FUND
NAME |
CLASS
A |
CLASS
C |
CLASS
I |
MEMBER
CLASS |
Victory
Market Neutral Income Fund |
CBHAX |
CBHCX |
CBHIX |
CBHMX |
Victory
US 500 Enhanced Volatility Wtd Index Fund |
CUHAX |
CUHCX |
CUHIX |
— |
Amount
of
Purchase |
Initial
Sales Charge:
%
of Offering Price |
Concession
to Dealers:
%
of Offering Price |
Up
to $49,999 |
5.75% |
5.00% |
$
50,000 to $99,999 |
4.50% |
4.00% |
$
100,000 to $249,999 |
3.50% |
3.00% |
$
250,000 to $499,999 |
2.50% |
2.00% |
$
500,000 to $999,999 |
2.00% |
1.75% |
$
1,000,000 and above* |
0.00% |
** |
All
Funds |
|
NAV
per Share |
$10.00 |
Per
Share Sales Charge—5.75% of public offering price (6.10% of net asset
value per share) for each Fund |
0.61 |
Per
Share Offering Price to the Public |
$10.61 |
Name
and
Date
of Birth |
Position
Held
with
the
Trust |
Date
Commenced
Service |
Principal
Occupation
During
Past 5 Years |
Number
of Portfolios
in
Fund Complex
Overseen
by Trustee |
Other
Directorships
Held
During
the
Past
5 Years |
David
Brooks
Adcock,
Born
October
1951 |
Trustee |
May
2015 |
Consultant
(since 2006). |
72
portfolios comprised
of
26 portfolios in the
Trust,
40 portfolios in
Victory
Portfolios, and 6
portfolios
in Victory
Variable
Insurance
Funds |
Chairman,
Board
of
Trustees,
Turner
Funds
(December
2016-
December
2017). |
Nigel
D.T.
Andrews,
Born
April 1947 |
Trustee |
May
2015 |
Retired. |
72
portfolios comprised
of
26 portfolios in the
Trust,
40 portfolios in
Victory
Portfolios, and 6
portfolios
in Victory
Variable
Insurance
Funds |
Director,
Carlyle
Secured
Lending,
Inc.
(formerly
TCG
BDC
I, Inc.)
(since
2012);
Director,
Carlyle
Credit
Solutions,
Inc.
(formerly
TCG
BDC
II, Inc.)
(since
2017);
Trustee,
Carlyle
Secured
Lending
III
(since
2021). |
E.
Lee Beard*,
Born
August
1951 |
Trustee |
May
2015 |
Retired. |
72
portfolios comprised
of
26 portfolios in the
Trust,
40 portfolios in
Victory
Portfolios, and 6
portfolios
in Victory
Variable
Insurance
Funds |
None. |
Name
and
Date
of Birth |
Position
Held
with
the
Trust |
Date
Commenced
Service |
Principal
Occupation
During
Past 5 Years |
Number
of Portfolios
in
Fund Complex
Overseen
by Trustee |
Other
Directorships
Held
During
the
Past
5 Years |
Dennis
M.
Bushe,
Born
January
1944 |
Trustee |
July
2016 |
Retired. |
72
portfolios comprised
of
26 portfolios in the
Trust,
40 portfolios in
Victory
Portfolios, and 6
portfolios
in Victory
Variable
Insurance
Funds |
None. |
John
L. Kelly,
Born
April 1953 |
Chair
and
Trustee |
May
2015 |
Partner,
McCarvill
Capital
Partners
(September
2016-September
2017). |
72
portfolios comprised
of
26 portfolios in the
Trust,
40 portfolios in
Victory
Portfolios, and 6
portfolios
in Victory
Variable
Insurance
Funds |
Director,
Caledonia
Mining
Corporation
(since
May
2012). |
David
L. Meyer,
Born
April 1957 |
Trustee |
May
2015 |
Retired. |
72
portfolios comprised
of
26 portfolios in the
Trust,
40 portfolios in
Victory
Portfolios, and 6
portfolios
in Victory
Variable
Insurance
Funds |
None. |
Gloria
S.
Nelund,
Born
May 1961 |
Trustee |
July
2016 |
Chair,
CEO, and
Co-Founder
of TriLinc
Global,
LLC, an
investment
firm. |
72
portfolios comprised
of
26 portfolios in the
Trust,
40 portfolios in
Victory
Portfolios, and 6
portfolios
in Victory
Variable
Insurance
Funds |
TriLinc
Global
Impact
Fund,
LLC
(since
2012). |
Leigh
A. Wilson,
Born
December
1944 |
Trustee |
May
2015 |
Private
Investor. |
72
portfolios comprised
of
26 portfolios in the
Trust,
40 portfolios in
Victory
Portfolios, and 6
portfolios
in Victory
Variable
Insurance
Funds |
Chair
(since
2013),
Caledonia
Mining
Corporation. |
Name
and Age |
Position
Held
with
the
Trust |
Date
Commenced
Service |
Principal
Occupation
During
Past 5 Years |
Number
of Portfolios
in
Fund Complex
Overseen
by Trustee |
Other
Directorships
Held
During
the
Past
5 Years |
David
C.
Brown**,
Born
May 1972 |
Trustee |
May
2015 |
Chief
Executive Officer
and
Chairman
(2013-present),
Victory
Capital
Management
Inc.; Chief
Executive
Officer and
Chairman
(2013-present),
Victory
Capital
Holdings, Inc.;
Director,
Victory Capital
Services,
Inc. (2013-
present);
Director,
Victory
Capital Transfer
Agency,
Inc. (2019-
present). |
117
portfolios
comprised
of 26
portfolios
in the Trust,
40
portfolios in Victory
Portfolios,
6 portfolios
in
Victory Variable
Insurance
Funds, and 45
portfolios
in USAA
Mutual
Funds Trust. |
Trustee,
USAA
Mutual
Funds
Trust;
Board
Member,
Victory
Capital
Services,
Inc. |
Name
and
Date
of Birth |
Position
with
the
Trust |
Date
Commenced
Service |
Principal
Occupation
During
Past 5 Years |
Christopher
K.
Dyer,
Born
February
1962 |
President |
May
2015 |
Director
of Mutual Fund Administration, the Adviser
(2004-present).
Chief Operating Officer, Victory Capital
Services,
Inc. (2020-present). Vice President, Victory
Capital
Transfer Agency, Inc. (2019-present). |
Scott
A. Stahorsky,
Born
July 1969 |
Vice
President |
May
2015 |
Manager,
Fund Administration, the Adviser (since
2015). |
Thomas
Dusenberry,
Born
July 1977 |
Secretary |
May
2022 |
Manager,
Fund Administration, the Adviser; Treasurer
and
Principal Financial Officer (2020-2022), Assistant
Treasurer
(2019), Salient MF Trust, Salient Midstream,
MLP
Fund and Forward Funds; Principal Financial
Officer
(2018-2021) and Treasurer (2020-2021), Salient
Private
Access Funds and Endowment PMF Funds;
Senior
Vice President of Fund Accounting and
Operations,
Salient Partners (2020-2022); Director of
Fund
Operations, Salient Partners (2016-2019). |
Allan
Shaer,
Born
March 1965 |
Treasurer |
December
2017 |
Senior
Vice President, Financial Administration, Citi
Fund
Services Ohio, Inc. (since 2016); Vice President,
Mutual
Fund Administration, JP Morgan Chase
(2011-2016). |
Christopher
Ponte,
Born
March 1984 |
Assistant
Treasurer |
May
2015 |
Manager,
Fund Administration, the Adviser (since
2017);
Senior Analyst, Fund Administration, the
Adviser
(prior to 2017); Chief Financial Officer,
Victory
Capital Services, Inc. (since 2018). |
Sean
Fox,
Born
September
1976 |
Chief
Compliance
Officer |
June
2022 |
Sr.
Compliance Officer, the Adviser (2019-Present);
Compliance
Officer, the Adviser
(2015-2019). |
Name
and
Date
of Birth |
Position
with
the
Trust |
Date
Commenced
Service |
Principal
Occupation
During
Past 5 Years |
Charles
Booth,
Born
April 1960 |
Anti-Money
Laundering
Compliance
Officer
and
Identity
Theft
Officer |
May
2015 |
Director,
Regulatory Administration and CCO Support
Services,
Citi Fund Services Ohio, Inc. |
Jay
G. Baris,
Born
January 1954 |
Assistant
Secretary |
May
2015 |
Partner,
Sidley Austin LLP (since 2020); Partner,
Shearman
& Sterling LLP (2018-2020); Partner,
Morrison
& Foerster LLP
(2011-2018). |
Trustee |
Dollar
Range of Beneficial
Ownership
of Fund Shares |
Aggregate
Dollar Range
of
Ownership of Shares
of
All Series of the
Victory
Fund Complex |
Mr.
Adcock |
None. |
Over
$100,000 |
Mr.
Andrews |
Market
Neutral Income Fund: $50,001 - $100,000 |
Over
$100,000 |
Ms.
Beard |
None. |
Over
$100,000 |
Mr.
Bushe |
US
500 Enhanced Volatility Wtd Index Fund: Over
$100,000 |
Over
$100,000 |
Mr.
Kelly |
None. |
Over
$100,000 |
Mr.
Meyer |
None. |
Over
$100,000 |
Ms.
Nelund |
None. |
Over
$100,000 |
Mr.
Wilson |
None. |
Over
$100,000 |
Trustee |
Dollar
Range of Beneficial Ownership of Fund Shares |
Aggregate
Dollar Range
of
Ownership of Shares
of
All Series of the
Victory
Fund Complex |
Mr.
Brown* |
Market
Neutral Income Fund: Over $100,000 |
Over
$100,000 |
Trustee |
Aggregate
Compensation
from
the Funds |
Total
Compensation from the
Victory
Fund Complex |
Mr.
Adcock |
$10,654 |
$337,000 |
Mr.
Andrews* |
$11,763 |
$387,000 |
Ms.
Beard |
$10,654 |
$337,000 |
Mr.
Bushe |
$10,654 |
$337,000 |
Mr.
Kelly |
$14,813 |
$462,000 |
Mr.
Meyer |
$10,654 |
$337,000 |
Ms.
Nelund |
$10,654 |
$337,000 |
Mr.
Wilson |
$12,317 |
$412,000 |
Trustee |
Aggregate
Compensation
from
the Funds |
Total
Compensation from the
Victory
Fund Complex |
Mr.
Brown* |
None |
None |
Trustee |
Aggregate
Compensation
from
the Funds |
Total
Compensation from the
Victory
Fund Complex |
Mr.
Adcock* |
$1,598 |
$50,550 |
Ms.
Beard** |
$840 |
$20,640 |
Mr.
Bushe*** |
$5,327 |
$168,500 |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
MARKET
NEUTRAL INCOME FUND CL A |
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
67.16% |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
|
TD
AMERITRADE CLEARING, INC.
200
SOUTH 108TH AVENUE
OMAHA
NE 68154 |
11.14% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
7.18% |
MARKET
NEUTRAL INCOME FUND CL C |
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
34.34% |
|
MORGAN
STANLEY SMITH BARNEY LLC
2000
WESTCHESTER AVE LD
PURCHASE
NY 105772530 |
21.60% |
|
AMERIPRISE
FINANCIAL SERVICES, INC.
5221
AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN 55474 |
13.63% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
8.87% |
|
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
8.29% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
6.44% |
MARKET
NEUTRAL INCOME FUND CL I |
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
18.33% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
17.15% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
14.52% |
|
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
9.99% |
|
AMERIPRISE
FINANCIAL SERVICES, INC.
5221
AMERIPRISE FINANCIAL CENTER
MINNEAPOLIS
MN 55474 |
8.88% |
|
TD
AMERITRADE CLEARING, INC.
200
SOUTH 108TH AVENUE
OMAHA
NE 68154 |
6.14% |
|
MORGAN
STANLEY SMITH BARNEY LLC
2000
WESTCHESTER AVE LD
PURCHASE
NY 105772530 |
6.01% |
|
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
5.26% |
|
MAC
CO 822479
FBO
STATE OF ILLINOIS
500
GRANT STREET
ROOM
151-1010
PITTSBURGH
PA 15258 |
5.12% |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
MARKET
NEUTRAL INCOME FUND MEMBER
CL |
DUNCAN
M MCINTOSH
SUSAN
K MCINTOSH
MCINTOSH
FAM LIV TRUST
UA
07 22 98
2008
BILOXI CIR
PLANO
TX 75075 |
5.02% |
US
500 ENHANCED VOL WTD INDEX FUND
CL
A |
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
28.96% |
|
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
25.93% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
13.67% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
5.59% |
US
500 ENHANCED VOL WTD INDEX FUND
CL
C |
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
43.65% |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
29.93% |
|
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
8.96% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
7.07% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
5.72% |
US
500 ENHANCED VOL WTD INDEX FUND
CL
I |
LPL
FINANCIAL CORPORATION
75
STATE STREET, 24TH FLOOR
BOSTON
MA 02109 |
29.69% |
|
CHARLES
SCHWAB & CO., INC.
211
MAIN STREET
SAN
FRANCISCO CA 94105 |
17.83% |
|
NATIONAL
FINANCIAL SERVICES LLC
NEWPORT
OFFICE CENTER III 5TH FLOOR
499
WASHINGTON BOULEVARD
JERSEY
CITY NJ 07310 |
15.31% |
|
UBS
FINANCIAL SERVICES INC.
C/O
CENTRAL DEPOSIT/MUTUAL FUNDS
1000
HARBOR BLVD 7TH FL
A/C
YY011410610
WEEHAWKEN
NJ 070866727 |
12.22% |
|
RAYMOND
JAMES & ASSOCIATES, INC.
880
CARILLON PARKWAY
ST
PETERSBURG FL 337332749 |
8.34% |
Fund
- Class |
Name
and Address of Owner |
Percentage
Owned
of
Record |
|
PERSHING
LLC
ONE
PERSHING PLAZA
PRODUCT
SUPPORT, 14TH FLOOR
JERSEY
CITY NJ 07399 |
7.43% |
Fund |
Advisory
Fee |
Market
Neutral Income Fund |
0.35% |
US
500 Enhanced Volatility Wtd Index Fund |
0.70% |
Fund |
2022 |
2021 |
2020 |
Market
Neutral Income Fund |
$8,341,780 |
$2,194,718 |
$919,598 |
US
500 Enhanced Volatility Wtd Index Fund |
$471,348 |
$477,736 |
$567,706 |
Fund |
2022 |
2021 |
2020 |
Victory
Market Neutral Income Fund |
$4,525,747 |
$1,612,292 |
$670,257 |
US
500 Enhanced Volatility Wtd Index Fund |
$182,939 |
$170,552 |
$229,910 |
Fund |
2022 |
2021 |
2020 |
Market
Neutral Income Fund |
$14,899 |
$3,485 |
$1,167 |
US
500 Enhanced Volatility Wtd Index Fund |
$485 |
$573 |
$658 |
Fund |
2022 |
2021 |
2020 |
Market
Neutral Income Fund |
$1,290,074 |
$289,616 |
$92,399 |
US
500 Enhanced Volatility Wtd Index Fund |
$36,483 |
$39,753 |
$48,669 |
Fund |
Gross
Income
from
securities
lending
activities |
Fees
paid to
securities
lending
agent
from a
revenue
split |
Rebate
(paid
to
borrower) |
Aggregate
fees/compensation
for
securities
lending
activities |
Net
income
from
securities
lending
activities |
Market
Neutral
Income
Fund |
$1,152,818 |
$100,043 |
$178,052 |
$278,095 |
$874,723 |
US
500 Enhanced
Volatility
Wtd Index
Fund |
$4,510 |
$435 |
$147 |
$582 |
$3,928 |
|
2022 |
2021 |
2020 | |||
|
Total
Commissions |
Underwriting
Commissions
Retained |
Total
Commissions |
Underwriting
Commissions
Retained |
Total
Commissions |
Underwriting
Commissions
Retained |
Market
Neutral Income Fund |
$171,891 |
$24,018 |
$23,801 |
$2,932 |
$3,483 |
$418 |
US
500 Enhanced Volatility Wtd
Index
Fund |
$9,996 |
$1,290 |
$7,784 |
$976 |
$23,675 |
$3,061 |
|
Registered
Investment
Company
Accounts |
Pooled
Investment
Vehicle
Accounts |
Other
Accounts | |||
Assets
Managed
(In
Millions |
Number
of
Accounts |
Assets
Managed
(In
Millions) |
Number
of
Accounts |
Assets
Managed
(In
Millions) |
Number
of
Accounts | |
Mannik
Dhillon |
$50,888.07 |
58 |
$52.10 |
4 |
$5,121.16 |
4 |
Scott
Kefer |
$1,452.55 |
4 |
$0 |
— |
$621.72 |
13 |
Lance
Humphrey |
$10,640.67 |
18 |
$0 |
— |
$2,532.54 |
4 |
|
Registered
Investment
Company
Accounts |
Pooled
Investment
Vehicle
Accounts |
Other
Accounts | |||
Assets
Managed
(In
Millions |
Number
of
Accounts |
Assets
Managed
(In
Millions) |
Number
of
Accounts |
Assets
Managed
(In
Millions) |
Number
of
Accounts | |
Free
Foutz |
$0 |
— |
$0 |
— |
$0 |
— |
|
Registered
Investment
Company
Accounts |
Pooled
Investment
Vehicle
Accounts |
Other
Accounts | |||
Assets
Managed
(In
Millions) |
Number
of
Accounts |
Assets
Managed
(In
Millions) |
Number
of
Accounts |
Assets
Managed
(In
Millions) |
Number
of
Accounts | |
Mannik
Dhillon |
$17,636.91 |
15 |
$521.28 |
$521.28 |
$0 |
— |
Scott
Kefer |
$1,443.98 |
3 |
$0 |
— |
$0 |
— |
Lance
Humphrey |
$535.25 |
2 |
$0 |
— |
$0 |
— |
Free
Foutz |
$0 |
— |
$0 |
— |
$0 |
— |
Portfolio
Manager |
Fund |
Dollar
Range of Shares
Beneficially
Owned as of
June
30, 2022 |
Mannik
Dhillon |
Victory
Market Neutral Income Fund
Victory
US 500 Enhanced Volatility Wtd Index Fund |
$500,001-$1,000,000
None |
Scott
Kefer |
Victory
Market Neutral Income Fund |
None |
Lance
Humphrey |
Victory
Market Neutral Income Fund |
None |
Free
Foutz |
Victory
Market Neutral Income Fund |
None |
Fund |
Class
A |
Class
C |
Class
I |
Market
Neutral Income Fund |
$208,430 |
$56,126 |
$— |
US
500 Enhanced Volatility Wtd Index Fund |
$74,315 |
$225,859 |
$— |
Fund |
2022 |
2021 |
2020 |
Market
Neutral Income Fund |
$6,079,661 |
$871,978 |
$374,242 |
US
500 Enhanced Volatility Wtd Index Fund |
$45,052 |
$15,296 |
$23,037 |
Fund |
Amount
of Transactions to Brokers
Providing
Research |
Related
Commissions |
Market
Neutral Income Fund |
$4,549,647,678 |
$2,757,037
|
US
500 Enhanced Volatility Wtd Index Fund |
$110,642,472
|
$30,681
|
Fund |
Broker-Dealer |
Type
of
Security
(Debt
or
Equity) |
Aggregate
Value
($000s) |
Market
Neutral Income Fund |
Citigroup,
Inc. |
Equity |
$8,327 |
Market
Neutral Income Fund |
JPMorgan
Chase & Co. |
Equity |
$8,869 |
Market
Neutral Income Fund |
Mizuho
Financial Group,
Inc. |
Equity |
$10,697 |
Market
Neutral Income Fund |
Morgan
Stanley |
Equity |
$7,886 |
US
500 Enhanced Volatility Wtd Index Fund |
Bank
of America Corp. |
Equity |
$86 |
US
500 Enhanced Volatility Wtd Index Fund |
Citigroup,
Inc. |
Equity |
$101 |
US
500 Enhanced Volatility Wtd Index Fund |
JPMorgan
Chase & Co. |
Equity |
$107 |
US
500 Enhanced Volatility Wtd Index Fund |
Morgan
Stanley |
Equity |
$96 |
US
500 Enhanced Volatility Wtd Index Fund |
The
Goldman Sachs Group,
Inc. |
Equity |
$106 |
US
500 Enhanced Volatility Wtd Index Fund |
Wells
Fargo & Co. |
Equity |
$72 |
Fund |
2022 |
2021 |
Market
Neutral Income Fund |
61% |
89% |
US
500 Enhanced Volatility Wtd Index Fund |
101% |
68% |
Fund |
Short-Term
Amount |
Long-Term
Amount |
Market
Neutral Income Fund |
$- |
$70,483,572 |
US
500 Enhanced Volatility Wtd Index Fund |
$- |
$- |
Type
of Service Provider |
Name
of Service Provider |
Timing
of Release of
Portfolio
Holdings Information |
Adviser
and Fund Accountant |
Victory
Capital Management Inc. |
Daily. |
Distributor |
Victory
Capital Services, Inc. |
Daily. |
Custodian |
Citibank,
N.A. |
Daily. |
Sub-Fund
Accountant |
Citi
Fund Services Ohio, Inc. |
Daily. |
Financial
Data Service |
FactSet
Research Systems, Inc. |
Daily. |
Liquidity
Risk Management Service
Provider |
MSCI,
Inc. |
Daily. |
Type
of Service Provider |
Name
of Service Provider |
Timing
of Release of
Portfolio
Holdings Information |
Independent
Registered Public
Accounting
Firm |
Cohen
& Company, Ltd. |
Annual
Reporting Period: within 15
business
days of end of reporting period. |
Printer
for Financial Reports |
Toppan
Merrill LLC |
Up
to 30 days before distribution to
shareholders. |
Legal
Counsel, for EDGAR filings on
Forms
N-CSR and Form N-PORT |
Sidley
Austin LLP |
Up
to 30 days before filing with the
SEC. |
Ratings
Agency |
Lipper |
Quarterly,
no sooner than 15 calendar
days
after the end of the previous
quarter. |
Ratings
Agency |
Morningstar |
Quarterly,
no sooner than 15 calendar
days
after the end of the previous
quarter. |
Financial
Data Service |
Bloomberg
L.P. |
Quarterly,
no sooner than 15 calendar
days
after the end of the previous
quarter. |