Apex Clearing Corp. All Mutual Funds: Data as of Jan 4th 2013, but is subject to change ppt

Apex Clearin
g
Corp. All Mutual Funds: Data as of Jan 4th 2013, but is sub
j
ect to chan
g
e.
Note: Client orders must be submitted atleast 15 minutes prior to the Fund's official cut-off time (below), otherwise entry will be on a best-efforts basis.
(Direxion, Profunds, Rydex, & Vanguard, among others, now have early cut-off times.)
To search for a particular mutual fund via symbol, name, etc, use the Search Box in top menu bar of Adobe Reader…
For easier viewing, increase size to atleast 125%
Name
Share Class Cusip Symbol Load Type
NTF
Status Redemption Fee Family Name
Open?
(Yes/No)
$ Initial Buy
Min
$ Subsequent
Buy Min
$ IRA Initial
Buy Min
Settles
(days)
Cut Off
(EST)
360 USX CHINA CLASS A A 885572107 HPCHX FRONT END NON-NTF N/A 360 Y 2500 250 1000 3 4:00 PM
360 USX CHINA CLASS C C 885572206 HPCCX BACK END NON-NTF N/A 360 Y 2500 250 1000 3 4:00 PM
361 ABSOLUTE ALPHA CLASS A A 461418527 AAFAX FRONT END NON-NTF 2% < 90 DAYS 361 CAPITAL Y 2500 1 2500 1 4:00 PM
361 ABSOLUTE ALPHA CLASS I I 461418519 AAFIX NO LOAD NON-NTF 2% < 90 DAYS 361 CAPITAL Y 100000 1 100000 1 4:00 PM

361 LONG SHORT EQUITY CLASS A A 461418329 ALSQX FRONT END NON-NTF 2% < 90 DAYS 361 CAPITAL Y 2500 1 2500 1 4:00 PM
361 LONG SHORT EQUITY CLASS I I 461418311 ALSZX NO LOAD NON-NTF 2% < 90 DAYS 361 CAPITAL Y 100000 1 100000 1 4:00 PM
361 MANAGED FUTURES CLASS A A 461418345 AMFQX FRONT END NON-NTF 2% < 90 DAYS 361 CAPITAL Y 2500 1 2500 1 4:00 PM
361 MANAGED FUTURES CLASS I I 461418337 AMFZX NO LOAD NON-NTF 2% < 90 DAYS 361 CAPITAL Y 100000 1 100000 1 4:00 PM
AAM BAHL AND GAYNOR INCOME GROWTH CLASS A A 461418188 AFNAX FRONT END NON-NTF 2% < 90 DAYS AAM Y 2500 250 2500 1 4:00 PM
AAM BAHL AND GAYNOR INCOME GROWTH CLASS C C 461418162 AFNIX NO LOAD NON-NTF 2% < 90 DAYS AAM Y 1000000 100000 1000000 1 4:00 PM
ABERDEEN ASIA BOND CLASS A A 003021227 AEEAX FRONT END NON-NTF 2% < 30 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM
ABERDEEN ASIA BOND CLASS C C 003021219 AEECX BACK END NON-NTF 2% < 30 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM
ABERDEEN ASIA BOND INSTITUTIONAL CLASS INSTL 003021847 CSABX NO LOAD NON-NTF 2% < 30 DAYS ABERDEEN Y 1000000 1 1000000 1 4:00 PM
ABERDEEN ASIA PACIFIC EX JAPAN EQUITY CLASS A A 003021185 APJAX FRONT END NON-NTF 2% < 90 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM
ABERDEEN ASIA PACIFIC EX JAPAN EQUITY CLASS C C 003021177 APJCX BACK END NON-NTF 2% < 90 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM
ABERDEEN CHINA OPPORTUNITIES CLASS A A 003019106 GOPAX FRONT END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN CHINA OPPORTUNITIES CLASS C C 003019304 GOPCX BACK END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN CORE FIXED INCOME CLASS A A 003021102 PCDFX FRONT END NON-NTF 2% < 15 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM
ABERDEEN CORE FIXED INCOME INSTITUTIONAL SERVICE INSTL SVC 003021409 PDIVX NO LOAD NON-NTF 2% < 90 DAYS ABERDEEN Y 1000000 1 1 1 4:00 PM
ABERDEEN DIVERSIFIED ALTERNATIVES CLASS A A 003020849 GASAX FRONT END NON-NTF N/A ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN DIVERSIFIED ALTERNATIVES CLASS C C 003020823 GAMCX BACK END NON-NTF N/A ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN DIVERSIFIED INCOME CLASS A A 003020104 GMAAX FRONT END NON-NTF N/A ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN DIVERSIFIED INCOME CLASS C C 003020302 GMACX BACK END NON-NTF N/A ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN DYNAMIC ALLOCATION CLASS C C 003020880 GMMCX BACK END NON-NTF N/A ABERDEEN Y 1000 50 1000 3 4:00 PM
ABERDEEN EMERGING MARKETS INSTITUTIONAL CLASS INSTL 003021714 ABEMX NO LOAD NON-NTF 2% < 90 DAYS ABERDEEN Y 1000000 1 1000000 1 4:00 PM
ABERDEEN EMERGING MARKETS INSTITUTIONAL CLASS A A 003021250 GEGAX FRONT END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN EMERGING MARKETS INSTITUTIONAL CLASS C C 003021243 GEGCX BACK END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN EQUITY LONG SHORT CLASS A A 003020377 MLSAX FRONT END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN EQUITY LONG SHORT CLASS C C 003020351 MLSCX BACK END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN EQUITY LONG SHORT INSTITUTIONAL CLASS INSTL 003020336 GGUIX NO LOAD NON-NTF 2% < 90 DAYS ABERDEEN Y 1000000 1 1000000 1 4:00 PM
ABERDEEN GLOBAL EQUITY CLASS A A 003020310 GLLAX FRONT END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN GLOBAL EQUITY CLASS C C 003020286 GLLCX BACK END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN GLOBAL FIXED INCOME CLASS A A 003021755 CUGAX FRONT END NON-NTF 2% < 30 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN GLOBAL FIXED INCOME CLASS C C 003021748 CGBCX BACK END NON-NTF 2% < 30 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM

ABERDEEN GLOBAL FIXED INCOME CLASS R R 003021763 AGCRX NO LOAD NON-NTF 2% < 30 DAYS ABERDEEN Y 1 1 1 1 4:00 PM
ABERDEEN GLOBAL FIXED INCOME INSTITUTIONAL CLASS INSTL 003021730 AGCIX NO LOAD NON-NTF 2% < 30 DAYS ABERDEEN Y 1000000 1 1000000 1 4:00 PM
ABERDEEN GLOBAL FIXED INCOME INSTITUTIONAL SERVICE INSTL SVC 003021722 CGFIX NO LOAD NON-NTF 2% < 30 DAYS ABERDEEN Y 50000 1 50000 1 4:00 PM
ABERDEEN GLOBAL NATURAL RESOURCES CLASS A A 003019718 GGNAX FRONT END NON-NTF N/A ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN GLOBAL NATURAL RESOURCES CLASS C C 003019684 GGNCX BACK END NON-NTF N/A ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN GLOBAL SMALL CAP CLASS A A 003021821 WVCCX FRONT END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN GLOBAL SMALL CAP CLASS C C 003021797 CPVCX BACK END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN GLOBAL SMALL CAP CLASS R R 003021813 WPVAX NO LOAD NON-NTF 2% < 90 DAYS ABERDEEN Y 1 1 1 1 4:00 PM
ABERDEEN GLOBAL SMALL CAP INSTITUTIONAL SERVICE INSTL SVC 003021789 ABNIX NO LOAD NON-NTF 2% < 90 DAYS ABERDEEN Y 1000000 1 1 1 4:00 PM
ABERDEEN INTERNATIONAL EQUITY CLASS A A 003019445 GIGAX FRONT END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN INTERNATIONAL EQUITY CLASS C C 003019429 GIGCX BACK END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN INTERNATIONAL EQUITY INSTITUTIONAL SERVICE INSTL SVC 003019387 GIGSX NO LOAD NON-NTF 2% < 90 DAYS ABERDEEN Y 50000 1 50000 1 4:00 PM
ABERDEEN SMALL CAP CLASS A A 003020716 GSXAX FRONT END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN SMALL CAP CLASS C C 003020682 GSXCX BACK END NON-NTF 2% < 90 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN TAX FREE INCOME CLASS A A 003020161 NTFAX FRONT END NON-NTF 2% < 5 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM
ABERDEEN TAX FREE INCOME CLASS C C 003020146 GTICX BACK END NON-NTF 2% < 5 DAYS ABERDEEN Y 2000 100 1000 3 4:00 PM
A
BERDEEN ULTRA SHORT DURATION BOND INSTITUTIONAL C
L
INSTL 003021490 AUDIX NO LOAD NON-NTF N/A ABERDEEN Y 1000000 1 1000000 1 4:00 PM
ABERDEEN US EQUITY CLASS A A 003021425 GXXAX FRONT END NON-NTF 2% < 30 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM
ABERDEEN US EQUITY CLASS C C 003021417 GXXCX BACK END NON-NTF 2% < 30 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM
ABERDEEN US EQUITY II CLASS A A 003021367 WFAGX FRONT END NON-NTF 2% < 30 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM
ABERDEEN US EQUITY II CLASS C C 003021359 CCPCX BACK END NON-NTF 2% < 30 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM
ABERDEEN US EQUITY INSTITUTIONAL SERVICE INSTL SVC 003021375 GXXIX NO LOAD NON-NTF 2% < 30 DAYS ABERDEEN Y 1000000 1 1 1 4:00 PM
ABERDEEN US HIGH YIELD BOND CLASS A A 003021318 AUYAX FRONT END NON-NTF 2% < 15 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM
ABERDEEN US HIGH YIELD BOND CLASS C C 003021292 AUYCX BACK END NON-NTF 2% < 15 DAYS ABERDEEN Y 1000 50 1000 3 4:00 PM
ABERDEEN US HIGH YIELD BOND INSTITUTIONAL CLASS INSTL 003021276 AUYIX NO LOAD NON-NTF 2% < 15 DAYS ABERDEEN Y 1000000 1 1000000 1 4:00 PM
ABERDEEN US HIGH YIELD BOND INSTITUTIONAL SERVICE INSTL SVC 003021268 AUYSX NO LOAD NON-NTF 2% < 15 DAYS ABERDEEN Y 1000000 1 1000000 1 4:00 PM
ADIRONDACK SMALL CAP N/A 00688P103 ADKSX NO LOAD NON-NTF 1% < 30 DAYS ADIRONDACK Y 3000 50 1000 1 4:00 PM

ACADIAN EMERGING MARKETS N/A 00758M162 AEMGX NO LOAD NON-NTF 2% < 90 DAYS ADVISORS INNER CIRCLE Y 2500 100 500 1 4:00 PM
ACADIAN EMERGING MARKETS DEBT N/A 00769G709 AEMDX NO LOAD NON-NTF 2% < 90 DAYS ADVISORS INNER CIRCLE Y 2500 1000 2500 3 4:00 PM
CAMBIAR AGGRESSIVE VALUE INVESTOR CLASS INVESTOR 0075W0650 CAMAX NO LOAD NON-NTF 2% < 90 DAYS ADVISORS INNER CIRCLE Y 2500 100 500 1 4:00 PM
CAMBIAR OPPORTUNITY INSTITUTIONAL CLASS INSTL 0075W0825 CAMWX NO LOAD NON-NTF N/A ADVISORS INNER CIRCLE Y 5000000 100 5000000 1 4:00 PM
CAMBIAR OPPORTUNITY INVESTOR CLASS INVESTOR 00758M261 CAMOX NO LOAD NON-NTF N/A ADVISORS INNER CIRCLE Y 2500 100 500 1 4:00 PM
CAMBIAR SMALL CAP INSTITUTIONAL CLASS INSTL 0075W0593 CAMZX NO LOAD NON-NTF 2% < 90 DAYS ADVISORS INNER CIRCLE Y 5000000 100 5000000 1 4:00 PM
CAMBIAR SMALL CAP INVESTOR CLASS INVESTOR 0075W0817 CAMSX NO LOAD NON-NTF N/A ADVISORS INNER CIRCLE Y 10000 100 2500 1 4:00 PM
CS MCKEE INSTITUTIONAL INSTL 00758M188 MKIEX NO LOAD NON-NTF 1% < 180 DAYS ADVISORS INNER CIRCLE Y 2500 100 500 1 4:00 PM
FROST INTERNATIONAL EQUITY INSTITUTIONAL INSTL 00766Y836 FITNX NO LOAD NON-NTF 2% < 30 DAYS ADVISORS INNER CIRCLE Y 1000000 1 1000000 1 4:00 PM
FROST TOTAL RETURN BOND INSTITUTIONAL INSTL 00766Y810 FIJEX NO LOAD NON-NTF N/A ADVISORS INNER CIRCLE Y 1000000 1 1000000 1 4:00 PM
LSV VALUE EQUITY INSTITUTIONAL INSTL 00758M634 LSVEX NO LOAD NON-NTF N/A ADVISORS INNER CIRCLE Y 100000 1 100000 1 4:00 PM
RICE HALL JAMES MICRO CAP N/A 00758M212 RHJSX NO LOAD NON-NTF 2% < 180 DAYS ADVISORS INNER CIRCLE Y 2500 100 500 1 4:00 PM
RICE HALL JAMES SMALL/MID CAP N/A 00758M196 RHJMX NO LOAD NON-NTF N/A ADVISORS INNER CIRCLE Y 2500 100 500 1 4:00 PM
WESTWOOD INCOME OPPORTUNITY INSTITUTIONAL INSTL 0075W0775 WHGIX NO LOAD NON-NTF N/A ADVISORS INNER CIRCLE Y 5000 1 5000 1 4:00 PM
ADVISORY RESEARCH ALL CAP VALUE N/A 461418816 ADVGX NO LOAD NON-NTF 2% < 90 DAYS ADVISORY RESEARCH Y 2500 500 2500 1 4:00 PM
ADVISORY RESEARCH GLOBAL VALUE N/A 461418683 ADVWX NO LOAD NON-NTF 2% < 90 DAYS ADVISORY RESEARCH Y 2500 500 2500 1 4:00 PM
ADVISORY RESEARCH INTERNATIONAL ALL CAP VALUE N/A 461418477 ADVEX NO LOAD NON-NTF 2% < 90 DAYS ADVISORY RESEARCH Y 2500 500 2500 1 4:00 PM
ADVISORY RESEARCH INTERNATIONAL SMALL CAP VALUE N/A 461418741 ADVIX NO LOAD NON-NTF 2% < 90 DAYS ADVISORY RESEARCH Y 2500 500 2500 1 4:00 PM
AEGIS HIGH YIELD N/A 00764V206 AHYFX NO LOAD NON-NTF N/A AEGIS Y 10000 1000 4000 1 4:00 PM
AEGIS VALUE N/A 00761L102 AVALX NO LOAD NON-NTF N/A AEGIS Y 10000 1000 4000 1 4:00 PM
AKRE FOCUS INSTITUTIONAL INSTL 742935125 AKRIX NO LOAD NON-NTF 1% < 30 DAYS AKRE Y 250000 25000 250000 1 4:00 PM
AKRE FOCUS RETAIL RETAIL 742935117 AKREX NO LOAD NON-NTF 1% < 30 DAYS AKRE Y 2000 250 1000 1 4:00 PM
AL FRANK N/A 007989874 VALUX NO LOAD NON-NTF 2% < 2 MONTHS AL FRANK Y 5000 500 1000 3 4:00 PM
AL FRANK DIVIDEND VALUE N/A 007989585 VALDX NO LOAD NON-NTF 2% < 2 MONTHS AL FRANK Y 1000 100 1000 3 4:00 PM
ALGER ANALYST CLASS A A 015566706 SPEAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER ANALYST CLASS I I 015566888 AAIYX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM
ALGER CAPITAL APPRECIATION CLASS A A 015565849 ACAAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER CAPITAL APPRECIATION CLASS B B 015565880 ACAPX BACK END NON-NTF 2% < 30 DAYS ALGER N 1000 50 500 3 4:00 PM
ALGER CAPITAL APPRECIATION CLASS C C 015565781 ALCCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER CAPITAL APPRECIATION CLASS I I 015570401 ALARX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM

ALGER CAPITAL APPRECIATION CLASS R R 015570872 ACARX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM
ALGER CAPITAL APPRECIATION FOCUS CLASS I I 015570302 ALGRX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM
ALGER CAPITAL APPRECIATION FOCUS CLASS R R 015570880 ALGIX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM
ALGER CHINA US GROWTH CLASS A A 015549108 CHUSX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER CHINA US GROWTH CLASS C C 015549207 CHUCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER DYNAMIC OPPORTUNITIES CLASS A A 015566813 SPEDX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER EMERGING MARKETS CLASS A A 015566797 AAEMX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER EMERGING MARKETS CLASS C C 015566789 ACEMX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER EMERGING MARKETS CLASS I I 015566771 AIEMX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM
ALGER GREEN CLASS A A 015566409 SPEGX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER GREEN CLASS C C 015566508 AGFCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER GREEN CLASS I I 015566607 AGIFX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM
ALGER GROWTH AND INCOME CLASS A A 015565831 ALBAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER GROWTH AND INCOME CLASS C C 015565773 ALBCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER GROWTH OPPORTUNITIES CLASS A A 015565450 AOFAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER GROWTH OPPORTUNITIES CLASS C C 015565443 AOFCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER GROWTH OPPORTUNITIES CLASS I I 015565435 AOFIX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM
1
ALGER HEALTH SCIENCES CLASS A A 015565765 AHSAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER HEALTH SCIENCES CLASS B B 015565757 AHSBX BACK END NON-NTF 2% < 30 DAYS ALGER N 1000 50 500 3 4:00 PM
ALGER HEALTH SCIENCES CLASS C C 015565740 AHSCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER LARGE CAP GROWTH CLASS A A 015565856 ALGAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER LARGE CAP GROWTH CLASS B B 015565609 AFGPX BACK END NON-NTF 2% < 30 DAYS ALGER N 1000 50 500 3 4:00 PM
ALGER LARGE CAP GROWTH CLASS C C 015565799 ALGCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER MID CAP GROWTH CLASS A A 015565864 AMGAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER MID CAP GROWTH CLASS B B 015565807 AMCGX BACK END NON-NTF 2% < 30 DAYS ALGER N 1000 50 500 3 4:00 PM
ALGER MID CAP GROWTH CLASS C C 015565815 AMGCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER MID CAP GROWTH CLASS I I 015570203 ALMRX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM
ALGER MID CAP GROWTH CLASS R R 015570807 AGIRX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM
ALGER SMALL CAP GROWTH CLASS A A 015565872 ALSAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM

ALGER SMALL CAP GROWTH CLASS B B 015565500 ALSCX BACK END NON-NTF 2% < 30 DAYS ALGER N 1000 50 500 3 4:00 PM
ALGER SMALL CAP GROWTH CLASS C C 015565823 AGSCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER SMALL CAP GROWTH CLASS I I 015570104 ALSRX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM
ALGER SMALL CAP GROWTH CLASS R R 015570708 ASIRX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM
ALGER SMID CAP GROWTH CLASS A A 015565732 ALMAX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER SMID CAP GROWTH CLASS B B 015565724 ALMBX BACK END NON-NTF 2% < 30 DAYS ALGER N 1000 50 500 3 4:00 PM
ALGER SMID CAP GROWTH CLASS C C 015565716 ALMCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER SMID CAP GROWTH CLASS I I 015565468 ASIMX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM
ALGER SPECTRA CLASS A A 015566102 SPECX FRONT END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER SPECTRA CLASS C C 015566201 ASPCX BACK END NON-NTF 2% < 30 DAYS ALGER Y 1000 50 500 3 4:00 PM
ALGER SPECTRA CLASS I I 015566300 ASPIX NO LOAD NON-NTF N/A ALGER Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN 2000 RETIREMENT STRATEGY ADVISO
R
ADVISOR 01879T854 LTAVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN 2005 RETIREMENT STRATEGY ADVISO
R
ADVISOR 01879T813 LTBVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN 2010 RETIREMENT STRATEGY ADVISO
R
ADVISOR 01879T763 LTDVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN 2015 RETIREMENT STRATEGY ADVISO
R
ADVISOR 01879T722 LTEVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN 2020 RETIREMENT STRATEGY ADVISO
R

ADVISOR 01879T672 LTHVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN 2025 RETIREMENT STRATEGY ADVISO
R
ADVISOR 01879T631 LTIVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN 2030 RETIREMENT STRATEGY ADVISO
R
ADVISOR 01879T581 LTJVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN 2035 RETIREMENT STRATEGY ADVISO
R
ADVISOR 01879T540 LTKVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN 2040 RETIREMENT STRATEGY ADVISO
R
ADVISOR 01879T490 LTLVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN 2045 RETIREMENT STRATEGY ADVISO
R
ADVISOR 01879T458 LTPVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN 2050 RETIREMENT STRATEGY ADVISO
R
ADVISOR 01880E839 LTQVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN 2055 RETIREMENT STRATEGY ADVISO
R
ADVISOR 01880E755 LTWVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A

LLIANCE BERNSTEIN BALANCED WEALTH STRATEGY ADVIS
O
ADVISOR 01877F625 ABWYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN BALANCED WEALTH STRATEGY CLASS A 01877F658 ABWAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN BALANCED WEALTH STRATEGY CLASS B 01877F641 ABWBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN BALANCED WEALTH STRATEGY CLASS C 01877F633 ABWCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN BLENDED STYLE US LARGE CAP CLAS
S
A 01879T102 ABBAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN BLENDED STYLE US LARGE CAP CLAS
S
B 01879T201 ABBBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN BLENDED STYLE US LARGE CAP CLAS
S
C 01879T300 ABBCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN BOND INFLATION STRATEGY ADVISOR
C
ADVISOR 018528562 ABNYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN BOND INFLATION STRATEGY CLASS A A 018528570 ABNAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN BOND INFLATION STRATEGY CLASS C C 018528554 ABNCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
A
LLIANCE BERNSTEIN CONSERVATIVE WEALTH STRATEGY A
D

ADVISOR 01877F575 ABPYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN CONSERVATIVE WEALTH STRATEGY C
L
A 01877F617 ABPAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN CONSERVATIVE WEALTH STRATEGY C
L
B 01877F591 ABPBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN CONSERVATIVE WEALTH STRATEGY C
L
C 01877F583 ABPCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN CORE OPPORTUNITIES ADVISOR CLAS
S
ADVISOR 01879K705 ADGYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN CORE OPPORTUNITIES CLASS A A 01879K101 ADGAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN CORE OPPORTUNITIES CLASS B B 01879K200 ADGBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN CORE OPPORTUNITIES CLASS C C 01879K309 ADGCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN DISCOVERY GROWTH ADVISOR CLASS ADVISOR 018636407 CHCYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN DISCOVERY GROWTH CLASS A A 018636100 CHCLX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN DISCOVERY GROWTH CLASS B B 018636209 CHCBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN DISCOVERY GROWTH CLASS C C 018636308 CHCCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN DISCOVERY VALUE ADVISOR CLASS ADVISOR 018914408 ABYSX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN DISCOVERY VALUE CLASS A A 018914101 ABASX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN DISCOVERY VALUE CLASS B B 018914200 ABBSX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN DISCOVERY VALUE CLASS C C 018914309 ABCSX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN DYNAMIC ALL MARKET ADVISOR CLAS

S
ADVISOR 01877E479 ADAYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN DYNAMIC ALL MARKET CLASS A A 01877E487 ADAAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN DYNAMIC ALL MARKET CLASS C C 01877E461 ADACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
A
LLIANCE BERNSTEIN EMERGING MARKETS MULTI ASSET CL
A
A 01877E552 ABAEX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
A
LLIANCE BERNSTEIN EMERGING MARKETS MULTI ASSET CL
A
C 01877E537 ABCEX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN EQUITY INCOME ADVISOR CLASS ADVISOR 018791400 AUIYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN EQUITY INCOME CLASS A A 018791103 AUIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN EQUITY INCOME CLASS B B 018791202 AUIBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN EQUITY INCOME CLASS C C 018791301 AUICX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN EXCHANGE RESERVE ADVISOR CLASS ADVISOR 01879M404 AEYXX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN EXCHANGE RESERVE CLASS A A 01879M107 AEAXX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN EXCHANGE RESERVE CLASS B B 01879M206 AEBXX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN EXCHANGE RESERVE CLASS C C 01879M305 AECXX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN GLOBAL BOND CLASS A A 01853W105 ANAGX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN GLOBAL BOND CLASS ADVISOR CLASS ADVISOR 01853W709 ANAYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN GLOBAL BOND CLASS B B 01853W204 ANABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN GLOBAL BOND CLASS C C 01853W303 ANACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN GLOBAL REAL ESTATE ADVISOR CLAS
S
ADVISOR 01877G409 ARSYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN GLOBAL REAL ESTATE INVESTMENT C

L
A 01877G102 AREAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN GLOBAL REAL ESTATE INVESTMENT C
L
B 01877G201 AREBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN GLOBAL REAL ESTATE INVESTMENT C
L
C 01877G300 ARECX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN GLOBAL RISK ALLOCATION ADVISOR C
L
ADVISOR 018525501 CBSYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN GLOBAL RISK ALLOCATION CLASS A A 018525105 CABNX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN GLOBAL RISK ALLOCATION CLASS B B 018525204 CABBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN GLOBAL RISK ALLOCATION CLASS C C 018525402 CBACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH ADVISOR ADVISOR 018780502 ATEYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH CLASS A A 018780106 ALTFX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH CLASS B B 018780304 ATEBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN GLOBAL THEMATIC GROWTH CLASS C C 018780403 ATECX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN GLOBAL VALUE ADVISOR CLASS ADVISOR 018912402 ABGYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN GLOBAL VALUE CLASS A A 018912105 ABAGX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN GLOBAL VALUE CLASS B B 018912204 ABBGX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN GLOBAL VALUE CLASS C C 018912303 ABCGX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN GREAT CHINA '97 ADVISOR CLASS ADVISOR 018905406 GCHYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN GROWTH ADVISOR CLASS ADVISOR 01877F757 AGRYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN GROWTH AND INCOME ADVISOR CLAS

S
ADVISOR 018597500 CBBYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN GROWTH AND INCOME CLASS A A 018597104 CABDX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN GROWTH AND INCOME CLASS B B 018597203 CBBDX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN GROWTH AND INCOME CLASS C C 018597401 CBBCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN GROWTH CLASS A A 01877F401 AGRFX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN GROWTH CLASS B B 01877F500 AGBBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN GROWTH CLASS C C 01877F609 AGRCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN HIGH INCOME ADVISOR CLASS ADVISOR 01859M408 AGDYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN HIGH INCOME CLASS A A 01859M101 AGDAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN HIGH INCOME CLASS B B 01859M200 AGDBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN HIGH INCOME CLASS C C 01859M309 AGDCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN HIGH INCOME MUNICIPAL ADVISOR CL
A
ADVISOR 018642744 ABTYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN HIGH INCOME MUNICIPAL CLASS A A 018642751 ABTHX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN HIGH INCOME MUNICIPAL CLASS C C 018642736 ABTFX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN INTERMEDIATE BOND ADVISOR CLASS ADVISOR 018528729 ABQYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN INTERMEDIATE BOND CLASS A A 018528711 ABQUX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN INTERMEDIATE BOND CLASS B B 018528695 ABQBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN INTERMEDIATE BOND CLASS C C 018528687 ABQCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN INTERMEDIATE CALIFORNIA MUNICIPA
L
A 085568814 AICAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN INTERMEDIATE CALIFORNIA MUNICIPA
L
B 085568798 ACLBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM

A
LLIANCE BERNSTEIN INTERMEDIATE CALIFORNIA MUNICIPA
L
C 085568780 ACMCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN INTERMEDIATE DIVERSIFIED MUNICIPA A 085568772 AIDAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN INTERMEDIATE DIVERSIFIED MUNICIPA B 085568764 AIDBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN INTERMEDIATE DIVERSIFIED MUNICIPA C 085568756 AIMCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN INTERMEDIATE NEW YORK MUNICIPAL A 085568848 ANIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN INTERMEDIATE NEW YORK MUNICIPAL B 085568830 ANYBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
2
A
LLIANCE BERNSTEIN INTERMEDIATE NEW YORK MUNICIPAL C 085568822 ANMCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN INTERNATIONAL DISCOVERY EQUITY A
D
ADVISOR 01877E677 ADEYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN INTERNATIONAL FOCUS 40 CLASS A A 01877E628 AIIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN INTERNATIONAL FOCUS 40 CLASS C C 01877E594 ABFCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN INTERNATIONAL GROWTH ADVISOR CL
A
ADVISOR 01879X400 AWPYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN INTERNATIONAL GROWTH CLASS A A 01879X103 AWPAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN INTERNATIONAL GROWTH CLASS B B 01879X202 AWPBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN INTERNATIONAL GROWTH CLASS C C 01879X301 AWPCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM

ALLIANCE BERNSTEIN INTERNATIONAL PORTFOLIO CLASS A A 085568673 AIZAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN INTERNATIONAL PORTFOLIO CLASS B B 085568665 AIZBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN INTERNATIONAL PORTFOLIO CLASS C C 085568657 AIZCX BACK END NON-NTF 1% > 1 YR ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN INTERNATIONAL RESEARCH GROWTH
C
A 018620104 AIPAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 1 4:00 PM
A
LLIANCE BERNSTEIN INTERNATIONAL RESEARCH GROWTH
C
C 018620302 AIPCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 1 4:00 PM
A
LLIANCE BERNSTEIN INTERNATIONAL VALUE ADVISOR CLAS ADVISOR 018913400 ABIYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN INTERNATIONAL VALUE CLASS A A 018913103 ABIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN INTERNATIONAL VALUE CLASS B B 018913202 ABIBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN INTERNATIONAL VALUE CLASS C C 018913301 ABICX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN LARGE CAP GROWTH ADVISOR CLASS ADVISOR 01877C408 APGYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN LARGE CAP GROWTH CLASS A A 01877C101 APGAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN LARGE CAP GROWTH CLASS B B 01877C200 APGBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN LARGE CAP GROWTH CLASS C C 01877C309 APGCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN LIMITED DURATION HIGH INCOME ADVI
S
ADVISOR 018528331 ALHYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN LIMITED DURATION HIGH INCOME CLA
S
A 018528349 ALHAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
A
LLIANCE BERNSTEIN LIMITED DURATION HIGH INCOME CLA

S
C 018528323 ALHCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MARKET NEUTRAL STRATEGY GLOBAL ADVISOR 01877E743 ANNYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN MARKET NEUTRAL STRATEGY US CLAS ADVISOR 01877E818 AMUYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL BOND INFLATION STRATEG
Y
ADVISOR 018528471 AUNYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL BOND INFLATION STRATEG
Y
A 018528489 AUNAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL BOND INFLATION STRATEG
Y
C 018528463 AUNCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL CALIFORNIA ADVISOR CLA
S
ADVISOR 018642785 ALCVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME CALIFORNIA CLAS
S
A 018642306 ALCAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME CALIFORNIA CLAS
S
B 018642801 ALCBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM

A
LLIANCE BERNSTEIN MUNICIPAL INCOME CALIFORNIA CLAS
S
C 018642850 ACACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II ARIZONA CLASS
A
A 01864E797 AAZAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II ARIZONA CLASS B 01864E789 AAZBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II ARIZONA CLASS C 01864E771 AAZCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II MASSACHUSETT
S
A 01864E763 AMAAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II MASSACHUSETT
S
B 01864E755 AMABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II MASSACHUSETT
S
C 01864E748 AMACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II MICHIGAN CLAS
S
A 01864E730 AMIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II MICHIGAN CLAS

S
B 01864E722 AMIBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II MICHIGAN CLAS
S
C 01864E714 AMICX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II MINNESOTA CLA
S
A 01864E409 AMNAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II MINNESOTA CLA
S
B 01864E508 AMNBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II MINNESOTA CLA
S
C 01864E607 AMNCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II NEW JERSEY CL
A
A 01864E805 ANJAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II NEW JERSEY CL
A
B 01864E888 ANJBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II NEW JERSEY CL
A
C 01864E870 ANJCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM

ALLIANCE BERNSTEIN MUNICIPAL INCOME II OHIO CLASS A A 01864E862 AOHAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN MUNICIPAL INCOME II OHIO CLASS B B 01864E854 AOHBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN MUNICIPAL INCOME II OHIO CLASS C C 01864E847 AOHCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II PENNSYLVANIA
C
A 01864E839 APAAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II PENNSYLVANIA
C
B 01864E821 APABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II PENNSYLVANIA
C
C 01864E813 APACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II VIRGINIA CLASS
A
A 01864E706 AVAAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II VIRGINIA CLASS
B
B 01864E698 AVABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME II VIRGINIA CLASS
C
C 01864E680 AVACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME NATIONAL CLASS
A

A 018642108 ALTHX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME NATIONAL CLASS
B
B 018642702 ALTBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME NATIONAL CLASS
C
C 018642835 ALNCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME NEW YORK CLASS A 018642207 ALNYX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME NEW YORK CLASS B 018642876 ALNBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL INCOME NEW YORK CLASS C 018642868 ANYCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN MUNICIPAL NATIONAL ADVISOR CLASS ADVISOR 018642819 ALTVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN MUNICIPAL NEW YORK ADVISOR CLAS
S
ADVISOR 018642769 ALNVX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN REAL ASSET STRATEGY ADVISOR CLA
S
ADVISOR 018528422 AMTYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN REAL ASSET STRATEGY CLASS A A 018528430 AMTAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN REAL ASSET STRATEGY CLASS C C 018528414 ACMTX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2000 CLASS B B 01879T870 LTABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2005 CLASS A A 01879T847 LTBAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2005 CLASS B B 01879T839 LTCBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2005 CLASS C C 01879T821 LTSCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM

ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2010 CLASS B B 01879T789 LTDBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2015 CLASS B B 01879T748 LTGBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2020 CLASS B B 01879T698 LTHBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2025 CLASS B B 01879T656 LTIBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2030 CLASS B B 01879T615 LTJBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2035 CLASS A A 01879T573 LTKAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2035 CLASS B B 01879T565 LTKBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2035 CLASS C C 01879T557 LTKCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2040 CLASS B B 01879T524 LTLBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2045 CLASS B B 01879T474 LTPBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2050 CLASS A A 01880E805 LTQAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2050 CLASS B B 01880E888 LTQBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2050 CLASS C C 01880E870 LTQCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2055 CLASS A A 01880E821 LTWAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2055 CLASS B B 01880E813 LTWBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN RETIREMENT STRATEGY 2055 CLASS C C 01880E797 LTWCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN SELECT US EQUITY ADVISOR CLASS ADVISOR 01877E297 AUUYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN SELECT US EQUITY CLASS A A 01877E313 AUUAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN SELECT US EQUITY CLASS C C 01877E289 AUUCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN SHORT DURATION CLASS A A 085568749 ADPAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN SHORT DURATION CLASS B B 085568731 ADPBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN SHORT DURATION CLASS C C 085568723 ADPCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN SMALL CAP GROWTH ADVISOR CLASS ADVISOR 01877E503 QUAYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN SMALL CAP GROWTH CLASS A A 01877E107 QUASX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN SMALL CAP GROWTH CLASS B B 01877E206 QUABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN SMALL CAP GROWTH CLASS C C 01877E404 QUACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN TAX MANAGED BALANCED WEALTH AD
V
ADVISOR 01877F724 AGIYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM

A
LLIANCE BERNSTEIN TAX MANAGED CONSERVATIVE WEALT
H
ADVISOR 01877F716 ACIYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN TAX MANAGED CONSERVATIVE WEALT
H
A 01877F872 ACIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN TAX MANAGED CONSERVATIVE WEALT
H
B 01877F864 ACIBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN TAX MANAGED CONSERVATIVE WEALT
H
C 01877F856 ACICX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN TAX MANAGED INTERNATIONAL PORTF A 085568715 ABXAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN TAX MANAGED INTERNATIONAL PORTF B 085568699 ABXBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN TAX MANAGED INTERNATIONAL PORTF C 085568681 ABXCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN TAX MANAGED WEALTH APPRECIATIO
N
ADVISOR 01877F534 ATWYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN TAX MANAGED WEALTH APPRECIATIO
N
A 01877F567 ATWAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM

A
LLIANCE BERNSTEIN TAX MANAGED WEALTH APPRECIATIO
N
B 01877F559 ATWBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN TAX MANAGED WEALTH APPRECIATIO
N
C 01877F542 ATWCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN TAX MANAGED WEALTH STRATEGY CL
A
A 01877F708 AGIAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN TAX MANAGED WEALTH STRATEGY CL
A
B 01877F807 AGIBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN TAX MANAGED WEALTH STRATEGY CL
A
C 01877F880 AGICX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN UNCONSTRAINED ADVISOR CLASS ADVISOR 01859N406 AGSIX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN UNCONSTRAINED BOND CLASS A A 01859N109 AGSAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN UNCONSTRAINED BOND CLASS B B 01859N208 AGSBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN UNCONSTRAINED BOND CLASS C C 01859N307 AGCCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN US STRATEGIC RESEARCH CLASS A A 01877E883 AURAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
ALLIANCE BERNSTEIN US STRATEGIC RESEARCH CLASS C C 01877E875 AURCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 50 2500 3 4:00 PM
A
LLIANCE BERNSTEIN US STRATEGY RESEARCH ADVISOR CL
A
ADVISOR 01877E834 AURYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM

ALLIANCE BERNSTEIN VALUE ADVISOR CLASS ADVISOR 018915405 ABVYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
ALLIANCE BERNSTEIN VALUE CLASS A A 018915108 ABVAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
3
ALLIANCE BERNSTEIN VALUE CLASS B B 018915207 ABVBX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
ALLIANCE BERNSTEIN VALUE CLASS C C 018915306 ABVCX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN WEALTH APPRECIATION STRATEGY AD
V
ADVISOR 01877F666 AWAYX NO LOAD NON-NTF N/A ALLIANCE BERNSTEIN Y 1 1 1 3 4:00 PM
A
LLIANCE BERNSTEIN WEALTH APPRECIATION STRATEGY CL
A
A 01877F690 AWAAX FRONT END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN WEALTH APPRECIATION STRATEGY CL
A
B 01877F682 AWABX BACK END NON-NTF N/A ALLIANCE BERNSTEIN N 2500 200 2500 3 4:00 PM
A
LLIANCE BERNSTEIN WEALTH APPRECIATION STRATEGY CL
A
C 01877F674 AWACX BACK END NON-NTF N/A ALLIANCE BERNSTEIN Y 2500 200 2500 3 4:00 PM
ALLIANZ AGIC CONVERTIBLE CLASS A A 01900C680 ANZAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ AGIC CONVERTIBLE CLASS C C 01900C672 ANZCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ AGIC CONVERTIBLE CLASS P P 01900C342 ANCMX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM
ALLIANZ AGIC CONVERTIBLE CLASS R R 01900C656 ANZRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
A
LLIANZ AGIC EMERGING MARKETS OPPORTUNITIES CLASS
A
A 018920629 AOTAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
A

LLIANZ AGIC EMERGING MARKETS OPPORTUNITIES CLASS
C
C 018920611 AOTCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
A
LLIANZ AGIC EMERGING MARKETS OPPORTUNITIES CLASS
D
D 018920595 AOTDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
A
LLIANZ AGIC EMERGING MARKETS OPPORTUNITIES CLASS
P
P 018922401 AEMPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM
ALLIANZ AGIC GLOBAL MANAGED VOLATILITY CLASS A A 01880B561 AVYAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ AGIC GLOBAL MANAGED VOLATILITY CLASS C C 01880B553 AVYCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ AGIC GLOBAL MANAGED VOLATILITY CLASS D D 01880B546 AVYDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ AGIC GLOBAL MANAGED VOLATILITY CLASS P P 01880B538 AVYPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM
ALLIANZ AGIC HIGH YIELD BOND CLASS A A 01900C615 AYBAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ AGIC HIGH YIELD BOND CLASS C C 01900C599 AYBCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ AGIC HIGH YIELD BOND CLASS R R 01900C573 AYBRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ AGIC INCOME AND GROWTH CLASS A A 018920496 AZNAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ AGIC INCOME AND GROWTH CLASS C C 018920488 AZNCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ AGIC INCOME AND GROWTH CLASS D D 018920470 AZNDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ AGIC INCOME AND GROWTH CLASS P P 018922708 AIGPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM
ALLIANZ AGIC INCOME AND GROWTH CLASS R R 018922641 AIGRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
A
LLIANZ AGIC INTERNATIONAL MANAGED VOLATILITY CLASS
A
A 018919308 PNIAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
A
LLIANZ AGIC INTERNATIONAL MANAGED VOLATILITY CLASS
C

C 018919316 PNICX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
A
LLIANZ AGIC INTERNATIONAL MANAGED VOLATILITY CLASS
D
D 018919324 PNIDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
A
LLIANZ AGIC INTERNATIONAL MANAGED VOLATILITY CLASS
R
R 018920785 ANIRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ AGIC MICRO CAP CLASS A A 01880B637 GMCAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ AGIC OPPORTUNITY CLASS A A 018918599 POPAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ AGIC OPPORTUNITY CLASS B B 018918607 POOBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM
ALLIANZ AGIC OPPORTUNITY CLASS C C 018918615 POPCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ AGIC OPPORTUNITY CLASS D D 018920520 APPDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ AGIC OPPORTUNITY CLASS P P 018922765 AOCPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM
ALLIANZ AGIC OPPORTUNITY CLASS R R 018922658 AOORX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ AGIC ULTRA MICRO CAP CLASS A A 01880B645 GUCAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ AGIC US EMERGING GROWTH CLASS R R 01900C292 AEGRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ AGIC US MANAGED VOLATILITY CLASS A A 018919258 NGWAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ AGIC US MANAGED VOLATILITY CLASS B B 018919266 NGWBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM
ALLIANZ AGIC US MANAGED VOLATILITY CLASS C C 018919274 NGWCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ AGIC US MANAGED VOLATILITY CLASS D D 018919282 NGWDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ F&T BEHAVIORAL LARGE CAP CLASS A A 01880B108 AZFAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ F&T BEHAVIORAL LARGE CAP CLASS C C 01880B207 AZFCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ F&T BEHAVIORAL LARGE CAP CLASS D D 01880B306 AZFDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ F&T BEHAVIORAL LARGE CAP CLASS P P 01880B405 AZFPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS MONEY MARKET CLASS A A 018922625 AIAXX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ GLOBAL INVESTORS MONEY MARKET CLASS C C 018922617 AICXX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 1 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2015 CLASS A A 01900A643 AZGAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2015 CLASS C C 01900A635 AZGCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM

ALLIANZ GLOBAL INVESTORS SOLUTIONS 2015 CLASS D D 01900A627 AZGDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2015 CLASS R R 01900A593 AZGRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2020 CLASS A A 01900A569 AGLAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2020 CLASS C C 01900A551 ABSCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2020 CLASS D D 01900A544 AGLDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2020 CLASS R R 01900A528 AGLRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2025 CLASS A A 01880B868 GVSAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2025 CLASS P P 01880B843 GVSPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2025 CLASS R R 01880B850 GVSRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2030 CLASS A A 01900A486 ABLAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2030 CLASS C C 01900A478 ABLCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2030 CLASS D D 01900A460 ABDIX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2030 CLASS R R 01900A445 ABLRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2035 CLASS A A 01880B819 GVRAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2035 CLASS P P 01880B785 GVPAX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2035 CLASS R R 01880B793 GVRRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2040 CLASS A A 01900A411 AVSAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2040 CLASS C C 01900A395 AVSCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2040 CLASS D D 01900A387 AVSDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2040 CLASS R R 01900A361 AVSRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2045 CLASS A A 01880B751 GBVAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2045 CLASS P P 01880B736 GBVPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2045 CLASS R R 01880B744 GBVRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2050 CLASS A A 01900A338 ASNAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2050 CLASS C C 01900A320 ASNCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2050 CLASS D D 01900A312 ASNDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2050 CLASS R R 01900A288 ASNRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2055 CLASS A A 01880B694 GLIAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2055 CLASS P P 01880B678 GLIPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM
ALLIANZ GLOBAL INVESTORS SOLUTIONS 2055 CLASS R R 01880B686 GLLRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM

A
LLIANZ GLOBAL INVESTORS SOLUTIONS CORE ALLOCATION A 01900C771 PALAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
A
LLIANZ GLOBAL INVESTORS SOLUTIONS CORE ALLOCATION B 01900C763 PALBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM
A
LLIANZ GLOBAL INVESTORS SOLUTIONS CORE ALLOCATION C 01900C755 PALCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
A
LLIANZ GLOBAL INVESTORS SOLUTIONS CORE ALLOCATION D 01900C839 AGADX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
A
LLIANZ GLOBAL INVESTORS SOLUTIONS GLOBAL ALLOCATI
O
R 01900C813 AGARX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
A
LLIANZ GLOBAL INVESTORS SOLUTIONS GLOBAL GROWTH
A
R 01900C862 ASFRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
A
LLIANZ GLOBAL INVESTORS SOLUTIONS GROWTH ALLOCAT
I
A 01900C706 ASGAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
A
LLIANZ GLOBAL INVESTORS SOLUTIONS GROWTH ALLOCAT
I
C 01900C805 ASACX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
A
LLIANZ GLOBAL INVESTORS SOLUTIONS GROWTH ALLOCAT
I
D 01900C888 AGSDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
A
LLIANZ GLOBAL INVESTORS SOLUTIONS RETIREMENT INCO

M
A 01900A254 AGRAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
A
LLIANZ GLOBAL INVESTORS SOLUTIONS RETIREMENT INCO
M
C 01900A247 ARTCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
A
LLIANZ GLOBAL INVESTORS SOLUTIONS RETIREMENT INCO
M
D 01900A239 ARTDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
A
LLIANZ GLOBAL INVESTORS SOLUTIONS RETIREMENT INCO
M
R 01900A213 ASRRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ NFJ ALL CAP VALUE CLASS A A 018919126 PNFAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ NFJ ALL CAP VALUE CLASS B B 018919134 PNFBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM
ALLIANZ NFJ ALL CAP VALUE CLASS C C 018919142 PNFCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ NFJ ALL CAP VALUE CLASS D D 018919159 PNFDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ NFJ DIVIDEND VALUE CLASS A A 018918243 PNEAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ NFJ DIVIDEND VALUE CLASS B B 018918250 PNEBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM
ALLIANZ NFJ DIVIDEND VALUE CLASS C C 018918268 PNECX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ NFJ DIVIDEND VALUE CLASS D D 018918276 PEIDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ NFJ DIVIDEND VALUE CLASS R R 018918284 PNERX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ NFJ GLOBAL DIVIDEND VALUE CLASS A A 01900C748 ANUAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ NFJ GLOBAL DIVIDEND VALUE CLASS C C 01900C730 ANUCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ NFJ GLOBAL DIVIDEND VALUE CLASS D D 01900C722 ANUDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ NFJ INTERNATIONAL SMALL CAP VALUE CLASS A A 01880B462 AJVAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ NFJ INTERNATIONAL SMALL CAP VALUE CLASS C C 01880B470 AJVCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ NFJ INTERNATIONAL SMALL CAP VALUE CLASS D D 01880B488 AJVDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ NFJ INTERNATIONAL SMALL CAP VALUE CLASS P P 01880B496 AJVPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM

ALLIANZ NFJ INTERNATIONAL VALUE CLASS A A 018920702 AFJAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ NFJ INTERNATIONAL VALUE CLASS C C 018920801 AFJCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ NFJ INTERNATIONAL VALUE CLASS D D 018920884 AFJDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ NFJ INTERNATIONAL VALUE CLASS R R 018922666 ANJRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ NFJ INTERNATIONAL VALUE II CLASS A A 01880B629 NFJAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ NFJ INTERNATIONAL VALUE II CLASS C C 01880B611 NFJCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ NFJ INTERNATIONAL VALUE II CLASS D D 01880B595 NFJDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ NFJ INTERNATIONAL VALUE II CLASS P P 01880B587 NFJPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM
ALLIANZ NFJ LARGE CAP VALUE CLASS A A 018918458 PNBAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ NFJ LARGE CAP VALUE CLASS B B 018918466 PNBBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM
ALLIANZ NFJ LARGE CAP VALUE CLASS C C 018918474 PNBCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ NFJ LARGE CAP VALUE CLASS D D 018918482 PNBDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
4
ALLIANZ NFJ LARGE CAP VALUE CLASS R R 018920777 ANLRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ NFJ MID CAP VALUE CLASS A A 018918649 PQNAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ NFJ MID CAP VALUE CLASS B B 018918656 PQNBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM
ALLIANZ NFJ MID CAP VALUE CLASS C C 018918664 PQNCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ NFJ MID CAP VALUE CLASS D D 018918672 PREDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ NFJ MID CAP VALUE CLASS R R 018918680 PRNRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ NFJ SMALL CAP VALUE CLASS A A 018918714 PCVAX FRONT END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM
ALLIANZ NFJ SMALL CAP VALUE CLASS B B 018918722 PCVBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM
ALLIANZ NFJ SMALL CAP VALUE CLASS C C 018918730 PCVCX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM
ALLIANZ NFJ SMALL CAP VALUE CLASS D D 018918748 PNVDX NO LOAD NON-NTF N/A ALLIANZ N 1000 50 1000 1 4:00 PM
ALLIANZ NFJ SMALL CAP VALUE CLASS R R 018918755 PNVRX NO LOAD NON-NTF N/A ALLIANZ N 1 1 1 3 4:00 PM
ALLIANZ RCM DISCIPLINED EQUITY CLASS A A 01900A825 ARDAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ RCM DISCIPLINED EQUITY CLASS C C 01900A817 ARDCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ RCM DISCIPLINED EQUITY CLASS D D 01900A791 ARDDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ RCM FOCUSED GROWTH CLASS A A 018918318 PGWAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ RCM FOCUSED GROWTH CLASS B B 018918326 PGFBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM
ALLIANZ RCM FOCUSED GROWTH CLASS C C 018918334 PGWCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM

ALLIANZ RCM FOCUSED GROWTH CLASS R R 018918359 PPGRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ RCM GLOBAL COMMODITY EQUITY CLASS A A 018920710 ARMAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ RCM GLOBAL COMMODITY EQUITY CLASS C C 018920694 ARMCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ RCM GLOBAL COMMODITY EQUITY CLASS D D 018920686 ARMDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ RCM GLOBAL SMALL CAP CLASS A A 018919522 RGSAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ RCM GLOBAL SMALL CAP CLASS B B 018919530 RGSBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM
ALLIANZ RCM GLOBAL SMALL CAP CLASS C C 018919548 RGSCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ RCM GLOBAL SMALL CAP CLASS D D 018919555 DGSNX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ RCM INTERNATIONAL SMALL CAP CLASS R R 01900C490 ALORX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ RCM LARGE CAP GROWTH CLASS A A 018919779 RALGX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ RCM LARGE CAP GROWTH CLASS B B 018919787 RBLGX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM
ALLIANZ RCM LARGE CAP GROWTH CLASS C C 018919795 RCLGX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ RCM LARGE CAP GROWTH CLASS D D 018919803 DLCNX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ RCM LARGE CAP GROWTH CLASS R R 018919811 PLCRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ RCM MID CAP CLASS A A 018919704 RMDAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ RCM MID CAP CLASS B B 018919712 RMDBX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM
ALLIANZ RCM MID CAP CLASS C C 018919720 RMDCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ RCM MID CAP CLASS D D 018919738 DMCNX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ RCM MID CAP CLASS P P 018922583 ARMPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM
ALLIANZ RCM MID CAP CLASS R R 018919746 PRMRX NO LOAD NON-NTF N/A ALLIANZ Y 1 1 1 3 4:00 PM
ALLIANZ RCM SHORT DURATION HIGH INCOME CLASS A A 01880B603 ASHAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ RCM SHORT DURATION HIGH INCOME CLASS C C 01880B702 ASHCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ RCM SHORT DURATION HIGH INCOME CLASS D D 01880B801 ASHDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ RCM SHORT DURATION HIGH INCOME CLASS P P 01880B884 ASHPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM
ALLIANZ RCM TECHNOLOGY CLASS A A 018919472 RAGTX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ RCM TECHNOLOGY CLASS B B 018919480 RBGTX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM
ALLIANZ RCM TECHNOLOGY CLASS C C 018919498 RCGTX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ RCM TECHNOLOGY CLASS D D 018919506 DGTNX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZ RCM WELLNESS CLASS A A 018919423 RAGHX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ RCM WELLNESS CLASS B B 018919431 RBGHX BACK END NON-NTF N/A ALLIANZ N 1000 50 1000 3 4:00 PM

ALLIANZ RCM WELLNESS CLASS C C 018919449 RCGHX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZ RCM WELLNESS CLASS D D 018919456 DGHCX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 1 4:00 PM
ALLIANZGI DYNAMIC EMERGING MULTI ASSET CLASS A A 01880B280 ADYAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZGI DYNAMIC EMERGING MULTI ASSET CLASS D D 01880B264 ADYDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZGI DYNAMIC EMERGING MULTI ASSET CLASS P P 01880B256 ADYPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM
ALLIANZGI MULTI ASSET REAL RETURN CLASS A A 01880B231 ALRAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZGI MULTI ASSET REAL RETURN CLASS D D 01880B215 ALRDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZGI MULTI ASSET REAL RETURN CLASS P P 01880B199 ALRPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM
ALLIANZGI NFJ EMERGING MARKETS VALUE CLASS A A 01880B348 AZMAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZGI NFJ EMERGING MARKETS VALUE CLASS D D 01880B322 AZMDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZGI NFJ EMERGING MARKETS VALUE CLASS P P 01880B314 AZMPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 1 100000 3 4:00 PM
ALLIANZGI STRUCTURED ALPHA CLASS A A 01880B454 AZIAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZGI STRUCTURED ALPHA CLASS C C 01880B447 AZICX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZGI STRUCTURED ALPHA CLASS D D 01880B439 AZIDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZGI STRUCTURED ALPHA CLASS P P 01880B421 AZIPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 50 100000 3 4:00 PM
ALLIANZGI US EQUITY HEDGED CLASS A A 01880B397 AZUAX FRONT END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZGI US EQUITY HEDGED CLASS C C 01880B389 AZUCX BACK END NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZGI US EQUITY HEDGED CLASS D D 01880B371 AZUDX NO LOAD NON-NTF N/A ALLIANZ Y 1000 50 1000 3 4:00 PM
ALLIANZGI US EQUITY HEDGED CLASS P P 01880B363 AZUPX NO LOAD NON-NTF N/A ALLIANZ Y 100000 50 100000 3 4:00 PM
DOW JONES ISLAMIC CLASS K K 018866103 IMANX NO LOAD NON-NTF N/A ALLIED ASSET ADVISORS Y 250 50 100 1 4:00 PM
ALPINE ACCELERATING DIVIDEND INSTITUTIONAL INSTL 020875605 AADDX NO LOAD NON-NTF 1% < 60 DAYS ALPINE Y 1000000 1 1000000 1 4:00 PM
ALPINE CYCLICAL ADVANTAGE PROPERTY INSTITUTIONAL INSTL 020940805 EUEYX NO LOAD NON-NTF N/A ALPINE Y 1000000 1 1000000 1 4:00 PM
ALPINE DYNAMIC DIVIDEND INSTITUTIONAL INSTL 020875209 ADVDX NO LOAD NON-NTF 1% < 60 DAYS ALPINE Y 1000000 1 1000000 1 4:00 PM
ALPINE EMERGING MARKETS INSTITUTIONAL INSTL 020940854 AEMEX NO LOAD NON-NTF 1% < 60 DAYS ALPINE N 1000000 1 1000000 1 4:00 PM
ALPINE FINANCIAL INNOVATIONS INSTITUTIONAL INSTL 020875407 ADINX NO LOAD NON-NTF 1% < 60 DAYS ALPINE Y 1000000 1 1000000 1 4:00 PM
ALPINE FINANCIAL SERVICES INSTITUTIONAL INSTL 020875308 ADFSX NO LOAD NON-NTF 2% < 1 MONTH ALPINE Y 1000000 1 1000000 1 4:00 PM
ALPINE FOUNDATION INSTITUTIONAL INSTL 020875100 ADBYX NO LOAD NON-NTF N/A ALPINE Y 1000000 1 1000000 1 4:00 PM
ALPINE GLOBAL INFRASTRUCTURE INSTITUTIONAL INSTL 020940847 AIFRX NO LOAD NON-NTF 1% < 60 DAYS ALPINE N 1000000 1 1000000 1 4:00 PM
A
LPINE INTERNATIONAL REAL ESTATE EQUITY INSTITUTIONA

L
INSTL 020940409 EGLRX NO LOAD NON-NTF N/A ALPINE Y 1000000 1 1000000 1 4:00 PM
ALPINE MUNICIPAL MONEY MARKET INVESTOR INVESTOR 020828109 AMUXX NO LOAD NON-NTF N/A ALPINE Y 2500 1 2500 1 4:00 PM
ALPINE REALTY INCOME AND GROWTH INSTITUTIONAL INSTL 020940862 AIGYX NO LOAD NON-NTF N/A ALPINE Y 1000000 1 1000000 1 4:00 PM
ALPINE TRANSFORMATIONS INSTITUTIONAL INSTL 020875506 ADTRX NO LOAD NON-NTF 1% < 60 DAYS ALPINE Y 1000000 1 1000000 1 4:00 PM
ALPINE ULTRA SHORT TAX OPTIMIZED INCOME CLASS A A 020828406 ATOAX FRONT END NON-NTF .25% < 1 MONTH ALPINE Y 2500 1 2500 1 4:00 PM
A
LPINE ULTRA SHORT TAX OPTIMIZED INCOME INSTITUTION
A
INSTL 020828208 ATOIX NO LOAD NON-NTF .25% < 1 MONTH ALPINE Y 250000 1 250000 1 4:00 PM
ALTEGRIS FUTURES EVOLUTION STRATEGY CLASS A A 66537Y629 EVOAX FRONT END NON-NTF 1% < 30 DAYS ALTEGRIS Y 2500 250 2500 1 4:00 PM
ALTEGRIS FUTURES EVOLUTION STRATEGY CLASS C C 66537Y611 EVOCX BACK END NON-NTF 1% < 30 DAYS ALTEGRIS Y 5000 250 5000 1 4:00 PM
ALTEGRIS FUTURES EVOLUTION STRATEGY CLASS I I 66537Y595 EVOIX NO LOAD NON-NTF 1% < 30 DAYS ALTEGRIS Y 1000000 500 1000000 1 4:00 PM
ALTEGRIS MACRO STRATEGY CLASS A A 66537Y306 MCRAX FRONT END NON-NTF 1% < 30 DAYS ALTEGRIS Y 2500 250 2500 1 4:00 PM
ALTEGRIS MACRO STRATEGY CLASS I I 66537Y504 MCRIX NO LOAD NON-NTF 1% < 30 DAYS ALTEGRIS Y 1000000 500 1000000 1 4:00 PM
ALTEGRIS MANAGED FUTURES STRATEGY CLASS A A 66537V351 MFTAX FRONT END NON-NTF 1% < 30 DAYS ALTEGRIS Y 2500 250 2500 1 4:00 PM
ALTEGRIS MANAGED FUTURES STRATEGY CLASS C C 66537V344 MFTCX BACK END NON-NTF 1% < 30 DAYS ALTEGRIS Y 5000 250 5000 1 4:00 PM
ALTEGRIS MANAGED FUTURES STRATEGY CLASS I I 66537V336 MFTIX NO LOAD NON-NTF 1% < 30 DAYS ALTEGRIS Y 1000000 500 1000000 1 4:00 PM
AMANA DEVELOPING WORLD N/A 022865307 AMDWX NO LOAD NON-NTF 2% < 90 DAYS AMANA Y 250 25 100 1 4:00 PM
AMANA GROWTH N/A 022865208 AMAGX NO LOAD NON-NTF 2% < 90 DAYS AMANA Y 250 25 100 1 4:00 PM
AMANA INCOME N/A 022865109 AMANX NO LOAD NON-NTF 2% < 90 DAYS AMANA Y 250 25 100 1 4:00 PM
AMERICA FIRST ABSOLUTE RETURN CLASS A A 02365Y704 ABRFX FRONT END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM
AMERICA FIRST ABSOLUTE RETURN CLASS I I 02356Y803 ABRWX NO LOAD NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM
AMERICA FIRST ABSOLUTE RETURN CLASS U U 02365Y886 ABRUX FRONT END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM
AMERICA FIRST DEFENSIVE GROWTH CLASS A A 02365Y100 DGQAX FRONT END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM
AMERICA FIRST DEFENSIVE GROWTH CLASS I I 02365Y308 DGQIX NO LOAD NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM
AMERICA FIRST DEFENSIVE GROWTH CLASS U U 02365Y209 DGQUX FRONT END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM
AMERICA FIRST INCOME TRENDS CLASS A A 02365Y407 AFPAX FRONT END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM
AMERICA FIRST INCOME TRENDS CLASS I I 02365Y605 AFPIX NO LOAD NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM
AMERICA FIRST INCOME TRENDS CLASS U U 02365Y506 AFPUX FRONT END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM

AMERICA FIRST QUANTITATIVE STRATEGIES CLASS A A 02365Y860 AFIAX FRONT END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM
AMERICA FIRST QUANTITATIVE STRATEGIES CLASS C C 02365Y878 AFISX BACK END NON-NTF 1% < 90 DAYS AMERICA FIRST Y 1000 50 1000 1 4:00 PM
AMERICAN BEACON BALANCED INVESTOR INVESTOR 02368A828 AABPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON BRIDGEWAY LARGE CAP VALUE INSTL INSTITUTION
A
024524126 BRLVX NO LOAD NON-NTF N/A AMERICAN BEACON Y 250000 1 250000 1 4:00 PM
A
MERICAN BEACON BRIDGEWAY LARGE CAP VALUE INVEST
O
INVESTOR 024524118 BWLIX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON EMERGING MARKETS INVESTOR INVESTOR 02368A448 AAEPX NO LOAD NON-NTF 2% < 90 DAYS AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON ENHANCED INCOME INVESTOR INVESTOR 02368A398 AANPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON FLEXIBLE BOND INVESTOR INVESTOR 024524233 AFXPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON HIGH YIELD BOND INVESTOR INVESTOR 02368A455 AHYPX NO LOAD NON-NTF 2% < 90 DAYS AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON HOLLAND LARGE CAP GROWTH INSTL INSTITUTION
A
024525404 LHGIX NO LOAD NON-NTF N/A AMERICAN BEACON Y 250000 1 250000 1 4:00 PM
A
MERICAN BEACON HOLLAND LARGE CAP GROWTH INVESTO INVESTOR 024525503 LHGFX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON INTERMEDIATE BOND INVESTOR INVESTOR 02368A240 ABIPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON INTERNATIONAL EQUITY INVESTOR INVESTOR 02368A794 AAIPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON LARGE CAP VALUE INVESTOR INVESTOR 02368A810 AAGPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
A
MERICAN BEACON LONDON COMPANY EQUITY INCOME INS
T
INSTITUTION
A
024527400 ABCIX NO LOAD NON-NTF N/A AMERICAN BEACON Y 250000 1 250000 1 4:00 PM
A
MERICAN BEACON LONDON COMPANY EQUITY INCOME INV

E
INVESTOR 024527509 ABCVX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON MID CAP VALUE INVESTOR INVESTOR 02368A299 AMPAX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON S&P 500 INDEX INVESTOR INVESTOR 02368A679 AAFPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON SHORT TERM BOND INVESTOR INVESTOR 02368A786 AALPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
A
MERICAN BEACON SIM HIGH YIELD OPPORTUNITIES INVEST
O
INVESTOR 024524274 SHYPX NO LOAD NON-NTF 2% < 90 DAYS AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON SMALL CAP VALUE II INVESTOR INVESTOR 024533309 ABBVX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
5
AMERICAN BEACON SMALL CAP VALUE INVESTOR INVESTOR 02368A620 AVPAX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON STEPHENS MID CAP GROWTH INSTL INSTITUTION
A
024524217 SFMIX NO LOAD NON-NTF N/A AMERICAN BEACON Y 250000 1 250000 1 4:00 PM
AMERICAN BEACON STEPHENS MID CAP GROWTH INVESTOR INVESTOR 024524191 STMGX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON STEPHENS SMALL CAP GROWTH INSTL INSTITUTION
A
02368A141 STSIX NO LOAD NON-NTF N/A AMERICAN BEACON Y 250000 1 250000 1 4:00 PM
A
MERICAN BEACON STEPHENS SMALL CAP GROWTH INVEST
O
INVESTOR 02368A133 STSGX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON TIPS INVESTOR INVESTOR 02368A257 ABTPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON ZEBRA GLOBAL EQUITY INVESTOR INVESTOR 024524688 AZLPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN BEACON ZEBRA SMALL CAP EQUITY INVESTOR INVESTOR 024524647 AZSPX NO LOAD NON-NTF N/A AMERICAN BEACON Y 2500 50 2500 1 4:00 PM
AMERICAN CENTURY BALANCED INVESTOR CLASS INVESTOR 025083742 TWBIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY CALIFORNIA HIGH YIELD MUNICIPAL CL
A

A 025075888 CAYAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY CALIFORNIA HIGH YIELD MUNICIPAL CL
A
C 025075805 CAYCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY CALIFORNIA HIGH YIELD MUNICIPAL IN
V
INVESTOR 025075201 BCHYX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
A
MERICAN CENTURY CALIFORNIA INTERMEDIATE TAX FREE
B
INVESTOR 025075508 BCITX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY CALIFORNIA LONG TERM TAX FREE CL
A
A 025075862 ALTAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY CALIFORNIA LONG TERM TAX FREE CL
A
C 025075847 ALTCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY CALIFORNIA LONG TERM TAX FREE INV
E
INVESTOR 025075607 BCLTX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
A
MERICAN CENTURY CAPITAL PRESERVATION INVESTOR CL
A
INVESTOR 025081803 CPFXX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY CAPITAL VALUE INVESTOR CLASS INVESTOR 025083395 ACTIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY CORE PLUS CLASS A A 024932543 ACCQX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY CORE PLUS CLASS C C 024932527 ACCKX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY CORE PLUS INVESTOR CLASS INVESTOR 024932493 ACCNX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY DISCIPLINED GROWTH CLASS A A 02507M642 ADCVX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY DISCIPLINED GROWTH CLASS C C 02507M527 ADCCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY DISCIPLINED GROWTH INVESTOR CLAS
S
INVESTOR 02507M675 ADSIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY DIVERSIFIED BOND CLASS A A 024932501 ADFAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY DIVERSIFIED BOND CLASS B B 024932832 CDBBX BACK END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY DIVERSIFIED BOND CLASS C C 024932824 CDBCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY DIVERSIFIED BOND INVESTOR CLASS INVESTOR 024932402 ADFIX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY EMERGING MARKETS CLASS A A 025086851 AEMMX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY EMERGING MARKETS CLASS C C 025086679 ACECX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY EMERGING MARKETS INVESTOR CLASS INVESTOR 025086885 TWMIX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY EQUITY GROWTH CLASS A A 02507M709 BEQAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY EQUITY GROWTH CLASS C C 02507M790 AEYCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY EQUITY GROWTH INVESTOR CLASS INVESTOR 02507M600 BEQGX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY EQUITY INCOME CLASS A A 025076407 TWEAX FRONT END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY EQUITY INCOME CLASS B B 025076571 AEKBX BACK END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY EQUITY INCOME CLASS C C 025076746 AEYIX BACK END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY EQUITY INCOME INVESTOR CLASS INVESTOR 025076100 TWEIX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY EQUITY INDEX INVESTOR CLASS INVESTOR 025076811 ACIVX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY EQUITY MARKET NEUTRAL CLASS A A 02507M758 ALIAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY EQUITY MARKET NEUTRAL CLASS C C 02507M733 ALICX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY EQUITY MARKET NEUTRAL INVESTOR C
L
INVESTOR 02507M691 ALHIX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM

AMERICAN CENTURY FOCUSED GROWTH CLASS A A 02508H675 AFGAX FRONT END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY FOCUSED GROWTH CLASS C C 02508H659 AFGCX BACK END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY FOCUSED GROWTH INVESTOR CLASS INVESTOR 02508H105 AFSIX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY FUNDAMENTAL EQUITY CLASS A A 025083130 AFDAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY FUNDAMENTAL EQUITY CLASS B B 025083122 AFDBX BACK END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY FUNDAMENTAL EQUITY CLASS C C 025083114 AFDCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY GINNIE MAE INVESTOR CLASS INVESTOR 025081605 BGNMX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY GLOBAL ALLOCATION CLASS A A 025085671 AGAEX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY GLOBAL ALLOCATION CLASS C C 025085663 AGAGX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY GLOBAL ALLOCATION INVESTOR CLASS INVESTOR 025085697 AGAVX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY GLOBAL BOND CLASS A A 025082702 AGBAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY GLOBAL BOND CLASS C C 025082801 AGBTX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY GLOBAL BOND INVESTOR CLASS INVESTOR 025082876 AGBVX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY GLOBAL GOLD CLASS A A 02507M204 ACGGX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY GLOBAL GOLD CLASS C C 02507M485 AGYCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY GLOBAL GOLD INVESTOR CLASS INVESTOR 02507M105 BGEIX NO LOAD NON-NTF 1% < 60 DAYS AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY GLOBAL GROWTH CLASS A A 025086828 AGGRX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY GLOBAL GROWTH CLASS C C 025086695 AGLCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY GLOBAL GROWTH INVESTOR CLASS INVESTOR 025086844 TWGGX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY GOVERNMENT BOND CLASS A A 025081860 ABTAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY GOVERNMENT BOND CLASS C C 025081746 ABTCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY GOVERNMENT BOND INVESTOR CLASS INVESTOR 025081308 CPTNX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY GROWTH CLASS A A 025083403 TCRAX FRONT END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY GROWTH INVESTOR CLASS INVESTOR 025083106 TWCGX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY HERITAGE CLASS A A 025083767 ATHAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY HERITAGE CLASS B B 02508H691 ATHBX BACK END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY HERITAGE CLASS C C 025083262 AHGCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY HERITAGE INVESTOR CLASS INVESTOR 025083791 TWHIX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY HIGH YIELD CLASS A A 024932881 AHYVX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY HIGH YIELD CLASS C C 024932873 AHDCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY HIGH YIELD INVESTOR CLASS INVESTOR 024932808 ABHIX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY HIGH YIELD MUNICIPAL BOND CLASS A A 024934861 AYMAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY HIGH YIELD MUNICIPAL BOND CLASS C C 024934879 AYMCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY HIGH YIELD MUNICIPAL BOND INVESTO
R
INVESTOR 024934804 ABHYX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY INCOME AND GROWTH CLASS A A 02507M402 AMADX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY INCOME AND GROWTH CLASS C C 02507M816 ACGCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY INCOME AND GROWTH INVESTOR CLAS
S
INVESTOR 02507M303 BIGRX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY INFLATION ADJUSTED BOND CLASS A A 025081829 AIAVX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY INFLATION ADJUSTED BOND CLASS C C 025081720 AINOX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY INFLATION ADJUSTED BOND INVESTOR
C
INVESTOR 025081704 ACITX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY INTERMEDIATE TERM TAX FREE BOND I
N
INVESTOR 024934507 TWTIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY INTERNATIONAL BOND CLASS A A 025082207 AIBDX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY INTERNATIONAL BOND CLASS C C 025082504 AIQCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY INTERNATIONAL BOND INVESTOR CLAS
S
INVESTOR 025082108 BEGBX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY INTERNATIONAL CORE EQUITY CLASS A A 02507M618 ACIQX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM

A
MERICAN CENTURY INTERNATIONAL CORE EQUITY CLASS C C 02507M584 ACIKX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY INTERNATIONAL CORE EQUITY INVEST
O
INVESTOR 02507M568 ACIMX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY INTERNATIONAL DISCOVERY ADVISOR
C
A 025086802 ACIDX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY INTERNATIONAL DISCOVERY INVESTOR INVESTOR 025086505 TWEGX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY INTERNATIONAL GROWTH CLASS A A 025086406 TWGAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY INTERNATIONAL GROWTH CLASS C C 025086687 AIWCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY INTERNATIONAL GROWTH INVESTOR C
L
INVESTOR 025086109 TWIEX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY N 250 1 250 1 4:00 PM
A
MERICAN CENTURY INTERNATIONAL OPPORTUNITIES CLAS
S
A 025086455 AIVOX FRONT END NON-NTF 2% < 180 DAYS AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY INTERNATIONAL OPPORTUNITIES CLAS
S
C 025086448 AIOCX BACK END NON-NTF 2% < 180 DAYS AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY INTERNATIONAL OPPORTUNITIES INVES INVESTOR 025086745 AIOIX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY INTERNATIONAL VALUE INVESTOR CLA

S
INVESTOR 025086588 ACEVX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LARGE COMPANY VALUE CLASS A A 025076787 ALPAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LARGE COMPANY VALUE CLASS B B 025076688 ALBVX BACK END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY LARGE COMPANY VALUE CLASS C C 025076738 ALPCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY LARGE COMPANY VALUE INVESTOR CL
A
INVESTOR 025076795 ALVIX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
A
MERICAN CENTURY LEGACY FOCUSED LARGE CAP ADVISO
R
ADVISOR 02507H700 ACFDX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY LEGACY FOCUSED LARGE CAP INVEST
O
INVESTOR 02507H502 ACFOX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LEGACY LARGE CAP ADVISOR CLASS ADVISOR 02507H304 ACGDX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LEGACY LARGE CAP INVESTOR CLASS INVESTOR 02507H106 ACGOX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LEGACY MULTI CAP ADVISOR CLASS ADVISOR 02507H866 ACMFX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LEGACY MULTI CAP INVESTOR CLASS INVESTOR 02507H882 ACMNX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LIVESTRONG 2015 ADVISOR CLASS A 02507F209 ARFAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LIVESTRONG 2015 INVESTOR CLASS INVESTOR 02507F100 ARFIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LIVESTRONG 2025 ADVISOR CLASS A 02507F605 ARWAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LIVESTRONG 2025 INVESTOR CLASS INVESTOR 02507F506 ARWIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LIVESTRONG 2030 CLASS A A 02507F621 ARCMX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LIVESTRONG 2030 CLASS C C 02507F480 ARWOX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LIVESTRONG 2030 INVESTOR CLASS INVESTOR 02507F654 ARCVX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LIVESTRONG 2035 ADVISOR CLASS A 02507F878 ARYAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LIVESTRONG 2035 INVESTOR CLASS INVESTOR 02507F886 ARYIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY LIVESTRONG 2045 ADVISOR CLASS A 02507F837 AROAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LIVESTRONG 2045 INVESTOR CLASS INVESTOR 02507F845 AROIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LIVESTRONG 2050 INVESTOR CLASS INVESTOR 02507F563 ARFVX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LIVESTRONG INCOME ADVISOR CLASS A 02507F787 ARTAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY LIVESTRONG INCOME INVESTOR CLASS INVESTOR 02507F795 ARTOX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
6
A
MERICAN CENTURY LONG TERM TAX FREE INVESTOR CLAS
S
INVESTOR 024934754 ACLVX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY MID CAP VALUE ADVISOR CLASS A 025076639 ACLAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY MID CAP VALUE INVESTOR CLASS INVESTOR 025076654 ACMVX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY NEW OPPORTUNITIES CLASS A A 02508H592 TWNAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY NEW OPPORTUNITIES CLASS C C 02508H584 TWNCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY NEW OPPORTUNITIES INVESTOR CLAS
S
INVESTOR 025083452 TWNOX NO LOAD NON-NTF 2% < 180 DAYS AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY NEW YORK TAX FREE CLASS A A 024934689 ANYAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY NEW YORK TAX FREE CLASS C C 024934671 ANTCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY NEW YORK TAX FREE INVESTOR CLASS INVESTOR 024934697 ANYIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY ONE CHOICE AGGRESSIVE INVESTOR C
L
INVESTOR 02507F720 AOGIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY ONE CHOICE CONSERVATIVE INVESTO
R
INVESTOR 02507F746 AOCIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A

MERICAN CENTURY ONE CHOICE MODERATE INVESTOR CL
A
INVESTOR 02507F738 AOMIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY ONE CHOICE VERY AGGRESSIVE INVES
T
INVESTOR 02507F712 AOVIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY ONE CHOICE VERY CONSERVATIVE INV
E
INVESTOR 02507F753 AONIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY PREMIUM MONEY MARKET INVESTOR C
L
INVESTOR 024932709 TCRXX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY PRIME MONEY MARKET CLASS A A 024932204 ACAXX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY PRIME MONEY MARKET CLASS B B 024932857 BPMXX BACK END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY PRIME MONEY MARKET CLASS C C 024932303 ARCXX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY PRIME MONEY MARKET INVESTOR CLA
S
INVESTOR 024932105 BPRXX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY REAL ESTATE CLASS A A 025076860 AREEX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY REAL ESTATE CLASS C C 025076555 ARYCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY REAL ESTATE INVESTOR CLASS INVESTOR 025076886 REACX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY SELECT CLASS A A 025083809 TWCAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY SELECT CLASS C C 025083239 ACSLX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY SELECT INVESTOR CLASS INVESTOR 025083502 TWCIX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY SHORT DURATION CLASS A A 024932477 ACSQX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY SHORT DURATION CLASS C C 024932451 ACSKX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM

A
MERICAN CENTURY SHORT DURATION INFLATION PROTECT
I
A 024932758 APOAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY SHORT DURATION INFLATION PROTECT
I
B 024932741 APOBX BACK END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
A
MERICAN CENTURY SHORT DURATION INFLATION PROTECT
I
C 024932733 APOCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY SHORT DURATION INFLATION PROTECT
I
INVESTOR 024932774 APOIX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY SHORT DURATION INVESTOR CLASS INVESTOR 024932436 ACSNX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY SHORT TERM GOVERNMENT CLASS A A 025081845 TWAVX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY SHORT TERM GOVERNMENT CLASS C C 025081696 TWACX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY SHORT TERM GOVERNMENT INVESTOR INVESTOR 025081506 TWUSX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY SMALL CAP GROWTH CLASS A A 025083221 ANOAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY SMALL CAP GROWTH CLASS B B 025083213 ANOBX BACK END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY SMALL CAP GROWTH CLASS C C 025083197 ANOCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY SMALL CAP GROWTH INVESTOR CLASS INVESTOR 025083338 ANOIX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY SMALL CAP VALUE ADVISOR CLASS A 025076837 ACSCX FRONT END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY SMALL CAP VALUE INVESTOR CLASS INVESTOR 025076852 ASVIX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY SMALL COMPANY ADVISOR CLASS A 02507M824 ASQAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY SMALL COMPANY INVESTOR CLASS INVESTOR 02507M840 ASQIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A

MERICAN CENTURY STRATEGIC ALLOCATION AGGRESSIVE
C
A 025085887 ACVAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY STRATEGIC ALLOCATION AGGRESSIVE
C
B 025085788 ALLBX BACK END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
A
MERICAN CENTURY STRATEGIC ALLOCATION AGGRESSIVE
C
C 025085838 ASTAX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY STRATEGIC ALLOCATION AGGRESSIVE I INVESTOR 025085705 TWSAX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY STRATEGIC ALLOCATION CLASS A A 025085606 ACOAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY STRATEGIC ALLOCATION CONSERVATI
V
INVESTOR 025085101 TWSCX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
A
MERICAN CENTURY STRATEGIC ALLOCATION MODERATE C
L
C 025085846 ASTCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
A
MERICAN CENTURY STRATEGIC ALLOCATION MODERATE IN
V
INVESTOR 025085408 TWSMX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
A
MERICAN CENTURY TAX FREE MONEY MARKET INVESTOR C INVESTOR 024934408 BNTXX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY ULTRA CLASS A A 025083858 TWUAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY ULTRA CLASS C C 025083288 TWCCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM

AMERICAN CENTURY ULTRA INVESTOR CLASS INVESTOR 025083882 TWCUX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY UTILITIES INVESTOR CLASS INVESTOR 02507M881 BULIX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY VALUE CLASS A A 025076803 TWADX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY VALUE CLASS B B 025076712 ACBVX BACK END NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY VALUE CLASS C C 025076761 ACLCX BACK END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY VALUE INVESTOR CLASS INVESTOR 025076506 TWVLX NO LOAD NON-NTF N/A AMERICAN CENTURY N 250 1 250 1 4:00 PM
AMERICAN CENTURY VEEDOT INVESTOR CLASS INVESTOR 025083551 AMVIX NO LOAD NON-NTF 2% < 60 DAYS AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY VISTA ADVISOR CLASS A 025083817 TWVAX FRONT END NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY VISTA INVESTOR CLASS INVESTOR 025083841 TWCVX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY ZERO COUPON 2015 INVESTOR CLASS INVESTOR 024935405 BTFTX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY ZERO COUPON 2020 INVESTOR CLASS INVESTOR 024935504 BTTTX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN CENTURY ZERO COUPON 2025 INVESTOR CLASS INVESTOR 024935603 BTTRX NO LOAD NON-NTF N/A AMERICAN CENTURY Y 250 1 250 1 4:00 PM
AMERICAN 2010 TARGET DATE RETIREMENT CLASS A A 02630T100 AAATX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN 2010 TARGET DATE RETIREMENT CLASS R1 R1 02630T209 RAATX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN 2015 TARGET DATE RETIREMENT CLASS A A 02630T704 AABTX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN 2015 TARGET DATE RETIREMENT CLASS R1 R1 02630T803 RAJTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN 2015 TARGET DATE RETIREMENT CLASS R3 R3 02630T878 RCJTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN 2020 TARGET DATE RETIREMENT CLASS A A 02630T845 AACTX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN 2020 TARGET DATE RETIREMENT CLASS R1 R1 02630T837 RACTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN 2020 TARGET DATE RETIREMENT CLASS R3 R3 02630T811 RCCTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN 2025 TARGET DATE RETIREMENT CLASS A A 02630T779 AADTX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN 2025 TARGET DATE RETIREMENT CLASS R1 R1 02630T761 RADTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN 2030 TARGET DATE RETIREMENT CLASS A A 02630T712 AAETX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN 2030 TARGET DATE RETIREMENT CLASS R1 R1 02630T696 RAETX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN 2035 TARGET DATE RETIREMENT CLASS A A 02630T647 AAFTX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN 2035 TARGET DATE RETIREMENT CLASS R1 R1 02630T639 RAFTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN 2035 TARGET DATE RETIREMENT CLASS R3 R3 02630T613 RCFTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN 2040 TARGET DATE RETIREMENT CLASS A A 02630T571 AAGTX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN 2040 TARGET DATE RETIREMENT CLASS R1 R1 02630T563 RAKTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN 2045 TARGET DATE RETIREMENT CLASS A A 02630T514 AAHTX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM

AMERICAN 2045 TARGET DATE RETIREMENT CLASS R1 R1 02630T498 RAHTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN 2050 TARGET DATE RETIREMENT CLASS A A 02630T449 AALTX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN 2050 TARGET DATE RETIREMENT CLASS R1 R1 02630T431 RAITX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN 2055 TARGET DATE RETIREMENT CLASS A A 02630T274 AAMTX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN 2055 TARGET DATE RETIREMENT CLASS R1 R1 02630T266 RAMTX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN AMCAP CLASS A A 023375108 AMCPX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN AMCAP CLASS B B 023375207 AMPBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN AMCAP CLASS C C 023375306 AMPCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN AMCAP CLASS R1 R1 023375876 RAFAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN BALANCED CLASS A A 024071102 ABALX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN BALANCED CLASS B B 024071201 BALBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN BALANCED CLASS C C 024071300 BALCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN BALANCED CLASS R1 R1 024071870 RLBAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN BALANCED CLASS R3 R3 024071854 RLBCX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN BALANCED PORTFOLIO CLASS A A 02630Y265 BLPAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN BALANCED PORTFOLIO CLASS B B 02630Y257 BLPBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN BALANCED PORTFOLIO CLASS C C 02630Y240 BLPCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN BOND FUND OF AMERICA CLASS A A 097873103 ABNDX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN BOND FUND OF AMERICA CLASS B B 097873202 BFABX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN BOND FUND OF AMERICA CLASS C C 097873301 BFACX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN BOND FUND OF AMERICA CLASS R1 R1 097873871 RBFAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN BOND FUND OF AMERICA CLASS R3 R3 097873855 RBFCX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN CAPITAL INCOME BUILDER CLASS A A 140193103 CAIBX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN CAPITAL INCOME BUILDER CLASS B B 140193202 CIBBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN CAPITAL INCOME BUILDER CLASS C C 140193301 CIBCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN CAPITAL INCOME BUILDER CLASS R1 R1 140193871 RIRAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN CAPITAL INCOME BUILDER CLASS R3 R3 140193855 RIRCX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN CAPITAL WORLD BOND CLASS A A 140541103 CWBFX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN CAPITAL WORLD BOND CLASS B B 140541202 WBFBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN CAPITAL WORLD BOND CLASS C C 140541301 CWBCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM

AMERICAN CAPITAL WORLD BOND CLASS R1 R1 140541871 RCWAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN CAPITAL WORLD BOND CLASS R3 R3 140541855 RCWCX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN CAPITAL WORLD GROWTH AND INCOME CLASS A A 140543109 CWGIX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN CAPITAL WORLD GROWTH AND INCOME CLASS B B 140543208 CWGBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN CAPITAL WORLD GROWTH AND INCOME CLASS C C 140543307 CWGCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
A
MERICAN CAPITAL WORLD GROWTH AND INCOME CLASS R1R1 140543877 RWIAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
A
MERICAN CAPITAL WORLD GROWTH AND INCOME CLASS R
3
R3 140543851 RWICX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN EUROPACIFIC GROWTH CLASS A A 298706102 AEPGX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
7
AMERICAN EUROPACIFIC GROWTH CLASS B B 298706201 AEGBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN EUROPACIFIC GROWTH CLASS C C 298706300 AEPCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN EUROPACIFIC GROWTH CLASS R1 R1 298706870 RERAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN EUROPACIFIC GROWTH CLASS R3 R3 298706854 RERCX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN FUNDAMENTAL INVESTORS CLASS A A 360802102 ANCFX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN FUNDAMENTAL INVESTORS CLASS B B 360802201 AFIBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN FUNDAMENTAL INVESTORS CLASS C C 360802300 AFICX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN FUNDAMENTAL INVESTORS CLASS R1 R1 360802870 RFNAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN FUNDAMENTAL INVESTORS CLASS R3 R3 360802854 RFNCX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN GLOBAL BALANCED CLASS A A 02629W106 GBLAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN GLOBAL BALANCED CLASS B B 02629W205 GBLBX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN GLOBAL BALANCED CLASS C C 02629W304 GBLCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN GLOBAL BALANCED CLASS R1 R1 02629W866 RGBLX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN GLOBAL GROWTH CLASS A A 02630R617 PGGAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN GLOBAL GROWTH CLASS B B 02630R591 PGGBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN GLOBAL GROWTH CLASS C C 02630R583 GGPCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN GROWTH AND INCOME CLASS A A 02630R203 GAIOX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM

AMERICAN GROWTH AND INCOME CLASS B B 02630R302 GAIBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN GROWTH AND INCOME CLASS C C 02630R401 GAITX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN GROWTH CLASS A A 02630R781 GWPAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN GROWTH CLASS B B 02630R773 GWPBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN GROWTH CLASS C C 02630R765 GWPCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN GROWTH FUND OF AMERICA CLASS A A 399874106 AGTHX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN GROWTH FUND OF AMERICA CLASS B B 399874205 AGRBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN GROWTH FUND OF AMERICA CLASS C C 399874304 GFACX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN GROWTH FUND OF AMERICA CLASS R1 R1 399874874 RGAAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN GROWTH FUND OF AMERICA CLASS R3 R3 399874858 RGACX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN HIGH INCOME MUNICIPAL BOND CLASS A A 026545103 AMHIX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 1 3 4:00 PM
AMERICAN HIGH INCOME MUNICIPAL BOND CLASS B B 026545202 ABHMX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 1 3 4:00 PM
AMERICAN HIGH INCOME MUNICIPAL BOND CLASS C C 026545301 AHICX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 1 3 4:00 PM
AMERICAN HIGH INCOME TRUST CLASS A A 026547109 AHITX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN HIGH INCOME TRUST CLASS B B 026547208 AHTBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN HIGH INCOME TRUST CLASS C C 026547307 AHTCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN HIGH INCOME TRUST CLASS R1 R1 026547877 RITAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN HIGH INCOME TRUST CLASS R3 R3 026547851 RITCX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN INCOME CLASS A A 02630Y448 INPAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN INCOME CLASS B B 02630Y430 INPBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN INCOME CLASS C C 02630Y422 INPCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN INCOME FUND OF AMERICA CLASS A A 453320103 AMECX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN INCOME FUND OF AMERICA CLASS B B 453320202 IFABX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN INCOME FUND OF AMERICA CLASS C C 453320301 IFACX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN INCOME FUND OF AMERICA CLASS R1 R1 453320871 RIDAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN INTERMEDIATE BOND FUND OF AMERICA CLASS A A 458809100 AIBAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN INTERMEDIATE BOND FUND OF AMERICA CLASS B B 458809209 IBFBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN INTERMEDIATE BOND FUND OF AMERICA CLASS C C 458809308 IBFCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
A
MERICAN INTERMEDIATE BOND FUND OF AMERICA CLASS R R1 458809878 RBOAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM

AMERICAN INTERNATIONAL GROWTH AND INCOME CLASS A A 45956T105 IGAAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN INTERNATIONAL GROWTH AND INCOME CLASS B B 45956T204 IGIBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN INTERNATIONAL GROWTH AND INCOME CLASS C C 45956T303 IGICX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN INTERNATIONAL GROWTH AND INCOME CLASS R1 R1 45956T865 RIGAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN INVESTMENT COMPANY OF AMERICA CLASS A A 461308108 AIVSX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN INVESTMENT COMPANY OF AMERICA CLASS B B 461308207 AICBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN INVESTMENT COMPANY OF AMERICA CLASS C C 461308306 AICCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN INVESTMENT COMPANY OF AMERICA CLASS R1 R1 461308876 RICAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN INVESTMENT COMPANY OF AMERICA CLASS R3 R3 461308850 RICCX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN LIMITED TERM TAX EXEMPT BOND CLASS A A 532726106 LTEBX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 1 3 4:00 PM
AMERICAN LIMITED TERM TAX EXEMPT BOND CLASS B B 532726205 LTXBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 1 3 4:00 PM
AMERICAN LIMITED TERM TAX EXEMPT BOND CLASS C C 532726304 LTXCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 1 3 4:00 PM
AMERICAN MONEY MARKET CLASS A A 02630U107 AFAXX FRONT END NON-NTF N/A AMERICAN FUNDS Y 1000 50 1000 3 4:00 PM
AMERICAN MONEY MARKET CLASS B B 02630U206 AFBXX BACK END NON-NTF N/A AMERICAN FUNDS N 1000 50 1000 3 4:00 PM
AMERICAN MONEY MARKET CLASS C C 02630U305 AFCXX BACK END NON-NTF N/A AMERICAN FUNDS Y 1000 50 1000 3 4:00 PM
AMERICAN MONEY MARKET CLASS R1 R1 02630U867 RAAXX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 1000 50 1000 1 4:00 PM
AMERICAN MONEY MARKET CLASS R3 R3 02630U842 RACXX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN MORTGAGE CLASS A A 02630V105 MFAAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN MORTGAGE CLASS B B 02630V204 MFABX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN MORTGAGE CLASS C C 02630V303 MFACX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN MORTGAGE CLASS R1 R1 02630V865 RMAAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN MORTGAGE CLASS R3 R3 02630V840 RMACX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN MUTUAL CLASS A A 027681105 AMRMX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN MUTUAL CLASS B B 027681204 AMFBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN MUTUAL CLASS C C 027681303 AMFCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN MUTUAL CLASS R1 R1 027681873 RMFAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN NEW ECONOMY CLASS A A 643822109 ANEFX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN NEW ECONOMY CLASS B B 643822208 ANFBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN NEW ECONOMY CLASS C C 643822307 ANFCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN NEW ECONOMY CLASS R1 R1 643822877 RNGAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM

AMERICAN NEW ECONOMY CLASS R3 R3 643822851 RNGCX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN NEW PERSPECTIVE CLASS A A 648018109 ANWPX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN NEW PERSPECTIVE CLASS B B 648018208 NPFBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN NEW PERSPECTIVE CLASS C C 648018307 NPFCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN NEW PERSPECTIVE CLASS R1 R1 648018877 RNPAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN NEW PERSPECTIVE CLASS R3 R3 648018851 RNPCX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN NEW WORLD CLASS A A 649280104 NEWFX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN NEW WORLD CLASS B B 649280203 NEWBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN NEW WORLD CLASS C C 649280302 NEWCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN NEW WORLD CLASS R1 R1 649280872 RNWAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN PRESERVATION CLASS A A 02630Y794 PPVAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN PRESERVATION CLASS B B 02630Y786 PPVBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN PRESERVATION CLASS C C 02630Y778 PPVCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN SHORT TERM BOND FUND OF AMERICA CLASS A A 82524A102 ASBAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN SHORT TERM BOND FUND OF AMERICA CLASS B B 82524A201 AMSBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN SHORT TERM BOND FUND OF AMERICA CLASS C C 82524A300 ASBCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN SHORT TERM BOND FUND OF AMERICA CLASS R1 R1 82524A888 RAMAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN SHORT TERM TAX EXEMPT BOND CLASS A A 02630W103 ASTEX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN SMALL CAP WORLD CLASS A A 831681101 SMCWX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN SMALL CAP WORLD CLASS B B 831681200 SCWBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN SMALL CAP WORLD CLASS C C 831681309 SCWCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN SMALL CAP WORLD CLASS R1 R1 831681879 RSLAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN SMALL CAP WORLD CLASS R3 R3 831681853 RSLCX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN TAX ADVANTAGED INCOME CLASS A A 02630Y620 TAIAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN TAX ADVANTAGED INCOME CLASS B B 02630Y612 TXABX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN TAX ADVANTAGED INCOME CLASS C C 02630Y596 TAICX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN TAX EXEMPT BOND FUND OF AMERICA CLASS A A 876902107 AFTEX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 1 3 4:00 PM
AMERICAN TAX EXEMPT BOND FUND OF AMERICA CLASS B B 876902206 TEBFX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 1 3 4:00 PM
AMERICAN TAX EXEMPT BOND FUND OF AMERICA CLASS C C 876902305 TEBCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 1 3 4:00 PM
AMERICAN TAX EXEMPT FUND OF CALIFORNIA CLASS A A 02630B109 TAFTX FRONT END NON-NTF N/A AMERICAN FUNDS Y 1000 50 1 3 4:00 PM

AMERICAN TAX EXEMPT FUND OF CALIFORNIA CLASS B B 02630B208 TECBX BACK END NON-NTF N/A AMERICAN FUNDS N 1000 50 1 3 4:00 PM
AMERICAN TAX EXEMPT FUND OF CALIFORNIA CLASS C C 02630B307 TECCX BACK END NON-NTF N/A AMERICAN FUNDS Y 1000 50 1 3 4:00 PM
AMERICAN TAX EXEMPT FUND OF MARYLAND CLASS A A 02630C107 TMMDX FRONT END NON-NTF N/A AMERICAN FUNDS Y 1000 50 1 3 4:00 PM
AMERICAN TAX EXEMPT FUND OF MARYLAND CLASS B B 02630C305 TEMBX BACK END NON-NTF N/A AMERICAN FUNDS N 1000 50 1 3 4:00 PM
AMERICAN TAX EXEMPT FUND OF MARYLAND CLASS C C 02630C503 TEMCX BACK END NON-NTF N/A AMERICAN FUNDS Y 1000 50 1 3 4:00 PM
AMERICAN TAX EXEMPT FUND OF NEW YORK CLASS A A 02630X101 NYAAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN TAX EXEMPT FUND OF VIRGINIA CLASS A A 02630C206 TFVAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 1000 50 1 3 4:00 PM
AMERICAN TAX EXEMPT FUND OF VIRGINIA CLASS B B 02630C404 TEVBX BACK END NON-NTF N/A AMERICAN FUNDS N 1000 50 1 3 4:00 PM
AMERICAN TAX EXEMPT FUND OF VIRGINIA CLASS C C 02630C701 TEVCX BACK END NON-NTF N/A AMERICAN FUNDS Y 1000 50 1 3 4:00 PM
AMERICAN TAX EXEMPT PRESERVATION CLASS A A 02630Y109 TEPAX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN TAX EXEMPT PRESERVATION CLASS B B 02630Y208 TEPBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN TAX EXEMPT PRESERVATION CLASS C C 02630Y307 TEPCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN US GOVERNMENT SECURITIES CLASS A A 026300103 AMUSX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN US GOVERNMENT SECURITIES CLASS B B 026300202 UGSBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN US GOVERNMENT SECURITIES CLASS C C 026300301 UGSCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN US GOVERNMENT SECURITIES CLASS R1 R1 026300871 RGVAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
8
AMERICAN WASHINGTON MUTUAL INVESTOR CLASS A A 939330106 AWSHX FRONT END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN WASHINGTON MUTUAL INVESTOR CLASS B B 939330205 WSHBX BACK END NON-NTF N/A AMERICAN FUNDS N 250 50 250 3 4:00 PM
AMERICAN WASHINGTON MUTUAL INVESTOR CLASS C C 939330304 WSHCX BACK END NON-NTF N/A AMERICAN FUNDS Y 250 50 250 3 4:00 PM
AMERICAN WASHINGTON MUTUAL INVESTOR CLASS R1 R1 939330874 RWMAX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN WASHINGTON MUTUAL INVESTOR CLASS R3 R3 939330858 RWMCX NO LOAD NON-NTF N/A AMERICAN FUNDS Y 250 50 250 1 4:00 PM
AMERICAN GROWTH CLASS A A 026393207 AMRAX FRONT END NON-NTF N/A AMERICAN GROWTH Y 1 1 1 3 4:00 PM
AMERICAN GROWTH CLASS B B 026393306 AMRBX BACK END NON-NTF N/A AMERICAN GROWTH Y 1 1 1 3 4:00 PM
AMERICAN GROWTH CLASS C C 026393405 AMRCX BACK END NON-NTF N/A AMERICAN GROWTH Y 1 1 1 3 4:00 PM
AMERICAN GROWTH CLASS D D 026393108 AMRGX NO LOAD NON-NTF N/A AMERICAN GROWTH N 1 1 1 3 4:00 PM
A
MERICAN INDEPENDENCE ABSOLUTE RETURN BULL BEAR B
O
A 026762393 AABBX FRONT END NON-NTF N/A AMERICAN INDEPENDENCE Y 5000 1 250 3 4:00 PM

AMERICAN INDEPENDENCE FINANCIAL SERVICES CLASS A A 026762617 ANEAX FRONT END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PM
AMERICAN INDEPENDENCE FINANCIAL SERVICES CLASS C C 026762591 ANECX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PM
AMERICAN INDEPENDENCE INTERMEDIATE BOND CLASS A A 026762609 IBFSX FRONT END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PM
AMERICAN INDEPENDENCE INTERMEDIATE BOND CLASS C C 026762690 IIBSX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PM
AMERICAN INDEPENDENCE INTERNATIONAL EQUITY CLASS A A 026762872 IIESX FRONT END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PM
AMERICAN INDEPENDENCE INTERNATIONAL EQUITY CLASS C C 026762724 IEFSX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PM
A
MERICAN INDEPENDENCE KANSAS TAX EXEMPT BOND CLA
S
A 026762856 IKSTX FRONT END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PM
A
MERICAN INDEPENDENCE KANSAS TAX EXEMPT BOND CLA
S
C 026762682 IKTEX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PM
A
MERICAN INDEPENDENCE NESTEGG DOW JONES 2010 CLA
S
C 026762674 NECNX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 1000 25 250 3 4:00 PM
A
MERICAN INDEPENDENCE NESTEGG DOW JONES 2015 CLA
S
A 026762815 NENPX FRONT END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 1000 25 250 3 4:00 PM
A
MERICAN INDEPENDENCE NESTEGG DOW JONES 2015 CLA
S
C 026762666 NENCX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 1000 25 250 3 4:00 PM
A
MERICAN INDEPENDENCE NESTEGG DOW JONES 2020 CLA
S
C 026762658 NEDJX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 1000 25 250 3 4:00 PM

A
MERICAN INDEPENDENCE NESTEGG DOW JONES 2030 CLA
S
C 026762641 NEDVX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 1000 25 250 3 4:00 PM
AMERICAN INDEPENDENCE SHORT TERM BOND CLASS A A 026762401 ISTSX FRONT END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PM
AMERICAN INDEPENDENCE SHORT TERM BOND CLASS C C 026762716 ITBSX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PM
AMERICAN INDEPENDENCE STOCK CLASS A A 026762807 IFCSX FRONT END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PM
AMERICAN INDEPENDENCE STOCK CLASS C C 026762732 ISFSX BACK END NON-NTF 2% < 60 DAYS AMERICAN INDEPENDENCE Y 2000 25 250 3 4:00 PM
AMERICAN TRUST ALLEGIANCE N/A 007989106 ATAFX NO LOAD NON-NTF N/A AMERICAN TRUST Y 2500 250 1000 1 4:00 PM
AMERISTOCK MUTUAL N/A 03071F104 AMSTX NO LOAD NON-NTF N/A AMERISTOCK Y 1000 100 1000 1 4:00 PM
AMF INTERMEDIATE MORTGAGE N/A 045419207 ASCPX NO LOAD NON-NTF N/A AMF Y 10000 1 10000 1 4:00 PM
AMF LARGE CAP EQUITY N/A 045419801 IICAX NO LOAD NON-NTF N/A AMF N 10000 1 10000 1 4:00 PM
AMF SHORT US GOVERNMENT N/A 045419405 ASITX NO LOAD NON-NTF N/A AMF Y 10000 1 10000 1 4:00 PM
AMF ULTRA SHORT N/A 04543R106 AULTX NO LOAD NON-NTF N/A AMF Y 10000 1 10000 1 4:00 PM
AMF ULTRA SHORT MORTGAGE N/A 045419108 ASARX NO LOAD NON-NTF N/A AMF Y 10000 1 10000 1 4:00 PM
AMF US GOVERNMENT MORTGAGE N/A 045419504 ASMTX NO LOAD NON-NTF N/A AMF Y 10000 1 10000 1 4:00 PM
AMIDEX 35 N/A 03152E109 AMDEX NO LOAD NON-NTF 2% < 1 YEAR AMIDEX N 2500 1000 1000 1 4:00 PM
AMIDEX 35 CLASS A A 03152E208 AMDAX FRONT END NON-NTF N/A AMIDEX Y 2500 1000 1000 3 4:00 PM
AMIDEX 35 CLASS C C 03152E307 AMDCX BACK END NON-NTF N/A AMIDEX Y 2500 1000 1000 3 4:00 PM
AMIDEX ISRAEL TECHNOLOGY N/A 03152E406 AMITX NO LOAD NON-NTF 1% < 1 YEAR AMIDEX Y 2500 1000 1000 1 4:00 PM
API EFFICIENT FRONTIER CAPITAL INCOME CLASS A A 028837409 APIGX FRONT END NON-NTF N/A API TRUST Y 1000 100 1000 3 4:00 PM
API EFFICIENT FRONTIER CAPITAL INCOME INSTITUTIONAL INSTL 028837862 AFAAX NO LOAD NON-NTF N/A API TRUST Y 1000 100 1000 3 4:00 PM
API EFFICIENT FRONTIER CORE INCOME CLASS A A 028837805 APIMX FRONT END NON-NTF N/A API TRUST Y 1000 100 1000 3 4:00 PM
API EFFICIENT FRONTIER GROWTH CLASS A A 028837870 AFGGX FRONT END NON-NTF N/A API TRUST Y 1000 100 1000 3 4:00 PM
API EFFICIENT FRONTIER GROWTH CLASS L L 028837102 APITX NO LOAD NON-NTF N/A API TRUST Y 1000 100 1000 3 4:00 PM
API EFFICIENT FRONTIER INCOME CLASS A A 028837888 APIUX FRONT END NON-NTF N/A API TRUST Y 1000 100 1000 3 4:00 PM
API EFFICIENT FRONTIER INCOME CLASS L L 028837847 AFFIX NO LOAD NON-NTF N/A API TRUST Y 1000 100 1000 3 4:00 PM
API EFFICIENT FRONTIER VALUE CLASS A A 028837821 ADVAX FRONT END NON-NTF N/A API TRUST Y 1000 100 1000 3 4:00 PM
API EFFICIENT FRONTIER VALUE CLASS L L 028837607 YCVTX NO LOAD NON-NTF N/A API TRUST Y 1000 100 1000 3 4:00 PM
API EFFICIENT MASTER ALLOCATION CLASS A A 00186Q108 APIFX FRONT END NON-NTF N/A API TRUST Y 1000 100 1000 3 4:00 PM

API EFFICIENT MASTER ALLOCATION CLASS L L 00186Q207 APILX NO LOAD NON-NTF N/A API TRUST Y 1000 100 1000 3 4:00 PM
APPLESEED FUND N/A 90470K370 APPLX NO LOAD NON-NTF 2% < 90 DAYS APPLESEED Y 2000 1 1000 1 4:00 PM
AQR DIVERSIFIED ARBITRAGE CLASS I I 00203H602 ADAIX NO LOAD NON-NTF N/A AQR Y 5000000 1 5000000 1 4:00 PM
AQR DVIERSIFIED ARBITRAGE CLASS N N 00203H107 ADANX NO LOAD NON-NTF N/A AQR Y 1000000 100 1000000 1 4:00 PM
AQR EMERGING DEFENSIVE EQUITY CLASS I I 00203H685 AZEIX NO LOAD NON-NTF N/A AQR Y 5000000 1 5000000 1 4:00 PM
AQR EMERGING DEFENSIVE EQUITY CLASS N N 00203H735 AZENX NO LOAD NON-NTF N/A AQR Y 1000000 1 1000000 1 4:00 PM
AQR GLOBAL EQUITY CLASS N N 00203H206 AQGNX NO LOAD NON-NTF 2% < 60 DAYS AQR Y 1000000 100 1000000 1 4:00 PM
AQR INTERNATIONAL DEFENSIVE EQUITY CLASS I I 00203H693 ANDIX NO LOAD NON-NTF N/A AQR Y 5000000 1 5000000 1 4:00 PM
AQR INTERNATIONAL DEFENSIVE EQUITY CLASS N N 00203H743 ANDNX NO LOAD NON-NTF N/A AQR Y 1000000 1 1000000 1 4:00 PM
AQR INTERNATIONAL EQUITY CLASS N N 00203H404 AQINX NO LOAD NON-NTF 2% < 60 DAYS AQR Y 1000000 100 1000000 1 4:00 PM
AQR MANAGED FUTURES STRATEGY CLASS I I 00203H859 AQMIX NO LOAD NON-NTF 1% < 60 DAYS AQR Y 5000000 1 5000000 1 4:00 PM
AQR MANAGED FUTURES STRATEGY CLASS N N 00203H842 AQMNX NO LOAD NON-NTF 1% < 60 DAYS AQR Y 1000000 100 1000000 1 4:00 PM
AQR MULTI STRATEGY ALTERNATIVE CLASS N N 00203H818 ASANX NO LOAD NON-NTF N/A AQR Y 1000000 1 1000000 1 4:00 PM
AQR RISK BALANCED COMMODITIES STRATEGY CLASS I I 00203H677 ARCIX NO LOAD NON-NTF N/A AQR Y 5000000 1 5000000 1 4:00 PM
AQR RISK BALANCED COMMODITIES STRATEGY CLASS N N 00203H727 ARCNX NO LOAD NON-NTF N/A AQR Y 1000000 1 1000000 1 4:00 PM
AQR RISK BALANCED COMMODITIES STRATEGY LV CLASS I I 00203H651 AQVIX NO LOAD NON-NTF N/A AQR Y 5000000 1 5000000 1 4:00 PM
AQR RISK BALANCED COMMODITIES STRATEGY LV CLASS N N 00203H669 AQVNX NO LOAD NON-NTF N/A AQR Y 1000000 1 1000000 1 4:00 PM
AQR RISK PARITY CLASS I I 00203H826 AQRIX NO LOAD NON-NTF 1% < 60 DAYS AQR N 5000000 1 5000000 1 4:00 PM
AQR RISK PARITY CLASS N N 00203H834 AQRNX NO LOAD NON-NTF 1% < 60 DAYS AQR N 1000000 1 1000000 1 4:00 PM
AQR US DEFENSIVE EQUITY CLASS I I 00203H719 AUEIX NO LOAD NON-NTF N/A AQR Y 5000000 1 5000000 1 4:00 PM
AQR US DEFENSIVE EQUITY CLASS N N 00203H750 AUENX NO LOAD NON-NTF N/A AQR Y 1000000 1 1000000 1 4:00 PM
AQUILA CAPITAL CASH MANAGEMENT (USED FOR A & C) N/A 139856108 CCCXX NO LOAD NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM
AQUILA CHURCHILL TAX FREE FUND OF KENTUCKY CLASS A A 171562101 CHTFX FRONT END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM
AQUILA CHURCHILL TAX FREE FUND OF KENTUCKY CLASS C C 171562309 CHKCX BACK END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM
AQUILA HAWAIIAN TAX FREE TRUST CLASS A A 420016107 HULAX FRONT END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM
AQUILA HAWAIIAN TAX FREE TRUST CLASS C C 420016206 HULCX BACK END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM
A
QUILA NARRAGANSETT INSURED TAX FREE INCOME CLASS
A
A 631013109 NITFX FRONT END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM

A
QUILA NARRAGANSETT INSURED TAX FREE INCOME CLASS
C
C 631013208 NITCX BACK END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM
AQUILA TAX FREE FUND FOR UTAH CLASS A A 87675C104 UTAHX FRONT END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM
AQUILA TAX FREE FUND FOR UTAH CLASS C C 87675C203 UTACX BACK END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM
AQUILA TAX FREE FUND OF COLORADO CLASS A A 876933102 COTFX FRONT END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM
AQUILA TAX FREE FUND OF COLORADO CLASS C C 876933201 COTCX BACK END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM
AQUILA TAX FREE TRUST OF ARIZONA CLASS A A 876931106 AZTFX FRONT END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM
AQUILA TAX FREE TRUST OF ARIZONA CLASS C C 876931304 AZTCX BACK END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM
AQUILA TAX FREE TRUST OF OREGON CLASS A A 876932104 ORTFX FRONT END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM
AQUILA TAX FREE TRUST OF OREGON CLASS C C 876932203 ORTCX BACK END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM
AQUILA THREE PEAKS HIGH INCOME CLASS A A 03841H109 ATPAX FRONT END NON-NTF 1% < 90 DAYS AQUILA Y 1000 1 500 3 4:00 PM
AQUILA THREE PEAKS HIGH INCOME CLASS C C 03841H208 ATPCX BACK END NON-NTF N/A AQUILA Y 1000 1 500 3 4:00 PM
AQUILA THREE PEAKS OPPORTUNITY GROWTH CLASS A A 03839M102 ATGAX FRONT END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM
AQUILA THREE PEAKS OPPORTUNITY GROWTH CLASS C C 03839M201 ATGCX BACK END NON-NTF N/A AQUILA Y 1000 100 1000 3 4:00 PM
LKCM AQUINAS EQUITY GROWTH N/A 501885875 AQEGX NO LOAD NON-NTF N/A AQUINAS Y 500 250 250 1 4:00 PM
LKCM AQUINAS SMALL CAP N/A 501885800 AQBLX NO LOAD NON-NTF N/A AQUINAS Y 500 250 250 1 4:00 PM
LKCM AQUINAS VALUE FUND N/A 501885883 AQEIX NO LOAD NON-NTF N/A AQUINAS Y 500 250 250 1 4:00 PM
ARBITRAGE CLASS I I 03875R205 ARBNX NO LOAD NON-NTF 2% < 90 DAYS ARBITRAGE Y 100000 1 100000 1 4:00 PM
ARBITRAGE CLASS R R 03875R106 ARBFX NO LOAD NON-NTF 2% < 90 DAYS ARBITRAGE Y 2000 1 2000 1 4:00 PM
ARBITRAGE CREDIT OPPORTUNITIES CLASS C C 03875R882 ARCCX BACK END NON-NTF 2% < 60 DAYS ARBITRAGE Y 2000 1 2000 3 4:00 PM
ARBITRAGE CREDIT OPPORTUNITIES CLASS I I 03875R809 ACFIX NO LOAD NON-NTF 2% < 60 DAYS ARBITRAGE Y 100000 1 100000 1 4:00 PM
ARBITRAGE CREDIT OPPORTUNITIES CLASS R R 03875R700 ARCFX NO LOAD NON-NTF 2% < 60 DAYS ARBITRAGE Y 2000 1 2000 1 4:00 PM
ARBITRAGE EVENT DRIVEN CLASS I I 03875R403 AEDNX NO LOAD NON-NTF 2% < 30 DAYS ARBITRAGE Y 100000 1 100000 1 4:00 PM
ARBITRAGE EVENT DRIVEN CLASS R R 03875R304 AEDFX NO LOAD NON-NTF 2% < 30 DAYS ARBITRAGE Y 2000 1 2000 1 4:00 PM
ARIEL APPRECIATION N/A 040337206 CAAPX NO LOAD NON-NTF N/A ARIEL Y 1000 100 1000 1 4:00 PM
ARIEL DISCOVERY N/A 040337800 ARDFX NO LOAD NON-NTF N/A ARIEL Y 1000 100 1000 1 4:00 PM
ARIEL FOCUS N/A 04035F107 ARFFX NO LOAD NON-NTF N/A ARIEL Y 1000 100 1000 1 4:00 PM
ARIEL FUND N/A 040337107 ARGFX NO LOAD NON-NTF N/A ARIEL Y 1000 100 1000 1 4:00 PM

ARISTOTLE SAUL OPPORTUNITY CLASS I I 461418287 ARSOX NO LOAD NON-NTF 1% < 30 DAYS ARISTOTLE Y 500000 25000 500000 1 4:00 PM
ARROW ALTERNATIVE SOLUTIONS INSTITUTIONAL CLASS INSTL 042765305 ASFNX NO LOAD NON-NTF 1% < 30 DAYS ARROW Y 1000000 1 1000000 1 4:00 PM
ARROW ALTERNATIVE STRATEGIES CLASS A A 042765107 ASFFX FRONT END NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM
ARROW ALTERNATIVE STRATEGIES CLASS C C 042765206 ASFTX NO LOAD NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM
ARROW COMMODITY STRATEGY CLASS A A 042765842 CSFFX FRONT END NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM
ARROW COMMODITY STRATEGY CLASS C C 042765834 CSFTX BACK END NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM
ARROW COMMODITY STRATEGY INSTITUTIONAL CLASS INSTL 042765826 CSFNX NO LOAD NON-NTF 1% < 30 DAYS ARROW Y 1000000 1 1000000 1 4:00 PM
ARROW DWA BALANCED CLASS A A 042765404 DWAFX FRONT END NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM
ARROW DWA BALANCED CLASS C C 042765503 DWATX NO LOAD NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM
ARROW DWA BALANCED INSTITUTIONAL CLASS INSTL 042765602 DWANX NO LOAD NON-NTF 1% < 30 DAYS ARROW Y 1000000 1 1000000 1 4:00 PM
ARROW DWA TACTICAL CLASS A A 042765701 DWTFX FRONT END NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM
ARROW DWA TACTICAL CLASS C C 042765800 DWTTX BACK END NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM
ARROW DWA TACTICAL INSTITUTIONAL CLASS INSTL 042765883 DWTNX NO LOAD NON-NTF 1% < 30 DAYS ARROW Y 1000000 1 1000000 1 4:00 PM
ARROW MANAGED FUTURES INSTITUTIONAL CLASS INSTL 042765859 MFTNX NO LOAD NON-NTF 1% < 30 DAYS ARROW Y 1000000 1 1000000 1 4:00 PM
ARROW MANAGED FUTURES TREND CLASS A A 042765875 MFTFX FRONT END NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM
ARROW MANAGED FUTURES TREND CLASS C C 042765867 MFTTX BACK END NON-NTF 1% < 30 DAYS ARROW Y 5000 250 2000 1 4:00 PM
ARTIO GLOBAL EQUITY CLASS A A 04315J605 BJGQX NO LOAD NON-NTF N/A ARTIO Y 1000 1000 100 1 4:00 PM
ARTIO GLOBAL HIGH INCOME CLASS A A 04315J878 BJBHX NO LOAD NON-NTF N/A ARTIO Y 1000 1000 100 1 4:00 PM
ARTIO GLOBAL HIGH INCOME CLASS I I 04315J860 JHYIX NO LOAD NON-NTF N/A ARTIO Y 1000000 1 1000000 1 4:00 PM
9
ARTIO INTERNATIONAL EQUITY CLASS A A 04315J407 BJBIX NO LOAD NON-NTF N/A ARTIO N 1000 1000 100 1 4:00 PM
ARTIO INTERNATIONAL EQUITY CLASS I I 04315J506 JIEIX NO LOAD NON-NTF N/A ARTIO N 1000000 1 1000000 1 4:00 PM
ARTIO INTERNATIONAL EQUITY II CLASS A A 04315J845 JETAX NO LOAD NON-NTF N/A ARTIO Y 1000 1000 100 1 4:00 PM
ARTIO INTERNATIONAL EQUITY II CLASS I I 04315J837 JETIX NO LOAD NON-NTF N/A ARTIO Y 1000000 1 1000000 1 4:00 PM
ARTIO TOTAL RETURN BOND CLASS A A 04315J100 BJBGX NO LOAD NON-NTF N/A ARTIO Y 1000 1000 100 1 4:00 PM
ARTIO TOTAL RETURN CLASS I I 04315J209 JBGIX NO LOAD NON-NTF N/A ARTIO Y 1000000 1 1000000 1 4:00 PM
ASCENDANT BALANCED CLASS A A 66537Y777 ATBAX FRONT END NON-NTF 2% < 30 DAYS ASCENDANT Y 1000 100 1000 1 4:00 PM
ASCENDANT BALANCED CLASS C C 66537Y769 ATBTX BACK END NON-NTF 2% < 30 DAYS ASCENDANT Y 1000 100 1000 1 4:00 PM
ASCENDANT BALANCED CLASS I I 66537Y751 ATBIX NO LOAD NON-NTF 2% < 30 DAYS ASCENDANT Y 1000000 25000 1000000 1 4:00 PM
ASCENDANT MULTI CAP EQUITY CLASS A A 66537Y710 AEQAX FRONT END NON-NTF 2% < 30 DAYS ASCENDANT Y 1000 100 1000 1 4:00 PM

ASCENDANT MULTI CAP EQUITY CLASS C C 66537Y694 AEQCX BACK END NON-NTF 2% < 30 DAYS ASCENDANT Y 1000 100 1000 1 4:00 PM
ASCENDANT MULTI CAP EQUITY CLASS I I 66537Y686 AEQIX NO LOAD NON-NTF 2% < 30 DAYS ASCENDANT Y 1000000 25000 1000000 1 4:00 PM
ASCENDANT NATURAL RESOURCES CLASS A A 66537Y744 NRGAX FRONT END NON-NTF 2% < 30 DAYS ASCENDANT Y 1000 100 1000 1 4:00 PM
ASCENDANT NATURAL RESOURCES CLASS C C 66537Y736 NRGCX BACK END NON-NTF 2% < 30 DAYS ASCENDANT Y 1000 100 1000 1 4:00 PM
ASCENDANT NATURAL RESOURCES CLASS I I 66537Y728 NRGIX NO LOAD NON-NTF 2% < 30 DAYS ASCENDANT Y 1000000 25000 1000000 1 4:00 PM
ASTON ANCHOR CAPITAL ENHANCED EQUITY CLASS I I 00080Y694 AMDSX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM
ASTON ANCHOR CAPITAL ENHANCED EQUITY CLASS N N 00080Y751 AMBEX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTON BARINGS INTERNATIONAL CLASS I I 00080Y785 ABIIX NO LOAD NON-NTF 2% < 90 DAYS ASTON Y 1000000 50 1000000 1 4:00 PM
ASTON BARINGS INTERNATIONAL CLASS N N 00080Y678 ABARX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTON CORNERSTONE LARGE CAP VALUE CLASS I I 00080Y207 AAVIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM
ASTON CORNERSTONE LARGE CAP VALUE CLASS N N 00078H844 RVALX NO LOAD NON-NTF N/A ASTON Y 2000 50 1000 1 4:00 PM
ASTON DOUBLELINE CORE PLUS FIXED INCOME CLASS I I 00080Y553 ADLIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM
ASTON DOUBLELINE CORE PLUS FIXED INCOME CLASS N N 00080Y561 ADBLX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTON DYNAMIC ALLOCATION CLASS I I 00080Y637 ADNAX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM
ASTON DYNAMIC ALLOCATION CLASS N N 00080Y769 ASENX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTON FAIRPOINTE MID CAP CLASS I I 00078H158 ABMIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM
ASTON FAIRPOINTE MID CAP CLASS N N 00078H315 CHTTX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTON HARRISON STREET REAL ESTATE CLASS I I 00080Y108 AARIX NO LOAD NON-NTF 2% < 90 DAYS ASTON Y 1000000 50 1000000 1 4:00 PM
ASTON HARRISON STREET REAL ESTATE CLASS N N 00078H620 ARFCX NO LOAD NON-NTF 2% < 90 DAYS ASTON Y 2500 50 500 1 4:00 PM
ASTON HERNDON LARGE CAP VALUE CLASS N N 00080Y660 AALIX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTON LAKE PARTNERS LASSO ALTERNATIVES CLASS I I 00080Y728 ALSOX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM
ASTON LAKE PARTNERS LASSO ALTERNATIVES CLASS N N 00080Y686 ALSNX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTON MONTAG AND CALDWELL BALANCED CLASS N N 00078H273 MOBAX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTON MONTAG AND CALDWELL GROWTH CLASS N N 00078H299 MCGFX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTON MONTAG AND CALDWELL MID CAP GROWTH CLASS N N 00080Y819 AMCMX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTON MONTAG CALDWELL BALANCE CLASS I I 00078H265 MOBIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM
ASTON MONTAG CALDWELL GROWTH CLASS I I 00078H281 MCGIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM
ASTON RIVER ROAD DIVIDEND ALL CAP VALUE CLASS I I 00080Y876 ARIDX NO LOAD NON-NTF N/A ASTON N 1000000 50 1000000 1 4:00 PM
ASTON RIVER ROAD DIVIDEND ALL CAP VALUE CLASS N N 00078H133 ARDEX NO LOAD NON-NTF N/A ASTON N 2500 50 500 1 4:00 PM
ASTON RIVER ROAD DIVIDEND ALL CAP VALUE II CLASS I I 00080Y512 ADIVX NO LOAD NON-NTF N/A ASTON Y 100000 50 100000 1 4:00 PM

ASTON RIVER ROAD DIVIDEND ALL CAP VALUE II CLASS N N 00080Y496 ADVTX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTON RIVER ROAD INDEPENDENT VALUE CLASS I I 00080Y579 ARVIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM
ASTON RIVER ROAD INDEPENDENT VALUE CLASS N N 00080Y611 ARIVX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTON RIVER ROAD SELECT VALUE CLASS I I 00080Y884 ARIMX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM
ASTON RIVER ROAD SELECT VALUE CLASS N N 00080Y801 ARSMX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTON RIVER ROAD SMALL CAP VALUE CLASS I I 00080Y504 ARSIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM
ASTON RIVER ROAD SMALL CAP VALUE CLASS N N 00078H125 ARSVX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTON SILVERCREST SMALL CAP CLASS I I 00080Y538 ACRTX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM
ASTON SILVERCREST SMALL CAP CLASS N N 00080Y546 ASCTX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTON TAMRO LARGE CAP VALUE CLASS N N 00078H224 ATLVX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTON TAMRO SMALL CAP CLASS I I 00078H141 ATSIX NO LOAD NON-NTF N/A ASTON N 1000000 50 1000000 1 4:00 PM
ASTON TAMRO SMALL CAP CLASS N N 00078H216 ATASX NO LOAD NON-NTF N/A ASTON N 2500 50 500 1 4:00 PM
ASTON TCH FIXED INCOME CLASS I I 00078H331 CTBIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM
ASTON TCH FIXED INCOME CLASS N N 00078H323 CHTBX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTON VEREDUS SELECT GROWTH CLASS I I 00080Y405 AVISX NO LOAD NON-NTF N/A ASTON N 1000000 50 1000000 1 4:00 PM
ASTON VEREDUS SELECT GROWTH CLASS N N 00078H489 AVSGX NO LOAD NON-NTF N/A ASTON N 2500 50 500 1 4:00 PM
ASTON VEREDUS SMALL CAP GROWTH CLASS I I 00078H240 AVEIX NO LOAD NON-NTF N/A ASTON Y 1000000 50 1000000 1 4:00 PM
ASTON VEREDUS SMALL CAP GROWTH CLASS N N 00078H257 VERDX NO LOAD NON-NTF N/A ASTON Y 2500 50 500 1 4:00 PM
ASTOR ACTIVE INCOME ETF CLASS A A 66537Y884 AXAIX FRONT END NON-NTF N/A ASTOR Y 5000 100 1000 1 4:00 PM
ASTOR ACTIVE INCOME ETF CLASS C C 66537Y868 CXAIX BACK END NON-NTF N/A ASTOR Y 5000 100 1000 1 4:00 PM
ASTOR LONG SHORT ETF CLASS A A 66537X514 ASTLX FRONT END NON-NTF N/A ASTOR Y 5000 100 1000 1 4:00 PM
ASTOR LONG SHORT ETF CLASS C C 66537V641 ASTZX BACK END NON-NTF N/A ASTOR Y 5000 100 1000 1 4:00 PM
ASTOR LONG SHORT ETF CLASS I I 66537V732 ASTIX NO LOAD NON-NTF N/A ASTOR Y 50000 100 1000 1 4:00 PM
ASTOR LONG SHORT ETF CLASS R R 66537V724 ASTRX NO LOAD NON-NTF N/A ASTOR Y 5000 100 1000 1 4:00 PM
ASTOR STAR ETF CLASS A FEATURING ALPHA DEX A 66537Y835 ASPGX FRONT END NON-NTF N/A ASTOR Y 5000 100 1000 1 4:00 PM
ASTOR STAR ETF CLASS C FEATURING ALPHA DEX C 66537Y819 CSPGX BACK END NON-NTF N/A ASTOR Y 5000 100 1000 1 4:00 PM
AUER GROWTH FUND N/A 90470K248 AUERX NO LOAD NON-NTF 2% < 90 DAYS AUER Y 10000 1 4000 1 4:00 PM
BAIRD AGGRAGATE BOND INSTITUTIONAL INSTL 057071854 BAGIX NO LOAD NON-NTF N/A BAIRD Y 25000 1 25000 1 4:00 PM
BAIRD AGGRAGATE BOND INVESTOR INVESTOR 057071862 BAGSX NO LOAD NON-NTF N/A BAIRD Y 2500 100 1000 1 4:00 PM
BAIRD CORE PLUS BOND INVESTOR INVESTOR 057071888 BCOSX NO LOAD NON-NTF N/A BAIRD Y 2500 100 1000 1 4:00 PM

BAIRD INTERMEDIATE BOND INSTITUTIONAL INSTL 057071805 BIMIX NO LOAD NON-NTF N/A BAIRD Y 25000 1 25000 1 4:00 PM
BAIRD INTERMEDIATE BOND INVESTOR INVESTOR 057071706 BIMSX NO LOAD NON-NTF N/A BAIRD Y 2500 100 1000 1 4:00 PM
BAIRD INTERMEDIATE MUNICIPAL BOND INSTITUTIONAL INSTL 057071607 BMBIX NO LOAD NON-NTF N/A BAIRD Y 25000 1 25000 1 4:00 PM
BAIRD INTERMEDIATE MUNICIPAL BOND INVESTOR INVESTOR 057071508 BMBSX NO LOAD NON-NTF N/A BAIRD Y 2500 100 1000 1 4:00 PM
BARON ASSET INSTITUTIONAL INSTL 068278605 BARIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM
BARON ASSET RETAIL RETAIL 068278100 BARAX NO LOAD NON-NTF N/A BARON Y 2000 50 1 1 4:00 PM
BARON FIFTH AVENUE GROWTH INSTITUTIONAL INSTL 068278878 BFTIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM
BARON FIFTH AVENUE GROWTH RETAIL RETAIL 068278506 BFTHX NO LOAD NON-NTF N/A BARON Y 2000 500 2000 1 4:00 PM
BARON GROWTH INSTITUTIONAL INSTL 068278704 BGRIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM
BARON GROWTH RETAIL RETAIL 068278209 BGRFX NO LOAD NON-NTF N/A BARON Y 2000 50 1 1 4:00 PM
BARON INTERNATIONAL GROWTH INSTITUTIONAL INSTL 06828M603 BINIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM
BARON INTERNATIONAL GROWTH RETAIL RETAIL 06828M306 BIGFX NO LOAD NON-NTF N/A BARON Y 2500 500 2500 1 4:00 PM
BARON IOPPORTUNITY INSTITUTIONAL INSTL 068278886 BIOIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM
BARON IOPPORTUNITY RETAIL RETAIL 068278407 BIOPX NO LOAD NON-NTF N/A BARON Y 2000 50 1 1 4:00 PM
BARON PARTNERS INSTITUTIONAL INSTL 06828M405 BPTIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM
BARON PARTNERS RETAIL RETAIL 06828M108 BPTRX NO LOAD NON-NTF N/A BARON Y 2000 50 500 1 4:00 PM
BARON REAL ESTATE INSTITUTIONAL INSTL 06828M801 BREIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM
BARON RETIREMENT INCOME INSTITUTIONAL INSTL 06828M504 BRRIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM
BARON SMALL CAP INSTITUTIONAL INSTL 068278803 BSFIX NO LOAD NON-NTF N/A BARON Y 1000000 1 1000000 1 4:00 PM
BARON SMALL CAP RETAIL RETAIL 068278308 BSCFX NO LOAD NON-NTF N/A BARON Y 2000 50 1 1 4:00 PM
BARRETT GROWTH N/A 89833W469 BGRWX NO LOAD NON-NTF N/A BARRETT GROWTH Y 2500 50 1000 1 4:00 PM
BARRETT OPPORTUNITY N/A 06847P108 SAOPX NO LOAD NON-NTF N/A BARRETT OPPORTUNITY Y 1000 100 250 1 4:00 PM
BBH CORE SELECT CLASS N N 05528X604 BBTEX NO LOAD NON-NTF 2% < 30 DAYS BBH N 5000 250 5000 1 4:00 PM
BBH CORE SELECT RETAIL CLASS RETAIL 05528X828 BBTRX NO LOAD NON-NTF 2% < 30 DAYS BBH N 5000 250 5000 1 4:00 PM
BEARLY BULLISH INVESTOR CLASS INVESTOR 461418493 BRBLX NO LOAD NON-NTF 1% < 90 DAYS BEARLY BULLISH Y 1000 1 500 1 4:00 PM
BECKER VALUE EQUITY N/A 74316J516 BVEFX NO LOAD NON-NTF 1% < 30 DAYS BECKER Y 2500 100 2500 3 4:00 PM
BERKSHIRE FOCUS N/A 084649102 BFOCX NO LOAD NON-NTF N/A BERKSHIRE Y 5000 500 2000 1 4:00 PM
BERNZOTT US SMALL CAP VALUE N/A 461418220 BSCVX NO LOAD NON-NTF 2% < 30 DAYS BERNZOTT Y 25000 5000 10000 1 4:00 PM
BERWYN CORNERSTONE N/A 086233301 BERCX NO LOAD NON-NTF 1% < 6 MONTHS BERWYN Y 3000 250 1000 1 4:00 PM
BERWYN FUND N/A 086233103 BERWX NO LOAD NON-NTF 1% < 6 MONTHS BERWYN Y 3000 250 1000 1 4:00 PM

BERWYN INCOME N/A 086233202 BERIX NO LOAD NON-NTF 1% < 6 MONTHS BERWYN Y 3000 250 1000 1 4:00 PM
BIONDO FOCUS N/A 66537V633 BFONX NO LOAD NON-NTF 2% < 30 DAYS BIONDO Y 1000 100 500 1 4:00 PM
BIONDO GROWTH N/A 66537T604 BIONX NO LOAD NON-NTF 2% < 30 DAYS BIONDO Y 1000 100 500 1 4:00 PM
BLACKROCK AGGRESSIVE PREPARED CLASS A A 09256H799 BAAPX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK AGGRESSIVE PREPARED CLASS C C 09256H781 BCAPX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK AGGRESSIVE PREPARED CLASS I I 09256H690 BIAPX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK ALL CAP ENERGY AND RESOURCES CLASS A A 091937334 BACAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK ALL CAP ENERGY AND RESOURCES CLASS B B 091937326 BACBX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK ALL CAP ENERGY AND RESOURCES CLASS C C 091937318 BACCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK ALL CAP ENERGY AND RESOURCES CLASS I I 091937284 BACIX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK ALL CAP ENERGY AND RESOURCES SERVICE CL
A
SERVICE 091937292 BACSX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM
BLACKROCK BALANCED CAPITAL CLASS A A 09251C100 MDCPX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK BALANCED CAPITAL CLASS B B 09251C209 MBCPX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK BALANCED CAPITAL CLASS C C 09251C308 MCCPX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK BALANCED CAPITAL CLASS I I 09251C506 MACPX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK BASIC VALUE CLASS A A 09251G101 MDBAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK BASIC VALUE CLASS B B 09251G200 MBBAX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK BASIC VALUE CLASS C C 09251G309 MCBAX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK BASIC VALUE CLASS I I 09251G507 MABAX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK CALIFORNIA MUNICIPAL BOND CLASS B B 09252Y309 MBCMX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK CALIFORNIA MUNICIPAL BOND CLASS C1 C1 09252Y507 MCCMX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK CALIFORNIA MUNICIPAL BOND CLASS I I 09252Y606 MACMX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
10
BLACKROCK CAPITAL APPRECIATION BLACKROCK CLASS BLACKROCK 09251R602 BFGBX NO LOAD NON-NTF N/A BLACKROCK Y 5000000 1 5000000 1 4:00 PM
BLACKROCK CAPITAL APPRECIATION CLASS A A 09251R107 MDFGX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK CAPITAL APPRECIATION CLASS B B 09251R206 MBFGX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK CAPITAL APPRECIATION CLASS C C 09251R305 MCFGX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK CHINA CLASS A A 091936872 BACHX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM

BLACKROCK CHINA CLASS C C 091936864 BCCHX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK CHINA CLASS I I 091936856 BICHX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 50 2000000 1 4:00 PM
BLACKROCK COMMODITY STRATEGIES CLASS A A 091936682 BCSAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK COMMODITY STRATEGIES CLASS C C 091936674 BCSCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK COMMODITY STRATEGIES CLASS I I 091936666 BICSX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK CONSERVATIVE PREPARED CLASS A A 091937177 BACPX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK CONSERVATIVE PREPARED CLASS C C 091937169 BCCPX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK CONSERVATIVE PREPARED CLASS I I 09256H765 BICPX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK CORE BOND CLASS A A 091928721 BCBAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK CORE BOND CLASS B B 091928713 BCIBX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK CORE BOND CLASS C C 091928697 BCBCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK CORE BOND CLASS I I 091928747 BFMCX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 50 2000000 1 4:00 PM
BLACKROCK CORE BOND SERVICE CLASS SERVICE 091928739 CMCBX NO LOAD NON-NTF N/A BLACKROCK N 5000 1 5000 1 4:00 PM
BLACKROCK EMERGING MARKET LOCAL DEBT CLASS A A 09256H278 BAEDX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK EMERGING MARKET LOCAL DEBT CLASS C C 09256H369 BCEDX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK EMERGING MARKET LOCAL DEBT CLASS I I 09256H260 BEDIX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK EMERGING MARKETS CLASS A A 09251J105 MDDCX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK EMERGING MARKETS CLASS B B 09251J204 MBDCX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK EMERGING MARKETS CLASS C C 09251J303 MCDCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK EMERGING MARKETS CLASS I I 09251J402 MADCX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK EMERGING MARKETS LONG SHORT EQUITY CLA
S
A 091936724 BLSAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK EMERGING MARKETS LONG SHORT EQUITY CLA
S
C 091936716 BLSCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK EMERGING MARKETS LONG SHORT EQUITY CLA
S
I 091936690 BLSIX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK ENERGY AND RESOURCES CLASS A A 091937524 SSGRX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM

BLACKROCK ENERGY AND RESOURCES CLASS B B 091937516 SSGPX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK ENERGY AND RESOURCES CLASS C C 091937490 SSGDX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK ENERGY AND RESOURCES CLASS I I 091937532 SGLSX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 50 2000000 1 4:00 PM
BLACKROCK EQUITY DIVIDEND CLASS A A 09251M108 MDDVX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK EQUITY DIVIDEND CLASS B B 09251M207 MBDVX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK EQUITY DIVIDEND CLASS C C 09251M306 MCDVX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK EQUITY DIVIDEND CLASS I I 09251M504 MADVX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK EQUITY DIVIDEND CLASS R R 09251M405 MRDVX NO LOAD NON-NTF N/A BLACKROCK N 100 1 1 1 4:00 PM
BLACKROCK EUROFUND CLASS A A 09251N106 MDEFX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK EUROFUND CLASS B B 09251N205 MBEFX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK EUROFUND CLASS C C 09251N304 MCEFX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK EUROFUND CLASS I I 09251N502 MAEFX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK FLEXIBLE EQUITY CLASS A A 091928788 BMCAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK FLEXIBLE EQUITY CLASS B B 091928770 BMCVX BACK END NON-NTF NA BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK FLEXIBLE EQUITY CLASS C C 091928762 BMCCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK FLEXIBLE EQUITY CLASS I I 091928812 CMVIX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 50 2000000 1 4:00 PM
BLACKROCK FLEXIBLE EQUITY SERVICE CLASS SERVICE 091928796 CMVSX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM
BLACKROCK FLOATING RATE INCOME CLASS A A 09256H211 BFRAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK FLOATING RATE INCOME CLASS C C 09256H195 BFRCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK FLOATING RATE INCOME CLASS C1 C1 09256H179 BFRPX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK FLOATING RATE INCOME CLASS I I 09256H187 BFRIX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK FOCUS GROWTH CLASS A A 09251P101 MDFOX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK FOCUS GROWTH CLASS B B 09251P200 MBFOX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK FOCUS GROWTH CLASS C C 09251P309 MCFOX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK FOCUS GROWTH CLASS I I 09251P408 MAFOX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK FUNDAMENTAL GROWTH CLASS I I 09251R503 MAFGX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK GLOBAL ALLOCATION CLASS A A 09251T103 MDLOX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK GLOBAL ALLOCATION CLASS B B 09251T202 MBLOX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK GLOBAL ALLOCATION CLASS C C 09251T301 MCLOX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK GLOBAL ALLOCATION CLASS I I 09251T509 MALOX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM

BLACKROCK GLOBAL DIVIDEND INCOME CLASS A A 09256H385 BABDX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK GLOBAL DIVIDEND INCOME CLASS C C 09256H377 BCBDX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK GLOBAL DIVIDEND INCOME CLASS I I 09256H328 BIBDX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK GLOBAL LONG SHORT CREDIT CLASS A A 091936757 BGCAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK GLOBAL LONG SHORT CREDIT CLASS C C 091936740 BGCCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK GLOBAL LONG SHORT CREDIT CLASS I I 091936732 BGCIX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK GLOBAL OPPORTUNITIES CLASS A A 091937243 BROAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK GLOBAL OPPORTUNITIES CLASS B B 091937235 BROBX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK GLOBAL OPPORTUNITIES CLASS C C 091937227 BROCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK GLOBAL OPPORTUNITIES CLASS I I 091937268 BROIX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 50 2000000 1 4:00 PM
BLACKROCK GLOBAL SMALL CAP CLASS A A 09252A103 MDGCX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK GLOBAL SMALL CAP CLASS B B 09252A202 MBGCX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK GLOBAL SMALL CAP CLASS C C 09252A301 MCGCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK GLOBAL SMALL CAP CLASS I I 09252A509 MAGCX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK GNMA CLASS A A 091929745 BGPAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK GNMA CLASS B B 091929737 BGPBX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK GNMA CLASS C C 091929729 BGPCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK GNMA CLASS I I 091929695 BGNIX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK GNMA SERVICE CLASS SERVICE 091929711 BGPSX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM
BLACKROCK GROWTH PREPARED CLASS A A 091937136 BAGPX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK GROWTH PREPARED CLASS C C 091937128 BCGPX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK GROWTH PREPARED CLASS I I 09256H724 BIGPX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK HEALTH SCIENCES OPPORTUNITIES CLASS A A 091937573 SHSAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK HEALTH SCIENCES OPPORTUNITIES CLASS B B 091937565 SHSPX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK HEALTH SCIENCES OPPORTUNITIES CLASS C C 091937557 SHSCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK HEALTH SCIENCES OPPORTUNITIES CLASS I I 091937540 SHSSX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK HEALTH SCIENCES OPPORTUNITIES SERVICE C
L
SERVICE 091937359 SHISX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM
BLACKROCK HIGH YIELD BOND CLASS A A 091929679 BHYAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM

BLACKROCK HIGH YIELD BOND CLASS B B 091929661 BHYBX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK HIGH YIELD BOND CLASS B1 B1 09256H302 BHYDX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK HIGH YIELD BOND CLASS C C 091929653 BHYCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK HIGH YIELD BOND CLASS C1 C1 09256H401 BHYEX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK HIGH YIELD BOND CLASS I I 091929638 BHYIX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK HIGH YIELD BOND CLASS R R 09256H500 BHYRX NO LOAD NON-NTF N/A BLACKROCK Y 100 1 1 1 4:00 PM
BLACKROCK HIGH YIELD BOND SERVICE CLASS SERVICE 091929646 BHYSX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM
BLACKROCK HIGH YIELD MUNICIPAL CLASS A A 09253C785 MDYHX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK INDEX EQUITY CLASS A A 091927657 CIEAX FRONT END NON-NTF N/A BLACKROCK N 1000 50 1000 1 4:00 PM
BLACKROCK INDEX EQUITY CLASS B B 091927640 CIEBX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 1 4:00 PM
BLACKROCK INDEX EQUITY CLASS C C 091927632 CIECX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 1 4:00 PM
BLACKROCK INDEX EQUITY SERVICE CLASS SERVICE 091927665 PNESX NO LOAD NON-NTF N/A BLACKROCK N 5000 1 5000 1 4:00 PM
BLACKROCK INDIA CLASS A A 091936849 BAINX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK INDIA CLASS C C 091936831 BCINX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK INDIA CLASS I I 091936823 BIINX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 50 2000000 1 4:00 PM
BLACKROCK INFLATION PROTECTED BOND BLACKROCK CLA
S
BLACKROCK 091937755 BPLBX NO LOAD NON-NTF N/A BLACKROCK Y 5000000 1 5000000 1 4:00 PM
BLACKROCK INFLATION PROTECTED BOND CLASS A A 091937722 BPRAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK INFLATION PROTECTED BOND CLASS B B 091937714 BPIBX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK INFLATION PROTECTED BOND CLASS C C 091937698 BPRCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK INFLATION PROTECTED BOND SERVICE CLASS SERVICE 091937730 BPRSX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM
BLACKROCK INFLATION PROTECTED CLASS I I 091937748 BPRIX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 50 2000000 1 4:00 PM
BLACKROCK INTERMEDIATE MUNICIPAL CLASS A A 09253E104 MEMTX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK INTERMEDIATE MUNICIPAL CLASS B B 09253E302 MBMTX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK INTERMEDIATE MUNICIPAL CLASS I I 09253E609 MAMTX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK INTERNATIONAL BOND CLASS A A 091928432 BIIAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK INTERNATIONAL BOND CLASS B B 091928424 BIIBX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK INTERNATIONAL BOND CLASS C C 091928416 BIBCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK INTERNATIONAL BOND SERVICE CLASS SERVICE 091928440 CIFIX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM

BLACKROCK INTERNATIONAL CLASS A A 09248G107 MDILX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK INTERNATIONAL CLASS B B 09248G206 MBILX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK INTERNATIONAL CLASS C C 09248G305 MCILX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK INTERNATIONAL CLASS I I 09248G404 MAILX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK INTERNATIONAL INDEX CLASS A A 09253F309 MDIIX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 1 4:00 PM
BLACKROCK INTERNATIONAL INDEX CLASS I B 09253F408 MAIIX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK INTERNATIONAL OPPORTUNITIES CLASS A A 091929307 BREAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
11
BLACKROCK INTERNATIONAL OPPORTUNITIES CLASS B B 091929406 BREBX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK INTERNATIONAL OPPORTUNITIES CLASS C C 091929505 BRECX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK INTERNATIONAL OPPORTUNITIES CLASS I I 091929109 BISIX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK INTERNATIONAL OPPORTUNITIES SERVICE CLA
S
SERVICE 091929208 BRESX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM
BLACKROCK LARGE CAP CORE CLASS A A 09250J106 MDLRX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK LARGE CAP CORE CLASS B B 09250J205 MBLRX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK LARGE CAP CORE CLASS C C 09250J304 MCLRX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK LARGE CAP CORE CLASS I I 09250J502 MALRX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK LARGE CAP CORE PLUS CLASS A A 09250J759 BALPX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK LARGE CAP CORE PLUS CLASS C C 09250J742 BCLPX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK LARGE CAP GROWTH CLASS A A 09250J601 MDLHX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK LARGE CAP GROWTH CLASS B B 09250J700 MBLHX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK LARGE CAP GROWTH CLASS C C 09250J809 MCLHX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK LARGE CAP GROWTH CLASS I I 09250J874 MALHX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK LARGE CAP GROWTH CLASS R R 09250J882 MRLHX NO LOAD NON-NTF N/A BLACKROCK Y 100 1 1 1 4:00 PM
BLACKROCK LARGE CAP GROWTH RETIREMENT CLASS K K 09250J783 MKLHX NO LOAD NON-NTF N/A BLACKROCK Y 1 1 1 1 4:00 PM
BLACKROCK LARGE CAP VALUE CLASS A A 09250J858 MDLVX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK LARGE CAP VALUE CLASS B B 09250J841 MBLVX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK LARGE CAP VALUE CLASS C C 09250J833 MCLVX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK LARGE CAP VALUE CLASS I I 09250J817 MALVX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM

BLACKROCK LARGE CAP VALUE CLASS R R 09250J825 MRLVX NO LOAD NON-NTF N/A BLACKROCK Y 100 1 1 1 4:00 PM
BLACKROCK LARGE CAP VALUE SERVICE CLASS SERVICE 09250J791 MSLVX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM
BLACKROCK LATIN AMERICA CLASS A A 09250X105 MDLTX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK LATIN AMERICA CLASS B B 09250X204 MBLTX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK LATIN AMERICA CLASS C C 09250X303 MCLTX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK LATIN AMERICA CLASS I I 09250X402 MALTX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK LIFEPATH 2025 CLASS A A 066922352 LPBAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK LIFEPATH 2025 CLASS C C 066922345 LPBCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK LIFEPATH 2025 CLASS I I 066922311 LPBIX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK LIFEPATH ACTIVE PREPARED PORTFOLIO 2015
C
A 09256H641 BAPBX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK LIFEPATH ACTIVE PREPARED PORTFOLIO 2015
C
K 09256H658 BIPBX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK LIFEPATH ACTIVE PREPARED PORTFOLIO 2020
C
A 09256H617 BAPCX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK LIFEPATH ACTIVE PREPARED PORTFOLIO 2020
C
K 09256H625 BIPCX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK LIFEPATH ACTIVE PREPARED PORTFOLIO 2025
C
A 09256H575 BAPDX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK LIFEPATH ACTIVE PREPARED PORTFOLIO 2025
C
K 09256H583 BIPDX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK LIFEPATH ACTIVE PREPARED PORTFOLIO 2030
C
A 09256H542 BAPEX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM

BLACKROCK LIFEPATH ACTIVE PREPARED PORTFOLIO 2030
C
K 09256H559 BIPEX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK LIFEPATH ACTIVE PREPARED PORTFOLIO 2035
C
A 09256H518 BAPGX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK LIFEPATH ACTIVE PREPARED PORTFOLIO 2035
C
K 09256H526 BIPGX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK LIFEPATH ACTIVE PREPARED PORTFOLIO 2040
C
A 09256H476 BAPHX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK LIFEPATH ACTIVE PREPARED PORTFOLIO 2040
C
K 09256H484 BIPHX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK LIFEPATH ACTIVE PREPARED PORTFOLIO 2045
C
A 09256H443 BAPJX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK LIFEPATH ACTIVE PREPARED PORTFOLIO 2045
C
K 09256H450 BIPJX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK LIFEPATH ACTIVE PREPARED PORTFOLIO 2050
C
A 09256H419 BAPKX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK LIFEPATH ACTIVE PREPARED PORTFOLIO 2050
C
K 09256H427 BIPKX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK LONG DURATION BOND CLASS A A 091937219 BLADX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK LONG HORIZON EQUITY CLASS A A 09251W106 MDEGX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK LONG HORIZON EQUITY CLASS B B 09251W205 MBEGX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM

BLACKROCK LONG HORIZON EQUITY CLASS C C 09251W304 MCEGX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK LONG HORIZON EQUITY CLASS I I 09251W403 MAEGX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK LOW DURATION BOND CLASS A A 091928267 BLDAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK LOW DURATION BOND CLASS B B 091928259 BLDBX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK LOW DURATION BOND CLASS C C 091928242 BLDCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK LOW DURATION BOND CLASS C2 C2 09256H815 CLDCX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK LOW DURATION BOND SERVICE CLASS SERVICE 091928275 CMGBX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM
BLACKROCK LOW DURATION CLASS B3 B3 09256H138 BLDGX BACK END NON-NTF N/A BLACKROCK N 1 1 1 3 4:00 PM
BLACKROCK MANAGED VOLATILITY CLASS A A 091927822 PCBAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK MANAGED VOLATILITY CLASS B B 091927814 CBIBX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK MANAGED VOLATILITY CLASS C C 091927798 BRBCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK MANAGED VOLATILITY SERVICE CLASS SERVICE 091927830 PCBSX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM
BLACKROCK MID CAP GROWTH EQUITY CLASS A A 091928846 BMGAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK MID CAP GROWTH EQUITY CLASS B B 091928838 BMGBX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK MID CAP GROWTH EQUITY CLASS C C 091928820 BMGCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK MID CAP GROWTH EQUITY SERVICE CLASS SERVICE 091928853 CMGSX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM
BLACKROCK MID CAP VALUE OPPORTUNITIES CLASS A A 09255V104 MDRFX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK MID CAP VALUE OPPORTUNITIES CLASS B B 09255V203 MBRFX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK MID CAP VALUE OPPORTUNITIES CLASS C C 09255V302 MCRFX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK MID CAP VALUE OPPORTUNITIES CLASS I I 09255V500 MARFX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK MODERATE PREPARED CLASS A A 091937151 BAMPX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK MODERATE PREPARED CLASS C C 091937144 BCMPX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK MODERATE PREPARED CLASS I I 09256H740 BIMPX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK MONEY MARKET PORTFOLIO CLASS A A 091927301 PINXX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK MONEY MARKET PORTFOLIO CLASS B B 091927400 CIBXX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK MONEY MARKET PORTFOLIO CLASS C C 091927509 BMCXX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK MONEY MARKET PORTFOLIO SERVICE CLASS SERVICE 091927202 PNPXX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM
BLACKROCK MUNICIPAL MONEY MARKET CLASS A A 091927152 CPAXX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 1 4:00 PM
BLACKROCK NATIONAL MUNICIPAL CLASS A A 09253C603 MDNLX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK NATIONAL MUNICIPAL CLASS B B 09253C702 MBNLX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM

BLACKROCK NATIONAL MUNICIPAL CLASS C C 09253C801 MFNLX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK NATIONAL MUNICIPAL CLASS C1 C1 09253C884 MCNLX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK NATIONAL MUNICIPAL CLASS I I 09253C876 MANLX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK NATURAL RESOURCES TRUST CLASS A A 09252H108 MDGRX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK NATURAL RESOURCES TRUST CLASS B B 09252H207 MBGRX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK NATURAL RESOURCES TRUST CLASS C C 09252H306 MCGRX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK NATURAL RESOURCES TRUST CLASS I I 09252H405 MAGRX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK NEW JERSEY MUNICIPAL BOND CLASS A A 09253A706 MENJX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1 3 4:00 PM
BLACKROCK NEW JERSEY MUNICIPAL BOND CLASS B1 B1 09253A870 MBNJX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK NEW JERSEY MUNICIPAL BOND CLASS C1 C1 09253A854 MCNJX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK NEW JERSEY MUNICIPAL BOND CLASS I I 09253A847 MANJX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK NEW JERSEY MUNICIPAL BOND SERVICE CLASS SERVICE 09253A839 MSNJX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM
BLACKROCK NEW YORK MUNICIPAL BOND CLASS B B 09253A797 MBNKX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK NEW YORK MUNICIPAL BOND CLASS C1 C1 09253A771 MCNKX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK NEW YORK MUNICIPAL BOND CLASS I I 09253A763 MANKX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK PACIFIC CLASS A A 09252J104 MDPCX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK PACIFIC CLASS B B 09252J203 MBPCX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK PACIFIC CLASS C C 09252J302 MCPCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK PACIFIC CLASS I I 09252J500 MAPCX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK PENNSYLVANIA MUNICIPAL BOND CLASS B1 B1 09253A722 MBPYX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK PENNSYLVANIA MUNICIPAL BOND CLASS C1 C1 09253A698 MCPYX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK PENNSYLVANIA MUNICIPAL BOND CLASS I I 09253A680 MAPYX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK PENNSYLVANIA MUNICIPAL CLASS A A 09253A755 MEPYX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK S&P 500 INDEX CLASS A A 09253F507 MDSRX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 1 4:00 PM
BLACKROCK S&P 500 INDEX CLASS I I 09253F606 MASRX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK SCIENCE AND TECHNOLOGY OPPORTUNITIES C
L
A 091929570 BGSAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK SCIENCE AND TECHNOLOGY OPPORTUNITIES C
L

B 091929588 BGSBX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK SCIENCE AND TECHNOLOGY OPPORTUNITIES C
L
C 091929596 BGSCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK SCIENCE AND TECHNOLOGY OPPORTUNITIES S
E
SERVICE 091929620 BSTSX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM
BLACKROCK SECURED CREDIT CLASS A A 09256H245 BMSAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK SECURED CREDIT CLASS C C 09256H237 BMSCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK SHORT TERM MUNICIPAL CLASS B B 09253C843 MBLMX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK SHORT TERM MUNICIPAL CLASS I I 09253C819 MALMX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK SMALL CAP GROWTH EQUITY CLASS A A 091928309 CSGEX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK SMALL CAP GROWTH EQUITY CLASS B B 091928408 CSGBX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK SMALL CAP GROWTH EQUITY CLASS C C 091928507 CGICX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK SMALL CAP GROWTH EQUITY CLASS I I 091928101 PSGIX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 50 2000000 1 4:00 PM
BLACKROCK SMALL CAP GROWTH EQUITY SERVICE CLASS SERVICE 091928200 PCGEX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM
BLACKROCK SMALL CAP GROWTH II CLASS A A 09253J103 MDSWX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK SMALL CAP GROWTH II CLASS B B 09253J202 MBSWX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK SMALL CAP GROWTH II CLASS C C 09253J301 MCSWX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK SMALL CAP GROWTH II CLASS I I 09253J509 MASWX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK SMALL CAP INDEX CLASS A A 09253F705 MDSKX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 1 4:00 PM
BLACKROCK SMALL CAP INDEX CLASS I I 09253F804 MASKX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
12
BLACKROCK STRATEGIC INCOME OPPORTUNITIES CLASS A A 09256H310 BASIX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK STRATEGIC INCOME OPPORTUNITIES CLASS C C 09256H294 BSICX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK STRATEGIC INCOME OPPORTUNITIES CLASS I I 09256H286 BSIIX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK SUMMIT CASH RESERVES CLASS B B 09253V205 MSBXX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK SUMMIT CASH RESERVES CLASS I I 998909SR7 MSAXX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK TOTAL RETURN CLASS A A 09252M107 MDHQX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK TOTAL RETURN CLASS B B 09252M305 MBHQX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM

BLACKROCK TOTAL RETURN CLASS B1 B1 09252M404 MGHQX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK TOTAL RETURN CLASS C C 09252M503 MFHQX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK TOTAL RETURN CLASS C1 C1 09252M602 MCHQX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK TOTAL RETURN CLASS C2 C2 09252M701 MHHQX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK TOTAL RETURN CLASS I I 09252M883 MAHQX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK TOTAL RETURN CLASS R R 09252M800 MRCBX NO LOAD NON-NTF N/A BLACKROCK Y 100 1 1 1 4:00 PM
BLACKROCK US GOVERNMENT BOND CLASS A A 091928549 CIGAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK US GOVERNMENT BOND CLASS B B 091928531 BIGBX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK US GOVERNMENT BOND CLASS C C 091928523 BIGCX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK US GOVERNMENT BOND CLASS I I 091928564 PNIGX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 50 2000000 1 4:00 PM
BLACKROCK US GOVERNMENT BOND SERVICE CLASS SERVICE 091928556 PIGSX NO LOAD NON-NTF N/A BLACKROCK Y 5000 1 5000 1 4:00 PM
BLACKROCK US OPPORTUNITIES CLASS A A 091929810 BMEAX FRONT END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK US OPPORTUNITIES CLASS B B 091929794 BRMBX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK US OPPORTUNITIES CLASS C C 091929786 BMECX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK US OPPORTUNITIES CLASS I I 091929760 BMCIX NO LOAD NON-NTF N/A BLACKROCK N 2000000 1 2000000 1 4:00 PM
BLACKROCK US OPPORTUNITIES SERVICE CLASS SERVICE 091929778 BMCSX NO LOAD NON-NTF N/A BLACKROCK N 5000 1 5000 1 4:00 PM
BLACKROCK US TREASURY MONEY MARKET CLASS A A 091927376 CUAXX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 1 4:00 PM
BLACKROCK VALUE OPPORTINITIES CLASS A A 09252L109 MDSPX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK VALUE OPPORTINITIES CLASS B B 09252L208 MBSPX BACK END NON-NTF N/A BLACKROCK N 1000 50 100 3 4:00 PM
BLACKROCK VALUE OPPORTINITIES CLASS C C 09252L307 MCSPX BACK END NON-NTF N/A BLACKROCK Y 1000 50 100 3 4:00 PM
BLACKROCK VALUE OPPORTINITIES CLASS I I 09252L505 MASPX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BLACKROCK WORLD GOLD CLASS A A 091936609 BWGAX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK WORLD INCOME CLASS A A 09252X103 MDWIX FRONT END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK WORLD INCOME CLASS B B 09252X202 MBWIX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK WORLD INCOME CLASS C C 09252X301 MHWIX BACK END NON-NTF N/A BLACKROCK Y 1000 50 1000 3 4:00 PM
BLACKROCK WORLD INCOME CLASS C1 C1 09252X400 MCWIX BACK END NON-NTF N/A BLACKROCK N 1000 50 1000 3 4:00 PM
BLACKROCK WORLD INCOME CLASS I I 09252X509 MAWIX NO LOAD NON-NTF N/A BLACKROCK Y 2000000 1 2000000 1 4:00 PM
BMO AGGREGATE BOND CLASS Y Y 572353621 MABYX NO LOAD NON-NTF 2% < 30 DAYS BMO Y 1000 50 1000 3 4:00 PM
BMO GOVERNMENT INCOME CLASS Y Y 572353605 MRGIX NO LOAD NON-NTF 2% < 30 DAYS BMO Y 1000 50 1000 3 4:00 PM
BMO GOVERNMENT MONEY MARKET CLASS Y Y 572353662 MGYXX NO LOAD NON-NTF N/A BMO Y 1000 50 1000 3 4:00 PM

BMO INTERMEDIATE TAX FREE CLASS Y Y 572353845 MITFX NO LOAD NON-NTF 2% < 30 DAYS BMO Y 1000 50 1000 3 4:00 PM
BMO LARGE CAP GROWTH CLASS Y Y 572353704 MASTX NO LOAD NON-NTF 2% < 30 DAYS BMO Y 1000 50 1000 3 4:00 PM
BMO LARGE CAP VALUE CLASS Y Y 572353886 MREIX NO LOAD NON-NTF 2% < 30 DAYS BMO Y 1000 50 1000 3 4:00 PM
BMO LLOYD GEORGE EMERGING MARKETS EQUITY CLASS Y Y 572353480 MEMYX NO LOAD NON-NTF 2% < 30 DAYS BMO Y 1000 50 1000 3 4:00 PM
BMO MID CAP GROWTH CLASS Y Y 572353878 MRMSX NO LOAD NON-NTF 2% < 30 DAYS BMO Y 1000 50 1000 3 4:00 PM
BMO MID CAP VALUE CLASS Y Y 572353860 MRVEX NO LOAD NON-NTF 2% < 30 DAYS BMO Y 1000 50 1000 3 4:00 PM
BMO PRIME MONEY MARKET CLASS Y Y 572353100 MARXX NO LOAD NON-NTF N/A BMO Y 1000 50 1000 3 4:00 PM
BMO SHORT INTERMEDIATE BOND CLASS Y Y 572353506 MAIBX NO LOAD NON-NTF 2% < 30 DAYS BMO Y 1000 50 1000 3 4:00 PM
BMO SHORT TERM INCOME CLASS Y Y 572353407 MSINX NO LOAD NON-NTF 2% < 30 DAYS BMO Y 1000 50 1000 3 4:00 PM
BMO SMALL CAP GROWTH CLASS Y Y 572353829 MRSCX NO LOAD NON-NTF 2% < 30 DAYS BMO Y 1000 50 1000 3 4:00 PM
BMO TAX FREE MONEY MARKET CLASS Y Y 572353654 MTFXX NO LOAD NON-NTF N/A BMO Y 1000 50 1000 3 4:00 PM
BMO TCH CORE PLUS BOND CLASS Y Y 572353456 MCYBX NO LOAD NON-NTF 2% < 30 DAYS BMO Y 1000 50 1000 3 4:00 PM
BMO TCH CORPORATE INCOME CLASS Y Y 572353423 MCIYX NO LOAD NON-NTF 2% < 30 DAYS BMO Y 1000 50 1000 3 4:00 PM
BMO ULTRA SHORT TAX FREE CLASS Y Y 572353399 MUYSX NO LOAD NON-NTF 2% < 30 DAYS BMO Y 1000 50 1000 3 4:00 PM
BOGLE SMALL CAP GROWTH INV N/A 749255170 BOGLX NO LOAD NON-NTF N/A BOGLE Y 10000 250 2000 1 4:00 PM
BOYAR VALUE N/A 103201109 BOYAX FRONT END NON-NTF 2% < 60 DAYS BOYAR Y 5000 1000 2000 1 4:00 PM
BRANDYWINE N/A 10532D107 BRWIX NO LOAD NON-NTF N/A BRANDYWINE Y 2000 250 2000 1 4:00 PM
BRANDYWINE BLUE N/A 10532B101 BLUEX NO LOAD NON-NTF N/A BRANDYWINE Y 2000 250 2000 1 4:00 PM
BRIDGEHAMPTON VALUE STRATEGIES CLASS I A 461418212 BVSFX NO LOAD NON-NTF 2% < 30 DAYS BRIDGEHAMPTON Y 25000 25 2000 1 4:00 PM
BRIDGES INVESTMENT N/A 108439100 BRGIX NO LOAD NON-NTF N/A BRIDGES Y 1000 250 1000 1 4:00 PM
BRIDGEWAY AGGRESSIVE INVESTORS 1 CLASS N N 108747106 BRAGX NO LOAD NON-NTF N/A BRIDGEWAY Y 2000 50 2000 1 4:00 PM
BRIDGEWAY BLUE CHIP 35 INDEX CLASS N N 108747502 BRLIX NO LOAD NON-NTF N/A BRIDGEWAY Y 2000 50 2000 1 4:00 PM
BRIDGEWAY LARGE CAP GROWTH CLASS N N 108747882 BRLGX NO LOAD NON-NTF N/A BRIDGEWAY Y 2000 50 2000 1 4:00 PM
BRIDGEWAY MANAGED VOLATILITY CLASS N N 108747700 BRBPX NO LOAD NON-NTF N/A BRIDGEWAY Y 2000 50 2000 1 4:00 PM
BRIDGEWAY SMALL CAP GROWTH CLASS N N 108747841 BRSGX NO LOAD NON-NTF N/A BRIDGEWAY Y 2000 50 2000 1 4:00 PM
BRIDGEWAY SMALL CAP MOMENTUM CLASS N N 108747791 BRSMX NO LOAD NON-NTF 2% < 6 MONTHS BRIDGEWAY Y 2000 50 2000 1 4:00 PM
BRIDGEWAY SMALL CAP VALUE CLASS N N 108747825 BRSVX NO LOAD NON-NTF N/A BRIDGEWAY Y 2000 50 2000 1 4:00 PM
BRIDGEWAY ULTRA SMALL COMPANY CLASS N N 108747304 BRUSX NO LOAD NON-NTF N/A BRIDGEWAY N 2000 50 2000 1 4:00 PM
BRIDGEWAY ULTRA SMALL COMPANY MARKET CLASS N N 108747403 BRSIX NO LOAD NON-NTF 2% < 6 MONTHS BRIDGEWAY Y 2000 50 2000 1 4:00 PM
BROWN ADVISORY EQUITY INCOME ADVISOR CLASS ADVISOR 115233678 BADAX NO LOAD NON-NTF 1% < 14 DAYS BROWN ADVISORY Y 2000 100 1000 1 4:00 PM

BROWN ADVISORY EQUITY INCOME INVESTOR CLASS INVESTOR 115233686 BIADX NO LOAD NON-NTF 1% < 14 DAYS BROWN ADVISORY Y 5000 100 2000 1 4:00 PM
BROWN ADVISORY FLEXIBLE VALUE ADVISOR CLASS ADVISOR 115233850 BAFAX NO LOAD NON-NTF N/A BROWN ADVISORY N 2000 100 1000 1 4:00 PM
BROWN ADVISORY GROWTH EQUITY INVESTOR CLASS INVESTOR 115233504 BIAGX NO LOAD NON-NTF N/A BROWN ADVISORY Y 5000 100 2000 1 4:00 PM
BROWN ADVISORY INTERMEDIATE INCOME ADVISOR CLASS ADVISOR 115233736 BAIAX NO LOAD NON-NTF N/A BROWN ADVISORY N 2000 100 1000 1 4:00 PM
BROWN ADVISORY OPPORTUNITY INVESTOR CLASS INVESTOR 115233769 BIAOX NO LOAD NON-NTF 2% < 180 DAYS BROWN ADVISORY Y 5000 100 2000 1 4:00 PM
BROWN ADVISORY SMALL CAP GROWTH INSTL INSTL 115233819 BAFSX NO LOAD NON-NTF N/A BROWN ADVISORY N 1000000 100 1000000 1 4:00 PM
BROWN ADVISORY SMALL CAP GROWTH INVESTOR CLASS INVESTOR 115233835 BIASX NO LOAD NON-NTF 1% < 14 DAYS BROWN ADVISORY Y 5000 100 2000 1 4:00 PM
BROWN ADVISORY WINSLOW SUSTAINABILITY ADVISOR ADVISOR 115233405 BAWAX NO LOAD NON-NTF N/A BROWN ADVISORY Y 2000 100 1000 1 4:00 PM
BROWN CAPITAL INTERNATIONAL EQUITY INVESTOR CLASS INVESTOR 115291858 BCIIX NO LOAD NON-NTF N/A BROWN CAPITAL Y 10000 500 2000 3 4:00 PM
BROWN CAPITAL MID CAP INVESTOR CLASS INVESTOR 115291809 BCMSX NO LOAD NON-NTF N/A BROWN CAPITAL Y 10000 500 2000 3 4:00 PM
BROWN CAPITAL SMALL COMPANY INVESTOR CLASS INVESTOR 115291833 BCSIX NO LOAD NON-NTF N/A BROWN CAPITAL Y 10000 500 2000 3 4:00 PM
BUFFALO BALANCED N/A 119428100 BUFBX NO LOAD NON-NTF N/A BUFFALO Y 2500 100 250 1 4:00 PM
BUFFALO HIGH YIELD N/A 119539104 BUFHX NO LOAD NON-NTF 2% < 180 DAYS BUFFALO Y 2500 100 250 1 4:00 PM
BUFFALO INTERNATIONAL N/A 119530509 BUFIX NO LOAD NON-NTF 2% < 60 DAYS BUFFALO Y 2500 100 250 1 4:00 PM
BUFFALO JAYHAWK CHINA N/A 119530400 BUFCX NO LOAD NON-NTF 2% < 60 DAYS BUFFALO Y 2500 100 250 1 4:00 PM
BUFFALO LARGE CAP N/A 119628105 BUFEX NO LOAD NON-NTF N/A BUFFALO Y 2500 100 250 1 4:00 PM
BUFFALO MICRO CAP N/A 119530301 BUFOX NO LOAD NON-NTF 2% < 180 DAYS BUFFALO Y 2500 100 250 1 4:00 PM
BUFFALO MID CAP N/A 119530202 BUFMX NO LOAD NON-NTF N/A BUFFALO Y 2500 100 250 1 4:00 PM
BUFFALO SCIENCE AND TECHNOLOGY N/A 119530103 BUFTX NO LOAD NON-NTF N/A BUFFALO Y 2500 100 250 1 4:00 PM
BUFFALO SMALL CAP N/A 119804102 BUFSX NO LOAD NON-NTF N/A BUFFALO N 2500 100 250 1 4:00 PM
BUFFALO USA GLOBAL N/A 119826105 BUFGX NO LOAD NON-NTF N/A BUFFALO Y 2500 100 250 1 4:00 PM
BULL PATH LONG SHORT CLASS A A 66537V500 BPFAX FRONT END NON-NTF N/A BULL PATH Y 1000 50 1000 1 4:00 PM
BULL PATH LONG SHORT CLASS C C 66537V609 BPFCX BACK END NON-NTF N/A BULL PATH Y 1000 50 1000 1 4:00 PM
BULL PATH MID CAP CLASS A A 66537V807 BPEAX FRONT END NON-NTF N/A BULL PATH Y 1000 50 1000 1 4:00 PM
BULL PATH MID CAP CLASS C C 66537V880 BPECX BACK END NON-NTF N/A BULL PATH Y 1000 50 1000 1 4:00 PM
BURNHAM CLASS A A 122315203 BURHX FRONT END NON-NTF 2% < 30 DAYS BURNHAM Y 2500 50 100 3 4:00 PM
BURNHAM CLASS C C 122315849 BURJX BACK END NON-NTF 2% < 30 DAYS BURNHAM Y 2500 50 100 3 4:00 PM
BURNHAM FINANCIAL INDUSTRIES CLASS A A 122315872 BURFX FRONT END NON-NTF 2% < 30 DAYS BURNHAM Y 2500 50 100 3 4:00 PM
BURNHAM FINANCIAL INDUSTRIES CLASS C C 122315864 BURCX BACK END NON-NTF 2% < 30 DAYS BURNHAM Y 2500 50 100 3 4:00 PM
BURNHAM FINANCIAL SERVICES CLASS A A 122315401 BURKX FRONT END NON-NTF 2% < 30 DAYS BURNHAM Y 2500 50 100 3 4:00 PM

BURNHAM FINANCIAL SERVICES CLASS C C 122315856 BURNX BACK END NON-NTF 2% < 30 DAYS BURNHAM Y 2500 50 100 3 4:00 PM
CALAMOS 130/30 EQUITY CLASS A A 128119229 CELSX FRONT END NON-NTF N/A CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS 130/30 EQUITY CLASS B B 128119211 CELBX BACK END NON-NTF N/A CALAMOS N 2500 50 500 3 4:00 PM
CALAMOS 130/30 EQUITY CLASS C C 128119195 CELCX BACK END NON-NTF N/A CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS BLUE CHIP CLASS A A 128119625 CBCAX FRONT END NON-NTF N/A CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS BLUE CHIP CLASS B B 128119617 CBCBX BACK END NON-NTF N/A CALAMOS N 2500 50 500 3 4:00 PM
CALAMOS BLUE CHIP CLASS C C 128119591 CBXCX BACK END NON-NTF N/A CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS BLUE CHIP CLASS I I 128119583 CBCIX NO LOAD NON-NTF N/A CALAMOS Y 1000000 1 1000000 3 4:00 PM
CALAMOS CONVERTIBLE CLASS A A 128119401 CCVIX FRONT END NON-NTF 1% < 6 MONTHS CALAMOS N 2500 50 500 3 4:00 PM
CALAMOS CONVERTIBLE CLASS B B 128119773 CALBX BACK END NON-NTF 1% < 6 MONTHS CALAMOS N 2500 50 500 3 4:00 PM
CALAMOS CONVERTIBLE CLASS C C 128119823 CCVCX BACK END NON-NTF N/A CALAMOS N 2500 50 500 3 4:00 PM
CALAMOS CONVERTIBLE CLASS I I 128119864 CICVX NO LOAD NON-NTF N/A CALAMOS N 1000000 1 1000000 3 4:00 PM
CALAMOS CONVERTIBLE TECHNOLOGY CLASS A A 128119716 CVTAX FRONT END NON-NTF 1% < 6 MONTHS CALAMOS N 2500 50 500 3 4:00 PM
CALAMOS CONVERTIBLE TECHNOLOGY CLASS C C 128119682 CVTFX BACK END NON-NTF N/A CALAMOS N 2500 50 500 3 4:00 PM
CALAMOS DISCOVER CLASS I I 128120409 CIDGX NO LOAD NON-NTF N/A CALAMOS Y 1000000 1 1000000 3 4:00 PM
CALAMOS EVOLVING WORLD GROWTH CLASS A A 128119161 CNWGX FRONT END NON-NTF N/A CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS EVOLVING WORLD GROWTH CLASS B B 128119153 CNWZX BACK END NON-NTF N/A CALAMOS N 2500 50 500 3 4:00 PM
CALAMOS EVOLVING WORLD GROWTH CLASS C C 128119146 CNWDX BACK END NON-NTF N/A CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS EVOLVING WORLD GROWTH CLASS I I 128119138 CNWIX NO LOAD NON-NTF N/A CALAMOS Y 1000000 1 1000000 3 4:00 PM
CALAMOS FIDELITY PRIME MONEY MARKET CLASS A A 995CA1115 CPSAZ FRONT END NON-NTF N/A CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS FIDELITY PRIME MONEY MARKET CLASS B B 995CA2220 CSPBZ BACK END NON-NTF N/A CALAMOS N 2500 50 500 3 4:00 PM
CALAMOS FIDELITY PRIME MONEY MARKET CLASS C C 995CA3335 CWPCZ BACK END NON-NTF N/A CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS GLOBAL EQUITY CLASS A A 128119484 CAGEX FRONT END NON-NTF 2% < 7 DAYS CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS GLOBAL EQUITY CLASS B B 128119476 CBGEX BACK END NON-NTF 2% < 7 DAYS CALAMOS N 2500 50 500 3 4:00 PM
CALAMOS GLOBAL EQUITY CLASS C C 128119468 CCGEX BACK END NON-NTF 2% < 7 DAYS CALAMOS Y 2500 50 500 3 4:00 PM
13
CALAMOS GLOBAL EQUITY CLASS I I 128119450 CIGEX NO LOAD NON-NTF N/A CALAMOS Y 1000000 1 1000000 3 4:00 PM
CALAMOS GLOBAL GROWTH AND INCOME CLASS A A 128119500 CVLOX FRONT END NON-NTF 1% < 6 MONTHS CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS GLOBAL GROWTH AND INCOME CLASS B B 128119732 CVLDX BACK END NON-NTF 1% < 6 MONTHS CALAMOS N 2500 50 500 3 4:00 PM
CALAMOS GLOBAL GROWTH AND INCOME CLASS C C 128119708 CVLCX BACK END NON-NTF N/A CALAMOS Y 2500 50 500 3 4:00 PM

CALAMOS GLOBAL GROWTH AND INCOME CLASS I I 128119609 CGCIX NO LOAD NON-NTF N/A CALAMOS Y 1000000 1 1000000 3 4:00 PM
CALAMOS GROWTH AND INCOME CLASS A A 128119104 CVTRX FRONT END NON-NTF 1% < 6 MONTHS CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS GROWTH AND INCOME CLASS B B 128119765 CVTYX BACK END NON-NTF 1% < 6 MONTHS CALAMOS N 2500 50 500 3 4:00 PM
CALAMOS GROWTH AND INCOME CLASS C C 128119831 CVTCX BACK END NON-NTF N/A CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS GROWTH AND INCOME CLASS I I 128119872 CGIIX NO LOAD NON-NTF N/A CALAMOS Y 1000000 1 1000000 3 4:00 PM
CALAMOS GROWTH CLASS A A 128119302 CVGRX FRONT END NON-NTF 1% < 6 MONTHS CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS GROWTH CLASS B B 128119740 CVGBX BACK END NON-NTF 1% < 6 MONTHS CALAMOS N 2500 50 500 3 4:00 PM
CALAMOS GROWTH CLASS C C 128119856 CVGCX BACK END NON-NTF N/A CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS GROWTH CLASS I I 128119807 CGRIX NO LOAD NON-NTF N/A CALAMOS Y 1000000 1 1000000 3 4:00 PM
CALAMOS HIGH INCOME CLASS A A 128119815 CHYDX FRONT END NON-NTF 1% < 6 MONTHS CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS HIGH INCOME CLASS B B 128119724 CAHBX BACK END NON-NTF 1% < 6 MONTHS CALAMOS N 2500 50 500 3 4:00 PM
CALAMOS HIGH INCOME CLASS C C 128119799 CCHYX BACK END NON-NTF N/A CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS HIGH INCOME CLASS I I 128119781 CIHYX NO LOAD NON-NTF N/A CALAMOS Y 1000000 1 1000000 3 4:00 PM
CALAMOS INTERNATIONAL EQUITY CLASS A A 128119575 CIGRX FRONT END NON-NTF N/A CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS INTERNATIONAL EQUITY CLASS C C 128119559 CIGCX BACK END NON-NTF N/A CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS INTERNATIONAL GROWTH CLASS B B 128119567 CIGBX BACK END NON-NTF N/A CALAMOS N 2500 50 500 3 4:00 PM
CALAMOS INTERNATIONAL GROWTH CLASS I I 128119542 CIGIX NO LOAD NON-NTF N/A CALAMOS Y 1000000 1 1000000 3 4:00 PM
CALAMOS MARKET NEUTRAL INCOME CLASS A A 128119203 CVSIX FRONT END NON-NTF 1% < 6 MONTHS CALAMOS Y 10000 50 500 3 4:00 PM
CALAMOS MARKET NEUTRAL INCOME CLASS B B 128119757 CAMNX BACK END NON-NTF 1% < 6 MONTHS CALAMOS N 10000 50 500 3 4:00 PM
CALAMOS MARKET NEUTRAL INCOME CLASS C C 128119849 CVSCX BACK END NON-NTF N/A CALAMOS Y 10000 50 500 3 4:00 PM
CALAMOS MARKET NEUTRAL INCOME CLASS I I 128119880 CMNIX NO LOAD NON-NTF N/A CALAMOS Y 1000000 1 1000000 3 4:00 PM
CALAMOS TOTAL RETURN BOND CLASS A A 128119310 CTRAX FRONT END NON-NTF 2% < 7 DAYS CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS TOTAL RETURN BOND CLASS B B 128119294 CTXBX BACK END NON-NTF 2% < 7 DAYS CALAMOS N 2500 50 500 3 4:00 PM
CALAMOS TOTAL RETURN BOND CLASS C C 128119286 CTRCX BACK END NON-NTF 2% < 7 DAYS CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS VALUE CLASS A A 128119666 CVAAX FRONT END NON-NTF N/A CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS VALUE CLASS B B 128119658 CVABX BACK END NON-NTF N/A CALAMOS N 2500 50 500 3 4:00 PM
CALAMOS VALUE CLASS C C 128119641 CVACX BACK END NON-NTF N/A CALAMOS Y 2500 50 500 3 4:00 PM
CALAMOS VALUE CLASS I I 128119633 CVAIX NO LOAD NON-NTF N/A CALAMOS Y 1000000 1 1000000 3 4:00 PM
CALDWELL AND ORKIN FUND N/A 128819307 COAGX NO LOAD NON-NTF 2% < 6 MONTHS CALDWELL & ORKIN Y 25000 100 10000 1 4:00 PM
CALVERT AGGRESSIVE ALLOCATION CLASS A A 131618647 CAAAX FRONT END NON-NTF 2% < 30 DAYS CALVERT Y 2000 250 1000 3 4:00 PM

CALVERT AGGRESSIVE ALLOCATION CLASS C C 131618621 CAACX BACK END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT BALANCED CLASS A A 131618100 CSIFX FRONT END NON-NTF N/A CALVERT Y 1000 250 1000 3 4:00 PM
CALVERT BALANCED CLASS B B 131618845 CSLBX BACK END NON-NTF N/A CALVERT N 1000 250 1000 3 4:00 PM
CALVERT BALANCED CLASS C C 131618506 CSGCX BACK END NON-NTF N/A CALVERT Y 1000 250 1000 3 4:00 PM
CALVERT BOND CLASS A A 131618407 CSIBX FRONT END NON-NTF N/A CALVERT Y 1000 250 1000 3 4:00 PM
CALVERT BOND CLASS B B 131618837 CBDBX BACK END NON-NTF N/A CALVERT N 1000 250 1000 3 4:00 PM
CALVERT BOND CLASS C C 131618605 CSBCX BACK END NON-NTF N/A CALVERT Y 1000 250 1000 3 4:00 PM
CALVERT CAPITAL ACCUMULATION CLASS A A 131649303 CCAFX FRONT END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT CAPITAL ACCUMULATION CLASS B B 131649600 CWCBX BACK END NON-NTF N/A CALVERT N 2000 250 1000 3 4:00 PM
CALVERT CAPITAL ACCUMULATION CLASS C C 131649402 CCACX BACK END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT CONSERVATIVE ALLOCATION CLASS A A 131618696 CCLAX FRONT END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT CONSERVATIVE ALLOCATION CLASS C C 131618670 CALCX BACK END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT ENHANCED EQUITY CLASS A A 131618803 CMIFX FRONT END NON-NTF N/A CALVERT Y 5000 250 2000 3 4:00 PM
CALVERT ENHANCED EQUITY CLASS B B 131618886 CDXBX BACK END NON-NTF N/A CALVERT N 5000 250 2000 3 4:00 PM
CALVERT ENHANCED EQUITY CLASS C C 131618878 CMICX BACK END NON-NTF N/A CALVERT Y 5000 250 2000 3 4:00 PM
CALVERT EQUITY CLASS A A 131618308 CSIEX FRONT END NON-NTF N/A CALVERT Y 1000 250 1000 3 4:00 PM
CALVERT EQUITY CLASS B B 131618852 CSEBX BACK END NON-NTF N/A CALVERT N 1000 250 1000 3 4:00 PM
CALVERT EQUITY CLASS C C 131618704 CSECX BACK END NON-NTF N/A CALVERT Y 1000 250 1000 3 4:00 PM
CALVERT FIRST GOVERNMENT MONEY MARKET CLASS A A 131577108 FVRXX FRONT END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT FIRST GOVERNMENT MONEY MARKET CLASS B B 131577504 FGBXX BACK END NON-NTF N/A CALVERT N 2000 250 1000 3 4:00 PM
CALVERT FIRST GOVERNMENT MONEY MARKET CLASS C C 131577603 FVCXX BACK END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT GLOBAL ALTERNATIVE ENERGY CLASS A A 13161P847 CGAEX FRONT END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT GLOBAL ALTERNATIVE ENERGY CLASS C C 13161P821 CGACX BACK END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT GLOBAL WATER CLASS A A 13161P797 CFWAX FRONT END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT GLOBAL WATER CLASS C C 13161P789 CFWCX BACK END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT GOVERNMENT CLASS A A 131582546 CGVAX FRONT END NON-NTF 2% < 30 DAYS CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT INCOME CLASS A A 131582207 CFICX FRONT END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT INCOME CLASS B B 131582835 CBINX BACK END NON-NTF N/A CALVERT N 2000 250 1000 3 4:00 PM
CALVERT INCOME CLASS C C 131582744 CIFCX BACK END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT INTERNATIONAL EQUITY CLASS A A 131649105 CWVGX FRONT END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM

CALVERT INTERNATIONAL EQUITY CLASS B B 131649501 CWVBX BACK END NON-NTF N/A CALVERT N 2000 250 1000 3 4:00 PM
CALVERT INTERNATIONAL EQUITY CLASS C C 131649204 CWVCX BACK END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT INTERNATIONAL OPPORTUNITIES CLASS A A 131649881 CIOAX FRONT END NON-NTF 2% < 30 DAYS CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT LONG TERM INCOME CLASS A A 131582710 CLDAX FRONT END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT MODERATE ALLOCATION CLASS A A 131618738 CMAAX FRONT END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT MONEY MARKET A 131618209 CSIXX FRONT END NON-NTF N/A CALVERT Y 1000 250 1000 3 4:00 PM
CALVERT SHORT DURATION INCOME CLASS A A 13161T104 CSDAX FRONT END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT SHORT DURATION INCOME CLASS C C 13161T302 CDICX BACK END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT SMALL CAP CLASS A A 13161P508 CCVAX FRONT END NON-NTF 2% < 30 DAYS CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT SMALL CAP CLASS B B 13161P706 CSCBX BACK END NON-NTF 2% < 30 DAYS CALVERT N 2000 250 1000 3 4:00 PM
CALVERT SMALL CAP CLASS C C 13161P805 CSCCX BACK END NON-NTF 2% < 30 DAYS CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT SOCIAL INDEX CLASS A A 131582785 CSXAX FRONT END NON-NTF N/A CALVERT Y 5000 250 2000 3 4:00 PM
CALVERT SOCIAL INDEX CLASS B B 131582777 CSXBX BACK END NON-NTF N/A CALVERT N 5000 250 2000 3 4:00 PM
CALVERT SOCIAL INDEX CLASS C C 131582769 CSXCX BACK END NON-NTF N/A CALVERT Y 5000 250 2000 3 4:00 PM
CALVERT TAX FREE BOND CLASS A A 131620304 CTTLX FRONT END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT TAX FREE RESERVE MONEY MARKET A 131620106 CTMXX FRONT END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CALVERT ULTRA SHORT INCOME CLASS A A 131582611 CULAX FRONT END NON-NTF N/A CALVERT Y 2000 250 1000 3 4:00 PM
CAPITAL ADVISORS GROWTH N/A 007989783 CIAOX NO LOAD NON-NTF 2% < 7 DAYS CAPITAL ADVISORS Y 5000 250 500 1 4:00 PM
CARITAS ALL CAP GROWTH N/A 85520V301 CTSAX FRONT END NON-NTF 2% < 30 DAYS CARITAS Y 2500 100 1000 1 4:00 PM
CATALYST SMH HIGH INCOME CLASS A A 62827L609 HIIFX FRONT END NON-NTF N/A CATALYST Y 2500 50 2500 1 4:00 PM
CATALYST SMH HIGH INCOME CLASS C C 62827L708 HIICX BACK END NON-NTF N/A CATALYST Y 2500 50 2500 1 4:00 PM
CATALYST SMH TOTAL RETURN INCOME CLASS A A 62827L807 TRIFX FRONT END NON-NTF N/A CATALYST Y 2500 50 2500 1 4:00 PM
CATALYST SMH TOTAL RETURN INCOME CLASS C C 62827L880 TRICX BACK END NON-NTF N/A CATALYST Y 2500 50 2500 1 4:00 PM
CATALYST VALUE CLASS A A 62827L104 CTVAX FRONT END NON-NTF N/A CATALYST Y 2500 50 2500 1 4:00 PM
CATALYST VALUE CLASS C C 62827L203 CTVCX BACK END NON-NTF N/A CATALYST Y 2500 50 2500 1 4:00 PM
CAUSEWAY EMERGING MARKETS INSTITUTIONAL CLASS INSTL 149498107 CEMIX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 1000000 1 1000000 3 4:00 PM
CAUSEWAY EMERGING MARKETS INVESTOR CLASS INVESTOR 149498206 CEMVX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 5000 100 4000 3 4:00 PM
CAUSEWAY GLOBAL ABSOLUTE RETURN INSTITUTIONAL CLA
S
INSTL 14949P406 CGAIX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 1000000 1 1000000 3 4:00 PM

CAUSEWAY GLOBAL ABSOLUTE RETURN INVESTOR CLASS INVESTOR 14949P505 CGAVX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 5000 100 4000 3 4:00 PM
CAUSEWAY GLOBAL VALUE INSTITUTIONAL CLASS INSTL 14949P307 CGVIX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 1000000 1 1000000 3 4:00 PM
CAUSEWAY GLOBAL VALUE INVESTOR CLASS INVESTOR 14949P604 CGVVX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 5000 100 4000 3 4:00 PM
CAUSEWAY INTERNATIONAL OPPORTUNITIES INSTITUTIONAL INSTL 14949Q107 CIOIX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 1000000 1 1000000 3 4:00 PM
CAUSEWAY INTERNATIONAL OPPORTUNITIES INVESTOR CLA
S
INVESTOR 14949Q206 CIOVX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 5000 100 4000 3 4:00 PM
CAUSEWAY INTERNATIONAL VALUE INSTITUTIONAL CLASS INSTL 14949P208 CIVIX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 1000000 1 1000000 3 4:00 PM
CAUSEWAY INTERNATIONAL VALUE INVESTOR CLASS INVESTOR 14949P109 CIVVX NO LOAD NON-NTF 2% < 60 DAYS CAUSEWAY Y 5000 100 4000 3 4:00 PM
CAVANAL HILL BALANCED INSTITUTIONAL CLASS INSTL 14956P208 AIBLX NO LOAD NON-NTF N/A CAVANAL HILL Y 100000 1 1 1 4:00 PM
CAVANAL HILL BALANCED INVESTOR CLASS INVESTOR 14956P109 APBAX NO LOAD NON-NTF N/A CAVANAL HILL Y 1000 1 1000 1 4:00 PM
CAVANAL HILL BOND INSTITUTIONAL CLASS INSTL 14956P851 AIBNX NO LOAD NON-NTF N/A CAVANAL HILL Y 100000 1 1 1 4:00 PM
CAVANAL HILL BOND INVESTOR CLASS INVESTOR 14956P869 APBDX NO LOAD NON-NTF N/A CAVANAL HILL Y 1000 1 1000 1 4:00 PM
CAVANAL HILL CASH MANGEMENT ADMINISTRATIVE CLASS ADMIN 14956P836 APCXX NO LOAD NON-NTF N/A CAVANAL HILL Y 1000 1 1000 1 4:00 PM
CAVANAL HILL CASH MANGEMENT INSTITUTIONAL CLASS INSTL 14956P844 APHXX NO LOAD NON-NTF N/A CAVANAL HILL Y 1000 1 1000 1 4:00 PM
CAVANAL HILL INTERMEDIATE BOND INSTITUTIONAL CLASS INSTL 14956P745 AIFBX NO LOAD NON-NTF N/A CAVANAL HILL Y 100000 1 1 1 4:00 PM
CAVANAL HILL INTERMEDIATE BOND INVESTOR CLASS INVESTOR 14956P752 APFBX NO LOAD NON-NTF N/A CAVANAL HILL Y 1000 1 1000 1 4:00 PM
CAVANAL HILL INTERMEDIATE TAX FREE BOND INSTITUTIONA INSTL 14956P729 AITEX NO LOAD NON-NTF N/A CAVANAL HILL Y 100000 1 1 1 4:00 PM
CAVANAL HILL INTERMEDIATE TAX FREE BOND INVESTOR CL
A
INVESTOR 14956P737 APTFX NO LOAD NON-NTF N/A CAVANAL HILL Y 1000 1 1000 1 4:00 PM
CAVANAL HILL SHORT TERM INCOME INSTITUTIONAL CLASS INSTL 14956P406 AISTX NO LOAD NON-NTF N/A CAVANAL HILL Y 100000 1 1 1 4:00 PM
CAVANAL HILL SHORT TERM INCOME INVESTOR CLASS INVESTOR 14956P307 APSTX NO LOAD NON-NTF N/A CAVANAL HILL Y 1000 1 1000 1 4:00 PM
CAVANAL HILL TAX FREE MONEY MARKET ADMINISTRATIVE C ADMIN 14956P786 APBXX NO LOAD NON-NTF N/A CAVANAL HILL Y 1000 1 1000 1 4:00 PM
CAVANAL HILL US LARGE CAP EQUITY INSTITUTIONAL CLASS INSTL 14956P604 AIEQX NO LOAD NON-NTF N/A CAVANAL HILL Y 100000 1 1 1 4:00 PM
CAVANAL HILL US LARGE CAP EQUITY INVESTOR CLASS INVESTOR 14956P505 APEQX NO LOAD NON-NTF N/A CAVANAL HILL Y 1000 1 1000 1 4:00 PM
CAVANAL HILL US TREASURY ADMINISTRATIVE CLASS ADMIN 14956P802 APGXX NO LOAD NON-NTF N/A CAVANAL HILL Y 1000 1 1000 1 4:00 PM
CENTER COAST MLP FOCUS CLASS A A 461418584 CCCAX FRONT END NON-NTF 1% < 30 DAYS CENTER COAST Y 2500 100 2500 1 4:00 PM
CENTER COAST MLP FOCUS CLASS C C 461418576 CCCCX BACK END NON-NTF 1% < 30 DAYS CENTER COAST Y 2500 100 2500 1 4:00 PM
CENTER COAST MLP FOCUS CLASS I I 461418568 CCCNX NO LOAD NON-NTF 1% < 30 DAYS CENTER COAST Y 1000000 100000 1000000 1 4:00 PM

CENTURY SHARES TRUST INSTITUTIONAL CLASS INSTL 156681108 CENSX NO LOAD NON-NTF 1% < 90 DAYS CENTURY Y 100000 1 100000 1 4:00 PM
CENTURY SMALL CAP SELECT INSTITUTIONAL CLASS INSTL 15649P208 CSMCX NO LOAD NON-NTF 1% < 90 DAYS CENTURY Y 100000 1 100000 1 4:00 PM
CENTURY SMALL CAP SELECT INVESTOR CLASS INVESTOR 15649P109 CSMVX NO LOAD NON-NTF N/A CENTURY Y 2500 1 2500 1 4:00 PM
CHAMPLAIN MID CAP N/A 00764Q744 CIPMX NO LOAD NON-NTF N/A CHAMPLAIN Y 10000 1 3000 1 4:00 PM
14
CHAMPLAIN SMALL COMPANY N/A 00764Q405 CIPSX NO LOAD NON-NTF N/A CHAMPLAIN N 10000 1 3000 1 4:00 PM
CHARTWELL SMALL CAP VALUE CLASS A A 461418378 CWSVX FRONT END NON-NTF 2% < 30 DAYS CHARTWELL Y 1000 100 1000 1 4:00 PM
CHARTWELL SMALL CAP VALUE CLASS I A 461418261 CWSIX FRONT END NON-NTF 2% < 30 DAYS CHARTWELL Y 1000000 1 1000000 1 4:00 PM
CHASE GROWTH N/A 007989809 CHASX NO LOAD NON-NTF 2% < 60 DAYS CHASE Y 2000 250 2000 1 4:00 PM
CHASE MID CAP GROWTH N/A 007989627 CHAMX NO LOAD NON-NTF 2% < 60 DAYS CHASE Y 2000 250 2000 1 4:00 PM
CHESAPEAKE CORE GROWTH N/A 36559B708 CHCGX NO LOAD NON-NTF N/A CHESAPEAKE Y 2500 500 2500 3 4:00 PM
CHESAPEAKE GROWTH INVESTOR CLASS INVESTOR 36559B203 CHEAX NO LOAD NON-NTF N/A CHESAPEAKE Y 2500 500 2500 3 4:00 PM
CLIPPER FUND N/A 188850101 CFIMX NO LOAD NON-NTF N/A CLIPPER Y 10000 1000 4000 3 4:00 PM
CLOUGH CHINA CLASS A A 317609733 CHNAX FRONT END NON-NTF 2% < 30 DAYS CLOUGH Y 2500 1 2500 1 4:00 PM
CLOUGH CHINA CLASS C C 317609725 CHNCX BACK END NON-NTF 2% < 30 DAYS CLOUGH Y 2500 1 2500 1 4:00 PM
CLOUGH CHINA CLASS I I 317609717 CHNIX NO LOAD NON-NTF 2% < 30 DAYS CLOUGH Y 1000000 1 1000000 1 4:00 PM
CMG ABSOLUTE RETURN STRATEGIES CLASS A A 66537V104 CMGTX FRONT END NON-NTF N/A CMG Y 5000 1000 5000 1 4:00 PM
CNI CHARTER DIVERSIFIED EQUITY CLASS I I 125977629 AHDEX NO LOAD NON-NTF N/A CNI CHARTER Y 1000 1 1000 1 4:00 PM
CNI CHARTER DIVERSIFIED EQUITY CLASS N N 125977637 AHADX NO LOAD NON-NTF N/A CNI CHARTER Y 1000 1 1000 1 4:00 PM
CNI CHARTER FULL MATURITY FIXED INCOME CLASS I I 125977652 AHFMX NO LOAD NON-NTF N/A CNI CHARTER Y 1000 1 1000 1 4:00 PM
CNI CHARTER FULL MATURITY FIXED INCOME CLASS N N 125977660 AHAFX NO LOAD NON-NTF N/A CNI CHARTER Y 1000 1 1000 1 4:00 PM
CNI CHARTER HIGH YIELD BOND CLASS N N 125977751 CHBAX NO LOAD NON-NTF N/A CNI CHARTER Y 1 1 1 1 4:00 PM
CNI CHARTER LIMITED MATURITY FIXED INCOME CLASS I I 125977678 AHLFX NO LOAD NON-NTF N/A CNI CHARTER Y 1000 1 1000 1 4:00 PM
CNI CHARTER LIMITED MATURITY FIXED INCOME CLASS N N 125977686 AHALX NO LOAD NON-NTF N/A CNI CHARTER Y 1000 1 1000 1 4:00 PM
CNI CHARTER SOCIALLY RESPONSIBLE EQUITY CLASS I I 125977595 AHSRX NO LOAD NON-NTF N/A CNI CHARTER Y 1000 1 1000 1 4:00 PM
CNI CHARTER SOCIALLY RESPONSIBLE EQUITY CLASS N N 125977611 AHRAX NO LOAD NON-NTF N/A CNI CHARTER Y 1000 1 1000 1 4:00 PM
COHEN AND STEERS ASIA PACIFIC REALTY CLASS A A 19248D103 APFAX FRONT END NON-NTF N/A COHEN & STEERS Y 1000 250 1000 1 4:00 PM
COHEN AND STEERS ASIA PACIFIC REALTY CLASS C C 19248D202 APFCX BACK END NON-NTF N/A COHEN & STEERS Y 1000 250 1000 1 4:00 PM
COHEN AND STEERS DIVIDEND VALUE CLASS A A 19248L105 DVFAX FRONT END NON-NTF N/A COHEN & STEERS Y 1000 100 1000 1 4:00 PM
COHEN AND STEERS DIVIDEND VALUE CLASS C C 19248L204 DVFCX BACK END NON-NTF N/A COHEN & STEERS Y 1000 100 1000 1 4:00 PM

COHEN AND STEERS DIVIDEND VALUE CLASS I I 19248L303 DVFIX NO LOAD NON-NTF N/A COHEN & STEERS Y 100000 500 100000 1 4:00 PM
COHEN AND STEERS GLOBAL INFRASTRUCTURE CLASS A A 19248B107 CSUAX FRONT END NON-NTF N/A COHEN & STEERS Y 1000 250 1000 1 4:00 PM
COHEN AND STEERS GLOBAL INFRASTRUCTURE CLASS B B 19248B206 CSUBX BACK END NON-NTF N/A COHEN & STEERS Y 1000 250 1000 1 4:00 PM
COHEN AND STEERS GLOBAL INFRASTRUCTURE CLASS C C 19248B305 CSUCX BACK END NON-NTF N/A COHEN & STEERS Y 1000 250 1000 1 4:00 PM
COHEN AND STEERS GLOBAL REALTY SHARES CLASS A A 19247N102 CSFAX FRONT END NON-NTF N/A COHEN & STEERS Y 1000 250 1000 1 4:00 PM
COHEN AND STEERS GLOBAL REALTY SHARES CLASS B B 19247N201 CSFBX BACK END NON-NTF N/A COHEN & STEERS Y 1000 250 1000 1 4:00 PM
COHEN AND STEERS GLOBAL REALTY SHARES CLASS C C 19247N300 CSFCX BACK END NON-NTF N/A COHEN & STEERS Y 1000 250 1000 1 4:00 PM
COHEN AND STEERS GLOBAL REALTY SHARES CLASS I I 19247N409 CSSPX NO LOAD NON-NTF N/A COHEN & STEERS Y 100000 500 100000 1 4:00 PM
COHEN AND STEERS INTERNATIONAL REALTY CLASS A A 19248H104 IRFAX FRONT END NON-NTF N/A COHEN & STEERS Y 1000 250 1000 1 4:00 PM
COHEN AND STEERS INTERNATIONAL REALTY CLASS C C 19248H302 IRFCX BACK END NON-NTF N/A COHEN & STEERS Y 1000 250 1000 1 4:00 PM
COHEN AND STEERS INTERNATIONAL REALTY CLASS I I 19248H401 IRFIX NO LOAD NON-NTF N/A COHEN & STEERS Y 100000 500 100000 1 4:00 PM
COHEN AND STEERS REALTY INCOME CLASS A A 191912104 CSEIX FRONT END NON-NTF N/A COHEN & STEERS Y 2000 250 1 1 4:00 PM
COHEN AND STEERS REALTY INCOME CLASS B B 191912203 CSBIX BACK END NON-NTF N/A COHEN & STEERS Y 2000 250 1 1 4:00 PM
COHEN AND STEERS REALTY INCOME CLASS C C 191912302 CSCIX BACK END NON-NTF N/A COHEN & STEERS Y 2000 250 1 1 4:00 PM
COHEN AND STEERS REALTY INCOME CLASS I I 191912401 CSDIX NO LOAD NON-NTF N/A COHEN & STEERS Y 100000 500 100000 1 4:00 PM
COHEN AND STEERS REALTY SHARES N/A 192476109 CSRSX NO LOAD NON-NTF N/A COHEN & STEERS Y 10000 1000 1 1 4:00 PM
COLORADO BOND TAX EXEMPT N/A 196332100 HICOX FRONT END NON-NTF N/A COLORADO BOND SHARES Y 500 1 1 3 4:00 PM
COLUMBIA ABSOLUTE RETURN CURRENCY AND INCOME CLA
S
A 19763P689 RARAX FRONT END NON-NTF N/A COLUMBIA Y 10000 1 1000 3 4:00 PM
COLUMBIA ABSOLUTE RETURN CURRENCY AND INCOME CLA
S
B 19763P671 CARBX BACK END NON-NTF N/A COLUMBIA N 10000 1 1000 3 4:00 PM
COLUMBIA ABSOLUTE RETURN CURRENCY AND INCOME CLA
S
C 19763P663 RARCX BACK END NON-NTF N/A COLUMBIA Y 10000 1 1000 3 4:00 PM
COLUMBIA ABSOLUTE RETURN ENHANCED MULTI STRATEGY A 19763P804 CEMAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ABSOLUTE RETURN ENHANCED MULTI STRATEGY B 19763P887 CEMBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA ABSOLUTE RETURN ENHANCED MULTI STRATEGY C 19763P879 CEMCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ABSOLUTE RETURN ENHANCED MULTI STRATEGY Z 19763P838 CEMZX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM

COLUMBIA ABSOLUTE RETURN MULTI STRATEGY CLASS A A 19763P101 CMSAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ABSOLUTE RETURN MULTI STRATEGY CLASS B B 19763P200 CMSBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA ABSOLUTE RETURN MULTI STRATEGY CLASS C C 19763P309 CRMCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ABSOLUTE RETURN MULTI STRATEGY CLASS Z Z 19763P705 CARZX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA ACORN CLASS A A 197199102 LACAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ACORN CLASS B B 197199201 LACBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA ACORN CLASS C C 197199300 LIACX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ACORN CLASS Z Z 197199409 ACRNX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA ACORN EMERGING MARKETS CLASS A A 197199623 CAGAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ACORN EMERGING MARKETS CLASS C C 197199615 CGMCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ACORN EMERGING MARKETS CLASS Z Z 197199581 CEFZX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA ACORN EUROPEAN CLASS A A 197199573 CAEAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ACORN EUROPEAN CLASS C C 197199565 CAECX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ACORN EUROPEAN CLASS Z Z 197199540 CAEZX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA ACORN INTERNATIONAL CLASS A A 197199847 LAIAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ACORN INTERNATIONAL CLASS B B 197199839 LIABX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA ACORN INTERNATIONAL CLASS C C 197199821 LAICX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ACORN INTERNATIONAL CLASS Z Z 197199813 ACINX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA ACORN INTERNATIONAL SELECT CLASS A A 197199797 LAFAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ACORN INTERNATIONAL SELECT CLASS B B 197199789 LFFBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA ACORN INTERNATIONAL SELECT CLASS C C 197199771 LFFCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ACORN INTERNATIONAL SELECT CLASS Z Z 197199763 ACFFX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA ACORN SELECT CLASS A A 197199888 LTFAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ACORN SELECT CLASS B B 197199870 LTFBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA ACORN SELECT CLASS C C 197199862 LTFCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ACORN SELECT CLASS Z Z 197199854 ACTWX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA ACORN USA CLASS A A 197199508 LAUAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ACORN USA CLASS B B 197199607 LAUBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA ACORN USA CLASS C C 197199706 LAUCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ACORN USA CLASS Z Z 197199805 AUSAX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM

COLUMBIA AMT FREE TAX EXEMPT BOND CLASS A A 19763P622 INTAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA AMT FREE TAX EXEMPT BOND CLASS B B 19763P614 ITEBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA AMT FREE TAX EXEMPT BOND CLASS C C 19763P598 RTCEX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ASIA PACIFIC EX JAPAN CLASS Z Z 19763P549 CAJZX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA BALANCED CLASS A A 19765P471 CBLAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA BALANCED CLASS B B 19765P463 CBLBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA BALANCED CLASS C C 19765P455 CBLCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA BALANCED CLASS Z Z 19765P430 CBALX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA BOND CLASS A A 19765Y704 CNDAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA BOND CLASS B B 19766D436 CNDBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA BOND CLASS C C 19765Y803 CNDCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA BOND CLASS T T 19766D428 CNDTX FRONT END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA BOND CLASS Z Z 19765Y886 UMMGX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA CALIFORNIA INTERMEDIATE MUNICIPAL BOND CL
A
A 19765J715 NACMX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CALIFORNIA INTERMEDIATE MUNICIPAL BOND CL
A
B 19765J699 CCIBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA CALIFORNIA INTERMEDIATE MUNICIPAL BOND CL
A
C 19765J681 CCICX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CALIFORNIA INTERMEDIATE MUNICIPAL BOND CL
A
Z 19765J673 NCMAX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA CALIFORNIA TAX EXEMPT CLASS A A 19765L108 CLMPX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CALIFORNIA TAX EXEMPT CLASS B B 19765L207 CCABX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA CALIFORNIA TAX EXEMPT CLASS C C 19765L306 CCAOX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CALIFORNIA TAX EXEMPT CLASS Z Z 19765L611 CCAZX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA CAPITAL ALLOCATION AGGRESSIVE CLASS A A 19766G611 AXBAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM

COLUMBIA CAPITAL ALLOCATION AGGRESSIVE CLASS B B 19766G595 AXPBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA CAPITAL ALLOCATION AGGRESSIVE CLASS C C 19766G587 RBGCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CAPITAL ALLOCATION CONSERVATIVE CLASS A A 19766G546 ABDAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CAPITAL ALLOCATION CONSERVATIVE CLASS B B 19766G538 ABBDX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA CAPITAL ALLOCATION CONSERVATIVE CLASS C C 19766G520 RPCCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CAPITAL ALLOCATION MODERATE AGGRESSIVE C
L
A 19765H792 NBIAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CAPITAL ALLOCATION MODERATE AGGRESSIVE C
L
B 19765H784 NLBBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA CAPITAL ALLOCATION MODERATE AGGRESSIVE C
L
C 19765H776 NBICX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CAPITAL ALLOCATION MODERATE AGGRESSIVE C
L
T 19766B679 CGGTX FRONT END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA CAPITAL ALLOCATION MODERATE AGGRESSIVE C
L
Z 19765H768 NBGPX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA CAPITAL ALLOCATION MODERATE CLASS A A 19766G348 ABUAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CAPITAL ALLOCATION MODERATE CLASS B B 19766G330 AURBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA CAPITAL ALLOCATION MODERATE CLASS C C 19766G322 AMTCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CAPITAL ALLOCATION MODERATE CONSERVATIVE A 19765H503 NLGAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CAPITAL ALLOCATION MODERATE CONSERVATIVE B 19765H602 NLIBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA CAPITAL ALLOCATION MODERATE CONSERVATIVE C 19765H701 NIICX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CAPITAL ALLOCATION MODERATE CONSERVATIVE Z 19765H800 NIPAX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA COMMODITY STRATEGY CLASS A A 19766J771 CCSAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA COMMODITY STRATEGY CLASS C C 19766J763 CCSCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA COMMODITY STRATEGY CLASS Z Z 19766J748 CCSZX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM

COLUMBIA CONNECTICUT INTERMEDIATE MUNICIPAL BOND
C
A 19765N104 LCTAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
15
COLUMBIA CONNECTICUT INTERMEDIATE MUNICIPAL BOND
C
B 19765N203 LCTBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA CONNECTICUT INTERMEDIATE MUNICIPAL BOND
C
C 19765N302 LCTCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CONNECTICUT INTERMEDIATE MUNICIPAL BOND
C
T 19765N500 GCBAX FRONT END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA CONNECTICUT INTERMEDIATE MUNICIPAL BOND
C
Z 19765N401 SCTEX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA CONNECTICUT TAX EXEMPT CLASS A A 19765L264 COCTX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CONNECTICUT TAX EXEMPT CLASS B B 19765L256 CCTBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA CONNECTICUT TAX EXEMPT CLASS C C 19765L249 CCTCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CONTRARIAN CORE CLASS A A 19765P109 LCCAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CONTRARIAN CORE CLASS B B 19765P208 LCCBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA CONTRARIAN CORE CLASS C C 19765P307 LCCCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CONTRARIAN CORE CLASS T T 19765P505 SGIEX FRONT END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA CONTRARIAN CORE CLASS Z Z 19765P406 SMGIX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA CONVERTIBLE SECURITIES CLASS A A 19765H750 PACIX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CONVERTIBLE SECURITIES CLASS B B 19765H743 NCVBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA CONVERTIBLE SECURITIES CLASS C C 19765H735 PHIKX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA CONVERTIBLE SECURITIES CLASS Z Z 19765H727 NCIAX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA DIVERSIFIED BOND CLASS A A 19763P515 INBNX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA DIVERSIFIED BOND CLASS B B 19763P499 ININX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM

COLUMBIA DIVERSIFIED BOND CLASS C C 19763P481 AXBCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA DIVERSIFIED EQUITY INCOME CLASS A A 19763P390 INDZX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA DIVERSIFIED EQUITY INCOME CLASS B B 19763P382 IDEBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA DIVERSIFIED EQUITY INCOME CLASS C C 19763P374 ADECX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA DIVIDEND INCOME CLASS A A 19765N278 LBSAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA DIVIDEND INCOME CLASS B B 19765N260 LBSBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA DIVIDEND INCOME CLASS C C 19765N252 LBSCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA DIVIDEND INCOME CLASS T T 19765N237 GEQAX FRONT END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA DIVIDEND INCOME CLASS Z Z 19765N245 GSFTX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA DIVIDEND OPPORTUNITY CLASS A A 19763P283 INUTX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA DIVIDEND OPPORTUNITY CLASS B B 19763P275 IUTBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA DIVIDEND OPPORTUNITY CLASS C C 19763P267 ACUIX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA EMERGING MARKETS BOND CLASS A A 19763P184 REBAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA EMERGING MARKETS BOND CLASS B B 19763P176 RMBBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA EMERGING MARKETS BOND CLASS C C 19763P168 REBCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA EMERGING MARKETS CLASS A A 19765Y878 EEMAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA EMERGING MARKETS CLASS C C 19765Y860 EEMCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA EMERGING MARKETS CLASS Z Z 19765Y852 UMEMX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA EMERGING MARKETS OPPORTUNITY CLASS A A 19766F100 IDEAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA EMERGING MARKETS OPPORTUNITY CLASS B B 19766F209 IEMBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA EMERGING MARKETS OPPORTUNITY CLASS C C 19766F308 RMCEX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ENERGY AND NATURAL RESOURCES CLASS A A 19765Y845 EENAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ENERGY AND NATURAL RESOURCES CLASS B B 19766D394 CEGBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA ENERGY AND NATURAL RESOURCES CLASS C C 19765Y837 EENCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA ENERGY AND NATURAL RESOURCES CLASS Z Z 19765Y829 UMESX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA EQUITY VALUE CLASS A A 19766F878 IEVAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA EQUITY VALUE CLASS B B 19766F860 INEGX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA EQUITY VALUE CLASS C C 19766F852 REVCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA EUROPEAN EQUITY CLASS A A 19766F761 AXEAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA EUROPEAN EQUITY CLASS B B 19766F753 AEEBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM

COLUMBIA EUROPEAN EQUITY CLASS C C 19766F746 REECX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA FLEXIBLE CAPITAL INCOME CLASS A A 19766J888 CFIAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA FLEXIBLE CAPITAL INCOME CLASS C C 19766J870 CFIGX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA FLEXIBLE CAPITAL INCOME CLASS Z Z 19766J847 CFIZX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA FLOATING RATE CLASS A A 19766F696 RFRAX FRONT END NON-NTF N/A COLUMBIA Y 5000 1 1000 3 4:00 PM
COLUMBIA FLOATING RATE CLASS B B 19766F688 RSFBX BACK END NON-NTF N/A COLUMBIA N 5000 1 1000 3 4:00 PM
COLUMBIA FLOATING RATE CLASS C C 76931K851 RFRCX BACK END NON-NTF N/A COLUMBIA Y 5000 1 1000 3 4:00 PM
COLUMBIA FRONTIER CLASS A A 19766F597 SLFRX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA FRONTIER CLASS B B 19766F589 SLFBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA FRONTIER CLASS C C 19766F571 SLFCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA GEORGIA INTERMEDIATE MUNICIPAL BOND CLAS
S
A 19765J533 NGIMX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA GEORGIA INTERMEDIATE MUNICIPAL BOND CLAS
S
C 19765J517 NGINX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA GLOBAL BOND CLASS A A 19766F514 IGBFX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA GLOBAL BOND CLASS B B 19766F498 IGLOX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA GLOBAL BOND CLASS C C 19766F480 AGBCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA GLOBAL DIVIDEND OPPORTUNITY CLASS A A 19765P216 CSVAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA GLOBAL DIVIDEND OPPORTUNITY CLASS B B 19765P190 CSVBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA GLOBAL DIVIDEND OPPORTUNITY CLASS C C 19765P182 CSRCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA GLOBAL DIVIDEND OPPORTUNITY CLASS Z Z 19765P166 CSVFX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA GLOBAL EQUITY CLASS A A 19763T780 IGLGX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA GLOBAL EQUITY CLASS B B 19763T772 IDGBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA GLOBAL EQUITY CLASS C C 19763T764 RGCEX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA GLOBAL OPPORTUNITIES CLASS A A 19766H221 IMRFX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA GLOBAL OPPORTUNITIES CLASS B B 19766H213 IMRBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA GLOBAL OPPORTUNITIES CLASS C C 19766H197 RSSCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA GOVERNMENT MONEY MARKET CLASS A A 19766F340 SCMXX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM

COLUMBIA GOVERNMENT MONEY MARKET CLASS B B 19766F332 SCBXX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA GOVERNMENT MONEY MARKET CLASS C C 19766F324 SCCXX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA GREATER CHINA CLASS A A 19765L546 NGCAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA GREATER CHINA CLASS B B 19765L538 NGCBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA GREATER CHINA CLASS C C 19765L520 NGCCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA GREATER CHINA CLASS Z Z 19765L512 LNGZX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA HIGH INCOME CLASS Z Z 19765H495 NYPAX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA HIGH YIELD BOND CLASS A A 19766F274 INEAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA HIGH YIELD BOND CLASS B B 19766F266 IEIBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA HIGH YIELD BOND CLASS C C 19766F258 APECX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA HIGH YIELD MUNICIPAL CLASS A A 19765P158 LHIAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA HIGH YIELD MUNICIPAL CLASS B B 19765P141 CHMBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA HIGH YIELD MUNICIPAL CLASS C C 19765P133 CHMCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA HIGH YIELD MUNICIPAL CLASS Z Z 19765P125 SRHMX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA HIGH YIELD OPPORTUNITY CLASS A A 19765L587 COLHX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA HIGH YIELD OPPORTUNITY CLASS B B 19765L579 COHBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA HIGH YIELD OPPORTUNITY CLASS C C 19765L561 CHYCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA HIGH YIELD OPPORTUNITY CLASS Z Z 19765L553 LHYZX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA INCOME BUILDER CLASS A A 19766F167 RBBAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA INCOME BUILDER CLASS B B 19766F159 RBBBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA INCOME BUILDER CLASS C C 19766F142 RBBCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA INCOME CLASS A A 19765N542 LIIAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA INCOME CLASS B B 19765N534 CIOBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA INCOME CLASS C C 19765N526 CIOCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA INCOME CLASS Z Z 19765N518 SRINX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA INCOME OPPORTUNITIES CLASS A A 19763T103 AIOAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA INCOME OPPORTUNITIES CLASS B B 19763T202 AIOBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA INCOME OPPORTUNITIES CLASS C C 19763T301 RIOCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA INCOME OPPORTUNITIES CLASS Z Z 19763T889 CIOZX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA INFLATION PROTECTED SECURITIES CLASS A A 19763T871 APSAX FRONT END NON-NTF N/A COLUMBIA Y 5000 1 1000 3 4:00 PM

COLUMBIA INFLATION PROTECTED SECURITIES CLASS B B 19763T863 APSBX BACK END NON-NTF N/A COLUMBIA N 5000 1 1000 3 4:00 PM
COLUMBIA INFLATION PROTECTED SECURITIES CLASS C C 19763T855 RIPCX BACK END NON-NTF N/A COLUMBIA Y 5000 1 1000 3 4:00 PM
COLUMBIA INTERMEDIATE BOND CLASS A A 19765N492 LIBAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA INTERMEDIATE BOND CLASS B B 19765N484 LIBBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA INTERMEDIATE BOND CLASS C C 19765N476 LIBCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA INTERMEDIATE BOND CLASS Z Z 19765N468 SRBFX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA INTERMEDIATE MUNICIPAL BOND CLASS A A 19765L686 LITAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA INTERMEDIATE MUNICIPAL BOND CLASS B B 19765L678 LITBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA INTERMEDIATE MUNICIPAL BOND CLASS C C 19765L660 LITCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA INTERMEDIATE MUNICIPAL BOND CLASS T T 19765L645 GIMAX FRONT END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA INTERMEDIATE MUNICIPAL BOND CLASS Z Z 19765L637 SETMX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA INTERNATIONAL BOND CLASS A A 19765Y498 CNBAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA INTERNATIONAL BOND CLASS C C 19765Y480 CNBCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA INTERNATIONAL BOND CLASS Z Z 19765Y472 CNBZX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA INTERNATIONAL VALUE CLASS A A 19765H628 NIVLX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA INTERNATIONAL VALUE CLASS B B 19765H610 NBIVX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA INTERNATIONAL VALUE CLASS C C 19765H594 NVICX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA INTERNATIONAL VALUE CLASS Z Z 19765H586 EMIEX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
16
COLUMBIA LARGE CAP CORE CLASS A A 19765H313 NSGAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LARGE CAP CORE CLASS B B 19765H297 NSIBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA LARGE CAP CORE CLASS C C 19765H289 NSGCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LARGE CAP CORE CLASS Z Z 19765H271 NSEPX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA LARGE CAP ENHANCED CORE CLASS A A 19765H354 NMIAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LARGE CAP GROWTH CLASS A A 19765P695 LEGAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LARGE CAP GROWTH CLASS B B 19765P687 LEGBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA LARGE CAP GROWTH CLASS C C 19765P679 LEGCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LARGE CAP GROWTH CLASS T T 19765P653 GAEGX FRONT END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA LARGE CAP GROWTH CLASS Z Z 19765P661 GEGTX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA LARGE CAP INDEX CLASS A A 19765H339 NEIAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM

COLUMBIA LARGE CAP INDEX CLASS B B 19765H131 CLIBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA LARGE CAP INDEX CLASS Z Z 19765H321 NINDX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA LARGE CAP VALUE CLASS A A 19765H172 NVLEX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LARGE CAP VALUE CLASS B B 19765H164 NVLNX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA LARGE CAP VALUE CLASS C C 19765H156 NVALX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LARGE CAP VALUE CLASS Z Z 19765H149 NVLUX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA LARGE CORE QUANTITATIVE CLASS A A 19763T640 AQEAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LARGE CORE QUANTITATIVE CLASS B B 19763T632 AQEBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA LARGE CORE QUANTITATIVE CLASS C C 19763T624 RDCEX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LARGE GROWTH QUANTITATIVE CLASS A A 19763T749 RDLAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LARGE GROWTH QUANTITATIVE CLASS B B 19763T731 RDBZX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA LARGE GROWTH QUANTITATIVE CLASS C C 19763T723 RDLCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LARGE VALUE QUANTITATIVE CLASS A A 19763T558 RLCAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LARGE VALUE QUANTITATIVE CLASS B B 19763T541 RLCBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA LARGE VALUE QUANTITATIVE CLASS C C 19763T533 RDCCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LARGE VALUE QUANTITATIVE CLASS T T 19763T483 CVQTX FRONT END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA LARGE VALUE QUANTITATIVE CLASS Z Z 19763T467 CVQZX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA LIFE GOAL GROWTH CLASS A A 19765H883 NLGIX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LIFE GOAL GROWTH CLASS B B 19765H875 NLGBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA LIFE GOAL GROWTH CLASS C C 19765H867 NLGCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LIFE GOAL GROWTH CLASS Z Z 19765H859 NGPAX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA LIFE GOAL INCOME CLASS A A 19765H107 NLFAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LIFE GOAL INCOME CLASS B B 19765H206 NLOBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA LIFE GOAL INCOME CLASS C C 19765H305 NLFCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LIMITED DURATION CREDIT CLASS A A 19763T459 ALDAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA LIMITED DURATION CREDIT CLASS B B 19763T442 ALDBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA LIMITED DURATION CREDIT CLASS C C 19763T434 RDCLX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MARSICO 21st CENTURY CLASS A A 19765J103 NMTAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MARSICO 21st CENTURY CLASS B B 19765J202 NMTBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MARSICO 21st CENTURY CLASS C C 19765J301 NMYCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM

COLUMBIA MARSICO 21ST CENTURY CLASS Z Z 19765J400 NMYAX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA MARSICO FOCUSED EQUITIES CLASS A A 19765H263 NFEAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MARSICO FOCUSED EQUITIES CLASS B B 19765H255 NFEBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MARSICO FOCUSED EQUITIES CLASS C C 19765H248 NFECX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MARSICO FOCUSED EQUITIES CLASS Z Z 19765H230 NFEPX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA MARSICO GLOBAL CLASS A A 19765M288 COGAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MARSICO GLOBAL CLASS C C 19765M270 COGCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MARSICO GLOBAL CLASS Z Z 19765M254 COGZX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA MARSICO GROWTH CLASS A A 19765H222 NMGIX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MARSICO GROWTH CLASS B B 19765H214 NGIBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MARSICO GROWTH CLASS C C 19765H198 NMICX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MARSICO GROWTH CLASS Z Z 19765H180 NGIPX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA MARSICO INTERNATIONAL OPPORTUNITIES CLAS
S
A 19765H669 MAIOX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MARSICO INTERNATIONAL OPPORTUNITIES CLAS
S
B 19765H651 MBIOX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MARSICO INTERNATIONAL OPPORTUNITIES CLAS
S
C 19765H644 MCIOX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MARSICO INTERNATIONAL OPPORTUNITIES CLAS
S
Z 19765H636 NMOAX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA MARYLAND INTERMEDIATE MUNICIPAL BOND CLA
S
A 19765J624 NMDMX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MARYLAND INTERMEDIATE MUNICIPAL BOND CLA
S
C 19765J590 NMINX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM

COLUMBIA MASSACHUSETTS INTERMEDIATE MUNICIPAL BON A 19765N708 LMIAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MASSACHUSETTS INTERMEDIATE MUNICIPAL BON B 19765N807 LMIBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MASSACHUSETTS INTERMEDIATE MUNICIPAL BON C 19765N880 LMICX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MASSACHUSETTS INTERMEDIATE MUNICIPAL BON T 19765N864 GMBAX FRONT END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MASSACHUSETTS INTERMEDIATE MUNICIPAL BON Z 19765N872 SEMAX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA MASSACHUSETTS TAX EXEMPT CLASS A A 19765L231 COMAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MASSACHUSETTS TAX EXEMPT CLASS B B 19765L223 CMABX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MASSACHUSETTS TAX EXEMPT CLASS C C 19765L215 COMCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MASSACHUSETTS TAX EXEMPT CLASS Z Z 19766D287 CMSZX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA MASTERS INTERNATIONAL EQUITY CLASS A A 19765M445 CMTAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MASTERS INTERNATIONAL EQUITY CLASS B B 19765M437 CMTBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MASTERS INTERNATIONAL EQUITY CLASS C C 19765M429 CMTCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MASTERS INTERNATIONAL EQUITY CLASS Z Z 19765M395 CMTZX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA MID CAP GROWTH CLASS A A 19765P299 CBSAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MID CAP GROWTH CLASS B B 19765P281 CBSBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MID CAP GROWTH CLASS C C 19765P273 CMCCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MID CAP GROWTH CLASS T T 19765P257 CBSTX FRONT END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MID CAP GROWTH CLASS Z Z 19765P232 CLSPX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA MID CAP GROWTH OPPORTUNITY CLASS A A 19763T327 INVPX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MID CAP GROWTH OPPORTUNITY CLASS B B 19763T319 IDQBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MID CAP GROWTH OPPORTUNITY CLASS C C 19763T293 AESCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MID CAP INDEX CLASS A A 19765J509 NTIAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MID CAP INDEX CLASS Z Z 19765J608 NMPAX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA MID CAP VALUE CLASS A A 19765J863 CMUAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MID CAP VALUE CLASS B B 19765J855 CMUBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MID CAP VALUE CLASS C C 19765J848 CMUCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MID CAP VALUE CLASS Z Z 19765J830 NAMAX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA MID CAP VALUE OPPORTUNITY CLASS A A 19766G108 AMVAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MID CAP VALUE OPPORTUNITY CLASS B B 19766G207 AMVBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MID CAP VALUE OPPORTUNITY CLASS C C 19766G306 AMVCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM

COLUMBIA MINNESOTA TAX EXEMPT CLASS A A 19763T186 IMNTX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MINNESOTA TAX EXEMPT CLASS B B 19763T178 IDSMX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MINNESOTA TAX EXEMPT CLASS C C 19763T160 RMTCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MONEY MARKET CLASS A A 19766G868 IDSXX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MONEY MARKET CLASS B B 19766G850 ACBXX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MONEY MARKET CLASS C C 19766G843 RCCXX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MULTI ADVISOR INTERNATIONAL EQUITY CLASS A A 19765H719 NIIAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MULTI ADVISOR INTERNATIONAL EQUITY CLASS B B 19765H693 NIENX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MULTI ADVISOR INTERNATIONAL EQUITY CLASS C C 19765H685 NITRX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MULTI ADVISOR INTERNATIONAL EQUITY CLASS Z Z 19765H677 NIEQX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA MULTI ADVISOR INTERNATIONAL VALUE CLASS A A 19766G777 APIAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MULTI ADVISOR INTERNATIONAL VALUE CLASS B B 19766G769 AXIBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MULTI ADVISOR INTERNATIONAL VALUE CLASS C C 19766G751 APICX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MULTI ADVISOR SMALL CAP VALUE CLASS A A 19766G710 ASVAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA MULTI ADVISOR SMALL CAP VALUE CLASS B B 19766G694 ASVBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA MULTI ADVISOR SMALL CAP VALUE CLASS C C 19766G686 APVCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA NEW YORK INTERMEDIATE MUNICIPAL BOND CLA
S
A 19765N773 LNYAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA NEW YORK INTERMEDIATE MUNICIPAL BOND CLA
S
B 19765N765 LNYBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA NEW YORK INTERMEDIATE MUNICIPAL BOND CLA
S
C 19765N757 LNYCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA NEW YORK INTERMEDIATE MUNICIPAL BOND CLA
S
T 19765N732 GANYX FRONT END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA NEW YORK INTERMEDIATE MUNICIPAL BOND CLA
S

Z 19765N740 GNYTX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA NEW YORK TAX EXEMPT CLASS A A 19765L199 COLNX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA NEW YORK TAX EXEMPT CLASS B B 19765L181 CNYBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA NEW YORK TAX EXEMPT CLASS C C 19765L173 CNYCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA NEW YORK TAX EXEMPT CLASS Z Z 19766D295 CNYZX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA NORTH CAROLINA INTERMEDIATE MUNICIPAL BON A 19765J483 NNCIX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA NORTH CAROLINA INTERMEDIATE MUNICIPAL BON C 19765J467 NNINX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA OREGON INTERMEDIATE MUNICIPAL BOND CLASS A 19765P422 COEAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA OREGON INTERMEDIATE MUNICIPAL BOND CLASS B 19765P414 COEBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA OREGON INTERMEDIATE MUNICIPAL BOND CLASS C 19765P398 CORCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA OREGON INTERMEDIATE MUNICIPAL BOND CLASS Z 19765P372 CMBFX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA PACIFIC ASIA CLASS A A 19765Y746 CASAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA PACIFIC ASIA CLASS C C 19765Y738 CASCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
17
COLUMBIA PACIFIC ASIA CLASS Z Z 19765Y720 USPAX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA PORTFOLIO BUILDER MODERATE AGGRESSIVE CL
A
A 19766G470 AXMAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA PORTFOLIO BUILDER MODERATE AGGRESSIVE CL
A
B 19766G462 ABMBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA PORTFOLIO BUILDER MODERATE AGGRESSIVE CL
A
C 19766G454 AGECX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA PORTFOLIO BUILDER MODERATE CONSERVATIVE
C
A 19766G413 AUCAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA PORTFOLIO BUILDER MODERATE CONSERVATIVE
C
B 19766G397 AMDBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM

COLUMBIA PORTFOLIO BUILDER MODERATE CONSERVATIVE
C
C 19766G389 RBMCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA REAL ESTATE EQUITY CLASS A A 19765P588 CREAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA REAL ESTATE EQUITY CLASS B B 19765P570 CREBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA REAL ESTATE EQUITY CLASS C C 19765P562 CRECX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA REAL ESTATE EQUITY CLASS Z Z 19765P547 CREEX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA RECOVERY AND INFRASTRUCTURE CLASS A A 19766G272 RRIAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA RECOVERY AND INFRASTRUCTURE CLASS B B 19766G264 RRIBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA RECOVERY AND INFRASTRUCTURE CLASS C C 19766G256 RRICX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA RECOVERY AND INFRASTRUCTURE CLASS Z Z 19766G199 CRIZX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA SELECT LARGE CAP GROWTH CLASS A A 19765Y712 ELGAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SELECT LARGE CAP GROWTH CLASS C C 19765Y696 ELGCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SELECT LARGE CAP GROWTH CLASS Z Z 19765Y688 UMLGX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA SELECT LARGE CAP VALUE CLASS A A 19766H619 SLVAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SELECT LARGE CAP VALUE CLASS B B 19766H593 SLVBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SELECT LARGE CAP VALUE CLASS C C 19766H585 SVLCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SELECT SMALL CAP CLASS A A 19765Y621 ESCAX FRONT END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SELECT SMALL CAP CLASS C C 19765Y613 ESCCX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SELECT SMALL CAP CLASS Z Z 19765Y589 UMLCX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA SELECT SMALLER CAP VALUE CLASS A A 19766H510 SSCVX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SELECT SMALLER CAP VALUE CLASS B B 19766H494 SSCBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SELECT SMALLER CAP VALUE CLASS C C 19766H486 SVMCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SELIGMAN COMMUNICATIONS AND INFORMATION A 19766H429 SLMCX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SELIGMAN COMMUNICATIONS AND INFORMATION B 19766H411 SLMBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SELIGMAN COMMUNICATIONS AND INFORMATION C 19766H395 SCICX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SELIGMAN GLOBAL TECHNOLOGY CLASS A A 19766H320 SHGTX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SELIGMAN GLOBAL TECHNOLOGY CLASS B B 19766H312 SHTBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SELIGMAN GLOBAL TECHNOLOGY CLASS C C 19766H296 SHTCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SELIGMAN GLOBAL TECHNOLOGY CLASS Z Z 81633C579 CSGZX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM

COLUMBIA SHORT TERM BOND CLASS A A 19765H396 NSTRX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SHORT TERM BOND CLASS B B 19765H388 NSTFX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SHORT TERM BOND CLASS C C 19765H370 NSTIX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SHORT TERM BOND CLASS Z Z 19765H362 NSTMX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA SHORT TERM MUNICIPAL BOND CLASS Z Z 19765J327 NSMIX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA SHORT TERM MUNICIPAL INCOME CLASS A A 19765J350 NSMMX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SHORT TERM MUNICIPAL INCOME CLASS C C 19765J335 NSMUX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SMALL CAP CORE CLASS A A 19765P844 LSMAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SMALL CAP CORE CLASS B B 19765P836 LSMBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SMALL CAP CORE CLASS C C 19765P828 LSMCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SMALL CAP CORE CLASS T T 19765P794 SSCEX FRONT END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SMALL CAP CORE CLASS Z Z 19765P810 SMCEX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA SMALL CAP GROWTH I CLASS A A 19765P638 CGOAX FRONT END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SMALL CAP GROWTH I CLASS B B 19765P620 CGOBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SMALL CAP GROWTH I CLASS C C 19765P612 CGOCX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SMALL CAP GROWTH I CLASS Z Z 19765P596 CMSCX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA SMALL CAP GROWTH II CLASS A A 19765J756 NSCGX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SMALL CAP GROWTH II CLASS C C 19765Y731 NCPCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SMALL CAP GROWTH II CLASS Z Z 19765Y723 PSCPX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA SMALL CAP INDEX CLASS A A 19765J822 NMSAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA SMALL CAP INDEX CLASS Z Z 19765J814 NMSCX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA SMALL CAP VALUE I CLASS A A 19765N591 CSMIX FRONT END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SMALL CAP VALUE I CLASS B B 19765N583 CSSBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SMALL CAP VALUE I CLASS C C 19765N575 CSSCX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SMALL CAP VALUE I CLASS Z Z 19765N567 CSCZX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA SMALL CAP VALUE II CLASS A A 19765J798 COVAX FRONT END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SMALL CAP VALUE II CLASS B B 19765J780 COVBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SMALL CAP VALUE II CLASS C C 19765J772 COVCX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA SMALL CAP VALUE II CLASS Z Z 19765J764 NSVAX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA SOUTH CAROLINA INTERMEDIATE MUNICIPAL BON A 19765J574 NSCIX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM

COLUMBIA SOUTH CAROLINA INTERMEDIATE MUNICIPAL BON C 19765J558 NSICX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA STRATEGIC INCOME CLASS A A 19765L801 COSIX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA STRATEGIC INCOME CLASS B B 19765L884 CLSBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA STRATEGIC INCOME CLASS C C 19765L876 CLSCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA STRATEGIC INCOME CLASS Z Z 19765L694 LSIZX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA TAX EXEMPT CLASS A A 19765L850 COLTX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA TAX EXEMPT CLASS B B 19765L843 CTEBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA TAX EXEMPT CLASS C C 19765L835 COLCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA TAX EXEMPT CLASS Z Z 19765L629 CTEZX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA TECHNOLOGY CLASS A A 19765P539 CTCAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA TECHNOLOGY CLASS B B 19765P521 CTCBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA TECHNOLOGY CLASS C C 19765P513 CTHCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA TECHNOLOGY CLASS Z Z 19765P489 CMTFX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA THERMOSTAT CLASS A A 197199755 CTFAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA THERMOSTAT CLASS B B 197199748 CTFBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA THERMOSTAT CLASS C C 197199730 CTFDX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA THERMOSTAT CLASS Z Z 197199722 COTZX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA US GOVERNMENT MORTGAGE CLASS A A 19766J102 AUGAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA US GOVERNMENT MORTGAGE CLASS B B 19766J201 AUGBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA US GOVERNMENT MORTGAGE CLASS C C 19766J300 AUGCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA US TREASURY INDEX CLASS A A 19765N641 LUTAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA US TREASURY INDEX CLASS B B 19765N633 LUTBX BACK END NON-NTF N/A COLUMBIA N 2000 1 1000 3 4:00 PM
COLUMBIA US TREASURY INDEX CLASS C C 19765N625 LUTCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA US TREASURY INDEX CLASS Z Z 19765N617 IUTIX NO LOAD NON-NTF N/A COLUMBIA N 2000 1 1000 1 4:00 PM
COLUMBIA VALUE AND RESTRUCTURING CLASS A A 19765Y548 EVRAX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA VALUE AND RESTRUCTURING CLASS C C 19765Y530 EVRCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA VALUE AND RESTRUCTURING CLASS Z Z 19765Y514 UMBIX NO LOAD NON-NTF N/A COLUMBIA Y 2000 1 1000 1 4:00 PM
COLUMBIA VIRGINIA INTERMEDIATE MUNICIPAL BOND CLASS A 19765J392 NVAFX FRONT END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COLUMBIA VIRGINIA INTERMEDIATE MUNICIPAL BOND CLASS C 19765J376 NVRCX BACK END NON-NTF N/A COLUMBIA Y 2000 1 1000 3 4:00 PM
COMMONWEALTH AFRICA N/A 203042502 CAFRX NO LOAD NON-NTF 2% < 14 DAYS COMMONWEALTH Y 200 1 200 1 4:00 PM

COMMONWEALTH AUSTRALIA / NEW ZEALAND N/A 203042205 CNZLX NO LOAD NON-NTF 2% < 14 DAYS COMMONWEALTH Y 200 1 200 1 4:00 PM
COMMONWEALTH GLOBAL N/A 203042304 CNGLX NO LOAD NON-NTF 2% < 14 DAYS COMMONWEALTH Y 200 1 200 1 4:00 PM
COMMONWEALTH JAPAN N/A 203042106 CNJFX NO LOAD NON-NTF 2% < 14 DAYS COMMONWEALTH Y 200 1 200 1 4:00 PM
COMMONWEALTH REAL ESTATE N/A 203042403 CNREX NO LOAD NON-NTF 2% < 14 DAYS COMMONWEALTH Y 200 1 200 1 4:00 PM
COMPASS EMP ALTERNATIVE STRATEGIES CLASS A A 62827L534 CAIAX FRONT END NON-NTF N/A COMPASS EMP Y 1000 100 1000 1 4:00 PM
COMPASS EMP ALTERNATIVE STRATEGIES CLASS C C 62827L526 CAICX BACK END NON-NTF N/A COMPASS EMP Y 1000 100 1000 1 4:00 PM
COMPASS EMP ALTERNATIVE STRATEGIES CLASS T T 62827L518 CAITX FRONT END NON-NTF N/A COMPASS EMP Y 1000 100 1000 1 4:00 PM
COMPASS EMP MULTI ASSET BALANCED CLASS A A 62827L591 CTMAX FRONT END NON-NTF N/A COMPASS EMP Y 1000 100 1000 1 4:00 PM
COMPASS EMP MULTI ASSET BALANCED CLASS C C 62827L583 CTMCX BACK END NON-NTF N/A COMPASS EMP Y 1000 100 1000 1 4:00 PM
COMPASS EMP MULTI ASSET BALANCED CLASS T T 62827L575 CTMTX FRONT END NON-NTF N/A COMPASS EMP Y 1000 100 1000 1 4:00 PM
COMPASS EMP MULTI ASSET GROWTH CLASS A A 62827L567 LTGAX FRONT END NON-NTF N/A COMPASS EMP Y 1000 100 1000 1 4:00 PM
COMPASS EMP MULTI ASSET GROWTH CLASS C C
62827L559 LTGCX BACK END NON-NTF N/A COMPASS EMP Y 1000 100 1000 1 4:00 PM
COMPASS EMP MULTI ASSET GROWTH CLASS T T 62827L542 LTGTX FRONT END NON-NTF N/A COMPASS EMP Y 1000 100 1000 1 4:00 PM
CONESTOGA FUNDS N/A 207019100 CCASX NO LOAD NON-NTF N/A CONESTOGA Y 2500 1 2500 1 4:00 PM
CONGRESSIONAL EFFECT N/A 207267105 CEFFX NO LOAD NON-NTF 1% < 60 DAYS CONGRESSIONAL EFFECT Y 1000 1 1000 1 4:00 PM
CONGRESSIONAL EFFECT SERVICE SHARES SERVICE 207267204 CEFRX NO LOAD NON-NTF 1% < 60 DAYS CONGRESSIONAL EFFECT Y 1000 250 1000 1 4:00 PM
COPELAND RISK MANAGED DIVIDEND GROWTH CLASS A A 21724W209 CDGRX FRONT END NON-NTF 1% < 30 DAYS COPELAND Y 1000 500 250 3 4:00 PM
COPELAND RISK MANAGED DIVIDEND GROWTH CLASS C C 21724W100 CDCRX BACK END NON-NTF 1% < 30 DAYS COPELAND Y 1000 500 250 3 4:00 PM
CORTINA SMALL CAP GROWTH INSTITUTIONAL INSTL 220584205 CRSGX NO LOAD NON-NTF 2% < 60 DAYS CORTINA Y 100000 10000 1 1 4:00 PM
CORTINA SMALL CAP VALUE INSTITUTIONAL INSTL 220584304 CRSVX NO LOAD NON-NTF 2% < 60 DAYS CORTINA Y 100000 10000 1 1 4:00 PM
CRA QUALIFIED INVESTMENT INSTL INSTL 204029201 CRANX NO LOAD NON-NTF N/A CRA Y 500000 1 500000 1 4:00 PM
CRA QUALIFIED INVESTMENT RETAIL RETAIL 204029300 CRATX NO LOAD NON-NTF N/A CRA Y 2500 1000 2500 1 4:00 PM
CREDIT SUISSE ADVISOR FIXED INCOME ADVISOR 22542N207 WPFAX NO LOAD NON-NTF N/A CREDIT SUISSE Y 1 1 1 1 4:00 PM
CREDIT SUISSE CASH RESERVE CLASS A A 22543A204 CURXX FRONT END NON-NTF N/A CREDIT SUISSE Y 2500 100 500 1 4:00 PM
CREDIT SUISSE COMMODITY RETURN STRATEGY CLASS A A 22544R107 CRSAX FRONT END NON-NTF 2% < 30 DAYS CREDIT SUISSE Y 2500 100 500 1 4:00 PM
CREDIT SUISSE COMMODITY RETURN STRATEGY CLASS B B 22544R206 CRSCX BACK END NON-NTF 2% < 30 DAYS CREDIT SUISSE Y 2500 100 500 1 4:00 PM
CREDIT SUISSE COMMODITY RETURN STRATEGY INSTL INSTL 22544R305 CRSOX NO LOAD NON-NTF 2% < 30 DAYS CREDIT SUISSE Y 2500 100 500 1 4:00 PM
CREDIT SUISSE FLOATING RATE HIGH INCOME CLASS A A 22540S877 CHIAX FRONT END NON-NTF 2% < 30 DAYS CREDIT SUISSE Y 2500 100 500 1 4:00 PM
18

CREDIT SUISSE FLOATING RATE HIGH INCOME CLASS B B 22540S869 CHOBX BACK END NON-NTF 2% < 30 DAYS CREDIT SUISSE N 2500 100 500 1 4:00 PM
CREDIT SUISSE FLOATING RATE HIGH INCOME CLASS C C 22540S851 CHICX BACK END NON-NTF 2% < 30 DAYS CREDIT SUISSE Y 2500 100 500 1 4:00 PM
CREDIT SUISSE SMALL CAP GROWTH CLASS A A 22543N305 CUSLX FRONT END NON-NTF N/A CREDIT SUISSE Y 2500 100 500 1 4:00 PM
CRM ALL CAP VALUE INSTITUTIONAL CLASS INSTL 12626X833 CRIEX NO LOAD NON-NTF N/A CRM Y 1000000 1 1 1 4:00 PM
CRM ALL CAP VALUE INVESTOR CLASS INVESTOR 12626X841 CRMEX NO LOAD NON-NTF N/A CRM Y 2500 100 2000 1 4:00 PM
CRM GLOBAL OPPORTUNITY INSTITUTIONAL CLASS INSTL 12628J501 CRIWX NO LOAD NON-NTF 1.5% < 30 DAYS CRM Y 1000000 1 1 1 4:00 PM
CRM GLOBAL OPPORTUNITY INVESTOR CLASS INVESTOR 12628J600 CRMWX NO LOAD NON-NTF N/A CRM Y 2500 100 2000 1 4:00 PM
CRM INTERNATIONAL OPPORTUNITY INSTITUTIONAL CLASS INSTL 12628J709 CRIIX NO LOAD NON-NTF 1.5% < 30 DAYS CRM Y 1000000 1 1 1 4:00 PM
CRM LARGE CAP OPPORTUNITY INSTITUTIONAL CLASS INSTL 12628J105 CRIGX NO LOAD NON-NTF N/A CRM Y 1000000 1 1 1 4:00 PM
CRM MID CAP VALUE INSTITUTIONAL CLASS INSTL 92934R769 CRIMX NO LOAD NON-NTF N/A CRM N 1000000 1 1 1 4:00 PM
CRM MID CAP VALUE INVESTOR CLASS INVESTOR 92934R777 CRMMX NO LOAD NON-NTF N/A CRM Y 2500 100 2000 1 4:00 PM
CRM MID LARGE CAP VALUE INVESTOR CLASS INVESTOR 12628J204 CRMGX NO LOAD NON-NTF N/A CRM Y 2500 100 2000 1 4:00 PM
CRM SMALL CAP VALUE INSTITUTIONAL CLASS INSTL 92934R785 CRISX NO LOAD NON-NTF N/A CRM Y 1000000 1 1 1 4:00 PM
CRM SMALL CAP VALUE INVESTOR CLASS INVESTOR 92934R793 CRMSX NO LOAD NON-NTF N/A CRM Y 2500 100 2000 1 4:00 PM
CRM SMALL MID CAP VALUE INSTITUTIONAL CLASS INSTL 92934R116 CRIAX NO LOAD NON-NTF N/A CRM Y 1000000 1 1 1 4:00 PM
CRM SMALL MID CAP VALUE INVESTOR CLASS INVESTOR 92934R124 CRMAX NO LOAD NON-NTF N/A CRM Y 2500 100 2000 1 4:00 PM
CROFT INCOME N/A 227061207 CLINX NO LOAD NON-NTF 2% < 30 DAYS CROFT Y 2000 200 500 1 4:00 PM
CROFT VALUE N/A 227061108 CLVFX NO LOAD NON-NTF 2% < 30 DAYS CROFT Y 2000 200 500 1 4:00 PM
CULLEN EMERGING MARKETS CLASS C C 230001760 CEMGX BACK END NON-NTF 2% < 7 DAYS CULLEN Y 1000 100 250 1 4:00 PM
CULLEN EMERGING MARKETS RETAIL CLASS RETAIL 230001745 CEMDX NO LOAD NON-NTF 2% < 7 DAYS CULLEN Y 1000 100 250 1 4:00 PM
CULLEN HIGH DIVIDEND CLASS C C 230001307 CHVCX BACK END NON-NTF 2% < 7 DAYS CULLEN Y 1000 100 250 1 4:00 PM
CULLEN HIGH DIVIDEND RETAIL CLASS RETAIL 230001208 CHDEX NO LOAD NON-NTF 2% < 7 DAYS CULLEN Y 1000 100 250 1 4:00 PM
CULLEN INTERNATIONAL HIGH DIVIDEND CLASS C C 230001604 CIHCX BACK END NON-NTF 2% < 7 DAYS CULLEN Y 1000 100 250 1 4:00 PM
CULLEN INTERNATIONAL HIGH DIVIDEND RETAIL CLASS RETAIL 230001505 CIHDX NO LOAD NON-NTF 2% < 7 DAYS CULLEN Y 1000 100 250 1 4:00 PM
CULLEN SMALL CAP VALUE CLASS C C 230001844 CUSCX BACK END NON-NTF 2% < 7 DAYS CULLEN Y 1000 100 250 1 4:00 PM
CULLEN SMALL CAP VALUE RETAIL CLASS RETAIL 230001851 CUSRX NO LOAD NON-NTF 2% < 7 DAYS CULLEN Y 1000 100 250 1 4:00 PM
CULLEN VALUE CLASS C C 230001794 CVLFX BACK END NON-NTF 2% < 7 DAYS CULLEN Y 1000 100 250 1 4:00 PM
CULLEN VALUE RETAIL CLASS RETAIL 230001778 CVLEX NO LOAD NON-NTF 2% < 7 DAYS CULLEN Y 1000 100 250 1 4:00 PM
CURRENCY STRATEGIES FUND N/A 66537T547 FOREX NO LOAD NON-NTF N/A CURRENCY Y 2500 100 2500 1 4:00 PM
CUSHING MLP CLASS A A 23162P100 CSHAX FRONT END NON-NTF 2% < 60 DAYS CUSHING Y 2000 100 250 1 4:00 PM

CUSHING MLP PREMIER INCOME CLASS C C 23162P209 CSHCX BACK END NON-NTF 2% < 60 DAYS CUSHING Y 2000 100 250 1 4:00 PM
DAVIS APPRECIATION AND INCOME CLASS A A 239103880 RPFCX FRONT END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS APPRECIATION AND INCOME CLASS B B 239103872 DCSBX BACK END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS APPRECIATION AND INCOME CLASS C C 239103732 DCSCX BACK END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS FINANCIAL CLASS A A 239103500 RPFGX FRONT END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS FINANCIAL CLASS B B 239103609 DFIBX BACK END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS FINANCIAL CLASS C C 239103740 DFFCX BACK END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS GLOBAL CLASS A A 239080872 DGFAX FRONT END NON-NTF 2% < 30 DAYS DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS GLOBAL CLASS B B 239080864 DGFBX BACK END NON-NTF 2% < 30 DAYS DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS GLOBAL CLASS C C 239080856 DGFCX BACK END NON-NTF 2% < 30 DAYS DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS GOVERNMENT BOND CLASS A A 239103708 RFBAX FRONT END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS GOVERNMENT BOND CLASS B B 239103807 VRPFX BACK END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS GOVERNMENT BOND CLASS C C 239103757 DGVCX BACK END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS GOVERNMENT MONEY MARKET CLASS A A 239103864 RPGXX FRONT END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS GOVERNMENT MONEY MARKET CLASS B B 239103856 DBMZZ BACK END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS GOVERNMENT MONEY MARKET CLASS C C 239103849 DCMZZ BACK END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS GROWTH OPPORTUNITY CLASS A A 239103104 RPEAX FRONT END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS GROWTH OPPORTUNITY CLASS B B 239103203 RPFEX BACK END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS GROWTH OPPORTUNITY CLASS C C 239103765 DGOCX BACK END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS NEW YORK VENTURE CLASS A A 239080104 NYVTX FRONT END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS NEW YORK VENTURE CLASS B B 239080203 NYVBX BACK END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS NEW YORK VENTURE CLASS C C 239080302 NYVCX BACK END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS REAL ESTATE CLASS A A 239103302 RPFRX FRONT END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS REAL ESTATE CLASS B B 239103401 DREBX BACK END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DAVIS REAL ESTATE CLASS C C 239103724 DRECX BACK END NON-NTF N/A DAVIS Y 1000 25 1000 3 4:00 PM
DELAWARE CASH RESERVES CLASS A A 245910104 DCRXX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE CASH RESERVES CLASS B B 245910302 DCBXX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE CASH RESERVES CLASS C C 245910401 DCCXX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE CORE BOND CLASS A A 245908710 DPFIX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE CORE BOND CLASS C C 245908694 DCBCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM

DELAWARE CORE PLUS BOND CLASS A A 246094205 DEGGX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE CORE PLUS BOND CLASS B A 246094601 DEGBX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE CORE PLUS BOND CLASS C C 246094700 DUGCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE CORPORATE BOND CLASS A A 245908785 DGCAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE CORPORATE BOND CLASS B B 245908777 DGCBX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE CORPORATE BOND CLASS C C 245908769 DGCCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE CORPORATE BOND CLASS I I 245908751 DGCIX NO LOAD NON-NTF N/A DELAWARE Y 1000000 1 1000000 3 4:00 PM
DELAWARE DIVERSIFIED INCOME CLASS A A 246248744 DPDFX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE DIVERSIFIED INCOME CLASS B B 246248611 DPBFX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE DIVERSIFIED INCOME CLASS C C 246248595 DPCFX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE DIVERSIFIED INCOME CLASS I I 246248587 DPFFX NO LOAD NON-NTF N/A DELAWARE Y 1000000 1 1000000 3 4:00 PM
DELAWARE DIVIDEND INCOME CLASS A A 24610B107 DDIAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE DIVIDEND INCOME CLASS B B 24610B206 DDDBX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE DIVIDEND INCOME CLASS C C 24610B305 DDICX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE EMERGING MARKETS CLASS A A 245914841 DEMAX FRONT END NON-NTF N/A DELAWARE Y 50000 100 250 3 4:00 PM
DELAWARE EMERGING MARKETS CLASS B B 245914833 DEMBX BACK END NON-NTF N/A DELAWARE N 50000 100 250 3 4:00 PM
DELAWARE EMERGING MARKETS CLASS C C 245914825 DEMCX BACK END NON-NTF N/A DELAWARE Y 50000 100 250 3 4:00 PM
DELAWARE EMERGING MARKETS CLASS I I 245914817 DEMIX NO LOAD NON-NTF N/A DELAWARE Y 1000000 1 1000000 3 4:00 PM
DELAWARE EXTENDED DURATION BOND CLASS A A 245908835 DEEAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE EXTENDED DURATION BOND CLASS B B 245908827 DEEBX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE EXTENDED DURATION BOND CLASS C C 245908819 DEECX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE EXTENDED DURATION BOND CLASS I I 245908793 DEEIX NO LOAD NON-NTF N/A DELAWARE Y 1000000 1 1000000 3 4:00 PM
DELAWARE FOCUS GLOBAL GROWTH CLASS A A 246118541 DGGAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE FOCUS GLOBAL GROWTH CLASS C C 246118533 DGGCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE FOUNDATION CONSERVATIVE ALLOCATION CLAS
S
A 245918107 DFIAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE FOUNDATION CONSERVATIVE ALLOCATION CLAS
S
B 245918206 DFIDX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM

DELAWARE FOUNDATION CONSERVATIVE ALLOCATION CLAS
S
C 245918305 DFICX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE FOUNDATION EQUITY CLASS A A 245918792 DFEAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE FOUNDATION EQUITY CLASS C C 245918784 DFECX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE FOUNDATION GROWTH ALLOCATION CLASS A A 245918883 DFGAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE FOUNDATION GROWTH ALLOCATION CLASS B B 245918875 DFGDX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE FOUNDATION GROWTH ALLOCATION CLASS C C 245918867 DFGCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE FOUNDATION MODERATE ALLOCATION CLASS A A 245918503 DFBAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE FOUNDATION MODERATE ALLOCATION CLASS B B 245918602 DFBBX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE FOUNDATION MODERATE ALLOCATION CLASS C C 245918701 DFBCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE GLOBAL VALUE CLASS A A 245914718 DABAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE GLOBAL VALUE CLASS B B 245914692 DABBX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE GLOBAL VALUE CLASS C C 245914684 DABCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE HEALTH CARE CLASS A A 24610E101 DLHAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE HEALTH CARE CLASS C C 24610E200 DLHCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE HEALTHCARE CLASS I I 24610E408 DLHIX NO LOAD NON-NTF N/A DELAWARE Y 1000000 1 1000000 3 4:00 PM
DELAWARE HIGH YIELD OPPORTUNITIES CLASS A A 245908876 DHOAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE HIGH YIELD OPPORTUNITIES CLASS B B 245908868 DHOBX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE HIGH YIELD OPPORTUNITIES CLASS C C 245908850 DHOCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE HIGH YIELD OPPORTUNITIES CLASS I I 245908843 DHOIX NO LOAD NON-NTF N/A DELAWARE Y 1000000 1 1000000 3 4:00 PM
DELAWARE INFLATION PROTECTED BOND CLASS A A 246094882 DIPAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE INFLATION PROTECTED BOND CLASS B B 246094874 DIPBX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE INFLATION PROTECTED BOND CLASS C C 246094866 DIPCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE INFLATION PROTECTED BOND CLASS I I 246094858 DIPIX NO LOAD NON-NTF N/A DELAWARE Y 1000000 1 1000000 3 4:00 PM
DELAWARE INTERNATIONAL BOND CLASS A A 245917695 DPIFX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE INTERNATIONAL BOND CLASS C C 245917687 DCIFX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE INTERNATIONAL BOND CLASS I I 245917661 DIIFX NO LOAD NON-NTF N/A DELAWARE Y 1000000 1 1000000 3 4:00 PM
DELAWARE INTERNATIONAL EQUITY CLASS A A 245914106 DEGIX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE INTERNATIONAL EQUITY CLASS B B 245914700 DEIEX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM

DELAWARE INTERNATIONAL EQUITY CLASS C C 245914858 DEGCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE INTERNATIONAL VALUE EQUITY CLASS I I 245914403 DEQIX NO LOAD NON-NTF N/A DELAWARE Y 1000000 1 1000000 3 4:00 PM
DELAWARE LIMITED TERM DIVERSIFIED INCOME CLASS A A 245912308 DTRIX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE LIMITED TERM DIVERSIFIED INCOME CLASS B B 245912605 DTIBX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE LIMITED TERM DIVERSIFIED INCOME CLASS C C 245912704 DTICX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE MACQUARIE GLOBAL INFRASTRUCTURE CLASS I I 245914536 DMGIX NO LOAD NON-NTF N/A DELAWARE Y 1000000 1 1000000 3 4:00 PM
DELAWARE MACQUARIE GLOBAL INTRASTRUCTURE CLASS A A 245914551 DMGAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE MACQUARIE GLOBAL INTRASTRUCTURE CLASS C C 245914544 DMGCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
19
DELAWARE MID CAP VALUE CLASS A A 246093868 DLMAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE MID CAP VALUE CLASS C C 246093850 DLMCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE MINNESOTA HIGH YIELD MUNICIPAL BOND CLASS A 928928316 DVMHX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE MINNESOTA HIGH YIELD MUNICIPAL BOND CLASS B 928928290 DVMYX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE MINNESOTA HIGH YIELD MUNICIPAL BOND CLASS C 928928282 DVMMX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE NATIONAL HIGH YIELD BOND CLASS A A 928928241 CXHYX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE NATIONAL HIGH YIELD BOND CLASS B B 928928233 DVNYX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE NATIONAL HIGH YIELD BOND CLASS C C 928928225 DVHCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE REAL ESTATE INVESTMENT TRUST CLASS A A 246248868 DPREX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE REAL ESTATE INVESTMENT TRUST CLASS B B 246248819 DPRBX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE REAL ESTATE INVESTMENT TRUST CLASS C C 246248793 DPRCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE REIT CLASS I I 246248777 DPRSX NO LOAD NON-NTF N/A DELAWARE Y 1000000 1 1000000 3 4:00 PM
DELAWARE SELECT GROWTH CLASS A A 928931104 DVEAX FRONT END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE SELECT GROWTH CLASS B B 928931849 DVEBX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE SELECT GROWTH CLASS C C 928931203 DVECX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE SMALL CAP CORE CLASS A A 24610B883 DCCAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE SMALL CAP CORE CLASS C C 24610B867 DCCCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE SMALL CAP VALUE CLASS A A 246097109 DEVLX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE SMALL CAP VALUE CLASS B B 246097307 DEVBX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE SMALL CAP VALUE CLASS C C 246097406 DEVCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE SMALL CAP VALUE CLASS I I 246097208 DEVIX NO LOAD NON-NTF N/A DELAWARE Y 1000000 1 1000000 3 4:00 PM

DELAWARE SMID CAP GROWTH CLASS A A 245906102 DFCIX FRONT END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE SMID CAP GROWTH CLASS B B 245906300 DFBIX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE SMID CAP GROWTH CLASS C C 245906409 DEEVX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE SMID CAP GROWTH CLASS I I 245906201 DFDIX NO LOAD NON-NTF N/A DELAWARE N 1000000 1 1000000 3 4:00 PM
DELAWARE TAX FREE ARIZONA CLASS A A 928916204 VAZIX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE ARIZONA CLASS B B 928928639 DVABX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE TAX FREE ARIZONA CLASS C C 928916501 DVACX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE CALIFORNIA CLASS A A 928928829 DVTAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE CALIFORNIA CLASS B B 928928811 DVTFX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE TAX FREE CALIFORNIA CLASS C C 928928795 DVFTX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE COLORADO CLASS A A 928920107 VCTFX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE COLORADO CLASS B B 928928787 DVBTX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE TAX FREE COLORADO CLASS C C 92907R101 DVCTX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE IDAHO CLASS A A 928928704 VIDAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE IDAHO CLASS B B 928928746 DVTIX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE TAX FREE IDAHO CLASS C C 928928803 DVICX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE MINNESOTA CLASS A A 928918101 DEFFX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE MINNESOTA CLASS B B 928928696 DMOBX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE TAX FREE MINNESOTA CLASS C C 928918408 DMOCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE MINNESOTA INTERMEDIATE CLASS A A 928930106 DXCCX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE MINNESOTA INTERMEDIATE CLASS B B 928928399 DVSBX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE TAX FREE MINNESOTA INTERMEDIATE CLASS C C 928930205 DVSCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE NEW YORK CLASS A A 928928274 FTNYX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE NEW YORK CLASS B B 928928266 DVTNX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE TAX FREE NEW YORK CLASS C C 928928258 DVFNX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE PENNSYLVANIA CLASS A A 233216100 DELIX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE PENNSYLVANIA CLASS B B 233216209 DPTBX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE TAX FREE PENNYSLVANIA CLASS C C 233216308 DPTCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE USA CLASS A A 245909106 DMTFX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE USA CLASS B B 245909403 DTFCX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM

DELAWARE TAX FREE USA CLASS C C 245909700 DUSCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE USA INTERMEDIATE CLASS A A 245909304 DMUSX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE TAX FREE USA INTERMEDIATE CLASS B B 245909601 DUIBX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE TAX FREE USA INTERMEDIATE CLASS C C 245909882 DUICX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE US GROWTH CLASS A A 245917505 DUGAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE US GROWTH CLASS B B 245917604 DEUBX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE US GROWTH CLASS C C 245917703 DEUCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE US GROWTH CLASS I I 245917802 DEUIX NO LOAD NON-NTF N/A DELAWARE Y 1000000 1 1000000 3 4:00 PM
DELAWARE VALUE CLASS A A 24610C881 DDVAX FRONT END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE VALUE CLASS B B 24610C873 DDVBX BACK END NON-NTF N/A DELAWARE N 1000 100 250 3 4:00 PM
DELAWARE VALUE CLASS C C 24610C865 DDVCX BACK END NON-NTF N/A DELAWARE Y 1000 100 250 3 4:00 PM
DELAWARE VALUE CLASS I I 24610C857 DDVRX NO LOAD NON-NTF N/A DELAWARE Y 1000000 1 1000000 3 4:00 PM
DIAMOND HILL FINANCIAL LONG SHORT CLASS A A 25264S106 BANCX FRONT END NON-NTF N/A DIAMOND HILL Y 2500 1 2500 3 4:00 PM
DIAMOND HILL FINANCIAL LONG SHORT CLASS C C 25264S205 BSGCX BACK END NON-NTF N/A DIAMOND HILL Y 2500 1 2500 3 4:00 PM
DIAMOND HILL FINANCIAL LONG SHORT CLASS I I 25264S825 DHFSX NO LOAD NON-NTF N/A DIAMOND HILL Y 2500 100 2500 3 4:00 PM
DIAMOND HILL LARGE CAP CLASS A A 25264S502 DHLAX FRONT END NON-NTF N/A DIAMOND HILL Y 2500 1 2500 3 4:00 PM
DIAMOND HILL LARGE CAP CLASS C C 25264S601 DHLCX BACK END NON-NTF N/A DIAMOND HILL Y 2500 1 2500 3 4:00 PM
DIAMOND HILL LARGE CAP CLASS I I 25264S841 DHLRX NO LOAD NON-NTF N/A DIAMOND HILL Y 2500 100 2500 3 4:00 PM
DIAMOND HILL LONG SHORT CLASS A A 25264S403 DIAMX FRONT END NON-NTF N/A DIAMOND HILL Y 2500 1 2500 3 4:00 PM
DIAMOND HILL LONG SHORT CLASS C C 25264E107 DHFCX BACK END NON-NTF N/A DIAMOND HILL Y 2500 1 2500 3 4:00 PM
DIAMOND HILL LONG SHORT CLASS I I 25264S833 DHLSX NO LOAD NON-NTF N/A DIAMOND HILL Y 2500 100 2500 3 4:00 PM
DIAMOND HILL SELECT CLASS A A 25264S775 DHTAX FRONT END NON-NTF N/A DIAMOND HILL Y 2500 1 2500 3 4:00 PM
DIAMOND HILL SELECT CLASS C C 25264S767 DHTCX BACK END NON-NTF N/A DIAMOND HILL Y 2500 1 2500 3 4:00 PM
DIAMOND HILL SELECT CLASS I I 25264S759 DHLTX NO LOAD NON-NTF N/A DIAMOND HILL Y 2500 100 2500 3 4:00 PM
DIAMOND HILL SMALL CAP CLASS A A 25264S304 DHSCX FRONT END NON-NTF N/A DIAMOND HILL Y 5000 1 5000 3 4:00 PM
DIAMOND HILL SMALL CAP CLASS C C 25264K103 DHSMX BACK END NON-NTF N/A DIAMOND HILL Y 5000 1 5000 3 4:00 PM
DIAMOND HILL SMALL CAP CLASS I I 25264S858 DHSIX NO LOAD NON-NTF N/A DIAMOND HILL Y 5000 100 5000 3 4:00 PM
DIAMOND HILL SMALL MID CAP CLASS A A 25264S817 DHMAX FRONT END NON-NTF N/A DIAMOND HILL Y 2500 1 2500 3 4:00 PM
DIAMOND HILL SMALL MID CAP CLASS C C 25264S791 DHMCX BACK END NON-NTF N/A DIAMOND HILL Y 2500 1 2500 3 4:00 PM
DIAMOND HILL SMALL MID CAP CLASS I I 25264S783 DHMIX NO LOAD NON-NTF N/A DIAMOND HILL Y 2500 100 2500 3 4:00 PM

DIAMOND HILL STRATEGIC INCOME CLASS A A 25264S882 DSIAX FRONT END NON-NTF N/A DIAMOND HILL Y 2500 1 2500 3 4:00 PM
DIAMOND HILL STRATEGIC INCOME CLASS C C 25264S874 DSICX BACK END NON-NTF N/A DIAMOND HILL Y 2500 1 2500 3 4:00 PM
DIAMOND HILL STRATEGIC INCOME CLASS I I 25264S866 DHSTX NO LOAD NON-NTF N/A DIAMOND HILL Y 2500 100 2500 3 4:00 PM
DIREXION INDEXED COMMODITY TRENDS STRATEGY CLASS
A
A 254939457 DXCTX FRONT END NON-NTF 1% < 90 DAYS DIREXION Y 2500 1 1000 1 3:45 PM
DIREXION INDEXED COMMODITY TRENDS STRATEGY CLASS
C
C 254939341 DXSCX BACK END NON-NTF N/A DIREXION Y 2500 1 1000 1 3:45 PM
DIREXION INDEXED MANAGED FUTURES STRATEGY CLASS A A 254939291 DXMAX FRONT END NON-NTF 1% < 30 DAYS DIREXION Y 2500 1 1000 1 3:45 PM
DIREXION INDEXED MANAGED FUTURES STRATEGY CLASS C C 254939283 DXMCX BACK END NON-NTF N/A DIREXION Y 2500 1 1000 1 3:45 PM
DIREXION MONTHLY 10 YEAR NOTE BEAR 2X INVESTOR CLAS
S
INVESTOR 254939770 DXKSX NO LOAD NON-NTF N/A DIREXION Y 1000 500 1000 1 3:45 PM
DIREXION MONTHLY 10 YEAR NOTE BULL 2XINVESTOR CLAS
S
INVESTOR 254939689 DXKLX NO LOAD NON-NTF N/A DIREXION Y 2500 500 1000 1 3:45 PM
DIREXION MONTHLY CHINA BULL 2X INVESTOR CLASS INVESTOR 254939515 DXHLX NO LOAD NON-NTF N/A DIREXION Y 1000 500 1000 1 3:45 PM
DIREXION MONTHLY COMMODITY BULL 2X INVESTOR CLASS INVESTOR 254939655 DXCLX NO LOAD NON-NTF N/A DIREXION Y 1000 500 1000 1 3:45 PM
DIREXION MONTHLY EMERGING MARKETS BULL 2X INVESTO
R
INVESTOR 254939630 DXELX NO LOAD NON-NTF N/A DIREXION Y 1000 500 1000 1 3:45 PM
DIREXION MONTHLY LATIN AMERICA BULL 2X INVESTOR CLA
S
INVESTOR 254939507 DXZLX NO LOAD NON-NTF N/A DIREXION Y 1000 500 1000 1 3:45 PM
DIREXION MONTHLY NASDAQ 100 BULL 2X INVESTOR CLASS INVESTOR 254939200 DXQLX NO LOAD NON-NTF N/A DIREXION Y 1000 500 1000 1 3:45 PM
DIREXION MONTHLY S&P 500 BEAR 2X INVESTOR CLASS INVESTOR 254939804 DXSSX NO LOAD NON-NTF N/A DIREXION Y 1000 500 1000 1 3:45 PM
DIREXION MONTHLY S&P 500 BULL 2X INVESTOR CLASS INVESTOR 254939705 DXSLX NO LOAD NON-NTF N/A DIREXION Y 1000 500 1000 1 3:45 PM
DIREXION MONTHLY SMALL CAP BEAR 2X INVESTOR CLASS INVESTOR 254939820 DXRSX NO LOAD NON-NTF N/A DIREXION Y 1000 500 1000 1 3:45 PM
DIREXION MONTHLY SMALL CAP BULL 2X INVESTOR CLASS INVESTOR 254939838 DXRLX NO LOAD NON-NTF N/A DIREXION Y 1000 500 1000 1 3:45 PM

DIREXION US GOVERNMENT MONEY MARKET INVESTOR CLA
S
INVESTOR 254939747 DXMXX NO LOAD NON-NTF N/A DIREXION Y 1000 500 1000 1 3:45 PM
DIREXION WILSHIRE DYNAMIC CLASS A A 254939416 DXDWX FRONT END NON-NTF 1% < 90 DAYS DIREXION Y 2500 1 1000 1 3:45 PM
DIREXION WILSHIRE DYNAMIC CLASS C C 254939325 DXWCX BACK END NON-NTF N/A DIREXION Y 2500 1 1000 1 3:45 PM
DODGE AND COX BALANCED N/A 256201104 DODBX NO LOAD NON-NTF N/A DODGE & COX Y 2500 100 1000 1 4:00 PM
DODGE AND COX GLOBAL STOCK N/A 256206202 DODWX NO LOAD NON-NTF N/A DODGE & COX Y 2500 100 1000 1 4:00 PM
DODGE AND COX INCOME N/A 256210105 DODIX NO LOAD NON-NTF N/A DODGE & COX Y 2500 100 1000 1 4:00 PM
DODGE AND COX INTERNATIONAL STOCK N/A 256206103 DODFX NO LOAD NON-NTF N/A DODGE & COX Y 2500 100 1000 1 4:00 PM
DODGE AND COX STOCK N/A 256219106 DODGX NO LOAD NON-NTF N/A DODGE & COX Y 2500 100 1000 1 4:00 PM
DOMINI INTERNATIONAL SOCIAL EQUITY CLASS A A 257132886 DOMAX FRONT END NON-NTF 2% < 30 DAYS DOMINI Y 2500 100 1500 1 4:00 PM
DOMINI INTERNATIONAL SOCIAL EQUITY INVESTOR CLASS INVESTOR 257132704 DOMIX NO LOAD NON-NTF 2% < 30 DAYS DOMINI Y 2500 100 1500 1 4:00 PM
DOMINI SOCIAL BOND INVESTOR CLASS INVESTOR 257132209 DSBFX NO LOAD NON-NTF 2% < 30 DAYS DOMINI Y 2500 100 1500 1 4:00 PM
DOMINI SOCIAL EQUITY CLASS A A 257132860 DSEPX FRONT END NON-NTF 2% < 30 DAYS DOMINI Y 2500 100 1500 1 4:00 PM
DOMINI SOCIAL EQUITY INVESTOR CLASS INVESTOR 257132100 DSEFX NO LOAD NON-NTF 2% < 30 DAYS DOMINI Y 2500 100 1500 1 4:00 PM
DOUBLELINE CORE FIXED INCOME CLASS I I 258620301 DBLFX NO LOAD NON-NTF N/A DOUBLELINE Y 100000 500 5000 1 4:00 PM
DOUBLELINE CORE FIXED INCOME CLASS N N 258620400 DLFNX NO LOAD NON-NTF N/A DOUBLELINE Y 2000 500 500 1 4:00 PM
DOUBLELINE EMERGING MARKETS FIXED INCOME CLASS I I 258620509 DBLEX NO LOAD NON-NTF N/A DOUBLELINE Y 100000 500 5000 1 4:00 PM
DOUBLELINE EMERGING MARKETS FIXED INCOME CLASS N N 258620608 DLENX NO LOAD NON-NTF N/A DOUBLELINE Y 2000 500 500 1 4:00 PM
DOUBLELINE LOW DURATION BOND CLASS I I 258620863 DBLSX NO LOAD NON-NTF N/A DOUBLELINE Y 100000 500 5000 1 4:00 PM
DOUBLELINE LOW DURATION BOND CLASS N N 258620855 DLSNX NO LOAD NON-NTF N/A DOUBLELINE Y 2000 500 500 1 4:00 PM
DOUBLELINE MULTI ASSET GROWTH CLASS A A 258620707 DMLAX FRONT END NON-NTF 1% < 90 DAYS DOUBLELINE Y 2000 500 500 1 4:00 PM
DOUBLELINE MULTI ASSET GROWTH CLASS I I 258620889 DMLIX NO LOAD NON-NTF 1% < 90 DAYS DOUBLELINE Y 100000 500 5000 1 4:00 PM
DOUBLELINE TOTAL RETURN BOND CLASS I I 258620103 DBLTX NO LOAD NON-NTF N/A DOUBLELINE Y 100000 500 5000 1 4:00 PM
DOUBLELINE TOTAL RETURN BOND CLASS N N 258620202 DLTNX NO LOAD NON-NTF N/A DOUBLELINE Y 2000 500 500 1 4:00 PM
20
DREMAN CONTRARIAN SMALL CAP VALUE RETAIL RETAIL 26152T602 DRSVX NO LOAD NON-NTF 1% < 60 DAYS DREMAN Y 2500 1000 2500 1 4:00 PM
BNY MELLON BOND INVESTOR INVESTOR 05569M822 MIBDX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 1 4:00 PM
BNY MELLON MASSACHUSETTS MUNICIPAL BOND INVESTOR INVESTOR 05569M673 MMBIX NO LOAD NON-NTF N/A DREYFUS Y 10000 1000 750 1 4:00 PM
BNY MELLON MID CAP STOCK INVESTOR INVESTOR 05569M608 MIMSX NO LOAD NON-NTF N/A DREYFUS Y 10000 1000 750 1 4:00 PM

BNY MELLON NATIONAL INTERMEDIATE MUNICIPAL BOND IN
V
INVESTOR 05569M756 MINMX NO LOAD NON-NTF N/A DREYFUS N 1000 100 750 1 4:00 PM
DREYFUS 100% US TREASURY MONEY MARKET N/A 261921100 DUSXX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 1 4:00 PM
DREYFUS ACTIVE MID CAP CLASS A A 86271F107 DNLDX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS ACTIVE MID CAP CLASS C C 86271F305 DNLCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS AMT FREE MUNICIPAL BOND CLASS A A 261969802 DMUAX FRONT END NON-NTF N/A DREYFUS Y 10000 1000 10000 3 4:00 PM
DREYFUS AMT FREE MUNICIPAL BOND CLASS C C 261969877 DMUCX BACK END NON-NTF N/A DREYFUS Y 10000 1000 10000 3 4:00 PM
DREYFUS AMT FREE MUNICIPAL RESERVES BASIC SHARES BASIC 261949606 DLRXX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 1 3 4:00 PM
DREYFUS AMT FREE MUNICIPAL RESERVES CLASS B B 261949507 DMBXX BACK END NON-NTF N/A DREYFUS Y 1000 100 1 3 4:00 PM
DREYFUS APPRECIATION N/A 261970107 DGAGX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS BALANCED OPPORTUNITY CLASS A A 26202W100 DBOAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS BALANCED OPPORTUNITY CLASS C C 26202W308 DBOCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS BALANCED OPPORTUNITY CLASS J J 26202W605 THPBX NO LOAD NON-NTF N/A DREYFUS N 2500 100 2000 1 4:00 PM
DREYFUS BALANCED OPPORTUNITY CLASS Z Z 26203C863 DBOZX NO LOAD NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS BASIC MONEY MARKET N/A 261961106 DBAXX NO LOAD NON-NTF N/A DREYFUS Y 25000 1000 5000 1 4:00 PM
DREYFUS BASIC S&P 500 STOCK INDEX N/A 261978811 DSPIX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS BASIC US MORTGAGE SECURITIES N/A 26188N108 DIGFX NO LOAD NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS BOND MARKET INDEX BASIC CLASS BASIC 261978878 DBIRX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS BOND MARKET INDEX INVESTOR CLASS INVESTOR 261978886 DBMIX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS BOSTON COMPANY EMERGING MARKET CORE EQ
U
A 26203E729 DBEAX FRONT END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS BOSTON COMPANY EMERGING MARKET CORE EQ
U
C 26203E711 DBECX BACK END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS BOSTON COMPANY LARGE CAP CORE CLASS A A 26203E760 DBLAX FRONT END NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS BOSTON COMPANY LARGE CAP CORE CLASS C C 26203E752 DBLCX BACK END NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS BOSTON COMPANY SMALL MID CAP GROWTH CLA
S

A 26203E745 DBMAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS BOSTON COMPANY SMALL MID CAP GROWTH CLA
S
C 26203E737 DBMCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS BRAZIL EQUITY CLASS A A 26201H708 DBZAX FRONT END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS BRAZIL EQUITY CLASS C C 26201H807 DBZCX BACK END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS CALIFORNIA AMT FREE MUNICIPAL BOND CLASS A A 26202V102 DCAAX FRONT END NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS CALIFORNIA AMT FREE MUNICIPAL BOND CLASS C C 26202V300 DCACX BACK END NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS CALIFORNIA AMT FREE MUNICIPAL BOND CLASS Z Z 26202V409 DRCAX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS CONNECTICUT MUNICIPAL BOND CLASS A A 26202D102 PSCTX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS CONNECTICUT MUNICIPAL BOND CLASS C C 26202D300 PMCCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS CONNECTICUT MUNICIPAL BOND CLASS Z Z 26202D532 DPMZX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS CONSERVATIVE ALLOCATION N/A 86271F669 SCLAX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS CORE EQUITY CLASS A A 261978217 DLTSX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS CORE EQUITY CLASS C C 261978134 DPECX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS CORE VALUE INVESTOR CLASS INVESTOR 261980601 DCVFX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS DISCIPLINED STOCK N/A 261978340 DDSTX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS DIVERSIFED INTERNATIONAL CLASS A A 261986657 DFPAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS DIVERSIFED INTERNATIONAL CLASS C C 261986640 DFPCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS DIVERSIFIED LARGE CAP CLASS A A 261986343 DVDAX FRONT END NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS DIVERSIFIED LARGE CAP CLASS C C 261986335 DVDCX BACK END NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS EMERGING ASIA CLASS A A 261986699 DEAAX FRONT END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS EMERGING ASIA CLASS C C 261986681 DEACX BACK END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS EMERGING MARKETS CLASS A A 26201H104 DRFMX FRONT END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS EMERGING MARKETS CLASS C C 26201H401 DCPEX BACK END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS EMERGING MARKETS DEBT LOCAL CURRENCY CLA A 261980528 DDBAX FRONT END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS EMERGING MARKETS DEBT LOCAL CURRENCY CLA C 261980510 DDBCX BACK END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS EQUITY INCOME CLASS A A 261980650 DQIAX FRONT END NON-NTF N/A DREYFUS Y 1000 750 750 3 4:00 PM
DREYFUS EQUITY INCOME CLASS C C 261980643 DQICX BACK END NON-NTF N/A DREYFUS Y 1000 750 750 3 4:00 PM
DREYFUS FUND N/A 262003106 DREVX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM

DREYFUS GENERAL TREASURY PRIME MONEY MARKET CLAS
S
A 369899307 GTAXX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS GLOBAL ABSOLUTE RETURN CLASS A A 007565369 DGPAX FRONT END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS GLOBAL ABSOLUTE RETURN CLASS C C 007565351 DGPCX BACK END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS GLOBAL ALPHA CLASS A A 007565104 AVGAX FRONT END NON-NTF N/A DREYFUS Y 1000 750 750 3 4:00 PM
DREYFUS GLOBAL ALPHA CLASS C C 007565203 AVGCX BACK END NON-NTF N/A DREYFUS Y 1000 750 750 3 4:00 PM
DREYFUS GLOBAL DYNAMIC CLASS A A 007565211 DGDAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS GLOBAL DYNAMIC CLASS C C 007565195 DGDCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS GLOBAL EQUITY INCOME CLASS A A 261980619 DEQAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS GLOBAL EQUITY INCOME CLASS C C 261980593 DEQCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS GLOBAL REAL RETURN CLASS A A 007565278 DRRAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS GLOBAL REAL RETURN CLASS C C 007565260 DRRCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS GLOBAL STOCK CLASS A A 86271F834 DGLAX FRONT END NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS GLOBAL STOCK CLASS C C 86271F826 DGLCX BACK END NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS GNMA CLASS A A 26203A107 GPGAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS GNMA CLASS C C 26203A305 GPNCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS GNMA CLASS Z Z 262005101 DRGMX NO LOAD NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS GREATER CHINA CLASS A A 261986509 DPCAX FRONT END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS GREATER CHINA CLASS C C 261986707 DPCCX BACK END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS GROWTH ALLOCATION N/A 86271F644 SGLAX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS GROWTH AND INCOME N/A 261942106 DGRIX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS HIGH YIELD CLASS A A 261980783 DPLTX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS HIGH YIELD CLASS C C 261980767 PTHIX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS HIGH YIELD MUNICIPAL BOND CLASS A A 261969844 DHYAX FRONT END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 1 3 4:00 PM
DREYFUS HIGH YIELD MUNICIPAL BOND CLASS C C 261969836 DHYCX BACK END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 1 3 4:00 PM
DREYFUS HIGH YIELD MUNICIPAL BOND CLASS Z Z 261969869 DHMBX NO LOAD NON-NTF 2% < 60 DAYS DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS INDIA CLASS A A 261986319 DIIAX FRONT END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS INDIA CLASS C C 261986293 DIICX BACK END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS INFLATION ADJUSTED SECURITIES INVESTOR CLAS INVESTOR 261967822 DIAVX NO LOAD NON-NTF N/A DREYFUS Y 10000 100 750 1 4:00 PM

DREYFUS INTERMEDIATE MUNICIPAL BOND N/A 262010101 DITEX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS INTERMEDIATE TERM INCOME CLASS A A 261967202 DRITX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS INTERMEDIATE TERM INCOME CLASS C C 261967798 DTECX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS INTERNATIONAL BOND CLASS A A 261980684 DIBAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 1 3 4:00 PM
DREYFUS INTERNATIONAL BOND CLASS C C 261980676 DIBCX BACK END NON-NTF N/A DREYFUS Y 1000 100 1 3 4:00 PM
DREYFUS INTERNATIONAL EQUITY CLASS A A 26201F108 DIEAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS INTERNATIONAL EQUITY CLASS C C 26201F306 DIECX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS INTERNATIONAL STOCK CLASS A A 86271F784 DISAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS INTERNATIONAL STOCK CLASS C C 86271F776 DISCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS INTERNATIONAL STOCK INDEX N/A 26200Q303 DIISX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS INTERNATIONAL VALUE CLASS A A 26200C601 DVLAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS INTERNATIONAL VALUE CLASS C C 26200C544 DICVX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS LARGE CAP EQUITY CLASS C C 261986558 DEYCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS LIQUID ASSETS N/A 262015100 DLAXX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS MARYLAND MUNICIPAL BOND CLASS A A 26202D870 PSMDX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS MARYLAND MUNICIPAL BOND CLASS C C 26202D854 PMDCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS MASSACHUSETTS MUNICIPAL BOND CLASS A A 26202D847 PSMAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS MASSACHUSETTS MUNICIPAL BOND CLASS Z Z 26202D540 PMAZX NO LOAD NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS MID CAP CORE CLASS A A 26202X603 DPOAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS MID CAP CORE CLASS C C 26202X801 BSOCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS MID CAP GROWTH CLASS A A 262001795 FRSDX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS MID CAP GROWTH CLASS C C 262001688 FRSCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS MID CAP GROWTH CLASS F F 262001498 FRSPX NO LOAD NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS MIDCAP INDEX N/A 712223106 PESPX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS MINNESOTA MUNICIPAL BOND CLASS A A
26202D771 PSMNX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS MINNESOTA MUNICIPAL BOND CLASS C C 26202D755 PMNCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS MODERATE ALLOCATION N/A 86271F651 SMDAX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS MONEY MARKET INSTRUMENT GOVERNMENT SERI
E

N/A 262016207 DMMXX NO LOAD NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS MONEY MARKET RESERVES INVESTOR CLASS INVESTOR 261978100 DPIXX NO LOAD NON-NTF N/A DREYFUS Y 100000 1 100000 1 4:00 PM
DREYFUS MUNICIPAL BOND N/A 26201Q104 DRTAX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS MUNICIPAL BOND CLASS C C 26201Y305 DMBCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS MUNICIPAL BOND CLASS Z Z 26201Y404 DMBZX NO LOAD NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS MUNICIPAL BOND OPPORTUNITY CLASS A A 26201Y107 PTEBX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS NATURAL RESOURCES CLASS A A 26202P857 DNLAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS NATURAL RESOURCES CLASS C C 26202P832 DLDCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS NEW JERSEY MUNICIPAL BOND CLASS A A 26202T107 DRNJX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS NEW JERSEY MUNICIPAL BOND CLASS C C 26202T305 DCNJX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS NEW JERSEY MUNICIPAL BOND CLASS Z Z 26202T404 DZNJX NO LOAD NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS NEW YORK AMT FREE MUNICIPAL BOND CLASS A A 26201V103 PSNYX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS NEW YORK AMT FREE MUNICIPAL BOND CLASS C C 26201V301 PNYCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
21
DREYFUS NEW YORK TAX EXEMPT BOND N/A 261900104 DRNYX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS NEWTON INTERNATIONAL EQUITY CLASS A A 26203E505 NIEAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS NEWTON INTERNATIONAL EQUITY CLASS C C 58552D630 NIECX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS OHIO MUNICIPAL BOND CLASS A A 26202D672 PSOHX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS OHIO MUNICIPAL BOND CLASS C C 26202D656 POHCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS OPPORTUNISTIC FIXED INCOME CLASS A A 261949200 DSTAX FRONT END NON-NTF N/A DREYFUS Y 1000 750 750 3 4:00 PM
DREYFUS OPPORTUNISTIC FIXED INCOME CLASS C C 261949309 DSTCX BACK END NON-NTF N/A DREYFUS Y 1000 750 750 3 4:00 PM
DREYFUS OPPORTUNISTIC MID CAP VALUE CLASS A A 26200C304 DMCVX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS OPPORTUNISTIC MID CAP VALUE CLASS C C 007565328 DVLCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS OPPORTUNISTIC SMALL CAP N/A 26200C403 DSCVX NO LOAD NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS OPPORTUNISTIC US STOCK CLASS A A 007565179 DOSAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS OPPORTUNISTIC US STOCK CLASS C C 007565161 DOSCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS PENNSYLVANIA MUNICIPAL BOND CLASS A A 26202D649 PTPAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS PENNSYLVANIA MUNICIPAL BOND CLASS C C 26202D623 PPACX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS RESEARCH GROWTH CLASS A A 26203H201 DWOAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS RESEARCH GROWTH CLASS C C 26203H300 DWOCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM

DREYFUS RESEARCH GROWTH CLASS Z Z 26203H102 DREQX NO LOAD NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS S&P 500 INDEX N/A 26200Q105 PEOPX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS SATELLITE ALPHA CLASS A A 261986376 DSAAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS SATELLITE ALPHA CLASS C C 261986368 DSACX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS SELECT MANAGER LARGE CAP GROWTH CLASS A A 86271F636 DSLAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS SELECT MANAGER LARGE CAP GROWTH CLASS C C 86271F628 DSLCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS SELECT MANAGER SMALL CAP GROWTH CLASS A A 86271F594 DSGAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS SELECT MANAGER SMALL CAP GROWTH CLASS C C 86271F586 DSGCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS SELECT MANAGER SMALL CAP VALUE CLASS A A 86271F693 DMVAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS SELECT MANAGER SMALL CAP VALUE CLASS C C 86271F685 DMECX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS SHORT INTERMEDIATE GOVERNMENT N/A 261919104 DSIGX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS SHORT INTERMEDIATE MUNICIPAL BOND CLASS A A 261918601 DMBAX FRONT END NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS SHORT INTERMEDIATE MUNICIPAL BOND CLASS D D 261918106 DSIBX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS SHORT INTERMEDIATE MUNICIPAL BOND CLASS P P 261918403 DSBPX NO LOAD NON-NTF N/A DREYFUS N 100000 100 750 1 4:00 PM
DREYFUS SHORT TERM INCOME CLASS D D 261967103 DSTIX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS SHORT TERM INCOME CLASS P P 261967889 DSHPX NO LOAD NON-NTF N/A DREYFUS Y 100000 100 750 1 4:00 PM
DREYFUS SMALL CAP CLASS A A 261978266 DSVAX FRONT END NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS SMALL CAP CLASS C C 261978241 DSVCX BACK END NON-NTF N/A DREYFUS N 1000 100 750 3 4:00 PM
DREYFUS SMALL CAP EQUITY CLASS A A 26201F868 DSEAX FRONT END NON-NTF 1% < 12 MONTHS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS SMALL CAP EQUITY CLASS C C 26201F843 DSECX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS SMALL CAP STOCK INDEX N/A 26200Q204 DISSX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS STANDISH GLOBAL FIXED INCOME CLASS A A 26203F106 DHGAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS STANDISH GLOBAL FIXED INCOME CLASS C C 26203F205 DHGCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS STANDISH INTERMEDIATE TAX EXEMPT BOND CLA
S
A 26203E786 DSDAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS STANDISH INTERMEDIATE TAX EXEMPT BOND CLA
S
C 26203E778 DSDCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS STRATEGIC VALUE CLASS A A 26200C205 DAGVX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM

DREYFUS STRATEGIC VALUE CLASS C C 26200C643 DCGVX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS STRUCTURED MID CAP VALUE CLASS A A 26200C726 DPSAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS STRUCTURED MID CAP VALUE CLASS C C 26200C692 DPSCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS TAX MANAGED GROWTH CLASS A A 261978381 DTMGX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS TAX MANAGED GROWTH CLASS C C 261978365 DPTAX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS TECHNOLOGY GROWTH CLASS A A 26200C882 DTGRX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS TECHNOLOGY GROWTH CLASS C C 26200C866 DTGCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS THIRD CENTURY CLASS A A 26201E101 DTCAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS THIRD CENTURY CLASS C C 26201E309 DTCCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS THIRD CENTURY CLASS Z Z 26201E606 DRTHX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS TOTAL EMERGING MARKETS CLASS A A 007565245 DTMAX FRONT END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS TOTAL EMERGING MARKETS CLASS C C 007565237 DTMCX BACK END NON-NTF 2% < 60 DAYS DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS TOTAL RETURN ADVANTAGE CLASS A A 26202U104 DTRAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 1 3 4:00 PM
DREYFUS TOTAL RETURN ADVANTAGE CLASS C C 26202U203 DTRCX BACK END NON-NTF N/A DREYFUS Y 1000 100 1 3 4:00 PM
DREYFUS US EQUITY CLASS A A 86271F743 DPUAX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS US EQUITY CLASS C C 86271F735 DPUCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS US TREASURY INTERMEDIATE TERM N/A 26202G105 DRGIX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS US TREASURY LONG TERM N/A 261956106 DRGBX NO LOAD NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS WORLDWIDE DOLLAR CLASS A A 26202R200 DWDMZ FRONT END NON-NTF N/A DREYFUS Y 1000 100 1000 3 4:00 PM
DREYFUS WORLDWIDE DOLLAR CLASS C C 26202R507 DWCZZ BACK END NON-NTF N/A DREYFUS Y 1000 100 250 3 4:00 PM
DREYFUS WORLDWIDE GROWTH CLASS A A 261989107 PGROX FRONT END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUS WORLDWIDE GROWTH CLASS C C 261989305 PGRCX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DREYFUSMASSACHUSETTS MUNICIPAL BOND CLASS C C 26202D821 PCMAX BACK END NON-NTF N/A DREYFUS Y 1000 100 750 3 4:00 PM
DRIEHAUS ACTIVE INCOME N/A 262028855 LCMAX NO LOAD NON-NTF 2% < 60 DAYS DRIEHAUS N 25000 5000 2000 1 4:00 PM
DRIEHAUS EMERGING MARKETS GROWTH N/A 262028301 DREGX NO LOAD NON-NTF 2% < 60 DAYS DRIEHAUS Y 10000 2000 2000 1 4:00 PM
DRIEHAUS EMERGING MARKETS SMALL CAP GROWTH N/A 262028830 DRESX NO LOAD NON-NTF 2% < 60 DAYS DRIEHAUS Y 10000 2000 2000 1 4:00 PM
DRIEHAUS GLOBAL GROWTH N/A 262028889 DRGGX NO LOAD NON-NTF 2% < 60 DAYS DRIEHAUS Y 10000 2000 2000 1 4:00 PM
DRIEHAUS INTERNATIONAL DISCOVERY N/A 262028509 DRIDX NO LOAD NON-NTF 2% < 60 DAYS DRIEHAUS Y 10000 2000 2000 1 4:00 PM
DRIEHAUS INTERNATIONAL EQUITY YIELD N/A 262028707 DRIYX NO LOAD NON-NTF 2% < 60 DAYS DRIEHAUS N 10000 2000 2000 1 4:00 PM
DRIEHAUS INTERNATIONAL SMALL CAP GROWTH N/A 262028806 DRIOX NO LOAD NON-NTF 2% < 60 DAYS DRIEHAUS N 10000 2000 2000 1 4:00 PM

DRIEHAUS LARGE CAP GROWTH N/A 262028863 DRLGX NO LOAD NON-NTF 2% < 60 DAYS DRIEHAUS Y 10000 2000 2000 1 4:00 PM
DRIEHAUS MID CAP GROWTH N/A 262028871 DRMGX NO LOAD NON-NTF 2% < 60 DAYS DRIEHAUS Y 10000 2000 2000 1 4:00 PM
DRIEHAUS SELECT CREDIT N/A 262028848 DRSLX NO LOAD NON-NTF N/A DRIEHAUS Y 25000 5000 2000 1 4:00 PM
DUNCAN HURST CAN SLIM SELECT N/A 742935448 CANGX NO LOAD NON-NTF 1% < 1 MONTH DUNCAN HURST Y 2500 100 2000 3 4:00 PM
DUNDEE WEALTH DYNAMIC CONTRARIAN ADVANTAGE CLAS
S
I 265313791 DWGVX NO LOAD NON-NTF 2% < 90 DAYS DUNDEE WEALTH Y 10000 1 10000 3 4:00 PM
DUNDEE WEALTH DYNAMIC DISCOVERY CLASS I I 265313775 DWGDX NO LOAD NON-NTF 2% < 90 DAYS DUNDEE WEALTH Y 10000 1 10000 3 4:00 PM
DUNDEE WEALTH DYNAMIC ENERGY INCOME CLASS I I 265313700 DWEIX NO LOAD NON-NTF 2% < 90 DAYS DUNDEE WEALTH Y 10000 1 10000 3 4:00 PM
DUNDEE WEALTH DYNAMIC GOLD AND PRECIOUS METALS C
L
I 265313759 DWGOX NO LOAD NON-NTF 2% < 90 DAYS DUNDEE WEALTH Y 10000 1 10000 3 4:00 PM
DUNDEE WEALTH DYNAMIC INFRASTRUCTURE CLASS I I 265313841 DWGIX NO LOAD NON-NTF 2% < 90 DAYS DUNDEE WEALTH Y 10000 1 10000 3 4:00 PM
DUNDEE WEALTH DYNAMIC US GROWTH CLASS I I 265313718 DWUGX NO LOAD NON-NTF 2% < 90 DAYS DUNDEE WEALTH Y 10000 1 10000 3 4:00 PM
DUNDEE WEALTH JOHCM INTERNATIONAL SELECT CLASS I I 265313668 JOHIX NO LOAD NON-NTF 2% < 90 DAYS DUNDEE WEALTH Y 10000 1 10000 3 4:00 PM
DUNDEE WEALTH MOUNT LUCAS US FOCUSED EQUITY CLAS
S
I 265313304 BMLEX NO LOAD NON-NTF 2% < 90 DAYS DUNDEE WEALTH Y 10000 1 10000 3 4:00 PM
DUNDEE WEALTH SMITH GROUP LARGE CAP CORE GROWTH I 265313106 BSLGX NO LOAD NON-NTF 2% < 90 DAYS DUNDEE WEALTH Y 10000 1 10000 3 4:00 PM
DUNHAM APPRECIATION AND INCOME CLASS A A 265458703 DAAIX FRONT END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM APPRECIATION AND INCOME CLASS C C 265458802 DCAIX BACK END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM APPRECIATION AND INCOME CLASS N N 265458885 DNAIX NO LOAD NON-NTF N/A DUNHAM Y 100000 1 50000 1 4:00 PM
DUNHAM CORPORATE GOVERNMENT BOND CLASS A A 265458109 DACGX FRONT END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM CORPORATE GOVERNMENT BOND CLASS C C 265458208 DCCGX BACK END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM CORPORATE GOVERNMENT BOND CLASS N N 265458307 DNCGX NO LOAD NON-NTF N/A DUNHAM Y 100000 1 50000 1 4:00 PM
DUNHAM EMERGING MARKETS STOCK CLASS A A 265458679 DAEMX FRONT END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM EMERGING MARKETS STOCK CLASS C C 265458661 DCEMX BACK END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM EMERGING MARKETS STOCK CLASS N N 265458653 DNEMX NO LOAD NON-NTF N/A DUNHAM Y 100000 1 50000 1 4:00 PM
DUNHAM HIGH YIELD BOND CLASS A A 265458406 DAHYX FRONT END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM HIGH YIELD BOND CLASS C C 265458505 DCHYX BACK END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM

DUNHAM HIGH YIELD BOND CLASS N N 265458604 DNHYX NO LOAD NON-NTF N/A DUNHAM Y 100000 1 50000 1 4:00 PM
DUNHAM INTERNATIONAL STOCK CLASS A A 265458810 DAINX FRONT END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM INTERNATIONAL STOCK CLASS C C 265458794 DCINX BACK END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM INTERNATIONAL STOCK CLASS N N 265458786 DNINX NO LOAD NON-NTF N/A DUNHAM Y 100000 1 50000 1 4:00 PM
DUNHAM LARGE CAP GROWTH CLASS A A 265458745 DALGX FRONT END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM LARGE CAP GROWTH CLASS C C 265458737 DCLGX BACK END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM LARGE CAP GROWTH CLASS N N 265458729 DNLGX NO LOAD NON-NTF N/A DUNHAM Y 100000 1 50000 1 4:00 PM
DUNHAM LARGE CAP VALUE CLASS A A 265458877 DALVX FRONT END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM LARGE CAP VALUE CLASS C C 265458869 DCLVX BACK END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM LARGE CAP VALUE CLASS N N 265458851 DNLVX NO LOAD NON-NTF N/A DUNHAM Y 100000 1 50000 1 4:00 PM
DUNHAM MONTHLY DISTRIBUTION CLASS A A 265458646 DAMDX FRONT END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM MONTHLY DISTRIBUTION CLASS C C 265458638 DCMDX BACK END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM MONTHLY DISTRIBUTION CLASS N N 265458620 DNMDX BACK END NON-NTF N/A DUNHAM Y 5000 1 2000 1 4:00 PM
DUNHAM REAL ESTATE STOCK CLASS A A 265458844 DAREX FRONT END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM REAL ESTATE STOCK CLASS C C 265458836 DCREX BACK END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM REAL ESTATE STOCK CLASS N N 265458828 DNREX NO LOAD NON-NTF N/A DUNHAM Y 100000 1 50000 1 4:00 PM
DUNHAM SMALL CAP GROWTH CLASS A A 265458711 DADGX FRONT END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM SMALL CAP GROWTH CLASS C C 265458695 DCDGX BACK END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM SMALL CAP GROWTH CLASS N N 265458687 DNDGX NO LOAD NON-NTF N/A DUNHAM Y 100000 1 50000 1 4:00 PM
DUNHAM SMALL CAP VALUE CLASS A A 265458778 DASVX FRONT END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM SMALL CAP VALUE CLASS C C 265458760 DCSVX BACK END NON-NTF N/A DUNHAM Y 5000 100 2000 1 4:00 PM
DUNHAM SMALL CAP VALUE CLASS N N 265458752 DNSVX NO LOAD NON-NTF N/A DUNHAM Y 100000 1 50000 1 4:00 PM
DUPREE ALABAMA TAX FREE INCOME SERIES N/A 266155852 DUALX NO LOAD NON-NTF N/A DUPREE Y 100 1 0 1 4:00 PM
DUPREE INTERMEDIATE GOVERNMENT BOND SERIES N/A 266155407 DPIGX NO LOAD NON-NTF N/A DUPREE Y 100 1 1 1 4:00 PM
DUPREE KENTUCKY TAX FREE INCOME SERIES N/A 266155100 KYTFX NO LOAD NON-NTF N/A DUPREE Y 100 1 0 1 4:00 PM
DUPREE KENTUCKY TAX FREE SHORT TO MEDIUM SERIES N/A 266155209 KYSMX NO LOAD NON-NTF N/A DUPREE Y 100 1 0 1 4:00 PM
22
DUPREE MISSISSIPPI TAX FREE INCOME SERIES N/A 266155878 DUMSX NO LOAD NON-NTF N/A DUPREE Y 100 1 0 1 4:00 PM
DUPREE NORTH CAROLINA TAX FREE INCOME SERIES N/A 266155704 NTFIX NO LOAD NON-NTF N/A DUPREE Y 100 1 0 1 4:00 PM
DUPREE NORTH CAROLINA TAX FREE SHORT TO MEDIUM SE

R
N/A 266155803 NTSMX NO LOAD NON-NTF N/A DUPREE Y 100 1 0 1 4:00 PM
DUPREE TAXABLE MUNICIPAL BOND SERIES N/A 266155845 DUTMX NO LOAD NON-NTF N/A DUPREE Y 100 1 1 1 4:00 PM
DUPREE TENNESSEE TAX FREE INCOME SERIES N/A 266155506 TNTIX NO LOAD NON-NTF N/A DUPREE Y 100 1 0 1 4:00 PM
DUPREE TENNESSEE TAX FREE SHORT TO MEDIUM SERIES N/A 266155605 TTSMX NO LOAD NON-NTF N/A DUPREE Y 100 1 0 1 4:00 PM
DWS ALTERNATIVE ASSET ALLOCATION CLASS A A 233376763 AAAAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS ALTERNATIVE ASSET ALLOCATION CLASS C C 233376755 AAAPX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS ALTERNATIVE ASSET ALLOCATION CLASS S S 233376748 AAASX NO LOAD NON-NTF N/A DWS N 2500 50 1000 1 4:00 PM
DWS CALIFORNIA TAX FREE INCOME CLASS A A 23337H108 KCTAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS CALIFORNIA TAX FREE INCOME CLASS B B 23337H207 KCTBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS CALIFORNIA TAX FREE INCOME CLASS C C 23337H306 KCTCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS CALIFORNIA TAX FREE INCOME CLASS S S 23337H405 SDCSX NO LOAD NON-NTF N/A DWS N 2500 1 2500 1 4:00 PM
DWS CAPITAL GROWTH CLASS A A 23338J103 SDGAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS CAPITAL GROWTH CLASS B B 23338J202 SDGBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS CAPITAL GROWTH CLASS C C 23338J301 SDGCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS CAPITAL GROWTH CLASS S S 23338J509 SCGSX NO LOAD NON-NTF N/A DWS N 2500 1 2500 1 4:00 PM
DWS CAPITAL GROWTH INSTITUTIONAL CLASS INSTL 23338J707 SDGTX NO LOAD NON-NTF N/A DWS Y 1000000 1 1000000 1 4:00 PM
DWS CASH INVESTMENT TRUST CLASS A A 23339A408 DOAXX FRONT END NON-NTF N/A DWS Y 1000 50 500 1 4:00 PM
DWS CASH INVESTMENT TRUST CLASS B B 23339A507 DOBXX BACK END NON-NTF N/A DWS N 1000 50 500 1 4:00 PM
DWS CASH INVESTMENT TRUST CLASS C C 23339A606 DOCXX BACK END NON-NTF N/A DWS Y 1000 50 500 1 4:00 PM
DWS CASH INVESTMENT TRUST CLASS S S 23339A705 DOSXX NO LOAD NON-NTF N/A DWS Y 2500 50 1000 1 4:00 PM
DWS COMMUNICATIONS CLASS A A 23339G108 TISHX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS COMMUNICATIONS CLASS B B 23339G207 FTEBX BACK END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS COMMUNICATIONS CLASS C C 23339G306 FTICX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS CORE EQUITY CLASS A A 23338J806 SUWAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS CORE EQUITY CLASS B B 23338J889 SUWBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS CORE EQUITY CLASS C C 23338J871 SUWCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS CORE EQUITY CLASS S S 23338J855 SCDGX NO LOAD NON-NTF N/A DWS N 2500 1 2500 1 4:00 PM
DWS CORE EQUITY INSTL CLASS INSTL 23338J830 SUWIX NO LOAD NON-NTF N/A DWS Y 1000000 1 1000000 1 4:00 PM
DWS CORE FIXED INCOME CLASS A A 23339E889 SFXAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM

DWS CORE FIXED INCOME CLASS B B 23339E871 SFXBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS CORE FIXED INCOME CLASS C C 23339E863 SFXCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS CORE FIXED INCOME CLASS S S 23339E541 SFXSX NO LOAD NON-NTF N/A DWS N 2500 50 1000 1 4:00 PM
DWS CORE FIXED INCOME INSTITUTIONAL CLASS INSTL 23339E848 MFINX NO LOAD NON-NTF N/A DWS Y 1000000 1 1000000 1 4:00 PM
DWS CORE PLUS INCOME CLASS A A 23337F102 SZIAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS CORE PLUS INCOME CLASS B B 23337F201 SZIBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS CORE PLUS INCOME CLASS C C 23337F300 SZICX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS CORE PLUS INCOME CLASS S S 23337F508 SCSBX NO LOAD NON-NTF N/A DWS N 2500 1 2500 1 4:00 PM
DWS DISCIPLINED MARKET NEUTRAL CLASS A A 233376805 DDMAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS DISCIPLINED MARKET NEUTRAL CLASS C C 233376888 DDMCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS DISCIPLINED MARKET NEUTRAL CLASS S S 233376870 DDMSX NO LOAD NON-NTF N/A DWS N 1000 50 500 1 4:00 PM
DWS DIVERSIFIED INTERNATIONAL EQUITY CLASS A A 23337R593 DBISX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS DIVERSIFIED INTERNATIONAL EQUITY CLASS B B 23337R585 DBIBX BACK END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS DIVERSIFIED INTERNATIONAL EQUITY CLASS C C 23337R577 DBICX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS DIVERSIFIED INTERNATIONAL EQUITY CLASS S S 23337R551 DBIVX NO LOAD NON-NTF 2% < 15 DAYS DWS N 2500 50 1000 1 4:00 PM
DWS DREMAN INTERNATIONAL VALUE CLASS A A 23337R650 DNVAX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS DREMAN INTERNATIONAL VALUE CLASS C C 23337R643 DNVCX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS DREMAN INTERNATIONAL VALUE CLASS S S 23337R627 DNVSX NO LOAD NON-NTF 2% < 15 DAYS DWS N 2500 50 1000 1 4:00 PM
DWS DREMAN MID CAP VALUE CLASS A A 23338F747 MIDVX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS DREMAN MID CAP VALUE CLASS B B 23338F739 MIDYX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS DREMAN MID CAP VALUE CLASS C C 23338F721 MIDZX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS DREMAN MID CAP VALUE CLASS S S 23338F713 MIDTX NO LOAD NON-NTF N/A DWS N 2500 50 1000 1 4:00 PM
DWS DREMAN SMALL CAP VALUE CLASS A A 23338F820 KDSAX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS DREMAN SMALL CAP VALUE CLASS B B 23338F812 KDSBX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS DREMAN SMALL CAP VALUE CLASS C C 23338F796 KDSCX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS DREMAN SMALL CAP VALUE CLASS S S 23338F762 KDSSX NO LOAD NON-NTF 2% < 15 DAYS DWS Y 2500 50 1000 1 4:00 PM
DWS DREMAN SMALL CAP VALUE INSTITUTIONAL CLASS INSTL 23338F754 KDSIX NO LOAD NON-NTF 2% < 15 DAYS DWS Y 1000000 1 1000000 1 4:00 PM
DWS EAFE EQUITY INDEX INSTL CLASS INSTL 23339C768 BTAEX NO LOAD NON-NTF 2% < 15 DAYS DWS Y 1000000 1 1000000 1 4:00 PM
DWS EMERGING MARKETS EQUITY CLASS A A 23337R106 SEKAX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS EMERGING MARKETS EQUITY CLASS B B 23337R205 SEKBX BACK END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM

DWS EMERGING MARKETS EQUITY CLASS C C 23337R304 SEKCX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS EMERGING MARKETS EQUITY CLASS S S 23337R502 SEMGX NO LOAD NON-NTF 2% < 15 DAYS DWS N 2500 1 2500 1 4:00 PM
DWS ENHANCED COMMODITY STRATEGY CLASS A A 23337G225 SKNRX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS ENHANCED COMMODITY STRATEGY CLASS B B 23337G233 SKBRX BACK END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS ENHANCED COMMODITY STRATEGY CLASS C C 23337G241 SKCRX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS ENHANCED COMMODITY STRATEGY CLASS S S 23337G258 SKSRX NO LOAD NON-NTF 2% < 15 DAYS DWS N 2500 50 1000 1 4:00 PM
DWS ENHANCED EMERGING MARKETS FIXED INCOME CLASS A 233379601 SZEAX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS ENHANCED EMERGING MARKETS FIXED INCOME CLASS B 233379700 SZEBX BACK END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS ENHANCED EMERGING MARKETS FIXED INCOME CLASS C 233379809 SZECX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS ENHANCED EMERGING MARKETS FIXED INCOME CLASS S 233379874 SCEMX NO LOAD NON-NTF 2% < 15 DAYS DWS N 2500 1 2500 1 4:00 PM
DWS ENHANCED GLOBAL BOND CLASS A A 233379866 SZGAX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS ENHANCED GLOBAL BOND CLASS B B 233379858 SZGBX BACK END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS ENHANCED GLOBAL BOND CLASS C C 233379841 SZGCX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS ENHANCED GLOBAL BOND CLASS S S 233379825 SSTGX NO LOAD NON-NTF 2% < 15 DAYS DWS N 2500 1 2500 1 4:00 PM
DWS EQUITY 500 INDEX CLASS S S 23339C305 BTIEX NO LOAD NON-NTF N/A DWS N 1000 50 500 1 4:00 PM
DWS EQUITY 500 INDEX INSTL CLASS INSTL 23339C206 BTIIX NO LOAD NON-NTF N/A DWS Y 1000000 1 1000000 1 4:00 PM
DWS EQUITY DIVIDEND CLASS A A 23338F804 KDHAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS EQUITY DIVIDEND CLASS B B 23338F887 KDHBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS EQUITY DIVIDEND CLASS C C 23338F879 KDHCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS EQUITY DIVIDEND CLASS S S 23338F846 KDHSX NO LOAD NON-NTF N/A DWS N 2500 50 1000 1 4:00 PM
DWS EQUITY DIVIDEND INSTL CLASS INSTL 23338F838 KDHIX NO LOAD NON-NTF N/A DWS Y 1000000 1 1000000 1 4:00 PM
DWS FLOATING RATE CLASS A A 23337F706 DFRAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS FLOATING RATE CLASS C C 23337F805 DFRCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS FLOATING RATE CLASS S S 23337F888 DFRPX NO LOAD NON-NTF N/A DWS N 2500 50 1000 1 4:00 PM
DWS GLOBAL HIGH INCOME CLASS A A 23339E699 SGHAX FRONT END NON-NTF 2% < 30 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS GLOBAL HIGH INCOME CLASS B B 23339E681 SGHBX BACK END NON-NTF 2% < 30 DAYS DWS N 1000 50 500 3 4:00 PM
DWS GLOBAL HIGH INCOME CLASS C C 23339E673 SGHCX BACK END NON-NTF 2% < 30 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS GLOBAL HIGH INCOME CLASS S S 23339E665 SGHSX NO LOAD NON-NTF 2% < 30 DAYS DWS N 2500 50 1000 1 4:00 PM
DWS GLOBAL INCOME BUILDER CLASS A A 23336W106 KTRAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS GLOBAL INCOME BUILDER CLASS B B 23336W205 KTRBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM

DWS GLOBAL INCOME BUILDER CLASS C C 23336W304 KTRCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS GLOBAL INCOME BUILDER CLASS S S 23336W502 KTRSX NO LOAD NON-NTF N/A DWS N 2500 50 1000 1 4:00 PM
DWS GLOBAL INFLATION CLASS A A 23339C883 TIPAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS GLOBAL INFLATION CLASS B B 23339C875 TIPTX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS GLOBAL INFLATION CLASS C C 23339C867 TIPCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS GLOBAL INFLATION CLASS S S 23339C859 TIPSX NO LOAD NON-NTF N/A DWS N 2500 50 1000 1 4:00 PM
DWS GLOBAL SMALL CAP GROWTH CLASS A A 233379106 KGDAX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS GLOBAL SMALL CAP GROWTH CLASS B B 233379205 KGDBX BACK END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS GLOBAL SMALL CAP GROWTH CLASS C C 233379304 KGDCX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS GLOBAL SMALL CAP GROWTH CLASS S S 233379502 SGSCX NO LOAD NON-NTF 2% < 15 DAYS DWS N 2500 1 2500 1 4:00 PM
DWS GLOBAL THEMATIC CLASS A A 233379817 SGQAX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS GLOBAL THEMATIC CLASS B B 233379791 SGQBX BACK END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS GLOBAL THEMATIC CLASS C C 233379783 SGQCX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS GLOBAL THEMATIC CLASS S S 233379759 SCOBX NO LOAD NON-NTF 2% < 15 DAYS DWS N 2500 1 2500 1 4:00 PM
DWS GNMA CLASS A A 23337P308 GGGGX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS GNMA CLASS C C 23337P407 GCGGX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS GNMA CLASS S S 23337P209 SGINX NO LOAD NON-NTF N/A DWS N 2500 1 2500 1 4:00 PM
DWS GOLD AND PRECIOUS METALS CLASS A A 23337E105 SGDAX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS GOLD AND PRECIOUS METALS CLASS B B 23337E204 SGDBX BACK END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS GOLD AND PRECIOUS METALS CLASS C C 23337E303 SGDCX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS GOLD AND PRECIOUS METALS CLASS S S 23337E501 SCGDX NO LOAD NON-NTF 2% < 15 DAYS DWS N 2500 1 2500 1 4:00 PM
DWS GOVERNMENT AND AGENCY MONEY N/A 147539654 DTGXX FRONT END NON-NTF N/A DWS Y 1000 100 250 1 4:00 PM
DWS HEALTH CARE CLASS A A 23337G100 SUHAX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS HEALTH CARE CLASS B B 23337G209 SUHBX BACK END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS HEALTH CARE CLASS C C 23337G308 SUHCX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS HEALTH CARE CLASS S S 23337G506 SCHLX NO LOAD NON-NTF 2% < 15 DAYS DWS N 2500 1 2500 1 4:00 PM
DWS HIGH INCOME CLASS A A 23337M107 KHYAX FRONT END NON-NTF 2% < 30 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS HIGH INCOME CLASS B B 23337M206 KHYBX BACK END NON-NTF 2% < 30 DAYS DWS N 1000 50 500 3 4:00 PM
DWS HIGH INCOME CLASS C C 23337M305 KHYCX BACK END NON-NTF 2% < 30 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS INTERMEDIATE TAX/AMT FREE CLASS A A 23337X103 SZMAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM

DWS INTERMEDIATE TAX/AMT FREE CLASS B B 23337X202 SZMBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
23
DWS INTERMEDIATE TAX/AMT FREE CLASS C C 23337X301 SZMCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS INTERMEDIATE TAX/AMT FREE CLASS S S 23337X509 SCMTX NO LOAD NON-NTF N/A DWS N 2500 1 2500 1 4:00 PM
DWS INTERNATIONAL CLASS A A 23337R858 SUIAX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS INTERNATIONAL CLASS B B 23337R841 SUIBX BACK END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS INTERNATIONAL CLASS C C 23337R833 SUICX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS INTERNATIONAL CLASS S S 23337R817 SCINX NO LOAD NON-NTF 2% < 15 DAYS DWS N 2500 1 2500 1 4:00 PM
DWS LARGE CAP FOCUS GROWTH CLASS A A 23338J822 SGGAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS LARGE CAP FOCUS GROWTH CLASS B B 23338J814 SGGBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS LARGE CAP FOCUS GROWTH CLASS C C 23338J798 SGGCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS LARGE CAP FOCUS GROWTH CLASS S S 23338J772 SCQGX NO LOAD NON-NTF N/A DWS N 2500 1 2500 1 4:00 PM
DWS LARGE CAP VALUE CLASS A A 23338F101 KDCAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS LARGE CAP VALUE CLASS B B 23338F200 KDCBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS LARGE CAP VALUE CLASS C C 23338F309 KDCCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS LARGE CAP VALUE CLASS S S 23338F606 KDCSX NO LOAD NON-NTF N/A DWS N 1000 50 500 1 4:00 PM
DWS LATIN AMERICA EQUITY CLASS A A 23337R775 SLANX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS LATIN AMERICA EQUITY CLASS B B 23337R767 SLAOX BACK END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS LATIN AMERICA EQUITY CLASS C C 23337R759 SLAPX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS LATIN AMERICA EQUITY CLASS S S 23337R726 SLAFX NO LOAD NON-NTF 2% < 15 DAYS DWS N 2500 1 2500 1 4:00 PM
DWS LIFE COMPASS 2015 CLASS A A 23337A103 SPDAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS LIFE COMPASS 2015 CLASS B B 23337A202 SPDBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS LIFE COMPASS 2015 CLASS C C 23337A301 SPDCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS LIFE COMPASS 2015 CLASS S S 23337A509 SPBAX NO LOAD NON-NTF N/A DWS N 2500 1 2500 1 4:00 PM
DWS LIFE COMPASS 2020 CLASS A A 23337A863 SUPAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS LIFE COMPASS 2020 CLASS B B 23337A855 SUPBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS LIFE COMPASS 2020 CLASS C C 23337A848 SUPCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS LIFE COMPASS 2020 CLASS S S 23337A822 SPGRX NO LOAD NON-NTF N/A DWS N 2500 1 2500 1 4:00 PM
DWS LIFE COMPASS 2030 CLASS C C 23337A780 PLSCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS LIFE COMPASS 2040 CLASS A A 23337A764 TGTAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM

DWS LIFE COMPASS 2040 CLASS C C 23337A756 TGTCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS LIFE COMPASS 2040 CLASS S S 23337A749 TGTSX NO LOAD NON-NTF N/A DWS N 1000 50 500 1 4:00 PM
DWS LIFE COMPASS INCOME CLASS A A 23337N808 INCAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS LIFE COMPASS INCOME CLASS C C 23337N881 INCCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS LIFE COMPASS INCOME CLASS S S 23337N873 INCSX NO LOAD NON-NTF N/A DWS N 2500 50 1000 1 4:00 PM
DWS LIFE COMPASS RETIREMENT CLASS A A 23337A608 SUCAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS LIFE COMPASS RETIREMENT CLASS B B 23337A707 SUCBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS LIFE COMPASS RETIREMENT CLASS C C 23337A806 SUCCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS LIFE COMPASS RETIREMENT CLASS S S 23337A871 SCPCX NO LOAD NON-NTF N/A DWS N 2500 1 2500 1 4:00 PM
DWS MANAGED MUNICIPAL BOND CLASS A A 23337W709 SMLAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS MANAGED MUNICIPAL BOND CLASS B B 23337W808 SMLBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS MANAGED MUNICIPAL BOND CLASS C C 23337W881 SMLCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS MANAGED MUNICIPAL BOND CLASS S S 23337W865 SCMBX NO LOAD NON-NTF N/A DWS N 2500 1 2500 1 4:00 PM
DWS MASSACHUSETTS TAX FREE CLASS A A 23337J104 SQMAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS MASSACHUSETTS TAX FREE CLASS B B 23337J203 SQMBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS MASSACHUSETTS TAX FREE CLASS C C 23337J302 SQMCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS MASSACHUSETTS TAX FREE CLASS S S 23337J500 SCMAX NO LOAD NON-NTF N/A DWS N 2500 1 2500 1 4:00 PM
DWS MID CAP GROWTH CLASS A A 23338J632 SMCAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS MID CAP GROWTH CLASS B B 23338J624 SMCBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS MID CAP GROWTH CLASS C C 23338J616 SMCCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS MID CAP GROWTH CLASS S S 23338J590 SMCSX NO LOAD NON-NTF N/A DWS N 2500 50 1000 1 4:00 PM
DWS MONEY MARKET PRIME SERIES - DWS MONEY MARKET A 23339A101 KMMXX FRONT END NON-NTF N/A DWS Y 1000 50 500 1 4:00 PM
DWS NEW YORK TAX FREE INCOME CLASS A A 23337H504 KNTAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS NEW YORK TAX FREE INCOME CLASS B B 23337H603 KNTBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS NEW YORK TAX FREE INCOME CLASS C C 23337H702 KNTCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS NEW YORK TAX FREE INCOME CLASS S S 23337H801 SNWYX NO LOAD NON-NTF N/A DWS N 2500 1 2500 1 4:00 PM
DWS RREEF GLOBAL INFRASTRUCTURE CLASS A A 233379718 TOLLX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS RREEF GLOBAL INFRASTRUCTURE CLASS C C 233379726 TOLCX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS RREEF GLOBAL INFRASTRUCTURE CLASS S S 233379692 TOLSX NO LOAD NON-NTF 2% < 15 DAYS DWS N 2500 50 1000 1 4:00 PM
DWS RREEF GLOBAL REAL ESTATE SECURITIES CLASS A A 23337G118 RRGAX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM

DWS RREEF GLOBAL REAL ESTATE SECURITIES CLASS C C 23337G126 RRGCX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS RREEF GLOBAL REAL ESTATE SECURITIES CLASS S S 23337G134 RRGTX NO LOAD NON-NTF 2% < 15 DAYS DWS N 2500 50 1000 1 4:00 PM
DWS RREEF REAL ESTATE INSTL CLASS INSTL 23337G829 RRRRX NO LOAD NON-NTF 2% < 15 DAYS DWS Y 1000000 1 1000000 1 4:00 PM
DWS RREEF REAL ESTATE SECURITIES CLASS A A 23337G167 RRRAX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS RREEF REAL ESTATE SECURITIES CLASS B B 23337G175 RRRBX BACK END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS RREEF REAL ESTATE SECURITIES CLASS C C 23337G183 RRRCX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS RREEF REAL ESTATE SECURITIES CLASS S S 23337G217 RRREX NO LOAD NON-NTF 2% < 15 DAYS DWS Y 2500 50 1000 1 4:00 PM
DWS S&P 500 INDEX CLASS A A 23338J749 SXPAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS S&P 500 INDEX CLASS B B 23338J731 SXPBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS S&P 500 INDEX CLASS C C 23338J723 SXPCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS S&P 500 INDEX CLASS S S 23338J699 SCPIX NO LOAD NON-NTF N/A DWS N 2500 1 2500 1 4:00 PM
DWS S&P 500 PLUS CLASS A A 23338K100 OUTDX FRONT END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS S&P 500 PLUS CLASS B B 23338K209 OUTBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS S&P 500 PLUS CLASS C C 23338K308 OUTCX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS S&P 500 PLUS CLASS S S 23338K506 SSFFX NO LOAD NON-NTF N/A DWS N 2500 1 2500 1 4:00 PM
DWS SELECT ALTERNATIVE ALLOCATION CLASS A A 233376722 SELAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS SELECT ALTERNATIVE ALLOCATION CLASS C C 233376714 SELEX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS SELECT ALTERNATIVE ALLOCATION CLASS S S 233376698 SELSX NO LOAD NON-NTF N/A DWS Y 2500 50 1000 1 4:00 PM
DWS SHORT DURATION CLASS A A 23336Y748 PPIAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS SHORT DURATION CLASS B B 23336Y623 PPLBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS SHORT DURATION CLASS C C 23336Y730 PPLCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS SHORT DURATION CLASS S S 23336Y755 DBPIX NO LOAD NON-NTF N/A DWS N 1000 50 500 1 4:00 PM
DWS SHORT TERM MUNICIPAL BOND CLASS A A 23337W840 SRMAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS SHORT TERM MUNICIPAL BOND CLASS B B 23337W832 SRMBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS SHORT TERM MUNICIPAL BOND CLASS C C 23337W824 SRMCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS SHORT TERM MUNICIPAL BOND CLASS S S 23337W816 SRMSX NO LOAD NON-NTF N/A DWS N 2500 50 1000 1 4:00 PM
DWS SMALL CAP CORE CLASS A A 23338J681 SZCAX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS SMALL CAP CORE CLASS B B 23338J673 SZCBX BACK END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS SMALL CAP CORE CLASS C C 23338J665 SZCCX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS SMALL CAP CORE CLASS S S 23338J640 SSLCX NO LOAD NON-NTF 2% < 15 DAYS DWS N 2500 1 2500 1 4:00 PM

DWS SMALL CAP GROWTH CLASS A A 23338J574 SSDAX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS SMALL CAP GROWTH CLASS B B 23338J566 SSDBX BACK END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS SMALL CAP GROWTH CLASS C C 23338J558 SSDCX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS SMALL CAP GROWTH CLASS S S 23338J541 SSDSX NO LOAD NON-NTF 2% < 15 DAYS DWS N 1000 50 500 1 4:00 PM
DWS STRATEGIC GOVERNMENT SECURITIES CLASS A A 23338C108 KUSAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS STRATEGIC GOVERNMENT SECURITIES CLASS B B 23338C207 KUSBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS STRATEGIC GOVERNMENT SECURITIES CLASS C C 23338C306 KUSCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS STRATEGIC GOVERNMENT SECURITIES CLASS S S 23338C405 KUSMX NO LOAD NON-NTF N/A DWS N 1 1 1 1 4:00 PM
DWS STRATEGIC HIGH YIELD TAX FREE CLASS A A 23337W105 NOTAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS STRATEGIC HIGH YIELD TAX FREE CLASS B B 23337W204 NOTBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS STRATEGIC HIGH YIELD TAX FREE CLASS C C 23337W303 NOTCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS STRATEGIC HIGH YIELD TAX FREE CLASS S S 23337W501 SHYTX NO LOAD NON-NTF N/A DWS N 2500 1 2500 1 4:00 PM
DWS TARGET 2013 A 23337N600 KRFDX FRONT END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS TARGET 2014 A 23337N709 KRFEX FRONT END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS TAX EXEMPT MONEY MARKET N/A 147539647 DTBXX NO LOAD NON-NTF N/A DWS Y 1000 50 500 1 4:00 PM
DWS TECHNOLOGY CLASS A A 23338A102 KTCAX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS TECHNOLOGY CLASS B B 23338A201 KTCBX BACK END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS TECHNOLOGY CLASS C C 23338A300 KTCCX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS TECHNOLOGY CLASS S S 23338A409 KTCSX NO LOAD NON-NTF 2% < 15 DAYS DWS N 1000 50 500 1 4:00 PM
DWS ULTRA SHORT DURATION CLASS A A 23339E822 SDUAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS ULTRA SHORT DURATION CLASS B B 23339E814 SDUBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS ULTRA SHORT DURATION CLASS C C 23339E798 SDUCX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS ULTRA SHORT DURATION CLASS S S 23339E780 SDUSX NO LOAD NON-NTF N/A DWS N 2500 50 1000 1 4:00 PM
DWS UNCONSTRAINED INCOME CLASS A A 23337K101 KSTAX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS UNCONSTRAINED INCOME CLASS B B 23337K200 KSTBX BACK END NON-NTF N/A DWS N 1000 50 500 3 4:00 PM
DWS UNCONSTRAINED INCOME CLASS C C 23337K309 KSTCX BACK END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS UNCONSTRAINED INCOME CLASS S S 23337K507 KSTSX NO LOAD NON-NTF N/A DWS N 2500 50 1000 1 4:00 PM
DWS US BOND INDEX CLASS A A 23339C735 BONDX FRONT END NON-NTF N/A DWS Y 1000 50 500 3 4:00 PM
DWS US BOND INDEX CLASS S S 23339C743 BONSX NO LOAD NON-NTF N/A DWS Y 1000 50 500 1 4:00 PM
DWS WORLD DIVIDEND CLASS A A 23337R601 SERAX FRONT END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM

DWS WORLD DIVIDEND CLASS B B
23337R700 SERBX BACK END NON-NTF 2% < 15 DAYS DWS N 1000 50 500 3 4:00 PM
DWS WORLD DIVIDEND CLASS C C 23337R809 SERCX BACK END NON-NTF 2% < 15 DAYS DWS Y 1000 50 500 3 4:00 PM
DWS WORLD DIVIDEND CLASS S S 23337R874 SCGEX NO LOAD NON-NTF 2% < 15 DAYS DWS N 2500 1 2500 1 4:00 PM
EAGLE CAPITAL APPRECIATION TRUST CLASS A A 26945A100 HRCPX FRONT END NON-NTF N/A EAGLE Y 1000 1 500 3 4:00 PM
24
EAGLE CAPITAL APPRECIATION TRUST CLASS C C 26945A209 HRCCX BACK END NON-NTF N/A EAGLE Y 1000 1 500 3 4:00 PM
EAGLE GROWTH AND INCOME CLASS A A 26958A104 HRCVX FRONT END NON-NTF N/A EAGLE Y 1000 1 500 3 4:00 PM
EAGLE GROWTH AND INCOME CLASS C C 26958A203 HIGCX BACK END NON-NTF N/A EAGLE Y 1000 1 500 3 4:00 PM
EAGLE INTERNATIONAL EQUITY CLASS A A 269858601 HEIAX FRONT END NON-NTF N/A EAGLE Y 1000 1 500 3 4:00 PM
EAGLE INTERNATIONAL EQUITY CLASS C C 269858700 HEICX BACK END NON-NTF N/A EAGLE Y 1000 1 500 3 4:00 PM
EAGLE INVESTMENT GRADE BOND CLASS A A 269858585 EGBAX FRONT END NON-NTF N/A EAGLE Y 1000 1 500 3 4:00 PM
EAGLE INVESTMENT GRADE BOND CLASS C C 269858577 EGBCX BACK END NON-NTF N/A EAGLE Y 1000 1 500 3 4:00 PM
EAGLE MID CAP GROWTH CLASS A A 269858817 HAGAX FRONT END NON-NTF N/A EAGLE Y 1000 1 500 3 4:00 PM
EAGLE MID CAP GROWTH CLASS C C 269858791 HAGCX BACK END NON-NTF N/A EAGLE Y 1000 1 500 3 4:00 PM
EAGLE MID CAP STOCK CLASS A A 269858866 HMCAX FRONT END NON-NTF N/A EAGLE Y 1000 1 500 3 4:00 PM
EAGLE MID CAP STOCK CLASS C C 269858858 HMCCX BACK END NON-NTF N/A EAGLE Y 1000 1 500 3 4:00 PM
EAGLE MID CAP STOCK CLASS I I 269858841 HMCJX NO LOAD NON-NTF N/A EAGLE Y 2500000 1 1 3 4:00 PM
EAGLE SMALL CAP GROWTH CLASS A A 269858106 HRSCX FRONT END NON-NTF N/A EAGLE Y 1000 1 500 3 4:00 PM
EAGLE SMALL CAP GROWTH CLASS C C 269858205 HSCCX BACK END NON-NTF N/A EAGLE Y 1000 1 500 3 4:00 PM
EAGLE SMALL CAP GROWTH CLASS I I 269858304 HSIIX NO LOAD NON-NTF N/A EAGLE Y 2500000 1 1 3 4:00 PM
EAGLE SMALL COMPANY CLASS A A 269858643 EGEAX FRONT END NON-NTF N/A EAGLE Y 1000 1 500 3 4:00 PM
EAGLE SMALL COMPANY CLASS C C 269858635 EGECX BACK END NON-NTF N/A EAGLE Y 1000 1 500 3 4:00 PM
EATON VANCE ALABAMA MUNICIPAL INCOME CLASS A A 27826L652 ETALX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE ALABAMA MUNICIPAL INCOME CLASS B B 27826L744 EVALX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE AMT FREE LIMITED MATURITY MUNICIPAL INC
O
A 27826H636 EXFLX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE AMT FREE LIMITED MATURITY MUNICIPAL INC
O

B 27826H305 ELFLX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE AMT FREE LIMITED MATURITY MUNICIPAL INC
O
C 27826H826 EZFLX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE AMT FREE MUNICIPAL INCOME CLASS B B 277911756 EBMBX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE AMT FREE MUNICIPAL INCOME CLASS C C 277923827 ECMBX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE ARIZONA MUNICIPAL INCOME CLASS A A 27826L645 ETAZX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE ARIZONA MUNICIPAL INCOME CLASS B B 27826L884 EVAZX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE ARKANSAS MUNICIPAL INCOME CLASS A A 27826L371 ETARX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE ARKANSAS MUNICIPAL INCOME CLASS B B 27826L736 EVARX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE ASIAN SMALL COMPANIES CLASS A A 277902854 EVASX FRONT END NON-NTF 1% < 90 DAYS EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE ASIAN SMALL COMPANIES CLASS B B 277902862 EBASX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE ATLANTA CAPITAL FOCUSED GROWTH CLASS
A
A 277902664 EAALX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 50 3 4:00 PM
EATON VANCE ATLANTA CAPITAL HORIZON GROWTH CLASS
A
A 277911269 EXMCX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE ATLANTA CAPITAL HORIZON GROWTH CLASS
B
B 277911251 EBMCX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE ATLANTA CAPITAL HORIZON GROWTH CLASS
C
C 277911244 ECMCX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE ATLANTA CAPITAL SMID CAP CLASS A A 277902656 EAASX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 50 3 4:00 PM
EATON VANCE ATLANTA CAPITAL SMID CAP CLASS C C 277902615 ECASX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE ATLANTA SMID CAP CLASS R R 277902680 ERSMX NO LOAD NON-NTF N/A EATON VANCE Y 1000 50 50 3 4:00 PM
EATON VANCE BALANCED CLASS A A 277905865 EVIFX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE BALANCED CLASS B B 277905857 EMIFX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE BALANCED CLASS C C 277905840 ECIFX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM

EATON VANCE BUILD AMERICA BOND CLASS A A 277923470 EBABX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE BUILD AMERICA BOND CLASS C C 277923462 ECBAX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE CALIFORNIA MUNICIPAL INCOME CLASS A A 27826L256 EACAX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE COMMODITY STRATEGY CLASS A A 277905345 EACSX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE COMMODITY STRATEGY CLASS C C 277905337 ECCSX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE CONNECTICUT MUNICIPAL INCOME CLASS A A 27826L314 ETCTX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE CONNECTICUT MUNICIPAL INCOME CLASS B B 27826L769 EVCTX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE DIVIDEND BUILDER CLASS A A 277905832 EVTMX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE DIVIDEND BUILDER CLASS B B 277905824 EMTMX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE DIVIDEND BUILDER CLASS C C 277905816 ECTMX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE EMERGING MARKETS LOCAL INCOME CLASS
A
A 277923694 EEIAX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE EQUITY ASSET ALLOCATION CLASS A A 277905584 EEAAX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE EQUITY ASSET ALLOCATION CLASS C C 277905576 EEACX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE FLOATING RATE ADVANTAGE CLASS A A 277923660 EAFAX FRONT END NON-NTF 1% < 90 DAYS EATON VANCE Y 1000 50 50 3 4:00 PM
EATON VANCE FLOATING RATE ADVANTAGE CLASS B B 277923652 EBFAX BACK END NON-NTF N/A EATON VANCE N 1000 50 50 3 4:00 PM
EATON VANCE FLOATING RATE ADVANTAGE CLASS C C 277923645 ECFAX BACK END NON-NTF N/A EATON VANCE Y 1000 50 50 3 4:00 PM
EATON VANCE FLOATING RATE ADVISER CLASS ADVISER 277911533 EABLX NO LOAD NON-NTF 1% < 90 DAYS EATON VANCE Y 5000 50 2000 3 4:00 PM
EATON VANCE FLOATING RATE CLASS A A 277911129 EVBLX FRONT END NON-NTF 1% < 90 DAYS EATON VANCE Y 1000 50 50 3 4:00 PM
EATON VANCE FLOATING RATE CLASS B B 277911525 EBBLX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE FLOATING RATE CLASS C C 277911517 ECBLX BACK END NON-NTF N/A EATON VANCE Y 1000 50 50 3 4:00 PM
EATON VANCE FLOATING RATE HIGH INCOME ADVISER ADVISER 277911574 EAFHX NO LOAD NON-NTF 1% < 90 DAYS EATON VANCE Y 5000 50 2000 3 4:00 PM
EATON VANCE FLOATING RATE HIGH INCOME CLASS A A 277911137 EVFHX FRONT END NON-NTF 1% < 90 DAYS EATON VANCE Y 1000 50 50 3 4:00 PM
EATON VANCE FLOATING RATE HIGH INCOME CLASS B B 277911566 EBFHX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE FLOATING RATE HIGH INCOME CLASS C C 277911558 ECFHX BACK END NON-NTF N/A EATON VANCE Y 1000 50 50 3 4:00 PM
EATON VANCE GEORGIA MUNICIPAL INCOME CLASS A A 27826L595 ETGAX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE GEORGIA MUNICIPAL INCOME CLASS B B 27826L843 EVGAX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE GLOBAL DIVIDEND INCOME CLASS A A 277923876 EDIAX FRONT END NON-NTF 1% < 90 DAYS EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE GLOBAL DIVIDEND INCOME CLASS C C 277923850 EDICX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM

EATON VANCE GLOBAL MACRO ABSOLUTE RETURN ADVANT
A
A 277923280 EGRAX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE GLOBAL MACRO ABSOLUTE RETURN ADVANT
A
C 277923272 EGRCX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE GLOBAL MACRO ABSOLUTE RETURN CLASS A A 277923736 EAGMX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE GLOBAL MACRO ABSOLUTE RETURN CLASS C C 277923488 ECGMX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE GOVERNMENT OBLIGATIONS CLASS A A 277911103 EVGOX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE GOVERNMENT OBLIGATIONS CLASS B B 277911400 EMGOX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE GOVERNMENT OBLIGATIONS CLASS C C 277911301 ECGOX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE GREATER CHINA GROWTH CLASS A A 277902201 EVCGX FRONT END NON-NTF 1% < 90 DAYS EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE GREATER CHINA GROWTH CLASS B B 277902300 EMCGX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE GREATER CHINA GROWTH CLASS C C 277902409 ECCGX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE GREATER INDIA CLASS A A 277905501 ETGIX FRONT END NON-NTF 1% < 90 DAYS EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE GREATER INDIA CLASS B B 277905402 EMGIX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE GREATER INDIA CLASS C C 277905592 ECGIX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE HEXAVEST EMERGING MARKETS EQUITY CLA
S
A 277902391 EHEAX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE HEXAVEST GLOBAL EQUITY CLASS A A 277902367 EHGAX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE HEXAVEST INTERNATIONAL EQUITY CLASS A A 277902334 EHIAX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE HEXAVEST US EQUITY CLASS A A 277902292 EHUAX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE HIGH INCOME OPPORTUNITIES CLASS A A 277923405 ETHIX FRONT END NON-NTF 1% < 90 DAYS EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE HIGH INCOME OPPORTUNITIES CLASS B B 277911509 EVHIX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE HIGH INCOME OPPORTUNITIES CLASS C C 277911608 ECHIX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE HIGH YIELD MUNICIPAL INCOME CLASS A A 27826M882 ETHYX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE HIGH YIELD MUNICIPAL INCOME CLASS B B 27826M809 EVHYX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE HIGH YIELD MUNICIPAL INCOME CLASS C C 27826M874 ECHYX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE INCOME FUND OF BOSTON CLASS A A 277907101 EVIBX FRONT END NON-NTF 1% < 90 DAYS EATON VANCE Y 1000 50 1000 3 4:00 PM

EATON VANCE INCOME FUND OF BOSTON CLASS B B 277907309 EBIBX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE INCOME FUND OF BOSTON CLASS C C 277907408 ECIBX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE INTERNATIONAL INCOME CLASS A A 277923710 EAIIX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE INVESTMENT GRADE INCOME CLASS A A 277905436 EAGIX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE KENTUCKY MUNICIPAL INCOME CLASS A A 27826L587 ETKYX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE KENTUCKY MUNICIPAL INCOME CLASS B B 27826L835 EVKYX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE LARGE CAP CORE CLASS A A 277905691 EALCX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE LARGE CAP CORE CLASS C C 277905675 ECLCX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE LARGE CAP CORE RESEARCH CLASS A A 277911285 EAERX FRONT END NON-NTF 1% < 18 MONTHS EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE LARGE CAP CORE RESEARCH CLASS C C 277923520 ECERX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE LARGE CAP VALUE CLASS A A 277905808 EHSTX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE LARGE CAP VALUE CLASS B B 277905873 EMSTX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE LARGE CAP VALUE CLASS C C 277905881 ECSTX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE LOW DURATION GOVERNMENT INCOME CLAS
S
A 277911160 EALDX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE LOW DURATION GOVERNMENT INCOME CLAS
S
B 277911152 EBLDX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE LOW DURATION GOVERNMENT INCOME CLAS
S
C 277911145 ECLDX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE MARYLAND MUNICIPAL INCOME CLASS A A 27826L579 ETMDX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE MARYLAND MUNICIPAL INCOME CLASS B B 27826L827 EVMYX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE MASSACHUSETTS LIMITED MATURITY MUNICI
P
A 27826H628 EXMAX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE MASSACHUSETTS LIMITED MATURITY MUNICI
P
B 27826H404 ELMAX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM

EATON VANCE MASSACHUSETTS LIMITED MATURITY MUNICI
P
C 27826H818 EZMAX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE MASSACHUSETTS MUNICIPAL INCOME CLASS
A
A 27826L561 ETMAX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE MASSACHUSETTS MUNICIPAL INCOMES CLAS
S
C 27826Y829 ECMMX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE MINNESOTA MUNICIPAL INCOME CLASS A A 27826L546 ETMNX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE MINNESOTA MUNICIPAL INCOME CLASS B B 27826L876 EVMNX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE MISSOURI MUNICIPAL INCOME CLASS A A 27826L520 ETMOX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE MISSOURI MUNICIPAL INCOME CLASS B B 27826L777 EVMOX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE MULTI CAP GROWTH CLASS A A 277902102 EVGFX FRONT END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
EATON VANCE MULTI CAP GROWTH CLASS B B 277902508 EMGFX BACK END NON-NTF N/A EATON VANCE N 1000 50 1000 3 4:00 PM
EATON VANCE MULTI CAP GROWTH CLASS C C 277902607 ECGFX BACK END NON-NTF N/A EATON VANCE Y 1000 50 1000 3 4:00 PM
25