 5.00 3 BondINVESCO AIM Family of Funds AIM GROWTH ALLOCATION FD CL C AADCX Non-NTF Asset Allocation 1.21 1.00 3 BondINVESCO AIM Family of Funds AIM HIGH INCOME MUNI BOND CLASS A AHMAX Non-NTF Municipal Bond - National 0.75 4.75 3 BondINVESCO AIM Family of Funds AIM HIGH INCOME MUNI BOND CLASS B AHMBX Non-NTF Municipal Bond - National 1.5 5.00 3 BondINVESCO AIM Family of Funds AIM HIGH INCOME MUNI BOND CLASS C AHMCX Non-NTF Municipal Bond - National 1.5 1.00 3 BondINVESCO AIM Family of Funds AIM HIGH INCOME MUNICIPAL FUND CL Y AHMYX Non-NTF Municipal Bond - National 0.51 None 3 BondINVESCO AIM Family of Funds AIM HIGH YIELD CLASS A AMHYX Non-NTF Corporate Bond - High Yield 1.12 4.75 3 BondINVESCO AIM Family of Funds AIM HIGH YIELD CLASS B AHYBX Non-NTF Corporate Bond - High Yield 1.87 5.00 3 EquityINVESCO AIM Family of Funds AIM HIGH YIELD CLASS C AHYCX Non-NTF Corporate Bond - High Yield 1.87 1.00 3 BondINVESCO AIM Family of Funds AIM HIGH YIELD FUND CLASS Y AHHYX Non-NTF Corporate Bond - High Yield 0.87 None 3 EquityINVESCO AIM Family of Funds AIM HIGH YLD PORT CL I AHIYX Non-NTF Corporate Bond - High Yield 0.68 None 1 EquityINVESCO AIM Family of Funds AIM INCOME ALLOCATION CL B BLIAX Non-NTF Asset Allocation 1.03 5.00 3 EquityINVESCO AIM Family of Funds AIM INCOME ALLOCATION CL C CLIAX Non-NTF Asset Allocation 1.03 1.00 3 EquityINVESCO AIM Family of Funds AIM INCOME ALLOCATION FD CL A ALAAX Non-NTF Asset Allocation 0.28 5.50 3 BondINVESCO AIM Family of Funds AIM INCOME ALLOCATION R RLIAX Non-NTF Asset Allocation 0.53 None 3 BondINVESCO AIM Family of Funds AIM INCOME CL R AMIRX Non-NTF Corporate Bond - General 1.43 None 3 BondINVESCO AIM Family of Funds AIM INCOME CLASS A AMIFX Non-NTF Corporate Bond - General 1.18 4.75 3 BondINVESCO AIM Family of Funds AIM INCOME CLASS B ABIFX Non-NTF Corporate Bond - General 1.93 5.00 3 EquityINVESCO AIM Family of Funds AIM INCOME CLASS C ACIFX Non-NTF Corporate Bond - General 1.93 1.00 3 EquityINVESCO AIM Family of Funds AIM INTERNATINAL EQUITY CLASS B IBVBX Non-NTF Foreign Stock 2.37 5.00 3 EquityINVESCO AIM Family of Funds AIM INTERNATIONAL ALLOCATION CL A AINAX Non-NTF Asset Allocation 0.44 5.50 3 EquityINVESCO AIM Family of Funds AIM INTERNATIONAL ALLOCATION CL B INABX Non-NTF Asset Allocation 1.19 5.00 3 EquityINVESCO AIM Family of Funds AIM INTERNATIONAL ALLOCATION CL C INACX Non-NTF Asset Allocation 1.19 1.00 3 EquityINVESCO AIM Family of Funds AIM INTERNATIONAL ALLOCATION FD CL Y AINYX Non-NTF Asset Allocation 0.19 None 3 EquityINVESCO AIM Family of Funds AIM INTERNATIONAL ALLOCATION FD INSTL INAIX Non-NTF Asset Allocation 0.15 None 1 EquityINVESCO AIM Family of Funds AIM INTERNATIONAL CORE EQUITY CLASS A IBVAX Non-NTF Foreign Stock 1.62 5.50 3 EquityINVESCO AIM Family of Funds AIM INTERNATIONAL CORE EQUITY CLASS C IBVCX Non-NTF Foreign Stock 2.37 1.00 3 EquityINVESCO AIM Family of Funds AIM INTERNATIONAL GROWTH CLASS A AIIEX Non-NTF Foreign Stock 1.49 5.50 3 EquityINVESCO AIM Family of Funds AIM INTERNATIONAL GROWTH CLASS B AIEBX Non-NTF Foreign Stock 2.24 5.00 3 EquityINVESCO AIM Family of Funds AIM INTERNATIONAL GROWTH CLASS C AIECX Non-NTF Foreign Stock 2.24 1.00 3 EquityINVESCO AIM Family of Funds AIM INTERNATIONAL GROWTH CLASS R AIERX Non-NTF Foreign Stock 1.74 None 3 EquityINVESCO AIM Family of Funds AIM INTERNATIONAL GROWTH FD INSTL CL AIEVX Non-NTF Foreign Stock 1.01 None 1 EquityINVESCO AIM Family of Funds AIM INTERNATIONAL GROWTH FUND CL Y AIIYX Non-NTF Foreign Stock 1.24 None 3 EquityINVESCO AIM Family of Funds AIM INTERNATIONAL SMALL COMPANY CL A IEGAX Non-NTF Foreign Stock 1.57 5.50 3 EquityINVESCO AIM Family of Funds AIM INTERNATIONAL SMALL COMPANY CL B IEGBX Non-NTF Foreign Stock 2.32 5.00 3 EquityINVESCO AIM Family of Funds AIM INTERNATIONAL SMALL COMPANY CL C IEGCX Non-NTF Foreign Stock 2.32 1.00 3 BondINVESCO AIM Family of Funds AIM INTERNATIONAL SMALL COMPANY INSTL IEGIX Non-NTF Foreign Stock 1.13 None 1 BondINVESCO AIM Family of Funds AIM INTERNATIONAL TOTAL RETURN CL A AUBAX Non-NTF Worldwide Bond 1.1 4.75 3 BondINVESCO AIM Family of Funds AIM INTERNATIONAL TOTAL RETURN CL B AUBBX Non-NTF Worldwide Bond 1.85 5.00 3 EquityINVESCO AIM Family of Funds AIM INTERNATIONAL TOTAL RETURN CLASS C AUBCX Non-NTF Worldwide Bond 1.85 1.00 3 EquityINVESCO AIM Family of Funds AIM INTL ALLOCATION R RINAX Non-NTF Asset Allocation 0.69 None 3 EquityINVESCO AIM Family of Funds AIM INTL SMALL COMPANY FD CL Y IEGYX Non-NTF Foreign Stock 1.63 None 3 EquityINVESCO AIM Family of Funds AIM JAPAN FD CL B AJFBX Non-NTF Growth 2.65 5.00 3 EquityINVESCO AIM Family of Funds AIM JAPAN FD CL C AJFCX Non-NTF Growth 2.65 1.00 3 EquityINVESCO AIM Family of Funds AIM JAPAN FD CLASS A AJFAX Non-NTF Growth 1.9 5.50 3 EquityINVESCO AIM Family of Funds AIM LARGE CAP BASIC VALUE CL R LCBRX Non-NTF Growth 1.57 None 3 EquityINVESCO AIM Family of Funds AIM LARGE CAP BASIC VALUE CLASS A LCBAX Non-NTF Growth 1.32 5.50 3 EquityINVESCO AIM Family of Funds AIM LARGE CAP BASIC VALUE CLASS B LCBBX Non-NTF Growth 2.07 5.00 3 EquityINVESCO AIM Family of Funds AIM LARGE CAP BASIC VALUE CLASS C LCBCX Non-NTF Growth 2.07 1.00 3 EquityINVESCO AIM Family of Funds AIM LARGE CAP BASIC VALUE FD CL I LCBIX Non-NTF Growth 0.82 None 1 EquityINVESCO AIM Family of Funds AIM LARGE CAP GROWTH CL R LCRGX Non-NTF Growth 1.63 None 3 EquityINVESCO AIM Family of Funds AIM LARGE CAP GROWTH FD CL I LCIGX Non-NTF Growth 0.76 None 1 EquityINVESCO AIM Family of Funds AIM LARGE CAP GROWTH FUND CL Y LCGYX Non-NTF Growth 1.13 None 3 EquityINVESCO AIM Family of Funds AIM LARGE CAPITAL GROWTH CLASS A LCGAX Non-NTF Growth 1.38 5.50 3 EquityINVESCO AIM Family of Funds AIM LARGE CAPITAL GROWTH CLASS B LCGBX Non-NTF Growth 2.13 5.00 3 EquityINVESCO AIM Family of Funds AIM LARGE CAPITAL GROWTH CLASS C LCGCX Non-NTF Growth 2.13 1.00 3 EquityINVESCO AIM Family of Funds AIM LEISURE CL R ILSRX Non-NTF Specialty - Unaligned 1.61 None 3 EquityINVESCO AIM Family of Funds AIM LEISURE CLASS A ILSAX Non-NTF Specialty - Unaligned 1.36 5.50 3 EquityINVESCO AIM Family of Funds AIM LEISURE CLASS B ILSBX Non-NTF Specialty - Unaligned 2.11 5.00 3 Bond

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Sales Charge

Settlement Days

Security Class

INVESCO AIM Family of Funds AIM LEISURE CLASS C IVLCX Non-NTF Specialty - Unaligned 2.11 1.00 3 BondINVESCO AIM Family of Funds AIM LIBOR ALPHA CL A EASBX Non-NTF Corporate Bond - General 0.83 2.50 3 BondINVESCO AIM Family of Funds AIM LIBOR ALPHA CL C CESBX Non-NTF Corporate Bond - General 1.08 1.00 3 BondINVESCO AIM Family of Funds AIM LIMITED MATURITY TREASURY CL A LMTAX Non-NTF Government Bond - Treasury 0.72 2.50 3 BondINVESCO AIM Family of Funds AIM LIMITED MATURITY TREASURY FUND CL I ALMIX Non-NTF Government Bond - Treasury 0.35 None 1 EquityINVESCO AIM Family of Funds AIM LIQUID ASSET PORTFOLIO QALPQ Non-NTF None 0 EquityINVESCO AIM Family of Funds AIM MID CAP BASIC VALUE CL A MDCAX Non-NTF Growth 1.56 5.50 3 EquityINVESCO AIM Family of Funds AIM MID CAP BASIC VALUE CL B MDCBX Non-NTF Growth 2.31 5.00 3 EquityINVESCO AIM Family of Funds AIM MID CAP BASIC VALUE CLASS C MDCVX Non-NTF Growth 2.31 1.00 3 EquityINVESCO AIM Family of Funds AIM MID CAP BASIC VALUE CLASS R MDCRX Non-NTF Growth 1.81 None 3 EquityINVESCO AIM Family of Funds AIM MID CAP BASIC VALUE FD CL I MDICX Non-NTF Growth 0.91 None 1 EquityINVESCO AIM Family of Funds AIM MID CAP BASIC VALUE FD CLASS Y MDCYX Non-NTF Growth 1.5 None 3 EquityINVESCO AIM Family of Funds AIM MID CAP CORE EQ FD CL INSTL GTAVX Non-NTF Growth 0.85 None 1 EquityINVESCO AIM Family of Funds AIM MID CAP CORE EQUITY CLASS A GTAGX Non-NTF Growth 1.25 5.50 3 EquityINVESCO AIM Family of Funds AIM MID CAP CORE EQUITY CLASS B GTABX Non-NTF Growth 2 5.00 3 EquityINVESCO AIM Family of Funds AIM MID CAP CORE EQUITY CLASS C GTACX Non-NTF Growth 2 1.00 3 EquityINVESCO AIM Family of Funds AIM MID CAP CORE EQUITY FUND CLASS R GTARX Non-NTF Growth 1.5 None 3 EquityINVESCO AIM Family of Funds AIM MID CAP CORE FUND CL Y GTAYX Non-NTF Growth 1.06 None 3 EquityINVESCO AIM Family of Funds AIM MOD CONSERVATIVE ALLOCATION CL A CAAMX Non-NTF Asset Allocation 0.39 5.50 3 EquityINVESCO AIM Family of Funds AIM MOD CONSERVATIVE ALLOCATION CL C CACMX Non-NTF Asset Allocation 1.14 1.00 3 EquityINVESCO AIM Family of Funds AIM MOD GROWTH ALLOCATION CL A AAMGX Non-NTF Asset Allocation 0.37 5.50 3 EquityINVESCO AIM Family of Funds AIM MODERATE ALLOC FD CL A AMKAX Non-NTF Asset Allocation 0.37 5.50 3 EquityINVESCO AIM Family of Funds AIM MODERATE ALLOC FUND CL B AMKBX Non-NTF Asset Allocation 1.12 5.00 3 EquityINVESCO AIM Family of Funds AIM MODERATE ALLOCATION CL R AMKRX Non-NTF Asset Allocation 0.62 None 3 EquityINVESCO AIM Family of Funds AIM MODERATE ALLOCATION FD CL C AMKCX Non-NTF Asset Allocation 1.12 1.00 3 EquityINVESCO AIM Family of Funds AIM MODERATE ALLOCTN FD CL I AMLIX Non-NTF Asset Allocation 0.13 None 1 EquityINVESCO AIM Family of Funds AIM MODERATE CONSERV ALLOCATION FD CL B CMBAX Non-NTF Asset Allocation 1.14 5.00 3 EquityINVESCO AIM Family of Funds AIM MODERATE GROWTH ALLOC FD CL I AIMGX Non-NTF Asset Allocation 0.13 None 1 EquityINVESCO AIM Family of Funds AIM MODERATE GROWTH ALLOCATION CL R RAMGX Non-NTF Asset Allocation 0.62 None 3 EquityINVESCO AIM Family of Funds AIM MODERATE GROWTH ALLOCATION CLASS C ACMGX Non-NTF Asset Allocation 1.12 1.00 3 EquityINVESCO AIM Family of Funds AIM MODERATE GROWTH ALLOCATION FD CL B AMBGX Non-NTF Asset Allocation 1.12 5.00 3 EquityINVESCO AIM Family of Funds AIM MONEY MARKET CLASS C QEQTQ Non-NTF 1.00 1 EquityINVESCO AIM Family of Funds AIM MONEY MARKET INVESTOR CLASS INAXX Non-NTF None 1 EquityINVESCO AIM Family of Funds AIM MULTI SECTOR CLASS C ICMSX Non-NTF Growth 2.14 1.00 3 EquityINVESCO AIM Family of Funds AIM MULTI SECTOR FD CL I IIMSX Non-NTF Growth 0.81 None 1 EquityINVESCO AIM Family of Funds AIM MULTI-SECTOR CLASS A IAMSX Non-NTF Growth 1.39 5.50 3 BondINVESCO AIM Family of Funds AIM MULTI-SECTOR CLASS B IBMSX Non-NTF Growth 2.14 5.00 3 BondINVESCO AIM Family of Funds AIM MUNICIPAL BOND CLASS A AMBDX Non-NTF Municipal Bond - National 0.74 4.75 3 BondINVESCO AIM Family of Funds AIM MUNICIPAL BOND CLASS B AMBBX Non-NTF Municipal Bond - National 1.49 5.00 3 EquityINVESCO AIM Family of Funds AIM MUNICIPAL BOND CLASS C AMBCX Non-NTF Municipal Bond - National 1.49 1.00 3 EquityINVESCO AIM Family of Funds AIM MUNICIPAL BOND FD CLASS Y AMBYX Non-NTF Municipal Bond - National 0.46 None 3 EquityINVESCO AIM Family of Funds AIM PREMIER PORTFLIO FD CL INVESTOR IMRXX Non-NTF None 1 EquityINVESCO AIM Family of Funds AIM PREMIER TAX EXEMPT CL INVESTOR ITTXX Non-NTF None 1 EquityINVESCO AIM Family of Funds AIM REAL ESTATE CLASS A IARAX Non-NTF Specialty - Real Estate 1.43 5.50 3 EquityINVESCO AIM Family of Funds AIM REAL ESTATE CLASS B AARBX Non-NTF Specialty - Real Estate 2.18 5.00 3 EquityINVESCO AIM Family of Funds AIM REAL ESTATE CLASS C IARCX Non-NTF Specialty - Real Estate 2.18 1.00 3 EquityINVESCO AIM Family of Funds AIM REAL ESTATE FUND CL INSTL IARIX Non-NTF Specialty - Real Estate 0.9 None 1 EquityINVESCO AIM Family of Funds AIM REAL ESTATE FUND CL Y IARYX Non-NTF Specialty - Real Estate 1.25 None 3 EquityINVESCO AIM Family of Funds AIM REAL ESTATE FUND CLASS R IARRX Non-NTF Specialty - Real Estate 1.68 None 3 EquityINVESCO AIM Family of Funds AIM SELECT EQUITY CL A AGWFX Non-NTF Growth 1.52 5.50 3 EquityINVESCO AIM Family of Funds AIM SELECT EQUITY CL B AGWBX Non-NTF Growth 2.27 5.00 3 EquityINVESCO AIM Family of Funds AIM SELECT EQUITY CL C AGWCX Non-NTF Growth 2.27 1.00 3 EquityINVESCO AIM Family of Funds AIM SELECT REAL ESTATE CL A ASRAX Non-NTF Specialty - Real Estate 1.73 5.50 3 EquityINVESCO AIM Family of Funds AIM SELECT REAL ESTATE INCOME CL B SARBX Non-NTF Specialty - Real Estate 2.48 5.00 3 EquityINVESCO AIM Family of Funds AIM SELECT REAL ESTATE INCOME CL C ASRCX Non-NTF Specialty - Real Estate 2.48 1.00 3 EquityINVESCO AIM Family of Funds AIM SELECT REAL ESTATE INCOME CL Y ASRYX Non-NTF Specialty - Real Estate 1.53 None 3 BondINVESCO AIM Family of Funds AIM SELECT REAL ESTATE INSTL CL ASRIX Non-NTF Specialty - Real Estate 1.11 None 1 BondINVESCO AIM Family of Funds AIM SHORT TERM BOND CL C STBCX Non-NTF Corporate Bond - General 1.02 None 3 BondINVESCO AIM Family of Funds AIM SHORT TERM BOND FD CL A STBAX Non-NTF Corporate Bond - General 0.77 2.50 3 Bond

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Sales Charge

Settlement Days

Security Class

INVESCO AIM Family of Funds AIM SHORT TERM BOND FD CL I ISTBX Non-NTF Corporate Bond - General 0.49 None 1 BondINVESCO AIM Family of Funds AIM SHORT TERM BOND FUND CL Y STBYX Non-NTF Corporate Bond - General 0.51 None 3 EquityINVESCO AIM Family of Funds AIM SHORT TERM BOND FUND CLASS R STBRX Non-NTF Corporate Bond - General 1.02 None 3 EquityINVESCO AIM Family of Funds AIM SMALL CAP EQUITY CLASS A SMEAX Non-NTF Small Company 1.41 5.50 3 EquityINVESCO AIM Family of Funds AIM SMALL CAP EQUITY CLASS B SMEBX Non-NTF Small Company 2.16 5.00 3 EquityINVESCO AIM Family of Funds AIM SMALL CAP EQUITY CLASS C SMECX Non-NTF Small Company 2.16 1.00 3 EquityINVESCO AIM Family of Funds AIM SMALL CAP EQUITY FD CL I SMEIX Non-NTF Small Company 0.84 None 1 EquityINVESCO AIM Family of Funds AIM SMALL CAP EQUITY FUND CLASS Y SMEYX Non-NTF Small Company 1.29 None 3 EquityINVESCO AIM Family of Funds AIM SMALL CAP EQUITY FUND R SMERX Non-NTF Small Company 1.66 None 3 EquityINVESCO AIM Family of Funds AIM SMALL CAP GROWTH CLASS A GTSAX Non-NTF Small Company 1.28 5.50 3 EquityINVESCO AIM Family of Funds AIM SMALL CAP GROWTH CLASS B GTSBX Non-NTF Small Company 2.03 5.00 3 EquityINVESCO AIM Family of Funds AIM SMALL CAP GROWTH CLASS C GTSDX Non-NTF Small Company 2.03 1.00 3 EquityINVESCO AIM Family of Funds AIM SMALL CAP GROWTH FD CL I GTSVX Non-NTF Small Company 0.86 None 1 EquityINVESCO AIM Family of Funds AIM SMALL CAP GROWTH FUND CLASS R GTSRX Non-NTF Small Company 1.53 None 3 EquityINVESCO AIM Family of Funds AIM STRUCTURED CORE FD CL A SCAUX Non-NTF Growth 0.66 5.50 3 EquityINVESCO AIM Family of Funds AIM STRUCTURED CORE FD CL B SBCUX Non-NTF Growth 1.41 5.00 3 EquityINVESCO AIM Family of Funds AIM STRUCTURED CORE FUND - INSTITUTIONAL SCIUX Non-NTF Growth 0.41 None 1 EquityINVESCO AIM Family of Funds AIM STRUCTURED CORE FUND CL C SCCUX Non-NTF Growth 1.41 1.00 3 EquityINVESCO AIM Family of Funds AIM STRUCTURED GROWTH FD B BASGX Non-NTF Growth 1.76 5.00 3 EquityINVESCO AIM Family of Funds AIM STRUCTURED GRWTH FD A AASGX Non-NTF Growth 1.01 5.50 3 EquityINVESCO AIM Family of Funds AIM STRUCTURED GRWTH FD C CASGX Non-NTF Growth 1.76 1.00 3 EquityINVESCO AIM Family of Funds AIM STRUCTURED VALUE FD B ASBVX Non-NTF Growth 1.76 5.00 3 EquityINVESCO AIM Family of Funds AIM STRUCTURED VALUE FD CL A ASAVX Non-NTF Growth 1.01 5.50 3 EquityINVESCO AIM Family of Funds AIM SUMMIT CLASS A ASMMX Non-NTF Growth 1.12 5.50 3 EquityINVESCO AIM Family of Funds AIM SUMMIT CLASS B BSMMX Non-NTF Growth 1.87 5.00 1 EquityINVESCO AIM Family of Funds AIM SUMMIT FUND CL Y ASMYX Non-NTF Growth 0.87 None 3 BondINVESCO AIM Family of Funds AIM TAX FREE CASH RESERVES INST. QAFIQ Non-NTF None 0 EquityINVESCO AIM Family of Funds AIM TAX FREE INTERMEDIATE CL A ATFAX Non-NTF Municipal Bond - National 0.69 2.50 1 BondINVESCO AIM Family of Funds AIM TAX FREE INTERMEDIATE FD CL Y ATFYX Non-NTF Municipal Bond - National 0.45 None 3 BondINVESCO AIM Family of Funds AIM TAX FREE INTERMEDIATE SHRS A2 AITFX Non-NTF Municipal Bond - National 0.44 1.00 1 EquityINVESCO AIM Family of Funds AIM TAX FREE INTRMDT FD CL INSTL ATFIX Non-NTF Municipal Bond - National 0.5 None 1 EquityINVESCO AIM Family of Funds AIM TECH FD CL I FTPIX Non-NTF Specialty - Technology 0.9 None 1 EquityINVESCO AIM Family of Funds AIM TECHNOLOGY CLASS A ITYAX Non-NTF Specialty - Technology 1.55 5.50 3 EquityINVESCO AIM Family of Funds AIM TECHNOLOGY CLASS B ITYBX Non-NTF Specialty - Technology 2.3 5.00 3 EquityINVESCO AIM Family of Funds AIM TECHNOLOGY FUND CL Y ITYYX Non-NTF Specialty - Technology 1.3 None 3 EquityINVESCO AIM Family of Funds AIM TREASURY PORT QATTQ Non-NTF None 0 EquityINVESCO AIM Family of Funds AIM TRIMARK ENDEAVOR CLASS R ATDRX Non-NTF Growth 1.96 None 3 EquityINVESCO AIM Family of Funds AIM TRIMARK ENDEAVOR FD CL A ATDAX Non-NTF Growth 1.71 5.50 3 EquityINVESCO AIM Family of Funds AIM TRIMARK ENDEAVOR FD CL I ATDIX Non-NTF Growth 1.08 None 1 EquityINVESCO AIM Family of Funds AIM TRIMARK ENDEAVOR FUND CL B ATDBX Non-NTF Growth 2.46 5.00 3 EquityINVESCO AIM Family of Funds AIM TRIMARK ENDEAVOR FUND CL C ATDCX Non-NTF Growth 2.46 1.00 3 EquityINVESCO AIM Family of Funds AIM TRIMARK ENDEAVOR FUND CLASS Y ATDYX Non-NTF Growth 1.46 None 3 EquityINVESCO AIM Family of Funds AIM TRIMARK FD INSTL CL ATKIX Non-NTF World Stock 1.87 None 1 EquityINVESCO AIM Family of Funds AIM TRIMARK FUND CLASS A ATKAX Non-NTF World Stock 2.2 5.50 3 EquityINVESCO AIM Family of Funds AIM TRIMARK FUND CLASS B ATKBX Non-NTF World Stock 2.95 5.00 3 EquityINVESCO AIM Family of Funds AIM TRIMARK FUND CLASS C ATKCX Non-NTF World Stock 2.95 1.00 3 EquityINVESCO AIM Family of Funds AIM TRIMARK SMALL CO FUND CL C ATICX Non-NTF Small Company 2.22 1.00 3 EquityINVESCO AIM Family of Funds AIM TRIMARK SMALL CO FUND CLASS R ATIRX Non-NTF Small Company 1.72 None 3 EquityINVESCO AIM Family of Funds AIM TRIMARK SMALL COMPANIES CL A ATIAX Non-NTF Small Company 1.47 5.50 3 EquityINVESCO AIM Family of Funds AIM TRIMARK SMALL COMPANIES CL B ATIBX Non-NTF Small Company 2.22 5.00 3 EquityINVESCO AIM Family of Funds AIM TRIMARK SMALL COMPANIES FD CL I ATIIX Non-NTF Small Company 0.94 None 1 BondINVESCO AIM Family of Funds AIM TRIMARK SMALL COMPANIES FUND CL Y ATIYX Non-NTF Small Company 1.22 None 3 BondINVESCO AIM Family of Funds AIM US GOV'T FUND CLASS A AGOVX Non-NTF Government Bond - General 0.98 4.75 3 BondINVESCO AIM Family of Funds AIM US GOV'T FUND CLASS B AGVBX Non-NTF Government Bond - General 1.73 5.00 3 BondINVESCO AIM Family of Funds AIM US GOV'T FUND CLASS C AGVCX Non-NTF Government Bond - General 1.73 1.00 3 BondINVESCO AIM Family of Funds AIM US GOV'T FUND CLASS I AGOIX Non-NTF Government Bond - General 0.52 None 1 EquityINVESCO AIM Family of Funds AIM US GOV'T FUND CLASS R AGVRX Non-NTF Government Bond - General 1.23 None 3 EquityINVESCO AIM Family of Funds AIM UTILITIES CLASS A IAUTX Non-NTF Specialty - Utility 1.48 5.50 3 EquityINVESCO AIM Family of Funds AIM UTILITIES CLASS B IBUTX Non-NTF Specialty - Utility 2.23 5.00 3 Equity

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Sales Charge

Settlement Days

Security Class

INVESCO AIM Family of Funds AIM UTILITIES CLASS C IUTCX Non-NTF Specialty - Utility 2.23 1.00 3 EquityINVESCO AIM Family of Funds ATST PREMIER PORTFOL FD CL I IPPXX Non-NTF None 1 EquityINVESCO AIM Family of Funds ATST PREMIER TAX EXMPT PRTFLIO CL I PEIXX Non-NTF None 1 BondINVESCO AIM Family of Funds INVESCO INTL CORE EQUITY CLASS R IIBRX Non-NTF Foreign Stock 1.87 None 3 BondISI Funds ISI MANAGED MUNICIPAL FD MUNIX Non-NTF Municipal Bond - National 0.97 3.00 3 BondISI Funds ISI NORTH AMERICAN GOVERNMENT BOND FUND NOAMX Non-NTF Worldwide Bond 1.13 3.00 3 EquityISI Funds ISI NORTH AMERICAN GOV'T BOND CLASS C NORCX Non-NTF Worldwide Bond 1.76 1.00 3 BondISI Funds ISI STRATEGY FUND STRTX Non-NTF Asset Allocation 1.1 3.00 3 EquityISI Funds ISI TOTAL RETURN US TREASURY FUND TRUSX Non-NTF Government Bond - Treasury 0.8 3.00 3 EquityIVA Funds IVA INTERNATIONAL FUND CL A IVIOX Non-NTF Growth 1.4 5.00 1 EquityIVA Funds IVA INTERNATIONAL FUND CL C IVICX Non-NTF Growth 2.15 1.00 1 EquityIVA Funds IVA INTERNATIONAL FUND CL I IVIQX Non-NTF Growth 1.15 None 1 EquityIVA Funds IVA WORLDWIDE FUND CL A IVWAX Non-NTF Growth 1.36 5.00 1 EquityIVA Funds IVA WORLDWIDE FUND CL C IVWCX Non-NTF Growth 2.12 1.00 1 EquityIVA Funds IVA WORLDWIDE FUND CL I IVWIX Non-NTF Growth 1.14 None 1 EquityIvy Funds IVY ASSET STRATEGIC CL B WASBX Non-NTF Asset Allocation 1.87 5.00 3 EquityIvy Funds IVY ASSET STRATEGY CL A WASAX Non-NTF Asset Allocation 1.03 5.75 3 EquityIvy Funds IVY ASSET STRATEGY CL C WASCX Non-NTF Asset Allocation 1.8 1.00 3 EquityIvy Funds IVY ASSET STRATEGY CL Y WASYX Non-NTF Asset Allocation 1.03 None 3 EquityIvy Funds IVY ASSET STRATEGY FUND CL I IVAEX Non-NTF Asset Allocation 0.79 None 3 EquityIvy Funds IVY BALANCED CLASS A IBNAX Non-NTF Asset Allocation 1.36 5.75 3 EquityIvy Funds IVY BALANCED CLASS B IBNBX Non-NTF Asset Allocation 2.28 5.00 3 BondIvy Funds IVY BALANCED CLASS C IBNCX Non-NTF Asset Allocation 1.96 1.00 3 BondIvy Funds IVY BOND CLASS A IBOAX Non-NTF Corporate Bond - General 1.25 5.75 3 BondIvy Funds IVY BOND CLASS B IBOBX Non-NTF Corporate Bond - General 2.6 5.00 3 EquityIvy Funds IVY BOND FUND CL C IBOCX Non-NTF Corporate Bond - General 2.06 1.00 3 EquityIvy Funds IVY CAPITAL APP FUND CLASS A WMEAX Non-NTF Growth 1.31 5.75 3 EquityIvy Funds IVY CAPITAL APPRECIATION CL Y WMEYX Non-NTF Growth 1.16 None 3 EquityIvy Funds IVY CAPITAL APPRECIATION FD B WMEBX Non-NTF Growth 2.29 5.00 3 EquityIvy Funds IVY CAPITAL APPRECIATION FD CL C WMECX Non-NTF Growth 2.03 1.00 3 EquityIvy Funds IVY CAPITAL APPRECIATION FD CL I IVAIX Non-NTF Growth 0.9 None 3 EquityIvy Funds IVY CORE EQUITY CL A WCEAX Non-NTF Growth and Income 1.46 5.75 3 EquityIvy Funds IVY CORE EQUITY CL B WCEBX Non-NTF Growth and Income 2.48 5.00 3 EquityIvy Funds IVY CORE EQUITY CL C WTRCX Non-NTF Growth and Income 2.21 1.00 3 EquityIvy Funds IVY CORE EQUITY CL I ICIEX Non-NTF Growth and Income 0.97 None 3 EquityIvy Funds IVY CORE EQUITY CL Y WCEYX Non-NTF Growth and Income 1.23 None 3 EquityIvy Funds IVY CUNDILL GLOBAL VALUE CL I ICVIX Non-NTF World Stock 1.25 None 3 EquityIvy Funds IVY CUNDILL GLOBAL VALUE CL Y ICDYX Non-NTF World Stock 1.19 None 3 EquityIvy Funds IVY CUNDILL GLOBAL VALUE CLASS A ICDAX Non-NTF World Stock 1.81 5.75 3 EquityIvy Funds IVY CUNDILL GLOBAL VALUE CLASS B ICDBX Non-NTF World Stock 2.71 5.00 3 EquityIvy Funds IVY CUNDILL GLOBAL VALUE CLASS C ICDCX Non-NTF World Stock 2.42 1.00 3 EquityIvy Funds IVY DIVIDEND OPPORTUNITES CL Y IVDYX Non-NTF Growth and Income 1.24 None 3 EquityIvy Funds IVY DIVIDEND OPPORTUNITIES CL A IVDAX Non-NTF Growth and Income 1.4 5.75 3 EquityIvy Funds IVY DIVIDEND OPPORTUNITIES CL B IVDBX Non-NTF Growth and Income 2.43 5.00 3 EquityIvy Funds IVY DIVIDEND OPPORTUNITIES CL C IVDCX Non-NTF Growth and Income 2.11 1.00 3 EquityIvy Funds IVY DIVIDEND OPPORTUNITIES CL I IVDIX Non-NTF Growth and Income 0.99 None 3 EquityIvy Funds IVY ENERGY FUND CL A IEYAX Non-NTF Specialty - Natural Resources 1.6 5.75 3 EquityIvy Funds IVY ENERGY FUND CL B IEYBX Non-NTF Specialty - Natural Resources 2.6 5.00 3 EquityIvy Funds IVY ENERGY FUND CL C IEYCX Non-NTF Specialty - Natural Resources 2.5 1.00 3 EquityIvy Funds IVY ENERGY FUND CL Y IEYYX Non-NTF Specialty - Natural Resources 1.6 None 3 EquityIvy Funds IVY EUROPEAN OPPORT CL Y IEOYX Non-NTF Growth 1.49 None 3 EquityIvy Funds IVY EUROPEAN OPPORTUNITIES CL I IEOIX Non-NTF Growth 1.22 None 3 EquityIvy Funds IVY EUROPEAN OPPTIES CLASS A IEOAX Non-NTF Growth 1.84 5.75 3 EquityIvy Funds IVY EUROPEAN OPPTIES CLASS B IEOBX Non-NTF Growth 2.73 5.00 3 BondIvy Funds IVY EUROPEAN OPPTIES CLASS C IEOCX Non-NTF Growth 2.47 1.00 3 BondIvy Funds IVY GLOBAL BOND FUND A SHARES IVSAX Non-NTF Income 1.01 5.75 3 BondIvy Funds IVY GLOBAL BOND FUND CL I IVSIX Non-NTF Income 0.76 None 3 BondIvy Funds IVY GLOBAL BOND FUND CLASS C IVSCX Non-NTF Income 1.74 1.00 3 EquityIvy Funds IVY GLOBAL FUND CLASS B IVSBX Non-NTF Income 1.76 5.00 3 Equity

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Security Class

Ivy Funds IVY GLOBAL NAT RESOURCES CL Y IGNYX Non-NTF Growth 1.2 None 3 EquityIvy Funds IVY GLOBAL NATURAL RESOURCES CLASS A IGNAX Non-NTF Growth 1.4 5.75 3 EquityIvy Funds IVY GLOBAL NATURAL RESOURCES CLASS B IGNBX Non-NTF Growth 2.19 5.00 3 EquityIvy Funds IVY GLOBAL NATURAL RESOURCES CLASS C IGNCX Non-NTF Growth 2.1 1.00 3 EquityIvy Funds IVY GLOBAL NATURAL RESOURCES FD CL I IGNIX Non-NTF Growth 1.05 None 3 BondIvy Funds IVY GLOBAL NATURAL RESOURCES FD R IGNRX Non-NTF Growth 1.57 None 3 BondIvy Funds IVY HIGH INCOME CL A WHIAX Non-NTF Income 1.34 5.75 3 BondIvy Funds IVY HIGH INCOME CL B WHIBX Non-NTF Income 2.46 5.00 3 BondIvy Funds IVY HIGH INCOME CL C WRHIX Non-NTF Income 2.1 1.00 3 BondIvy Funds IVY HIGH INCOME CLASS I IVHIX Non-NTF Income 0.9 None 3 EquityIvy Funds IVY HIGH INCOME CLASS Y WHIYX Non-NTF Income 1.14 None 3 EquityIvy Funds IVY INTERNATIONAL BALANCED CLASS A IVBAX Non-NTF Multi-Asset Global 1.46 5.75 3 EquityIvy Funds IVY INTERNATIONAL BALANCED CLASS B IVBBX Non-NTF Multi-Asset Global 2.44 5.00 3 EquityIvy Funds IVY INTERNATIONAL BALANCED CLASS C IVBCX Non-NTF Multi-Asset Global 2.13 1.00 3 EquityIvy Funds IVY INTERNATIONAL BALANCED FD CL Y IVBYX Non-NTF Multi-Asset Global 1.33 None 3 EquityIvy Funds IVY INTERNATIONAL CORE EQUITY CL I ICEIX Non-NTF Aggressive Growth 1.12 None 3 EquityIvy Funds IVY INTERNATIONAL CORE EQUITY CL Y IVVYX Non-NTF Aggressive Growth 1.38 None 3 EquityIvy Funds IVY INTERNATIONAL CORE EQUITY FD CL A IVIAX Non-NTF Aggressive Growth 1.64 5.75 3 EquityIvy Funds IVY INTERNATIONAL CORE EQUITY FD CL B IIFBX Non-NTF Aggressive Growth 2.55 5.00 3 EquityIvy Funds IVY INTERNATIONAL CORE EQUITY FD CL C IVIFX Non-NTF Aggressive Growth 2.29 1.00 3 EquityIvy Funds IVY INTERNATIONAL GROWTH CLASS I IGIIX Non-NTF Growth 1.18 None 3 EquityIvy Funds IVY INTERNATIONAL GROWTH FD CL A IVINX Non-NTF Growth 1.57 5.75 3 EquityIvy Funds IVY INTERNATIONAL GROWTH FD CL B IVIBX Non-NTF Growth 2.62 5.00 3 EquityIvy Funds IVY INTERNATIONAL GROWTH FUND CL C IVNCX Non-NTF Growth 2.54 1.00 3 EquityIvy Funds IVY INTERNATIONAL GROWTH FUND CL Y IVIYX Non-NTF Growth 1.43 None 3 EquityIvy Funds IVY INTERNATL BALANCED CL I IIBIX Non-NTF Multi-Asset Global 0.99 None 3 EquityIvy Funds IVY LARGE CAP GROWTH CL A WLGAX Non-NTF Growth 1.15 5.75 3 EquityIvy Funds IVY LARGE CAP GROWTH CL B WLGBX Non-NTF Growth 2.49 5.00 3 EquityIvy Funds IVY LARGE CAP GROWTH CL C WLGCX Non-NTF Growth 2.08 1.00 3 EquityIvy Funds IVY LARGE CAP GROWTH CL Y WLGYX Non-NTF Growth 1.06 None 3 EquityIvy Funds IVY LARGE CAP GROWTH FD CL R WLGRX Non-NTF Growth 1.47 None 3 BondIvy Funds IVY LARGE CAP GROWTH FUND CL I IYGIX Non-NTF Growth 0.92 None 3 BondIvy Funds IVY LIMITED TERM BOND CLASS I ILTIX Non-NTF Corporate Bond - General 0.57 None 3 BondIvy Funds IVY LIMITED TERM BOND FUND CL A WLTAX Non-NTF Corporate Bond - General 0.91 2.50 3 BondIvy Funds IVY LIMITED TERM BOND FUND CL B WLTBX Non-NTF Corporate Bond - General 1.73 5.00 3 EquityIvy Funds IVY LIMITED TERM BOND FUND CLASS C WLBCX Non-NTF Corporate Bond - General 1.59 1.00 3 EquityIvy Funds IVY MANAGED EURO PACIFIC CL A IVMAX Non-NTF Growth 0.72 5.75 3 EquityIvy Funds IVY MANAGED EUROPACI FIC CL C IVMCX Non-NTF Growth 1.52 1.00 3 EquityIvy Funds IVY MANAGED EUROPACI FIC CL Y IVMYX Non-NTF Growth 0.73 None 3 EquityIvy Funds IVY MANAGED EUROPACIFIC CL B IVMBX Non-NTF Growth 1.7 5.00 3 EquityIvy Funds IVY MANAGED INTERNAT IONAL OPPS CL B IVTBX Non-NTF Growth 1.41 5.00 3 EquityIvy Funds IVY MANAGED INTERNAT IONAL OPPS CL C IVTCX Non-NTF Growth 1.35 1.00 3 EquityIvy Funds IVY MANAGED INTERNAT IONAL OPPS CL Y IVTYX Non-NTF Growth 0.59 None 3 EquityIvy Funds IVY MANAGED INTERNATIONAL OPPS A IVTAX Non-NTF Growth 0.57 5.75 3 EquityIvy Funds IVY MICRO CAP GROWTH CLASS A IGWAX Non-NTF Growth 2.55 5.75 3 EquityIvy Funds IVY MICRO CAP GROWTH FD CLASS C IGWCX Non-NTF Growth -999 1.00 3 EquityIvy Funds IVY MICRO CAP GROWTH FD CLASS I IGWIX Non-NTF Growth 1.97 None 3 EquityIvy Funds IVY MID CAP GROWTH CL A WMGAX Non-NTF Growth 1.65 5.75 3 EquityIvy Funds IVY MID CAP GROWTH CL B WMGBX Non-NTF Growth 2.92 5.00 3 EquityIvy Funds IVY MID CAP GROWTH CL C WMGCX Non-NTF Growth 2.35 1.00 3 EquityIvy Funds IVY MID CAP GROWTH CL I IYMIX Non-NTF Growth 1.17 None 3 EquityIvy Funds IVY MID CAP GROWTH CL Y WMGYX Non-NTF Growth 1.25 None 3 BondIvy Funds IVY MID CAP GROWTH F D CL R WMGRX Non-NTF Growth 1.72 None 3 BondIvy Funds IVY MORTGAGE SECURITES CLASS C IYMCX Non-NTF Government Bond - Mortgage 2.02 1.00 3 BondIvy Funds IVY MORTGAGE SECURITIES CL B IYMBX Non-NTF Government Bond - Mortgage 2.33 5.00 3 BondIvy Funds IVY MORTGAGE SECURITIES CL I IMFIX Non-NTF Government Bond - Mortgage 0.79 None 3 BondIvy Funds IVY MORTGAGE SECURITIES CLASS A IYMAX Non-NTF Government Bond - Mortgage 1.29 5.75 3 BondIvy Funds IVY MUNICIPAL BOND CLASS B WMBBX Non-NTF Municipal Bond - National 2.02 5.00 3 BondIvy Funds IVY MUNICIPAL BOND FD CL A WMBAX Non-NTF Municipal Bond - National 1.24 4.25 3 Bond

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Settlement Days

Security Class

Ivy Funds IVY MUNICIPAL BOND FD CLASS C WMBCX Non-NTF Municipal Bond - National 2 1.00 3 BondIvy Funds IVY MUNICIPAL HIGH INCOME CL I WYMHX Non-NTF Municipal Bond - National 0.7 None 3 BondIvy Funds IVY MUNICIPAL HIGH INCOME FD CL A IYIAX Non-NTF 4.25 3 EquityIvy Funds IVY MUNICIPAL HIGH INCOME FUND CL C IYICX Non-NTF 1.00 3 EquityIvy Funds IVY PACIFIC OPPORTUNITES CL B IPOBX Non-NTF Growth 3.07 5.00 3 EquityIvy Funds IVY PACIFIC OPPORTUNITIES CL A IPOAX Non-NTF Growth 1.92 5.75 3 EquityIvy Funds IVY PACIFIC OPPORTUNITIES CL C IPOCX Non-NTF Growth 2.69 1.00 3 EquityIvy Funds IVY PACIFIC OPPORTUNITIES CL I IPOIX Non-NTF Growth 1.31 None 3 EquityIvy Funds IVY REAL ESTATE FUND CL Y IRSYX Non-NTF Specialty - Real Estate 1.39 None 3 EquityIvy Funds IVY REAL ESTATE SEC FD CL R IRSRX Non-NTF Specialty - Real Estate 1.7 None 3 EquityIvy Funds IVY REAL ESTATE SECURITIES CL I IREIX Non-NTF Specialty - Real Estate 1.16 None 3 EquityIvy Funds IVY REAL ESTATE SECURITIES CLASS A IRSAX Non-NTF Specialty - Real Estate 1.93 5.75 3 EquityIvy Funds IVY REAL ESTATE SECURITIES CLASS B IRSBX Non-NTF Specialty - Real Estate 3.18 5.00 3 EquityIvy Funds IVY REAL ESTATE SECURITIES CLASS C IRSCX Non-NTF Specialty - Real Estate 2.79 1.00 3 EquityIvy Funds IVY SCIENCE & TECHNOLOGY CL A WSTAX Non-NTF Specialty - Technology 1.5 5.75 3 EquityIvy Funds IVY SCIENCE & TECHNOLOGY CL B WSTBX Non-NTF Specialty - Technology 2.56 5.00 3 EquityIvy Funds IVY SCIENCE & TECHNOLOGY CL C WSTCX Non-NTF Specialty - Technology 2.3 1.00 3 EquityIvy Funds IVY SCIENCE & TECHNOLOGY CL Y WSTYX Non-NTF Specialty - Technology 1.33 None 3 EquityIvy Funds IVY SCIENCE & TECHNOLOGY FUND CL I ISTIX Non-NTF Specialty - Technology 1.07 None 3 EquityIvy Funds IVY SCIENCE& TECH FD CL R WSTRX Non-NTF Specialty - Technology 1.62 None 3 EquityIvy Funds IVY SMALL CAP GROWTH CL A WSGAX Non-NTF Growth 1.71 5.75 3 EquityIvy Funds IVY SMALL CAP GROWTH CL Y WSCYX Non-NTF Growth 1.34 None 3 EquityIvy Funds IVY SMALL CAP GROWTH CLASS C WRGCX Non-NTF Growth 2.34 1.00 3 EquityIvy Funds IVY SMALL CAP GROWTH FD CL R WSGRX Non-NTF Growth 1.63 None 3 EquityIvy Funds IVY SMALL CAP GROWTH FUND CL B WSGBX Non-NTF Growth 2.75 5.00 3 EquityIvy Funds IVY SMALL CAP GROWTH FUND CL I IYSIX Non-NTF Growth 1.09 None 3 EquityIvy Funds IVY SMALL CAP VALUE CL I IVVIX Non-NTF Small Company 1.18 None 3 EquityIvy Funds IVY SMALL CAP VALUE CLASS A IYSAX Non-NTF Small Company 1.93 5.75 3 EquityIvy Funds IVY SMALL CAP VALUE CLASS B IYSBX Non-NTF Small Company 3.04 5.00 3 EquityIvy Funds IVY SMALL CAP VALUE CLASS C IYSCX Non-NTF Small Company 2.72 1.00 3 EquityIvy Funds IVY TAX MANAGED EQUITY FUND CL A IYEAX Non-NTF Growth -999 5.75 3 EquityIvy Funds IVY TAX MANAGED EQUITY FUND CL I WYTMX Non-NTF Growth -999 None 3 EquityIvy Funds IVY VALUE CL A IYVAX Non-NTF Growth and Income 1.7 5.75 3 EquityIvy Funds IVY VALUE CL B IYVBX Non-NTF Growth and Income 3.08 5.00 3 EquityIvy Funds IVY VALUE CL C IYVCX Non-NTF Growth and Income 2.79 1.00 3 EquityIvy Funds IVY VALUE FUND CL I IYAIX Non-NTF Growth and Income 1.11 None 3 EquityJ.P. Morgan Funds INTREPID PLUS CLASS A JPSAX Non-NTF Income 1.55 5.25 3 EquityJ.P. Morgan Funds INTREPID PLUS CLASS C JPSCX Non-NTF Income 2.23 1.00 3 EquityJ.P. Morgan Funds JP MORGAN ASIA EQUITY INSTL CL JPAIX Non-NTF Pacific Stock 1.3 None 1 EquityJ.P. Morgan Funds JP MORGAN CALIFORNIA MUNI MMKT CORE QXTYQ Non-NTF None 0 EquityJ.P. Morgan Funds JP MORGAN CHINA REGION FD CL A JCHAX Non-NTF Growth 2 5.25 3 BondJ.P. Morgan Funds JP MORGAN CHINA REGION FD SELECT CL JCHSX Non-NTF Growth 1.75 None 3 BondJ.P. Morgan Funds JP MORGAN CORE BOND FUND CLASS R2 JCBZX Non-NTF Corporate Bond - High Quality 1 None 1 EquityJ.P. Morgan Funds JP MORGAN CORE PLUS BD INSTL FD JCBIX Non-NTF Corporate Bond - General -999 None 1 EquityJ.P. Morgan Funds JP MORGAN FEDERAL MMKT INSTL CL JFMXX Non-NTF None 1 BondJ.P. Morgan Funds JP MORGAN FEDERAL MMKT MORGAN QXTSQ Non-NTF None 0 EquityJ.P. Morgan Funds JP MORGAN HIGH YIELD FD CLASS R2 JHYZX Non-NTF Corporate Bond - High Yield 1.4 None 1 EquityJ.P. Morgan Funds JP MORGAN INCOME BUILDER FUND CL A JNBAX Non-NTF Growth and Income 0.95 4.50 3 EquityJ.P. Morgan Funds JP MORGAN INDIA FUND CL A JIDAX Non-NTF Growth 2 5.25 3 EquityJ.P. Morgan Funds JP MORGAN INDIA FUND CLASS C JIDCX Non-NTF Growth 2.5 1.00 1 EquityJ.P. Morgan Funds JP MORGAN INDIA FUND SELECT JIDSX Non-NTF Growth 1.75 None 1 EquityJ.P. Morgan Funds JP MORGAN INTERNAT'L OPPORUNITIES CL C JIOCX Non-NTF Foreign Stock 1.91 1.00 3 EquityJ.P. Morgan Funds JP MORGAN INTL RELTY CL A FD JIRAX Non-NTF Growth 1.4 5.25 3 EquityJ.P. Morgan Funds JP MORGAN INTL RELTY CL C FD JIRCX Non-NTF Growth 1.9 1.00 3 EquityJ.P. Morgan Funds JP MORGAN INTL RLTY SELECT FD JIRSX Non-NTF Growth 1.15 None 1 EquityJ.P. Morgan Funds JP MORGAN INTL VALUE FD CLASS R2 JPVZX Non-NTF Foreign Stock 1.6 None 1 EquityJ.P. Morgan Funds JP MORGAN LIQUID ASSETS MMKT PREMIER QABLQ Non-NTF None 0 EquityJ.P. Morgan Funds JP MORGAN PRIME MMKT MORGAN SHS QXTIQ Non-NTF None 0 EquityJ.P. Morgan Funds JP MORGAN PRIME MMKT PREMIER SHS QABGQ Non-NTF None 0 Equity

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Security Class

J.P. Morgan Funds JP MORGAN RUSSIA FD CL A JRUAX Non-NTF Growth 1.99 5.25 3 EquityJ.P. Morgan Funds JP MORGAN RUSSIA FD CL C JRUCX Non-NTF Growth 2.49 1.00 3 BondJ.P. Morgan Funds JP MORGAN RUSSIA FD SELECT CL SH JRUSX Non-NTF Growth 1.75 None 3 EquityJ.P. Morgan Funds JP MORGAN SHORT INTERMED MUNI BD INS JIMIX Non-NTF None 1 EquityJ.P. Morgan Funds JP MORGAN SMART RETIREMENT 2025 CL A JNSAX Non-NTF Growth 0.44 4.50 3 EquityJ.P. Morgan Funds JP MORGAN SMART RETIREMENT 2035 CL A SRJAX Non-NTF Growth 0.44 4.50 3 EquityJ.P. Morgan Funds JP MORGAN SMART RETIREMENT 2045 CL A JSAAX Non-NTF Growth 0.44 4.50 3 EquityJ.P. Morgan Funds JP MORGAN SMART RETIREMENT 2050 CL A JTSAX Non-NTF Growth 0.44 4.50 3 EquityJ.P. Morgan Funds JP MORGAN SMART RTMNT 2035 SELECT SRJSX Non-NTF Growth 0.19 None 1 EquityJ.P. Morgan Funds JP MORGAN SMART RTMT 2025 CL C JNSCX Non-NTF Growth 0.94 1.00 3 EquityJ.P. Morgan Funds JP MORGAN SMART RTMT 2025 SELECT JNSSX Non-NTF Growth 0.19 None 1 EquityJ.P. Morgan Funds JP MORGAN SMART RTMT 2035 FUND CL C SRJCX Non-NTF Growth 0.94 1.00 3 EquityJ.P. Morgan Funds JP MORGAN SMART RTMT 2045 FUND CL C JSACX Non-NTF Growth 0.94 1.00 3 EquityJ.P. Morgan Funds JP MORGAN SMART RTMT 2050 FUND CL C JTSCX Non-NTF Growth 0.94 1.00 3 EquityJ.P. Morgan Funds JP MORGAN SMART RTMT 2050 SELCT JTSSX Non-NTF Growth 0.19 None 1 BondJ.P. Morgan Funds JP MORGAN SMART RTRMNT 2045 SELECT JSASX Non-NTF Growth 0.19 None 1 BondJ.P. Morgan Funds JP MORGAN STRATEGIC INCOME OPPORT A JSOAX Non-NTF Income 1 3.75 3 BondJ.P. Morgan Funds JP MORGAN TAX AWARE HIGH INC CL C JTICX Non-NTF Municipal Bond - National 1.15 1.00 3 BondJ.P. Morgan Funds JP MORGAN TAX AWARE HIGH INC FD SELECT JTISX Non-NTF Municipal Bond - National 0.55 None 1 BondJ.P. Morgan Funds JP MORGAN TAX FREE MMKT MORGAN QXTWQ Non-NTF None 0 EquityJ.P. Morgan Funds JP MORGAN US GOVT MMKT MORGAN QXTKQ Non-NTF None 0 EquityJ.P. Morgan Funds JP MORGAN US GOVT MMKT PREMIER SHS QABEQ Non-NTF None 0 EquityJ.P. Morgan Funds JP MORGAN US LARGE C AP CORE PLUS FD CL A JLCAX Non-NTF Growth 1.35 5.25 3 EquityJ.P. Morgan Funds JP MORGAN US LARGE CAP CORE FD CL C JLPCX Non-NTF Growth 1.84 1.00 3 EquityJ.P. Morgan Funds JP MORGAN US LARGE CAP VAL PLUS SELECT JTVSX Non-NTF Growth 1.07 None 1 EquityJ.P. Morgan Funds JP MORGAN US LARGE CAP VALUE PLUS CL A JTVAX Non-NTF Growth 1.32 5.25 3 EquityJ.P. Morgan Funds JP MORGAN US LARGE CAP VALUE PLUS CL C JTVCX Non-NTF Growth 1.82 1.00 3 EquityJ.P. Morgan Funds JP MORGAN US SMALL COMPANY FUND CL A JTUAX Non-NTF Small Company 1.26 5.25 3 EquityJ.P. Morgan Funds JP MORGAN US SMALL COMPANY FUND CL C JTUCX Non-NTF Small Company 1.76 1.00 3 EquityJ.P. Morgan Funds JPM HIGHBRIDGE DYNAM COMMODITIES STRGY A HDSAX Non-NTF 5.25 3 BondJ.P. Morgan Funds JPMORGAN ADVANTAGE FD SELECT CLASS JVASX Non-NTF Growth and Income 1 None 1 BondJ.P. Morgan Funds JPMORGAN ARIZONA MUNI BOND CL A OAMAX Non-NTF Municipal Bond - Single State 0.88 3.75 3 BondJ.P. Morgan Funds JPMORGAN ARIZONA MUNI BOND FD CL C JCAMX Non-NTF Municipal Bond - Single State 1.52 1.00 3 EquityJ.P. Morgan Funds JPMORGAN ARIZONA MUNI BOND FD SELECT OGAFX Non-NTF Municipal Bond - Single State 0.63 None 1 EquityJ.P. Morgan Funds JPMORGAN ASIA EQUITY CLASS A JAEAX Non-NTF Pacific Stock 1.71 5.25 3 EquityJ.P. Morgan Funds JPMORGAN CALI TAX FREE BOND FD CL C JCBCX Non-NTF Municipal Bond - Single State 1.1 1.00 3 BondJ.P. Morgan Funds JPMORGAN CALIFORNIA MUNI MMKT MORGAN VCAXX Non-NTF None 1 BondJ.P. Morgan Funds JPMORGAN CALIFORNIA TAX FREE BOND CL A JCBAX Non-NTF Municipal Bond - Single State 0.6 3.75 3 BondJ.P. Morgan Funds JPMORGAN CALIFORNIA TAX FREE BOND INSTL JPICX Non-NTF Municipal Bond - Single State 0.5 None 1 EquityJ.P. Morgan Funds JPMORGAN CALIFORNIA TAX FREE BOND SELECT JPCBX Non-NTF Municipal Bond - Single State 0.55 None 1 BondJ.P. Morgan Funds JPMORGAN CHINA REGION FD CL C JCHCX Non-NTF Growth 2.5 1.00 3 BondJ.P. Morgan Funds JPMORGAN CORE BOND FUND CL A PGBOX Non-NTF Corporate Bond - High Quality 0.75 3.75 3 BondJ.P. Morgan Funds JPMORGAN CORE BOND FUND CL R5 JCBRX Non-NTF Corporate Bond - High Quality 0.45 None 1 BondJ.P. Morgan Funds JPMORGAN CORE BOND FUND CLASS C OBOCX Non-NTF Corporate Bond - High Quality 1.4 1.00 3 BondJ.P. Morgan Funds JPMORGAN CORE BOND FUND ULTRA SHARES JCBUX Non-NTF Corporate Bond - High Quality 0.4 None 1 BondJ.P. Morgan Funds JPMORGAN CORE BOND SELECT SHARES WOBDX Non-NTF Corporate Bond - High Quality 0.6 None 1 BondJ.P. Morgan Funds JPMORGAN CORE PLUS BOND CLASS A ONIAX Non-NTF Corporate Bond - General 0.92 3.75 3 BondJ.P. Morgan Funds JPMORGAN CORE PLUS BOND CLASS C OBDCX Non-NTF Corporate Bond - General 1.45 1.00 3 BondJ.P. Morgan Funds JPMORGAN CORE PLUS BOND FUND ULTRA SHS JCPUX Non-NTF Corporate Bond - General 0.45 None 1 EquityJ.P. Morgan Funds JPMORGAN CORE PLUS BOND SELECT SHARES HLIPX Non-NTF Corporate Bond - General 0.67 None 1 EquityJ.P. Morgan Funds JPMORGAN DISCPLN EQUITY CLASS A JDEAX Non-NTF Growth 0.85 5.25 3 EquityJ.P. Morgan Funds JPMORGAN DISCPLN EQUITY INSTL SHS JPIEX Non-NTF Growth 0.45 None 1 EquityJ.P. Morgan Funds JPMORGAN DISCPLN EQUITY SELECT SHS JDESX Non-NTF Growth 0.6 None 1 EquityJ.P. Morgan Funds JPMORGAN DIVERS MID CAP GROWTH SELECT HLGEX Non-NTF Growth 0.98 None 1 EquityJ.P. Morgan Funds JPMORGAN DIVERSIF MID CAP GROWTH CL A OSGIX Non-NTF Growth 1.24 5.25 3 EquityJ.P. Morgan Funds JPMORGAN DIVERSIF MID CAP GROWTH CL C OMGCX Non-NTF Growth 1.88 1.00 3 EquityJ.P. Morgan Funds JPMORGAN DIVERSIFIED CLASS A JDVAX Non-NTF Balanced 1.11 5.25 3 EquityJ.P. Morgan Funds JPMORGAN DIVERSIFIED CLASS C JDVCX Non-NTF Balanced 1.61 1.00 3 EquityJ.P. Morgan Funds JPMORGAN DIVERSIFIED INSTL JPDVX Non-NTF Balanced 0.62 None 1 Equity

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Security Class

J.P. Morgan Funds JPMORGAN DIVERSIFIED SELECT JDVSX Non-NTF Balanced 0.86 None 1 BondJ.P. Morgan Funds JPMORGAN DYNAMIC SM CAP GROWTH SELECT JDSCX Non-NTF Small Company 1.1 None 1 BondJ.P. Morgan Funds JPMORGAN EMERGING MARKETS DEBT CL C JEDCX Non-NTF Growth and Income 1.95 1.00 3 EquityJ.P. Morgan Funds JPMORGAN EMERGING MARKETS DEBT SELECT JEMDX Non-NTF Growth and Income 1.21 None 1 EquityJ.P. Morgan Funds JPMORGAN EMERGING MARKETS EQUITY CL A JFAMX Non-NTF Diversified Emerging Markets 1.85 5.25 3 EquityJ.P. Morgan Funds JPMORGAN EMERGING MKT EQUITY INSTL JMIEX Non-NTF Diversified Emerging Markets 1.43 None 1 EquityJ.P. Morgan Funds JPMORGAN EMERGING MKTS EQUITY SELECT JEMSX Non-NTF Diversified Emerging Markets 1.61 None 1 EquityJ.P. Morgan Funds JPMORGAN EMERGING MRKTS DEBT FUND CL A JEDAX Non-NTF Growth and Income 1.45 3.75 3 EquityJ.P. Morgan Funds JPMORGAN EMERGING MRKTS EQ CL C JEMCX Non-NTF Diversified Emerging Markets 2.35 1.00 3 EquityJ.P. Morgan Funds JPMORGAN EQUITY INCOME FUND CL A OIEIX Non-NTF Equity-Income 1.23 5.25 3 EquityJ.P. Morgan Funds JPMORGAN EQUITY INCOME FUND CLASS C OINCX Non-NTF Equity-Income 1.85 1.00 3 EquityJ.P. Morgan Funds JPMORGAN EQUITY INCOME SELECT SHARES HLIEX Non-NTF Equity-Income 0.89 None 1 EquityJ.P. Morgan Funds JPMORGAN EQUITY INDEX CLASS C OEICX Non-NTF Growth and Income 1.2 1.00 3 EquityJ.P. Morgan Funds JPMORGAN FEDERAL MMKT FUND MORGAN CL VFVXX Non-NTF None 1 BondJ.P. Morgan Funds JPMORGAN FEDERAL MMKT FUND PREMIER CL VFPXX Non-NTF None 0 BondJ.P. Morgan Funds JPMORGAN GOVERNMENT BOND FUND CLASS A OGGAX Non-NTF Government Bond - General 0.75 3.75 3 BondJ.P. Morgan Funds JPMORGAN GOVERNMENT BOND FUND CLASS C OGVCX Non-NTF Government Bond - General 1.48 1.00 3 EquityJ.P. Morgan Funds JPMORGAN GOVERNMENT BOND FUND SELECT CL HLGAX Non-NTF Government Bond - General 0.48 None 1 EquityJ.P. Morgan Funds JPMORGAN GROWTH & INCOME FD- SELECT CL VGIIX Non-NTF Growth and Income 0.9 None 1 EquityJ.P. Morgan Funds JPMORGAN GROWTH & INCOME FUND CLASS A VGRIX Non-NTF Growth and Income 1.27 5.25 3 EquityJ.P. Morgan Funds JPMORGAN GROWTH & INCOME FUND CLASS C VGICX Non-NTF Growth and Income 1.77 1.00 3 EquityJ.P. Morgan Funds JPMORGAN GROWTH ADVANTAGE FUND CL A VHIAX Non-NTF Aggressive Growth 1.35 5.25 3 EquityJ.P. Morgan Funds JPMORGAN GRWTH ADV FUND CLASS C JGACX Non-NTF Aggressive Growth 1.87 1.00 3 BondJ.P. Morgan Funds JPMORGAN GRWTH ADV FUND SELECT CLASS JGASX Non-NTF Aggressive Growth 1.1 None 1 BondJ.P. Morgan Funds JPMORGAN HIGH YIELD BOND FUND CL R5 JYHRX Non-NTF Corporate Bond - High Yield 0.85 None 1 EquityJ.P. Morgan Funds JPMORGAN HIGH YIELD BOND FUND CLASS A OHYAX Non-NTF Corporate Bond - High Yield 1.15 3.75 3 BondJ.P. Morgan Funds JPMORGAN HIGH YIELD BOND FUND CLASS C OGHCX Non-NTF Corporate Bond - High Yield 1.8 1.00 3 BondJ.P. Morgan Funds JPMORGAN HIGH YIELD BOND FUND SELECT CL OHYFX Non-NTF Corporate Bond - High Yield 0.9 None 1 EquityJ.P. Morgan Funds JPMORGAN HIGH YIELD BOND FUND ULTRA SHS JHYUX Non-NTF Corporate Bond - High Yield 0.8 None 1 EquityJ.P. Morgan Funds JPMORGAN HIGHBRIDGE DYNAMIC COM STRTGY C HDCCX Non-NTF 1.00 3 EquityJ.P. Morgan Funds JPMORGAN HIGHBRIDGE DYNAMIC COM STRY SEL HDCSX Non-NTF None 1 EquityJ.P. Morgan Funds JPMORGAN HIGHBRIDGE STAT MKT NEUTRAL A HSKAX Non-NTF Income 1.95 5.25 3 EquityJ.P. Morgan Funds JPMORGAN HIGHBRIDGE STAT MKT NEUTRAL C HSKCX Non-NTF Income 2.45 1.00 3 EquityJ.P. Morgan Funds JPMORGAN INCOME BUILDER FUND CLASS C JNBCX Non-NTF Growth and Income 1.45 1.00 3 BondJ.P. Morgan Funds JPMORGAN INCOME BUILDER FUND SELECT JNBSX Non-NTF Growth and Income 0.7 None 1 BondJ.P. Morgan Funds JPMORGAN INTERMED TAX FREE BOND CL A JITAX Non-NTF Municipal Bond - National 0.75 3.75 3 BondJ.P. Morgan Funds JPMORGAN INTERMED TAX FREE BOND CL C JITCX Non-NTF Municipal Bond - National 1.43 1.00 3 BondJ.P. Morgan Funds JPMORGAN INTERMED TAX FREE BOND INSTL JITIX Non-NTF Municipal Bond - National 0.5 None 1 EquityJ.P. Morgan Funds JPMORGAN INTERMED TAX FREE BOND SELECT VSITX Non-NTF Municipal Bond - National 0.59 None 1 BondJ.P. Morgan Funds JPMORGAN INTERNAT'L CURRENCY INCOME CL C JNCCX Non-NTF Income 1.75 1.00 3 BondJ.P. Morgan Funds JPMORGAN INTERNAT'L CURRENCY INCOME FD A JCIAX Non-NTF Income 1.1 3.75 3 EquityJ.P. Morgan Funds JPMORGAN INTERNATL CURRENCY INCOME SEL JCISX Non-NTF Income 0.85 None 1 EquityJ.P. Morgan Funds JPMORGAN INTERNATL EQUITY INDEX CL A OEIAX Non-NTF Foreign Stock 1.07 5.25 3 EquityJ.P. Morgan Funds JPMORGAN INTERNATL EQUITY INDEX CL C OIICX Non-NTF Foreign Stock 1.8 1.00 3 EquityJ.P. Morgan Funds JPMORGAN INTERNATL VALUE FUND CLASS A JFEAX Non-NTF Foreign Stock 1.36 5.25 3 EquityJ.P. Morgan Funds JPMORGAN INTERNATL VALUE FUND INSTL CL JNUSX Non-NTF Foreign Stock 0.95 None 1 EquityJ.P. Morgan Funds JPMORGAN INTERNATL VALUE SELECT SHARES JIESX Non-NTF Foreign Stock 1.11 None 1 EquityJ.P. Morgan Funds JPMORGAN INTERNTL EQUITY FUND CLASS A JSEAX Non-NTF Foreign Stock 1.31 5.25 3 EquityJ.P. Morgan Funds JPMORGAN INTERNTL EQUITY FUND CLASS C JIECX Non-NTF Foreign Stock 1.87 1.00 3 EquityJ.P. Morgan Funds JPMORGAN INTERNTL EQUITY FUND SELECT VSIEX Non-NTF Foreign Stock 1.06 None 1 EquityJ.P. Morgan Funds JPMORGAN INTERNTL OPPORTUNITIES CL A JIOAX Non-NTF Foreign Stock 1.41 5.25 3 EquityJ.P. Morgan Funds JPMORGAN INTERNTL OPPORTUNITIES INSTL JPIOX Non-NTF Foreign Stock 0.92 None 1 EquityJ.P. Morgan Funds JPMORGAN INTERNTL OPPORTUNITIES SELECT JIOSX Non-NTF Foreign Stock 1.16 None 1 EquityJ.P. Morgan Funds JPMORGAN INTL EQUI INDEX SELECT SHARES OIEAX Non-NTF Foreign Stock 0.82 None 1 EquityJ.P. Morgan Funds JPMORGAN INTL VALUE FUND CLASS C JIUCX Non-NTF Foreign Stock 1.86 1.00 3 EquityJ.P. Morgan Funds JPMORGAN INTREPID AMERICA FUND CL A JIAAX Non-NTF Growth 1.25 5.25 3 EquityJ.P. Morgan Funds JPMORGAN INTREPID AMERICA FUND CLASS C JIACX Non-NTF Growth 1.75 1.00 3 EquityJ.P. Morgan Funds JPMORGAN INTREPID AMERICA FUND SEL CL JPIAX Non-NTF Growth 1 None 1 EquityJ.P. Morgan Funds JPMORGAN INTREPID EUROPEAN CLASS A VEUAX Non-NTF Europe Stock 1.51 5.25 3 Equity

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Security Class

J.P. Morgan Funds JPMORGAN INTREPID EUROPEAN CLASS C VEUCX Non-NTF Europe Stock 2.01 1.00 3 EquityJ.P. Morgan Funds JPMORGAN INTREPID EUROPEAN FUND INSTL JFEIX Non-NTF Europe Stock 1.01 None 1 EquityJ.P. Morgan Funds JPMORGAN INTREPID EUROPEAN SELECT CL JFESX Non-NTF Europe Stock 1.26 None 1 EquityJ.P. Morgan Funds JPMORGAN INTREPID GROWTH FD CLASS A JIGAX Non-NTF Growth 1.25 5.25 3 EquityJ.P. Morgan Funds JPMORGAN INTREPID GROWTH FD-SELECT SHS JPGSX Non-NTF Growth 1 None 1 EquityJ.P. Morgan Funds JPMORGAN INTREPID GROWTH FUND CLASS C JCICX Non-NTF Growth 1.75 1.00 3 EquityJ.P. Morgan Funds JPMORGAN INTREPID INTERNATIONAL CL A JFTAX Non-NTF Foreign Stock 1.51 5.25 3 EquityJ.P. Morgan Funds JPMORGAN INTREPID INTERNATIONAL INSTL JFTIX Non-NTF Foreign Stock 1.01 None 1 EquityJ.P. Morgan Funds JPMORGAN INTREPID INTL FUND CLASS C JIICX Non-NTF Foreign Stock 2 1.00 3 EquityJ.P. Morgan Funds JPMORGAN INTREPID INTL FUND SELECT CL JISIX Non-NTF Foreign Stock 1.25 None 3 EquityJ.P. Morgan Funds JPMORGAN INTREPID JAPAN CL C JPCNX Non-NTF Pacific Stock 2.5 1.00 3 EquityJ.P. Morgan Funds JPMORGAN INTREPID JAPAN FD CL A CVJAX Non-NTF Pacific Stock 1.75 5.25 3 EquityJ.P. Morgan Funds JPMORGAN INTREPID JAPAN FD SELECT CL JPNSX Non-NTF Pacific Stock 1.5 None 3 EquityJ.P. Morgan Funds JPMORGAN INTREPID MID CAP FUND CLASS A PECAX Non-NTF Growth 1.24 5.25 3 BondJ.P. Morgan Funds JPMORGAN INTREPID MID CAP FUND CLASS C ODMCX Non-NTF Growth 1.85 1.00 3 EquityJ.P. Morgan Funds JPMORGAN INTREPID MID CAP FUND SELECT WOOPX Non-NTF Growth 0.99 None 1 EquityJ.P. Morgan Funds JPMORGAN INTREPID MULTI CAP FD-SEL SHS JIISX Non-NTF Growth 1 None 1 EquityJ.P. Morgan Funds JPMORGAN INTREPID MULTI CAP FUND CL A JICAX Non-NTF Growth 1.25 5.25 3 EquityJ.P. Morgan Funds JPMORGAN INTREPID MULTI CAP FUND CL C JICCX Non-NTF Growth 1.75 1.00 3 EquityJ.P. Morgan Funds JPMORGAN INTREPID VALUE FUND CLASS A JIVAX Non-NTF Growth 1.25 5.25 3 EquityJ.P. Morgan Funds JPMORGAN INTREPID VALUE FUND CLASS C JIVCX Non-NTF Growth 1.75 1.00 3 EquityJ.P. Morgan Funds JPMORGAN INTREPID VALUE FUND SELECT CL JPIVX Non-NTF Growth 1 None 1 EquityJ.P. Morgan Funds JPMORGAN INVESTOR BALANCED FUND CL A OGIAX Non-NTF Balanced 0.5 4.50 3 EquityJ.P. Morgan Funds JPMORGAN INVESTOR BALANCED FUND CL C OGBCX Non-NTF Balanced 1.08 1.00 3 EquityJ.P. Morgan Funds JPMORGAN INVESTOR BALANCED FUND SEL CL OIBFX Non-NTF Balanced 0.25 None 1 EquityJ.P. Morgan Funds JPMORGAN INVESTOR CONSERV GROWTH CL A OICAX Non-NTF Asset Allocation 0.5 4.50 3 EquityJ.P. Morgan Funds JPMORGAN INVESTOR CONSERV GROWTH CL C OCGCX Non-NTF Asset Allocation 1.09 1.00 3 EquityJ.P. Morgan Funds JPMORGAN INVESTOR CONSV GROWTH SELECT ONCFX Non-NTF Asset Allocation 0.25 None 3 EquityJ.P. Morgan Funds JPMORGAN INVESTOR GROWTH & INC SELECT ONGFX Non-NTF Growth and Income 0.25 None 1 EquityJ.P. Morgan Funds JPMORGAN INVESTOR GROWTH & INCOME CL A ONGIX Non-NTF Growth and Income 0.5 4.50 3 EquityJ.P. Morgan Funds JPMORGAN INVESTOR GROWTH & INCOME CL C ONECX Non-NTF Growth and Income 1.09 1.00 3 EquityJ.P. Morgan Funds JPMORGAN INVESTOR GROWTH FUND CLASS A ONGAX Non-NTF Growth 0.5 4.50 3 EquityJ.P. Morgan Funds JPMORGAN INVESTOR GROWTH FUND CLASS C OGGCX Non-NTF Growth 1.11 1.00 3 EquityJ.P. Morgan Funds JPMORGAN INVESTOR GROWTH FUND SEL CL ONIFX Non-NTF Growth 0.25 None 1 EquityJ.P. Morgan Funds JPMORGAN LARGE CAP GROWTH CLASS A OLGAX Non-NTF Growth 1.24 5.25 3 EquityJ.P. Morgan Funds JPMORGAN LARGE CAP GROWTH CLASS C OLGCX Non-NTF Growth 1.78 1.00 3 EquityJ.P. Morgan Funds JPMORGAN LARGE CAP GROWTH SELECT CLASS SEEGX Non-NTF Growth 0.99 None 1 EquityJ.P. Morgan Funds JPMORGAN LARGE CAP VALUE CLASS C OLVCX Non-NTF Growth and Income 1.66 1.00 3 EquityJ.P. Morgan Funds JPMORGAN LARGE CAP VALUE FUND CLASS A OLVAX Non-NTF Growth and Income 1.16 5.25 3 EquityJ.P. Morgan Funds JPMORGAN LARGE CAP VALUE SELECT CLASS HLQVX Non-NTF Growth and Income 0.91 None 1 BondJ.P. Morgan Funds JPMORGAN LATIN AMERICA FD CL C JLTCX Non-NTF Growth 2.4 1.00 3 BondJ.P. Morgan Funds JPMORGAN LIMITED DURATION BD C OGUCX Non-NTF Government Bond - ARM 1.2 0.01 3 BondJ.P. Morgan Funds JPMORGAN LIQUID ASSETS MMKT PREMIER PJLXX Non-NTF None 1 EquityJ.P. Morgan Funds JPMORGAN LIQUID ASSETS MMKT RESERVE HPIXX Non-NTF None 0 EquityJ.P. Morgan Funds JPMORGAN MARKET EXPANSION CLASS C OMECX Non-NTF Growth 1.49 1.00 3 EquityJ.P. Morgan Funds JPMORGAN MARKET EXPANSION INDEX SEL PGMIX Non-NTF Growth 0.51 None 1 BondJ.P. Morgan Funds JPMORGAN MICHIGAN MUNI BOND CLASS A PEIAX Non-NTF Municipal Bond - Single State 0.88 3.75 3 BondJ.P. Morgan Funds JPMORGAN MICHIGAN MUNI BOND FUND CL C JMMCX Non-NTF Municipal Bond - Single State 1.5 1.00 3 EquityJ.P. Morgan Funds JPMORGAN MICHIGAN MUNI MMKT PREMIER WMIXX Non-NTF None 1 EquityJ.P. Morgan Funds JPMORGAN MID CAP EQUITY FUND CL A JCMAX Non-NTF Growth -999 5.25 3 EquityJ.P. Morgan Funds JPMORGAN MID CAP EQUITY FUND SELECT VSNGX Non-NTF Growth 0.9 None 1 EquityJ.P. Morgan Funds JPMORGAN MID CAP VALUE FUND CLASS A JAMCX Non-NTF Growth 1.25 5.25 3 EquityJ.P. Morgan Funds JPMORGAN MID CAP VALUE FUND CLASS C JCMVX Non-NTF Growth 1.75 1.00 3 BondJ.P. Morgan Funds JPMORGAN MKT MULTI CAP NEUTRAL CL C OGNCX Non-NTF Growth and Income 2.25 1.00 3 BondJ.P. Morgan Funds JPMORGAN MORTGAGE BACKED SEC SELECT CL OMBIX Non-NTF Government Bond - Mortgage 0.4 None 1 BondJ.P. Morgan Funds JPMORGAN MORTGAGE BACKED SEC ULTRA SHS JMBUX Non-NTF Government Bond - Mortgage 0.25 None 1 EquityJ.P. Morgan Funds JPMORGAN MORTGAGED BACK SECURITIES CL A OMBAX Non-NTF Government Bond - Mortgage 0.65 3.75 3 EquityJ.P. Morgan Funds JPMORGAN MUNICIPAL INCOME FUND CLASS A OTBAX Non-NTF Municipal Bond - National 0.88 3.75 3 BondJ.P. Morgan Funds JPMORGAN NY MUNI MMKT MORGAN CLASS VNYXX Non-NTF None 1 Bond

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Security Class

J.P. Morgan Funds JPMORGAN NY TAX FREE BOND CLASS A VANTX Non-NTF Municipal Bond - Single State 0.75 3.75 3 BondJ.P. Morgan Funds JPMORGAN NY TAX FREE BOND CLASS C JCNTX Non-NTF Municipal Bond - Single State 1.45 1.00 3 BondJ.P. Morgan Funds JPMORGAN NY TAX FREE BOND INSTL CL JNYIX Non-NTF Municipal Bond - Single State 0.5 None 1 BondJ.P. Morgan Funds JPMORGAN NY TAX FREE BOND SELECT CL VINTX Non-NTF Municipal Bond - Single State 0.7 None 1 BondJ.P. Morgan Funds JPMORGAN OHIO MUNI BOND FUND CL A ONOHX Non-NTF Municipal Bond - Single State 0.88 3.75 3 BondJ.P. Morgan Funds JPMORGAN PRIME MONEY MARKET INSTL JINXX Non-NTF None 1 BondJ.P. Morgan Funds JPMORGAN REAL RETURN FD INSTL CL RRNNX Non-NTF Growth 0.51 None 1 BondJ.P. Morgan Funds JPMORGAN REAL RETURN FUND CLASS A RRNAX Non-NTF Growth 0.91 3.75 3 BondJ.P. Morgan Funds JPMORGAN REAL RETURN FUND CLASS C RRNCX Non-NTF Growth 1.41 1.00 3 EquityJ.P. Morgan Funds JPMORGAN REAL RETURN SELECT CLASS RRNSX Non-NTF Growth 0.66 None 1 EquityJ.P. Morgan Funds JPMORGAN REALTY INC FUND INST CLASS URTLX Non-NTF Specialty - Real Estate 0.93 None 1 EquityJ.P. Morgan Funds JPMORGAN REALTY INCOME FUND CLASS A URTAX Non-NTF Specialty - Real Estate 1.4 5.25 3 EquityJ.P. Morgan Funds JPMORGAN REALTY INCOME FUND CLASS C URTCX Non-NTF Specialty - Real Estate 1.9 1.00 3 EquityJ.P. Morgan Funds JPMORGAN RESEARCH MKT NEUTRAL CLASS A JMNAX Non-NTF Growth 1.52 5.25 3 EquityJ.P. Morgan Funds JPMORGAN RESEARCH MKT NEUTRAL CLASS C JMNCX Non-NTF Growth -999 1.00 3 EquityJ.P. Morgan Funds JPMORGAN RESEARCH MKT NEUTRAL INSTL CL JPMNX Non-NTF Growth 1.02 None 1 EquityJ.P. Morgan Funds JPMORGAN RESEARCH MKT NEUTRAL SELECT JMNSX Non-NTF Growth -999 None 1 BondJ.P. Morgan Funds JPMORGAN RETIREMENT 2030 INSTL CLASS JSMIX Non-NTF Growth 0.04 None 1 BondJ.P. Morgan Funds JPMORGAN SHORT DURATION BD ULTRA CL FUND JSDUX Non-NTF Corporate Bond - High Quality 0.3 None 1 BondJ.P. Morgan Funds JPMORGAN SHORT DURATION BOND CL A OGLVX Non-NTF Corporate Bond - High Quality 0.8 2.25 3 BondJ.P. Morgan Funds JPMORGAN SHORT DURATION BOND CL C OSTCX Non-NTF Corporate Bond - High Quality 1.3 0.01 3 BondJ.P. Morgan Funds JPMORGAN SHORT DURATION BOND SELECT HLLVX Non-NTF Corporate Bond - High Quality 0.55 None 1 BondJ.P. Morgan Funds JPMORGAN SHORT-INTER MUNI BOND SELECT PGUIX Non-NTF Municipal Bond - National 0.55 None 1 BondJ.P. Morgan Funds JPMORGAN SHORT-INTER MUNICIPAL BOND CL A OSTAX Non-NTF Municipal Bond - National 0.8 2.25 3 BondJ.P. Morgan Funds JPMORGAN SHORT-INTER MUNICIPAL BOND CL C STMCX Non-NTF Municipal Bond - National 1.3 0.01 3 BondJ.P. Morgan Funds JPMORGAN SHORT-TRM BOND FUND II CL A HSTGX Non-NTF Corporate Bond - General 0.75 2.25 3 EquityJ.P. Morgan Funds JPMORGAN SHORT-TRM BOND FUND II SEL CL TRSBX Non-NTF Corporate Bond - General 0.5 None 3 EquityJ.P. Morgan Funds JPMORGAN SMALL CAP CORE FD SELECT CLASS VSSCX Non-NTF Small Company 0.8 None 1 EquityJ.P. Morgan Funds JPMORGAN SMALL CAP EQUITY CLASS A VSEAX Non-NTF Small Company 1.3 5.25 3 EquityJ.P. Morgan Funds JPMORGAN SMALL CAP EQUITY FND SELECT CL VSEIX Non-NTF Small Company 1 None 1 EquityJ.P. Morgan Funds JPMORGAN SMALL CAP EQUITY FUND CLASS C JSECX Non-NTF Small Company 1.8 1.00 3 EquityJ.P. Morgan Funds JPMORGAN SMALL CAP GROWTH CLASS A PGSGX Non-NTF Small Company 1.25 5.25 3 EquityJ.P. Morgan Funds JPMORGAN SMALL CAP GROWTH CLASS C OSGCX Non-NTF Small Company 1.85 1.00 3 EquityJ.P. Morgan Funds JPMORGAN SMALL CAP GROWTH INSTL CL JISGX Non-NTF Small Company 0.85 None 1 EquityJ.P. Morgan Funds JPMORGAN SMALL CAP GROWTH SELECT CLASS OGGFX Non-NTF Small Company 1 None 1 EquityJ.P. Morgan Funds JPMORGAN SMALL CAP VALUE CLASS A PSOAX Non-NTF Growth 1.25 5.25 3 EquityJ.P. Morgan Funds JPMORGAN SMALL CAP VALUE CLASS C OSVCX Non-NTF Growth 1.86 1.00 3 EquityJ.P. Morgan Funds JPMORGAN SMALL CAP VALUE SELECT CL PSOPX Non-NTF Growth 1 None 1 EquityJ.P. Morgan Funds JPMORGAN SMALL CAP VALUE ULTRA SHARES JSVUX Non-NTF Growth 0.86 None 1 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2010 CL A JSWAX Non-NTF Growth 0.43 4.50 3 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2010 CL C JSWCX Non-NTF Growth 0.93 1.00 3 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2010 INSTL CL JSWIX Non-NTF Growth 0.03 None 1 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2010 SELECT CL SH JSWSX Non-NTF Growth 0.18 None 1 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2015 CL A JSFAX Non-NTF Growth 0.43 4.50 3 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2015 CLASS C JSFCX Non-NTF Growth 0.93 1.00 3 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2015 INSTL CL JSFIX Non-NTF Growth 0.03 None 1 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2015 SELECT CL SH JSFSX Non-NTF Growth 0.18 None 1 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2020 CLASS A JTTAX Non-NTF Growth 0.43 4.50 3 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2020 CLASS C JTTCX Non-NTF Growth 0.93 1.00 3 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2020 INSTL CLASS JTTIX Non-NTF Growth 0.03 None 1 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2020 SELECT CLASS JTTSX Non-NTF Growth 0.18 None 1 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2030 FUND CLASS A JSMAX Non-NTF Growth 0.44 4.50 3 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2030 FUND CLASS C JSMCX Non-NTF Growth 0.94 1.00 3 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2030 SELECT CLASS JSMSX Non-NTF Growth 0.19 None 1 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2035 INSTL CL SRJIX Non-NTF Growth 0.04 None 1 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2040 CLASS A SMTAX Non-NTF Growth 0.44 4.50 3 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2040 FUND CLASS C SMTCX Non-NTF Growth 0.94 1.00 3 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2040 INSTL CLASS SMTIX Non-NTF Growth 0.04 None 1 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2040 SELECT CLASS SMTSX Non-NTF Growth 0.19 None 1 Equity

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Security Class

J.P. Morgan Funds JPMORGAN SMART RET 2045 INSTL CL JSAIX Non-NTF Growth 0.04 None 1 EquityJ.P. Morgan Funds JPMORGAN SMART RET 2050 INSTL CL JTSIX Non-NTF Growth 0.04 None 1 EquityJ.P. Morgan Funds JPMORGAN SMART RET INCOME CLASS A JSRAX Non-NTF Income 0.42 4.50 3 EquityJ.P. Morgan Funds JPMORGAN SMART RET INCOME CLASS C JSRCX Non-NTF Income 0.92 1.00 3 EquityJ.P. Morgan Funds JPMORGAN SMART RET INCOME INSTL CLASS JSIIX Non-NTF Income 0.02 None 1 EquityJ.P. Morgan Funds JPMORGAN SMART RET INCOME SELECT CLASS JSRSX Non-NTF Income 0.17 None 1 BondJ.P. Morgan Funds JPMORGAN STRATEGIC INCOME OPPORT CL C JSOCX Non-NTF Income 1.5 1.00 3 EquityJ.P. Morgan Funds JPMORGAN STRATEGIC INCOME OPPS - SELECT JSOSX Non-NTF Income 0.75 None 1 BondJ.P. Morgan Funds JPMORGAN TAX AWARE DISCIP EQUITY INSTL JPDEX Non-NTF Income 0.55 None 1 BondJ.P. Morgan Funds JPMORGAN TAX AWARE REAL RETURN FD CL A TXRAX Non-NTF Municipal Bond - National 0.74 3.75 3 BondJ.P. Morgan Funds JPMORGAN TAX AWARE REAL RETURN FD CL C TXRCX Non-NTF Municipal Bond - National 1.39 1.00 3 EquityJ.P. Morgan Funds JPMORGAN TAX AWARE REAL RETURN FD INSTL TXRIX Non-NTF Municipal Bond - National 0.49 None 1 EquityJ.P. Morgan Funds JPMORGAN TAX AWARE US EQUITY CLASS A JTEAX Non-NTF Income 1.05 5.25 3 EquityJ.P. Morgan Funds JPMORGAN TAX AWARE US EQUITY CLASS C JTECX Non-NTF Income 1.55 1.00 3 EquityJ.P. Morgan Funds JPMORGAN TAX AWARE US EQUITY INSTL CL JTUIX Non-NTF Income 0.56 None 1 BondJ.P. Morgan Funds JPMORGAN TAX AWARE US EQUITY SELECT CL JPTAX Non-NTF Income 0.8 None 1 BondJ.P. Morgan Funds JPMORGAN TAX FREE MMKT MORGAN SHS VTMXX Non-NTF None 1 BondJ.P. Morgan Funds JPMORGAN TAX FREE MMKT PREMIER SHS VXPXX Non-NTF None 1 EquityJ.P. Morgan Funds JPMORGAN TOTAL RETURN FUND - SELECT JMTSX Non-NTF Growth 0.65 None 1 BondJ.P. Morgan Funds JPMORGAN TOTAL RETURN FUND CL C JMTCX Non-NTF Growth 1.4 1.00 3 BondJ.P. Morgan Funds JPMORGAN TREASURY & AGENCY CLASS A OTABX Non-NTF Income 0.7 2.25 3 EquityJ.P. Morgan Funds JPMORGAN TREASURY & AGENCY SELECT SHS OGTFX Non-NTF Income 0.45 None 1 EquityJ.P. Morgan Funds JPMORGAN U.S. EQUITY FUND CL R5 JUSRX Non-NTF Growth and Income 0.59 None 1 EquityJ.P. Morgan Funds JPMORGAN US EQUITY FUND CLASS A JUEAX Non-NTF Growth and Income 1.05 5.25 3 EquityJ.P. Morgan Funds JPMORGAN US EQUITY FUND CLASS C JUECX Non-NTF Growth and Income 1.57 1.00 3 EquityJ.P. Morgan Funds JPMORGAN US GOVT MM KT PREMIER SHS OGSXX Non-NTF None 1 EquityJ.P. Morgan Funds JPMORGAN US REAL ESTATE CLASS A SUSIX Non-NTF Specialty - Real Estate 1.18 5.25 3 EquityJ.P. Morgan Funds JPMORGAN US REAL ESTATE FD CL C JPRCX Non-NTF Specialty - Real Estate 1.68 1.00 3 EquityJ.P. Morgan Funds JPMORGAN US REAL ESTATE FD SELECT SHS SUIEX Non-NTF Specialty - Real Estate 0.93 None 1 EquityJ.P. Morgan Funds JPMORGAN US TREAS PLUS MMKT PREMIER PJTXX Non-NTF None 1 EquityJ.P. Morgan Funds JPMORGAN US TRESURY PLUS MMKT INV SHRS HGOXX Non-NTF None 1 EquityJ.P. Morgan Funds JPMORGAN VALUE ADV FD INSTL CL SH JVAIX Non-NTF Growth and Income 0.75 None 1 EquityJ.P. Morgan Funds JPMORGAN VALUE ADVANTAGE CL A JVAAX Non-NTF Growth and Income 1.25 5.25 3 EquityJ.P. Morgan Funds JPMORGAN VALUE ADVANTAGE FUND CL C JVACX Non-NTF Growth and Income 1.75 1.00 3 EquityJ.P. Morgan Funds JPMORGAN VALUE OPPORTUNITIES CL A JVOAX Non-NTF Growth 1.07 5.25 3 EquityJ.P. Morgan Funds JPMORGAN VALUE OPPORTUNITIES CL C JVOCX Non-NTF Growth 1.57 1.00 3 EquityJ.P. Morgan Funds JPMORGAN VALUE OPPORTUNITIES INSTL JVOIX Non-NTF Growth 0.65 None 1 EquityJ.P. Morgan Funds JPMORGNA SMART RET 2025 INSTL CL JNSIX Non-NTF Growth 0.04 None 1 EquityJ.P. Morgan Funds UNDISCOVERED MANAGER BEHAVIOR GROW INVS UBRRX Non-NTF Growth 1.65 None 3 EquityJ.P. Morgan Funds UNDISCOVERED MANAGER BEHAVIORAL GRTH CL A UBGAX Non-NTF Growth 1.65 5.25 3 EquityJ.P. Morgan Funds UNDISCOVERED MANAGER BEHAVIORAL VAL CL A UBVAX Non-NTF Growth 1.6 5.25 3 EquityJ.P. Morgan Funds UNDISCOVERED MANAGER BEHAVIORAL VAL CL C UBVCX Non-NTF Growth 2.1 1.00 3 EquityJ.P. Morgan Funds UNDISCOVERED MANAGER BEHAVIORL GROW INSTL UBRLX Non-NTF Growth 1.3 None 1 EquityJ.P. Morgan Funds UNDISCOVERED MGRS BEHAVIOR VALUE INSTL UBVLX Non-NTF Growth 1.41 None 3 EquityJ.P. Morgan Funds UNDISOCVERED MANAGER BEHAVIORAL GRWTH C UBGCX Non-NTF Growth 2.15 1.00 3 EquityJacob Wisdom Funds JACOB WISDOM FUND JWSFX Non-NTF Growth and Income -999 None 3 EquityJames Advantage Funds JAMES ADVANTAGE MID CAP FUND CL A JAMDX Non-NTF Growth and Income 1.5 None 1 EquityJames Advantage Funds JAMES BALANCED: GOLDEN RAINBOW I GLRIX Non-NTF Balanced 0.95 None 1 EquityJanus Advisor Funds INTECH MANAGED GROWTH CLASS A JDRAX Non-NTF Growth 0.82 5.75 1 EquityJanus Advisor Funds INTECH RISK MANAGED CORE CLASS A JDOAX Non-NTF Growth 1.08 5.75 1 EquityJanus Advisor Funds INTECH RISK MANAGED CORE CLASS C JLCCX Non-NTF Growth 1.83 1.00 1 EquityJanus Advisor Funds INTECH RISK MANAGED CORE CLASS I JRMCX Non-NTF Growth 0.78 None 1 EquityJanus Advisor Funds INTECH RISK MANAGED GROWTH CLASS C JCGCX Non-NTF Growth 1.62 1.00 1 EquityJanus Advisor Funds INTECH RISK MANAGED GROWTH CLASS I JRMGX Non-NTF Growth 0.55 None 1 EquityJanus Advisor Funds INTECH RISK MANAGED VALUE CLASS A JRSAX Non-NTF Growth 0.74 5.75 3 EquityJanus Advisor Funds INTECH RISK MANAGED VALUE CLASS I JRSIX Non-NTF Growth 0.61 None 1 EquityJanus Advisor Funds JANUS BALANCED CLASS A JDBAX Non-NTF Balanced 0.89 5.75 3 BondJanus Advisor Funds JANUS BALANCED CLASS C JABCX Non-NTF Balanced 1.69 1.00 3 EquityJanus Advisor Funds JANUS BALANCED CLASS I JBALX Non-NTF Balanced 0.62 None 1 Equity

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Settlement Days

Security Class

Janus Advisor Funds JANUS BALANCED CLASS R JDBRX Non-NTF Balanced 1.34 None 1 EquityJanus Advisor Funds JANUS CONTRARIAN CLASS A JCNAX Non-NTF Growth 1.34 5.75 3 EquityJanus Advisor Funds JANUS CONTRARIAN CLASS C JCNCX Non-NTF Growth 2.09 1.00 1 EquityJanus Advisor Funds JANUS CONTRARIAN CLASS I JCONX Non-NTF Growth 0.9 None 1 EquityJanus Advisor Funds JANUS CONTRARIAN CLASS R JCNRX Non-NTF Growth 1.65 None 1 EquityJanus Advisor Funds JANUS CONTRARIAN CLASS S JCNIX Non-NTF Growth 1.4 None 1 EquityJanus Advisor Funds JANUS ENTERPRISE CLASS A JDMAX Non-NTF Growth 1.19 5.75 1 EquityJanus Advisor Funds JANUS ENTERPRISE CLASS C JGRCX Non-NTF Growth 1.94 1.00 1 EquityJanus Advisor Funds JANUS ENTERPRISE CLASS I JMGRX Non-NTF Growth 0.81 None 1 EquityJanus Advisor Funds JANUS ENTERPRISE CLASS R JDMRX Non-NTF Growth 1.55 None 1 BondJanus Advisor Funds JANUS FLEXIBLE BOND CLASS A JDFAX Non-NTF Multisector Bond 0.8 4.75 3 BondJanus Advisor Funds JANUS FLEXIBLE BOND CLASS C JFICX Non-NTF Multisector Bond 1.57 1.00 1 BondJanus Advisor Funds JANUS FLEXIBLE BOND CLASS I JFLEX Non-NTF Multisector Bond 0.48 None 1 EquityJanus Advisor Funds JANUS FORTY CLASS A JDCAX Non-NTF Growth 0.97 5.75 3 EquityJanus Advisor Funds JANUS FORTY CLASS C JACCX Non-NTF Growth 1.75 1.00 1 EquityJanus Advisor Funds JANUS FORTY CLASS I JCAPX Non-NTF Growth 0.67 None 3 EquityJanus Advisor Funds JANUS FORTY CLASS R JDCRX Non-NTF Growth 1.41 None 3 EquityJanus Advisor Funds JANUS FUND CLASS A JDGAX Non-NTF Growth 1.03 5.75 1 EquityJanus Advisor Funds JANUS FUND CLASS C JGOCX Non-NTF Growth 1.78 1.00 1 EquityJanus Advisor Funds JANUS FUND CLASS I JGROX Non-NTF Growth 0.71 None 1 EquityJanus Advisor Funds JANUS FUND CLASS R JDGRX Non-NTF Growth 1.44 None 1 EquityJanus Advisor Funds JANUS GLOBAL LIFE SCIENCES CL A JFNAX Non-NTF Specialty - Health 1.05 5.75 3 EquityJanus Advisor Funds JANUS GLOBAL LIFE SCIENCES FUND CL C JFNCX Non-NTF Specialty - Health 1.8 1.00 3 EquityJanus Advisor Funds JANUS GLOBAL LIFE SCIENCES FUND CL I JFNIX Non-NTF Specialty - Health 0.77 None 1 EquityJanus Advisor Funds JANUS GLOBAL LIFE SCIENCES FUND CL S JFNSX Non-NTF Specialty - Health 1.24 None 1 EquityJanus Advisor Funds JANUS GLOBAL OPPORTUNITIES CL A JPPAX Non-NTF World Stock 0.84 5.75 3 EquityJanus Advisor Funds JANUS GLOBAL OPPORTUNITIES CL C JPPCX Non-NTF World Stock 1.63 1.00 3 EquityJanus Advisor Funds JANUS GLOBAL OPPORTUNITIES CL I JPPIX Non-NTF World Stock 0.54 None 1 EquityJanus Advisor Funds JANUS GLOBAL OPPORTUNITIES CL S JPPSX Non-NTF World Stock 1.09 None 1 EquityJanus Advisor Funds JANUS GLOBAL REAL ESTATE FD CL A JERAX Non-NTF Specialty - Real Estate 1.63 5.75 3 EquityJanus Advisor Funds JANUS GLOBAL RESEARCH FUND CL A JRGAX Non-NTF Growth and Income 0.93 5.75 3 EquityJanus Advisor Funds JANUS GLOBAL RESEARCH FUND CL C JRGCX Non-NTF Growth and Income 1.31 1.00 3 EquityJanus Advisor Funds JANUS GLOBAL RESEARCH FUND CL I JRGIX Non-NTF Growth and Income 0.39 None 1 EquityJanus Advisor Funds JANUS GLOBAL RESEARCH FUND CL S JRGSX Non-NTF Growth and Income 1.16 None 1 EquityJanus Advisor Funds JANUS GLOBAL TECHNOLOGY CL I JATIX Non-NTF Specialty - Technology 0.63 None 1 EquityJanus Advisor Funds JANUS GLOBAL TECHNOLOGY CL S JATSX Non-NTF Specialty - Technology 1.26 None 1 EquityJanus Advisor Funds JANUS GLOBAL TECHNOLOGY FUND CL A JATAX Non-NTF Specialty - Technology 0.99 5.75 3 EquityJanus Advisor Funds JANUS GLOBAL TECHNOLOGY FUND CL C JAGCX Non-NTF Specialty - Technology 1.74 1.00 3 EquityJanus Advisor Funds JANUS GROWTH AND INCOME CLASS A JDNAX Non-NTF Growth and Income 0.98 5.75 3 BondJanus Advisor Funds JANUS GROWTH AND INCOME CLASS C JGICX Non-NTF Growth and Income 1.73 1.00 1 EquityJanus Advisor Funds JANUS GROWTH AND INCOME CLASS I JGINX Non-NTF Growth and Income 0.67 None 1 EquityJanus Advisor Funds JANUS GROWTH AND INCOME CLASS R JDNRX Non-NTF Growth and Income 1.44 None 1 BondJanus Advisor Funds JANUS HIGH YIELD CLASS A JHYAX Non-NTF Corporate Bond - High Yield 0.96 4.75 3 BondJanus Advisor Funds JANUS HIGH YIELD CLASS C JDHCX Non-NTF Corporate Bond - High Yield 1.71 1.00 1 BondJanus Advisor Funds JANUS HIGH YIELD CLASS S JDHYX Non-NTF Corporate Bond - High Yield 1.18 None 1 EquityJanus Advisor Funds JANUS HIGH-YIELD FUND CLASS I JHYFX Non-NTF Corporate Bond - High Yield 0.66 None 1 EquityJanus Advisor Funds JANUS INTERNATIONAL FORTY FUND CL I JFFIX Non-NTF Growth 1.42 None 1 EquityJanus Advisor Funds JANUS INTL EQUITY CLASS A JAIEX Non-NTF Growth 1.31 5.75 3 EquityJanus Advisor Funds JANUS INTL EQUITY CLASS C JCIEX Non-NTF Growth 2.07 1.00 1 EquityJanus Advisor Funds JANUS INTL EQUITY CLASS I JIIEX Non-NTF Growth 0.97 None 1 EquityJanus Advisor Funds JANUS INTL EQUITY CLASS S JSIEX Non-NTF Growth 1.46 None 1 EquityJanus Advisor Funds JANUS LONG/SHORT CLASS A JALSX Non-NTF Income 1.92 5.75 3 EquityJanus Advisor Funds JANUS LONG/SHORT CLASS C JCLSX Non-NTF Income 2.65 1.00 1 EquityJanus Advisor Funds JANUS LONG/SHORT CLASS I JLSIX Non-NTF Income 1.58 None 1 EquityJanus Advisor Funds JANUS LONG/SHORT CLASS R JRLSX Non-NTF Income 2.25 None 1 EquityJanus Advisor Funds JANUS LONG/SHORT CLASS S JSLSX Non-NTF Income 2.01 None 1 EquityJanus Advisor Funds JANUS MODULAR PORT CONSTRUCTION CLASS C JCMPX Non-NTF Growth 0.48 1.00 1 EquityJanus Advisor Funds JANUS ORION CLASS A JORAX Non-NTF Aggressive Growth 1.16 5.75 3 EquityJanus Advisor Funds JANUS ORION CLASS R JORRX Non-NTF Aggressive Growth 1.47 None 1 Equity

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Settlement Days

Security Class

Janus Advisor Funds JANUS ORION CLASS S JORIX Non-NTF Aggressive Growth 1.21 None 1 EquityJanus Advisor Funds JANUS ORION FUND CLASS C JORCX Non-NTF Aggressive Growth 1.93 1.00 1 EquityJanus Advisor Funds JANUS OVERSEAS CLASS A JDIAX Non-NTF Foreign Stock 1 5.75 3 EquityJanus Advisor Funds JANUS OVERSEAS CLASS C JIGCX Non-NTF Foreign Stock 1.92 1.00 1 EquityJanus Advisor Funds JANUS OVERSEAS CLASS I JIGFX Non-NTF Foreign Stock 0.69 None 1 EquityJanus Advisor Funds JANUS OVERSEAS CLASS R JDIRX Non-NTF Foreign Stock 1.43 None 1 EquityJanus Advisor Funds JANUS OVERSEAS CLASS S JIGRX Non-NTF Foreign Stock 1.18 None 1 EquityJanus Advisor Funds JANUS PERKINS LARGE CAP VALUE CL S JAPSX Non-NTF Growth 1.47 None 1 EquityJanus Advisor Funds JANUS PERKINS SMALL CAP VALUE CL I JSCOX Non-NTF Small Company 0.75 None 1 EquityJanus Advisor Funds JANUS RESEARCH CORE CLASS A JDQAX Non-NTF Equity-Income 0.93 5.75 1 EquityJanus Advisor Funds JANUS RESEARCH CORE CLASS R JDQRX Non-NTF Equity-Income 1.43 None 1 EquityJanus Advisor Funds JANUS RESEARCH FUND CL A JRAAX Non-NTF Growth 1.17 5.75 3 EquityJanus Advisor Funds JANUS RESEARCH FUND CL C JRACX Non-NTF Growth 1.89 1.00 3 EquityJanus Advisor Funds JANUS RESEARCH FUND CL I JRAIX Non-NTF Growth 0.85 None 1 EquityJanus Advisor Funds JANUS RESEARCH FUND CL S JRASX Non-NTF Growth 1.47 None 1 BondJanus Advisor Funds JANUS SHORT TERM BD FUND CLASS A JSHAX Non-NTF Corporate Bond - General 0.81 2.50 3 BondJanus Advisor Funds JANUS SHORT TERM BD FUND CLASS I JSHIX Non-NTF Corporate Bond - General 0.57 None 1 BondJanus Advisor Funds JANUS SHORT-TERM BOND FUND CL C JSHCX Non-NTF Corporate Bond - General 1.56 1.00 3 EquityJanus Advisor Funds JANUS SHORT-TERM BOND FUND CL S JSHSX Non-NTF Corporate Bond - General 1.06 None 1 EquityJanus Advisor Funds JANUS SMART PORT - CONSERVATIVE CL C JCACX Non-NTF Growth and Income 1.13 1.00 3 EquityJanus Advisor Funds JANUS SMART PORT - CONSERVATIVE CL I JCAIX Non-NTF Growth and Income 0.13 None 1 EquityJanus Advisor Funds JANUS SMART PORT - GROWTH CL C JGCCX Non-NTF Growth and Income 1.26 1.00 3 EquityJanus Advisor Funds JANUS SMART PORT - GROWTH CL I JGCIX Non-NTF Growth and Income 0.29 None 1 EquityJanus Advisor Funds JANUS SMART PORT - MODERATE CL C JMOCX Non-NTF Growth and Income 1.2 1.00 3 EquityJanus Advisor Funds JANUS SMART PORT - MODERATE CL I JMOIX Non-NTF Growth and Income 0.18 None 1 EquityJanus Advisor Funds JANUS SMART PORT - MODERATE CL S JMOSX Non-NTF Growth and Income 0.77 None 1 EquityJanus Advisor Funds JANUS SMART PORT CONSERVATIVE CL A JCAAX Non-NTF Growth and Income 0.37 5.75 3 EquityJanus Advisor Funds JANUS SMART PORT CONSERVATIVE CL S JCASX Non-NTF Growth and Income 0.65 None 1 EquityJanus Advisor Funds JANUS SMART PORT GROWTH CL A JGCAX Non-NTF Growth and Income 0.47 5.75 3 EquityJanus Advisor Funds JANUS SMART PORT GROWTH CL S JGCSX Non-NTF Growth and Income 0.67 None 1 EquityJanus Advisor Funds JANUS SMART PORT MODERATE CL A JMOAX Non-NTF Growth and Income 0.44 5.75 3 EquityJanus Advisor Funds JANUS TRITON CLASS A JGMAX Non-NTF Growth 1.33 5.75 1 EquityJanus Advisor Funds JANUS TRITON CLASS C JGMCX Non-NTF Growth 2.07 1.00 1 EquityJanus Advisor Funds JANUS TRITON CLASS R JGMRX Non-NTF Growth 1.8 None 1 EquityJanus Advisor Funds JANUS TRITON CLASS S JGMIX Non-NTF Growth 1.57 None 1 EquityJanus Advisor Funds JANUS TRITON FUND CLASS I JSMGX Non-NTF Growth 0.97 None 1 EquityJanus Advisor Funds JANUS WORLDWIDE CLASS A JDWAX Non-NTF World Stock 1.17 5.75 1 EquityJanus Advisor Funds JANUS WORLDWIDE CLASS C JWWCX Non-NTF World Stock 2.05 1.00 1 EquityJanus Advisor Funds JANUS WORLDWIDE CLASS I JWWFX Non-NTF World Stock 0.76 None 1 EquityJanus Advisor Funds JANUS WORLDWIDE CLASS R JDWRX Non-NTF World Stock 1.43 None 1 EquityJanus Advisor Funds PERKINS LARGE CAP VALUE CLASS C JAPCX Non-NTF Growth 1.97 1.00 1 EquityJanus Advisor Funds PERKINS LARGE CAP VALUE CLASS I JAPIX Non-NTF Growth 1 None 1 EquityJanus Advisor Funds PERKINS MID CAP VALUE CLASS A JDPAX Non-NTF Growth 1.22 5.75 3 EquityJanus Advisor Funds PERKINS MID CAP VALUE CLASS C JMVCX Non-NTF Growth 1.97 1.00 3 EquityJanus Advisor Funds PERKINS MID CAP VALUE CLASS I JMVAX Non-NTF Growth 0.81 None 1 EquityJanus Advisor Funds PERKINS MID CAP VALUE CLASS R JDPRX Non-NTF Growth 1.53 None 1 EquityJanus Advisor Funds PERKINS SMALL CO VALUE CLASS A JDSAX Non-NTF Small Company 0.96 5.75 1 EquityJanus Advisor Funds PERKINS SMALL CO VALUE CLASS C JCSCX Non-NTF Small Company 1.95 1.00 1 EquityJanus Advisor Funds PERKINS SMALL CO VALUE CLASS R JDSRX Non-NTF Small Company 1.54 None 1 EquityJanus Funds JANUS MONEY MARKET FUND CLASS T JAMXX Non-NTF None 1 EquityJanus Funds JANUS SMART PORT CONSERVATIVE CLASS T JSPCX Non-NTF Growth and Income 0.3 None 1 EquityJanus Funds JANUS SMART PORT GROWTH CLASS T JSPGX Non-NTF Growth and Income 0.36 None 1 EquityJanus Funds JANUS SMART PORT MODERATE CLASS T JSPMX Non-NTF Growth and Income 0.32 None 1 EquityJanus Funds PERKINS MID CAP VALUE FUND CLASS L JMIVX Non-NTF Growth 0.87 None 1 EquityJanus Funds PERKINS SMALL CAP VALUE FUND CLASS L JSIVX Non-NTF Small Company 0.85 None 1 EquityJensen Fund JENSEN PORTFOLIO CL R JENRX Non-NTF Growth 1.13 None 3 EquityJensen Fund JENSEN PORTFOLIO CLASS I JENIX Non-NTF Growth 0.61 None 3 EquityJohn Hancock Funds JH DISCIPLINED VALUE FUND FUND CL R1 JDVOX Non-NTF Growth and Income -999 None 3 EquityJohn Hancock Funds JOHN HANCOCK BALANCE FUND CLASS I SVBIX Non-NTF Balanced 0.79 None 3 Equity

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Security Class

John Hancock Funds JOHN HANCOCK BALANCED CLASS A SVBAX Non-NTF Balanced 1.21 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK BALANCED CLASS B SVBBX Non-NTF Balanced 1.91 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK BALANCED CLASS C SVBCX Non-NTF Balanced 1.92 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK BALANCED FUND CL R1 JBAOX Non-NTF Balanced 1.63 None 3 EquityJohn Hancock Funds JOHN HANCOCK BALANCED FUND CL R3 JBAHX Non-NTF Balanced 1.51 None 3 EquityJohn Hancock Funds JOHN HANCOCK BALANCED FUND CL R4 JBAFX Non-NTF Balanced 1.23 None 3 BondJohn Hancock Funds JOHN HANCOCK BALANCED FUND CL R5 JBAVX Non-NTF Balanced 0.92 None 3 BondJohn Hancock Funds JOHN HANCOCK BOND CLASS A JHNBX Non-NTF Corporate Bond - General 1.16 4.50 3 BondJohn Hancock Funds JOHN HANCOCK BOND CLASS B JHBBX Non-NTF Corporate Bond - General 1.86 5.00 3 BondJohn Hancock Funds JOHN HANCOCK BOND CLASS C JHCBX Non-NTF Corporate Bond - General 1.86 1.00 3 BondJohn Hancock Funds JOHN HANCOCK BOND FUND CLASS I JHBIX Non-NTF Corporate Bond - General 0.7 None 3 BondJohn Hancock Funds JOHN HANCOCK CALIF TAX FREE CLASS A TACAX Non-NTF Municipal Bond - Single State 0.91 4.50 3 BondJohn Hancock Funds JOHN HANCOCK CALIF TAX FREE CLASS B TSCAX Non-NTF Municipal Bond - Single State 1.76 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK CALIF TAX FREE CLASS C TCCAX Non-NTF Municipal Bond - Single State 1.76 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK CLASSIC VAL MEGA CP VAL CL B JMEBX Non-NTF Growth 2.12 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK CLASSIC VALUE B JCVBX Non-NTF Growth 2.08 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK CLASSIC VALUE CL A PZFVX Non-NTF Growth 1.33 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK CLASSIC VALUE CL C JCVCX Non-NTF Growth 2.08 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK CLASSIC VALUE CL I JCVIX Non-NTF Growth 0.95 None 3 EquityJohn Hancock Funds JOHN HANCOCK CLASSIC VALUE CLASS R1 JCVRX Non-NTF Growth 1.67 None 3 EquityJohn Hancock Funds JOHN HANCOCK CLASSIC VALUE MEGA CAP CL A JMEAX Non-NTF Growth 1.37 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK CLASSIC VALUE MEGA CAP CL C JMECX Non-NTF Growth 2.12 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK DISCIPLINED VALUE A JVLAX Non-NTF Growth and Income 1 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK DISCIPLINED VALUE B JVLBX Non-NTF Growth and Income 2.05 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK DISCIPLINED VALUE C JVLCX Non-NTF Growth and Income 2.05 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK DISCIPLINED VALUE I JVLIX Non-NTF Growth and Income 0.75 None 3 EquityJohn Hancock Funds JOHN HANCOCK DISCIPLINED VALUE I2 JVLTX Non-NTF Growth and Income 0.75 None 3 EquityJohn Hancock Funds JOHN HANCOCK FINC'L INDUSTRIES CLASS A FIDAX Non-NTF Specialty - Financial 1.46 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK FINC'L INDUSTRIES CLASS B FIDBX Non-NTF Specialty - Financial 2.16 5.00 3 BondJohn Hancock Funds JOHN HANCOCK FINC'L INDUSTRIES CLASS C FIDCX Non-NTF Specialty - Financial 2.16 1.00 3 BondJohn Hancock Funds JOHN HANCOCK FLOATING RATE INC A JFIAX Non-NTF Income 1.2 3.00 3 BondJohn Hancock Funds JOHN HANCOCK FLOATING RATE INC B JFIBX Non-NTF Income 1.95 5.00 3 BondJohn Hancock Funds JOHN HANCOCK FLOATING RATE INC C JFIGX Non-NTF Income 1.95 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK FLOATING RATE INC I JFIIX Non-NTF Income 0.85 None 3 EquityJohn Hancock Funds JOHN HANCOCK GLOBAL OPPORTUNITIES CL A JGPAX Non-NTF Growth 1.59 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK GLOBAL OPPORTUNITIES CL B JGPBX Non-NTF Growth 2.28 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK GLOBAL OPPORTUNITIES CL C JGPCX Non-NTF Growth 2.29 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK GLOBAL OPPORTUNITIES FD I JGPIX Non-NTF Growth 1.17 None 3 EquityJohn Hancock Funds JOHN HANCOCK GLOBAL SHAREHLDR YLD CL C JGYCX Non-NTF Growth and Income 2.25 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK GLOBAL SHAREHOLDER YIELD A JGYAX Non-NTF Growth and Income 1.55 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK GLOBAL SHAREHOLDER YLD CL B JGYBX Non-NTF Growth and Income 2.25 5.00 3 BondJohn Hancock Funds JOHN HANCOCK GLOBAL SHAREHOLDER YLD I JGYIX Non-NTF Growth and Income 1.1 None 3 BondJohn Hancock Funds JOHN HANCOCK GOV'T INCOME CLASS A JHGIX Non-NTF Government Bond - General 1.16 4.50 3 BondJohn Hancock Funds JOHN HANCOCK GOV'T INCOME CLASS B TSGIX Non-NTF Government Bond - General 1.92 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK GOV'T INCOME CLASS C TCGIX Non-NTF Government Bond - General 1.93 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK GREATER CHINA OPP CLASS C JCOCX Non-NTF Growth 2.68 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK GREATER CHINA OPP CLASS I JCOIX Non-NTF Growth 1.65 None 3 EquityJohn Hancock Funds JOHN HANCOCK GREATER CHINA OPPOR CLASS A JCOAX Non-NTF Growth 1.92 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK GREATER CHINA OPPOR CLASS B JCOBX Non-NTF Growth 2.67 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK GROWTH OPP FUND CL I GOSIX Non-NTF Growth 1.09 None 3 EquityJohn Hancock Funds JOHN HANCOCK GROWTH OPP FUND CLASS A GMSGX Non-NTF Growth 1.54 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK GROWTH OPP FUND CLASS C GMPCX Non-NTF Growth 2.24 1.00 3 BondJohn Hancock Funds JOHN HANCOCK GROWTH OPPORTUNITIES CL B GOSBX Non-NTF Growth 2.24 5.00 3 BondJohn Hancock Funds JOHN HANCOCK HIGH YIELD FD CL A JHHBX Non-NTF Corporate Bond - High Yield 1.11 4.50 3 EquityJohn Hancock Funds JOHN HANCOCK HIGH YIELD FD CL B TSHYX Non-NTF Corporate Bond - High Yield 1.86 5.00 3 BondJohn Hancock Funds JOHN HANCOCK HIGH YIELD FUND CL I JYHIX Non-NTF Corporate Bond - High Yield 0.87 None 3 BondJohn Hancock Funds JOHN HANCOCK HIGH YIELD MUNI BOND CL A JHTFX Non-NTF Municipal Bond - National 1.15 4.50 3 BondJohn Hancock Funds JOHN HANCOCK HIGH YIELD MUNI BOND CL B TSHTX Non-NTF Municipal Bond - National 1.9 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK HIGH YIELD MUNI BOND CL C JCTFX Non-NTF Municipal Bond - National 1.9 1.00 3 Equity

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Security Class

John Hancock Funds JOHN HANCOCK INTERNL ALLOCATION PORT CL A JAIAX Non-NTF Growth 0.61 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK INTL ALLOCAT PORT CL C JAICX Non-NTF Growth 1.31 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK INTL ALLOCATION PORT B JAIBX Non-NTF Growth 1.31 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK INTL ALLOCATION PORT CL I JAIIX Non-NTF Growth 0.16 None 3 EquityJohn Hancock Funds JOHN HANCOCK INTL CORE FD CL B GOCBX Non-NTF Foreign Stock 2.4 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK INTL CORE FUND CL I GOCIX Non-NTF Foreign Stock 1.18 None 3 EquityJohn Hancock Funds JOHN HANCOCK INTL CORE FUND CLASS A GIDEX Non-NTF Foreign Stock 1.7 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK INTL CORE FUND CLASS C GOCCX Non-NTF Foreign Stock 2.4 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK INTL GROWTH CL A GOIGX Non-NTF Foreign Stock 1.62 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK INTL GROWTH FD CL B GONBX Non-NTF Foreign Stock 2.4 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK INTL GROWTH FUND CL C GONCX Non-NTF Foreign Stock 2.4 1.00 3 BondJohn Hancock Funds JOHN HANCOCK INTL GROWTH FUND CL I GOGIX Non-NTF Foreign Stock 1.2 None 3 BondJohn Hancock Funds JOHN HANCOCK INVST GRADE BOND CL A TAUSX Non-NTF Government Bond - General 1.2 4.50 3 BondJohn Hancock Funds JOHN HANCOCK INVST GRADE BOND CL B TSUSX Non-NTF Government Bond - General 1.95 5.00 3 BondJohn Hancock Funds JOHN HANCOCK INVST GRADE BOND CL C TCUSX Non-NTF Government Bond - General 1.95 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK INVT GRADE BOND FD I TIUSX Non-NTF Government Bond - General 1.12 None 3 EquityJohn Hancock Funds JOHN HANCOCK LARGE CAP EQUITY CL A TAGRX Non-NTF Growth and Income 1.22 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LARGE CAP EQUITY CL B TSGWX Non-NTF Growth and Income 1.98 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LARGE CAP EQUITY CL C JHLVX Non-NTF Growth and Income 1.97 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK LARGE CAP EQUITY FD CL I JLVIX Non-NTF Growth and Income 0.84 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE AGGRESS PORT R1 JPLAX Non-NTF Aggressive Growth 0.85 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CONSERV PORT R1 JPLCX Non-NTF Income 0.88 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYC 2025 PORT CL R1 JLEDX Non-NTF Growth and Income 0.82 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYC 2025 PORT CL R3 JLEFX Non-NTF Growth and Income 0.75 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYC 2025 PORT CL R4 JLEGX Non-NTF Growth and Income 0.45 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYC 2025 PORT CL R5 JLEHX Non-NTF Growth and Income 0.16 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYC 2035 PORT CL R4 JLHGX Non-NTF Growth and Income 0.47 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYC 2045 PORT CL R1 JLJDX Non-NTF Growth and Income 0.86 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2010 PORT A JLAAX Non-NTF Growth and Income 0.64 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2010 PORT R3 JLAFX Non-NTF Growth and Income 0.79 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2010 PORT R4 JLAGX Non-NTF Growth and Income 0.49 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2010 PORT R5 JLAHX Non-NTF Growth and Income 0.2 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2010 R1 JLADX Non-NTF Growth and Income 0.87 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2015 PORT CL A JLBAX Non-NTF Growth and Income 0.61 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2015 PORT R1 JLBDX Non-NTF Growth and Income 0.83 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2015 PORT R3 JLBFX Non-NTF Growth and Income 0.77 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2015 PORT R4 JLBGX Non-NTF Growth and Income 0.46 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2015 PORT R5 JLBHX Non-NTF Growth and Income 0.2 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2020 CL A JLDAX Non-NTF Growth and Income 0.61 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2020 CL R5 JLDHX Non-NTF Growth and Income 0.16 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2020 PORT R3 JLDFX Non-NTF Growth and Income 0.76 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2020 PORT R4 JLDGX Non-NTF Growth and Income 0.45 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2020 PRT CL R1 JLDDX Non-NTF Growth and Income 0.83 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2025 PRTF CL A JLEAX Non-NTF Growth and Income 0.61 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2030 PORT CL A JLFAX Non-NTF Growth and Income 0.61 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2030 PORT R1 JLFDX Non-NTF Growth and Income 0.83 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2030 PORT R3 JLFFX Non-NTF Growth and Income 0.76 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2030 PORT R4 JLFGX Non-NTF Growth and Income 0.45 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2030 PORT R5 JLFHX Non-NTF Growth and Income 0.17 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2035 PORT R1 JLHDX Non-NTF Growth and Income 0.84 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2035 PORT R3 JLHFX Non-NTF Growth and Income 0.77 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2035 PORT R5 JLHHX Non-NTF Growth and Income 0.17 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2035 PRTF CL A JLHAX Non-NTF Growth and Income 0.62 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2040 PORT R1 JLIDX Non-NTF Growth and Income 0.85 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2040 PORT R3 JLIFX Non-NTF Growth and Income 0.76 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2040 PORT R4 JLIGX Non-NTF Growth and Income 0.48 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2040 PORT R5 JLIHX Non-NTF Growth and Income 0.19 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2045 PORT R3 JLJFX Non-NTF Growth and Income 0.76 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE CYCLE 2045 PORT R4 JLJGX Non-NTF Growth and Income 0.48 None 3 Equity

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Settlement Days

Security Class

John Hancock Funds JOHN HANCOCK LIFE CYCLE 2045 PORT R5 JLJHX Non-NTF Growth and Income 0.19 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE GROWTH PORT R1 JPLGX Non-NTF Growth 0.83 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE AGG PORT CL R5 JTLAX Non-NTF Aggressive Growth 0.24 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE AGGR PORT C JCLAX Non-NTF Aggressive Growth 1.31 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE AGGR PORT CL A JALAX Non-NTF Aggressive Growth 0.61 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE AGGR PORT CL B JBLAX Non-NTF Aggressive Growth 1.35 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE AGGR PORT R3 JRLAX Non-NTF Aggressive Growth 0.86 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE AGGR PRT CL R4 JSLAX Non-NTF Aggressive Growth 0.56 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE BAL PORT C JCLBX Non-NTF Balanced 1.24 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE BAL PORT CL A JALBX Non-NTF Balanced 0.54 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE BAL PORT CL B JBLBX Non-NTF Balanced 1.32 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE BAL PORT CL R4 JSLBX Non-NTF Balanced 0.52 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE BAL PORT CL R5 JTSBX Non-NTF Balanced 0.21 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE BAL PORT R1 JPLBX Non-NTF Balanced 1.06 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE BAL PORT R3 JRLBX Non-NTF Balanced 0.8 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE CNSRV PORT R4 JSLCX Non-NTF Income 0.57 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE CNSRV PRT CL A JALRX Non-NTF Income 0.53 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE CNSRV PRT R5 JTLRX Non-NTF Income 0.25 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE CONS PORT C JCLCX Non-NTF Income 1.24 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE CONSERV PORT B JBLCX Non-NTF Income 1.34 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE CONSRV PORT R3 JRLCX Non-NTF Income 0.83 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE GROWTH PORT B JBLGX Non-NTF Growth 1.32 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE GROWTH PORT R3 JRLGX Non-NTF Growth 0.83 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE GROWTH PORT R4 JSLGX Non-NTF Growth 0.56 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE GRTH PORT C JCLGX Non-NTF Growth 1.29 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE GRWTH PORT R5 JTLGX Non-NTF Growth 0.24 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE GRWTH PRT CL A JALGX Non-NTF Growth 0.57 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE MOD PORT CL A JALMX Non-NTF Growth and Income 0.53 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE MOD PORT CL R1 JPLMX Non-NTF Growth and Income 0.85 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE MOD PORT CL R4 JSLMX Non-NTF Growth and Income 0.57 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE MOD PORT CL R5 JTLMX Non-NTF Growth and Income 0.23 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE MOD PORT R3 JRLMX Non-NTF Growth and Income 0.86 None 3 EquityJohn Hancock Funds JOHN HANCOCK LIFE STYLE MODER PORT C JCLMX Non-NTF Growth and Income 1.25 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFECYC 2040 PORT CL A JLIAX Non-NTF Growth and Income 0.63 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK LIFECYCLE 2045 CL A JLJAX Non-NTF Growth and Income 0.63 5.00 3 BondJohn Hancock Funds JOHN HANCOCK LIFESTYLE MOD PORT B JBLMX Non-NTF Growth and Income 1.36 5.00 3 BondJohn Hancock Funds JOHN HANCOCK MA TAX FREE INCOME CL A JHMAX Non-NTF Municipal Bond - Single State 1.09 4.50 3 BondJohn Hancock Funds JOHN HANCOCK MA TAX FREE INCOME CL B JHMBX Non-NTF Municipal Bond - Single State 1.79 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK MASS TAX FREE CLASS C JMACX Non-NTF Municipal Bond - Single State 1.79 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK MID CAP EQUITY FD CL A JCEAX Non-NTF Growth 1.38 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK MID CAP EQUITY FD CL B JCEBX Non-NTF Growth 2.05 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK MID CAP EQUITY FUND CL I JCEIX Non-NTF Growth 0.95 None 3 EquityJohn Hancock Funds JOHN HANCOCK MONEY MARKET CLASS A JHMXX Non-NTF None 3 EquityJohn Hancock Funds JOHN HANCOCK NATURAL RESOURCES FUND CL A JNRAX Non-NTF Growth and Income -999 5.00 3 BondJohn Hancock Funds JOHN HANCOCK NATURAL RESOURCES FUND CL I JNRIX Non-NTF Growth and Income -999 None 3 BondJohn Hancock Funds JOHN HANCOCK NY TAX FREE INCOME CL A JHNYX Non-NTF Municipal Bond - Single State 1.19 4.50 3 BondJohn Hancock Funds JOHN HANCOCK NY TAX FREE INCOME CL B JNTRX Non-NTF Municipal Bond - Single State 1.89 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK NY TAX FREE INCOME CL C JNYCX Non-NTF Municipal Bond - Single State 1.89 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK RAINIER GROWTH FD CL A RGROX Non-NTF Growth 1.18 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK RAINIER GROWTH FD CL B RGRBX Non-NTF Growth 2.04 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK RAINIER GROWTH FD CL C RGRCX Non-NTF Growth 2.04 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK RAINIER GROWTH FD CL I RLGIX Non-NTF Growth 0.86 None 3 EquityJohn Hancock Funds JOHN HANCOCK RAINIER GROWTH FD CLASS T JRGTX Non-NTF Growth 1.98 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK RAINIER GROWTH FUND CL R1 RGRWX Non-NTF Growth 1.64 None 3 EquityJohn Hancock Funds JOHN HANCOCK RAINIER GROWTH FUND CL R3 RGRHX Non-NTF Growth 1.54 None 3 EquityJohn Hancock Funds JOHN HANCOCK RAINIER GROWTH FUND CL R4 RGRFX Non-NTF Growth 1.24 None 3 EquityJohn Hancock Funds JOHN HANCOCK RAINIER GROWTH FUND CL R5 RGRVX Non-NTF Growth 0.94 None 3 EquityJohn Hancock Funds JOHN HANCOCK REGIONAL BANK CL A FRBAX Non-NTF Specialty - Financial 1.54 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK REGIONAL BANK CL B FRBFX Non-NTF Specialty - Financial 2.24 5.00 3 Equity

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Sales Charge

Settlement Days

Security Class

John Hancock Funds JOHN HANCOCK REGIONAL BANK CL C FRBCX Non-NTF Specialty - Financial 2.23 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK RET RISING DIST CL A JRRAX Non-NTF Growth and Income 0.62 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK RETIREMENT DIST A JRDAX Non-NTF Income 0.6 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK SMALL CAP EQUITY CL A SPVAX Non-NTF Growth 1.71 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK SMALL CAP EQUITY CL B SPVBX Non-NTF Growth 2.45 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK SMALL CAP EQUITY CL C SPVCX Non-NTF Growth 2.43 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK SMALL CAP EQUITY CLASS I SPVIX Non-NTF Growth 0.91 None 3 EquityJohn Hancock Funds JOHN HANCOCK SMALL CAP INTRINSIC VAL A JHIAX Non-NTF Growth 1.84 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK SMALL CAP INTRINSIC VAL B JCIBX Non-NTF Growth 2.84 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK SMALL CAP INTRINSIC VAL C JSICX Non-NTF Growth 2.62 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK SMALL CAP INTRINSIC VAL I JHIIX Non-NTF Growth 1.42 None 3 EquityJohn Hancock Funds JOHN HANCOCK SMALL COMPANY FUND CL A JCSAX Non-NTF Small Company 1.39 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK SMALL COMPANY FUND CL I JCSIX Non-NTF Small Company 1.14 None 3 EquityJohn Hancock Funds JOHN HANCOCK SOVEREIGN INV FD I SOIIX Non-NTF Growth and Income 0.82 None 3 EquityJohn Hancock Funds JOHN HANCOCK SOVERN INVESTORS CLASS A SOVIX Non-NTF Growth and Income 1.33 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK SOVERN INVESTORS CLASS B SOVBX Non-NTF Growth and Income 2.04 5.00 3 BondJohn Hancock Funds JOHN HANCOCK SOVERN INVESTORS CLASS C SOVCX Non-NTF Growth and Income 2.02 1.00 3 BondJohn Hancock Funds JOHN HANCOCK STR INC OPPORTUNITIES CL A JIPAX Non-NTF Income -999 5.00 3 BondJohn Hancock Funds JOHN HANCOCK STR INC OPPORTUNITIES CL C JIPCX Non-NTF Income -999 1.00 3 BondJohn Hancock Funds JOHN HANCOCK STRATEG INCOME CLASS R1 JSTRX Non-NTF Multisector Bond 1.33 None 3 BondJohn Hancock Funds JOHN HANCOCK STRATEGIC INC CL A JHFIX Non-NTF Multisector Bond 0.93 4.50 3 BondJohn Hancock Funds JOHN HANCOCK STRATEGIC INC CL B STIBX Non-NTF Multisector Bond 1.63 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK STRATEGIC INC CL C JSTCX Non-NTF Multisector Bond 1.63 1.00 3 BondJohn Hancock Funds JOHN HANCOCK STRATEGIC INC FD I JSTIX Non-NTF Multisector Bond 0.57 None 3 BondJohn Hancock Funds JOHN HANCOCK TAX FREE BOND CL A TAMBX Non-NTF Municipal Bond - National 1.02 4.50 3 BondJohn Hancock Funds JOHN HANCOCK TAX FREE BOND CL B TSMBX Non-NTF Municipal Bond - National 1.77 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK TAX FREE BOND CLASS C TBMBX Non-NTF Municipal Bond - National 1.77 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK TECHNICAL OPPS CL A JTCAX Non-NTF Specialty - Technology -999 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK TECHNICAL OPPS CL I JTCIX Non-NTF Specialty - Technology -999 None 3 EquityJohn Hancock Funds JOHN HANCOCK US CORE CL A GOCGX Non-NTF Growth and Income 1.35 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK US CORE FUND CL B GOTBX Non-NTF Growth and Income 2.05 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK US CORE FUND CL C GOTCX Non-NTF Growth and Income 2.05 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK US CORE FUND CL I GOTIX Non-NTF Growth and Income 0.95 None 3 EquityJohn Hancock Funds JOHN HANCOCK US GLBL LEADERS GROWTH CL A USGLX Non-NTF Growth 1.33 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK US GLBL LEADERS GRWTH CL I USLIX Non-NTF Growth 0.84 None 3 EquityJohn Hancock Funds JOHN HANCOCK US GLOB LEADERS GROWTH CL B USLBX Non-NTF Growth 2.07 5.00 3 EquityJohn Hancock Funds JOHN HANCOCK US GLOB LEADERS GROWTH CL C USLCX Non-NTF Growth 2.07 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK VALUE OPP CL I GMPIX Non-NTF Growth 0.99 None 3 EquityJohn Hancock Funds JOHN HANCOCK VALUE OPP FUND CL C GOACX Non-NTF Growth 2.09 1.00 3 EquityJohn Hancock Funds JOHN HANCOCK VALUE OPPORT FUND CL B GOUBX Non-NTF Growth 2.09 5.00 3 BondJohn Hancock Funds JOHN HANCOCK VALUE OPPORTUNITIES CL A GOUGX Non-NTF Growth 1.39 5.00 3 BondJohn Hancock Funds JOHN HANCOCK YIELD FUND CL C JHYCX Non-NTF Corporate Bond - High Yield 1.86 1.00 3 EquityJohn Hancock Funds JOHN HANCOK STR INC OPPORUNITIES CL I JIPIX Non-NTF Income -999 None 3 EquityJones Villalta Funds JONES VILLALTA OPPORTUNITY FUND JVOFX Non-NTF Growth 1.25 None 1 EquityJordan Funds JORDAN OPPORTUNITY FUND JORDX Non-NTF Growth 1.41 None 1 EquityJP Morgan Funds JP MORGAN PRIME MMKT CAPITAL SHARES QCCZQ Non-NTF None 0 EquityJulius Baer Collective Trust ARTIO GLOBAL INVESTORS QCJTQ Non-NTF None 1 EquityKalmar Pooled Investment Trust KALMAR GROWTH WITH VALUE SMALL CAP FUND KGSCX Non-NTF Small Company 1.4 None 1 EquityKCM Marco Funds KCM MACRO TRENDS CLASS R2 KCMBX Non-NTF Growth 2.28 None 1 EquityKeeley Funds KEELEY ALL CAP VALUE KACVX Non-NTF Growth 1.39 4.50 3 EquityKeeley Funds KEELEY ALL CAP VALUE FUND CL I KACIX Non-NTF Growth 1.14 None 3 EquityKeeley Funds KEELEY MID CAP VALUE FUND KMCVX Non-NTF Growth 1.39 4.50 3 EquityKeeley Funds KEELEY MID CAP VALUE FUND CL I KMCIX Non-NTF Growth 1.14 None 3 EquityKeeley Funds KEELEY SMALL CAP DIV VALUE FUND CL I KSDIX Non-NTF Small Company -999 None 3 EquityKeeley Funds KEELEY SMALL CAP DIVIDEND VALUE FUND KSDVX Non-NTF Small Company -999 4.50 3 EquityKeeley Funds KEELEY SMALL CAP VALUE CLASS A KSCVX Non-NTF Small Company 1.39 4.50 3 EquityKeeley Funds KEELEY SMALL CAP VALUE FUND CL I KSCIX Non-NTF Small Company 1.14 None 3 EquityKeeley Funds KEELEY SMALL-MID CAP VALUE FUND CL A KSMVX Non-NTF Growth 1.39 4.50 3 EquityKeeley Funds KEELEY SMALL-MID CAP VALUE FUND CL I KSMIX Non-NTF Growth 1.14 None 3 Equity

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Sales Charge

Settlement Days

Security Class

Keystone Funds KEYSTONE LARGE CAP GROWTH CLASS I KLGIX Non-NTF None 3 EquityKeystone Funds KEYSTONE LARGE CAP GROWTH FD CL A KLGAX Non-NTF Growth 1.5 None 3 EquityKeystone Funds KEYSTONE LARGE CAP GROWTH FD CL C KLGCX Non-NTF Growth 2.2 1.00 3 EquityKinetics Funds KINETICS GLOBAL FUND ADV CLASS A KGLAX Non-NTF Specialty - Technology 1.65 5.75 3 EquityKinetics Funds KINETICS GLOBAL FUND ADVISOR CLASS C KGLCX Non-NTF Specialty - Technology 2.15 None 3 EquityKinetics Funds KINETICS INTERNET FUND CLASS A KINAX Non-NTF Specialty - Technology 2.15 5.75 3 EquityKinetics Funds KINETICS INTERNET FUND CLASS C KINCX Non-NTF None 3 EquityKinetics Funds KINETICS MARKET OPPORTUNITIES CL C KMKCX Non-NTF None 3 EquityKinetics Funds KINETICS MARKET OPPT FD ADV CL A KMKAX Non-NTF Specialty - Financial 1.91 5.75 3 EquityKinetics Funds KINETICS MEDICAL FUND ADVISOR CLASS A KRXAX Non-NTF Specialty - Health 1.66 5.75 3 EquityKinetics Funds KINETICS MEDICAL FUND CLASS C KRXCX Non-NTF None 3 EquityKinetics Funds KINETICS MULTI DISCIPLINARY ADV A KMDAX Non-NTF 5.75 3 EquityKinetics Funds KINETICS PARADIGM CLASS A KNPAX Non-NTF Growth 1.91 5.75 1 EquityKinetics Funds KINETICS PARADIGM CLASS C KNPCX Non-NTF Growth 2.41 None 1 EquityKinetics Funds KINETICS PARADIGM FD INSTIT CL KNPYX Non-NTF Growth 1.46 None 1 EquityKinetics Funds KINETICS SMALL CAP OPPORTUNITIES C KSOCX Non-NTF None 3 EquityKinetics Funds KINETICS SMALL CAP OPPORTUNITIES INSTL KSCYX Non-NTF Small Company 1.47 None 1 EquityKinetics Funds KINETICS SMALL CAP OPPORTUNITY ADV CL A KSOAX Non-NTF Small Company 1.92 5.75 3 EquityKinetics Funds KINETICS TACTICAL PARADIGM ADV A CLASS KPARX Non-NTF Growth -999 5.75 3 EquityKinetics Funds KINETICS TACTICAL PARADIGM ADV CLASS C KPACX Non-NTF Growth -999 None 3 EquityKinetics Funds KINETICS TACTICAL PARADIGM INSTL CLASS KPAYX Non-NTF Growth -999 None 1 EquityKinetics Funds KINETICS WATER INFRA STRUCTURE ADV CL A KWIAX Non-NTF Growth and Income 1.9 5.75 1 EquityKinetics Funds KINETICS WATER INFRASTUCTURE FD C KWICX Non-NTF Growth and Income 2.4 None 3 EquityLaCerte Guardian Funds THE LACERTE GAURDIAN FUND CLASS I LGFIX Non-NTF Growth -999 None 1 EquityLateef Funds LATEEF CLASS A LIMAX Non-NTF Growth and Income 2.06 5.00 1 EquityLateef Funds LATEEF CLASS C LIMCX Non-NTF Growth and Income 2.81 None 1 EquityLateef Funds LATEEF CLASS I LIMIX Non-NTF Growth and Income 1.81 None 1 BondLaudus Funds LAUDUS GROWTH INVT US LARGE CAP GRWTH LGILX Non-NTF Growth 0.8 None 1 EquityLaudus Funds LAUDUS INTERNAT'L FIXED INCOME INSTL LIFNX Non-NTF Growth and Income 0.75 None 1 EquityLaudus Funds LAUDUS MONDRIAN EMRG MAKETS INSTL CL LEMNX Non-NTF Growth 1.45 None 1 EquityLaudus Funds LAUDUS MONDRIAN EMRG MARKETS SELECT LEMSX Non-NTF Growth 1.52 None 1 EquityLaudus Funds LAUDUS MONDRIAN GL EQUITY FD INVESTOR LGEQX Non-NTF Growth -999 None 1 EquityLaudus Funds LAUDUS MONDRIAN GL EQUITY FUND SELECT LGESX Non-NTF Growth -999 None 1 EquityLaudus Funds LAUDUS MONDRIAN GL EQUITY INSTL LGEVX Non-NTF Growth -999 None 1 EquityLaudus Funds LAUDUS MONDRIAN INTL EQUITY INVESTOR LIEQX Non-NTF Growth -999 None 1 EquityLaudus Funds LAUDUS MONDRIAN INTL EQUITY SELECT LIEFX Non-NTF Growth -999 None 1 EquityLaudus Funds LAUDUS MONDRIAN INTNL EQUITY INSTL LIEIX Non-NTF Growth -999 None 1 EquityLaudus Funds LAUDUS ROSENBERG INTL DISC INSTL CL LIDSX Non-NTF Growth and Income 1.35 None 1 EquityLaudus Funds LAUDUS ROSENBERG INTL SMALL CAP INSTL ICSIX Non-NTF Foreign Stock 1.11 None 1 EquityLaudus Funds LAUDUS ROSENBERG US DISCOVERY INST CL RDISX Non-NTF Growth 0.99 None 1 EquityLaudus Funds LAUDUS ROSENBERG US LG CPITAL INSTL CL AXLIX Non-NTF Growth 0.84 None 1 EquityLazard Funds LAZARD CAP ALLOCATOR OPP STRAT POR INSTL LCAIX Non-NTF Growth 1.02 None 1 EquityLazard Funds LAZARD DEVELOPING MRKTS EQ PORT INSTL LDMIX Non-NTF Diversified Emerging Markets 1.3 None 1 BondLazard Funds LAZARD EMERGING MKTS INSTITUTIONL LZEMX Non-NTF Diversified Emerging Markets 1.17 None 1 EquityLazard Funds LAZARD HIGH YIELD PORTFOIO INSTL CLASS LZHYX Non-NTF Corporate Bond - High Yield 0.55 None 1 EquityLazard Funds LAZARD INTERNATIONAL EQUITY INSTL LZIEX Non-NTF Foreign Stock 0.93 None 1 EquityLazard Funds LAZARD INTL EQUITY S ELECT PORT INSTL CL LZSIX Non-NTF Foreign Stock 1.15 None 1 EquityLazard Funds LAZARD INTL SMALL CAP PORT INST CL LZISX Non-NTF Foreign Stock 0.98 None 1 EquityLazard Funds LAZARD INTL STRATEGY EQUITY PORT INTL CL LISIX Non-NTF Growth 0.9 None 1 EquityLazard Funds LAZARD MID CAP PORTFOLIO CLASS I LZMIX Non-NTF Growth 0.89 None 1 EquityLazard Funds LAZARD US EQUITY VAL PORT INSTL CL SHS LEVIX Non-NTF Growth 1 None 1 EquityLazard Funds LAZARD US SMALL MID CAP EQ PORT INSTL LZSCX Non-NTF Growth 1.13 None 1 BondLazard Funds LAZARD US STRATEGIC EQUITY PORT CLASS I LZUSX Non-NTF Growth 1.05 None 1 BondLeader Capital Funds LEADER SHORT-TERM BOND LCCMX Non-NTF Corporate Bond - General 1.86 None 3 EquityLeeb Funds LEEB FOCUS FUND LCMFX Non-NTF Growth 1.5 None 1 EquityLegg Mason Funds BARRETT OPPORTUNITY FD SAOPX Non-NTF Growth 1.31 None 3 EquityLegg Mason Funds BATTERYMARCH US SM CAP EQUITY CLASS A LMBAX Non-NTF Small Company -999 5.75 1 EquityLegg Mason Funds BATTERYMARCH US SM CAP EQUITY CLASS C LMBCX Non-NTF Small Company -999 1.00 1 EquityLegg Mason Funds L M CLEARBRIDGE MID CAP CORE FUND R LMREX Non-NTF Growth 1.4 None 1 Equity

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Settlement Days

Security Class

Legg Mason Funds LEGG MASON AMERICAN LEADING CO TR INSTL LGAMX Non-NTF Growth and Income 0.89 None 1 EquityLegg Mason Funds LEGG MASON AMERICAN LEADING COMPANIES C LMALX Non-NTF Growth and Income 1.88 1.00 3 EquityLegg Mason Funds LEGG MASON AMERICAN LEADING CO'S TR CL A LGAAX Non-NTF Growth and Income 1.13 5.75 3 EquityLegg Mason Funds LEGG MASON BATTERY MARCH EMG MRKTS TR A LMRAX Non-NTF Diversified Emerging Markets 1.5 5.75 3 EquityLegg Mason Funds LEGG MASON BFM GLOBAL EQUITY CL A CFIPX Non-NTF World Stock 1.5 5.75 3 EquityLegg Mason Funds LEGG MASON BFM GLOBAL EQUITY FD B SILCX Non-NTF World Stock 2.24 5.00 3 EquityLegg Mason Funds LEGG MASON BFM GLOBAL EQUITY FD C SILLX Non-NTF World Stock 2.19 1.00 3 EquityLegg Mason Funds LEGG MASON BFM S&P 500 INDEX CL A SBSPX Non-NTF Growth 0.59 None 3 EquityLegg Mason Funds LEGG MASON BRT FINANCIAL SERVICES A SBFAX Non-NTF Specialty - Financial 1.5 5.75 3 EquityLegg Mason Funds LEGG MASON BRT FINANCIAL SERVICES B SBFBX Non-NTF Specialty - Financial 2.24 5.00 3 EquityLegg Mason Funds LEGG MASON BRT FINANCIAL SERVICES C SFSLX Non-NTF Specialty - Financial 2.18 1.00 3 EquityLegg Mason Funds LEGG MASON CBA AGGRESSIVE GROWTH A SHRAX Non-NTF Aggressive Growth 1.34 5.75 3 EquityLegg Mason Funds LEGG MASON CBA AGGRESSIVE GROWTH B SAGBX Non-NTF Aggressive Growth 2.3 5.00 3 EquityLegg Mason Funds LEGG MASON CBA AGGRESSIVE GROWTH C SAGCX Non-NTF Aggressive Growth 1.91 1.00 3 EquityLegg Mason Funds LEGG MASON CBA AGGRESSIVE GROWTH I SAGYX Non-NTF Aggressive Growth 0.88 None 3 EquityLegg Mason Funds LEGG MASON CBA AGRESSIVE GRWTH CL R LMPRX Non-NTF Aggressive Growth 1.42 None 3 EquityLegg Mason Funds LEGG MASON CBA APPRECIATION CL R LMPPX Non-NTF Growth 1.34 None 3 EquityLegg Mason Funds LEGG MASON CBA APPRECIATION CLASS A SHAPX Non-NTF Growth 1.07 5.75 3 EquityLegg Mason Funds LEGG MASON CBA APPRECIATION CLASS B SAPBX Non-NTF Growth 2.14 5.00 3 EquityLegg Mason Funds LEGG MASON CBA APPRECIATION CLASS C SAPCX Non-NTF Growth 1.78 1.00 3 EquityLegg Mason Funds LEGG MASON CBA APPRECIATION CLASS I SAPYX Non-NTF Growth 0.72 None 3 EquityLegg Mason Funds LEGG MASON CBA CAP & INCOME CL I SOPYX Non-NTF Equity-Income 0.93 None 3 EquityLegg Mason Funds LEGG MASON CBA CAPITAL FUND CL A SCCAX Non-NTF Growth 1.23 5.75 3 EquityLegg Mason Funds LEGG MASON CBA CAPITAL FUND CL B SPABX Non-NTF Growth 2.02 5.00 3 EquityLegg Mason Funds LEGG MASON CBA CAPITAL FUND CL C SCCCX Non-NTF Growth 1.93 1.00 3 EquityLegg Mason Funds LEGG MASON CBA CAPITAL FUND CL I SACPX Non-NTF Growth 0.86 None 3 EquityLegg Mason Funds LEGG MASON CBA DIVER LARGE CAP GR A CFLGX Non-NTF Growth 1.05 5.75 3 EquityLegg Mason Funds LEGG MASON CBA DIVER LARGE CAP GR B CLCBX Non-NTF Growth 1.8 5.00 3 EquityLegg Mason Funds LEGG MASON CBA DIVER LARGE CAP GR C SMDLX Non-NTF Growth 1.8 1.00 3 EquityLegg Mason Funds LEGG MASON CBA DIVIDEND STRATEGY A GROAX Non-NTF Equity-Income 1.25 5.75 3 EquityLegg Mason Funds LEGG MASON CBA DIVIDEND STRATEGY B GROBX Non-NTF Equity-Income 2 5.00 3 EquityLegg Mason Funds LEGG MASON CBA DIVIDEND STRATEGY C SCPLX Non-NTF Equity-Income 1.78 1.00 3 EquityLegg Mason Funds LEGG MASON CBA EQUITY FD CL O SABRX Non-NTF Growth and Income 0.8 None 3 EquityLegg Mason Funds LEGG MASON CBA FUND ALL CAP VALUE A SHFVX Non-NTF Growth and Income 1.39 5.75 3 EquityLegg Mason Funds LEGG MASON CBA FUND ALL CAP VALUE B SFVBX Non-NTF Growth and Income 2.41 5.00 3 EquityLegg Mason Funds LEGG MASON CBA FUND ALL CAP VALUE C SFVCX Non-NTF Growth and Income 1.96 1.00 3 EquityLegg Mason Funds LEGG MASON CBA LARGE CAP GROWTH A SBLGX Non-NTF Growth 1.25 5.75 3 EquityLegg Mason Funds LEGG MASON CBA LARGE CAP GROWTH B SBLBX Non-NTF Growth 2 5.00 3 EquityLegg Mason Funds LEGG MASON CBA LARGE CAP GROWTH C SLCCX Non-NTF Growth 1.94 1.00 3 BondLegg Mason Funds LEGG MASON CBA LARGE CAP GROWTH I SBLYX Non-NTF Growth 0.92 None 3 EquityLegg Mason Funds LEGG MASON CBA LARGE CAP GROWTH R LMPLX Non-NTF Growth 1.43 None 3 EquityLegg Mason Funds LEGG MASON CBA LARGE CAP VALUE A SINAX Non-NTF Growth and Income 0.98 5.75 3 EquityLegg Mason Funds LEGG MASON CBA LARGE CAP VALUE B SBINX Non-NTF Growth and Income 1.87 5.00 3 EquityLegg Mason Funds LEGG MASON CBA LARGE CAP VALUE C SINOX Non-NTF Growth and Income 1.71 1.00 3 EquityLegg Mason Funds LEGG MASON CBA LARGE CAP VALUE I SAIFX Non-NTF Growth and Income 0.7 None 3 EquityLegg Mason Funds LEGG MASON CBA MID CAP CORE CL A SBMAX Non-NTF Growth 1.34 5.75 3 EquityLegg Mason Funds LEGG MASON CBA MID CAP CORE CL B SBMDX Non-NTF Growth 2.36 5.00 3 EquityLegg Mason Funds LEGG MASON CBA MID CAP CORE CL C SBMLX Non-NTF Growth 2.11 1.00 3 EquityLegg Mason Funds LEGG MASON CBA MID CAP CORE CL I SMBYX Non-NTF Growth 0.91 None 3 EquityLegg Mason Funds LEGG MASON CBA SMALL CAP GR CL I SBPYX Non-NTF Small Company 0.85 None 3 EquityLegg Mason Funds LEGG MASON CBA SMALL CAP GRW CL A SASMX Non-NTF Small Company 1.39 5.75 3 EquityLegg Mason Funds LEGG MASON CBA SMALL CAP GRW CL B SBSMX Non-NTF Small Company 2.53 5.00 3 BondLegg Mason Funds LEGG MASON CBA SMALL CAP GRW CL C SCSMX Non-NTF Small Company 2.3 1.00 3 EquityLegg Mason Funds LEGG MASON CBA SMALL CAP GRWTH R LMPOX Non-NTF Small Company 1.49 None 3 EquityLegg Mason Funds LEGG MASON CBA SMALL CAP VALUE A SBVAX Non-NTF Small Company 1.34 5.75 3 EquityLegg Mason Funds LEGG MASON CBA SMALL CAP VALUE B SBVBX Non-NTF Small Company 2.11 5.00 3 EquityLegg Mason Funds LEGG MASON CBA SMALL CAP VALUE C SBVLX Non-NTF Small Company 2.28 1.00 3 EquityLegg Mason Funds LEGG MASON EMERGING MARKETS INST CL LGEMX Non-NTF Diversified Emerging Markets 1.25 None 1 EquityLegg Mason Funds LEGG MASON EMERGING MTKS TRUST FIN INT LGFMX Non-NTF Diversified Emerging Markets 1.5 None 1 Equity

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Sales Charge

Settlement Days

Security Class

Legg Mason Funds LEGG MASON ESEMP EMERGING EQUITY CL C SBKCX Non-NTF Diversified Emerging Markets 2.75 1.00 3 EquityLegg Mason Funds LEGG MASON ESEMP EMERGING MRKTS CL A SMKAX Non-NTF Diversified Emerging Markets 2 5.75 3 EquityLegg Mason Funds LEGG MASON ESEMP EMERGING MRKTS EQ B SBKBX Non-NTF Diversified Emerging Markets 2.75 5.00 3 EquityLegg Mason Funds LEGG MASON ESEMP EMG MARKETS EQ CL I SBEYX Non-NTF Diversified Emerging Markets 1.35 None 3 EquityLegg Mason Funds LEGG MASON GC INTL ALL CAP OPP A SBIEX Non-NTF Foreign Stock 1.5 5.75 3 EquityLegg Mason Funds LEGG MASON GC INTL ALL CAP OPP B SBIBX Non-NTF Foreign Stock 2.77 5.00 3 EquityLegg Mason Funds LEGG MASON GC INTL ALL CAP OPP C SBICX Non-NTF Foreign Stock 2.44 1.00 3 BondLegg Mason Funds LEGG MASON GC INTL ALL CAP OPP I SBIYX Non-NTF Foreign Stock 1.03 None 3 EquityLegg Mason Funds LEGG MASON GLOBAL OPPORTUNITY BD CL IS GOBSX Non-NTF Worldwide Bond 0.65 None 1 EquityLegg Mason Funds LEGG MASON GLOBAL TR EMERG MKTS CL C LMEMX Non-NTF Diversified Emerging Markets 2.25 1.00 3 EquityLegg Mason Funds LEGG MASON GROWTH TR FI SHARES LMGFX Non-NTF Growth 1.08 None 1 EquityLegg Mason Funds LEGG MASON GROWTH TR I SHARES LMGNX Non-NTF Growth 0.8 None 1 EquityLegg Mason Funds LEGG MASON GROWTH TRUST CL A LGGAX Non-NTF Growth 1.13 5.75 3 EquityLegg Mason Funds LEGG MASON GROWTH TRUST FUND CL C LMGTX Non-NTF Growth 1.88 1.00 3 EquityLegg Mason Funds LEGG MASON GROWTH TRUST R LMGRX Non-NTF Growth 1.39 None 1 EquityLegg Mason Funds LEGG MASON IC SOCIAL AWARENESS A SSIAX Non-NTF Asset Allocation 1.26 5.75 3 EquityLegg Mason Funds LEGG MASON IC SOCIAL AWARENESS B SESIX Non-NTF Asset Allocation 2.3 5.00 3 EquityLegg Mason Funds LEGG MASON IC SOCIAL AWARENESS C SESLX Non-NTF Asset Allocation 1.87 1.00 3 EquityLegg Mason Funds LEGG MASON INTERNAT EQUITY TRUST R LMIRX Non-NTF Foreign Stock 1.6 None 1 EquityLegg Mason Funds LEGG MASON INTL EQUITY TRUST CL C LMGEX Non-NTF Foreign Stock 1.95 1.00 3 EquityLegg Mason Funds LEGG MASON INTL EQUITY TRUST INSTL LGIEX Non-NTF Foreign Stock 0.9 None 1 BondLegg Mason Funds LEGG MASON INTL EUTY FIN INTERMEDIARY CL LGFEX Non-NTF Foreign Stock 1.28 None 1 EquityLegg Mason Funds LEGG MASON MD TAX FREE INC TRST CL A LMMDX Non-NTF Municipal Bond - Single State 0.7 4.25 3 EquityLegg Mason Funds LEGG MASON OPPORT TRST FD CL C LMOPX Non-NTF Growth 1.92 1.00 3 EquityLegg Mason Funds LEGG MASON OPPORT TRUST FIN INTERM CL LMOFX Non-NTF Growth 1.46 None 1 EquityLegg Mason Funds LEGG MASON OPPORT TRUST INSTITUTIONAL LMNOX Non-NTF Growth 0.86 None 1 EquityLegg Mason Funds LEGG MASON OPPORTUNITY TR CL A LGOAX Non-NTF Growth 1.27 5.75 3 EquityLegg Mason Funds LEGG MASON OPPT TRUST CL R LMORX Non-NTF Growth 1.57 None 1 EquityLegg Mason Funds LEGG MASON PART LIFE STYLE ALLOC 100% A LMLAX Non-NTF Growth 0.76 5.75 3 EquityLegg Mason Funds LEGG MASON PART LIFE STYLE ALLOC 100% B LMLBX Non-NTF Growth 1.53 5.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS LIFESTYLE ALLOC CL A SCGRX Non-NTF Balanced 0.64 5.75 3 EquityLegg Mason Funds LEGG MASON PARTNERS LIFESTYLE ALLOC CL A SBBAX Non-NTF Balanced 0.56 5.75 3 EquityLegg Mason Funds LEGG MASON PARTNERS LIFESTYLE ALLOC CL A SBCPX Non-NTF Income 0.62 4.25 3 EquityLegg Mason Funds LEGG MASON PARTNERS LIFESTYLE ALLOC CL A SCHAX Non-NTF Growth 0.73 5.75 3 EquityLegg Mason Funds LEGG MASON PARTNERS LIFESTYLE ALLOC CL B SGRBX Non-NTF Balanced 1.46 5.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS LIFESTYLE ALLOC CL B SCHBX Non-NTF Growth 1.52 5.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS LIFESTYLE ALLOC CL B SCBBX Non-NTF Balanced 1.4 5.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS LIFESTYLE ALLOC CL B SBCBX Non-NTF Income 1.16 4.50 3 EquityLegg Mason Funds LEGG MASON PARTNERS LIFESTYLE ALLOC CL C SCHCX Non-NTF Growth 1.15 1.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS LIFESTYLE ALLOC CL C SCBCX Non-NTF Balanced 1.14 1.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS LIFESTYLE ALLOC CL C SCGCX Non-NTF Balanced 1.11 1.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS LIFESTYLE ALLOC CL C SBCLX Non-NTF Income 0.97 1.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS LIFESTYLE INCOME A SCAAX Non-NTF Multisector Bond 0.79 4.25 3 EquityLegg Mason Funds LEGG MASON PARTNERS LIFESTYLE INCOME B SCIAX Non-NTF Multisector Bond 1.27 4.50 3 BondLegg Mason Funds LEGG MASON PARTNERS LIFESTYLE INCOME C SCILX Non-NTF Multisector Bond 1.2 1.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS N J MUNICIPALS CL I LNJIX Non-NTF Municipal Bond - Single State 0.53 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET 2045 RET CL C LMKCX Non-NTF Asset Allocation 1.32 1.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET 2050 RET CL C LMJCX Non-NTF Asset Allocation 1.32 1.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2015 A LMFAX Non-NTF Asset Allocation 0.58 5.75 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2015 CL C LMFCX Non-NTF Asset Allocation 1.33 1.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2015 CL I LMIMX Non-NTF Asset Allocation 0.32 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2015 CL I LMFIX Non-NTF Asset Allocation 0.28 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2015 CL R LMFRX Non-NTF Asset Allocation 0.83 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2015 FI LMMFX Non-NTF Asset Allocation 0.58 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2020 CL A LMWAX Non-NTF Asset Allocation 0.57 5.75 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2020 CL C LMWCX Non-NTF Asset Allocation 3.13 1.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2020 CL I LMWIX Non-NTF Asset Allocation 0.27 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2020 CL R LMWRX Non-NTF Asset Allocation 0.83 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2020 FI LMWFX Non-NTF Asset Allocation 0.57 None 3 Equity

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Sales Charge

Settlement Days

Security Class

Legg Mason Funds LEGG MASON PARTNERS TARGET RET 2025 CL A LMXAX Non-NTF Asset Allocation 0.57 5.75 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2025 CL C LMXCX Non-NTF Asset Allocation 1.31 1.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2025 CL I LMXIX Non-NTF Asset Allocation 0.27 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2025 R LMXRX Non-NTF Asset Allocation 0.82 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2030 CL A LMVAX Non-NTF Asset Allocation 0.57 5.75 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2030 CL C LMVCX Non-NTF Asset Allocation 1.32 1.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2030 CL I LMVIX Non-NTF Asset Allocation 0.27 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2030 CL R LMQRX Non-NTF Asset Allocation 0.82 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2030 FI LMQFX Non-NTF Asset Allocation 0.57 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2035 C LMTCX Non-NTF Asset Allocation 1.32 1.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2035 CL A LMNAX Non-NTF Asset Allocation 0.57 5.75 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2035 CL I LMNIX Non-NTF Asset Allocation 0.27 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2035 CL R LMRRX Non-NTF Asset Allocation 0.82 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2035 FI LMEFX Non-NTF Asset Allocation 0.57 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2040 CL A LMYAX Non-NTF Asset Allocation 0.57 5.75 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2040 CL C LMHCX Non-NTF Asset Allocation 1.32 1.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2040 CL I LMNRX Non-NTF Asset Allocation 0.27 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2040 CL R LMYRX Non-NTF Asset Allocation 0.82 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2040 FI LMYFX Non-NTF Asset Allocation 0.57 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2045 CL A LMKAX Non-NTF Asset Allocation 0.57 5.75 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2045 CL I LMKIX Non-NTF Asset Allocation 0.27 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2045 CL R LMKRX Non-NTF Asset Allocation 0.82 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2045 FI LMKFX Non-NTF Asset Allocation 0.57 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2050 CL A LMJAX Non-NTF Asset Allocation 0.57 5.75 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2050 CL I LMJIX Non-NTF Asset Allocation 0.27 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2050 CL R LMJRX Non-NTF Asset Allocation 0.82 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET 2050 FI LMJFX Non-NTF Asset Allocation 0.57 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET CL C LMRCX Non-NTF Asset Allocation 1.37 1.00 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET FD CL A LMPAX Non-NTF Asset Allocation 0.62 5.75 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RET FD CL R LMERX Non-NTF Asset Allocation 0.87 None 3 EquityLegg Mason Funds LEGG MASON PARTNERS TARGET RETIREMENT FI LMRPX Non-NTF Asset Allocation 0.62 None 3 EquityLegg Mason Funds LEGG MASON PERMAL TACTICAL ALLOC CL A LPTAX Non-NTF Asset Allocation 1.16 5.75 3 EquityLegg Mason Funds LEGG MASON PERMAL TACTICAL ALLOC CL C LPTCX Non-NTF Asset Allocation 1.91 1.00 3 EquityLegg Mason Funds LEGG MASON PERMAL TACTICAL ALLOC CL I LPTIX Non-NTF Asset Allocation 0.91 None 3 EquityLegg Mason Funds LEGG MASON PERMAL TACTICAL ALLOC CL IS LPTSX Non-NTF Asset Allocation 0.9 None 3 EquityLegg Mason Funds LEGG MASON PRTNS LIFESTYLE ALL 100% C LMYCX Non-NTF Growth 1.35 1.00 3 EquityLegg Mason Funds LEGG MASON SP INVST TR FIN INTERMED CL LGASX Non-NTF Growth 1.17 None 1 EquityLegg Mason Funds LEGG MASON SPECIAL INV TRUST INSTL LMNSX Non-NTF Growth 0.73 None 1 EquityLegg Mason Funds LEGG MASON SPECIAL INVESTMENT TR A LMSAX Non-NTF Growth 1.03 5.75 3 EquityLegg Mason Funds LEGG MASON SPECIAL INVESTMENT TR CL C LMASX Non-NTF Growth 1.77 1.00 3 EquityLegg Mason Funds LEGG MASON SPECIAL INVESTMENT TRUST R LMARX Non-NTF Growth 1.41 None 1 EquityLegg Mason Funds LEGG MASON STRATEGIC REAL RETURN CL I LRRIX Non-NTF None 1 EquityLegg Mason Funds LEGG MASON STRATEGIC REAL RETURN FD CL A LRRAX Non-NTF 5.75 3 EquityLegg Mason Funds LEGG MASON STRATEGIC REAL RETURN FD CL C LRRCX Non-NTF 1.00 3 EquityLegg Mason Funds LEGG MASON VALUE TR CLASS C LMVTX Non-NTF Growth 1.69 1.00 3 EquityLegg Mason Funds LEGG MASON VALUE TRUST CL A LGVAX Non-NTF Growth 1.03 5.75 3 EquityLegg Mason Funds LEGG MASON VALUE TRUST INSTITUTIONAL LMNVX Non-NTF Growth 0.78 None 1 EquityLegg Mason Funds LEGG MASON VALUE TRUST R LMVRX Non-NTF Growth 1.31 None 1 EquityLegg Mason Funds LEGG MASON WA ADJ RATE INC CL A ARMZX Non-NTF Government Bond - ARM 0.87 2.25 3 BondLegg Mason Funds LEGG MASON WA ADJ RATE INC CL C ARMGX Non-NTF Government Bond - ARM 1.45 None 3 BondLegg Mason Funds LEGG MASON WA CALIFORNIA MUNI CL A SHRCX Non-NTF Municipal Bond - Single State 0.68 4.25 3 BondLegg Mason Funds LEGG MASON WA CALIFORNIA MUNI CL B SCABX Non-NTF Municipal Bond - Single State 1.22 4.50 3 BondLegg Mason Funds LEGG MASON WA CALIFORNIA MUNI CL C SCACX Non-NTF Municipal Bond - Single State 1.24 1.00 3 BondLegg Mason Funds LEGG MASON WA CALIFORNIA MUNI CL I LMCUX Non-NTF Municipal Bond - Single State 0.52 None 3 BondLegg Mason Funds LEGG MASON WA COPORATE BD A SIGAX Non-NTF Corporate Bond - General 1.11 4.25 3 BondLegg Mason Funds LEGG MASON WA CORE BOND CL A TRBAX Non-NTF Corporate Bond - General 0.93 4.25 3 BondLegg Mason Funds LEGG MASON WA CORE BOND CL B TRBBX Non-NTF Corporate Bond - General 1.52 4.50 3 BondLegg Mason Funds LEGG MASON WA CORE BOND CL C SBTLX Non-NTF Corporate Bond - General 1.37 1.00 3 EquityLegg Mason Funds LEGG MASON WA CORE BOND FUND CL R LMPTX Non-NTF Corporate Bond - General 1.41 None 3 Bond

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Sales Charge

Settlement Days

Security Class

Legg Mason Funds LEGG MASON WA CORE PLUS BOND CL A SHMGX Non-NTF Multisector Bond 1 4.25 3 BondLegg Mason Funds LEGG MASON WA CORE PLUS BOND CL B MGVBX Non-NTF Multisector Bond 1.54 4.50 3 BondLegg Mason Funds LEGG MASON WA CORE PLUS BOND CL C SMGLX Non-NTF Multisector Bond 1.48 1.00 3 BondLegg Mason Funds LEGG MASON WA CORE PLUS BOND CL I SMGYX Non-NTF Multisector Bond 0.65 None 3 BondLegg Mason Funds LEGG MASON WA CORE PLUS BOND CL R LMPCX Non-NTF Multisector Bond 1.3 None 3 BondLegg Mason Funds LEGG MASON WA CORP BOND FD P LCBPX Non-NTF Corporate Bond - General 1.13 None 3 BondLegg Mason Funds LEGG MASON WA CORPORATE BOND CL B HBDIX Non-NTF Corporate Bond - General 1.85 4.50 3 BondLegg Mason Funds LEGG MASON WA CORPORATE BOND CL C SBILX Non-NTF Corporate Bond - General 1.79 1.00 3 BondLegg Mason Funds LEGG MASON WA CORPORTATE BD FUND I SIGYX Non-NTF Corporate Bond - General 0.63 None 3 BondLegg Mason Funds LEGG MASON WA EMRG MRKTS DEBT PRT CL A LWEAX Non-NTF Worldwide Bond -999 4.25 3 BondLegg Mason Funds LEGG MASON WA GLOB HI YIELD BD CL A SAHYX Non-NTF Corporate Bond - High Yield 1.19 4.25 3 BondLegg Mason Funds LEGG MASON WA GLOB HI YIELD BOND CL B SBHYX Non-NTF Corporate Bond - High Yield 1.72 4.50 3 BondLegg Mason Funds LEGG MASON WA GLOB HI YIELD BOND CL C SHYCX Non-NTF Corporate Bond - High Yield 1.65 1.00 3 BondLegg Mason Funds LEGG MASON WA GLOB HI YIELD BOND CL I SHYOX Non-NTF Corporate Bond - High Yield 0.85 None 3 BondLegg Mason Funds LEGG MASON WA GLOBAL INFL MGMT A SBGLX Non-NTF Worldwide Bond 0.9 2.25 3 BondLegg Mason Funds LEGG MASON WA GOVT SECURITIES CL A SGVAX Non-NTF Government Bond - General 0.92 4.25 3 BondLegg Mason Funds LEGG MASON WA GOVT SECURITIES CL B HGVSX Non-NTF Government Bond - General 1.53 4.50 3 EquityLegg Mason Funds LEGG MASON WA GOVT SECURITIES CL C SGSLX Non-NTF Government Bond - General 1.6 1.00 3 EquityLegg Mason Funds LEGG MASON WA HIGH INCOME B SHIBX Non-NTF Corporate Bond - High Yield 1.55 4.50 3 BondLegg Mason Funds LEGG MASON WA HIGH INCOME C SHICX Non-NTF Corporate Bond - High Yield 1.49 1.00 3 BondLegg Mason Funds LEGG MASON WA HIGH INCOME CL A SHIAX Non-NTF Corporate Bond - High Yield 1.07 4.25 3 BondLegg Mason Funds LEGG MASON WA HIGH INCOME FD CL I SHIYX Non-NTF Corporate Bond - High Yield 0.74 None 3 BondLegg Mason Funds LEGG MASON WA INFLATION MGMT CL C SBUFX Non-NTF Worldwide Bond 1.4 1.00 3 BondLegg Mason Funds LEGG MASON WA INTER MAT CA MUNI A ITCAX Non-NTF Municipal Bond - Single State 0.68 2.25 3 BondLegg Mason Funds LEGG MASON WA INTER MAT CA MUNI C SIMLX Non-NTF Municipal Bond - Single State 1.29 None 3 BondLegg Mason Funds LEGG MASON WA INTER MAT NY MUNI A IMNYX Non-NTF Municipal Bond - Single State 0.7 2.25 3 BondLegg Mason Funds LEGG MASON WA INTER MAT NY MUNI C SINLX Non-NTF Municipal Bond - Single State 1.31 None 3 BondLegg Mason Funds LEGG MASON WA INTERMD TERM MUNI A SBLTX Non-NTF Municipal Bond - National 0.68 2.25 3 BondLegg Mason Funds LEGG MASON WA INTERMD TERM MUNI C SMLLX Non-NTF Municipal Bond - National 1.3 None 3 BondLegg Mason Funds LEGG MASON WA INTERMED TERM MUNI I SBTYX Non-NTF Municipal Bond - National 0.52 None 3 BondLegg Mason Funds LEGG MASON WA INTM MATURITY NY MUNI I LMIIX Non-NTF Municipal Bond - Single State 0.57 None 3 BondLegg Mason Funds LEGG MASON WA INTRM MAT CA MUNI I SICYX Non-NTF Municipal Bond - Single State 0.59 None 3 BondLegg Mason Funds LEGG MASON WA MANAGED MUNI CL A SHMMX Non-NTF Municipal Bond - National 0.66 4.25 3 EquityLegg Mason Funds LEGG MASON WA MANAGED MUNI CL B SMMBX Non-NTF Municipal Bond - National 1.2 4.50 3 BondLegg Mason Funds LEGG MASON WA MANAGED MUNI CL C SMMCX Non-NTF Municipal Bond - National 1.21 1.00 3 BondLegg Mason Funds LEGG MASON WA MASS MUNICIPAL CL I LHMIX Non-NTF Municipal Bond - Single State 0.68 None 3 BondLegg Mason Funds LEGG MASON WA MASSACHUSETTS MUNI A SLMMX Non-NTF Municipal Bond - Single State 0.75 4.25 3 BondLegg Mason Funds LEGG MASON WA MASSACHUSETTS MUNI B SMABX Non-NTF Municipal Bond - Single State 1.49 4.50 3 BondLegg Mason Funds LEGG MASON WA MASSACHUSETTS MUNI C SMALX Non-NTF Municipal Bond - Single State 1.32 1.00 3 BondLegg Mason Funds LEGG MASON WA MUNI HIGH INCOME A STXAX Non-NTF Municipal Bond - National 0.77 4.25 3 BondLegg Mason Funds LEGG MASON WA MUNI HIGH INCOME B SXMTX Non-NTF Municipal Bond - National 1.32 4.50 3 BondLegg Mason Funds LEGG MASON WA MUNI HIGH INCOME C SMHLX Non-NTF Municipal Bond - National 1.34 1.00 3 BondLegg Mason Funds LEGG MASON WA MUNICIPAL HIGH INC I LMHIX Non-NTF Municipal Bond - National 0.62 None 3 BondLegg Mason Funds LEGG MASON WA NEW JERSEY MUNI A SHNJX Non-NTF Municipal Bond - Single State 0.71 4.25 3 BondLegg Mason Funds LEGG MASON WA NEW JERSEY MUNI B SNJBX Non-NTF Municipal Bond - Single State 1.28 4.50 3 BondLegg Mason Funds LEGG MASON WA NEW YORK MUNI CL A SBNYX Non-NTF Municipal Bond - Single State 0.68 4.25 3 BondLegg Mason Funds LEGG MASON WA NEW YORK MUNI CL B SMNBX Non-NTF Municipal Bond - Single State 1.22 4.50 3 BondLegg Mason Funds LEGG MASON WA NJ MUNI FD CL C SNJLX Non-NTF Municipal Bond - Single State 1.27 1.00 3 BondLegg Mason Funds LEGG MASON WA NY MUNI FD CL C SBYLX Non-NTF Municipal Bond - Single State 1.24 1.00 3 BondLegg Mason Funds LEGG MASON WA NY MUNICIPALS CL I SNPYX Non-NTF Municipal Bond - Single State 0.52 None 3 BondLegg Mason Funds LEGG MASON WA OREGON MUNI CL A SHORX Non-NTF Municipal Bond - Single State 0.64 4.25 3 BondLegg Mason Funds LEGG MASON WA OREGON MUNI CL B SORBX Non-NTF Municipal Bond - Single State 1.31 4.50 3 BondLegg Mason Funds LEGG MASON WA OREGON MUNI FD CL C SORLX Non-NTF Municipal Bond - Single State 1.21 1.00 3 BondLegg Mason Funds LEGG MASON WA PA MUNICIPAL CL I LPPIX Non-NTF Municipal Bond - Single State 0.53 None 3 BondLegg Mason Funds LEGG MASON WA PENNSYLVANIA FD CL C SPALX Non-NTF Municipal Bond - Single State 1.24 1.00 3 BondLegg Mason Funds LEGG MASON WA PENNSYLVANIA MUNI A SBPAX Non-NTF Municipal Bond - Single State 0.68 4.25 3 BondLegg Mason Funds LEGG MASON WA PENNSYLVANIA MUNI B SBPBX Non-NTF Municipal Bond - Single State 1.24 4.50 3 BondLegg Mason Funds LEGG MASON WA SH DURATION MUNI INC A SHDAX Non-NTF Municipal Bond - National 0.66 2.25 3 BondLegg Mason Funds LEGG MASON WA SH DURATION MUNI INC C SHDLX Non-NTF Municipal Bond - National 0.99 None 3 Equity

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Settlement Days

Security Class

Legg Mason Funds LEGG MASON WA SHRT TRM BD C SSTLX Non-NTF Corporate Bond - General 1.08 0.01 3 EquityLegg Mason Funds LEGG MASON WA SHT DUR MUNI INC I SMDYX Non-NTF Municipal Bond - National 0.52 None 3 EquityLegg Mason Funds LEGG MASON WA STRATEGIES INC A SDSAX Non-NTF Multisector Bond 1.09 4.25 3 EquityLegg Mason Funds LEGG MASON WA STRATEGIES INC C SDSIX Non-NTF Multisector Bond 1.58 1.00 3 EquityLegg Mason Funds LM BATTERY MARCH US SMALL CAP EQ INSTL LMSIX Non-NTF Small Company 0.84 None 1 EquityLegg Mason Funds LM CBA CAP & INCOME CLASS A SOPAX Non-NTF Equity-Income 1.19 5.75 3 EquityLegg Mason Funds LM CBA CAP & INCOME CLASS B SOPTX Non-NTF Equity-Income 1.85 5.00 3 EquityLegg Mason Funds LM CBA CAP & INCOME CLASS C SBPLX Non-NTF Equity-Income 1.96 1.00 3 EquityLegg Mason Funds LM CM ALL CAP FD A SPAAX Non-NTF Growth 1.28 5.75 3 EquityLegg Mason Funds LM CM ALL CAP FD CL B SPBBX Non-NTF Growth 2 5.00 3 BondLegg Mason Funds LM CM ALL CAP FD CL C SPBLX Non-NTF Growth 1.71 1.00 3 EquityLegg Mason Funds LM IC MARYLAND TAX - FREE INCOME TR C LMMCX Non-NTF Municipal Bond - Single State 1.17 1.00 3 BondLegg Mason Funds LM VALUE TRUST FINAN INTERMEDIARY CL LMVFX Non-NTF Growth 1.03 None 1 BondLegg Mason Funds LM WA MANAGED MUNICIPALS FUND CL I SMMYX Non-NTF Municipal Bond - National 0.49 None 3 BondLegg Mason Funds LM WESTERN ASSET SMASH SERIES C FD LMLCX Non-NTF Growth and Income 0 None 1 BondLegg Mason Funds LM WESTERN ASSET SMASH SERIES EC FUND LMECX Non-NTF Growth and Income 0 None 1 EquityLegg Mason Funds LM WESTERN ASSET SMASH SERIES M FUND LMSMX Non-NTF Growth and Income 0 None 1 BondLegg Mason Funds WESTERN ASSET ABSOL RETURN PORT INSTL WAASX Non-NTF Aggressive Growth 0.8 None 1 BondLegg Mason Funds WESTERN ASSET CORE BOND PORT INSTL WACSX Non-NTF Corporate Bond - General 0.44 None 1 BondLegg Mason Funds WESTERN ASSET CORE PLUS BOND INSTL SLCT WAPSX Non-NTF Corporate Bond - General 0.43 None 1 BondLegg Mason Funds WESTERN ASSET EMERGN MKRT BOND CL I SEMDX Non-NTF Worldwide Bond 0.75 None 3 BondLegg Mason Funds WESTERN ASSET GLOBAL HIGH YIELD BOND CL I SIHYX Non-NTF Corporate Bond - High Yield 0.7 None 3 BondLegg Mason Funds WESTERN ASSET HIGH YIELD PORT INSTL WAHSX Non-NTF Corporate Bond - High Yield 0.6 None 1 BondLegg Mason Funds WESTERN ASSET INFLAT INDEXED PLUS INSTL WAFSX Non-NTF Government Bond - General 0.24 None 1 BondLegg Mason Funds WESTERN ASSET INTERM BOND PORT INSTL WABSX Non-NTF Corporate Bond - General 0.45 None 1 BondLegg Mason Funds WESTERN ASSET INTERM PLUS BOND PORT INSTL WAISX Non-NTF Corporate Bond - General 0.45 None 1 BondLegg Mason Funds WESTERN ASSET LMT DURATION BOND INSTL WALSX Non-NTF Multisector Bond 0.4 None 1 EquityLegg Mason Funds WESTERN ASSET NON-US OPPORTUNITY BD INSTL WAOSX Non-NTF None 1 EquityLeuthold Funds LEUTHOLD ASSET ALLOC ATION FD CL I LAAIX Non-NTF Asset Allocation 1.11 None 1 EquityLeuthold Funds LEUTHOLD CORE INVSMT FD CL INSTL LCRIX Non-NTF Growth and Income 1.03 None 1 EquityLeuthold Funds LEUTHOLD GLOBAL CLEAN TECH INSTL LGCIX Non-NTF Specialty - Technology 1.82 None 3 EquityLeuthold Funds LEUTHOLD GLOBAL FUND INSTL CLASS SHARES GLBIX Non-NTF Growth and Income 1.57 None 1 EquityLeuthold Funds LEUTHOLD HEDGED EQ INSTL FD LHEIX Non-NTF Growth 2.44 None 1 EquityLiberty Street Funds LIBERTY STREET HORIZON CLASS A LSHAX Non-NTF World Stock 1.5 4.75 1 EquityLiberty Street Funds LIBERTY STREET HORIZON CLASS C LSHCX Non-NTF World Stock 2 0.75 1 EquityLiberty Street Funds LIBERTY STREET HORIZON INSTL LSHUX Non-NTF World Stock 1.25 None 1 BondLifetime Achievement Funds LIFETIME ACHIEVEMENT FUND CL A LFTAX Non-NTF Growth 1.38 2.50 1 EquityLKCM Funds LKCM AQUINAS FIXED INCOME FUND AQFIX Non-NTF Corporate Bond - High Quality 0.8 None 3 EquityLKCM Funds LKCM AQUINAS GROWTH FUND AQEGX Non-NTF Growth 1.5 None 3 EquityLKCM Funds LKCM AQUINAS SMALL CAP FUND AQBLX Non-NTF Small Company 1.5 None 3 EquityLKCM Funds LKCM AQUINAS VALUE FUND AQEIX Non-NTF Equity-Income 1.5 None 3 EquityLKCM Funds LKCM BALANCED FUND LKBAX Non-NTF Balanced 0.8 None 3 BondLKCM Funds LKCM EQUITY FUND INSTITUTIONAL CL LKEQX Non-NTF Growth 0.8 None 1 EquityLKCM Funds LKCM FIXED INCOME FD LKFIX Non-NTF Corporate Bond - General 0.65 None 3 EquityLKCM Funds LKCM SMALL CAP EQUITY FD ADV CL LKSAX Non-NTF Small Company 1.22 None 1 EquityLKCM Funds LKCM SMALL CAP EQUITY INST CL LKSCX Non-NTF Small Company 0.97 None 1 EquityLongleaf Partners Funds LONGLEAF INTERNATL LLINX Non-NTF Foreign Stock 1.59 None 1 EquityLongleaf Partners Funds LONGLEAF PARTNERS LLPFX Non-NTF Growth 0.91 None 1 BondLongleaf Partners Funds LONGLEAF SMALL CAP LLSCX Non-NTF Small Company 0.95 None 1 BondLoomis Sayles Funds LOOMIS SAYLES BOND ADMIN CL LBFAX Non-NTF Corporate Bond - General 1.2 None 1 BondLoomis Sayles Funds LOOMIS SAYLES BOND INSTL LSBDX Non-NTF Corporate Bond - General 0.65 None 1 EquityLoomis Sayles Funds LOOMIS SAYLES GLOBAL BOND INSTL LSGBX Non-NTF Worldwide Bond 0.68 None 1 BondLoomis Sayles Funds LOOMIS SAYLES HIGH INC OPPRTS FD LSIOX Non-NTF None 1 EquityLoomis Sayles Funds LOOMIS SAYLES INFLAT PROT SEC INST'L LSGSX Non-NTF Government Bond - General 0.4 None 1 EquityLoomis Sayles Funds LOOMIS SAYLES SMALL CAP GROWTH INSTL LSSIX Non-NTF Small Company 1 None 1 EquityLoomis Sayles Funds LOOMIS SAYLES SMALL CAP VALUE FD ADMIN LSVAX Non-NTF None 1 EquityLoomis Sayles Funds LOOMIS SAYLES SMALL CAP VALUE INSTL LSSCX Non-NTF Small Company 0.9 None 1 EquityLoomis Sayles Funds LOOMIS SECURITIZED ASSET FUND LSSAX Non-NTF None 1 EquityLord Abbett Funds LORD ABBETT AFFILIATED CLASS A LAFFX Non-NTF Growth and Income 0.88 5.75 3 Equity

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Security Class

Lord Abbett Funds LORD ABBETT AFFILIATED CLASS C LAFCX Non-NTF Growth and Income 1.53 1.00 3 EquityLord Abbett Funds LORD ABBETT AFFILIATED CLASS P LAFPX Non-NTF Growth and Income 0.98 None 1 EquityLord Abbett Funds LORD ABBETT AFFILIATED FD CL I LAFYX Non-NTF Growth and Income 0.53 None 1 EquityLord Abbett Funds LORD ABBETT AFFILIATED FUND CL F LAAFX Non-NTF Growth and Income 0.62 None 3 EquityLord Abbett Funds LORD ABBETT ALLOCATION CLASS A LAGEX Non-NTF World Stock 0.35 5.75 3 EquityLord Abbett Funds LORD ABBETT ALLOCATION EQUITY C LAGCX Non-NTF World Stock 1 1.00 3 EquityLord Abbett Funds LORD ABBETT ALPHA STRATEGY CL A ALFAX Non-NTF Small Company 0.35 5.75 3 EquityLord Abbett Funds LORD ABBETT ALPHA STRATEGY CL C ALFCX Non-NTF Small Company 1 1.00 3 EquityLord Abbett Funds LORD ABBETT ALPHA STRATEGY FUND CL F ALFFX Non-NTF Small Company 0.1 None 3 EquityLord Abbett Funds LORD ABBETT BALANCED STRATEGY FUND CL F BLAFX Non-NTF Balanced 0.01 None 3 BondLord Abbett Funds LORD ABBETT BALANCED STRATEGY FUND CL P LABPX Non-NTF Balanced 0.38 None 1 BondLord Abbett Funds LORD ABBETT BOND DEBENTURE CL P LBNPX Non-NTF Corporate Bond - High Yield 1.1 None 1 BondLord Abbett Funds LORD ABBETT BOND DEBENTURE CLASS A LBNDX Non-NTF Corporate Bond - High Yield 1 4.75 3 BondLord Abbett Funds LORD ABBETT BOND DEBENTURE CLASS C BDLAX Non-NTF Corporate Bond - High Yield 1.65 1.00 3 EquityLord Abbett Funds LORD ABBETT BOND DEBENTURE CLASS I LBNYX Non-NTF Corporate Bond - High Yield 0.65 None 1 BondLord Abbett Funds LORD ABBETT BOND DEBENTURE FUND CL F LBDFX Non-NTF Corporate Bond - High Yield 0.75 None 3 EquityLord Abbett Funds LORD ABBETT CA TAX FREE INC FD CL F LCFFX Non-NTF Municipal Bond - Single State 0.67 None 3 EquityLord Abbett Funds LORD ABBETT CAPITAL STRUCTURE CL A LAMAX Non-NTF Growth and Income 1.37 5.75 3 EquityLord Abbett Funds LORD ABBETT CAPITAL STRUCTURE CL P LAMPX Non-NTF Growth and Income 1.46 None 1 EquityLord Abbett Funds LORD ABBETT CAPITAL STRUCTURE CLASS C LAMCX Non-NTF Growth and Income 2.02 1.00 3 EquityLord Abbett Funds LORD ABBETT CAPITAL STRUCTURE CLASS F LAMFX Non-NTF Growth and Income 1.11 None 3 EquityLord Abbett Funds LORD ABBETT CLASSIC STOCK FD CLASS A LRLCX Non-NTF Growth and Income 1.15 5.75 3 EquityLord Abbett Funds LORD ABBETT CLASSIC STOCK FUND CLASS C LLRCX Non-NTF Growth and Income 1.8 1.00 3 EquityLord Abbett Funds LORD ABBETT CLASSIC STOCK FUND CLASS F LRLFX Non-NTF Growth and Income 0.86 None 3 EquityLord Abbett Funds LORD ABBETT CONVERT FUND CL C LACCX Non-NTF Convertible Bond 1.88 1.00 3 EquityLord Abbett Funds LORD ABBETT CONVERTIBLE CL I LCFYX Non-NTF Convertible Bond 0.88 None 1 BondLord Abbett Funds LORD ABBETT CONVERTIBLE FD CL A LACFX Non-NTF Convertible Bond 1.23 4.75 3 BondLord Abbett Funds LORD ABBETT CONVERTIBLE FD CL F LBFFX Non-NTF Convertible Bond 0.98 None 3 BondLord Abbett Funds LORD ABBETT CORE FIXED INCOME CL A LCRAX Non-NTF Corporate Bond - General 0.9 2.25 3 BondLord Abbett Funds LORD ABBETT CORE FIXED INCOME CL C LCRCX Non-NTF Corporate Bond - General 1.55 1.00 3 BondLord Abbett Funds LORD ABBETT CORE FIXED INCOME CL I LCRYX Non-NTF Corporate Bond - General 0.55 None 3 BondLord Abbett Funds LORD ABBETT CORE FIXED INCOME FD F LCRFX Non-NTF Corporate Bond - General 0.65 None 3 EquityLord Abbett Funds LORD ABBETT CT TAX FREE INC FD CL F LCOFX Non-NTF Municipal Bond - Single State 0.71 None 3 EquityLord Abbett Funds LORD ABBETT DEVELOP GROWTH CLASS A LAGWX Non-NTF Growth 1.28 5.75 3 EquityLord Abbett Funds LORD ABBETT DEVELOP GROWTH CLASS C LADCX Non-NTF Growth 1.93 1.00 3 EquityLord Abbett Funds LORD ABBETT DEVELOPG GROWHT CL P LADPX Non-NTF Growth 1.38 None 1 EquityLord Abbett Funds LORD ABBETT DEVELOPING GR CL F LADFX Non-NTF Growth 1.06 None 3 EquityLord Abbett Funds LORD ABBETT DEVELP LOCAL MARKETS CL F LDMFX Non-NTF Worldwide Bond 0.98 None 3 EquityLord Abbett Funds LORD ABBETT DEVELP LOCAL MARKETS FD I LDMYX Non-NTF Worldwide Bond 0.92 None 3 EquityLord Abbett Funds LORD ABBETT DIVERS EQUITY STRAT CL A LDSAX Non-NTF Growth 0.35 5.75 3 EquityLord Abbett Funds LORD ABBETT DIVERSFD EQTY STRTGY FD CL C LDSCX Non-NTF Growth 1 1.00 3 BondLord Abbett Funds LORD ABBETT DIVERSFD INCOME STRATEGY CL F LIGFX Non-NTF Income 0.09 None 3 BondLord Abbett Funds LORD ABBETT DIVERSI INCOME STRATEGY A ISFAX Non-NTF Income 0.34 5.75 3 EquityLord Abbett Funds LORD ABBETT DIVERSI INCOME STRATEGY C ISFCX Non-NTF Income 0.99 1.00 3 EquityLord Abbett Funds LORD ABBETT DIVERSIF EQ STRATEGY FD CL F LDSFX Non-NTF Growth 0.1 None 3 BondLord Abbett Funds LORD ABBETT FLOATING RATE FD CL A LFRAX Non-NTF Income 0.83 2.25 3 BondLord Abbett Funds LORD ABBETT FLOATING RATE FD CL C LARCX Non-NTF Income 1.47 1.00 3 BondLord Abbett Funds LORD ABBETT FLOATING RATE FUND I LFRIX Non-NTF Income 0.47 None 3 EquityLord Abbett Funds LORD ABBETT FLOATING RATE INC FD CL F LFRFX Non-NTF Income 0.59 None 3 EquityLord Abbett Funds LORD ABBETT FNDAMNTL EQUITY CLASS F LAVFX Non-NTF Growth and Income 0.93 None 3 EquityLord Abbett Funds LORD ABBETT FNDAMNTL EQUITY FD CL C GILAX Non-NTF Growth and Income 1.84 1.00 3 EquityLord Abbett Funds LORD ABBETT FUNDAMENTAL EQUITY I LAVYX Non-NTF Growth and Income 0.84 None 3 BondLord Abbett Funds LORD ABBETT FUNDMNTL EQUITY CL A LDFVX Non-NTF Growth and Income 1.19 5.75 3 EquityLord Abbett Funds LORD ABBETT GEORGIA TAX FREE TRUST CL F LGAFX Non-NTF Municipal Bond - Single State 0.72 None 3 EquityLord Abbett Funds LORD ABBETT GLOBAL ALLOCATION FUND CL F LAGFX Non-NTF World Stock 0.1 None 3 EquityLord Abbett Funds LORD ABBETT GROWTH & INCOME STRATEGY A LWSAX Non-NTF Growth and Income 0.35 5.75 3 EquityLord Abbett Funds LORD ABBETT GROWTH & INCOME STRATEGY C LWSCX Non-NTF Growth and Income 1 1.00 3 EquityLord Abbett Funds LORD ABBETT GROWTH & INCOME STRATEGY CL F LGXFX Non-NTF Growth and Income 0.1 None 3 EquityLord Abbett Funds LORD ABBETT GROWTH OPPORTUNITIES CL A LMGAX Non-NTF Growth 1.55 5.75 3 Equity

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Security Class

Lord Abbett Funds LORD ABBETT GROWTH OPPORTUNITIES CL C LMGCX Non-NTF Growth 2.2 1.00 3 EquityLord Abbett Funds LORD ABBETT GROWTH OPPORTUNITIES CL F LGOFX Non-NTF Growth 1.3 None 3 BondLord Abbett Funds LORD ABBETT GROWTH OPPORTUNITIES CL I LMGYX Non-NTF Growth 1.2 None 1 BondLord Abbett Funds LORD ABBETT HAWAII TAX FREE FUND CL F LAHFX Non-NTF Municipal Bond - Single State 0.7 None 3 BondLord Abbett Funds LORD ABBETT HIGH YIELD CLASS A LHYAX Non-NTF Corporate Bond - High Yield 1.01 4.75 3 BondLord Abbett Funds LORD ABBETT HIGH YIELD CLASS C LHYCX Non-NTF Corporate Bond - High Yield 1.89 1.00 3 BondLord Abbett Funds LORD ABBETT HIGH YIELD FD CL F LHYFX Non-NTF Corporate Bond - High Yield 0.96 None 3 BondLord Abbett Funds LORD ABBETT HIGH YIELD FD CL I LAHYX Non-NTF Corporate Bond - High Yield 0.92 None 1 BondLord Abbett Funds LORD ABBETT HIGH YIELD MUNI CL C HYMCX Non-NTF Municipal Bond - National 1.48 1.00 3 BondLord Abbett Funds LORD ABBETT HIGH YLD MUNI BOND FD A HYMAX Non-NTF Municipal Bond - National 0.84 3.25 3 BondLord Abbett Funds LORD ABBETT HIGH YLD MUNICIPAL BOND CL F HYMFX Non-NTF Municipal Bond - National 0.73 None 3 BondLord Abbett Funds LORD ABBETT INCOME CLASS A LAGVX Non-NTF Income 1 2.25 3 BondLord Abbett Funds LORD ABBETT INCOME CLASS C LAUSX Non-NTF Income 1.65 1.00 3 BondLord Abbett Funds LORD ABBETT INCOME FUND CL F LAUFX Non-NTF Income 0.75 None 3 BondLord Abbett Funds LORD ABBETT INTERMED TAX FREE FD CLASS A LISAX Non-NTF Municipal Bond - National 0.44 2.25 3 BondLord Abbett Funds LORD ABBETT INTERMED TAX FREE FUND CL C LISCX Non-NTF Municipal Bond - National 1.09 1.00 3 EquityLord Abbett Funds LORD ABBETT INTERMED TAX FREE FUND F LISFX Non-NTF Municipal Bond - National 0.39 None 3 EquityLord Abbett Funds LORD ABBETT INTERNAT CORE EQUITY CL F LICFX Non-NTF Foreign Stock 1.27 None 3 EquityLord Abbett Funds LORD ABBETT INTERNAT OPPORTUNITIES FD F LINFX Non-NTF Foreign Stock 1.49 None 3 EquityLord Abbett Funds LORD ABBETT INTERN'L OPPORTUNITIES CL A LAIEX Non-NTF Foreign Stock 1.77 5.75 3 EquityLord Abbett Funds LORD ABBETT INTERN'L OPPORTUNITIES CL C LINCX Non-NTF Foreign Stock 2.42 1.00 3 EquityLord Abbett Funds LORD ABBETT INT'L CORE EQUITY FD CL A LICAX Non-NTF Foreign Stock 1.55 5.75 3 EquityLord Abbett Funds LORD ABBETT INT'L CORE EQUITY FD CL C LICCX Non-NTF Foreign Stock 2.2 1.00 3 EquityLord Abbett Funds LORD ABBETT INTL DIV INCOME FD CL F LIDFX Non-NTF Income 1.07 None 3 EquityLord Abbett Funds LORD ABBETT INTL DIVIDEND INC CL A LIDAX Non-NTF Income 1.35 5.75 3 EquityLord Abbett Funds LORD ABBETT INTL DIVIDEND INC CL C LIDCX Non-NTF Income 1.98 1.00 3 EquityLord Abbett Funds LORD ABBETT INVT TR BALANCED STRATEGY A LABFX Non-NTF Balanced 0.27 5.75 3 EquityLord Abbett Funds LORD ABBETT INVT TR BALANCED STRATEGY C BFLAX Non-NTF Balanced 0.92 1.00 3 BondLord Abbett Funds LORD ABBETT LARGE CAP VALUE CL C LLCCX Non-NTF Growth and Income 1.81 1.00 3 BondLord Abbett Funds LORD ABBETT LOCAL DEVELOPING MKTS CL A LDMAX Non-NTF Worldwide Bond 1.27 4.75 3 EquityLord Abbett Funds LORD ABBETT LOCAL DEVELOPING MKTS CL C LDMCX Non-NTF Worldwide Bond 1.91 1.00 3 EquityLord Abbett Funds LORD ABBETT MID CAP FUND CLASS P LMCPX Non-NTF Growth 1.25 None 1 EquityLord Abbett Funds LORD ABBETT MID CAP VALUE CLASS A LAVLX Non-NTF Growth 1.16 5.75 3 EquityLord Abbett Funds LORD ABBETT MID CAP VALUE CLASS C LMCCX Non-NTF Growth 1.81 1.00 3 EquityLord Abbett Funds LORD ABBETT MID CAP VALUE FD CL F LMCFX Non-NTF Growth 0.88 None 3 BondLord Abbett Funds LORD ABBETT MID-CAP VALUE FD CL I LMCYX Non-NTF Growth 0.81 None 1 BondLord Abbett Funds LORD ABBETT NATIONAL TAX FREE FUND CL F LANFX Non-NTF Municipal Bond - National 0.67 None 3 BondLord Abbett Funds LORD ABBETT NEW YORK TAX FREE FUND CL F LNYFX Non-NTF Municipal Bond - Single State 0.68 None 3 BondLord Abbett Funds LORD ABBETT NEW YORK TAX FREE INCOME CL A LANYX Non-NTF Municipal Bond - Single State 0.78 3.25 3 EquityLord Abbett Funds LORD ABBETT NJ TAX FREE INCOME FD CL F LNJFX Non-NTF Municipal Bond - Single State 0.7 None 3 EquityLord Abbett Funds LORD ABBETT RESEARCH FD SMALL CAP VAL I LRSYX Non-NTF Small Company 0.94 None 1 EquityLord Abbett Funds LORD ABBETT RESEARCH SMALL CAP CLASS A LRSCX Non-NTF Small Company 1.24 5.75 3 EquityLord Abbett Funds LORD ABBETT RESEARCH SMALL CAP CLASS C LSRCX Non-NTF Small Company 1.94 1.00 3 BondLord Abbett Funds LORD ABBETT SEC LARGE CAP VALUE A LALAX Non-NTF Growth and Income 1.16 5.75 3 BondLord Abbett Funds LORD ABBETT SHORT DURATION INCOME CL A LALDX Non-NTF Income 0.68 2.25 3 BondLord Abbett Funds LORD ABBETT SHORT DURATION INCOME CL C LDLAX Non-NTF Income 1.48 1.00 3 BondLord Abbett Funds LORD ABBETT SHORT DURATION INCOME CL F LDLFX Non-NTF Income 0.58 None 3 BondLord Abbett Funds LORD ABBETT SHORT DURATION INCOME CL I LLDYX Non-NTF Income 0.49 None 3 BondLord Abbett Funds LORD ABBETT SHORT DURATION TAX FREE A LSDAX Non-NTF Municipal Bond - National 0.44 2.25 3 BondLord Abbett Funds LORD ABBETT SHORT DURATION TAX FREE C LSDCX Non-NTF Municipal Bond - National 1.23 1.00 3 EquityLord Abbett Funds LORD ABBETT SHORT DURATION TAX FREE F LSDFX Non-NTF Municipal Bond - National 0.34 None 3 EquityLord Abbett Funds LORD ABBETT SMALL CAP BLEND CL P LSBPX Non-NTF Small Company 1.5 None 1 EquityLord Abbett Funds LORD ABBETT SMALL CAP BLEND CLASS A LSBAX Non-NTF Small Company 1.4 5.75 3 EquityLord Abbett Funds LORD ABBETT SMALL CAP BLEND CLASS C LSBCX Non-NTF Small Company 2.05 1.00 3 EquityLord Abbett Funds LORD ABBETT SMALL CAP BLEND FD CL F LBNFX Non-NTF Small Company 1.14 None 3 EquityLord Abbett Funds LORD ABBETT SMALL CAP BLEND FUND CL I LSBYX Non-NTF Small Company 1.05 None 1 EquityLord Abbett Funds LORD ABBETT SMALL CAP VALUE FD CL F LRSFX Non-NTF Small Company 1.03 None 3 EquityLord Abbett Funds LORD ABBETT SMALL CAP VALUE FD CL P LRSPX Non-NTF Small Company 1.39 None 1 EquityLord Abbett Funds LORD ABBETT STOCK APPRECIATION CL A LALCX Non-NTF Growth 1.5 5.75 3 Equity

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Security Class

Lord Abbett Funds LORD ABBETT STOCK APPRECIATION CLASS C LACGX Non-NTF Growth 2.15 1.00 3 BondLord Abbett Funds LORD ABBETT STOCK APPRECIATION CLASS F LALFX Non-NTF Growth 1.25 None 3 BondLord Abbett Funds LORD ABBETT TAX FREE INCOME CA CLASS A LCFIX Non-NTF Municipal Bond - Single State 0.78 3.25 3 BondLord Abbett Funds LORD ABBETT TAX FREE INCOME CA CLASS C CALAX Non-NTF Municipal Bond - Single State 1.48 1.00 3 BondLord Abbett Funds LORD ABBETT TAX FREE INCOME CONN CL A LACTX Non-NTF Municipal Bond - Single State 0.79 3.25 3 BondLord Abbett Funds LORD ABBETT TAX FREE INCOME GA CLASS A LAGAX Non-NTF Municipal Bond - Single State 0.82 3.25 3 BondLord Abbett Funds LORD ABBETT TAX FREE INCOME HAWAII CL A LAHIX Non-NTF Municipal Bond - Single State 0.79 3.25 3 BondLord Abbett Funds LORD ABBETT TAX FREE INCOME MISSOURI CL A LAMOX Non-NTF Municipal Bond - Single State 0.8 3.25 3 BondLord Abbett Funds LORD ABBETT TAX FREE INCOME NATIONAL CL A LANSX Non-NTF Municipal Bond - National 0.77 3.25 3 BondLord Abbett Funds LORD ABBETT TAX FREE INCOME NATIONAL CL C LTNSX Non-NTF Municipal Bond - National 1.45 1.00 3 BondLord Abbett Funds LORD ABBETT TAX FREE INCOME NJ CLASS A LANJX Non-NTF Municipal Bond - Single State 0.81 3.25 3 BondLord Abbett Funds LORD ABBETT TAX FREE INCOME NY CLASS C NYLAX Non-NTF Municipal Bond - Single State 1.46 1.00 3 BondLord Abbett Funds LORD ABBETT TAX FREE INCOME PA CLASS A LAPAX Non-NTF Municipal Bond - Single State 0.84 3.25 3 BondLord Abbett Funds LORD ABBETT TOTAL RETURN CL A LTRAX Non-NTF Income 0.9 2.25 3 BondLord Abbett Funds LORD ABBETT TOTAL RETURN CL C LTRCX Non-NTF Income 1.55 1.00 3 BondLord Abbett Funds LORD ABBETT TOTAL RETURNED CLASS F LTRFX Non-NTF Income 0.65 None 3 EquityLord Abbett Funds LORD ABBETT USG & GSE MMKT CL A LACXX Non-NTF None 3 EquityLord Abbett Funds LORD ABBETT VALUE OPPORTUNITIES CL A LVOAX Non-NTF Growth 1.35 5.75 3 EquityLord Abbett Funds LORD ABBETT VALUE OPPORTUNITIES CL I LVOYX Non-NTF Growth 1 None 3 EquityLord Abbett Funds LORD ABBETT VALUE OPPORTUNITIES CL P LVOPX Non-NTF Growth 1.45 None 1 EquityLord Abbett Funds LORD ABBETT VALUE OPPORTUNITY FD CL C LVOCX Non-NTF Growth 2 1.00 3 EquityLord Abbett Funds LORD ABBETT VALUE OPPORUNITIES CL F LVOFX Non-NTF Growth 1.09 None 3 EquityLSV Funds LSV CONSERVATIVE EQUITY FUND - INSTL LSVVX Non-NTF Growth 0.35 None 1 BondLSV Funds LSV VALUE EQUITY INSTITUTIONAL LSVEX Non-NTF Growth 0.65 None 1 EquityMadison Mosaic Funds MADISON MOSAIC INSTITUTIONAL BOND MIIBX Non-NTF Corporate Bond - General 0.49 None 1 EquityMainStay Funds MAINSTAY 130/30 CORE FUND CL A MYCTX Non-NTF Growth 1.46 5.50 3 EquityMainStay Funds MAINSTAY 130/30 CORE FUND CL C MYCCX Non-NTF Growth 2.35 1.00 3 EquityMainStay Funds MAINSTAY 130/30 CORE FUND CL I MYCIX Non-NTF Growth 1.22 None 1 EquityMainStay Funds MAINSTAY 130/30 GROWTH FD CL A MYGAX Non-NTF Growth 1.5 5.50 3 EquityMainStay Funds MAINSTAY 130/30 GROWTH FD CL C MYGCX Non-NTF Growth 2.35 1.00 3 EquityMainStay Funds MAINSTAY 130/30 GROWTH FD CL I MYGIX Non-NTF Growth 1.25 None 1 BondMainStay Funds MAINSTAY 130/30 INTERNATIONAL FUND A MYITX Non-NTF Foreign Stock 1.6 5.50 3 EquityMainStay Funds MAINSTAY 130/30 INTL FUND CL C MYICX Non-NTF Foreign Stock 2.45 1.00 3 EquityMainStay Funds MAINSTAY 130/30 INTL FUND CL I MYIIX Non-NTF Foreign Stock 1.35 None 1 EquityMainStay Funds MAINSTAY BALANCED CLASS I MBAIX Non-NTF Balanced 0.96 None 1 EquityMainStay Funds MAINSTAY BALANCED FD CL R1 MBNRX Non-NTF Balanced 1.06 None 3 EquityMainStay Funds MAINSTAY BALANCED FUND CL B MBNBX Non-NTF Balanced 2.23 5.00 3 EquityMainStay Funds MAINSTAY BALANCED FUND CL C MBACX Non-NTF Balanced 2.23 1.00 3 EquityMainStay Funds MAINSTAY BALANCED R2 MBCRX Non-NTF Balanced 1.31 None 3 EquityMainStay Funds MAINSTAY BALNCED CL A MBNAX Non-NTF Balanced 1.27 5.50 3 EquityMainStay Funds MAINSTAY CASH RESERVES MSIXX Non-NTF None 0 EquityMainStay Funds MAINSTAY COMMON STOCK CLASS A MSOAX Non-NTF Growth 0.94 5.50 3 EquityMainStay Funds MAINSTAY COMMON STOCK CLASS B MOPBX Non-NTF Growth 2.2 5.00 3 EquityMainStay Funds MAINSTAY COMMON STOCK CLASS C MGOCX Non-NTF Growth 2.21 1.00 3 EquityMainStay Funds MAINSTAY COMMON STOCK FD CL I MSOIX Non-NTF Growth 0.65 None 3 EquityMainStay Funds MAINSTAY COMMON STOCK FUND CL R2 MSORX Non-NTF None 3 EquityMainStay Funds MAINSTAY CONSERVATIV ALLOCATION CL A MCKAX Non-NTF Asset Allocation 0.47 5.50 3 EquityMainStay Funds MAINSTAY CONSERVATIV ALLOCATION CL B MCKBX Non-NTF Asset Allocation 1.25 5.00 3 EquityMainStay Funds MAINSTAY CONSERVATIV ALLOCATION CL C MCKCX Non-NTF Asset Allocation 1.25 1.00 3 EquityMainStay Funds MAINSTAY CONSERVATIV ALLOCATION CL I MCKIX Non-NTF Asset Allocation 0.22 None 1 EquityMainStay Funds MAINSTAY CONVERTIBLE BOND CLASS C MCCVX Non-NTF Convertible Bond 2.05 1.00 3 EquityMainStay Funds MAINSTAY CONVERTIBLE CLASS A MCOAX Non-NTF Convertible Bond 1.1 5.50 3 BondMainStay Funds MAINSTAY CONVERTIBLE CLASS B MCSVX Non-NTF Convertible Bond 2.05 5.00 3 BondMainStay Funds MAINSTAY CONVERTIBLE FUND CL I MCNVX Non-NTF Convertible Bond 0.86 None 1 BondMainStay Funds MAINSTAY DIVERSIFIED INCOME CLASS A MASAX Non-NTF Multisector Bond 1.27 4.50 3 BondMainStay Funds MAINSTAY DIVERSIFIED INCOME CLASS B MASBX Non-NTF Multisector Bond 2.17 5.00 3 BondMainStay Funds MAINSTAY DIVERSIFIED INCOME CLASS C MSICX Non-NTF Multisector Bond 2.17 1.00 3 EquityMainStay Funds MAINSTAY DIVERSIFIED INCOME FUND CL I MSDIX Non-NTF Multisector Bond 0.95 None 1 EquityMainStay Funds MAINSTAY EPOCH GL EQUITY YIELD CL C EPSKX Non-NTF Equity-Income -999 1.00 1 Equity

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MainStay Funds MAINSTAY EPOCH GLOBAL CHOICE CL A EPAPX Non-NTF World Stock 1.54 5.50 1 EquityMainStay Funds MAINSTAY EPOCH GLOBAL CHOICE CL C EPAKX Non-NTF World Stock -999 1.00 1 EquityMainStay Funds MAINSTAY EPOCH GLOBAL CHOICE INSTL EPACX Non-NTF World Stock 1.29 None 3 EquityMainStay Funds MAINSTAY EPOCH GLOBAL EQUITY YLD A EPSPX Non-NTF Equity-Income 1.18 5.50 1 EquityMainStay Funds MAINSTAY EPOCH GLOBAL EQUITY YLD I EPSYX Non-NTF Equity-Income 0.93 None 3 EquityMainStay Funds MAINSTAY EPOCH INTL SMALL CAP CLASS A EPIPX Non-NTF Small Company 1.74 5.50 1 EquityMainStay Funds MAINSTAY EPOCH INTL SMALL CAP FUND CL C EPIKX Non-NTF Small Company -999 1.00 1 EquityMainStay Funds MAINSTAY EPOCH INTL SMALL CAP INSTL EPIEX Non-NTF Small Company 1.49 None 1 EquityMainStay Funds MAINSTAY EPOCH U.S. EQUITY FUND CL C EPLKX Non-NTF Growth -999 1.00 1 EquityMainStay Funds MAINSTAY EPOCH US ALL CAP FD CL A MAAAX Non-NTF Growth 1.26 5.50 3 EquityMainStay Funds MAINSTAY EPOCH US ALL CAP FD CL B MAWBX Non-NTF Growth 2.42 5.00 3 EquityMainStay Funds MAINSTAY EPOCH US ALL CAP FUND CL C MAWCX Non-NTF Growth 2.42 1.00 3 EquityMainStay Funds MAINSTAY EPOCH US ALL CAP FUND CLASS I MATIX Non-NTF Growth 0.95 None 3 EquityMainStay Funds MAINSTAY EPOCH US EQUITY CLASS A EPLPX Non-NTF Growth -999 5.50 1 BondMainStay Funds MAINSTAY EPOCH US EQUITY INSTL EPLCX Non-NTF None 1 BondMainStay Funds MAINSTAY FLOATING RATE CL C MXFCX Non-NTF Income 1.94 1.00 3 BondMainStay Funds MAINSTAY FLOATING RATE FUND CL A MXFAX Non-NTF Income 1.01 3.00 3 BondMainStay Funds MAINSTAY FLOATING RATE FUND CL B MXFBX Non-NTF Income 1.94 3.00 3 BondMainStay Funds MAINSTAY FLOATING RATE FUND CL I MXFIX Non-NTF Income 0.77 None 3 BondMainStay Funds MAINSTAY GLOBAL HIGH INCOME FUND CL I MGHIX Non-NTF Worldwide Bond 1.12 None 1 BondMainStay Funds MAINSTAY GLOBAL HIGH INCOME FUND CLASS A MGHAX Non-NTF Worldwide Bond 1.32 4.50 3 BondMainStay Funds MAINSTAY GOVERNMENT FUND CL C MGVCX Non-NTF Government Bond - General 1.8 1.00 3 BondMainStay Funds MAINSTAY GOVERNMENT FUND CL I MGOIX Non-NTF Government Bond - General 0.51 None 1 BondMainStay Funds MAINSTAY GOVERNMENT FUND CLASS B MCSGX Non-NTF Government Bond - General 1.79 5.00 3 EquityMainStay Funds MAINSTAY GOV'T CLASS A MGVAX Non-NTF Government Bond - General 0.92 4.50 3 EquityMainStay Funds MAINSTAY GROWTH ALLOCATION CL A MGXAX Non-NTF Growth 0.48 5.50 3 EquityMainStay Funds MAINSTAY GROWTH ALLOCATION CL B MGXBX Non-NTF Growth 1.25 5.00 3 EquityMainStay Funds MAINSTAY GROWTH ALLOCATION CL C MGXCX Non-NTF Growth 1.25 1.00 3 EquityMainStay Funds MAINSTAY GROWTH ALLOCATION CL I MGXIX Non-NTF Growth 0.25 None 1 EquityMainStay Funds MAINSTAY GROWTH EQUITY FD CL A MREAX Non-NTF Growth 1.31 5.50 3 EquityMainStay Funds MAINSTAY GROWTH EQUITY FD CL B MREBX Non-NTF Growth 2.18 5.00 3 EquityMainStay Funds MAINSTAY GROWTH EQUITY FD CL C MRECX Non-NTF Growth 2.16 1.00 3 BondMainStay Funds MAINSTAY GROWTH EQUITY FUND CL I MRIEX Non-NTF Growth 1.03 None 1 BondMainStay Funds MAINSTAY HIGH INCOME CLASS B MGHBX Non-NTF Worldwide Bond 2.24 5.00 3 BondMainStay Funds MAINSTAY HIGH INCOME CLASS C MHYCX Non-NTF Worldwide Bond 2.23 1.00 3 BondMainStay Funds MAINSTAY HIGH YIELD CORP CLASS A MHCAX Non-NTF Corporate Bond - High Yield 1.08 4.50 3 BondMainStay Funds MAINSTAY HIGH YIELD CORP CLASS C MYHCX Non-NTF Corporate Bond - High Yield 1.9 1.00 3 BondMainStay Funds MAINSTAY HIGH YIELD CORPORATE BD FD I MHYIX Non-NTF Corporate Bond - High Yield 0.83 None 3 BondMainStay Funds MAINSTAY HIGH YIELD CORPORATE BD R2 MHYRX Non-NTF Corporate Bond - High Yield 1.18 None 3 BondMainStay Funds MAINSTAY HIGH YIELD CORPORATE BOND CL B MKHCX Non-NTF Corporate Bond - High Yield 1.91 5.00 3 BondMainStay Funds MAINSTAY HIGH YIELD MUNICIPAL BOND FD A MMHAX Non-NTF 4.50 1 BondMainStay Funds MAINSTAY HIGH YIELD MUNICIPAL BOND FD I MMHIX Non-NTF None 1 BondMainStay Funds MAINSTAY HIGH YIELD OPPORTUNITIES CL A MYHAX Non-NTF Corporate Bond - High Yield 1.29 4.50 3 BondMainStay Funds MAINSTAY HIGH YIELD OPPORTUNITIES CL C MYHYX Non-NTF Corporate Bond - High Yield 2.22 1.00 3 EquityMainStay Funds MAINSTAY HIGH YIELD OPPORTUNITIES CL I MYHIX Non-NTF Corporate Bond - High Yield 1.04 None 3 EquityMainStay Funds MAINSTAY ICAP EQUITY CL C ICAVX Non-NTF Growth 2.04 1.00 3 EquityMainStay Funds MAINSTAY ICAP EQUITY FUND CL A ICAUX Non-NTF Growth 1.18 5.50 3 EquityMainStay Funds MAINSTAY ICAP EQUITY FUND CL I ICAEX Non-NTF Growth 0.83 None 1 EquityMainStay Funds MAINSTAY ICAP EQUITY FUND CL R1 ICAWX Non-NTF Growth 0.94 None 3 EquityMainStay Funds MAINSTAY ICAP EQUITY R2 ICAYX Non-NTF Growth 1.19 None 3 EquityMainStay Funds MAINSTAY ICAP EQUITY R3 ICAZX Non-NTF Growth 1.45 None 3 EquityMainStay Funds MAINSTAY ICAP GLOBAL FUND CL A ICGLX Non-NTF Equity-Income 1.15 5.50 3 EquityMainStay Funds MAINSTAY ICAP GLOBAL FUND CL C ICGCX Non-NTF Equity-Income 1.95 1.00 3 EquityMainStay Funds MAINSTAY ICAP GLOBAL FUND CL I ICGRX Non-NTF Equity-Income 0.9 None 3 EquityMainStay Funds MAINSTAY ICAP INTERNATIONAL FD I ICEUX Non-NTF Foreign Stock 0.85 None 1 EquityMainStay Funds MAINSTAY ICAP INTERNATIONAL R2 ICEYX Non-NTF Foreign Stock 1.27 None 3 EquityMainStay Funds MAINSTAY ICAP INTERNATIONAL R3 ICEZX Non-NTF Foreign Stock 1.54 None 3 EquityMainStay Funds MAINSTAY ICAP INTL FD CL A ICEVX Non-NTF Foreign Stock 1.14 5.50 3 EquityMainStay Funds MAINSTAY ICAP INTL FD CL C ICEWX Non-NTF Foreign Stock 2.13 1.00 3 Equity

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MainStay Funds MAINSTAY ICAP INTL FD CL R1 ICETX Non-NTF Foreign Stock 0.99 None 3 EquityMainStay Funds MAINSTAY ICAP SELECT EQTY FD CL A ICSRX Non-NTF Growth 1.09 5.50 3 EquityMainStay Funds MAINSTAY ICAP SELECT EQUITY CL B ICSQX Non-NTF Growth -999 5.00 3 EquityMainStay Funds MAINSTAY ICAP SELECT EQUITY CL C ICSVX Non-NTF Growth 2.05 1.00 3 EquityMainStay Funds MAINSTAY ICAP SELECT EQUITY FD CL I ICSLX Non-NTF Growth 0.83 None 1 EquityMainStay Funds MAINSTAY ICAP SELECT EQUITY FD CL R1 ICSWX Non-NTF Growth 0.98 None 3 EquityMainStay Funds MAINSTAY ICAP SELECT EQUITY R2 ICSYX Non-NTF Growth 1.22 None 3 EquityMainStay Funds MAINSTAY ICAP SELECT EQUITY R3 ICSZX Non-NTF Growth 1.47 None 3 EquityMainStay Funds MAINSTAY INCOME BUILDER FD CLASS A MTRAX Non-NTF Balanced 1.2 5.50 3 EquityMainStay Funds MAINSTAY INCOME BUILDER FD CLASS B MKTRX Non-NTF Balanced 2.14 5.00 3 EquityMainStay Funds MAINSTAY INCOME BUILDER FD CLASS C MCTRX Non-NTF Balanced 2.17 1.00 3 BondMainStay Funds MAINSTAY INCOME BUILDER FUND CLASS I MTOIX Non-NTF Balanced 0.97 None 3 BondMainStay Funds MAINSTAY INDEXED BD CL A MIXAX Non-NTF Corporate Bond - General 0.82 3.00 3 BondMainStay Funds MAINSTAY INDEXED BOND CLASS I MIXIX Non-NTF Corporate Bond - General 0.43 None 3 BondMainStay Funds MAINSTAY INTERMED TERM BOND CL A MTMAX Non-NTF Corporate Bond - General 1 4.50 3 BondMainStay Funds MAINSTAY INTERMED TERM BOND CL B MTMBX Non-NTF Corporate Bond - General 1.92 5.00 3 BondMainStay Funds MAINSTAY INTERMED TERM BOND CL C MTMCX Non-NTF Corporate Bond - General 1.92 1.00 3 EquityMainStay Funds MAINSTAY INTERMED TERM BOND CLASS I MTMIX Non-NTF Corporate Bond - General 0.66 None 3 EquityMainStay Funds MAINSTAY INTERNAT'AL EQUITY R2 MIRRX Non-NTF Foreign Stock 1.5 None 3 EquityMainStay Funds MAINSTAY INTERNAT'L EQUITY CL C MIECX Non-NTF Foreign Stock 2.46 1.00 3 EquityMainStay Funds MAINSTAY INTERNAT'L EQUITY R3 MIFRX Non-NTF Foreign Stock 1.69 None 3 EquityMainStay Funds MAINSTAY INTL EQUITY CLASS A MSEAX Non-NTF Foreign Stock 1.39 5.50 3 EquityMainStay Funds MAINSTAY INT'L EQUITY CLASS B MINEX Non-NTF Foreign Stock 2.46 5.00 3 EquityMainStay Funds MAINSTAY INTL EQUITY FD CL R1 MIERX Non-NTF Foreign Stock 1.19 None 3 EquityMainStay Funds MAINSTAY INTL EQUITY FUND CLASS I MSIIX Non-NTF Foreign Stock 1.08 None 3 EquityMainStay Funds MAINSTAY LARGE CAP GROWTH FD R1 MLRRX Non-NTF Growth 0.98 None 3 EquityMainStay Funds MAINSTAY LARGE CAP GROWTH FUND CLASS A MLAAX Non-NTF Growth 1.21 5.50 3 EquityMainStay Funds MAINSTAY LARGE CAP GROWTH FUND CLASS B MLABX Non-NTF Growth 2.2 5.00 3 EquityMainStay Funds MAINSTAY LARGE CAP GROWTH FUND CLASS C MLACX Non-NTF Growth 2.19 1.00 3 EquityMainStay Funds MAINSTAY LARGE CAP GROWTH FUND CLASS I MLAIX Non-NTF Growth 0.82 None 3 EquityMainStay Funds MAINSTAY LARGE CAP GROWTH FUND R2 MLRTX Non-NTF Growth 1.24 None 3 EquityMainStay Funds MAINSTAY LARGE CAP GROWTH FUND R3 MLGRX Non-NTF Growth 1.49 None 3 EquityMainStay Funds MAINSTAY MAP CLASS A MAPAX Non-NTF Growth 1.2 5.50 3 EquityMainStay Funds MAINSTAY MAP CLASS B MAPBX Non-NTF Growth 2.19 5.00 3 EquityMainStay Funds MAINSTAY MAP CLASS C MMPCX Non-NTF Growth 2.19 1.00 3 EquityMainStay Funds MAINSTAY MAP FUND CL R1 MAPRX Non-NTF Growth 1.08 None 3 EquityMainStay Funds MAINSTAY MAP INSTL CL MUBFX Non-NTF Growth 0.98 None 3 EquityMainStay Funds MAINSTAY MAP R2 MPRRX Non-NTF Growth 1.33 None 3 EquityMainStay Funds MAINSTAY MAP R3 MMAPX Non-NTF Growth 1.58 None 3 EquityMainStay Funds MAINSTAY MODERATE ALLOCATION CL A MMRAX Non-NTF Asset Allocation 0.43 5.50 3 EquityMainStay Funds MAINSTAY MODERATE ALLOCATION CL B MMRBX Non-NTF Asset Allocation 1.21 5.00 3 EquityMainStay Funds MAINSTAY MODERATE ALLOCATION CL C MMRCX Non-NTF Asset Allocation 1.21 1.00 3 EquityMainStay Funds MAINSTAY MODERATE ALLOCATION CL I MMRIX Non-NTF Asset Allocation 0.18 None 1 EquityMainStay Funds MAINSTAY MODERATE GRTH ALLOCATION CL A MGDAX Non-NTF Asset Allocation 0.43 5.50 3 EquityMainStay Funds MAINSTAY MODERATE GRTH ALLOCATION CL B MGDBX Non-NTF Asset Allocation 1.21 5.00 3 EquityMainStay Funds MAINSTAY MODERATE GRTH ALLOCATION CL I MGDIX Non-NTF Asset Allocation 0.19 None 1 EquityMainStay Funds MAINSTAY MONEY MARKET FUND B MKMXX Non-NTF 5.00 3 EquityMainStay Funds MAINSTAY PRINCIPAL PRESERVATION CL I MCPXX Non-NTF None 3 BondMainStay Funds MAINSTAY RETIREMENT 2010 FUND CL A MYRAX Non-NTF Asset Allocation 0.37 5.50 3 EquityMainStay Funds MAINSTAY RETIREMENT 2010 FUND CL I MYRIX Non-NTF Asset Allocation 0.12 None 1 BondMainStay Funds MAINSTAY RETIREMENT 2020 FUND CL A MYROX Non-NTF Asset Allocation 0.37 5.50 3 EquityMainStay Funds MAINSTAY RETIREMENT 2020 FUND CL I MYRTX Non-NTF Asset Allocation 0.12 None 1 EquityMainStay Funds MAINSTAY RETIREMENT 2030 FUND CL A MRTTX Non-NTF Asset Allocation 0.37 5.50 3 EquityMainStay Funds MAINSTAY RETIREMENT 2030 FUND CL I MRTIX Non-NTF Asset Allocation 0.12 None 1 EquityMainStay Funds MAINSTAY RETIREMENT 2040 FUND CL A MSRTX Non-NTF Asset Allocation 0.37 5.50 3 EquityMainStay Funds MAINSTAY RETIREMENT 2040 FUND CL I MSRYX Non-NTF Asset Allocation 0.12 None 1 EquityMainStay Funds MAINSTAY RETIREMENT 2050 FUND CL A MSRLX Non-NTF Asset Allocation 0.38 5.50 3 EquityMainStay Funds MAINSTAY RETIREMENT 2050 FUND CL I MSRMX Non-NTF Asset Allocation 0.12 None 1 EquityMainStay Funds MAINSTAY S&P 500 INDEX CL A MSXAX Non-NTF Growth and Income 0.6 3.00 3 Bond

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Security Class

MainStay Funds MAINSTAY S&P 500 INDEX CLASS I MSPIX Non-NTF Growth and Income 0.32 None 3 BondMainStay Funds MAINSTAY SHORT TERM BOND CL A MSTAX Non-NTF Corporate Bond - General 0.91 3.00 3 BondMainStay Funds MAINSTAY SHORT TERM BOND CLASS I MSTIX Non-NTF Corporate Bond - General 0.63 None 3 BondMainStay Funds MAINSTAY TAX FREE BOND CLASS A MTBAX Non-NTF Municipal Bond - National 0.9 4.50 3 BondMainStay Funds MAINSTAY TAX FREE BOND CLASS B MKTBX Non-NTF Municipal Bond - National 1.26 5.00 3 BondMainStay Funds MAINSTAY TAX FREE BOND CLASS C MTFCX Non-NTF Municipal Bond - National 1.28 1.00 3 EquityMainStay Funds MAINSTAY TAX FREE BOND FUND CLASS I MTBIX Non-NTF Municipal Bond - National -999 None 1 EquityMainStay Funds MAINSTAY US SMALL CAP FUND CLASS A MOPAX Non-NTF Small Company 1.54 5.50 3 EquityMainStay Funds MAINSTAY US SMALL CAP FUND CLASS B MOTBX Non-NTF Small Company 2.38 5.00 3 EquityMainStay Funds MAINSTAY US SMALL CAP FUND CLASS C MOPCX Non-NTF Small Company 2.39 1.00 3 EquityMainStay Funds MAINSTAY US SMALL CAP FUND CLASS I MOPIX Non-NTF Small Company 1.18 None 1 EquityMairs & Powers Funds MAIRS & POWER BALANCED FUND MAPOX Non-NTF Balanced 0.8 None 1 EquityMairs & Powers Funds MAIRS & POWER GROWTH FD INC MPGFX Non-NTF Growth 0.7 None 1 BondManagers Funds ESSEX SMALL/MICRO CAP GROWTH FUND MBRSX Non-NTF Growth 1.49 5.75 1 BondManagers Funds GW&K MUNICIPAL BOND FUND INSTL GWMIX Non-NTF Municipal Bond - National -999 None 1 EquityManagers Funds GW&K MUNICIPAL ENHANCED YLD INSTL GWMEX Non-NTF Growth and Income 0.79 None 1 EquityManagers Funds GW&K MUNICIPAL YLD SERVICE CLASS GWMRX Non-NTF Growth and Income -999 None 1 EquityManagers Funds GWK SMALL CAP EQUITY INSTL FD GWEIX Non-NTF Small Company -999 None 1 EquityManagers Funds MANAGERS AMG CHICAGO EQ PRTNRS MIDCAP IN MKPYX Non-NTF Growth 0.94 None 3 EquityManagers Funds MANAGERS AMG CHICAGO EQ PRTNS BAL INSTL MBEYX Non-NTF Asset Allocation 0.96 None 3 EquityManagers Funds MANAGERS AMG CHICAGO EQ PRTNS BALANCED A MBEAX Non-NTF Asset Allocation 1.17 5.75 3 EquityManagers Funds MANAGERS AMG CHICAGO EQ PRTNS BALANCED B MBEBX Non-NTF Asset Allocation 1.97 5.00 3 EquityManagers Funds MANAGERS AMG CHICAGO EQ PRTNS BALANCED C MBECX Non-NTF Asset Allocation 1.96 1.00 3 EquityManagers Funds MANAGERS AMG CHICAGO EQ PRTNS MIDCAP A MKPAX Non-NTF Growth 1.18 5.75 3 EquityManagers Funds MANAGERS AMG CHICAGO EQ PRTNS MIDCAP B MKPBX Non-NTF Growth 1.94 5.00 3 EquityManagers Funds MANAGERS AMG CHICAGO EQ PRTNS MIDCAP C MKPCX Non-NTF Growth 1.94 1.00 3 EquityManagers Funds MANAGERS AMG ESSEX SM MICRO CAP GRWTH C MBRCX Non-NTF Growth 2.24 1.00 3 EquityManagers Funds MANAGERS AMG FQ ALTERNATIVES FD C MGACX Non-NTF Asset Allocation 2.75 1.00 3 EquityManagers Funds MANAGERS AMG FQ GL ALLOCATION INSTL MGAIX Non-NTF Asset Allocation -999 None 1 EquityManagers Funds MANAGERS AMG FQ GL ALTERNATIVES SERVICE MGASX Non-NTF Asset Allocation -999 None 1 EquityManagers Funds MANAGERS AMG FQ GL ESSENTIALS INVST MMAVX Non-NTF Growth and Income -999 None 1 EquityManagers Funds MANAGERS AMG FQ GL ESSENTIALS SERVICE MMASX Non-NTF Growth and Income -999 None 1 EquityManagers Funds MANAGERS AMG FQ GLOBAL ALT A MGAAX Non-NTF Asset Allocation 2 5.75 3 EquityManagers Funds MANAGERS AMG FQ TAX MANAGED US EQ CL C MFQCX Non-NTF Growth 1.99 1.00 3 EquityManagers Funds MANAGERS AMG FQ TAX MGD EQUITY INSTL SHS MFQTX Non-NTF Growth 0.99 None 1 EquityManagers Funds MANAGERS AMG FQ US EQUITY FD CL C FQUCX Non-NTF Growth 1.79 1.00 3 EquityManagers Funds MANAGERS AMG FQ US EQUITY INSTL SHS MEQFX Non-NTF Growth 0.79 None 1 EquityManagers Funds MANAGERS AMG SYSTM MID CAP VALUE INSTL SYIMX Non-NTF Growth 0.96 None 1 EquityManagers Funds MANAGERS AMG SYSTMTC MID CAP VAL FD CL A SYAMX Non-NTF Growth 1.21 5.75 3 BondManagers Funds MANAGERS AMG SYSTMTC VALUE INSTL MSYSX Non-NTF Growth and Income 0.87 None 1 EquityManagers Funds MANAGERS CALIFORNIA INTERMED TAX-FREE FD MCATX Non-NTF Municipal Bond - Single State 0.55 None 1 BondManagers Funds MANAGERS ESSEX GROWTH FD INSTL MEAIX Non-NTF Aggressive Growth 1.43 None 1 BondManagers Funds MANAGERS FIXED INC CLASS A MFDAX Non-NTF Corporate Bond - General 0.84 4.25 3 BondManagers Funds MANAGERS FIXED INCOME CL B MFDBX Non-NTF Corporate Bond - General 1.59 5.00 3 BondManagers Funds MANAGERS FIXED INCOME CL C MFDCX Non-NTF Corporate Bond - General 1.59 1.00 3 EquityManagers Funds MANAGERS FIXED INCOME CL Y MFDYX Non-NTF Corporate Bond - General 0.59 None 3 BondManagers Funds MANAGERS FRONTIER SM CAP GROWTH INSTL CL MSSYX Non-NTF Small Company -999 None 1 BondManagers Funds MANAGERS HIGH YIELD CL A MHHAX Non-NTF Corporate Bond - High Yield 1.15 4.25 3 BondManagers Funds MANAGERS HIGH YIELD CL B MHHBX Non-NTF Corporate Bond - High Yield 1.9 5.00 3 BondManagers Funds MANAGERS HIGH YIELD CL C MHHCX Non-NTF Corporate Bond - High Yield 1.9 1.00 3 EquityManagers Funds MANAGERS HIGH YIELD CL Y MHHYX Non-NTF Corporate Bond - High Yield 0.9 None 3 BondManagers Funds MANAGERS PIMCO BOND FUND MBDFX Non-NTF Corporate Bond - General 0.58 None 1 EquityManagers Funds MANAGERS RENAISSANCE LARGE CAP GRWTH INST MRLIX Non-NTF Growth -999 None 1 EquityManagers Funds MANAGERS SPECIAL EQUITY FUND CLASS I MSEIX Non-NTF Growth 1.23 None 1 EquityManagers Funds MANGERS AMG FQ TAX- MANAGED US EQ A MFQAX Non-NTF Growth 1.24 5.75 3 EquityManagers Funds MANGERS AMG FQ US EQUITY FD CL A FQUAX Non-NTF Growth 1.04 5.75 3 EquityManagers Funds RENAISSANCE LARGE CAP GRWTH SERVICE CL MRLSX Non-NTF Growth -999 None 1 EquityManagers Funds SYSTEMATIC VALUE FD CL A MSYAX Non-NTF Growth and Income 1.12 5.75 3 EquityManagers Funds TIMES SQUARE MID CAP GRWTH INSTL CL TMDIX Non-NTF Growth 1.08 None 1 Equity

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Settlement Days

Security Class

Managers Funds TIMES SQUARE SMALL CAP GROWTH INSTL CL TSCIX Non-NTF Growth 1.04 None 1 EquityManagers Funds TIMES SQUARE SMALL CAP GRWTH PREMIER CL TSCPX Non-NTF Growth 1.11 None 1 EquityManning & Napier Funds MANNING & NAPIER OVERSEAS SERIES EXOSX Non-NTF Foreign Stock 0.75 None 1 EquityManning & Napier Funds MANNING & NAPIER PRO - BLEND MAX TERM C MNHCX Non-NTF None 1 BondManning & Napier Funds MANNING & NAPIER PRO BLEND CONSERVATIVE C MNCCX Non-NTF None 1 BondManning & Napier Funds MANNING & NAPIER PRO -BLEND CONSV TRM I MNCIX Non-NTF Asset Allocation 0.7 None 1 EquityManning & Napier Funds MANNING & NAPIER PRO -BLEND EXTEND TRM I MNBIX Non-NTF Asset Allocation 0.85 None 1 BondManning & Napier Funds MANNING & NAPIER PRO BLEND EXTENDED C MNECX Non-NTF None 1 BondManning & Napier Funds MANNING & NAPIER PRO -BLEND MAXIMUM TRM I MNHIX Non-NTF Growth 0.85 None 1 EquityManning & Napier Funds MANNING & NAPIER PRO -BLEND MOD TRM CL I MNMIX Non-NTF Asset Allocation 0.85 None 1 BondManning & Napier Funds MANNING & NAPIER PRO BLEND MODERATE C MNMCX Non-NTF None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2010 SRS CL C MTHCX Non-NTF Asset Allocation 1.05 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2010 SRS CL I MTHIX Non-NTF Asset Allocation 0.05 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2010 SRS CL K MTHKX Non-NTF Asset Allocation 0.3 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2010 SRS CL R MTHRX Non-NTF Asset Allocation 0.55 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2020 SRS CL C MTNCX Non-NTF Asset Allocation 1.05 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2020 SRS CL I MTNIX Non-NTF Asset Allocation 0.05 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2020 SRS CL R MTNRX Non-NTF Asset Allocation 0.55 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2030 SRS CL C MTPCX Non-NTF Asset Allocation 1.05 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2030 SRS CL I MTPIX Non-NTF Asset Allocation 0.05 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2030 SRS CL K MTPKX Non-NTF Asset Allocation 0.3 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2030 SRS CL R MTPRX Non-NTF Asset Allocation 0.55 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2040 SRS CL C MTTCX Non-NTF Asset Allocation 1.05 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2040 SRS CL I MTTIX Non-NTF Asset Allocation 0.05 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2040 SRS CL K MTTKX Non-NTF Asset Allocation 0.3 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2040 SRS CL R MTTRX Non-NTF Asset Allocation 0.55 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2050 SRS CL C MTYCX Non-NTF Asset Allocation 1.05 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2050 SRS CL K MTYKX Non-NTF Asset Allocation 0.3 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2050 SRS CL R MTYRX Non-NTF Asset Allocation 0.55 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET 2050 SRS I MTYIX Non-NTF Asset Allocation 0.05 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET INCOME SRS C MTDCX Non-NTF Asset Allocation 1.05 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET INCOME SRS I MTDIX Non-NTF Asset Allocation 0.05 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET INCOME SRS K MTDKX Non-NTF Asset Allocation 0.3 None 1 BondManning & Napier Funds MANNING & NAPIER TARGET INCOME SRS R MTDRX Non-NTF Asset Allocation 0.55 None 1 EquityManning & Napier Funds NANNING & NAPIER TARGET 2020 SRS CL K MTNKX Non-NTF Asset Allocation 0.3 None 1 EquityMarathon Funds UNIFIED SERIES TRUST MARATHON VALUE PORT MVPFX Non-NTF Growth 1.25 None 1 BondMariner Funds MARINER 130/30 FUND INSTITIONAL CL SHS MARNX Non-NTF Growth -999 None 1 BondMarshall Funds MARSHALL AGGREGATE BOND FUND CL I MRAIX Non-NTF Government Bond - General 0.55 None 1 BondMarshall Funds MARSHALL CORE PLUS BOND FUND CL I MCBIX Non-NTF Corporate Bond - General 0.55 None 1 EquityMarshall Funds MARSHALL CORPORATE INCOME FUND CL I MCIIX Non-NTF Corporate Bond - General -999 None 1 BondMarshall Funds MARSHALL EMERGING MARKETS EQ CL I MIEMX Non-NTF Diversified Emerging Markets 1.25 None 1 EquityMarshall Funds MARSHALL GOVERNMENT INCOME FUND CL I MGIIX Non-NTF Government Bond - Mortgage 0.55 None 1 EquityMarshall Funds MARSHALL INTL STOCK FUND CLASS I MRIIX Non-NTF Foreign Stock 1.44 None 3 EquityMarshall Funds MARSHALL LARGE CAP GROWTH FUND CL I MLCIX Non-NTF Growth 1.14 None 1 BondMarshall Funds MARSHALL LARGE CAP VALUE FUND CL A MAEIX Non-NTF Growth and Income 1.33 5.75 1 EquityMarshall Funds MARSHALL LARGE CAP VALUE FUND CL I MLVIX Non-NTF Growth and Income 1.08 None 1 EquityMarshall Funds MARSHALL MID CAP GROWTH FD A MMSAX Non-NTF Growth 1.35 5.75 1 EquityMarshall Funds MARSHALL MID CAP GROWTH FUND CL I MRMIX Non-NTF Growth 1.35 None 1 EquityMarshall Funds MARSHALL MID CAP VALUE FUND CL I MRVIX Non-NTF Growth 1.1 None 1 BondMarshall Funds MARSHALL MID CAP VALUE-CL A MVEAX Non-NTF Growth 1.37 5.75 1 BondMarshall Funds MARSHALL SHORT INTERMEDIATE BD FD I MIBIX Non-NTF Corporate Bond - High Quality 0.55 None 1 EquityMarshall Funds MARSHALL SHORT TERM INCOME BOND FD CL I MSIFX Non-NTF Corporate Bond - High Quality 0.35 None 1 BondMarshall Funds MARSHALL SMALL CAP GROWTH FUND CL A MASCX Non-NTF Small Company 1.6 5.75 1 EquityMarshall Funds MARSHALL SMALL CAP GROWTH FUND CL I MSGIX Non-NTF Small Company 1.35 None 1 EquityMassMutual Funds MASSMUTUAL EN INDEX GROWTH CL A MPGAX Non-NTF Growth 1.03 5.75 1 EquityMassMutual Funds MASSMUTUAL PREM ENH INDEX VAL CL A MEPAX Non-NTF Growth 1.11 5.75 1 EquityMassMutual Funds MASSMUTUAL PREM FOC INTL CL A MOUAX Non-NTF Growth 1.56 5.75 1 EquityMassMutual Funds MASSMUTUAL PREM INDEX CORE CL A MPEAX Non-NTF Growth 1.09 5.75 1 EquityMassMutual Funds MASSMUTUAL PREMIER BALANCED CLASS A MMBDX Non-NTF Balanced 1.18 5.75 1 Bond

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Security Class

MassMutual Funds MASSMUTUAL PREMIER CAP APPREC CLASS A MACAX Non-NTF Growth 1.09 5.75 1 EquityMassMutual Funds MASSMUTUAL PREMIER CORE BOND CLASS A MMCBX Non-NTF Corporate Bond - General 0.97 4.75 1 BondMassMutual Funds MASSMUTUAL PREMIER DISCOVERY VAL CL A MUPAX Non-NTF Growth 1.4 5.75 1 EquityMassMutual Funds MASSMUTUAL PREMIER DIVERSIFIED BOND A MDVAX Non-NTF Multisector Bond 1.01 4.75 1 BondMassMutual Funds MASSMUTUAL PREMIER GLOBAL FUND CLASS A MGFAX Non-NTF Growth 1.43 5.75 1 BondMassMutual Funds MASSMUTUAL PREMIER HIGH YIELD CLASS A MPHAX Non-NTF Corporate Bond - High Yield 1.15 5.75 1 BondMassMutual Funds MASSMUTUAL PREMIER INFLATION PROT BD A MPSAX Non-NTF Multisector Bond 0.99 4.75 1 EquityMassMutual Funds MASSMUTUAL PREMIER INTERNAT'L EQUITY A MMIAX Non-NTF Foreign Stock 1.52 5.75 1 EquityMassMutual Funds MASSMUTUAL PREMIER MAIN STREET CLASS A MSSAX Non-NTF Growth 1.16 5.75 1 BondMassMutual Funds MASSMUTUAL PREMIER MONEY MARKET CLASS A MKAXX Non-NTF None 1 EquityMassMutual Funds MASSMUTUAL PREMIER SHORT DURATION CL A MSHAX Non-NTF Corporate Bond - General 0.94 3.50 1 EquityMassMutual Funds MASSMUTUAL PREMIER SMALL COMP OPPTY A DLBMX Non-NTF Small Company 1.14 5.75 1 EquityMassMutual Funds MASSMUTUAL PREMIER VALUE CLASS A MCEAX Non-NTF Growth 1.12 5.75 1 EquityMassMutual Funds MASSMUTUAL SEL CORE OPP CL A MMTAX Non-NTF Growth 1.35 5.75 1 EquityMassMutual Funds MASSMUTUAL SEL SM CAP VALUE EQ CL A MMQAX Non-NTF Small Company 1.37 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT AGGRESSIVE GROWTH A MMAAX Non-NTF Aggressive Growth 1.36 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT BLUE CHIP GROWTH A MBCGX Non-NTF Growth 1.19 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT DEST RETRMENT 2010 A MRXAX Non-NTF Growth and Income 0.52 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT DEST RETRMENT 2020 A MRTAX Non-NTF Growth and Income 0.5 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT DEST RETRMENT 2030 A MRYAX Non-NTF Growth and Income 0.5 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT DEST RETRMENT 2040 A MRFAX Non-NTF Growth and Income 0.51 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT DEST RETRMENT INC A MRDAX Non-NTF Growth and Income 0.49 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT DESTIN RET 2050 CL A MMARX Non-NTF Growth and Income 0.5 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT DIV INTL CL A MMZAX Non-NTF World Stock 1.42 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT DIVERSIFIED VALUE A MDDAX Non-NTF Growth and Income 1.09 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT EMERGING GROWTH A MMEGX Non-NTF Aggressive Growth 1.47 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT FOCUSED VALUE A MFVAX Non-NTF Growth 1.31 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT FUNDAMENTAL VALUE A MFUAX Non-NTF Growth and Income 1.24 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT INDEXED EQUITY A MIEAX Non-NTF Growth and Income 0.66 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT LARGE CAP GROWTH A MLGAX Non-NTF Growth 1.4 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT LARGE CAP VALUE A MMLAX Non-NTF Growth and Income 1.26 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT MID CAP GRW EQ 11 A MEFAX Non-NTF Growth 1.35 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT MID CAP GRWTH EQTY A MMMAX Non-NTF Growth 1.35 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT MID CAP VALUE CL A MLUAX Non-NTF Growth 1.3 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT OTC CLASS A MOTAX Non-NTF Growth 1.17 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT OVERSEAS CLASS A MOSAX Non-NTF Foreign Stock 1.5 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT SMALL CAP GWTH EQ A MMGEX Non-NTF Small Company 1.52 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT SMALL COMP GROWTH A MRWAX Non-NTF Small Company 1.56 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT SMALL COMP VALUE A MMYAX Non-NTF Small Company 1.49 5.75 1 BondMassMutual Funds MASSMUTUAL SELECT STRATEGIC BALANCED A MTSAX Non-NTF Balanced 1.28 5.75 1 EquityMassMutual Funds MASSMUTUAL SELECT STRATEGIC BOND CL A MSBAX Non-NTF Multisector Bond 1.07 4.75 1 EquityMassMutual Funds MASSMUTUAL SELECT VALUE EQUITY CLASS A MMVAX Non-NTF Growth 1.34 5.75 1 EquityMasters' Select Funds MASTERS SELECT EQUITY MSEFX Non-NTF Growth 1.24 None 1 EquityMasters' Select Funds MASTERS SELECT INTERNATIONAL MSILX Non-NTF Foreign Stock 1.07 None 1 EquityMasters' Select Funds MASTERS SELECT SMALLER CO FUND MSSFX Non-NTF Growth 1.39 None 1 EquityMasters' Select Funds MASTERS SELECT VALUE MSVFX Non-NTF Growth 1.27 None 1 EquityMasters' Select Funds THE MASTER SELECT FOCUSED OPPT FD MSFOX Non-NTF Growth 1.28 None 1 EquityMeridian Funds MERIDIAN EQUITY INCOME FD MEIFX Non-NTF Growth and Income 1.25 None 0 EquityMeridian Funds MERIDIAN GROWTH FUND MERDX Non-NTF Growth 0.86 None 0 EquityMeridian Funds MERIDIAN VALUE FUND MVALX Non-NTF Growth 1.12 None 0 EquityMerk Funds MERK ABSOLUTE RETURN CURRENCY FUND INSTL MAAIX Non-NTF None 1 EquityMerk Funds MERK ASIA CURRENCY FUND INSTL MASIX Non-NTF None 1 BondMerk Funds MERK HARD CURRENCY FUND INSTITUTIONAL MHCIX Non-NTF None 1 BondMetropolitan West Funds METRO WEST ULTRA SHO RT BOND FD CL I MWUIX Non-NTF Worldwide Bond 0.34 None 1 BondMetropolitan West Funds METROPOLITAN WEST ALPHA TRAK 500 CL M MWATX Non-NTF Growth 0.22 None 1 BondMetropolitan West Funds METROPOLITAN WEST HIGH YIELD BOND CL I MWHIX Non-NTF Corporate Bond - High Yield 0.55 None 1 BondMetropolitan West Funds METROPOLITAN WEST INTRMDT BOND FD CL I MWIIX Non-NTF Worldwide Bond 0.44 None 1 BondMetropolitan West Funds METROPOLITAN WEST LOW DURATION CLASS I MWLIX Non-NTF Corporate Bond - General 0.4 None 1 BondMetropolitan West Funds METROPOLITAN WEST STRATEGIC INCOM CL I MWSIX Non-NTF Corporate Bond - General 0.51 None 1 Equity

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Security Class

Metropolitan West Funds METROPOLITAN WEST TOTAL RETURN CLASS I MWTIX Non-NTF Corporate Bond - General 0.44 None 1 EquityMFS Funds MASSACHUSETTS INV GROWTH STOCK CL R MIGKX Non-NTF Growth 0.64 None 3 EquityMFS Funds MASSACHUSETTS INVS TRUST CLASS A MITTX Non-NTF Growth and Income 0.89 5.75 3 EquityMFS Funds MASSACHUSETTS INVS TRUST CLASS B MITBX Non-NTF Growth and Income 1.54 4.00 3 EquityMFS Funds MASSACHUSETTS INVS TRUST CLASS C MITCX Non-NTF Growth and Income 1.54 1.00 3 EquityMFS Funds MASSACHUSETTS INVST GROWTH STOCK FUND R3 MIGHX Non-NTF Growth 0.89 None 3 EquityMFS Funds MASSACUSETTS INVESTORS TRUST R3 MITHX Non-NTF Growth and Income 0.79 None 3 EquityMFS Funds MFS AGGRESSIVE GROWTH ALLOC CL C MCAGX Non-NTF Aggressive Growth 1.06 1.00 3 EquityMFS Funds MFS AGGRESSIVE GROWTH ALLOCATION B MBAGX Non-NTF Aggressive Growth 1.06 4.00 3 EquityMFS Funds MFS AGGRESSIVE GRWTH ALLOCATION CL R4 MAALX Non-NTF Aggressive Growth 0.06 None 3 BondMFS Funds MFS AGGRESSIVE GWTH ALLOCATION CLASS A MAAGX Non-NTF Aggressive Growth 0.39 5.75 3 BondMFS Funds MFS ALABAMA MUNICIPAL BOND CL A MFALX Non-NTF Municipal Bond - Single State 0.8 4.75 3 EquityMFS Funds MFS ARKANSAS MUNICIPAL BOND CL A MFARX Non-NTF Municipal Bond - Single State 0.6 4.75 3 EquityMFS Funds MFS BLENDED RESEARCH CORE EQUITY CL A MUEAX Non-NTF Growth 0.88 5.75 3 EquityMFS Funds MFS BLENDED RESEARCH CORE EQUITY CL I MUSEX Non-NTF Growth 0.6 None 3 EquityMFS Funds MFS BLENDED RESEARCH CORE EQUITY FD CL B MUSBX Non-NTF Growth 1.6 4.00 3 BondMFS Funds MFS BLENDED RESEARCH CORE EQUITY FD CL C MUECX Non-NTF Growth 1.6 1.00 3 BondMFS Funds MFS BOND CLASS A MFBFX Non-NTF Corporate Bond - General 0.89 4.75 3 BondMFS Funds MFS BOND CLASS B MFBBX Non-NTF Corporate Bond - General 1.59 4.00 3 BondMFS Funds MFS BOND CLASS C MFBCX Non-NTF Corporate Bond - General 1.59 1.00 3 BondMFS Funds MFS BOND FD CL R2 MBRRX Non-NTF Corporate Bond - General 1.1 None 3 BondMFS Funds MFS CALIFORNIA BOND CLASS C MCCAX Non-NTF Municipal Bond - Single State 1.46 1.00 3 EquityMFS Funds MFS CASH RESERVE CLASS B MCRXX Non-NTF 4.00 3 EquityMFS Funds MFS CONSERVATIVE ALLOCATION CL C MACVX Non-NTF Balanced 1.06 1.00 3 EquityMFS Funds MFS CONSERVATIVE ALLOCATION CL R2 MCARX Non-NTF Balanced 0.56 None 3 EquityMFS Funds MFS CONSERVATIVE ALLOCATION CLASS A MACFX Non-NTF Balanced 0.38 5.75 3 EquityMFS Funds MFS CONSERVATIVE ALLOCATION CLASS B MACBX Non-NTF Balanced 1.06 4.00 3 EquityMFS Funds MFS CONSERVATIVE ALLOCATION FD CL R4 MACJX Non-NTF Balanced 0.06 None 3 EquityMFS Funds MFS CORE EQUITY FUND CL A MRGAX Non-NTF Growth 1.21 5.75 3 EquityMFS Funds MFS CORE EQUITY FUND CL B MRGBX Non-NTF Growth 1.9 4.00 3 EquityMFS Funds MFS CORE EQUITY FUND CL C MRGCX Non-NTF Growth 1.91 1.00 3 EquityMFS Funds MFS CORE EQUITY FUND CLASS I MRGRX Non-NTF Growth 0.91 None 3 EquityMFS Funds MFS CORE EQUITY FUND CLASS R2 MRERX Non-NTF Growth 1.41 None 3 EquityMFS Funds MFS CORE GROWTH CLASS A MFCAX Non-NTF Growth 1.25 5.75 3 EquityMFS Funds MFS CORE GROWTH CLASS B MFCBX Non-NTF Growth 1.94 4.00 3 EquityMFS Funds MFS CORE GROWTH CLASS C MFCCX Non-NTF Growth 1.94 1.00 3 EquityMFS Funds MFS CORE GROWTH FD CL R2 MCRRX Non-NTF Growth 1.44 None 3 EquityMFS Funds MFS CORE GROWTH FD CL W MFCWX Non-NTF Growth 1.03 None 3 EquityMFS Funds MFS CORE GROWTH FUND CL R3 MFCHX Non-NTF Growth 1.2 None 3 BondMFS Funds MFS CORE GROWTH FUND CL R4 MFCJX Non-NTF Growth 0.96 None 3 BondMFS Funds MFS CORE GROWTH FUND CLASS I MFCIX Non-NTF Growth 0.95 None 3 BondMFS Funds MFS DIVERSIFIED INCOME FD CL A DIFAX Non-NTF Income 0.95 4.75 3 BondMFS Funds MFS DIVERSIFIED INCOME FD CL C DIFCX Non-NTF Income 1.65 1.00 3 BondMFS Funds MFS DIVERSIFIED INCOME FUND R1 DIFDX Non-NTF Income 1.65 None 3 BondMFS Funds MFS DIVERSIFIED INCOME FUND R2 DIFEX Non-NTF Income 1.15 None 3 BondMFS Funds MFS DIVERSIFIED INCOME FUND R3 DIFFX Non-NTF Income 0.9 None 3 EquityMFS Funds MFS DIVERSIFIED INCOME FUND R4 DIFGX Non-NTF Income 0.65 None 3 EquityMFS Funds MFS DIVERSIFIED TARGET RETURN CL A DVRAX Non-NTF Income 1.4 5.75 3 EquityMFS Funds MFS DIVERSIFIED TARGET RETURN CL B DVRBX Non-NTF Income 2.12 4.00 3 EquityMFS Funds MFS DIVERSIFIED TARGET RETURN CL C DVRCX Non-NTF Income 2.12 1.00 3 EquityMFS Funds MFS DIVERSIFIED TARGET RETURN CL I DVRIX Non-NTF Income 1.15 None 3 EquityMFS Funds MFS DIVERSIFIED TARGET RETURN CL R1 DVRFX Non-NTF Income 2.12 None 3 EquityMFS Funds MFS DIVERSIFIED TARGET RETURN CL W DVRWX Non-NTF Income 1.2 None 3 EquityMFS Funds MFS DIVERSIFIED TARGET RETURN R2 DVRHX Non-NTF Income 1.62 None 3 EquityMFS Funds MFS DIVERSIFIED TARGET RETURN R3 DVRJX Non-NTF Income 1.37 None 3 EquityMFS Funds MFS DIVERSIFIED TARGET RETURN R4 DVRKX Non-NTF Income 1.12 None 3 BondMFS Funds MFS EMERGING GROWTH FD CL I MFEIX Non-NTF Aggressive Growth 0.99 None 3 EquityMFS Funds MFS EMERGING MARKETS DEBT CL A MEDAX Non-NTF Diversified Emerging Markets 1.34 4.75 3 EquityMFS Funds MFS EMERGING MARKETS DEBT FUND CL I MEDIX Non-NTF Diversified Emerging Markets 1.06 None 3 Equity

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Security Class

MFS Funds MFS EMERGING MARKETS EQUITY CL A MEMAX Non-NTF Diversified Emerging Markets 1.98 5.75 3 BondMFS Funds MFS EMERGING MARKETS EQUITY CLASS I MEMIX Non-NTF Diversified Emerging Markets 1.66 None 3 BondMFS Funds MFS EMERGING MKT DEBT CL B MEDBX Non-NTF Diversified Emerging Markets 2.1 4.00 3 BondMFS Funds MFS EMERGING MKTS DEBT CLASS C MEDCX Non-NTF Diversified Emerging Markets 2.09 1.00 3 EquityMFS Funds MFS EMERGING MRKTS DEBT FD CL W MEDWX Non-NTF Diversified Emerging Markets 1.17 None 3 EquityMFS Funds MFS EMERGING MRKTS EQUITY CLASS B MEMBX Non-NTF Diversified Emerging Markets 2.63 4.00 3 BondMFS Funds MFS EMERGING MRKTS EQUITY CLASS C MEMCX Non-NTF Diversified Emerging Markets 2.64 1.00 3 BondMFS Funds MFS FIXED INCOME MUNI LTD MAT CLASS C MTLCX Non-NTF Municipal Bond - National 1.48 1.00 3 BondMFS Funds MFS FLORIDA MUNICIPAL BOND CL A MFFLX Non-NTF Municipal Bond - Single State 0.63 4.75 3 EquityMFS Funds MFS GEORGIA MUNI BOND CL A MMGAX Non-NTF Municipal Bond - Single State 0.87 4.75 3 EquityMFS Funds MFS GLOBAL EQUITY CLASS A MWEFX Non-NTF World Stock 1.53 5.75 3 EquityMFS Funds MFS GLOBAL EQUITY CLASS B MWEBX Non-NTF World Stock 2.29 4.00 3 EquityMFS Funds MFS GLOBAL EQUITY CLASS C MWECX Non-NTF World Stock 2.28 1.00 3 EquityMFS Funds MFS GLOBAL EQUITY FD CL R2 MEQRX Non-NTF World Stock 1.78 None 3 EquityMFS Funds MFS GLOBAL EQUITY FD CL R4 MWELX Non-NTF World Stock 1.28 None 3 EquityMFS Funds MFS GLOBAL EQUITY FD CLASS I MWEIX Non-NTF World Stock 1.29 None 3 EquityMFS Funds MFS GLOBAL EQUITY FUND CL R3 MWEHX Non-NTF World Stock 1.52 None 3 EquityMFS Funds MFS GLOBAL GROWTH CLASS A MWOFX Non-NTF World Stock 1.67 5.75 3 EquityMFS Funds MFS GLOBAL GROWTH CLASS B MWOBX Non-NTF World Stock 2.43 4.00 3 EquityMFS Funds MFS GLOBAL GROWTH CLASS C MWOCX Non-NTF World Stock 2.41 1.00 3 EquityMFS Funds MFS GLOBAL TOTAL RETURN CLASS A MFWTX Non-NTF Multi-Asset Global 1.27 5.75 3 EquityMFS Funds MFS GLOBAL TOTAL RETURN CLASS B MFWBX Non-NTF Multi-Asset Global 1.98 4.00 3 EquityMFS Funds MFS GLOBAL TOTAL RETURN CLASS C MFWCX Non-NTF Multi-Asset Global 1.99 1.00 3 BondMFS Funds MFS GLOBAL TOTAL RETURN FD CL R4 MFWJX Non-NTF Multi-Asset Global 0.99 None 3 BondMFS Funds MFS GOVERNMENT SECS CLASS A MFGSX Non-NTF Government Bond - General 0.8 4.75 3 BondMFS Funds MFS GOVERNMENT SECS CLASS B MFGBX Non-NTF Government Bond - General 1.55 4.00 3 BondMFS Funds MFS GOVERNMENT SECS CLASS C MFGDX Non-NTF Government Bond - General 1.55 1.00 3 EquityMFS Funds MFS GOVERNMENT SECURITIES FUND R4 MFGJX Non-NTF Government Bond - General 0.55 None 3 EquityMFS Funds MFS GROWTH ALLOCATION CL B MBGWX Non-NTF Growth 1.04 4.00 3 EquityMFS Funds MFS GROWTH ALLOCATION CL C MCGWX Non-NTF Growth 1.04 1.00 3 EquityMFS Funds MFS GROWTH ALLOCATION CL R2 MGALX Non-NTF Growth 0.54 None 3 EquityMFS Funds MFS GROWTH ALLOCATION CLASS A MAGWX Non-NTF Growth 0.37 5.75 3 EquityMFS Funds MFS GROWTH ALLOCATION FUND CL R MAGJX Non-NTF Growth 0.04 None 3 EquityMFS Funds MFS GROWTH CLASS R4 MFEJX Non-NTF Aggressive Growth 0.92 None 3 EquityMFS Funds MFS GROWTH FUND CLASS R2 MEGRX Non-NTF Aggressive Growth 1.49 None 3 EquityMFS Funds MFS GROWTH PORT CLASS A MFEGX Non-NTF Aggressive Growth 1.24 5.75 3 EquityMFS Funds MFS GROWTH PORT CLASS B MEGBX Non-NTF Aggressive Growth 2 4.00 3 BondMFS Funds MFS GROWTH PORT CLASS C MFECX Non-NTF Aggressive Growth 1.99 1.00 3 BondMFS Funds MFS HIGH INCOME CLASS A MHITX Non-NTF Corporate Bond - High Yield 1.05 4.75 3 BondMFS Funds MFS HIGH INCOME CLASS B MHIBX Non-NTF Corporate Bond - High Yield 1.75 4.00 3 BondMFS Funds MFS HIGH INCOME CLASS C MHICX Non-NTF Corporate Bond - High Yield 1.75 1.00 3 BondMFS Funds MFS HIGH INCOME INSTITUTIONAL MHIIX Non-NTF Corporate Bond - High Yield 0.76 None 3 BondMFS Funds MFS HIGH YIELD OPPORTUNITIES CL A MHOAX Non-NTF Corporate Bond - High Yield 0.85 4.75 3 BondMFS Funds MFS HIGH YIELD OPPORTUNITIES CL B MHOBX Non-NTF Corporate Bond - High Yield 1.5 4.00 3 BondMFS Funds MFS HIGH YIELD OPPORTUNITIES CL C MHOCX Non-NTF Corporate Bond - High Yield 1.5 1.00 3 BondMFS Funds MFS HIGH YIELD OPPORTUNITIES CL I MHOIX Non-NTF Corporate Bond - High Yield 0.5 None 3 BondMFS Funds MFS HIGH YIELD OPPORTUNITIES FD R1 MHORX Non-NTF Corporate Bond - High Yield 1.5 None 3 BondMFS Funds MFS HIGH YIELD OPPORTUNITIES FD R3 MHOTX Non-NTF Corporate Bond - High Yield 0.74 None 3 BondMFS Funds MFS HIGH YIELD OPPORTUNITIES FD R4 MHOUX Non-NTF Corporate Bond - High Yield 0.5 None 3 BondMFS Funds MFS INFLATION ADJUSTED BOND CL A MIAAX Non-NTF Worldwide Bond 0.65 4.75 3 BondMFS Funds MFS INFLATION ADJUSTED BOND CL B MIABX Non-NTF Worldwide Bond 1.43 4.00 3 BondMFS Funds MFS INFLATION ADJUSTED BOND CL C MIACX Non-NTF Worldwide Bond 1.5 1.00 3 EquityMFS Funds MFS INFLATION-ADJUST BOND FUND CL R2 MIATX Non-NTF Worldwide Bond 1 None 3 EquityMFS Funds MFS INSTITUTIONAL INTL EQUITY CLASS I MIEIX Non-NTF Foreign Stock 0.75 None 0 EquityMFS Funds MFS INSTITUTIONAL LARGE CAP VALUE CL I ILVAX Non-NTF Growth and Income 0.55 None 0 EquityMFS Funds MFS INTERNATIONAL DIVERSIFICATION CL B MDIFX Non-NTF World Stock 1.04 4.00 3 EquityMFS Funds MFS INTERNATIONAL DIVERSIFICATION CL C MDIGX Non-NTF World Stock 1.04 1.00 3 EquityMFS Funds MFS INTERNATIONAL DIVERSIFICATION CL I MDIJX Non-NTF World Stock 0.04 None 3 EquityMFS Funds MFS INTERNATIONAL DIVERSIFICATION FD A MDIDX Non-NTF World Stock 0.37 5.75 3 Equity

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Settlement Days

Security Class

MFS Funds MFS INTERNATIONAL DIVERSIFICATION R4 MDITX Non-NTF World Stock 0.04 None 3 EquityMFS Funds MFS INTERNATIONAL GROWTH CLASS A MGRAX Non-NTF Foreign Stock 1.54 5.75 3 EquityMFS Funds MFS INTERNATIONAL GROWTH CLASS B MGRBX Non-NTF Foreign Stock 2.2 4.00 3 EquityMFS Funds MFS INTERNATIONAL GROWTH CLASS C MGRCX Non-NTF Foreign Stock 2.21 1.00 3 EquityMFS Funds MFS INTERNATIONAL GROWTH FD CL I MQGIX Non-NTF Foreign Stock 1.21 None 3 EquityMFS Funds MFS INTERNATIONAL GROWTH FD CL W MGRWX Non-NTF Foreign Stock 1.35 None 3 EquityMFS Funds MFS INTERNATIONAL GROWTH FUND CL R2 MGRQX Non-NTF Foreign Stock 1.79 None 3 EquityMFS Funds MFS INTERNATIONAL GROWTH FUND CL R3 MGRTX Non-NTF Foreign Stock 1.53 None 3 EquityMFS Funds MFS INTERNATIONAL NEW DISCOV FD CL R2 MIDRX Non-NTF Foreign Stock 1.75 None 3 EquityMFS Funds MFS INTERNATIONAL NEW DISCOVERY CL A MIDAX Non-NTF Foreign Stock 1.52 5.75 3 EquityMFS Funds MFS INTERNATIONAL NEW DISCOVERY CL B MIDBX Non-NTF Foreign Stock 2.26 4.00 3 EquityMFS Funds MFS INTERNATIONAL NEW DISCOVERY CL C MIDCX Non-NTF Foreign Stock 2.26 1.00 3 EquityMFS Funds MFS INTERNATIONAL NEW DISCOVERY CL I MWNIX Non-NTF Foreign Stock 1.26 None 3 EquityMFS Funds MFS INTERNATIONAL NEW DISCOVERY CL R4 MIDJX Non-NTF Foreign Stock 1.24 None 3 EquityMFS Funds MFS INTERNATIONAL VALUE FD CL I MINIX Non-NTF Foreign Stock 1.16 None 3 EquityMFS Funds MFS INTERNATIONAL VALUE FD CL W MINWX Non-NTF Foreign Stock 1.29 None 3 EquityMFS Funds MFS INTERNATIONAL VALUE FUND CL A MGIAX Non-NTF Foreign Stock 1.48 5.75 3 EquityMFS Funds MFS INTERNATIONAL VALUE FUND CL B MGIBX Non-NTF Foreign Stock 2.16 4.00 3 EquityMFS Funds MFS INTERNATIONAL VALUE FUND CL C MGICX Non-NTF Foreign Stock 2.16 1.00 3 EquityMFS Funds MFS INTERNATIONAL VALUE FUND CL R2 MINFX Non-NTF Foreign Stock 1.71 None 3 EquityMFS Funds MFS INTERNATIONAL VALUE FUND CL R4 MINHX Non-NTF Foreign Stock 1.21 None 3 EquityMFS Funds MFS INTERNATIONAL VALUE FUND R3 MINGX Non-NTF Foreign Stock 1.45 None 3 EquityMFS Funds MFS INTERTNATIONAL GROWTH FUND CL R4 MGRVX Non-NTF Foreign Stock 1.29 None 3 EquityMFS Funds MFS INTL DIVERSIFIC FUNDS CLASS R2 MDIKX Non-NTF World Stock 0.54 None 3 EquityMFS Funds MFS LIFETIME 2010 FD CL B MFSBX Non-NTF Asset Allocation 1.1 4.00 3 EquityMFS Funds MFS LIFETIME 2010 FD CL C MFSDX Non-NTF Asset Allocation 1.1 1.00 3 EquityMFS Funds MFS LIFETIME 2010 FD CLASS A MFSAX Non-NTF Asset Allocation 0.43 5.75 3 EquityMFS Funds MFS LIFETIME 2020 FD CL C MFLCX Non-NTF Asset Allocation 1.1 1.00 3 EquityMFS Funds MFS LIFETIME 2020 FD CLASS A MFLAX Non-NTF Asset Allocation 0.43 5.75 3 EquityMFS Funds MFS LIFETIME 2020 FD CLASS B MFLBX Non-NTF Asset Allocation 1.1 4.00 3 EquityMFS Funds MFS LIFETIME 2020 FD R1 MFLEX Non-NTF Asset Allocation 1.1 None 3 EquityMFS Funds MFS LIFETIME 2030 FD B MLTBX Non-NTF Asset Allocation 1.1 4.00 3 EquityMFS Funds MFS LIFETIME 2030 FD C MLTCX Non-NTF Asset Allocation 1.1 1.00 3 EquityMFS Funds MFS LIFETIME 2030 FD CLASS A MLTAX Non-NTF Asset Allocation 0.44 5.75 3 EquityMFS Funds MFS LIFETIME 2040 FD C MLFCX Non-NTF Asset Allocation 1.1 1.00 3 EquityMFS Funds MFS LIFETIME 2040 FD CLASS A MLFAX Non-NTF Asset Allocation 0.43 5.75 3 EquityMFS Funds MFS LIFETIME 2040 FD CLASS B MLFBX Non-NTF Asset Allocation 1.1 4.00 3 EquityMFS Funds MFS LIFETIME RETIRE INC FD B MLLBX Non-NTF Asset Allocation 1.1 4.00 3 EquityMFS Funds MFS LIFETIME RETIRE INC FD C MLLCX Non-NTF Asset Allocation 1.1 1.00 3 BondMFS Funds MFS LIFETIME RETIREMENT INC FD A MLLAX Non-NTF Asset Allocation 0.43 5.75 3 BondMFS Funds MFS LIMITED MATURITY CLASS A MQLFX Non-NTF Corporate Bond - General 0.69 2.50 3 BondMFS Funds MFS LIMITED MATURITY CLASS C MQLCX Non-NTF Corporate Bond - General 1.54 1.00 3 EquityMFS Funds MFS LIMITED MATURITY FUND CL R MQLJX Non-NTF Corporate Bond - General 0.54 None 3 EquityMFS Funds MFS MA INVESTORS GROWTH STOCK INSTL MGTIX Non-NTF Growth 0.63 None 3 BondMFS Funds MFS MA INVESTORS TRUST INSTITUTIONAL MITIX Non-NTF Growth and Income 0.54 None 3 EquityMFS Funds MFS MARYLAND MUNI BOND CLASS A MFSMX Non-NTF Municipal Bond - Single State 0.89 4.75 3 EquityMFS Funds MFS MASS INV GROWTH STOCK FUND CL R2 MIRGX Non-NTF Growth 1.14 None 3 EquityMFS Funds MFS MASS INVESTOR GROWTH STOCK A MIGFX Non-NTF Growth 0.99 5.75 3 EquityMFS Funds MFS MASS INVESTOR GROWTH STOCK B MIGBX Non-NTF Growth 1.65 4.00 3 EquityMFS Funds MFS MASS INVESTOR GROWTH STOCK C MIGDX Non-NTF Growth 1.64 1.00 3 EquityMFS Funds MFS MASSACHUSETTS INV TRUST FD CL R2 MIRTX Non-NTF Growth and Income 1.05 None 3 EquityMFS Funds MFS MID CAP GROWTH CLASS A OTCAX Non-NTF Growth 1.42 5.75 3 EquityMFS Funds MFS MID CAP GROWTH CLASS B OTCBX Non-NTF Growth 2.18 4.00 3 EquityMFS Funds MFS MID CAP GROWTH CLASS C OTCCX Non-NTF Growth 2.17 1.00 3 EquityMFS Funds MFS MID CAP VALUE CLASS A MVCAX Non-NTF Growth 1.29 5.75 3 EquityMFS Funds MFS MID CAP VALUE CLASS B MCBVX Non-NTF Growth 2.11 4.00 3 EquityMFS Funds MFS MID CAP VALUE CLASS C MVCCX Non-NTF Growth 2 1.00 3 BondMFS Funds MFS MID CAP VALUE FD CL R3 MVCHX Non-NTF Growth 1.25 None 3 EquityMFS Funds MFS MISSISSIPPI MUNICIPAL BOND CL A MISSX Non-NTF Municipal Bond - Single State 0.54 4.75 3 Equity

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Sales Charge

Settlement Days

Security Class

MFS Funds MFS MODERATE ALLOCATION CL B MMABX Non-NTF Growth and Income 1.04 4.00 3 EquityMFS Funds MFS MODERATE ALLOCATION CL C MMACX Non-NTF Growth and Income 1.04 1.00 3 EquityMFS Funds MFS MODERATE ALLOCATION CLASS A MAMAX Non-NTF Growth and Income 0.37 5.75 3 EquityMFS Funds MFS MODERATE ALLOCATION FD CL R2 MARRX Non-NTF Growth and Income 0.54 None 1 EquityMFS Funds MFS MODERATE ALLOCATION FUND R3 MAMHX Non-NTF Growth and Income 0.29 None 3 BondMFS Funds MFS MODERATE ALLOCATION FUND R4 MAMJX Non-NTF Growth and Income 0.04 None 3 BondMFS Funds MFS MUNICIPAL ALABAMA BOND CLASS B MBABX Non-NTF Municipal Bond - Single State 1.55 4.00 3 BondMFS Funds MFS MUNICIPAL ARKANSAS BOND CL B MBARX Non-NTF Municipal Bond - Single State 1.35 4.00 3 BondMFS Funds MFS MUNICIPAL CALIFORNIA BOND CL A MCFTX Non-NTF Municipal Bond - Single State 0.56 4.75 3 BondMFS Funds MFS MUNICIPAL CALIFORNIA BOND CL B MBCAX Non-NTF Municipal Bond - Single State 1.32 4.00 3 BondMFS Funds MFS MUNICIPAL FLORIDA BOND CLASS B MBFLX Non-NTF Municipal Bond - Single State 1.39 4.00 3 BondMFS Funds MFS MUNICIPAL GEORGIA BOND CLASS B MBGAX Non-NTF Municipal Bond - Single State 1.61 4.00 3 BondMFS Funds MFS MUNICIPAL HIGH INCOME CLASS A MMHYX Non-NTF Municipal Bond - National 0.64 4.75 3 BondMFS Funds MFS MUNICIPAL HIGH INCOME CLASS B MMHBX Non-NTF Municipal Bond - National 1.41 4.00 3 BondMFS Funds MFS MUNICIPAL HIGH INCOME CLASS C MMHCX Non-NTF Municipal Bond - National 1.7 1.00 3 BondMFS Funds MFS MUNICIPAL INCOME CL A1 MMIDX Non-NTF Municipal Bond - National 0.42 4.75 3 BondMFS Funds MFS MUNICIPAL INCOME CL B1 MMIGX Non-NTF Municipal Bond - National 1.17 4.00 3 BondMFS Funds MFS MUNICIPAL INCOME CLASS A MFIAX Non-NTF Municipal Bond - National 0.67 4.75 3 BondMFS Funds MFS MUNICIPAL INCOME CLASS B MMIBX Non-NTF Municipal Bond - National 1.42 4.00 3 BondMFS Funds MFS MUNICIPAL INCOME CLASS C MMICX Non-NTF Municipal Bond - National 1.41 1.00 3 BondMFS Funds MFS MUNICIPAL LTD MATURITY CLASS A MTLFX Non-NTF Municipal Bond - National 0.63 2.50 3 BondMFS Funds MFS MUNICIPAL MARYLAND BOND CL B MBMDX Non-NTF Municipal Bond - Single State 1.55 4.00 3 BondMFS Funds MFS MUNICIPAL MASSACHUSETTS CL A MFSSX Non-NTF Municipal Bond - Single State 0.83 4.75 3 BondMFS Funds MFS MUNICIPAL MASSACHUSETTS CL B MBMAX Non-NTF Municipal Bond - Single State 1.48 4.00 3 BondMFS Funds MFS MUNICIPAL MISSISSIPPI BD CL B MBMSX Non-NTF Municipal Bond - Single State 1.31 4.00 3 BondMFS Funds MFS MUNICIPAL N CAROLINA BD CL B MBNCX Non-NTF Municipal Bond - Single State 1.46 4.00 3 BondMFS Funds MFS MUNICIPAL N CAROLINA BOND CL C MCNCX Non-NTF Municipal Bond - Single State 1.47 1.00 3 BondMFS Funds MFS MUNICIPAL NEW YORK BOND CL B MBNYX Non-NTF Municipal Bond - Single State 1.52 4.00 3 BondMFS Funds MFS MUNICIPAL PENNSYLVANIA BD CL A MFPAX Non-NTF Municipal Bond - Single State 0.61 4.75 3 BondMFS Funds MFS MUNICIPAL PENNSYLVANIA BD CL B MBPAX Non-NTF Municipal Bond - Single State 1.37 4.00 3 BondMFS Funds MFS MUNICIPAL S CAROLINA BOND CL B MBSCX Non-NTF Municipal Bond - Single State 1.5 4.00 3 BondMFS Funds MFS MUNICIPAL TENNESSEE BOND CL B MBTNX Non-NTF Municipal Bond - Single State 1.51 4.00 3 BondMFS Funds MFS MUNICIPAL VIRGINIA BOND CL C MVACX Non-NTF Municipal Bond - Single State 1.48 1.00 3 BondMFS Funds MFS MUNICIPAL VIRGINIA CLASS B MBVAX Non-NTF Municipal Bond - Single State 1.47 4.00 3 EquityMFS Funds MFS MUNICIPAL W VIRGINIA CLASS B MBWVX Non-NTF Municipal Bond - Single State 1.51 4.00 3 EquityMFS Funds MFS NEW DISCOVERY CLASS A MNDAX Non-NTF Growth 1.6 5.75 3 EquityMFS Funds MFS NEW DISCOVERY CLASS B MNDBX Non-NTF Growth 2.3 4.00 3 EquityMFS Funds MFS NEW DISCOVERY CLASS C MNDCX Non-NTF Growth 2.3 1.00 3 EquityMFS Funds MFS NEW DISCOVERY FD CL I MNDIX Non-NTF Growth 1.25 None 3 EquityMFS Funds MFS NEW DISCOVERY FUND MNDJX Non-NTF Growth 1.3 None 3 BondMFS Funds MFS NEW DISCOVERY FUND CLASS R2 MNDRX Non-NTF Growth 1.8 None 1 BondMFS Funds MFS NEW YORK MUNI BOND CL A MSNYX Non-NTF Municipal Bond - Single State 0.75 4.75 3 BondMFS Funds MFS NORTH CAROLINA MUNI BOND CL A MSNCX Non-NTF Municipal Bond - Single State 0.81 4.75 3 BondMFS Funds MFS NY MUNI BOND CLASS C MCNYX Non-NTF Municipal Bond - Single State 1.5 1.00 3 BondMFS Funds MFS RESEARCH BOND CL B MRBBX Non-NTF Corporate Bond - General 1.44 4.00 3 BondMFS Funds MFS RESEARCH BOND CL C MRBCX Non-NTF Corporate Bond - General 1.49 1.00 3 BondMFS Funds MFS RESEARCH BOND CLASS A MRBFX Non-NTF Corporate Bond - General 0.64 4.75 3 BondMFS Funds MFS RESEARCH BOND CLASS I MRBIX Non-NTF Corporate Bond - General 0.49 None 3 BondMFS Funds MFS RESEARCH BOND FD CL R2 MRRRX Non-NTF Corporate Bond - General 0.99 None 3 BondMFS Funds MFS RESEARCH BOND FD CL R4 MRBJX Non-NTF Corporate Bond - General 0.49 None 3 EquityMFS Funds MFS RESEARCH BOND FD CL W MRBWX Non-NTF Corporate Bond - General 0.59 None 3 EquityMFS Funds MFS RESEARCH CLASS A MFRFX Non-NTF Growth and Income 1.04 5.75 3 EquityMFS Funds MFS RESEARCH CLASS B MFRBX Non-NTF Growth and Income 1.75 4.00 3 EquityMFS Funds MFS RESEARCH CLASS C MFRCX Non-NTF Growth and Income 1.75 1.00 3 EquityMFS Funds MFS RESEARCH FD CL W MFRWX Non-NTF Growth and Income 0.85 None 3 EquityMFS Funds MFS RESEARCH FUND CL I MRFIX Non-NTF Growth and Income 0.75 None 3 EquityMFS Funds MFS RESEARCH FUND CL R2 MSRRX Non-NTF Growth and Income 1.25 None 3 EquityMFS Funds MFS RESEARCH FUND CL R3 MFGHX Non-NTF Government Bond - General 0.8 None 3 EquityMFS Funds MFS RESEARCH INTERNATIONAL FD R2 MRSRX Non-NTF Foreign Stock 1.54 None 3 Equity

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Sales Charge

Settlement Days

Security Class

MFS Funds MFS RESEARCH INTL CLASS A MRSAX Non-NTF Foreign Stock 1.35 5.75 3 EquityMFS Funds MFS RESEARCH INTL CLASS B MRIBX Non-NTF Foreign Stock 2.05 4.00 3 EquityMFS Funds MFS RESEARCH INTL CLASS C MRICX Non-NTF Foreign Stock 2.05 1.00 3 EquityMFS Funds MFS RESEARCH INTL FD CL I MRSIX Non-NTF Foreign Stock 1.05 None 3 EquityMFS Funds MFS RESEARCH INTL FD CL R3 MRSHX Non-NTF Foreign Stock 1.29 None 3 EquityMFS Funds MFS RESEARCH INTL FD CL W MRIWX Non-NTF Foreign Stock 1.14 None 3 EquityMFS Funds MFS RESEARCH INTL FD CLASS R4 MRSJX Non-NTF Foreign Stock 1 None 3 EquityMFS Funds MFS RESEARCH INTL FUND CL R1 MRSGX Non-NTF Foreign Stock 2.05 None 3 EquityMFS Funds MFS SECTOR ROTATION FD CL B SRFBX Non-NTF Growth 2.1 4.00 3 EquityMFS Funds MFS SECTOR ROTATIONAL CL A SRFAX Non-NTF Growth 1.39 5.75 3 EquityMFS Funds MFS SECTOR ROTATIONAL CL C SRFCX Non-NTF Growth 2.1 1.00 3 EquityMFS Funds MFS SECTOR ROTATIONAL FUND CL W SRFWX Non-NTF Growth 1.19 None 3 EquityMFS Funds MFS SECTOR ROTATIONAL FUND R1 SRFDX Non-NTF Growth 2.1 None 3 EquityMFS Funds MFS SECTOR ROTATIONAL FUND R2 SRFEX Non-NTF Growth 1.6 None 3 EquityMFS Funds MFS SECTOR ROTATIONAL FUND R3 SRFFX Non-NTF Growth 1.35 None 3 BondMFS Funds MFS SECTOR ROTATIONAL FUND R4 SRFGX Non-NTF Growth 1.11 None 3 BondMFS Funds MFS SOUTH CAROLINA MUNI BOND CL A MFSCX Non-NTF Municipal Bond - Single State 0.85 4.75 3 BondMFS Funds MFS STRATEGIC INCOME CLASS A MFIOX Non-NTF Multisector Bond 0.92 4.75 3 BondMFS Funds MFS STRATEGIC INCOME CLASS B MIOBX Non-NTF Multisector Bond 1.63 4.00 3 BondMFS Funds MFS STRATEGIC INCOME CLASS C MIOCX Non-NTF Multisector Bond 1.64 1.00 3 EquityMFS Funds MFS STRATEGIC INCOME FD CL I MFIIX Non-NTF Multisector Bond 0.64 None 3 EquityMFS Funds MFS TECHNOLOGY CLASS A MTCAX Non-NTF Specialty - Technology 1.44 5.75 3 EquityMFS Funds MFS TECHNOLOGY CLASS B MTCBX Non-NTF Specialty - Technology 2.15 4.00 3 BondMFS Funds MFS TECHNOLOGY CLASS C MTCCX Non-NTF Specialty - Technology 2.15 1.00 3 EquityMFS Funds MFS TENNESSEE MUNI BOND CL A MSTNX Non-NTF Municipal Bond - Single State 0.85 4.75 3 EquityMFS Funds MFS TOTAL RETURN CLASS A MSFRX Non-NTF Balanced 0.92 5.75 3 EquityMFS Funds MFS TOTAL RETURN CLASS B MTRBX Non-NTF Balanced 1.57 4.00 3 EquityMFS Funds MFS TOTAL RETURN CLASS C MTRCX Non-NTF Balanced 1.57 1.00 3 EquityMFS Funds MFS TOTAL RETURN FD CL R2 MTRRX Non-NTF Balanced 1.07 None 3 EquityMFS Funds MFS TOTAL RETURN FD CL R3 MSFHX Non-NTF Balanced 0.82 None 3 EquityMFS Funds MFS TOTAL RETURN FD CL R4 MSFJX Non-NTF Balanced 0.57 None 3 EquityMFS Funds MFS TOTAL RETURN INSTITIUTIONAL MTRIX Non-NTF Balanced 0.57 None 3 EquityMFS Funds MFS UTILITIES CLASS A MMUFX Non-NTF Specialty - Utility 1.1 5.75 3 EquityMFS Funds MFS UTILITIES CLASS B MMUBX Non-NTF Specialty - Utility 1.85 4.00 3 EquityMFS Funds MFS UTILITIES CLASS C MMUCX Non-NTF Specialty - Utility 1.85 1.00 3 EquityMFS Funds MFS UTILITIES FD CL I MMUIX Non-NTF Specialty - Utility 0.82 None 3 EquityMFS Funds MFS UTILITIES FUND CL R2 MURRX Non-NTF Specialty - Utility 1.34 None 3 BondMFS Funds MFS UTILITIES FUND CL R3 MMUHX Non-NTF Specialty - Utility 1.09 None 3 EquityMFS Funds MFS UTILITIES FUND CLASS R-4 MMUJX Non-NTF Specialty - Utility 0.84 None 3 EquityMFS Funds MFS VALUE CLASS A MEIAX Non-NTF Growth 1.09 5.75 3 EquityMFS Funds MFS VALUE CLASS B MFEBX Non-NTF Growth 1.79 4.00 3 EquityMFS Funds MFS VALUE CLASS C MEICX Non-NTF Growth 1.79 1.00 3 EquityMFS Funds MFS VALUE FD CL W MEIWX Non-NTF Growth 0.88 None 3 EquityMFS Funds MFS VALUE FUND CL R1 MEIGX Non-NTF Growth 1.78 None 3 EquityMFS Funds MFS VALUE FUND CL R2 MVRRX Non-NTF Growth 1.28 None 3 EquityMFS Funds MFS VALUE FUND CL R3 MEIHX Non-NTF Growth 1.03 None 3 EquityMFS Funds MFS VALUE FUND CL R4 MEIJX Non-NTF Growth 0.77 None 3 BondMFS Funds MFS VALUE FUND CLASS I MEIIX Non-NTF Growth 0.79 None 3 BondMFS Funds MFS VIRGINIA MUNI BOND CL A MSVAX Non-NTF Municipal Bond - Single State 0.82 4.75 3 BondMFS Funds MFS WEST VA MUNI BOND CL A MFWVX Non-NTF Municipal Bond - Single State 0.85 4.75 3 EquityMFS Funds MSF HIGH YIELD OPPORTUNITIES FD R2 MHOSX Non-NTF Corporate Bond - High Yield 1 None 3 EquityMidas Funds MIDAS PERPETUAL PORTFOLIO MPERX Non-NTF Multi-Asset Global 1.21 None 1 EquityMidas Funds MIDAS SPECIAL FUND MISEX Non-NTF Aggressive Growth 3.32 None 1 EquityMiller Funds MILLER CONVERTIBLE CLASS A MCFAX Non-NTF Convertible Bond 1.75 5.75 1 EquityMMA Praxis Funds MMA PRAXIS CORE STOCK CL A MMPAX Non-NTF Growth 1.31 5.25 3 EquityMMA Praxis Funds MMA PRAXIS CORE STOCK FD CL I MMCSX Non-NTF Growth 1.01 None 3 BondMMA Praxis Funds MMA PRAXIS GROWTH INDEX FUND CL I MMDEX Non-NTF Growth 0.65 None 3 BondMMA Praxis Funds MMA PRAXIS INTER INCOME CLASS A MIIAX Non-NTF Corporate Bond - General 0.88 3.75 3 EquityMMA Praxis Funds MMA PRAXIS INTER INCOME FD CL I MIIIX Non-NTF Corporate Bond - General 0.63 None 3 Equity

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Sales Charge

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Security Class

MMA Praxis Funds MMA PRAXIS INTERNATL CLASS A MPIAX Non-NTF Foreign Stock 1.67 5.25 3 EquityMMA Praxis Funds MMA PRAXIS INTL FD CL I MPIIX Non-NTF Foreign Stock 1.32 None 3 EquityMMA Praxis Funds MMA PRAXIS SMALL CAP FUND CL I MMSIX Non-NTF Growth 1.22 None 3 EquityMMA Praxis Funds MMA PRAXIS VALUE FD CLASS I MVIIX Non-NTF Growth 0.64 None 3 EquityMMA Praxis Funds MMA PRAXIS VALUE INDEX CLASS A MVIAX Non-NTF Growth 0.97 5.25 3 EquityMonetta Funds MONETTA FUND MONTX Non-NTF Growth 1.66 None 1 BondMonetta Funds MONETTA YOUNG INVESTORS FD MYIFX Non-NTF Growth 0.99 None 3 EquityMonetta Funds ORION/MONETTA INTERMEDIATE BD FD MIBFX Non-NTF Corporate Bond - General 1.72 None 1 BondMonteagle Funds MONTEAGLE FIXED INC INSTL CLASS SH MFHRX Non-NTF Multisector Bond 1.04 None 1 EquityMonteagle Funds MONTEAGLE FIXED INCOME FD CLASS A MTXAX Non-NTF Multisector Bond -999 3.00 1 EquityMonteagle Funds MONTEAGLE INFORMED INVT GRWTH CLASS A MGGAX Non-NTF Growth -999 5.00 1 EquityMonteagle Funds MONTEAGLE QUALITY GROWTH FD CL A MFGAX Non-NTF Growth -999 5.00 1 EquityMonteagle Funds MONTEAGLE QUALITY GRWTH FD INSTL CL MFGIX Non-NTF Growth 1.32 None 1 EquityMonteagle Funds MONTEAGLE SELECT VALUE FUND CL A MVFAX Non-NTF Growth -999 5.00 1 EquityMonteagle Funds MONTEAGLE SELECT VALUE INSTL CL MVEIX Non-NTF Growth 1.33 None 1 EquityMonteagle Funds MONTEAGLE VALUE FUND CLASS A MVRAX Non-NTF Growth -999 5.00 1 EquityMonteagle Funds MONTEAGLE VALUE INSTITUTIONAL CL MVRGX Non-NTF Growth 1.31 None 1 EquityMorgan Stanley Institutional Funds MORGAN STA INST INC. ACTIVE INTL ALLOC I MSACX Non-NTF Foreign Stock 0.79 None 1 BondMorgan Stanley Institutional Funds MORGAN STA INST INC. EMERGING MARKET CL I MGEMX Non-NTF Diversified Emerging Markets 1.43 None 1 EquityMorgan Stanley Institutional Funds MORGAN STA INST INC. EMG MKTS DEBT CL I MSIEX Non-NTF Worldwide Bond 0.81 None 1 EquityMorgan Stanley Institutional Funds MORGAN STA INST INC. INTL EQUITY CLASS I MSIQX Non-NTF Foreign Stock 0.95 None 1 EquityMorgan Stanley Institutional Funds MORGAN STA INST INC. SMALL CO GROWTH I MSSGX Non-NTF Small Company 1.02 None 1 EquityMorgan Stanley Institutional Funds MORGAN STA INST INC. US REAL ESTATE CL I MSUSX Non-NTF Specialty - Real Estate 0.91 None 1 BondMorgan Stanley Institutional Funds MORGAN STA INSTL INTL REAL ESTATE I MSUAX Non-NTF Specialty - Real Estate 0.94 None 1 EquityMorgan Stanley Institutional Funds MORGAN STAN CORE PLUS FIXED INC PT I MPFIX Non-NTF Corporate Bond - General 0.49 None 1 EquityMorgan Stanley Institutional Funds MORGAN STAN INST INC GLB REAL EST PRT I MRLAX Non-NTF Specialty - Real Estate 1.04 None 1 EquityMorgan Stanley Institutional Funds MORGAN STAN INSTL IN INTL SMALL CAP POR I MSISX Non-NTF Foreign Stock 1.12 None 1 EquityMorgan Stanley Institutional Funds MORGAN STAN US SMALL CAP VALUE PORT CL I MPSCX Non-NTF Small Company 0.86 None 1 EquityMorgan Stanley Institutional Funds MORGAN STANLEY BALANCED PORT CL I MPBAX Non-NTF Balanced 0.67 None 1 BondMorgan Stanley Institutional Funds MORGAN STANLEY CAPITAL GROWTH I MSEQX Non-NTF Growth 0.62 None 1 EquityMorgan Stanley Institutional Funds MORGAN STANLEY CORE FIXED INC PORT CL I MPSFX Non-NTF Corporate Bond - High Quality 0.5 None 1 EquityMorgan Stanley Institutional Funds MORGAN STANLEY FOCUS GROWTH I MSAGX Non-NTF Growth 1 None 1 EquityMorgan Stanley Institutional Funds MORGAN STANLEY GL INFRASTRUCTURE CL I UTLDX Non-NTF Specialty - Utility 0.79 None 1 EquityMorgan Stanley Institutional Funds MORGAN STANLEY GLBL FRANCHISE CLASS I MSFAX Non-NTF World Stock 1 None 1 EquityMorgan Stanley Institutional Funds MORGAN STANLEY INSTL SMALL MID CAP VAL I MSMDX Non-NTF Convertible Bond 1.17 None 1 BondMorgan Stanley Institutional Funds MORGAN STANLEY INSTL VALUE EQUITY CL I MSIVX Non-NTF Equity-Income 0.67 None 1 BondMorgan Stanley Institutional Funds MORGAN STANLEY INTER DURATION PORT CL I MAIDX Non-NTF Corporate Bond - General 0.55 None 1 BondMorgan Stanley Institutional Funds MORGAN STANLEY INTL FIXED INC PORT CL I MPIFX Non-NTF Worldwide Bond 0.72 None 1 EquityMorgan Stanley Institutional Funds MORGAN STANLEY INVT GRADE FIXED INC PT I MPFDX Non-NTF Corporate Bond - High Quality 0.56 None 1 BondMorgan Stanley Institutional Funds MORGAN STANLEY LONG DURATION FIX INC I MSFIX Non-NTF Income 0.5 None 1 EquityMorgan Stanley Institutional Funds MORGAN STANLEY MID CAP GRWTH PORT CL I MPEGX Non-NTF Growth 0.69 None 1 EquityMorgan Stanley Institutional Funds MORGAN STANLEY MUNI PORTFOLIO CL I MPMFX Non-NTF Municipal Bond - National 0.5 None 1 EquityMorgan Stanley Institutional Funds MORGAN STANLEY US MID CAP VAL PORT INT MPMIX Non-NTF Growth and Income 1.11 None 1 EquityMorgan Stanley Institutional Funds MORGAN STANLEY US MID CAP VALUE PORT I MPMVX Non-NTF Growth and Income 1 None 1 EquityMorgan Stanley Institutional Funds MORGAN STANLEY VALUE PORTFOLIO CLASS I MPVLX Non-NTF Growth and Income 0.73 None 1 EquityMorgan Stanley Retail Funds MORGAN STANLEY ALTERNATIVE OPPS A MAOAX Non-NTF Growth 1.69 5.25 3 EquityMorgan Stanley Retail Funds MORGAN STANLEY ALTERNATIVE OPPS C MAOCX Non-NTF Growth 2.5 1.00 3 EquityMorgan Stanley Retail Funds MORGAN STANLEY ALTERNATIVE OPPS I MAOIX Non-NTF Growth 1.5 None 3 EquityMorgan Stanley Retail Funds MORGAN STANLEY COM ALPHA CLASS C COACX Non-NTF Growth 2.22 1.00 1 BondMorgan Stanley Retail Funds MORGAN STANLEY COMMODITIES ALPHA A COAAX Non-NTF Growth 1.45 5.75 3 EquityMorgan Stanley Retail Funds MORGAN STANLEY COMMODITIES ALPHA I COAIX Non-NTF Growth 1.22 None 3 EquityMorgan Stanley Retail Funds MORGAN STANLEY EUROPEAN EQUITY CL I EUGDX Non-NTF Europe Stock 1.28 None 1 BondMorgan Stanley Retail Funds MORGAN STANLEY FX ALPHA PLUS D FXPDX Non-NTF Growth and Income 1.49 None 1 EquityMorgan Stanley Retail Funds MORGAN STANLEY FX ALPHA PLUS STRAT A FXPAX Non-NTF Growth and Income 1.73 4.00 1 EquityMorgan Stanley Retail Funds MORGAN STANLEY FX ALPHA STRAT PORT A FXAAX Non-NTF Growth and Income 1.22 2.25 1 EquityMorgan Stanley Retail Funds MORGAN STANLEY FX ALPHA STRAT PORT C FXPCX Non-NTF Growth and Income 2.42 1.00 1 EquityMorgan Stanley Retail Funds MORGAN STANLEY FX ALPHA STRATEGY C FXACX Non-NTF Growth and Income 1.73 0.75 1 EquityMorgan Stanley Retail Funds MORGAN STANLEY FX ALPHA STRATEGY CL D FXADX Non-NTF Growth and Income 0.98 None 1 EquityMorgan Stanley Retail Funds MORGAN STANLEY GL ADVANTAGE FD I GADDX Non-NTF World Stock 1.16 None 1 Equity

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Settlement Days

Security Class

Morgan Stanley Retail Funds MORGAN STANLEY GL INFRASTRUCTURE CL B UTLBX Non-NTF Specialty - Utility 1.79 5.00 1 EquityMorgan Stanley Retail Funds MORGAN STANLEY GL INFRASTRUCTURE CL C UTLCX Non-NTF Specialty - Utility 1.73 1.00 1 EquityMorgan Stanley Retail Funds MORGAN STANLEY GL INFRASTRUCTURE FD A UTLAX Non-NTF Specialty - Utility 1.03 5.25 1 EquityMorgan Stanley Retail Funds MORGAN STANLEY INTERNATL VALUE EQ I IVQDX Non-NTF Foreign Stock 1.25 None 3 BondMorgan Stanley Retail Funds MORGAN STANLEY MID-CAP GROWTH CL A DGRAX Non-NTF Growth 1.17 5.25 3 EquityMorgan Stanley Retail Funds MORGAN STANLEY MID-CAP GROWTH CL B DGRBX Non-NTF Growth 1.92 5.00 1 BondMorgan Stanley Retail Funds MORGAN STANLEY MID-CAP GROWTH CL C DGRCX Non-NTF Growth 1.92 1.00 1 BondMTB Funds MTB INCOME CLASS A AKIRX Non-NTF Corporate Bond - General 0.78 4.50 1 BondMTB Funds MTB INCOME INST I ARKIX Non-NTF Corporate Bond - General 0.64 None 1 BondMTB Funds MTB INTERMEDIATE TERM BOND CL A GVITX Non-NTF Income 0.78 4.50 1 EquityMTB Funds MTB INTERMEDIATE TERM BOND INSTL 1 ARIFX Non-NTF Income 0.63 None 1 EquityMTB Funds MTB INTERNATIONAL EQUITY CL A GVIEX Non-NTF Foreign Stock 1.37 5.50 1 EquityMTB Funds MTB INTERNATIONAL EQUITY ISNT CL MVIEX Non-NTF Foreign Stock 1.3 None 1 EquityMTB Funds MTB LARGE CAP GROWTH CL A VLCPX Non-NTF Growth 1.23 5.50 1 EquityMTB Funds MTB LARGE CAP GROWTH FUND CL I MLGIX Non-NTF Growth 1.13 None 1 EquityMTB Funds MTB LARGE CAP VALUE CL A VEINX Non-NTF Equity-Income 0.53 5.50 1 EquityMTB Funds MTB LARGE CAP VALUE FD INSTIT 1 SHS MLCVX Non-NTF Equity-Income 0.96 None 1 EquityMTB Funds MTB MARYLAND MUNI BD INSTITUTIONAL 1 SHS ARMTX Non-NTF Municipal Bond - Single State 0.7 None 1 EquityMTB Funds MTB MARYLAND MUNI BOND CLASS A ARMRX Non-NTF Municipal Bond - Single State 0.79 4.50 1 EquityMTB Funds MTB MID CAP GROWTH FD INSTIT 1 SHARES ARMEX Non-NTF Growth 0.94 None 1 BondMTB Funds MTB MONEY MARKET VSMXX Non-NTF None 0 BondMTB Funds MTB NY MUNI BOND FD INSTIT 1 SHS VNYIX Non-NTF Municipal Bond - Single State 0.65 None 1 BondMTB Funds MTB PA MUNICIPAL BOND CL A APARX Non-NTF Municipal Bond - Single State 0.95 4.50 1 BondMTB Funds MTB PENN MUNI BOND INSTIT 1 SHS MVPMX Non-NTF Municipal Bond - Single State 0.85 None 1 BondMTB Funds MTB SHORT DURATION GOVT BOND CL A ASTTX Non-NTF Government Bond - General 0.8 1.75 1 EquityMTB Funds MTB SHORT TERM CORP BOND FUND CL A MVSAX Non-NTF Corporate Bond - General 0.89 1.75 1 EquityMTB Funds MTB SMALL CAP GROWTH CLASS A ARPAX Non-NTF Small Company 1.26 5.50 1 EquityMTB Funds MTB SMALL CAP GROWTH FD INSTIT 1 SHS ARPEX Non-NTF Small Company 1.18 None 1 EquityMTB Funds MTB SMALL CAP GROWTH FUND CL C ARPCX Non-NTF Small Company 1.22 1.00 1 EquityMTB Funds MTB STRATEGIC ALLOCATION CLASS A ARBAX Non-NTF Balanced 1.08 5.50 1 BondMTB Funds MTB STRATEGIC ALLOCATION CLASS I ARGIX Non-NTF Balanced 0.91 None 1 BondMTB Funds MTB US GOVERNMENT BOND CL A VUGVX Non-NTF Government Bond - General 0.72 4.50 1 BondMTB Funds MTB US TREASURY MONEY MARKET VSTXX Non-NTF None 0 EquityMTB Funds MTB VIRGINIA MUNI BOND FUND CL A RSXIX Non-NTF Municipal Bond - Single State 0.84 4.50 1 EquityMunder Funds MUNDER ASSET ALLOC - BALANCED CL Y MUBYX Non-NTF Balanced 1.62 None 3 EquityMunder Funds MUNDER ASSET ALLOCATION BAL CL A MUBAX Non-NTF Balanced 1.9 5.50 3 EquityMunder Funds MUNDER ASSET ALLOCATION BAL CL B MUBBX Non-NTF Balanced 2.66 5.00 3 BondMunder Funds MUNDER ASSET ALLOCATION BAL CL C MUBCX Non-NTF Balanced 2.65 1.00 3 BondMunder Funds MUNDER BOND CLASS A MUCAX Non-NTF Corporate Bond - General 0.65 4.00 3 BondMunder Funds MUNDER BOND CLASS B MUCBX Non-NTF Corporate Bond - General 1.4 5.00 3 BondMunder Funds MUNDER BOND CLASS C MUCCX Non-NTF Corporate Bond - General 1.4 1.00 3 BondMunder Funds MUNDER BOND FUND CL K MUCKX Non-NTF Corporate Bond - General 0.65 None 3 EquityMunder Funds MUNDER BOND FUND CL Y SHS MUCYX Non-NTF Corporate Bond - General 0.4 None 3 EquityMunder Funds MUNDER ENERGY CL Y MPFYX Non-NTF Specialty - Unaligned 1.59 None 3 EquityMunder Funds MUNDER ENERGY FUND CLASS A MPFAX Non-NTF Specialty - Unaligned 1.83 5.50 3 EquityMunder Funds MUNDER ENERGY FUND CLASS B MPFBX Non-NTF Specialty - Unaligned 2.56 5.00 3 EquityMunder Funds MUNDER ENERGY FUND CLASS C MPFTX Non-NTF Specialty - Unaligned 2.58 1.00 3 EquityMunder Funds MUNDER GROWTH OPPORTUNITES CL A MNNAX Non-NTF Specialty - Technology 2.62 5.50 3 EquityMunder Funds MUNDER GROWTH OPPORTUNITES CL B MNNBX Non-NTF Specialty - Technology 3.38 5.00 3 EquityMunder Funds MUNDER GROWTH OPPORTUNITES CL C MNNCX Non-NTF Specialty - Technology 3.37 1.00 3 EquityMunder Funds MUNDER GROWTH OPPORTUNITES CL R MNNRX Non-NTF Specialty - Technology 2.72 None 3 EquityMunder Funds MUNDER GROWTH OPPORTUNITES CL Y MNNYX Non-NTF Specialty - Technology 2.36 None 1 EquityMunder Funds MUNDER HEALTHCARE CL R MHCRX Non-NTF Specialty - Health 2.53 None 3 EquityMunder Funds MUNDER HEALTHCARE CL Y MFHYX Non-NTF Specialty - Health 2.02 None 3 EquityMunder Funds MUNDER HEALTHCARE CLASS A MFHAX Non-NTF Specialty - Health 2.28 5.50 3 EquityMunder Funds MUNDER HEALTHCARE CLASS B MFHBX Non-NTF Specialty - Health 3.03 5.00 3 EquityMunder Funds MUNDER HEALTHCARE CLASS C MFHCX Non-NTF Specialty - Health 3.03 1.00 3 EquityMunder Funds MUNDER INDEX 500 CLASS A MUXAX Non-NTF Income 0.71 2.50 3 EquityMunder Funds MUNDER INDEX 500 FD CLASS R MUXRX Non-NTF Income 1.06 None 3 Equity

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Security Class

Munder Funds MUNDER INTERNATIONAL EQUITY CL Y MUIYX Non-NTF Foreign Stock 1.22 None 3 EquityMunder Funds MUNDER INTERNATIONAL FD CORE EQ CL C MICCX Non-NTF Growth 2.36 1.00 3 EquityMunder Funds MUNDER INTERNATIONAL FUND - CORE EQUITY A MAICX Non-NTF Growth 1.61 5.50 3 EquityMunder Funds MUNDER INTERNATIONAL FUND - CORE EQUITY Y MICYX Non-NTF Growth 1.1 None 3 EquityMunder Funds MUNDER INTERNATIONAL SMALL MID CAP FD C MCISX Non-NTF Growth 2.46 1.00 3 EquityMunder Funds MUNDER INTERNAT'L SMALL CAP FD I MISIX Non-NTF Growth 1.2 None 3 EquityMunder Funds MUNDER INTERNATL SMALL CAP FD Y MYSIX Non-NTF Growth 1.46 None 3 EquityMunder Funds MUNDER INTERNTL SMALL CAP CL A MISAX Non-NTF Growth 1.71 5.50 3 EquityMunder Funds MUNDER INT'L EQUITY CLASS A MUIAX Non-NTF Foreign Stock 1.46 5.50 3 EquityMunder Funds MUNDER INT'L EQUITY CLASS B MUIEX Non-NTF Foreign Stock 2.2 5.00 3 EquityMunder Funds MUNDER INT'L EQUITY CLASS C MUICX Non-NTF Foreign Stock 2.21 1.00 3 EquityMunder Funds MUNDER LARGE CAP GROWTH CL A MUSAX Non-NTF Growth 1.61 5.50 3 EquityMunder Funds MUNDER LARGE CAP GROWTH CL B MUSGX Non-NTF Growth 2.36 5.00 3 EquityMunder Funds MUNDER LARGE CAP GROWTH CL C MUSCX Non-NTF Growth 2.37 1.00 3 EquityMunder Funds MUNDER LARGE CAP GROWTH CL Y MUSYX Non-NTF Growth 1.36 None 3 EquityMunder Funds MUNDER LARGE CAP VALUE CL A MUGAX Non-NTF Growth and Income 1.6 5.50 3 EquityMunder Funds MUNDER LARGE CAP VALUE CL B MUGBX Non-NTF Growth and Income 2.34 5.00 3 EquityMunder Funds MUNDER LARGE CAP VALUE CL C MUGCX Non-NTF Growth and Income 2.36 1.00 3 EquityMunder Funds MUNDER LARGE CAP VALUE CLASS Y MUGYX Non-NTF Growth and Income 1.34 None 3 EquityMunder Funds MUNDER LARGE-CAP VALUE CL R MUGRX Non-NTF Growth and Income 1.83 None 3 EquityMunder Funds MUNDER MICRO CAP EQUITY CL Y MMEYX Non-NTF Growth 1.87 None 3 EquityMunder Funds MUNDER MICRO CAP EQUITY CLASS A MMEAX Non-NTF Growth 2.12 5.50 3 EquityMunder Funds MUNDER MICRO CAP EQUITY CLASS B MMEBX Non-NTF Growth 2.87 5.00 3 EquityMunder Funds MUNDER MICRO CAP EQUITY CLASS C MMECX Non-NTF Growth 2.87 1.00 3 EquityMunder Funds MUNDER MICRO-CAP EQUITY CL R MMERX Non-NTF Growth 2.32 None 3 EquityMunder Funds MUNDER MID CAP GROWTH FD CLASS R MMSRX Non-NTF Growth 1.6 None 3 EquityMunder Funds MUNDER MIDCAP CORE GROWTH CL A MGOAX Non-NTF Growth 1.35 5.50 3 EquityMunder Funds MUNDER MIDCAP CORE GROWTH CL B MGROX Non-NTF Growth 2.1 5.00 3 EquityMunder Funds MUNDER MIDCAP CORE GROWTH CL C MGOTX Non-NTF Growth 2.1 1.00 3 EquityMunder Funds MUNDER MIDCAP CORE GROWTH FUND CL Y MGOYX Non-NTF Growth 1.11 None 1 EquityMunder Funds MUNDER SMALL CAP VALUE CLASS A MNVAX Non-NTF Small Company 1.67 5.50 3 EquityMunder Funds MUNDER SMALL CAP VALUE CLASS B MCVBX Non-NTF Small Company 2.42 5.00 3 EquityMunder Funds MUNDER SMALL CAP VALUE CLASS C MCVCX Non-NTF Small Company 2.42 1.00 3 EquityMunder Funds MUNDER SMALL CAP VALUE FD CL R MSCRX Non-NTF Small Company 1.93 None 3 BondMunder Funds MUNDER SMALL CAP VALUE FUND CL Y MCVYX Non-NTF Small Company 1.42 None 3 BondMunder Funds MUNDER TAX FREE SHRT & INTERMED BD A MUTAX Non-NTF Municipal Bond - National 1.04 2.00 3 BondMunder Funds MUNDER TAX FREE SHRT & INTERMED BDND CL B MUTBX Non-NTF Municipal Bond - National 1.83 5.00 3 BondMunder Funds MUNDER TAX FREE SHRT & INTERMED BOND CL C MUTCX Non-NTF Municipal Bond - National 1.77 1.00 3 EquityMunder Funds MUNDER TAX-FREE SHT & INTERMED BOND CL Y MUTYX Non-NTF Municipal Bond - National 0.81 None 3 EquityMunder Funds MUNDER TECHNOLOGY CL Y MTFYX Non-NTF Specialty - Technology 3.2 None 3 EquityMunder Funds MUNDER TECHNOLOGY FUND CL A MTFAX Non-NTF Specialty - Technology 3.46 5.50 3 EquityMunder Funds MUNDER TECHNOLOGY FUND CL B MTFBX Non-NTF Specialty - Technology 4.2 5.00 3 EquityMunder Funds MUNDER TECHNOLOGY FUND CL C MTFTX Non-NTF Specialty - Technology 4.21 1.00 3 EquityMunder Funds MUNDER TRUST INDEX 500 CLASS B MUXBX Non-NTF Income 1.05 3.00 3 EquityMutual Hedge Funds MUTUALHEDGE FRONTIER LEGENDS CL A MHFAX Non-NTF Growth -999 5.75 1 EquityMutual Hedge Funds MUTUALHEDGE FRONTIER LEGENDS CL C MHFCX Non-NTF Growth -999 None 1 BondNakoma Funds NAKOMA ABSOLUTE RETURN FUND NARFX Non-NTF Income 1.86 None 1 BondNationwide Funds NATIONWIDE BOND CL A NBDAX Non-NTF Corporate Bond - High Quality 1.22 4.25 1 BondNationwide Funds NATIONWIDE BOND FD CL C GBDCX Non-NTF Corporate Bond - High Quality 1.77 1.00 1 BondNationwide Funds NATIONWIDE BOND FD CLASS B GBDBX Non-NTF Corporate Bond - High Quality 1.79 5.00 1 EquityNationwide Funds NATIONWIDE BOND INDX FD CL A GBIAX Non-NTF Corporate Bond - General 0.74 5.75 1 EquityNationwide Funds NATIONWIDE CL A NWFAX Non-NTF Growth and Income 1.17 5.75 1 BondNationwide Funds NATIONWIDE CL B NWFBX Non-NTF Growth and Income 1.86 5.00 1 EquityNationwide Funds NATIONWIDE DESTINATION 2010 C NWDCX Non-NTF Growth and Income 1.32 1.00 1 BondNationwide Funds NATIONWIDE DESTINATION 2015 A NWEAX Non-NTF Growth and Income 0.83 5.75 1 EquityNationwide Funds NATIONWIDE DESTINATION 2015 C NWECX Non-NTF Growth and Income 1.32 1.00 1 BondNationwide Funds NATIONWIDE DESTINATION 2020 A NWAFX Non-NTF Growth and Income 0.83 5.75 1 EquityNationwide Funds NATIONWIDE DESTINATION 2020 C NWFCX Non-NTF Growth and Income 1.33 1.00 1 BondNationwide Funds NATIONWIDE DESTINATION 2025 A NWHAX Non-NTF Growth and Income 0.83 5.75 1 Equity

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Security Class

Nationwide Funds NATIONWIDE DESTINATION 2025 C NWHCX Non-NTF Growth and Income 1.33 1.00 1 BondNationwide Funds NATIONWIDE DESTINATION 2030 A NWIAX Non-NTF Growth and Income 0.83 5.75 1 EquityNationwide Funds NATIONWIDE DESTINATION 2030 C NWICX Non-NTF Growth and Income 1.32 1.00 1 BondNationwide Funds NATIONWIDE DESTINATION 2035 A NWLAX Non-NTF Growth and Income 0.83 5.75 1 EquityNationwide Funds NATIONWIDE DESTINATION 2035 C NWLCX Non-NTF Growth and Income 1.33 1.00 1 BondNationwide Funds NATIONWIDE DESTINATION 2040 A NWMAX Non-NTF Growth and Income 0.83 5.75 1 EquityNationwide Funds NATIONWIDE DESTINATION 2040 C NWMCX Non-NTF Growth and Income 1.33 1.00 1 BondNationwide Funds NATIONWIDE DESTINATION 2045 A NWNAX Non-NTF Growth and Income 0.83 5.75 1 EquityNationwide Funds NATIONWIDE DESTINATION 2045 C NWNCX Non-NTF Growth and Income 1.33 1.00 1 BondNationwide Funds NATIONWIDE DESTINATION 2050 A NWOAX Non-NTF Growth and Income 0.83 5.75 1 EquityNationwide Funds NATIONWIDE DESTINATION 2050 C NWOCX Non-NTF Growth and Income 1.33 1.00 1 EquityNationwide Funds NATIONWIDE DESTINTATION 2010 A NWDAX Non-NTF Growth and Income 0.83 5.75 1 EquityNationwide Funds NATIONWIDE ENHANCED INCOME CL A NMEAX Non-NTF Income 0.87 2.25 1 BondNationwide Funds NATIONWIDE FUND CLASS C GTRCX Non-NTF Growth and Income 1.86 1.00 1 BondNationwide Funds NATIONWIDE GOVERNT BOND CL A NUSAX Non-NTF Government Bond - General 1.16 4.25 1 BondNationwide Funds NATIONWIDE GOVERNT BOND CL B GGBBX Non-NTF Government Bond - General 1.78 5.00 1 EquityNationwide Funds NATIONWIDE GOVT BOND FUND CL C GGBCX Non-NTF Government Bond - General 1.78 1.00 1 EquityNationwide Funds NATIONWIDE GROWTH CL A NMFAX Non-NTF Growth 1.46 5.75 1 EquityNationwide Funds NATIONWIDE GROWTH CL B NMFBX Non-NTF Growth 2.12 5.00 1 EquityNationwide Funds NATIONWIDE GROWTH CL C GCGRX Non-NTF Growth 2.12 1.00 1 EquityNationwide Funds NATIONWIDE GROWTH FD CL D MUIGX Non-NTF Growth 1.13 4.50 1 EquityNationwide Funds NATIONWIDE INTERNL INDEX CL B GIIBX Non-NTF Foreign Stock 1.37 5.00 1 EquityNationwide Funds NATIONWIDE INTERNL INDEX CL C GIICX Non-NTF Foreign Stock 1.37 1.00 1 EquityNationwide Funds NATIONWIDE INTL INDEX FUND CL A GIIAX Non-NTF Foreign Stock 0.79 5.75 1 BondNationwide Funds NATIONWIDE INTL VALUE FUND CL A NWVAX Non-NTF Foreign Stock 1.25 5.75 1 EquityNationwide Funds NATIONWIDE INV DESTN MOD CONSERV CL B NBDCX Non-NTF Income 1.22 5.00 1 BondNationwide Funds NATIONWIDE INVEST DESTIN AGGR CL A NDAAX Non-NTF Growth 0.55 5.75 1 EquityNationwide Funds NATIONWIDE INVEST DESTIN AGGR CL B NDABX Non-NTF Growth 1.22 5.00 1 BondNationwide Funds NATIONWIDE INVEST DESTIN AGGR SVC CL NDASX Non-NTF Growth 0.63 None 1 BondNationwide Funds NATIONWIDE INVEST DESTIN MOD AGGR CL A NDMAX Non-NTF Growth 0.51 5.75 1 BondNationwide Funds NATIONWIDE INVEST DESTIN MOD AGR SV CL NDMSX Non-NTF Growth 0.63 None 1 EquityNationwide Funds NATIONWIDE INVESTOR DEST MOD CONS SVS CL NSDCX Non-NTF Income 0.64 None 1 EquityNationwide Funds NATIONWIDE INVESTOR DESTIN AGGR CL C NDACX Non-NTF Growth 1.22 1.00 1 EquityNationwide Funds NATIONWIDE INVESTOR DESTIN CONS SVS SHS NDCSX Non-NTF Income 0.65 None 1 EquityNationwide Funds NATIONWIDE INVESTOR DESTIN CONSERV CL A NDCAX Non-NTF Income 0.55 5.75 1 EquityNationwide Funds NATIONWIDE INVESTOR DESTIN CONSERV CL B NDCBX Non-NTF Income 1.23 5.00 1 BondNationwide Funds NATIONWIDE INVESTOR DESTIN CONSERV CL C NDCCX Non-NTF Income 1.24 1.00 1 BondNationwide Funds NATIONWIDE INVESTOR DESTIN MOD AGR CL B NDMBX Non-NTF Growth 1.21 5.00 1 BondNationwide Funds NATIONWIDE INVESTOR DESTIN MOD AGRR CL C NDMCX Non-NTF Growth 1.21 1.00 1 BondNationwide Funds NATIONWIDE INVESTOR DESTIN MOD SVC SHS NSDMX Non-NTF Growth and Income 0.63 None 1 BondNationwide Funds NATIONWIDE INVESTOR DESTIN MODER CL A NADMX Non-NTF Growth and Income 0.5 5.75 1 BondNationwide Funds NATIONWIDE INVESTOR DESTIN MODER CONSV C NCDCX Non-NTF Income 1.22 1.00 1 BondNationwide Funds NATIONWIDE INVESTOR DESTIN MODERATE C NCDMX Non-NTF Growth and Income 1.21 1.00 1 BondNationwide Funds NATIONWIDE INVESTOR DESTNS MODERATE CL B NBDMX Non-NTF Growth and Income 1.21 5.00 1 EquityNationwide Funds NATIONWIDE INVT DEST MOD CONSERV CL A NADCX Non-NTF Income 0.52 5.75 1 EquityNationwide Funds NATIONWIDE LARGE CAP VALUE CL A NPVAX Non-NTF Growth and Income 1.56 5.75 1 EquityNationwide Funds NATIONWIDE LARGE CAP VALUE CL B NLVBX Non-NTF Growth and Income 2.22 5.00 1 EquityNationwide Funds NATIONWIDE LARGE CAP VALUE CL C NLVAX Non-NTF Growth and Income 2.15 1.00 1 EquityNationwide Funds NATIONWIDE MID CAP MARKET INDEX CL A GMXAX Non-NTF Growth 0.73 5.75 1 EquityNationwide Funds NATIONWIDE MID CAP MARKET INDEX CL B GMCBX Non-NTF Growth 1.32 5.00 1 BondNationwide Funds NATIONWIDE MID CAP MARKET INDEX CL C GMCCX Non-NTF Growth 1.32 1.00 1 EquityNationwide Funds NATIONWIDE RETIREMENT INC CL C NWRCX Non-NTF Income 1.38 1.00 1 EquityNationwide Funds NATIONWIDE RETIREMENT INCOME A NWRAX Non-NTF Income 0.83 5.75 1 EquityNationwide Funds NATIONWIDE S&P 500 INDEX CL A GRMAX Non-NTF Growth and Income 0.52 5.75 1 EquityNationwide Funds NATIONWIDE S&P 500 INDEX CL B GRMBX Non-NTF Growth and Income 1.23 5.00 1 EquityNationwide Funds NATIONWIDE S&P 500 INDEX CL C GRMCX Non-NTF Growth and Income 1.23 1.00 1 BondNationwide Funds NATIONWIDE S&P 500 INDEX SVC CLASS GRMSX Non-NTF Growth and Income 0.63 None 1 BondNationwide Funds NATIONWIDE SHORT DUR BOND INSTL CL MCAIX Non-NTF Corporate Bond - High Quality 0.51 None 1 BondNationwide Funds NATIONWIDE SHORT DUR BOND SVC CL MCAFX Non-NTF Corporate Bond - High Quality 0.91 None 1 Bond

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Security Class

Nationwide Funds NATIONWIDE SHORT DURATION BD FD CL C GGMCX Non-NTF Corporate Bond - High Quality 1.26 1.00 1 EquityNationwide Funds NATIONWIDE SHORT DURATION BOND CL A MCAPX Non-NTF Corporate Bond - High Quality 0.75 2.25 1 EquityNationwide Funds NATIONWIDE SMALL CAP INDEX CL A GMRAX Non-NTF Small Company 0.72 5.75 1 EquityNationwide Funds NATIONWIDE SMALL CAP INDEX CL B GMRBX Non-NTF Small Company 1.3 5.00 1 EquityNationwide Funds NATIONWIDE SMALL CAP INDEX CL C GMRCX Non-NTF 1.00 1 EquityNationwide Funds NATIONWIDE US SMALL CAP VALUE CL A NWUAX Non-NTF Small Company 1.34 5.75 1 EquityNatixis Global Asset Management Funds ABSOLUTE ASIA DYNAMIC EQUITY CL A DEFAX Non-NTF 5.75 3 EquityNatixis Global Asset Management Funds ABSOLUTE ASIA DYNAMIC EQUITY CL C DEFCX Non-NTF 1.00 3 EquityNatixis Global Asset Management Funds ABSOLUTE ASIA DYNAMIC EQUITY CL Y DEFYX Non-NTF None 1 EquityNatixis Global Asset Management Funds AEW REAL ESTATE FD CL A NRFAX Non-NTF Specialty - Real Estate 1.5 5.75 3 EquityNatixis Global Asset Management Funds AEW REAL ESTATE FUND CL Y NRFYX Non-NTF Specialty - Real Estate 1.2 None 1 EquityNatixis Global Asset Management Funds AEW REAL ESTATE FUND CLASS C NRCFX Non-NTF Specialty - Real Estate 2.25 1.00 3 EquityNatixis Global Asset Management Funds ASG DIVERSIFYING STRATEGIES CL Y DSFYX Non-NTF Growth 1.45 None 1 EquityNatixis Global Asset Management Funds ASG DIVERSIFYING STRATEGIES FD CL A DSFAX Non-NTF Growth 1.7 5.75 3 EquityNatixis Global Asset Management Funds ASG DIVERSIFYING STRATEGIES FUND CL C DSFCX Non-NTF Growth 2.45 1.00 3 EquityNatixis Global Asset Management Funds ASG GLOBAL ALTERNATIVES FD CL A GAFAX Non-NTF Growth 1.6 5.75 3 EquityNatixis Global Asset Management Funds ASG GLOBAL ALTERNATIVES FUND C GAFCX Non-NTF Growth 2.35 1.00 3 EquityNatixis Global Asset Management Funds ASG GLOBAL ALTERNATIVES FUND Y GAFYX Non-NTF Growth 1.35 None 1 EquityNatixis Global Asset Management Funds CGM ADVISOR TARGETED EQUITY CL A NEFGX Non-NTF Growth 1.19 5.75 3 EquityNatixis Global Asset Management Funds CGM ADVISOR TARGETED EQUITY CL C NEGCX Non-NTF Growth 1.95 1.00 3 EquityNatixis Global Asset Management Funds CGM ADVISOR TARGETED EQUITY FD CL Y NEGYX Non-NTF Growth 0.94 None 1 EquityNatixis Global Asset Management Funds GATEWAY FUND CL A GATEX Non-NTF Growth and Income 0.94 5.75 3 EquityNatixis Global Asset Management Funds GATEWAY FUND CLASS C GTECX Non-NTF Growth and Income 1.7 1.00 3 EquityNatixis Global Asset Management Funds GATEWAY FUND CLASS Y GTEYX Non-NTF Growth and Income 0.7 None 1 EquityNatixis Global Asset Management Funds HANSBERGER INTERNATIONAL FD C NEDCX Non-NTF Foreign Stock 2.44 1.00 3 EquityNatixis Global Asset Management Funds HANSBERGER INTERNL CL A NEFDX Non-NTF Foreign Stock 1.69 5.75 3 EquityNatixis Global Asset Management Funds HARRIS ASSOC LARGE CAP VALUE CL A NEFOX Non-NTF Growth and Income 1.3 5.75 3 EquityNatixis Global Asset Management Funds HARRIS ASSOC LARGE CAP VALUE CL C NECOX Non-NTF Growth and Income 2.05 1.00 3 BondNatixis Global Asset Management Funds HARRIS ASSOCIATES LARGE CAP VAL Y NEOYX Non-NTF Growth and Income 1.05 None 1 BondNatixis Global Asset Management Funds LOOMIS SAYLES CORE PLUS BD FD NECRX Non-NTF Corporate Bond - General 1.65 1.00 3 BondNatixis Global Asset Management Funds LOOMIS SAYLES CORE PLUS BD FD CL A NEFRX Non-NTF Corporate Bond - General 0.9 4.50 3 EquityNatixis Global Asset Management Funds LOOMIS SAYLES CORE PLUS BOND FUND CL Y NERYX Non-NTF Corporate Bond - General 0.65 None 1 EquityNatixis Global Asset Management Funds LOOMIS SAYLES DISCIPLINED CL A LSRRX Non-NTF Growth 1.25 5.75 3 EquityNatixis Global Asset Management Funds LOOMIS SAYLES DISCIPLINED CL C LSCCX Non-NTF Growth 2 1.00 3 EquityNatixis Global Asset Management Funds LOOMIS SAYLES DISCIPLINED CL Y LISRX Non-NTF Growth 0.85 None 1 EquityNatixis Global Asset Management Funds LOOMIS SAYLES GLOBAL MARKET CL C LGMCX Non-NTF Multi-Asset Global 2 1.00 3 EquityNatixis Global Asset Management Funds LOOMIS SAYLES GLOBAL MARKETS CL Y LSWWX Non-NTF Multi-Asset Global 1 None 1 EquityNatixis Global Asset Management Funds LOOMIS SAYLES GLOBAL MRTKS FD CL A LGMAX Non-NTF Multi-Asset Global 1.25 5.75 3 EquityNatixis Global Asset Management Funds LOOMIS SAYLES GROWTH CL A LGRRX Non-NTF Growth 1.25 5.75 3 EquityNatixis Global Asset Management Funds LOOMIS SAYLES GROWTH CL C LGRCX Non-NTF Growth 2 1.00 3 BondNatixis Global Asset Management Funds LOOMIS SAYLES GROWTH CL Y LSGRX Non-NTF Growth 0.75 None 1 BondNatixis Global Asset Management Funds LOOMIS SAYLES HIGH INCOME CL A NEFHX Non-NTF Corporate Bond - High Yield 1.15 4.50 3 BondNatixis Global Asset Management Funds LOOMIS SAYLES HIGH INCOME CL C NEHCX Non-NTF Corporate Bond - High Yield 1.9 1.00 3 BondNatixis Global Asset Management Funds LOOMIS SAYLES HIGH INCOME FUND CL Y NEHYX Non-NTF Corporate Bond - High Yield 0.9 None 1 BondNatixis Global Asset Management Funds LOOMIS SAYLES INTL BOND FUND CL A LSIAX Non-NTF Corporate Bond - General 1.1 4.50 3 BondNatixis Global Asset Management Funds LOOMIS SAYLES INTL BOND FUND CL C LSICX Non-NTF Corporate Bond - General 1.85 1.00 3 BondNatixis Global Asset Management Funds LOOMIS SAYLES INTL BOND FUND CL Y LSIYX Non-NTF Corporate Bond - General 0.85 None 1 BondNatixis Global Asset Management Funds LOOMIS SAYLES INVEST GRADE BOND CL C LGBCX Non-NTF Corporate Bond - General 1.56 1.00 3 BondNatixis Global Asset Management Funds LOOMIS SAYLES INVST GRADE BOND CL A LIGRX Non-NTF Corporate Bond - General 0.8 4.50 3 BondNatixis Global Asset Management Funds LOOMIS SAYLES INVST GRADE BOND CL Y LSIIX Non-NTF Corporate Bond - General 0.54 None 1 BondNatixis Global Asset Management Funds LOOMIS SAYLES LIMITD TRM GOVT/AGENCY CL C NECLX Non-NTF Government Bond - General 1.65 1.00 3 BondNatixis Global Asset Management Funds LOOMIS SAYLES LIMITD TRM GOVT/AGNCY CL A NEFLX Non-NTF Government Bond - General 0.9 3.00 3 EquityNatixis Global Asset Management Funds LOOMIS SAYLES LMTD TERM GOV'T & AGNY Y NELYX Non-NTF Government Bond - General 0.65 None 1 EquityNatixis Global Asset Management Funds LOOMIS SAYLES MID CAP GROWTH CLASS A LAGRX Non-NTF Growth 1.25 5.75 1 BondNatixis Global Asset Management Funds LOOMIS SAYLES MID CAP GROWTH CLASS Y LSAIX Non-NTF Growth 1 None 1 BondNatixis Global Asset Management Funds LOOMIS SAYLES STRATEGIC INC CL A NEFZX Non-NTF Multisector Bond 0.99 4.50 3 BondNatixis Global Asset Management Funds LOOMIS SAYLES STRATEGIC INC CL C NECZX Non-NTF Multisector Bond 1.74 1.00 3 EquityNatixis Global Asset Management Funds LOOMIS SAYLES STRATEGIC INC Y NEZYX Non-NTF Multisector Bond 0.72 None 1 EquityNatixis Global Asset Management Funds LOOMIS SAYLES VALUE CL A LSVRX Non-NTF Growth and Income 1.06 5.75 3 Equity

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Settlement Days

Security Class

Natixis Global Asset Management Funds LOOMIS SAYLES VALUE CL Y LSGIX Non-NTF Growth and Income 0.66 None 1 EquityNatixis Global Asset Management Funds LOOMIS SAYLES VALUE FUND CLASS C LSCVX Non-NTF Growth and Income 1.81 1.00 3 EquityNatixis Global Asset Management Funds NATIXIS INCOME DIVER PORTFOLIO CL C CIDPX Non-NTF Growth and Income 1.84 1.00 3 EquityNatixis Global Asset Management Funds NATIXIS INCOME DIVERS PORT CL A IIDPX Non-NTF Growth and Income 1.09 4.50 3 EquityNatixis Global Asset Management Funds NATIXIS US DIVERS PORTFOLIO CL A NEFSX Non-NTF Growth 1.4 5.75 3 EquityNatixis Global Asset Management Funds NATIXIS US DIVERS PORTFOLIO CL C NECCX Non-NTF Growth 2.15 1.00 3 EquityNatixis Global Asset Management Funds VAUGHAN NELSON SMALL CAP VALUE CL C NEJCX Non-NTF Growth 2.2 1.00 3 EquityNatixis Global Asset Management Funds VAUGHAN NELSON SMALL CAP VALUE CL Y NEJYX Non-NTF Growth 1.18 None 1 EquityNatixis Global Asset Management Funds VAUGHAN NELSON SMALL CAP VALUE FD CL A NEFJX Non-NTF Growth 1.45 5.75 3 EquityNatixis Global Asset Management Funds VAUGHAN NELSON VALUE OPPORTUITY FUND C VNVCX Non-NTF Growth 2.15 1.00 3 EquityNatixis Global Asset Management Funds VAUGHAN NELSON VALUE OPPORTUNITY CL A VNVAX Non-NTF Growth 1.4 5.75 3 BondNatixis Global Asset Management Funds VAUGHAN NELSON VALUE OPPORTUNITY FUND Y VNVYX Non-NTF Growth 1.15 None 1 EquityNeuberger Berman Funds NEUBERBER BERMAN STRATEGIC INC CL A NSTAX Non-NTF Corporate Bond - General 1.2 4.25 3 EquityNeuberger Berman Funds NEUBERGER BERMAN CLIMATE CHANGE CL A NBCAX Non-NTF Specialty - Natural Resources 1.22 5.75 3 BondNeuberger Berman Funds NEUBERGER BERMAN CLIMATE CHANGE CL C NBCCX Non-NTF Specialty - Natural Resources 1.97 1.00 3 BondNeuberger Berman Funds NEUBERGER BERMAN CORE BD FD CL A NCRAX Non-NTF Corporate Bond - High Quality 0.85 4.25 3 BondNeuberger Berman Funds NEUBERGER BERMAN CORE BD FD CL C NCRCX Non-NTF Corporate Bond - High Quality 1.61 1.00 3 BondNeuberger Berman Funds NEUBERGER BERMAN CORE BD INC CL NCRIX Non-NTF Corporate Bond - High Quality 0.86 None 1 BondNeuberger Berman Funds NEUBERGER BERMAN CORE BD INST CL NCRLX Non-NTF Corporate Bond - High Quality 0.45 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN DURATION BD INV CL NSBIX Non-NTF Corporate Bond - High Quality 0.7 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN EMERGING MKTS EQ A NEMAX Non-NTF Diversified Emerging Markets 1.53 5.75 3 EquityNeuberger Berman Funds NEUBERGER BERMAN EMERGING MRTS EQ C NEMCX Non-NTF Diversified Emerging Markets 2.28 1.00 3 EquityNeuberger Berman Funds NEUBERGER BERMAN EMRG MRKT EQ INSTL NEMIX Non-NTF Diversified Emerging Markets 1.28 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN EQUITY INC INSTL NBHIX Non-NTF Equity-Income 0.8 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN EQUITY INCOME CL C NBHCX Non-NTF Equity-Income 1.91 1.00 3 EquityNeuberger Berman Funds NEUBERGER BERMAN EQUITY INCOME FUND A NBHAX Non-NTF Equity-Income 1.16 5.75 3 EquityNeuberger Berman Funds NEUBERGER BERMAN FOCUS INVESTOR CL NBSSX Non-NTF Growth 0.99 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN GENESIS FUND INST CL NBGIX Non-NTF Small Company 0.85 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN GENESIS INVESTOR CL NBGNX Non-NTF Small Company 1.08 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN GUARDIAN FD INSTL CL NGDLX Non-NTF Growth 0.75 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN GUARDIAN FUND CL R3 NGDRX Non-NTF Growth 1.36 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN GUARDIAN INVESTOR CL NGUAX Non-NTF Growth 0.97 None 1 BondNeuberger Berman Funds NEUBERGER BERMAN GUARIDIAN FUND CL A NGDAX Non-NTF Growth 1.11 5.75 3 BondNeuberger Berman Funds NEUBERGER BERMAN HIGH INC BOND INSTL NHILX Non-NTF Corporate Bond - High Yield -999 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN HIGH INCOME BOND A NHIAX Non-NTF Corporate Bond - High Yield -999 4.25 3 BondNeuberger Berman Funds NEUBERGER BERMAN HIGH INCOME BOND C NHICX Non-NTF Corporate Bond - High Yield -999 1.00 3 EquityNeuberger Berman Funds NEUBERGER BERMAN HIGH INCOME BOND R3 NHIRX Non-NTF Corporate Bond - High Yield -999 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN INT ERNAT LARGE CAP INST NILIX Non-NTF Foreign Stock 0.92 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN INTERNATIONAL INSTL NBIIX Non-NTF Foreign Stock 0.81 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN INTERNATL LRG CAP R3 NBNRX Non-NTF Foreign Stock 1.52 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN INT'L INVESTOR CLASS NBISX Non-NTF Foreign Stock 1.4 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN INTNATL LARGE CAP A NBNAX Non-NTF Foreign Stock 1.29 5.75 3 EquityNeuberger Berman Funds NEUBERGER BERMAN LG CAP DISCIP GRWTH A NLDAX Non-NTF Growth 1.11 5.75 3 EquityNeuberger Berman Funds NEUBERGER BERMAN LG CAP DISCIP GRWTH C NLDCX Non-NTF Growth 1.86 1.00 3 EquityNeuberger Berman Funds NEUBERGER BERMAN LG CAP DISCIP GRWTH INV NBCIX Non-NTF Growth 1.34 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN LG CAP DISCIP INSTL CL NLDLX Non-NTF Growth 0.75 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN LR CAP DISCP GRWTH R3 NLDRX Non-NTF Growth 1.36 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN MID CAP GROWTH FUND CL A NMGAX Non-NTF Growth 1.11 5.75 3 EquityNeuberger Berman Funds NEUBERGER BERMAN MID CAP GROWTH FUND R3 NMGRX Non-NTF Growth 1.36 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN MID CAP GROWTH INSTL NBMLX Non-NTF Growth 0.75 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN MID CAP GRWTH INV CL NMANX Non-NTF Growth 1.11 None 1 BondNeuberger Berman Funds NEUBERGER BERMAN MULTI CAP OPPT INSTL NMULX Non-NTF Growth and Income -999 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN MUNI INT BD FD NMUIX Non-NTF Municipal Bond - National 0.64 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN PARTNERS INSTL CL NBPIX Non-NTF Growth 0.7 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN PARTNERS INVESTOR NPRTX Non-NTF Growth 0.89 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN REAL ESTATE CL I NBRIX Non-NTF Specialty - Real Estate 0.85 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN REGENCY INVESTOR NBRVX Non-NTF Growth 1.36 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN SELECT EQ INSTL CL NBEIX Non-NTF Growth 0.75 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN SELECT EQUITIES CL A NBEAX Non-NTF Growth 1.2 5.75 3 Equity

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Sales Charge

Settlement Days

Security Class

Neuberger Berman Funds NEUBERGER BERMAN SELECT EQUITIES CL C NBECX Non-NTF Growth 1.95 1.00 3 EquityNeuberger Berman Funds NEUBERGER BERMAN SMALL CAP FD INVT NBMIX Non-NTF Small Company 1.3 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN SMALL CAP GROWTH A NSNAX Non-NTF Small Company 1.26 5.75 3 EquityNeuberger Berman Funds NEUBERGER BERMAN SMALL CAP GROWTH R3 NSNRX Non-NTF Small Company 1.52 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN SOC RESPONSIVE INSTL CL NBSLX Non-NTF Growth 0.75 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN SOCIAL RESPONSIVE R3 NRARX Non-NTF Growth 1.36 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN SOCIALLY RESPONS INV NBSRX Non-NTF Growth 0.93 None 1 EquityNeuberger Berman Funds NEUBERGER BERMAN SOCIALLY RESPONSE A NRAAX Non-NTF Growth 1.11 5.75 3 BondNeuberger Berman Funds NEUBERGER BERMAN SOCIALLY RESPONSE C NRACX Non-NTF Growth 1.86 1.00 3 EquityNeuberger Berman Funds NEUBERGER BERMAN STRATEGIC INC CL C NSTCX Non-NTF Corporate Bond - General 1.9 1.00 3 EquityNeuberger Berman Funds NEUBERGER BERMAN STRATEGIC INC TRUST NSTTX Non-NTF Corporate Bond - General 1.14 None 1 EquityNeuberger Berman Funds NEUBERGER MULTI CAP OPPT FD CL A NMUAX Non-NTF Growth and Income -999 5.75 3 EquityNew Alternatives Funds NEW ALTERNATIVES FD NALFX Non-NTF Specialty - Unaligned 1.09 4.75 3 BondNew York Equity Fund NYSA FUND NYSAX Non-NTF Growth 3.95 2.50 1 EquityNicholas Applegate Funds NICHOLAS APLLEGATE US HIGH YLD BD CL I NAHYX Non-NTF Corporate Bond - High Yield 0.61 None 1 EquityNicholas Applegate Funds NICHOLAS APPLEGATE INTL GROWTH OPP I NAGPX Non-NTF Foreign Stock 1.41 None 3 EquityNicholas Applegate Funds NICHOLAS APPLEGATE INTL GROWTH OPP II NAIIX Non-NTF Foreign Stock 1.26 None 1 EquityNicholas Funds NICHOLAS EQUITY INCOME CL I NSEIX Non-NTF Equity-Income 0.9 None 1 BondNicholas Funds NICHOLAS FUND NICSX Non-NTF Growth 0.77 None 1 EquityNicholas Funds NICHOLAS HIGH INCOME FUND CL I NCINX Non-NTF Corporate Bond - High Yield 0.77 None 1 EquityNicholas Funds NICHOLAS II FUND CL I NCTWX Non-NTF Growth 0.72 None 1 EquityNicholas Funds NICHOLAS LTD EDITION CL I NCLEX Non-NTF Growth 0.97 None 1 EquityNomura Funds NOMURA ASIA PACIFIC EX JAPAN FUND CL A NPAAX Non-NTF Pacific Stock 1.85 5.75 1 EquityNomura Funds NOMURA GLOBAL ALPHA EQUITY FUND CLASS A NPGAX Non-NTF World Stock 1.85 5.75 1 EquityNomura Funds NOMURA GLOBAL EMER MARKETS CLASS A NPEAX Non-NTF World Stock 1.95 5.75 1 EquityNomura Funds NOMURA GLOBAL EQUITY INCOME CLASS A NPWAX Non-NTF World Stock 1.75 5.75 1 EquityNomura Funds NOMURA GREATER CHINA FUND CLASS A NPCAX Non-NTF Pacific Stock 1.95 5.75 1 EquityNomura Funds NOMURA INDIA FUND CLASS A NPIAX Non-NTF Foreign Stock 1.95 5.75 1 EquityNomura Funds NOMURA INTERNATIONAL EQUITY FUND CL A NPQAX Non-NTF World Stock 1.75 5.75 1 EquityNomura Funds NOMURA INTERNATIONAL GROWTH EQUITY CL A NPLAX Non-NTF Foreign Stock 1.21 5.75 1 EquityNomura Funds NOMURA JAPAN FUND CLASS A NPJAX Non-NTF Pacific Stock 1.85 5.75 1 BondNortheast Investors Funds NORTHEAST INVESTORS GROWTH FD INC NTHFX Non-NTF Growth 1.27 None 1 BondNorthern Funds NORTHERN BOND INDEX FUND NOBOX Non-NTF Income 0.25 None 1 EquityNorthern Funds NORTHERN CALIFORNIA MUNI MMKT FUND NOCXX Non-NTF None 0 EquityNorthern Funds NORTHERN EMERGING MARKETS EQUITY FD NOEMX Non-NTF Diversified Emerging Markets 0.76 None 1 EquityNorthern Funds NORTHERN ENHANCED LARGE CAP FD NOLCX Non-NTF Growth and Income 0.6 None 1 EquityNorthern Funds NORTHERN GLOBAL REAL ESTATE INDEX FD NGREX Non-NTF Growth and Income 0.65 None 1 BondNorthern Funds NORTHERN GLOBAL SUSTAINABILTY INDEX NSRIX Non-NTF Balanced 0.65 None 1 EquityNorthern Funds NORTHERN INSTIT FDS CORE BOND PORT A NOCBX Non-NTF Corporate Bond - General 0.36 None 1 BondNorthern Funds NORTHERN INSTL BOND FD CL A BBPAX Non-NTF Corporate Bond - General 0.36 None 1 EquityNorthern Funds NORTHERN INSTL SHORT BOND CLASS A BSBAX Non-NTF Corporate Bond - General 0.36 None 1 EquityNorthern Funds NORTHERN INSTL SML CO PORT CL A BSCAX Non-NTF Small Company 0.31 None 1 EquityNorthern Funds NORTHERN MONEY MARKET FUND NORXX Non-NTF None 0 EquityNorthern Funds NORTHERN MUNICIPAL MONEY MARKET FUND NOMXX Non-NTF None 0 EquityNorthern Funds NORTHERN SHORT INTERMEDIATE TAX EX NSITX Non-NTF Income 0.7 None 1 EquityNorthern Funds NORTHERN SMALL CAP INDEX FUND NSIDX Non-NTF Small Company 0.35 None 1 BondNorthern Funds NORTHERN STOCK INDEX NOSIX Non-NTF Growth and Income 0.25 None 1 BondNorthern Funds NORTHERN US GOV'T MONEY MARKET FUND NOGXX Non-NTF None 0 BondNorthern Funds NORTHERN US GOV'T SELECT MMKT FUND NOSXX Non-NTF None 0 BondNorthern Funds US TREASURY INDEX CLASS A BTIAX Non-NTF Government Bond - Treasury 0.26 None 1 BondNuveen Funds NUVEEN ALL AMERICAN MUNI BOND CLASS I FAARX Non-NTF Municipal Bond - National 0.59 None 3 BondNuveen Funds NUVEEN AZ MUNICIPAL BOND CL A FAZTX Non-NTF Municipal Bond - Single State 0.91 4.20 3 BondNuveen Funds NUVEEN AZ MUNICIPAL BOND CL C FAZCX Non-NTF Municipal Bond - Single State 1.45 1.00 3 BondNuveen Funds NUVEEN AZ MUNICIPAL BOND CL I NMARX Non-NTF Municipal Bond - Single State 0.71 None 3 BondNuveen Funds NUVEEN CALIFORNIA HIGH YIELD MUNI BD I NCHRX Non-NTF Municipal Bond - Single State 0.68 None 3 BondNuveen Funds NUVEEN CALIFORNIA HIGH YIELD MUNI CL C NCHCX Non-NTF Municipal Bond - Single State 1.43 1.00 3 BondNuveen Funds NUVEEN CALIFORNIA HIGH YLD MUNI BD A NCHAX Non-NTF Municipal Bond - Single State 0.87 4.20 3 BondNuveen Funds NUVEEN CALIFORNIA INSURED MUNI BD CL A NCAIX Non-NTF Municipal Bond - Single State 0.85 4.20 3 BondNuveen Funds NUVEEN CALIFORNIA INSURED MUNI BD CL C NCAKX Non-NTF Municipal Bond - Single State 1.4 1.00 3 Bond

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Sales Charge

Settlement Days

Security Class

Nuveen Funds NUVEEN CALIFORNIA INSURED MUNI BD CL I NCIBX Non-NTF Municipal Bond - Single State 0.65 None 3 BondNuveen Funds NUVEEN CALIFORNIA MUNICIPAL BOND CL A NCAAX Non-NTF Municipal Bond - Single State 0.83 4.20 3 BondNuveen Funds NUVEEN CALIFORNIA MUNICIPAL BOND CL C NCACX Non-NTF Municipal Bond - Single State 1.39 1.00 3 BondNuveen Funds NUVEEN CALIFORNIA MUNICIPAL BOND CL I NCSPX Non-NTF Municipal Bond - Single State 0.64 None 3 BondNuveen Funds NUVEEN CO MUNICIPAL BOND CL A FCOTX Non-NTF Municipal Bond - Single State 0.94 4.20 3 BondNuveen Funds NUVEEN CO MUNICIPAL BOND CL C FCOCX Non-NTF Municipal Bond - Single State 1.49 1.00 3 BondNuveen Funds NUVEEN COLORADO MUNI CLASS I FCORX Non-NTF Municipal Bond - Single State 0.73 None 3 BondNuveen Funds NUVEEN CONNECTICUT MUNICIPAL BOND CL A FCTTX Non-NTF Municipal Bond - Single State 0.82 4.20 3 BondNuveen Funds NUVEEN CONNECTICUT MUNICIPAL BOND CL C FCTCX Non-NTF Municipal Bond - Single State 1.37 1.00 3 EquityNuveen Funds NUVEEN CONNECTICUT MUNICIPAL BOND FD I FCTRX Non-NTF Municipal Bond - Single State 0.61 None 3 EquityNuveen Funds NUVEEN CONSERVATIVE ALLOCATION CL A NBMSX Non-NTF Balanced 0.63 5.75 3 EquityNuveen Funds NUVEEN CONSERVATIVE ALLOCATION CL C NBMCX Non-NTF Balanced 1.38 1.00 3 EquityNuveen Funds NUVEEN CONSERVATIVE ALLOCATION CL R3 NALTX Non-NTF Balanced 0.87 None 3 EquityNuveen Funds NUVEEN ENHANCED CORE EQUITY CL A NEEAX Non-NTF Growth 0.75 5.75 3 BondNuveen Funds NUVEEN ENHANCED MID CAP FUND CLASS A NDPAX Non-NTF Growth 0.79 5.75 3 BondNuveen Funds NUVEEN FL PREFERRED MUNI BOND FD CL A FLOTX Non-NTF Municipal Bond - Single State 0.83 4.20 3 BondNuveen Funds NUVEEN FL PREFERRED MUNI BOND FD CL C FLCTX Non-NTF Municipal Bond - Single State 1.38 1.00 3 BondNuveen Funds NUVEEN FL PREFERRED MUNI BOND FD CL I NMFLX Non-NTF Municipal Bond - Single State 0.63 None 3 BondNuveen Funds NUVEEN FLAGSHIP ALL AMERN MUNI BOND CL A FLAAX Non-NTF Municipal Bond - National 0.79 4.20 3 BondNuveen Funds NUVEEN FLAGSHIP ALL AMERN MUNI BOND CL C FAACX Non-NTF Municipal Bond - National 1.34 1.00 3 BondNuveen Funds NUVEEN FLAGSHIP HIGH YIELD MUNI BOND CL C NHMCX Non-NTF Municipal Bond - National 1.42 1.00 3 BondNuveen Funds NUVEEN FLAGSHIP INSURED MUNI BD CL A NMBIX Non-NTF Municipal Bond - National 0.78 4.20 3 BondNuveen Funds NUVEEN FLAGSHIP INSURED MUNI BD CL C NMBKX Non-NTF Municipal Bond - National 1.33 1.00 3 BondNuveen Funds NUVEEN FLAGSHIP LTD TERM MUNI BOND CL A FLTDX Non-NTF Municipal Bond - National 0.71 2.50 3 BondNuveen Funds NUVEEN FLAGSHIP LTD TERM MUNI BOND CL C FLTCX Non-NTF Municipal Bond - National 1.06 1.00 3 BondNuveen Funds NUVEEN GA MUNI BOND CLASS I FGARX Non-NTF Municipal Bond - Single State 0.62 None 3 BondNuveen Funds NUVEEN GA MUNICIPAL BOND CL A FGATX Non-NTF Municipal Bond - Single State 0.86 4.20 3 EquityNuveen Funds NUVEEN GA MUNICIPAL BOND CL C FGACX Non-NTF Municipal Bond - Single State 1.41 1.00 3 BondNuveen Funds NUVEEN GROWTH ALLOCATION CLASS A NGOAX Non-NTF Growth 0.79 5.75 3 EquityNuveen Funds NUVEEN GROWTH ALLOCATION CLASS C NGVCX Non-NTF Growth 1.53 1.00 3 BondNuveen Funds NUVEEN GROWTH ALLOCATION R3 NGATX Non-NTF Growth 0.9 None 3 EquityNuveen Funds NUVEEN HIGH YIELD BD FD CL A NHYAX Non-NTF Corporate Bond - High Yield 0.85 4.75 3 BondNuveen Funds NUVEEN HIGH YIELD BOND CL I NHYRX Non-NTF Corporate Bond - High Yield 0.6 None 3 BondNuveen Funds NUVEEN HIGH YIELD BOND FD CL C NHYCX Non-NTF Corporate Bond - High Yield 1.6 1.00 3 BondNuveen Funds NUVEEN HIGH YIELD MUNI CLASS A NHMAX Non-NTF Municipal Bond - National 0.87 4.20 3 BondNuveen Funds NUVEEN HIGH YIELD MUNICIPAL CLASS I NHMRX Non-NTF Municipal Bond - National 0.67 None 3 BondNuveen Funds NUVEEN INSURED MUNI BOND FD CL I NITNX Non-NTF Municipal Bond - National 0.58 None 3 BondNuveen Funds NUVEEN INTERMEDIATE DURATION MUNI BD C NNSCX Non-NTF Municipal Bond - National 1.31 1.00 3 BondNuveen Funds NUVEEN INTERMEDIATE DURATION MUNI BOND A NMBAX Non-NTF Municipal Bond - National 0.76 3.00 3 BondNuveen Funds NUVEEN INTERMEDIATE DURATION MUNI BOND I NUVBX Non-NTF Municipal Bond - National 0.55 None 3 BondNuveen Funds NUVEEN KANSAS MUNI BOND FUND CL I FRKSX Non-NTF Municipal Bond - Single State 0.64 None 3 BondNuveen Funds NUVEEN KENTUCKY MUNICIPAL BOND CL I FKYRX Non-NTF Municipal Bond - Single State 0.62 None 3 BondNuveen Funds NUVEEN KS MUNICIPAL BOND CL A FKSTX Non-NTF Municipal Bond - Single State 0.84 4.20 3 BondNuveen Funds NUVEEN KS MUNICIPAL BOND CL C FCKSX Non-NTF Municipal Bond - Single State 1.39 1.00 3 BondNuveen Funds NUVEEN KY MUNICIPAL BOND CL A FKYTX Non-NTF Municipal Bond - Single State 0.82 4.20 3 BondNuveen Funds NUVEEN KY MUNICIPAL BOND CL C FKYCX Non-NTF Municipal Bond - Single State 1.37 1.00 3 BondNuveen Funds NUVEEN LA MUNICIPAL BOND CL A FTLAX Non-NTF Municipal Bond - Single State 0.94 4.20 3 BondNuveen Funds NUVEEN LA MUNICIPAL BOND CL C FTLCX Non-NTF Municipal Bond - Single State 1.49 1.00 3 BondNuveen Funds NUVEEN LTD TERM MUNI BOND FUND CL I FLTRX Non-NTF Municipal Bond - National 0.51 None 3 BondNuveen Funds NUVEEN MASSACHUSETTS INSURED MUNI BD CL A NMAIX Non-NTF Municipal Bond - Single State 0.87 4.20 3 BondNuveen Funds NUVEEN MASSACHUSETTS INSURED MUNI BD CL C NMAKX Non-NTF Municipal Bond - Single State 1.42 1.00 3 BondNuveen Funds NUVEEN MASSACHUSETTS INSURED MUNI BD CL I NIMAX Non-NTF Municipal Bond - Single State 0.67 None 3 BondNuveen Funds NUVEEN MASSACHUSETTS MUNICIPAL BOND CL A NMAAX Non-NTF Municipal Bond - Single State 0.9 4.20 3 BondNuveen Funds NUVEEN MASSACHUSETTS MUNICIPAL BOND CL C NMACX Non-NTF Municipal Bond - Single State 1.46 1.00 3 BondNuveen Funds NUVEEN MASSACHUSETTS MUNICIPAL CLASS I NBMAX Non-NTF Municipal Bond - Single State 0.71 None 3 BondNuveen Funds NUVEEN MD MUNICIPAL BOND CL A NMDAX Non-NTF Municipal Bond - Single State 0.85 4.20 3 BondNuveen Funds NUVEEN MD MUNICIPAL BOND CL C NMDCX Non-NTF Municipal Bond - Single State 1.4 1.00 3 BondNuveen Funds NUVEEN MD MUNICIPAL BOND CL I NMMDX Non-NTF Municipal Bond - Single State 0.65 None 3 BondNuveen Funds NUVEEN MI MUNICIPAL BOND CL A FMITX Non-NTF Municipal Bond - Single State 0.86 4.20 3 Bond

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Sales Charge

Settlement Days

Security Class

Nuveen Funds NUVEEN MI MUNICIPAL BOND CL C FLMCX Non-NTF Municipal Bond - Single State 1.41 1.00 3 BondNuveen Funds NUVEEN MI MUNICIPAL BOND CL I NMMIX Non-NTF Municipal Bond - Single State 0.66 None 3 BondNuveen Funds NUVEEN MISSOURI MUNICIPAL BOND CL I FMMRX Non-NTF Municipal Bond - Single State 0.66 None 3 BondNuveen Funds NUVEEN MO MUNICIPAL BOND CL A FMOTX Non-NTF Municipal Bond - Single State 0.86 4.20 3 EquityNuveen Funds NUVEEN MO MUNICIPAL BOND CL C FMOCX Non-NTF Municipal Bond - Single State 1.41 1.00 3 EquityNuveen Funds NUVEEN MODERATE ALLOCATION CL R3 NMATX Non-NTF Balanced 0.79 None 3 EquityNuveen Funds NUVEEN MODERATE ALLOCATION CLASS A NNSAX Non-NTF Balanced 0.62 5.75 3 EquityNuveen Funds NUVEEN MODERATE ALLOCATION CLASS C NUVCX Non-NTF Balanced 1.37 1.00 3 EquityNuveen Funds NUVEEN MODERATE ALLOCATION CLASS I NNSRX Non-NTF Balanced 0.36 None 3 EquityNuveen Funds NUVEEN MULTI MANAGER LARGE CAP A NNGAX Non-NTF Growth and Income 1.14 5.75 3 EquityNuveen Funds NUVEEN MULTI MANAGER LARGE CAP C NNGCX Non-NTF Growth and Income 1.89 1.00 3 EquityNuveen Funds NUVEEN MULTI MANAGER LARGE CAP I NNGRX Non-NTF Growth and Income 1.45 None 3 BondNuveen Funds NUVEEN MULTI MANAGER LG CAP VALUE R3 NMMTX Non-NTF Growth and Income 0.89 None 3 BondNuveen Funds NUVEEN MULTI STRATEG CORE BOND FD CL I NCBRX Non-NTF Corporate Bond - General 0.5 None 3 EquityNuveen Funds NUVEEN MULTI STRATEGY CORE BD R3 NMSTX Non-NTF Corporate Bond - General 1 None 3 BondNuveen Funds NUVEEN MULTI STRATEGY CORE FD C NCBCX Non-NTF Corporate Bond - General 1.5 1.00 3 BondNuveen Funds NUVEEN MULTI-STRAT CORE FD CL A NCBAX Non-NTF Corporate Bond - General 0.75 3.75 3 BondNuveen Funds NUVEEN NC MUNICIPAL BOND CL A FLNCX Non-NTF Municipal Bond - Single State 0.87 4.20 3 BondNuveen Funds NUVEEN NC MUNICIPAL BOND CL C FCNCX Non-NTF Municipal Bond - Single State 1.36 1.00 3 BondNuveen Funds NUVEEN NC MUNICIPAL BOND CLASS I FCNRX Non-NTF Municipal Bond - Single State 0.67 None 3 BondNuveen Funds NUVEEN NEW JERSEY MUNICIPAL BOND CL A NNJAX Non-NTF Municipal Bond - Single State 0.83 4.20 3 BondNuveen Funds NUVEEN NEW JERSEY MUNICIPAL BOND CL C NNJCX Non-NTF Municipal Bond - Single State 1.38 1.00 3 BondNuveen Funds NUVEEN NEW JERSEY MUNICIPAL BOND CL I NMNJX Non-NTF Municipal Bond - Single State 0.63 None 3 BondNuveen Funds NUVEEN NEW MEXICO MUNI BOND FD CL I FNMRX Non-NTF Municipal Bond - Single State 0.7 None 3 BondNuveen Funds NUVEEN NEW YORK INSURED MUNI BD CL A NNYIX Non-NTF Municipal Bond - Single State 0.83 4.20 3 BondNuveen Funds NUVEEN NEW YORK INSURED MUNI BD CL C NNYKX Non-NTF Municipal Bond - Single State 1.38 1.00 3 BondNuveen Funds NUVEEN NEW YORK INSURED MUNI BD CL I NINYX Non-NTF Municipal Bond - Single State 0.63 None 3 BondNuveen Funds NUVEEN NEW YORK MUNICIPAL BOND CL A NNYAX Non-NTF Municipal Bond - Single State 0.83 4.20 3 BondNuveen Funds NUVEEN NEW YORK MUNICIPAL BOND CL C NNYCX Non-NTF Municipal Bond - Single State 1.38 1.00 3 BondNuveen Funds NUVEEN NEW YORK MUNICIPAL BOND CL I NTNYX Non-NTF Municipal Bond - Single State 0.63 None 3 BondNuveen Funds NUVEEN NM MUNICIPAL BOND CL A FNMTX Non-NTF Municipal Bond - Single State 0.89 4.20 3 EquityNuveen Funds NUVEEN NM MUNICIPAL BOND CL C FNMCX Non-NTF Municipal Bond - Single State 1.44 1.00 3 EquityNuveen Funds NUVEEN NWQ LARGE CAP VALUE FD CL C NQCCX Non-NTF Growth 2.1 1.00 3 EquityNuveen Funds NUVEEN NWQ LARGE CAP VALUE FD CL I NQCRX Non-NTF Growth 1.1 None 3 EquityNuveen Funds NUVEEN NWQ LARGE-CAP VALUE FUND CLASS A NQCAX Non-NTF Growth 1.35 5.75 3 EquityNuveen Funds NUVEEN NWQ MULTI CAP VALUE CL R3 NMCTX Non-NTF Growth 1.29 None 3 EquityNuveen Funds NUVEEN NWQ MULTI CAP VALUE CLASS A NQVAX Non-NTF Growth 1.5 5.75 3 EquityNuveen Funds NUVEEN NWQ MULTI CAP VALUE CLASS I NQVRX Non-NTF Growth 1.81 None 3 EquityNuveen Funds NUVEEN NWQ MULTI CAP VALUE FUND CLASS C NQVCX Non-NTF Growth 2.27 1.00 3 EquityNuveen Funds NUVEEN NWQ SMALL CAP VALUE CL I NSCRX Non-NTF Growth 1.24 None 3 EquityNuveen Funds NUVEEN NWQ SMALL CAP VALUE CL R3 NSCQX Non-NTF Growth -999 None 3 EquityNuveen Funds NUVEEN NWQ SMALL CAP VALUE FD CL C NSCCX Non-NTF Growth 2.23 1.00 3 EquityNuveen Funds NUVEEN NWQ SMALL CAP VALUE FD CLASS A NSCAX Non-NTF Growth 1.46 5.75 3 EquityNuveen Funds NUVEEN NWQ SMALL LG CAP VALUE CL R3 NQCQX Non-NTF Growth -999 None 3 EquityNuveen Funds NUVEEN NWQ SMALL MID CAP VAL FD CL A NSMAX Non-NTF Growth 1.45 5.75 3 EquityNuveen Funds NUVEEN NWQ SMALL/MID CAP VALUE FD CL I NSMRX Non-NTF Growth 1.2 None 3 BondNuveen Funds NUVEEN NWQ SMALL/MID CAP VALUE R3 NWQRX Non-NTF Growth -999 None 3 BondNuveen Funds NUVEEN OH MUNICIPAL BOND CL A FOHTX Non-NTF Municipal Bond - Single State 0.83 4.20 3 BondNuveen Funds NUVEEN OH MUNICIPAL BOND CL C FOHCX Non-NTF Municipal Bond - Single State 1.38 1.00 3 BondNuveen Funds NUVEEN OH MUNICIPAL BOND CL I NXOHX Non-NTF Municipal Bond - Single State 0.63 None 3 BondNuveen Funds NUVEEN PA MUNICIPAL BOND CL A FPNTX Non-NTF Municipal Bond - Single State 0.83 4.20 3 BondNuveen Funds NUVEEN PA MUNICIPAL BOND CL C FPMBX Non-NTF Municipal Bond - Single State 1.38 1.00 3 BondNuveen Funds NUVEEN PA MUNICIPAL BOND CL I NBPAX Non-NTF Municipal Bond - Single State 0.63 None 3 EquityNuveen Funds NUVEEN PREFERRED SECURITIES CL C NPSCX Non-NTF Growth and Income 1.69 1.00 3 EquityNuveen Funds NUVEEN PREFERRED SECURITIES FUND CL A NPSAX Non-NTF Growth and Income 0.94 4.75 3 BondNuveen Funds NUVEEN PREFERRED SECURITIES FUND CL I NPSRX Non-NTF Growth and Income 0.69 None 3 EquityNuveen Funds NUVEEN PREFERRED SECURITIES R3 NPSTX Non-NTF Growth and Income -999 None 3 EquityNuveen Funds NUVEEN SANTA BARBARA DIV GROWTH FD CL I NSBRX Non-NTF Growth and Income 1.05 None 3 EquityNuveen Funds NUVEEN SANTA BARBARA DIVIDEND GRWTH CL A NSBAX Non-NTF Growth and Income 1.29 5.75 3 Equity

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Settlement Days

Security Class

Nuveen Funds NUVEEN SANTA BARBARA DIVIDEND GRWTH CL C NSBCX Non-NTF Growth and Income 2.02 1.00 3 EquityNuveen Funds NUVEEN SANTA BARBARA DIVIDEND GRWTH R3 NBDRX Non-NTF Growth and Income 1.55 None 3 EquityNuveen Funds NUVEEN SANTA BARBARA GROWTH CL R3 NBGRX Non-NTF Growth 1.65 None 3 EquityNuveen Funds NUVEEN SANTA BARBARA GROWTH FD CL A NSAGX Non-NTF Growth 1.4 5.75 3 EquityNuveen Funds NUVEEN SANTA BARBARA GROWTH FD CL C NSRCX Non-NTF Growth 2.15 1.00 3 BondNuveen Funds NUVEEN SANTA BARBARA GROWTH FD CL I NSRGX Non-NTF Growth 1.14 None 3 BondNuveen Funds NUVEEN SHORT DURATION BD CL R3 NSDTX Non-NTF Corporate Bond - General 0.9 None 3 BondNuveen Funds NUVEEN SHORT DURATION BD FD CL C NSCDX Non-NTF Corporate Bond - General 1.4 1.00 3 BondNuveen Funds NUVEEN SHORT DURATION BOND FD I NSDRX Non-NTF Corporate Bond - General 0.4 None 3 EquityNuveen Funds NUVEEN SHORT DURATN BOND FD CL A NSDAX Non-NTF Corporate Bond - General 0.65 2.00 3 EquityNuveen Funds NUVEEN SYMPHONY INTL EQUITY CLASS A NSIAX Non-NTF Foreign Stock 1.37 5.75 3 EquityNuveen Funds NUVEEN SYMPHONY LG C AP VALUE FD CL A NSLAX Non-NTF Growth 1.3 5.75 3 EquityNuveen Funds NUVEEN SYMPHONY LG CAP GROWTH CL R3 NSGQX Non-NTF None 3 EquityNuveen Funds NUVEEN SYMPHONY LG CAP VALUE CL R3 NLCVX Non-NTF Growth 1.54 None 3 EquityNuveen Funds NUVEEN SYMPHONY MID CAP CORE CL A NCCAX Non-NTF Growth 1.4 5.75 3 EquityNuveen Funds NUVEEN SYMPHONY MID CAP CORE CL R3 NMCRX Non-NTF Growth 1.64 None 3 EquityNuveen Funds NUVEEN SYMPHONY OPTIMIZED ALPHA A NOPAX Non-NTF Growth 1.44 5.75 3 EquityNuveen Funds NUVEEN SYMPHONY OPTIMIZED ALPHA CL I NOPRX Non-NTF Growth 1.19 None 3 EquityNuveen Funds NUVEEN SYMPHONY SMALL MID CAP CORE A NSSAX Non-NTF Growth 1.49 5.75 3 BondNuveen Funds NUVEEN SYMPHONY SM-M ID CAP CORE CL R3 NSMFX Non-NTF Growth 1.75 None 3 BondNuveen Funds NUVEEN TENNESSEE MUNI BOND CL I FTNRX Non-NTF Municipal Bond - Single State 0.62 None 3 BondNuveen Funds NUVEEN TN MUNICIPAL BOND CL A FTNTX Non-NTF Municipal Bond - Single State 0.82 4.20 3 EquityNuveen Funds NUVEEN TN MUNICIPAL BOND CL C FTNCX Non-NTF Municipal Bond - Single State 1.37 1.00 3 EquityNuveen Funds NUVEEN TRADEWINDS EMERGING MRKTS R3 NTERX Non-NTF Growth 2.1 None 3 EquityNuveen Funds NUVEEN TRADEWINDS GL ALL CAP PLUS CL I NPTIX Non-NTF Growth 1.92 None 3 EquityNuveen Funds NUVEEN TRADEWINDS GL OBAL RESOURCES CL A NTGAX Non-NTF Specialty - Natural Resources 1.6 5.75 3 EquityNuveen Funds NUVEEN TRADEWINDS GLB ALL CAP PLUS R3 NTPRX Non-NTF Growth 2.5 None 3 EquityNuveen Funds NUVEEN TRADEWINDS GLOBAL ALL CAP CL A NWGAX Non-NTF World Stock 1.4 5.75 3 EquityNuveen Funds NUVEEN TRADEWINDS GLOBAL ALL CAP CL C NWGCX Non-NTF World Stock 2.15 1.00 3 EquityNuveen Funds NUVEEN TRADEWINDS GLOBAL ALL CAP R3 NGARX Non-NTF World Stock 1.66 None 3 EquityNuveen Funds NUVEEN TRADEWINDS GLOBAL ALLCAP CL I NWGRX Non-NTF World Stock 1.15 None 3 EquityNuveen Funds NUVEEN TRADEWINDS GLOBAL RESOURCES C NTGCX Non-NTF Specialty - Natural Resources 2.35 1.00 3 EquityNuveen Funds NUVEEN TRADEWINDS GLOBAL RESOURCES R3 NTGQX Non-NTF None 3 EquityNuveen Funds NUVEEN TRADEWINDS INTL VALUE CL A NAIGX Non-NTF Foreign Stock 1.68 5.75 3 EquityNuveen Funds NUVEEN TRADEWINDS INTL VALUE CL C NCIGX Non-NTF Foreign Stock 2.42 1.00 3 EquityNuveen Funds NUVEEN TRADEWINDS INTL VALUE CL I NGRRX Non-NTF Foreign Stock 1.43 None 3 EquityNuveen Funds NUVEEN TRADEWINDS INTL VALUE CL R3 NTITX Non-NTF Foreign Stock 1.94 None 3 EquityNuveen Funds NUVEEN TRADEWINDS VALUE OPP CL C NVOCX Non-NTF Growth 2.22 1.00 3 EquityNuveen Funds NUVEEN TRADEWINDS VALUE OPP FD A NVOAX Non-NTF Growth 1.48 5.75 3 EquityNuveen Funds NUVEEN TRADEWINDS VALUE OPP FD CL I NVORX Non-NTF Growth 1.23 None 3 BondNuveen Funds NUVEEN TRADEWINDS VALUE OPPT R3 NTVTX Non-NTF Growth 1.75 None 3 BondNuveen Funds NUVEEN VA MUNICIPAL BOND CL A FVATX Non-NTF Municipal Bond - Single State 0.85 4.20 3 BondNuveen Funds NUVEEN VA MUNICIPAL BOND CL C FVACX Non-NTF Municipal Bond - Single State 1.41 1.00 3 BondNuveen Funds NUVEEN VA MUNICIPAL BOND CL I NMVAX Non-NTF Municipal Bond - Single State 0.65 None 3 BondNuveen Funds NUVEEN WI MUNICIPAL BOND CL A FWIAX Non-NTF Municipal Bond - Single State 0.87 4.20 3 EquityNuveen Funds NUVEEN WI MUNICIPAL BOND CL C FWICX Non-NTF Municipal Bond - Single State 1.42 1.00 3 EquityOberweis Funds OBERWEIS MICRO CAP FUND OBMCX Non-NTF Small Company 1.68 None 1 EquityOCM Funds OCM GOLD FUND OCMGX Non-NTF Specialty - Precious Metals 1.94 4.50 1 EquityOld Mutual Funds OLD MUTAL HEITMAN REIT FUND CL A OARTX Non-NTF Specialty - Real Estate 1.4 5.75 1 EquityOld Mutual Funds OLD MUTUAL ANALYTIC DEFENSIVE EQUITY A ANAEX Non-NTF Growth and Income 2.07 5.75 3 EquityOld Mutual Funds OLD MUTUAL ANALYTIC DEFENSIVE EQUITY C ANCEX Non-NTF Growth and Income 2.82 1.00 3 EquityOld Mutual Funds OLD MUTUAL ANALYTIC INSTL ANIEX Non-NTF Growth and Income 1.77 None 3 EquityOld Mutual Funds OLD MUTUAL ANALYTIC US LONG/SHORT CL A OADEX Non-NTF Growth 2.03 5.75 1 EquityOld Mutual Funds OLD MUTUAL ANALYTIC US LONG/SHORT INSTL OISLX Non-NTF Growth 1.71 None 3 EquityOld Mutual Funds OLD MUTUAL ASSET ALLOC BAL PORT CL C OMBCX Non-NTF Growth and Income 1.4 1.00 3 EquityOld Mutual Funds OLD MUTUAL ASSET ALLOC BAL PORT CL I OMGIX Non-NTF Growth 0.31 None 3 EquityOld Mutual Funds OLD MUTUAL ASSET ALLOC BALANCED CL A OMABX Non-NTF Growth and Income 0.65 5.75 3 BondOld Mutual Funds OLD MUTUAL ASSET ALLOC CONSERV CL I OMCIX Non-NTF Income 0.4 None 3 EquityOld Mutual Funds OLD MUTUAL ASSET ALLOC CONSERV PORT A OMCAX Non-NTF Income 0.65 5.75 3 Equity

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Security Class

Old Mutual Funds OLD MUTUAL ASSET ALLOC CONSERV PORT C OMCCX Non-NTF Income 1.41 1.00 3 EquityOld Mutual Funds OLD MUTUAL ASSET ALLOC GROWTH CL C OMCGX Non-NTF Growth 1.31 1.00 3 EquityOld Mutual Funds OLD MUTUAL ASSET ALLOC GROWTH PORT A OMGAX Non-NTF Growth 0.56 5.75 3 EquityOld Mutual Funds OLD MUTUAL ASSET ALLOC GRW PORT CL I OMBLX Non-NTF Growth and Income 0.4 None 3 EquityOld Mutual Funds OLD MUTUAL ASSET ALLOC MOD GROWTH A OMMAX Non-NTF Growth 0.57 5.75 3 EquityOld Mutual Funds OLD MUTUAL ASSET ALLOC MOD GROWTH C OMMCX Non-NTF Growth 1.32 1.00 3 BondOld Mutual Funds OLD MUTUAL ASSET ALLOC MOD GROWTH I OMMIX Non-NTF Growth 0.32 None 3 EquityOld Mutual Funds OLD MUTUAL BARROW HANLEY CORE BD INSTL OCBIX Non-NTF Income 0.7 None 3 EquityOld Mutual Funds OLD MUTUAL BARROW HANLEY VALUE - INSTL OIBHX Non-NTF Growth 0.9 None 3 EquityOld Mutual Funds OLD MUTUAL BARROW HANLEY VALUE CL A OAFOX Non-NTF Growth 1.35 5.75 1 EquityOld Mutual Funds OLD MUTUAL COPPER ROCK EMERG GRTH A OMARX Non-NTF Growth 1.67 5.75 3 BondOld Mutual Funds OLD MUTUAL COPPER ROCK EMERG GRTH INST OMIRX Non-NTF Growth 1.22 None 3 EquityOld Mutual Funds OLD MUTUAL DWIGHT HIGH YIELD INSTL ODHYX Non-NTF Income 0.8 None 1 BondOld Mutual Funds OLD MUTUAL DWIGHT IN TRMD FIXED INC INSTL OIDIX Non-NTF Income 0.5 None 3 BondOld Mutual Funds OLD MUTUAL DWIGHT INTERMD FIXED INC A OAFJX Non-NTF Income 0.83 4.75 1 BondOld Mutual Funds OLD MUTUAL DWIGHT INTERMED FIXED INC C OCIRX Non-NTF Income 1.58 1.00 1 BondOld Mutual Funds OLD MUTUAL DWIGHT SH TRM FIXED INC INSTL OIDSX Non-NTF Corporate Bond - High Quality 0.55 None 3 BondOld Mutual Funds OLD MUTUAL DWIGHT SHORT TERM FXD INC A OIRAX Non-NTF Corporate Bond - High Quality 0.95 3.00 1 EquityOld Mutual Funds OLD MUTUAL DWIGHT SHRT TRM INC FD C OIRCX Non-NTF Corporate Bond - High Quality 1.45 1.00 1 EquityOld Mutual Funds OLD MUTUAL FOCUSED F UND - INSTL OIFCX Non-NTF Growth 0.71 None 3 EquityOld Mutual Funds OLD MUTUAL FOCUSED FUND CL A OAFCX Non-NTF Growth 1.35 5.75 1 EquityOld Mutual Funds OLD MUTUAL HEITMAN REIT FUDN - INSTL OIHRX Non-NTF Specialty - Real Estate 0.91 None 3 EquityOld Mutual Funds OLD MUTUAL INTL EQUITY FD CL A OMXAX Non-NTF Foreign Stock 1.52 5.75 3 EquityOld Mutual Funds OLD MUTUAL INTL EQUITY FD INSTL CL OMXIX Non-NTF Foreign Stock 1.02 None 3 EquityOld Mutual Funds OLD MUTUAL LARGE CAP CONCENTRD CL A OLGBX Non-NTF Growth 1.5 5.75 1 EquityOld Mutual Funds OLD MUTUAL LARGE CAP GROWTH CONCNTD INSTL OILLX Non-NTF Growth 0.95 None 3 EquityOld Mutual Funds OLD MUTUAL STRATEGIC SMALL CO FUND CL A OSSAX Non-NTF Small Company 1.5 5.75 1 EquityOld Mutual Funds OLD MUTUAL STRATEGIC SMALL CO. - INSTL OISSX Non-NTF Small Company 0.95 None 3 EquityOld Mutual Funds OLD MUTUAL TS&W MID CAP VALUE FUND CL A OTMAX Non-NTF Growth 1.4 5.75 3 EquityOld Mutual Funds OLD MUTUAL TS&W MID CAP VALUE FUND INSTL OTMIX Non-NTF Growth 1 None 3 EquityOld Mutual Funds OLD MUTUAL TS&W SMALL CAP FD CL A OACVX Non-NTF Growth 1.53 5.75 1 EquityOld Mutual Funds OLD MUTUAL TS&W SMALL CAP VALUE INST OICVX Non-NTF Growth 1.09 None 1 EquityOlstein Funds ALL CAP VALUE CLASS C OFALX Non-NTF Growth 2.33 1.00 3 EquityOlstein Funds THE OLSTEIN STRAT OPPORTUNITIES CL A OFSAX Non-NTF Growth 1.6 5.50 3 BondOlstein Funds THE OLSTEIN STRAT OPPORTUNITIES CL C OFSCX Non-NTF Growth 2.35 1.00 3 BondOppenheimer Funds LIMITED TERM NY MUNI CLASS B LTBBX Non-NTF Municipal Bond - Single State 1.92 4.00 3 EquityOppenheimer Funds LIMITED TERM NY MUNI CLASS C LTNCX Non-NTF Municipal Bond - Single State 1.76 1.00 3 EquityOppenheimer Funds OPPENHEIMER ACTIVE ALLOCATION CL N OAANX Non-NTF Growth 0.74 1.00 3 BondOppenheimer Funds OPPENHEIMER ACTIVE ALLOCATION CLASS B OAABX Non-NTF Growth 1.35 5.00 3 BondOppenheimer Funds OPPENHEIMER AMT-FREE MUNICIPAL BOND CL A OPTAX Non-NTF Municipal Bond - National 1.68 4.75 3 BondOppenheimer Funds OPPENHEIMER AMT-FREE MUNICIPAL BOND CL B OTFBX Non-NTF Municipal Bond - National 2.56 5.00 3 BondOppenheimer Funds OPPENHEIMER AMT-FREE MUNICIPAL BOND CL C OMFCX Non-NTF Municipal Bond - National 2.47 1.00 3 BondOppenheimer Funds OPPENHEIMER AMT-FREE NY MUNI CLASS A OPNYX Non-NTF Municipal Bond - Single State 1.42 4.75 3 BondOppenheimer Funds OPPENHEIMER AMT-FREE NY MUNI CLASS B ONYBX Non-NTF Municipal Bond - Single State 2.28 5.00 3 EquityOppenheimer Funds OPPENHEIMER AMT-FREE NY MUNI CLASS C ONYCX Non-NTF Municipal Bond - Single State 2.2 1.00 3 EquityOppenheimer Funds OPPENHEIMER APPRECIATION CLASS Y OTCYX Non-NTF Growth 0.78 None 3 EquityOppenheimer Funds OPPENHEIMER BALANCED FUND CL A OPASX Non-NTF Balanced 1.23 5.75 3 EquityOppenheimer Funds OPPENHEIMER BALANCED FUND CL B OASBX Non-NTF Balanced 2.16 5.00 3 EquityOppenheimer Funds OPPENHEIMER BALANCED FUND CL C OASCX Non-NTF Balanced 2.12 1.00 3 BondOppenheimer Funds OPPENHEIMER BALANCED FUND CL N OASNX Non-NTF Balanced 1.58 1.00 3 EquityOppenheimer Funds OPPENHEIMER BARING JAPAN FD CL Y OBJYX Non-NTF None 3 BondOppenheimer Funds OPPENHEIMER BARING SMA INTL FD CL W OSMGX Non-NTF None 3 BondOppenheimer Funds OPPENHEIMER CALIF MUNICIPAL CLASS A OPCAX Non-NTF Municipal Bond - Single State 1.88 4.75 3 BondOppenheimer Funds OPPENHEIMER CALIF MUNICIPAL CLASS B OCABX Non-NTF Municipal Bond - Single State 2.73 5.00 3 EquityOppenheimer Funds OPPENHEIMER CALIF MUNICIPAL CLASS C OCACX Non-NTF Municipal Bond - Single State 2.66 1.00 3 EquityOppenheimer Funds OPPENHEIMER CAP APPRECIATION CL N OTCNX Non-NTF Growth 1.45 1.00 3 EquityOppenheimer Funds OPPENHEIMER CAPITAL APPRECIATION CLASS A OPTFX Non-NTF Growth 1.19 5.75 3 EquityOppenheimer Funds OPPENHEIMER CAPITAL APPRECIATION CLASS B OTGBX Non-NTF Growth 1.97 5.00 3 EquityOppenheimer Funds OPPENHEIMER CAPITAL APPRECIATION CLASS C OTFCX Non-NTF Growth 1.95 1.00 3 Equity

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Security Class

Oppenheimer Funds OPPENHEIMER CAPITAL INCOME CLASS A OPPEX Non-NTF Equity-Income 0.94 5.75 3 EquityOppenheimer Funds OPPENHEIMER CAPITAL INCOME CLASS B OPEBX Non-NTF Equity-Income 1.85 5.00 3 EquityOppenheimer Funds OPPENHEIMER CASH RESVS CLASS A CRSXX Non-NTF None 3 BondOppenheimer Funds OPPENHEIMER CASH RESVS CLASS B CRBXX Non-NTF 5.00 3 BondOppenheimer Funds OPPENHEIMER CHAMPION INCOME CLASS A OPCHX Non-NTF Corporate Bond - High Yield 1.21 4.75 3 BondOppenheimer Funds OPPENHEIMER CHAMPION INCOME CLASS B OCHBX Non-NTF Corporate Bond - High Yield 2.07 5.00 3 BondOppenheimer Funds OPPENHEIMER CHAMPION INCOME CLASS C OCHCX Non-NTF Corporate Bond - High Yield 1.97 1.00 3 EquityOppenheimer Funds OPPENHEIMER CHAMPION INCOME CLASS N OCHNX Non-NTF Corporate Bond - High Yield 1.45 1.00 3 EquityOppenheimer Funds OPPENHEIMER CHAMPION INCOME FD CL Y OCHYX Non-NTF Corporate Bond - High Yield 0.61 None 3 EquityOppenheimer Funds OPPENHEIMER COMMOD STRA TOT RETURN CL A QRAAX Non-NTF Growth and Income 1.23 5.75 3 EquityOppenheimer Funds OPPENHEIMER COMMOD STRA TOT RETURN CL B QRABX Non-NTF Growth and Income 2.01 5.00 3 EquityOppenheimer Funds OPPENHEIMER COMMOD STRA TOT RETURN CL C QRACX Non-NTF Growth and Income 1.99 1.00 3 BondOppenheimer Funds OPPENHEIMER COMMOD STRA TOT RETURN CL N QRANX Non-NTF Growth and Income 1.47 1.00 1 EquityOppenheimer Funds OPPENHEIMER COMMOD STRA TOT RETURN CL Y QRAYX Non-NTF Growth and Income 0.73 None 3 BondOppenheimer Funds OPPENHEIMER CONSERVA TIVE INVESTOR CL Y OYCIX Non-NTF Income 0.09 None 3 BondOppenheimer Funds OPPENHEIMER CORE BOND CLASS A OPIGX Non-NTF Corporate Bond - General 0.82 4.75 3 BondOppenheimer Funds OPPENHEIMER CORE BOND CLASS B OIGBX Non-NTF Corporate Bond - General 1.57 5.00 3 BondOppenheimer Funds OPPENHEIMER CORE BOND CLASS C OPBCX Non-NTF Corporate Bond - General 1.56 1.00 3 EquityOppenheimer Funds OPPENHEIMER CORE BOND CLASS N OPBNX Non-NTF Corporate Bond - General 1.07 1.00 3 EquityOppenheimer Funds OPPENHEIMER CORE BOND FD CL Y OPBYX Non-NTF Corporate Bond - General 0.51 None 3 EquityOppenheimer Funds OPPENHEIMER DEV MARKETS CL N ODVNX Non-NTF Diversified Emerging Markets 1.77 1.00 1 EquityOppenheimer Funds OPPENHEIMER DEV MARKETS FD CLASS A ODMAX Non-NTF Diversified Emerging Markets 1.43 5.75 3 EquityOppenheimer Funds OPPENHEIMER DEV MARKETS FD CLASS B ODVBX Non-NTF Diversified Emerging Markets 2.22 5.00 3 EquityOppenheimer Funds OPPENHEIMER DEV MARKETS FD CLASS C ODVCX Non-NTF Diversified Emerging Markets 2.13 1.00 3 EquityOppenheimer Funds OPPENHEIMER DISCOVERY CLASS A OPOCX Non-NTF Small Company 1.35 5.75 3 EquityOppenheimer Funds OPPENHEIMER DISCOVERY CLASS B ODIBX Non-NTF Small Company 2.12 5.00 3 EquityOppenheimer Funds OPPENHEIMER DISCOVERY CLASS C ODICX Non-NTF Small Company 2.08 1.00 3 EquityOppenheimer Funds OPPENHEIMER DISCOVERY CLASS N ODINX Non-NTF Small Company 1.56 1.00 3 EquityOppenheimer Funds OPPENHEIMER DISCOVERY FD CL Y ODIYX Non-NTF Small Company 1.07 None 3 EquityOppenheimer Funds OPPENHEIMER EMERGING GROWTH CL B OEGBX Non-NTF Growth 2.29 5.00 3 EquityOppenheimer Funds OPPENHEIMER EMERGING GROWTH CL C OEGCX Non-NTF Growth 2.23 1.00 3 EquityOppenheimer Funds OPPENHEIMER EMERGING GROWTH CLASS A OEGAX Non-NTF Growth 1.46 5.75 3 EquityOppenheimer Funds OPPENHEIMER EMERGING GROWTH CLASS N OEGNX Non-NTF Growth 1.71 1.00 3 EquityOppenheimer Funds OPPENHEIMER EMERGING GROWTH FD CL Y OEGYX Non-NTF Growth 0.86 None 3 EquityOppenheimer Funds OPPENHEIMER EQUITY CLASS A OEQAX Non-NTF Growth and Income 1.03 5.75 3 EquityOppenheimer Funds OPPENHEIMER EQUITY CLASS B OEQBX Non-NTF Growth and Income 1.97 5.00 3 EquityOppenheimer Funds OPPENHEIMER EQUITY CLASS C OEQCX Non-NTF Growth and Income 2.02 1.00 3 EquityOppenheimer Funds OPPENHEIMER EQUITY CLASS N OEQNX Non-NTF Growth and Income 1.54 1.00 3 EquityOppenheimer Funds OPPENHEIMER EQUITY FUND CLASS Y OEQYX Non-NTF Growth and Income 0.88 None 3 EquityOppenheimer Funds OPPENHEIMER EQUITY INC CL A OAEIX Non-NTF Growth 1.36 5.75 3 EquityOppenheimer Funds OPPENHEIMER EQUITY INC CL B OBEIX Non-NTF Growth 2.22 5.00 3 EquityOppenheimer Funds OPPENHEIMER EQUITY INC CL C OCEIX Non-NTF Growth 2.17 1.00 3 EquityOppenheimer Funds OPPENHEIMER EQUITY INC CL N ONEIX Non-NTF Growth 1.67 1.00 3 EquityOppenheimer Funds OPPENHEIMER EQUITY INVESTORS FD CL Y OYAIX Non-NTF Growth 0.03 None 3 EquityOppenheimer Funds OPPENHEIMER GLOBAL CLASS N OGLNX Non-NTF World Stock 1.55 1.00 3 EquityOppenheimer Funds OPPENHEIMER GLOBAL FD CLASS A OPPAX Non-NTF World Stock 1.26 5.75 3 EquityOppenheimer Funds OPPENHEIMER GLOBAL FD CLASS B OGLBX Non-NTF World Stock 2.08 5.00 3 EquityOppenheimer Funds OPPENHEIMER GLOBAL FD CLASS C OGLCX Non-NTF World Stock 2.03 1.00 3 EquityOppenheimer Funds OPPENHEIMER GLOBAL FUND CLASS Y OGLYX Non-NTF World Stock 0.85 None 3 EquityOppenheimer Funds OPPENHEIMER GLOBAL OPPORTUNITIES CL A OPGIX Non-NTF Multi-Asset Global 1.33 5.75 3 EquityOppenheimer Funds OPPENHEIMER GLOBAL OPPORTUNITIES CL B OGGIX Non-NTF Multi-Asset Global 2.13 5.00 3 EquityOppenheimer Funds OPPENHEIMER GLOBAL OPPORTUNITIES CL C OGICX Non-NTF Multi-Asset Global 2.09 1.00 3 EquityOppenheimer Funds OPPENHEIMER GLOBAL OPPORTUNITIES CL N OGINX Non-NTF Multi-Asset Global 1.59 1.00 3 EquityOppenheimer Funds OPPENHEIMER GLOBAL OPPORTUNITIES CL Y OGIYX Non-NTF Multi-Asset Global 0.98 None 3 EquityOppenheimer Funds OPPENHEIMER GOLD & SPEC MINERALS CL A OPGSX Non-NTF Specialty - Precious Metals 1.19 5.75 3 EquityOppenheimer Funds OPPENHEIMER GOLD & SPEC MINERALS CL B OGMBX Non-NTF Specialty - Precious Metals 2.03 5.00 3 EquityOppenheimer Funds OPPENHEIMER GOLD & SPEC MINERALS CL C OGMCX Non-NTF Specialty - Precious Metals 1.96 1.00 3 EquityOppenheimer Funds OPPENHEIMER GOLD & SPL MINERALS CL N OGMNX Non-NTF Specialty - Precious Metals 1.52 1.00 3 EquityOppenheimer Funds OPPENHEIMER INTENATL SMALL COMPANY FUND Y OSMYX Non-NTF Foreign Stock 0.95 None 3 Equity

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Settlement Days

Security Class

Oppenheimer Funds OPPENHEIMER INTER DIVER FD CLAS A OIDAX Non-NTF Growth and Income 0.57 5.75 3 EquityOppenheimer Funds OPPENHEIMER INTER DIVERSIFIED FD CL N OIDNX Non-NTF Growth and Income 0.88 1.00 3 BondOppenheimer Funds OPPENHEIMER INTER'L SMALL COMPANY CL N OSMNX Non-NTF Foreign Stock 1.69 1.00 3 EquityOppenheimer Funds OPPENHEIMER INTERNAT'L BD CL N OIBNX Non-NTF Worldwide Bond 1.38 1.00 3 BondOppenheimer Funds OPPENHEIMER INTERNAT'L GROW CL N OIGNX Non-NTF Foreign Stock 1.58 1.00 3 BondOppenheimer Funds OPPENHEIMER INT'L BOND CLASS A OIBAX Non-NTF Worldwide Bond 0.98 4.75 3 BondOppenheimer Funds OPPENHEIMER INT'L BOND CLASS B OIBBX Non-NTF Worldwide Bond 1.85 5.00 3 BondOppenheimer Funds OPPENHEIMER INT'L BOND CLASS C OIBCX Non-NTF Worldwide Bond 1.7 1.00 3 EquityOppenheimer Funds OPPENHEIMER INTL BOND FD CL Y OIBYX Non-NTF Worldwide Bond 0.61 None 3 EquityOppenheimer Funds OPPENHEIMER INTL DIVERSIFIED FD CL B OIDBX Non-NTF Growth and Income 1.43 5.00 3 EquityOppenheimer Funds OPPENHEIMER INTL DIVERSIFIED FD CL C OIDCX Non-NTF Growth and Income 1.33 1.00 3 EquityOppenheimer Funds OPPENHEIMER INTL DIVERSIFIED FD CL Y OIDYX Non-NTF Growth and Income 0.21 None 3 EquityOppenheimer Funds OPPENHEIMER INT'L GROWTH CLASS A OIGAX Non-NTF Foreign Stock 1.34 5.75 3 EquityOppenheimer Funds OPPENHEIMER INT'L GROWTH CLASS B IGRWX Non-NTF Foreign Stock 2.13 5.00 3 EquityOppenheimer Funds OPPENHEIMER INT'L GROWTH CLASS C OIGCX Non-NTF Foreign Stock 2.1 1.00 3 EquityOppenheimer Funds OPPENHEIMER INTL GROWTH FD Y OIGYX Non-NTF Foreign Stock 0.82 None 3 EquityOppenheimer Funds OPPENHEIMER INTL SMALL COMPANY CL A OSMAX Non-NTF Foreign Stock 1.41 5.75 3 EquityOppenheimer Funds OPPENHEIMER INTL SMALL COMPANY CL B OSMBX Non-NTF Foreign Stock 2.23 5.00 3 EquityOppenheimer Funds OPPENHEIMER INTL SMALL COMPANY CL C OSMCX Non-NTF Foreign Stock 2.19 1.00 3 EquityOppenheimer Funds OPPENHEIMER INTL VALUE FD CL Y OIVYX Non-NTF None 3 EquityOppenheimer Funds OPPENHEIMER LIFECYCL E TRANS 2040 FD CL A OTIAX Non-NTF Growth and Income 0.85 5.75 3 EquityOppenheimer Funds OPPENHEIMER LIFECYCL TRANSITION 2020 CL B OTWBX Non-NTF Growth and Income 1.58 5.00 3 BondOppenheimer Funds OPPENHEIMER LIFECYCL TRANSITION 2030 CL N OTHNX Non-NTF Growth and Income 0.97 1.00 3 BondOppenheimer Funds OPPENHEIMER LIMITED TERM CA MUNI BD CL A OLCAX Non-NTF Municipal Bond - Single State 1.43 3.50 3 BondOppenheimer Funds OPPENHEIMER LIMITED TERM CALI MUNI CL B OLCBX Non-NTF Municipal Bond - Single State 2.45 4.00 3 BondOppenheimer Funds OPPENHEIMER LIMITED TERM CALI MUNI CL C OLCCX Non-NTF Municipal Bond - Single State 2.23 1.00 3 BondOppenheimer Funds OPPENHEIMER LIMITED TERM GOV'T CL N OLTNX Non-NTF Government Bond - General 0.95 1.00 3 BondOppenheimer Funds OPPENHEIMER LIMITED TERM GOV'T CLASS A OPGVX Non-NTF Government Bond - General 0.7 3.50 3 BondOppenheimer Funds OPPENHEIMER LIMITED TERM GOV'T CLASS B OGSBX Non-NTF Government Bond - General 1.45 4.00 3 BondOppenheimer Funds OPPENHEIMER LIMITED TERM GOV'T CLASS C OLTCX Non-NTF Government Bond - General 1.45 1.00 3 BondOppenheimer Funds OPPENHEIMER LIMITED TERM MUNICIPAL CL A OPITX Non-NTF Municipal Bond - National 1.13 3.50 3 BondOppenheimer Funds OPPENHEIMER LIMITED TERM MUNICIPAL CL B OIMBX Non-NTF Municipal Bond - National 1.96 4.00 3 BondOppenheimer Funds OPPENHEIMER LIMITED TERM MUNICIPAL CL C OITCX Non-NTF Municipal Bond - National 1.89 1.00 3 EquityOppenheimer Funds OPPENHEIMER LIMITED TERM NY MUNI CLASS A LTNYX Non-NTF Municipal Bond - Single State 1.01 3.50 3 EquityOppenheimer Funds OPPENHEIMER MAIL ST OPPT FD CL Y OMSYX Non-NTF Growth 0.78 None 3 EquityOppenheimer Funds OPPENHEIMER MAIN ST OPPORTUNITY CL A OMSOX Non-NTF Growth 1.24 5.75 3 EquityOppenheimer Funds OPPENHEIMER MAIN ST OPPORTUNITY CL B OMOBX Non-NTF Growth 2.04 5.00 3 EquityOppenheimer Funds OPPENHEIMER MAIN ST OPPORTUNITY CLASS C OMSCX Non-NTF Growth 1.99 1.00 3 EquityOppenheimer Funds OPPENHEIMER MAIN ST SMALL CAP CLASS A OPMSX Non-NTF Small Company 1.22 5.75 3 EquityOppenheimer Funds OPPENHEIMER MAIN ST SMALL CAP CLASS B OPMBX Non-NTF Small Company 2.02 5.00 3 EquityOppenheimer Funds OPPENHEIMER MAIN ST SMALL CAP CLASS C OPMCX Non-NTF Small Company 1.98 1.00 3 EquityOppenheimer Funds OPPENHEIMER MAIN ST SMALL CAP FD CL Y OPMYX Non-NTF Small Company 0.89 None 3 EquityOppenheimer Funds OPPENHEIMER MAIN STREET CL A MSIGX Non-NTF Growth and Income 1.05 5.75 3 EquityOppenheimer Funds OPPENHEIMER MAIN STREET CL B OMSBX Non-NTF Growth and Income 1.83 5.00 3 EquityOppenheimer Funds OPPENHEIMER MAIN STREET CL C MIGCX Non-NTF Growth and Income 1.79 1.00 3 EquityOppenheimer Funds OPPENHEIMER MAIN STREET CL N OMGNX Non-NTF Growth and Income 1.3 1.00 3 EquityOppenheimer Funds OPPENHEIMER MAIN STREET FD CL Y MIGYX Non-NTF Growth and Income 0.49 None 3 EquityOppenheimer Funds OPPENHEIMER MAIN STREET OPPORT CL N OMSNX Non-NTF Growth 1.51 1.00 3 EquityOppenheimer Funds OPPENHEIMER MAIN STREET SMALL CAP CLN OPMNX Non-NTF Small Company 1.49 1.00 3 EquityOppenheimer Funds OPPENHEIMER MODERATE INVESTOR CL N ONMIX Non-NTF Growth and Income 0.69 1.00 3 EquityOppenheimer Funds OPPENHEIMER MONEY MARKET CLASS A OMBXX Non-NTF None 3 BondOppenheimer Funds OPPENHEIMER MONEY MARKET FD CL Y OMYXX Non-NTF None 3 BondOppenheimer Funds OPPENHEIMER NJ MUNICIPAL CLASS A ONJAX Non-NTF Municipal Bond - Single State 1.67 4.75 3 BondOppenheimer Funds OPPENHEIMER NJ MUNICIPAL CLASS B ONJBX Non-NTF Municipal Bond - Single State 2.52 5.00 3 BondOppenheimer Funds OPPENHEIMER NJ MUNICIPAL CLASS C ONJCX Non-NTF Municipal Bond - Single State 2.46 1.00 3 BondOppenheimer Funds OPPENHEIMER OHIO MUNI FD CL B OROBX Non-NTF Municipal Bond - Single State 1.55 5.00 3 BondOppenheimer Funds OPPENHEIMER PA MUNICIPAL CLASS C OPACX Non-NTF Municipal Bond - Single State 2.37 1.00 3 BondOppenheimer Funds OPPENHEIMER PENNSYL MUNICIPAL CLASS A OPATX Non-NTF Municipal Bond - Single State 1.6 4.75 3 EquityOppenheimer Funds OPPENHEIMER PENNSYL MUNICIPAL CLASS B OPABX Non-NTF Municipal Bond - Single State 2.4 5.00 3 Equity

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Settlement Days

Security Class

Oppenheimer Funds OPPENHEIMER PORT SER ACTIVE ALLOC INV A OAAAX Non-NTF Growth 0.53 5.75 3 EquityOppenheimer Funds OPPENHEIMER PORT SER ACTIVE ALLOC INV C OAACX Non-NTF Growth 1.3 1.00 3 EquityOppenheimer Funds OPPENHEIMER PORT SER CONSERVATIVE INV C OCCIX Non-NTF Income 1.21 1.00 3 EquityOppenheimer Funds OPPENHEIMER PORT SER EQUITY INV CL C OCAIX Non-NTF Growth 1.31 1.00 3 EquityOppenheimer Funds OPPENHEIMER PORT SERIES CONS INV CL A OACIX Non-NTF Income 0.4 5.75 3 EquityOppenheimer Funds OPPENHEIMER PORT SERIES EQ INV CL A OAAIX Non-NTF Growth 0.54 5.75 3 EquityOppenheimer Funds OPPENHEIMER PORT SERIES EQ INVT CL N ONAIX Non-NTF Growth 0.72 1.00 3 BondOppenheimer Funds OPPENHEIMER PORT SERIES MOD INV CL A OAMIX Non-NTF Growth and Income 0.42 5.75 3 BondOppenheimer Funds OPPENHEIMER PORT SRC FIXED INC ALLO B OBFAX Non-NTF Growth and Income 1.44 5.00 3 BondOppenheimer Funds OPPENHEIMER PORT SRS FIXED INC ALLO A OAFAX Non-NTF Growth and Income 0.69 4.75 3 BondOppenheimer Funds OPPENHEIMER PORT SRS FIXED INC ALLO C OCFAX Non-NTF Growth and Income 1.44 1.00 3 EquityOppenheimer Funds OPPENHEIMER PORT SRS FIXED INC ALLOC Y OYFAX Non-NTF Growth and Income 0.52 None 3 EquityOppenheimer Funds OPPENHEIMER PORT SVC CONSV INVESTOR CL N ONCIX Non-NTF Income 0.76 1.00 3 EquityOppenheimer Funds OPPENHEIMER PORT: CONSERV INV FD CL B OBCIX Non-NTF Income 1.25 5.00 3 EquityOppenheimer Funds OPPENHEIMER PORT: MODERATE INVEST FD B OBMIX Non-NTF Growth and Income 1.26 5.00 3 EquityOppenheimer Funds OPPENHEIMER PORT: SERIES EQ INVT CL B OBAIX Non-NTF Growth 1.36 5.00 3 EquityOppenheimer Funds OPPENHEIMER PORTFOLI ACTIV ALLOC FD CL Y OAAYX Non-NTF Growth 0.15 None 3 EquityOppenheimer Funds OPPENHEIMER QUEST BALANCED FUND CL A QVGIX Non-NTF Growth and Income 1.42 5.75 3 EquityOppenheimer Funds OPPENHEIMER QUEST BALANCED FUND CL B QGRBX Non-NTF Growth and Income 2.2 5.00 3 EquityOppenheimer Funds OPPENHEIMER QUEST BALANCED FUND CL C QGRCX Non-NTF Growth and Income 2.14 1.00 3 EquityOppenheimer Funds OPPENHEIMER QUEST BALANCED VALUE CL N QGRNX Non-NTF Growth and Income 1.62 1.00 3 EquityOppenheimer Funds OPPENHEIMER QUEST INT'L VALUE CL A QIVAX Non-NTF World Stock 1.53 5.75 3 EquityOppenheimer Funds OPPENHEIMER QUEST INT'L VALUE CL B QIVBX Non-NTF World Stock 2.42 5.00 3 EquityOppenheimer Funds OPPENHEIMER QUEST INT'L VALUE CL C QIVCX Non-NTF World Stock 2.34 1.00 3 EquityOppenheimer Funds OPPENHEIMER QUEST INT'L VALUE CL N QIVNX Non-NTF World Stock 1.8 1.00 3 EquityOppenheimer Funds OPPENHEIMER QUEST OPPORTUNITY VAL CL A QVOPX Non-NTF Asset Allocation 1.43 5.75 3 EquityOppenheimer Funds OPPENHEIMER QUEST OPPORTUNITY VAL CL B QOPBX Non-NTF Asset Allocation 2.34 5.00 3 EquityOppenheimer Funds OPPENHEIMER QUEST OPPORTUNITY VAL CL C QOPCX Non-NTF Asset Allocation 2.19 1.00 3 EquityOppenheimer Funds OPPENHEIMER QUEST OPPORTUNITY VALUE N QOPNX Non-NTF Asset Allocation 1.77 1.00 3 EquityOppenheimer Funds OPPENHEIMER QUEST OPPT VAL CL Y QOPYX Non-NTF Asset Allocation 1.13 None 3 EquityOppenheimer Funds OPPENHEIMER REAL ESTATE FD CL N ORENX Non-NTF Specialty - Real Estate 1.75 1.00 3 EquityOppenheimer Funds OPPENHEIMER REAL ESTATE FUND CL A OREAX Non-NTF Specialty - Real Estate 1.5 5.75 3 EquityOppenheimer Funds OPPENHEIMER REAL ESTATE FUND CL C ORECX Non-NTF Specialty - Real Estate 2.25 1.00 3 EquityOppenheimer Funds OPPENHEIMER REAL ESTATE FUND CL Y OREYX Non-NTF Specialty - Real Estate 1.06 None 3 EquityOppenheimer Funds OPPENHEIMER RISING DIVIDENDS FD CL A OARDX Non-NTF Growth 1.25 5.75 3 EquityOppenheimer Funds OPPENHEIMER RISING DIVIDENDS FD CL C OCRDX Non-NTF Growth 1.85 1.00 3 EquityOppenheimer Funds OPPENHEIMER RISING DIVIDENDS FD CL N ONRDX Non-NTF Growth 1.35 1.00 3 EquityOppenheimer Funds OPPENHEIMER RISING DIVIDENDS FD CL Y OYRDX Non-NTF Growth 0.82 None 3 BondOppenheimer Funds OPPENHEIMER RISING DIVIDENS FD CL B OBRDX Non-NTF Growth 2.12 5.00 3 BondOppenheimer Funds OPPENHEIMER ROCH ARIZONA MUNI FD CL B ORBZX Non-NTF Municipal Bond - Single State 1.55 5.00 3 BondOppenheimer Funds OPPENHEIMER ROCH MA MUNI CL A ORMAX Non-NTF Municipal Bond - Single State 0.8 4.75 3 BondOppenheimer Funds OPPENHEIMER ROCH MASS MUNI CL C ORCAX Non-NTF Municipal Bond - Single State 1.55 1.00 3 BondOppenheimer Funds OPPENHEIMER ROCH MASS MUNI FD B ORBAX Non-NTF Municipal Bond - Single State 1.55 5.00 3 BondOppenheimer Funds OPPENHEIMER ROCH MD MUNI FD CL C ORYCX Non-NTF Municipal Bond - Single State 1.55 1.00 3 BondOppenheimer Funds OPPENHEIMER ROCH MICHIGAN MUNI B ORMBX Non-NTF Municipal Bond - Single State 1.55 5.00 3 BondOppenheimer Funds OPPENHEIMER ROCH MICHIGAN MUNI CL A ORMIX Non-NTF Municipal Bond - Single State 0.8 4.75 3 BondOppenheimer Funds OPPENHEIMER ROCH MICHIGAN MUNI CL C ORMCX Non-NTF Municipal Bond - Single State 1.55 1.00 3 BondOppenheimer Funds OPPENHEIMER ROCH NC MUNI FD CL C OPCCX Non-NTF Municipal Bond - Single State 1.55 1.00 3 BondOppenheimer Funds OPPENHEIMER ROCH OHIO MUNI CL A OROHX Non-NTF Municipal Bond - Single State 0.8 4.75 3 BondOppenheimer Funds OPPENHEIMER ROCH OHIO MUNI CL C OROCX Non-NTF Municipal Bond - Single State 1.55 1.00 3 BondOppenheimer Funds OPPENHEIMER ROCH VIRGINIA MUNI CL A ORVAX Non-NTF Municipal Bond - Single State 0.8 4.75 3 BondOppenheimer Funds OPPENHEIMER ROCH VIRGINIA MUNI CL C ORVCX Non-NTF Municipal Bond - Single State 1.55 1.00 3 BondOppenheimer Funds OPPENHEIMER ROCHES ARIZONA MUNI FD CL C ORCZX Non-NTF Municipal Bond - Single State 1.55 1.00 3 BondOppenheimer Funds OPPENHEIMER ROCHEST NATIONAL MUNI CL A ORNAX Non-NTF Municipal Bond - National 1.63 4.75 3 BondOppenheimer Funds OPPENHEIMER ROCHEST NATIONAL MUNI CL B ORNBX Non-NTF Municipal Bond - National 2.47 5.00 3 BondOppenheimer Funds OPPENHEIMER ROCHEST NATIONAL MUNI CL C ORNCX Non-NTF Municipal Bond - National 2.41 1.00 3 BondOppenheimer Funds OPPENHEIMER ROCHESTER MUNI CL Y RMUYX Non-NTF Municipal Bond - Single State 1 None 3 BondOppenheimer Funds OPPENHEIMER ROCHESTR ARIZONA FD CL A ORAZX Non-NTF Municipal Bond - Single State 0.8 4.75 3 BondOppenheimer Funds OPPENHEIMER ROCHESTR MINN MUNI FD CL B OPBMX Non-NTF Municipal Bond - Single State 1.55 5.00 3 Equity

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Security Class

Oppenheimer Funds OPPENHEIMER ROCHESTR MINN MUNI FD CL C OPCMX Non-NTF Municipal Bond - Single State 1.55 1.00 3 EquityOppenheimer Funds OPPENHEIMER ROCHESTR MNESOTA MUNI FD CL A OPAMX Non-NTF Municipal Bond - Single State 0.8 4.75 3 EquityOppenheimer Funds OPPENHEIMER SELECT VALUE FD CL A OSVAX Non-NTF Growth 1.27 5.75 3 EquityOppenheimer Funds OPPENHEIMER SELECT VALUE FD CL N OSVNX Non-NTF Growth 1.6 1.00 3 EquityOppenheimer Funds OPPENHEIMER SELECT VALUE FD CL Y OSVYX Non-NTF Growth 0.96 None 3 EquityOppenheimer Funds OPPENHEIMER SELECT VALUE FUND CL B OSVBX Non-NTF Growth 2.13 5.00 3 BondOppenheimer Funds OPPENHEIMER SELECT VALUE FUND CL C OSCVX Non-NTF Growth 2.04 1.00 3 BondOppenheimer Funds OPPENHEIMER SENIOR FLOATING RATE CL A XOSAX Non-NTF Corporate Bond - General 1.75 3.50 3 BondOppenheimer Funds OPPENHEIMER SENIOR FLOATING RATE CL B XOSBX Non-NTF Corporate Bond - General 2.39 3.00 3 BondOppenheimer Funds OPPENHEIMER SENIOR FLOATING RATE CL C XOSCX Non-NTF Corporate Bond - General 2.23 1.00 3 EquityOppenheimer Funds OPPENHEIMER SENIOR FLOATING RATE CL Y XOSYX Non-NTF Corporate Bond - General 1.57 None 3 EquityOppenheimer Funds OPPENHEIMER SMALL & MID CAP VALUE CL A QVSCX Non-NTF Small Company 1.32 5.75 3 EquityOppenheimer Funds OPPENHEIMER SMALL & MID CAP VALUE CL B QSCBX Non-NTF Small Company 2.13 5.00 3 EquityOppenheimer Funds OPPENHEIMER SMALL & MID CAP VALUE CL C QSCCX Non-NTF Small Company 2.08 1.00 3 EquityOppenheimer Funds OPPENHEIMER SMALL & MID CAP VALUE CL N QSCNX Non-NTF Small Company 1.54 1.00 1 BondOppenheimer Funds OPPENHEIMER SMALL MIDCAP VALUE CL Y QSCYX Non-NTF Small Company 0.92 None 3 BondOppenheimer Funds OPPENHEIMER STRATEGC INCOME CLASS N OSINX Non-NTF Multisector Bond 1.39 1.00 3 BondOppenheimer Funds OPPENHEIMER STRATEGI INCOME FD CL Y OSIYX Non-NTF Multisector Bond 0.78 None 3 BondOppenheimer Funds OPPENHEIMER STRATEGIC INC CL A OPSIX Non-NTF Multisector Bond 0.96 4.75 3 BondOppenheimer Funds OPPENHEIMER STRATEGIC INC CL B OPSGX Non-NTF Multisector Bond 1.88 5.00 3 EquityOppenheimer Funds OPPENHEIMER STRATEGIC INC CL C OSICX Non-NTF Multisector Bond 1.72 1.00 3 EquityOppenheimer Funds OPPENHEIMER TRANS 2020 FD CL A OTWAX Non-NTF Growth and Income 0.73 5.75 3 EquityOppenheimer Funds OPPENHEIMER TRANSITI ON 2010 FD CL C OTTCX Non-NTF Growth and Income 1.66 1.00 3 EquityOppenheimer Funds OPPENHEIMER TRANSITI ON 2030 FD CL A OTHAX Non-NTF Growth and Income 0.8 5.75 3 EquityOppenheimer Funds OPPENHEIMER TRANSITI ON 2030 FD CL C OTHCX Non-NTF Growth and Income 1.57 1.00 3 EquityOppenheimer Funds OPPENHEIMER TRANSITION 2010 CL A OTTAX Non-NTF Growth and Income 0.75 5.75 3 EquityOppenheimer Funds OPPENHEIMER TRANSITION 2010 CL B OTTBX Non-NTF Growth and Income 1.59 5.00 3 EquityOppenheimer Funds OPPENHEIMER TRANSITION 2010 CL N OTTNX Non-NTF Growth and Income 1.02 1.00 3 EquityOppenheimer Funds OPPENHEIMER TRANSITION 2015 B OTBFX Non-NTF Growth and Income 1.55 5.00 3 EquityOppenheimer Funds OPPENHEIMER TRANSITION 2015 CL A OTFAX Non-NTF Growth and Income 0.73 5.75 3 EquityOppenheimer Funds OPPENHEIMER TRANSITION 2020 FD C OTWCX Non-NTF Growth and Income 1.58 1.00 3 EquityOppenheimer Funds OPPENHEIMER TRANSITION 2025 CL A OTDAX Non-NTF Growth and Income 0.87 5.75 3 EquityOppenheimer Funds OPPENHEIMER TRANSITION 2030 CL B OTHBX Non-NTF Growth and Income 1.57 5.00 3 EquityOppenheimer Funds OPPENHEIMER TRANSITION 2040 CL B OTIBX Non-NTF Growth and Income 1.6 5.00 3 EquityOppenheimer Funds OPPENHEIMER TRANSITION 2050 CL B OTKBX Non-NTF Growth and Income 1.6 5.00 3 BondOppenheimer Funds OPPENHEIMER US GOVT TRUST CL Y OUSYX Non-NTF Government Bond - General 0.65 None 3 BondOppenheimer Funds OPPENHEIMER US GOV'T TRUST CLASS A OUSGX Non-NTF Government Bond - General 0.9 4.75 3 BondOppenheimer Funds OPPENHEIMER US GOV'T TRUST CLASS B UGTBX Non-NTF Government Bond - General 1.65 5.00 3 BondOppenheimer Funds OPPENHEIMER US GOV'T TRUST CLASS C OUSCX Non-NTF Government Bond - General 1.65 1.00 3 EquityOppenheimer Funds OPPENHEIMER US GOV'T TRUST CLASS N OUSNX Non-NTF Government Bond - General 1.11 1.00 3 EquityOppenheimer Funds OPPENHEIMER VALUE CLASS A CGRWX Non-NTF Growth 1.1 5.75 3 EquityOppenheimer Funds OPPENHEIMER VALUE CLASS B CGRBX Non-NTF Growth 1.89 5.00 3 EquityOppenheimer Funds OPPENHEIMER VALUE CLASS C CGRCX Non-NTF Growth 1.86 1.00 3 EquityOppenheimer Funds OPPENHEIMER VALUE FUND CLASS N CGRNX Non-NTF Growth 1.32 1.00 3 BondOppenheimer Funds OPPENHEIMER VALUE FUND CLASS Y CGRYX Non-NTF Growth 0.79 None 3 EquityOppenheimer Funds OPPENHEIMER VIRGINIA MUNI FD CL B ORVBX Non-NTF Municipal Bond - Single State 1.55 5.00 3 EquityOppenheimer Funds OPPENHEMIER TRANSITION 2050 CL A OTKAX Non-NTF Growth and Income 0.85 5.75 3 BondOppenheimer Funds OPPHENHEIMER REAL ESTATE FUND CL B OREBX Non-NTF Specialty - Real Estate 2.25 5.00 3 BondOppenheimer Funds ROCHESTER MARYLAND MUNI FD CL B ORYBX Non-NTF Municipal Bond - Single State 1.55 5.00 3 BondOppenheimer Funds ROCHESTER MARYLAND MUNICIPAL FD CL A ORMDX Non-NTF Municipal Bond - Single State 0.8 4.75 3 BondOppenheimer Funds ROCHESTER MUNICIPAL CLASS A RMUNX Non-NTF Municipal Bond - Single State 1.15 4.75 3 BondOppenheimer Funds ROCHESTER MUNICIPAL CLASS B RMUBX Non-NTF Municipal Bond - Single State 2.12 5.00 3 BondOppenheimer Funds ROCHESTER MUNICIPAL CLASS C RMUCX Non-NTF Municipal Bond - Single State 2.02 1.00 3 BondOppenheimer Funds ROCHESTER NORTH CAROLNA MUNI FD CL A OPNCX Non-NTF Municipal Bond - Single State 0.8 4.75 3 EquityOppenheimer Funds ROCHESTER NORTH CAROLNA MUNI FD CL B OPCBX Non-NTF Municipal Bond - Single State 1.55 5.00 3 BondOptimum Funds OPTIMUM FIXED INCOME FUND CL C OCFIX Non-NTF Income 1.89 1.00 1 EquityOptimum Funds OPTIMUM FIXED INCOME FUND INSTL OIFIX Non-NTF Income 0.89 None 1 EquityOptimum Funds OPTIMUM INTERNATIONAL CL C OCIEX Non-NTF Foreign Stock 2.42 1.00 1 EquityOptimum Funds OPTIMUM INTERNAT'L FUND INSTL OIIEX Non-NTF Foreign Stock 1.42 None 1 Equity

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Optimum Funds OPTIMUM LARGE CAP GROWTH CL C OCLGX Non-NTF Growth 2.26 1.00 1 EquityOptimum Funds OPTIMUM LARGE CAP GROWTH FUND INSTL OILGX Non-NTF Growth 1.26 None 1 EquityOptimum Funds OPTIMUM LARGE CAP VALUE FUND CL C OCLVX Non-NTF Growth 2.19 1.00 1 EquityOptimum Funds OPTIMUM LARGE CAP VALUE FUND INSTL OILVX Non-NTF Growth 1.19 None 1 EquityOptimum Funds OPTIMUM SMALL MID CAP GROWTH CL C OCSGX Non-NTF Growth 2.55 1.00 1 EquityOptimum Funds OPTIMUM SMALL MID CAP VALUE CL C OCSVX Non-NTF Growth 2.4 1.00 1 EquityOptimum Funds OPTIMUM SMALL-MID CAP VALUE FUND INSTL OISVX Non-NTF Growth 1.4 None 1 EquityOriental Financial PUERTO RICO CASH & MONEY MARKET NO WHLD QPRCQ Non-NTF None 0 EquityOriental Financial PUERTO RICO DGI-IRA PRINCIPAL TOT RTN QCEQQ Non-NTF 5.00 1 EquityOsterweis Funds THE OSTERWEIS FUND OSTFX Non-NTF Growth 1.2 None 1 EquityOsterweis Funds THE OSTERWEIS STRATEGIC INCOME FD OSTIX Non-NTF Multisector Bond 1.24 None 1 EquityPacific Advisors Funds PACIFIC ADV SMALL CAP FD CLASS C PGSCX Non-NTF Small Company 3.17 1.00 3 EquityPacific Advisors Funds PACIFIC ADVISORS BALANCED CLASS A PAABX Non-NTF Balanced 2.31 5.75 3 BondPacific Advisors Funds PACIFIC ADVISORS BALANCED FD CL C PGBCX Non-NTF Balanced 3.09 1.00 3 BondPacific Advisors Funds PACIFIC ADVISORS GOV SECURITIES FD A PADGX Non-NTF Government Bond - General 1.65 4.75 3 EquityPacific Advisors Funds PACIFIC ADVISORS GOV 'T SEC FUND CL C PGGCX Non-NTF Government Bond - General 2.43 1.00 3 EquityPacific Advisors Funds PACIFIC ADVISORS GROWTH CLASS A PAGTX Non-NTF Growth 2.62 5.75 3 EquityPacific Advisors Funds PACIFIC ADVISORS GROWTH FD CL C PGCCX Non-NTF Growth 3.4 1.00 3 EquityPacific Advisors Funds PACIFIC ADVISORS INCOME & EQUITY CL A PADIX Non-NTF Asset Allocation 2.05 4.75 3 EquityPacific Advisors Funds PACIFIC ADVISORS MULTI-CAP VALUE CL A PAMVX Non-NTF Growth and Income 3.2 5.75 3 BondPacific Advisors Funds PACIFIC ADVISORS SMALL CAP CLASS A PASMX Non-NTF Small Company 2.44 5.75 3 BondPacific Capital Funds PACIFIC CAP HIGH GRD CORE FIXED INC CL A PCDFX Non-NTF Corporate Bond - High Quality 1.01 4.00 3 BondPacific Capital Funds PACIFIC CAP HIGH GRD SHT INTER FIXD INC A PCTAX Non-NTF Government Bond - General 0.77 2.25 3 BondPacific Capital Funds PACIFIC CAP US GOVT SEC CASH ASSET TRUST USCXX Non-NTF None 0 BondPacific Capital Funds PACIFIC CAPITAL CASH ASSET TR-SERVICE CL CASXX Non-NTF None 0 BondPacific Capital Funds PACIFIC CAPITAL CASH ASSET TRUST CATXX Non-NTF None 0 EquityPacific Capital Funds PACIFIC CAPITAL GROWTH & INCOME FD A PCIGX Non-NTF Growth and Income 1.28 5.25 3 EquityPacific Capital Funds PACIFIC CAPITAL GROWTH &INCOME CL Y PGNIX Non-NTF Growth and Income 1.03 None 3 EquityPacific Capital Funds PACIFIC CAPITAL GROWTH STOCK CL A PCGSX Non-NTF Growth 1.31 5.25 3 BondPacific Capital funds PACIFIC CAPITAL GRWT STOCK FD INSTL CL Y PGRSX Non-NTF Growth 1.06 None 3 EquityPacific Capital Funds PACIFIC CAPITAL HIGH GRD SH INT FIXED Y PSTRX Non-NTF Government Bond - General 0.52 None 3 BondPacific Capital Funds PACIFIC CAPITAL INTL STOCK FD CL Y PCVSX Non-NTF Foreign Stock 1.55 None 3 EquityPacific Capital Funds PACIFIC CAPITAL INTL STOCK FUND CL A PAISX Non-NTF Foreign Stock 1.83 5.25 3 BondPacific Capital Funds PACIFIC CAPITAL MID CAP FD CL Y PMDYX Non-NTF Growth 1.1 None 3 BondPacific Capital Funds PACIFIC CAPITAL MID CAP FUND CLASS A PMDAX Non-NTF Growth 1.35 5.25 1 EquityPacific Capital Funds PACIFIC CAPITAL NEW ASIA GROWTH FD CL A PNAAX Non-NTF Pacific Stock 1.78 5.25 3 EquityPacific Capital Funds PACIFIC CAPITAL NEW ASIA GROWTH FD CL Y PCASX Non-NTF Pacific Stock 1.53 None 3 EquityPacific Capital Funds PACIFIC CAPITAL SMALL CAP CL Y PSCYX Non-NTF Small Company 1.54 None 3 BondPacific Capital Funds PACIFIC CAPITAL SMALL CAP CLASS A PCSAX Non-NTF Small Company 1.79 5.25 3 BondPacific Capital Funds PACIFIC CAPITAL TAX FREE SEC FD CL Y PTXFX Non-NTF Municipal Bond - National 0.76 None 3 BondPacific Capital Funds PACIFIC CAPITAL TAX FREE SEC FUND CL A PCTFX Non-NTF Municipal Bond - National 1.01 4.00 3 BondPacific Capital Funds PACIFIC CAPITAL TAX- FREE SHORT INT CL A PCTSX Non-NTF Municipal Bond - National 1.07 2.25 3 EquityPacific Capital Funds PACIFIC CAPITAL US GOV'T SHORT FIXED Y PSGYX Non-NTF Government Bond - General 0.43 None 3 BondPacific Capital Funds PACIFIC CAPITAL VALUE FD CL Y PCVYX Non-NTF Growth and Income 0.99 None 3 EquityPacific Capital Funds PACIFIC CAPITAL VALUE FUND CLASS A PCVVX Non-NTF Growth and Income 1.24 5.25 3 EquityPacific Financial Funds PACIFIC FINANCIAL CORE EQUITY INSTL PFGQX Non-NTF Growth 2.18 None 1 EquityPacific Financial Funds PACIFIC FINANCIAL EXPLORER INSTL PFGPX Non-NTF Growth 2.46 None 1 EquityPacific Financial Funds PACIFIC FINANCIAL INTERNATIONAL INSTL PFGIX Non-NTF Growth 2.35 None 1 EquityPacific Financial Funds PACIFIC FINANCIAL TACTICAL INSTL PFGTX Non-NTF Growth 2.21 None 1 EquityPacific Life Funds PACIFIC LIFE MONEY MARKET CLASS A PFAXX Non-NTF None 3 EquityPacific Life Funds PACIFIC LIFE PORT OPT MOD AGGR CL A PODAX Non-NTF Asset Allocation 0.14 5.50 3 EquityPacific Life Funds PACIFIC LIFE PORT OPT MOD AGGR CL B PODBX Non-NTF Asset Allocation 0.89 5.00 3 EquityPacific Life Funds PACIFIC LIFE PORT OPT MOD AGGR CL C PODCX Non-NTF Asset Allocation 0.89 1.00 3 EquityPacific Life Funds PACIFIC LIFE PORT OPT MOD CNSRV CL A POBAX Non-NTF Asset Allocation 0.14 5.50 3 EquityPacific Life Funds PACIFIC LIFE PORT OPT MOD CNSRV CL B POBBX Non-NTF Asset Allocation 0.89 5.00 3 EquityPacific Life Funds PACIFIC LIFE PORT OPT MOD CNSRV CL C POBCX Non-NTF Asset Allocation 0.89 1.00 3 EquityPacific Life Funds PACIFIC LIFE PORT OPT MODERATE CL A POCAX Non-NTF Asset Allocation 0.14 5.50 3 EquityPacific Life Funds PACIFIC LIFE PORT OPT MODERATE CL B POMBX Non-NTF Asset Allocation 0.89 5.00 3 EquityPacific Life Funds PACIFIC LIFE PORT OPT MODERATE CL C POMCX Non-NTF Asset Allocation 0.89 1.00 3 Equity

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Pacific Life Funds PACIFIC LIFE PORT OPTIMIZ AGGR CL A POEAX Non-NTF Asset Allocation 0.14 5.50 3 EquityPacific Life Funds PACIFIC LIFE PORT OPTIMIZ AGGR CL B POEBX Non-NTF Asset Allocation 0.89 5.00 3 EquityPacific Life Funds PACIFIC LIFE PORT OPTIMIZ AGGR CL C POCEX Non-NTF Asset Allocation 0.89 1.00 3 EquityPacific Life Funds PACIFIC LIFE PORT OPTIMIZ CNSRV CL A POAAX Non-NTF Asset Allocation 0.16 5.50 3 EquityPacific Life Funds PACIFIC LIFE PORT OPTIMIZ CNSRV CL B POABX Non-NTF Asset Allocation 0.91 5.00 3 EquityPacific Life Funds PACIFIC LIFE PORT OPTIMIZ CNSRV CL C POACX Non-NTF Asset Allocation 0.91 1.00 3 EquityPacific Life Funds PL PORTFOLIO OPTIMIZED MODERATE R POCRX Non-NTF Asset Allocation 0.39 None 1 EquityParadigm Funds PARADIGM CAPITAL APPRECIATION FUND PVCAX Non-NTF None 1 BondParnassus Funds PARNASSUS INCOME TRUST EQ INC INSTL PRILX Non-NTF Equity-Income 0.77 None 1 EquityPax World Funds PAX WORLD BALANCED FUND INSTL PAXIX Non-NTF Balanced 0.7 None 1 EquityPax World Funds PAX WORLD EGG MANGRS CONSERVATIVE INSTL PWMIX Non-NTF Balanced -999 None 1 EquityPax World Funds PAX WORLD ESG MANAGERS GROWTH CL C PWCCX Non-NTF Growth -999 1.00 1 EquityPax World Funds PAX WORLD ESG MANAGERS GRWTH CL A PGPAX Non-NTF Growth -999 5.50 1 EquityPax World Funds PAX WORLD ESG MANAGERS MODERATE C PWPCX Non-NTF Balanced -999 1.00 1 EquityPax World Funds PAX WORLD ESG MANGRS AGGERESSIVE GR INSTL PAGIX Non-NTF Growth -999 None 1 EquityPax World Funds PAX WORLD ESG MANGRS AGGRESSIVE GRWTH A PAGAX Non-NTF Growth -999 5.50 1 EquityPax World Funds PAX WORLD ESG MANGRS AGGRESSIVE GRWTH C PAGCX Non-NTF Growth -999 1.00 1 EquityPax World Funds PAX WORLD ESG MANGRS CONSERVATIVE CL C PWMCX Non-NTF Balanced -999 1.00 1 EquityPax World Funds PAX WORLD ESG MANGRS GROWTH INSL CL PMIIX Non-NTF Growth -999 None 1 EquityPax World Funds PAX WORLD ESG MANGRS MODERATE CL A PMPAX Non-NTF Balanced -999 5.50 1 EquityPax World Funds PAX WORLD ESG MANGRS MODERATE INSTL CL PWPIX Non-NTF Balanced -999 None 1 BondPax World Funds PAX WORLD GLOBAL GREEN FUND - INSTL PGINX Non-NTF Growth 1.15 None 1 BondPax World Funds PAX WORLD GROWTH FUND INSTL PWGIX Non-NTF Growth 1.21 None 1 EquityPax World Funds PAX WORLD HIGH YIELD BOND INSTITL CL PXHIX Non-NTF Corporate Bond - High Yield 0.74 None 1 EquityPax World Funds PAX WORLD INTERNATL FUND INSTITUTIONAL PXNIX Non-NTF World Stock 1.15 None 1 BondPax World Funds PAX WORLD MANGRS CONSERVATIVE CLASS A PWMAX Non-NTF Balanced -999 5.50 1 BondPaydenFunds CALIFORNIA MUNICIPAL INCOME FUND PYCRX Non-NTF Municipal Bond - Single State 0.55 None 1 BondPaydenFunds PAYDEN CORE BOND PYCBX Non-NTF Corporate Bond - High Quality 0.6 None 1 EquityPaydenFunds PAYDEN EMERG MARKETS PYEMX Non-NTF Worldwide Bond 0.83 None 1 BondPaydenFunds PAYDEN GLOBAL EQUITY INVESTOR PYGEX Non-NTF Growth 1.5 None 1 BondPaydenFunds PAYDEN GNMA PYGNX Non-NTF Government Bond - Mortgage 0.5 None 1 EquityPaydenFunds PAYDEN US GOV'T PYUSX Non-NTF Government Bond - General 0.6 None 1 EquityPaydenFunds PAYDEN/KRAVITZ CASH BALANCED PLAN INSTL PKBIX Non-NTF Income 1.25 None 1 BondPennsylvania Avenue Funds PENNSYLVANIA AVENUE EVENT DRIVEN FUND PAEDX Non-NTF Growth 1.5 None 1 EquityPerformance Funds PERFORMANCE INTERMED TERM INCOME BOND CLA PFFCX Non-NTF Corporate Bond - General 1 5.25 3 EquityPerformance Funds PERFORMANCE INTERMED TERM INCOME FD INSTL FUND PFFIX Non-NTF Corporate Bond - General 0.81 None 3 EquityPerformance Funds PERFORMANCE LARGE CAP EQUITY CL A PFECX Non-NTF Growth 1.27 5.25 3 EquityPerformance Funds PERFORMANCE LARGE CAP EQUITY CL I PFEQX Non-NTF Growth 1.07 None 3 EquityPerformance Funds PERFORMANCE LARGE CAP EQUITY FUND CL B PFEBX Non-NTF Growth 2.02 5.00 3 EquityPerformance Funds PERFORMANCE LEADERS EQUITY CL A PILZX Non-NTF Growth 1.5 5.25 3 EquityPerformance Funds PERFORMANCE LEADERS EQUITY CL I PILEX Non-NTF Growth 1.25 None 3 EquityPerformance Funds PERFORMANCE MID CAP EQUITY CL A PCGCX Non-NTF Growth 1.33 5.25 3 BondPerformance Funds PERFORMANCE MID CAP EQUITY CL I PCGIX Non-NTF Growth 1.14 None 3 BondPerformance Funds PERFORMANCE SHORT TERM GOVT BD CL I PFSIX Non-NTF Corporate Bond - General 0.74 None 3 EquityPerformance Funds PERFORMANCE SHORT TERM GOVT BOND CL A PFSFX Non-NTF Corporate Bond - General 0.92 3.00 3 EquityPerformance Funds PERFORMANCE STRAT DIVIDEND CL A PSDHX Non-NTF Growth and Income 1.2 5.25 3 EquityPerformance Funds PERFORMANCE STRATEGIC DIV CL I PSDFX Non-NTF Growth and Income 0.95 None 3 EquityPerimeter Funds PERIMETER SMALL CAP GROWTH FUND - INSTL PSIGX Non-NTF Small Company 1.03 None 3 BondPerkins Funds PERKINS DISCOVERY PDFDX Non-NTF Aggressive Growth 2 None 1 EquityPIA Funds PIA MODERATE DURATION BOND FUND PIATX Non-NTF Corporate Bond - General 0.5 None 1 EquityPiedmont Funds THE PIEDMONT SELECT VALUE FUND PSVFX Non-NTF Growth 1.35 None 3 EquityPIMCO Advisors Funds ALLIANZ AGI SOLUTION CORE ALLOCATION A PALAX Non-NTF Balanced 0.52 5.50 3 EquityPIMCO Advisors Funds ALLIANZ AGI SOLUTION CORE ALLOCATION C PALCX Non-NTF Balanced 1.27 1.00 3 EquityPIMCO Advisors Funds ALLIANZ CCM CAPITAL APPRECIATION CL A PCFAX Non-NTF Growth 1.11 5.50 3 EquityPIMCO Advisors Funds ALLIANZ CCM CAPITAL APPRECIATION CL C PFCCX Non-NTF Growth 1.86 1.00 3 EquityPIMCO Advisors Funds ALLIANZ CCM FOCUSED GROWTH CL C AFWCX Non-NTF Growth 1.86 1.00 3 EquityPIMCO Advisors Funds ALLIANZ CCM FOCUSED GROWTH FD CL A AFWAX Non-NTF Growth 1.11 5.50 3 EquityPIMCO Advisors Funds ALLIANZ CCM MID-CAP CL A PFMAX Non-NTF Growth 1.11 5.50 3 EquityPIMCO Advisors Funds ALLIANZ GL INVESTORS SOLUTIONS GR ALLOC A ASGAX Non-NTF Income 0.54 5.50 3 Equity

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PIMCO Advisors Funds ALLIANZ GLOBAL ECO TRENDS SM FD CL A AECOX Non-NTF Growth 2.02 5.50 3 EquityPIMCO Advisors Funds ALLIANZ GLOBAL INVST RETIREMENT INCOME C ARTCX Non-NTF Income 1.27 1.00 3 EquityPIMCO Advisors Funds ALLIANZ GLOBAL INVST SOLUTIONS 2015 CL C AZGCX Non-NTF Income 1.25 1.00 3 EquityPIMCO Advisors Funds ALLIANZ GLOBAL INVT SOLUTION 2030 FD A ABLAX Non-NTF Income 0.63 5.50 3 EquityPIMCO Advisors Funds ALLIANZ GLOBAL INVT SOLUTION 2040 CL A AVSAX Non-NTF Income 0.56 5.50 3 EquityPIMCO Advisors Funds ALLIANZ GLOBAL INVT SOLUTIONS 2015 CL A AZGAX Non-NTF Income 0.5 5.50 3 EquityPIMCO Advisors Funds ALLIANZ MID CAP GROWTH CLASS C PFMCX Non-NTF Growth 1.86 1.00 3 EquityPIMCO Advisors Funds ALLIANZ NACM EMERG MKTS OPP CL C AOTCX Non-NTF Growth 2.62 1.00 3 EquityPIMCO Advisors Funds ALLIANZ NACM EMERGIN MRKTS CL A AOTAX Non-NTF Growth 1.86 5.50 3 EquityPIMCO Advisors Funds ALLIANZ NACM GLOBAL FUND CL A NGBAX Non-NTF World Stock 1.47 5.50 3 EquityPIMCO Advisors Funds ALLIANZ NACM GLOBAL FUND CLASS C NGBCX Non-NTF World Stock 2.22 1.00 3 EquityPIMCO Advisors Funds ALLIANZ NACM GROWTH FUND CL A NGWAX Non-NTF Growth 1.18 5.50 3 EquityPIMCO Advisors Funds ALLIANZ NACM GROWTH FUND CL C NGWCX Non-NTF Growth 1.93 1.00 3 EquityPIMCO Advisors Funds ALLIANZ NACM INCOME & GROWTH CL A AZNAX Non-NTF Growth and Income 1.3 5.50 3 EquityPIMCO Advisors Funds ALLIANZ NACM INCOME & GROWTH FUND CL C AZNCX Non-NTF Growth and Income 2.05 1.00 3 EquityPIMCO Advisors Funds ALLIANZ NACM INTERNATIONAL FD A PNIAX Non-NTF Foreign Stock 1.48 5.50 3 EquityPIMCO Advisors Funds ALLIANZ NACM INTERNATIONAL FD C PNICX Non-NTF Foreign Stock 2.24 1.00 3 EquityPIMCO Advisors Funds ALLIANZ NACM MID CAP GROWTH FD CL A ANMAX Non-NTF Growth 1.36 5.50 3 EquityPIMCO Advisors Funds ALLIANZ NACM MID CAP GROWTH FUND CLASS C ANMGX Non-NTF Growth 2.1 1.00 3 EquityPIMCO Advisors Funds ALLIANZ NACM PACIFIC RIM FUND CL A PPRAX Non-NTF Pacific Stock 1.78 5.50 3 EquityPIMCO Advisors Funds ALLIANZ NACM PACIFIC RIM FUND CLASS C PPRCX Non-NTF Pacific Stock 2.53 1.00 3 EquityPIMCO Advisors Funds ALLIANZ NFJ ALL-CAP VALUE CL A PNFAX Non-NTF Growth and Income 1.33 5.50 3 EquityPIMCO Advisors Funds ALLIANZ NFJ ALL-CAP VALUE CL C PNFCX Non-NTF Growth and Income 2.08 1.00 3 EquityPIMCO Advisors Funds ALLIANZ NFJ DIVIDEND VALUE CL C PNECX Non-NTF Equity-Income 1.8 1.00 3 EquityPIMCO Advisors Funds ALLIANZ NFJ DIVIDEND VALUE CLASS A PNEAX Non-NTF Equity-Income 1.05 5.50 3 EquityPIMCO Advisors Funds ALLIANZ NFJ GLOBAL DIVIDEND VALUE CL A ANUAX Non-NTF 5.50 3 EquityPIMCO Advisors Funds ALLIANZ NFJ INTL VALUE FD CLASS C AFJCX Non-NTF Foreign Stock 2.2 1.00 3 EquityPIMCO Advisors Funds ALLIANZ NFJ INTLT VALUE FUND CL A AFJAX Non-NTF Foreign Stock 1.45 5.50 3 EquityPIMCO Advisors Funds ALLIANZ NFJ LARGE CA VALUE CL C PNBCX Non-NTF Growth 1.86 1.00 3 EquityPIMCO Advisors Funds ALLIANZ NFJ LARGE CAP CLASS A PNBAX Non-NTF Growth 1.12 5.50 3 EquityPIMCO Advisors Funds ALLIANZ NFJ MID CAP VALUE FD CL A ANVAX Non-NTF Growth and Income 1.27 5.50 3 EquityPIMCO Advisors Funds ALLIANZ NFJ MID CAP VALUE FUND CL C ANVCX Non-NTF Growth and Income 2.02 1.00 3 EquityPIMCO Advisors Funds ALLIANZ NFJ RENAISSANCE CL A PQNAX Non-NTF Growth and Income 1.21 5.50 3 EquityPIMCO Advisors Funds ALLIANZ NFJ RENAISSANCE CL C PQNCX Non-NTF Growth and Income 1.96 1.00 3 EquityPIMCO Advisors Funds ALLIANZ OCC GROWTH CLASS A PGWAX Non-NTF Growth 1.17 5.50 3 EquityPIMCO Advisors Funds ALLIANZ OCC GROWTH CLASS C PGWCX Non-NTF Growth 1.92 1.00 3 EquityPIMCO Advisors Funds ALLIANZ OCC OPPORTUNITY CL A POPAX Non-NTF Aggressive Growth 1.31 5.50 3 EquityPIMCO Advisors Funds ALLIANZ OCC OPPORTUNITY CL C POPCX Non-NTF Aggressive Growth 2.06 1.00 3 EquityPIMCO Advisors Funds ALLIANZ OCC TARGET CLASS A PTAAX Non-NTF Growth 1.21 5.50 3 EquityPIMCO Advisors Funds ALLIANZ OCC TARGET CLASS C PTACX Non-NTF Growth 1.97 1.00 3 EquityPIMCO Advisors Funds ALLIANZ RCM DISC INTL EQUITY CLASS A RAIGX Non-NTF Foreign Stock 1.37 5.50 3 EquityPIMCO Advisors Funds ALLIANZ RCM DISC INTL EQUITY CLASS C RCIGX Non-NTF Foreign Stock 2.12 1.00 3 EquityPIMCO Advisors Funds ALLIANZ RCM DISCIPLINED EQUITY A ARDAX Non-NTF Growth 1.34 5.50 3 EquityPIMCO Advisors Funds ALLIANZ RCM DISCIPLINED EQUITY C ARDCX Non-NTF Growth 2.09 1.00 3 EquityPIMCO Advisors Funds ALLIANZ RCM GLOBAL ECOTRENDS CL C AECCX Non-NTF Growth 2.82 1.00 3 EquityPIMCO Advisors Funds ALLIANZ RCM GLOBAL RESOURCES CL C ARMCX Non-NTF Specialty - Natural Resources 2.22 1.00 3 EquityPIMCO Advisors Funds ALLIANZ RCM GLOBAL RESOURCES FD A ARMAX Non-NTF Specialty - Natural Resources 1.47 5.50 3 EquityPIMCO Advisors Funds ALLIANZ RCM GLOBAL SMALL CAP CL A RGSAX Non-NTF World Stock 1.77 5.50 3 EquityPIMCO Advisors Funds ALLIANZ RCM GLOBAL SMALL CAP CL C RGSCX Non-NTF World Stock 2.52 1.00 3 EquityPIMCO Advisors Funds ALLIANZ RCM GLOBAL WATER FD CL A AWTAX Non-NTF Specialty - Natural Resources 2.04 5.50 3 EquityPIMCO Advisors Funds ALLIANZ RCM GLOBAL WATER FUND CL C AWTCX Non-NTF Specialty - Natural Resources 2.79 1.00 3 EquityPIMCO Advisors Funds ALLIANZ RCM INTNAT'L OPPORTUNITIES CL A ARIAX Non-NTF Growth 1.56 5.50 3 EquityPIMCO Advisors Funds ALLIANZ RCM LARGE CA GROWTH CLASS A RALGX Non-NTF Growth 1.12 5.50 3 EquityPIMCO Advisors Funds ALLIANZ RCM LARGE CA GROWTH CLASS C RCLGX Non-NTF Growth 1.87 1.00 3 EquityPIMCO Advisors Funds ALLIANZ RCM MID CAP CL A RMDAX Non-NTF Growth 1.14 5.50 3 EquityPIMCO Advisors Funds ALLIANZ RCM MID CAP CL C RMDCX Non-NTF Growth 1.88 1.00 3 EquityPIMCO Advisors Funds ALLIANZ RCM STRAT GROWTH FD CL C ARCCX Non-NTF Growth 2.47 1.00 3 EquityPIMCO Advisors Funds ALLIANZ RCM STRATEGIES GRWTH A ARCAX Non-NTF Growth 1.71 5.50 3 EquityPIMCO Advisors Funds ALLIANZ RCM TECHNOLOGY CL A RAGTX Non-NTF Specialty - Technology 1.66 5.50 3 Equity

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Settlement Days

Security Class

PIMCO Advisors Funds ALLIANZ RCM TECHNOLOGY CL C RCGTX Non-NTF Specialty - Technology 2.41 1.00 3 EquityPIMCO Advisors Funds ALLIANZ RCM WELLNESS FD CL A RAGHX Non-NTF Specialty - Health 1.51 5.50 3 EquityPIMCO Advisors Funds ALLIANZ RCM WELLNESS FD CL C RCGHX Non-NTF Specialty - Health 2.25 1.00 3 EquityPIMCO Advisors Funds PIMCO ALL ASSET ALL AUTHORITY FD CL A PAUAX Non-NTF Asset Allocation 0.85 5.50 3 EquityPIMCO Advisors Funds PIMCO ALL ASSET FUND CLASS A PASAX Non-NTF Asset Allocation 0.8 3.75 3 BondPIMCO Advisors Funds PIMCO ALL ASSET FUND CLASS C PASCX Non-NTF Asset Allocation 1.55 1.00 3 BondPIMCO Advisors Funds PIMCO ALL ASSETT ALL AUTHORITY FD CL C PAUCX Non-NTF Asset Allocation 1.6 1.00 3 BondPIMCO Advisors Funds PIMCO CA INTER MUNI BOND CL A PCMBX Non-NTF Municipal Bond - Single State 0.78 3.00 3 BondPIMCO Advisors Funds PIMCO CA SHORT DURATION MUNI INC A PCDAX Non-NTF Income 0.75 2.25 3 BondPIMCO Advisors Funds PIMCO CAL INTERMED MUNICIPAL BOND CL C PCFCX Non-NTF Municipal Bond - Single State -999 1.00 3 EquityPIMCO Advisors Funds PIMCO CALIF SHORT DURATION MUNI INC C PCSCX Non-NTF Income -999 1.00 3 EquityPIMCO Advisors Funds PIMCO COMM REAL RETURN STRAT CL A PCRAX Non-NTF Specialty - Natural Resources 1.24 5.50 3 EquityPIMCO Advisors Funds PIMCO COMMODITY REAL RETURN STRAT CL C PCRCX Non-NTF Specialty - Natural Resources 1.99 1.00 3 BondPIMCO Advisors Funds PIMCO DEVELOPING LOCAL MARKETS CL A PLMAX Non-NTF Diversified Emerging Markets 1.25 3.75 3 BondPIMCO Advisors Funds PIMCO DEVELOPING LOCAL MRKTS FD C PLMCX Non-NTF Diversified Emerging Markets 2 1.00 3 BondPIMCO Advisors Funds PIMCO DIVERSIFIED INCOME CLASS A PDVAX Non-NTF Multisector Bond 1.15 3.75 3 BondPIMCO Advisors Funds PIMCO DIVERSIFIED INCOME FUND CL C PDICX Non-NTF Multisector Bond 1.9 1.00 3 BondPIMCO Advisors Funds PIMCO EMERGING LOCAL BD FD CL C PELCX Non-NTF Diversified Emerging Markets 2.1 1.00 3 BondPIMCO Advisors Funds PIMCO EMERGING LOCAL BOND FUND CL A PELAX Non-NTF Diversified Emerging Markets 1.35 3.75 3 BondPIMCO Advisors Funds PIMCO EMERGING MARKETS BOND CLASS A PAEMX Non-NTF Diversified Emerging Markets 1.25 3.75 3 BondPIMCO Advisors Funds PIMCO EMERGING MARKETS BOND CLASS C PEBCX Non-NTF Diversified Emerging Markets 2 1.00 3 BondPIMCO Advisors Funds PIMCO FLOATING INC FUND CL C PFNCX Non-NTF Income 1.25 1.00 3 BondPIMCO Advisors Funds PIMCO FLOATING INCOME FD CL A PFIAX Non-NTF Income 0.95 2.25 3 BondPIMCO Advisors Funds PIMCO FOREIGN BOND (US $-HEDGED) CL A PFOAX Non-NTF Worldwide Bond 0.95 3.75 3 BondPIMCO Advisors Funds PIMCO FOREIGN BOND (US $-HEDGED) CL C PFOCX Non-NTF Worldwide Bond 1.7 1.00 3 BondPIMCO Advisors Funds PIMCO FOREIGN BOND UNHEDGED CL A PFUAX Non-NTF Worldwide Bond 0.95 3.75 3 EquityPIMCO Advisors Funds PIMCO FOREIGN BOND UNHEDGED CL C PFRCX Non-NTF Worldwide Bond 1.7 1.00 3 BondPIMCO Advisors Funds PIMCO FUNDAMENTAL ADV TOTAL RT STRAT A PTFAX Non-NTF Income 1.29 3.75 3 EquityPIMCO Advisors Funds PIMCO FUNDAMENTAL ADVT TOTAL RETURN C PTRCX Non-NTF Income 2.04 1.00 3 BondPIMCO Advisors Funds PIMCO FUNDAMENTAL INDEX PLUS TR FD C PIXCX Non-NTF Income 1.94 1.00 3 BondPIMCO Advisors Funds PIMCO FUNDAMENTAL INDEXPLUS TR CL A PIXAX Non-NTF Income 1.19 3.75 3 BondPIMCO Advisors Funds PIMCO GLOBAL ADVT STRATEGY BD CL A PGSAX Non-NTF Income 1.1 3.75 3 BondPIMCO Advisors Funds PIMCO GLOBAL ADVT STRATEGY BOND CL C PAFCX Non-NTF Income 1.85 1.00 3 BondPIMCO Advisors Funds PIMCO GLOBAL BOND (US $-HEDGED) CL C PCIIX Non-NTF Worldwide Bond 1.7 1.00 3 BondPIMCO Advisors Funds PIMCO GLOBAL BOND II (US $-HEDGED) CL A PAIIX Non-NTF Worldwide Bond 0.95 3.75 3 BondPIMCO Advisors Funds PIMCO GLOBAL MULTI - ASSET FUND CL A PGMAX Non-NTF Income 1.12 5.50 3 BondPIMCO Advisors Funds PIMCO GLOBAL MULTI ASSET FD CL C PGMCX Non-NTF Income 1.87 1.00 3 BondPIMCO Advisors Funds PIMCO GNMA CLASS A PAGNX Non-NTF Government Bond - Mortgage 0.9 3.75 3 BondPIMCO Advisors Funds PIMCO GNMA CLASS C PCGNX Non-NTF Government Bond - Mortgage 1.65 1.00 3 BondPIMCO Advisors Funds PIMCO HIGH YIELD CLASS A PHDAX Non-NTF Corporate Bond - High Yield 0.9 3.75 3 BondPIMCO Advisors Funds PIMCO HIGH YIELD CLASS C PHDCX Non-NTF Corporate Bond - High Yield 1.65 1.00 3 BondPIMCO Advisors Funds PIMCO HIGH YIELD MUNI BOND CL A PYMAX Non-NTF Corporate Bond - High Yield 0.79 4.50 3 BondPIMCO Advisors Funds PIMCO HIGH YIELD MUNI BOND CL C PYMCX Non-NTF Corporate Bond - High Yield 1.54 1.00 3 BondPIMCO Advisors Funds PIMCO INCOME FD CL A PONAX Non-NTF Multisector Bond 0.85 3.75 3 EquityPIMCO Advisors Funds PIMCO INCOME FUND CL C PONCX Non-NTF Multisector Bond 1.6 1.00 3 EquityPIMCO Advisors Funds PIMCO INTERNATIONAL STOCK PL TR STR CL A PIPAX Non-NTF Foreign Stock 1.15 5.50 3 EquityPIMCO Advisors Funds PIMCO INTL ST PLS TR STRAT US $ HEDGE C PIPCX Non-NTF Foreign Stock 1.9 1.00 3 EquityPIMCO Advisors Funds PIMCO INTNL ST PLUS TR STRA (UNHED) CL A PPUAX Non-NTF Growth and Income 1.04 3.75 3 BondPIMCO Advisors Funds PIMCO INTNL ST PLUS TR STRA (UNHED) CL C PPUCX Non-NTF Growth and Income 1.79 1.00 3 BondPIMCO Advisors Funds PIMCO INVESTMENT GRADE CORP BOND CL A PBDAX Non-NTF Corporate Bond - General 0.9 3.75 3 BondPIMCO Advisors Funds PIMCO INVESTMENT GRADE CORP BOND CL C PBDCX Non-NTF Corporate Bond - General 1.65 1.00 3 BondPIMCO Advisors Funds PIMCO LONG TERM US GOV'T CLASS A PFGAX Non-NTF Government Bond - General 0.88 3.75 3 BondPIMCO Advisors Funds PIMCO LONG TERM US GOVT CLASS C PFGCX Non-NTF Government Bond - General 1.63 1.00 3 BondPIMCO Advisors Funds PIMCO LOW DURATION CLASS A PTLAX Non-NTF Income 0.85 2.25 3 BondPIMCO Advisors Funds PIMCO LOW DURATION CLASS C PTLCX Non-NTF Income 1.35 1.00 3 BondPIMCO Advisors Funds PIMCO MORTGAGE BACKED SEC CL A PMRAX Non-NTF Income 0.9 3.75 3 BondPIMCO Advisors Funds PIMCO MORTGAGE BACKED SEC CL C PMRCX Non-NTF Income 1.65 1.00 3 BondPIMCO Advisors Funds PIMCO MUNICIPAL BOND CLASS A PMLAX Non-NTF Municipal Bond - National 0.78 3.75 3 BondPIMCO Advisors Funds PIMCO MUNICIPAL BOND CLASS C PMLCX Non-NTF Municipal Bond - National 1.28 1.00 3 Bond

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Sales Charge

Settlement Days

Security Class

PIMCO Advisors Funds PIMCO MUNIGO FUND CLASS A APNAX Non-NTF Municipal Bond - National -999 3.00 3 BondPIMCO Advisors Funds PIMCO MUNIGO FUND CLASS C APNCX Non-NTF Municipal Bond - National -999 1.00 3 BondPIMCO Advisors Funds PIMCO NEW YORK INTER MUNI BOND CL A PNYAX Non-NTF Municipal Bond - Single State 0.78 3.00 3 EquityPIMCO Advisors Funds PIMCO NEW YORK MUNI BOND FUND CL C PBFCX Non-NTF Municipal Bond - Single State -999 1.00 3 EquityPIMCO Advisors Funds PIMCO REAL ESTATE REAL RET STRAT FD A PETAX Non-NTF Specialty - Real Estate 1.19 5.50 3 BondPIMCO Advisors Funds PIMCO REAL ESTATE REAL RETURN STRAT C PETCX Non-NTF Specialty - Real Estate 1.94 1.00 3 BondPIMCO Advisors Funds PIMCO REAL INCOME 2019 FD CL A PCIAX Non-NTF Growth -999 3.75 3 EquityPIMCO Advisors Funds PIMCO REAL INCOME FD 2029 CL A POIAX Non-NTF Growth -999 3.75 3 EquityPIMCO Advisors Funds PIMCO REAL RET 2030 FUND CLASS A PEHAX Non-NTF Growth and Income 0.93 5.50 3 EquityPIMCO Advisors Funds PIMCO REAL RETIREMENT 2010 CL A PTNAX Non-NTF Growth and Income 0.87 5.50 3 BondPIMCO Advisors Funds PIMCO REAL RETIREMENT 2020 CL A PTYAX Non-NTF Growth and Income 0.82 5.50 3 BondPIMCO Advisors Funds PIMCO REAL RETURN CLASS A PRTNX Non-NTF Government Bond - General 0.9 3.75 3 BondPIMCO Advisors Funds PIMCO REAL RETURN CLASS C PRTCX Non-NTF Government Bond - General 1.4 1.00 3 BondPIMCO Advisors Funds PIMCO REALRETIREMENT 2050 FUND CL A PFYAX Non-NTF Growth and Income 0.96 5.50 3 BondPIMCO Advisors Funds PIMCO SHORT DURATION MUNI INCOME CLASS A PSDAX Non-NTF Municipal Bond - National 0.75 2.25 3 BondPIMCO Advisors Funds PIMCO SHORT TERM CLASS A PSHAX Non-NTF Income 0.8 2.25 3 BondPIMCO Advisors Funds PIMCO SHORT TERM CLASS C PFTCX Non-NTF Income 1.1 1.00 3 EquityPIMCO Advisors Funds PIMCO SHT DURATION MUNI INCOME CL C PSDCX Non-NTF Municipal Bond - National 1.05 1.00 3 EquityPIMCO Advisors Funds PIMCO SMALL CAP STOCK PLUS TR CL A PCKAX Non-NTF Small Company 1.09 3.75 3 EquityPIMCO Advisors Funds PIMCO SMALL CAP STOCKS PLUS TR C PCKCX Non-NTF Small Company 1.84 1.00 3 EquityPIMCO Advisors Funds PIMCO STOCKPLUS CLASS A PSPAX Non-NTF Growth and Income 0.9 3.00 3 EquityPIMCO Advisors Funds PIMCO STOCKPLUS CLASS C PSPCX Non-NTF Growth and Income 1.4 1.00 3 EquityPIMCO Advisors Funds PIMCO STOCKPLUS TOTAL RETURN CL A PTOAX Non-NTF Growth and Income 1.04 3.75 3 EquityPIMCO Advisors Funds PIMCO STOCKPLUS TOTAL RETURN FD CL C PSOCX Non-NTF Growth and Income 1.79 1.00 3 EquityPIMCO Advisors Funds PIMCO STOCKS PLUS SHORT STRATEGY CL A PSSAX Non-NTF Growth and Income 1.09 3.75 3 BondPIMCO Advisors Funds PIMCO STOCKS PLUS TR SHRT STRGY FD CL C PSSCX Non-NTF Growth and Income 1.84 1.00 3 BondPIMCO Advisors Funds PIMCO TAX MANAGED REAL RETURN FUND A PTXAX Non-NTF Municipal Bond - National -999 3.75 3 BondPIMCO Advisors Funds PIMCO TAX-MANAGED REAL RETURN FD CL C PXMCX Non-NTF Municipal Bond - National -999 1.00 3 BondPIMCO Advisors Funds PIMCO TOTAL RETURN CLASS A PTTAX Non-NTF Corporate Bond - General 0.9 3.75 3 BondPIMCO Advisors Funds PIMCO TOTAL RETURN CLASS C PTTCX Non-NTF Corporate Bond - General 1.65 1.00 3 BondPIMCO Advisors Funds PIMCO UNCONSTRAINED BD FD CLASS C PUBCX Non-NTF Income 2.05 1.00 3 BondPIMCO Advisors Funds PIMCO UNCONSTRAINED BOND CLASS A PUBAX Non-NTF Income 1.3 3.75 3 BondPIMCO Advisors Funds PIMCO UNCONSTRAINED TAX MANAGED BOND A ATMAX Non-NTF Corporate Bond - General 1.1 3.75 3 EquityPIMCO Advisors Funds PIMCO UNCONSTRAINED TAX-MANAGED BD CL C ATMCX Non-NTF Corporate Bond - General 1.85 1.00 3 EquityPIMCO Funds ALLIANZ AGI SOLUTION CORE ALLOCATION I PALLX Non-NTF Balanced 0.2 None 1 EquityPIMCO Funds ALLIANZ CCM CAPITAL APPREC ADMIN SHS PICAX Non-NTF Growth 0.96 None 1 EquityPIMCO Funds ALLIANZ CCM CAPITAL APPREC INSTL PAPIX Non-NTF Growth 0.71 None 1 EquityPIMCO Funds ALLIANZ CCM CAPITAL APPRECIATION FD CL R PCARX Non-NTF Growth 1.36 None 3 EquityPIMCO Funds ALLIANZ CCM EMERGING CO. ADMIN SHS PMGAX Non-NTF Small Company 1.67 None 1 EquityPIMCO Funds ALLIANZ CCM EMERGING CO. INSTL PMCIX Non-NTF Small Company 1.42 None 1 EquityPIMCO Funds ALLIANZ CCM FOCUS GROWTH FD- INSTL CL AFGIX Non-NTF Growth 0.71 None 1 EquityPIMCO Funds ALLIANZ CCM MID CAP FUND CLASS R PMCRX Non-NTF Growth 1.36 None 3 EquityPIMCO Funds ALLIANZ CCM MID-CAP ADMINISTRATIVE SHS PMCGX Non-NTF Growth 0.96 None 1 BondPIMCO Funds ALLIANZ CCM MID-CAP INSTL CLASS PMGIX Non-NTF Growth 0.71 None 1 BondPIMCO Funds ALLIANZ FIXED INCOME SHARES SERIES C FXICX Non-NTF None 1 BondPIMCO Funds ALLIANZ FIXED INCOME SHARES SERIES M FXIMX Non-NTF None 1 EquityPIMCO Funds ALLIANZ FIXED INCOME SHARES SERIES R FXIRX Non-NTF None 1 EquityPIMCO Funds ALLIANZ GLOBAL INVST SOLUTION 2015 CL P AZGPX Non-NTF Income 0.3 None 3 EquityPIMCO Funds ALLIANZ GLOBAL INVST SOLUTIONS 2020 CL P AGLPX Non-NTF Income 0.33 None 3 EquityPIMCO Funds ALLIANZ GLOBAL INVST SOLUTIONS 2030 CL P ABLPX Non-NTF Income 0.43 None 3 EquityPIMCO Funds ALLIANZ GLOBAL INVST SOLUTIONS 2040 CL P AVSPX Non-NTF Income 0.36 None 3 EquityPIMCO Funds ALLIANZ GLOBAL INVST SOLUTIONS 2050 CL P ASNPX Non-NTF Income 0.36 None 3 EquityPIMCO Funds ALLIANZ NACM EMERGNG MARKETS OPPORT INSTL AOTIX Non-NTF Growth 1.47 None 1 EquityPIMCO Funds ALLIANZ NACM GLOBAL FD CLASS R NGBRX Non-NTF World Stock 1.71 None 3 EquityPIMCO Funds ALLIANZ NACM INCOME & GROWTH FUND INSTL AZNIX Non-NTF Growth and Income 0.92 None 1 EquityPIMCO Funds ALLIANZ NACM INCOME AND GROWTH FUND CL P AIGPX Non-NTF Growth and Income 1.01 None 3 EquityPIMCO Funds ALLIANZ NACM INTL FD INSTL CL SH NAISX Non-NTF Foreign Stock 1.08 None 1 EquityPIMCO Funds ALLIANZ NACM INTL FUND CL R ANIRX Non-NTF Foreign Stock 1.73 None 3 EquityPIMCO Funds ALLIANZ NACM INTL GROWTH INSTL AILIX Non-NTF Foreign Stock 0.95 None 1 Equity

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Sales Charge

Settlement Days

Security Class

PIMCO Funds ALLIANZ NACM PACIFIC RIM INSTL CLASS SHS NAPRX Non-NTF Pacific Stock 1.37 None 1 EquityPIMCO Funds ALLIANZ NFJ ALL-CAP VALUE INSTL CL PNFIX Non-NTF Growth and Income 0.93 None 1 EquityPIMCO Funds ALLIANZ NFJ DIVIDEND VALUE FD ADMIN CL ANDAX Non-NTF Equity-Income 0.92 None 1 EquityPIMCO Funds ALLIANZ NFJ DIVIDEND VALUE FD CL R PNERX Non-NTF Equity-Income 1.3 None 3 EquityPIMCO Funds ALLIANZ NFJ DIVIDEND VALUE FD-INSTL CL NFJEX Non-NTF Equity-Income 0.67 None 1 EquityPIMCO Funds ALLIANZ NFJ DIVIDEND VALUE FUND CL P ADJPX Non-NTF Equity-Income 0.77 None 3 EquityPIMCO Funds ALLIANZ NFJ INTL VALUE INSTL CL ANJIX Non-NTF Foreign Stock 1.05 None 1 EquityPIMCO Funds ALLIANZ NFJ LARGE CAP VALUE CL R ANLRX Non-NTF Growth 1.36 None 3 EquityPIMCO Funds ALLIANZ NFJ LARGE CAP VALUE INSTL ANVIX Non-NTF Growth 0.71 None 1 EquityPIMCO Funds ALLIANZ NFJ LARGE CP VALUE FD CL ADMIN ALNFX Non-NTF Growth 0.97 None 1 EquityPIMCO Funds ALLIANZ NFJ MID-CAP VALUE FD INSTITL CL ANIVX Non-NTF Growth and Income 0.87 None 1 EquityPIMCO Funds ALLIANZ NFJ RENAISSANCE ADMIN PRAAX Non-NTF Growth and Income 1.06 None 1 EquityPIMCO Funds ALLIANZ NFJ RENAISSANCE CLASS R PRNRX Non-NTF Growth and Income 1.46 None 3 EquityPIMCO Funds ALLIANZ NFJ RENAISSANCE INSTL PRNIX Non-NTF Growth and Income 0.81 None 1 EquityPIMCO Funds ALLIANZ OCC GROWTH ADMINISTRATIVE PGFAX Non-NTF Growth 1.01 None 1 EquityPIMCO Funds ALLIANZ OCC GROWTH FUND CLASS R PPGRX Non-NTF Growth 1.4 None 3 EquityPIMCO Funds ALLIANZ OCC GROWTH INSTL PGFIX Non-NTF Growth 0.76 None 1 EquityPIMCO Funds ALLIANZ OCC OPPORTUNITY ADMIN POADX Non-NTF Aggressive Growth 1.16 None 1 EquityPIMCO Funds ALLIANZ OCC OPPORTUNITY INSTL POFIX Non-NTF Aggressive Growth 0.91 None 1 EquityPIMCO Funds ALLIANZ OCC TARGET FD INSTL CL SHS PFTIX Non-NTF Growth 0.81 None 1 EquityPIMCO Funds ALLIANZ RCM DISC INTL EQUITY ADMIN RAIAX Non-NTF Foreign Stock 1.22 None 1 EquityPIMCO Funds ALLIANZ RCM DISC INTL EQUITY INSTL DRIEX Non-NTF Foreign Stock 0.97 None 1 EquityPIMCO Funds ALLIANZ RCM GLOBAL ECO TRENDS INSTL AECIX Non-NTF Growth 1.69 None 1 EquityPIMCO Funds ALLIANZ RCM GLOBAL RESOURCES INSTL RGLIX Non-NTF Specialty - Natural Resources 1.07 None 1 EquityPIMCO Funds ALLIANZ RCM GLOBAL SMALL CAP INSTL CL DGSCX Non-NTF World Stock 1.36 None 1 EquityPIMCO Funds ALLIANZ RCM GLOBAL WATER FUND INSTL AWTIX Non-NTF Specialty - Natural Resources 1.68 None 1 EquityPIMCO Funds ALLIANZ RCM LARGE CAP GROWTH CL P ARLPX Non-NTF Growth 0.81 None 3 EquityPIMCO Funds ALLIANZ RCM LARGE CAP GROWTH FD CL R PLCRX Non-NTF Growth 1.37 None 3 EquityPIMCO Funds ALLIANZ RCM LARGE CAP GROWTH INSTL DRLCX Non-NTF Growth 0.72 None 1 EquityPIMCO Funds ALLIANZ RCM LARGECAP GROWTH ADMIN SHS DLGAX Non-NTF Growth 0.97 None 1 EquityPIMCO Funds ALLIANZ RCM MID CAP ADMIN SHARES DRMAX Non-NTF Growth 0.99 None 1 EquityPIMCO Funds ALLIANZ RCM MID CAP INSTL DRMCX Non-NTF Growth 0.74 None 1 EquityPIMCO Funds ALLIANZ RCM TECH INSTL CL DRGTX Non-NTF Specialty - Technology 1.26 None 1 EquityPIMCO Funds ALLIANZ RCM TECHNOLOGY ADMININST DGTAX Non-NTF Specialty - Technology 1.51 None 1 BondPIMCO Funds NACM MID CAP GROWTH FUND INSTL CLASS ANMIX Non-NTF Growth 0.98 None 1 EquityPIMCO Funds PIMCO ALL ASSET ALL AUTHORITY FUND CL P PAUPX Non-NTF Asset Allocation 0.35 None 1 EquityPIMCO Funds PIMCO ALL ASSET ALL AUTHORITY-INSTIT CL PAUIX Non-NTF Asset Allocation 0.25 None 1 BondPIMCO Funds PIMCO ALL ASSET FD ADMINISTRATIVE CLASS PAALX Non-NTF Asset Allocation 0.45 None 1 EquityPIMCO Funds PIMCO ALL ASSET FUND CL P PALPX Non-NTF Asset Allocation 0.3 None 1 EquityPIMCO Funds PIMCO ALL ASSET FUND CLASS R PATRX Non-NTF Asset Allocation 1.1 None 3 BondPIMCO Funds PIMCO ALL ASSET INST CLASS PAAIX Non-NTF Asset Allocation 0.2 None 1 BondPIMCO Funds PIMCO CA INTER MUNI INSTITUTIONAL PCIMX Non-NTF Municipal Bond - Single State 0.45 None 1 EquityPIMCO Funds PIMCO CALIF. SHORT DURATION MUNI INCOME INSTITUTIONAL PCDIX Non-NTF Income 0.35 None 1 EquityPIMCO Funds PIMCO COMMODITY REAL RET STRAT ADMIN CL PCRRX Non-NTF Specialty - Natural Resources 0.99 None 1 BondPIMCO Funds PIMCO COMMODITY REAL RETURN INST PCRIX Non-NTF Specialty - Natural Resources 0.74 None 1 EquityPIMCO Funds PIMCO COMMODITY REAL RETURN STRATEGY CL P PCRPX Non-NTF Specialty - Natural Resources 0.84 None 1 BondPIMCO Funds PIMCO CONVERTIBLE BOND INSTL PFCIX Non-NTF Convertible Bond 0.65 None 1 BondPIMCO Funds PIMCO DEV LOCAL MKTS FD INST PLMIX Non-NTF Diversified Emerging Markets 0.85 None 1 BondPIMCO Funds PIMCO DIVERSIFIED INCOME FUND INSTL PDIIX Non-NTF Multisector Bond 0.75 None 1 BondPIMCO Funds PIMCO EM FUND INDEX PLUS TR STRTGY INSTL PEFIX Non-NTF Income 1.25 None 1 BondPIMCO Funds PIMCO EMERGING LOCAL BOND FD INST CL PELBX Non-NTF Diversified Emerging Markets 0.95 None 1 BondPIMCO Funds PIMCO EMERGING MARKETS BOND ADMIN PEBAX Non-NTF Diversified Emerging Markets 1.1 None 1 BondPIMCO Funds PIMCO EMERGING MARKETS BOND INSTL PEBIX Non-NTF Diversified Emerging Markets 0.85 None 1 BondPIMCO Funds PIMCO EMERGING MRTKS & INTRAST BD INSTL PEMIX Non-NTF Growth -999 None 1 BondPIMCO Funds PIMCO EXTENDED DURATION - INSTL PEDIX Non-NTF Income 0.5 None 1 BondPIMCO Funds PIMCO FLOATING INCOME FUND CL P PFTPX Non-NTF Income 0.65 None 1 BondPIMCO Funds PIMCO FLOATING INCOME INSTITUTIONAL PFIIX Non-NTF Income 0.55 None 1 BondPIMCO Funds PIMCO FOREIGN BOND (US $-HEDGED) CL R PFRRX Non-NTF Worldwide Bond 1.2 None 3 BondPIMCO Funds PIMCO FOREIGN BOND (US DOLLAR-HEDGED) P PFBPX Non-NTF Worldwide Bond 0.6 None 1 Bond

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Sales Charge

Settlement Days

Security Class

PIMCO Funds PIMCO FOREIGN BOND FUND (UNHEDGED) CL P PFUPX Non-NTF Worldwide Bond 0.6 None 1 BondPIMCO Funds PIMCO FOREIGN BOND UNHEDGED INST CL PFUIX Non-NTF Worldwide Bond 0.5 None 1 BondPIMCO Funds PIMCO FOREIGN BOND US DOLLAR HEDGED ADM PFRAX Non-NTF Worldwide Bond 0.75 None 1 EquityPIMCO Funds PIMCO FOREIGN INSTITUTIONAL SHS PFORX Non-NTF Worldwide Bond 0.5 None 1 EquityPIMCO Funds PIMCO FUNDMNTL ADV TOTAL RTN STRAT INSL PFATX Non-NTF Income 0.89 None 1 EquityPIMCO Funds PIMCO FUNDMNTL INDEX PLUS INSTL CL SHS PFPIX Non-NTF Income 0.7 None 1 BondPIMCO Funds PIMCO FUNDMNTL INDEX PLUS TRUST INSTL SHS PXTIX Non-NTF Income 0.79 None 1 BondPIMCO Funds PIMCO GLOBAL ADVNTG STRATEGY INSTL PSAIX Non-NTF Income 0.7 None 1 BondPIMCO Funds PIMCO GLOBAL BD US $ HEDGED ADM CL PGDAX Non-NTF Worldwide Bond 0.8 None 1 BondPIMCO Funds PIMCO GLOBAL BOND FD (UNHEDGED) ADMIN SHS PADMX Non-NTF Worldwide Bond 0.8 None 1 BondPIMCO Funds PIMCO GLOBAL BOND II INSTL PGBIX Non-NTF Worldwide Bond 0.55 None 1 BondPIMCO Funds PIMCO GLOBAL INSTL CLASS PIGLX Non-NTF Worldwide Bond 0.55 None 1 BondPIMCO Funds PIMCO GLOBAL MULTI - ASSET INSTL PGAIX Non-NTF Income 0.52 None 1 EquityPIMCO Funds PIMCO GLOBAL MULTI- ASSET FUND CLASS P PGAPX Non-NTF Income 0.62 None 1 BondPIMCO Funds PIMCO GLOBAL MULTI ASSET FUND CLASS R PGMRX Non-NTF Income 1.37 None 3 BondPIMCO Funds PIMCO GNMA INSTL PDMIX Non-NTF Government Bond - Mortgage 0.5 None 1 BondPIMCO Funds PIMCO HIGH YIELD ADMINISTRATIVE SHS PHYAX Non-NTF Corporate Bond - High Yield 0.77 None 1 BondPIMCO Funds PIMCO HIGH YIELD CLASS R PHYRX Non-NTF Corporate Bond - High Yield 1.15 None 3 BondPIMCO Funds PIMCO HIGH YIELD FUND CLASS P PHLPX Non-NTF Corporate Bond - High Yield 0.63 None 1 BondPIMCO Funds PIMCO HIGH YIELD INSTL PHIYX Non-NTF Corporate Bond - High Yield 0.52 None 1 BondPIMCO Funds PIMCO HIGH YIELD MUNI BD INSTL CL PHMIX Non-NTF Corporate Bond - High Yield 0.54 None 1 EquityPIMCO Funds PIMCO INCOME FUND INSTITUTIONAL FUND PIMIX Non-NTF Multisector Bond 0.4 None 1 EquityPIMCO Funds PIMCO INTL STCKSPL T R STRAT UNHEDG INST PSKIX Non-NTF Growth and Income 0.64 None 1 BondPIMCO Funds PIMCO INTL STKS PLUS TR STRAT INSTL CL PISIX Non-NTF Foreign Stock 0.75 None 1 BondPIMCO Funds PIMCO INV GRADE CORP BOND INSTL PIGIX Non-NTF Corporate Bond - General 0.5 None 1 BondPIMCO Funds PIMCO INVESTMENT GRADE CORP BOND CL P PBDPX Non-NTF Corporate Bond - General 0.6 None 1 BondPIMCO Funds PIMCO LONG DURATION TOTAL RETURN INSTL PLRIX Non-NTF Income 0.5 None 1 BondPIMCO Funds PIMCO LONG TERM CREDIT FUND INSTL PTCIX Non-NTF Income 0.55 None 1 BondPIMCO Funds PIMCO LONG TERM US GOVT ADMINISTRATIVE PLGBX Non-NTF Government Bond - General 0.73 None 1 BondPIMCO Funds PIMCO LONG TERM US GOV'T INSTL PGOVX Non-NTF Government Bond - General 0.48 None 1 BondPIMCO Funds PIMCO LOW DURATION ADMINISTRATIVE SHS PLDAX Non-NTF Income 0.7 None 1 BondPIMCO Funds PIMCO LOW DURATION FUND CL P PLDPX Non-NTF Income 0.55 None 1 BondPIMCO Funds PIMCO LOW DURATION FUND CLASS R PLDRX Non-NTF Income 1.1 None 3 BondPIMCO Funds PIMCO LOW DURATION II ADMINISTRATIVE PDFAX Non-NTF Corporate Bond - High Quality 0.75 None 1 BondPIMCO Funds PIMCO LOW DURATION II INSTL PLDTX Non-NTF Corporate Bond - High Quality 0.5 None 1 BondPIMCO Funds PIMCO LOW DURATION III INSTL PLDIX Non-NTF Income 0.5 None 1 BondPIMCO Funds PIMCO LOW DURATION INSTITUTIONAL PTLDX Non-NTF Income 0.45 None 1 BondPIMCO Funds PIMCO MODERATE DURATION INSTL PMDRX Non-NTF Income 0.46 None 1 BondPIMCO Funds PIMCO MUNI GO FD INSTL CL PMGOX Non-NTF Municipal Bond - National -999 None 1 BondPIMCO Funds PIMCO MUNICIPAL BOND ADMIN SHS PMNAX Non-NTF Municipal Bond - National 0.72 None 1 BondPIMCO Funds PIMCO MUNICIPAL BOND INSTITUTIONAL PFMIX Non-NTF Municipal Bond - National 0.47 None 1 BondPIMCO Funds PIMCO NY MUNI BOND INSTITUTIONAL PNYIX Non-NTF Municipal Bond - Single State 0.45 None 1 BondPIMCO Funds PIMCO REAL INCOME 2019 INSTL PRIFX Non-NTF Growth -999 None 1 BondPIMCO Funds PIMCO REAL INCOME 2029 INSTL PRIIX Non-NTF Growth -999 None 1 BondPIMCO Funds PIMCO REAL RETIREMEN 2010 FD CLASS R PTNRX Non-NTF Growth and Income 1.23 None 3 BondPIMCO Funds PIMCO REAL RETIREMEN 2020 FD CLASS R PTYRX Non-NTF Growth and Income 1.09 None 3 BondPIMCO Funds PIMCO REAL RETIREMEN 2030 FD CLASS R PEHRX Non-NTF Growth and Income 1.13 None 3 BondPIMCO Funds PIMCO REAL RETIREMEN 2040 FD CLASS R POFRX Non-NTF Growth and Income 1.2 None 3 BondPIMCO Funds PIMCO REAL RETIREMNT 2050 FD CL R PFYRX Non-NTF Growth and Income 1.23 None 3 BondPIMCO Funds PIMCO REAL RETURN ADMINISTRATIVE CLASS PARRX Non-NTF Government Bond - General 0.7 None 1 BondPIMCO Funds PIMCO REAL RETURN ASSET INSTL PRAIX Non-NTF Growth and Income 0.57 None 1 BondPIMCO Funds PIMCO REAL RETURN BOND INSTL CLASS PRRIX Non-NTF Government Bond - General 0.45 None 1 BondPIMCO Funds PIMCO REAL RETURN FUND CL P PRLPX Non-NTF Government Bond - General 0.55 None 1 EquityPIMCO Funds PIMCO REAL RETURN FUND CLASS R PRRRX Non-NTF Government Bond - General 1.15 None 3 BondPIMCO Funds PIMCO REAL RETURN STRAT INST'L CLASS PRRSX Non-NTF Specialty - Real Estate 0.74 None 1 BondPIMCO Funds PIMCO REALRETIREMENT 2010 INSTL PRIEX Non-NTF Growth and Income 0.23 None 1 BondPIMCO Funds PIMCO REALRETIREMENT 2020 INSTL PRWIX Non-NTF Growth and Income 0.22 None 1 BondPIMCO Funds PIMCO REALRETIREMENT 2030 INSTL PRLIX Non-NTF Growth and Income 0.26 None 1 BondPIMCO Funds PIMCO REALRETIREMENT 2040 INSTL PROIX Non-NTF Growth and Income 0.33 None 1 Bond

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Security Class

PIMCO Funds PIMCO REALRETIREMENT 2050 INSTL PRMIX Non-NTF Growth and Income 0.36 None 1 BondPIMCO Funds PIMCO SHORT DURATION MUNI INSTITUTIONAL PSDIX Non-NTF Municipal Bond - National 0.35 None 1 EquityPIMCO Funds PIMCO SHORT TERM ADMINISTRATIVE SHS PSFAX Non-NTF Income 0.7 None 1 BondPIMCO Funds PIMCO SHORT TERM CLASS R PTSRX Non-NTF Income 1.05 None 3 BondPIMCO Funds PIMCO SHORT TERM INSTITUTIONAL PTSHX Non-NTF Income 0.45 None 1 EquityPIMCO Funds PIMCO SHORT-TERM BOND FUND CLASS P PTSPX Non-NTF Income 0.55 None 1 EquityPIMCO Funds PIMCO STOCK PLUS FUND CL R PSPRX Non-NTF Growth and Income 1.15 None 3 EquityPIMCO Funds PIMCO STOCK PLUS TOTAL RETURN CL I PSPTX Non-NTF Growth and Income 0.64 None 1 EquityPIMCO Funds PIMCO STOCKPLUS TR SHORT STRTGY INSTCL PSTIX Non-NTF Growth and Income 0.69 None 1 EquityPIMCO Funds PIMCO STOCKS PLUS ADMINISTRATIVE SHS PPLAX Non-NTF Growth and Income 0.75 None 1 BondPIMCO Funds PIMCO STOCKS PLUS INSTL CLASS PSTKX Non-NTF Growth and Income 0.5 None 1 BondPIMCO Funds PIMCO TAX MANAGED REAL RETURN INSTL PTMIX Non-NTF Municipal Bond - National -999 None 1 BondPIMCO Funds PIMCO TOTAL RETURN ADMINISTRATIVE SHS PTRAX Non-NTF Corporate Bond - General 0.7 None 1 BondPIMCO Funds PIMCO TOTAL RETURN FUND CL P PTTPX Non-NTF Corporate Bond - General 0.55 None 1 BondPIMCO Funds PIMCO TOTAL RETURN FUND CLASS R PTRRX Non-NTF Corporate Bond - General 1.15 None 3 BondPIMCO Funds PIMCO TOTAL RETURN II ADMINISTRATIVE PRADX Non-NTF Corporate Bond - General 0.75 None 1 BondPIMCO Funds PIMCO TOTAL RETURN II INSTL PMBIX Non-NTF Corporate Bond - General 0.5 None 1 BondPIMCO Funds PIMCO TOTAL RETURN III ADMINISTRATIVE PRFAX Non-NTF Corporate Bond - General 0.75 None 1 BondPIMCO Funds PIMCO TOTAL RETURN III INSTL PTSAX Non-NTF Corporate Bond - General 0.5 None 1 BondPIMCO Funds PIMCO TOTAL RETURN INSTL PTTRX Non-NTF Corporate Bond - General 0.45 None 1 BondPIMCO Funds PIMCO TOTAL RETURN MORTGAGE CL I PTRIX Non-NTF Income 0.5 None 1 BondPIMCO Funds PIMCO UNCONSTRAINED BD FD CLASS R PUBRX Non-NTF Income 1.55 None 3 BondPIMCO Funds PIMCO UNCONSTRAINED BD INSTL CLASS PFIUX Non-NTF Income 0.9 None 1 EquityPIMCO Funds PIMCO UNCONSTRAINED TAX MANAGED BD INSTL PUTIX Non-NTF Corporate Bond - General 0.7 None 1 EquityPinebridge Funds PINEBRIDGE US FOCUS EQUITY CLASS I PBFOX Non-NTF Growth 1.2 None 3 EquityPinebridge Funds PINEBRIDGE US FOCUS EQUITY CLASS R PBFEX Non-NTF Growth 1.24 None 3 EquityPinebridge Funds PINEBRIDGE US MICRO CAP CLASS I PBMBX Non-NTF Growth 1.52 None 3 EquityPinebridge Funds PINEBRIDGE US MICRO CAP GROWTH CLASS R PBMRX Non-NTF Growth 1.75 None 3 EquityPinebridge Funds PINEBRIDGE US MID CAP GROWTH CLASS R PBDRX Non-NTF Growth 1.25 None 3 EquityPinebridge Funds PINEBRIDGE US SMALL CAP GROWTH CLASS I PBSBX Non-NTF Growth 1.28 None 3 EquityPinebridge Funds PINEBRIDGE US SMALL CAP GROWTH CLASS R PBSRX Non-NTF Growth 1.5 None 3 BondPioneer Funds PIONEER OAK RIDGE LARGE CAP GROWTH R ORLRX Non-NTF Growth 1.45 None 3 BondPioneer Investments PIONEER AMT FREE MUNI CL Y PBYMX Non-NTF Municipal Bond - National 0.58 None 3 BondPioneer Investments PIONEER AMT FREE MUNI CLASS A PBMFX Non-NTF Municipal Bond - National 0.82 4.50 3 BondPioneer Investments PIONEER AMT FREE MUNI CLASS C MNBCX Non-NTF Municipal Bond - National 1.64 1.00 3 BondPioneer Investments PIONEER BOND CLASS A PIOBX Non-NTF Asset Allocation 0.89 4.50 3 BondPioneer Investments PIONEER BOND FUND CLASS C PCYBX Non-NTF Asset Allocation 1.83 1.00 3 BondPioneer Investments PIONEER BOND FUND CLASS R PBFRX Non-NTF Asset Allocation 1.25 None 3 BondPioneer Investments PIONEER BOND FUND CLASS Z PIBZX Non-NTF Asset Allocation 0.65 None 3 EquityPioneer Investments PIONEER CASH RESERVES CLASS A QPCRQ Non-NTF None 0 EquityPioneer Investments PIONEER CLASSIC BALANCED FD CL C PCBCX Non-NTF Balanced 2.06 1.00 3 EquityPioneer Investments PIONEER CLASSIC BALANCED FD CL Y AYBLX Non-NTF Balanced 0.89 None 3 EquityPioneer Investments PIONEER CLASSIC BALANCED FUND CL A AOBLX Non-NTF Balanced 1.16 4.50 3 EquityPioneer Investments PIONEER CULLEN VALUE FUND CL A CVFCX Non-NTF Growth and Income 1.18 5.75 3 EquityPioneer Investments PIONEER CULLEN VALUE FUND CL C CVCFX Non-NTF Growth and Income 1.96 1.00 3 EquityPioneer Investments PIONEER CULLEN VALUE FUND CL R CVRFX Non-NTF Growth and Income 1.4 None 3 EquityPioneer Investments PIONEER CULLEN VALUE FUND CL Y CVFYX Non-NTF Growth and Income 0.83 None 3 EquityPioneer Investments PIONEER CULLEN VALUE FUND CLASS Z CVFZX Non-NTF Growth and Income 1.25 None 3 EquityPioneer Investments PIONEER DISCIPLINED VALUE FD CL A SERSX Non-NTF Growth 1.25 5.75 3 EquityPioneer Investments PIONEER EMERGING MARKETS CL R PEMRX Non-NTF Diversified Emerging Markets 2.17 None 3 EquityPioneer Investments PIONEER EMERGING MARKETS CLASS A PEMFX Non-NTF Diversified Emerging Markets 1.95 5.75 3 EquityPioneer Investments PIONEER EMERGING MARKETS CLASS C PCEFX Non-NTF Diversified Emerging Markets 2.85 1.00 3 EquityPioneer Investments PIONEER EMERGING MARKETS FD CL Y PYEFX Non-NTF Diversified Emerging Markets 1.42 None 3 EquityPioneer Investments PIONEER EQUITY INC CLASS C PCEQX Non-NTF Growth and Income 2.04 1.00 3 EquityPioneer Investments PIONEER EQUITY INC CLASS Y PYEQX Non-NTF Growth and Income 0.75 None 3 EquityPioneer Investments PIONEER EQUITY INCOME CL A PEQIX Non-NTF Growth and Income 1.23 5.75 3 EquityPioneer Investments PIONEER EQUITY INCOME FD CL Z PEZQX Non-NTF Growth and Income 0.79 None 3 EquityPioneer Investments PIONEER EQUITY INCOME FUND CL R PQIRX Non-NTF Growth and Income 1.44 None 3 EquityPioneer Investments PIONEER EQUITY OPPORTUNITY CLASS A PEOFX Non-NTF Growth 1.25 5.75 3 Bond

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Security Class

Pioneer Investments PIONEER EQUITY OPPORTUNITY CLASS C PEOCX Non-NTF Growth 2.15 1.00 3 BondPioneer Investments PIONEER FLOATING RATE CL A FLARX Non-NTF Income 1.1 4.50 3 BondPioneer Investments PIONEER FLOATING RATE FUND CL C FLRCX Non-NTF Income 2 1.00 3 EquityPioneer Investments PIONEER FLOATING RATE FUND CL Y FLYRX Non-NTF Income 1.09 None 3 EquityPioneer Investments PIONEER FUND CL R PIORX Non-NTF Growth and Income 1.45 None 3 EquityPioneer Investments PIONEER FUND CLASS A PIODX Non-NTF Growth and Income 1.23 5.75 3 EquityPioneer Investments PIONEER FUND CLASS C PCODX Non-NTF Growth and Income 1.99 1.00 3 EquityPioneer Investments PIONEER FUND CLASS Y PYODX Non-NTF Growth and Income 0.71 None 3 EquityPioneer Investments PIONEER FUND CLASS Z PIOZX Non-NTF Growth and Income 0.85 None 3 EquityPioneer Investments PIONEER FUNDAMENTAL GROWTH FD CL A PIGFX Non-NTF Growth 1.25 5.75 3 EquityPioneer Investments PIONEER FUNDAMENTAL GROWTH FD CL C FUNCX Non-NTF Growth 2.15 1.00 3 BondPioneer Investments PIONEER FUNDAMENTAL GROWTH FD CL Y FUNYX Non-NTF Growth -999 None 3 BondPioneer Investments PIONEER GLOBAL AGGREGATE BOND CL A PGABX Non-NTF Worldwide Bond 1 4.50 3 EquityPioneer Investments PIONEER GLOBAL AGGREGATE FD CL C PGCBX Non-NTF Worldwide Bond 1.89 1.00 3 EquityPioneer Investments PIONEER GLOBAL EQUITY CLASS Y PGSYX Non-NTF Growth 0.8 None 3 EquityPioneer Investments PIONEER GLOBAL EQUITY FD CL A GLOSX Non-NTF Growth 1.3 5.75 3 BondPioneer Investments PIONEER GLOBAL EQUITY FD CL C GCSLX Non-NTF Growth 2.2 1.00 3 BondPioneer Investments PIONEER GLOBAL HIGH YIELD CL A PGHYX Non-NTF Growth and Income 1.1 4.50 3 BondPioneer Investments PIONEER GLOBAL HIGH YIELD CLASS Z PGHZX Non-NTF Growth and Income 0.9 None 3 BondPioneer Investments PIONEER GLOBAL HIGH YIELD FD CL C PGYCX Non-NTF Growth and Income 1.98 1.00 3 BondPioneer Investments PIONEER GLOBAL HIGH YIELD FUND CL Y GHYYX Non-NTF Growth and Income 0.78 None 3 BondPioneer Investments PIONEER GOVT INCOME FD CL C GOVCX Non-NTF Government Bond - Mortgage 1.9 1.00 3 BondPioneer Investments PIONEER GOVT INCOME FUND CL A AMGEX Non-NTF Government Bond - Mortgage 1.15 4.50 3 EquityPioneer Investments PIONEER GOVT INCOME FUND CL Y ATGIX Non-NTF Government Bond - Mortgage 0.67 None 3 EquityPioneer Investments PIONEER GROWTH OPPOR FD CLASS C GOFCX Non-NTF Growth 2.39 1.00 3 EquityPioneer Investments PIONEER GROWTH OPPORT FD CL Y GROYX Non-NTF Growth 0.77 None 3 EquityPioneer Investments PIONEER GROWTH OPPORTUNITIES R PGRRX Non-NTF Growth 1.58 None 3 BondPioneer Investments PIONEER GROWTH OPPORTUNITY CLASS A PGOFX Non-NTF Growth 1.35 5.75 3 BondPioneer Investments PIONEER HIGH INCOME MUNICIPAL CL C HICMX Non-NTF Municipal Bond - National 1.8 1.00 3 BondPioneer Investments PIONEER HIGH INCOME MUNICIPAL FD CL A PIMAX Non-NTF Municipal Bond - National 0.9 4.50 3 BondPioneer Investments PIONEER HIGH YIELD CLASS A TAHYX Non-NTF Corporate Bond - High Yield 1.25 4.50 3 BondPioneer Investments PIONEER HIGH YIELD CLASS C PYICX Non-NTF Corporate Bond - High Yield 1.98 1.00 3 BondPioneer Investments PIONEER HIGH YIELD CLASS R TYHRX Non-NTF Corporate Bond - High Yield 1.47 None 3 BondPioneer Investments PIONEER HIGH YIELD CLASS Y TYHYX Non-NTF Corporate Bond - High Yield 0.78 None 3 EquityPioneer Investments PIONEER HIGH YIELD FUND CL Z TAHZX Non-NTF Corporate Bond - High Yield 0.85 None 3 EquityPioneer Investments PIONEER IBBOTSON AGGRESS ALLOC CL A PIAAX Non-NTF Growth 0.85 5.75 3 EquityPioneer Investments PIONEER IBBOTSON AGGRESS ALLOC CL C IALCX Non-NTF Growth 1.64 1.00 3 EquityPioneer Investments PIONEER IBBOTSON AGGRESSIVE ALLOC Y IBAYX Non-NTF Growth 0.43 None 3 EquityPioneer Investments PIONEER IBBOTSON CON ALLOCATION CL C PICVX Non-NTF Growth and Income 1.68 1.00 3 EquityPioneer Investments PIONEER IBBOTSON CONS ALLOCATION FD A PIAVX Non-NTF Growth and Income 0.78 5.75 3 EquityPioneer Investments PIONEER IBBOTSON GROWTH ALLOC CL A GRAAX Non-NTF Growth and Income 0.79 5.75 3 EquityPioneer Investments PIONEER IBBOTSON GROWTH ALLOC CLASS C GRACX Non-NTF Growth and Income 1.57 1.00 3 EquityPioneer Investments PIONEER IBBOTSON GROWTH ALLOC Y IBGYX Non-NTF Growth and Income 0.39 None 3 EquityPioneer Investments PIONEER IBBOTSON MOD ALLOCATION Y IMOYX Non-NTF Growth and Income 0.33 None 3 EquityPioneer Investments PIONEER IBBOTSON MODERATE ALLOC CL A PIALX Non-NTF Growth and Income 0.74 5.75 3 EquityPioneer Investments PIONEER IBBOTSON MODERATE ALLOC CL C PIDCX Non-NTF Growth and Income 1.52 1.00 3 EquityPioneer Investments PIONEER INDEPENDENCE CLASS Y INYDX Non-NTF Growth 0.91 None 3 EquityPioneer Investments PIONEER INDEPENDENCE FD CL A PINDX Non-NTF Growth 1.25 5.75 3 EquityPioneer Investments PIONEER INDEPENDENCE FUND CL C INDCX Non-NTF Growth 2.15 1.00 3 EquityPioneer Investments PIONEER INTERNAT'L VALUE CLASS A PIIFX Non-NTF Foreign Stock 1.52 5.75 3 EquityPioneer Investments PIONEER INTERNAT'L VALUE CLASS C PCITX Non-NTF Foreign Stock 2.4 1.00 3 EquityPioneer Investments PIONEER INTL VALUE CLASS Y INVYX Non-NTF Foreign Stock 1.01 None 3 EquityPioneer Investments PIONEER MID CAP GROWTH CLASS Y PMTYX Non-NTF Growth 0.97 None 3 EquityPioneer Investments PIONEER MID CAP VALUE CL R PCMRX Non-NTF Growth 1.66 None 3 EquityPioneer Investments PIONEER MID CAP VALUE FD CLASS Y PYCGX Non-NTF Growth 0.95 None 3 EquityPioneer Investments PIONEER MID-CAP VALUE CL A PCGRX Non-NTF Growth 1.43 5.75 3 EquityPioneer Investments PIONEER MID-CAP VALUE CL C PCCGX Non-NTF Growth 2.35 1.00 3 EquityPioneer Investments PIONEER OAK RIDGE LARGE CAP GROWTH A ORILX Non-NTF Growth 1.2 5.75 3 EquityPioneer Investments PIONEER OAK RIDGE LARGE CAP GROWTH C ORLCX Non-NTF Growth 2.1 1.00 3 Equity

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Security Class

Pioneer Investments PIONEER OAK RIDGE LG CAP GROWTH FD CL Y PORYX Non-NTF Growth 0.98 None 3 EquityPioneer Investments PIONEER OAK RIDGE SMALL CAP GROWTH A ORIGX Non-NTF Growth 1.36 5.75 3 EquityPioneer Investments PIONEER OAK RIDGE SMALL CAP GROWTH C ORICX Non-NTF Growth 2.26 1.00 3 EquityPioneer Investments PIONEER REAL ESTATE FUND CLASS Y PYREX Non-NTF Specialty - Real Estate 1.06 None 3 EquityPioneer Investments PIONEER REAL ESTATE SHARES CLASS A PWREX Non-NTF Specialty - Real Estate 1.85 5.75 3 EquityPioneer Investments PIONEER REAL ESTATE SHARES CLASS C PCREX Non-NTF Specialty - Real Estate 2.89 1.00 3 EquityPioneer Investments PIONEER RESEARCH CLASS A PATMX Non-NTF Growth 1.25 5.75 3 EquityPioneer Investments PIONEER RESEARCH CLASS C PCTMX Non-NTF Growth 2.15 1.00 3 EquityPioneer Investments PIONEER RESEARCH FUND CLASS Y PRFYX Non-NTF Growth 0.97 None 3 EquityPioneer Investments PIONEER SELECT MID CAP GROWTH CLASS A PMCTX Non-NTF Growth 1.29 5.75 3 BondPioneer Investments PIONEER SELECT MID CAP GROWTH CLASS C PMTCX Non-NTF Growth 2.31 1.00 3 BondPioneer Investments PIONEER SHORT TERM INCOME FD CL A STABX Non-NTF Income 0.9 2.50 3 BondPioneer Investments PIONEER SHORT TERM INCOME FD CL C PSHCX Non-NTF Income 1.79 1.00 3 BondPioneer Investments PIONEER SHORT TERM INCOME FD CL Y PSHYX Non-NTF Income 0.63 None 3 BondPioneer Investments PIONEER STRATEGIC INC HIGH YLD CL Z STIZX Non-NTF Multisector Bond 0.8 None 3 BondPioneer Investments PIONEER STRATEGIC INCOME CLASS A PSRAX Non-NTF Multisector Bond 1.17 4.50 3 BondPioneer Investments PIONEER STRATEGIC INCOME CLASS C PSRCX Non-NTF Multisector Bond 1.85 1.00 3 BondPioneer Investments PIONEER STRATEGIC INCOME FUND CL R STIRX Non-NTF Multisector Bond 1.44 None 3 EquityPioneer Investments PIONEER TREASURY RESERVES CL A QPTRQ Non-NTF None 0 EquityPioneer Investments PIONEER VALUE CL A PIOTX Non-NTF Growth and Income 1.06 5.75 3 EquityPioneer Investments PIONEER VALUE CL C PCOTX Non-NTF Growth and Income 2.18 1.00 3 EquityPioneer Investments PIONEER VALUE FUND CLASS Y PVFYX Non-NTF Growth and Income 0.54 None 3 EquityPNC Fund PNC BALANCED ALLOCATION CL C PBCCX Non-NTF Asset Allocation 1.99 1.00 3 EquityPNC Fund PNC BALANCED ALLOCATION FD CL A PBAAX Non-NTF Asset Allocation 1.27 4.75 3 BondPNC Fund PNC BALANCED ALLOCATION FD INSTL PBLIX Non-NTF Asset Allocation 1.02 None 1 BondPNC Fund PNC BOND FUND CLASS A PAAAX Non-NTF Corporate Bond - High Quality 0.86 4.50 3 BondPNC Fund PNC BOND FUND CLASS I PFDIX Non-NTF Corporate Bond - High Quality 0.61 None 1 BondPNC Fund PNC GOV'T FD INSTL PTGIX Non-NTF Government Bond - Mortgage 0.63 None 1 BondPNC Fund PNC GOV'T MORTGAGE F D CL A POMAX Non-NTF Government Bond - Mortgage 0.88 4.50 1 BondPNC Fund PNC GOV'T MORTGAGE FD CL C PGTCX Non-NTF Government Bond - Mortgage 1.59 1.00 1 BondPNC Fund PNC INTERMED BOND FD CL A PBFAX Non-NTF Corporate Bond - General 0.81 4.50 3 BondPNC Fund PNC INTERMED TAX CHGPT BD CL A PTBIX Non-NTF Municipal Bond - National 1.03 3.00 3 BondPNC Fund PNC INTERMEDIATE BD FD INSTL PIKIX Non-NTF Corporate Bond - General 0.56 None 1 EquityPNC Fund PNC INTERMEDIATE TAX EX BD FD I PTIIX Non-NTF Municipal Bond - National 0.53 None 1 EquityPNC Fund PNC INTERNATIONAL EQUITY FD CL A PMIEX Non-NTF Growth 1.53 5.50 3 EquityPNC Fund PNC INTERNATONAL EQUITY FD INSTL PIUIX Non-NTF Growth 1.28 None 1 EquityPNC Fund PNC LARGE CAP CORE EQUITY CL A PLEAX Non-NTF Growth 1.21 5.50 3 EquityPNC Fund PNC LARGE CAP CORE FUND CL I PLEIX Non-NTF Growth 0.96 None 3 EquityPNC Fund PNC LARGE CAP GROWTH FD CL A PEWAX Non-NTF Growth and Income 1.24 5.50 3 EquityPNC Fund PNC LARGE CAP GROWTH FD INSTL PEWIX Non-NTF Growth and Income 0.98 None 1 EquityPNC Fund PNC LARGE CAP VALUE FD CL A PLVAX Non-NTF Growth 1.22 5.50 3 EquityPNC Fund PNC LARGE CAP VALUE FD CL C PALVX Non-NTF Growth 1.92 1.00 3 BondPNC Fund PNC LARGE CAP VALUE FD INSTL PLIVX Non-NTF Growth 0.96 None 1 BondPNC Fund PNC LIMITED MATURITY BD INSTL PMYIX Non-NTF Corporate Bond - High Quality 0.53 None 1 BondPNC Fund PNC LIMITED MATURITY BOND FD CL A PLFAX Non-NTF Corporate Bond - High Quality 0.79 2.00 3 BondPNC Fund PNC LIMITED MATURITY BOND FD CL C PFLCX Non-NTF Corporate Bond - High Quality 1.5 1.00 3 BondPNC Fund PNC MICHIGAN INTERME MUNI BD INSTL PBFIX Non-NTF Municipal Bond - Single State 0.62 None 1 EquityPNC Fund PNC MICHIGAN INTERMEDAITE BD A PMMAX Non-NTF Municipal Bond - Single State 0.88 3.00 1 EquityPNC Fund PNC MID CAP VALUE CL C PMFCX Non-NTF Growth and Income 2.04 1.00 3 EquityPNC Fund PNC MID CAP VALUE FD CL A PMCAX Non-NTF Growth and Income 1.33 5.50 3 EquityPNC Fund PNC MID CAP VALUE FD CL I PMVIX Non-NTF Growth and Income 1.08 None 1 EquityPNC Fund PNC MULTI FACT SMALL CAP GROWTH A PLWAX Non-NTF Small Company 1.71 5.50 1 EquityPNC Fund PNC MULTI FACT SMALL CAP GROWTH I PLTIX Non-NTF Small Company 1.47 None 1 EquityPNC Fund PNC MULTI FACTOR SM CAP CL I PMUIX Non-NTF Small Company 1.34 None 1 EquityPNC Fund PNC MULTI FACTOR SM CAP VALUE C PSVCX Non-NTF Small Company 2.34 1.00 3 BondPNC Fund PNC MULTI FACTOR SMC CAP VALUE A PMRRX Non-NTF Small Company 1.64 5.50 3 BondPNC Fund PNC OHIO INTER TAX EXEMPT BD FD A POXAX Non-NTF Municipal Bond - Single State 0.82 3.00 3 BondPNC Fund PNC OHOP INTER TAX EXEMPT BD INSTL POXIX Non-NTF Municipal Bond - Single State 0.57 None 1 BondPNC Fund PNC PA MUNI BOND FD CL I PIBIX Non-NTF Municipal Bond - Single State 0.6 None 3 Bond

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Settlement Days

Security Class

PNC Fund PNC PENN INTERMED MUNI BOND CL C PPMCX Non-NTF Municipal Bond - Single State 1.58 1.00 3 EquityPNC Fund PNC PENN INTERMES MUNI BD A PPMAX Non-NTF Municipal Bond - Single State 0.85 3.00 3 EquityPNC Fund PNC S&P 500 INDEX CL A PIIAX Non-NTF Growth 0.67 2.50 1 EquityPNC Fund PNC S&P 500 INDEX FD CL C PPICX Non-NTF Growth 1.41 1.00 3 EquityPNC Fund PNC S&P 500 INDEX FD CL I PSXIX Non-NTF Growth 0.42 None 1 EquityPNC Fund PNC SMALL CAP CORE FD CL A PPCAX Non-NTF Growth 1.46 5.50 3 EquityPNC Fund PNC SMALL CAP CORE FD CL C PPCCX Non-NTF Growth 2.17 1.00 3 BondPNC Fund PNC SMALL CAP CORE FD CL I PPCIX Non-NTF Growth 1.21 None 3 BondPNC Fund PNC TOTAL RET ADV INSTIT PTVIX Non-NTF Corporate Bond - General 0.53 None 1 BondPNC Fund PNC TOTAL RETURN ADVANTAGE A PTVAX Non-NTF Corporate Bond - General 1.03 4.50 3 BondPNC Fund PNC ULTRA SHORT BOND FD CL A PSBAX Non-NTF Income 0.66 1.00 3 EquityPNC Fund PNC ULTRA SHORT BOND FD CL I PNCIX Non-NTF Income 0.4 None 3 BondPolaris Global Funds POLARIS GLOBAL VALUE PGVFX Non-NTF Growth 1.45 None 1 EquityPopular Funds POPULAR HIGH GRADE FIXED INCOME CL A POHGQ Non-NTF 3.75 3 EquityPrimeCap Odyssey Funds PRIMECAP ODYSSEY AGGRESSIVE GRWTH FD POAGX Non-NTF Aggressive Growth 0.77 None 1 EquityPrimeCap Odyssey Funds PRIMECAP ODYSSEY GROWTH FUND POGRX Non-NTF Growth 0.71 None 1 BondPrimeCap Odyssey Funds PRIMECAP ODYSSEY STO CK FUND POSKX Non-NTF Growth 0.8 None 1 BondPrincipal Funds PRINCIPAL BOND & MORTGAGE SEC CL A PRBDX Non-NTF Government Bond - Mortgage 0.94 3.75 3 BondPrincipal Funds PRINCIPAL BOND & MORTGAGE SEC CL C PBMCX Non-NTF Government Bond - Mortgage 1.75 1.00 3 BondPrincipal Funds PRINCIPAL BOND & MORTGAGE SEC INSTL PMSIX Non-NTF Government Bond - Mortgage 0.53 None 1 EquityPrincipal Funds PRINCIPAL BOND & MORTGAGE SECS R4 PBMSX Non-NTF Government Bond - Mortgage 0.91 None 1 BondPrincipal Funds PRINCIPAL BOND & MORTGAGE SECS R5 SHR PBMPX Non-NTF Government Bond - Mortgage 0.79 None 1 BondPrincipal Funds PRINCIPAL BOND AND MORTGAGE SEC CL R3 PBMMX Non-NTF Government Bond - Mortgage 1.1 None 1 BondPrincipal Funds PRINCIPAL CALIFORNIA MUNI CL A SRCMX Non-NTF Municipal Bond - Single State 0.91 3.75 3 EquityPrincipal Funds PRINCIPAL CALIFORNIA MUNI CL C SRCCX Non-NTF Municipal Bond - Single State 1.88 1.00 3 EquityPrincipal Funds PRINCIPAL CAPITAL APPRECIATION CLASS A CMNWX Non-NTF Growth 1.07 5.50 3 EquityPrincipal Funds PRINCIPAL CAPITAL APPRECIATION CLASS C CMNCX Non-NTF Growth 2.15 1.00 3 BondPrincipal Funds PRINCIPAL CAPITAL APPRECIATION INSTL PWCIX Non-NTF Growth 0.59 None 1 EquityPrincipal Funds PRINCIPAL CORE PLUS BOND FD 1 CL R4 PCBDX Non-NTF Equity-Income 0.97 None 1 EquityPrincipal Funds PRINCIPAL DISCIPLINE LARGE CAP BLEND R3 PDAPX Non-NTF Growth 1.15 None 1 EquityPrincipal Funds PRINCIPAL DISCIPLINE LARGE CAP BLEND R5 PDPBX Non-NTF Growth 0.84 None 1 EquityPrincipal Funds PRINCIPAL DISCIPLINE LARGECAP BLEND R4 PDCSX Non-NTF Growth 0.96 None 1 EquityPrincipal Funds PRINCIPAL DISCPLND LARGECAP BLEND CL A PRMGX Non-NTF Growth 1.19 5.50 3 EquityPrincipal Funds PRINCIPAL DISCPLND LARGECAP BLEND CL C PDCCX Non-NTF Growth 1.82 1.00 3 EquityPrincipal Funds PRINCIPAL DIVERS INTERNATIONAL CL A PRWLX Non-NTF Foreign Stock 1.58 5.50 3 EquityPrincipal Funds PRINCIPAL DIVERS INTERNATIONAL CL C PDNCX Non-NTF Foreign Stock 2.08 1.00 3 EquityPrincipal Funds PRINCIPAL DIVERS INTERNATIONAL CL R5 PINPX Non-NTF Foreign Stock 1.17 None 1 EquityPrincipal Funds PRINCIPAL DIVERS INTERNATIONAL INSTL PIIIX Non-NTF Foreign Stock 0.91 None 1 EquityPrincipal Funds PRINCIPAL DIVERSIF'D INTERNATIONAL R4 PINLX Non-NTF Foreign Stock 1.29 None 1 EquityPrincipal Funds PRINCIPAL DIVERSIFIE D REAL ASSET FD CL A PRDAX Non-NTF 3.75 3 EquityPrincipal Funds PRINCIPAL DIVERSIFIE D REAL ASSET FD CL C PRDCX Non-NTF 1.00 3 EquityPrincipal Funds PRINCIPAL DIVERSIFIED INTL R3 PINRX Non-NTF Foreign Stock 1.48 None 1 EquityPrincipal Funds PRINCIPAL EMERGING MARKETS CL R5 PEPSX Non-NTF Diversified Emerging Markets 1.51 None 1 EquityPrincipal Funds PRINCIPAL EQUITY INC CL A PQIAX Non-NTF Growth and Income 1 5.50 3 BondPrincipal Funds PRINCIPAL EQUITY INC CL C PEUCX Non-NTF Growth and Income 1.77 1.00 3 BondPrincipal Funds PRINCIPAL EQUITY INC INSTL CL PEIIX Non-NTF Growth and Income 0.53 None 1 BondPrincipal Funds PRINCIPAL GLOBAL DIVERSIFIED INCOME A PGBAX Non-NTF Income 1.25 3.75 3 BondPrincipal Funds PRINCIPAL GLOBAL DIVERSIFIED INCOME C PGDCX Non-NTF Income 2 1.00 3 EquityPrincipal Funds PRINCIPAL GLOBAL DIVERSIFIED INCOME I PGDIX Non-NTF Income 0.9 None 1 EquityPrincipal Funds PRINCIPAL GLOBAL REAL ESTATE CL A POSAX Non-NTF Specialty - Real Estate 1.45 5.50 3 BondPrincipal Funds PRINCIPAL GLOBAL REAL ESTATE CL C POSCX Non-NTF Specialty - Real Estate 2.2 1.00 3 BondPrincipal Funds PRINCIPAL GOV & HIGH QUALITY BOND CL R3 PRCMX Non-NTF Government Bond - General 0.98 None 1 BondPrincipal Funds PRINCIPAL GOV & HIGH QUALITY BOND CLASS A CMPGX Non-NTF Government Bond - General 0.89 2.25 3 EquityPrincipal Funds PRINCIPAL GOV & HIGH QUALITY BOND CLASS C CCUGX Non-NTF Government Bond - General 1.63 1.00 3 BondPrincipal Funds PRINCIPAL GOV & HIGH QUALITY BOND INSTL PMRIX Non-NTF Government Bond - General 0.51 None 1 BondPrincipal Funds PRINCIPAL HIGH QUAL INTERMED TERM BD R1 PHSIX Non-NTF Corporate Bond - High Quality 1.31 None 1 EquityPrincipal Funds PRINCIPAL HIGH QUAL INTERMEDIATE-TERM R4 PHISX Non-NTF Corporate Bond - High Quality 0.81 None 1 BondPrincipal Funds PRINCIPAL HIGH QUAL INTER-TERM BOND R5 PHIPX Non-NTF Corporate Bond - High Quality 0.69 None 1 BondPrincipal Funds PRINCIPAL HIGH QUAL INTL BOND INSTL CL HUIIX Non-NTF Corporate Bond - High Quality 0.45 None 1 Bond

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Principal Funds PRINCIPAL HIGH QUALITY INTERM BD R3 PHIRX Non-NTF Corporate Bond - High Quality 1 None 1 BondPrincipal Funds PRINCIPAL HIGH YIELD CL A CPHYX Non-NTF Corporate Bond - High Yield 0.95 3.75 3 EquityPrincipal Funds PRINCIPAL HIGH YIELD CL C CCHIX Non-NTF Corporate Bond - High Yield 1.68 1.00 3 BondPrincipal Funds PRINCIPAL HIGH YIELD II INSTL CL PHYTX Non-NTF Corporate Bond - High Yield 0.54 None 1 BondPrincipal Funds PRINCIPAL HIGH YIELD INSTITUTIONAL SHRS PYHIX Non-NTF Income 0.65 None 1 BondPrincipal Funds PRINCIPAL HQ SHORT TERM COND CL A PLTBX Non-NTF Corporate Bond - High Quality 0.82 2.25 3 BondPrincipal Funds PRINCIPAL INCOME CL A CMPIX Non-NTF Corporate Bond - General 0.9 2.25 3 BondPrincipal Funds PRINCIPAL INCOME CL C CNMCX Non-NTF Corporate Bond - General 1.65 1.00 3 EquityPrincipal Funds PRINCIPAL INCOME INSTL PIOIX Non-NTF Corporate Bond - General 0.51 None 1 BondPrincipal Funds PRINCIPAL INFLATION PROTECTION CL A PITAX Non-NTF Income 0.9 3.75 3 EquityPrincipal Funds PRINCIPAL INFLATION PROTECTION CL C PPOCX Non-NTF Income 1.65 1.00 3 BondPrincipal Funds PRINCIPAL INFLATION PROTECTION CL R3 PIFPX Non-NTF Income 0.98 None 1 BondPrincipal Funds PRINCIPAL INFLATION PROTECTION R1 PISPX Non-NTF Income 1.29 None 1 EquityPrincipal Funds PRINCIPAL INFLATION PROTECTION R4 PIFSX Non-NTF Income 0.79 None 1 EquityPrincipal Funds PRINCIPAL INFLATION PROTECTION R5 SHRS PBPPX Non-NTF Income 0.67 None 1 EquityPrincipal Funds PRINCIPAL INTERNATIONAL FD R4 PUPPX Non-NTF Foreign Stock 1.49 None 1 EquityPrincipal Funds PRINCIPAL INTERNATL EMERGING MARKETS R1 PIXEX Non-NTF Diversified Emerging Markets 2.13 None 1 EquityPrincipal Funds PRINCIPAL INTERNATL EMERGING MRKTS FD R4 PESSX Non-NTF Diversified Emerging Markets 1.63 None 1 EquityPrincipal Funds PRINCIPAL INTERNAT'L GROWTH FD CL R3 PITMX Non-NTF Foreign Stock 1.57 None 1 EquityPrincipal Funds PRINCIPAL INTERNATL GROWTH FUND CL R1 PISGX Non-NTF Foreign Stock 1.88 None 1 EquityPrincipal Funds PRINCIPAL INTERNATL GROWTH FUND R4 PITSX Non-NTF Foreign Stock 1.38 None 1 EquityPrincipal Funds PRINCIPAL INTL EMERGING MRKTS CL R3 PEAPX Non-NTF Diversified Emerging Markets 1.82 None 1 EquityPrincipal Funds PRINCIPAL INTL FUND I CLASS R3 PRPPX Non-NTF Foreign Stock 1.68 None 1 EquityPrincipal Funds PRINCIPAL INTL FUND I INSTL CL SHARES PINIX Non-NTF Foreign Stock 1.11 None 1 EquityPrincipal Funds PRINCIPAL INTRNTL CL R1 PPISX Non-NTF Foreign Stock 1.99 None 1 EquityPrincipal Funds PRINCIPAL INTRNTL EMERG MKT INSTL PIEIX Non-NTF Diversified Emerging Markets 1.27 None 1 EquityPrincipal Funds PRINCIPAL INTRNTL EMERG MKTS CL A PRIAX Non-NTF Diversified Emerging Markets 2 5.50 3 EquityPrincipal Funds PRINCIPAL INTRNTL EMERG MKTS CL C PMKCX Non-NTF Diversified Emerging Markets 2.8 1.00 3 BondPrincipal Funds PRINCIPAL INTRNTL GROWTH CL A PIRAX Non-NTF Foreign Stock 1.6 5.50 3 EquityPrincipal Funds PRINCIPAL INTRNTL GROWTH CL C PIRCX Non-NTF Foreign Stock 2.35 1.00 3 EquityPrincipal Funds PRINCIPAL INTRNTL GROWTH CL R5 PITPX Non-NTF Foreign Stock 1.26 None 1 EquityPrincipal Funds PRINCIPAL INTRNTL GROWTH INSTL PITIX Non-NTF Foreign Stock 1.01 None 1 EquityPrincipal Funds PRINCIPAL INVESTORS MIDCAP BLEND CL R5 PMBPX Non-NTF Growth 0.91 None 1 EquityPrincipal Funds PRINCIPAL INVESTORS SAM BALANCE CL C SCBPX Non-NTF Balanced 1.48 1.00 3 EquityPrincipal Funds PRINCIPAL INVESTORS SAM BALANCED INSTL PSBIX Non-NTF Balanced 0.39 None 1 BondPrincipal Funds PRINCIPAL INVESTORS SAM BALANCED PRTF A SABPX Non-NTF Balanced 0.74 5.50 3 EquityPrincipal Funds PRINCIPAL INVESTORS SAM CON BALANCE CL A SAIPX Non-NTF Corporate Bond - General 0.74 5.50 3 EquityPrincipal Funds PRINCIPAL INVESTORS SAM CONS BAL CL C SCIPX Non-NTF Corporate Bond - General 1.48 1.00 3 EquityPrincipal Funds PRINCIPAL INVESTORS SAM CONS GROWTH CL A SAGPX Non-NTF Growth 0.77 5.50 3 EquityPrincipal Funds PRINCIPAL INVESTORS SAM CONS GROWTH CL C SCGPX Non-NTF Growth 1.52 1.00 3 EquityPrincipal Funds PRINCIPAL INVESTORS SAM CONSERV BAL INTL PCCIX Non-NTF Corporate Bond - General -999 None 1 BondPrincipal Funds PRINCIPAL INVESTORS SAM CONVERV GR INSTL PCWIX Non-NTF Growth 0.39 None 1 BondPrincipal Funds PRINCIPAL INVESTORS SAM FLEX INC C SCUPX Non-NTF Corporate Bond - General 1.47 1.00 3 BondPrincipal Funds PRINCIPAL INVESTORS SAM FLEX INC INSTL PIFIX Non-NTF Corporate Bond - General 0.39 None 1 EquityPrincipal Funds PRINCIPAL INVESTORS SAM FLEX INCOME CL A SAUPX Non-NTF Corporate Bond - General 0.74 3.75 3 EquityPrincipal Funds PRINCIPAL INVESTORS SAM STRAT GROWTH A SACAX Non-NTF Growth 0.82 5.50 3 EquityPrincipal Funds PRINCIPAL INVESTORS SAM STRAT GRTH INSTL PSWIX Non-NTF Growth 0.39 None 1 EquityPrincipal Funds PRINCIPAL INVESTORS SAM STRATEGIC GWTH C SWHCX Non-NTF Growth 1.57 1.00 3 BondPrincipal Funds PRINCIPAL INVESTORS SMALLCAP GRWTH INST SCPGX Non-NTF Small Company 0.79 None 1 BondPrincipal Funds PRINCIPAL INVESTORS TAX XMPT BOND CL A PTEAX Non-NTF Municipal Bond - National 0.87 3.75 3 EquityPrincipal Funds PRINCIPAL INVESTORS TAX XMPT BOND CL C PTBCX Non-NTF Municipal Bond - National 1.73 1.00 3 EquityPrincipal Funds PRINCIPAL INVST PRTN SMALLCAP GROW CL A PPSMX Non-NTF Small Company 1.44 5.50 3 EquityPrincipal Funds PRINCIPAL LARGE CAP BLEND FD I CL R3 PVPPX Non-NTF Growth 1.02 None 1 EquityPrincipal Funds PRINCIPAL LARGE CAP BLEND FUND 1 CLASS A PBLCX Non-NTF Growth 1.44 5.50 3 EquityPrincipal Funds PRINCIPAL LARGE CAP BLEND I R1 PAASX Non-NTF Growth 1.33 None 1 EquityPrincipal Funds PRINCIPAL LARGE CAP BLEND II CL A PLRAX Non-NTF Growth 1.67 5.50 3 EquityPrincipal Funds PRINCIPAL LARGE CAP BLEND II R1 PLBSX Non-NTF Growth 1.63 None 1 EquityPrincipal Funds PRINCIPAL LARGE CAP GROWTH A PRGWX Non-NTF Growth 1.38 5.50 3 EquityPrincipal Funds PRINCIPAL LARGE CAP GROWTH CL R5 PDPPX Non-NTF Growth 0.91 None 1 Equity

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Principal Funds PRINCIPAL LARGE CAP GROWTH FD I CL R3 PPUMX Non-NTF Growth 1.3 None 1 EquityPrincipal Funds PRINCIPAL LARGE CAP GROWTH FUND CL R3 PLGPX Non-NTF Growth 1.22 None 1 EquityPrincipal Funds PRINCIPAL LARGE CAP GROWTH I R1 PCRSX Non-NTF Growth 1.61 None 1 EquityPrincipal Funds PRINCIPAL LARGE CAP GROWTH INS PGLIX Non-NTF Growth 0.65 None 1 EquityPrincipal Funds PRINCIPAL LARGE CAP GROWTH S&P 500 R3 PLFMX Non-NTF Growth 0.73 None 1 EquityPrincipal Funds PRINCIPAL LARGE CAP GRWTH II R1 PDASX Non-NTF Growth 1.81 None 1 EquityPrincipal Funds PRINCIPAL LARGE CAP S&P 500 A PLSAX Non-NTF Growth 0.79 1.50 3 EquityPrincipal Funds PRINCIPAL LARGE CAP S&P 500 INDEX R5 PLFPX Non-NTF Growth 0.42 None 1 EquityPrincipal Funds PRINCIPAL LARGE CAP VALUE CL A PCACX Non-NTF Growth 1.11 5.50 3 EquityPrincipal Funds PRINCIPAL LARGE CAP VALUE FD 111 INSTL PLVIX Non-NTF Growth 0.78 None 1 EquityPrincipal Funds PRINCIPAL LARGE CAP VALUE FD I CL R3 PABDX Non-NTF Growth 1.35 None 1 EquityPrincipal Funds PRINCIPAL LARGE CAP VALUE FD R3 PLVMX Non-NTF Growth 1.02 None 1 EquityPrincipal Funds PRINCIPAL LARGE CAP VALUE I R1 PVUAX Non-NTF Growth 1.66 None 1 EquityPrincipal Funds PRINCIPAL LARGE CAP VALUE III CL A PPVAX Non-NTF Growth 1.15 5.50 3 EquityPrincipal Funds PRINCIPAL LARGE CAP VALUE III R1 PESAX Non-NTF Growth 1.66 None 1 EquityPrincipal Funds PRINCIPAL LARGECAP BLEND FUND I CL R4 PYPPX Non-NTF Growth 0.83 None 1 EquityPrincipal Funds PRINCIPAL LARGECAP BLEND FUND R3 PPZMX Non-NTF Growth 1.32 None 1 EquityPrincipal Funds PRINCIPAL LARGECAP BLEND FUND R4 PPZSX Non-NTF Growth 1.13 None 1 EquityPrincipal Funds PRINCIPAL LARGECAP GROWTH FUND CL R1 PLSGX Non-NTF Growth 1.53 None 1 EquityPrincipal Funds PRINCIPAL LARGECAP GROWTH FUND CL R4 PEPPX Non-NTF Growth 1.03 None 1 EquityPrincipal Funds PRINCIPAL LARGECAP GROWTH FUND I CL R4 PPUSX Non-NTF Growth 1.11 None 1 EquityPrincipal Funds PRINCIPAL LARGECAP GROWTH FUND II CL R4 PPTSX Non-NTF Growth 1.31 None 1 EquityPrincipal Funds PRINCIPAL LARGECAP GROWTH FUND II R3 PPTMX Non-NTF Growth 1.5 None 1 EquityPrincipal Funds PRINCIPAL LARGECAP GROWTH II CLASS A PLNAX Non-NTF Growth 1.69 5.50 3 EquityPrincipal Funds PRINCIPAL LARGECAP S & P 500 INDEX FD R1 PLPIX Non-NTF Growth 1.04 None 1 EquityPrincipal Funds PRINCIPAL LARGECAP S & P 500 INDEX FD R4 PLFSX Non-NTF Growth 0.54 None 1 EquityPrincipal Funds PRINCIPAL LARGECAP VALUE FUND CL R3 PPSFX Non-NTF Growth 1.35 None 1 EquityPrincipal Funds PRINCIPAL LARGECAP VALUE FUND CL R4 PLVSX Non-NTF Growth 0.83 None 1 EquityPrincipal Funds PRINCIPAL LARGECAP VALUE FUND I CL R4 PAGBX Non-NTF Growth 1.16 None 1 EquityPrincipal Funds PRINCIPAL LARGECAP VALUE FUND III CL R4 PPSSX Non-NTF Growth 1.16 None 1 EquityPrincipal Funds PRINCIPAL LARGECAP VALUE R5 SHARES PLVPX Non-NTF Growth 0.71 None 1 EquityPrincipal Funds PRINCIPAL LG CAP BLEND I CL C PPLGX Non-NTF Growth 1.9 1.00 3 EquityPrincipal Funds PRINCIPAL LG CAP BLEND II CL C PLFCX Non-NTF Growth 2.19 1.00 3 EquityPrincipal Funds PRINCIPAL LG CAP GROWTH I CL C PLRCX Non-NTF Growth 2.19 1.00 3 EquityPrincipal Funds PRINCIPAL LG CAP GROWTH II CL C PLGRX Non-NTF Growth 2.44 1.00 3 EquityPrincipal Funds PRINCIPAL LG CAP S&P 500 CL C PLICX Non-NTF Growth 1.3 1.00 3 EquityPrincipal Funds PRINCIPAL LG CAP VALUE CL C PLUCX Non-NTF Growth 1.7 1.00 3 EquityPrincipal Funds PRINCIPAL LG CAP VALUE III CL C PLLCX Non-NTF Growth 1.9 1.00 3 EquityPrincipal Funds PRINCIPAL LIFE TIME 2035 FUND CL R1 LTANX Non-NTF Asset Allocation 0.97 None 1 EquityPrincipal Funds PRINCIPAL LIFE TIME 2045 FUND CL R1 LTRGX Non-NTF Asset Allocation 0.97 None 1 EquityPrincipal Funds PRINCIPAL LIFE TIME 2055 FUND CL R1 LTFGX Non-NTF Asset Allocation 0.8 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2010 CL A PENAX Non-NTF Asset Allocation 0.47 5.50 3 EquityPrincipal Funds PRINCIPAL LIFETIME 2010 CL R3 PTAMX Non-NTF Asset Allocation 0.66 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2010 CL R4 PTASX Non-NTF Asset Allocation 0.47 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2010 FUND R1 PVASX Non-NTF Asset Allocation 0.97 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2010 INSTL CL PTTIX Non-NTF Asset Allocation 0.1 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2010 R5 SHARES PTAPX Non-NTF Asset Allocation 0.35 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2015 CL R5 LTPFX Non-NTF Asset Allocation 0.34 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2015 FD CL R3 LTAPX Non-NTF Asset Allocation 0.65 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2015 FD CL R4 LTSLX Non-NTF Asset Allocation 0.46 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2015 FUND CL R1 LTSGX Non-NTF Asset Allocation 0.96 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2015 INSTL LTINX Non-NTF Asset Allocation 0.1 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2020 CL A PTBAX Non-NTF Asset Allocation 0.46 5.50 3 EquityPrincipal Funds PRINCIPAL LIFETIME 2020 CL R3 PTBMX Non-NTF Asset Allocation 0.66 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2020 CL R4 PTBSX Non-NTF Asset Allocation 0.47 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2020 FD CL R5 PTBPX Non-NTF Asset Allocation 0.35 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2020 FUND R1 PWASX Non-NTF Asset Allocation 0.97 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2020 INSTL CL PLWIX Non-NTF Asset Allocation 0.09 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2025 FD CL R3 LTVPX Non-NTF Asset Allocation 0.65 None 1 Equity

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Principal Funds PRINCIPAL LIFETIME 2025 FD CL R4 LTEEX Non-NTF Asset Allocation 0.46 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2025 FD CL R5 LTPDX Non-NTF Asset Allocation 0.34 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2025 FUND CL R1 LTSNX Non-NTF Asset Allocation 0.96 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2025 INSTL LTSTX Non-NTF Asset Allocation 0.1 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2030 CL A PTCAX Non-NTF Asset Allocation 0.46 5.50 3 EquityPrincipal Funds PRINCIPAL LIFETIME 2030 CL R3 PTCMX Non-NTF Asset Allocation 0.66 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2030 CL R4 PTCSX Non-NTF Asset Allocation 0.47 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2030 FD CL R1 PXASX Non-NTF Asset Allocation 0.97 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2030 FD CL R5 PTCPX Non-NTF Asset Allocation 0.35 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2030 INSTL CL PMTIX Non-NTF Asset Allocation 0.09 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2035 CL R5 LTPEX Non-NTF Asset Allocation 0.35 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2035 FD CL R3 LTAOX Non-NTF Asset Allocation 0.66 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2035 FD CL R4 LTSEX Non-NTF Asset Allocation 0.47 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2035 INSTL LTIUX Non-NTF Asset Allocation 0.1 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2040 CL A PTDAX Non-NTF Asset Allocation 0.46 5.50 3 EquityPrincipal Funds PRINCIPAL LIFETIME 2040 CL R3 PTDMX Non-NTF Asset Allocation 0.66 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2040 CL R4 PTDSX Non-NTF Asset Allocation 0.47 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2040 FD CL R5 PTDPX Non-NTF Asset Allocation 0.35 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2040 FUND R1 PYASX Non-NTF Asset Allocation 0.97 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2040 INSTL PTDIX Non-NTF Asset Allocation 0.09 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2045 FD CL R4 LTRLX Non-NTF Asset Allocation 0.47 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2045 FD CL R5 LTRDX Non-NTF Asset Allocation 0.35 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2045 FUND R3 LTRVX Non-NTF Asset Allocation 0.66 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2045 INSTL LTRIX Non-NTF Asset Allocation 0.1 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2050 CL R3 PTERX Non-NTF Asset Allocation 0.66 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2050 CL R4 PTESX Non-NTF Asset Allocation 0.47 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2050 FD CL A PPEAX Non-NTF Asset Allocation 0.46 5.50 3 EquityPrincipal Funds PRINCIPAL LIFETIME 2050 FD CL R5 PTEFX Non-NTF Asset Allocation 0.35 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2050 FUND R1 PZASX Non-NTF Asset Allocation 0.97 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2050 INSTL CL PPLIX Non-NTF Asset Allocation 0.1 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2055 CL R5 LTFPX Non-NTF Asset Allocation 0.2 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2055 FD CL R4 LTFLX Non-NTF Asset Allocation 0.23 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2055 FUND R3 LTFDX Non-NTF Asset Allocation 0.52 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME 2055 INSTL CL LTFIX Non-NTF Asset Allocation 0.08 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME CL R4 PLSSX Non-NTF Asset Allocation 0.48 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME STRAT IN CL A PALTX Non-NTF Asset Allocation 0.47 3.75 3 EquityPrincipal Funds PRINCIPAL LIFETIME STRATEGIC INC CL R3 PLSMX Non-NTF Asset Allocation 0.67 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME STRATEGIC INC INSTL PLSIX Non-NTF Asset Allocation 0.1 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME STRATEGIC INCOME R1 PLAIX Non-NTF Asset Allocation 0.98 None 1 EquityPrincipal Funds PRINCIPAL LIFETIME STRATEGIC INCOME R5 PLSPX Non-NTF Asset Allocation 0.36 None 1 EquityPrincipal Funds PRINCIPAL LRG CAP BLEND II INSTL CL PLBIX Non-NTF Growth 0.77 None 1 EquityPrincipal Funds PRINCIPAL LRG CAP GROWTH I CL A PGGAX Non-NTF Growth 1.94 5.50 3 EquityPrincipal Funds PRINCIPAL LRG CAP GRWTH CL C PLGCX Non-NTF Growth 2.13 1.00 3 EquityPrincipal Funds PRINCIPAL LRG CAP S&P 500 IND PLFIX Non-NTF Growth 0.19 None 1 EquityPrincipal Funds PRINCIPAL MID CAP BLEND CLASS R3 PMBMX Non-NTF Growth 1.22 None 1 EquityPrincipal Funds PRINCIPAL MID CAP BLEND FD CL R4 PMBSX Non-NTF Growth 1.03 None 1 EquityPrincipal Funds PRINCIPAL MID CAP BLEND FD INSTL CL PCBIX Non-NTF Growth 0.69 None 1 EquityPrincipal Funds PRINCIPAL MID CAP BLEND FUND CLASS A PEMGX Non-NTF Growth 1.23 5.50 3 EquityPrincipal Funds PRINCIPAL MID CAP BLEND FUND CLASS C PMBCX Non-NTF Growth 1.95 1.00 3 EquityPrincipal Funds PRINCIPAL MID CAP GROWTH CL R3 PPQMX Non-NTF Growth 1.55 None 1 EquityPrincipal Funds PRINCIPAL MID CAP GROWTH FD 111 CL A PPMGX Non-NTF Growth 1.74 5.50 3 EquityPrincipal Funds PRINCIPAL MID CAP GROWTH FD 111 CL C POWCX Non-NTF Growth 2.49 1.00 3 EquityPrincipal Funds PRINCIPAL MID CAP GROWTH FD 111 CL R1 PHASX Non-NTF Growth 1.86 None 1 EquityPrincipal Funds PRINCIPAL MID CAP GROWTH FD 111 CL R4 PPQSX Non-NTF Growth 1.36 None 1 EquityPrincipal Funds PRINCIPAL MID CAP GROWTH FD CL R5 PHPPX Non-NTF Growth 0.93 None 1 EquityPrincipal Funds PRINCIPAL MID CAP GROWTH FUND CL R3 PFPPX Non-NTF Growth 1.24 None 1 EquityPrincipal Funds PRINCIPAL MID CAP GROWTH INSTL CL PPIMX Non-NTF Growth 0.98 None 1 EquityPrincipal Funds PRINCIPAL MID CAP S& P 400 INDEX FD INSTL MPSIX Non-NTF Growth 0.19 None 1 EquityPrincipal Funds PRINCIPAL MID CAP S&P 400 INDEX CL R4 PMFSX Non-NTF Growth 0.55 None 1 Equity

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Security Class

Principal Funds PRINCIPAL MID CAP S&P 400 INDEX R3 PMFMX Non-NTF Growth 0.74 None 1 EquityPrincipal Funds PRINCIPAL MID CAP VALUE FD 111 CL R4 PMPPX Non-NTF Growth 1.05 None 1 EquityPrincipal Funds PRINCIPAL MID CAP VALUE FD I CL R3 PMPRX Non-NTF Growth 1.55 None 1 EquityPrincipal Funds PRINCIPAL MID CAP VALUE FD I CLASS R1 PLASX Non-NTF Growth 1.86 None 1 EquityPrincipal Funds PRINCIPAL MID CAP VALUE FD I CLASS R4 PABWX Non-NTF Growth 1.36 None 1 EquityPrincipal Funds PRINCIPAL MID CAP VALUE I CLASS A PVEAX Non-NTF Growth 1.34 5.50 3 EquityPrincipal Funds PRINCIPAL MID CAP VALUE I CLASS C PVECX Non-NTF Growth 2.09 1.00 3 EquityPrincipal Funds PRINCIPAL MID CAP VALUE I CLASS I PVMIX Non-NTF Growth 1 None 1 EquityPrincipal Funds PRINCIPAL MID CAP VLAUE FD CLASS R3 PJPPX Non-NTF Growth 1.24 None 1 EquityPrincipal Funds PRINCIPAL MIDCAP BLEND FUND CL R1 PMSBX Non-NTF Growth 1.53 None 1 EquityPrincipal Funds PRINCIPAL MIDCAP CL R4 PIPPX Non-NTF Growth 1.05 None 1 EquityPrincipal Funds PRINCIPAL MIDCAP GROWTH FUND CL R1 PMSGX Non-NTF Growth 1.55 None 1 EquityPrincipal Funds PRINCIPAL MIDCAP GROWTH FUND INSTL PGWIX Non-NTF Growth 0.7 None 1 EquityPrincipal Funds PRINCIPAL MIDCAP S&P 400 INDEX R5 PMFPX Non-NTF Growth 0.43 None 1 EquityPrincipal Funds PRINCIPAL MONEY MARKET FUND CLASS A PCSXX Non-NTF None 3 EquityPrincipal Funds PRINCIPAL PARTNERS SMALLCAP GRWTH II R1 PPASX Non-NTF Small Company 1.89 None 1 EquityPrincipal Funds PRINCIPAL PARTNERS SMALLCAP VALUE I R1 PSASX Non-NTF Income 1.89 None 1 EquityPrincipal Funds PRINCIPAL PARTNERS SMALLCAP VALUE II R1 PCPTX Non-NTF Small Company 1.88 None 1 EquityPrincipal Funds PRINCIPAL PREFERRED SECURITIES CL R4 PQARX Non-NTF Income 1.11 None 1 BondPrincipal Funds PRINCIPAL PREFERRED SECURITIES FD CL A PPSAX Non-NTF Income 1 3.75 3 BondPrincipal Funds PRINCIPAL PREFERRED SECURITIES FUND R1 PUSAX Non-NTF Income 1.61 None 1 EquityPrincipal Funds PRINCIPAL PREFERRED SECURITY CL R3 PNARX Non-NTF Income 1.3 None 1 EquityPrincipal Funds PRINCIPAL PREFERRES SECURITIES FD CL C PRFCX Non-NTF Income 1.75 1.00 3 EquityPrincipal Funds PRINCIPAL PREFERRES SECURITIES INSTL CL PPSIX Non-NTF Income 0.74 None 1 EquityPrincipal Funds PRINCIPAL REAL ESTATE SEC CL C PRCEX Non-NTF Specialty - Real Estate 1.98 1.00 3 EquityPrincipal Funds PRINCIPAL REAL ESTATE SEC CL R5 PREPX Non-NTF Specialty - Real Estate 1.1 None 1 EquityPrincipal Funds PRINCIPAL REAL ESTATE SEC FD CL A PRRAX Non-NTF Specialty - Real Estate 1.28 5.50 3 EquityPrincipal Funds PRINCIPAL REAL ESTATE SEC FD CL R4 PRETX Non-NTF Specialty - Real Estate 1.22 None 1 EquityPrincipal Funds PRINCIPAL REAL ESTATE SEC INSTL CL PIREX Non-NTF Specialty - Real Estate 0.85 None 1 EquityPrincipal Funds PRINCIPAL REAL ESTATE SECURITIES R1 PRAEX Non-NTF Specialty - Real Estate 1.72 None 1 EquityPrincipal Funds PRINCIPAL REAL ESTATE SECURITIES R3 PRERX Non-NTF Specialty - Real Estate 1.41 None 1 EquityPrincipal Funds PRINCIPAL SAM - BALANCED PORT CL R1 PSBGX Non-NTF Balanced 1.24 None 1 BondPrincipal Funds PRINCIPAL SAM - BALANCED PORT R3 PBAPX Non-NTF Balanced 0.93 None 1 EquityPrincipal Funds PRINCIPAL SAM - BALANCED PORT R4 PSBLX Non-NTF Balanced 0.74 None 1 EquityPrincipal Funds PRINCIPAL SAM - CONSERVATIVE BAL R1 PCSSX Non-NTF Corporate Bond - General -999 None 1 EquityPrincipal Funds PRINCIPAL SAM - CONSERVATIVE GRW R4 PCWSX Non-NTF Growth 0.74 None 1 BondPrincipal Funds PRINCIPAL SAM - CONSERVATIVE GRWT R1 PCGGX Non-NTF Growth 1.24 None 1 BondPrincipal Funds PRINCIPAL SAM - CONSERVATIVE PORT R4 PCBLX Non-NTF Corporate Bond - General -999 None 1 EquityPrincipal Funds PRINCIPAL SAM - FLEXIBLE INCOME R4 PFILX Non-NTF Corporate Bond - General 0.74 None 1 BondPrincipal Funds PRINCIPAL SAM - STRATEGIC GR PORT R1 PSGGX Non-NTF Growth 1.24 None 1 BondPrincipal Funds PRINCIPAL SHORT TERM BOND FD CL C PBOCX Non-NTF Corporate Bond - High Quality 1.7 1.00 3 BondPrincipal Funds PRINCIPAL SHORT TERM BOND FD CL R4 PHSSX Non-NTF Corporate Bond - High Quality 0.8 None 1 BondPrincipal Funds PRINCIPAL SHORT TERM BOND FD CLASS R3 PHSMX Non-NTF Corporate Bond - High Quality 0.99 None 1 BondPrincipal Funds PRINCIPAL SHORT TERM BOND FD INSTL CLASS SMBFX Non-NTF Corporate Bond - High Quality 0.44 None 1 BondPrincipal Funds PRINCIPAL SHORT TERM INCOME FD CLASS A SRHQX Non-NTF Corporate Bond - High Quality 0.83 2.25 3 BondPrincipal Funds PRINCIPAL SHORT TERM INCOME FUND CLASS C STCCX Non-NTF Corporate Bond - High Quality 1.67 1.00 3 BondPrincipal Funds PRINCIPAL SHORT-TERM BOND FUND CL R1 PSSTX Non-NTF Corporate Bond - High Quality 1.3 None 1 EquityPrincipal Funds PRINCIPAL SHORT-TERM INCOME INSTL PSHIX Non-NTF Corporate Bond - High Quality 0.53 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP BLEND CL R3 PSBMX Non-NTF Small Company 1.34 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP BLEND FUND CLASS A PLLAX Non-NTF Small Company 1.65 5.50 3 EquityPrincipal Funds PRINCIPAL SMALL CAP GROWTH FD 11 CL R3 PPMMX Non-NTF Small Company 1.58 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP GROWTH FD 11 CL R4 PPMSX Non-NTF Small Company 1.39 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP GROWTH FD 11 CLASS C PTOCX Non-NTF Small Company 2.19 1.00 3 EquityPrincipal Funds PRINCIPAL SMALL CAP GROWTH FD CL R4 PVARX Non-NTF Small Company 1.14 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP GROWTH FD CLASS A PMAAX Non-NTF Small Company 1.82 5.50 3 EquityPrincipal Funds PRINCIPAL SMALL CAP GROWTH FD I CL R4 PPNSX Non-NTF Growth 1.48 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP GROWTH FUND 1 CL R1 PNASX Non-NTF Growth 1.98 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP GROWTH FUND CLASS C PSOWX Non-NTF Small Company 2.21 1.00 3 EquityPrincipal Funds PRINCIPAL SMALL CAP GROWTH FUND I CL R3 PPNMX Non-NTF Growth 1.67 None 1 Equity

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Principal Funds PRINCIPAL SMALL CAP GRWTH FD CL R3 PSLPX Non-NTF Small Company 1.33 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP S&P 600 INDEX CL R3 PSSMX Non-NTF Small Company 0.73 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP S&P 600 INDEX R4 PSSSX Non-NTF Small Company 0.54 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP S&P 600 INDEX R5 SHR PSSPX Non-NTF Small Company 0.42 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP S&P INDEX INSTL CL PSSIX Non-NTF Small Company 0.19 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP VALUE FD 11 CL R3 PJARX Non-NTF Small Company 1.57 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP VALUE FD 11 CL R4 PSTWX Non-NTF Small Company 1.38 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP VALUE FD CL R4 PSVSX Non-NTF Small Company 1.14 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP VALUE FD I CL R4 PPKSX Non-NTF Income 1.4 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP VALUE FD INSTL CL PVSIX Non-NTF Small Company 0.78 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP VALUE FUND CL R3 PSVMX Non-NTF Small Company 1.33 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP VALUE FUND CLASS A PSUAX Non-NTF Small Company 1.35 5.50 3 EquityPrincipal Funds PRINCIPAL SMALL CAP VALUE I FD CL R3 PPKMX Non-NTF Income 1.59 None 1 EquityPrincipal Funds PRINCIPAL SMALL CAP VALUE R5 SHARES PSVPX Non-NTF Small Company 1.02 None 1 EquityPrincipal Funds PRINCIPAL SMALL CP VALUE FUND CLASS C PSUCX Non-NTF Small Company 2.08 1.00 3 EquityPrincipal Funds PRINCIPAL SMALLCAP BLEND FUND R1 PSABX Non-NTF Small Company 1.65 None 1 EquityPrincipal Funds PRINCIPAL SMALLCAP GROWTH FUND R1 PSAGX Non-NTF Small Company 1.64 None 1 EquityPrincipal Funds PRINCIPAL SMALLCAP S&P 600 INDEX CL R1 PSAPX Non-NTF Small Company 1.04 None 1 BondPrincipal Funds PRINCIPAL SMALLCAP VALUE FUND R1 PSAVX Non-NTF Small Company 1.64 None 1 EquityPrincipal Funds PRINCIPAL STRATEGIC MGMT GRWTH PORT R4 PSGLX Non-NTF Growth 0.74 None 1 EquityPrincipal Funds PRINCPAL INVT SMALL CAP BLEND CL C PSMCX Non-NTF Small Company 2.2 1.00 3 BondPrincipal Funds PRINICIPAL SAM - FLEXIBLE INCOME R1 PFIGX Non-NTF Corporate Bond - General 1.24 None 1 BondPrincipal Funds SAM BALANCED PORTFOLIO QXJTQ Non-NTF None 1 EquityPrincipal Funds SAM CONSERVATIVE BALANCED PRTF QXJUQ Non-NTF None 1 BondPrincipal Funds SAM CONSERVATIVE GROWTH PORTFOLIO QXJVQ Non-NTF None 1 EquityPrincipal Funds SAM FLEXIBLE INCOME PORTFOLIO QXJWQ Non-NTF None 1 EquityPrincipal Funds SAM STRATEGIC GROWTH PORTFOLIO QXJXQ Non-NTF None 1 EquityPrincipal Funds STRATEGIC ASSET MGMT CONSERVATIVE BAL R3 PCBPX Non-NTF Corporate Bond - General -999 None 1 EquityPrincipal Funds STRATEGIC ASSET MGMT CONSERVATIVE GRTH R3 PCGPX Non-NTF Growth 0.93 None 1 EquityPrincipal Funds STRATEGIC ASSET MGMT FLEXIBLE INC PT R3 PFIPX Non-NTF Corporate Bond - General 0.93 None 1 EquityPrincipal Funds STRATEGIC ASSET MGMT STRATEGIES GRWTH R3 PSGPX Non-NTF Growth 0.93 None 1 EquityProfessionally Managed Portfolios PORTFOLIO 21 FUND INSTITUTIONAL PORIX Non-NTF Growth 1.2 None 1 EquityProfessionally Managed Portfolios PROFESSIONALLY MGD PORTFOLIO 21 PORTX Non-NTF Growth 1.5 None 1 BondProfit Funds PROFIT VALUE FUND PVALX Non-NTF Growth 1.75 None 3 BondProFunds ACCESS FLEX BEAR HIGH YIELD SRV CLASS AFBSX Non-NTF Income 2.83 None 1 EquityProFunds ACCESS FLEX HIGH YIELD FD- SERVICE CL FYASX Non-NTF Income 2.59 None 1 EquityProFunds BANKS ULTRA SECTOR PRO FUND SERVICE BKPSX Non-NTF Specialty - Financial 2.63 None 1 EquityProFunds BASIC MATERIAL ULTRA SECTOR PRO SERVICE BMPSX Non-NTF Specialty - Unaligned 2.74 None 1 EquityProFunds BEAR PRO FUND SERVICE SHARES BRPSX Non-NTF Growth 2.68 None 1 EquityProFunds BIOTECHNOLOGY ULTRA SECTOR PRO FD SRVCE BIPSX Non-NTF Specialty - Health 2.72 None 1 EquityProFunds BULL PRO FUND SERVICE SHARES BLPSX Non-NTF Growth and Income 2.79 None 1 EquityProFunds CONSUMER GOODS ULTRA SECTOR PRO FDS- SVS CNPSX Non-NTF Growth 2.63 None 1 EquityProFunds CONSUMER SERV ULTRAS PROFUND SERV CL CYPSX Non-NTF Growth 2.64 None 1 BondProFunds EUROPE 30 PRO FUND SERVICE UEPSX Non-NTF Europe Stock 2.94 None 1 EquityProFunds FALLING US DOLLAR PRO FUND SRV CLASS FDPSX Non-NTF Income 2.88 None 1 EquityProFunds FINANCIALS ULTRA SECTOR PRO FD SRVCE FNPSX Non-NTF Specialty - Financial 2.62 None 1 EquityProFunds HEALTH CARE ULTRA SECTOR PRO FD SRVCE HCPSX Non-NTF Specialty - Health 2.61 None 1 EquityProFunds INDUSTRIALS ULTRASEC PROFUND SERVICE CL IDPSX Non-NTF Growth 2.64 None 1 EquityProFunds INTERNET ULTRASECTOR PRO FD SERVICE INPSX Non-NTF Specialty - Technology 2.94 None 1 EquityProFunds LARGE CAP GROWTH PRO FUND SERVICE LGPSX Non-NTF Growth 2.95 None 1 EquityProFunds LARGE CAP VALUE PRO FUND SERVICE LVPSX Non-NTF Growth and Income 2.79 None 1 EquityProFunds MID CAP GROWTH PRO FUND SERVICE MGPSX Non-NTF Growth 2.71 None 1 EquityProFunds MID CAP PRO FUND SERVICE MDPSX Non-NTF Growth 2.65 None 1 EquityProFunds MID CAP VALUE PRO FUND SERVICE MLPSX Non-NTF Growth 2.8 None 1 EquityProFunds MOBILE TELECOM ULTRA SECTOR PRO FD SRVCE WCPSX Non-NTF Specialty - Communications 2.64 None 1 EquityProFunds NASDAQ-100 PRO FUND SERVICE CLASS OTPSX Non-NTF Growth 2.63 None 1 EquityProFunds OIL & GAS ULTRA SECT PRO FD SERVICE ENPSX Non-NTF Specialty - Natural Resources 2.65 None 1 EquityProFunds OIL EQUIPMENT SCVS DIST ULTRA SVCS CL OEPSX Non-NTF Specialty - Utility 2.85 None 1 EquityProFunds PHARMACEUTICAL ULTRA SECTOR PRO FUND SVC PHPSX Non-NTF Specialty - Health 2.64 None 1 Equity

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ProFunds PRECIOUS METALS ULTRA SECTOR PRO SVC PMPSX Non-NTF Specialty - Precious Metals 2.61 None 1 EquityProFunds PRO FUNDS SHORT OIL & GAS SERVICE CL SNPSX Non-NTF Specialty - Natural Resources 2.66 None 1 EquityProFunds PRO FUNDS SHORT REAL ESTATE SERVICE CL SRPSX Non-NTF Specialty - Real Estate 2.67 None 1 EquityProFunds PRO FUNDS ULTRA LATIN AMERICA SRVC UBPSX Non-NTF Aggressive Growth 2.8 None 1 EquityProFunds PRO FUNDS ULTRA SHRT MID CAP-SVS SHS UIPSX Non-NTF Growth 2.79 None 1 EquityProFunds PRO FUNDS ULTRA SHRT SMALL CAP- SERV SHS UCPSX Non-NTF Aggressive Growth 2.88 None 1 EquityProFunds PRO FUNDS ULTRA SHT LATIN AMERICA SRVC UFPSX Non-NTF Aggressive Growth 2.63 None 1 EquityProFunds PROFUNDS: SHORT PREC METALS SVC CLASS SPPSX Non-NTF Specialty - Natural Resources 2.86 None 1 BondProFunds REAL ESTATE ULTRA SECTOR PRO FD SRVCE REPSX Non-NTF Specialty - Real Estate 2.74 None 1 EquityProFunds RISING RATES OPP 10 PRO FUND SERV CLASS RTPSX Non-NTF Income 2.63 None 1 BondProFunds RISING RATES OPPTY PRO FUND SERVICE RRPSX Non-NTF Government Bond - Treasury 2.64 None 1 EquityProFunds RISING US DOLLAR PRO FUND SRV CLASS RDPSX Non-NTF Income 2.58 None 1 EquityProFunds SEMICONDUCTOR ULTRA SECTOR PRO FD SRVCE SMPSX Non-NTF Specialty - Technology 2.64 None 1 EquityProFunds SHORT NASDAQ-100 PRO FUND SERVICE CLASS SOPSX Non-NTF Asset Allocation 2.86 None 1 EquityProFunds SHORT SMALL CAP PRO FUND SERVICE SHPSX Non-NTF Small Company 2.82 None 1 EquityProFunds SMALL CAP GROWTH PRO FUND SERVICE SGPSX Non-NTF Small Company 2.6 None 1 EquityProFunds SMALL CAP PRO FUND SERVICE SLPSX Non-NTF Small Company 2.59 None 1 EquityProFunds SMALL CAP VALUE PRO FUND SERVICE SVPSX Non-NTF Small Company 2.53 None 1 EquityProFunds TECHNOLOGY ULTRA SECTOR PRO FD SRVCE TEPSX Non-NTF Specialty - Technology 2.64 None 1 BondProFunds TELECOMM ULTRASECTOR PRO FD SERVICE TCPSX Non-NTF Specialty - Communications 2.77 None 1 EquityProFunds U.S. GOVERNMENT PLUS PRO FUND SERVICE GVPSX Non-NTF Government Bond - Treasury 2.34 None 1 EquityProFunds ULTR SHORT EMERGING MRKTS PRO FD SVCS CL UVPSX Non-NTF Growth 2.95 None 1 EquityProFunds ULTRA BEAR PRO FUND SERVICE SHARES URPSX Non-NTF Growth 2.58 None 1 EquityProFunds ULTRA BULL PRO FUND SERVICE SHARES ULPSX Non-NTF Growth and Income 2.65 None 1 EquityProFunds ULTRA CHINA PRO FUND - SERVICE CLASS UGPSX Non-NTF Foreign Stock 2.86 None 1 EquityProFunds ULTRA DOW 30 PRO FUND SVC UDPSX Non-NTF Growth 2.84 None 1 EquityProFunds ULTRA EMERGING MRTKS PRO FD SVCS CL UUPSX Non-NTF Growth 2.61 None 1 EquityProFunds ULTRA INTERNATIONAL PRO FD UNPSX Non-NTF Growth 2.84 None 1 EquityProFunds ULTRA JAPAN PRO FUND SERVICE SHARES UJPSX Non-NTF Pacific Stock 2.84 None 1 EquityProFunds ULTRA MID CAP PRO FUND SERVICE SHARES UMPSX Non-NTF Growth 2.76 None 1 EquityProFunds ULTRA NASDAQ-100 PRO FUND SERVICE CLASS UOPSX Non-NTF Growth 2.61 None 1 EquityProFunds ULTRA SHORT CHINA PRO FUND - SERVICE UHPSX Non-NTF Foreign Stock 2.95 None 1 EquityProFunds ULTRA SHORT DOW 30 SERVICE SHARES UWPSX Non-NTF Aggressive Growth 2.86 None 1 EquityProFunds ULTRA SHORT INTL PRO FD SVCS CL UXPSX Non-NTF Growth 2.72 None 1 EquityProFunds ULTRA SHORT JAPAN PRO FD SERVICE CL UKPSX Non-NTF Growth 2.63 None 1 EquityProFunds ULTRA SMALL CAP PRO FUND SERVICE SHS UAPSX Non-NTF Growth 2.8 None 1 EquityProFunds ULTRASHORT NASDAQ- 100 PROFUND SERVICE USPSX Non-NTF Growth 2.67 None 1 EquityProFunds UTILITIES ULTRA SECTOR PRO FUND SVC UTPSX Non-NTF Specialty - Utility 2.86 None 1 EquityProspector Funds PROSPECTOR CAPITAL APPRECIATION PCAFX Non-NTF Growth 1.5 None 1 EquityProspector Funds PROSPECTOR OPPORTUNITY POPFX Non-NTF Growth 1.5 None 1 EquityPrudential Investments PRUDENTIAL ASSET ALLOCATION CLASS A PIBAX Non-NTF Balanced 1.25 5.50 3 EquityPrudential Investments PRUDENTIAL ASSET ALLOCATION CLASS B PBFBX Non-NTF Balanced 1.95 5.00 3 EquityPrudential Investments PRUDENTIAL ASSET ALLOCATION CLASS C PABCX Non-NTF Balanced 1.95 1.00 3 BondPrudential Investments PRUDENTIAL ASSET ALLOCATION FD Z PABFX Non-NTF Balanced 0.95 None 3 BondPrudential Investments PRUDENTIAL CA MUNI INCOME CLASS A PBCAX Non-NTF Municipal Bond - Single State 0.89 4.00 3 BondPrudential Investments PRUDENTIAL CA MUNI INCOME CLASS B PCAIX Non-NTF Municipal Bond - Single State 1.14 5.00 3 BondPrudential Investments PRUDENTIAL CA MUNI INCOME CLASS C PCICX Non-NTF Municipal Bond - Single State 1.39 1.00 3 EquityPrudential Investments PRUDENTIAL CA MUNI INCOME CLASS Z PCIZX Non-NTF Municipal Bond - Single State 0.64 None 3 EquityPrudential Investments PRUDENTIAL CONSERV ALLOC CL B JDABX Non-NTF Balanced 1.5 5.00 3 BondPrudential Investments PRUDENTIAL CONSERV ALLOCATION CL A JDUAX Non-NTF Balanced 0.75 5.50 3 EquityPrudential Investments PRUDENTIAL CONSERV ALLOCATION CL C JDACX Non-NTF Balanced 1.5 1.00 3 EquityPrudential Investments PRUDENTIAL FINANCIAL SERVICES CLASS A PFSAX Non-NTF Specialty - Financial 1.66 5.50 3 EquityPrudential Investments PRUDENTIAL FINANCIAL SERVICES CLASS B PUFBX Non-NTF Specialty - Financial 2.36 5.00 3 EquityPrudential Investments PRUDENTIAL FINANCIAL SERVICES CLASS C PUFCX Non-NTF Specialty - Financial 2.36 1.00 3 EquityPrudential Investments PRUDENTIAL FINANCIAL SERVICES CLASS Z PFSZX Non-NTF Specialty - Financial 1.36 None 3 EquityPrudential Investments PRUDENTIAL GLOBAL REAL ESTATE CLASS A PURAX Non-NTF Specialty - Real Estate 1.35 5.50 3 EquityPrudential Investments PRUDENTIAL GLOBAL REAL ESTATE CLASS B PURBX Non-NTF Specialty - Real Estate 2.07 5.00 3 EquityPrudential Investments PRUDENTIAL GLOBAL REAL ESTATE CLASS C PURCX Non-NTF Specialty - Real Estate 2.07 1.00 3 BondPrudential Investments PRUDENTIAL GLOBAL REAL ESTATE CLASS Z PURZX Non-NTF Specialty - Real Estate 1.07 None 3 Bond

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Prudential Investments PRUDENTIAL GLOBAL TOTAL RETURN CLASS A GTRAX Non-NTF Worldwide Bond 1.35 4.50 3 BondPrudential Investments PRUDENTIAL GLOBAL TOTAL RETURN CLASS B PBTRX Non-NTF Worldwide Bond 2.1 5.00 3 BondPrudential Investments PRUDENTIAL GLOBAL TOTAL RETURN CLASS C PCTRX Non-NTF Worldwide Bond 1.85 1.00 3 BondPrudential Investments PRUDENTIAL GLOBAL TOTAL RETURN CLASS Z PZTRX Non-NTF Worldwide Bond 1.1 None 3 BondPrudential Investments PRUDENTIAL GOV INCOME CLASS A PGVAX Non-NTF Government Bond - General 0.94 4.50 3 BondPrudential Investments PRUDENTIAL GOV INCOME CLASS B PBGPX Non-NTF Government Bond - General 1.69 5.00 3 BondPrudential Investments PRUDENTIAL GOV INCOME CLASS C PRICX Non-NTF Government Bond - General 1.44 1.00 3 EquityPrudential Investments PRUDENTIAL GOV INCOME CLASS Z PGVZX Non-NTF Government Bond - General 0.69 None 3 EquityPrudential Investments PRUDENTIAL GROWTH ALLOC CL A JDAAX Non-NTF Growth 0.75 5.50 3 EquityPrudential Investments PRUDENTIAL GROWTH ALLOCATION CL B JDGBX Non-NTF Growth 1.5 5.00 3 EquityPrudential Investments PRUDENTIAL GROWTH ALLOCATION CL C JDGCX Non-NTF Growth 1.5 1.00 3 BondPrudential Investments PRUDENTIAL GROWTH ALLOCATION CL Z JDGZX Non-NTF Growth 0.5 None 3 BondPrudential Investments PRUDENTIAL HIGH YIELD CLASS A PBHAX Non-NTF Corporate Bond - High Yield 0.91 4.50 3 BondPrudential Investments PRUDENTIAL HIGH YIELD CLASS B PBHYX Non-NTF Corporate Bond - High Yield 1.41 5.00 3 BondPrudential Investments PRUDENTIAL HIGH YIELD CLASS C PRHCX Non-NTF Corporate Bond - High Yield 1.41 1.00 3 EquityPrudential Investments PRUDENTIAL HIGH YIELD CLASS Z PHYZX Non-NTF Corporate Bond - High Yield 0.66 None 3 EquityPrudential Investments PRUDENTIAL INTRNAT'L EQUITY CL A PJRAX Non-NTF Foreign Stock 1.54 5.50 3 EquityPrudential Investments PRUDENTIAL INTRNAT'L EQUITY CL B PJRBX Non-NTF Foreign Stock 2.24 5.00 3 EquityPrudential Investments PRUDENTIAL INTRNAT'L EQUITY CL C PJRCX Non-NTF Foreign Stock 2.24 1.00 3 EquityPrudential Investments PRUDENTIAL INTRNAT'L EQUITY CL F QBLEQ Non-NTF Foreign Stock 1.99 None 3 EquityPrudential Investments PRUDENTIAL INTRNAT'L EQUITY CL Z PJIZX Non-NTF Foreign Stock 1.24 None 3 EquityPrudential Investments PRUDENTIAL INTRNAT'L VALUE FD CL A PISAX Non-NTF Foreign Stock 1.65 5.50 3 EquityPrudential Investments PRUDENTIAL INTRNAT'L VALUE FD CL B PISBX Non-NTF Foreign Stock 2.4 5.00 3 EquityPrudential Investments PRUDENTIAL INTRNAT'L VALUE FUND CL Z PISZX Non-NTF Foreign Stock 1.4 None 3 EquityPrudential Investments PRUDENTIAL INTRNAT'L VALUE FUND CLC PCISX Non-NTF Foreign Stock 2.4 1.00 3 EquityPrudential Investments PRUDENTIAL JENNISON 20/20 FOCUS CLASS A PTWAX Non-NTF Growth 1.21 5.50 3 EquityPrudential Investments PRUDENTIAL JENNISON 20/20 FOCUS CLASS B PTWBX Non-NTF Growth 1.93 5.00 3 EquityPrudential Investments PRUDENTIAL JENNISON 20/20 FOCUS CLASS C PTWCX Non-NTF Growth 1.93 1.00 3 EquityPrudential Investments PRUDENTIAL JENNISON 20/20 FOCUS CLASS R JTWRX Non-NTF Growth 1.43 None 3 EquityPrudential Investments PRUDENTIAL JENNISON 20/20 FOCUS CLASS Z PTWZX Non-NTF Growth 0.93 None 3 EquityPrudential Investments PRUDENTIAL JENNISON BLEND CLASS A PBQAX Non-NTF Growth 1.04 5.50 3 EquityPrudential Investments PRUDENTIAL JENNISON BLEND CLASS B PBQFX Non-NTF Growth 1.74 5.00 3 EquityPrudential Investments PRUDENTIAL JENNISON BLEND CLASS C PRECX Non-NTF Growth 1.74 1.00 3 EquityPrudential Investments PRUDENTIAL JENNISON BLEND CLASS Z PEQZX Non-NTF Growth 0.74 None 3 EquityPrudential Investments PRUDENTIAL JENNISON CONSERV GROWTH CL A TBDAX Non-NTF Growth 1.36 5.50 3 EquityPrudential Investments PRUDENTIAL JENNISON CONSERV GROWTH CL B TBDBX Non-NTF Growth 2.11 5.00 3 EquityPrudential Investments PRUDENTIAL JENNISON CONSERV GROWTH CL C TBDCX Non-NTF Growth 2.11 1.00 3 EquityPrudential Investments PRUDENTIAL JENNISON EQUITY INCOME CL A SPQAX Non-NTF Equity-Income 1.4 5.50 3 EquityPrudential Investments PRUDENTIAL JENNISON EQUITY INCOME CL B JEIBX Non-NTF Equity-Income 2.15 5.00 3 EquityPrudential Investments PRUDENTIAL JENNISON EQUITY INCOME CL C AGOCX Non-NTF Equity-Income 2.15 1.00 3 EquityPrudential Investments PRUDENTIAL JENNISON EQUITY OPP CL A PJIAX Non-NTF Growth 1.26 5.50 3 EquityPrudential Investments PRUDENTIAL JENNISON EQUITY OPP CL B PJIBX Non-NTF Growth 1.96 5.00 3 EquityPrudential Investments PRUDENTIAL JENNISON EQUITY OPP CL C PJGCX Non-NTF Growth 1.96 1.00 3 EquityPrudential Investments PRUDENTIAL JENNISON EQUITY OPP CL Z PJGZX Non-NTF Growth 0.96 None 3 EquityPrudential Investments PRUDENTIAL JENNISON EQUITY OPPORTUNITY R PJORX Non-NTF Growth 1.46 None 3 EquityPrudential Investments PRUDENTIAL JENNISON GROWTH CL A PJFAX Non-NTF Growth 1.13 5.50 3 EquityPrudential Investments PRUDENTIAL JENNISON GROWTH CL B PJFBX Non-NTF Growth 1.83 5.00 3 EquityPrudential Investments PRUDENTIAL JENNISON GROWTH CL C PJFCX Non-NTF Growth 1.83 1.00 3 EquityPrudential Investments PRUDENTIAL JENNISON GROWTH CL Z PJFZX Non-NTF Growth 0.83 None 3 EquityPrudential Investments PRUDENTIAL JENNISON HEALTH SCIENCES A PHLAX Non-NTF Specialty - Health 1.3 5.50 3 EquityPrudential Investments PRUDENTIAL JENNISON HEALTH SCIENCES B PHLBX Non-NTF Specialty - Health 2 5.00 3 EquityPrudential Investments PRUDENTIAL JENNISON HEALTH SCIENCES C PHLCX Non-NTF Specialty - Health 2 1.00 3 EquityPrudential Investments PRUDENTIAL JENNISON HEALTH SCIENCES Z PHSZX Non-NTF Specialty - Health 1 None 3 EquityPrudential Investments PRUDENTIAL JENNISON MID CAP GROWTH CL A PEEAX Non-NTF Growth 1.21 5.50 3 EquityPrudential Investments PRUDENTIAL JENNISON MID CAP GROWTH CL B PEEBX Non-NTF Growth 1.91 5.00 3 EquityPrudential Investments PRUDENTIAL JENNISON MID CAP GROWTH CL C PEGCX Non-NTF Growth 1.91 1.00 3 EquityPrudential Investments PRUDENTIAL JENNISON MID CAP GROWTH CL R JDERX Non-NTF Growth 1.41 None 3 EquityPrudential Investments PRUDENTIAL JENNISON MID CAP GROWTH CL Z PEGZX Non-NTF Growth 0.91 None 3 EquityPrudential Investments PRUDENTIAL JENNISON NATURAL RESOURCES A PGNAX Non-NTF Specialty - Natural Resources 1.21 5.50 3 Equity

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Security Class

Prudential Investments PRUDENTIAL JENNISON NATURAL RESOURCES B PRGNX Non-NTF Specialty - Natural Resources 1.91 5.00 3 EquityPrudential Investments PRUDENTIAL JENNISON NATURAL RESOURCES C PNRCX Non-NTF Specialty - Natural Resources 1.91 1.00 3 EquityPrudential Investments PRUDENTIAL JENNISON NATURAL RESOURCES R JNRRX Non-NTF Specialty - Natural Resources 1.41 None 3 EquityPrudential Investments PRUDENTIAL JENNISON SELECT GROWTH CL A SPFAX Non-NTF Aggressive Growth 1.71 5.50 3 EquityPrudential Investments PRUDENTIAL JENNISON SELECT GROWTH CL B SPFBX Non-NTF Aggressive Growth 2.46 5.00 3 EquityPrudential Investments PRUDENTIAL JENNISON SELECT GROWTH CL C SPFCX Non-NTF Aggressive Growth 2.46 1.00 3 EquityPrudential Investments PRUDENTIAL JENNISON SELECT GROWTH CL Z SPFZX Non-NTF Aggressive Growth 1.46 None 3 EquityPrudential Investments PRUDENTIAL JENNISON SMALL COMPANY CL A PGOAX Non-NTF Small Company 1.23 5.50 3 EquityPrudential Investments PRUDENTIAL JENNISON SMALL COMPANY CL B CHNDX Non-NTF Small Company 1.93 5.00 3 EquityPrudential Investments PRUDENTIAL JENNISON SMALL COMPANY CL C PSCCX Non-NTF Small Company 1.93 1.00 3 EquityPrudential Investments PRUDENTIAL JENNISON SMALL COMPANY CL R JSCRX Non-NTF Small Company 1.43 None 3 EquityPrudential Investments PRUDENTIAL JENNISON SMALL COMPANY CL Z PSCZX Non-NTF Small Company 0.93 None 3 EquityPrudential Investments PRUDENTIAL JENNISON UTILITY CLASS A PRUAX Non-NTF Specialty - Utility 0.92 5.50 3 EquityPrudential Investments PRUDENTIAL JENNISON UTILITY CLASS B PRUTX Non-NTF Specialty - Utility 1.62 5.00 3 EquityPrudential Investments PRUDENTIAL JENNISON UTILITY CLASS C PCUFX Non-NTF Specialty - Utility 1.62 1.00 3 EquityPrudential Investments PRUDENTIAL JENNISON VALUE CLASS A PBEAX Non-NTF Growth 1.14 5.50 3 EquityPrudential Investments PRUDENTIAL JENNISON VALUE CLASS B PBQIX Non-NTF Growth 1.84 5.00 3 EquityPrudential Investments PRUDENTIAL JENNISON VALUE CLASS C PEICX Non-NTF Growth 1.84 1.00 3 EquityPrudential Investments PRUDENTIAL JENNISON VALUE CLASS R JDVRX Non-NTF Growth 1.34 None 3 EquityPrudential Investments PRUDENTIAL LARGE CAP CORE EQUITY CL A PTMAX Non-NTF Growth 1.55 5.50 3 EquityPrudential Investments PRUDENTIAL LARGE CAP CORE EQUITY CL B PTMBX Non-NTF Growth 2.25 5.00 3 EquityPrudential Investments PRUDENTIAL LARGE CAP CORE EQUITY CL C PTMCX Non-NTF Growth 2.25 1.00 3 EquityPrudential Investments PRUDENTIAL MID-CAP VALUE CLASS A SPRAX Non-NTF Growth 1.72 5.50 3 EquityPrudential Investments PRUDENTIAL MID-CAP VALUE CLASS B SVUBX Non-NTF Growth 2.47 5.00 3 EquityPrudential Investments PRUDENTIAL MID-CAP VALUE CLASS C NCBVX Non-NTF Growth 2.47 1.00 3 EquityPrudential Investments PRUDENTIAL MID-CAP VALUE CLASS Z SPVZX Non-NTF Growth 1.47 None 3 EquityPrudential Investments PRUDENTIAL MODERATE ALLOCATION CL A JDTAX Non-NTF Balanced 0.75 5.50 3 EquityPrudential Investments PRUDENTIAL MODERATE ALLOCATION CL B JDMBX Non-NTF Balanced 1.5 5.00 3 EquityPrudential Investments PRUDENTIAL MUNI HIGH INCOME CLASS A PRHAX Non-NTF Municipal Bond - National 0.87 4.00 3 BondPrudential Investments PRUDENTIAL MUNI HIGH INCOME CLASS B PMHYX Non-NTF Municipal Bond - National 1.12 5.00 3 BondPrudential Investments PRUDENTIAL MUNI HIGH INCOME CLASS C PHICX Non-NTF Municipal Bond - National 1.37 1.00 3 BondPrudential Investments PRUDENTIAL NATIONAL MUNI CLASS A PRNMX Non-NTF Municipal Bond - National 0.84 4.00 3 BondPrudential Investments PRUDENTIAL NATIONAL MUNI CLASS B PBHMX Non-NTF Municipal Bond - National 1.09 5.00 3 BondPrudential Investments PRUDENTIAL NATIONAL MUNI CLASS C PNMCX Non-NTF Municipal Bond - National 1.34 1.00 3 BondPrudential Investments PRUDENTIAL NATIONAL MUNI CLASS Z DNMZX Non-NTF Municipal Bond - National 0.59 None 3 BondPrudential Investments PRUDENTIAL SHORT TERM CORP BOND CL A PBSMX Non-NTF Corporate Bond - General 0.81 3.25 3 BondPrudential Investments PRUDENTIAL SHORT TERM CORP BOND CL B PSMBX Non-NTF Corporate Bond - General 1.56 3.00 3 BondPrudential Investments PRUDENTIAL SHORT TERM CORP BOND CL Z PIFZX Non-NTF Corporate Bond - General 0.56 None 3 EquityPrudential Investments PRUDENTIAL SMALL CAP CORE EQUITY CLASS A PQVAX Non-NTF Small Company 1.25 5.50 3 EquityPrudential Investments PRUDENTIAL SMALL CAP CORE EQUITY CLASS B PQVBX Non-NTF Small Company 1.95 5.00 3 EquityPrudential Investments PRUDENTIAL SMALL CAP CORE EQUITY CLASS Z PSQZX Non-NTF Small Company 0.95 None 3 EquityPrudential Investments PRUDENTIAL SMALL-CAP VALUE CLASS A PZVAX Non-NTF Small Company 1.65 5.50 3 EquityPrudential Investments PRUDENTIAL SMALL-CAP VALUE CLASS B PZVBX Non-NTF Small Company 2.35 5.00 3 EquityPrudential Investments PRUDENTIAL SMALL-CAP VALUE CLASS C PZVCX Non-NTF Small Company 2.35 1.00 3 EquityPrudential Investments PRUDENTIAL STOCK INDEX CLASS A PSIAX Non-NTF Growth and Income 0.61 3.25 3 EquityPrudential Investments PRUDENTIAL STOCK INDEX CLASS C PSICX Non-NTF Growth and Income 1.41 1.00 3 EquityPrudential Investments PRUDENTIAL STOCK INDEX CLASS Z PSIFX Non-NTF Growth and Income 0.26 None 3 EquityPrudential Investments PRUDENTIAL STRATEGIC VALUE CLASS A SUVAX Non-NTF Growth 1.56 5.50 3 EquityPrudential Investments PRUDENTIAL STRATEGIC VALUE CLASS B SUVBX Non-NTF Growth 2.31 5.00 3 EquityPrudential Investments PRUDENTIAL STRATEGIC VALUE CLASS C SUVCX Non-NTF Growth 2.31 1.00 3 BondPrudential Investments PRUDENTIAL STRATEGIC VALUE CLASS Z SUVZX Non-NTF Growth 1.31 None 3 BondPrudential Investments PRUDENTIAL TOTAL RETURN BOND CLASS A PDBAX Non-NTF Multisector Bond 0.85 4.50 3 EquityPrudential Investments PRUDENTIAL TOTAL RETURN BOND CLASS B PRDBX Non-NTF Multisector Bond 1.35 5.00 3 BondPrudential Investments PRUDENTIAL TOTAL RETURN BOND CLASS Z PDBZX Non-NTF Multisector Bond 0.6 None 3 EquityPrudential Investments PURDENTIAL JENNISON GROWTH FUND CLASS R PJGRX Non-NTF Growth 1.33 None 3 EquityPrudential Investments TARGET CONSERV ALLOCATION B PBCFX Non-NTF Balanced 2.39 5.00 3 EquityPrudential Investments TARGET CONSERV ALLOCATION CL A PCGAX Non-NTF Balanced 1.64 5.50 3 EquityPrudential Investments TARGET CONSERV ALLOCATION CL Z PDCZX Non-NTF Balanced 1.39 None 3 EquityPrudential Investments TARGET CONVSERV ALLOCATION C PCCFX Non-NTF Balanced 2.39 1.00 3 Equity

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Settlement Days

Security Class

Prudential Investments TARGET GROWTH ALLOCATION CL A PHGAX Non-NTF Growth 1.58 5.50 3 EquityPrudential Investments TARGET GROWTH ALLOCATION CL B PIHGX Non-NTF Growth 2.33 5.00 3 EquityPrudential Investments TARGET GROWTH ALLOCATION CL C PHGCX Non-NTF Growth 2.33 1.00 3 BondPrudential Investments TARGET LARGE CAP VALUE PORTFOLIO CL T TALVX Non-NTF Growth and Income 0.83 None 3 EquityPrudential Investments TARGET MODERATE ALLOCATION CL A PAMGX Non-NTF Balanced 1.48 5.50 3 EquityPrudential Investments TARGET MODERATE ALLOCATION CL B DMGBX Non-NTF Balanced 2.23 5.00 3 EquityPrudential Investments TARGET MODERATE ALLOCATION CL C PIMGX Non-NTF Balanced 2.23 1.00 3 BondPrudential Investments TARGET MODERATE ALLOCATION CL T PDMZX Non-NTF Balanced 1.23 None 3 BondPrudential Investments TARGET TOTAL RETURN BOND CL T TATBX Non-NTF Corporate Bond - General 0.82 None 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 100 FUND CL A PARTX Non-NTF Growth and Income 1.03 3.25 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 100 FUND CL B PARPX Non-NTF Growth and Income 1.54 3.00 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 100 FUND CL C PARQX Non-NTF Growth and Income 1.67 1.00 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 100 FUND CL M PARZX Non-NTF Growth and Income 1.16 2.00 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 100 FUND CL R PRARX Non-NTF Growth and Income 1.24 None 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 100 FUND CL Y PARYX Non-NTF Growth and Income 0.81 None 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 300 FUND CL A PTRNX Non-NTF Growth and Income -999 3.25 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 300 FUND CL B PTRBX Non-NTF Growth and Income -999 3.00 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 300 FUND CL C PTRGX Non-NTF Growth and Income -999 1.00 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 300 FUND CL M PZARX Non-NTF Growth and Income -999 2.00 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 300 FUND CL Y PYTRX Non-NTF Growth and Income -999 None 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 500 CL B PJMBX Non-NTF Growth and Income 1.92 5.00 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 500 FD CL M PJMMX Non-NTF Growth and Income 1.71 3.50 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 500 FUND CL A PJMDX Non-NTF Growth and Income 1.28 5.75 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 500 FUND CL C PJMCX Non-NTF Growth and Income 1.92 1.00 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 500 FUND CL Y PJMYX Non-NTF Growth and Income 1.06 None 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 700 CL A PDMAX Non-NTF Growth and Income 1.41 5.75 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 700 CL B PDMBX Non-NTF Growth and Income 2.05 5.00 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 700 CL C PDMCX Non-NTF Growth and Income 2.05 1.00 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 700 FUND CL M PDMMX Non-NTF Growth and Income 1.84 3.50 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 700 FUND CL R PDMRX Non-NTF Growth and Income 1.62 None 3 EquityPutnam Funds PUTNAM ABSOLUTE RETURN 700 FUND CL Y PDMYX Non-NTF Growth and Income 1.19 None 3 BondPutnam Funds PUTNAM ABSOLUTE RETURN FUND CL R PTRKX Non-NTF Growth and Income -999 None 3 BondPutnam Funds PUTNAM AMERICAN GOVERNMENT INCOME C QARFQ Non-NTF Government Bond - General 1.74 1.00 3 BondPutnam Funds PUTNAM AMERICAN GOVT INCOME CLASS A PAGVX Non-NTF Government Bond - General 0.99 4.00 3 BondPutnam Funds PUTNAM AMERICAN GOVT INCOME CLASS B PAMBX Non-NTF Government Bond - General 1.74 5.00 3 EquityPutnam Funds PUTNAM AMERICAN GOVT INCOME FD CL Y QBVNQ Non-NTF Government Bond - General 0.74 None 3 BondPutnam Funds PUTNAM AMT FREE INSURED MUNI CLASS A PPNAX Non-NTF Municipal Bond - National 0.85 4.00 3 BondPutnam Funds PUTNAM AMT FREE INSURED MUNI CLASS B PTFIX Non-NTF Municipal Bond - National 1.48 5.00 3 BondPutnam Funds PUTNAM AMT FREE INSURED MUNI CLASS C PAMTX Non-NTF Municipal Bond - National 1.63 1.00 3 BondPutnam Funds PUTNAM AMT FREE INSURED MUNI CLASS M QBPJQ Non-NTF Municipal Bond - National 1.13 3.25 3 BondPutnam Funds PUTNAM AMT FREE MUNI FUND CLASS Y PAMYX Non-NTF Municipal Bond - National 0.63 None 3 BondPutnam Funds PUTNAM ARIZONA TAX EXEMPT INCOME CL A PTAZX Non-NTF Municipal Bond - Single State 0.69 4.00 3 BondPutnam Funds PUTNAM ARIZONA TAX EXEMPT INCOME CL B PAZBX Non-NTF Municipal Bond - Single State 1.33 5.00 3 EquityPutnam Funds PUTNAM ARIZONA TAX EXEMPT INCOME FD C PAZCX Non-NTF Municipal Bond - Single State 1.48 1.00 3 EquityPutnam Funds PUTNAM ASIA PACIFIC EQUITY FD CL M PAPMX Non-NTF Growth -999 3.25 3 EquityPutnam Funds PUTNAM ASIA PACIFIC EQUITY FD CLASS B PAPBX Non-NTF Growth -999 5.00 3 EquityPutnam Funds PUTNAM ASIA PACIFIC EQUITY FUND CL A PAPAX Non-NTF Growth -999 5.75 3 EquityPutnam Funds PUTNAM ASIA PACIFIC EQUITY FUND CL R PAPLX Non-NTF Growth -999 None 3 EquityPutnam Funds PUTNAM ASIA PACIFIC EQUITY FUND CL Y PAPYX Non-NTF Growth -999 None 3 EquityPutnam Funds PUTNAM ASIA PACIFIC EQUITY FUND CLASS C PAPCX Non-NTF Growth -999 1.00 3 EquityPutnam Funds PUTNAM ASSET ALLOC BALANCED CLASS A PABAX Non-NTF Multi-Asset Global 1.13 5.75 3 EquityPutnam Funds PUTNAM ASSET ALLOC BALANCED CLASS B PABBX Non-NTF Multi-Asset Global 1.88 5.00 3 EquityPutnam Funds PUTNAM ASSET ALLOC BALANCED CLASS C AABCX Non-NTF Multi-Asset Global 1.88 1.00 3 EquityPutnam Funds PUTNAM ASSET ALLOC BALANCED CLASS M PABMX Non-NTF Multi-Asset Global 1.63 3.25 3 EquityPutnam Funds PUTNAM ASSET ALLOC CONSERVATIVE CLASS A PACAX Non-NTF Multisector Bond 1.17 5.75 3 EquityPutnam Funds PUTNAM ASSET ALLOC CONSERVATIVE CLASS B PACBX Non-NTF Multisector Bond 1.92 5.00 3 EquityPutnam Funds PUTNAM ASSET ALLOC CONSERVATIVE CLASS C PACCX Non-NTF Multisector Bond 1.92 1.00 3 EquityPutnam Funds PUTNAM ASSET ALLOC CONSERVATIVE CLASS M PACMX Non-NTF Multisector Bond 1.67 3.25 3 EquityPutnam Funds PUTNAM ASSET ALLOC GROWTH CLASS A PAEAX Non-NTF Multi-Asset Global 1.22 5.75 3 Equity

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Settlement Days

Security Class

Putnam Funds PUTNAM ASSET ALLOC GROWTH CLASS B PAEBX Non-NTF Multi-Asset Global 1.97 5.00 3 EquityPutnam Funds PUTNAM ASSET ALLOC GROWTH CLASS C PAECX Non-NTF Multi-Asset Global 1.97 1.00 3 EquityPutnam Funds PUTNAM BALANCED PORTFOLIO CL Y PABYX Non-NTF Multi-Asset Global 0.88 None 3 BondPutnam Funds PUTNAM CA TAX EXEMPT INCOME CL Y PCIYX Non-NTF Municipal Bond - Single State 0.59 None 3 BondPutnam Funds PUTNAM CALIFORNIA TAX EXEMPT CLASS A PCTEX Non-NTF Municipal Bond - Single State 0.8 4.00 3 BondPutnam Funds PUTNAM CALIFORNIA TAX EXEMPT CLASS B PCTBX Non-NTF Municipal Bond - Single State 1.44 5.00 3 BondPutnam Funds PUTNAM CALIFORNIA TAX EXEMPT CLASS C PCTCX Non-NTF Municipal Bond - Single State 1.59 1.00 3 EquityPutnam Funds PUTNAM CAPITAL OPPOR TUNITIES CL Y PYCOX Non-NTF Growth 1.1 None 3 EquityPutnam Funds PUTNAM CAPITAL OPPORTUNITIES CL A PCOAX Non-NTF Growth 1.35 5.75 3 EquityPutnam Funds PUTNAM CAPITAL OPPORTUNITIES CL B POPBX Non-NTF Growth 2.1 5.00 3 EquityPutnam Funds PUTNAM CAPITAL OPPORTUNITIES CL C PCOCX Non-NTF Growth 2.1 1.00 3 EquityPutnam Funds PUTNAM CAPITAL OPPORTUNITIES CL M POPMX Non-NTF Growth 1.85 3.25 3 EquityPutnam Funds PUTNAM CAPITAL SPECTRUM FD CL B PVSBX Non-NTF Growth and Income -999 5.00 3 EquityPutnam Funds PUTNAM CAPITAL SPECTRUM FUND CL A PVSAX Non-NTF Growth and Income -999 5.75 3 EquityPutnam Funds PUTNAM CAPITAL SPECTRUM FUND CL C PVSCX Non-NTF Growth and Income -999 1.00 3 EquityPutnam Funds PUTNAM CAPITAL SPECTRUM FUND CL R PVSRX Non-NTF Growth and Income -999 None 3 EquityPutnam Funds PUTNAM CONSERVATIVE PORTFOLIO CL Y PACYX Non-NTF Multisector Bond 0.92 None 3 EquityPutnam Funds PUTNAM CONVERTIBLE INCOME GROWTH CL A PCONX Non-NTF Convertible Bond 1.2 5.75 3 EquityPutnam Funds PUTNAM CONVERTIBLE INCOME GROWTH CL B PCNBX Non-NTF Convertible Bond 1.95 5.00 3 EquityPutnam Funds PUTNAM CONVERTIBLE INCOME GROWTH CL C PRCCX Non-NTF Convertible Bond 1.95 1.00 3 EquityPutnam Funds PUTNAM CONVERTIBLE INCOME GROWTH CL Y PCGYX Non-NTF Convertible Bond 0.95 None 3 EquityPutnam Funds PUTNAM DIVERSIFIED INCOME FD CL Y PDVYX Non-NTF Multisector Bond 0.84 None 3 BondPutnam Funds PUTNAM DIVERSIFIED INCOME TRUST CLASS A PDINX Non-NTF Multisector Bond 1.09 4.00 3 BondPutnam Funds PUTNAM DIVERSIFIED INCOME TRUST CLASS B PSIBX Non-NTF Multisector Bond 1.84 5.00 3 EquityPutnam Funds PUTNAM DIVERSIFIED INCOME TRUST CLASS M PDVMX Non-NTF Multisector Bond 1.34 3.25 3 EquityPutnam Funds PUTNAM EMERGING MRKT EQUITY CL A PEMMX Non-NTF Growth 1.72 5.75 3 EquityPutnam Funds PUTNAM EMERGING MRKT EQUITY CLASS M PEMAX Non-NTF Growth 2.18 3.25 3 EquityPutnam Funds PUTNAM EMERGING MRKT EQUITY CLASS R PEMLX Non-NTF Growth 1.95 None 3 EquityPutnam Funds PUTNAM EMERGING MRKT EQUITY FD CL C PEMZX Non-NTF Growth 2.41 1.00 3 EquityPutnam Funds PUTNAM EMERGING MRKT EQUITY FD CL Y PEMYX Non-NTF Growth 1.49 None 3 EquityPutnam Funds PUTNAM EMERGING MRTK EQUITY FD CL B PEMBX Non-NTF Growth 2.41 5.00 3 EquityPutnam Funds PUTNAM EQUITY INCOME CLASS A PEYAX Non-NTF Equity-Income 1.21 5.75 3 EquityPutnam Funds PUTNAM EQUITY INCOME CLASS B PEQNX Non-NTF Equity-Income 1.96 5.00 3 EquityPutnam Funds PUTNAM EQUITY INCOME CLASS C PEQCX Non-NTF Equity-Income 1.96 1.00 3 EquityPutnam Funds PUTNAM EQUITY INCOME FUND CL Y PEIYX Non-NTF Equity-Income 0.96 None 3 EquityPutnam Funds PUTNAM EQUITY SPECTRUM FD CL B PYSOX Non-NTF Growth -999 5.00 3 EquityPutnam Funds PUTNAM EQUITY SPECTRUM FD CL C PYSCX Non-NTF Growth -999 1.00 3 EquityPutnam Funds PUTNAM EQUITY SPECTRUM FUND CL A PYSAX Non-NTF Growth -999 5.75 3 EquityPutnam Funds PUTNAM EQUITY SPECTRUM FUND CL R PYSRX Non-NTF Growth -999 None 3 EquityPutnam Funds PUTNAM EQUITY SPECTRUM FUND CL Y PYSYX Non-NTF Growth -999 None 3 EquityPutnam Funds PUTNAM EUROPE EQUITY CLASS A PEUGX Non-NTF Europe Stock 1.47 5.75 3 EquityPutnam Funds PUTNAM EUROPE EQUITY CLASS B PEUBX Non-NTF Europe Stock 2.22 5.00 3 EquityPutnam Funds PUTNAM EUROPE EQUITY CLASS C QANGQ Non-NTF Europe Stock 2.22 1.00 3 EquityPutnam Funds PUTNAM FD FOR GROWTH & INCOME CL R PGCRX Non-NTF Growth and Income 1.46 None 3 BondPutnam Funds PUTNAM FLOATING RATE CLASS M QXMZQ Non-NTF Income 1.21 2.00 3 BondPutnam Funds PUTNAM FLOATING RATE INCOME CL A PFLRX Non-NTF Income 1.06 3.25 3 BondPutnam Funds PUTNAM FLOATING RATE INCOME CL B PFRBX Non-NTF Income 1.66 3.00 3 EquityPutnam Funds PUTNAM FLOATING RATE INCOME FD CL Y PFRYX Non-NTF Income 0.81 None 3 EquityPutnam Funds PUTNAM FUND FOR GROWTH & INCOME CL A PGRWX Non-NTF Growth and Income 1.21 5.75 3 EquityPutnam Funds PUTNAM FUND FOR GROWTH & INCOME CL B PGIBX Non-NTF Growth and Income 1.96 5.00 3 EquityPutnam Funds PUTNAM GEORGE FUND OF BOSTON CL Y PGEYX Non-NTF Balanced 0.89 None 3 EquityPutnam Funds PUTNAM GEORGE OF BOSTON CL C PGPCX Non-NTF Balanced 1.89 1.00 3 EquityPutnam Funds PUTNAM GEORGE OF BOSTON CLASS A PGEOX Non-NTF Balanced 1.14 5.75 3 EquityPutnam Funds PUTNAM GEORGE OF BOSTON CLASS B PGEBX Non-NTF Balanced 1.89 5.00 3 EquityPutnam Funds PUTNAM GEORGE PUTNAM FD OF BOSTON CL R PGPRX Non-NTF Balanced 1.39 None 3 EquityPutnam Funds PUTNAM GLOBAL CONSUMER FD A PGCOX Non-NTF Specialty - Unaligned 0.97 5.75 3 EquityPutnam Funds PUTNAM GLOBAL CONSUMER FUND CL B PGCKX Non-NTF Specialty - Unaligned 1.49 5.00 3 EquityPutnam Funds PUTNAM GLOBAL CONSUMER FUND CL C PGCNX Non-NTF Specialty - Unaligned 1.49 1.00 3 EquityPutnam Funds PUTNAM GLOBAL CONSUMER FUND CL M PGCMX Non-NTF Specialty - Unaligned 1.32 3.50 3 Equity

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Sales Charge

Settlement Days

Security Class

Putnam Funds PUTNAM GLOBAL CONSUMER FUND CL R PGCIX Non-NTF Specialty - Unaligned 1.14 None 3 EquityPutnam Funds PUTNAM GLOBAL CONSUMER FUND CL Y PGCYX Non-NTF Specialty - Unaligned 0.79 None 3 EquityPutnam Funds PUTNAM GLOBAL ENERGY FUND CL A PGEAX Non-NTF Specialty - Natural Resources 1.04 5.75 3 EquityPutnam Funds PUTNAM GLOBAL ENERGY FUND CL B PGEDX Non-NTF Specialty - Natural Resources 1.57 5.00 3 EquityPutnam Funds PUTNAM GLOBAL ENERGY FUND CL C PGECX Non-NTF Specialty - Natural Resources 1.57 1.00 3 EquityPutnam Funds PUTNAM GLOBAL ENERGY FUND CL M PGENX Non-NTF Specialty - Natural Resources 1.39 3.50 3 EquityPutnam Funds PUTNAM GLOBAL ENERGY FUND CL R PGETX Non-NTF Specialty - Natural Resources 1.22 None 3 EquityPutnam Funds PUTNAM GLOBAL ENERGY FUND CL Y PGEIX Non-NTF Specialty - Natural Resources 0.86 None 3 EquityPutnam Funds PUTNAM GLOBAL EQUITY CLASS A PEQUX Non-NTF World Stock 1.42 5.75 3 EquityPutnam Funds PUTNAM GLOBAL EQUITY CLASS B PEQBX Non-NTF World Stock 2.17 5.00 3 EquityPutnam Funds PUTNAM GLOBAL EQUITY CLASS C PUGCX Non-NTF World Stock 2.17 1.00 3 EquityPutnam Funds PUTNAM GLOBAL EQUITY FD CL Y PEQYX Non-NTF World Stock 1.16 None 3 EquityPutnam Funds PUTNAM GLOBAL FINANCIALS FD CL A PGFFX Non-NTF Specialty - Financial 1.06 5.75 3 EquityPutnam Funds PUTNAM GLOBAL FINANCIALS FUND CL B PGFOX Non-NTF Specialty - Financial 1.58 5.00 3 EquityPutnam Funds PUTNAM GLOBAL FINANCIALS FUND CL C PGFDX Non-NTF Specialty - Financial 1.58 1.00 3 EquityPutnam Funds PUTNAM GLOBAL FINANCIALS FUND CL M PGFMX Non-NTF Specialty - Financial 1.41 3.50 3 EquityPutnam Funds PUTNAM GLOBAL FINANCIALS FUND CL R PGFRX Non-NTF Specialty - Financial 1.23 None 3 EquityPutnam Funds PUTNAM GLOBAL FINANCIALS FUND CL Y PGFYX Non-NTF Specialty - Financial 0.88 None 3 BondPutnam Funds PUTNAM GLOBAL HEALTH CARE FUND CLASS A PHSTX Non-NTF Specialty - Health 1.38 5.75 3 BondPutnam Funds PUTNAM GLOBAL INCOME TRUST CL R PGBRX Non-NTF Worldwide Bond 1.39 None 3 BondPutnam Funds PUTNAM GLOBAL INCOME TRUST CLASS A PGGIX Non-NTF Worldwide Bond 1.14 4.00 3 BondPutnam Funds PUTNAM GLOBAL INCOME TRUST CLASS B PGLBX Non-NTF Worldwide Bond 1.89 5.00 3 BondPutnam Funds PUTNAM GLOBAL INCOME TRUST CLASS C QAWTQ Non-NTF Worldwide Bond 1.89 1.00 3 EquityPutnam Funds PUTNAM GLOBAL INCOME TRUST CLASS M PGGMX Non-NTF Worldwide Bond 1.39 3.25 3 EquityPutnam Funds PUTNAM GLOBAL INDUSTRIALS CL R PGIOX Non-NTF Specialty - Unaligned 1.12 None 3 EquityPutnam Funds PUTNAM GLOBAL INDUSTRIALS FD A PGIAX Non-NTF Specialty - Unaligned 0.94 5.75 3 EquityPutnam Funds PUTNAM GLOBAL INDUSTRIALS FD CL B PGIVX Non-NTF Specialty - Unaligned 1.47 5.00 3 EquityPutnam Funds PUTNAM GLOBAL INDUSTRIALS FD CL C PGIEX Non-NTF Specialty - Unaligned 1.47 1.00 3 EquityPutnam Funds PUTNAM GLOBAL INDUSTRIALS FD CL M PGIHX Non-NTF Specialty - Unaligned 1.29 3.50 3 EquityPutnam Funds PUTNAM GLOBAL INDUSTRIALS FUND Y PGILX Non-NTF Specialty - Unaligned 0.76 None 3 EquityPutnam Funds PUTNAM GLOBAL NATL RESOURCES FD CL R PGNRX Non-NTF Specialty - Natural Resources 1.68 None 3 EquityPutnam Funds PUTNAM GLOBAL NATURA L RESOURCES CL Y QBUAX Non-NTF Specialty - Natural Resources 1.18 None 3 EquityPutnam Funds PUTNAM GLOBAL NATURAL RESOURCE C PGLCX Non-NTF Specialty - Natural Resources 2.18 1.00 3 EquityPutnam Funds PUTNAM GLOBAL NATURAL RESOURCES A EBERX Non-NTF Specialty - Natural Resources 1.43 5.75 3 EquityPutnam Funds PUTNAM GLOBAL NATURAL RESOURCES B PNRBX Non-NTF Specialty - Natural Resources 2.18 5.00 3 EquityPutnam Funds PUTNAM GLOBAL NATURAL RESOURCES M PGLMX Non-NTF Specialty - Natural Resources 1.93 3.25 3 EquityPutnam Funds PUTNAM GLOBAL TECHNOLOGY CL B PGTPX Non-NTF Specialty - Technology 1.65 5.00 3 EquityPutnam Funds PUTNAM GLOBAL TECHNOLOGY FD CL C PGTDX Non-NTF Specialty - Technology 1.65 1.00 3 EquityPutnam Funds PUTNAM GLOBAL TECHNOLOGY FUND CL A PGTAX Non-NTF Specialty - Technology 1.12 5.75 3 EquityPutnam Funds PUTNAM GLOBAL TECHNOLOGY FUND CL M PGTMX Non-NTF Specialty - Technology 1.47 3.50 3 EquityPutnam Funds PUTNAM GLOBAL TECHNOLOGY FUND CL R PGTRX Non-NTF Specialty - Technology 1.29 None 3 EquityPutnam Funds PUTNAM GLOBAL TECHNOLOGY FUND CL Y PGTYX Non-NTF Specialty - Technology 0.94 None 3 EquityPutnam Funds PUTNAM GLOBAL TELECOMMUNICAITONS A PGBZX Non-NTF Specialty - Communications 1.02 5.75 3 EquityPutnam Funds PUTNAM GLOBAL TELECOMMUNICAITONS C PGBNX Non-NTF Specialty - Communications 1.55 1.00 3 EquityPutnam Funds PUTNAM GLOBAL TELECOMMUNICAITONS Y PGBYX Non-NTF Specialty - Communications 0.84 None 3 EquityPutnam Funds PUTNAM GLOBAL TELECOMMUNICATIONS B PGBBX Non-NTF Specialty - Communications 1.55 5.00 3 EquityPutnam Funds PUTNAM GLOBAL TELECOMMUNICATIONS R PGBTX Non-NTF Specialty - Communications 1.19 None 3 EquityPutnam Funds PUTNAM GLOBAL TELECOMMUNICIATONS M PGBMX Non-NTF Specialty - Communications 1.37 3.50 3 EquityPutnam Funds PUTNAM GROWTH & INCOME CLASS C PGRIX Non-NTF Growth and Income 1.96 1.00 3 EquityPutnam Funds PUTNAM GROWTH OPP CL R PGORX Non-NTF Growth 1.52 None 3 EquityPutnam Funds PUTNAM GROWTH OPPORTUNITIES CL A POGAX Non-NTF Growth 1.27 5.75 3 EquityPutnam Funds PUTNAM GROWTH OPPORTUNITIES CL B POGBX Non-NTF Growth 2.02 5.00 3 EquityPutnam Funds PUTNAM GROWTH OPPORTUNITIES CL C POGCX Non-NTF Growth 2.02 1.00 3 EquityPutnam Funds PUTNAM GROWTH OPPORTUNITIES CL M PGOMX Non-NTF Growth 1.77 3.25 3 EquityPutnam Funds PUTNAM GROWTH OPPORTUNITIES CL Y PGOYX Non-NTF Growth 1.02 None 3 EquityPutnam Funds PUTNAM GROWTH PORTFOLIO CL Y PAGYX Non-NTF Multi-Asset Global 0.97 None 3 EquityPutnam Funds PUTNAM HEALTH SCIENCES CLASS B PHSBX Non-NTF Specialty - Health 2.13 5.00 3 EquityPutnam Funds PUTNAM HEALTH SCIENCES CLASS C PCHSX Non-NTF Specialty - Health 2.13 1.00 3 EquityPutnam Funds PUTNAM HEALTH SCIENCES CLASS M PHLMX Non-NTF Specialty - Health 1.88 3.50 3 Equity

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Security Class

Putnam Funds PUTNAM HEALTH SCIENCES TRUST CL Y PHSYX Non-NTF Specialty - Health 1.13 None 3 EquityPutnam Funds PUTNAM HEALTH& SCI TRUST FD CL R PHSRX Non-NTF Specialty - Health 1.63 None 3 BondPutnam Funds PUTNAM HIGH YIELD ADVANTAGE CL Y PHAYX Non-NTF Corporate Bond - High Yield 0.88 None 3 BondPutnam Funds PUTNAM HIGH YIELD ADVANTAGE CLASS A PHYIX Non-NTF Corporate Bond - High Yield 1.13 4.00 3 BondPutnam Funds PUTNAM HIGH YIELD ADVANTAGE CLASS B PHYBX Non-NTF Corporate Bond - High Yield 1.88 5.00 3 BondPutnam Funds PUTNAM HIGH YIELD ADVANTAGE CLASS M PHYMX Non-NTF Corporate Bond - High Yield 1.38 3.25 3 EquityPutnam Funds PUTNAM HIGH YIELD TRUST CL Y PHYYX Non-NTF Income 0.88 None 3 BondPutnam Funds PUTNAM HIGH YIELD TRUST CLASS A PHIGX Non-NTF Income 1.13 4.00 3 BondPutnam Funds PUTNAM HIGH YIELD TRUST CLASS B PHBBX Non-NTF Income 1.88 5.00 3 BondPutnam Funds PUTNAM HIGH YIELD TRUST CLASS C PCHYX Non-NTF Income 1.88 1.00 3 BondPutnam Funds PUTNAM HIGH YIELD TRUST CLASS M PHIMX Non-NTF Income 1.38 3.25 3 BondPutnam Funds PUTNAM INCOME FUND CL Y PNCYX Non-NTF Corporate Bond - General 0.71 None 3 BondPutnam Funds PUTNAM INCOME FUND CLASS A PINCX Non-NTF Corporate Bond - General 0.96 4.00 3 BondPutnam Funds PUTNAM INCOME FUND CLASS B PNCBX Non-NTF Corporate Bond - General 1.71 5.00 3 EquityPutnam Funds PUTNAM INCOME FUND CLASS M PNCMX Non-NTF Corporate Bond - General 1.21 3.25 3 EquityPutnam Funds PUTNAM INCOME STRATEGIES CL Y PIIYX Non-NTF Growth and Income 0.49 None 3 BondPutnam Funds PUTNAM INCOME STRATEGIES FD CL A PISFX Non-NTF Growth and Income 0.74 5.75 3 EquityPutnam Funds PUTNAM INCOME STRATEGIES FD CL C PCIOX Non-NTF Growth and Income 1.49 1.00 3 EquityPutnam Funds PUTNAM INTERNATIONAL CAPITAL OPPORT CL A PNVAX Non-NTF Foreign Stock 1.64 5.75 3 EquityPutnam Funds PUTNAM INTERNATIONAL CAPITAL OPPORT CL B PVNBX Non-NTF Foreign Stock 2.39 5.00 3 EquityPutnam Funds PUTNAM INTERNATIONAL CAPITAL OPPORT CL C PUVCX Non-NTF Foreign Stock 2.39 1.00 3 EquityPutnam Funds PUTNAM INTERNATIONAL CAPITAL OPPORT CL M PIVMX Non-NTF Foreign Stock 2.14 3.25 3 EquityPutnam Funds PUTNAM INTERNATIONAL EQUITY CL A POVSX Non-NTF Foreign Stock 1.35 5.75 3 EquityPutnam Funds PUTNAM INTERNATIONAL EQUITY CL B POVBX Non-NTF Foreign Stock 2.1 5.00 3 EquityPutnam Funds PUTNAM INTERNATIONAL EQUITY CL C PIGCX Non-NTF Foreign Stock 2.1 1.00 3 EquityPutnam Funds PUTNAM INTERNATIONAL EQUITY FD CL Y POVYX Non-NTF Foreign Stock 1.1 None 3 EquityPutnam Funds PUTNAM INTERNATIONAL GROWTH FUND CLASS A PINOX Non-NTF Foreign Stock 1.56 5.75 3 EquityPutnam Funds PUTNAM INTERNATIONAL GROWTH FUND CLASS B PINWX Non-NTF Foreign Stock 2.31 5.00 3 EquityPutnam Funds PUTNAM INTERNATIONAL GROWTH FUND CLASS C PIOCX Non-NTF Foreign Stock 2.31 1.00 3 EquityPutnam Funds PUTNAM INTERNATIONAL GROWTH FUND CLASS Y PINYX Non-NTF Foreign Stock 1.31 None 3 EquityPutnam Funds PUTNAM INTERNATIONAL VALUE FD CLASS C PIGRX Non-NTF Growth 2.09 1.00 3 EquityPutnam Funds PUTNAM INTERNATIONAL VALUE FUND CLASS A PNGAX Non-NTF Growth 1.34 5.75 3 EquityPutnam Funds PUTNAM INTERNATIONAL VALUE FUND CLASS B PGNBX Non-NTF Growth 2.09 5.00 3 EquityPutnam Funds PUTNAM INTL EQUITY CL R PIERX Non-NTF Foreign Stock 1.6 None 3 EquityPutnam Funds PUTNAM INVESTORS CLASS A PINVX Non-NTF Growth 1.21 5.75 3 EquityPutnam Funds PUTNAM INVESTORS CLASS B PNVBX Non-NTF Growth 1.96 5.00 3 EquityPutnam Funds PUTNAM INVESTORS CLASS C PCINX Non-NTF Growth 1.96 1.00 3 EquityPutnam Funds PUTNAM MA TAX EXEMPT INCOME CL Y PMAYX Non-NTF Municipal Bond - Single State 0.64 None 3 BondPutnam Funds PUTNAM MASS TAX EXEM PT INCOME FUND CL C PMMCX Non-NTF Municipal Bond - Single State 1.64 1.00 3 BondPutnam Funds PUTNAM MASSACHUSETTS TAX EXEMPT CLASS A PXMAX Non-NTF Municipal Bond - Single State 0.86 4.00 3 BondPutnam Funds PUTNAM MASSACHUSETTS TAX EXEMPT CLASS B PMABX Non-NTF Municipal Bond - Single State 1.49 5.00 3 BondPutnam Funds PUTNAM MASSACHUSETTS TAX EXEMPT CLASS M QAPCQ Non-NTF Municipal Bond - Single State 1.14 3.25 3 BondPutnam Funds PUTNAM MICHIGAN TAX EXEMPT INCOME CL A PXMIX Non-NTF Municipal Bond - Single State 0.89 4.00 3 BondPutnam Funds PUTNAM MICHIGAN TAX EXEMPT INCOME CL B PMEBX Non-NTF Municipal Bond - Single State 1.53 5.00 3 BondPutnam Funds PUTNAM MICHIGAN TAX EXEMPT INCOME CL C PMGCX Non-NTF Municipal Bond - Single State 1.68 1.00 3 EquityPutnam Funds PUTNAM MICHIGAN TAX EXEMPT INCOME CL M QWLDQ Non-NTF Municipal Bond - Single State 1.18 3.25 3 EquityPutnam Funds PUTNAM MID CAP VALUE CL A PMVAX Non-NTF Growth and Income 1.3 5.75 3 EquityPutnam Funds PUTNAM MID CAP VALUE CL B PMVBX Non-NTF Growth and Income 2.05 5.00 3 EquityPutnam Funds PUTNAM MID CAP VALUE CL C PMPCX Non-NTF Growth and Income 2.05 1.00 3 EquityPutnam Funds PUTNAM MID CAP VALUE CLASS M PMCVX Non-NTF Growth and Income 1.8 3.25 3 BondPutnam Funds PUTNAM MID CAP VALUE FUND CL Y PMVYX Non-NTF Growth and Income 1.05 None 3 BondPutnam Funds PUTNAM MINNESOTA TAX EXEMPT INC CL C PMOCX Non-NTF Municipal Bond - Single State 1.68 1.00 3 BondPutnam Funds PUTNAM MINNESOTA TAX EXEMPT INCOME CL A PXMNX Non-NTF Municipal Bond - Single State 0.9 4.00 3 BondPutnam Funds PUTNAM MONEY MARKET CLASS A PDDXX Non-NTF None 3 BondPutnam Funds PUTNAM MONEY MARKET CLASS B PTBXX Non-NTF 5.00 3 BondPutnam Funds PUTNAM NEW JERSEY TAX EXEMPT FUND CL C PNJCX Non-NTF Municipal Bond - Single State 1.65 1.00 3 BondPutnam Funds PUTNAM NEW JERSEY TAX EXEMPT INC CL A PTNJX Non-NTF Municipal Bond - Single State 0.87 4.00 3 BondPutnam Funds PUTNAM NEW JERSEY TAX EXEMPT INC CL B PNJBX Non-NTF Municipal Bond - Single State 1.5 5.00 3 EquityPutnam Funds PUTNAM NEW JERSEY TAX EXEMPT INC CL M QALUQ Non-NTF Municipal Bond - Single State 1.15 3.25 3 Equity

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Settlement Days

Security Class

Putnam Funds PUTNAM NEW OPPORTUNITIES CL A PNOPX Non-NTF Aggressive Growth 1.3 5.75 3 EquityPutnam Funds PUTNAM NEW OPPORTUNITIES CL B PNOBX Non-NTF Aggressive Growth 2.05 5.00 3 EquityPutnam Funds PUTNAM NEW OPPORTUNITIES CL C PNOCX Non-NTF Aggressive Growth 2.05 1.00 3 EquityPutnam Funds PUTNAM NEW OPPORTUNITIES CL Y PNOYX Non-NTF Aggressive Growth 1.05 None 3 BondPutnam Funds PUTNAM NEW OPPURTUNITIES CL R PNORX Non-NTF Aggressive Growth 1.55 None 3 BondPutnam Funds PUTNAM NEW YORK TAX EXEMPT CL C PNNCX Non-NTF Municipal Bond - National 1.59 1.00 3 BondPutnam Funds PUTNAM NEW YORK TAX EXEMPT INCOME CL A PTEIX Non-NTF Municipal Bond - National 0.8 4.00 3 BondPutnam Funds PUTNAM NEW YORK TAX EXEMPT INCOME CL B PEIBX Non-NTF Municipal Bond - National 1.44 5.00 3 BondPutnam Funds PUTNAM NEW YORK TAX EXEMPT INCOME CL M QALMQ Non-NTF Municipal Bond - National 1.09 3.25 3 BondPutnam Funds PUTNAM NJ TAX EXEMPT INCOME CL Y PNJYX Non-NTF Municipal Bond - Single State 0.65 None 3 BondPutnam Funds PUTNAM NY TAX EXEMPT INCOME CL Y PNYYX Non-NTF Municipal Bond - National 0.59 None 3 BondPutnam Funds PUTNAM OHIO TAX EXEMPT INC CLASS A PXOHX Non-NTF Municipal Bond - Single State 0.84 4.00 3 BondPutnam Funds PUTNAM OHIO TAX EXEMPT INC CLASS B POXBX Non-NTF Municipal Bond - Single State 1.48 5.00 3 BondPutnam Funds PUTNAM OHIO TAX EXEMPT INC CLASS M QBLFQ Non-NTF Municipal Bond - Single State 1.13 3.25 3 BondPutnam Funds PUTNAM OHIO TAX EXEMPT INCOME FD C POOCX Non-NTF Municipal Bond - Single State 1.63 1.00 3 BondPutnam Funds PUTNAM PA TAX-EXEMPT INCOME FD CL Y PPTYX Non-NTF Municipal Bond - Single State 0.66 None 3 BondPutnam Funds PUTNAM PENNSYLVANIA TAX EXEMPT CL C PPNCX Non-NTF Municipal Bond - Single State 1.66 1.00 3 BondPutnam Funds PUTNAM PENNSYLVANIA TAX EXEMPT INC CL A PTEPX Non-NTF Municipal Bond - Single State 0.88 4.00 3 BondPutnam Funds PUTNAM PENNSYLVANIA TAX EXEMPT INC CL B PPNBX Non-NTF Municipal Bond - Single State 1.51 5.00 3 EquityPutnam Funds PUTNAM PENNSYLVANIA TAX EXEMPT INC CL M QBWWQ Non-NTF Municipal Bond - Single State 1.16 3.25 3 EquityPutnam Funds PUTNAM RESEARCH CL R PRSRX Non-NTF Growth 1.43 None 3 EquityPutnam Funds PUTNAM RESEARCH CLASS A PNRAX Non-NTF Growth 1.18 5.75 3 EquityPutnam Funds PUTNAM RESEARCH CLASS B PRFBX Non-NTF Growth 1.93 5.00 3 EquityPutnam Funds PUTNAM RESEARCH CLASS C PRACX Non-NTF Growth 1.93 1.00 3 EquityPutnam Funds PUTNAM RESEARCH CLASS M PRFMX Non-NTF Growth 1.68 3.25 3 EquityPutnam Funds PUTNAM RETIREMENT READY 2010 CL C QXPOQ Non-NTF Asset Allocation 1.1 1.00 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2010 CLASS A PRXRX Non-NTF Asset Allocation 0.35 5.75 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2015 CL B QXPCQ Non-NTF Asset Allocation 1.1 5.00 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2015 CL C QXPKQ Non-NTF Asset Allocation 1.1 1.00 3 EquityPutnam Funds PUTNAM RETIREMENT READY 2015 CLASS A PRRHX Non-NTF Asset Allocation 0.35 5.75 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2020 CL B QXPHQ Non-NTF Asset Allocation 1.1 5.00 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2020 CL C QXPNQ Non-NTF Asset Allocation 1.1 1.00 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2020 CLASS A PRRMX Non-NTF Asset Allocation 0.35 5.75 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2025 CL B QXPGQ Non-NTF Asset Allocation 1.1 5.00 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2025 CLASS A PRROX Non-NTF Asset Allocation 0.35 5.75 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2025 CLASS C QXTDQ Non-NTF Asset Allocation 1.1 1.00 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2030 CLASS A PRRQX Non-NTF Asset Allocation 0.35 5.75 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2030 CLASS B QXPYQ Non-NTF Asset Allocation 1.1 5.00 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2035 CL B QXPFQ Non-NTF Growth and Income 1.1 5.00 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2035 CLASS A PRRWX Non-NTF Growth and Income 0.35 5.75 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2040 CL B QXPEQ Non-NTF Growth and Income 1.1 5.00 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2040 CLASS A PRRZX Non-NTF Growth and Income 0.35 5.75 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2045 CLASS A PRVLX Non-NTF Growth and Income 0.35 5.75 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2045 CLASS B QXPXQ Non-NTF Growth and Income 1.1 5.00 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2050 CL B QBMDQ Non-NTF Growth and Income 1.1 5.00 1 EquityPutnam Funds PUTNAM RETIREMENT READY 2050 CLASS A QBMEQ Non-NTF Growth and Income 0.35 5.75 1 EquityPutnam Funds PUTNAM RETIREMENT READY MATURITY CL A PRMAX Non-NTF Asset Allocation 0.35 5.75 3 EquityPutnam Funds PUTNAM RETIREMENT READY MATURITY CL C QXPPQ Non-NTF Asset Allocation 1.1 1.00 3 EquityPutnam Funds PUTNAM SMALL CAP GROWTH CL A PNSAX Non-NTF Growth 1.47 5.75 3 EquityPutnam Funds PUTNAM SMALL CAP GROWTH CL C QEZYQ Non-NTF Growth 2.22 1.00 3 EquityPutnam Funds PUTNAM SMALL CAP GROWTH CL M PSGMX Non-NTF Growth 1.97 3.25 3 EquityPutnam Funds PUTNAM SMALL CAP GROWTH FD CL Y PSYGX Non-NTF Growth 1.22 None 3 EquityPutnam Funds PUTNAM SMALL CAP VALUE CL M PSLMX Non-NTF Growth 1.97 3.25 3 EquityPutnam Funds PUTNAM SMALL CAP VALUE CLASS A PSLAX Non-NTF Growth 1.47 5.75 3 EquityPutnam Funds PUTNAM SMALL CAP VALUE CLASS B PSLBX Non-NTF Growth 2.22 5.00 3 EquityPutnam Funds PUTNAM SMALL CAP VALUE FUND CL Y PYSVX Non-NTF Growth 1.22 None 3 BondPutnam Funds PUTNAM TAX EXEMPT INCOME CL C PTECX Non-NTF Municipal Bond - National 1.6 1.00 3 BondPutnam Funds PUTNAM TAX EXEMPT INCOME CLASS A PTAEX Non-NTF Municipal Bond - National 0.81 4.00 3 BondPutnam Funds PUTNAM TAX EXEMPT INCOME CLASS B PTBEX Non-NTF Municipal Bond - National 1.45 5.00 3 Bond

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Settlement Days

Security Class

Putnam Funds PUTNAM TAX EXEMPT INCOME FUND CLASS Y PTEYX Non-NTF Municipal Bond - National 0.6 None 3 BondPutnam Funds PUTNAM TAX FREE HIGH YIELD CLASS A PTHAX Non-NTF Municipal Bond - National 0.83 4.00 3 BondPutnam Funds PUTNAM TAX FREE HIGH YIELD CLASS B PTHYX Non-NTF Municipal Bond - National 1.46 5.00 3 BondPutnam Funds PUTNAM TAX FREE HIGH YIELD CLASS C PTCCX Non-NTF Municipal Bond - National 1.61 1.00 3 BondPutnam Funds PUTNAM TAX FREE HIGH YIELD CLASS M PTYMX Non-NTF Municipal Bond - National 1.11 3.25 3 EquityPutnam Funds PUTNAM US GOVERNMENT INCOME CL Y PUSYX Non-NTF Government Bond - Mortgage 0.73 None 3 BondPutnam Funds PUTNAM US GOVERNMENT INCOME TRUST CLASS A PGSIX Non-NTF Government Bond - Mortgage 0.98 4.00 3 BondPutnam Funds PUTNAM US GOVERNMENT INCOME TRUST CLASS B PGSBX Non-NTF Government Bond - Mortgage 1.69 5.00 3 BondPutnam Funds PUTNAM US GOVERNMENT INCOME TRUST CLASS C PGVCX Non-NTF Government Bond - Mortgage 1.73 1.00 3 EquityPutnam Funds PUTNAM US GOVERNMENT INCOME TRUST CLASS M PGSMX Non-NTF Government Bond - Mortgage 1.22 3.25 3 EquityPutnam Funds PUTNAM UTILITIES GROWTH & INCOME CL A PUGIX Non-NTF Specialty - Utility 1.02 5.75 3 EquityPutnam Funds PUTNAM UTILITIES GROWTH & INCOME CL B PUTBX Non-NTF Specialty - Utility 1.64 5.00 3 EquityPutnam Funds PUTNAM UTILITIES GROWTH & INCOME CL C QAWXQ Non-NTF Specialty - Utility 1.64 1.00 3 EquityPutnam Funds PUTNAM UTILITIES GRWTH & INCOME CL Y QBVVQ Non-NTF Specialty - Utility 0.81 None 3 EquityPutnam Funds PUTNAM VISTA CLASS A PVISX Non-NTF Growth 1.36 5.75 3 EquityPutnam Funds PUTNAM VISTA CLASS B PVTBX Non-NTF Growth 2.11 5.00 3 EquityPutnam Funds PUTNAM VISTA CLASS C PCVFX Non-NTF Growth 2.11 1.00 3 EquityPutnam Funds PUTNAM VOYAGER CL R PVYRX Non-NTF Growth 1.51 None 3 EquityPutnam Funds PUTNAM VOYAGER CLASS A PVOYX Non-NTF Growth 1.26 5.75 3 EquityPutnam Funds PUTNAM VOYAGER CLASS B PVOBX Non-NTF Growth 2.01 5.00 3 EquityPutnam Funds PUTNAM VOYAGER CLASS C PVFCX Non-NTF Growth 2.01 1.00 3 EquityPutnam Funds PUTNAM VOYAGER FD CL Y PVYYX Non-NTF Growth 1.01 None 3 EquityQuaker Funds QUAKER FIRST AMERICAN PRIME OB B QWUZQ Non-NTF None 1 EquityQuaker Funds QUAKER FIRST AMERICAN PRIME OB C QWVAQ Non-NTF None 1 EquityQuaker Funds QUAKER GLOBAL TOTAL RETURN FD CLASS A QTRAX Non-NTF Growth 2.38 5.50 3 EquityQuaker Funds QUAKER GLOBAL TOTAL RETURN FD CLASS C QTRCX Non-NTF Growth 3.13 1.00 3 EquityQuaker Funds QUAKER LONG SHORT TACTICAL ALLOC CL A QLSAX Non-NTF Growth 5.25 5.50 3 EquityQuaker Funds QUAKER LONG SHORT TACTICAL ALLOC CL C QLSCX Non-NTF Growth 6 1.00 3 EquityQuaker Funds QUAKER MID CAP VALUE CLASS A QMCVX Non-NTF Growth 1.94 5.50 3 EquityQuaker Funds QUAKER MID CAP VALUE CLASS C QMCCX Non-NTF Growth 2.69 1.00 3 EquityQuaker Funds QUAKER SMALL CAP GRT TACTICAL ALLOC C QGCSX Non-NTF Growth 3.33 1.00 3 EquityQuaker Funds QUAKER SMALL CAP GRT TACTICAL ALLOC I QGISX Non-NTF Growth 2.3 None 3 EquityQuaker Funds QUAKER SMALL CAP GRW TACTICAL ALLOC A QGASX Non-NTF Growth 2.64 5.50 3 EquityQuaker Funds QUAKER SMALL CAP VALUE CL A QUSVX Non-NTF Small Company 1.74 5.50 3 EquityQuaker Funds QUAKER SMALL CAP VALUE FUND - INSTL QSVIX Non-NTF Small Company 1.5 None 3 EquityQuaker Funds QUAKER STRATEGIC GROWTH CL C QAGCX Non-NTF Aggressive Growth 2.64 1.00 3 EquityQuaker Funds QUAKER STRATEGIC GROWTH CLASS A QUAGX Non-NTF Aggressive Growth 1.89 5.50 3 EquityQuaker Funds QUAKER STRATEGIC GROWTH FUND - INSTL QAGIX Non-NTF Aggressive Growth 1.64 None 3 EquityQuant Funds QUANTITATIVE EMERGING MKTS INSTL QEMAX Non-NTF Growth 1.48 None 1 EquityQuant Funds QUANTITATIVE FOREIGN VALUE INSTITUTIONAL QFVIX Non-NTF Growth 1.38 None 1 EquityQuant Funds QUANTITATIVE LONG/ SHORT FD INSTL SHS QGIAX Non-NTF Growth 2.46 None 1 EquityQuant Funds QUANTITATIVE SMALL CAP INSTL QBNAX Non-NTF Growth 1.42 None 1 EquityRady Funds RADY CONTRARIAN LONG/SHORT A RADYX Non-NTF Growth -999 5.75 1 EquityRady Funds RADY CONTRARIAN LONG/SHORT C RADCX Non-NTF Growth -999 None 1 EquityRady Funds RADY CONTRARIAN LONG/SHORT I RADIX Non-NTF Growth -999 None 1 EquityRady Funds RADY OPPORTUNISTIC VALUE CLASS A ROVYX Non-NTF Growth -999 5.75 1 EquityRady Funds RADY OPPORTUNISTIC VALUE CLASS C ROVCX Non-NTF Growth -999 None 1 EquityRady Funds RADY OPPORTUNISTIC VALUE CLASS I ROVIX Non-NTF Growth -999 None 1 BondRainier Investment Funds RAINIER BALANCED PORT INSTL RAIBX Non-NTF Balanced 1.03 None 1 EquityRainier Investment Funds RAINIER INTERMEDIATE FIXED INCOME RIMFX Non-NTF Income 0.55 None 1 EquityRainier Investment Funds RAINIER LARGE CAP EQUITY PORT INST CL RAIEX Non-NTF Growth 0.82 None 1 EquityRainier Investment Funds RAINIER MID CAP EQ PORT INSTL CL RAIMX Non-NTF Growth 0.97 None 1 EquityRainier Investment Funds RAINIER SMALL/MID CAP EQUITY PORT INST RAISX Non-NTF Growth 0.91 None 1 EquityRAM Funds RAM SMALL CAP CLASS A SCBOX Non-NTF Small Company -999 4.00 3 EquityRAM Funds RAM SMALL MID CAP CLASS A SMBOX Non-NTF Growth -999 4.00 3 EquityRBC Funds RBC ENTERPRISE FD CL A TETAX Non-NTF Small Company 1.33 5.75 1 EquityRBC Funds RBC ENTERPRISE FD CL C TETCX Non-NTF Small Company 2.08 1.00 1 EquityRBC Funds RBC ENTERPRISE FD CL I TETIX Non-NTF None 1 EquityRBC Funds RBC MICROCAP VALUE FD CL A TMVAX Non-NTF Growth 1.32 5.75 1 Equity

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Security Class

RBC Funds RBC MICROCAP VALUE FD CL C TMVCX Non-NTF Growth 2.07 1.00 1 EquityRBC Funds RBC MICROCAP VALUE FD CL R TMVRX Non-NTF Growth 1.56 None 1 EquityRBC Funds RBC MID CAP GROWTH FD CL A TMCAX Non-NTF Growth 1.35 5.75 1 EquityReich & Tang Group REICH & TANG CA DAILY TAX FREE INC A CFDXX Non-NTF None 0 EquityReich & Tang Group REICH & TANG DAILY INCOME SHORT TERM MONEY MARKET SHARES DSMXX Non-NTF None 0 EquityReynolds Funds REYNOLDS BLUE CHIP GROWTH RBCGX Non-NTF Growth 2 None 1 EquityRidgeworth Funds RIDGEWORTH AGG GRWTH ALLOCATION CL A SLAAX Non-NTF Growth 0.5 5.75 3 EquityRidgeworth Funds RIDGEWORTH AGG GRWTH ALLOCATION CL C CLVLX Non-NTF Growth 1.2 1.00 3 EquityRidgeworth Funds RIDGEWORTH AGGR GROWTH CL I SCATX Non-NTF Growth 1.16 None 1 EquityRidgeworth Funds RIDGEWORTH AGGRESSIVE GR CL A SAGAX Non-NTF Growth 1.46 5.75 3 EquityRidgeworth Funds RIDGEWORTH CONSERV ALLOCATION CL A SVCAX Non-NTF Equity-Income 0.5 4.75 3 EquityRidgeworth Funds RIDGEWORTH CONSERV ALLOCATION CL C SCCLX Non-NTF Equity-Income 1.2 1.00 3 BondRidgeworth Funds RIDGEWORTH CONSERV ALLOCATION CL I SCCTX Non-NTF Equity-Income 0.2 None 1 BondRidgeworth Funds RIDGEWORTH CORPORATE BOND CL A SAINX Non-NTF Corporate Bond - High Quality 1.03 4.75 3 BondRidgeworth Funds RIDGEWORTH CORPORATE BOND CL C STIFX Non-NTF Corporate Bond - High Quality 1.73 1.00 3 EquityRidgeworth Funds RIDGEWORTH CORPORATE BOND CL I STICX Non-NTF Corporate Bond - High Quality 0.73 None 1 EquityRidgeworth Funds RIDGEWORTH EMERGING GROWTH CL A SCEAX Non-NTF Growth 1.47 5.75 3 BondRidgeworth Funds RIDGEWORTH EMERGING GROWTH CL I SEGTX Non-NTF Growth 1.17 None 1 BondRidgeworth Funds RIDGEWORTH FL RATE HIGH INCOME C SFRCX Non-NTF Income 1.49 1.00 1 BondRidgeworth Funds RIDGEWORTH FLOATING RATE HIGH INCOME A SFRAX Non-NTF Income 0.79 2.50 3 BondRidgeworth Funds RIDGEWORTH FLOATING RATE INCOME FD I SAMBX Non-NTF Income 0.49 None 1 BondRidgeworth Funds RIDGEWORTH GEORGIA TAX EXEMPT BOND CL I SGATX Non-NTF Municipal Bond - Single State 0.67 None 1 BondRidgeworth Funds RIDGEWORTH GEORGIA TAX-EXEMPT BD CL A SGTEX Non-NTF Municipal Bond - Single State 0.82 4.75 3 BondRidgeworth Funds RIDGEWORTH HIGH GRADE MUNI BD CL I SCFTX Non-NTF Municipal Bond - Single State 0.62 None 1 BondRidgeworth Funds RIDGEWORTH HIGH GRD MUNI BOND FD CL A SFLTX Non-NTF Municipal Bond - Single State 0.78 4.75 3 BondRidgeworth Funds RIDGEWORTH HIGH INCOME CL A SAHIX Non-NTF Corporate Bond - High Yield 0.99 4.75 3 BondRidgeworth Funds RIDGEWORTH HIGH INCOME FD CL I STHTX Non-NTF Corporate Bond - High Yield 0.7 None 1 BondRidgeworth Funds RIDGEWORTH INSTL US GOV SECURITIES MM CRGXX Non-NTF None 0 EquityRidgeworth Funds RIDGEWORTH INSTL US TREASURY MMKT CIUXX Non-NTF None 0 BondRidgeworth Funds RIDGEWORTH INTER EQUITY INDEX CL A SIIIX Non-NTF Foreign Stock 0.91 5.75 3 BondRidgeworth Funds RIDGEWORTH INTERMED BOND CL A IBASX Non-NTF Multisector Bond 0.54 4.75 3 BondRidgeworth Funds RIDGEWORTH INTERMED BOND CL I SAMIX Non-NTF Multisector Bond 0.29 None 1 EquityRidgeworth Funds RIDGEWORTH INTERMED BOND CL R IBLSX Non-NTF Multisector Bond 1.02 None 3 EquityRidgeworth Funds RIDGEWORTH INTERNAL EQUITY 130/30 A SHRS SIELX Non-NTF Growth 3.13 5.75 3 EquityRidgeworth Funds RIDGEWORTH INTERNATL EQUITY 130/30 I SHRS SCEIX Non-NTF Growth 2.82 None 1 EquityRidgeworth Funds RIDGEWORTH INT'L EQUITY CL A SCIIX Non-NTF Foreign Stock 1.54 5.75 3 EquityRidgeworth Funds RIDGEWORTH INT'L EQUITY CL I STITX Non-NTF Foreign Stock 1.24 None 1 BondRidgeworth Funds RIDGEWORTH INTL EQUITY INDEX FD CL I SIEIX Non-NTF Foreign Stock 0.61 None 1 BondRidgeworth Funds RIDGEWORTH INVESTMNT GRADE BOND FD CL I STIGX Non-NTF Multisector Bond 0.56 None 1 BondRidgeworth Funds RIDGEWORTH INVESTMT GRADE BOND CL A STGIX Non-NTF Multisector Bond 0.86 4.75 3 BondRidgeworth Funds RIDGEWORTH INVESTMT GRADE BOND CL R SCIGX Non-NTF Multisector Bond 1.55 1.00 3 BondRidgeworth Funds RIDGEWORTH INVST GR TAX EXEMPT BD CL I STTBX Non-NTF Municipal Bond - National 0.54 None 1 EquityRidgeworth Funds RIDGEWORTH INVST GR TAX EXEMPT BOND CL A SISIX Non-NTF Municipal Bond - National 0.84 4.75 3 EquityRidgeworth Funds RIDGEWORTH LARGE CAP CORE EQUITY CL C CVIBX Non-NTF Growth and Income 1.87 1.00 3 EquityRidgeworth Funds RIDGEWORTH LARGE CAP CORE EQUITY CL I CRVAX Non-NTF Growth and Income 0.87 None 1 EquityRidgeworth Funds RIDGEWORTH LARGE CAP GROWTH STOCK CL A STCIX Non-NTF Growth 1.3 5.75 3 EquityRidgeworth Funds RIDGEWORTH LARGE CAP GROWTH STOCK CL C STCFX Non-NTF Growth 2 1.00 3 EquityRidgeworth Funds RIDGEWORTH LARGE CAP GROWTH STOCK CL I STCAX Non-NTF Growth 0.99 None 1 EquityRidgeworth Funds RIDGEWORTH LARGE CAP VALUE EQUITY C SVIFX Non-NTF Equity-Income 1.82 1.00 3 EquityRidgeworth Funds RIDGEWORTH LARGE CAP VALUE EQUITY CL A SVIIX Non-NTF Equity-Income 1.12 5.75 3 EquityRidgeworth Funds RIDGEWORTH LARGE CAP VALUE QUITY I STVTX Non-NTF Equity-Income 0.82 None 1 BondRidgeworth Funds RIDGEWORTH LARGE CORE EQUITY CL A CFVIX Non-NTF Growth and Income 1.12 5.75 3 EquityRidgeworth Funds RIDGEWORTH LIMITED DURATION FD CL I SAMLX Non-NTF Income 0.19 None 1 EquityRidgeworth Funds RIDGEWORTH LIMITED TERM FEDERAL CL I SLMTX Non-NTF Government Bond - Mortgage 0.6 None 1 EquityRidgeworth Funds RIDGEWORTH LRG CAP QUANTITATIVE EQ CL A SQEAX Non-NTF Growth 1.21 5.75 3 BondRidgeworth Funds RIDGEWORTH LRGE CAP QUANT EQUITY CL I SQETX Non-NTF Growth 0.95 None 1 BondRidgeworth Funds RIDGEWORTH LTD TERM FED MORTGE SEC CL A SLTMX Non-NTF Government Bond - Mortgage 0.81 2.50 3 BondRidgeworth Funds RIDGEWORTH LTD TRM FED MORTGAGE SE CL C SCLFX Non-NTF Government Bond - Mortgage 1.6 1.00 3 EquityRidgeworth Funds RIDGEWORTH MD MUNI BOND CL A SMMAX Non-NTF Municipal Bond - Single State 0.78 4.75 3 Equity

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Settlement Days

Security Class

Ridgeworth Funds RIDGEWORTH MID CAP CORE EQUITY CL A SCAIX Non-NTF Growth 1.39 5.75 3 EquityRidgeworth Funds RIDGEWORTH MID CAP CORE EQUITY CL C SCMEX Non-NTF Growth 2.09 1.00 3 EquityRidgeworth Funds RIDGEWORTH MID CAP CORE EQUITY CL I SAGTX Non-NTF Growth 1.09 None 1 EquityRidgeworth Funds RIDGEWORTH MID CAP VALUE EQUITY CL A SAMVX Non-NTF Growth 1.37 5.75 3 EquityRidgeworth Funds RIDGEWORTH MID CAP VALUE EQUITY CL C SMVFX Non-NTF Growth 2.07 1.00 3 EquityRidgeworth Funds RIDGEWORTH MID CAP VALUE EQUITY CL I SMVTX Non-NTF Growth 1.07 None 1 EquityRidgeworth Funds RIDGEWORTH MODERATE ALLOCATION CL A SVMAX Non-NTF Balanced 0.5 5.75 3 EquityRidgeworth Funds RIDGEWORTH MODERATE ALLOCATION CL A SGIAX Non-NTF Growth and Income 0.49 5.75 3 EquityRidgeworth Funds RIDGEWORTH MODERATE ALLOCATION CL C SGILX Non-NTF Growth and Income 1.19 1.00 3 EquityRidgeworth Funds RIDGEWORTH MODERATE ALLOCATION CL C SVGLX Non-NTF Balanced 1.2 1.00 3 BondRidgeworth Funds RIDGEWORTH MODERATE ALLOCATION CL I CLVBX Non-NTF Balanced 0.2 None 1 BondRidgeworth Funds RIDGEWORTH PRIME QUALITY MMKT CL A SQIXX Non-NTF None 1 EquityRidgeworth Funds RIDGEWORTH PRIME QUALITY MMKT CL A SQQXX Non-NTF None 0 EquityRidgeworth Funds RIDGEWORTH REAL ESTATE 130/30 A SHRS SREGX Non-NTF 5.75 3 BondRidgeworth Funds RIDGEWORTH REAL ESTATE 130/30 CL I SRIEX Non-NTF Growth 3.53 None 1 BondRidgeworth Funds RIDGEWORTH SEIX GL STRATEGY FUND CL A CGSAX Non-NTF 4.75 1 BondRidgeworth Funds RIDGEWORTH SEIX GL STRATEGY FUND CL I CGSIX Non-NTF Multi-Asset Global 0.69 None 1 BondRidgeworth Funds RIDGEWORTH SEIX HIGH YIELD CL I SAMHX Non-NTF Corporate Bond - High Yield 0.5 None 1 EquityRidgeworth Funds RIDGEWORTH SEIX HIGH YIELD CL R HYLSX Non-NTF Corporate Bond - High Yield 1.5 1.00 3 EquityRidgeworth Funds RIDGEWORTH SELECL LG CAP GROWTH STOCK I STTAX Non-NTF Growth 0.95 None 1 EquityRidgeworth Funds RIDGEWORTH SELECT LG CAP GROWTH FD CL C STTFX Non-NTF Growth 1.95 1.00 3 BondRidgeworth Funds RIDGEWORTH SELECT LG CAP GRWTH STOCK A SXSAX Non-NTF Growth 1.25 5.75 3 BondRidgeworth Funds RIDGEWORTH SHORT TERM BD CL A STSBX Non-NTF Corporate Bond - High Quality 0.66 2.50 3 BondRidgeworth Funds RIDGEWORTH SHORT TERM BD CL C SCBSX Non-NTF Corporate Bond - High Quality 1.45 1.00 3 BondRidgeworth Funds RIDGEWORTH SHORT TERM BD I SSBTX Non-NTF Corporate Bond - High Quality 0.46 None 1 BondRidgeworth Funds RIDGEWORTH SHORT TRM TREASURY CL A STSFX Non-NTF Government Bond - Treasury 0.65 2.50 3 EquityRidgeworth Funds RIDGEWORTH SHORT TRM TREASURY CL C SSUSX Non-NTF Government Bond - Treasury 1.48 1.00 3 EquityRidgeworth Funds RIDGEWORTH SM CAP VALUE EQ CL I SCETX Non-NTF Small Company 1.21 None 1 EquityRidgeworth Funds RIDGEWORTH SMAL CAP VALUE EQUITY CL C STCEX Non-NTF Small Company 1.89 1.00 3 EquityRidgeworth Funds RIDGEWORTH SMALL CAP GROWTH CL C SSCFX Non-NTF Small Company 2.21 1.00 3 EquityRidgeworth Funds RIDGEWORTH SMALL CAP VALUE EQUITY CL A SASVX Non-NTF Small Company 1.49 5.75 3 BondRidgeworth Funds RIDGEWORTH TAX EXEMPT CL A SEIXX Non-NTF None 0 BondRidgeworth Funds RIDGEWORTH TOTAL RETURN BD FD CL A CBPSX Non-NTF Multisector Bond 0.54 4.75 3 BondRidgeworth Funds RIDGEWORTH TOTAL RETURN BD FD CL I SAMFX Non-NTF Multisector Bond 0.3 None 1 BondRidgeworth Funds RIDGEWORTH TOTAL RETURN BD FD CL R SCBLX Non-NTF Multisector Bond 1.1 None 3 EquityRidgeworth Funds RIDGEWORTH ULTRA SHORT BOND I SISSX Non-NTF Government Bond - Treasury 0.31 None 1 EquityRidgeworth Funds RIDGEWORTH US EQUITY 130/30 FUND A SHRS SUEAX Non-NTF 5.75 3 BondRidgeworth Funds RIDGEWORTH US EQUITY 130/30 FUND I SHRS SUEIX Non-NTF Growth 1.93 None 1 BondRidgeworth Funds RIDGEWORTH US GOV'T SEC CL I SUGTX Non-NTF Government Bond - General 0.55 None 1 BondRidgeworth Funds RIDGEWORTH US GOVT SEC ULTRA SHT BOND I SIGVX Non-NTF Government Bond - General 0.28 None 1 BondRidgeworth Funds RIDGEWORTH VIRGINIA INTER MUNI BD CL I CRVTX Non-NTF Municipal Bond - Single State 0.6 None 1 EquityRidgeworth Funds RIDGEWORTH VIRGINIA TAX FREE MMKT CL A CIAXX Non-NTF None 0 EquityRiversource Funds RIVERSOURCE 120/20 CONTRAIANC EQUITY A RCEAX Non-NTF Growth 1.5 5.75 3 BondRiversource Funds RIVERSOURCE 120/20 U.S. EQUITY CL C RECCX Non-NTF Growth 2.25 1.00 3 BondRiversource Funds RIVERSOURCE ABSOLUTE RT CURRENCY & INC R4 QCDBQ Non-NTF Growth 1.25 None 1 BondRiversource Funds RIVERSOURCE ABSOLUTE RTRN CRRNCY & INC C RARCX Non-NTF Growth 2.14 1.00 3 EquityRiversource Funds RIVERSOURCE ABSOLUTE RTRN CRRNCY & INCA RARAX Non-NTF Growth 1.38 3.00 3 BondRiversource Funds RIVERSOURCE ABSOLUTE RTRN CURCY & INC R5 RARRX Non-NTF Growth 1.06 None 1 EquityRiversource Funds RIVERSOURCE BALANCED CL A INMUX Non-NTF Balanced 1.02 5.75 3 EquityRiversource Funds RIVERSOURCE BALANCED CL B IDMBX Non-NTF Balanced 1.78 5.00 3 BondRiversource Funds RIVERSOURCE BALANCED FUND CLASS C RVBCX Non-NTF Balanced 1.78 1.00 3 BondRiversource Funds RIVERSOURCE CASH MANAGEMENT CL B ACBXX Non-NTF 5.00 3 EquityRiversource Funds RIVERSOURCE CASH MANAGEMENT FUND CL C RCCXX Non-NTF 1.00 3 EquityRiversource Funds RIVERSOURCE DISC LARGE CAP VALUE R4 RLCYX Non-NTF Growth 1.08 None 3 EquityRiversource Funds RIVERSOURCE DISC LG CAP GROWTH B QBXIQ Non-NTF Growth 1.99 5.00 3 EquityRiversource Funds RIVERSOURCE DISC LG CAP GRWTH A RDLAX Non-NTF Growth 1.22 5.75 3 EquityRiversource Funds RIVERSOURCE DISC LG CAP GRWTH C RDLCX Non-NTF Growth 1.98 1.00 3 EquityRiversource Funds RIVERSOURCE DISCIPL EQUITY FD CL C RDCEX Non-NTF Growth 1.71 1.00 3 EquityRiversource Funds RIVERSOURCE DISCIPL INTERNAT EQUITY CL A RDIAX Non-NTF Growth 1.48 5.75 3 Equity

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Sales Charge

Settlement Days

Security Class

Riversource Funds RIVERSOURCE DISCIPL LARGE CAP VALUE CL B QCPDQ Non-NTF Growth 2.02 5.00 3 EquityRiversource Funds RIVERSOURCE DISCIPL LARGE CAP VALUE CL C RDCCX Non-NTF Growth 2.01 1.00 3 EquityRiversource Funds RIVERSOURCE DISCIPL LR CAP VALUE CL A RLCAX Non-NTF Growth 1.26 5.75 3 EquityRiversource Funds RIVERSOURCE DISCIPLD SMALL & MID CAP EQ A RDSAX Non-NTF Growth 1.29 5.75 3 EquityRiversource Funds RIVERSOURCE DISCIPLI EQUITY CL R2 QCDDQ Non-NTF Growth 1.16 None 1 EquityRiversource Funds RIVERSOURCE DISCIPLI EQUITY CL R4 RQEYX Non-NTF Growth 0.78 None 1 EquityRiversource Funds RIVERSOURCE DISCIPLI EQUITY FD CL R3 RSDEX Non-NTF Growth 0.94 None 1 EquityRiversource Funds RIVERSOURCE DISCIPLI INTL EQUITY CL B RDIBX Non-NTF Growth 2.26 5.00 3 EquityRiversource Funds RIVERSOURCE DISCIPLI SMALL CAP VALUE A RDVAX Non-NTF Growth 1.42 5.75 3 EquityRiversource Funds RIVERSOURCE DISCIPLINED EQ CL R5 RSIPX Non-NTF Growth 0.58 None 1 EquityRiversource Funds RIVERSOURCE DISCIPLINED EQUITY A AQEAX Non-NTF Growth 0.95 5.75 3 EquityRiversource Funds RIVERSOURCE DISCPLND EQUITY CL B AQEBX Non-NTF Growth 1.71 5.00 3 EquityRiversource Funds RIVERSOURCE DISP INTL EQUITY R2 RDIOX Non-NTF Growth 1.49 None 3 EquityRiversource Funds RIVERSOURCE DISP INTL EQUITY R3 RDIEX Non-NTF Growth 1.25 None 3 EquityRiversource Funds RIVERSOURCE DISP INTL EQUITY R5 RDIFX Non-NTF Growth 0.81 None 3 EquityRiversource Funds RIVERSOURCE DISP LARGE CAP VALUE R2 RLCOX Non-NTF Growth 1.55 None 3 EquityRiversource Funds RIVERSOURCE DISP LARGE CAP VALUE R3 RLCTX Non-NTF Growth 1.3 None 3 BondRiversource Funds RIVERSOURCE DISP LARGE CAP VALUE R5 RLCRX Non-NTF Growth 0.93 None 3 BondRiversource Funds RIVERSOURCE DIVERSFD BOND CL A INBNX Non-NTF Corporate Bond - General 0.83 4.75 3 EquityRiversource Funds RIVERSOURCE DIVERSFD BOND CL B ININX Non-NTF Corporate Bond - General 1.59 5.00 3 EquityRiversource Funds RIVERSOURCE DIVERSFD EQUITY INCOME CL A INDZX Non-NTF Equity-Income 0.99 5.75 3 EquityRiversource Funds RIVERSOURCE DIVERSFD EQUITY INCOME CL B IDEBX Non-NTF Equity-Income 1.76 5.00 3 BondRiversource Funds RIVERSOURCE DIVERSFD EQUITY INCOME CL C ADECX Non-NTF Equity-Income 1.75 1.00 3 BondRiversource Funds RIVERSOURCE DIVERSIF BOND FD CL R2 QCEFQ Non-NTF Corporate Bond - General 1.21 None 1 EquityRiversource Funds RIVERSOURCE DIVERSIF BOND FD CL R5 RSVBX Non-NTF Corporate Bond - General 0.52 None 1 BondRiversource Funds RIVERSOURCE DIVERSIF EQ & INC FD CL R2 RDEIX Non-NTF Equity-Income 1.3 None 1 EquityRiversource Funds RIVERSOURCE DIVERSIF EQUITY INCOME CL R3 RDERX Non-NTF Equity-Income 1.05 None 3 EquityRiversource Funds RIVERSOURCE DIVERSIF IED EQUITY INC CL R5 RSEDX Non-NTF Equity-Income 0.55 None 1 BondRiversource Funds RIVERSOURCE DIVERSIF IED EQUITY INCOME R4 IDQYX Non-NTF Equity-Income 0.75 None 1 BondRiversource Funds RIVERSOURCE DIVERSIFIED BD CL C AXBCX Non-NTF Corporate Bond - General 1.58 1.00 3 BondRiversource Funds RIVERSOURCE DIVERSIFIED BD R3 RSDBX Non-NTF Corporate Bond - General 0.91 None 1 EquityRiversource Funds RIVERSOURCE DIVERSIFIED BD R4 IDBYX Non-NTF Corporate Bond - General 0.77 None 1 EquityRiversource Funds RIVERSOURCE DIVIDEND OPP FD CL C ACUIX Non-NTF Income 1.78 1.00 3 EquityRiversource Funds RIVERSOURCE DIVIDEND OPPORTUNITY CL A INUTX Non-NTF Income 1.03 5.75 3 EquityRiversource Funds RIVERSOURCE DIVIDEND OPPORTUNITY CL B IUTBX Non-NTF Income 1.79 5.00 3 EquityRiversource Funds RIVERSOURCE DIVIDEND OPPORTUNITY R2 RSOOX Non-NTF Income 1.33 None 3 EquityRiversource Funds RIVERSOURCE DIVIDEND OPPORTUNITY R3 RSOTX Non-NTF Income 1.07 None 3 EquityRiversource Funds RIVERSOURCE DIVIDEND OPPORTUNITY R5 RSDFX Non-NTF Income 0.72 None 3 BondRiversource Funds RIVERSOURCE DIVIDEND OPPT FD CL R4 RSORX Non-NTF Income 0.75 None 1 EquityRiversource Funds RIVERSOURCE EMERGING MRTKS BOND FD CL A REBAX Non-NTF Diversified Emerging Markets 1.27 4.75 3 EquityRiversource Funds RIVERSOURCE EQUITY VALUE CL A IEVAX Non-NTF Growth and Income 1.11 5.75 3 EquityRiversource Funds RIVERSOURCE EQUITY VALUE CL B INEGX Non-NTF Growth and Income 1.88 5.00 3 EquityRiversource Funds RIVERSOURCE EQUITY VALUE FD CL C REVCX Non-NTF Growth and Income 1.87 1.00 3 EquityRiversource Funds RIVERSOURCE EQUITY VALUE FD CL R2 REVRX Non-NTF Growth and Income 1.25 None 1 EquityRiversource Funds RIVERSOURCE EQUITY VALUE FD CL R3 RSEVX Non-NTF Growth and Income 1.19 None 1 EquityRiversource Funds RIVERSOURCE EQUITY VALUE FD CL R4 AEVYX Non-NTF Growth and Income 0.93 None 1 BondRiversource Funds RIVERSOURCE EQUITY VALUE R5 RSEYX Non-NTF Growth and Income 0.93 None 1 BondRiversource Funds RIVERSOURCE FLOATING RATE FD CL A RFRAX Non-NTF Growth and Income 1.01 3.00 3 BondRiversource Funds RIVERSOURCE FLOATING RATE FD R4 QCECQ Non-NTF Growth and Income 0.81 None 1 BondRiversource Funds RIVERSOURCE FLOATING RATE FUND CL C RFRCX Non-NTF Growth and Income 1.76 1.00 3 BondRiversource Funds RIVERSOURCE FLOATING RATE R5 RFRFX Non-NTF Growth and Income 0.75 None 3 BondRiversource Funds RIVERSOURCE GLOBAL BOND CL A IGBFX Non-NTF Worldwide Bond 1.25 4.75 3 BondRiversource Funds RIVERSOURCE GLOBAL BOND CL B IGLOX Non-NTF Worldwide Bond 2.01 5.00 3 BondRiversource Funds RIVERSOURCE GLOBAL BOND CL C AGBCX Non-NTF Worldwide Bond 2.01 1.00 3 BondRiversource Funds RIVERSOURCE HIGH YIELD BD FD CL R2 QCEUQ Non-NTF Corporate Bond - High Yield 1.39 None 1 BondRiversource Funds RIVERSOURCE HIGH YIELD BD FD CL R5 RSHRX Non-NTF Corporate Bond - High Yield 0.7 None 1 BondRiversource Funds RIVERSOURCE HIGH YIELD BD FD R4 RSHYX Non-NTF Corporate Bond - High Yield 0.87 None 1 BondRiversource Funds RIVERSOURCE HIGH YIELD BOND CL A INEAX Non-NTF Corporate Bond - High Yield 1.02 4.75 3 BondRiversource Funds RIVERSOURCE HIGH YIELD BOND CL B IEIBX Non-NTF Corporate Bond - High Yield 1.78 5.00 3 Bond

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Sales Charge

Settlement Days

Security Class

Riversource Funds RIVERSOURCE HIGH YIELD BOND CL C APECX Non-NTF Corporate Bond - High Yield 1.77 1.00 3 BondRiversource Funds RIVERSOURCE HIGH YLD BOND FD CL R3 QCDWQ Non-NTF Corporate Bond - High Yield 1.2 None 1 BondRiversource Funds RIVERSOURCE INC BUILDER BASIC INC C RBBCX Non-NTF Growth and Income 1.16 1.00 3 BondRiversource Funds RIVERSOURCE INC BUILDER MODERATE C RSMCX Non-NTF Growth and Income 1.15 1.00 3 BondRiversource Funds RIVERSOURCE INC OPPT FUND CLASS C RIOCX Non-NTF Income 1.91 1.00 3 BondRiversource Funds RIVERSOURCE INCOME BUILDER BASIC INC B RBBBX Non-NTF Growth and Income 1.16 5.00 3 BondRiversource Funds RIVERSOURCE INCOME BUILDER BASIS INC A RBBAX Non-NTF Growth and Income 0.41 4.75 3 BondRiversource Funds RIVERSOURCE INCOME BUILDER ENHNCD INC A RSBAX Non-NTF Growth and Income 0.41 4.75 3 BondRiversource Funds RIVERSOURCE INCOME BUILDER ENHNCD INC C RIECX Non-NTF Growth and Income 1.16 1.00 3 BondRiversource Funds RIVERSOURCE INCOME BUILDER MOD INC A RSMAX Non-NTF Growth and Income 0.4 4.75 3 BondRiversource Funds RIVERSOURCE INCOME BUILDER MOD INC B RSMBX Non-NTF Growth and Income 1.15 5.00 3 BondRiversource Funds RIVERSOURCE INCOME OPPT FD CL A AIOAX Non-NTF Income 1.19 4.75 3 BondRiversource Funds RIVERSOURCE INCOME OPPT FD CL B AIOBX Non-NTF Income 1.96 5.00 3 BondRiversource Funds RIVERSOURCE INFLATIO PROTECTED SEC CL A APSAX Non-NTF Growth 0.85 3.00 3 BondRiversource Funds RIVERSOURCE INFLN PROTECTED SECS CL B APSBX Non-NTF Growth 1.61 5.00 3 BondRiversource Funds RIVERSOURCE INFLTN PROTECTED SECS CL C RIPCX Non-NTF Growth 1.6 1.00 3 EquityRiversource Funds RIVERSOURCE INTERMED TAX EXEMPT CL A INFAX Non-NTF Municipal Bond - National 0.79 3.00 3 EquityRiversource Funds RIVERSOURCE LASALLE GLOBAL REAL CLASS A SLDAX Non-NTF Specialty - Real Estate 1.64 5.75 3 EquityRiversource Funds RIVERSOURCE LASALLE GLOBAL REAL CLASS C SLDCX Non-NTF Specialty - Real Estate 2.38 1.00 3 EquityRiversource Funds RIVERSOURCE LASALLE MONTHLY DIV REAL A SREAX Non-NTF Specialty - Real Estate 1.59 5.75 3 EquityRiversource Funds RIVERSOURCE LASALLE MONTHLY DIV REAL B SREBX Non-NTF Specialty - Real Estate 2.32 5.00 3 BondRiversource Funds RIVERSOURCE LASALLE MONTHLY DIV REAL C SRECX Non-NTF Specialty - Real Estate 2.35 1.00 3 BondRiversource Funds RIVERSOURCE LIMITED DURATION BD FD A ALDAX Non-NTF Income 0.89 3.00 3 BondRiversource Funds RIVERSOURCE LIMITED DURATION BOND CL B ALDBX Non-NTF Income 1.65 5.00 3 EquityRiversource Funds RIVERSOURCE LTD DURATION BD FD CL C RDCLX Non-NTF Income 1.64 1.00 3 EquityRiversource Funds RIVERSOURCE MID CAP GROWTH CL A INVPX Non-NTF Growth 1.4 5.75 3 EquityRiversource Funds RIVERSOURCE MID CAP GROWTH CL B IDQBX Non-NTF Growth 2.18 5.00 3 EquityRiversource Funds RIVERSOURCE MID CAP GROWTH CL C AESCX Non-NTF Growth 2.15 1.00 3 EquityRiversource Funds RIVERSOURCE MID CAP VALUE A AMVAX Non-NTF Growth 1.19 5.75 3 EquityRiversource Funds RIVERSOURCE MID CAP VALUE CL B AMVBX Non-NTF Growth 1.96 5.00 3 EquityRiversource Funds RIVERSOURCE MID CAP VALUE CL C AMVCX Non-NTF Growth 1.95 1.00 3 EquityRiversource Funds RIVERSOURCE MID CAP VALUE CL R5 RSCMX Non-NTF Growth 0.72 None 1 EquityRiversource Funds RIVERSOURCE MID CAP VALUE FD CL R2 RMVTX Non-NTF Growth 1.47 None 1 EquityRiversource Funds RIVERSOURCE MID CAP VALUE FD CL R3 RMCRX Non-NTF Growth 1.22 None 1 BondRiversource Funds RIVERSOURCE MID CAP VALUE FD CL R4 RMCVX Non-NTF Growth 0.97 None 1 BondRiversource Funds RIVERSOURCE MINNESOTA TAX EX A IMNTX Non-NTF Municipal Bond - Single State 0.79 4.75 3 EquityRiversource Funds RIVERSOURCE NY TAX EXEMPT FUND CL A INYKX Non-NTF Municipal Bond - Single State 0.79 4.75 3 EquityRiversource Funds RIVERSOURCE PARTNERS INTL SMALL CAP CL C RISLX Non-NTF Small Company 2.42 1.00 3 EquityRiversource Funds RIVERSOURCE PORT BLDR MOD CL A ABUAX Non-NTF Growth 0.43 5.75 3 EquityRiversource Funds RIVERSOURCE PORT BLG TOTAL EQ CL A AXTAX Non-NTF Growth 0.51 5.75 3 EquityRiversource Funds RIVERSOURCE PORT BUILD MOD AGG CL C AGECX Non-NTF Growth 1.22 1.00 3 EquityRiversource Funds RIVERSOURCE PORT BUILDER AGGRESSIVE B AXPBX Non-NTF Growth 1.26 5.00 3 BondRiversource Funds RIVERSOURCE PORT BUILDER AGGRESSIVE C RBGCX Non-NTF Growth 1.25 1.00 3 EquityRiversource Funds RIVERSOURCE PORT BUILDER CONSER CL B ABBDX Non-NTF Growth 1.22 5.00 3 EquityRiversource Funds RIVERSOURCE PORT BUILDER MOD AGG CL B ABMBX Non-NTF Growth 1.23 5.00 3 EquityRiversource Funds RIVERSOURCE PORT BUILDER MOD AGGRES A AXMAX Non-NTF Growth 0.47 5.75 3 EquityRiversource Funds RIVERSOURCE PORT BUILDER MOD CL B AURBX Non-NTF Growth 1.19 5.00 3 EquityRiversource Funds RIVERSOURCE PORT BUILDER MODERATE C AMTCX Non-NTF Growth 1.19 1.00 3 EquityRiversource Funds RIVERSOURCE PORT BUILDER TOT EQ CL B AXTBX Non-NTF Growth 1.27 5.00 3 BondRiversource Funds RIVERSOURCE PORT BUILDER TOTAL EQ C RBTCX Non-NTF Growth 1.26 1.00 3 EquityRiversource Funds RIVERSOURCE PORT BULIDER CONSERV FD A ABDAX Non-NTF Growth 0.47 4.75 3 EquityRiversource Funds RIVERSOURCE PORTF BUILDER MOD CONSV A AUCAX Non-NTF Growth 0.44 4.75 3 EquityRiversource Funds RIVERSOURCE PORTFOLI BUILDER MOD CONV C RBMCX Non-NTF Growth 1.19 1.00 3 EquityRiversource Funds RIVERSOURCE PRECIOUS METAL & MINING CL B INPBX Non-NTF Specialty - Precious Metals 2.27 5.00 3 EquityRiversource Funds RIVERSOURCE PRECIOUS METALS & MINING C RPMCX Non-NTF Specialty - Precious Metals 2.29 1.00 3 EquityRiversource Funds RIVERSOURCE PRECIOUS METALS&MINING CL A INPMX Non-NTF Specialty - Precious Metals 1.52 5.75 3 EquityRiversource Funds RIVERSOURCE PRT INTL SELECT GROWTH B APIBX Non-NTF Foreign Stock 2.14 5.00 3 EquityRiversource Funds RIVERSOURCE PRT INTL SELECT GRWTH A AXGAX Non-NTF Foreign Stock 1.37 5.75 3 EquityRiversource Funds RIVERSOURCE PRT INTL SELECT VALUE CL A APIAX Non-NTF Foreign Stock 1.48 5.75 3 Equity

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Riversource Funds RIVERSOURCE PRT INTL SELECT VALUE CL B AXIBX Non-NTF Foreign Stock 2.25 5.00 3 EquityRiversource Funds RIVERSOURCE PRT INTL SELECT VALUE CL C APICX Non-NTF Foreign Stock 2.24 1.00 3 EquityRiversource Funds RIVERSOURCE PRT INTL SELECT VALUE R4 QCEAQ Non-NTF Foreign Stock 1 None 1 EquityRiversource Funds RIVERSOURCE PRT SM CAP VALUE CL A ASVAX Non-NTF Small Company 1.35 5.75 3 EquityRiversource Funds RIVERSOURCE PRT SM CAP VALUE CL B ASVBX Non-NTF Small Company 2.12 5.00 3 EquityRiversource Funds RIVERSOURCE PRT SM CAP VALUE CL C APVCX Non-NTF Small Company 2.11 1.00 3 EquityRiversource Funds RIVERSOURCE PRTFOLIO BLDR AGGR CL A AXBAX Non-NTF Growth 0.5 5.75 3 EquityRiversource Funds RIVERSOURCE PTR FUNDAMENTAL VALUE A AFVAX Non-NTF Growth 1.1 5.75 3 EquityRiversource Funds RIVERSOURCE PTR FUNDAMENTAL VALUE B AFVBX Non-NTF Growth 1.87 5.00 3 EquityRiversource Funds RIVERSOURCE PTR FUNDAMENTAL VALUE C AFVCX Non-NTF Growth 1.86 1.00 3 EquityRiversource Funds RIVERSOURCE PTR INTL SELECT GRWTH C RIACX Non-NTF Foreign Stock 2.12 1.00 3 EquityRiversource Funds RIVERSOURCE PTR INTL SELECT GWTH R4 QCEBQ Non-NTF Foreign Stock 1.17 None 1 EquityRiversource Funds RIVERSOURCE PTR INTL SMALL CAP FD CL B APNBX Non-NTF Small Company 2.43 5.00 3 EquityRiversource Funds RIVERSOURCE PTR INTL SMALL CAP FUND CL A AISCX Non-NTF Small Company 1.66 5.75 3 EquityRiversource Funds RIVERSOURCE REAL ESTATE CL A ARLAX Non-NTF Specialty - Real Estate 1.43 5.75 3 EquityRiversource Funds RIVERSOURCE REAL ESTATE FD CL B AESBX Non-NTF Specialty - Real Estate 2.19 5.00 3 EquityRiversource Funds RIVERSOURCE RECOVERY & INFRASTRUCTURE A RRIAX Non-NTF Growth 1.39 5.75 3 EquityRiversource Funds RIVERSOURCE RECOVERY & INFRASTRUCTURE B RRIBX Non-NTF Growth 2.15 5.00 3 EquityRiversource Funds RIVERSOURCE RECOVERY & INFRASTRUCTURE C RRICX Non-NTF Growth 2.15 1.00 3 EquityRiversource Funds RIVERSOURCE RECOVERY & INFRASTRUCTURE R2 RRIRX Non-NTF Growth 1.79 None 3 EquityRiversource Funds RIVERSOURCE RECOVERY & INFRASTRUCTURE R3 RRISX Non-NTF Growth 1.54 None 3 EquityRiversource Funds RIVERSOURCE RECOVERY & INFRASTRUCTURE R4 RRIYX Non-NTF Growth 1.29 None 3 EquityRiversource Funds RIVERSOURCE RECOVERY & INFRASTRUCTURE R5 RRIZX Non-NTF Growth 1.04 None 3 EquityRiversource Funds RIVERSOURCE RET 2010 PLUS CLASS A QCDNQ Non-NTF Growth and Income 0.36 5.75 3 EquityRiversource Funds RIVERSOURCE RET PLU S 2020 FD R2 QCEJQ Non-NTF Growth and Income 0.59 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2010 CL R2 QCDOQ Non-NTF Growth and Income 0.58 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2010 CL R3 RSRPX Non-NTF Growth and Income 0.33 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2010 CL R4 RSERX Non-NTF Growth and Income 0.08 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2010 CL R5 RSPRX Non-NTF Growth and Income 0.03 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2015 CL A QCDTQ Non-NTF Growth and Income 0.36 5.75 3 EquityRiversource Funds RIVERSOURCE RET PLUS 2015 CL R3 RSRTX Non-NTF Growth and Income 0.33 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2015 CL R4 RSEMX Non-NTF Growth and Income 0.08 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2015 FD CL R5 RSCUX Non-NTF Growth and Income 0.03 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2015 R2 QCEKQ Non-NTF Growth and Income 0.58 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2020 CL A RCDSQ Non-NTF Growth and Income 0.39 5.75 3 EquityRiversource Funds RIVERSOURCE RET PLUS 2020 CL R3 RSEPX Non-NTF Growth and Income 0.32 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2020 CL R5 RSUCX Non-NTF Growth and Income 0.03 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2020 R4 RSMTX Non-NTF Growth and Income 0.07 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2025 CL A QCDPQ Non-NTF Growth and Income 0.39 5.75 3 EquityRiversource Funds RIVERSOURCE RET PLUS 2025 CL R2 QCDQQ Non-NTF Growth and Income 0.6 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2025 CL R3 RSMPX Non-NTF Growth and Income 0.32 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2025 CL R5 RSURX Non-NTF Growth and Income 0.03 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2025 R4 RSPLX Non-NTF Growth and Income 0.07 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2030 CL A QCDRQ Non-NTF Growth and Income 0.39 5.75 3 EquityRiversource Funds RIVERSOURCE RET PLUS 2030 CL R2 QCPGQ Non-NTF Growth and Income 0.61 None 3 EquityRiversource Funds RIVERSOURCE RET PLUS 2030 CL R5 RSEEX Non-NTF Growth and Income 0.03 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2030 FD CL R4 RSELX Non-NTF Growth and Income 0.07 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2030 R3 RSRNX Non-NTF Growth and Income 0.35 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2035 CL A QCDVQ Non-NTF Growth and Income 0.39 5.75 3 EquityRiversource Funds RIVERSOURCE RET PLUS 2035 CL R3 RSRRX Non-NTF Growth and Income 0.32 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2035 CL R5 RSUSX Non-NTF Growth and Income 0.03 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2035 R2 QCEMQ Non-NTF Growth and Income 0.57 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2035 R4 RSMNX Non-NTF Growth and Income 0.07 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2040 CL A QCDUQ Non-NTF Growth and Income 0.39 5.75 3 EquityRiversource Funds RIVERSOURCE RET PLUS 2040 CL R3 RSRCX Non-NTF Growth and Income 0.36 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2040 CL R5 RSPUX Non-NTF Growth and Income 0.03 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2040 FD R2 QCELQ Non-NTF Growth and Income 0.59 None 1 EquityRiversource Funds RIVERSOURCE RET PLUS 2040 R4 RSMMX Non-NTF Growth and Income 0.07 None 1 BondRiversource Funds RIVERSOURCE RET PLUS 2045 CL R3 RSRUX Non-NTF Growth and Income 0.32 None 3 Equity

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Security Class

Riversource Funds RIVERSOURCE RET PLUS 2045 CL R5 RSUPX Non-NTF Growth and Income 0.03 None 3 BondRiversource Funds RIVERSOURCE RET PLUS 2045 FUND CL R2 QCPFQ Non-NTF Growth and Income 0.57 None 3 BondRiversource Funds RIVERSOURCE SHORT DURATION US GOV CL A IFINX Non-NTF Government Bond - Mortgage 0.89 3.00 3 EquityRiversource Funds RIVERSOURCE SHORT DURATION US GOV'T C AXFCX Non-NTF Government Bond - Mortgage 1.65 1.00 3 EquityRiversource Funds RIVERSOURCE SMALL COMPANY INDEX CL A ISIAX Non-NTF Small Company 0.74 5.75 3 EquityRiversource Funds RIVERSOURCE SMALL COMPANY INDEX CL B ISIBX Non-NTF Small Company 1.5 5.00 3 EquityRiversource Funds RIVERSOURCE STRA ALLOCCATION CL R3 RSACX Non-NTF Asset Allocation 1.07 None 1 EquityRiversource Funds RIVERSOURCE STRAT ALLOCATION CL A IMRFX Non-NTF Asset Allocation 1.1 5.75 3 BondRiversource Funds RIVERSOURCE STRAT ALLOCATION CL B IMRBX Non-NTF Asset Allocation 1.87 5.00 3 BondRiversource Funds RIVERSOURCE STRAT INCIME ALLOCATION R2 RSDOX Non-NTF Growth and Income 1.47 None 3 BondRiversource Funds RIVERSOURCE STRAT INCOME ALLOCATION R3 RSARX Non-NTF Growth and Income 1.21 None 3 BondRiversource Funds RIVERSOURCE STRAT INCOME ALLOCATION R4 RSTRX Non-NTF Growth and Income 0.95 None 3 EquityRiversource Funds RIVERSOURCE STRAT INCOME ALLOCATION R5 RSFRX Non-NTF Growth and Income 0.82 None 3 EquityRiversource Funds RIVERSOURCE STRATEGI ALLOCATION CL R5 RSALX Non-NTF Asset Allocation 0.68 None 1 EquityRiversource Funds RIVERSOURCE STRATEGIC ALLOC C RSSCX Non-NTF Asset Allocation 1.86 1.00 3 EquityRiversource Funds RIVERSOURCE STRATEGIC ALLOC R2 QCEIQ Non-NTF Asset Allocation 1.33 None 1 BondRiversource Funds RIVERSOURCE STRATEGIC ALLOC R4 IDRYX Non-NTF Asset Allocation 0.87 None 1 BondRiversource Funds RIVERSOURCE STRATEGIC INC ALL A RSGAX Non-NTF Growth and Income 1.13 4.75 3 BondRiversource Funds RIVERSOURCE STRATEGIC INC ALL B RIABX Non-NTF Growth and Income 1.89 5.00 3 BondRiversource Funds RIVERSOURCE STRATEGIC INC ALL C RAICX Non-NTF Growth and Income 1.87 1.00 3 BondRiversource Funds RIVERSOURCE TAX EXEMPT BD FD C RTCEX Non-NTF Municipal Bond - National 1.54 1.00 3 EquityRiversource Funds RIVERSOURCE TAX EXEMPT BOND CL A INTAX Non-NTF Municipal Bond - National 0.79 4.75 3 BondRiversource Funds RIVERSOURCE TAX EXEMPT BOND CL B ITEBX Non-NTF Municipal Bond - National 1.55 5.00 3 BondRiversource Funds RIVERSOURCE TAX EXEMPT HIGH INCOME A INHYX Non-NTF Municipal Bond - National 0.76 4.75 3 BondRiversource Funds RIVERSOURCE TAX EXEMPT HIGH INCOME B IHYBX Non-NTF Municipal Bond - National 1.52 5.00 3 BondRiversource Funds RIVERSOURCE US GOVT MORTGAGE CL A AUGAX Non-NTF Income 0.89 4.75 3 BondRiversource Funds RIVERSOURCE US GOV'T MORTGAGE FD CL B AUGBX Non-NTF Income 1.65 5.00 3 BondRiversource Funds RIVERSOURCE US GOVT MORTGAGE FUND CL C AUGCX Non-NTF Income 1.65 1.00 3 BondRiversource Funds SELIGMAN CA TAX EX QUALITY CLASS A SCTQX Non-NTF Municipal Bond - Single State 1.09 4.75 3 BondRiversource Funds SELIGMAN CA TX EX HIGH CLASS A SCHYX Non-NTF Municipal Bond - Single State 1.04 4.75 3 BondRiversource Funds SELIGMAN CALIFORNIA HIGH YIELD CLASS C SHMCX Non-NTF Municipal Bond - Single State 1.89 1.00 3 EquityRiversource Funds SELIGMAN CALIFORNIA QUALITY MUN BD CL C SCQCX Non-NTF Municipal Bond - Single State 1.96 1.00 3 EquityRiversource Funds SELIGMAN CAPITAL CLASS A SCFIX Non-NTF Growth 1.58 5.75 3 EquityRiversource Funds SELIGMAN CAPITAL CLASS B SLCBX Non-NTF Growth 2.34 5.00 3 EquityRiversource Funds SELIGMAN CAPTIAL CL C SCLCX Non-NTF Growth 2.34 1.00 3 EquityRiversource Funds SELIGMAN COMM & INF FUND CLASS R2 SCIRX Non-NTF Specialty - Technology 1.77 None 3 EquityRiversource Funds SELIGMAN COMMUNICTNS & INFO CLASS A SLMCX Non-NTF Specialty - Technology 1.52 5.75 3 EquityRiversource Funds SELIGMAN COMMUNICTNS & INFO CLASS B SLMBX Non-NTF Specialty - Technology 2.27 5.00 3 EquityRiversource Funds SELIGMAN COMMUNICTNS & INFO CLASS C SCICX Non-NTF Specialty - Technology 2.27 1.00 3 EquityRiversource Funds SELIGMAN FRONTIER CLASS A SLFRX Non-NTF Small Company 1.86 5.75 3 EquityRiversource Funds SELIGMAN FRONTIER CLASS B SLFBX Non-NTF Small Company 2.63 5.00 3 EquityRiversource Funds SELIGMAN FRONTIER CLASS C SLFCX Non-NTF Small Company 2.61 1.00 3 EquityRiversource Funds SELIGMAN GLOBAL TECH CL C SHTCX Non-NTF Specialty - Technology 2.69 1.00 3 EquityRiversource Funds SELIGMAN GLOBAL TECH CLASS B SHTBX Non-NTF Specialty - Technology 2.63 5.00 3 EquityRiversource Funds SELIGMAN GLOBAL TECHNOLOGY CLASS A SHGTX Non-NTF Specialty - Technology 1.91 5.75 3 EquityRiversource Funds SELIGMAN GROWTH CLASS A SGRFX Non-NTF Growth 1.35 5.75 3 EquityRiversource Funds SELIGMAN GROWTH CLASS B SGBTX Non-NTF Growth 2.1 5.00 3 EquityRiversource Funds SELIGMAN GROWTH CLASS C SGRCX Non-NTF Growth 2.11 1.00 3 EquityRiversource Funds SELIGMAN LARGE CAP VALUE CL C SVLCX Non-NTF Growth 2.37 1.00 3 EquityRiversource Funds SELIGMAN LARGE CAP VALUE CLASS A SLVAX Non-NTF Growth 1.61 5.75 3 BondRiversource Funds SELIGMAN LARGE CAP VALUE CLASS B SLVBX Non-NTF Growth 2.37 5.00 3 BondRiversource Funds SELIGMAN MINNESOTA MUNI BOND CLASS C SMNCX Non-NTF Municipal Bond - Single State 1.86 1.00 3 BondRiversource Funds SELIGMAN MN TAX EX CLASS A SMNNX Non-NTF Municipal Bond - Single State 1.06 4.75 3 BondRiversource Funds SELIGMAN NATIONAL MUNI BOND CLASS C SNACX Non-NTF Municipal Bond - National 1.71 1.00 3 BondRiversource Funds SELIGMAN NATIONAL TAX EXEMPT CLASS A SNXEX Non-NTF Municipal Bond - National 0.95 4.75 3 BondRiversource Funds SELIGMAN NEW YORK MUNI BOND CLASS C SNYCX Non-NTF Municipal Bond - Single State 1.88 1.00 3 EquityRiversource Funds SELIGMAN NY TAX EX CLASS A SNYTX Non-NTF Municipal Bond - Single State 1.04 4.75 3 EquityRiversource Funds SELIGMAN SMALL CAP VALUE CL C SVMCX Non-NTF Small Company 2.63 1.00 3 EquityRiversource Funds SELIGMAN SMALL CAP VALUE CLASS A SSCVX Non-NTF Small Company 1.89 5.75 3 Equity

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Riversource Funds SELIGMAN SMALL CAP VALUE CLASS B SSCBX Non-NTF Small Company 2.64 5.00 3 EquityRiversource Funds SELIGMAN TARGET FD 2025 CLASS R STKRX Non-NTF Asset Allocation 1.23 1.00 1 EquityRiversource Funds SELIGMAN TARGET FD 2035 CL A STZAX Non-NTF Asset Allocation 0.98 5.75 3 EquityRiversource Funds SELIGMAN TARGET FD 2035 CL C STZCX Non-NTF Asset Allocation 1.73 1.00 3 EquityRiversource Funds SELIGMAN TARGET FD 2045 CL A STQAX Non-NTF Asset Allocation 0.98 5.75 3 EquityRiversource Funds SELIGMAN TARGET FD 2045 CL C STQCX Non-NTF Asset Allocation 1.72 1.00 3 EquityRiversource Funds SELIGMAN TARGETFUND 2015 CLASS A STJAX Non-NTF Asset Allocation 0.98 5.75 3 EquityRiversource Funds SELIGMAN TARGETFUND 2015 CLASS R2 STJRX Non-NTF Asset Allocation 1.23 None 1 EquityRiversource Funds SELIGMAN TARGETFUND 2015 FD CLASS C STJCX Non-NTF Asset Allocation 1.73 1.00 3 EquityRiversource Funds SELIGMAN TARGETFUND 2025 CLASS A STKAX Non-NTF Asset Allocation 0.98 5.75 3 EquityRiversource Funds SELIGMAN TARGETFUND 2025 CLASS C STKCX Non-NTF Asset Allocation 1.73 1.00 3 EquityRiversource Funds SELIGMAN TARGETFUND CORE CL R5 SHVIX Non-NTF Asset Allocation 0.61 None 1 EquityRiversource Funds SELIGMAN TARGETFUND CORE CLASS A SHVAX Non-NTF Asset Allocation 0.98 5.75 3 EquityRiversource Funds SELIGMAN TARGETFUND CORE CLASS C SHVCX Non-NTF Asset Allocation 1.73 1.00 3 EquityRiversource Funds SELIGMAN TARGETFUND CORE CLASS R2 SHVRX Non-NTF Asset Allocation 1.23 None 1 EquityRiversource Funds THRADNEEDLE GLOBAL EQUITY INCOME R4 RGEYX Non-NTF World Stock 1.33 None 3 EquityRiversource Funds THREADNEEDLE EMERG MARKETS CL A IDEAX Non-NTF Diversified Emerging Markets 1.9 5.75 3 EquityRiversource Funds THREADNEEDLE EMERG MARKETS CL B IEMBX Non-NTF Diversified Emerging Markets 2.68 5.00 3 EquityRiversource Funds THREADNEEDLE EMERG MARKETS R5 REMFX Non-NTF Diversified Emerging Markets 1.31 None 3 EquityRiversource Funds THREADNEEDLE EURO EQUITY CL A AXEAX Non-NTF Europe Stock 1.61 5.75 3 EquityRiversource Funds THREADNEEDLE EURO EQUITY CL B AEEBX Non-NTF Europe Stock 2.4 5.00 3 EquityRiversource Funds THREADNEEDLE GL EXTENED ALPHA CL A RTAAX Non-NTF Growth 1.55 5.75 3 EquityRiversource Funds THREADNEEDLE GLOBAL EQUITY CL A IGLGX Non-NTF World Stock 1.44 5.75 3 EquityRiversource Funds THREADNEEDLE GLOBAL EQUITY CL B IDGBX Non-NTF World Stock 2.21 5.00 3 EquityRiversource Funds THREADNEEDLE GLOBAL EQUITY CL R3 QCDYQ Non-NTF World Stock 1.32 None 1 EquityRiversource Funds THREADNEEDLE GLOBAL EQUITY CL R4 IDGYX Non-NTF World Stock 1.15 None 1 EquityRiversource Funds THREADNEEDLE GLOBAL EQUITY CL R5 RGERX Non-NTF World Stock 0.9 None 1 EquityRiversource Funds THREADNEEDLE GLOBAL EQUITY FD C RGCEX Non-NTF World Stock 2.2 1.00 3 EquityRiversource Funds THREADNEEDLE GLOBAL EQUITY FD CL R2 QCEGQ Non-NTF World Stock 1.69 None 1 EquityRiversource Funds THREADNEEDLE GLOBAL EQUITY INCOME CL A RTNAX Non-NTF World Stock 1.5 5.75 3 EquityRiversource Funds THREADNEEDLE GLOBAL EQUITY INCOME CL B QCPEQ Non-NTF World Stock 2.26 5.00 3 EquityRiversource Funds THREADNEEDLE GLOBAL EQUITY INCOME CL C RTNEX Non-NTF World Stock 2.25 1.00 3 EquityRiversource Funds THREADNEEDLE GLOBAL EQUITY INCOME R2 RGEOX Non-NTF World Stock 1.83 None 3 EquityRiversource Funds THREADNEEDLE GLOBAL EQUITY INCOME R3 RGETX Non-NTF World Stock 1.58 None 3 EquityRiversource Funds THREADNEEDLE GLOBAL EQUITY INCOME R5 RGEFX Non-NTF World Stock 1.14 None 3 EquityRiversource Funds THREADNEEDLE GLOBAL EXTENDED ALPHA CL C RTACX Non-NTF Growth 2.3 1.00 3 EquityRiversource Funds THREADNEEDLE GLOBAL EXTENDED ALPHA R2 REAOX Non-NTF Growth 1.96 None 3 EquityRiversource Funds THREADNEEDLE GLOBAL EXTENDED ALPHA R3 RTNRX Non-NTF Growth 1.71 None 3 EquityRiversource Funds THREADNEEDLE GLOBAL EXTENDED ALPHA R4 REYRX Non-NTF Growth 1.47 None 3 EquityRiversource Funds THREADNEEDLE GLOBAL EXTENDED ALPHA R5 REAFX Non-NTF Growth 1.27 None 3 EquityRiversource Funds THREADNEEDLE GLOBAL EXTENED ALPHA CL B QCPCQ Non-NTF Growth 2.31 5.00 3 EquityRiversource Funds THREADNEEDLE INTL OPPORTUNITY CL A INIFX Non-NTF Foreign Stock 1.65 5.75 3 EquityRiversource Funds THREADNEEDLE INTL OPPORTUNITY CL B IWWGX Non-NTF Foreign Stock 2.44 5.00 3 EquityRobeco Investment Management BOSTON PARTNERS LONG SHORT INSTL BPLSX Non-NTF Growth 2.5 None 1 EquityRobeco Investment Management ROBECO BOSTON PART MID CAP VALUE INSTL BPMIX Non-NTF Growth 1 None 1 BondRobeco Investment Management ROBECO BOSTON PRTNS SM CAL VAL 11 INSTL BPSIX Non-NTF Small Company 1.3 None 1 EquityRobeco Investment Management ROBECO SAM SUSTAIN CLIMATE FUND INSTL SSCIX Non-NTF Growth 1.5 None 1 BondRobeco Investment Management ROBECO SAM SUSTAIN GLOBAL ACTIVE INSTL SGAIX Non-NTF Growth -999 None 1 EquityRobeco Investment Management ROBECO SAM SUSTAIN WATER FUND - INSTL SMWIX Non-NTF Growth 1.5 None 1 EquityRobeco Investment Management ROBECO WPG SMALL CAP VALUE FD INSTL CL WPGTX Non-NTF Small Company 1.61 None 1 EquityRobeco Investment Management ROBEOC BOSTON PRTNS CALL CAP VAL INSTL BPAIX Non-NTF Growth and Income 0.95 None 1 BondRochdale Investment Trust ROCHDALE DIV & INCOME PORT CLASS A RIMHX Non-NTF Equity-Income 1.35 5.75 1 BondRochdale Investment Trust ROCHDALE FIXED INC OPPORTUNITIES A RIMOX Non-NTF Corporate Bond - General -999 5.75 1 EquityRochdale Investment Trust ROCHDALE FIXED INC PORTFOLIO CLASS A RIMCX Non-NTF Corporate Bond - General 0.9 5.75 1 EquityRochdale Investment Trust ROCHDALE LARGE GROWTH PORTFOLIO A RIMGX Non-NTF Growth 1.25 5.75 1 EquityRochdale Investment Trust ROCHDALE LARGE VALUE PORTFOLIO CL A RIMVX Non-NTF Growth 1.25 5.75 1 EquityRochdale Investment Trust ROCHDALE MID/SMALL GROWTH PORTF CLASS A RIMQX Non-NTF Growth 1.36 5.75 1 EquityRochdale Investment Trust ROCHDALE MID/SMALL VALUE PORT CLASS A RIMKX Non-NTF Growth 1.37 5.75 1 EquityRoxbury Funds ROXBURY SMALL CAP GROWTH FUND RSCIX Non-NTF Growth 1.25 None 3 Equity

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Settlement Days

Security Class

Royce Funds ROYCE 100 FD INVESTMENT CL SHARES ROHHX Non-NTF Growth 1.24 None 1 EquityRoyce Funds ROYCE 100 FUND CL R ROHRX Non-NTF Growth 1.84 None 1 EquityRoyce Funds ROYCE 100 FUND K CL ROHKX Non-NTF Growth 1.59 None 1 EquityRoyce Funds ROYCE 100 FUND SERVICE CLASS RYOHX Non-NTF Growth 1.49 None 1 EquityRoyce Funds ROYCE DISCOVERY FUND SERVICE CLASS RYDFX Non-NTF Small Company 1.49 None 5 EquityRoyce Funds ROYCE DIVIDEND VALUE FUND INVESTMENT CL RDVIX Non-NTF Growth and Income 1.24 None 5 EquityRoyce Funds ROYCE DIVIDEND VALUE FUND SERVICE CL RYDVX Non-NTF Growth and Income 1.49 None 5 EquityRoyce Funds ROYCE EUROPEAN SMALLER CO FD SVC CL RISCX Non-NTF Growth 1.69 None 5 EquityRoyce Funds ROYCE FINANCIAL SVCS FD SERVICE CL SH RYFSX Non-NTF Specialty - Financial 1.49 None 5 EquityRoyce Funds ROYCE GLOBAL SELECT FUND - INVESTMENT RSFTX Non-NTF Growth 0.5 None 1 EquityRoyce Funds ROYCE GLOBAL VALUE FUND RIVFX Non-NTF Growth 1.69 None 3 EquityRoyce Funds ROYCE HERITAGE FD CONULTANT CL SHS RYGCX Non-NTF Small Company 2.49 1.00 1 EquityRoyce Funds ROYCE HERITAGE FUND CL R RHFRX Non-NTF Small Company 1.84 None 1 EquityRoyce Funds ROYCE HERITAGE FUND INVT CL SHARES RHFHX Non-NTF Small Company 1.24 None 1 EquityRoyce Funds ROYCE HERITAGE FUND SERVICE CL SHS RGFAX Non-NTF Small Company 1.49 None 1 EquityRoyce Funds ROYCE LOW PRICED STOCK FD INSTL CL RLPIX Non-NTF Small Company 1.18 None 1 EquityRoyce Funds ROYCE LOW PRICED STOCK FUND CL R RLPRX Non-NTF Small Company 1.84 None 1 EquityRoyce Funds ROYCE LOW PRICED STOCK INVSTMENT CL RLPHX Non-NTF Small Company 1.24 None 1 EquityRoyce Funds ROYCE LOW-PRICED STOCK FUND K CL RLPKX Non-NTF Small Company 1.59 None 1 EquityRoyce Funds ROYCE MICRO CAP SVSC CL RMCFX Non-NTF Small Company 1.66 None 1 EquityRoyce Funds ROYCE MICROCAP CONSULTANT CL RYMCX Non-NTF Small Company 2.45 1.00 1 EquityRoyce Funds ROYCE MICROCAP INVESTMENT CLASS RYOTX Non-NTF Small Company 1.51 None 1 EquityRoyce Funds ROYCE OPPORTUNITY FD CONSULTANT CL SH ROFCX Non-NTF Small Company 2.47 1.00 1 EquityRoyce Funds ROYCE OPPORTUNITY FD INSTL CL ROFIX Non-NTF Small Company 1.04 None 1 EquityRoyce Funds ROYCE OPPORTUNITY FD SVCS CL RYOFX Non-NTF Small Company 1.34 None 1 EquityRoyce Funds ROYCE OPPORTUNITY FUND CL R ROFRX Non-NTF Small Company 1.84 None 1 EquityRoyce Funds ROYCE OPPORTUNITY FUND INVEST CLASS RYPNX Non-NTF Small Company 1.17 None 1 EquityRoyce Funds ROYCE OPPORTUNITY FUND K CL ROFKX Non-NTF Small Company 1.59 None 1 EquityRoyce Funds ROYCE PENNSYLVANIA MUTUAL CONSULT CL RYPCX Non-NTF Small Company 1.87 1.00 1 EquityRoyce Funds ROYCE PENNSYLVANIA MUTUAL FUND RYPFX Non-NTF Small Company 1.11 None 1 EquityRoyce Funds ROYCE PENNSYLVANIA MUTUAL FUND CL R RPMRX Non-NTF Small Company 1.57 None 1 EquityRoyce Funds ROYCE PENNSYLVANIA MUTUAL FUND K CL RPMKX Non-NTF Small Company 1.59 None 1 EquityRoyce Funds ROYCE PENNSYLVANIA MUTUAL INVST CLASS PENNX Non-NTF Small Company 0.89 None 1 EquityRoyce Funds ROYCE PREMIER CONSULTANT CLASS RPRCX Non-NTF Small Company 2.11 1.00 1 EquityRoyce Funds ROYCE PREMIER FUND CL R RPRRX Non-NTF Small Company 1.84 None 1 EquityRoyce Funds ROYCE PREMIER FUND INVESTMENT CL RYPRX Non-NTF Small Company 1.12 None 1 EquityRoyce Funds ROYCE PREMIER FUND K CL RPRKX Non-NTF Small Company 1.59 None 1 EquityRoyce Funds ROYCE PREMIER INST CL RPFIX Non-NTF Small Company 1.01 None 1 EquityRoyce Funds ROYCE PREMIER SVCS CL SH RPFFX Non-NTF Small Company 1.34 None 1 EquityRoyce Funds ROYCE SELECT FUND I - INVESTMENT RYSFX Non-NTF Growth 0.08 None 1 EquityRoyce Funds ROYCE SELECT FUND II INVESTMENT RSFDX Non-NTF Growth 0.24 None 1 EquityRoyce Funds ROYCE SMID-CAP SELECT FD INVESTMENT RMISX Non-NTF Growth 0.28 None 1 EquityRoyce Funds ROYCE SPECIAL EQUITY CONSULTANT CL RSQCX Non-NTF Small Company 2.26 1.00 1 EquityRoyce Funds ROYCE SPECIAL EQUITY FD INSTL CL RSEIX Non-NTF Small Company 1.05 None 1 EquityRoyce Funds ROYCE SPECIAL EQUITY INVESTMENT CL RYSEX Non-NTF Small Company 1.15 None 1 EquityRoyce Funds ROYCE SPECIAL EQUITY SVCS CL SH RSEFX Non-NTF Small Company 1.35 None 1 EquityRoyce Funds ROYCE TOTAL RETURN CONSULTANT RYTCX Non-NTF Small Company 2.08 1.00 1 EquityRoyce Funds ROYCE TOTAL RETURN FD INSTITUTIONAL CL RTRIX Non-NTF Small Company 0.99 None 1 EquityRoyce Funds ROYCE TOTAL RETURN FD INVESTMENT CL RYTRX Non-NTF Small Company 1.12 None 1 EquityRoyce Funds ROYCE TOTAL RETURN FD SVCS CL SH RYTFX Non-NTF Small Company 1.34 None 1 EquityRoyce Funds ROYCE TOTAL RETURN FUND CL R RTRRX Non-NTF Small Company 1.84 None 1 EquityRoyce Funds ROYCE TOTAL RETURN FUND K CL RTRKX Non-NTF Small Company 1.46 None 1 EquityRoyce Funds ROYCE VALUE FD CONSULTANT CL RVFCX Non-NTF Growth 2.28 1.00 1 EquityRoyce Funds ROYCE VALUE FD INVT CLASS SHARES RVVHX Non-NTF Growth 1.16 None 1 EquityRoyce Funds ROYCE VALUE FD-INSTL CL SH RVFIX Non-NTF Growth 1.04 None 1 EquityRoyce Funds ROYCE VALUE FUND CLASS R RVVRX Non-NTF Growth 1.84 None 1 EquityRoyce Funds ROYCE VALUE FUND K CL RVPKX Non-NTF Growth 1.59 None 1 EquityRoyce Funds ROYCE VALUE PLUS FD CONSULTANT CL SH RVPCX Non-NTF Growth 2.21 1.00 1 EquityRoyce Funds ROYCE VALUE PLUS FD INVESTMENT CL SHARES RVPHX Non-NTF Growth 1.07 None 1 Equity

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Security Class

Royce Funds ROYCE VALUE PLUS FUND CL K RVFKX Non-NTF Growth 1.53 None 1 EquityRoyce Funds ROYCE VALUE PLUS FUND CL R RVPRX Non-NTF Growth 1.84 None 1 EquityRoyce Funds ROYCE VALUE PLUS INSTL CL SH RVPIX Non-NTF Growth 1.04 None 1 EquityRS Investments RS EMERGING GROWTH C L K RSEKX Non-NTF Growth 2.4 None 1 EquityRS Investments RS EMERGING GROWTH CL C REGWX Non-NTF Growth 3.11 1.00 1 EquityRS Investments RS EMERGING GROWTH FUND CL Y RSYEX Non-NTF Growth 1.16 None 1 EquityRS Investments RS EMERGING MARKETS FD CL B REMBX Non-NTF Diversified Emerging Markets 2.31 3.00 1 EquityRS Investments RS EMERGING MARKETS FD CL K REMKX Non-NTF Diversified Emerging Markets 1.94 None 1 EquityRS Investments RS EMERGING MARKETS FUND CL C REMGX Non-NTF Diversified Emerging Markets 2.31 1.00 1 EquityRS Investments RS EMERGING MARKETS FUND CLASS A GBEMX Non-NTF Diversified Emerging Markets 1.58 4.75 1 BondRS Investments RS EMERGING MARKETS FUND CLASS Y RSENX Non-NTF Diversified Emerging Markets -999 None 1 BondRS Investments RS FLOATING RATE FUND CL A RSFLX Non-NTF Corporate Bond - High Yield -999 3.75 1 BondRS Investments RS FLOATING RATE FUND CL C RSFCX Non-NTF Corporate Bond - High Yield -999 1.00 1 BondRS Investments RS FLOATING RATE FUND CL K RSFKX Non-NTF Corporate Bond - High Yield -999 None 1 EquityRS Investments RS FLOATING RATE FUND CL Y RSFYX Non-NTF Corporate Bond - High Yield -999 None 1 EquityRS Investments RS GLOBAL NATL RESOURCES FD CL K RSNKX Non-NTF Specialty - Natural Resources 2.1 None 1 EquityRS Investments RS GLOBAL NATURAL RESOURCES CL A RSNRX Non-NTF Specialty - Natural Resources 1.49 4.75 1 EquityRS Investments RS GLOBAL NATURAL RESOURCES FD CL C RGNCX Non-NTF Specialty - Natural Resources 2.34 1.00 1 EquityRS Investments RS GLOBAL NATURAL RESOURCES FUND CL Y RSNYX Non-NTF Specialty - Natural Resources 1.18 None 1 EquityRS Investments RS GROWTH CL C RGWCX Non-NTF Growth 1.89 1.00 1 EquityRS Investments RS GROWTH FUND CL A RSGRX Non-NTF Growth 1.33 4.75 1 EquityRS Investments RS GROWTH FUND CL K RSGKX Non-NTF Growth 2.08 None 1 BondRS Investments RS GROWTH FUND CL Y RGRYX Non-NTF Growth 1.05 None 1 BondRS Investments RS HIGH YIELD BOND CL A GUHYX Non-NTF Corporate Bond - High Yield 0.85 3.75 1 BondRS Investments RS HIGH YIELD BOND CLASS B RHYBX Non-NTF Corporate Bond - High Yield 1.6 3.00 1 BondRS Investments RS HIGH YIELD BOND FD CL K RHYKX Non-NTF Corporate Bond - High Yield 1.25 None 1 BondRS Investments RS HIGH YIELD BOND FUND CL Y RSYYX Non-NTF Corporate Bond - High Yield -999 None 1 BondRS Investments RS HIGH YIELD MUNICIPAL BOND CL A RSHMX Non-NTF Municipal Bond - National -999 3.75 1 BondRS Investments RS HIGH YIELD MUNICIPAL BOND CL C RSHCX Non-NTF Municipal Bond - National -999 1.00 1 BondRS Investments RS HIGH YIELD MUNICIPAL FUND CL Y RHMYX Non-NTF Municipal Bond - National -999 None 1 EquityRS Investments RS HIGHT YIELD BOND CL C RHYCX Non-NTF Corporate Bond - High Yield 1.6 1.00 1 EquityRS Investments RS INTERNATIONAL GROWTH FD CL Y RSIGX Non-NTF Foreign Stock -999 None 1 EquityRS Investments RS INTERNATIONAL GROWTH FD K RIGKX Non-NTF Foreign Stock 1.85 None 1 EquityRS Investments RS INTERNATIONAL GROWTH FUND CLASS A GUBGX Non-NTF Foreign Stock 1.5 4.75 1 EquityRS Investments RS INTERNATIONAL GROWTH FUND CLASS B GBGBX Non-NTF Foreign Stock 2.35 3.00 1 BondRS Investments RS INTERNATIONAL GROWTH FUND CLASS C RIGCX Non-NTF Foreign Stock 2.23 1.00 1 BondRS Investments RS INVESTMENT QALITY BOND CLASS B RIQBX Non-NTF Corporate Bond - General 1.6 3.00 1 BondRS Investments RS INVESTMENT QUALITY BD FD K RIQKX Non-NTF Corporate Bond - General 1.25 None 1 BondRS Investments RS INVESTMENT QUALITY BOND CL C RIQCX Non-NTF Corporate Bond - General 1.6 1.00 1 BondRS Investments RS INVESTMENT QUALITY BOND CL Y RSQYX Non-NTF Corporate Bond - General -999 None 1 EquityRS Investments RS INVESTMENT QUALITY BOND CLASS A GUIQX Non-NTF Corporate Bond - General 0.85 3.75 1 EquityRS Investments RS INVESTORS CL C RIVCX Non-NTF 1.00 1 EquityRS Investments RS INVESTORS FUND CL A RSINX Non-NTF Growth 1.98 4.75 1 EquityRS Investments RS INVESTORS FUND CL K RSIKX Non-NTF Growth 3.23 None 1 EquityRS Investments RS LARGE CAP ALPHA CL K RCEKX Non-NTF Growth 1.28 None 1 EquityRS Investments RS LARGE CAP ALPHA CLASS A GPAFX Non-NTF Growth 0.93 4.75 1 EquityRS Investments RS LARGE CAP ALPHA CLASS B GUPBX Non-NTF Growth 1.82 3.00 1 EquityRS Investments RS LARGE CAP ALPHA CLASS C RCOCX Non-NTF Growth 1.74 1.00 1 BondRS Investments RS LARGE CAP ALPHA FUND CL Y RCEYX Non-NTF Growth 0.71 None 1 BondRS Investments RS LOW DURATION BOND FUND CL A RLDAX Non-NTF Corporate Bond - High Quality 0.8 2.25 1 BondRS Investments RS LOW DURATION BOND FUND CL B RLDBX Non-NTF Corporate Bond - High Quality 1.55 3.00 1 BondRS Investments RS LOW DURATION BOND FUND CL C RLDCX Non-NTF Corporate Bond - High Quality 1.55 1.00 1 EquityRS Investments RS LOW DURATION BOND FUND CL Y RSDYX Non-NTF Corporate Bond - High Quality -999 None 1 EquityRS Investments RS MID CAP GROWTH CLASS A RSMOX Non-NTF Growth 1.29 4.75 1 EquityRS Investments RS MID CAP OPPORTUN CL C RMOCX Non-NTF Growth 2.02 1.00 1 EquityRS Investments RS MONEY MARKET CL K RMKXX Non-NTF None 1 EquityRS Investments RS MONEY MARKET FUND GCMXX Non-NTF None 0 EquityRS Investments RS PARTNERS CL A RSPFX Non-NTF Small Company 1.49 4.75 1 EquityRS Investments RS PARTNERS FUND CL K RSPKX Non-NTF Small Company 1.83 None 1 Equity

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Security Class

RS Investments RS PARTNERS FUND CL Y RSPYX Non-NTF Small Company 1.28 None 1 EquityRS Investments RS S&P 500 INDEX FUND CLASS A GUSPX Non-NTF Growth 0.49 3.00 1 EquityRS Investments RS S&P 500 INDEX FUND CLASS B RSPBX Non-NTF Growth 1.27 3.00 1 EquityRS Investments RS S&P 500 INDEX FUND CLASS C RSAPX Non-NTF Growth 1.24 1.00 1 EquityRS Investments RS SELECT GROWTH CL A RSDGX Non-NTF Growth 1.68 4.75 1 EquityRS Investments RS SELECT GROWTH CL C RSGFX Non-NTF 1.00 1 EquityRS Investments RS SMALL CAP CORE EQUITY FD CL B GUCBX Non-NTF Small Company 2.3 3.00 1 EquityRS Investments RS SMALL CAP CORE EQUITY FD CL C RSCCX Non-NTF Small Company 2.07 1.00 1 EquityRS Investments RS SMALL CAP CORE EQUITY FUND CL A GPSCX Non-NTF Small Company 1.27 4.75 1 EquityRS Investments RS SMALL CAP CORE EQUITY FUND CL Y RSCYX Non-NTF Small Company 1.02 None 1 BondRS Investments RS SMALL CAP GROWTH CLASS A RSEGX Non-NTF Growth 1.49 4.75 1 BondRS Investments RS STRATEGIC INCOME FUND CL A RSIAX Non-NTF Growth and Income -999 3.75 1 BondRS Investments RS STRATEGIC INCOME FUND CL K RINKX Non-NTF Growth and Income -999 None 1 BondRS Investments RS STRATEGIC INCOME FUND CL Y RSRYX Non-NTF Growth and Income -999 None 1 BondRS Investments RS TAX EXEMPT FUDN CLASS A GUTEX Non-NTF Municipal Bond - National 0.85 3.75 1 BondRS Investments RS TAX EXEMPT FUND CLASS C RETCX Non-NTF Municipal Bond - National 1.6 1.00 1 EquityRS Investments RS TAX-EXEMPT FUND CL Y RSTYX Non-NTF Municipal Bond - National -999 None 1 EquityRS Investments RS TECHNOLOGY CLASS A RSIFX Non-NTF Specialty - Technology 1.68 4.75 1 EquityRS Investments RS TECHNOLOGY CLASS C RINCX Non-NTF Specialty - Technology 2.33 1.00 1 EquityRS Investments RS TECHNOLOGY CLASS K RIFKX Non-NTF Specialty - Technology 2.52 None 1 EquityRS Investments RS TECHNOLOGY CLASS Y RIFYX Non-NTF Specialty - Technology 1.35 None 1 EquityRS Investments RS VALUE FD CL C RVACX Non-NTF Growth 2.13 1.00 1 EquityRS Investments RS VALUE FUND CL A RSVAX Non-NTF Growth 1.4 4.75 1 EquityRS Investments RS VALUE FUND CL K RSVKX Non-NTF Growth 1.81 None 1 EquityRS Investments RS VALUE FUND CL Y RSVYX Non-NTF Growth 1.04 None 1 EquityRydex Funds RYDEX BANKING ADVISOR CLASS RYKAX Non-NTF Specialty - Financial 1.88 None 1 EquityRydex Funds RYDEX BANKING CL C RYKCX Non-NTF Specialty - Financial 2.4 1.00 1 EquityRydex Funds RYDEX BANKING FD CL A RYBKX Non-NTF Specialty - Financial 1.62 4.75 1 EquityRydex Funds RYDEX BASIC MATERIAL FUND CL A RYBMX Non-NTF Specialty - Natural Resources 1.63 4.75 1 EquityRydex Funds RYDEX BASIC MATERIALS ADVISOR CL RYBAX Non-NTF Specialty - Natural Resources 1.88 None 1 EquityRydex Funds RYDEX BASIC MATERIALS CL C RYBCX Non-NTF Specialty - Natural Resources 2.38 1.00 1 EquityRydex Funds RYDEX BIOTECHNOLOGY ADVISOR CLASS RYOAX Non-NTF Specialty - Health 1.88 None 1 EquityRydex Funds RYDEX BIOTECHNOLOGY CL C RYCFX Non-NTF Specialty - Health 2.39 1.00 1 EquityRydex Funds RYDEX BIOTECHNOLOGY FD CL A RYBOX Non-NTF Specialty - Health 1.64 4.75 1 EquityRydex Funds RYDEX COMMODITIES STRATEGY CL A RYMEX Non-NTF Growth 1.2 4.75 1 EquityRydex Funds RYDEX COMMODITIES STRATEGY CL C RYMJX Non-NTF Growth 1.95 1.00 1 EquityRydex Funds RYDEX CONSUMER PRODUCTS ADVISOR CL RYCAX Non-NTF Specialty - Unaligned 1.87 None 1 EquityRydex Funds RYDEX CONSUMER PRODUCTS CL C RYCPX Non-NTF Specialty - Unaligned 2.38 1.00 1 EquityRydex Funds RYDEX CONSUMER PRODUCTS FD CL A RYPDX Non-NTF Specialty - Unaligned 1.63 4.75 1 EquityRydex Funds RYDEX DOW 2X STRATEGY CL A RYLDX Non-NTF Growth 1.74 4.75 1 EquityRydex Funds RYDEX DOW 2X STRATEGY CL C RYCYX Non-NTF Growth 2.49 1.00 1 EquityRydex Funds RYDEX ELECTRONICS ADVISOR CLASS RYSAX Non-NTF Specialty - Technology 1.86 None 1 EquityRydex Funds RYDEX ELECTRONICS CL C RYSCX Non-NTF Specialty - Technology 2.42 1.00 1 EquityRydex Funds RYDEX ELECTRONICS FD CL A RYELX Non-NTF Specialty - Technology 1.6 4.75 1 EquityRydex Funds RYDEX ENERGY ADVISOR CLASS RYEAX Non-NTF Specialty - Natural Resources 1.88 None 1 EquityRydex Funds RYDEX ENERGY CL C RYECX Non-NTF Specialty - Natural Resources 2.38 1.00 1 EquityRydex Funds RYDEX ENERGY FUND CLASS A RYENX Non-NTF Specialty - Natural Resources 1.63 4.75 1 EquityRydex Funds RYDEX ENERGY SERVICES ADVISOR CL RYVAX Non-NTF Specialty - Natural Resources 1.88 None 1 EquityRydex Funds RYDEX ENERGY SERVICES CL C RYVCX Non-NTF Specialty - Natural Resources 2.38 1.00 1 EquityRydex Funds RYDEX ENERGY SERVICES CLASS A RYESX Non-NTF Specialty - Natural Resources 1.63 4.75 1 EquityRydex Funds RYDEX EUROPE 1.25X STRATEGY CL A RYAEX Non-NTF Europe Stock 1.68 4.75 1 EquityRydex Funds RYDEX EUROPE 1.25X STRATEGY CL C RYCEX Non-NTF Europe Stock 2.43 1.00 1 EquityRydex Funds RYDEX FINANCIAL SERV CL A RYFNX Non-NTF Specialty - Financial 1.62 4.75 1 EquityRydex Funds RYDEX FINANCIAL SERVICES ADVISOR CL RYFAX Non-NTF Specialty - Financial 1.88 None 1 BondRydex Funds RYDEX FINANCIAL SERVICES CL C RYFCX Non-NTF Specialty - Financial 2.38 1.00 1 BondRydex Funds RYDEX GOVT LONG BOND 1.2X STRATEGY ADV CL RYADX Non-NTF Government Bond - General 1.48 None 1 BondRydex Funds RYDEX GOVT LONG BOND 1.2X STRATEGY CL A RYABX Non-NTF Government Bond - General 1.23 4.75 1 EquityRydex Funds RYDEX GOVT LONG BOND 1.2X STRATEGY CL C RYCGX Non-NTF Government Bond - General 1.97 1.00 1 EquityRydex Funds RYDEX HEALTH CARE ADVISOR CLASS RYHAX Non-NTF Specialty - Health 1.93 None 1 Equity

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Settlement Days

Security Class

Rydex Funds RYDEX HEALTH CARE CL C RYHCX Non-NTF Specialty - Health 2.38 1.00 1 BondRydex Funds RYDEX HEALTH CARE CLASS A RYHEX Non-NTF Specialty - Health 1.63 4.75 1 EquityRydex Funds RYDEX HIGH YIELD STRATEGY FD CL C RYHHX Non-NTF Corporate Bond - High Yield 2.32 1.00 1 EquityRydex Funds RYDEX HIGH YIELD STRATEGY FUND CL A RYHDX Non-NTF Corporate Bond - High Yield 1.57 4.75 1 EquityRydex Funds RYDEX INTERNET ADVISOR CLASS RYIAX Non-NTF Specialty - Technology 1.87 None 1 EquityRydex Funds RYDEX INTERNET CLASS C RYICX Non-NTF Specialty - Technology 2.38 1.00 1 EquityRydex Funds RYDEX INTERNET FD CLASS A RYINX Non-NTF Specialty - Technology 1.62 4.75 1 EquityRydex Funds RYDEX INVERSE DOW 2X STRATEGY CL A RYIDX Non-NTF Growth 1.75 4.75 1 EquityRydex Funds RYDEX INVERSE DOW 2X STRATEGY CL C RYCZX Non-NTF Growth 2.49 1.00 1 EquityRydex Funds RYDEX INVERSE GOVT LONG BOND STRAT ADV RYJAX Non-NTF Government Bond - Treasury 1.91 None 1 EquityRydex Funds RYDEX INVERSE GOVT LONG BOND STRAT CL A RYAQX Non-NTF Government Bond - Treasury 1.65 4.75 1 EquityRydex Funds RYDEX INVERSE GOVT LONG BOND STRAT CL C RYJCX Non-NTF Government Bond - Treasury 2.41 1.00 1 EquityRydex Funds RYDEX INVERSE HIGH YLD STRATEGY C RYIYX Non-NTF Growth 2.28 1.00 1 EquityRydex Funds RYDEX INVERSE MID CAP STRATEGY CL A RYAGX Non-NTF Growth 1.68 4.75 1 EquityRydex Funds RYDEX INVERSE MID CAP STRATEGY CL C RYCLX Non-NTF Growth 2.43 1.00 1 EquityRydex Funds RYDEX INVERSE NASDAQ 100 2X CL A RYAPX Non-NTF Growth 1.71 4.75 1 EquityRydex Funds RYDEX INVERSE NASDAQ 100 2X STRATEGY CL A RYVTX Non-NTF Growth 1.76 4.75 1 EquityRydex Funds RYDEX INVERSE NASDAQ 100 STRATEGY CL C RYACX Non-NTF Growth 2.47 1.00 1 EquityRydex Funds RYDEX INVERSE NASDQA 100 2X STRATEGY C RYCDX Non-NTF Growth 2.51 1.00 1 EquityRydex Funds RYDEX INVERSE RUSSEL 2000 2X STRAT CL A RYIUX Non-NTF Growth 1.5 4.75 1 EquityRydex Funds RYDEX INVERSE RUSSEL 2000 2X STRAT CL C RYIZX Non-NTF Growth 2.51 1.00 1 EquityRydex Funds RYDEX INVERSE RUSSEL 2000 STRATEGY CL A RYAFX Non-NTF Growth 1.71 4.75 1 EquityRydex Funds RYDEX INVERSE RUSSEL 2000 STRATEGY CL C RYCQX Non-NTF Growth 2.45 1.00 1 EquityRydex Funds RYDEX INVERSE S&P 500 2X STRATEGY CL A RYTMX Non-NTF Growth 1.74 4.75 1 EquityRydex Funds RYDEX INVERSE S&P 500 2X STRATEGY CL C RYCBX Non-NTF Growth 2.49 1.00 1 EquityRydex Funds RYDEX INVERSE S&P 500 STRATEGY ADV CL RYUAX Non-NTF Growth 1.93 None 1 EquityRydex Funds RYDEX INVERSE S&P 500 STRATEGY CL A RYARX Non-NTF Growth 1.68 4.75 1 EquityRydex Funds RYDEX INVERSE S&P 500 STRATEGY CL C RYUCX Non-NTF Growth 2.43 1.00 1 EquityRydex Funds RYDEX INVESRSE HIGH YIELD STRATEGY CL A RYILX Non-NTF Growth 1.52 4.75 1 EquityRydex Funds RYDEX LARGE CAP GROWTH CLASS C RYGRX Non-NTF Growth 2.29 1.00 1 EquityRydex Funds RYDEX LARGE CAP GROWTH FD A RYLGX Non-NTF Growth 1.53 4.75 1 EquityRydex Funds RYDEX LARGE CAP VALUE FD CLASS A RYLVX Non-NTF Growth 1.53 4.75 1 EquityRydex Funds RYDEX LARGE CAP VALUE FUND CL C RYVVX Non-NTF Growth 2.29 1.00 1 EquityRydex Funds RYDEX LEISURE ADVISOR CLASS RYLAX Non-NTF Specialty - Unaligned 1.88 None 1 EquityRydex Funds RYDEX LEISURE CLASS A RYLSX Non-NTF Specialty - Unaligned 1.63 4.75 1 EquityRydex Funds RYDEX LEISURE CLASS C RYLCX Non-NTF Specialty - Unaligned 2.38 1.00 1 EquityRydex Funds RYDEX LONG/SHORT COM STRATEGIES CLASS A RYLBX Non-NTF Growth -999 4.75 1 EquityRydex Funds RYDEX LONG/SHORT COMMODITIES STRAT C RYLEX Non-NTF Growth -999 1.00 1 EquityRydex Funds RYDEX MID CAP 1.5X STRATEGY CL A RYAHX Non-NTF Growth 1.68 4.75 1 EquityRydex Funds RYDEX MID CAP 1.5X STRATEGY CL C RYDCX Non-NTF Growth 2.43 1.00 1 EquityRydex Funds RYDEX MID CAP GROWTH CLASS C RYCKX Non-NTF Growth 2.32 1.00 1 EquityRydex Funds RYDEX MID CAP GROWTH FUND CLASS A RYMGX Non-NTF Growth 1.58 4.75 1 EquityRydex Funds RYDEX MID CAP VALUE CLASS C RYMMX Non-NTF Growth 2.29 1.00 1 EquityRydex Funds RYDEX MID CAP VALUE FD CL A RYMVX Non-NTF Growth 1.54 4.75 1 EquityRydex Funds RYDEX NASDAQ 100 2X STRATEGY CL A RYVLX Non-NTF Growth 1.76 4.75 1 EquityRydex Funds RYDEX NASDAQ 100 CLASS A RYATX Non-NTF Growth 1.55 4.75 1 EquityRydex Funds RYDEX NASDAQ 100 STRATEGY ADV CL RYAAX Non-NTF Growth 1.97 None 1 EquityRydex Funds RYDEX NASDQA 100 2X STRATEGY CL C RYCCX Non-NTF Growth 2.52 1.00 1 EquityRydex Funds RYDEX NASDQA 100 ADVISOR CLASS RYAOX Non-NTF Growth 1.79 None 1 EquityRydex Funds RYDEX NASDQA 100 CLASS C RYCOX Non-NTF Growth 2.3 1.00 1 EquityRydex Funds RYDEX NOVA ADVISOR CLASS RYNAX Non-NTF Aggressive Growth 1.79 None 1 EquityRydex Funds RYDEX NOVA CLASS C RYNCX Non-NTF Aggressive Growth 2.29 1.00 1 EquityRydex Funds RYDEX NOVA FUND CL A RYANX Non-NTF Aggressive Growth 1.54 4.75 1 EquityRydex Funds RYDEX PRECIOUS METAL FUND ADVISOR CLASS RYMPX Non-NTF Specialty - Precious Metals 1.77 None 1 EquityRydex Funds RYDEX PRECIOUS METALS CLASS A RYMNX Non-NTF Specialty - Precious Metals 1.53 4.75 1 EquityRydex Funds RYDEX PRECIOUS METALS CLASS C RYZCX Non-NTF Specialty - Precious Metals 2.27 1.00 1 EquityRydex Funds RYDEX REAL ESTATE CLASS C RYCRX Non-NTF Growth 2.42 1.00 1 EquityRydex Funds RYDEX REAL ESTATE FD CL A RYREX Non-NTF Growth 1.68 4.75 1 EquityRydex Funds RYDEX RETAILING ADVISOR CLASS RYRAX Non-NTF Specialty - Unaligned 1.88 None 1 Equity

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Settlement Days

Security Class

Rydex Funds RYDEX RETAILING CLASS C RYRCX Non-NTF Specialty - Unaligned 2.38 1.00 1 EquityRydex Funds RYDEX RUSSELL 2000 1.5X STRATEGY CL A RYAKX Non-NTF Growth 1.7 4.75 1 EquityRydex Funds RYDEX RUSSELL 2000 1.5X STRATEGY CL C RYCMX Non-NTF Growth 2.45 1.00 1 EquityRydex Funds RYDEX RUSSELL 2000 2X STRATEGY CL A RYRUX Non-NTF Growth 1.75 4.75 1 EquityRydex Funds RYDEX RUSSELL 2000 2X STRATEGY CL C RYRLX Non-NTF Growth 2.5 1.00 1 EquityRydex Funds RYDEX RUSSELL 2000 F D CL A RYRRX Non-NTF Growth 1.56 4.75 1 EquityRydex Funds RYDEX RUSSELL 2000 FD C RYROX Non-NTF Growth 2.29 1.00 1 EquityRydex Funds RYDEX S&P 500 2X STRATEGY CL A RYTTX Non-NTF Growth 1.73 4.75 1 EquityRydex Funds RYDEX S&P 500 2X STRATEGY CL C RYCTX Non-NTF Growth 2.48 1.00 1 EquityRydex Funds RYDEX S&P 500 CLASS A RYSOX Non-NTF Growth 1.52 4.75 1 EquityRydex Funds RYDEX S&P 500 FD CL C RYSYX Non-NTF Growth 2.28 1.00 1 EquityRydex Funds RYDEX SGI ALL ASSET AGGRESIVE STRAT CL A RYGGX Non-NTF Growth 0.02 4.75 1 EquityRydex Funds RYDEX SGI ALL ASSET CONV STRATEGY B RYEOX Non-NTF Growth 0 4.75 1 EquityRydex Funds RYDEX SGI ALL ASSET MODERATE FD C RYMYX Non-NTF Growth 0.75 1.00 1 EquityRydex Funds RYDEX SGI ALL ASSET MODERATE STRATEGY A RYMOX Non-NTF Growth 0 4.75 1 EquityRydex Funds RYDEX SGI ALL CAP OPPT FUND CLASS A RYAMX Non-NTF Specialty - Unaligned 1.69 4.75 1 EquityRydex Funds RYDEX SGI ALL CAP OPPT FUND CLASS C RYISX Non-NTF Specialty - Unaligned 2.44 1.00 1 EquityRydex Funds RYDEX SGI ALTERNATIV STRATEGIES ALLOC A RYFDX Non-NTF Growth and Income 0 4.75 1 EquityRydex Funds RYDEX SGI ALTERNATIV STRATEGIES ALLOC C RYFFX Non-NTF Growth and Income 0.75 1.00 1 EquityRydex Funds RYDEX SGI GLOBAL 130/30 STRATEGY A RYASX Non-NTF Growth 1.12 4.75 1 EquityRydex Funds RYDEX SGI GLOBAL 130/30 STRATEGY CL C RYQCX Non-NTF Growth 1.86 1.00 1 EquityRydex Funds RYDEX SGI GLOBAL MARKET NEUTRAL CL A RYGAX Non-NTF Income 2 4.75 3 EquityRydex Funds RYDEX SGI GLOBAL MARKET NEUTRAL H RYGNX Non-NTF Income 2 None 1 EquityRydex Funds RYDEX SGI INTL OPPT CL C RYFWX Non-NTF Multi-Asset Global 2.43 1.00 1 EquityRydex Funds RYDEX SGI INTL OPPT FUND CL A RYFRX Non-NTF Multi-Asset Global 1.68 4.75 1 EquityRydex Funds RYDEX SGI MANAGED FUTURES STRAT CL A RYMTX Non-NTF Growth 1.75 4.75 1 EquityRydex Funds RYDEX SGI MANAGED FUTURES STRAT CL C RYMZX Non-NTF Growth 2.49 1.00 1 EquityRydex Funds RYDEX SGI MULTI HEDGE STRATEGIES A RYMQX Non-NTF Growth 1.4 4.75 1 EquityRydex Funds RYDEX SGI MULTI HEGDE STRATEGIES C RYMRX Non-NTF Growth 2.15 1.00 1 EquityRydex Funds RYDEX SMALL CAP GROWTH CLASS A RYSGX Non-NTF Growth 1.54 4.75 1 EquityRydex Funds RYDEX SMALL CAP GROWTH CLASS C RYWCX Non-NTF Growth 2.29 1.00 1 EquityRydex Funds RYDEX SMALL CAP VALU FD CLASS A RYSVX Non-NTF Growth 1.54 4.75 1 EquityRydex Funds RYDEX SMALL CAP VALUE CLASS C RYYCX Non-NTF Growth 2.32 1.00 1 EquityRydex Funds RYDEX STRENGTHENING DOLLAR 2X STRAT CL A RYSDX Non-NTF Growth 1.69 4.75 1 EquityRydex Funds RYDEX STRENGTHENING DOLLAR 2X STRAT CL C RYSJX Non-NTF Growth 2.44 1.00 1 EquityRydex Funds RYDEX TECH FD CLASS A RYTHX Non-NTF Specialty - Technology 1.63 4.75 1 EquityRydex Funds RYDEX TECHNOLOGY ADVISOR CLASS RYTAX Non-NTF Specialty - Technology 1.87 None 1 EquityRydex Funds RYDEX TECHNOLOGY CLASS C RYCHX Non-NTF Specialty - Technology 2.38 1.00 1 EquityRydex Funds RYDEX TELECOMM ADVISOR CLASS RYMAX Non-NTF Specialty - Communications 1.81 None 1 EquityRydex Funds RYDEX TELECOMM FUND CL A RYTLX Non-NTF Specialty - Communications 1.63 4.75 1 EquityRydex Funds RYDEX TELECOMUNICATN CLASS C RYCSX Non-NTF Specialty - Communications 2.42 1.00 1 EquityRydex Funds RYDEX TRANSPORTATION ADVISOR CLASS RYPAX Non-NTF Specialty - Unaligned 1.9 None 1 EquityRydex Funds RYDEX US GOVT CORE MONEY MARKET QFAKQ Non-NTF None 0 EquityRydex Funds RYDEX UTILITIES ADVISOR CLASS RYAUX Non-NTF Specialty - Utility 1.9 None 1 EquityRydex Funds RYDEX UTILITIES CL A RYUTX Non-NTF Specialty - Utility 1.64 4.75 1 EquityRydex Funds RYDEX UTILITIES CLASS C RYCUX Non-NTF Specialty - Utility 2.39 1.00 1 EquityRydex Funds RYDEX WEAKENING DOLLAR 2X STRAT CL A RYWDX Non-NTF Growth 1.69 4.75 1 EquityRydex Funds RYDEX WEAKENING DOLLAR 2X STRAT CL C RYWJX Non-NTF Growth 2.45 1.00 1 EquityRydex Funds RYDEX/SGI ALL ASSET AGRESSIVE STRATEGY C RYGEX Non-NTF Growth 0.77 1.00 1 EquityRydex Funds RYDEX/SGI ALL ASSET CONSERV STRATEGY C RYEEX Non-NTF Growth 0.75 1.00 1 BondSA Funds SA EMERGING MARKETS FUND CL I SAEMX Non-NTF Growth 1.45 None 1 EquitySA Funds SA GLOBAL FIXED INCOME SAXIX Non-NTF Income 0.85 None 1 EquitySA Funds SA INTERNATIONAL SMALL COMPANY FUND SAISX Non-NTF Foreign Stock 1.1 None 1 EquitySA Funds SA INTERNATIONAL VALUE SAHMX Non-NTF Foreign Stock 1.35 None 1 BondSA Funds SA REAL ESTATE SEC FUND CL I SAREX Non-NTF Growth 1 None 1 EquitySA Funds SA US FIXED INCOME FUND CL I SAUFX Non-NTF Growth 0.65 None 1 EquitySA Funds SA US MARKET FUND SAMKX Non-NTF Growth 1 None 1 EquitySA Funds SA US SMALL COMPANY FUND SAUMX Non-NTF Growth 1.2 None 1 BondSanford Bernstein Funds BERNSTEIN TAX MANAGE INTL PORT TAX MANAGE SNIVX Non-NTF Foreign Stock 1.15 None 3 Equity

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Security Class

Santa Barbara Group PFW WATER CL A PFWAX Non-NTF Growth 1.5 5.75 1 EquitySanta Barbara Group PFW WATER CL C PFWCX Non-NTF Growth 2.25 1.00 1 EquitySanta Barbara Group SANTA BARBARA MONTECITO CLASS A MONAX Non-NTF Growth 1.19 5.75 1 EquitySaratoga Advantage Trust SARATOGA ADV TR ENER & BASIC MAT PORT CL SEPCX Non-NTF 1.00 1 EquitySaratoga Advantage Trust SARATOGA ENERGY & BASIC MATERIAL CL A SBMBX Non-NTF Specialty - Natural Resources 3.17 5.75 1 EquitySaratoga Advantage Trust SARATOGA ENERGY & BASIC MATERIAL CL I SEPIX Non-NTF Specialty - Natural Resources 2.83 None 1 EquitySaratoga Advantage Trust SARATOGA FINANCIAL SERVICES CL I SFPIX Non-NTF Specialty - Financial 2.8 None 1 EquitySaratoga Advantage Trust SARATOGA FINANCIAL SVCS PORT CL A SFPAX Non-NTF Specialty - Financial 3.16 5.75 1 EquitySaratoga Advantage Trust SARATOGA FINANCIAL SVCS PORT CL C SFPCX Non-NTF Specialty - Financial 3.77 1.00 1 EquitySaratoga Advantage Trust SARATOGA HEALTH & BIO TECH CL I SBHIX Non-NTF Specialty - Health 2.56 None 1 EquitySaratoga Advantage Trust SARATOGA HEALTH & BIOTECH PORT CL A SHPAX Non-NTF Specialty - Health 2.95 5.75 1 EquitySaratoga Advantage Trust SARATOGA HEALTH & BIOTECH PORT CL C SHPCX Non-NTF 1.00 1 EquitySaratoga Advantage Trust SARATOGA INTERNATL EQUITY CLASS C SIECX Non-NTF Foreign Stock 3.05 1.00 1 BondSaratoga Advantage Trust SARATOGA INTERNATL EQUITY CLASS I SIEPX Non-NTF Foreign Stock 2.04 None 1 EquitySaratoga Advantage Trust SARATOGA INVESTMENT QUALITY BOND CLASS I SIBPX Non-NTF Corporate Bond - High Quality 1.69 None 1 EquitySaratoga Advantage Trust SARATOGA LARGE CAP GROWTH CLASS C SLGCX Non-NTF Growth 2.92 1.00 1 EquitySaratoga Advantage Trust SARATOGA LARGE CAP GROWTH CLASS I SLCGX Non-NTF Growth 1.91 None 1 EquitySaratoga Advantage Trust SARATOGA LARGE CAP VALUE CLASS C SLVCX Non-NTF Growth and Income 3.01 1.00 1 EquitySaratoga Advantage Trust SARATOGA LARGE CAP VALUE CLASS I SLCVX Non-NTF Growth and Income 2 None 1 EquitySaratoga Advantage Trust SARATOGA MID CAP PORT CL A SPMAX Non-NTF Growth 2.76 5.75 1 EquitySaratoga Advantage Trust SARATOGA MID CAP PORT CL C SPMCX Non-NTF Growth 3.34 1.00 1 BondSaratoga Advantage Trust SARATOGA MID CAP PORTFOLIO CL I SMIPX Non-NTF Growth 2.35 None 1 EquitySaratoga Advantage Trust SARATOGA MUNICIPAL BOND CLASS I SMBPX Non-NTF Municipal Bond - National 1.78 None 1 EquitySaratoga Advantage Trust SARATOGA SMALL CAP CLASS C SSCCX Non-NTF Small Company 3.26 1.00 1 EquitySaratoga Advantage Trust SARATOGA SMALL CAP CLASS I SSCPX Non-NTF Small Company 2.24 None 1 EquitySaratoga Advantage Trust SARATOGA TECH & COMMUNICATIONS CL I STPIX Non-NTF Specialty - Technology 2.83 None 1 EquitySaratoga Advantage Trust SARATOGA TECHNOLOGY & COMMUNICATN CL A STPAX Non-NTF Specialty - Technology 3.22 5.75 1 EquitySaratoga Advantage Trust SARATOGA TECHNOLOGY & COMMUNICATN CL C STPCX Non-NTF Specialty - Technology 3.82 1.00 1 EquitySatuit Capital Funds SATUIT CAPITAL MICRO CAP SATMX Non-NTF Small Company 1.95 None 1 EquitySchneider Funds SCHNEIDER SMALL CAP VALUE FUND SCMVX Non-NTF Small Company 1.14 None 1 EquitySchooner Funds SCHOONER GROWTH AND INCOME CLASS A SCNAX Non-NTF Growth 2 4.75 3 EquitySchooner Funds SCHOONER GROWTH AND INCOME CLASS C SCNCX Non-NTF Growth 2.75 1.00 3 EquitySchroder Funds SCHRODER EMERGING MRK EQ INV CL SEMNX Non-NTF Diversified Emerging Markets 1.25 None 1 EquitySchroder Funds SCHRODER INTL DIVSFD VALUE FD CL INV SIDNX Non-NTF Foreign Stock 1.15 None 1 EquitySchroder Funds SCHRODER MULT-ASSET GROWTH PORT INVESTOR SALIX Non-NTF Growth 1.25 None 1 EquitySchroder Funds SCHRODER MULTI - ASSET GRWT PORT R SALRX Non-NTF Growth 1.75 None 1 BondSchroder Funds SCHRODER MULTI - ASSET GRWTH PORT A SALAX Non-NTF Growth 1.5 4.50 1 EquitySchroder Funds SCHRODER TOTAL RET FIXED INCOME INV SHS SBBIX Non-NTF Government Bond - Mortgage 0.4 None 1 EquitySchroder Funds SCHRODER US OPPORTUNITIES INV CL SCUIX Non-NTF Small Company 1.4 None 1 EquitySchroder Funds SCHRODER US SMALL & MID CAP OPP FD SMDIX Non-NTF Growth 1.05 None 1 EquitySchwab Funds LAUDUS INTERNATIONAL MARKETMASTERS INV CL SWOIX Non-NTF Foreign Stock 1.62 None 1 EquitySchwab Funds LAUDUS INTL MARKET MASTERS FUND SEL SHR SWMIX Non-NTF Foreign Stock 1.47 None 1 EquitySchwab Funds LAUDUS SMALL CAP MARKETMASTER SELECT SWMSX Non-NTF Small Company 1.33 None 1 EquitySchwab Funds LAUDUS SMALL CAP MARKETMASTERS INV CL SWOSX Non-NTF Small Company 1.48 None 1 BondSchwab Funds SCHWAB 1000 INDEX INVESTORS SHARES SNXFX Non-NTF Growth and Income 0.38 None 1 BondSchwab Funds SCHWAB CA TAX FREE YIELD PLUS FD SWYCX Non-NTF Municipal Bond - Single State 0.49 None 1 EquitySchwab Funds SCHWAB CA TAX-FREE BOND FUND SWCAX Non-NTF Municipal Bond - Single State 0.49 None 1 EquitySchwab Funds SCHWAB CORE EQUITY SWANX Non-NTF Growth 0.75 None 1 EquitySchwab Funds SCHWAB DIVIDEND EQUITY SELECT SHARES SWDSX Non-NTF Growth and Income 0.9 None 1 EquitySchwab Funds SCHWAB FINANCIAL SERVICES FUND SWFFX Non-NTF Specialty - Financial 0.96 None 1 EquitySchwab Funds SCHWAB FUNDAMENTAL EMG MKTS INDEX INSTL SFENX Non-NTF Diversified Emerging Markets 0.6 None 1 EquitySchwab Funds SCHWAB FUNDAMENTAL INTL SM-MID CO INSTL SFILX Non-NTF Foreign Stock 0.55 None 1 EquitySchwab Funds SCHWAB FUNDAMENTAL NTERNAT LARGE CAP I SFNNX Non-NTF Growth and Income 0.35 None 1 EquitySchwab Funds SCHWAB FUNDAMENTAL U S LARGE CO INDEX INS SFLNX Non-NTF Growth and Income 0.35 None 1 EquitySchwab Funds SCHWAB FUNDAMENTAL U S SMALL-MID CO INDX SFSNX Non-NTF Growth and Income 0.35 None 1 BondSchwab Funds SCHWAB GLOBAL REAL ESTATE FD SELECT SHR SWASX Non-NTF Specialty - Real Estate 1.05 None 1 EquitySchwab Funds SCHWAB GNMA FUND - SELECT SWGSX Non-NTF Government Bond - Mortgage 0.55 None 1 EquitySchwab Funds SCHWAB HEALTH CARE FUND SWHFX Non-NTF Specialty - Health 0.83 None 1 EquitySchwab Funds SCHWAB HEDGED EQUITY SELECT SHARES SWHEX Non-NTF Growth 1.62 None 1 Equity

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Security Class

Schwab Funds SCHWAB INFLATION PROTECTED - SELECT SWRSX Non-NTF Income 0.5 None 1 EquitySchwab Funds SCHWAB INTERNATIONAL CORE EQUITY - INSTL SICNX Non-NTF Growth 0.86 None 1 EquitySchwab Funds SCHWAB INTERNATIONAL INDEX SEL SHRS SWISX Non-NTF Foreign Stock 0.32 None 1 EquitySchwab Funds SCHWAB LARGE CAP GROWTH FUND SELECT SWLSX Non-NTF Growth 0.99 None 1 EquitySchwab Funds SCHWAB MARKETTRACK ALL EQUITY SWEGX Non-NTF Growth 0.5 None 1 EquitySchwab Funds SCHWAB MARKETTRACK BALANCE SWBGX Non-NTF Asset Allocation 0.5 None 1 EquitySchwab Funds SCHWAB MARKETTRACK CONSERVATIVE SWCGX Non-NTF Asset Allocation 0.5 None 1 BondSchwab Funds SCHWAB MARKETTRACK GROWTH SWHGX Non-NTF Asset Allocation 0.5 None 1 BondSchwab Funds SCHWAB MONTHLY INC ENHANCED PAYOUT INVS SWKRX Non-NTF Growth and Income 0 None 1 BondSchwab Funds SCHWAB MONTHLY INC MODERATE PAYOUT INVS SWJRX Non-NTF Growth and Income 0 None 1 EquitySchwab Funds SCHWAB MONTHLYL INC MAXIMUM PAYOUT INVST SWLRX Non-NTF Growth and Income 0 None 1 EquitySchwab Funds SCHWAB PREMIER EQUITY FD SEL SHRS SWPSX Non-NTF Growth 1.04 None 1 EquitySchwab Funds SCHWAB PREMIER INCOME FD - INSTL SWIIX Non-NTF Growth and Income 0.63 None 1 BondSchwab Funds SCHWAB S & P 500 INDEX FD-SELECT SHS SWPPX Non-NTF Growth and Income 0.13 None 1 EquitySchwab Funds SCHWAB SHORT-TERM BOND MARKET SWBDX Non-NTF Corporate Bond - General 0.55 None 1 EquitySchwab Funds SCHWAB SMALL CAP EQ FD SELECT CL SH SWSCX Non-NTF Small Company 1.12 None 1 EquitySchwab Funds SCHWAB SMALL CAP INDEX FD-SELECT SHS SWSSX Non-NTF Small Company 0.28 None 1 EquitySchwab Funds SCHWAB TARGET 2010 FUND SWBRX Non-NTF Growth and Income 0.03 None 1 EquitySchwab Funds SCHWAB TARGET 2015 FUND INVESTOR SWGRX Non-NTF Growth and Income 0.02 None 1 EquitySchwab Funds SCHWAB TARGET 2020 FD SWCRX Non-NTF Growth and Income 0.02 None 1 EquitySchwab Funds SCHWAB TARGET 2025 FUND INVESTOR SWHRX Non-NTF Growth and Income 0.01 None 1 EquitySchwab Funds SCHWAB TARGET 2030 FUND SWDRX Non-NTF Growth and Income 0.01 None 1 EquitySchwab Funds SCHWAB TARGET 2035 FUND INVESTOR SWIRX Non-NTF Growth and Income 0.01 None 1 BondSchwab Funds SCHWAB TARGET 2040 FUND SWERX Non-NTF Growth and Income 0 None 1 BondSchwab Funds SCHWAB TAX FREE YIELD PLUS FD SWYTX Non-NTF Municipal Bond - National 0.49 None 1 BondSchwab Funds SCHWAB TAX-FREE BOND FUND SWNTX Non-NTF Municipal Bond - National 0.49 None 1 EquitySchwab Funds SCHWAB TOTAL BOND MARKET FUND SWLBX Non-NTF Corporate Bond - General 0.55 None 1 EquitySchwab Funds SCHWAB TOTAL STOCK MKT INDEX FD-SEL SHS SWTSX Non-NTF Growth and Income 0.21 None 1 BondSchwab Funds SCHWAB VIEWPOINTS FUND INVESTOR CLASS SWOBX Non-NTF Asset Allocation 0 None 1 EquitySchwartz Funds AVE MARIA BOND CL R AVEFX Non-NTF Multisector Bond 0.66 None 1 EquitySecurity Funds RYDEX /SGI HIGH YIELD FD INSTL SHYIX Non-NTF Corporate Bond - High Yield 0.85 None 3 EquitySecurity Funds RYDEX SGI LARGE CAP COCENTRATED GRWTH C SSSCX Non-NTF Growth 2.1 1.00 3 EquitySecurity Funds RYDEX SGI LARGE CAP CONCENTRATED GRWTH A SEFAX Non-NTF Growth 1.35 5.75 3 EquitySecurity Funds RYDEX SGI LARGE CAP CORE FUND CL A SECEX Non-NTF Growth 1.49 5.75 3 EquitySecurity Funds RYDEX SGI LARGE CAP CORE FUND CL C SFECX Non-NTF Growth 2.24 1.00 3 EquitySecurity Funds RYDEX/SGI ALL CAP VALUE FD CL A SESAX Non-NTF Growth 1.35 5.75 3 EquitySecurity Funds RYDEX/SGI GLOBAL CLASS A SEQAX Non-NTF World Stock 1.89 5.75 3 EquitySecurity Funds RYDEX/SGI GLOBAL CLASS C SFGCX Non-NTF World Stock 2.65 1.00 3 EquitySecurity Funds RYDEX/SGI LARGE CAP VALUE CLASS A SECIX Non-NTF Growth 1.25 5.75 3 EquitySecurity Funds RYDEX/SGI LARGE CAP VALUE CLASS C SEGIX Non-NTF Growth 2 1.00 3 EquitySecurity Funds RYDEX/SGI MID CAP GROWTH CLASS A SECUX Non-NTF Aggressive Growth 1.78 5.75 3 EquitySecurity Funds RYDEX/SGI MID CAP GROWTH CLASS C SUFCX Non-NTF Aggressive Growth 2.54 1.00 3 EquitySecurity Funds RYDEX/SGI MID CAP VAL INSTL FD SVUIX Non-NTF Growth 0.91 None 1 EquitySecurity Funds RYDEX/SGI MID CAP VALUE CLASS A SEVAX Non-NTF Growth 1.48 5.75 1 EquitySecurity Funds RYDEX/SGI MID CAP VALUE CLASS C SEVSX Non-NTF Growth 2.22 1.00 3 EquitySecurity Funds RYDEX/SGI SMALL CAP GROWTH CLASS A SSCAX Non-NTF Growth 2.6 5.75 3 EquitySecurity Funds RYDEX/SGI SMALL CAP GROWTH CLASS C SESCX Non-NTF Growth 3.32 1.00 3 EquitySecurity Funds RYDEX/SGI SMALL CAP VALUE FD CLASS A SSUAX Non-NTF Growth 1.55 5.75 3 BondSecurity Funds RYDEX/SGI SMALL CAP VALUE FUND CL C SSVCX Non-NTF Growth 2.3 1.00 3 BondSecurity Funds SECURITY DIVERSIFIED INCOME CLASS A SIUSX Non-NTF Multisector Bond 0.95 4.75 3 BondSecurity Funds SECURITY DIVERSIFIED INCOME CLASS C SDICX Non-NTF Multisector Bond 1.7 1.00 3 BondSecurity Funds SECURITY HIGH YIELD CLASS C SIHSX Non-NTF Corporate Bond - High Yield 1.87 1.00 3 EquitySEI Funds SEI EMERGING MARKET DEBT SITEX Non-NTF Worldwide Bond 1.37 None 1 BondSEI Funds SEI HIGH YIELD BOND SHYAX Non-NTF Corporate Bond - High Yield 0.89 None 1 EquitySEI Funds SEI INSTL GL MANAGED VOLATILITY FD CL A SVTAX Non-NTF Growth 1.13 None 3 EquitySEI Funds SEI INSTL MANAGED TR ENHANCED INCOME CL A ENIAX Non-NTF None 3 EquitySEI Funds SEI INSTL MANAGED TRUST REAL ESTATE A SETAX Non-NTF Growth and Income 1.14 None 3 EquitySEI Funds SEI INSTL SMALL/MID CAP EQUITY CL A SSMAX Non-NTF None 3 EquitySEI Funds SEI INSTL TR WRLD EQUITY EX-US CL A WEUSX Non-NTF None 3 Bond

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Security Class

SEI Funds SEI INTERMEDIATE TERM MUNICIPAL BOND SEIMX Non-NTF Municipal Bond - National 0.63 None 1 EquitySEI Funds SEI INTERNATIONAL FIXED INCOME SEFIX Non-NTF Worldwide Bond 1.02 None 1 EquitySEI Funds SEI LAR-CAP DIVERSIFIED ALPHA A SCDAX Non-NTF None 3 EquitySEI Funds SEI LARGE CAP DISCIPLINED EQ A SCPAX Non-NTF None 3 EquitySEI Funds SEI LARGE CAP VALUE TRMVX Non-NTF Growth and Income 0.9 None 1 BondSEI Funds SEI LIQUID ASSET TR PRIME OBLIG PRT CL A TPRXX Non-NTF None 3 EquitySEI Funds SEI PENN MUNICIPAL BOND SEIPX Non-NTF Municipal Bond - Single State 0.48 None 1 EquitySEI Funds SEI S & P 500 INDEX CL E TRQIX Non-NTF Growth and Income 0.25 None 1 EquitySEI Funds SEI S& P 500 INDEX FUND CL A SSPIX Non-NTF Growth and Income 0.43 None 1 BondSEI Funds SEI SHORT DURATION GOVERNMENT BOND TCSGX Non-NTF Government Bond - General 0.48 None 1 EquitySEI Funds SEI US MANAGED VOLATILITY CL A SVOAX Non-NTF Growth 1 None 1 EquitySelected Funds SELECTED AMERICAN SHARES CL D SLADX Non-NTF Growth and Income 0.59 None 1 EquitySelected Funds SELECTED SPECIAL SHARES CL D SLSDX Non-NTF Asset Allocation 0.86 None 1 EquitySentinel Funds SENTINEL BALANCED CLASS A SEBLX Non-NTF Balanced 1.2 5.00 3 EquitySentinel Funds SENTINEL BALANCED CLASS C SBACX Non-NTF Balanced 2.15 1.00 3 EquitySentinel Funds SENTINEL CAPITAL GROWTH FD C SECGX Non-NTF Growth 2.79 1.00 3 BondSentinel Funds SENTINEL CAPTIAL GROWTH FUND CL A BRGRX Non-NTF Growth 1.45 5.00 3 EquitySentinel Funds SENTINEL COMMON STOCK CL I SICWX Non-NTF Growth and Income 0.82 None 3 EquitySentinel Funds SENTINEL COMMON STOCK CLASS A SENCX Non-NTF Growth and Income 1.24 5.00 3 EquitySentinel Funds SENTINEL COMMON STOCK CLASS C SCSCX Non-NTF Growth and Income 2.25 1.00 3 EquitySentinel Funds SENTINEL CONSERV ALLOCATION FD CL A SECMX Non-NTF Income 1.16 5.00 3 BondSentinel Funds SENTINEL CONSERVATIV ALLOCATION CL C SMKCX Non-NTF Income 2.02 1.00 3 BondSentinel Funds SENTINEL GOVERNMENT SECS CLASS A SEGSX Non-NTF Government Bond - General 0.91 4.00 3 BondSentinel Funds SENTINEL GOVERNMENT SECURITIES CL I SIBWX Non-NTF Government Bond - General 0.63 None 1 EquitySentinel Funds SENTINEL GOVNT SECURITIES CL C SCGGX Non-NTF Government Bond - General 1.71 1.00 3 EquitySentinel Funds SENTINEL GROWTH LEADERS FD C SGLFX Non-NTF Growth 2.83 1.00 3 EquitySentinel Funds SENTINEL GROWTH LEADERS FD CL A BRFOX Non-NTF Growth 1.59 5.00 3 EquitySentinel Funds SENTINEL INTL EQUITY CLASS A SWRLX Non-NTF Foreign Stock 1.6 5.00 3 EquitySentinel Funds SENTINEL INTL EQUITY CLASS C SWFCX Non-NTF Foreign Stock 3.1 1.00 3 EquitySentinel Funds SENTINEL INTL EQUITY FD CL I SIIEX Non-NTF Foreign Stock 1.34 None 3 EquitySentinel Funds SENTINEL MID CAP GROWTH CLASS A SNTNX Non-NTF Growth 1.67 5.00 3 EquitySentinel Funds SENTINEL MID CAP GROWTH CLASS C SMGCX Non-NTF Growth 3.36 1.00 3 EquitySentinel Funds SENTINEL MID CAP VALUE CL A SYVAX Non-NTF Growth and Income 1.68 5.00 3 EquitySentinel Funds SENTINEL MID CAP VALUE CL C SYVCX Non-NTF Growth and Income 2.32 1.00 3 BondSentinel Funds SENTINEL MID CAP VALUE INSTL SYVIX Non-NTF Growth and Income 0.92 None 1 BondSentinel Funds SENTINEL SHORT MATUR GOVT FD CL S SSSGX Non-NTF Government Bond - General 1.34 None 3 EquitySentinel Funds SENTINEL SHORT MATURITY GOV'T CL A SSIGX Non-NTF Government Bond - General 0.93 1.00 3 BondSentinel Funds SENTINEL SMALL COMPANY CL A SAGWX Non-NTF Small Company 1.28 5.00 3 EquitySentinel Funds SENTINEL SMALL COMPANY CL I SIGWX Non-NTF Small Company 0.76 None 3 EquitySentinel Funds SENTINEL SMALL COMPANY CLASS C SSCOX Non-NTF Small Company 2.12 1.00 3 BondSentinel Funds SENTINEL SUSTAINABLE CORE OPPS CLASS A MYPVX Non-NTF Growth 1.47 5.00 3 EquitySentinel Funds SENTINEL SUSTAINABLE CORE OPPS CLASS I CVALX Non-NTF Growth 0.86 None 1 BondSentinel Funds SENTINEL SUSTAINABLE GROWTH OPPT CLASS A WAEGX Non-NTF Growth 1.61 5.00 3 EquitySentinel Funds SENTINEL SUSTAINABLE GROWTH OPPT CLASS I CEGIX Non-NTF Growth 2.85 None 1 EquitySierra Core Funds SIERRA CORE RETIREMENT CLASS R SIRRX Non-NTF Balanced 1.48 None 1 EquitySierra Core Funds SIERRA CORE RETIREMENT FD CL C SIRCX Non-NTF None 1 EquitySierra Core Funds SIERRA CORE RETIRMENT CLASS A SIRAX Non-NTF Balanced 1.7 5.75 1 BondSIT Group SIT DIVIDEND GROWTH FUND CL I SDVGX Non-NTF Growth and Income 1 None 1 EquitySIT Group SIT HIGH INCOME MUNICIPAL BOND FUND SHMIX Non-NTF Municipal Bond - National 0.85 None 1 EquitySmartgrowth Funds SMARTGROWTH ETF LIPP OPT CONS INDEX CL A LPCAX Non-NTF Growth 1.5 4.75 3 EquitySmartgrowth Funds SMARTGROWTH ETF LIPP OPT GROWTH IND CL A LPGAX Non-NTF Growth 1.5 4.75 3 EquitySmartgrowth Funds SMARTGROWTH ETF LIPP OPT MOD INDEX CL A LPMAX Non-NTF Growth 1.5 4.75 3 EquitySnow Capital Funds SNOW CAPITAL EQUITY OPPORTUNITIES CL A SNOAX Non-NTF Growth 1.58 5.25 3 EquitySnow Capital Funds SNOW CAPITAL EQUITY OPPORTUNITIES CL C SNOCX Non-NTF Growth 2.33 1.00 3 EquitySnow Capital Funds SNOW CAPITAL EQUITY OPPORTUNITIES CL I SNOIX Non-NTF Growth 1.33 None 3 EquitySound Mind Funds SOUND MIND INVESTING FUND SMIFX Non-NTF Asset Allocation 1.28 None 1 EquitySound Mind Funds SOUND MIND INVESTING MNGD VOLATIL FD SMIVX Non-NTF Growth 1.5 None 1 EquitySparrow Funds SPARROW GROWTH CL C SGFCX Non-NTF Growth 1.67 2.00 3 BondSSgA Funds SSGA BOND MARKET SSBMX Non-NTF Corporate Bond - General 0.5 None 1 Equity

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Security Class

SSgA Funds SSGA BOND MARKET CLASS R SBMRX Non-NTF Corporate Bond - General 0.68 None 1 EquitySSgA Funds SSGA EMERGING MRKTS SELECT CL SH SEMSX Non-NTF Diversified Emerging Markets 0.98 None 1 EquitySSgA Funds SSGA IAM SHARES SIAMX Non-NTF Growth 0.54 None 1 EquitySSgA Funds SSGA INTERNATIONAL STOCK SELECTION SSARX Non-NTF Foreign Stock 1.44 None 1 EquitySSgA Funds SSGA LIFE SOLUTIONS BALANCED CLASS R SLBRX Non-NTF Balanced 1.06 None 1 EquitySSgA Funds SSGA LIFE SOLUTIONS BALANCED FUND SSLBX Non-NTF Balanced 0.45 None 1 EquitySSgA Funds SSGA LIFE SOLUTIONS INCOME & GROWTH FD SSLIX Non-NTF Asset Allocation 0.45 None 1 EquitySSgA Funds SSGA MONEY MARKET FUND SSMXX Non-NTF None 0 EquitySSgA Funds SSGA SMALL CAP CLASS R SSCRX Non-NTF Growth 1.6 None 1 EquitySSgA Funds SSGA TAX FREE MMKT FUND STAXX Non-NTF None 0 EquityStadion Funds STADION CORE ADV PORTFOLIO CLASS A ETFRX Non-NTF Growth 2.23 5.75 3 EquityStadion Funds STADION CORE ADVANAT GE PORTFOLIO CL C ETFZX Non-NTF Growth -999 None 3 EquityStadion Funds STADION MANAGED PORTFOLIO CL C ETFYX Non-NTF Growth -999 None 3 EquityStadion Funds STADION MANAGED PORTFOLIO CLASS A ETFFX Non-NTF Growth 1.83 5.75 3 EquityStephens Funds STEPHENS MID CAP GROWTH FUND CL A STMGX Non-NTF Growth 1.5 5.25 3 EquityStephens Funds STEPHENS MID CAP GROWTH FUND CL I SFMIX Non-NTF Growth 1.25 None 3 EquityStephens Funds STEPHENS SMALL CAP GROWTH CL A STSGX Non-NTF Growth 1.5 5.25 3 EquityStephens Funds STEPHENS SMALL CAP GROWTH FUND CL I STSIX Non-NTF Growth 1.25 None 3 EquitySteward Funds STEWARD GLOBAL EQUITY INCOME INSTL SGISX Non-NTF Equity-Income 0.72 None 1 EquitySteward Funds STEWARD INTL ENHANCED IDEX INSTL SNTCX Non-NTF Multi-Asset Global 0.76 None 1 BondSteward Funds STEWARD LARGE CAP ENHNACED INDEX INSTL SEECX Non-NTF Growth 0.58 None 1 EquitySteward Funds STEWARD SELECT BOND INSTITUTIONAL SEACX Non-NTF Income 0.63 None 1 EquitySteward Funds STEWARD SMALL-CAP ENHANCED INDEX INSTL SCECX Non-NTF None 1 EquityStewart Funds STEWART CAPITAL MID CAP FUND SCMFX Non-NTF Growth 1.5 4.25 1 EquityStock Dividend Fund STOCK DIVIDEND FUND SDIVX Non-NTF None 1 EquityStralem Funds STRALEM EQUITY INSTL CLASS SHARES STEFX Non-NTF Growth 1.73 None 1 EquityStratton Funds STRATTON MULTI CAP FUND STRGX Non-NTF Growth 1.07 None 1 EquityStratton Funds STRATTON REAL ESTATE FUND INC STMDX Non-NTF Specialty - Real Estate 1 None 1 EquityStratton Funds STRATTON SMALL CAP VALUE FUND STSCX Non-NTF Small Company 1.22 None 1 EquitySunAmerica Funds FOCUS DIVIDEND STRAT PORT CLASS B FDSBX Non-NTF Growth and Income 1.59 4.00 3 EquitySunAmerica Funds FOCUS DIVIDEND STRAT PORTFOLIO C FDSTX Non-NTF Growth and Income 1.59 1.00 3 EquitySunAmerica Funds FOCUS DIVIDEND STRAT PORTFOLIO CLASS A FDSAX Non-NTF Growth and Income 0.94 5.75 3 EquitySunAmerica Funds SUN AMERICA INTL SMALL CAP FD A SAESX Non-NTF Foreign Stock 1.9 5.75 3 EquitySunAmerica Funds SUN AMERICA INTL SMALL CAP FD C QBEEQ Non-NTF Foreign Stock 2.55 1.00 3 EquitySunAmerica Funds SUNAMERICA 2020 HIGH WATERMARK CL A HWKAX Non-NTF Growth 1.59 5.75 3 EquitySunAmerica Funds SUNAMERICA 2020 HIGH WATERMARK CL C QXHYQ Non-NTF Growth 2.24 1.00 1 EquitySunAmerica Funds SUNAMERICA ALTERNATI VE STRATEGIES CL W SUNWX Non-NTF Growth 1.52 None 3 EquitySunAmerica Funds SUNAMERICA ALTNTV STRATEGIES CL C SUNCX Non-NTF Growth 2.37 1.00 3 EquitySunAmerica Funds SUNAMERICA ALTRNTV STRATEGIES CL A SUNAX Non-NTF Growth 1.72 5.75 3 EquitySunAmerica Funds SUNAMERICA FOCUS EQU STRAT CL A FESAX Non-NTF Asset Allocation 0.25 5.75 3 EquitySunAmerica Funds SUNAMERICA FOCUS EQUITY STRAT CL B FESBX Non-NTF Asset Allocation 0.9 4.00 3 EquitySunAmerica Funds SUNAMERICA FOCUS EQUITY STRAT CL C FESTX Non-NTF Asset Allocation 0.9 1.00 3 EquitySunAmerica Funds SUNAMERICA FOCUSED BALANCED B FBABX Non-NTF Asset Allocation 0.9 4.00 3 EquitySunAmerica Funds SUNAMERICA FOCUSED BALANCED C FBACX Non-NTF Asset Allocation 0.87 1.00 3 EquitySunAmerica Funds SUNAMERICA FOCUSED BALANCED CL A FBAAX Non-NTF Asset Allocation 0.25 5.75 3 EquitySunAmerica Funds SUNAMERICA FOCUSED FIX INC STRAT EQ B QUUSQ Non-NTF Asset Allocation 0.9 4.00 3 BondSunAmerica Funds SUNAMERICA FOCUSED FIXED INC & EQU CL A FFEAX Non-NTF Asset Allocation 0.25 5.75 3 BondSunAmerica Funds SUNAMERICA FOCUSED FIXED INC STRAT A QUVPQ Non-NTF Asset Allocation 0.25 5.75 3 BondSunAmerica Funds SUNAMERICA FOCUSED FIXED INC STRAT C QUVNQ Non-NTF Asset Allocation 0.9 1.00 3 EquitySunAmerica Funds SUNAMERICA FOCUSED FIXED INC STRAT CL B QUVMQ Non-NTF Asset Allocation 0.9 4.00 3 EquitySunAmerica Funds SUNAMERICA FOCUSED FIXED INC&EQUITY C FFICX Non-NTF Asset Allocation 0.9 1.00 3 EquitySunAmerica Funds SUNAMERICA FOCUSED GROWTH FUND CL A SSAAX Non-NTF Aggressive Growth 1.72 5.75 3 EquitySunAmerica Funds SUNAMERICA FOCUSED GROWTH FUND CL B SSABX Non-NTF Aggressive Growth 2.37 4.00 3 EquitySunAmerica Funds SUNAMERICA FOCUSED GROWTH FUND CLASS C SSACX Non-NTF Aggressive Growth 2.37 1.00 3 EquitySunAmerica Funds SUNAMERICA FOCUSED LARGE-CAP GROWTH A SSFAX Non-NTF Growth 1.5 5.75 3 EquitySunAmerica Funds SUNAMERICA FOCUSED LARGE-CAP GROWTH B SSFBX Non-NTF Growth 2.21 4.00 3 EquitySunAmerica Funds SUNAMERICA FOCUSED LARGE-CAP GROWTH C SSFTX Non-NTF Growth 2.16 1.00 3 EquitySunAmerica Funds SUNAMERICA FOCUSED MULTI ASSET C FMATX Non-NTF Asset Allocation 0.87 1.00 3 EquitySunAmerica Funds SUNAMERICA FOCUSED MULTI ASSET CL B FMABX Non-NTF Asset Allocation 0.88 4.00 3 Equity

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SunAmerica Funds SUNAMERICA FOCUSED MULTI ASSET CLASS A FASAX Non-NTF Asset Allocation 0.23 5.75 3 EquitySunAmerica Funds SUNAMERICA FOCUSED SMALL CAP GROWTH C NCSCX Non-NTF Growth 2.36 1.00 3 EquitySunAmerica Funds SUNAMERICA FOCUSED SMALL-CAP GROWTH A NSKAX Non-NTF Growth 1.71 5.75 3 EquitySunAmerica Funds SUNAMERICA FOCUSED SMALL-CAP GROWTH B NBSCX Non-NTF Growth 2.36 4.00 3 EquitySunAmerica Funds SUNAMERICA FOCUSED SMALL-CAP VALUE A SSSAX Non-NTF Small Company 1.48 5.75 3 EquitySunAmerica Funds SUNAMERICA FOCUSED SMALL-CAP VALUE B SSSBX Non-NTF Small Company 2.37 4.00 3 EquitySunAmerica Funds SUNAMERICA FOCUSED SMALL-CAP VALUE C SSSTX Non-NTF Small Company 2.19 1.00 3 BondSunAmerica Funds SUNAMERICA FOCUSED STARALPHA PORT CL A FSAPX Non-NTF Growth and Income 1.71 5.75 3 EquitySunAmerica Funds SUNAMERICA FOCUSED STARALPHA PORT CL C QBWIQ Non-NTF Growth and Income 2.36 1.00 3 EquitySunAmerica Funds SUNAMERICA FOCUSED TECHNOLOGY PORT C STNTX Non-NTF Specialty - Technology 2.51 1.00 3 EquitySunAmerica Funds SUNAMERICA FOCUSED TECHNOLOGY PORT CL A STNAX Non-NTF Specialty - Technology 1.86 5.75 3 EquitySunAmerica Funds SUNAMERICA FOCUSED TECHNOLOGY PORT CL B STNBX Non-NTF Specialty - Technology 2.51 4.00 3 EquitySunAmerica Funds SUNAMERICA FOCUSED VALUE FUND CLASS A SFVAX Non-NTF Growth 1.7 5.75 3 EquitySunAmerica Funds SUNAMERICA FOCUSED VALUE FUND CLASS B SFDBX Non-NTF Growth 2.35 4.00 3 BondSunAmerica Funds SUNAMERICA FOCUSED VALUE FUND CLASS C SFVTX Non-NTF Growth 2.35 1.00 3 BondSunAmerica Funds SUNAMERICA GNMA FUND CLASS A GNMAX Non-NTF Government Bond - Mortgage 0.99 4.75 3 BondSunAmerica Funds SUNAMERICA GNMA FUND CLASS B GNMBX Non-NTF Government Bond - Mortgage 1.64 4.00 3 BondSunAmerica Funds SUNAMERICA GNMA SHS CLASS C GNMTX Non-NTF Government Bond - Mortgage 1.64 1.00 3 BondSunAmerica Funds SUNAMERICA HIGH YIELD BOND CLASS A SHNAX Non-NTF Corporate Bond - High Yield 1.36 4.75 3 BondSunAmerica Funds SUNAMERICA HIGH YIELD BOND CLASS B SHNBX Non-NTF Corporate Bond - High Yield 2.01 4.00 3 BondSunAmerica Funds SUNAMERICA HIGH YIELD BOND CLASS C SHNCX Non-NTF Corporate Bond - High Yield 2.01 1.00 3 BondSunAmerica Funds SUNAMERICA INSURED TAX EXEMPT CLASS A STEAX Non-NTF Municipal Bond - National 1.09 4.75 3 EquitySunAmerica Funds SUNAMERICA INSURED TAX EXEMPT CLASS B STEBX Non-NTF Municipal Bond - National 2.02 4.00 3 EquitySunAmerica Funds SUNAMERICA INT'L EQUITY CLASS A SIEAX Non-NTF Foreign Stock 1.89 5.75 3 EquitySunAmerica Funds SUNAMERICA INT'L EQUITY CLASS B SSIBX Non-NTF Foreign Stock 2.55 4.00 3 EquitySunAmerica Funds SUNAMERICA INT'L EQUITY CLASS C SIETX Non-NTF Foreign Stock 2.55 1.00 3 BondSunAmerica Funds SUNAMERICA INTL SMALL CAP CL B QBHOQ Non-NTF Foreign Stock 2.55 4.00 3 BondSunAmerica Funds SUNAMERICA SENIOR FLOATING CLASS C NFRCX Non-NTF Corporate Bond - General 1.75 1.00 1 BondSunAmerica Funds SUNAMERICA SENIOR FLOATING RATE CL A SASFX Non-NTF Corporate Bond - General 1.45 3.75 3 BondSunAmerica Funds SUNAMERICA STRATEGIC BOND CLASS A SDIAX Non-NTF Multisector Bond 1.31 4.75 3 BondSunAmerica Funds SUNAMERICA STRATEGIC BOND CLASS B SDIBX Non-NTF Multisector Bond 1.99 4.00 3 EquitySunAmerica Funds SUNAMERICA STRATEGIC BOND CLASS C NAICX Non-NTF Multisector Bond 1.96 1.00 3 EquitySunAmerica Funds SUNAMERICA STYLE SEL FOCUS GRWTH & INC A FOGAX Non-NTF Growth 1.72 5.75 3 EquitySunAmerica Funds SUNAMERICA STYLE SEL FOCUS GRWTH & INC B FOGBX Non-NTF Growth 2.37 4.00 3 BondSunAmerica Funds SUNAMERICA STYLE SEL FOCUS GRWTH & INC C FOGTX Non-NTF Growth 2.37 1.00 3 BondSunAmerica Funds SUNAMERICA TAX EXMPT INSURED CLASS C NNMCX Non-NTF Municipal Bond - National 1.64 1.00 3 BondSunAmerica Funds SUNAMERICA U S GOVT CLASS C NASBX Non-NTF Government Bond - General 1.64 1.00 3 BondSunAmerica Funds SUNAMERICA US GOV'T SECURITIES CLASS A SGTAX Non-NTF Government Bond - General 0.99 4.75 3 EquitySunAmerica Funds SUNAMERICA US GOV'T SECURITIES CLASS B SGTBX Non-NTF Government Bond - General 1.64 4.00 3 EquitySunAmerica Funds SUNAMERICA VALUE CLASS A SSVAX Non-NTF Growth 1.63 5.75 3 EquitySunAmerica Funds SUNAMERICA VALUE CLASS B SSVBX Non-NTF Growth 2.28 4.00 3 EquitySunAmerica Funds SUNAMERICA VALUE CLASS C SVPCX Non-NTF Growth 2.28 1.00 3 EquityT. Rowe Price Funds T ROWE BLUE CHIP GROWTH FUND CL R RRBGX Non-NTF Growth 1.21 None 1 EquityT. Rowe Price Funds T ROWE EQUITY INCOME FUND CL R RRFDX Non-NTF Equity-Income 1.18 None 1 EquityT. Rowe Price Funds T ROWE GROWTH STOCK FUND CL R RRGSX Non-NTF Growth 1.15 None 1 EquityT. Rowe Price Funds T ROWE INTERNATIONAL STOCK FUND CL R RRITX Non-NTF Foreign Stock 1.4 None 1 EquityT. Rowe Price Funds T ROWE INTL GROWTH & INCOME CL R RRIGX Non-NTF Foreign Stock 1.36 None 1 EquityT. Rowe Price Funds T ROWE MID CAP GROWTH CL R RRMGX Non-NTF Growth 1.27 None 1 BondT. Rowe Price Funds T ROWE MID CAP VALUE FUND CL R RRMVX Non-NTF Growth 1.28 None 1 EquityT. Rowe Price Funds T ROWE NEW INCOME FUND CL R RRNIX Non-NTF Corporate Bond - High Quality 1.13 None 1 EquityT. Rowe Price Funds T ROWE PRICE 2010 RETIREMENT FUND TRRAX Non-NTF Growth and Income 0 None 1 EquityT. Rowe Price Funds T ROWE PRICE AFRICA & MIDDLE EAST FD TRAMX Non-NTF Foreign Stock 1.62 None 1 EquityT. Rowe Price Funds T ROWE PRICE BALANCED RPBAX Non-NTF Balanced 0.69 None 1 BondT. Rowe Price Funds T ROWE PRICE BLUE CHIP GROWTH INC TRBCX Non-NTF Growth 0.81 None 1 EquityT. Rowe Price Funds T ROWE PRICE CA TAX FREE BOND PRXCX Non-NTF Municipal Bond - Single State 0.52 None 1 EquityT. Rowe Price Funds T ROWE PRICE CAP APPRECIATION PRWCX Non-NTF Growth and Income 0.72 None 1 EquityT. Rowe Price Funds T ROWE PRICE CAP OPPORTUNITY PRCOX Non-NTF Growth 0.79 None 1 BondT. Rowe Price Funds T ROWE PRICE CAPITAL OPPTY CL R RRCOX Non-NTF Growth 1.35 None 3 EquityT. Rowe Price Funds T ROWE PRICE CORPORATE INCOME PRPIX Non-NTF Corporate Bond - General 0.73 None 1 Equity

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T. Rowe Price Funds T ROWE PRICE DIVERS SMALL CAP GROWTH PRDSX Non-NTF Small Company 1.25 None 3 EquityT. Rowe Price Funds T ROWE PRICE DIVERSD MID CAP GROWTH PRDMX Non-NTF Growth 1.25 None 1 EquityT. Rowe Price Funds T ROWE PRICE DIVIDEND GROWTH PRDGX Non-NTF Equity-Income 0.73 None 1 EquityT. Rowe Price Funds T ROWE PRICE EMERGING MKTS STOCK PRMSX Non-NTF Diversified Emerging Markets 1.32 None 1 EquityT. Rowe Price Funds T ROWE PRICE EQUITY INCOME PRFDX Non-NTF Equity-Income 0.72 None 1 EquityT. Rowe Price Funds T ROWE PRICE EQUITY INDEX TR FD PREIX Non-NTF Growth and Income 0.35 None 1 EquityT. Rowe Price Funds T ROWE PRICE EUROPEAN STOCK PRESX Non-NTF Europe Stock 1.08 None 1 EquityT. Rowe Price Funds T ROWE PRICE EXTEND EQU MKT INDEX FUND PEXMX Non-NTF Growth 0.4 None 1 BondT. Rowe Price Funds T ROWE PRICE FINANCIAL SERVICES PRISX Non-NTF Specialty - Financial 1 None 1 EquityT. Rowe Price Funds T ROWE PRICE GEORGIA TAX FREE BOND GTFBX Non-NTF Municipal Bond - Single State 0.62 None 1 EquityT. Rowe Price Funds T ROWE PRICE GLOBAL INFRASTRUCTURE INVST TRGFX Non-NTF Specialty - Utility -999 None 1 EquityT. Rowe Price Funds T ROWE PRICE GLOBAL LARGE CAP STOCK FUND RPGEX Non-NTF Growth 1 None 1 EquityT. Rowe Price Funds T ROWE PRICE GLOBAL REAL ESTATE FUND TRGRX Non-NTF Specialty - Real Estate 1.05 None 1 EquityT. Rowe Price Funds T ROWE PRICE GLOBAL STOCK PRGSX Non-NTF World Stock 0.95 None 1 BondT. Rowe Price Funds T ROWE PRICE GLOBAL TECHNOLOGY PRGTX Non-NTF Specialty - Technology 1.32 None 1 EquityT. Rowe Price Funds T ROWE PRICE GNMA PRGMX Non-NTF Government Bond - Mortgage 0.66 None 1 EquityT. Rowe Price Funds T ROWE PRICE GROWTH & INCOME PRGIX Non-NTF Growth and Income 0.73 None 1 EquityT. Rowe Price Funds T ROWE PRICE GROWTH STOCK PRGFX Non-NTF Growth 0.71 None 1 BondT. Rowe Price Funds T ROWE PRICE HEALTH SCIENCES PRHSX Non-NTF Specialty - Health 0.87 None 1 BondT. Rowe Price Funds T ROWE PRICE HIGH YIELD BOND PRHYX Non-NTF Corporate Bond - High Yield 0.8 None 1 BondT. Rowe Price Funds T ROWE PRICE HIGH YIELD INST FUND TRHYX Non-NTF Corporate Bond - High Yield 0.5 None 1 EquityT. Rowe Price Funds T ROWE PRICE INFLATION PROT BD FD PRIPX Non-NTF Government Bond - Treasury 0.5 None 1 EquityT. Rowe Price Funds T ROWE PRICE INST SMALL CAP STOCK FD TRSSX Non-NTF Small Company 0.74 None 1 BondT. Rowe Price Funds T ROWE PRICE INSTL AFRICA & MIDDLE EAST TRIAX Non-NTF Foreign Stock 1.25 None 1 BondT. Rowe Price Funds T ROWE PRICE INSTL CORE PLUS FUND TICPX Non-NTF Growth and Income 0.4 None 1 EquityT. Rowe Price Funds T ROWE PRICE INSTL EMERG MKTS BOND FUND TREBX Non-NTF Growth and Income 0.7 None 1 EquityT. Rowe Price Funds T ROWE PRICE INSTL FLOATING RATE FUND RPIFX Non-NTF Growth and Income 0.55 None 1 EquityT. Rowe Price Funds T ROWE PRICE INSTL FOREIGN EQUITY INSTL PRFEX Non-NTF Foreign Stock 1.34 None 1 BondT. Rowe Price Funds T ROWE PRICE INSTL GL LARGE CAP EQUITY RPIGX Non-NTF Growth 0.75 None 1 EquityT. Rowe Price Funds T ROWE PRICE INSTL INTERNAT'L BD INSTL RPIIX Non-NTF Growth and Income 0.55 None 1 EquityT. Rowe Price Funds T ROWE PRICE INSTL INTL EMERGING MRKTS IEMFX Non-NTF Growth 1.1 None 1 EquityT. Rowe Price Funds T ROWE PRICE INSTL LARGE CAP CORE TPLGX Non-NTF Growth 0.65 None 1 EquityT. Rowe Price Funds T ROWE PRICE INSTL LARGE CAP GROWTH TRLGX Non-NTF Growth 0.58 None 1 EquityT. Rowe Price Funds T ROWE PRICE INSTL LARGE CAP VALUE FD TILCX Non-NTF Growth 0.63 None 1 BondT. Rowe Price Funds T ROWE PRICE INSTL US STR RESEACH INSTL TRISX Non-NTF Growth 0.55 None 1 EquityT. Rowe Price Funds T ROWE PRICE INTERNATIONAL BOND RPIBX Non-NTF Worldwide Bond 0.81 None 1 EquityT. Rowe Price Funds T ROWE PRICE INTERNATIONAL STOCK PRITX Non-NTF Foreign Stock 0.91 None 1 BondT. Rowe Price Funds T ROWE PRICE INTL DISCOVERY FUND PRIDX Non-NTF Foreign Stock 1.29 None 1 EquityT. Rowe Price Funds T ROWE PRICE INT'L EMERGING MARKET BOND PREMX Non-NTF Worldwide Bond 0.97 None 1 EquityT. Rowe Price Funds T ROWE PRICE INTL EQUITY INDEX PIEQX Non-NTF Growth 0.5 None 1 EquityT. Rowe Price Funds T ROWE PRICE INT'L GROWTH & INCOME TRIGX Non-NTF Foreign Stock 0.94 None 1 EquityT. Rowe Price Funds T ROWE PRICE INT'L JAPAN PRJPX Non-NTF Pacific Stock 1.15 None 1 EquityT. Rowe Price Funds T ROWE PRICE LATIN AMERICA FUND PRLAX Non-NTF Foreign Stock 1.29 None 3 EquityT. Rowe Price Funds T ROWE PRICE MEDIA & TELECOMMUNICATIONS PRMTX Non-NTF Specialty - Communications 0.9 None 1 EquityT. Rowe Price Funds T ROWE PRICE MID CAP EQUITY GROWTH INSTL PMEGX Non-NTF Growth 0.66 None 1 EquityT. Rowe Price Funds T ROWE PRICE MID CAP GROWTH RPMGX Non-NTF Growth 0.82 None 1 EquityT. Rowe Price Funds T ROWE PRICE MID CAP VALUE TRMCX Non-NTF Growth 0.83 None 1 EquityT. Rowe Price Funds T ROWE PRICE NEW AMERICAN GROWTH PRWAX Non-NTF Growth 0.91 None 1 EquityT. Rowe Price Funds T ROWE PRICE NEW ASIA PRASX Non-NTF Pacific Stock 1.01 None 1 EquityT. Rowe Price Funds T ROWE PRICE NEW ERA PRNEX Non-NTF Specialty - Natural Resources 0.69 None 1 BondT. Rowe Price Funds T ROWE PRICE NEW HORIZONS FD INC PRNHX Non-NTF Aggressive Growth 0.85 None 1 BondT. Rowe Price Funds T ROWE PRICE NEW INCOME PRCIX Non-NTF Corporate Bond - High Quality 0.67 None 1 EquityT. Rowe Price Funds T ROWE PRICE NY TAX FREE BOND PRNYX Non-NTF Municipal Bond - Single State 0.54 None 1 EquityT. Rowe Price Funds T ROWE PRICE OVERSEAS STOCK FUND TROSX Non-NTF Growth 0.97 None 1 EquityT. Rowe Price Funds T ROWE PRICE PERSNL STRATEGY BALANCED TRPBX Non-NTF Asset Allocation 0.76 None 1 EquityT. Rowe Price Funds T ROWE PRICE PERSNL STRATEGY INCOME PRSIX Non-NTF Asset Allocation 0.66 None 1 EquityT. Rowe Price Funds T ROWE PRICE PERSONAL STRAT GRWTH TRSGX Non-NTF Growth 0.87 None 1 EquityT. Rowe Price Funds T ROWE PRICE REAL ESTATE FUND TRREX Non-NTF Specialty - Real Estate 0.77 None 1 EquityT. Rowe Price Funds T ROWE PRICE RET 2020 FUND TRRBX Non-NTF Growth and Income 0 None 1 Equity

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T. Rowe Price Funds T ROWE PRICE RET 2040 FD TRRDX Non-NTF Growth and Income 0 None 1 EquityT. Rowe Price Funds T ROWE PRICE RET 2050 CL R RRTFX Non-NTF Growth and Income 0.49 None 1 EquityT. Rowe Price Funds T ROWE PRICE RET. 2030 FD TRRCX Non-NTF Growth and Income 0 None 1 EquityT. Rowe Price Funds T ROWE PRICE RETIRE 2050 FUND TRRMX Non-NTF Growth and Income 0 None 1 EquityT. Rowe Price Funds T ROWE PRICE RETIREMENT 2005 FD TRRFX Non-NTF Growth and Income 0 None 1 EquityT. Rowe Price Funds T ROWE PRICE RETIREMENT 2015 TRRGX Non-NTF Growth and Income 0 None 1 EquityT. Rowe Price Funds T ROWE PRICE RETIREMENT 2025 FD TRRHX Non-NTF Growth and Income 0 None 1 EquityT. Rowe Price Funds T ROWE PRICE RETIREMENT 2035 FUND TRRJX Non-NTF Growth and Income 0 None 1 EquityT. Rowe Price Funds T ROWE PRICE RETIREMENT 2045 CL R RRTRX Non-NTF Growth and Income 0.48 None 1 EquityT. Rowe Price Funds T ROWE PRICE RETIREMENT 2045 FD TRRKX Non-NTF Growth and Income 0 None 1 EquityT. Rowe Price Funds T ROWE PRICE RETIREMENT 2055 FD TRRNX Non-NTF Growth and Income 0 None 1 EquityT. Rowe Price Funds T ROWE PRICE RETIREMENT FUND TRRIX Non-NTF Growth and Income 0 None 1 EquityT. Rowe Price Funds T ROWE PRICE RTMT 2010 CLASS R RRTAX Non-NTF Growth and Income 0.5 None 1 EquityT. Rowe Price Funds T ROWE PRICE RTMT 2020 CLASS R RRTBX Non-NTF Growth and Income 0.5 None 1 EquityT. Rowe Price Funds T ROWE PRICE RTMT 2030 CLASS R RRTCX Non-NTF Growth and Income 0.5 None 1 EquityT. Rowe Price Funds T ROWE PRICE RTMT 2040 CLASS R RRTDX Non-NTF Growth and Income 0.5 None 1 EquityT. Rowe Price Funds T ROWE PRICE RTMT INCOME CLASS R RRTIX Non-NTF Growth and Income 0.5 None 1 BondT. Rowe Price Funds T ROWE PRICE SCIENCE & TECHNOLOGY PRSCX Non-NTF Specialty - Technology 1 None 1 BondT. Rowe Price Funds T ROWE PRICE SHORT TERM BOND PRWBX Non-NTF Corporate Bond - High Quality 0.55 None 1 EquityT. Rowe Price Funds T ROWE PRICE SHORT TERM TX FR MARYLAND PRMDX Non-NTF Municipal Bond - Single State 0.58 None 1 EquityT. Rowe Price Funds T ROWE PRICE SMALL CAP STOCK OTCFX Non-NTF Small Company 0.95 None 1 EquityT. Rowe Price Funds T ROWE PRICE SMALL CAP VALUE FUND PRSVX Non-NTF Small Company 0.87 None 1 BondT. Rowe Price Funds T ROWE PRICE SPECTRUM GROWTH PRSGX Non-NTF Growth 0 None 1 EquityT. Rowe Price Funds T ROWE PRICE SPECTRUM INCOME RPSIX Non-NTF Multisector Bond 0 None 1 BondT. Rowe Price Funds T ROWE PRICE SPECTRUM INTERNAT'L PSILX Non-NTF Asset Allocation 0 None 1 BondT. Rowe Price Funds T ROWE PRICE STATE TAX FREE INC MD MDXBX Non-NTF Municipal Bond - Single State 0.47 None 1 BondT. Rowe Price Funds T ROWE PRICE STATE TAX FREE INC VA PRVAX Non-NTF Municipal Bond - Single State 0.5 None 1 BondT. Rowe Price Funds T ROWE PRICE STRATEGIC INCOME FD PRSNX Non-NTF Income 0.68 None 1 BondT. Rowe Price Funds T ROWE PRICE SUMMIT GINNIE MAE PRSUX Non-NTF Government Bond - Mortgage 0.6 None 1 BondT. Rowe Price Funds T ROWE PRICE SUMMIT MUNI INCOME PRINX Non-NTF Municipal Bond - National 0.5 None 1 BondT. Rowe Price Funds T ROWE PRICE SUMMIT MUNI INTERMED PRSMX Non-NTF Municipal Bond - National 0.5 None 1 BondT. Rowe Price Funds T ROWE PRICE TAX FREE HIGH YIELD PRFHX Non-NTF Municipal Bond - National 0.71 None 1 BondT. Rowe Price Funds T ROWE PRICE TAX FREE INCOME PRTAX Non-NTF Municipal Bond - National 0.53 None 1 BondT. Rowe Price Funds T ROWE PRICE TAX FREE SHORT INTER PRFSX Non-NTF Municipal Bond - National 0.51 None 1 EquityT. Rowe Price Funds T ROWE PRICE TAX FREE TRUST NJ NJTFX Non-NTF Municipal Bond - Single State 0.56 None 1 BondT. Rowe Price Funds T ROWE PRICE TOTAL EQUITY MARKET INDEX POMIX Non-NTF Growth 0.4 None 1 BondT. Rowe Price Funds T ROWE PRICE US BOND INDEX FUND PBDIX Non-NTF Corporate Bond - General 0.3 None 1 BondT. Rowe Price Funds T ROWE PRICE US TREAS INTERMEDIATE PRTIX Non-NTF Government Bond - Treasury 0.52 None 1 EquityT. Rowe Price Funds T ROWE PRICE US TREASURY LONG TERM PRULX Non-NTF Government Bond - Treasury 0.58 None 1 EquityT. Rowe Price Funds T ROWE PRICE VALUE TRVLX Non-NTF Growth and Income 0.89 None 1 EquityT. Rowe Price Funds T-ROWE PRICE EMERG EURO & MEDITERRANEAN TREMX Non-NTF Foreign Stock 1.64 None 1 EquityTCM Funds TCM SMALL CAP GROWTH FD TCMSX Non-NTF Growth 0.94 None 1 BondTCM Funds TCM SMALL MID CAP GROWTH FD TCMMX Non-NTF Growth 0.95 None 1 EquityTCW Galileo Funds TCW CORE FIX ED INC CLASS I TGCFX Non-NTF Corporate Bond - High Quality 0.44 None 1 BondTCW Galileo Funds TCW DIV FOCUSED CL I TGDFX Non-NTF Equity-Income 0.92 None 1 EquityTCW Galileo Funds TCW EMERGING MKTS INCOME CL I TGEIX Non-NTF Worldwide Bond 1.17 None 1 EquityTCW Galileo Funds TCW FOCUSED EQUITIES FUND CL I TGFFX Non-NTF Growth 0.86 None 1 BondTCW Galileo Funds TCW GROWTH EQUITIES CL I TGGEX Non-NTF Growth 1.47 None 1 EquityTCW Galileo Funds TCW LARGE CAP GROWTH FUND CL I TGLCX Non-NTF Growth 1.34 None 1 EquityTCW Galileo Funds TCW MONEY MARKET FUND CL I TCWXX Non-NTF None 1 EquityTCW Galileo Funds TCW RELATIVE VALUE CAP CLASS I TGDIX Non-NTF Growth 1.11 None 1 EquityTCW Galileo Funds TCW RELATIVE VALUE SMALL CAP CL I TGOIX Non-NTF Small Company 1.42 None 1 BondTCW Galileo Funds TCW SELECT EQUITIES CLASS I TGCEX Non-NTF Growth 0.98 None 1 EquityTCW Galileo Funds TCW SHORT TERM BOND CLASS I TGSMX Non-NTF Government Bond - Mortgage 0.44 None 1 BondTCW Galileo Funds TCW SMALL CAP GROWTH CLASS I TGSCX Non-NTF Small Company 1.2 None 1 EquityTDAM Funds TDAM INSTITUTIONAL MUNICPAL MMKT COM CL TMYXX Non-NTF None 0 EquityTDAM Funds TDAM INSTITUTIONAL US GOV'T COMM CL TGCXX Non-NTF None 0 EquityTFS Capital Investments TFS SMALL CAP FD TFSSX Non-NTF Growth 1.87 None 1 EquityThird Avenue Funds THIRD AVENUE FOCUSED CREDIT FUND INSTL CL TFCIX Non-NTF Growth 0.95 None 3 Equity

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Settlement Days

Security Class

Third Avenue Funds THIRD AVENUE INTL VALUE TAVIX Non-NTF Foreign Stock 1.47 None 3 EquityThird Avenue Funds THIRD AVENUE REAL ESTATE VALUE TAREX Non-NTF Specialty - Real Estate 1.18 None 3 EquityThird Avenue Funds THIRD AVENUE SMALL CAP VALUE TASCX Non-NTF Small Company 1.13 None 3 BondThird Avenue Funds THIRD AVENUE VALUE TAVFX Non-NTF Growth 1.17 None 3 BondThornburg Funds THORNBURG CAL LTD TERM MUNI FUND CL A LTCAX Non-NTF Municipal Bond - Single State 0.98 1.50 3 EquityThornburg Funds THORNBURG CORE GROWTH FUND CL I THIGX Non-NTF Growth 0.97 None 3 EquityThornburg Funds THORNBURG CORE GROWTH FUND CL R4 TCGRX Non-NTF Growth 1.4 None 3 EquityThornburg Funds THORNBURG CORE GRWTH FD CL R3 THCRX Non-NTF Growth 1.49 None 3 EquityThornburg Funds THORNBURG DEVELOPING WORLD FUND CL A THDAX Non-NTF Growth -999 4.50 3 EquityThornburg Funds THORNBURG DEVELOPING WORLD FUNDS CL C THDCX Non-NTF Growth -999 1.00 3 EquityThornburg Funds THORNBURG INCOME BUILDER CL I TIBIX Non-NTF Equity-Income 0.97 None 3 BondThornburg Funds THORNBURG INTER MUNICIPAL CLASS A THIMX Non-NTF Municipal Bond - National 0.98 2.00 3 EquityThornburg Funds THORNBURG INTER MUNICIPAL CLASS C THMCX Non-NTF Municipal Bond - National 1.24 0.60 3 EquityThornburg Funds THORNBURG INTER VAL FD CL R3 TGVRX Non-NTF Multi-Asset Global 1.45 None 3 EquityThornburg Funds THORNBURG INTL GROWTH CL A TIGAX Non-NTF Growth 1.61 4.50 3 EquityThornburg Funds THORNBURG INTL GROWTH INSTIL CL TINGX Non-NTF Growth 0.99 None 3 EquityThornburg Funds THORNBURG INTL VALUE CL INSTL TGVIX Non-NTF Multi-Asset Global 0.92 None 3 EquityThornburg Funds THORNBURG INTL VALUE CLASS C THGCX Non-NTF Multi-Asset Global 2.06 1.00 3 EquityThornburg Funds THORNBURG INT'L VALUE FD CL R5 TIVRX Non-NTF Multi-Asset Global 0.99 None 3 EquityThornburg Funds THORNBURG INTRNL VALUE FUND CL R4 THVRX Non-NTF Multi-Asset Global 1.25 None 3 EquityThornburg Funds THORNBURG INV INCOME BUILDER FUND CL A TIBAX Non-NTF Equity-Income 1.3 4.50 3 BondThornburg Funds THORNBURG INV INCOME BUILDER FUND CL C TIBCX Non-NTF Equity-Income 1.9 1.00 3 BondThornburg Funds THORNBURG LIMIT TERM US GOV FD CL R3 LTURX Non-NTF Government Bond - General 0.99 None 3 BondThornburg Funds THORNBURG LTD TERM INCOME CLASS A THIFX Non-NTF Corporate Bond - General 0.99 1.50 3 BondThornburg Funds THORNBURG LTD TERM MUNICIPAL FUND CL A LTMFX Non-NTF Municipal Bond - National 0.86 1.50 3 BondThornburg Funds THORNBURG LTD TERM US GOVERNMENT CL A LTUSX Non-NTF Government Bond - General 0.93 1.50 3 BondThornburg Funds THORNBURG NEW MEX INTER MUNI CLASS A THNMX Non-NTF Municipal Bond - Single State 0.96 2.00 3 EquityThornburg Funds THORNBURG NEW YORK INTERMEDIATE MUNI A THNYX Non-NTF Municipal Bond - Single State 0.99 2.00 3 BondThornburg Funds THORNBURG STRATEGIC INCOME FUND CL I TSIIX Non-NTF Income 0.99 None 3 BondThornburg Funds THORNBURG STRATEGIC MUNICIPAL INCOME A TSSAX Non-NTF Municipal Bond - National 1.25 2.00 3 BondThornburg Funds THORNBURG STRATEGIC MUNICIPAL INCOME C TSSCX Non-NTF Municipal Bond - National 1.55 0.60 3 EquityThornburg Funds THORNBURG VALUE CLASS A TVAFX Non-NTF Growth 1.34 4.50 3 EquityThornburg Funds THORNBURG VALUE CLASS C TVCFX Non-NTF Growth 2.12 1.00 3 EquityThornburg Funds THORNBURG VALUE FD C L R-3 TVRFX Non-NTF Growth 1.35 None 3 EquityThornburg Funds THORNBURG VALUE FUND CL R4 TVIRX Non-NTF Growth 1.25 None 3 EquityThornburg Funds THORNBURG VALUE INSTITUTIONAL TVIFX Non-NTF Growth 0.97 None 3 EquityThrivent Funds THRIVENT AGGRESSIVE ALLOC FUND CL I TAAIX Non-NTF Asset Allocation 0.23 None 1 BondThrivent Funds THRIVENT AGGRESSIVE ALLOCATION FUND CL A TAAAX Non-NTF Asset Allocation 0.57 5.50 3 EquityThrivent Funds THRIVENT BALANCED FUND CL I IBBFX Non-NTF Balanced 0.66 None 1 BondThrivent Funds THRIVENT BALANCED FUND CLASS A AABFX Non-NTF Balanced 1.23 5.50 3 EquityThrivent Funds THRIVENT CORE BOND FUND CL I IIINX Non-NTF Corporate Bond - High Quality 0.53 None 1 EquityThrivent Funds THRIVENT CORE BOND FUND CLASS A AAINX Non-NTF Corporate Bond - High Quality 0.89 4.50 3 BondThrivent Funds THRIVENT DIVERSIFIED INCOME PLUS CL A AAHYX Non-NTF Corporate Bond - High Yield 1.18 4.50 3 EquityThrivent Funds THRIVENT DIVERSIFIED INCOME PLUS FD CL I THYFX Non-NTF Corporate Bond - High Yield 0.76 None 1 EquityThrivent Funds THRIVENT EQUITY INCOME PLUS CL I TEIIX Non-NTF Growth and Income 0.8 None 1 BondThrivent Funds THRIVENT EQUITY INCOME PLUS FD CL A TEIAX Non-NTF Growth and Income 1.15 5.50 3 BondThrivent Funds THRIVENT GOVERNMENT BOND FUND CLASS A TBFAX Non-NTF 2.00 3 EquityThrivent Funds THRIVENT GOVERNMENT BOND FUND CLASS I TBFIX Non-NTF None 1 BondThrivent Funds THRIVENT HIGH YIELD FUND CL A LBHYX Non-NTF Income 0.93 4.50 3 EquityThrivent Funds THRIVENT HIGH YIELD FUND CL I LBHIX Non-NTF Income 0.46 None 1 BondThrivent Funds THRIVENT INCOME FUND CL A LUBIX Non-NTF Income 0.84 4.50 3 EquityThrivent Funds THRIVENT INCOME FUND CL I LBIIX Non-NTF Income 0.39 None 1 EquityThrivent Funds THRIVENT LARGE CAP GROWTH FUND CL A AAAGX Non-NTF Growth 1.17 5.50 3 EquityThrivent Funds THRIVENT LARGE CAP GROWTH FUND CL I THLCX Non-NTF Growth 0.84 None 1 EquityThrivent Funds THRIVENT LARGE CAP STOCK FD CL A AALGX Non-NTF Growth 1.2 5.50 3 EquityThrivent Funds THRIVENT LARGE CAP STOCK FD INST CL SHS IILGX Non-NTF Growth 0.62 None 1 EquityThrivent Funds THRIVENT LARGE CAP VALUE FUND CL A AAUTX Non-NTF Growth 1.17 5.50 3 BondThrivent Funds THRIVENT LARGE CAP VALUE FUND CL I TLVIX Non-NTF Growth 0.52 None 1 BondThrivent Funds THRIVENT LIMITED MATURITY BD FD A LBLAX Non-NTF Income 0.73 None 3 Equity

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Sales Charge

Settlement Days

Security Class

Thrivent Funds THRIVENT LIMITED MATURITY BOND CL I THLIX Non-NTF Income 0.37 None 1 EquityThrivent Funds THRIVENT MID CAP GROWTH FUND CL A LBMGX Non-NTF Growth 1.4 5.50 3 EquityThrivent Funds THRIVENT MID CAP GROWTH FUND CL I LBMIX Non-NTF Growth 0.54 None 1 EquityThrivent Funds THRIVENT MID CAP STOCK FUND CL A AASCX Non-NTF Growth 1.35 5.50 3 BondThrivent Funds THRIVENT MID CAP STOCK FUND CL I TMSIX Non-NTF Growth 0.73 None 1 EquityThrivent Funds THRIVENT MODERATE ALLOC FUND CL I TMAIX Non-NTF Asset Allocation 0.2 None 1 EquityThrivent Funds THRIVENT MODERATE ALLOCATION FUND CL A THMAX Non-NTF Asset Allocation 0.53 5.50 3 EquityThrivent Funds THRIVENT MODERATELY AGGRESSIVE ALLOC I TMAFX Non-NTF Asset Allocation 0.2 None 1 BondThrivent Funds THRIVENT MODERATELY AGRESSIVE ALLOC CL A TMAAX Non-NTF Asset Allocation 0.54 5.50 3 EquityThrivent Funds THRIVENT MODERATELY CONSEV ALLOC CL I TCAIX Non-NTF Asset Allocation 0.25 None 1 EquityThrivent Funds THRIVENT MODERATELY CONV ALLOC CL A TCAAX Non-NTF Asset Allocation 0.51 5.50 3 EquityThrivent Funds THRIVENT MONEY MARKET CL A AMMXX Non-NTF None 3 EquityThrivent Funds THRIVENT MONEY MARKET FUND CL I AALXX Non-NTF None 1 BondThrivent Funds THRIVENT MUNICIPAL BOND FUND CL A AAMBX Non-NTF Income 0.78 4.50 3 EquityThrivent Funds THRIVENT MUNICIPAL BOND FUND CL I TMBIX Non-NTF Income 0.5 None 1 EquityThrivent Funds THRIVENT PARTNER MID CAP VALUE FUND CL A TPMAX Non-NTF Growth 1.25 5.50 3 EquityThrivent Funds THRIVENT PARTNER SMALL CAP GROWTH A TPSAX Non-NTF Growth 1.58 5.50 3 EquityThrivent Funds THRIVENT PARTNER SMALL CAP VALUE A AALVX Non-NTF Small Company 1.56 5.50 3 EquityThrivent Funds THRIVENT PARTNER SMALL CAP VALUE CL I TPSIX Non-NTF Small Company 0.83 None 1 EquityThrivent Funds THRIVENT PARTNER WW ALLOCATION FD I TWAIX Non-NTF Growth 0.95 None 1 EquityThrivent Funds THRIVENT PARTNERS INTERNAT'L STOCK A AAITX Non-NTF Growth 1.54 5.50 3 EquityThrivent Funds THRIVENT PARTNERS INTERNATL STOCK CL I TISFX Non-NTF Growth 0.71 None 1 EquityThrivent Funds THRIVENT PARTNERS MID-CAP VALUE CL I TPMIX Non-NTF Growth 0.95 None 1 EquityThrivent Funds THRIVENT PARTNERS SMALL CAP GROWTH I TPGIX Non-NTF Growth 1.09 None 1 EquityThrivent Funds THRIVENT PARTNERS WRLDW ALLOC CL A TWAAX Non-NTF Growth 1.3 5.50 3 EquityThrivent Funds THRIVENT REAL ESTATE SECURITIES FD CL I TREIX Non-NTF Growth and Income 1.03 None 1 EquityThrivent Funds THRIVENT REAL ESTATE SECURITIES FUND CL A TREFX Non-NTF Growth and Income 1.25 5.50 3 EquityThrivent Funds THRIVENT SMALL CAP STOCK FUND CL A AASMX Non-NTF Small Company 1.58 5.50 3 EquityThrivent Funds THRIVENT SMALL CAP STOCK FUND CL I TSCSX Non-NTF Small Company 0.77 None 1 EquityTIAA-CREF Funds TIAA-CFEF MID-CAP VALUE INSTL TIMVX Non-NTF Growth and Income 0.54 None 1 EquityTIAA-CREF Funds TIAA-CFEF S&P 500 INDEX - RETIREMENT TRSPX Non-NTF Growth 0.34 None 1 EquityTIAA-CREF Funds TIAA-CREF EQUITY INDEX INSTL CL SHARE TIEIX Non-NTF Growth 0.09 None 1 EquityTIAA-CREF Funds TIAA-CREF EQUITY INDEX RETIREMENT CL TIQRX Non-NTF Growth 0.33 None 1 BondTIAA-CREF Funds TIAA-CREF GROWTH AND INCOME RETIREMENT CL TRGIX Non-NTF Growth and Income 0.75 None 1 BondTIAA-CREF Funds TIAA-CREF HIGH YIELD FUND INSTL TIHYX Non-NTF Income 0.4 None 1 EquityTIAA-CREF Funds TIAA-CREF INFLATION- LINKED BD RETIREMENT TIKRX Non-NTF Government Bond - General 0.6 None 1 EquityTIAA-CREF Funds TIAA-CREF INSTIT EQ INDEX FUND TINRX Non-NTF Growth 0.27 None 1 EquityTIAA-CREF Funds TIAA-CREF INSTIT GROWTH & INCOME FUND TIGRX Non-NTF Growth and Income 0.51 None 1 EquityTIAA-CREF Funds TIAA-CREF INSTIT HIGH YIELD BOND II TIYRX Non-NTF Income 0.54 None 1 EquityTIAA-CREF Funds TIAA-CREF INSTIT INTERNA'L EQUITY FD TIERX Non-NTF Foreign Stock 0.79 None 1 EquityTIAA-CREF Funds TIAA-CREF INSTIT LARGE CAP GROWTH TIRTX Non-NTF Growth 0.67 None 1 BondTIAA-CREF Funds TIAA-CREF INSTIT MAN AGED ALLOCATION II TIMRX Non-NTF Growth 0.05 None 1 BondTIAA-CREF Funds TIAA-CREF INSTIT SHO RTT TERM BOND II TCTRX Non-NTF Income 0.43 None 1 BondTIAA-CREF Funds TIAA-CREF INSTIT TAX EXEMPT BOND II TIXRX Non-NTF Income 0.47 None 1 BondTIAA-CREF Funds TIAA-CREF INSTITUTIO NAL BOND FUND RETAIL TIORX Non-NTF Growth 0.5 None 1 EquityTIAA-CREF Funds TIAA-CREF INSTITUTIO NAL BOND PLUS II TCBPX Non-NTF Growth 0.49 None 1 BondTIAA-CREF Funds TIAA-CREF INSTITUTIO NAL GROWTH & INCOME FUND TIIRX Non-NTF Growth and Income 0.7 None 1 EquityTIAA-CREF Funds TIAA-CREF INSTL BOND - RETIREMENT CL TIDRX Non-NTF Growth 0.59 None 1 EquityTIAA-CREF Funds TIAA-CREF INSTL LRG CAP VALUE -RETAIL TCLCX Non-NTF Growth and Income 0.71 None 1 EquityTIAA-CREF Funds TIAA-CREF INSTL MID CAP GROWTH -RETAIL TCMGX Non-NTF Growth and Income 0.73 None 1 EquityTIAA-CREF Funds TIAA-CREF INSTL MID CAP VALUE -RETAIL TCMVX Non-NTF Growth and Income 0.74 None 1 EquityTIAA-CREF Funds TIAA-CREF INSTL REAL ESTATE SEC - RETAIL TCREX Non-NTF Specialty - Real Estate 0.75 None 1 BondTIAA-CREF Funds TIAA-CREF INSTL SMALL CAP - RETAIL TCSEX Non-NTF Growth 0.71 None 1 EquityTIAA-CREF Funds TIAA-CREF INSTL. INFLATN-LINK BD RETL TCILX Non-NTF Government Bond - General 0.49 None 1 EquityTIAA-CREF Funds TIAA-CREF INTL EQ INDEX FD INSTL CL TCIEX Non-NTF Foreign Stock 0.15 None 1 EquityTIAA-CREF Funds TIAA-CREF INTL EQUITY FD RETIREMENT TRERX Non-NTF Foreign Stock 0.82 None 1 EquityTIAA-CREF Funds TIAA-CREF INTL EQUITY INSTL CL TIIEX Non-NTF Foreign Stock 0.57 None 1 EquityTIAA-CREF Funds TIAA-CREF LARGE CAP GROWTH INDEX INSTL TILIX Non-NTF Growth 0.07 None 1 EquityTIAA-CREF Funds TIAA-CREF LARGE CAP VALUE INDEX INSTL TILVX Non-NTF Growth and Income 0.08 None 1 Equity

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Sales Charge

Settlement Days

Security Class

TIAA-CREF Funds TIAA-CREF LARGE CAP VALUE RETIREMENT CL TRLCX Non-NTF Growth and Income 0.76 None 1 EquityTIAA-CREF Funds TIAA-CREF LARGE-CAP GROWTH - RETIREMENT TILRX Non-NTF Growth 0.72 None 1 EquityTIAA-CREF Funds TIAA-CREF MID-CAP GROWTH RETIREMENT CL TRGMX Non-NTF Growth and Income 0.76 None 1 EquityTIAA-CREF Funds TIAA-CREF REAL ESTATE SEC RETIRMENT TRRSX Non-NTF Specialty - Real Estate 0.81 None 1 EquityTIAA-CREF Funds TIAA-CREF RETIREMENT MONEY MARKET - RET TIEXX Non-NTF None 1 EquityTIAA-CREF Funds TIAA-CREF S&P 500 INDEX INSTITUTIONAL TISPX Non-NTF Growth 0.09 None 1 EquityTIAA-CREF Funds TIAA-CREF SMALL CAP BLEND INDEX INSTL TISBX Non-NTF Growth 0.08 None 1 EquityTIAA-CREF Funds TIAA-CREF SMALL CAP EQUITY RETIREMETN CL TRSEX Non-NTF Growth 0.78 None 1 EquityTIAA-CREF Funds TIAA-CREF SOC CHOICE EQUITY RETIREMENT CL TRSCX Non-NTF Growth 0.47 None 1 EquityTIAA-CREF Funds TIAA-CREF SOCIAL CHOICE EQUITY RETAIL TICRX Non-NTF Growth 0.38 None 1 BondTIAA-CREF Funds TIAA-CREF SOCIAL CHOICE INSTITUTIONAL TISCX Non-NTF Growth 0.22 None 1 EquityTIAA-CREF Funds TIAA-CREF TAX EXEMPT BD FD INSTL CL TITIX Non-NTF Income 0.35 None 1 EquityTilson Funds TILSON DIVIDEND FUND TILDX Non-NTF Growth and Income 1.95 None 1 EquityTilson Funds TILSON FOCUS FUND TILFX Non-NTF Growth 2.07 None 1 EquityTimothy Plan Funds TIMOTHY DEFENSIVE STRATEGIES CL C TPDCX Non-NTF Growth -999 1.00 3 EquityTimothy Plan Funds TIMOTHY LARGE/MID GROWTH CL C TLGCX Non-NTF Growth 2.42 1.00 3 EquityTimothy Plan Funds TIMOTHY PLAN AGG GROWTH CL C TCAGX Non-NTF Aggressive Growth 2.6 1.00 3 EquityTimothy Plan Funds TIMOTHY PLAN AGGRESSIVE GROWTH A TAAGX Non-NTF Aggressive Growth 1.85 5.50 3 EquityTimothy Plan Funds TIMOTHY PLAN CONSERV GROWTH CL C TCVCX Non-NTF Balanced 1.85 1.00 3 EquityTimothy Plan Funds TIMOTHY PLAN CONSERVATIVE GRWTH A TCGAX Non-NTF Balanced 1.1 5.50 3 BondTimothy Plan Funds TIMOTHY PLAN DEFENSIVE STRAT CL A TPDAX Non-NTF Growth -999 5.50 3 BondTimothy Plan Funds TIMOTHY PLAN FIXED INCOME CL A TFIAX Non-NTF Multisector Bond 1.2 4.50 3 EquityTimothy Plan Funds TIMOTHY PLAN FIXED INCOME CLASS C TFICX Non-NTF Multisector Bond 1.95 1.00 3 BondTimothy Plan Funds TIMOTHY PLAN HIGH YIELD BOND C TPHCX Non-NTF Equity-Income 2.2 1.00 1 EquityTimothy Plan Funds TIMOTHY PLAN HIGH YIELD BOND CL A TPHAX Non-NTF Equity-Income 1.46 4.50 1 BondTimothy Plan Funds TIMOTHY PLAN INTERNATIONAL CL A TPIAX Non-NTF Foreign Stock 1.72 5.50 1 EquityTimothy Plan Funds TIMOTHY PLAN INTERNATIONAL CL C TPICX Non-NTF Foreign Stock 2.47 1.00 1 EquityTimothy Plan Funds TIMOTHY PLAN LARGE / MID CAP GROWTH CL A TLGAX Non-NTF Growth 1.67 5.50 3 EquityTimothy Plan Funds TIMOTHY PLAN LRG/MID CAP CL C TLVCX Non-NTF Growth 2.32 1.00 3 EquityTimothy Plan Funds TIMOTHY PLAN LRG/MID CAP VALUE CL A TLVAX Non-NTF Growth 1.57 5.50 3 EquityTimothy Plan Funds TIMOTHY PLAN STRATEG IC GROWTH CL C TSGCX Non-NTF Growth 1.85 1.00 3 EquityTimothy Plan Funds TIMOTHY PLAN STRATEGIC GROWTH A TSGAX Non-NTF Growth 1.11 5.50 3 EquityTimothy Plan Funds TIMOTHY SMALL CAP VALUE CL C TSVCX Non-NTF Growth 2.34 1.00 3 EquityTimothy Plan Funds TIMOTHY SMALL CAP VALUE CLASS A TPLNX Non-NTF Growth 1.59 5.50 3 EquityTocqueville Trust TOCQUEVILLE THE SELECT FUND DESYX Non-NTF Growth 1.26 None 3 EquityToews Funds TOEWS HEDGED EMERGING MARKETS THEMX Non-NTF Growth -999 None 1 EquityTorray Funds TORRAY FUND TORYX Non-NTF Growth 1.13 None 1 EquityTorray Funds TORRAY INSTITUTIONAL TORRX Non-NTF Growth 0.85 None 1 EquityTouchstone Family of Funds TOUCHSTONE CAPITAL APPRECIATION CLASS A TCFAX Non-NTF Growth -999 5.75 3 EquityTouchstone Family of Funds TOUCHSTONE CAPITAL APPRECIATION FD CL I TAFIX Non-NTF Growth -999 None 3 BondTouchstone Family of Funds TOUCHSTONE CAPITAL APPRECIATION FUND Y TCAYX Non-NTF Growth -999 None 3 BondTouchstone Family of Funds TOUCHSTONE CORE BOND CLASS A TOBAX Non-NTF Corporate Bond - General 0.9 4.75 3 EquityTouchstone Family of Funds TOUCHSTONE CORE BOND CLASS C TODCX Non-NTF Corporate Bond - General 1.65 1.00 3 EquityTouchstone Family of Funds TOUCHSTONE CORE PLUS FIXED INCOME CLASS A TCPAX Non-NTF Growth -999 4.75 3 BondTouchstone Family of Funds TOUCHSTONE CORE PLUS FIXED INCOME FD CL I TCPNX Non-NTF Growth -999 None 3 EquityTouchstone Family of Funds TOUCHSTONE CORE PLUS FIXED INCOME FUND Y TCPYX Non-NTF Growth -999 None 3 EquityTouchstone Family of Funds TOUCHSTONE DIV SMALL CAP GROWTH FD C TDSCX Non-NTF Growth 2.15 1.00 3 EquityTouchstone Family of Funds TOUCHSTONE DIV SMALL CAP GROWTH FD Y TDSIX Non-NTF Growth 1.15 None 1 EquityTouchstone Family of Funds TOUCHSTONE DIVERSIFI ED SMALL CAP GR CL A TDSAX Non-NTF Growth 1.4 5.75 3 EquityTouchstone Family of Funds TOUCHSTONE EMERGING MARKETS CLASS A TEMAX Non-NTF Diversified Emerging Markets -999 5.75 3 EquityTouchstone Family of Funds TOUCHSTONE EMERGING MARKETS FUND CL I TMEIX Non-NTF Diversified Emerging Markets -999 None 3 EquityTouchstone Family of Funds TOUCHSTONE EMERGING MARKETS FUND CL Y TEMYX Non-NTF Diversified Emerging Markets -999 None 3 EquityTouchstone Family of Funds TOUCHSTONE FIXED INCOME CL Y TIFYX Non-NTF Foreign Stock -999 None 3 EquityTouchstone Family of Funds TOUCHSTONE FOCUSED EQUITY FUND CL Y TFEYX Non-NTF Growth -999 None 3 EquityTouchstone Family of Funds TOUCHSTONE FOCUSED EQUITY FUND CLASS A TFEAX Non-NTF Growth -999 5.75 3 EquityTouchstone Family of Funds TOUCHSTONE GLOBAL EQUITY FD CL I TGFIX Non-NTF Growth -999 None 3 EquityTouchstone Family of Funds TOUCHSTONE GLOBAL EQUITY FUND CL Y TGEYX Non-NTF Growth -999 None 3 EquityTouchstone Family of Funds TOUCHSTONE GLOBAL EQUITY FUND CLASS A TGEAX Non-NTF Growth -999 5.75 3 EquityTouchstone Family of Funds TOUCHSTONE GLOBAL REAL ESTATE CLASS A TGAAX Non-NTF Specialty - Real Estate -999 5.75 3 Equity

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Sales Charge

Settlement Days

Security Class

Touchstone Family of Funds TOUCHSTONE GLOBAL REAL ESTATE FD CL I TRFIX Non-NTF Specialty - Real Estate -999 None 3 EquityTouchstone Family of Funds TOUCHSTONE GLOBAL REAL ESTATE FD CL Y TRFYX Non-NTF Specialty - Real Estate -999 None 3 EquityTouchstone Family of Funds TOUCHSTONE GROWTH OPPORTUNITIES CL A TGVFX Non-NTF Growth 1.51 5.75 3 EquityTouchstone Family of Funds TOUCHSTONE GROWTH OPPORTUNITIES CL C TGVCX Non-NTF Growth 2.27 1.00 3 EquityTouchstone Family of Funds TOUCHSTONE GROWTH OPPORTUNITIES CL Y TGVYX Non-NTF Growth 0.97 None 3 EquityTouchstone Family of Funds TOUCHSTONE GROWTH OPPORTUNITIES INSTL TGVVX Non-NTF Growth 0.82 None 3 EquityTouchstone Family of Funds TOUCHSTONE HEALTH CARE & BIOTECH FD A THBCX Non-NTF Specialty - Health 1.55 5.75 3 BondTouchstone Family of Funds TOUCHSTONE HEALTHCAR & BIOTECH FD CL C THBFX Non-NTF Specialty - Health 2.3 1.00 3 BondTouchstone Family of Funds TOUCHSTONE HI YIELD CLASS C THYCX Non-NTF Corporate Bond - High Yield 1.8 1.00 3 EquityTouchstone Family of Funds TOUCHSTONE INTER FIXED INCOME CLASS I TCFIX Non-NTF Corporate Bond - General 0.52 None 1 EquityTouchstone Family of Funds TOUCHSTONE INTERNAT' L FIXED INCOME CL I TIFIX Non-NTF Foreign Stock -999 None 3 EquityTouchstone Family of Funds TOUCHSTONE INTERNATL GORWTH FUND CL Y TYIMX Non-NTF Foreign Stock 1.1 None 3 EquityTouchstone Family of Funds TOUCHSTONE INTL FIXED INCOME CL A TIFAX Non-NTF Foreign Stock -999 4.75 3 EquityTouchstone Family of Funds TOUCHSTONE INTL GROWTH FD CL A TAIMX Non-NTF Foreign Stock 1.35 5.75 3 EquityTouchstone Family of Funds TOUCHSTONE LARGE CAP CORE EQUITY FD CL A TENAX Non-NTF Growth 1.15 5.75 3 EquityTouchstone Family of Funds TOUCHSTONE LARGE CAP CORE EQUITY FD CL C TENCX Non-NTF Growth 1.9 1.00 3 EquityTouchstone Family of Funds TOUCHSTONE LARGE CAP GROWTH CL Y TIQIX Non-NTF Growth 0.97 None 3 EquityTouchstone Family of Funds TOUCHSTONE LARGE CAP GROWTH CLASS A TEQAX Non-NTF Growth 1.25 5.75 3 EquityTouchstone Family of Funds TOUCHSTONE LARGE CAP GROWTH CLASS C TEQCX Non-NTF Growth 2 1.00 3 EquityTouchstone Family of Funds TOUCHSTONE LARGE CAP RELATIVE VALUE CL A TRVAX Non-NTF Growth -999 5.75 3 EquityTouchstone Family of Funds TOUCHSTONE LARGE CAP RELATIVE VALUE CL I TRVIX Non-NTF Growth -999 None 3 EquityTouchstone Family of Funds TOUCHSTONE LARGE CAP RELATIVE VALUE CL Y TRVYX Non-NTF Growth -999 None 3 EquityTouchstone Family of Funds TOUCHSTONE MARKET NEUTRAL EQUITY CL A TSEAX Non-NTF Growth -999 5.75 3 EquityTouchstone Family of Funds TOUCHSTONE MARKET NEUTRAL EQUITY CL Y TSEYX Non-NTF Growth -999 None 3 EquityTouchstone Family of Funds TOUCHSTONE MID CAP FD INSTL CLASS TMCPX Non-NTF Growth 0.9 None 1 EquityTouchstone Family of Funds TOUCHSTONE MID CAP FUND CLASS A TMAPX Non-NTF Growth 1.15 5.75 3 EquityTouchstone Family of Funds TOUCHSTONE MID CAP FUND CLASS C TMCJX Non-NTF Growth 1.9 1.00 3 EquityTouchstone Family of Funds TOUCHSTONE MID CAP GROWTH CL Y TEGYX Non-NTF Growth 1.25 None 3 EquityTouchstone Family of Funds TOUCHSTONE MID CAP GROWTH CLASS A TEGAX Non-NTF Growth 1.5 5.75 3 EquityTouchstone Family of Funds TOUCHSTONE MID CAP VALUE CLASS A TCVAX Non-NTF Growth -999 5.75 3 EquityTouchstone Family of Funds TOUCHSTONE MID CAP VALUE FUND CL I TCVIX Non-NTF Growth -999 None 3 EquityTouchstone Family of Funds TOUCHSTONE MID-CAP GROWTH CLASS C TOECX Non-NTF Growth 2.25 1.00 3 BondTouchstone Family of Funds TOUCHSTONE MONEY MARKET TMMXX Non-NTF None 0 BondTouchstone Family of Funds TOUCHSTONE OHIO TAX FREE BOND FUND CL C TOHCX Non-NTF Municipal Bond - Single State 1.55 1.00 3 BondTouchstone Family of Funds TOUCHSTONE PREMIUM YIELD EQUITY FD CL Y TPYYX Non-NTF Growth and Income 0.95 None 3 EquityTouchstone Family of Funds TOUCHSTONE PREMIUM YIELD EQUITY FUND A TPYAX Non-NTF Growth and Income 1.2 5.75 3 EquityTouchstone Family of Funds TOUCHSTONE SANDS CAP SEL GROWTH CL Y CFSIX Non-NTF Growth 0.98 None 3 EquityTouchstone Family of Funds TOUCHSTONE SANDS CAPITAL INSTL GRWTH CISGX Non-NTF Growth 0.8 None 3 EquityTouchstone Family of Funds TOUCHSTONE SMALL CAP CORE CLASS A TSFAX Non-NTF Small Company -999 5.75 3 EquityTouchstone Family of Funds TOUCHSTONE SMALL CAP CORE FUND CL I TSFIX Non-NTF Small Company -999 None 3 EquityTurner Funds TURNER CORE GROWTH INSTL CL TTMEX Non-NTF Growth 0.69 None 1 EquityTurner Funds TURNER EMERGING GROWTH FUND INSTL TMCOX Non-NTF Small Company 1.15 None 1 EquityTurner Funds TURNER LARGE CAP GROWTH INTST TSGEX Non-NTF Growth 0.69 None 1 EquityTurner Funds TURNER MIDCAP GROWTH FUND - INSTL TMGEX Non-NTF Growth 0.93 None 1 EquityTurner Funds TURNER QUANTITATIVE BROAD MRKT EQ INSTL TBMEX Non-NTF Growth 0.64 None 1 EquityTurner Funds TURNER QUANTITATIVE LARGE CAP VAL INSTL TLVFX Non-NTF Growth 0.69 None 1 EquityTurner Funds TURNER SMALL CAP EQUITY FUND INSTL TSEEX Non-NTF Small Company 1.2 None 1 EquityTurner Funds TURNER SPECTRUM FUND INSTL CLASS TSPEX Non-NTF Growth 2.44 None 1 EquityTweedy Browne Funds TWEEDY BROWNE GL VAL FD II CURRENCY UNHED TBCUX Non-NTF Foreign Stock -999 None 1 EquityTweedy Browne Funds TWEEDY BROWNE GLOBAL VALUE FUND TBGVX Non-NTF Foreign Stock 1.4 None 1 EquityTweedy Browne Funds TWEEDY BROWNE VALUE FUND TWEBX Non-NTF Growth 1.41 None 1 EquityTweedy Browne Funds TWEEDY BROWNE WLDWD HIGH DIV YLD VALUE TBHDX Non-NTF Growth 1.37 None 1 BondU.S. Global Investors GOLD AND PRECIOUS METALS FUND USERX Non-NTF Specialty - Precious Metals 1.39 None 1 BondU.S. Global Investors NEAR-TERM TAX FREE FUND NEARX Non-NTF Municipal Bond - National 0.45 None 1 BondUBS Funds UBS ABSOLUTE RETURN BOND FUND CL C BNRCX Non-NTF Income 1.35 0.50 3 EquityUBS Funds UBS ABSOLUTE RETURN BOND FUND CLASS A BNRAX Non-NTF Income 1 2.50 3 EquityUBS Funds UBS DYNAMIC ALPHA FD CL A BNAAX Non-NTF Asset Allocation 1.3 5.50 3 EquityUBS Funds UBS DYNAMIC ALPHA FD CL C BNACX Non-NTF Asset Allocation 2.07 1.00 3 EquityUBS Funds UBS GLOBAL ALLOCATION CL A BNGLX Non-NTF Asset Allocation 1.19 5.50 3 Bond

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Settlement Days

Security Class

UBS Funds UBS GLOBAL ALLOCATION CL C BNPCX Non-NTF Asset Allocation 1.97 1.00 3 BondUBS Funds UBS GLOBAL BOND CL C BNDCX Non-NTF Worldwide Bond 1.65 0.75 3 EquityUBS Funds UBS GLOBAL BOND CLASS A BNGBX Non-NTF Worldwide Bond 1.15 4.50 3 EquityUBS Funds UBS GLOBAL EQUITY CL C BNECX Non-NTF World Stock 2 1.00 3 EquityUBS Funds UBS GLOBAL EQUITY CLASS A BNGEX Non-NTF World Stock 1.25 5.50 3 BondUBS Funds UBS GLOBAL FRONTIER FUND CLASS A BGFAX Non-NTF Growth 1.4 5.50 3 BondUBS Funds UBS HIGH YIELD CLASS A BNHYX Non-NTF Corporate Bond - High Yield 1.2 4.50 3 EquityUBS Funds UBS HIGH YIELD CLASS C BNHCX Non-NTF Corporate Bond - High Yield 1.7 0.75 3 EquityUBS Funds UBS INTERNAT EQUITY CLASS A BNIEX Non-NTF Foreign Stock 1.25 5.50 3 BondUBS Funds UBS INTERNATIONAL EQUITY FUND CL C BNICX Non-NTF Foreign Stock 2 1.00 3 BondUBS Funds UBS PACE GLOBAL FIXED INCOME FD CL C PWFCX Non-NTF Worldwide Bond 1.75 0.75 3 BondUBS Funds UBS PACE GLOBAL FIXED INCOME INVST A PWFAX Non-NTF Worldwide Bond 1.25 4.50 3 BondUBS Funds UBS PACE GOV'T SEC FIXED INC INV A PFXAX Non-NTF Government Bond - General 1.02 4.50 3 BondUBS Funds UBS PACE GOVT SEC FIXED INCOME INVST C PFXCX Non-NTF Government Bond - General 1.52 0.75 3 BondUBS Funds UBS PACE HIGH YIELD INVESTMETNS CL A PHIAX Non-NTF Corporate Bond - High Yield 1.35 4.50 3 BondUBS Funds UBS PACE INTERM FIXED INCOME INVST C PIICX Non-NTF Corporate Bond - General 1.43 0.75 3 EquityUBS Funds UBS PACE INTERMED FIXED INCOME INVST A PIFAX Non-NTF Corporate Bond - General 0.93 4.50 3 EquityUBS Funds UBS PACE INTERNATL EMERGING MKTS CL A PWEAX Non-NTF Diversified Emerging Markets 1.93 5.50 3 EquityUBS Funds UBS PACE INTL EMERGING MRKTS C PWECX Non-NTF Diversified Emerging Markets 2.67 1.00 3 EquityUBS Funds UBS PACE INT'L EQUITY INVESTMENTS C PWGCX Non-NTF Foreign Stock 2.31 1.00 3 EquityUBS Funds UBS PACE INTN'L EQUITY INVST CL A PWGAX Non-NTF Foreign Stock 1.46 5.50 3 EquityUBS Funds UBS PACE LARGE CO GRWTH EQ INVEST CL A PLAAX Non-NTF Growth 1.26 5.50 3 EquityUBS Funds UBS PACE LARGE CO VALUE EQ INVST CL A PCPAX Non-NTF Growth and Income 1.24 5.50 3 EquityUBS Funds UBS PACE LARGE CO VALUE EQUITY INV C PLVCX Non-NTF Growth and Income 2.02 1.00 3 BondUBS Funds UBS PACE LARGE GR EQUITY CL C PLACX Non-NTF Growth 2.05 1.00 3 BondUBS Funds UBS PACE MUNI FIXED INCOME CL A PMUAX Non-NTF Municipal Bond - National 0.93 4.50 3 EquityUBS Funds UBS PACE MUNI FIXED INCOME INV CL C PMUCX Non-NTF Municipal Bond - National 1.43 0.75 3 EquityUBS Funds UBS PACE SMALL/MED GROWTH EQUITY CL C PUMCX Non-NTF Growth 2.13 1.00 3 EquityUBS Funds UBS PACE SMALL/MEDIU CO VALUE EQUITY CL A PEVAX Non-NTF Growth 1.38 5.50 3 EquityUBS Funds UBS PACE SML/MED CO GRWTH EQ INVEST A PQUAX Non-NTF Growth 1.38 5.50 3 BondUBS Funds UBS PACE SML/MED CO VALUE EQ INVEST C PEVCX Non-NTF Growth 2.15 1.00 3 BondUBS Funds UBS PACE STRATEGIC FIXD INC A PBNAX Non-NTF Corporate Bond - General 1.07 4.50 3 EquityUBS Funds UBS PACE STRATEGIC FXD INC INV CL C PBNCX Non-NTF Corporate Bond - General 1.57 0.75 3 EquityUBS Funds UBS US ALLOCATION FUND CLASS A PWTAX Non-NTF Asset Allocation 1.05 5.50 3 BondUBS Funds UBS US ALLOCATION FUND CLASS C KPAAX Non-NTF Asset Allocation 1.8 1.00 3 BondUBS Funds UBS US BOND CLASS A BNBDX Non-NTF Corporate Bond - General 0.85 4.50 3 EquityUBS Funds UBS US BOND FUND CLASS C BNOCX Non-NTF Corporate Bond - General 1.35 0.75 3 EquityUBS Funds UBS US EQUITY ALPHA FUND CLASS A BEAAX Non-NTF Growth and Income 1.5 5.50 3 EquityUBS Funds UBS US LARGE CAP EQUITY CL C BNQCX Non-NTF Growth and Income 1.96 1.00 3 EquityUBS Funds UBS US LARGE CAP EQUITY CLASS A BNEQX Non-NTF Growth and Income 1.28 5.50 3 EquityUBS Funds UBS US LARGE CAP VALUE EQUITY CLASS A BNVAX Non-NTF Growth and Income 1.1 5.50 3 EquityUBS Funds UBS US LARGE CAP VALUE EQUITY CLASS C BNVCX Non-NTF Growth and Income 1.85 1.00 3 EquityUBS Funds UBS US SMALL CAP GROWTH CL A BNSCX Non-NTF Growth 1.28 5.50 3 EquityUBS Funds UBS US SMALL CAP GROWTH CL C BNMCX Non-NTF Growth 2.03 1.00 3 EquityUBS Y Shares UBS US ALLOCATION FUND CLASS Y PWTYX Non-NTF Asset Allocation 0.65 None 1 EquityUBS Y Shares UBS US LARGE CAP VALUE EQUITY CLASS Y BUSVX Non-NTF Growth and Income 0.85 None 1 EquityVan Eck Global Funds VAN ECK EMERGING MARKETS CL C EMRCX Non-NTF Diversified Emerging Markets 2.49 1.00 3 EquityVan Eck Global Funds VAN ECK EMERGING MARKETS CLASS A GBFAX Non-NTF Diversified Emerging Markets 1.8 5.75 3 EquityVan Eck Global Funds VAN ECK FDS INTL INVS GOLD FD CL C IIGCX Non-NTF Specialty - Precious Metals 2.2 1.00 3 EquityVan Eck Global Funds VAN ECK GLOBAL HARD ASSETS CLASS A GHAAX Non-NTF Specialty - Natural Resources 1.46 5.75 3 EquityVan Eck Global Funds VAN ECK GLOBAL HARD ASSETS CLASS C GHACX Non-NTF Specialty - Natural Resources 2.2 1.00 3 EquityVan Eck Global Funds VAN ECK INTERNATN'L INVESTORS GOLD CL A INIVX Non-NTF Specialty - Precious Metals 1.45 5.75 3 EquityVan Kampen Funds VAN KAMPEN 2010 RET STRATEGY CL A VRAAX Non-NTF Asset Allocation 0.38 5.75 3 EquityVan Kampen Funds VAN KAMPEN 2010 RET STRATEGY CL I VRAIX Non-NTF Asset Allocation 0.13 None 3 EquityVan Kampen Funds VAN KAMPEN 2010 RET STRATEGY FUND CL C VRACX Non-NTF Asset Allocation 1.07 1.00 3 EquityVan Kampen Funds VAN KAMPEN 2015 RET STRATEGY CL C VRBCX Non-NTF Asset Allocation 1.1 1.00 3 EquityVan Kampen Funds VAN KAMPEN 2015 RET STRATEGY CL I VRBIX Non-NTF Asset Allocation 0.17 None 3 EquityVan Kampen Funds VAN KAMPEN 2015 RET STRATEGY FUND CL A VRBAX Non-NTF Asset Allocation 0.42 5.75 3 EquityVan Kampen Funds VAN KAMPEN 2020 RET STRATEGY CL I VRCIX Non-NTF Asset Allocation 0.18 None 3 Equity

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Settlement Days

Security Class

Van Kampen Funds VAN KAMPEN 2020 RET STRATEGY FD CL C VRCCX Non-NTF Asset Allocation 1.17 1.00 3 EquityVan Kampen Funds VAN KAMPEN 2020 RET STRATEGY FUND CL A VRCAX Non-NTF Asset Allocation 0.43 5.75 3 EquityVan Kampen Funds VAN KAMPEN 2025 RET STRATEGY CL I VRDIX Non-NTF Asset Allocation 0.16 None 3 EquityVan Kampen Funds VAN KAMPEN 2025 RET STRATEGY FUND CL A VRDAX Non-NTF Asset Allocation 0.41 5.75 3 EquityVan Kampen Funds VAN KAMPEN 2025 RETIREMENT CLASS C VRDCX Non-NTF Asset Allocation 1.16 1.00 3 EquityVan Kampen Funds VAN KAMPEN 2030 RET STRATEGY CL I VREIX Non-NTF Asset Allocation 0.13 None 3 EquityVan Kampen Funds VAN KAMPEN 2030 RET STRATEGY FD CL C VRECX Non-NTF Asset Allocation 1.12 1.00 3 EquityVan Kampen Funds VAN KAMPEN 2030 RET STRATEGY FUND CL A VREAX Non-NTF Asset Allocation 0.38 5.75 3 EquityVan Kampen Funds VAN KAMPEN 2035 RET STRATEGY CL I VRFIX Non-NTF Asset Allocation 0.04 None 3 EquityVan Kampen Funds VAN KAMPEN 2035 RET STRATEGY FUND CL A VRFAX Non-NTF Asset Allocation 0.29 5.75 3 EquityVan Kampen Funds VAN KAMPEN 2040 RET STRATEGY CL I VRGIX Non-NTF Asset Allocation 0.03 None 3 EquityVan Kampen Funds VAN KAMPEN 2040 RET STRATEGY FUND CL A VRGAX Non-NTF Asset Allocation 0.28 5.75 3 EquityVan Kampen Funds VAN KAMPEN 2045 RET STRATEGY FUND CL A VRHAX Non-NTF Asset Allocation 0.28 5.75 3 EquityVan Kampen Funds VAN KAMPEN 2050 RET STRATEGY CL A VRIAX Non-NTF Asset Allocation 0.26 5.75 3 EquityVan Kampen Funds VAN KAMPEN 2050 RET STRATEGY CL I VRIIX Non-NTF Asset Allocation 0.01 None 3 EquityVan Kampen Funds VAN KAMPEN ALLOC GRWTH FD CL C VKACX Non-NTF Growth and Income 1.15 1.00 3 EquityVan Kampen Funds VAN KAMPEN ALLOCAT MODERATE CL C VAMCX Non-NTF Growth and Income 1.15 1.00 3 EquityVan Kampen Funds VAN KAMPEN AMERICAN FRANCHISE CL B VAFBX Non-NTF Growth 2.1 5.00 3 EquityVan Kampen Funds VAN KAMPEN AMERICAN FRANCHISE FD CL A VAFAX Non-NTF Growth 1.35 5.75 3 EquityVan Kampen Funds VAN KAMPEN AMERICAN FRANCHISE FD CL C VAFCX Non-NTF Growth 2.16 1.00 3 EquityVan Kampen Funds VAN KAMPEN AMERICAN FRANCHISE FD CL I VAFIX Non-NTF Growth 1.1 None 3 EquityVan Kampen Funds VAN KAMPEN AMERICAN PACE FUND I ACPDX Non-NTF Growth 0.7 None 3 EquityVan Kampen Funds VAN KAMPEN AMERICAN VALUE CL R MSARX Non-NTF Small Company 1.7 None 3 EquityVan Kampen Funds VAN KAMPEN AMERICAN VALUE CLASS A MSAVX Non-NTF Small Company 1.41 5.75 3 EquityVan Kampen Funds VAN KAMPEN AMERICAN VALUE CLASS B MGAVX Non-NTF Small Company 1.48 5.00 3 EquityVan Kampen Funds VAN KAMPEN AMERICAN VALUE CLASS C MSVCX Non-NTF Small Company 2.11 1.00 3 EquityVan Kampen Funds VAN KAMPEN AMERICAN VALUE FD CL I MSAIX Non-NTF Small Company 1.19 None 3 EquityVan Kampen Funds VAN KAMPEN ASSET ALCTION GRWT FD CL B VKABX Non-NTF Growth and Income 1.15 5.00 3 EquityVan Kampen Funds VAN KAMPEN ASSET ALLOCATION MOD CL B VAMBX Non-NTF Growth and Income 1.15 5.00 3 EquityVan Kampen Funds VAN KAMPEN ASSETT ALLOCATION CONSV C VACCX Non-NTF Growth and Income 1.12 1.00 3 BondVan Kampen Funds VAN KAMPEN ASSETT ALLOCATION CONV A VACAX Non-NTF Growth and Income 0.4 5.75 3 EquityVan Kampen Funds VAN KAMPEN ASSETT ALLOCATION CONV CL B VACBX Non-NTF Growth and Income 1.15 5.00 3 EquityVan Kampen Funds VAN KAMPEN ASSETT ALLOCATION GRWTH A VKAAX Non-NTF Growth and Income 0.4 5.75 3 BondVan Kampen Funds VAN KAMPEN ASSETT ALLOCATION MOD FD A VAMAX Non-NTF Growth and Income 0.4 5.75 3 BondVan Kampen Funds VAN KAMPEN CA INSURED TAX FREE I VCIIX Non-NTF Municipal Bond - Single State 0.68 None 3 BondVan Kampen Funds VAN KAMPEN CALIF INSD TAX FREE CL A VKCIX Non-NTF Municipal Bond - Single State 0.95 4.75 3 BondVan Kampen Funds VAN KAMPEN CALIF INSD TAX FREE CL B VCIBX Non-NTF Municipal Bond - Single State 0.99 4.00 3 EquityVan Kampen Funds VAN KAMPEN CALIF INSD TAX FREE CL C VCICX Non-NTF Municipal Bond - Single State 1.75 1.00 3 EquityVan Kampen Funds VAN KAMPEN CAPITAL GROWTH CLASS A ACPAX Non-NTF Growth 0.95 5.75 3 EquityVan Kampen Funds VAN KAMPEN CAPITAL GROWTH CLASS B ACPBX Non-NTF Growth 1 5.00 3 EquityVan Kampen Funds VAN KAMPEN CAPITAL GROWTH CLASS C ACPCX Non-NTF Growth 1.7 1.00 3 EquityVan Kampen Funds VAN KAMPEN CAPITAL GROWTH CLASS R ACPRX Non-NTF Growth 1.2 None 3 EquityVan Kampen Funds VAN KAMPEN COMSTOCK CLASS A ACSTX Non-NTF Growth and Income 0.89 5.75 3 EquityVan Kampen Funds VAN KAMPEN COMSTOCK CLASS B ACSWX Non-NTF Growth and Income 0.89 5.00 3 EquityVan Kampen Funds VAN KAMPEN COMSTOCK CLASS C ACSYX Non-NTF Growth and Income 1.64 1.00 3 EquityVan Kampen Funds VAN KAMPEN COMSTOCK FD CL I ACSDX Non-NTF Growth and Income 0.64 None 3 EquityVan Kampen Funds VAN KAMPEN COMSTOCK FD CL R ACSRX Non-NTF Growth and Income 1.14 None 3 EquityVan Kampen Funds VAN KAMPEN CORE EQUITY CLASS R VCERX Non-NTF Growth and Income 1.45 None 3 EquityVan Kampen Funds VAN KAMPEN CORE EQUITY FD CL A VCEAX Non-NTF Growth and Income 1.2 5.75 3 EquityVan Kampen Funds VAN KAMPEN CORE EQUITY FD CL B VCEBX Non-NTF Growth and Income 1.97 5.00 3 EquityVan Kampen Funds VAN KAMPEN CORE EQUITY FD CL C VCECX Non-NTF Growth and Income 1.9 1.00 3 EquityVan Kampen Funds VAN KAMPEN CORE EQUITY FD CL I VCEIX Non-NTF Growth and Income 2.02 None 3 EquityVan Kampen Funds VAN KAMPEN CORE GROWTH CLASS A VCOAX Non-NTF Growth 1.3 5.75 3 EquityVan Kampen Funds VAN KAMPEN CORE GROWTH CLASS B VCOBX Non-NTF Growth 1.93 5.00 3 EquityVan Kampen Funds VAN KAMPEN CORE GROWTH CLASS C VCOCX Non-NTF Growth 1.48 1.00 3 BondVan Kampen Funds VAN KAMPEN CORE GROWTH CLASS I VCOIX Non-NTF Growth 1.05 None 3 BondVan Kampen Funds VAN KAMPEN CORE PLUS FIXED INC CL I VCPIX Non-NTF Growth and Income 0.5 None 3 EquityVan Kampen Funds VAN KAMPEN CORE PLUS FIXED INC FD CL B VCPBX Non-NTF Growth and Income 1.5 4.00 3 EquityVan Kampen Funds VAN KAMPEN CORE PLUS FIXED INC FD CL C VCPCX Non-NTF Growth and Income 1.18 1.00 3 Bond

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Security Class

Van Kampen Funds VAN KAMPEN CORE PLUS FIXED INCOME CL A VCPAX Non-NTF Growth and Income 0.75 4.75 3 BondVan Kampen Funds VAN KAMPEN CORP BOND FD CLASS I ACCHX Non-NTF Corporate Bond - General 0.7 None 3 BondVan Kampen Funds VAN KAMPEN CORPORATE BOND CLASS A ACCBX Non-NTF Corporate Bond - General 0.95 4.75 3 BondVan Kampen Funds VAN KAMPEN CORPORATE BOND CLASS B ACCDX Non-NTF Corporate Bond - General 1.42 4.00 3 EquityVan Kampen Funds VAN KAMPEN CORPORATE BOND CLASS C ACCEX Non-NTF Corporate Bond - General 1.7 1.00 3 EquityVan Kampen Funds VAN KAMPEN EMERGING MARKETS CL I MSRIX Non-NTF Diversified Emerging Markets 1.85 None 3 EquityVan Kampen Funds VAN KAMPEN EMERGING MARKETS CLASS A MSRAX Non-NTF Diversified Emerging Markets 2.22 5.75 3 EquityVan Kampen Funds VAN KAMPEN EMERGING MARKETS CLASS B MSRBX Non-NTF Diversified Emerging Markets 2.97 5.00 3 EquityVan Kampen Funds VAN KAMPEN EMERGING MARKETS CLASS C MSRCX Non-NTF Diversified Emerging Markets 2.97 1.00 3 EquityVan Kampen Funds VAN KAMPEN ENTERPRISE CLASS A ACENX Non-NTF Growth 1.17 5.75 3 EquityVan Kampen Funds VAN KAMPEN ENTERPRISE CLASS B ACEOX Non-NTF Growth 1.92 5.00 3 EquityVan Kampen Funds VAN KAMPEN ENTERPRISE CLASS C ACEPX Non-NTF Growth 1.92 1.00 3 EquityVan Kampen Funds VAN KAMPEN EQUITY & INCOME FD CL I ACETX Non-NTF Equity-Income 0.57 None 1 EquityVan Kampen Funds VAN KAMPEN EQUITY & INCOME FD CL R ACESX Non-NTF Equity-Income 1.07 None 3 EquityVan Kampen Funds VAN KAMPEN EQUITY AND INCOME CLASS A ACEIX Non-NTF Equity-Income 0.82 5.75 3 EquityVan Kampen Funds VAN KAMPEN EQUITY AND INCOME CLASS B ACEQX Non-NTF Equity-Income 0.82 5.00 3 EquityVan Kampen Funds VAN KAMPEN EQUITY AND INCOME CLASS C ACERX Non-NTF Equity-Income 1.56 1.00 3 EquityVan Kampen Funds VAN KAMPEN EQUITY GROWTH CLASS A VEGAX Non-NTF Growth 1.14 5.75 3 EquityVan Kampen Funds VAN KAMPEN EQUITY GROWTH CLASS B VEGBX Non-NTF Growth 1.07 5.00 3 EquityVan Kampen Funds VAN KAMPEN EQUITY GROWTH CLASS C VEGCX Non-NTF Growth 1.89 1.00 3 EquityVan Kampen Funds VAN KAMPEN EQUITY GROWTH FD CL I VEGIX Non-NTF Growth 0.91 None 3 EquityVan Kampen Funds VAN KAMPEN EQUITY PREMIUM INC FD B VEPBX Non-NTF Growth and Income 1.99 5.00 3 EquityVan Kampen Funds VAN KAMPEN EQUITY PREMIUM INC FD C VEPCX Non-NTF Growth and Income 1.99 1.00 3 EquityVan Kampen Funds VAN KAMPEN EQUITY PREMIUM INC FD CL I VEPIX Non-NTF Growth and Income 0.99 None 3 EquityVan Kampen Funds VAN KAMPEN EQUITY PREMIUM INCOME CL A VEPAX Non-NTF Growth and Income 1.24 5.75 3 BondVan Kampen Funds VAN KAMPEN GL TACT ASSET ALLOCATION A VGTAX Non-NTF Asset Allocation 1.2 5.75 3 BondVan Kampen Funds VAN KAMPEN GLOBAL BD FD CLASS I VGBIX Non-NTF Worldwide Bond 0.75 None 3 BondVan Kampen Funds VAN KAMPEN GLOBAL BD FUND CLASS A VGBAX Non-NTF Worldwide Bond 1 4.75 3 BondVan Kampen Funds VAN KAMPEN GLOBAL BD FUND CLASS B VGBBX Non-NTF Worldwide Bond 1.75 4.00 3 EquityVan Kampen Funds VAN KAMPEN GLOBAL BOND FUND CL C VGBCX Non-NTF Worldwide Bond 0.78 1.00 3 EquityVan Kampen Funds VAN KAMPEN GLOBAL EQUITY ALLOC CLASS A MSGAX Non-NTF World Stock 1.7 5.75 3 EquityVan Kampen Funds VAN KAMPEN GLOBAL EQUITY ALLOC CLASS B MSGBX Non-NTF World Stock 1.61 5.00 3 EquityVan Kampen Funds VAN KAMPEN GLOBAL EQUITY ALLOC CLASS C MSGCX Non-NTF World Stock 2.45 1.00 3 EquityVan Kampen Funds VAN KAMPEN GLOBAL FRANCHISE CL A VGFAX Non-NTF World Stock 1.28 5.75 3 EquityVan Kampen Funds VAN KAMPEN GLOBAL FRANCHISE CL B VGFBX Non-NTF World Stock 1.28 5.00 3 EquityVan Kampen Funds VAN KAMPEN GLOBAL FRANCHISE CL C VGFCX Non-NTF World Stock 2 1.00 3 EquityVan Kampen Funds VAN KAMPEN GLOBAL FRANCHISE CL I VGFIX Non-NTF World Stock 1.03 None 1 EquityVan Kampen Funds VAN KAMPEN GLOBAL GROWTH CL B VGGBX Non-NTF Growth 1.56 5.00 3 EquityVan Kampen Funds VAN KAMPEN GLOBAL GROWTH CL C VGGCX Non-NTF Growth 1.31 1.00 3 EquityVan Kampen Funds VAN KAMPEN GLOBAL GROWTH CL I VGGIX Non-NTF Growth 1.25 None 3 EquityVan Kampen Funds VAN KAMPEN GLOBAL GROWTH FUND CL A VGGAX Non-NTF Growth 1.5 5.75 3 EquityVan Kampen Funds VAN KAMPEN GLOBAL TACT ASSET ALLOC B VGTBX Non-NTF Asset Allocation 1.88 5.00 3 EquityVan Kampen Funds VAN KAMPEN GLOBAL TACTICAL ASSET ALL I VGTIX Non-NTF Asset Allocation 0.95 None 1 BondVan Kampen Funds VAN KAMPEN GLOBAL TACTICAL AST ALLOC C VGTCX Non-NTF Asset Allocation 1.91 1.00 3 BondVan Kampen Funds VAN KAMPEN GOVT SECS CLASS A ACGVX Non-NTF Government Bond - General 1.03 4.75 3 BondVan Kampen Funds VAN KAMPEN GOVT SECS CLASS B ACGTX Non-NTF Government Bond - General 1.78 4.00 3 BondVan Kampen Funds VAN KAMPEN GOVT SECS CLASS C ACGSX Non-NTF Government Bond - General 1.78 1.00 3 EquityVan Kampen Funds VAN KAMPEN GOV'T SECURITIES CL I ACGUX Non-NTF Government Bond - General 0.78 None 3 EquityVan Kampen Funds VAN KAMPEN GROWTH & INCOME CL I ACGMX Non-NTF Growth and Income 0.63 None 3 EquityVan Kampen Funds VAN KAMPEN GROWTH & INCOME CLASS A ACGIX Non-NTF Growth and Income 0.88 5.75 3 EquityVan Kampen Funds VAN KAMPEN GROWTH & INCOME CLASS B ACGJX Non-NTF Growth and Income 0.89 5.00 3 EquityVan Kampen Funds VAN KAMPEN GROWTH & INCOME CLASS C ACGKX Non-NTF Growth and Income 1.62 1.00 3 EquityVan Kampen Funds VAN KAMPEN GROWTH & INCOME FD CL R ACGLX Non-NTF Growth and Income 1.13 None 3 EquityVan Kampen Funds VAN KAMPEN HARBOR CL I ACHIX Non-NTF Convertible Bond 0.86 None 3 EquityVan Kampen Funds VAN KAMPEN HARBOR CLASS A ACHBX Non-NTF Convertible Bond 1.11 5.75 3 EquityVan Kampen Funds VAN KAMPEN HARBOR CLASS B ACHAX Non-NTF Convertible Bond 1.86 5.00 3 BondVan Kampen Funds VAN KAMPEN HARBOR CLASS C ACHCX Non-NTF Convertible Bond 1.86 1.00 3 BondVan Kampen Funds VAN KAMPEN HIGH HIGH YIELD MUNI CL I ACTDX Non-NTF Municipal Bond - National 0.62 None 3 BondVan Kampen Funds VAN KAMPEN HIGH YIELD CLASS I ACHVX Non-NTF Corporate Bond - High Yield 0.79 None 3 Bond

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Settlement Days

Security Class

Van Kampen Funds VAN KAMPEN HIGH YIELD FUND CLASS A ACHYX Non-NTF Corporate Bond - High Yield 1.02 4.75 3 BondVan Kampen Funds VAN KAMPEN HIGH YIELD FUND CLASS B ACHZX Non-NTF Corporate Bond - High Yield 1.79 4.00 1 BondVan Kampen Funds VAN KAMPEN HIGH YIELD FUND CLASS C ACHWX Non-NTF Corporate Bond - High Yield 1.78 1.00 1 BondVan Kampen Funds VAN KAMPEN HIGH YIELD MUNICIPAL CL A ACTHX Non-NTF Municipal Bond - National 0.87 4.75 3 BondVan Kampen Funds VAN KAMPEN HIGH YIELD MUNICIPAL CL B ACTGX Non-NTF Municipal Bond - National 1.62 4.00 3 EquityVan Kampen Funds VAN KAMPEN HIGH YIELD MUNICIPAL CL C ACTFX Non-NTF Municipal Bond - National 1.62 1.00 3 EquityVan Kampen Funds VAN KAMPEN IN RET STRATEGY CL I VIRIX Non-NTF Asset Allocation 0.22 None 3 BondVan Kampen Funds VAN KAMPEN IN RET STRATEGY FUND CL A VIRAX Non-NTF Asset Allocation 0.47 5.75 3 BondVan Kampen Funds VAN KAMPEN INSURED TAX FREE CLASS A VKMTX Non-NTF Municipal Bond - National 0.9 4.75 3 BondVan Kampen Funds VAN KAMPEN INSURED TAX FREE CLASS B VMTBX Non-NTF Municipal Bond - National 1.65 4.00 3 BondVan Kampen Funds VAN KAMPEN INSURED TAX FREE CLASS C VMTCX Non-NTF Municipal Bond - National 1.65 1.00 3 BondVan Kampen Funds VAN KAMPEN INSURED TAX FREE-CLASS I VMTIX Non-NTF Municipal Bond - National 0.65 None 3 BondVan Kampen Funds VAN KAMPEN INTERMED MUNI INCOME CLASS A VKLMX Non-NTF Municipal Bond - National 0.93 4.75 3 BondVan Kampen Funds VAN KAMPEN INTERMED MUNI INCOME CLASS B VKLBX Non-NTF Municipal Bond - National 1.57 4.00 3 BondVan Kampen Funds VAN KAMPEN INTERMED MUNI INCOME CLASS C VKLCX Non-NTF Municipal Bond - National 1.66 1.00 3 EquityVan Kampen Funds VAN KAMPEN INTERMED TERM MUNI INC CL I VKLIX Non-NTF Municipal Bond - National 0.67 None 3 EquityVan Kampen Funds VAN KAMPEN INTL ADVANTAGE CLASS A VKIAX Non-NTF Foreign Stock 1.65 5.75 3 EquityVan Kampen Funds VAN KAMPEN INTL ADVANTAGE CLASS B VKIBX Non-NTF Foreign Stock 1.76 5.00 3 EquityVan Kampen Funds VAN KAMPEN INTL ADVANTAGE CLASS C VKICX Non-NTF Foreign Stock 2.4 1.00 3 EquityVan Kampen Funds VAN KAMPEN INTL GROWTH FD CL B VIFBX Non-NTF Foreign Stock 2.15 5.00 3 EquityVan Kampen Funds VAN KAMPEN INTL GROWTH FD CL C VIFCX Non-NTF Foreign Stock 2.14 1.00 3 EquityVan Kampen Funds VAN KAMPEN INTL GROWTH FUND CL R VIFRX Non-NTF Foreign Stock 1.64 None 3 EquityVan Kampen Funds VAN KAMPEN INTL GRWT FD CL A VIFAX Non-NTF Foreign Stock 1.39 5.75 3 EquityVan Kampen Funds VAN KAMPEN INTL GRWTH FD CL I VIFIX Non-NTF Foreign Stock 1.15 None 3 EquityVan Kampen Funds VAN KAMPEN LEADERS FD CL A VLFAX Non-NTF Growth and Income 0.5 5.75 3 EquityVan Kampen Funds VAN KAMPEN LEADERS FD CL B VLFBX Non-NTF Growth and Income 1.25 5.00 3 EquityVan Kampen Funds VAN KAMPEN LEADERS FD CL C VLFCX Non-NTF Growth and Income 1.25 1.00 3 BondVan Kampen Funds VAN KAMPEN LEADERS FD CL I VLFIX Non-NTF Growth and Income 0.25 None 3 BondVan Kampen Funds VAN KAMPEN LIMITED DURATION FUND CL A ACFMX Non-NTF Government Bond - ARM 0.87 2.25 3 BondVan Kampen Funds VAN KAMPEN LIMITED DURATION FUND CL B ACFTX Non-NTF Government Bond - ARM 1.37 2.00 3 BondVan Kampen Funds VAN KAMPEN LIMITED DURATION FUND CL C ACFWX Non-NTF Government Bond - ARM 1.37 0.75 3 EquityVan Kampen Funds VAN KAMPEN LTD DURATION FD CL I ACFYX Non-NTF Government Bond - ARM 0.7 None 3 EquityVan Kampen Funds VAN KAMPEN MID CAP GROWTH FD CL I VGRDX Non-NTF Growth 0.94 None 3 EquityVan Kampen Funds VAN KAMPEN MID CAP GROWTH FUND CL A VGRAX Non-NTF Growth 1.19 5.75 3 EquityVan Kampen Funds VAN KAMPEN MONEY MARKET CL A ACZXX Non-NTF None 1 BondVan Kampen Funds VAN KAMPEN MONEY MARKET CLASS B ACYXX Non-NTF 4.00 1 BondVan Kampen Funds VAN KAMPEN MUNICIPAL INCOME CLASS A VKMMX Non-NTF Municipal Bond - National 0.9 4.75 3 BondVan Kampen Funds VAN KAMPEN MUNICIPAL INCOME CLASS B VMIBX Non-NTF Municipal Bond - National 1.65 4.00 3 BondVan Kampen Funds VAN KAMPEN MUNICIPAL INCOME CLASS C VMICX Non-NTF Municipal Bond - National 1.65 1.00 3 BondVan Kampen Funds VAN KAMPEN MUNICIPAL INCOME FD CL I VMIIX Non-NTF Municipal Bond - National 0.66 None 3 BondVan Kampen Funds VAN KAMPEN NEW YORK TAX FREE INC CLASS A VNYAX Non-NTF Municipal Bond - Single State 0.84 4.75 3 BondVan Kampen Funds VAN KAMPEN NEW YORK TAX FREE INC CLASS B VBNYX Non-NTF Municipal Bond - Single State 0.92 4.00 3 BondVan Kampen Funds VAN KAMPEN NEW YORK TAX FREE INC CLASS C VNYCX Non-NTF Municipal Bond - Single State 1.5 1.00 3 BondVan Kampen Funds VAN KAMPEN PA TAX FREE INCOME CLASS A VKMPX Non-NTF Municipal Bond - Single State 1.21 4.75 3 BondVan Kampen Funds VAN KAMPEN PA TAX FREE INCOME CLASS B VKPAX Non-NTF Municipal Bond - Single State 1.57 4.00 3 EquityVan Kampen Funds VAN KAMPEN PA TAX FREE INCOME CLASS C VKPCX Non-NTF Municipal Bond - Single State 1.96 1.00 3 EquityVan Kampen Funds VAN KAMPEN REAL ESTATE SEC CLASS A ACREX Non-NTF Specialty - Real Estate 1.57 4.75 3 EquityVan Kampen Funds VAN KAMPEN REAL ESTATE SEC CLASS B ACRBX Non-NTF Specialty - Real Estate 1.56 4.00 3 EquityVan Kampen Funds VAN KAMPEN REAL ESTATE SEC CLASS C ACRCX Non-NTF Specialty - Real Estate 2.31 1.00 3 BondVan Kampen Funds VAN KAMPEN REAL ESTATE SEC FD CL I ACRDX Non-NTF Specialty - Real Estate 1.32 None 3 BondVan Kampen Funds VAN KAMPEN SENIOR LOAN CLASS A VSLAX Non-NTF Corporate Bond - General 1.86 3.25 3 BondVan Kampen Funds VAN KAMPEN SENIOR LOAN CLASS B VSLBX Non-NTF Corporate Bond - General 2.63 3.00 3 EquityVan Kampen Funds VAN KAMPEN SENIOR LOAN CLASS C VSLCX Non-NTF Corporate Bond - General 2.62 1.00 3 EquityVan Kampen Funds VAN KAMPEN SMALL CAP CL B VSMBX Non-NTF Growth 1.51 5.00 3 EquityVan Kampen Funds VAN KAMPEN SMALL CAP CLASS A VSCAX Non-NTF Growth 1.34 5.75 3 EquityVan Kampen Funds VAN KAMPEN SMALL CAP GROWTH CL B VBSCX Non-NTF Small Company 2.04 5.00 3 EquityVan Kampen Funds VAN KAMPEN SMALL CAP GROWTH CLASS A VASCX Non-NTF Small Company 1.4 5.75 3 EquityVan Kampen Funds VAN KAMPEN SMALL CAP GROWTH CLASS C VCSCX Non-NTF Small Company 2.14 1.00 3 EquityVan Kampen Funds VAN KAMPEN SMALL CAP GROWTH FD CL I VISCX Non-NTF Small Company 1.15 None 3 Equity

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Sales Charge

Settlement Days

Security Class

Van Kampen Funds VAN KAMPEN SMALL CAP VALUE CL I VSMIX Non-NTF Growth 1.09 None 3 EquityVan Kampen Funds VAN KAMPEN SMALL CAP VALUE CLASS C VSMCX Non-NTF Growth 2.1 1.00 3 EquityVan Kampen Funds VAN KAMPEN TECHNOLOGY CL A VTFAX Non-NTF Specialty - Technology 1.95 5.75 3 EquityVan Kampen Funds VAN KAMPEN TECHNOLOGY CL B VTFBX Non-NTF Specialty - Technology 2.7 5.00 3 EquityVan Kampen Funds VAN KAMPEN TECHNOLOGY CL C VTFCX Non-NTF Specialty - Technology 2.7 1.00 3 BondVan Kampen Funds VAN KAMPEN U. S. MORTGAGE CL I VUSIX Non-NTF Government Bond - Mortgage 0.71 None 3 BondVan Kampen Funds VAN KAMPEN US MORTGAGE CLASS A VKMGX Non-NTF Government Bond - Mortgage 0.96 4.75 3 BondVan Kampen Funds VAN KAMPEN US MORTGAGE CLASS B VUSBX Non-NTF Government Bond - Mortgage 1.71 4.00 3 BondVan Kampen Funds VAN KAMPEN US MORTGAGE CLASS C VUSCX Non-NTF Government Bond - Mortgage 1.71 1.00 3 EquityVan Kampen Funds VAN KAMPEN UTILITIES FD CLASS I VKUIX Non-NTF Specialty - Utility 1.19 None 3 EquityVan Kampen Funds VAN KAMPEN UTILITY CLASS A VKUAX Non-NTF Specialty - Utility 1.32 5.75 3 EquityVan Kampen Funds VAN KAMPEN UTILITY CLASS B VKUBX Non-NTF Specialty - Utility 2.07 4.00 3 EquityVan Kampen Funds VAN KAMPEN UTILITY CLASS C VKUCX Non-NTF Specialty - Utility 2.07 1.00 3 EquityVan Kampen Funds VAN KAMPEN VALUE OPPORTUNITIES CL B VVOBX Non-NTF Growth and Income 2.17 5.00 3 EquityVan Kampen Funds VAN KAMPEN VALUE OPPORTUNITIES CL C VVOCX Non-NTF Growth and Income 2.1 1.00 3 EquityVan Kampen Funds VAN KAMPEN VALUE OPPORTUNITY CLASS A VVOAX Non-NTF Growth and Income 1.41 5.75 3 EquityVan Kampen Funds VAN KAMPEN VALUE OPPT FD CL I VVOIX Non-NTF Growth and Income 1.17 None 3 EquityVan Kampen Funds VK 2010 RETIREMENT STRATEGY CL R VRARX Non-NTF Asset Allocation 0.63 None 3 EquityVan Kampen Funds VK 2015 RETIREMENT STRATEGY CL R VRBRX Non-NTF Asset Allocation 0.67 None 3 EquityVan Kampen Funds VK 2020 RETIREMENT STRATEGY CL R VRCRX Non-NTF Asset Allocation 0.68 None 3 EquityVan Kampen Funds VK 2025 RETIREMENT STRATEGY CL R VRDRX Non-NTF Asset Allocation 0.66 None 3 EquityVan Kampen Funds VK 2030 RETIREMENT STRATEGY CL R VRERX Non-NTF Asset Allocation 0.63 None 3 EquityVan Kampen Funds VK 2035 RETIREMENT STRATEGY CL R VRFRX Non-NTF Asset Allocation 0.54 None 3 EquityVan Kampen Funds VK 2040 RETIREMENT STRATEGY CL R VRGRX Non-NTF Asset Allocation 0.53 None 3 EquityVan Kampen Funds VK 2045 RETIREMENT STRATEGY CL R VRHRX Non-NTF Asset Allocation 0.53 None 3 EquityVan Kampen Funds VK 2050 RETIREMENT STRATEGY CL R VRIRX Non-NTF Asset Allocation 0.51 None 3 EquityVan Kampen Funds VK AGGRESSIVE GROWTH FUND CL R VAGRX Non-NTF None 3 EquityVan Kampen Funds VK IN RETIREMENT STRATEGY CL R VIRRX Non-NTF Asset Allocation 0.72 None 3 EquityVanguard Group VANGAURD TAX-MANAGED SMALL CAP INSTL VTSIX Non-NTF Growth 0.09 None 1 EquityVanguard Group VANGUARD 500 INDEX FD INVESTOR SHS VFINX Non-NTF Growth and Income 0.16 None 1 EquityVanguard Group VANGUARD 500 INDEX SIGNAL SHS VIFSX Non-NTF Growth and Income 0.08 None 1 EquityVanguard Group VANGUARD ASSET ALLOCATION VAAPX Non-NTF Asset Allocation 0.29 None 1 EquityVanguard Group VANGUARD ASSET ALLOCATION ADMIRAL VAARX Non-NTF Asset Allocation 0.18 None 1 EquityVanguard Group VANGUARD BALANCED INDEX VBINX Non-NTF Balanced 0.2 None 1 EquityVanguard Group VANGUARD BALANCED INDEX - SIGNAL SHRS VBASX Non-NTF Balanced 0.11 None 1 BondVanguard Group VANGUARD BALANCED INDEX INSTITUTIONAL VBAIX Non-NTF Balanced 0.07 None 1 BondVanguard Group VANGUARD BOND INDEX TOTAL MARKET VBMFX Non-NTF Income 0.2 None 1 BondVanguard Group VANGUARD CALI INTERM TAX XMPT ADMIRAL VCADX Non-NTF Municipal Bond - Single State 0.12 None 1 BondVanguard Group VANGUARD CALIF INSD L.TERM TX EX ADMIRAL VCLAX Non-NTF Municipal Bond - Single State 0.12 None 1 BondVanguard Group VANGUARD CALIFORNIA INTER TRM TAX EXEMPT VCAIX Non-NTF Municipal Bond - Single State 0.2 None 1 EquityVanguard Group VANGUARD CALIFORNIA LONG TERM TAX EXEMPT VCITX Non-NTF Municipal Bond - Single State 0.2 None 1 EquityVanguard Group VANGUARD CAPITAL VALUE VCVLX Non-NTF Growth 0.45 None 1 EquityVanguard Group VANGUARD CONSUMER STAPLES INDEX ADM CL VCSAX Non-NTF Specialty - Unaligned 0.28 None 1 EquityVanguard Group VANGUARD DEV MKTS INDEX FD INSTL CL VIDMX Non-NTF Foreign Stock -999 None 1 EquityVanguard Group VANGUARD DEVELOPED MRKTS INDEX INV VDMIX Non-NTF Foreign Stock 0.1 None 1 EquityVanguard Group VANGUARD DIV APP INDEX INVT CL SH VDAIX Non-NTF Growth and Income 0.36 None 1 EquityVanguard Group VANGUARD DIVERSIFIED EQUITY FD INV CL SHS VDEQX Non-NTF Growth and Income 0 None 1 EquityVanguard Group VANGUARD DIVIDEND GROWTH VDIGX Non-NTF Income 0.36 None 1 EquityVanguard Group VANGUARD EMPLOYEE BENEFIT INDEX (EBIF) QCOCQ Non-NTF None 1 EquityVanguard Group VANGUARD ENERGY VGENX Non-NTF Specialty - Natural Resources 0.28 None 1 EquityVanguard Group VANGUARD ENERGY FUND ADMIRAL SHARES VGELX Non-NTF Specialty - Natural Resources 0.21 None 1 EquityVanguard Group VANGUARD ENERGY INDEX ADMIRAL CL VENAX Non-NTF Specialty - Natural Resources 0.28 None 1 EquityVanguard Group VANGUARD EQUITY INCO ME ADMIRAL FD VEIRX Non-NTF Equity-Income 0.24 None 1 EquityVanguard Group VANGUARD EQUITY INCOME VEIPX Non-NTF Equity-Income 0.36 None 1 EquityVanguard Group VANGUARD EUROPEAN ST INDEX FD INSTL CL VESIX Non-NTF Europe Stock 0.12 None 1 BondVanguard Group VANGUARD EUROPEAN STOCK INDEX VEURX Non-NTF Europe Stock 0.27 None 1 EquityVanguard Group VANGUARD EUROPEAN STOCK INDEX - SIGNAL VESSX Non-NTF Europe Stock 0.16 None 1 EquityVanguard Group VANGUARD EXPLORER VEXPX Non-NTF Small Company 0.54 None 1 BondVanguard Group VANGUARD EXPLORER ADMIRAL VEXRX Non-NTF Small Company 0.34 None 1 Equity

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Sales Charge

Settlement Days

Security Class

Vanguard Group VANGUARD EXT DUR TREASURY INDEX INTSL VEDTX Non-NTF Government Bond - Treasury 0.11 None 1 EquityVanguard Group VANGUARD EXTENDED MARKET INDEX INSTL VIEIX Non-NTF Growth 0.06 None 1 EquityVanguard Group VANGUARD EXTENDED MARKET INDEX SIGNAL VEMSX Non-NTF Growth 0.1 None 1 EquityVanguard Group VANGUARD EXTENDED MARKET INDEX TRUST VEXMX Non-NTF Growth 0.25 None 1 BondVanguard Group VANGUARD FINANCIALS INDEX ADMIRAL SHRS VFAIX Non-NTF Specialty - Financial 0.28 None 1 BondVanguard Group VANGUARD FIXED INC HIGH YIELD CORP VWEHX Non-NTF Corporate Bond - High Yield 0.27 None 1 BondVanguard Group VANGUARD FLA INSD L.TERM TX EX ADMIRAL VFLRX Non-NTF Municipal Bond - Single State 0.12 None 1 EquityVanguard Group VANGUARD FLORIDA LONG-TERM TAX EXEMPT VFLTX Non-NTF Municipal Bond - Single State 0.2 None 1 EquityVanguard Group VANGUARD FSTE SOCIAL INDEX INSTL CL CH VFTNX Non-NTF Growth 0.16 None 1 EquityVanguard Group VANGUARD FTSE ALL - WRLD EX-US STCK INST VFWSX Non-NTF Foreign Stock 0.15 None 1 EquityVanguard Group VANGUARD FTSE ALL WO RLD EX US IND INV CL VFWIX Non-NTF Foreign Stock 0.4 None 1 EquityVanguard Group VANGUARD FTSE SOCIAL INDEX -INVST VFTSX Non-NTF Growth 0.29 None 1 BondVanguard Group VANGUARD GLOBAL EQUITY VHGEX Non-NTF World Stock 0.47 None 1 BondVanguard Group VANGUARD GNMA VFIIX Non-NTF Government Bond - Mortgage 0.22 None 1 EquityVanguard Group VANGUARD GNMA ADMIRAL VFIJX Non-NTF Government Bond - Mortgage 0.12 None 1 EquityVanguard Group VANGUARD GROWTH & INCOME VQNPX Non-NTF Growth and Income 0.35 None 1 EquityVanguard Group VANGUARD GROWTH & INCOME ADMIRAL VGIAX Non-NTF Growth and Income 0.21 None 1 EquityVanguard Group VANGUARD GROWTH EQUITY FUND VGEQX Non-NTF Growth 0.51 None 1 EquityVanguard Group VANGUARD GROWTH INDEX VIGRX Non-NTF Growth 0.23 None 1 EquityVanguard Group VANGUARD GROWTH INDEX - SIGNAL SHRS VIGSX Non-NTF Growth 0.11 None 1 EquityVanguard Group VANGUARD GROWTH INDEX INSTL CL VIGIX Non-NTF Growth 0.07 None 1 EquityVanguard Group VANGUARD HEALTH CARE VGHCX Non-NTF Specialty - Health 0.29 None 1 EquityVanguard Group VANGUARD HEALTH CARE ADMIRAL SHS VGHAX Non-NTF Specialty - Health 0.22 None 1 BondVanguard Group VANGUARD HEALTH CARE INDEX ADMIRAL SHARES VHCIX Non-NTF Specialty - Health 0.28 None 3 BondVanguard Group VANGUARD HI YIELD CORPORATE ADMIRAL VWEAX Non-NTF Corporate Bond - High Yield 0.15 None 1 EquityVanguard Group VANGUARD HI YIELD TAX EXEMPT ADMIRAL VWALX Non-NTF Municipal Bond - National 0.12 None 1 BondVanguard Group VANGUARD HIGH DIVID YLD INDEX FD INV CL VHDYX Non-NTF Growth 0.35 None 1 EquityVanguard Group VANGUARD HIGH YIELD TAX EXEMPT VWAHX Non-NTF Municipal Bond - National 0.2 None 1 BondVanguard Group VANGUARD INDEX TRUST SMALL CAP GROWTH VISGX Non-NTF Small Company 0.23 None 1 BondVanguard Group VANGUARD INFLATION PROCTED SEC ADM CL VAIPX Non-NTF Government Bond - Treasury 0.11 None 1 EquityVanguard Group VANGUARD INFLATION PROTECTED SECS VIPSX Non-NTF Government Bond - Treasury 0.2 None 1 EquityVanguard Group VANGUARD INFLATION PROTECTED-INSTL VIPIX Non-NTF Government Bond - Treasury 0.08 None 1 EquityVanguard Group VANGUARD INFORMATION TECH IND ADMIR SHS VITAX Non-NTF Specialty - Unaligned 0.28 None 1 EquityVanguard Group VANGUARD INSTL INDEX VINIX Non-NTF Growth and Income 0.05 None 1 EquityVanguard Group VANGUARD INSTL INDEX FUND VIIIX Non-NTF Growth and Income 0.02 None 1 BondVanguard Group VANGUARD INSTL TOTAL STOCK MKT INDEX PLUS VITPX Non-NTF Growth 0.02 None 1 BondVanguard Group VANGUARD INTERMDIATE TAX EXEMPT ADMIRAL VWIUX Non-NTF Municipal Bond - National 0.12 None 1 BondVanguard Group VANGUARD INTERMDIATE TERM TREASRY ADMIRAL VFIUX Non-NTF Government Bond - Treasury 0.11 None 1 BondVanguard Group VANGUARD INTERMED TERM VFITX Non-NTF Government Bond - Treasury 0.25 None 1 BondVanguard Group VANGUARD INTERMED TERM TAX EXEMPT VWITX Non-NTF Municipal Bond - National 0.2 None 1 BondVanguard Group VANGUARD INTERMED TRM INVST GR ADMIRAL VFIDX Non-NTF Corporate Bond - General 0.11 None 1 BondVanguard Group VANGUARD INTERMED TRM INVST GR INVEST VFICX Non-NTF Corporate Bond - General 0.21 None 1 EquityVanguard Group VANGUARD INTERMEDIAT E TRM BD INDX SIGNAL VIBSX Non-NTF Income 0.11 None 1 EquityVanguard Group VANGUARD INTERNATL VALUE PORTFOLIO VTRIX Non-NTF Foreign Stock 0.45 None 1 BondVanguard Group VANGUARD INTERNATNAL EXPLORER INVESTOR VINEX Non-NTF Foreign Stock 0.36 None 1 EquityVanguard Group VANGUARD INTER-TERM BOND INDEX PORT VBIIX Non-NTF Income 0.19 None 1 EquityVanguard Group VANGUARD INTL GROWTH ADMIRAL VWILX Non-NTF Foreign Stock 0.34 None 1 EquityVanguard Group VANGUARD INT'L GROWTH PORTFOLIO VWIGX Non-NTF Foreign Stock 0.53 None 1 EquityVanguard Group VANGUARD LARGE CAP INDEX FD SIGNAL VLCSX Non-NTF Growth 0.1 None 1 EquityVanguard Group VANGUARD LARGE CAP INDEX INSTL VLISX Non-NTF Growth 0.07 None 1 EquityVanguard Group VANGUARD LARGE CAP INDEX INV CLASS SH VLACX Non-NTF Growth 0.21 None 1 EquityVanguard Group VANGUARD LIFE STRAT CONSERVATIVE GROWTH VSCGX Non-NTF Asset Allocation 0 None 1 EquityVanguard Group VANGUARD LIFE STRAT MODERATE GROWTH VSMGX Non-NTF Asset Allocation 0 None 1 EquityVanguard Group VANGUARD LIFE STRATEGY GRWTH PORT VASGX Non-NTF Asset Allocation 0 None 1 BondVanguard Group VANGUARD LIFESTRATGY INCOME PORTFOLIO VASIX Non-NTF Asset Allocation 0 None 1 BondVanguard Group VANGUARD LIMITD TERM TAX EXEMPT ADMIRAL VMLUX Non-NTF Municipal Bond - National 0.12 None 1 BondVanguard Group VANGUARD LIMITED TRM TAX EXEMPT VMLTX Non-NTF Municipal Bond - National 0.2 None 1 BondVanguard Group VANGUARD LONG TERM BOND INDEX INSTL VBLLX Non-NTF Income 0.07 None 1 BondVanguard Group VANGUARD LONG TERM INVMT GRADE ADMIRAL VWETX Non-NTF Corporate Bond - High Quality 0.13 None 1 Bond

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Sales Charge

Settlement Days

Security Class

Vanguard Group VANGUARD LONG TERM INVMT GRADE INV VWESX Non-NTF Corporate Bond - High Quality 0.23 None 1 BondVanguard Group VANGUARD LONG TERM TAX EXEMPT VWLTX Non-NTF Municipal Bond - National 0.2 None 1 BondVanguard Group VANGUARD LONG TERM TAX EXEMPT ADMIRAL VWLUX Non-NTF Municipal Bond - National 0.12 None 1 BondVanguard Group VANGUARD LONG TERM TREASURY ADMIRAL VUSUX Non-NTF Government Bond - Treasury 0.11 None 1 BondVanguard Group VANGUARD LONG TERM US TREASURY VUSTX Non-NTF Government Bond - Treasury 0.25 None 1 EquityVanguard Group VANGUARD LONG-TERM BOND INDEX PORT VBLTX Non-NTF Income 0.19 None 1 EquityVanguard Group VANGUARD MARKET NEUTRAL FD INST CL VMNIX Non-NTF Asset Allocation 2.73 None 1 BondVanguard Group VANGUARD MARKET NEUTRAL FD INV SHS VMNFX Non-NTF Asset Allocation 2.8 None 1 EquityVanguard Group VANGUARD MASS TAX EXEMPT VMATX Non-NTF Municipal Bond - Single State 0.17 None 1 EquityVanguard Group VANGUARD MATERIALS INDX FD ADMIRAL SHS VMIAX Non-NTF Specialty - Natural Resources 0.28 None 1 EquityVanguard Group VANGUARD MEGA CAP 300 VALUE INSTL CL VMVLX Non-NTF Growth 0.11 None 1 EquityVanguard Group VANGUARD MID CAP GRWTH INDX CL INVES VMGIX Non-NTF Growth 0.25 None 1 EquityVanguard Group VANGUARD MID CAP INDEX VIMSX Non-NTF Growth 0.22 None 1 EquityVanguard Group VANGUARD MID CAP INDEX FUND CL I VMCIX Non-NTF Growth 0.07 None 1 EquityVanguard Group VANGUARD MID CAP INDEX SIGNAL VMISX Non-NTF Growth 0.11 None 1 EquityVanguard Group VANGUARD MID-CAP GROWTH FUND VMGRX Non-NTF Growth 0.55 None 1 EquityVanguard Group VANGUARD MORGAN GROWTH VMRGX Non-NTF Growth 0.48 None 1 BondVanguard Group VANGUARD MORGAN GROWTH ADMIRAL VMRAX Non-NTF Growth 0.31 None 1 BondVanguard Group VANGUARD NEW JERSEY LONG-TERM TAX EXEMPT VNJTX Non-NTF Municipal Bond - Single State 0.2 None 1 BondVanguard Group VANGUARD NEW YORK LONG-TERM TAX EXEMPT VNYTX Non-NTF Municipal Bond - Single State 0.2 None 1 BondVanguard Group VANGUARD NJ L/T TAX-EXEMPT ADMIRAL VNJUX Non-NTF Municipal Bond - Single State 0.12 None 1 BondVanguard Group VANGUARD NY INSD LNG TERM TAX EXMPT ADMIR VNYUX Non-NTF Municipal Bond - Single State 0.12 None 1 BondVanguard Group VANGUARD OHIO INSUR LONG TRM TAX EXEMPT VOHIX Non-NTF Municipal Bond - Single State 0.17 None 1 BondVanguard Group VANGUARD PA INS LONG TERM TAX EX ADMIRAL VPALX Non-NTF Municipal Bond - Single State 0.12 None 1 EquityVanguard Group VANGUARD PA LONG-TERM TAX EXEMPT VPAIX Non-NTF Municipal Bond - Single State 0.2 None 1 EquityVanguard Group VANGUARD PACIFIC STK INDEX INSTL CL VPKIX Non-NTF Pacific Stock 0.12 None 1 BondVanguard Group VANGUARD PACIFIC STOCK INDEX VPACX Non-NTF Pacific Stock 0.27 None 1 EquityVanguard Group VANGUARD PRECIOUS METALS & MINING FUND VGPMX Non-NTF Specialty - Precious Metals 0.3 None 1 EquityVanguard Group VANGUARD PRIME MM FUND INSTL SHARES VMRXX Non-NTF None 1 EquityVanguard Group VANGUARD PRIMECAP ADMIRAL VPMAX Non-NTF Growth 0.37 None 1 EquityVanguard Group VANGUARD REIT INDEX FUND VGSIX Non-NTF Specialty - Real Estate 0.21 None 1 EquityVanguard Group VANGUARD REIT INDEX INSTL CL SH VGSNX Non-NTF Specialty - Real Estate 0.09 None 1 EquityVanguard Group VANGUARD REIT INDEX SIGNAL SHARES VGRSX Non-NTF Specialty - Real Estate 0.11 None 1 BondVanguard Group VANGUARD SELECTED VALUE FUND VASVX Non-NTF Growth 0.38 None 1 BondVanguard Group VANGUARD SHORT TERM BD INDEX SIGNAL SHRS VBSSX Non-NTF Income 0.11 None 1 BondVanguard Group VANGUARD SHORT TERM BOND INDEX VBISX Non-NTF Income 0.19 None 1 BondVanguard Group VANGUARD SHORT TERM FEDERAL VSGBX Non-NTF Government Bond - General 0.21 None 1 BondVanguard Group VANGUARD SHORT TERM FEDERAL ADMIRAL VSGDX Non-NTF Government Bond - General 0.11 None 1 BondVanguard Group VANGUARD SHORT TERM INVMT GRADE ADMIRAL VFSUX Non-NTF Corporate Bond - General 0.11 None 1 BondVanguard Group VANGUARD SHORT TERM INVMT GRADE INVESTOR VFSTX Non-NTF Corporate Bond - General 0.21 None 1 BondVanguard Group VANGUARD SHORT TERM TAX EXEMPT VWSTX Non-NTF Municipal Bond - National 0.2 None 1 BondVanguard Group VANGUARD SHORT TERM TAX EXEMPT ADMIRAL VWSUX Non-NTF Municipal Bond - National 0.12 None 1 BondVanguard Group VANGUARD SHORT TERM TREASURY VFISX Non-NTF Government Bond - Treasury 0.21 None 1 BondVanguard Group VANGUARD SHORT TERM TREASURY ADMIRAL VFIRX Non-NTF Government Bond - Treasury 0.11 None 1 EquityVanguard Group VANGUARD SHORT-TERM INVSTMNT GRADE INSTL VFSIX Non-NTF Corporate Bond - General 0.07 None 1 EquityVanguard Group VANGUARD SMALL CAP G INDEX FD INSTL CL SH VSGIX Non-NTF Small Company 0.07 None 1 EquityVanguard Group VANGUARD SMALL CAP INDEX - SIGNAL SHRS VSISX Non-NTF Small Company 0.12 None 1 EquityVanguard Group VANGUARD SMALL CAP INDEX INSTL CL VSCIX Non-NTF Small Company 0.07 None 1 EquityVanguard Group VANGUARD SMALL CAP STOCK INDEX TRUST NAESX Non-NTF Small Company 0.23 None 1 EquityVanguard Group VANGUARD SMALL CAP VALUE INDEX VISVX Non-NTF Small Company 0.23 None 1 EquityVanguard Group VANGUARD SMALL CAP VALUE INDEX FD INSTL VSIIX Non-NTF Small Company 0.07 None 1 EquityVanguard Group VANGUARD STAR VGSTX Non-NTF Balanced 0 None 1 EquityVanguard Group VANGUARD STRATEGIC EQUITY VSEQX Non-NTF Aggressive Growth 0.3 None 1 EquityVanguard Group VANGUARD STRATEGIC SMALL CAP EQ INVT VSTCX Non-NTF Small Company 0.43 None 1 EquityVanguard Group VANGUARD STRUCT LRG CAP EQ INSTL PLUS VSLPX Non-NTF Growth 0.17 None 1 EquityVanguard Group VANGUARD STRUCTURED LG CAP GRWTH INSTL VSTLX Non-NTF Growth 0.25 None 1 EquityVanguard Group VANGUARD TARGET RET 2005 FD INVESTOR CL VTOVX Non-NTF Growth and Income 0 None 1 EquityVanguard Group VANGUARD TARGET RET 2015 FD INVESTOR CL VTXVX Non-NTF Growth and Income 0 None 1 EquityVanguard Group VANGUARD TARGET RET 2025 FD INVESTOR CL VTTVX Non-NTF Growth and Income 0 None 1 Equity

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Vanguard Group VANGUARD TARGET RET 2035 FD INVESTOR CL VTTHX Non-NTF Growth and Income 0 None 1 EquityVanguard Group VANGUARD TARGET RET 2045 FD INVESTOR CL VTIVX Non-NTF Growth and Income 0 None 1 EquityVanguard Group VANGUARD TARGET RET INC FD INVESTOR CL VTINX Non-NTF Growth and Income 0 None 1 EquityVanguard Group VANGUARD TARGET RETIREMENT 2010 INVT VTENX Non-NTF Growth and Income 0 None 1 EquityVanguard Group VANGUARD TARGET RETIREMENT 2020 INVT VTWNX Non-NTF Growth and Income 0 None 1 EquityVanguard Group VANGUARD TARGET RETIREMENT 2030 INVT VTHRX Non-NTF Growth and Income 0 None 1 EquityVanguard Group VANGUARD TARGET RETIREMENT 2040 FD VFORX Non-NTF Growth and Income 0 None 1 EquityVanguard Group VANGUARD TARGET RETIREMENT 2050 INVT VFIFX Non-NTF Growth and Income 0 None 1 EquityVanguard Group VANGUARD TAX MANAGED BAL PORT VTMFX Non-NTF Balanced 0.15 None 1 EquityVanguard Group VANGUARD TAX MANAGED CAP APPREC ADMIRAL VTCLX Non-NTF Growth 0.15 None 1 EquityVanguard Group VANGUARD TAX MANAGED INTERNATIONAL -INSTL VTMNX Non-NTF Foreign Stock 0.1 None 1 EquityVanguard Group VANGUARD TAX MANAGED INT'L INVESTOR CL VTMGX Non-NTF Foreign Stock 0.2 None 1 EquityVanguard Group VANGUARD TAX MANAGED SMALL CAP INVESTOR VTMSX Non-NTF Growth 0.19 None 1 EquityVanguard Group VANGUARD TAX MGD CAP APPREC INSTL CL VTCIX Non-NTF Growth 0.09 None 1 EquityVanguard Group VANGUARD TAX MGD CAPITAL APPRECIATION VMCAX Non-NTF Growth 0.21 None 1 EquityVanguard Group VANGUARD TAX MGD GROWTH & INC INSTL VTMIX Non-NTF Growth and Income 0.09 None 1 EquityVanguard Group VANGUARD TAX MGD GROWTH & INCOME VTGIX Non-NTF Growth and Income 0.21 None 1 EquityVanguard Group VANGUARD TAX MNGD GRWTH & INC-ADMIRAL VTGLX Non-NTF Growth and Income 0.15 None 1 BondVanguard Group VANGUARD TELECOMM SVCS INDEX ADMIRAL VTCAX Non-NTF Specialty - Communications 0.28 None 1 BondVanguard Group VANGUARD TOTAL BOND MARKET INDEX SIGNAL VBTSX Non-NTF Income 0.11 None 1 BondVanguard Group VANGUARD TOTAL BOND MARKET INSTL VBTIX Non-NTF Income 0.07 None 1 EquityVanguard Group VANGUARD TOTAL BOND MARKET INSTL PLUS VBMPX Non-NTF Income -999 None 1 EquityVanguard Group VANGUARD TOTAL INTL STOCK INDEX FUND VGTSX Non-NTF Foreign Stock 0.27 None 1 EquityVanguard Group VANGUARD TOTAL STOCK MARKET VTSMX Non-NTF Growth 0.16 None 1 EquityVanguard Group VANGUARD TOTAL STOCK MARKET INSTL VITSX Non-NTF Growth 0.05 None 1 EquityVanguard Group VANGUARD TOTAL STOCK MRKT SIGNAL CL SHS VTSSX Non-NTF Growth 0.08 None 1 EquityVanguard Group VANGUARD US GROWTH ADMIRAL VWUAX Non-NTF Growth 0.3 None 1 EquityVanguard Group VANGUARD US GROWTH PORTFOLIO VWUSX Non-NTF Growth 0.49 None 1 EquityVanguard Group VANGUARD US VALUE VUVLX Non-NTF Growth and Income 0.52 None 1 EquityVanguard Group VANGUARD UTILITIES INDEX ADMIRAL CL VUIAX Non-NTF Specialty - Utility 0.28 None 1 EquityVanguard Group VANGUARD VALUE INDEX VIVAX Non-NTF Growth 0.21 None 1 EquityVanguard Group VANGUARD VALUE INDEX - SIGNAL SHRS VVISX Non-NTF Growth 0.11 None 1 EquityVanguard Group VANGUARD VALUE INDEX FD INSTL CL SH VIVIX Non-NTF Growth 0.07 None 1 EquityVanguard Group VANGUARD WELLESLEY INCOME ADMIRAL VWIAX Non-NTF Balanced 0.21 None 1 EquityVanguard Group VANGUARD WELLINGTON ADMIRAL VWENX Non-NTF Growth and Income 0.23 None 1 EquityVanguard Group VANGUARD WELLINGTON FUND VWELX Non-NTF Growth and Income 0.34 None 1 EquityVanguard Group VANGUARD WINDSOR VWNDX Non-NTF Growth and Income 0.33 None 1 EquityVanguard Group VANGUARD WINDSOR ADMIRAL VWNEX Non-NTF Growth and Income 0.2 None 1 EquityVanguard Group VANGUARD WINDSOR II VWNFX Non-NTF Growth and Income 0.38 None 1 EquityVanguard Group VANGUARD WINDSOR II ADMIRAL VWNAX Non-NTF Growth and Income 0.27 None 1 EquityVanguard Group VANGUARD/WELLESLEY INCOME VWINX Non-NTF Balanced 0.31 None 1 EquityVictoria 1522 Funds VICTORIA 1522 INSTITUTIONAL VMDIX Non-NTF Diversified Emerging Markets 1.65 None 1 EquityVictory Funds VICTORY BALANCED CLASS A SBALX Non-NTF Growth and Income 1.14 5.75 1 EquityVictory Funds VICTORY BALANCED FD CL C VBFCX Non-NTF Growth and Income 2 1.00 1 BondVictory Funds VICTORY BALANCED FUND CL R VBFGX Non-NTF Growth and Income 1.57 None 1 EquityVictory Funds VICTORY CORE BOND FUND CL A SIMIX Non-NTF Income 0.8 2.00 1 EquityVictory Funds VICTORY DIVERSIFIED STOCK CLASS A SRVEX Non-NTF Growth 1.07 5.75 1 EquityVictory Funds VICTORY DIVERSIFIED STOCK CLASS C VDSCX Non-NTF Growth 1.88 1.00 1 EquityVictory Funds VICTORY DIVERSIFIED STOCK FUND CL I VDSIX Non-NTF Growth 0.78 None 1 EquityVictory Funds VICTORY DIVERSIFIED STOCK FUND CL R GRINX Non-NTF Growth 1.33 None 1 EquityVictory Funds VICTORY ESTABLISHED VALUE CLASS A VETAX Non-NTF Growth 1.24 5.75 1 BondVictory Funds VICTORY ESTABLISHED VALUE FD CL R GETGX Non-NTF Growth 1.31 None 1 BondVictory Funds VICTORY FUND FOR INCOME A IPFIX Non-NTF Income 0.96 2.00 1 BondVictory Funds VICTORY FUND FOR INCOME CL R GGIFX Non-NTF Income 1 None 1 EquityVictory Funds VICTORY FUND FOR INCOME CLASS C VFFCX Non-NTF Income 1.81 1.00 1 EquityVictory Funds VICTORY INSTL DIVERSIFIED STOCK FD VIDSX Non-NTF Growth 0.62 None 1 EquityVictory Funds VICTORY INVESTMENT GRADE CONVERT CL A SBFCX Non-NTF Growth and Income 1.31 2.00 1 EquityVictory Funds VICTORY LARGE CAP GROWTH CL A VFGAX Non-NTF Growth 1.26 5.75 1 BondVictory Funds VICTORY LARGE CAP GROWTH FUND CLASS C VFGCX Non-NTF Growth 2.1 1.00 1 Bond

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Victory Funds VICTORY NATIONAL MUNICIPAL CLASS A VNMAX Non-NTF Income 1 2.00 1 EquityVictory Funds VICTORY OHIO MUNI BOND A SOHTX Non-NTF Income 1.01 2.00 1 EquityVictory Funds VICTORY SMALL CO OPPORTUNITY A SSGSX Non-NTF Small Company 1.57 5.75 1 EquityVictory Funds VICTORY SMALL CO OPPORTUNITY CL I VSOIX Non-NTF Small Company 1.11 None 1 EquityVictory Funds VICTORY SMALL CO OPPT FD CL R GOGFX Non-NTF Small Company 1.65 None 1 EquityVictory Funds VICTORY SPECIAL VALUE A SSVSX Non-NTF Growth and Income 1.24 5.75 1 EquityVictory Funds VICTORY SPECIAL VALUE CLASS C VSVCX Non-NTF Growth and Income 2.19 1.00 1 EquityVictory Funds VICTORY SPECIAL VALUE FUND CL I VSPIX Non-NTF Growth and Income 0.87 None 1 EquityVictory Funds VICTORY SPECIAL VALUE FUND CLASS R VSVGX Non-NTF Growth and Income 1.61 None 1 EquityVictory Funds VICTORY STOCK INDEX A SSTIX Non-NTF Growth 0.7 5.75 1 EquityVictory Funds VICTORY STOCK INDEX FUND CLASS R VINGX Non-NTF Growth 0.89 None 1 EquityVictory Funds VICTORY VALUE A SVLSX Non-NTF Growth and Income 1.25 5.75 1 EquityVictory Funds VICTORY VALUE FUND CLASS R VVFGX Non-NTF Growth and Income 1.6 None 1 EquityVirtus Funds VIRTUS ALPHASECTOR ALLOCATION CLASS A PSWAX Non-NTF Growth and Income 0.59 5.75 3 EquityVirtus Funds VIRTUS ALPHASECTOR ALLOCATION CLASS C PSWCX Non-NTF Growth and Income 1.34 1.00 3 EquityVirtus Funds VIRTUS ALPHASECTOR ROTATION CLASS A PWBAX Non-NTF Growth 0.64 5.75 3 EquityVirtus Funds VIRTUS ALPHASECTOR ROTATION CLASS C PWBCX Non-NTF Growth 1.38 1.00 3 EquityVirtus Funds VIRTUS ALTERNATIVE D IVERSIFIER FD CL C PDPCX Non-NTF Growth 1.04 1.00 3 EquityVirtus Funds VIRTUS ALTERNATIVES DIVERSIFIIER FD CL A PDPAX Non-NTF Growth 0.29 5.75 3 EquityVirtus Funds VIRTUS BALANCED ALLOCATION FD CL A HIBZX Non-NTF Balanced 1.08 5.75 3 EquityVirtus Funds VIRTUS BALANCED ALLOCATION FD CL I HIBLX Non-NTF Balanced 0.83 None 3 EquityVirtus Funds VIRTUS BALANCED FD CL C PSBCX Non-NTF Balanced 1.85 1.00 3 BondVirtus Funds VIRTUS BALANCED FUND CL A PHBLX Non-NTF Balanced 1.1 5.75 3 BondVirtus Funds VIRTUS BOND CLASS A SAVAX Non-NTF Corporate Bond - General 0.85 4.75 3 BondVirtus Funds VIRTUS BOND CLASS C SAVCX Non-NTF Corporate Bond - General 1.59 1.00 3 BondVirtus Funds VIRTUS BOND CLASS I SAVYX Non-NTF Corporate Bond - General 0.59 None 3 EquityVirtus Funds VIRTUS CA TAX EXEMPT BOND CLASS A CTESX Non-NTF Municipal Bond - Single State 0.85 4.75 3 EquityVirtus Funds VIRTUS CA TAX EXEMPT BOND FD CL I CTXEX Non-NTF Municipal Bond - Single State 0.6 None 3 EquityVirtus Funds VIRTUS CORE EQUITY CLASS A HGRZX Non-NTF Growth 1.2 5.75 3 EquityVirtus Funds VIRTUS CORE EQUITY F D CL I PICCX Non-NTF Growth 1.95 1.00 3 EquityVirtus Funds VIRTUS CORE EQUITY I HGRIX Non-NTF Growth 0.95 None 3 EquityVirtus Funds VIRTUS DISCIPLINED SMALL CAP OPPORT A HSCZX Non-NTF Small Company 1.35 5.75 3 EquityVirtus Funds VIRTUS DISCIPLINED SMALL CAP OPPT CL C POCZX Non-NTF Small Company 2.1 1.00 3 EquityVirtus Funds VIRTUS DISCIPLINED SMALL CAP OPPT CL I HSCIX Non-NTF Small Company 1.1 None 3 EquityVirtus Funds VIRTUS DISCIPLINED SMALL CAP VALUE A HSVZX Non-NTF Small Company 1.31 5.75 3 EquityVirtus Funds VIRTUS DISCIPLINED SMALL CAP VALUE I HSCVX Non-NTF Small Company 1.06 None 3 EquityVirtus Funds VIRTUS DISCIPLINED SMALL-CAP VALUE CL C PCCZX Non-NTF Small Company 2.06 1.00 3 EquityVirtus Funds VIRTUS EMERGING MKTS OPPT CLASS I HIEMX Non-NTF Diversified Emerging Markets 1.54 None 3 EquityVirtus Funds VIRTUS EMERGING MRTK OPPT CLASS A HEMZX Non-NTF Diversified Emerging Markets 1.79 5.75 3 EquityVirtus Funds VIRTUS EMERGING MTKS OPPT FUND CLASS C PICEX Non-NTF Diversified Emerging Markets 2.54 1.00 3 EquityVirtus Funds VIRTUS FOREIGN OPPORTUNITES CL A JVIAX Non-NTF Foreign Stock 1.48 5.75 3 EquityVirtus Funds VIRTUS FOREIGN OPPORTUNITES CL C JVICX Non-NTF Foreign Stock 2.23 1.00 3 EquityVirtus Funds VIRTUS FOREIGN OPPORTUNITES CL I JVXIX Non-NTF Foreign Stock 1.23 None 3 EquityVirtus Funds VIRTUS GLOBAL INFRASTRUCTURE CL A PGUAX Non-NTF Growth and Income 1.31 5.75 3 EquityVirtus Funds VIRTUS GLOBAL INFRASTRUCTURE CL C PGUCX Non-NTF Growth and Income 2.09 1.00 3 EquityVirtus Funds VIRTUS GLOBAL INFRASTRUCTURE CL I PGIUX Non-NTF Growth and Income 1.09 None 3 EquityVirtus Funds VIRTUS GLOBAL OPPORTUNITIES CL A NWWOX Non-NTF World Stock 1.86 5.75 3 EquityVirtus Funds VIRTUS GLOBAL OPPORTUNITIES CL C WWOCX Non-NTF World Stock 2.62 1.00 3 EquityVirtus Funds VIRTUS GROWTH AND INCOME CL A PDIAX Non-NTF Growth and Income 1.42 5.75 3 EquityVirtus Funds VIRTUS GROWTH AND INCOME CL C PGICX Non-NTF Growth and Income 2.17 1.00 3 BondVirtus Funds VIRTUS GROWTH AND INCOME CL I PXIIX Non-NTF Growth and Income 1.17 None 3 BondVirtus Funds VIRTUS HIGH YIELD CL A PHCHX Non-NTF Corporate Bond - High Yield 1.37 4.75 3 BondVirtus Funds VIRTUS HIGH YIELD CLASS C PGHCX Non-NTF Corporate Bond - High Yield 2.12 1.00 3 BondVirtus Funds VIRTUS HIGH YIELD INCOME FD CLASS I HHYIX Non-NTF Corporate Bond - High Yield 0.83 None 3 BondVirtus Funds VIRTUS INSIGHT MONEY MARKET CLASS A HICXX Non-NTF None 3 BondVirtus Funds VIRTUS INSTL BOND FUND CLASS X PXMBX Non-NTF Corporate Bond - General 0.55 None 3 BondVirtus Funds VIRTUS INTER TAX EXEMPT BD CL I HIXIX Non-NTF Municipal Bond - National 0.6 None 3 BondVirtus Funds VIRTUS INTERMEDIATE GOV'T BD FD CL I HIGIX Non-NTF Government Bond - General 0.51 None 3 BondVirtus Funds VIRTUS INTERMEDIATE GOV'T BOND FUND A HIGZX Non-NTF Government Bond - General 0.76 4.75 3 Equity

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Virtus Funds VIRTUS INTERMEDIATE TAX FREE BOND CL A HIXZX Non-NTF Municipal Bond - National 0.85 4.75 3 EquityVirtus Funds VIRTUS INTERNATL REAL ESTATE SECS A PXRAX Non-NTF Foreign Stock 1.5 5.75 3 EquityVirtus Funds VIRTUS INTERNATL REAL ESTATE SECS C PXRCX Non-NTF Foreign Stock 2.25 1.00 3 EquityVirtus Funds VIRTUS INTERNATL REAL ESTATE SECS I PXRIX Non-NTF Foreign Stock 1.25 None 3 EquityVirtus Funds VIRTUS MARKET NEUTRAL CL A EMNAX Non-NTF Growth 1.77 5.75 3 EquityVirtus Funds VIRTUS MARKET NEUTRAL FUND CL C EMNCX Non-NTF Growth 2.52 1.25 3 EquityVirtus Funds VIRTUS MID CAP GROWTH FD CL A PHSKX Non-NTF Aggressive Growth 1.45 5.75 3 EquityVirtus Funds VIRTUS MID CAP GROWTH FD CL C PSKCX Non-NTF Aggressive Growth 2.2 1.00 3 EquityVirtus Funds VIRTUS MID CAP GROWTH FD I PICMX Non-NTF Aggressive Growth 1.2 None 3 EquityVirtus Funds VIRTUS MID CAP VALUE CLASS C FMICX Non-NTF Growth 2.19 1.00 3 EquityVirtus Funds VIRTUS MID CAP VALUE FUND CL A FMIVX Non-NTF Growth 1.45 5.75 3 EquityVirtus Funds VIRTUS MID-CAP CORE CL A VMACX Non-NTF Growth -999 5.75 3 EquityVirtus Funds VIRTUS MID-CAP CORE CL I VIMCX Non-NTF Growth -999 None 3 BondVirtus Funds VIRTUS MID-CAP VALUE FUND CL I PIMVX Non-NTF Growth 1.24 None 3 BondVirtus Funds VIRTUS MULTI SECTOR FIXED INCOME CL A NAMFX Non-NTF Multisector Bond 1.16 4.75 3 BondVirtus Funds VIRTUS MULTI SECTOR FIXED INCOME CL C NCMFX Non-NTF Multisector Bond 1.9 1.00 3 BondVirtus Funds VIRTUS MULTI SECTOR SHORT TERM BOND CL A NARAX Non-NTF Income 1.12 2.25 3 BondVirtus Funds VIRTUS MULTI SECTOR SHORT TERM BOND CL C PSTCX Non-NTF Income 1.36 1.00 3 BondVirtus Funds VIRTUS MULTI SECTOR SHORT TERM BOND CL T PMSTX Non-NTF Income 1.86 1.00 3 EquityVirtus Funds VIRTUS MULTI-SECTOR SHORT TERM BOND CL I PIMSX Non-NTF Income 1.03 None 3 EquityVirtus Funds VIRTUS QUALITY LARGE CAP VALUE CLASS A PPTAX Non-NTF Growth 1.35 5.75 3 EquityVirtus Funds VIRTUS QUALITY LARGE CAP VALUE CLASS I PIPTX Non-NTF Growth 1.1 None 3 EquityVirtus Funds VIRTUS QUALITY LARGE CAP VALYE CLASS C PPTCX Non-NTF Growth 2.1 1.00 3 EquityVirtus Funds VIRTUS QUALITY SMALL CAP FD I PXQSX Non-NTF Growth 1.19 None 3 EquityVirtus Funds VIRTUS QUALITY SMALL CAP FUND CLASS A PQSAX Non-NTF Growth 1.45 5.75 3 EquityVirtus Funds VIRTUS QUALITY SMALL-CAP FUND CL C PQSCX Non-NTF Growth 2.19 1.00 3 EquityVirtus Funds VIRTUS REAL ESTATE SECURITIES CL A PHRAX Non-NTF Specialty - Real Estate 1.59 5.75 3 EquityVirtus Funds VIRTUS REAL ESTATE SECURITIES CL C PHRCX Non-NTF Specialty - Real Estate 2.34 1.00 3 EquityVirtus Funds VIRTUS REAL ESTATE SECURITIES CL I PHRIX Non-NTF Specialty - Real Estate 1.32 None 3 BondVirtus Funds VIRTUS SENIOR FLOATING RATE CL A PSFRX Non-NTF Growth and Income 1.2 4.75 3 BondVirtus Funds VIRTUS SHORT INTERM BOND CL I HIBIX Non-NTF Corporate Bond - General 0.7 None 3 BondVirtus Funds VIRTUS SHORT/INTERME BOND FUND CLASS A HIMZX Non-NTF Corporate Bond - General 0.95 4.75 3 EquityVirtus Funds VIRTUS SHORT/INTERME BOND FUND CLASS C PCMZX Non-NTF Corporate Bond - General 1.7 1.00 3 EquityVirtus Funds VIRTUS SMALL CAP CORE CL A PKSAX Non-NTF Growth 1.59 5.75 3 EquityVirtus Funds VIRTUS SMALL CAP CORE CL C PKSCX Non-NTF Growth 2.34 1.00 3 EquityVirtus Funds VIRTUS SMALL CAP CORE CL I PKSFX Non-NTF Growth 1.34 None 3 EquityVirtus Funds VIRTUS SMALL CAP GROWTH FD CL A PAMAX Non-NTF Small Company 1.84 5.75 3 EquityVirtus Funds VIRTUS SMALL CAP GROWTH FD CL C PEMCX Non-NTF Small Company 2.59 1.00 3 EquityVirtus Funds VIRTUS SMALL CAP SUSTAINABLE GRWTH A PSGAX Non-NTF Growth 1.44 5.75 3 EquityVirtus Funds VIRTUS SMALL CAP SUSTAINABLE GRWTH I PXSGX Non-NTF Growth 1.23 None 3 EquityVirtus Funds VIRTUS STRATEGIC GROWTH FD C SSTFX Non-NTF Growth 2.28 1.00 3 EquityVirtus Funds VIRTUS STRATEGIC GROWTH FD I PLXGX Non-NTF Growth 1.28 None 3 EquityVirtus Funds VIRTUS STRATEGIES GROWTH FD CL A PSTAX Non-NTF Growth 1.53 5.75 3 EquityVirtus Funds VIRTUS TACTICAL ALLOCATION FD CL C POICX Non-NTF Balanced 2.08 1.00 3 BondVirtus Funds VIRTUS TACTICAL ALLOCATION FUND A NAINX Non-NTF Balanced 1.33 5.75 3 BondVirtus Funds VIRTUS TAX EXEMPT BD FD CL I HXBIX Non-NTF Municipal Bond - National 0.6 None 3 EquityVirtus Funds VIRTUS TAX EXEMPT BD FUND CLASS A HXBZX Non-NTF Municipal Bond - National 0.85 4.75 3 EquityVirtus Funds VIRTUS VALUE EQUITY FUND CLASS A HIEZX Non-NTF Growth and Income 1.15 5.75 3 EquityVirtus Funds VIRTUS VALUE EQUITY FUND CLASS I HEQIX Non-NTF Growth and Income 0.9 None 3 EquityW & R Funds WADDELL & REED ASSET STRATEGY FD CL C WCASX Non-NTF Asset Allocation 2.01 1.00 3 EquityWayne Hummer Funds WAYNE HUMMER LARGE CAP CORE CLASS A WHLAX Non-NTF Growth and Income -999 5.00 1 EquityWayne Hummer Funds WAYNE HUMMER LARGE CAP CORE CLASS I WHLIX Non-NTF Growth and Income -999 None 1 EquityWayne Hummer Funds WAYNE HUMMER SMALL CAP CORE CLASS A WHSAX Non-NTF Small Company 1.24 5.00 1 EquityWayne Hummer Funds WAYNE HUMMER SMALL CAP CORE CLASS I WHSIX Non-NTF Small Company 0.99 None 1 EquityWegener Funds WEGENER ADAPTIVE GROWTH FUND WAGFX Non-NTF Growth 1.99 None 1 EquityWells Fargo Funds HERITAGE MONEY MARKET QDDDQ Non-NTF None 0 EquityWells Fargo Funds WELLS FARGO 100% TREASURY MMKT WFTXX Non-NTF None 1 BondWells Fargo Funds WELLS FARGO ADV ASIA PACIFIC FUND A WFAAX Non-NTF Pacific Stock 1.6 5.75 3 EquityWells Fargo Funds WELLS FARGO ADV ASIA PACIFIC FUND CL C WFCAX Non-NTF Pacific Stock 2.35 1.00 3 Bond

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Security Class

Wells Fargo Funds WELLS FARGO ADV CAPITAL GROWTH A WFCGX Non-NTF Growth and Income 1.25 5.75 3 EquityWells Fargo Funds WELLS FARGO ADV CAPITAL GROWTH CL C WFCCX Non-NTF Growth and Income 1.96 1.00 3 EquityWells Fargo Funds WELLS FARGO ADV CAPITAL GROWTH-ADMIN WFCDX Non-NTF Growth and Income 0.94 None 3 EquityWells Fargo Funds WELLS FARGO ADV DISCOVERY ADM CL WFDDX Non-NTF Aggressive Growth 1.15 None 3 EquityWells Fargo Funds WELLS FARGO ADV DISCOVERY FD CL A WFDAX Non-NTF Aggressive Growth 1.33 5.75 3 EquityWells Fargo Funds WELLS FARGO ADV DISCOVERY FUND C WDSCX Non-NTF Aggressive Growth 2.08 1.00 3 BondWells Fargo Funds WELLS FARGO ADV DOW JONES TRGT 2010 INV WFCTX Non-NTF Asset Allocation 0.94 None 3 BondWells Fargo Funds WELLS FARGO ADV INTER TAX/AMT-FREE A WFTAX Non-NTF Municipal Bond - National 0.7 3.00 3 BondWells Fargo Funds WELLS FARGO ADV INTER TAX/AMT-FREE C WFTFX Non-NTF Municipal Bond - National 1.45 1.00 3 EquityWells Fargo Funds WELLS FARGO ADV INTM TAX/AMT FREE INSTL WITIX Non-NTF Municipal Bond - National 0.42 None 3 EquityWells Fargo Funds WELLS FARGO ADV LG CO GROWTH FD INSTL WLCSX Non-NTF Growth 0.72 None 3 EquityWells Fargo Funds WELLS FARGO ADV MID CAP DISCIPLINED FD A WFPAX Non-NTF Growth 1.23 5.75 3 EquityWells Fargo Funds WELLS FARGO ADV MONEY MARKET INSTL GVIXX Non-NTF None 1 BondWells Fargo Funds WELLS FARGO ADV OPPORTUNITY-ADMIN WOFDX Non-NTF Growth 1.04 None 3 EquityWells Fargo Funds WELLS FARGO ADV SHORT TERM BOND CL C WFSHX Non-NTF Corporate Bond - General 1.53 1.00 3 BondWells Fargo Funds WELLS FARGO ADV SM MID CAP VALUE A WFVAX Non-NTF Growth 1.4 5.75 3 EquityWells Fargo Funds WELLS FARGO ADV SM MID CAP VALUE CL C WFCVX Non-NTF Growth 2.11 1.00 3 EquityWells Fargo Funds WELLS FARGO ADV SMALL CAP GRW INSTL WFSIX Non-NTF Small Company 0.9 None 3 EquityWells Fargo Funds WELLS FARGO ADVAN CAPITAL GROW INST CL WWCIX Non-NTF Growth and Income 0.75 None 3 EquityWells Fargo Funds WELLS FARGO ADVANTAG CA MUNI MMRKT A SGCXX Non-NTF None 1 BondWells Fargo Funds WELLS FARGO ADVANTAG GROWTH & INC CL C SGNCX Non-NTF Growth and Income 1.83 1.00 1 BondWells Fargo Funds WELLS FARGO ADVANTAG HIGH INCOME FD CL C WFNCX Non-NTF Corporate Bond - High Yield 1.65 1.00 1 BondWells Fargo Funds WELLS FARGO ADVANTAG INCOME FD INSTL CL WIPIX Non-NTF Asset Allocation 0.61 None 3 EquityWells Fargo Funds WELLS FARGO ADVANTAG MODERATE BAL ADM CL NVMBX Non-NTF Balanced 0.9 None 3 BondWells Fargo Funds WELLS FARGO ADVANTAG SMALL CAP GRWTH C WMNCX Non-NTF Small Company 2.15 1.00 3 EquityWells Fargo Funds WELLS FARGO ADVANTAG ULTRA SHORT TRM C WUSTX Non-NTF Corporate Bond - General 1.45 1.00 1 EquityWells Fargo Funds WELLS FARGO ADVANTAGE EQ VAL A WLVAX Non-NTF Growth 1.25 5.75 3 EquityWells Fargo Funds WELLS FARGO ADVANTGE MID CAP DISC FD CL I WFMIX Non-NTF Growth 0.85 None 3 EquityWells Fargo Funds WELLS FARGO ADVG DOW JONES TRGT 2015 INST WFSCX Non-NTF Asset Allocation 0.66 None 3 EquityWells Fargo Funds WELLS FARGO ADVG DOW JONES TRGT 2050 INST WFQFX Non-NTF Asset Allocation 0.69 None 3 EquityWells Fargo Funds WELLS FARGO ADVG DOW JONES TRGT TDY INSTL WOTDX Non-NTF Asset Allocation 0.62 None 3 EquityWells Fargo Funds WELLS FARGO ADVNTGE ENDVR SELECT-INSTL WFCIX Non-NTF Growth 0.8 None 3 EquityWells Fargo Funds WELLS FARGO ADVNTGE HERITAGE MM FD-INSTL SHIXX Non-NTF None 1 EquityWells Fargo Funds WELLS FARGO ADVT DJ TARGET DTD 2010 INST WFOAX Non-NTF Asset Allocation 0.65 None 3 EquityWells Fargo Funds WELLS FARGO ADVT DJ TARGET DTD 2030 INSL WFOOX Non-NTF Asset Allocation 0.68 None 3 EquityWells Fargo Funds WELLS FARGO ADVT DOW JONES TRGT 2025 INST WFTYX Non-NTF Asset Allocation 0.53 None 3 EquityWells Fargo Funds WELLS FARGO ADVT DOW JONES TRGT 2035 INST WFQRX Non-NTF Asset Allocation 0.64 None 3 BondWells Fargo Funds WELLS FARGO ADVT DOW JONES TRGT 2045 INST WFQPX Non-NTF Asset Allocation 0.69 None 3 EquityWells Fargo Funds WELLS FARGO ADVT SHORT TERM MUNI BD A WSMAX Non-NTF Municipal Bond - National 0.6 3.00 3 EquityWells Fargo Funds WELLS FARGO ADVT SM/MID CAP VAL INSTL WWMSX Non-NTF Growth 0.95 None 3 EquityWells Fargo Funds WELLS FARGO ADVT SMALL CAP DISC INSTL WFSSX Non-NTF Small Company 1 None 3 BondWells Fargo Funds WELLS FARGO ADVTG AGGRESSIVE ALLOC ADM NWBEX Non-NTF Balanced 1 None 3 BondWells Fargo Funds WELLS FARGO ADVTG CA LMTD TRM T/F ADM SCTIX Non-NTF Municipal Bond - Single State 0.6 None 3 EquityWells Fargo Funds WELLS FARGO ADVTG DIVERS BOND ADM CL NVMFX Non-NTF Corporate Bond - General 0.7 None 3 EquityWells Fargo Funds WELLS FARGO ADVTG DIVERSIFIED INTL A SILAX Non-NTF Foreign Stock 1.41 5.75 3 EquityWells Fargo Funds WELLS FARGO ADVTG DIVERSIFIED INTL ADM WFIEX Non-NTF Foreign Stock 1.25 None 3 EquityWells Fargo Funds WELLS FARGO ADVTG DIVERSIFIED INTL C WFECX Non-NTF Foreign Stock 2.16 1.00 3 BondWells Fargo Funds WELLS FARGO ADVTG DIVERSIFIED INTL INV WIEVX Non-NTF Foreign Stock 1.46 None 3 EquityWells Fargo Funds WELLS FARGO ADVTG GOV'T SEC ADM CL WGSDX Non-NTF Government Bond - General 0.7 None 3 EquityWells Fargo Funds WELLS FARGO ADVTG GRWTH & INC ADM CL SGIKX Non-NTF Growth and Income 0.95 None 3 EquityWells Fargo Funds WELLS FARGO ADVTG GRWTH ADM CL SGRKX Non-NTF Growth 0.96 None 3 EquityWells Fargo Funds WELLS FARGO ADVTG GRWTH EQUITY ADM CL NVGEX Non-NTF Growth 1.25 None 3 EquityWells Fargo Funds WELLS FARGO ADVTG INDEX ASSET ALLOC A SFAAX Non-NTF Asset Allocation 1.15 5.75 3 EquityWells Fargo Funds WELLS FARGO ADVTG INDEX ASSET ALLOC C WFALX Non-NTF Asset Allocation 1.9 1.00 3 EquityWells Fargo Funds WELLS FARGO ADVTG INTL VALUE ADM CL WFVDX Non-NTF Foreign Stock 1.25 None 3 EquityWells Fargo Funds WELLS FARGO ADVTG INTL VALUE CL A WFFAX Non-NTF Foreign Stock 1.5 5.75 3 EquityWells Fargo Funds WELLS FARGO ADVTG LG CAP APPREC ADM CL WFAKX Non-NTF Growth 0.97 None 3 EquityWells Fargo Funds WELLS FARGO ADVTG MID CAP DISCPLN ADM WFMDX Non-NTF Growth 0.85 None 3 EquityWells Fargo Funds WELLS FARGO ADVTG SMALL CAP DISC ADM WFSDX Non-NTF Small Company 1.2 None 3 Bond

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Sales Charge

Settlement Days

Security Class

Wells Fargo Funds WELLS FARGO ADVTG SMALLMID CAP VAL ADM WWMDX Non-NTF Growth 1.15 None 3 BondWells Fargo Funds WELLS FARGO ADVTG ULTRA SHRT TRM ADM WUSDX Non-NTF Corporate Bond - General 0.55 None 3 EquityWells Fargo Funds WELLS FARGO ADVTSHT TERM MUNI BOND INSTL WSBIX Non-NTF Municipal Bond - National 0.4 None 3 EquityWells Fargo Funds WELLS FARGO AVTG DJ TARGET DTD 2020 INST WFOBX Non-NTF Asset Allocation 0.67 None 3 EquityWells Fargo Funds WELLS FARGO AVTG DJ TARGET DTD 2040 INST WFOSX Non-NTF Asset Allocation 0.69 None 3 EquityWells Fargo Funds WELLS FARGO C&B LG CAP VALUE FD CL A CBEAX Non-NTF Growth 1.15 5.75 3 EquityWells Fargo Funds WELLS FARGO C&B LRG CAP VALUE FD ADMIN CBLLX Non-NTF Growth 0.95 None 3 EquityWells Fargo Funds WELLS FARGO C&B LRG CAP VALUE FD CL C CBECX Non-NTF Growth 1.9 1.00 3 EquityWells Fargo Funds WELLS FARGO C&B LRG CAP VALUE INSTL SHS CBLSX Non-NTF Growth 0.7 None 3 EquityWells Fargo Funds WELLS FARGO C&B MID CAP VALUE FD ADMIN CBMIX Non-NTF Growth 1.15 None 3 EquityWells Fargo Funds WELLS FARGO C&B MID CAP VALUE FD CL A CBMAX Non-NTF Growth 1.2 5.75 3 EquityWells Fargo Funds WELLS FARGO C&B MID CAP VALUE FD CL C CBMCX Non-NTF Growth 1.95 1.00 3 BondWells Fargo Funds WELLS FARGO C&B MID CAP VALUE INSTL SHS CBMSX Non-NTF Growth 0.9 None 3 BondWells Fargo Funds WELLS FARGO CA LTD TERM TAX-FREE CL A SFCIX Non-NTF Municipal Bond - Single State 0.85 3.00 3 BondWells Fargo Funds WELLS FARGO CA LTD TERM TAX-FREE CL C SFCCX Non-NTF Municipal Bond - Single State 1.6 1.00 3 BondWells Fargo Funds WELLS FARGO CA TAX FREE CLASS A SCTAX Non-NTF Municipal Bond - Single State 0.8 4.50 3 BondWells Fargo Funds WELLS FARGO CA TAX FREE FUND ADMIN CL SGCAX Non-NTF Municipal Bond - Single State 0.55 None 3 BondWells Fargo Funds WELLS FARGO CASH INVST MMKT SERVICE NWIXX Non-NTF None 0 BondWells Fargo Funds WELLS FARGO CO TAX FREE CLASS A NWCOX Non-NTF Municipal Bond - Single State 0.88 4.50 3 EquityWells Fargo Funds WELLS FARGO COL TAX FREE FD ADMIN CL NCOTX Non-NTF Municipal Bond - Single State 0.63 None 3 EquityWells Fargo Funds WELLS FARGO COMMON STOCK FD CLASS A SCSAX Non-NTF Growth 1.26 5.75 3 EquityWells Fargo Funds WELLS FARGO COMMON STOCK FUND CL C STSAX Non-NTF Growth 2.01 1.00 3 EquityWells Fargo Funds WELLS FARGO CONSERV ALLOCATION FD ADMIN NVCBX Non-NTF Asset Allocation 0.85 None 3 EquityWells Fargo Funds WELLS FARGO DIVERS SMALL CAP ADMIN CL NVDSX Non-NTF Growth 1 None 3 EquityWells Fargo Funds WELLS FARGO DIVERSIF EQUITY FD-ADMIN NVDEX Non-NTF Growth 1 None 3 EquityWells Fargo Funds WELLS FARGO DIVERSIF IED EQUTIY FD CL C WFDEX Non-NTF Growth 2 1.00 3 EquityWells Fargo Funds WELLS FARGO DOW JONE S TARGET 2015 ADMIN WFFFX Non-NTF Asset Allocation 0.89 None 3 EquityWells Fargo Funds WELLS FARGO DOW JONE S TARGET 2025 ADMIN WFTRX Non-NTF Asset Allocation 0.63 None 3 EquityWells Fargo Funds WELLS FARGO DOW JONE S TARGET 2035 ADMIN WFQWX Non-NTF Asset Allocation 0.83 None 3 EquityWells Fargo Funds WELLS FARGO DOW JONE S TARGET 2045 ADMIN WFQYX Non-NTF Asset Allocation 0.92 None 3 EquityWells Fargo Funds WELLS FARGO DOW JONES TARGET TODAY A STWRX Non-NTF Asset Allocation 1.15 5.75 3 EquityWells Fargo Funds WELLS FARGO DOW JONES TARGET TODAY C WFODX Non-NTF Asset Allocation 1.9 1.00 3 EquityWells Fargo Funds WELLS FARGO DOWJONES TARGET 2010 ADMIN CL WFLGX Non-NTF Asset Allocation 0.88 None 3 EquityWells Fargo Funds WELLS FARGO DOWJONES TARGET 2010 FD CL A STNRX Non-NTF Asset Allocation 1.18 5.75 3 EquityWells Fargo Funds WELLS FARGO DOWJONES TARGET 2010 FD CL C WFOCX Non-NTF Asset Allocation 1.93 1.00 3 EquityWells Fargo Funds WELLS FARGO DOWJONES TARGET 2020 ADMIN CL WFLPX Non-NTF Asset Allocation 0.9 None 3 EquityWells Fargo Funds WELLS FARGO DOWJONES TARGET 2020 FD CL A STTRX Non-NTF Asset Allocation 1.2 5.75 3 EquityWells Fargo Funds WELLS FARGO DOWJONES TARGET 2020 FD CL C WFLAX Non-NTF Asset Allocation 1.95 1.00 3 EquityWells Fargo Funds WELLS FARGO DOWJONES TARGET 2030 ADMIN CL WFLIX Non-NTF Asset Allocation 0.91 None 3 EquityWells Fargo Funds WELLS FARGO DOWJONES TARGET 2030 FD CL A STHRX Non-NTF Asset Allocation 1.21 5.75 3 EquityWells Fargo Funds WELLS FARGO DOWJONES TARGET 2030 FD CL C WFDMX Non-NTF Asset Allocation 1.96 1.00 3 EquityWells Fargo Funds WELLS FARGO DOWJONES TARGET 2040 ADMIN CL WFLWX Non-NTF Asset Allocation 0.92 None 3 EquityWells Fargo Funds WELLS FARGO DOWJONES TARGET 2040 FD CL A STFRX Non-NTF Asset Allocation 1.22 5.75 3 EquityWells Fargo Funds WELLS FARGO DOWJONES TARGET 2040 FD CL C WFOFX Non-NTF Asset Allocation 1.97 1.00 3 EquityWells Fargo Funds WELLS FARGO DOWJONES TARGET 2050 ADMIN CL WFQDX Non-NTF Asset Allocation 0.92 None 3 EquityWells Fargo Funds WELLS FARGO DOWJONES TARGET TODAY ADMIN WFLOX Non-NTF Asset Allocation 0.85 None 3 EquityWells Fargo Funds WELLS FARGO ENDEAVOR SELECT ADM CL WECDX Non-NTF Growth 1 None 3 EquityWells Fargo Funds WELLS FARGO ENDEAVOR SELECT FD CL A STAEX Non-NTF Growth 1.25 5.75 3 EquityWells Fargo Funds WELLS FARGO ENDEAVOR SELECT FD CL C WECCX Non-NTF Growth 2 1.00 3 EquityWells Fargo Funds WELLS FARGO ENTERPRISE CLASS A SENAX Non-NTF Growth 1.36 5.75 3 EquityWells Fargo Funds WELLS FARGO ENTERPRISE FD INSTIT WFEIX Non-NTF Growth 0.9 None 1 EquityWells Fargo Funds WELLS FARGO EQUITY INCOME ADMIN NVIEX Non-NTF Growth and Income 0.85 None 3 EquityWells Fargo Funds WELLS FARGO EQUITY INCOME CL C WFEEX Non-NTF Growth and Income 1.84 1.00 3 BondWells Fargo Funds WELLS FARGO EQUITY INCOME CLASS A NVAEX Non-NTF Growth and Income 1.1 5.75 3 BondWells Fargo Funds WELLS FARGO GOVERNMT SECURITIES INSTIT SGVIX Non-NTF Government Bond - General 0.48 None 3 BondWells Fargo Funds WELLS FARGO GOVT MMKT CL A WFGXX Non-NTF None 3 EquityWells Fargo Funds WELLS FARGO GOVT SECURITIES FD CL C WGSCX Non-NTF Government Bond - General 1.63 1.00 3 EquityWells Fargo Funds WELLS FARGO GROWTH & INCOME CLASS A SGNAX Non-NTF Growth and Income 1.14 5.75 3 EquityWells Fargo Funds WELLS FARGO GROWTH & INCOME FD-INSTIT SGNIX Non-NTF Growth and Income 0.66 None 1 Equity

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Sales Charge

Settlement Days

Security Class

Wells Fargo Funds WELLS FARGO GROWTH BALANCED CL C WFGWX Non-NTF Balanced 1.95 1.00 3 EquityWells Fargo Funds WELLS FARGO GROWTH BALANCED CLASS A WFGBX Non-NTF Balanced 1.2 5.75 3 EquityWells Fargo Funds WELLS FARGO GROWTH BALANCED FD ADMIN NVGBX Non-NTF Balanced 0.95 None 3 EquityWells Fargo Funds WELLS FARGO GROWTH CLASS A SGRAX Non-NTF Growth 1.29 5.75 3 EquityWells Fargo Funds WELLS FARGO GROWTH EQUITY CLASS A NVEAX Non-NTF Growth 1.5 5.75 3 EquityWells Fargo Funds WELLS FARGO GROWTH FUND CL C WGFCX Non-NTF Growth 2.02 1.00 3 BondWells Fargo Funds WELLS FARGO GROWTH FUND-INSTITUTIONAL SGRNX Non-NTF Growth 0.8 None 1 BondWells Fargo Funds WELLS FARGO HIGH INCOME CLASS A SHBAX Non-NTF Corporate Bond - High Yield 0.89 4.50 3 BondWells Fargo Funds WELLS FARGO HIGH INCOME FD -INSTIT SHYYX Non-NTF Corporate Bond - High Yield 0.5 None 3 BondWells Fargo Funds WELLS FARGO INCOME PLUS CLASS A STYAX Non-NTF Asset Allocation 0.9 4.50 3 EquityWells Fargo Funds WELLS FARGO INDEX ADMIN CLASS NVINX Non-NTF Growth and Income 0.25 None 3 BondWells Fargo Funds WELLS FARGO INFLAT. PROTECTED BD ADMIN IPBIX Non-NTF Income 0.6 None 3 BondWells Fargo Funds WELLS FARGO INFLATION PRO BD A IPBAX Non-NTF Income 0.83 4.50 3 EquityWells Fargo Funds WELLS FARGO INFLATION PRO BD C IPBCX Non-NTF Income 1.59 1.00 3 EquityWells Fargo Funds WELLS FARGO INTERNTL CORE FUND CL A WFIAX Non-NTF Foreign Stock 1.5 5.75 3 EquityWells Fargo Funds WELLS FARGO INTERNTL CORE FUND CL C WFICX Non-NTF Foreign Stock 2.25 1.00 3 EquityWells Fargo Funds WELLS FARGO LARGE CAP APP CL A WFAPX Non-NTF Growth 1.11 5.75 3 EquityWells Fargo Funds WELLS FARGO LARGE CAP APP CL C WFACX Non-NTF Growth 1.94 1.00 3 EquityWells Fargo Funds WELLS FARGO LARGE CAP VALUE FD CL C WLVCX Non-NTF Growth 2 1.00 3 EquityWells Fargo Funds WELLS FARGO LARGE COMP GROWTH INVT CL WFLZX Non-NTF Growth 1.25 None 3 EquityWells Fargo Funds WELLS FARGO LARGE COMPANY GROWTH ADMIN NVLCX Non-NTF Growth 0.94 None 3 EquityWells Fargo Funds WELLS FARGO LARGE COMPANY GROWTH CL A NVLAX Non-NTF Growth 1.18 5.75 3 EquityWells Fargo Funds WELLS FARGO LARGE COMPANY GROWTH CL C WFLCX Non-NTF Growth 1.93 1.00 3 EquityWells Fargo Funds WELLS FARGO MID CAP GROWTH CL A WFMCX Non-NTF Growth 1.35 5.75 3 BondWells Fargo Funds WELLS FARGO MID CAP GROWTH FD INVT CL WFMZX Non-NTF Growth 1.45 None 3 BondWells Fargo Funds WELLS FARGO MINN TAX FREE FD CL A NMTFX Non-NTF Municipal Bond - Single State 0.85 4.50 3 EquityWells Fargo Funds WELLS FARGO MN TAX FREE FUND ADMIN CL NWMIX Non-NTF Municipal Bond - Single State 0.6 None 3 EquityWells Fargo Funds WELLS FARGO MODERATE BALANCED FD CL C WFBCX Non-NTF Balanced 1.9 1.00 3 EquityWells Fargo Funds WELLS FARGO MONEY MARKET FUND STGXX Non-NTF None 0 BondWells Fargo Funds WELLS FARGO MONTGMY MID CAP GROWTH CL C WFMHX Non-NTF Growth 2.1 1.00 3 BondWells Fargo Funds WELLS FARGO MONTGOMY SHT DUR GOVT BD CL C MSDCX Non-NTF Government Bond - General 1.6 1.00 3 BondWells Fargo Funds WELLS FARGO MONTGOMY TOTAL RET BOND CL A MBFAX Non-NTF Corporate Bond - General 0.85 4.50 3 BondWells Fargo Funds WELLS FARGO MONTGOMY TOTAL RET BOND CL C MBFCX Non-NTF Corporate Bond - General 1.6 1.00 3 BondWells Fargo Funds WELLS FARGO MUNI BOND CL C WMFCX Non-NTF Municipal Bond - National 1.5 1.00 3 BondWells Fargo Funds WELLS FARGO OPPORTUNITY CLASS A SOPVX Non-NTF Growth 1.29 5.75 3 BondWells Fargo Funds WELLS FARGO SHORT DURATION GOV ADMIN MNSGX Non-NTF Government Bond - General 0.6 None 3 BondWells Fargo Funds WELLS FARGO SHORT DURATION GOVT BD A MSDAX Non-NTF Government Bond - General 0.85 3.00 3 BondWells Fargo Funds WELLS FARGO SHORT TERM BOND CLASS A SSTVX Non-NTF Corporate Bond - General 0.8 3.00 3 BondWells Fargo Funds WELLS FARGO SHORT TERM BOND FD-INSTIT SSHIX Non-NTF Corporate Bond - General 0.48 None 3 BondWells Fargo Funds WELLS FARGO SHORT TERM HIGH YIELD CL C WFHYX Non-NTF Corporate Bond - High Yield 1.56 1.00 1 BondWells Fargo Funds WELLS FARGO SHORT TERM MUNI BOND FD C WSSCX Non-NTF Municipal Bond - National 1.36 1.00 3 BondWells Fargo Funds WELLS FARGO SHORT TERM MUNI INC-INSTIT SMAIX Non-NTF Municipal Bond - National 0.37 None 3 EquityWells Fargo Funds WELLS FARGO SHRT TRM HI YIELD BND CLASS A SSTHX Non-NTF Corporate Bond - High Yield 0.81 3.00 3 EquityWells Fargo Funds WELLS FARGO SIFE SPEC FINAN SVCS CL C SIFCX Non-NTF Specialty - Financial 2.1 1.00 3 EquityWells Fargo Funds WELLS FARGO SIFE SPECIAL FIN SVC CL A SIFEX Non-NTF Specialty - Financial 1.35 5.75 3 EquityWells Fargo Funds WELLS FARGO SMALL CAP GROWTH FD ADMIN WMNIX Non-NTF Small Company 1.2 None 3 EquityWells Fargo Funds WELLS FARGO SMALL CAP OPPTTY ADMIN NVSOX Non-NTF Small Company 1.2 None 3 EquityWells Fargo Funds WELLS FARGO SMALL CAP VALUE FD CL A SMVAX Non-NTF Small Company 1.44 5.75 3 EquityWells Fargo Funds WELLS FARGO SMALL CAP VALUE FD CL C SMVCX Non-NTF Small Company 2.19 1.00 3 EquityWells Fargo Funds WELLS FARGO SMALL CAP VALUE INVESTOR SSMVX Non-NTF Small Company 1.36 None 3 EquityWells Fargo Funds WELLS FARGO SMALL CO GROWTH FUND CL A WFSAX Non-NTF Small Company 1.44 5.75 3 EquityWells Fargo Funds WELLS FARGO SMALL CO GROWTH FUND CL C WSMCX Non-NTF Small Company 2.19 1.00 3 EquityWells Fargo Funds WELLS FARGO SMALL CO VALUE CL A SCVAX Non-NTF Small Company 1.45 5.75 3 EquityWells Fargo Funds WELLS FARGO SMALL CO VALUE FD CLASS C SCVFX Non-NTF Small Company 2.22 1.00 3 EquityWells Fargo Funds WELLS FARGO SMALL COMPANY VALUE ADMIN SCVIX Non-NTF Small Company 1.2 None 3 EquityWells Fargo Funds WELLS FARGO SPECIAL TECH INVT CL WFTZX Non-NTF Specialty - Technology 1.86 None 3 EquityWells Fargo Funds WELLS FARGO SPECIALIZED TECH A WFSTX Non-NTF Specialty - Technology 1.75 5.75 3 BondWells Fargo Funds WELLS FARGO SPECIALIZED TECH C WFTCX Non-NTF Specialty - Technology 2.5 1.00 3 BondWells Fargo Funds WELLS FARGO STABLE INCOME CLASS A NVSAX Non-NTF Corporate Bond - High Quality 0.85 2.00 3 Bond

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Settlement Days

Security Class

Wells Fargo Funds WELLS FARGO STABLE INCOME FUND-ADMIN CL NVSIX Non-NTF Corporate Bond - High Quality 0.65 None 3 BondWells Fargo Funds WELLS FARGO STRAT INCOME FUND CL C SASCX Non-NTF Corporate Bond - High Yield 1.85 1.00 3 BondWells Fargo Funds WELLS FARGO STRATEGIC INC FD A SASAX Non-NTF Corporate Bond - High Yield 1.1 4.50 3 BondWells Fargo Funds WELLS FARGO TOATL RETURN BOND FD-ADMIN MNTRX Non-NTF Corporate Bond - General 0.7 None 3 BondWells Fargo Funds WELLS FARGO TOTAL RETURN BOND INVT CL WTRZX Non-NTF Corporate Bond - General 0.9 None 3 BondWells Fargo Funds WELLS FARGO TREASURY PLUS MMKT CL A PIVXX Non-NTF None 0 BondWells Fargo Funds WELLS FARGO ULTRA SHORT TERM INC-INST SADIX Non-NTF Corporate Bond - General 0.35 None 3 BondWells Fargo Funds WELLS FARGO ULTRA SHRT TRM INC CLASS A SADAX Non-NTF Corporate Bond - General 0.7 2.00 3 EquityWells Fargo Funds WELLS FARGO ULTRA SHRT TRM MUNI CL A SMAVX Non-NTF Municipal Bond - National 0.67 2.00 3 EquityWells Fargo Funds WELLS FARGO US VALUE FD CL C WFUCX Non-NTF Growth 1.99 1.00 3 EquityWells Fargo Funds WELLS FARGO US VALUE FUND CLASS A WFUAX Non-NTF Growth 1.24 5.75 3 EquityWells Fargo Funds WELLS FARGO US VALUE FUND INVT CL SEQIX Non-NTF Growth 1.31 None 3 EquityWells Fargo Funds WELLS FARGO WEALTH BUILD CONSRV ALLOC A WBCAX Non-NTF Income 1.5 1.50 3 EquityWells Fargo Funds WELLS FARGO WEALTH BUILD GRTH ALLOC A WBGGX Non-NTF Growth 1.5 1.50 3 EquityWells Fargo Funds WELLS FARGO WEALTH BUILD MOD BALANCED A WBBBX Non-NTF Balanced 1.5 1.50 3 EquityWells Fargo Funds WELLS FARGO WEALTH BUILDER BALANCED A WBGBX Non-NTF Balanced 1.5 1.50 3 EquityWells Fargo Funds WELLS FARGO WEALTH BUILDER EQUITY POR A WBGIX Non-NTF Growth and Income 1.5 1.50 3 BondWells Fargo Funds WELLS FARGO WEALTH BUILDER TACT EQUT A WBGAX Non-NTF Growth 1.5 1.50 3 EquityWells Fargo Funds WELLS FARGO WISC. TAX FREE FD CL C WWTCX Non-NTF Municipal Bond - Single State 1.49 1.00 3 EquityWells Fargo Funds WF ADV EMERGING MARKETS EQUITY ADM MNEFX Non-NTF Diversified Emerging Markets 1.6 None 3 EquityWells Fargo Funds WF ADV EMERGING MARKETS EQUITY CL A MFFAX Non-NTF Diversified Emerging Markets 1.9 5.75 3 BondWells Fargo Funds WF ADV EMERGING MARKETS EQUITY CL C MFFCX Non-NTF Diversified Emerging Markets 2.65 1.00 3 EquityWells Fargo Stable Value CONAIR COPRORATION STABLE VALUE FUND QDGNQ Non-NTF None 1 BondWells Fargo Stable Value GALLIARD FIXED INC B-MS (PUERTO RICO) QDDLQ Non-NTF None 1 BondWells Fargo Stable Value STABLE VALUE FUND FOR SEAGATE QCTYQ Non-NTF None 1 EquityWestcore Funds WESTCORE BLUE CHIP FUND - INSTL WIMVX Non-NTF Growth and Income 0.98 None 1 EquityWestcore Funds WESTCORE FLEXIBLE INCOME FUND - INSTL WILTX Non-NTF Corporate Bond - General 0.74 None 1 EquityWestcore Funds WESTCORE GROWTH FUND - INSTL WILGX Non-NTF Growth 0.92 None 1 EquityWestcore Funds WESTCORE MIDCO GROWTH FUND - INSTL WIMGX Non-NTF Growth 0.93 None 1 EquityWestcore Funds WESTCORE PLUS BOND FUND - INSTL WIIBX Non-NTF Corporate Bond - High Quality 0.46 None 1 EquityWestcore Funds WESTCORE SMALL-CAP OPPORTUNITIES INSTL WISCX Non-NTF Small Company 1.08 None 1 EquityWestcore Funds WESTCORE SMALL-CAP VALUE FUND INSTL WISVX Non-NTF Small Company 1.21 None 1 BondWestern Asset Funds BATTERYMARCH US SM CAP EQ PORT FI LGSCX Non-NTF Small Company 1.19 None 1 BondWestern Asset Funds LEGG MASON GLOBAL OPPORTUNITIES BOND I GOBIX Non-NTF Worldwide Bond -999 None 1 BondWestern Asset Funds WESTERN ASSET ABSOLU TE RTN PORT-INSTL WAARX Non-NTF Aggressive Growth 0.8 None 1 BondWestern Asset Funds WESTERN ASSET CORE PLUS INSTITUTIONAL WACPX Non-NTF Corporate Bond - General 0.46 None 1 BondWestern Asset Funds WESTERN ASSET CORE PORTFOLIO WATFX Non-NTF Corporate Bond - General 0.49 None 1 BondWestern Asset Funds WESTERN ASSET HIGH YIELD PORT INSTL WAHYX Non-NTF Corporate Bond - High Yield 0.6 None 1 BondWestern Asset Funds WESTERN ASSET INCOME INTER PLUS BD INST WAIPX Non-NTF Corporate Bond - General 0.49 None 1 BondWestern Asset Funds WESTERN ASSET INFLA INDX PLUS BD INST WAIIX Non-NTF Government Bond - General 0.25 None 1 BondWestern Asset Funds WESTERN ASSET INTERMEDIATE INSTL WATIX Non-NTF Corporate Bond - General 0.46 None 1 BondWestern Asset Funds WESTERN ASSET LMT DURATION BOND INSTL WALDX Non-NTF Multisector Bond 0.46 None 1 EquityWestern Asset Funds WESTERN ASSET NON-US OPPT BD PORT INSTL C WAFIX Non-NTF Worldwide Bond 0.58 None 1 EquityWestport Funds WESTPORT FUND CLASS I WPFIX Non-NTF Growth 1.29 None 3 EquityWestport Funds WESTPORT SELECT CAP CLASS I WPSCX Non-NTF Small Company 1.15 None 1 EquityWHG Funds WHG BALANCED FUND INSTITUTIONAL CL WHGBX Non-NTF Growth and Income 1 None 1 EquityWHG Funds WHG INCOME OPPORT FUND INSTL CL WHGIX Non-NTF Income 1 None 1 EquityWHG Funds WHG INCOME OPPORTUNITY CL A WWIAX Non-NTF Income 1.25 5.00 1 EquityWHG Funds WHG LARGE CAP VALUE FUND CL A WWLAX Non-NTF Growth 1.25 5.00 1 EquityWHG Funds WHG LARGECAP VALUE FUND INSTITL CL WHGLX Non-NTF Growth 1 None 1 EquityWHG Funds WHG SMALL CAP VALUE FD INSTL CL SH WHGSX Non-NTF Growth 1.25 None 1 EquityWHG Funds WHG SMID CAP FUND INSTL CL WHGMX Non-NTF Growth 1.24 None 1 BondWilliam Blair Funds WILLAIM BLAIR EMRGNG MKT GWTH INSTL BIEMX Non-NTF Diversified Emerging Markets 1.22 None 1 EquityWilliam Blair Funds WILLIAM BLAIR BOND FUND CL I WBFIX Non-NTF Growth and Income 0.5 None 1 EquityWilliam Blair Funds WILLIAM BLAIR FD EMER MKT GROWTH CL I WBEIX Non-NTF Diversified Emerging Markets 1.41 None 1 EquityWilliam Blair Funds WILLIAM BLAIR GLOBAL GROWTH FUND CL I WGFIX Non-NTF World Stock 1.3 None 1 BondWilliam Blair Funds WILLIAM BLAIR GROWTH CLASS I BGFIX Non-NTF Growth 0.89 None 1 EquityWilliam Blair Funds WILLIAM BLAIR INCOME FUND CL I BIFIX Non-NTF Corporate Bond - High Quality 0.66 None 1 EquityWilliam Blair Funds WILLIAM BLAIR INSTL INTERNATIONAL EQUITY WIIEX Non-NTF Foreign Stock 1.09 None 1 Equity

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Sales Charge

Settlement Days

Security Class

William Blair Funds WILLIAM BLAIR INSTL INTL GRWTH FD WBIIX Non-NTF Foreign Stock 1.01 None 1 EquityWilliam Blair Funds WILLIAM BLAIR INTER NATIONAL EQ FD CL I WIEIX Non-NTF Foreign Stock 1.2 None 1 EquityWilliam Blair Funds WILLIAM BLAIR INTERNAT'L GROWTH I BIGIX Non-NTF Foreign Stock 1.17 None 1 EquityWilliam Blair Funds WILLIAM BLAIR INTL SMALL CAP CL I WISIX Non-NTF Growth 1.31 None 1 EquityWilliam Blair Funds WILLIAM BLAIR INTL SMALL CAP GRWTH INST WIISX Non-NTF Growth 1.13 None 1 EquityWilliam Blair Funds WILLIAM BLAIR LARGE CAP GROWTH CL I LCGFX Non-NTF Growth 0.98 None 1 EquityWilliam Blair Funds WILLIAM BLAIR LOW DURATION FUND CL I WBLIX Non-NTF Multisector Bond 0.55 None 1 EquityWilliam Blair Funds WILLIAM BLAIR VALUE DISCOVERY CL I BVDIX Non-NTF Small Company 1.09 None 1 EquityWilliamsburg Funds WILLIAMSBURG ALABAMA TAX FREE BOND ALABX Non-NTF Municipal Bond - Single State 0.65 None 1 EquityWilliamsburg Funds WILLIAMSBURG GOV'T STREET EQUITY GVEQX Non-NTF Growth 0.91 None 1 EquityWilliamsburg Funds WILLIAMSBURG GOV'T STREET MID CAP GVMCX Non-NTF Growth 1.1 None 1 EquityWilmington Funds WILMINGTON AGGRESS ASSET ALLOC INSTL CL WAAIX Non-NTF Growth 0.4 None 1 BondWilmington Funds WILMINGTON AGGRESSIV ASSET ALLOC FD CL A WAAAX Non-NTF Growth 0.65 3.50 1 BondWilmington Funds WILMINGTON BROAD MARKET BOND FD-INSTL WBRIX Non-NTF Corporate Bond - General 0.72 None 3 EquityWilmington Funds WILMINGTON BROAD MRK BD FD CL A WBRBX Non-NTF Corporate Bond - General 1 2.00 1 EquityWilmington Funds WILMINGTON CONSER ASSET ALLOC FD CL A WCAAX Non-NTF Growth and Income 0.75 3.50 1 EquityWilmington Funds WILMINGTON CONSERV ASSET ALLOC FD INSTL WCAIX Non-NTF Growth and Income 0.5 None 3 EquityWilmington Funds WILMINGTON MULTI MAN INTERNAT FD INSTL WMIIX Non-NTF Foreign Stock 1.4 None 3 EquityWilmington Funds WILMINGTON MULTI MAN REAL ASSET FD-CL A WMMRX Non-NTF Growth and Income 1.07 3.50 1 EquityWilmington Funds WILMINGTON MULTI MAN REAL ASSET FUND INST WMRIX Non-NTF Growth and Income 0.82 None 3 EquityWilmington Funds WILMINGTON MULTI MANAGER INTL FD CL A WMMFX Non-NTF Foreign Stock 1.65 3.50 1 BondWilmington Funds WILMINGTON MULTI MANAGER LRG CAP INST WMLIX Non-NTF Growth 1 None 3 BondWilmington Funds WILMINGTON PRIME MONEY MARKET INSTL WPSXX Non-NTF None 0 BondWilmington Funds WILMINGTON PRIME MONEY MARKET S CLASS WPRXX Non-NTF None 0 BondWilmington Funds WILMINGTON SHORT INTERMED TRM BD-INST WSIIX Non-NTF Corporate Bond - General 0.6 None 3 EquityWilmington Funds WILMINGTON TAX EXMPT MMKT W CLASS WTEXX Non-NTF None 0 EquityWilmington Funds WILMINGTON US GOVT MONEY MARKET S CLASS WGSXX Non-NTF None 0 EquityWilshire Target Funds DOW JONES WILSHIRE 5000 INDEX PORT INST WINDX Non-NTF Growth 0.59 None 1 EquityWilshire Target Funds WILSHIRE LARGE CAP CORE 130/30 - INSTL WLTTX Non-NTF Aggressive Growth 1.21 None 3 EquityWilshire Target Funds WILSHIRE LARGE CO PORTFOLIO INSTL CL WLCGX Non-NTF Growth 1.06 None 1 EquityWilshire Target Funds WILSHIRE LARGE CO VALUE PORT INSTL CL WLCVX Non-NTF Growth 1.3 None 1 EquityWilshire Target Funds WILSHIRE SMALL CO GROWTH PORT INSTL CL WSMGX Non-NTF Small Company 1.78 None 1 EquityWilshire Target Funds WILSHIRE SMALL CO VALUE PORT INSTL CL WSMVX Non-NTF Small Company 1.61 None 1 EquityWinslow Funds WINSLOW GREEN GROWTH INSTIT CL WGGIX Non-NTF Growth 1.15 None 1 EquityWorld Funds CSI EQUITY FUND INVESTOR CL CSIIX Non-NTF Growth 0.99 None 1 EquityWorld Funds DGHM ALL-CAP VALUE INVESTOR SHS DGHMX Non-NTF Growth 1.75 None 1 EquityWorld Funds EASTERN EUROPEAN EQ FD CL A VEEEX Non-NTF Europe Stock 2.56 5.75 1 EquityWorld Funds EASTERN EUROPEAN EQ FD CL C VEECX Non-NTF Europe Stock 3.31 2.00 1 EquityWorld Funds THIRD MILLENNIUM RUSSIA TMRFX Non-NTF Europe Stock 2.75 5.75 1 EquityWorld Funds THIRD MILLENNIUM RUSSIA CLASS C TMRCX Non-NTF Europe Stock 3.5 2.00 1 EquityWorld Funds THIRD MILLENNIUM RUSSIA FD INST SHRS TMRIX Non-NTF Europe Stock 2.5 None 1 EquityWorld Funds Trust COMMONWEALTH SMALL CAP FUND INSTL COMMX Non-NTF Small Company 1.46 None 1 EquityWorld Funds Trust FRANTZEN GROWTH & INCOME FUND CL A WFGAX Non-NTF Growth and Income 1.54 5.75 1 EquityWorld Funds Trust FRANTZEN GROWTH & INCOME FUND CL C QCZVQ Non-NTF None 1 EquityWorld Funds Trust SHERWOOD FOREST LONG /SHORT FD INSTL SFCMX Non-NTF Growth 1.65 None 1 EquityWorld Rems Funds REMS REAL ESTATE VALUE OPPORTUNITY HLRRX Non-NTF Specialty - Real Estate 1.6 None 1 BondYield Quest Funds YIELD QUEST CORE EQUITY FUND YQCEX Non-NTF Growth and Income 1.19 None 1 BondYield Quest Funds YIELD QUEST TAX EXEMPT BOND FUND YQTEX Non-NTF Income 0.79 None 1 EquityYield Quest Funds YIELD QUEST TOTAL RETURN BOND FUND YQTRX Non-NTF Income 0.79 None 1 EquityZacks Funds ZACKS MARKET NEUTRAL CLASS A ZMNAX Non-NTF Growth and Income 3.04 5.75 3 EquityZacks Funds ZACKS MARKET NEUTRAL CLASS C ZMNCX Non-NTF Growth and Income 3.79 1.00 3 EquityZacks Funds ZACKS MULTI CAP OPPORTUNITIES CL A CZOAX Non-NTF Growth 1.65 5.75 3Zacks Funds ZACKS MULTICAP OPPORTUNITIES CL C CZOCX Non-NTF Growth 2.4 1.00 3

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mutual fund guide book 2010 - voya financial login€¦ · american century funds american century...

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