Eaton Vance Management Two International Place Boston, MA 02110 (617) 482-8260 www.eatonvance.com
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▇▇▇▇▇ ▇▇▇▇▇ Management Two International Place Boston, MA ▇▇▇▇▇ (▇▇▇) ▇▇▇-▇▇▇▇ ▇▇▇.▇▇▇▇▇▇▇▇▇▇.▇▇▇ |
March 12, 2012
State Street Bank and Trust Company
▇▇▇▇ ▇▇▇▇▇▇▇ Tower
▇▇▇ ▇▇▇▇▇▇▇▇▇ ▇▇.
Boston, MA 02116
Attn: ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇▇
Dear ▇▇. ▇▇▇▇▇▇▇▇▇▇:
Reference is made to the Services Agreement between us dated as of September 1, 2010, including Appendix A as amended and restated most recently on September 1, 2010 (the “Services Agreement”), and the Master Custodian Agreement dated September 1, 2010 (the “Custodian Agreement”) (collectively, the “Agreements”). Pursuant to the Agreements, this letter (the “Letter”) is to provide written notice of the creation of one additional closed-end fund: eUnitsTM 2 Year U.S. Market Participation Trust II: Upside to Cap / Buffered Downside (the “Additional Fund”).
In accordance with, the additional portfolio provision of Section 1 of the Services Agreement and Section 16 of the Custodian Agreement, we request that you confirm that you will render the services described in the Agreements to the Additional Fund and that Appendix A is deemed to be amended to add the Additional Fund. In signing below, each of the undersigned hereby confirms, as of the date hereof, their respective representations and warranties set forth in Sections 19 and 24 of the Custodian Agreement and Section A.7 of Appendix B of the Custodian Agreement. The Additional Fund has been added to the Master Account List of ▇▇▇▇▇ ▇▇▇▇▇ Registered Funds and Other Products, a copy of which is attached hereto.
Please indicate your acceptance of the foregoing by executing two copies of this Letter, retaining one fully executed copy for your records, and returning one fully executed copy to ▇▇▇▇▇ ▇▇▇▇▇ to my attention.
| Very truly yours, | ||
| eUnitsTM 2 Year U.S. Market Participation Trust II: Upside to Cap / Buffered Downside | ||
| By: | /s/ ▇▇▇▇▇▇▇ ▇. ▇▇▇▇▇ | |
| Name: | ▇▇▇▇▇▇▇ ▇▇▇▇▇ | |
| Title: | Vice President | |
| Accepted: | ||
| STATE STREET BANK AND TRUST COMPANY | ||
| By: | /s/ ▇▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇ | |
| Name: | ▇▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇ | |
| Title: | Executive Vice President | |
Discover Enduring Values
MASTER ACCOUNT LIST OF ▇▇▇▇▇ ▇▇▇▇▇ REGISTERED FUNDS AND OTHER PRODUCTS
The purpose of this List is to establish a listing of investment companies (and series thereof) registered with the Securities and Exchange Commission, and other products and accounts that are managed, sponsored or owned by ▇▇▇▇▇ ▇▇▇▇▇ Corp. and its affiliates (“▇▇▇▇▇ ▇▇▇▇▇-sponsored accounts”) to which State Street Bank and Trust Company provides custodial, administrative, transfer agency or other services. References in agreements between State Street and ▇▇▇▇▇ ▇▇▇▇▇-sponsored accounts to the categories of funds and accounts listed below shall be to this list, which shall be updated every month end. References to Advisers and Sub-Advisers are as follows:
| ▇▇▇ |
▇▇▇▇▇ ▇▇▇▇▇ Management or Boston Management and Research (with relevant department) | |
| ACM |
Atlanta Capital Management Company, LLC (in all cases serves as a sub-adviser to BMR or EVM) | |
| AW |
Armored Wolf, LLC (in all cases serves as a sub-adviser to BMR or EVM) | |
| Fox |
Fox Asset Management LLC (in all cases serves as a sub-adviser to BMR or EVM) | |
| Eagle |
Eagle Global Advisors, L.L.C. (in all cases serves as a sub-adviser to BMR or EVM) | |
| PPA |
Parametric Portfolio Associates LLC (in all cases serves as a sub-adviser to BMR or EVM) | |
| PRA |
Parametric Risk Advisors LLC (in all cases serves as a sub-adviser to BMR or EVM and manages the Fund’s option strategy only) | |
| LGM |
▇▇▇▇▇ ▇▇▇▇▇▇ Management (in all cases serves as a sub-adviser to BMR or EVM) | |
| OrbiMed |
OrbiMed Advisors, LLC | |
| RBA |
▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Advisors LLC (in all cases serves as a sub-adviser to BMR or EVM) |
▇▇▇▇▇ ▇▇▇▇▇ FUNDS REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION AND SUBSIDIARIES
| ▇▇▇▇▇ ▇▇▇▇▇ GROWTH TRUST(1)(2) |
Adviser/Sub-Adviser |
MCH # | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Asian Small Companies Fund |
n/a | FJ4X | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Atlanta Capital Focused Growth Fund |
n/a | FJ5F | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Atlanta Capital Select Equity Fund |
Atlanta Capital Management Company, LLC | FP19 | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Atlanta Capital ▇▇▇▇-Cap Fund |
n/a | FP6G | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Focused Growth Opportunities Fund |
EVM Equity Group | FS8U | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Focused Value Opportunities Fund |
EVM Equity Group | FS8V | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Greater China Growth Fund |
n/a | FJ5B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Multi-Cap Growth Fund |
n/a | FJ8B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ All Asset Strategy Fund |
EVM Equity Group – RBA | FJ91 | ||
| ▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Equity Strategy Fund (formerly ▇▇▇▇▇ ▇▇▇▇▇ ▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Multi-Market Equity Strategy Fund) |
EVM Equity Group – RBA | FR3M | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Worldwide Health Sciences Fund |
n/a | FJ4G | ||
| ▇▇▇▇▇ ▇▇▇▇▇ INVESTMENT TRUST(1)(2) |
Adviser/Sub-Adviser |
MCH # | ||
| ▇▇▇▇▇ ▇▇▇▇▇ AMT-Free Limited Maturity Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ1B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Massachusetts Limited Maturity Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ1F | ||
| ▇▇▇▇▇ ▇▇▇▇▇ National Limited Maturity Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ1H | ||
| ▇▇▇▇▇ ▇▇▇▇▇ New York Limited Maturity Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ1E | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Pennsylvania Limited Maturity Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ1G | ||
| ▇▇▇▇▇ ▇▇▇▇▇ MUNICIPALS TRUST(1)(2) |
Adviser/Sub-Adviser |
MCH # | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Alabama Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ1V | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Arizona Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ2L | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Arkansas Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ1Y | ||
| ▇▇▇▇▇ ▇▇▇▇▇ California Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ2V | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Connecticut Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ2P | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Georgia Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ1S | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Kentucky Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ1U | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Maryland Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ1P | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Massachusetts Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ2Z | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Minnesota Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ2M | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Missouri Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ1W | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Municipal Opportunities Fund |
EVM Fixed Income – Municipals Group | FJ56 | ||
| ▇▇▇▇▇ ▇▇▇▇▇ National Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ2W | ||
| ▇▇▇▇▇ ▇▇▇▇▇ New Jersey Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ2G | ||
| ▇▇▇▇▇ ▇▇▇▇▇ New York Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ2Y | ||
| ▇▇▇▇▇ ▇▇▇▇▇ North Carolina Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ1M | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Ohio Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ3A | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Oregon Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ1R | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Pennsylvania Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ2H | ||
| ▇▇▇▇▇ ▇▇▇▇▇ South Carolina Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ2A | ||
| Updated as of 3-13-2012 |
| ▇▇▇▇▇ ▇▇▇▇▇ MUNICIPALS TRUST(1)(2) (continued) |
Adviser/Sub-Adviser |
MCH # | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tennessee Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ1X | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Virginia Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ1N | ||
| ▇▇▇▇▇ ▇▇▇▇▇ MANAGED INCOME TERM TRUST(1)(2) (registration pending/not currently offered) |
Adviser/Sub-Adviser |
MCH # | ||
| 2019 Municipals |
EVM Fixed Income – Municipals Group | n/a | ||
| 2029 Municipals |
EVM Fixed Income – Municipals Group | n/a | ||
| 2019 Investment Grade Corporates |
EVM Fixed Income – Investment Grade Group | n/a | ||
| 2019 Investment Grade Non-Financial Corporates |
EVM Fixed Income – Investment Grade Group | n/a | ||
| ▇▇▇▇▇ ▇▇▇▇▇ MUNICIPALS TRUST II(1)(2) |
Adviser/Sub-Adviser |
MCH # | ||
| ▇▇▇▇▇ ▇▇▇▇▇ High Yield Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ2F | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Bond Strategies Intermediate Term Fund |
EVM Fixed Income – Tax-Advantaged Bond Strategies Group | FJ52 | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Bond Strategies Long Term Fund |
EVM Fixed Income – Tax-Advantaged Bond Strategies Group | FJ53 | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Bond Strategies Short Term Fund |
EVM Fixed Income – Tax-Advantaged Bond Strategies Group | FJ3F | ||
| ▇▇▇▇▇ ▇▇▇▇▇ MUTUAL FUNDS TRUST(1)(2) |
Adviser/Sub-Adviser |
MCH # | ||
| ▇▇▇▇▇ ▇▇▇▇▇ AMT-Free Municipal Income Fund |
EVM Fixed Income – Municipals Group | FJ1L | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Atlanta Capital Horizon Growth Fund (formerly ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Mid-Cap Core Fund*) |
Atlanta Capital Management Company, LLC | FU2Y | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Build America Bond Fund* |
EVM Fixed Income – Municipals Group | FR4A | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Diversified Currency Income Fund (formerly ▇▇▇▇▇ ▇▇▇▇▇ International Multi-Market Local Income Fund and ▇▇▇▇▇ ▇▇▇▇▇ International Income Fund) |
EVM Fixed Income – Global/MBS Group | FP8B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Emerging Markets Local Income Fund |
EVM Fixed Income – Global/MBS Group | FR7B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Floating-Rate Fund |
n/a | FS5B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Floating-Rate & High Income Fund |
n/a | FS4M | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Floating-Rate Advantage Fund |
n/a | FS3B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Global Dividend Income Fund |
n/a | FJ6B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Global Macro Absolute Return Advantage Fund |
EVM Fixed Income – Global/MBS Group | FS8B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Global Macro Absolute Return Fund |
EVM Fixed Income – Global/MBS Group | FP5B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Government Obligations Fund |
n/a | FR2B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ High Income Opportunities Fund |
n/a | FR8B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Large-Cap Core Research Fund |
n/a | FJ4A | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Low Duration Fund |
EVM Fixed Income – Global/MBS Group | FR3B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Multi-Strategy Absolute Return Fund (formerly ▇▇▇▇▇ ▇▇▇▇▇ Diversified Income Fund) |
EVM Fixed Income – Custom Based Solutions Group | FP9D | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Multi-Strategy All Market Fund |
EVM Fixed Income – Custom Based Solutions Group | FJ92 | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Parametric Structured Absolute Return Fund |
n/a | FP35 | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Parametric Structured Commodity Strategy Fund (formerly Parametric Structured Commodity Strategy Fund) |
Parametric Portfolio Associates LLC | FH8Y | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Parametric Structured Currency Fund |
Parametric Portfolio Associates LLC | FP72 | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Parametric Structured Emerging Markets Fund |
Parametric Portfolio Associates LLC | FA2O | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Parametric Structured International Equity Fund |
Parametric Portfolio Associates LLC | FJ54 | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Strategic Income Fund |
EVM Fixed Income – Global/MBS Group | FP7A | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Equity Asset Allocation Fund |
EVM Equity Group | FU2R | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Global Dividend Income Fund |
EVM Equity Group | FJ6C | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Growth Fund 1.1 |
Exchange Fund Operations Group | FT2D | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Growth Fund 1.2 |
n/a | FT2E | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed International Equity Fund |
n/a | FU2B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Multi-Cap Growth Fund |
n/a | FJ8U | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Small-Cap Fund |
n/a | FU3B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Small-Cap Value Fund |
Fox Asset Management LLC | FU3Y | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Value Fund |
n/a | FJ8H | ||
| ▇▇▇▇▇ ▇▇▇▇▇ U.S. Government Money Market Fund |
EVM Fixed Income – Investment Grade Group | FU5B | ||
| * | Effective March 1, 2011, ▇▇▇▇▇ ▇▇▇▇▇ Build America Bond Fund eliminated the master-feeder structure and does not invest in Build America Bond Portfolio. Effective April 21, 2011, ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Mid-Cap Core Fund eliminated the master-feeder structure and does not invest in Tax-Managed Mid-Cap Core Portfolio. |
| Updated as of 3-13-2012 |
2 |
| ▇▇▇▇▇ ▇▇▇▇▇ SERIES TRUST(1)(2) |
Adviser/Sub-Adviser |
MCH # | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Growth Fund 1.0 |
Exchange Fund Operations Group | FT2B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ SERIES TRUST II(1)(2) |
Adviser/Sub-Adviser |
MCH # | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Income Fund of Boston |
n/a | FR9B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Parametric Tax-Managed Emerging Markets Fund |
Parametric Portfolio Associates LLC | FA2N | ||
| ▇▇▇▇▇ ▇▇▇▇▇ SPECIAL INVESTMENT TRUST(1)(2) |
Adviser/Sub-Adviser |
MCH # | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Balanced Fund |
n/a | FP4Z | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Commodity Strategy Fund |
Armored Wolf, LLC | FS7Y | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Dividend Builder Fund |
n/a | FJ7B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Greater India Fund |
n/a | FJ5P | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Investment Grade Income Fund |
n/a | FP2B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Large-Cap Growth Fund |
n/a | FP4B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Large-Cap Value Fund |
n/a | FJ7H | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Parametric Option Absolute Return Strategy Fund |
EVM Fixed Income – Investment Group Parametric Risk Advisors LLC |
FR9C | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Real Estate Fund |
EVM Equity Group | FJ3V | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Risk-Managed Equity Option Fund (formerly ▇▇▇▇▇ ▇▇▇▇▇ Risk-Managed Equity Option Income Fund) |
EVM Equity Group & Parametric Risk Advisors LLC | FJ4K | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Short Term Real Return Fund |
EVM Fixed Income – Investment Grade Group | FJ55 | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Small-Cap Fund |
n/a | FP5G | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Small-Cap Value Fund |
Fox Asset Management LLC | FJ3W | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Special Equities Fund |
n/a | FJ5U | ||
| ▇▇▇▇▇ ▇▇▇▇▇ VARIABLE TRUST(1)(2) |
Adviser/Sub-Adviser |
MCH # | ||
| ▇▇▇▇▇ ▇▇▇▇▇ VT Floating-Rate Income Fund |
EVM Fixed Income – Bank Loan Group | FJ3N | ||
| ▇▇▇▇▇ ▇▇▇▇▇ VT Large-Cap Value Fund |
EVM Equity Group | FJ3X | ||
| CLOSED END FUNDS(1)(2) |
Adviser/Sub-Adviser |
MCH # | ||
| ▇▇▇▇▇ ▇▇▇▇▇ California Municipal Bond Fund |
EVM Fixed Income – Municipals Group | FH1N | ||
| ▇▇▇▇▇ ▇▇▇▇▇ California Municipal Bond Fund II |
EVM Fixed Income – Municipals Group | FH1W | ||
| ▇▇▇▇▇ ▇▇▇▇▇ California Municipal Income Trust |
EVM Fixed Income – Municipals Group | FH1B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Diversified Emerging Markets Local Income Fund, Inc. (filed with the SEC but not effective) |
EVM Fixed Income – Global/MBS Group | FS9L | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Enhanced Equity Income Fund |
EVM Equity Group | FH9K | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Enhanced Equity Income Fund II |
EVM Equity Group | FH9C | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Floating-Rate Income Trust |
EVM Fixed Income – Bank Loan Group | FH4A | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Limited Duration Income Fund |
EVM Fixed Income – Bank Loan Group (bank loans) EVM Fixed Income – Global/MBS Group (MBS) EVM Fixed Income – High Yield Group (high yield bonds) |
FH8C | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Massachusetts Municipal Bond Fund |
EVM Fixed Income – Municipals Group | FH1S | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Massachusetts Municipal Income Trust |
EVM Fixed Income – Municipals Group | FH1E | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Michigan Municipal Bond Fund |
EVM Fixed Income – Municipals Group | FH1Y | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Michigan Municipal Income Trust |
EVM Fixed Income – Municipals Group | FH1F | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Municipal Bond Fund |
EVM Fixed Income – Municipals Group | FH1R | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Municipal Bond Fund II |
EVM Fixed Income – Municipals Group | FH1U | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Municipal Income Trust |
EVM Fixed Income – Municipals Group | FH1G | ||
| ▇▇▇▇▇ ▇▇▇▇▇ National Municipal Opportunities Trust |
EVM Fixed Income – Municipals Group | FH2F | ||
| ▇▇▇▇▇ ▇▇▇▇▇ New Jersey Municipal Bond Fund |
EVM Fixed Income – Municipals Group | FH1Z | ||
| ▇▇▇▇▇ ▇▇▇▇▇ New Jersey Municipal Income Trust |
EVM Fixed Income – Municipals Group | FH1H | ||
| ▇▇▇▇▇ ▇▇▇▇▇ New York Municipal Bond Fund |
EVM Fixed Income – Municipals Group | FH1P | ||
| ▇▇▇▇▇ ▇▇▇▇▇ New York Municipal Bond Fund II |
EVM Fixed Income – Municipals Group | FH1V | ||
| ▇▇▇▇▇ ▇▇▇▇▇ New York Municipal Income Trust |
EVM Fixed Income – Municipals Group | FH1J | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Ohio Municipal Bond Fund |
EVM Fixed Income – Municipals Group | FH2A | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Ohio Municipal Income Trust |
EVM Fixed Income – Municipals Group | FH1L | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Pennsylvania Municipal Bond Fund |
EVM Fixed Income – Municipals Group | FH2B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Pennsylvania Municipal Income Trust |
EVM Fixed Income – Municipals Group | FH1M | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Preferred Dividend Income Trust (filed with the SEC but not effective) |
EVM Fixed Income – Investment Group | |||
| ▇▇▇▇▇ ▇▇▇▇▇ Risk-Managed Diversified Equity Income Fund |
EVM Equity Group | FH1K | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Risk-Managed Equity Income Opportunities Fund (not currently offered) |
TBD | n/a | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Senior Floating-Rate Trust |
EVM Fixed Income – Bank Loan Group | FH5A | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Senior Income Trust |
EVM Fixed Income – Bank Loan Group | FH4B | ||
| Updated as of 3-13-2012 |
3 |
| CLOSED END FUNDS(1)(2) (continued) |
Adviser/Sub-Adviser |
MCH # | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Short Duration Diversified Income Fund |
EVM Fixed Income – Bank Loan Group (bank loans) EVM Fixed Income – Global/MBS Group (foreign investments) EVM Fixed Income – High Yield Group (high yield bonds) |
FH7K | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Bond and Option Strategies Fund (formerly ▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Return Strategies Fund and ▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Absolute Return Fund) |
EVM Fixed Income – Tax-Advantaged Bond Strategies Group Parametric Risk Advisors LLC |
FH8K | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Dividend Income Fund |
EVM Equity Group | FH5C | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Global Dividend Income Fund |
EVM Equity Group | FH6C | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Global Dividend Opportunities Fund |
EVM Equity Group | FH5K | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Buy-Write Income Fund |
Parametric Portfolio Associates LLC | FH3C | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Buy-Write Opportunities Fund |
Parametric Portfolio Associates LLC | FH2K | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Diversified Equity Income Fund |
EVM Equity Group | FH6K | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Global Buy-Write Opportunities Fund |
Parametric Portfolio Associates LLC | FH3K | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Global Diversified Equity Income Fund |
EVM Equity Group | FH7C | ||
| eUNITsTM 2 Year International Equity Market Participation Trust: |
EVM Fixed Income – Investment Group Parametric Risk Advisors LLC |
n/a | ||
| eUnitsTM 2 Year U.S. Market Participation Trust: |
EVM Fixed Income – Investment Group Parametric Risk Advisors LLC |
FY2A | ||
| eUnitsTM 2 Year U.S. Market Participation Trust II: |
EVM Fixed Income – Investment Group Parametric Risk Advisors LLC |
|||
| eUnitsTM 2 Year U.S. Market Participation Trust III: |
EVM Fixed Income – Investment Group Parametric Risk Advisors LLC |
|||
| eUnitsTM 2 Year U.S. Market Participation Trust IV: |
EVM Fixed Income – Investment Group Parametric Risk Advisors LLC |
|||
| eUnitsTM 2 Year U.S. Market Participation Trust V: |
EVM Fixed Income – Investment Group Parametric Risk Advisors LLC |
|||
| eUnitsTM 2 Year U.S. Market Participation Trust VI: |
EVM Fixed Income – Investment Group Parametric Risk Advisors LLC |
|||
|
PORTFOLIOS(1)(2) |
Adviser/Sub-Adviser |
MCH # | ||
| Asian Small Companies Portfolio |
▇▇▇▇▇ ▇▇▇▇▇▇ Management | FJ4V | ||
| Boston Income Portfolio |
EVM Fixed Income – High Yield Group | FR9A | ||
| Build America Bond Portfolio (pending deregistration with the SEC) |
EVM Fixed Income – Municipals Group | FR4B | ||
| Dividend Builder Portfolio |
EVM Equity Group | FJ7A | ||
| Emerging Markets Local Income Portfolio |
EVM Fixed Income – Global/MBS Group | FR7A | ||
| Floating Rate Portfolio |
EVM Fixed Income – Bank Loan Group | FS5A | ||
| Focused Growth Portfolio (formerly Large-Cap Portfolio) |
Atlanta Capital Management Company, LLC | FJ5E | ||
| Global Dividend Income Portfolio |
EVM Equity Group | FJ6A | ||
| Global Macro Absolute Return Advantage Portfolio |
EVM Fixed Income – Global/MBS Group | FS8A | ||
| Global Macro Portfolio |
EVM Fixed Income – Global/MBS Group | FP5A | ||
| Global Opportunities Portfolio |
EVM Fixed Income – Global/MBS Group | FV2A | ||
| Government Obligations Portfolio |
EVM Fixed Income – Global/MBS Group | FR2A | ||
| Greater China Growth Portfolio |
▇▇▇▇▇ ▇▇▇▇▇▇ Management | FJ5A | ||
| Greater India Portfolio |
▇▇▇▇▇ ▇▇▇▇▇▇ Management | FJ5N | ||
| High Income Opportunities Portfolio |
EVM Fixed Income – High Yield Group | FR8A | ||
| Inflation-Linked Securities Portfolio |
EVM Fixed Income – Investment Grade Group | FJ62 | ||
| International Equity Portfolio (pending deregistration with the SEC) |
Eagle Global Advisors, L.L.C. | FP3D | ||
| International Income Portfolio |
EVM Fixed Income – Global/MBS Group | FP8A | ||
| Investment Grade Income Portfolio |
EVM Fixed Income – Investment Grade Group | FP2A | ||
| Large-Cap Core Research Portfolio |
EVM Equity Group | FP4V | ||
| Large-Cap Growth Portfolio |
EVM Equity Group | FP4A | ||
| Large-Cap Value Portfolio |
EVM Equity Group | FJ7G | ||
| MSAM Completion Portfolio |
EVM Fixed Income – Custom Based Solutions Group Parametric Risk Advisors LLC |
FP4C | ||
| MSAR Completion Portfolio (formerly Multi-Sector Option Strategy Portfolio) |
EVM Fixed Income – Custom Based Solutions Group Parametric Risk Advisors LLC |
FP9C | ||
| Multi-Cap Growth Portfolio |
EVM Equity Group | FJ8A | ||
| Parametric Structured Absolute Return Portfolio |
Parametric Portfolio Associates LLC | FP3C | ||
| Senior Debt Portfolio |
EVM Fixed Income – Bank Loan Group | FS3A | ||
| Short Duration High Income Portfolio (filed and effective with the SEC 2-13-2012) |
EVM Fixed Income – High Yield Group | FR6A | ||
| Short-Term U.S. Government Portfolio |
EVM Fixed Income – Global/MBS Group | FR3A | ||
| Small-Cap Portfolio |
EVM Equity Group | FP5F | ||
| ▇▇▇▇-Cap Portfolio |
Atlanta Capital Management Company, LLC | FP6F | ||
| Updated as of 3-13-2012 |
4 |
|
PORTFOLIOS(1)(2) |
Adviser/Sub-Adviser |
MCH # | ||
| Special Equities Portfolio |
EVM Equity Group | FJ5S | ||
| Tax-Managed Growth Portfolio |
EVM Equity Group | FT9A | ||
| Tax-Managed International Equity Portfolio |
Eagle Global Advisors, L.L.C. | FU2A | ||
| Tax-Managed Mid-Cap Core Portfolio (pending deregistration with the SEC) |
Atlanta Capital Management Company, LLC | FU2Z | ||
| Tax-Managed Multi-Cap Growth Portfolio |
EVM Equity Group | FJ8S | ||
| Tax-Managed Small-Cap Portfolio |
EVM Equity Group | FU3A | ||
| Tax-Managed Small-Cap Value Portfolio |
Fox Asset Management LLC | FU3Z | ||
| Tax-Managed Value Portfolio |
EVM Equity Group | FJ8G | ||
| Worldwide Health Sciences Portfolio |
OrbiMed Advisors LLC | FJ4F | ||
| CAYMAN SUBSIDIARIES OF SEC REGISTERED FUNDS(2) |
Adviser/Sub-Adviser |
MCH # | ||
| ▇▇▇▇▇ ▇▇▇▇▇ AM Commodity Subsidiary, Ltd. |
EVM Fixed Income – Custom Based Solutions Group | |||
| ▇▇▇▇▇ ▇▇▇▇▇ CSF Commodity Subsidiary, Ltd. |
Armored Wolf, LLC | FS7Z | ||
| ▇▇▇▇▇ ▇▇▇▇▇ DIF Commodity Subsidiary, Ltd. |
EVM Fixed Income – Custom Based Solutions Group | FU4B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ EMLIP Commodity Subsidiary, Ltd. |
EVM Fixed Income – Global/MBS Group | FU4F | ||
| ▇▇▇▇▇ ▇▇▇▇▇ EVG Commodity Subsidiary, Ltd. |
EVM Fixed Income – Bank Loan Group EVM Fixed Income – Global/MBS Group | FU4A | ||
| ▇▇▇▇▇ ▇▇▇▇▇ GMAP Commodity Subsidiary, Ltd. |
EVM Fixed Income – Global/MBS Group | FU4L | ||
| ▇▇▇▇▇ ▇▇▇▇▇ GMP Commodity Subsidiary, Ltd. |
EVM Fixed Income – Global/MBS Group | FU4E | ||
| ▇▇▇▇▇ ▇▇▇▇▇ GOP Commodity Subsidiary, Ltd. |
EVM Fixed Income – Global/MBS Group | FU4J | ||
| ▇▇▇▇▇ ▇▇▇▇▇ IIP Commodity Subsidiary, Ltd. |
EVM Fixed Income – Global/MBS Group | FU4G | ||
| ▇▇▇▇▇ ▇▇▇▇▇ MSAM Commodity Subsidiary, Ltd. |
EVM Fixed Income – Custom Based Solutions Group Parametric Risk Advisors LLC |
|||
| ▇▇▇▇▇ ▇▇▇▇▇ MSAR Commodity Subsidiary, Ltd. |
EVM Fixed Income – Custom Based Solutions Group Parametric Risk Advisors LLC |
|||
| ▇▇▇▇▇ ▇▇▇▇▇ RBA Commodity Subsidiary, Ltd. |
▇▇▇▇▇▇▇ ▇▇▇▇▇▇▇▇▇ Advisors LLC | |||
| ▇▇▇▇▇ ▇▇▇▇▇ SIF Commodity Subsidiary, Ltd. |
EVM Fixed Income – Global/MBS Group | FU4D | ||
| PSAR Commodity Subsidiary, Ltd. |
Parametric Portfolio Associates LLC | FP43 | ||
| PSC Commodity Subsidiary, Ltd. |
Parametric Portfolio Associates LLC | FH8Z | ||
▇▇▇▇▇ ▇▇▇▇▇ UNREGISTERED FUNDS
| OFFSHORE FUNDS(2) |
Adviser/Sub-Adviser |
MCH # | ||
| ▇▇▇▇▇ ▇▇▇▇▇ International (Cayman Islands) Emerging Markets Local Income Fund |
EVM Fixed Income – Global/MBS Group and Cayman Fund Administration Group |
FR7Q | ||
| ▇▇▇▇▇ ▇▇▇▇▇ International (Cayman Islands) Funds Ltd. (formerly ▇▇▇▇▇ ▇▇▇▇▇ Medallion Funds Ltd.) |
Cayman Fund Administration Group | Not an MCH Fund but rather the legal entity to which other CI Funds rollup | ||
| ▇▇▇▇▇ ▇▇▇▇▇ International (Cayman Islands) Floating-Rate Income Fund (formerly ▇▇▇▇▇ ▇▇▇▇▇ Medallion Floating-Rate Income Fund) | Cayman Fund Administration Group | FS4B | ||
| ▇▇▇▇▇ ▇▇▇▇▇ International (Cayman Islands) Floating-Rate Income Portfolio (formerly ▇▇▇▇▇ ▇▇▇▇▇ Floating-Rate Income Portfolio) | EVM Fixed Income – Bank Loan Group and Cayman Fund Administration Group |
FS4A | ||
| ▇▇▇▇▇ ▇▇▇▇▇ International (Cayman Islands) Strategic Income Fund (formerly ▇▇▇▇▇ ▇▇▇▇▇ Medallion Strategic Income Fund) | EVM Fixed Income – Global/MBS Group and Cayman Fund Administration Group |
FP6A |
| Updated as of 3-13-2012 |
5 |
| PRIVATE VEHICLES |
Adviser/Sub-Adviser |
MCH # | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Cash Collateral Fund, LLC(1)(2) |
EVM Fixed Income – Investment Grade Group | FS2A | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Cash Reserves Fund LLC(1)(2) |
EVM Fixed Income – Investment Grade Group | FA6A | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Institutional Senior Loan Fund |
EVM Fixed Income – Bank Loan Group and Cayman Fund Administration Group |
FJ3L | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Institutional Senior Loan Series Trusts |
EVM Fixed Income – Bank Loan Group and Cayman Fund Administration Group |
FJ3L, FJ3D, FJ3G, FJ3R, FJ3S, FS8W | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Multi-Cap Portfolio LLC |
EVM Equity Group | FT6A | ||
| U.S. CHARITABLE GIFT TRUST |
Adviser/Sub-Adviser |
MCH # | ||
| Charitable Deferred Retirement Fund – 10 Year Investment Grade |
n/a | FW5J | ||
| Charitable Deferred Retirement Fund – 12 Year High Yield |
n/a | FW5M | ||
| Charitable Deferred Retirement Fund – 12 Year Investment Grade |
n/a | FW5L | ||
| Charitable Deferred Retirement Fund – 20 Year High Yield |
n/a | FW5N | ||
| Donor Advised Fund – Cash Management Fund |
n/a | FS7D | ||
| Donor Advised Fund – Gift Preservation Fund |
n/a | FS6A | ||
| Donor Advised Fund – Growth & Income Fund |
n/a | FS6D | ||
| Donor Advised Fund – Growth Fund |
n/a | FS6B | ||
| Donor Advised Fund – Income Fund |
n/a | FS6E | ||
| Donor Advised Traditional Gift Preservation II |
n/a | Class on FS6A | ||
| Donor Advised Traditional Income II |
n/a | Class on FS6E | ||
| Donor Advised Traditional Growth II |
n/a | Class on FS6B | ||
| Donor Advised Traditional Growth & Income II |
n/a | Class on FS6D | ||
| Low-Load Donor Advised Growth II |
n/a | n/a - No record of this fund/class | ||
| Low-Load Donor Advised Income II |
n/a | n/a - No record of this fund/class | ||
| Low-Load Donor Advised Growth & Income II |
n/a | n/a - No record of this fund/class | ||
| Pooled Income Fund – Growth & Income Fund |
n/a | FW5H, FW5G, FS7B | ||
| Pooled Income Fund – High Yield Fund |
n/a | FW5F, FW5E, FS7A, FW5D | ||
| Pooled Income Fund – Income Fund |
n/a | FW5B, FW5A, FS6Z | ||
| EXCHANGE FUNDS |
Adviser/Sub-Adviser |
MCH # | ||
| Altavera Capital Fund LLC |
EVM Equity Group, Exchange Fund Operations Group and EVM Real Estate Investment Group | FT5A | ||
| Clearfork Capital Fund LLC |
EVM Equity Group, Exchange Fund Operations Group and EVM Real Estate Investment Group | FT6B | ||
| Clearfork Investment Corporation |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
n/a | ||
| Clearfork Realty Corporation |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT7B | ||
| Clearwood Capital Fund LLC |
EVM Equity Group, Exchange Fund Operations Group and EVM Real Estate Investment Group | FT6D | ||
| Clearwood Realty Corporation |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT7D | ||
| Bel Austin I, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT4X | ||
| Bel ▇▇▇▇▇▇ ▇▇, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT4V | ||
| Bel Biscayne, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
Not an MCH Fund - Wholly owned property | ||
| Bel Biscayne Management, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
Not an MCH Fund - Wholly owned property | ||
6
| EXCHANGE FUNDS (continued) |
Adviser/Sub-Adviser |
MCH # | ||
| Bel Communities Property Trust, LLC Bel Camelback Holdings, LLC Bel Portland Holdings, LLC Bel Renton Holdings, LLC Bel Minneapolis Holdings, LLC Bel ▇▇▇▇▇ ▇▇▇▇▇▇ Holdings, LLC Bel Lauderhill Holdings, Inc. Bel Indian School Holdings, LLC Bel Pineville Holdings, LLC Bel Tulsa Holdings, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT7M | ||
| Bel Endymion, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
Not an MCH Fund - Wholly owned property | ||
| Bel Gardena, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
Not an MCH Fund - Wholly owned property | ||
| Bel ▇▇▇▇▇▇▇▇▇ ▇▇, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT6P | ||
| Bel ▇▇▇▇▇▇▇▇▇ I, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT6N | ||
| Bel Holdings, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT4W | ||
| Bel Marlborough Campus, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
Not an MCH Fund - Wholly owned property | ||
| Bel Marquette I, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT5D | ||
| Bel Marquette II, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT5E | ||
| Bel Marquette III, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT5F | ||
| Bel Multifamily Property Trust, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT7G | ||
| Bel Santa ▇▇▇ Management, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT5J | ||
| Bel Santa ▇▇▇, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT5H | ||
| Bel SML I, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT5P | ||
| Bel SML II, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT5R | ||
| Bel SML III, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT5S | ||
| Bel Stamford I, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT5X | ||
| Bel Stamford II, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT5U | ||
| Bel Stamford III, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT5V | ||
| Bel Stamford IV, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT5W | ||
| Bel Stamford V, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT5Y | ||
| Bel Stamford VI, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT5Z | ||
| Bel Stamford VII, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT6J | ||
| Bel Stamford VIII, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT6L |
| Updated as of 3-13-2012 |
7 |
| EXCHANGE FUNDS (continued) |
Adviser/Sub-Adviser |
MCH # | ||
| Bel Valley Ranch Holdings, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
Not an MCH Fund - Wholly owned property | ||
| Belair Capital Fund LLC |
EVM Equity Group, Exchange Fund Operations Group and EVM Real Estate Investment Group | FT3D | ||
| Belair Real Estate Corporation LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT4D | ||
| Belbrook Capital Fund LLC |
EVM Equity Group, Exchange Fund Operations Group and EVM Real Estate Investment Group | FT3N | ||
| Belbrook Realty Corporation |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT4N | ||
| Belcrest Capital Fund LLC |
EVM Equity Group, Exchange Fund Operations Group and EVM Real Estate Investment Group | FT3E | ||
| Belcrest Realty Corporation |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT4E | ||
| Beldore Capital Fund LLC |
EVM Equity Group, Exchange Fund Operations Group and EVM Real Estate Investment Group | FT3P | ||
| Beldore Investment Corporation |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
n/a | ||
| Beldore Realty Corporation |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT4P | ||
| Belmar Capital Fund LLC |
EVM Equity Group, Exchange Fund Operations Group and EVM Real Estate Investment Group | FT3F | ||
| Belmar Investment Corporation |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT4Z | ||
| Belmar Realty Corporation |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT4F | ||
| Belport Capital Fund LLC |
EVM Equity Group, Exchange Fund Operations Group and EVM Real Estate Investment Group | FT3G | ||
| Belport Realty Corporation |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT4G | ||
| Belrose Capital Fund LLC |
EVM Equity Group, Exchange Fund Operations Group and EVM Real Estate Investment Group | FT3H | ||
| Belrose Realty Corporation |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT4H | ||
| Belrose Property Holdings LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT7H | ||
| Belshire Capital Fund LLC |
EVM Equity Group, Exchange Fund Operations Group and EVM Real Estate Investment Group | FT3J | ||
| Belshire Realty Corporation |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT4J | ||
| Belterra Capital Fund LLC |
EVM Equity Group, Exchange Fund Operations Group and EVM Real Estate Investment Group | FT3L |
| Updated as of 3-13-2012 |
8 |
| EXCHANGE FUNDS (continued) |
Adviser/Sub-Adviser |
MCH # | ||
| Belterra Property Holdings, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT7L | ||
| Belterra Realty Corporation |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT4L | ||
| Belvedere Capital Fund Company LLC |
EVM Equity Group, Exchange Fund Operations Group and EVM Real Estate Investment Group | FT3A | ||
| Belvedere Equity Fund LLC |
EVM Equity Group, Exchange Fund Operations Group and EVM Real Estate Investment Group | FT3B | ||
| Belvedere Equity Real Estate Corporation |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT4B | ||
| Belvorn Holdings, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT4Y | ||
| Belwater Capital Fund LLC |
EVM Equity Group, Exchange Fund Operations Group and EVM Real Estate Investment Group | FT3M | ||
| Belwater Realty Corporation |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT4M | ||
| Casco Property Trust LLC Bel Annapolis Holdings LLC Bel Harbor Holdings LLC Bel ▇▇▇▇▇▇ Holdings LLC Bel Westchase Holdings LLC Bel Decatur Holdings LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT7J | ||
| Monadnock Property Trust, LLC Bel Emanuel Holdings, LLC Bel Riverside Holdings, LLC |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
FT8G | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Real Estate Management |
EVM Real Estate Investment Group and Exchange Fund Operations Group |
Do not recognize this fund |
▇▇▇▇▇ ▇▇▇▇▇ CORPORATE AND SEPARATE ACCOUNTS
| Adviser/Sub-Adviser (as applicable) |
MCH # | |||
| ▇▇▇▇▇ ▇▇▇▇▇ Acquisitions Custody Account |
Authorized EVA Officers | n/a | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Atlanta Capital Analysts’ Portfolio |
EVM and Atlanta Capital Management Company, LLC | n/a | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Atlanta Capital Concentrated Account |
EVM and Atlanta Capital Management Company, LLC | n/a | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Corporate Custody Account |
EVM Fixed Income – Investment Grade Group | n/a | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Corporate Stock Buyback Account |
Authorized EVC Officers | n/a | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Distributors – CP |
Authorized EVD Officers | n/a | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Distributors – EVD |
Authorized EVD Officers | n/a | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Distributors Custody Account |
EVM Fixed Income – Investment Grade Group | n/a | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Error Account |
Authorized EVM Officers | n/a | ||
| ▇▇▇▇▇ ▇▇▇▇▇ High Quality Opportunistic Account |
EVM and Atlanta Capital Management Company, LLC | n/a | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Large Cap Focused Growth Account |
EVM Equity Group | n/a | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Large Cap Focused Value Account |
EVM Equity Group | n/a | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Management – EVM |
Authorized EVM Officers | n/a | ||
| ▇▇▇▇▇ ▇▇▇▇▇ Management Custody Account |
EVM Fixed Income – Investment Grade Group | n/a |
| (1) | Party to the Master Custodian Agreement dated September 1, 2010 between ▇▇▇▇▇ ▇▇▇▇▇ Funds and State Street Bank and Trust Company. |
| (2) | Party to the Amended and Restated Services Agreement dated September 1, 2010 between the entities named therein and State Street Bank and Trust Company. |
| Updated as of 3-13-2012 |
9 |
AMENDED AND RESTATED SERVICES AGREEMENT
Amended and Restated Services Agreement (the “Agreement”) made as of September 1, 2010 by and between each entity or series thereof listed on Appendix A hereto (each referred to herein as the “Fund”), and State Street Bank and Trust Company, a Massachusetts trust company (the “Bank”).
WHEREAS, the Fund and Investors Bank & Trust Company (“IBT”) entered into a Services Agreement for administration services dated August 31, 2005, as amended (the “Services Agreement”);
WHEREAS, IBT merged with and into the Bank effective July 2, 2007, with the result that the Bank now serves as administrator under the Services Agreement;
WHEREAS, the Fund has requested that the Bank amend and restate the Services Agreement and the Bank has agreed to do so, notwithstanding that this Agreement is not identical to the form of administration services agreement customarily entered into by the Bank as administrator, in order that the administration services to be provided to the Fund by the Bank, as successor by merger to IBT, may continue to be provided to the Fund in a predictable manner; and
WHEREAS, the Fund which is a registered investment companies under the Investment Company Act of 1940, as amended (the “1940 Act”), desires to retain the Bank to render certain administrative services to the Fund, and the Bank is willing to render such services described herein pursuant to this Agreement.
NOW, THEREFORE, in consideration of the mutual covenants herein set forth, it is agreed between the parties hereto as follows:
| 1. | Appointment |
The Fund hereby appoints the Bank to render certain services described herein on the terms set forth in this Agreement. The Bank accepts such appointment and agrees to render the services in accordance with the terms herein. In the event that one or more additional Funds are established that wish to retain the Bank to act as administrator hereunder, such Fund shall notify the Bank in writing. Upon written acceptance by the Bank, such Fund(s) shall become subject to the provisions of this Agreement to the same extent as the existing Funds, except to the extent that such provisions (including those relating to compensation and expenses payable) may be modified with respect to such Fund in writing by the applicable Fund and the Bank at the time of the addition of such Fund.
| 2. | Delivery of Documents |
The Fund will make available to the Bank upon request copies of each of the following:
(a) Its organizational documents and all amendments thereto (the “Charter”);
(b) Its by-laws and all amendments thereto (the “By-Laws”);
(c) Its most recent Registration Statement on Form N-1A or N-2A (the “Registration Statement”) under the Securities Act of 1933 and under the Investment Company Act of 1940, as amended (the “1940 Act”) and all amendments thereto or other registration document, if applicable;
(d) Its most recent prospectus and statement of additional information (the “Prospectus”); and
(e) Such other certificates, documents or opinions as may mutually be deemed necessary or appropriate for the Bank in the proper performance of its duties hereunder.
| 3. | Duties of the Bank |
Subject to the supervision and direction of the Fund, the Bank will perform the services described in Appendix B. The Bank may, from time to time, perform additional duties and functions, which shall be set forth in an amendment to this Agreement.
In performing all services under this Agreement, the Bank shall act in conformity with the Charter and By-Laws and applicable law, as the same may be amended from time to time. Instructions will be provided to the Bank by the Fund’s Treasurer or Assistant Treasurer or by designated employees of the Fund’s investment adviser or administrator, ▇▇▇▇▇ ▇▇▇▇▇ Management (“▇▇▇▇▇ ▇▇▇▇▇”) (such instructions, “Proper Instructions”). For funds domiciled outside the United States, the Bank acknowledges that instructions may also be provided by an offshore shareholder servicing agent. Notwithstanding any item discussed herein, the Bank has no discretion over the Fund’s assets or choice of investments and cannot be held liable for any problem relating to such investments.
| 4. | Duties of the Fund |
The Fund agrees to make its legal counsel available to the Bank for instruction with respect to any matter of law arising in connection with the Bank’s duties hereunder at the expense of the Fund, and the Fund further agrees that the Bank shall be entitled to rely on such instruction without further investigation on the part of the Bank.
| 5. | Fees and Expenses |
(a) For the services rendered by the Bank hereunder, the Fund will pay to the Bank such fees at such rate as shall be agreed upon in writing by the parties from time to time. The Fund will also pay or reimburse the Bank from time to time for any necessary and proper disbursements, expenses and charges made or incurred by the Bank in the performance of this Agreement (including any duties listed on any Appendix or Schedule hereto, if any) including any indemnities for any loss, liabilities or expense to the Bank as provided herein. The Bank also will be entitled to reimbursement by the Fund for all reasonable expenses incurred in connection with termination of this Agreement and any conversion or transfer work performed as agreed in writing by the parties in connection therewith;
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(b) Fees and expenses will be calculated and paid monthly;
(c) The Bank shall not be required to pay any expenses incurred by the Fund; and
(d) In the case of the following transactions, not in the ordinary course of business, namely, the merger of the Fund into, or the consolidation of the Fund with, any other investment company or series thereof, the sale the Fund of all, or substantially all, of its assets to another investment company or series thereof, or the liquidation or dissolution of the Fund and distribution of its assets, upon the payment of the fees, disbursements and expenses of the Bank through the then remaining term of this Agreement, the Bank will complete all actions reasonably necessary to implement such merger, consolidation or sale upon receipt of Proper Instructions. Upon completion of such actions and the payment of all such fees, disbursements and expenses of the Bank, this Agreement will terminate with respect to the Fund and the Bank shall be released from any and all obligations hereunder, provided, however, the provisions of Sections 5, 6, 7, 9, 10 and 12 of this Agreement shall continue in force indefinitely.
| 6. | Limitation of Liability |
(a) The Bank, its directors, officers, employees and agents shall not be liable for any error of judgment or mistake of law or for any loss suffered by the Fund in connection with the performance of its obligations and duties under this Agreement, except a loss resulting from willful misfeasance, bad faith or negligence in the performance of such obligations and duties, or by reason of its reckless disregard thereof by the Bank or its employees. The Fund will indemnify the Bank, its directors, officers, employees and agents against and hold it and them harmless from any and all losses, claims, damages, liabilities or expenses (including legal fees and expenses) resulting from any claim, demand, action or suit (i) arising out of the actions or omissions of the Fund, including but not limited to, inaccurate Daily Sales Reports and misidentification of Exempt Transactions; (ii) arising out of the offer or sale of any securities of the Fund in violation of (x) any requirement under the federal securities laws or regulations, (y) any requirement under the securities laws or regulations of any state, or (z) any stop order or other determination or ruling by any federal or state agency with respect to the offer or sale of such securities; or (iii) not resulting from the willful misfeasance, bad faith or negligence of the Bank in the performance of such obligations and duties or by reason of its reckless disregard thereof;
(b) The Bank will indemnify the Fund, its trustees or directors, officers, employees and agents against and hold it and them harmless from any and all losses, claims, damages, liabilities or expenses (including reasonable legal fees and expenses) where such loss, claim, demand, action or suit brought against the Fund arises as a direct result, and to the extent, of the Bank’s failure to exercise the standard of care in Section 6(a) above, and not from the willful misfeasance, bad faith or negligence of the Fund;
(c) Conduct of Claims
(i) In the event of any claim of indemnification, the indemnified party shall give reasonably prompt written notice thereof to the indemnifying party after it receives notice of a claim or liability being asserted, but the failure to do so shall not relieve the indemnifying party from any liability except to the extent that it is materially prejudiced by the failure or delay in giving such notice. Such notice shall summarize the bases for the claim for indemnification and any claim or liability being asserted. Within fifteen (15) days after receiving any such notice, the indemnifying party shall give written notice to the indemnified party stating whether it disputes the claim for indemnification and whether it will defend against any claim or liability at its own cost and expense. If the indemnifying party fails to give notice that
3
it disputes an indemnification claim within fifteen (15) days after the receipt of notice thereof, it shall be deemed to have accepted and agreed to indemnify the claim.
(ii) The indemnifying party shall be entitled to direct the defense against a claim or liability with counsel selected by it (subject to the consent of the indemnified party, which consent shall not be unreasonably withheld) as long as the indemnifying party is conducting a good faith and diligent defense. The indemnified party shall at all times have the right to fully participate in the defense of a claim or liability at its own expense directly or through counsel; provided, however, that if the named parties to the action or proceeding include both the indemnifying party and the indemnified party, and the indemnified party is advised that representation of both parties by the same counsel would be inappropriate under applicable standards of professional conduct, the indemnified party may engage separate counsel at the expense of the indemnifying party. If no such notice of intent to dispute and defend a claim or liability is given by the indemnifying party, or if such good faith and diligent defense is not being or ceases to be conducted by the indemnifying party, the indemnified party shall have the right, at the expense of the indemnifying party, to undertake the defense of such claim or liability (with counsel selected by the indemnified party), and to compromise or settle it, exercising reasonable business judgment. If the claim or liability is one that by its nature cannot be defended solely by the indemnifying party, then the indemnified party shall make available such information and assistance as the indemnifying party may reasonably request and shall cooperate with the indemnifying party in such defense, at the expense of the indemnifying party. The indemnifying party shall have the right to settle any claim or liability without the consent of the indemnified party, provided that the settlement (i) fully releases the indemnified party from any liability and provides no admission of wrongdoing; (ii) does not subject the indemnified party to additional obligation, whether financial or otherwise (other than the payment of damages indemnified hereunder); and (iii) the indemnified party receives five days advance notice of the settlement. In the event that any such settlement does not meet the requirements of (i) and (ii), then the indemnified party must consent to such settlement in writing, which consent shall not be unreasonably withheld, conditioned or delayed.
(d) The Bank may apply to the Fund at any time for instructions and may consult counsel for the Fund, or its own counsel, and with Fund accountants and other Fund experts with respect to any matter arising in connection with its duties hereunder, and the Bank shall not be liable or accountable for any action taken or omitted by it in good faith in accordance with such instruction, or with the opinion of such counsel, accountants, or other experts. The Bank shall not be liable for any act or omission taken or not taken in reliance upon any Proper Instruction which it reasonably believes to be genuine and to be signed or presented by the proper person or persons. The Bank shall not be held to have notice of any change of authority of any officers, employees, or agents of the Fund until receipt of written notice thereof has been received by the Bank from the Fund;
(e) In the event the Bank is unable to perform, or is delayed in performing its obligations under the terms of this Agreement because of acts of God, strikes, legal constraint, government actions, war, emergency conditions, interruption of electrical power or other utilities, equipment or transmission failure or damage reasonably beyond its control or other causes reasonably beyond its control, the Bank shall not be liable to the Fund for any damages resulting from such failure to perform, delay in performance, or otherwise from such causes;
(f) Notwithstanding anything to the contrary in this Agreement, in no event shall the Bank be liable for special, incidental or consequential damages, even if advised of the possibility of such damages;
(g) The Bank expressly acknowledges the provisions in certain of the Fund’s declarations of trust limiting the personal liability of the trustees, officers, agents and shareholders of the Fund; and the Bank agrees that it shall have recourse only to the assets of the relevant Fund for the
4
payment of claims or obligations as between the Bank and the Fund arising out of this Agreement and the Bank shall not seek satisfaction of any such claim or obligation from the trustees, officers, agents or shareholders of the Fund; and
(h) This Agreement shall constitute a separate agreement between the Fund and the Bank. None of the rights or obligations of the Fund shall inure to the benefit of or be binding upon, as the case may be, any other Fund, and the rights and obligations of the Fund shall be construed in each case as if the Fund and the Bank had entered into this Agreement in a separate written instrument.
| 7. | Termination of Agreement |
(a) The term of this Agreement shall continue through August 31, 2013, provided that either party hereto may terminate this Agreement prior to its expiration in the event the other party violates any material provision of this Agreement, provided that the violating party does not cure such violation within sixty (60) days of receipt of written notice from the non-violating party of such violation and provided further that if it is determined by the non-breaching party that such violation may not be reasonably cured, then such party may terminate this Agreement upon notice in writing to the breaching party that the non-breaching party does not believe that such violation may be cured; and
(b) At any time after the termination of this Agreement, the Fund may, upon written request, have reasonable access to the records of the Bank relating to its performance of its duties hereunder.
| 8. | Miscellaneous |
(a) Any notice or other instrument authorized or required by this Agreement to be given in writing to the Fund or the Bank shall be sufficiently given if addressed to that party and received by it at its office set forth below or at such other place as it may from time to time designate in writing.
To the Fund:
▇▇▇▇▇ ▇▇▇▇▇ Management
Two International Place
Boston, MA 02110
Attn: Fund Treasurer
To the Bank:
State Street Bank and Trust Company
P.O. Box 5049
Boston, MA 02206-5049
Attn: Fund Administration Legal Department
Fax: ▇▇▇-▇▇▇-▇▇▇▇
(b) This Agreement shall extend to and shall be binding upon the parties hereto and their respective successors and assigns; provided, however, that this Agreement shall not be assignable without the written consent of the other party;
(c) This Agreement shall be construed in accordance with the laws of the Commonwealth of Massachusetts, without regard to its conflict of laws provisions;
5
(d) This Agreement may be executed in any number of counterparts each of which shall be deemed to be an original and which collectively shall be deemed to constitute only one instrument;
(e) The captions of this Agreement are included for convenience of reference only and in no way define or delimit any of the provisions hereof or otherwise affect their construction or effect;
(f) The Bank shall act as an independent contractor hereunder, and shall not hold itself out as an agent of the Fund; and
(g) This Agreement may only be amended by a document executed by all effected parties.
| 9. | Confidentiality |
Both parties hereto agree that any non-public information obtained hereunder concerning the other party is confidential and may not be disclosed without the consent of the other party, except as may be required by applicable law or at the request of a governmental agency or self-regulatory organization. The parties further agree that a breach of this provision would irreparably damage the other party and accordingly agree that each of them is entitled, in addition to all other remedies at law or in equity, to an injunction or injunctions without bond or other security to prevent breaches of this provision. In addition, the parties further agree that any Non-Public Personal Information, as defined under section 248.3(t) of Regulation S-P (“Regulation S-P”), promulgated under ▇▇▇▇▇-▇▇▇▇▇-▇▇▇▇▇▇ Act (the “Act”), disclosed by a party hereunder is for the specific purpose of permitting the other party to perform the services set forth in this Agreement. Each party agrees that, with respect to such information, it will comply with Regulation S-P and the Act and that it will not disclose any Non-Public Personal Information received in connection with this Agreement, to any other party, except as necessary to carry out the services set forth in this Agreement or as otherwise permitted by Regulation S-P or the Act.
| 10. | Data Security |
The Bank will implement and maintain a written information security program, in compliance with the laws of The Commonwealth of Massachusetts and any other applicable laws and regulations, that contains appropriate security measures to safeguard the personal information of the Fund’s shareholders, employees, trustees and/or officers that the Bank receives, stores, maintains, processes or otherwise accesses in connection with the provision of services hereunder. For these purposes, “personal information” shall mean (i) an individual’s name (first initial and last name or first name and last name), address or telephone number plus (a) social security number, (b) drivers license number, (c) state identification card number, (d) debit or credit card number, (e) financial account number; or (f) personal identification number or password that would permit access to a person’s account or (ii) any combination of the foregoing that would allow a person to log onto or access an individual’s account. Notwithstanding the foregoing “personal information” shall not include information that is lawfully obtained from publicly available information, or from federal, state or local government records lawfully made available to the general public.
If the Bank discovers that unauthorized disclosure of Fund information in the possession of the Bank has occurred which requires notification to the Fund and the affected individuals under applicable law, then the Bank will, as soon as practicable, (i) notify the Fund and the affected individuals of such unauthorized disclosure to the extent required by applicable law, (ii) investigate and address the unauthorized disclosure, and (iii) advise the Fund as to the steps being taken that are reasonably designed
6
to prevent future similar unauthorized disclosures. The Bank agrees that this provision shall cover any of its affiliates that obtains access to personal information related to the Fund under this Agreement, and that the Bank will be liable to the Fund for the compliance of such persons with this provision. This provision will survive termination or expiration of the Agreement for so long as the Bank continues to possess or have access to personal information related to the Fund.
| 11. | Use of Name |
The Fund shall not use the name of the Bank or any of its affiliates in any prospectus, sales literature or other material relating to the Fund in a manner not approved by the Bank prior thereto in writing; provided however, that the approval of the Bank shall not be required for any use of its name which merely refers in accurate and factual terms to its appointment hereunder or which is required by the Securities and Exchange Commission or any state securities authority or any other appropriate regulatory, governmental or judicial authority; provided further, that in no event shall such approval be unreasonably withheld or delayed.
| 12. | Merger of Agreement |
This Agreement constitutes the entire agreement of the parties hereto and supersedes any prior agreement with respect to any of the subject matter hereof whether oral or written.
[Remainder of page intentionally left blank]
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IN WITNESS WHEREOF, the parties hereto have caused this instrument to be duly executed and delivered by their duly authorized officers as of the date first above written.
| EACH FUND LISTED ON APPENDIX A | ||
| By: | /s/ ▇▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ | |
| Name: | ▇▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇▇▇ | |
| Title: | Treasurer | |
| STATE STREET BANK and TRUST COMPANY | ||
| By: | /s/ ▇▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇ | |
| Name: | ▇▇▇▇▇▇▇ ▇. ▇▇▇▇▇▇ | |
| Title: | Executive Vice President | |
8
APPENDIX A
STATE STREET SERVICES AGREEMENT
The purpose of this List is to establish a listing of investment companies (and series thereof) registered with the Securities and Exchange Commission, and other products and accounts that are managed, sponsored or owned by ▇▇▇▇▇ ▇▇▇▇▇ Corp. and its affiliates (“▇▇▇▇▇ ▇▇▇▇▇-sponsored accounts”) to which State Street Bank and Trust Company provides services under the Services Agreement. References in agreements between State Street and ▇▇▇▇▇ ▇▇▇▇▇-sponsored accounts to the categories of funds and accounts listed below shall be to this list, which shall be updated every month end.
▇▇▇▇▇ ▇▇▇▇▇ FUNDS REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION AND SUBSIDIARIES
▇▇▇▇▇ ▇▇▇▇▇ GROWTH TRUST
▇▇▇▇▇ ▇▇▇▇▇ Asian Small Companies Fund
▇▇▇▇▇ ▇▇▇▇▇-Atlanta Capital Focused Growth Fund
▇▇▇▇▇ ▇▇▇▇▇-Atlanta Capital ▇▇▇▇-Cap Fund
▇▇▇▇▇ ▇▇▇▇▇ Global Growth Fund
▇▇▇▇▇ ▇▇▇▇▇ Greater China Growth Fund
▇▇▇▇▇ ▇▇▇▇▇ Multi-Cap Growth Fund
▇▇▇▇▇ ▇▇▇▇▇ Worldwide Health Sciences Fund
▇▇▇▇▇ ▇▇▇▇▇ INVESTMENT TRUST
▇▇▇▇▇ ▇▇▇▇▇ AMT-Free Limited Maturity Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ California Limited Maturity Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Massachusetts Limited Maturity Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ National Limited Maturity Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ New Jersey Limited Maturity Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ New York Limited Maturity Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Pennsylvania Limited Maturity Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ MUNICIPALS TRUST
▇▇▇▇▇ ▇▇▇▇▇ Alabama Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Arizona Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Arkansas Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ California Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Colorado Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Connecticut Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Georgia Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Kentucky Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Louisiana Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Maryland Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Massachusetts Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Michigan Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Minnesota Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Missouri Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ National Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ New Jersey Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ New York Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ North Carolina Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Ohio Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Oregon Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Pennsylvania Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Rhode Island Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ South ▇▇▇▇▇▇▇▇ Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Tennessee Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Virginia Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ MANAGED INCOME TERM TRUST (registration pending/not currently offered)
2019 Municipals
2029 Municipals
2019 Investment Grade Corporates
2019 Investment Grade Non-Financial Corporates
▇▇▇▇▇ ▇▇▇▇▇ MUNICIPALS TRUST II
▇▇▇▇▇ ▇▇▇▇▇ High Yield Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Insured Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Kansas Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Bond Strategies Intermediate Term Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Bond Strategies Long Term Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Bond Strategies Short Term Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Treasury Linked Strategies Fund (not currently offered)
▇▇▇▇▇ ▇▇▇▇▇ MUTUAL FUNDS TRUST
▇▇▇▇▇ ▇▇▇▇▇ AMT-Free Municipal Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Build America Bond Fund
▇▇▇▇▇ ▇▇▇▇▇ Emerging Markets Local Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Floating-Rate Fund
▇▇▇▇▇ ▇▇▇▇▇ Floating-Rate & High Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Floating-Rate Advantage Fund
▇▇▇▇▇ ▇▇▇▇▇ Global Dividend Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Global Macro Absolute Return Fund
▇▇▇▇▇ ▇▇▇▇▇ Global Macro Absolute Return Advantage Fund
▇▇▇▇▇ ▇▇▇▇▇ Government Obligations Fund
▇▇▇▇▇ ▇▇▇▇▇ High Income Opportunities Fund
▇▇▇▇▇ ▇▇▇▇▇ International Equity Fund
▇▇▇▇▇ ▇▇▇▇▇ International Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Large-Cap Core Research Fund
▇▇▇▇▇ ▇▇▇▇▇ Low Duration Fund
▇▇▇▇▇ ▇▇▇▇▇ Multi-Strategy Absolute Return Fund
▇▇▇▇▇ ▇▇▇▇▇ Strategic Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Structured Emerging Markets Fund
▇▇▇▇▇ ▇▇▇▇▇ Structured International Equity Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax Free Reserves
▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Global Dividend Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Equity Asset Allocation Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Growth Fund 1.1
▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Growth Fund 1.2
▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed International Equity Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Mid-Cap Core Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Multi-Cap Growth Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Small-Cap Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Small-Cap Value Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Value Fund
▇▇▇▇▇ ▇▇▇▇▇ U.S. Government Money Market Fund
▇▇▇▇▇ ▇▇▇▇▇ SERIES TRUST
▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Growth Fund 1.0
▇▇▇▇▇ ▇▇▇▇▇ SERIES TRUST II
▇▇▇▇▇ ▇▇▇▇▇ Income Fund of Boston
▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Emerging Markets Fund
▇▇▇▇▇ ▇▇▇▇▇ SPECIAL INVESTMENT TRUST
▇▇▇▇▇ ▇▇▇▇▇ Balanced Fund
▇▇▇▇▇ ▇▇▇▇▇ Commodity Strategy Fund
ii
▇▇▇▇▇ ▇▇▇▇▇ Dividend Builder Fund
▇▇▇▇▇ ▇▇▇▇▇ Emerging Markets Fund
▇▇▇▇▇ ▇▇▇▇▇ Enhanced Equity Option Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Equity Asset Allocation Fund
▇▇▇▇▇ ▇▇▇▇▇ Greater India Fund
▇▇▇▇▇ ▇▇▇▇▇ Investment Grade Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Large-Cap Growth Fund
▇▇▇▇▇ ▇▇▇▇▇ Large-Cap Value Fund
▇▇▇▇▇ ▇▇▇▇▇ Option Absolute Return Fund (to be effective with the SEC 9-20-2010)
▇▇▇▇▇ ▇▇▇▇▇ SPECIAL INVESTMENT TRUST (continued)
▇▇▇▇▇ ▇▇▇▇▇ Real Estate Fund
▇▇▇▇▇ ▇▇▇▇▇ Risk-Managed Equity Option Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Short Term Real Return Fund
▇▇▇▇▇ ▇▇▇▇▇ Small-Cap Fund
▇▇▇▇▇ ▇▇▇▇▇ Small-Cap Value Fund
▇▇▇▇▇ ▇▇▇▇▇ Special Equities Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Bond Strategies Real Return Fund (not currently offered)
▇▇▇▇▇ ▇▇▇▇▇ VARIABLE TRUST
▇▇▇▇▇ ▇▇▇▇▇ VT Floating-Rate Income Fund
▇▇▇▇▇ ▇▇▇▇▇ VT Large-Cap Value Fund
▇▇▇▇▇ ▇▇▇▇▇ VT Worldwide Health Sciences Fund
CLOSED END FUNDS
▇▇▇▇▇ ▇▇▇▇▇ California Municipal Bond Fund
▇▇▇▇▇ ▇▇▇▇▇ California Municipal Bond Fund II
▇▇▇▇▇ ▇▇▇▇▇ California Municipal Income Trust
▇▇▇▇▇ ▇▇▇▇▇ Enhanced Equity Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Enhanced Equity Income Fund II
▇▇▇▇▇ ▇▇▇▇▇ Floating-Rate Income Trust
▇▇▇▇▇ ▇▇▇▇▇ Limited Duration Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Massachusetts Municipal Bond Fund
▇▇▇▇▇ ▇▇▇▇▇ Massachusetts Municipal Income Trust
▇▇▇▇▇ ▇▇▇▇▇ Michigan Municipal Bond Fund
▇▇▇▇▇ ▇▇▇▇▇ Michigan Municipal Income Trust
▇▇▇▇▇ ▇▇▇▇▇ Municipal Bond Fund
▇▇▇▇▇ ▇▇▇▇▇ Municipal Bond Fund II
▇▇▇▇▇ ▇▇▇▇▇ Municipal Income Trust
▇▇▇▇▇ ▇▇▇▇▇ National Municipal Opportunities Trust
▇▇▇▇▇ ▇▇▇▇▇ New Jersey Municipal Bond Fund
▇▇▇▇▇ ▇▇▇▇▇ New Jersey Municipal Income Trust
▇▇▇▇▇ ▇▇▇▇▇ New York Municipal Bond Fund
▇▇▇▇▇ ▇▇▇▇▇ New York Municipal Bond Fund II
▇▇▇▇▇ ▇▇▇▇▇ New York Municipal Income Trust
▇▇▇▇▇ ▇▇▇▇▇ Ohio Municipal Bond Fund
▇▇▇▇▇ ▇▇▇▇▇ Ohio Municipal Income Trust
▇▇▇▇▇ ▇▇▇▇▇ Pennsylvania Municipal Bond Fund
▇▇▇▇▇ ▇▇▇▇▇ Pennsylvania Municipal Income Trust
▇▇▇▇▇ ▇▇▇▇▇ Risk-Managed Diversified Equity Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Risk-Managed Equity Income Opportunities Fund (not currently offered)
▇▇▇▇▇ ▇▇▇▇▇ Senior Floating-Rate Trust
▇▇▇▇▇ ▇▇▇▇▇ Senior Income Trust
▇▇▇▇▇ ▇▇▇▇▇ Short Duration Diversified Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Bond and Option Strategies Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Dividend Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Global Dividend Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Advantaged Global Dividend Opportunities Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Buy-Write Income Fund
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▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Buy-Write Opportunities Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Diversified Equity Income Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Global Buy-Write Opportunities Fund
▇▇▇▇▇ ▇▇▇▇▇ Tax-Managed Global Diversified Equity Income Fund
PORTFOLIO
Asian Small Companies Portfolio
Boston Income Portfolio
Build America Bond Portfolio
Dividend Builder Portfolio
Emerging Markets Local Income Portfolio
Emerging Markets Portfolio
Floating Rate Portfolio
Focused Growth Portfolio
Global Dividend Income Portfolio (formerly known as Dividend Income Portfolio)
Global Growth Portfolio
Global Macro Portfolio
Global Opportunities Portfolio
Global Macro Absolute Return Advantage Portfolio
Government Obligations Portfolio
Greater China Growth Portfolio
Greater India Portfolio
High Income Opportunities Portfolio
Inflation-Linked Securities Portfolio
International Equity Portfolio
International Income Portfolio
Investment Grade Income Portfolio
Investment Portfolio
Large-Cap Core Research Portfolio
Large-Cap Growth Portfolio
Large-Cap Value Portfolio
Multi-Cap Growth Portfolio
Multi-Sector Portfolio
Multi-Sector Option Strategy Portfolio
Senior Debt Portfolio
Small-Cap Portfolio
▇▇▇▇-Cap Portfolio
Special Equities Portfolio
Tax-Managed Growth Portfolio
Tax-Managed International Equity Portfolio
Tax-Managed Mid-Cap Core Portfolio
Tax-Managed Multi-Cap Growth Portfolio
Tax-Managed Small-Cap Portfolio
Tax-Managed Small-Cap Value Portfolio
Tax-Managed Value Portfolio
Worldwide Health Sciences Portfolio
CAYMAN SUBSIDIARIES OF SEC REGISTERED FUNDS
▇▇▇▇▇ ▇▇▇▇▇ CSF Commodity Subsidiary, Ltd. (subsidiary of ▇▇▇▇▇ ▇▇▇▇▇ Commodity Strategy Fund)
▇▇▇▇▇ ▇▇▇▇▇ DIF Commodity Subsidiary, Ltd. (subsidiary of ▇▇▇▇▇ ▇▇▇▇▇ Multi-Strategy Absolute Return fund, formerly known as ▇▇▇▇▇ ▇▇▇▇▇ Diversified Income Fund)
▇▇▇▇▇ ▇▇▇▇▇ EMLIP Commodity Subsidiary, Ltd. (subsidiary of Emerging Markets Local Income Portfolio)
▇▇▇▇▇ ▇▇▇▇▇ EVG Commodity Subsidiary, Ltd. (subsidiary of ▇▇▇▇▇ ▇▇▇▇▇ Short Duration Diversified Income Fund)
▇▇▇▇▇ ▇▇▇▇▇ GMAP Commodity Subsidiary, Ltd. (subsidiary of Global Macro Absolute Return Advantage Portfolio)
▇▇▇▇▇ ▇▇▇▇▇ GMP Commodity Subsidiary, Ltd. (subsidiary of Global Macro Portfolio)
▇▇▇▇▇ ▇▇▇▇▇ GOP Commodity Subsidiary, Ltd. (subsidiary of Global Opportunities Portfolio)
▇▇▇▇▇ ▇▇▇▇▇ IIP Commodity Subsidiary, Ltd. (subsidiary of International Income Portfolio)
▇▇▇▇▇ ▇▇▇▇▇ MSP Commodity Subsidiary, Ltd. (subsidiary of Multi-Sector Portfolio)
▇▇▇▇▇ ▇▇▇▇▇ SIF Commodity Subsidiary, Ltd. (subsidiary of ▇▇▇▇▇ ▇▇▇▇▇ Strategic Income Fund)
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▇▇▇▇▇ ▇▇▇▇▇ UNREGISTERED FUNDS
PRIVATE VEHICLES
▇▇▇▇▇ ▇▇▇▇▇ Cash Collateral Fund, LLC
▇▇▇▇▇ ▇▇▇▇▇ Cash Reserves Fund, LLC
OFFSHORE FUNDS
▇▇▇▇▇ ▇▇▇▇▇ International (Cayman Islands) Funds Ltd. (formerly ▇▇▇▇▇ ▇▇▇▇▇ Medallion Funds Ltd.)
▇▇▇▇▇ ▇▇▇▇▇ International (Cayman Islands) Floating-Rate Income Fund (formerly ▇▇▇▇▇ ▇▇▇▇▇ Medallion Floating-Rate Income Fund)
▇▇▇▇▇ ▇▇▇▇▇ International (Cayman Islands) Floating-Rate Income Portfolio (formerly ▇▇▇▇▇ ▇▇▇▇▇ Floating-Rate Income Portfolio)
▇▇▇▇▇ ▇▇▇▇▇ International (Cayman Islands) Strategic Income Fund (formerly ▇▇▇▇▇ ▇▇▇▇▇ Medallion Strategic Income Fund)
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Appendix B
State Street Bank and Trust
Summary of Services
▇▇▇▇▇ ▇▇▇▇▇ – 1940 Act Funds
| Function |
Service | |
| Administration – Financial Reporting Services | ||
| General – Financial Reporting: | ||
| Establish financial statement production calendar. | Prepare financial statement production calendar and coordinate management review of same | |
| Coordinate production calendars with appropriate parties (internal State Street parties and ▇▇▇▇▇ ▇▇▇▇▇ Financial Reporting.) | Coordinate production calendar with State Street Fund Accounting and Tax and ▇▇▇▇▇ ▇▇▇▇▇. Distribute calendars to appropriate parties for comment. | |
| Financial Statements and Notes: | ||
| Continuously monitor reporting process against the calendar and address potential timing issues with auditors and ▇▇▇▇▇ ▇▇▇▇▇. | Monitor status of financial statement production. Address any timing issues with ▇▇▇▇▇ ▇▇▇▇▇. | |
| Review and approve shareholder report format and layout for new funds and provide changes to existing formats and layouts. | Modify report layout and design as directed. Use reasonable commercial efforts to effect any changes requested within thirty days prior to financial reporting period end. | |
| Ensure financial statements are presented in accordance with generally accepted accounting principles (GAAP) and SEC Rules and Regulations (S-X). Financial Statements include statement of assets and liabilities, statements of operations, statement of changes, cash flows, supplementary data and selected per share data and ratios. | Prepare financial statements in accordance with GAAP and SEC Rules and Regulations for investment companies. Coordinate any required tax and expense adjustments. | |
| Function |
Service | |
| Review financial statement and footnote disclosures for content and completeness; update for any new FASB, SOP, etc. | Process all changes and comments to the financial statement templates and footnote library. Review prior period financial statements and notes. Discuss any required reporting changes with ▇▇▇▇▇ ▇▇▇▇▇. | |
| Produce up to four drafts of financial statements for each semi-annual and annual reporting cycle. Distribute financial statement drafts. | Generate financial statements available to ▇▇▇▇▇ ▇▇▇▇▇ via laser printing or electronic mail. Distribute financial statement drafts to appropriate parties. | |
| Process comments/edits to the shareholder report. | Make edits to the financial statement and notes based on comments from relevant parties. Assist in the resolution of audit and reporting issues. | |
| Prepare MD&A, President’s Letter, graphics, charts, cover art work, etc. | N/A. To be coordinated by ▇▇▇▇▇ ▇▇▇▇▇. | |
| Book final adjustments/closing entries. | Provide Fund Accounting with adjustments. Review posting and closing entries. | |
| Coordinate printing of shareholder reports: | ||
| Coordinate distribution of the clearance draft and facilitate any questions on the SALT (blueline) draft of the shareholder report coordinated by ▇▇▇▇▇ ▇▇▇▇▇. ▇▇▇▇▇ ▇▇▇▇▇ approves shareholder reports printing. | Transmit shareholder report files to the printer, ▇▇▇▇▇, for creation of postscript draft. Process all changes and comments to the financial statements with the printer through the clearance draft. | |
| Coordinate mailing of shareholder reports. | N/A. To be coordinated by ▇▇▇▇▇ ▇▇▇▇▇. | |
| Convert financial statements into appropriate filing format and file with the SEC via ▇▇▇▇▇ on form N-CSR. | Coordinate ▇▇▇▇▇ conversion with printer and filing with the SEC via ▇▇▇▇▇, including wrappers and certifications provided by ▇▇▇▇▇ ▇▇▇▇▇. Review printer provided ▇▇▇▇▇ documents to verify inclusion of financial statements for applicable series/class filings. Request ▇▇▇▇▇ to file Form N-CSR with the SEC, upon authorization from ▇▇▇▇▇ ▇▇▇▇▇. Provide acknowledgement to ▇▇▇▇▇ ▇▇▇▇▇ of filing Form N-CSR with the SEC. | |
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| Function |
Service | |
| Portfolio of Investments: |
||
| Establish and maintain a security master database with financial statement security descriptions, industry classifications, etc. | Security information will be provided by external data service vendors. Update and edit security library. | |
| Identify/edit portfolio footnote disclosures (non-income producing, fair valued securities, when issued securities, geographic concentration, defaulted securities, segregation assets, off B/S securities, etc.) | Identify non-income producing securities. Provide financial data for footnote disclosures in footnotes and request necessary information provided by ▇▇▇▇▇ ▇▇▇▇▇. Identify collateral securing futures contracts at period end. | |
| Financial Accounting Standard 157 (Codification ASC Topic 820) reporting services. | In coordination with State Street Fund Accounting, classify the portfolio assets of each Fund and provide the following reports to ▇▇▇▇▇ ▇▇▇▇▇: Holdings Report; Roll Forward Report; Tracking Report and Exception Report. | |
| Prepare Quarterly N-Q Filing with SEC; produce draft on 1st and 3rd quarters for filing with SEC. | Generate Portfolio of Investment draft. Process draft comments. Request the printer to attach wrappers and certifications to Portfolio and verify inclusion. Request printer to file with SEC upon authorization from ▇▇▇▇▇ ▇▇▇▇▇. | |
| Administration-Tax Services: | ||
| ROCSOP (Return Of Capital Statement Of Position) Calculations/Financial Statement Tax Disclosures. | Prepare ROCSOP and Financial Statement Tax Disclosures – provide audit firm with the ROCSOP and Disclosures for review, apply any audit comments and provide final numbers to the State Street Financial Reporting manager. | |
| Mixed Straddle Accounts (MSA) for select funds noted on Appendix A. | Prepare a daily MSA calculation and provide EV with the YTD results on the 10th business day of each month as of the prior month end. | |
| Monthly Tax Reporting for select funds noted on Appendix A. | Prepare a monthly tax provision. | |
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| Function |
Service | |
| APS Testing | On a daily basis, State Street monitors asset coverage and basic maintenance amount results for compliance with Fund By-laws. Reports are issued weekly to ▇▇▇▇▇ ▇▇▇▇▇ and monthly to the funds’ rating agencies. ▇▇▇▇▇ ▇▇▇▇▇ will notify State Street of any changes to testing criteria, provide data not available to State Street for testing eligibility criteria, review and resolve, as necessary, any potential compliance exceptions identified | |
| 817(h) Testing | At each fiscal quarter end, State Street will test variable trust funds for compliance with tax diversification requirements of section 817(h) of the Internal Revenue Code. ▇▇▇▇▇ ▇▇▇▇▇ will review and resolve, as necessary, any potential compliance exceptions identified. | |
| Annual REIT adjustment for ▇▇▇▇▇ ▇▇▇▇▇ Real Estate Fund. | Calculate and facilitate the booking of REIT adjustment for long-term re-class, return of capital and QDI percentage. Make adjustment to Annual Financial Statement and ensure the tax lot holdings report is adjusted for lot level return of capital. | |
| Administration – Other Treasury Services | ||
| Annual Acquired Fund Fees and Expenses Calculation. | For open-ended funds, State Street calculates acquired fund fees and expenses annually in conjunction with the prospectus updates. ▇▇▇▇▇ ▇▇▇▇▇ reviews and signs-off on the calculations and provides any missing data or methodology decisions to State Street for the calculation. ▇▇▇▇▇ ▇▇▇▇▇ establishes production calendar and identifies funds that have a prospectus update. | |
| Citibank Conduit Credit Agreement Compliance Reporting | State Street monitors the bank borrowing and 1940 Act asset coverage tests for the ▇▇▇▇▇ ▇▇▇▇▇ Limited Duration Income Fund, ▇▇▇▇▇ ▇▇▇▇▇ Senior Income Trust and Senior Debt Portfolio, on a weekly basis and at month end under Citibank Credit Agreements dated April 11, 2008, November 9, 1998 and February 16, 2007, respectively, each as have been and may be amended from time to time. State Street’s monitoring is based upon the pre-programmed asset coverage templates provided by Citibank | |
iv
| for the components of the testing. State Street is not performing any monitoring of other credit agreement restrictions. | ||
| State Street Bank and Trust Company Credit Agreement Compliance Reporting | State Street monitors the bank borrowing base and 1940 Act asset coverage tests for the ▇▇▇▇▇ ▇▇▇▇▇ Short Duration Diversified Income Fund, ▇▇▇▇▇ ▇▇▇▇▇ Senior Floating-Rate Income Trust and ▇▇▇▇▇ ▇▇▇▇▇ Floating Rate Income Trust, on a weekly basis and at month end, under State Street Credit Agreements dated February 9, 2009, March 31, 2009 and March 31, 2009, respectively, each as have been and may be amended from time to time. State Street’s monitoring is based upon Annex 1 to Exhibit D, “Form of Borrowing Base Report” as referenced in each Credit Agreement. State Street is not performing any monitoring of other credit agreement restrictions. | |
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