DTC Participant Report (Numerical Sort) Month Ending - October 31, 2015 NUMBER 0 SERIES 0005 0010 0013 0015 0017 0019 0031 0032 0033 0045 0050 0052 0057 0062 0063 0065 0067 0075 0076 0083 0096 0099
PARTICIPANT ACCOUNT NAME GOLDMAN, SACHS & CO. BROWN BROTHERS HARRIMAN & CO. SANFORD C. BERNSTEIN & CO., LLC MORGAN STANLEY SMITH BARNEY LLC INTERACTIVE BROKERS LLC JEFFERIES LLC NATIXIS SECURITIES AMERICAS LLC DEUTSCHE BANK SECURITIES INC.- STOCK LOAN COMMERZ MARKETS LLC/FIXED INC. REPO & COMM. PAPER BMO CAPITAL MARKETS CORP. MORGAN STANLEY & CO. LLC COR CLEARING LLC EDWARD D. JONES & CO. VANGUARD MARKETING CORPORATION VIRTU FINANCIAL BD LLC ZIONS DIRECT, INC. INSTINET, LLC LPL FINANCIAL CORPORATION MITSUBISHI UFJ SECURITIES (USA), INC. TRADEBOT SYSTEMS, INC. SCOTIA CAPITAL (USA) INC. ITG INC.
100 SERIES 0100 0101 0103 0109 0114 0124 0126 0129 0136 0141 0148 0158 0161 0163 0164 0166 0180 0181 0187 0188 0189 0197
CONVERGEX EXECUTION SOLUTIONS LLC MORGAN STANLEY & CO LLC/SL CONDUIT WEDBUSH SECURITIES INC. BROWN BROTHERS HARRIMAN & CO./ETF MACQUARIE CAPITAL (USA) INC. INGALLS & SNYDER, LLC COMMERZ MARKETS LLC GEORGE K. BAUM & COMPANY BANCA IMI SECURITIES CORP. FIRST CLEARING, LLC ICAP CORPORATES LLC APEX CLEARING CORPORATION MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED NASDAQ OMX BX, INC. CHARLES SCHWAB & CO., INC. RCAP SECURITIES, INC. NOMURA SECURITIES INTERNATIONAL, INC. GUGGENHEIM SECURITIES, LLC J.P. MORGAN SECURITIES LLC TD AMERITRADE CLEARING, INC. STATE STREET GLOBAL MARKETS, LLC CANTOR FITZGERALD & CO. / CANTOR CLEARING SERVICES
200 SERIES 0202 0220 0221 0229 0226 0235 0237 0250 0269 0270 0271 0274 0279 0280 0283 0284 0286 0287 0294 0295
FTN FINANCIAL SECURITIES CORP. PEOPLE'S SECURITIES, INC. UBS FINANCIAL SERVICES INC. BARCLAYS CAPITAL INC./LE NATIONAL FINANCIAL SERVICES LLC RBC CAPITAL MARKETS, LLC NASDAQ OMX PHLX LLC WELLS FARGO SECURITIES, LLC MAPLE SECURITIES U.S.A. INC. ING FINANCIAL MARKETS LLC TRADESTATION SECURITIES, INC. CITIGROUP GLOBAL MARKETS INC./SALOMON BROTHERS HILLTOP SECURITIES INC. U.S. BANCORP INVESTMENTS, INC. WILSON-DAVIS & CO., INC. ALBERT FRIED & COMPANY, LLC SG AMERICAS SECURITIES, LLC MARSCO INVESTMENT CORPORATION QUANTEX CLEARING, LLC KCG AMERICAS LLC
300 SERIES 0300 0309 0311 0338 0344 0349 0352 0355 0361 0369 0370 0374 0385
CURIAN CLEARING, LLC FIRST SOUTHWEST COMPANY PIPER JAFFRAY & CO. OPTIONSXPRESS, INC. DIAMANT INVESTMENT CORPORATION ABN AMRO SECURITIES (USA) LLC J.P. MORGAN CLEARING CORP. CREDIT SUISSE SECURITIES (USA) LLC D. A. DAVIDSON & CO. HRT FINANCIAL LLC TRADITION ASIEL SECURITIES INC. JANNEY MONTGOMERY SCOTT LLC E*TRADE CLEARING LLC
DTC Participant Report (Numerical Sort) Month Ending - October 31, 2015 NUMBER 0387 0388 0390 395 0396
PARTICIPANT ACCOUNT NAME CRT CAPITAL GROUP LLC INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC RAYMOND JAMES & ASSOCIATES, INC/FI CITADEL CLEARING LLC ABN AMRO CLEARING CHICAGO LLC/PORTFOLIO MARGINING
400 SERIES 0408 0413 0418 0419 0425 0430 0434 0436 0438 0443 0445 0448 0472 0486 0494
LOMBARD ODIER TRANSATLANTIC, LIMITED PARTNERSHIP AMHERST PIERPONT SECURITIES LLC CITIGROUP GLOBAL MARKETS INC. STEPHENS INC. RBS SECURITIES INC. HOLD BROTHERS CAPITAL LLC MAPLE SECURITIES USA INC./CUSTODY ARCHIPELAGO SECURITIES, L.L.C. CIBC WORLD MARKETS CORP. PERSHING LLC STOCKCROSS FINANCIAL SERVICES, INC. NUVEEN SECURITIES, LLC LOYAL3 SECURITIES INC. HSBC SECURITIES (USA) INC. (FIXED INCOME) SMITH, MOORE & CO.
500 SERIES 0501 0505 0512 0514 0516 0520 0526 0534 0536 0537 0541 0547 0549 0551 0554 0557 0563 0568 0571 0573 0575 0594 0595
GOLDMAN SACHS EXECUTION & CLEARING, L.P. CITIGROUP GLOBAL MARKETS, INC./CORRESPONDENT CLEARING LEK SECURITIES CORPORATION MAPLE SECURITIES - UK MAPLE SECURITIES - FP NASDAQ EXECUTION SERVICES, LLC/OPTIONS GUGGENHEIM FUNDS DISTRIBUTORS, LLC. INTERACTIVE BROKERS RETAIL EQUITY CLEARING JEFFERIES LLC/JEFFERIES EXECUTION SERVICES, INC./SERVICE BUREAU BGC FINANCIAL, L.P. ABN AMRO CLEARING CHICAGO LLC/INSTITUTIONAL ROBERT W. BAIRD & CO. INCORPORATED TIMBER HILL LLC MERRILL LYNCH PROFESSIONAL CLEARING CORP. OCC CLEARING FUND KEYBANK SAFEKEEPING CITICORP SECURITIES SERVICES, INC. NASDAQ EXECUTION SERVICES, LLC OPPENHEIMER & CO. INC. DEUTSCHE BANK SECURITIES INC. ABN AMRO CLEARING CHICAGO/BONDS RJ DEALER STOCK LOAN VISION FINANCIAL MARKETS LLC
600 SERIES 0608 0613 0624 626 0627 0630 0642 0647 0651 0652 0670 0692 0695 0696
SG AMERICAS SECURITIES LLC/ SUB 608 ESSEX RADEZ LLC TULLETT PREBON FINANCIAL SERVICES LLC DST MARKET SERVICES, LLC DASH FINANCIAL LLC BNP PARIBAS SECURITIES CORP. UBS SECURITIES LLC DAIWA CAPITAL MARKETS AMERICA INC. CREDIT AGRICOLE SECURITIES (USA) INC UBS SECURITIES LLC/CMO CSS, LLC INVESCO CAPITAL MARKETS, INC. ABN AMRO CLEARING CHICAGO LLC CANTOR FITZGERALD & CO.
700 SERIES 0701 0702 0705 0709 0712 0715 0725 0728 0734 0743 0749 0750 0756 0759 0768 0771 0773 0793
CETERA INVESTMENT SERVICES LLC BB&T SECURITIES, LLC SCOTTRADE, INC. WACHTEL & CO., INC. KOONCE SECURITIES, INC. DAVENPORT & COMPANY LLC RAYMOND JAMES & ASSOCIATES, INC. FOLIOFN INVESTMENTS, INC. THE NASDAQ STOCK MARKET LLC C.L. KING & ASSOCIATES, INC. VIRTU FINANCIAL CAPITAL MARKETS LLC STERNE, AGEE & LEACH, INC. AMERICAN ENTERPRISE INVESTMENT SERVICES INC. NASDAQ STOCK MARKET LLC/OMNIBUS ACCOUNT J.J.B. HILLIARD, W.L. LYONS, LLC WILLIAM BLAIR & COMPANY, L.L.C. MERRILL LYNCH PIERCE FENNER & SMITH/FIXED INCOME STIFEL, NICOLAUS & COMPANY, INCORPORATED
DTC Participant Report (Numerical Sort) Month Ending - October 31, 2015 NUMBER 800 SERIES 0816 0824 0873 0888 0892
HSBC SECURITIES (USA) INC. INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES, LLC/EQUITY CLEARANCE ELECTRONIC TRANSACTION CLEARING, INC. NATIONAL SECURITIES CLEARING CORPORATION SCC DIVISION MIZUHO SECURITIES USA INC.
900 SERIES 0901 0902 0908 0912 0923 0939 0950 0953 0954 0955 0958 0971 0979 0981 0982 0987 0990 0992 0997
THE BANK OF NEW YORK MELLON JPMORGAN CHASE BANK, NATIONAL ASSOCIATION CITIBANK, N.A. OCC INTERNAL NON-PROPRIETARY CROSS MARGIN CFTC 1.20 FUTURES CUSTOMER SEGREGATED OMNIBUS ACCOUNT JPMORGAN CHASE BANK - ADR OCC CFTC 1.20 FUTURES CUSTOMER SEGREGATED OMNIBUS ACCOUNT CITIBANK, N.A. - DEALER ADR-CITI THE BANK OF NEW YORK MELLON/MELLON TRUST OF NEW ENGLAND, NATIONAL ASSOCIATION BANK OF AMERICA, NA/GWIM TRUST OPERATIONS DESERET TRUST COMPANY REGIONS BANK UBS AG, STAMFORD BRANCH OPTIONS CLEARING CORPORATION (THE) THE OPTIONS CLEARING CORPORATION/OCC MARKET LOAN PROGRAM ACCOUNT - AQS FIDUCIARY SSB MANUFACTURERS AND TRADERS TRUST COMPANY BMO HARRIS BANK NA/TRUST STATE STREET BANK AND TRUST COMPANY
1500 SERIES 1500 1501 1503 1505 1507 1510 1515 1518 1523 1526 1530 1538 1540 1541 1542 1544 1545 1546 1560 1562 1563 1569 1573 1574 1577 1581 1582 1584 1586 1587 1594
MUFG UNION BANK, N.A./CORPORATE TRUST/IPA CITIBANK/CP/IPA DEUTSCHE BANK TRUST COMPANY AMERICAS REGIONS BANK/CORPORATE TRUST/IPA MANUFACTURERS AND TRADERS TRUST CO/WILMINGTON TRUST/IPA U.S. BANK N.A./CP PNC BANK, N.A./IPA BRANCH BANKING AND TRUST COMPAY/FM/IPA UMB BANK NA/ENOGEX MTM/IPA STATE STREET BANK AND TRUST COMPANY/IPA BMO HARRIS BANK NA/M&I BANK IPA WELLS FARGO BANK, N.A. ISSUING/PAYING AGENT UBS AG, STAMFORD BRANCH/IPA ACCOUNT THE BANK OF NEW YORK MELLON/IPA BANK OF NOVA SCOTIA, NEW YORK AGENCY/IPA (THE) HSBC BANK USA, NATIONAL ASSOCIATION/IPA MANUFACTURERS AND TRADERS TRUST COMPANY/IPA SOCIETE GENERALE, NEW YORK BRANCH NORTHERN TRUST COMPANY/IPA HUNTINGTON NATIONAL BANK/IPA COMPASS BANK/IPA BNP PARIBAS, NEW YORK BRANCH JPMORGAN CHASE BANK/J.P.MORGAN CHASE & CO./CERTIFICATE OF DEPOSIT/IPA AMALGAMATED BANK OF CHICAGO/IPA MIZUHO BANK LTD. NEW YORK BRANCH/IPA BANK OF AMERICA/LASALLE BANK NA/IPA, DTC #1581 BMO HARRIS BANK NA/IPA TEXAS TREASURY SAFEKEEPING TRUST COMPANY/IPA ZIONS FIRST NATIONAL BANK-CT ISSUE & PAY A/C/IPA CREDIT SUISSE AG - NEW YORK BRANCH SUNTRUST BANK/STES IPA
1600 SERIES 1601 1607 1620
BNP PARIBAS, NEW YORK BRANCH/IPA MUFG UNION BANK, N.A./MMI/PIMS/IPA ASSOCIATED BANK, N.A./ASSOCIATED TRUST COMPANY/IPA
2000 SERIES 2000 2002 2003 2008 2011 2012 2015 2019 2020 2022 2023 2024 2026 2027 2029
CLEARSTREAM BANKING AG BNYMELLON/BGC BROKERS LP UBS AG, STAMFORD BRANCH/AC PB CLIENTS-NO UBS LIEN MONTE TITOLI - S.P.A. CAVALI ICLV S.A. CREST INTERNATIONAL NOMINEES LIMITED THE TEL-AVIV STOCK EXCHANGE CLEARING HOUSE LTD J.P. MORGAN CHASE/GARBAN CORPORATES THE BANK OF NEW YORK MELLON/SOC GEN BANK THE BANK OF NEW YORK MELLON/HBK GLOBAL SECURITIES LP THE BANK OF NEW YORK MELLON/FMSBONDS, INC. DEUTSCHE BANK AG NY/TCR BNYMELLON/BNYMIB RE BNYMSANV RE FIRM WELLS FARGO BANK, NATIONAL ASSOCIATION THE BANK OF NEW YORK MELLON/UBS AG LONDON BRANCH DESIGNED EQUITIES
2032
PARTICIPANT ACCOUNT NAME
CITIBANK/THE CITIGROUP PRIVATE BANK/TRUST
DTC Participant Report (Numerical Sort) Month Ending - October 31, 2015 NUMBER 2035 2037 2038 2039 2040 2041 2042 2046 2047 2053 2057 2059 2060 2063 2065 2067 2068 2070 2072 2074 2075 2078 2079 2081 2082 2084 2085 2089 2090 2091 2092 2093 2095
PARTICIPANT ACCOUNT NAME JP MORGAN CHASE/JP MORGAN INTERNATIONAL MITSUBISHI UFJ TRUST & BANKING CORPORATION (U.S.A.)/AFFILIATE JPMORGAN CHASE/RBS SEI PRIVATE TRUST COMPANY WELLS FARGO BANK, N.A./LENDING DBTC AMERICAS/CTAG/PUTS & DEMANDS RELIANCE TRUST COMPANY/SWMS1 THE BANK OF NEW YORK MELLON/HBK MASTER FUND LP SECURITIES FINANCE TRUST COMPANY FROST BANK THE BANK OF NEW YORK MELLON/DBTCA-DB AG LDN PB - FIRM ACCOUNT THE BANK OF NEW YORK MELLON/DBTCA/DB AG LDN PB-DEUTSCHE BANK NY JPMORGAN CHASE BANK/SUSQUEHANNA BNY MELLON/NGFP MAIN PNC BANK, N.A./OTTA UNION BANK & TRUST COMPANY FEDERAL HOME LOAN MORTGAGE CORPORATION/RETAINED BNYMELLON/BNP PARIBAS TRI-PARTY ACCOUNT WELLS FARGO BANK, N.A./SIG BNYMELLON/BNYMIB RE BNYMSANVAMS RE FIRM LAB MITSUBISHI UFJ SECURITIES (USA), INC./STOCK LOAN BNYMELLON/BBPLC CLIENT SEG SG SCM EQ TLR LTD THE BANK OF NEW YORK MELLON/DBTCA/DB AG LDN PB CHEYNE VALUE FUND LP BNYMELLON/MS INTERNATIONAL ANB BANK JPMORGAN CHASE BANK/INTL FCSTONE FINANCIAL INC RELIANCE TRUST COMPANY/SWMS2 THE BANK OF NEW YORK MELLON/NATIXIS FUNDING CORP THE BANK OF NEW YORK MELLON/DBTCA/DB AG LON PB POLGON GL OP M/FD BNYMELLON/RABOBANK INTERNATIONAL UNEF THE BANK OF NEW YORK MELLON/POPULAR SECURITIES, INC. THE BANK OF NEW YORK MELLON/SUNTRUST BANK SUNTRUST ROBINSON HUMPHREY, INC.
2100 SERIES 2100 2102 2103 2104 2105 2106 2107 2108 2109 2114 2116 2118 2122 2125 2126 2129 2131 2136 2138 2139 2145 2147 2151 2154 2155 2156 2158 2160 2161 2164 2165 2166 2167 2168 2169 2170 2176 2187 2189 2190 2193 2196 2198
THE BANK OF NEW YORK MELLON/SUNTRUST BANK PORTFOLIO BNYM/HSBC US THE BANK OF NEW YORK MELLON /BARCLAYS CAPITAL SECURITIES LTD., SBL/PB ZIONS FIRST NATIONAL BANK THE BANK OF NEW YORK MELLON/FIFTH THIRD BANK THE BANK OF NEW YORK MELLON/ALLSTATE MARK TO MARKETS THE BANK OF NEW YORK MELLON/COMMERCIAL LOANS COMERICA BANK THE BANK OF NEW YORK MELLON/ICBC STANDARD BANK PLC SUNTRUST BANK / STB RETAIL CD FIFTH THIRD BANK DESERET TRUST COMPANY - D HSBC BANK USA, N.A.-IPB THE BANK OF NEW YORK MELLON/DBTCA/DB AG LDN PB F&C GARNET M/F LTD FIDUCIARY TRUST COMPANY OF BOSTON THE BANK OF NEW YORK MELLON/DBTC/DB AG LDN PB F&C SAPPHIRE M/FD LTD BNYMELLON/NOMURA PB NOMINEES LTD THE BANK OF NEW YORK MELLON/IVORS THE BANK OF NEW YORK MELLON/ELLINGTON SPECIAL OPPORTUNITIES FUND, LTD. GLENMEDE TRUST COMPANY, N.A. (THE) MUFG UNION BANK, N.A. BNP PARIBAS, NEW YORK BRANCH/BNP PARIBAS PRIME BROKERAGE CUSTODIAN BNYMELLON/BNYMIB FIRM INVESTMENT ACCOUNT BNP PARIBAS PRIME BROKERAGE, INC. THE BANK OF NEW YORK MELLON/DEUTSCHE BANK LONDON AG LONDON/GLOBAL MARKET #2 THE BANK OF NEW YORK MELLON/DBTCA/DB AG LDN PB MULTI SEG CLEARANCE BNY MELLON/NGFP COLLATERAL THE BANK OF NEW YORK MELLON/DBTCA/DB AG LDN B CHEYNE SPEC'L SIT FD MIZUHO SECURITIES/SECURITIES FINANCE JPMORGAN CHASE BANK/CORRESPONDENCE CLEARING SERVICES 2 HSBC BANK USA, NATIONAL ASSOCIATION PNC BANK/PNC MUNICIPAL STRATEGY - BLK PNC BANK/PNC CAPITAL MARKETS LLC BNY MELLON/JEFFERIES & CO. BNY MELLON/D.E. SHAW HELIANT CAPITAL LLC COMMERCE BANK THE BANK OF NEW YORK MELLON/CDC MORTGAGE CAPITAL INC. MORGAN STANLEY BANK, N.A. THE BANK OF NEW YORK MELLON/TULLETT PREBORN FINANCIAL SERVICES 1 THE BANK OF NEW YORK MELLON/TULLETT PREBORN FINANCIAL SERVICES SSB-PHYSICAL CUSTODY SERVICES THE BANK OF NEW YORK MELLON/BARCLAYS BANK PLC FIRM THE BANK OF NEW YORK MELLON/COUNTRYWIDE HOME LOANS
2200 SERIES 2200 2203 2205 2206
BNYMELLON/AC NOMURA PB NOM LTD RE: GLG EMG MKTS THE BANK OF NEW YORK MELLON/ANNALY CRE LLC KEYBANK NATIONAL ASSOCIATION BANK NEW YORK MELLON/FIRM ITC-INVESTMENT DEALER
DTC Participant Report (Numerical Sort) Month Ending - October 31, 2015 NUMBER 2207 2209 2216 2218 2219 2220 2223 2224 2225 2230 2231 2232 2234 2236 2238 2243 2244 2247 2251 2253 2255 2257 2262 2264 2265 2267 2271 2276 2279 2280 2281 2282 2291 2292 2293 2294 2296 2300 SERIES 2301 2304 2305 2306 2307 2308 2312 2313 2314 2319 2321 2322 2324 2326 2328 2329 2330 2331 2333 2334 2336 2337 2338 2339 2342 2344 2347 2349 2351 2352 2354 2357 2358 2359 2361 2362 2363 2365 2366 2367 2370 2372 2375 2379 2381
PARTICIPANT ACCOUNT NAME THE BANK OF NEW YORK MELLON/RABOBANK INTERNATIONAL LONDON EQUITY FINANCE THE BANK OF NEW YORK MELLON/MID CAP SPDRS LAW DEBENTURE TRUST COMPANY OF NEW YORK FANNIE MAE HUNTINGTON NATIONAL BANK/FBO OHIO POLICE AND PENSION FUND THE BANK OF NEW YORK MELLON/EF SECURITIES LLC ALASKA USA FEDERAL CREDIT UNION THE BANK OF NEW YORK MELLON/NATIXIS FINANCIAL PRODUCTS INC THE BANK OF NEW YORK MELLON/TELEBANK JPMORGAN CHASE BANK/RBS SECURITIES INC. THE BANK OF NEW YORK MELLON/BZW SECURITIES LIMITED BNY MELLON/NOMURA CAPITAL MARKETS PLC REPO U.S. BANK N.A./SAFEKEEPING WEST BANK OF AMERICA, NATIONAL ASSOCIATION THE BANK OF NEW YORK MELLON/BANQUE D'ORSAY BNYMELLON/NATIXIS FIXED INCOME BNYMELLON/NATIXIS BNYMELLON/LLOYDS TSB BANK PLC CLR RE ARTEMIS BANK OF AMERICA NA/CLIENT ASSETS BRICKELL BANK JPMORGAN CHASE BANK/PCS SHARED SERVICES ASSOCIATED BANK, N.A. SUNTRUST BANK/SUNTRUST BANK DEALER BANK THE BANK OF NEW YORK MELLON/CDC HOLDINGS TRUST INC. THE BANK OF NEW YORK MELLON/HBK CDO TRUST MORGAN STANLEY PRIVATE BANK, NATIONAL ASSOCIATION WESBANCO BANK, INC. THE BANK OF NEW YORK MELLON/SUNTRUST EQUITY FUNDING, LLC CREDIT SUISSE AG NYB - SECURITIES LENDING MGMT THE BANK OF NEW YORK MELLON/WELLS FARGO N.A. BNY MELLON/NOMURA INT'L PLC REPO THE BANK OF NEW YORK MELLON/WELLS FARGO MARGIN THE BANK OF NEW YORK MELLON/PREBON FINANCIAL PRODUCTS, INC. BNYMELLON/CITIGROUP GLOBAL MARKETS LIMITED FANNIE MAE/GENERAL THE BANK OF NEW YORK MELLON/OZ MASTER FUND LTD FANNIE MAE/INVESTMENT
THE BANK OF NEW YORK/FORTIS BANK NV/SA THE BANK OF NEW YORK MELLON/SOUTH STREET SECURITIES THE HUNTINGTON NATIONAL BANK FANNIE MAE/REMIC COLLATERAL/BOND ADMINISTRATION THE BANK OF NEW YORK MELLON/ING BANK NV LONDON BRANCH THE BANK OF NEW YORK MELLON/BOA NA JPMORGAN CHASE BANK NA/DBTC AMERICAS/DEUTSCHE BANK AG (LONDON BRANCH) THE BANK OF NEW YORK MELLON/BARCLAYS (BGIS) JPMORGAN CHASE BANK NA/DBTC AMERICAS/DB UK BANK LIMITED SSB - TRUST CUSTODY THE BANK OF NEW YORK MELLON/HSBC, BK PLC A/C IB EQ FIN NON US BNP PARIBAS, NY BRANCH/ BNPP SA THE BANK OF NEW YORK MELLON/BARCLAYS BANK PLC - PLEDGE ACCOUNT THE BANK OF NEW YORK/THE ROYAL BANK OF CANADA BNY MELLON/ANWORTH MORTGAGE ASSET CORP. REGIONS BANK/WEST VALLEY COMPUTERSHARE TRUST COMPANY, N.A./OPTIONS THE BANK OF NEW YORK MELLON/NATIXIS SECURITIES AMERICAS LLC I CITIBANK, N.A./ETF JPMORGAN CHASE-ADR MAX THE BANK OF NEW YORK MELLON/CHARLES STANLEY AND COMPANY, LIMITED THE BANK OF NEW YORK MELLON/CWIBH INC. HONG KONG SECURITIES CLEARING COMPANY LIMITED THE BANK OF NEW YORK MELLON/ITC - DEALERS CLEARANCE SPECIAL THE BANK OF NEW YORK MELLON/ELLINGTON MORTGAGE FUND SC, LTD. PIPER JAFFRAY & CO./BMO GKST THE BANK OF NOVA SCOTIA, NEW YORK AGENCY BNYMELLON/NOMURA GLOBAL FINANCIAL PRODUCTS INC COLLATERAL ACCOUNT BNYMELLON/NOMURA GLOBAL FINANCIAL PRODUCTS INC MAIN ACCOUNT AMALGAMATED BANK JPMORGAN CHASE BANK N.A./JPMORGAN EUROPE LIMITED JPMORGAN CHASE BANK/IA THE BANK OF NEW YORK MELLON/SOCIETE GENERALE GIC BNYMELLON/HSBC BANK PLC PARIS BRANCH BNYMELLON/DEDICATED PARTICIPANT #28 THE BANK OF NEW YORK MELLON/CRESCENT II FUND L.P. BNYMELLON/HSBC BANK PLC EQD USBR BNYMELLON/MONTAGUE PLACE CUSTODY SERVICES BNYMELLON/BARCLAYS CAP SEC LTD PB SEG 1 BNYMELLON/BARCLAYS CAP SEC LTD PB SEG 2 BNYMELLON/BARCLAYS BANK PLC RE US SHARES PNC BANK NA/PNC COMMODITY HEDGING LLC STATE STREET BANK & TRUST COMPANY / ISHARES EUROPE JPMORGAN CHASE BANK/JPMORGAN PPB BNYMELLON/BNYMIB FIRM TRADE INS
DTC Participant Report (Numerical Sort) Month Ending - October 31, 2015 NUMBER 2382 2383 2386 2387 2391 2393 2396 2399
PARTICIPANT ACCOUNT NAME MANUFACTURERS & TRADERS TRUST COMPANY MUNI TRADING/SAFEKEEPING THE BANK OF NEW YORK MELLON/TULLET & TOKYO LIBERTY (SEC) LTD. STATE STREET BANK AND TRUST COMPANY, N.A. J.P. MORGAN CHASE BANK/GG1 FEDERAL HOME LOAN MORTGAGE CORPORATION HSBC BANK USA, NATIONAL ASSOCIATION/OMNIBUS MIZUHO SECURITIES USA/FIXED INCOME STATE STREET BANK AND TRUST COMPANY/DEUTSCHE BANK FRANKFURT
2400 SERIES 2406 2407 2414 2415 2416 2417 2424 2425 2426 2427 2428 2429 2433 2434 2436 2438 2444 2445 2446 2447 2449 2450 2451 2452 2453 2454 2456 2457 2461 2462 2463 2467 2468 2469 2470 2472 2474 2475 2477 2478 2479 2480 2481 2483 2484 2485 2486 2488 2490 2491 2492 2494 2495 2496 2497 2499
THE BANK OF NEW YORK MELLON/EVOLUTION BEESON GREGORY LIMITED LIMITED - ACCOUNT #258688 THE BANK OF NEW YORK MELLON/VANGUARD BLOCK LENDING THE BANK OF NEW YORK MELLON/NATIONAL AUSTRALIA BANK COMPUTERSHARE TRUST COMPANY, N.A. FIFTH THIRD BANK/STATE TEACHERS RETIREMENT OF OHIO THE BANK OF NEW YORK MELLON/ELLINGTON MORTGAGE OPPORTUNITIES MASTER FUND LTD. JPMORGAN CHASE BANK, N.A./CUSTODIAL TRUST COMPANY HOME FEDERAL BANK OF TENNESSEE, F.S.B. CITIBANK, N.A./CORPORATE AGENCY & TRUST THE BANK OF NEW YORK MELLON/MERRILL LYNCH PIERCE FENNER & SMITH THE BANK OF NEW YORK MELLON/DBTC AMERICAS/DEUTSCHE BANK LONDON PRIME THE BANK OF NEW YORK MELLON/ELLINGTON STRATEGIC MGT FD L.P. JPMORGAN CHASE BANK/VANGUARD LOANET JPMORGAN CHASE BANK/GNPH MIDDLE MARKET SSB - BANK PORTFOLIO THE BANK OF NEW YORK MELLON TRUST COMPANY, NATIONAL ASSOCIATION THE BANK OF NEW YORK MELLON/FSA FIRST TENNESSEE BANK N.A. MEMPHIS THE BANK OF NEW YORK MELLON/MELLON TRUST OF NEW ENGLAND/NORTHWESTERN MUTUAL LIFE HOME FEDERAL BANK/HOME FINANCIAL SERVICES, INC. BNYMELLON/DEDICATED PARTICIPANT #21 UMB BANK, NATIONAL ASSOCIATION UMB BANK, INVESTMENT DIVISION THE BANK OF NEW YORK MELLON/DBTC AMERICAS/DEUTSCHE BK LONDON PRIME THE BANK OF NEW YORK MELLON/DBTC/DEUTSCHE BK LONDON PRIME SEG 15/00 THE BANK OF NEW YORK MELLON/DBTC/DEUTSCHE BK LONDON PRIME SEG 30/30 BNYMELLON/DEDICATED PARTICIPANT #20 BNYMELLON/DEDICATED PARTICIPANT #22 BANCO BILBAO VIZCAYA ARGENTARIA SA NEW YORK BRANCH BNY MELLON/HSBC BANK PLC BNYMELLON/DEDICATED PARTICIPANT #30 JPMORGAN CHASE BANK/HSBCSI THE BANK OF NEW YORK MELLON/DEUTSCHE BANK AG FRANKFURT THE BANK OF NEW YORK MELLON/MIZUHO CORPORATE BANK LTD., NEW YORK BRANCH BNY MELLON/CAPSTEAD MORTGAGE CORP. BNYMELLON/DR CUSTODY ACCOUNT THE BANK OF NEW YORK MELLON/MILLENNIUM PARTNERS THE BANK OF NEW YORK MELLON/ANNALY COMMERCIAL REAL ESTATE GR. THE BANK OF NEW YORK MELLON/ANNALY CRE HOLDING THE BANK OF NEW YORK MELLON/DBAG LONDON GLOBAL MARKETS (CLIENT ACCT) THE BANK OF NEW YORK MELLON/DBAG FRANKFURT GLOBAL MARKET WELLS FARGO SECURITIES, LLC/SECURITIES FINANCE DEUTSCHE BANK AG, NEW YORK BRANCH COMPASS BANK COMPASS BANK/TRUST DIVISION THE BANK OF NEW YORK MELLON/DBAG LONDON GLOBAL MARKET BNYMELLON/DEDICATED PARTICIPANT #28 THE BANK OF NEW YORK MELLON/DBTC AMERICAS/DBAG LDN-GS CR. PORT LLC BNYMELLON/RABOBANK INT'L UTRECHT EQUITY FIN THE BANK OF NEW YORK MELLON/TD BANK MIZUHO TRUST & BANKING CO (USA)/SECURITY LENDING THE BANK OF NEW YORK MELLON/BOA SECURITIES LTD. (BASL) BNYMELLON/BARCLAYS BANK PLC RE: BCTL SARL BNYMELLON/HYMF INC. FIRM EQUITIES DTC BOX DESERET TRUST COMPANY - I BNYMELLON/NOMURA CL SETT NOM LTD
2500 SERIES 2502 2505 2506 2507 2508 2510 2511 2513 2517 2522 2523 2531 2533 2534 2535 2538
THE BANK OF NEW YORK MELLON/ANNALY MORTGAGE THE BANK OF NEW YORK MELLON/ANNALY FUNDING LLC THE BANK OF NEW YORK MELLON/ BANQUE DEWAAY SA UBS AG STAMFORD BRANCH/AS CUSTODIAN FOR UBS AG LONDON BRANCH JPMORGAN CHASE BANK/CORPORATE MUNICIPAL DEALER THE BANK OF NEW YORK MELLON/THE PRUDENTIAL INVESTMENT BNYMELLON/DEDICATED PARTICIPANT #29 THE BANK OF NEW YORK MELLON/BANQUE DEWAAY MGT SA JPMORGAN CHASE BANK/PRUDENTIAL MORGAN STANLEY PRIVATE BANK, NATIONAL ASSOCIATION/#2 BNY MELLON CAPITAL MARKETS, LLC THE BANK OF NOVA SCOTIA, NEW YORK AGENCY/RATES DESK HOME FEDERAL BANK/HF PORTFOLIO HOME FEDERAL BANK OF TENNESSEE, FSB/TRUST DEPARTMENT CUSTOMERS THE BANK OF NEW YORK MELLON/BROKER DEALER OMNIBUS BNYMELLON/DEUTSCHE BANK AG LDN RE DBAUSTRALIA
DTC Participant Report (Numerical Sort) Month Ending - October 31, 2015 NUMBER 2539 2543 2544 2545 2546 2552 2553 2554 2555 2556 2557 2558 2559 2561 2562 2563 2564 2565 2566 2567 2568 2570 2572 2573 2576 2578 2579 2580 2582 2585 2586 2590 2592 2594 2595 2596 2597 2598 2600 SERIES 2601 2608 2609 2612 2616 2620 2621 2622 2624 2625 2630 2633 2634 2636 2638 2639 2641 2648 2650 2651 2652 2655 2656 2657 2658 2660 2661 2662 2663 2667 2668 2669 2674 2677 2678 2679 2680 2681 2683 2684 2687 2690 2697 2699
PARTICIPANT ACCOUNT NAME MIZUHO BANK LTD. NEW YORK BRANCH THE BANK OF NEW YORK MELLON/NOMURA BANK INT'L PLC THE BANK OF NEW YORK MELLON/QVT CAPITAL LAKESIDE BANK STATE STREET BANK AND TRUST COMPANY/DB RESIDUAL PROCESSING ACCOUNT THE BANK OF NEW YORK MELLON/DB BREVAN HOWARD MASTER FUND THE BANK OF NEW YORK MELLON/DAVY SECURITIES LIMITED JPMCB/HSBC BANK PLC IB MAIN FL ACCOUNT BANK OF CHINA, NEW YORK BRANCH SSB - CAPITAL MARKETS BANKERS' BANK THE BANK OF NEW YORK MELLON/WELLS FARGO BANK N.A. BMO HARRIS BANK NA/DEALER COUNTRY TRUST BANK CITIBANK, N.A. - MUNICIPAL SAFEKEEPING ASCENSUS TRUST COMPANY BNYMELLON/OZ DOMESTIC PARTNERS,L.P. THE BANK OF NEW YORK MELLON/BAKERGROUP THE BANK OF NEW YORK MELLON/ANCHORAGE CAPITAL AMALGAMATED BANK OF CHICAGO THE BANK OF NEW YORK MELLON/TORONTO DOMINION SECURITIES INC. MITSUBISHI UFJ TRUST & BANKING CORPORATION (U.S.A.)/STOCK LOAN THE BANK OF NEW YORK MELLON/INVESTEC LONDON THE BANK OF NEW YORK MELLON/RABOBANK INTERNATIONAL NY EVERBANK SYNOVUS BANK SYNOVUS BANK/SYNOVUS 2 U.S. BANK N.A./ETF THE BANK OF NEW YORK MELLON/DEUTSCHE BANK AG LONDON PRIME BROKERAGE BNYMELLON/BNYMIB RE BNYMSANV RE FIRM EM COMPUTERSHARE TRUST COMPANY, N.A./DRP THE BANK OF NEW YORK MELLON/BANCO SANTANDER SLB THE BANK OF NEW YORK MELLON/ML EQUITY SOLUTIONS JERSEY LTD. THE BANK OF NEW YORK MELLON/GIB UK LTD CORP BOND BNYMELLON/BNYMIB FIRM INVESTMENT PORTFOLIO THE BANK OF NEW YORK MELLON/DBLPB-BLACK ANT MASTER FD. LP THE BANK OF NEW YORK MELLON/DBLPB-DBX EURO LONG/SHORT EQ. 4 FD THE BANK OF NEW YORK MELLON/CACEIS BANK DEUTSCHLAND GMBH
THE BANK OF NEW YORK MELLON/TRADITION LONDON CLEARING LTD. THE BANK OF NEW YORK MELLON/EQUITIES FORTIS BANK,LONDON JPMORGAN CHASE BANK/TREASURER OF STATE OF OHIO BWC JPMORGAN CHASE/US EQ TRP PNC BANK, NATIONAL ASSOCIATION BNYMELLON/OZ DOMESTIC PARTNERS II, L.P. BNYMELLON/MIZUHO INTERNATIONAL TEXAS TREASURY SAFEKEEPING TRUST COMPANY BNYMELLON/IRELAND SSB&T/SEC FIN AS PRINCIPAL BNYMELLON/AIG BNYMELLON/BBPLC A/C PB CANADA PPIB CLIENT BNYMELLON/GOV & CO BANK OF ENGLAND JPMORGAN CHASE/NEWEDGE CUSTODY JPMORGAN CHASE/FIMAT PF BNYMELLON/HSBC BANK PLC A/C IB EQUITY FINANCE NT BNYMELLON/BARCLAYS CAPITAL INC. BNYMELLON/GLOBAL PRIME PARTNERS THE BANK OF NEW YORK MELLON/DEALERWEB INC. THE BANK OF NEW YORK MELLON/HH ELLINGTON MASTER FUND LTD THE BANK OF NEW YORK MELLON/NBT BANK DBTC AMERICAS/CTAG-GES BANK OF CHINA NEW YORK BRANCH/CLIENT CUSTODY BNYMELLON/JW GIDDENS TRUSTEE LIQ LEHMAN BROS CITIBANK, N.A./SEGREGATED LENDING GOLDMAN SACHS BANK USA/GOLDMAN SACHS AGENCY LENDING STATE STREET BANK AND TRUST COMPANY OF CALIFORNIA, N.A. BNYMELLON/BNYMIB FIRM BRPT ASSETS SEI PRIVATE TRUST COMPANY/C/O GWP INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC/ CLEARING JPMORGAN CHASE BANK,N.A./JPMORGAN CHASE FUNDING INC. THE NORTHERN TRUST COMPANY THE BANK OF NEW YORK MELLON/LINK SECURITIES THE BANK OF NEW YORK MELLON/RABO CAPITAL SERVICES SSB&T CO/CLIENT CUSTODY SERVICES THE BANK OF NEW YORK MELLON/TDB UNENCUMBERED SOCIETE GENERALE NY/SOCIETE GENERALE PARIS THE BANK OF NEW YORK MELLON/ITC-DEALERS CLEARANCE GENERAL THE BANK OF NEW YORK MELLON/TD NY NORTHERN TRUST COMPANY - SAFEKEEPING CALDWELL TRUST COMPANY DEUTSCHE BANK AG NY/CEDEAR BMO HARRIS BANK NA BNYMELLON/CACEIS BANK DEUTSCHLAND GMBH RE.CLIENT
DTC Participant Report (Numerical Sort) Month Ending - October 31, 2015 NUMBER
PARTICIPANT ACCOUNT NAME
2700 SERIES 2703 2705 2709 2711 2714 2715 2716 2717 2718 2719 2720 2721 2724 2726 2727 2728 2729 2730 2731 2732 2733 2735 2736 2747 2748 2760 2761 2762 2763 2764 2765 2767 2769 2773 2776 2778 2779 2781 2782 2783 2784 2785 2786 2787 2788 2789 2790
BRANCH BANKING & TRUST CO/FM IP BB&T CORP. BRANCH BANKING & TRUST CO/FM IP BB&T BNYMELLON/DE SHAW & CO. BNYMELLON/ICAP LONDON BNYMELLON/NATIONAL BANK OF AUSTRALIA BNYMELLON/DEXIA CREDIT LOCAL PARIS BNYMELLON/SPECIAL PROCESSING #99 SUNTRUST BANK/SAFEKEEPING CUSTODIAN FOR STES BNYMELLON/NOMURA CNS NOM RE: TFS DER THE BANK OF NEW YORK MELLON/DBLPB-DBX RISK ARBITAGE 8 FUND THE BANK OF NEW YORK MELLON/BARCLAYS BK PLC-BARC LUX SARL A/C 1 THE BANK OF NEW YORK MELLON/BARCLAYS BK PLC-BARC LUX SARL A/C 2 THE BANK OF NEW YORK MELLON/DBLPB-CENTAURUS PROXIMA FD THE BANK OF NEW YORK MELLON/DBLPB-DBX-ASIAN L/S EQUITY 2 FUND THE BANK OF NEW YORK MELLON/DBL-FIXED INCOME PRIME BROKERAGE THE BANK OF NEW YORK MELLON/OZ ASIA MASTER FUND, LTD CUSTODY THE BANK OF NEW YORK MELLON/OZ SPECIAL FUNDING (OZMD) L.P. THE BANK OF NEW YORK MELLON/OZ EUROPE MASTER MASTER FUND, LTD THE BANK OF NEW YORK MELLON/OZ MASTER MASTER FUNDS, LTD THE BANK OF NEW YORK MELLON/OZ CAP STRUC ARBTRAGE MASTER FUND THE BANK OF NEW YORK MELLON/SIMF DEPOSITO CENTRAL DE VALORES S.A., DEPOSITO DE VALORES ZIONS FNB/WESTERN NATIONAL THE BANK OF NEW YORK MELLON/KBC FINANCIAL PRODUCTS UK, LTD. THE BANK OF NEW YORK MELLON/KBC INVESTMENTS LIMITED BNY MELLON/RABOBANK INTERNATIONAL CASH EQUITY AMSTERDAM BNY MELLON/RABOBANK INTERNATIONAL CASH EQUITY UTRECHT BNY MELLON/RABOBANK INTERNATIONAL EQUITY DERIVATIVES LONDON BNY MELLON/RABOBANK INTERNATIONAL EQUITY DERIVATIVES HONG KONG BNYMELLON/LBBW NY PRIMARY ACCOUNT BNYMELLON/LBBW NY CUSTODY SSB - BLACKROCK INSTITUTIONAL TRUST KEYBANK NA/FBO TREASURER OF STATE OF OHIO JPMORGAN CHASE BANK/MUNICIPAL DEALER THE BANK OF NEW YORK MELLON/ELLINGTON CREDIT OPPORTUNITIES LTD. NORTHERN TRUST COMPANY/FUTURE FUND ACCOUNTS SUMITOMO MITSUI TRUST BANK (U.S.A.) LIMITED U.S. BANK, N.A./U.S. BANK MUNICIPAL SECURITIES GROUP E*TRADE BANK JPMORGAN CHASE BANK NA/GME DIV OF ICAP CORPORATE LLC THE BANK OF NEW YORK MELLON/ST. BERNARD OPPORTUNITY FUND 1, LTD. THE BANK OF NEW YORK MELLON/MILLENNIUM FIXED INCOME LTD BBVA SECURITIES INC. BNP PARIBAS, NEW YORK BRANCH/CUSTODY/CLIENT ASSETS MERCADO DE VALORES DE BUENOS AIRES S.A. UBS LIMITED CITIBANK, N.A. BOOK-ENTRY-ONLY MEDIUM TERM NOTE ACCOUNT
2800 SERIES 2800 2801 2802 2803 2808 2811 2825 2834 2835 2837 2841 2842 2844 2846 2851 2852 2856 2858 2865 2867 2868 2871 2872 2874 2875 2877 2879 2880 2884 2885 2888 2893 2894
DAIWA CAPITAL MARKETS AMERICA INC./SECURITIES LENDING PNC BANK, N.A./MARKET STREET FUNDING SECURITIES BNYMELLON/BBPLC PB CAYMEN CLIENTS U.S. BANK N.A. DBTC AMERICAS/CTAG-CDFP JPMORGAN CHASE BANK/BROKER & DEALER CLEARANCE DEPARTMENT BNYMELLON/BBPLC PB CANADIAN CLIENTS PNC BANK, N.A./PITTSBURGH PNC BANK N.A./PNC CAPITAL MARKETS LLC U.S. BANK N.A./THIRD PARTY LENDING THE BANK OF NEW YORK MELLON/EF MORTGAGE, LLC THE BANK OF NEW YORK MELLON/EF CMO, LLC BNYMELLON/BBPLC PB UK CLIENTS BNYMELLON/(AG) DESHAW OCULUS PORT LLC.PLGCOLL AC MUFG UNION BANK, N.A./CAPITAL MARKETS TRUSTMARK NATIONAL BANK BNYMELLON/CANTOR FITZGERALD, EUROPE BNYMELLON/BNYMIB FIRM SMPT ASSETS JPMORGAN CHASE BANK/AG DEPOSITARY BANK BRANCH BANKING AND TRUST COMPANY/FM IP CBG REMIC LLC BNYMELLON/SPECIAL PROCESSING #109 BRANCH BANKING AND TRUST COMPANY/FM/IP CBG INC. THE BANK OF NEW YORK MELLON/TD BANK N.A. THE BANK OF NEW YORK MELLON/CHIMERA INVESTMENT CORPORATION THE BANK OF NEW YORK MELLON/CHIMERA RMBS WHOLE POOL LLC (F/K/A CIM ASSET HOLDING) THE BANK OF NEW YORK MELLON/DB CHILRDENS DEUTSCHE BANK AG, NEW YORK BRANCH/GES FFT CENTRAL TRUST BANK (THE) BNP PARIBAS, NEW YORK BRANCH/BNP PARIBAS PRIME BROKERAGE INTERNATIONAL BNP PARIBAS PRIME BROKERAGE, INC/STOCK LENDING MIZUHO TRUST & BANKING CO. (USA) THE BANK OF NEW YORK MELLON/CHIMERA RMBS LLC (F/K/A CIM HOLDING) HSBC BANK USA, N.A./CORPORATE TRUST IPA
DTC Participant Report (Numerical Sort) Month Ending - October 31, 2015 NUMBER 2897 2898 2899
PARTICIPANT ACCOUNT NAME U.S. BANK N.A./TRUST NY MTN HUNTINGTON NATIONAL BANK/FBO SCHOOL EMPLOYEE RETIREMENT SYSTEM OF OHIO THE BANK OF NEW YORK MELLON/CHIMERA SECURITIES HOLDING LLC
2900 SERIES 2901 2903 2906 2913 2920 2926 2931 2932 2935 2937 2940 2941 2943 2944 2945 2946 2950 2952 2971 2973 2975 2985 2993
THE BANK OF NEW YORK MELLON/CHIMERA SPECIAL HOLDING LLC THE BANK OF NEW YORK MELLON/BAKER2 THE BANK OF NEW YORK MELLON/CHIMERA TRADING COMPANY LLC THE BANK OF NEW YORK MELLON/ELLINGTON STRATEGIC MBS LP II THE BANK OF NEW YORK MELLON/NATIXIS SECURITIES AMERICAS LLC BNYMELLON/BNYMIB RE BNYMSANVFFT RE FIRM BNYMELLON/BARCLAYS BANK PLC MITSUBISHI UFJ TRUST & BANKING CORPORATION (U.S.A.) THE BANK OF NEW YORK MELLON/COUNTRYWIDE HOME LOANS, CHL FOR CCM CONDUITS PNC BANK, N.A./HPRS THE BANK OF NEW YORK MELLON/VINNING SPARKS, IBG, L.P. GOLDMAN SACHS BANK USA JPMORGAN CHASE BANK/GARBAN SECURITIES, INC. JPMORGAN CHASE-FIMAT RM JPMORGAN CHASE-FIMAT CU JPMORGAN CHASE-FIMAT MB STATE STREET BANK & TRUST/STATE STREET TOTALETF CITIBANK N.A. LONDON/MTN SUNTRUST BANK JPMORGAN CHASE BANK/MET LIFE LOANET FIFTH THIRD BANK/PUBLIC EMPLOYEES RETIREMENT SYSTEM THE BANK OF NEW YORK MELLON/RBC I&TS CHARLES SCHWAB BANK
4700 SERIES 4707 4712 4794 4795 4797
ROYAL BANK OF CANADA-ROYAL TRUST/CDS** BMO NESBITT BURNS INC./BMO TRUST COMPANY/CDS** THE BANK OF NOVA SCOTIA/PRINCIPAL EQUITIES/CDS** THE BANK OF NOVA SCOTIA/SUB FIXED INCOME/IMPACT/CDS** BMO NESBITT BURNS/INSTITUTIONAL/CDS**
4800 SERIES 4800 4801 4805 4808 4812 4814 4816 4817 4818 4819 4822 4838 4855
CDS CLEARING AND DEPOSITORY SERVICES INC. RBC DOMINION SECURITIES INC./CDS** TORONTO-DOMINION BANK (THE)** J.P. MORGAN SECURITIES CANADA INC. ** THE BANK OF NOVA SCOTIA/CDS** THE BANK OF NOVA SCOTIA/ SCE LTD./CDS** THE BANK OF NOVA SCOTIA/CLIENT A BANK OF MONTREAL/ CHICAGO/CDS** FIDUCIE DESJARDINS INC.** BANK OF MONTREAL/ IRELAND/CDS** BANK OF MONTREAL/ LONDON/CDS** THE BANK OF NOVA SCOTIA/CLIENT B/CDS** BANK OF MONTREAL**
5000 SERIES 5001 5002 5003 5008 5009 5011 5012 5013 5014 5016 5017 5019 5027 5028 5029 5030 5036 5039 5040 5043 5044 5046 5047 5055 5058 5069 5070 5071 5072 5074
LAURENTIAN BANK OF CANADA/CDS** RBC DOMINION SECURITIES INC./CDS** SOCIETE GENERALE CAPITAL CANADA INC./CDS** NBCN INC./CDS** QTRADE SECURITIES INC./CDS** SCOTIA CAPITAL INC./CDS** EDWARD JONES/CDS** CALDWELL SECURITIES LTD./CDS** PETERS & CO. LIMITED/CDS** GMP SECURITIES L.P./CDS** UBS SECURITIES CANADA INC./CDS** CREDIT SUISSE SECURITIES CANADA INC./CDS** PICTET CANADA L.P./CDS** DESJARDINS SECURITIES INC./CDS** MACKIE RESEARCH CAPITAL CORPORATION/CDS** CIBC WORLD MARKETS INC./CDS** TD WATERHOUSE CANADA INC./CDS** SCOTIA CAPITAL INC. - HOLLIS WEALTH/CDS** FIDELITY CLEARING CANADA ULC/CDS** BMO NESBITT BURNS INC./CDS** ROYAL BANK OF CANADA-ROYAL TRUST 1/CDS** CANACCORD GENUITY CORP./CDS** MANULIFE SECURITIES INCORPORATED/CDS** CORMARK SECURITIES INC./CDS** HAYWOOD SECURITIES INC./CDS** GLOBAL SECURITIES CORPORATION/CDS** JONES GABLE & COMPANY LIMITED/CDS** LEEDE FINANCIAL MARKETS INC./CDS** MAPLE SECURITIES CANADA LIMITED/CDS** ODLUM BROWN LIMITED/CDS**
DTC Participant Report (Numerical Sort) Month Ending - October 31, 2015 NUMBER 5075 5076 5078 5079 5083 5084 5085 5099
PARTICIPANT ACCOUNT NAME PI FINANCIAL CORP./CDS** RAYMOND JAMES LTD./CDS** W.D. LATIMER CO LTD./CDS** WOLVERTON SECURITIES LTD./CDS** CREDENTIAL SECURITIES INC./CDS** QUESTRADE INC./CDS** BBS SECURITIES INC./CDS** CDS CLEARING AND DEPOSITORY SERVICES INC.**
5100 SERIES 5101 5104 5127 5143 5144 5153 5157 5158 5162 5163 5166 5170 5175 5176 5179 5180 5196
BARCLAYS CAPITAL INC. ING FINANCIAL MARKETS LLC/INTERNATIONAL MORGAN STANLEY & CO. LLC/II MERRILL LYNCH, PIERCE FENNER & SMITH INC. - SECURITIES LENDING DAVID LERNER ASSOCIATES, INC. BNP PARIBAS NY BRANCH LONDON BONDS NATIONAL FINANCIAL SERVICES LLC/STOCK LOAN CREWS & ASSOCIATES, INC. DEUTSCHE BANK SECURITIES INC.-INTERNATIONAL STOCK LOAN PERSHING LLC/SL WEDBUSH SECURITIES INC./STOCK LOAN UBS FINANCIAL SERVICES INC./GOVERNMENT SECURITIES ACCOUNT #2 TEMPER OF THE TIMES INVESTOR SERVICES, INC. MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. - FOREIGN SECURITY LENDING RAYMOND JAMES & ASSOCIATES, INC./RAYMOND JAMES TRUST COMPANY NSI STOCK LENDING PERSHING LLC/SL INT'L
5200 SERIES 5207 5208 5215 5217 5221 5222 5224 5225 5234 5237 5239 5251 5253 5257 5263 5268 5271 5284 5288 5298
E*TRADE CLEARING LLC - SECURITIES LENDING GOLDMAN SACHS INTERNATIONAL CITIGROUP GLOBAL MARKETS INC./SALOMON BROTHERS/A.M.M. FMSBONDS, INC. BMO CAPITAL MARKETS CORP./PALOMA NOMURA SECURITIES/FIXED INCOME MORGAN STANLEY & CO. LLC/III DEUTSCHE BANK SECURITIES INC.-FIXED INCOME STOCK LOAN EMMET & CO.,INC. FIRST CLEARING, LLC/SECURITIES LENDING MATCH BOOK MAPLE SECURITIES U.S.A. INC. - DOMESTIC THE ROYAL BANK OF SCOTLAND PLC, CT BRANCH CANTOR FITZGERALD/STOCK LOAN BMOCM/BONDS RBS SECURITIES INC. / EQUITY FINANCE ING FINANCIAL MARKETS LLC/INTERNATIONAL EQUITY FINANCE BGC FINANCIAL L.P./BGC BROKERS L.P. UBS SECURITIES LLC/SECURITIES LENDING SECURITIES LENDING SPO ACCOUNT/BBH TD AMERITRADE CLEARING, INC./SECURITIES LENDING
5300 SERIES 5300 5385
NYSE ARCA, INC. BRANCH BANKING AND TRUST COMPANY
5600 SERIES 5600 5610
JAPAN SECURITIES DEPOSITORY CENTER, INC. CAJA DE VALORES S.A.
5700 SERIES 5700
THE CENTRAL DEPOSITORY (PTE) LIMITED
5900 SERIES 5954 5962 5981
MG TRUST COMPANY RELIANCE TRUST COMPANY TRUST COMPANY OF AMERICA
6900 SERIES 6963
HUTCHINSON, SHOCKEY, ERLEY & CO.
7000 SERIES 7001 7031
BLOOMBERG TRADEBOOK LLC JAMES I. BLACK & COMPANY
7200 SERIES 7260 7268 7273 7276 7299
AMERICAN ENTERPRISE INVESTMENT SERVICES INC./CONDUIT STATE STREET BANK & TRUST COMPANY/LENDING PASS-THROUGH ING FINANCIAL MARKETS LLC/INTERNATIONAL EQUITY FINANCE MATCH BOOK ACCOUNT INSTINET, LLC/STOCK LOAN BARCLAYS CAPITAL INC./LONG ISLAND HOLDING A LLC
7300 SERIES 7305 7309 7311
MERRILL LYNCH PIERCE FENNER & SMITH INC.-MLIM GLOBAL SECURITIES FINANCING INTERNATIONAL MORGAN STANLEY & CO. LLC/INTERNATIONAL PLC CANTOR FITZGERALD & CO./DEBT CAPITAL MARKETS
DTC Participant Report (Numerical Sort) Month Ending - October 31, 2015 NUMBER 7320 7322 7357 7359 7360 7372 7376 7382
PARTICIPANT ACCOUNT NAME JANNEY MONTGOMERY SCOTT LLC/STOCK LOAN CHARLES SCHWAB & CO., INC. STOCK LOAN CONDUIT ACCOUNT SG AMERICAS SECURITIES LLC/SUB 7357 QUANTEX CLEARING, LLC/STOCK LOAN WELLS FARGO ADVISORS, LLC CREDIT AGRICOLE SECURITIES (USA) INC/F/B/O CREDIT AGRICOLE NY BRANCH COMMERZ MARKETS LLC/INTERNATIONAL EQUITY FINANCE BNP PARIBAS NY BRANCH/PARIS BONDS
7400 SERIES 7408 7441 7451
RBC CAPITAL MARKETS, LLC/RBCCM JEFFERIES LLC/AS AGENT FOR JEFFERIES INTERNATIONAL LONDON SOUTH STREET SECURITIES LLC
7500 SERIES 7507 7539 7540 7560 7561 7565 7568 7571 7576 7578 7579 7581 7583 7587 7590 7591 7593 7595 7598
NOMURA SECURITIES INTERNATIONAL, INC./AFFILIATE CLEARING ITG INC/SECURITIES LENDING DIVISION CREDIT AGRICOLE SECURITIES (USA) INC/STOCK LOAN CONDUIT MERRILL LYNCH, PIERCE, FENNER & SMITH/STOCK LOAN HEDGE ACCOUNT DAIWA CAPITAL MARKETS AMERICA INC./DASAC JEFFERIES LLC/SECURITIES FINANCE RAYMOND JAMES & ASSOCIATES, INC / RAYMOND JAMES BANK ABN AMRO SECURITIES (USA) LLC/A/C#2 COR CLEARING LLC/STOCK LOAN ALBERT FRIED & COMPANY LLC/STOCK LOAN MACQUARIE CAPITAL (USA) INC/MATCHED BOOK ITAU UNIBANCO S.A. NEW YORK BRANCH INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC/ SECURITIES LENDING CHARLES SCHWAB & CO., INC./SCHWAB GLOBAL INVESTING ACCOUNT ABN AMRO SECURITIES (USA) LLC/REPO ABN AMRO SECURITIES (USA) LLC/ABN AMRO BANK NV REPO TD SECURITIES (USA) LLC ING FINANCIAL MARKETS LLC/GLOBAL SECURITIES FINANCE NON-PURPOSE JUMP TRADING, LLC
8000 SERIES 8006 8028 8043 8052 8072 8077 8082
SOLOWEY & CO. BNYMELLON/WF & CO WELLS FARGO & COMPANY PI BNYMELLON/WFB.NA WELLS FARGO BANK NA PI PORTFOLIO BROKERAGE SERVICES, INC. ALPINE SECURITIES CORPORATION BNYMELLON/WF & CO WELLS FARGO & COMPANY ZIV INVESTMENT CO.
8100 SERIES 8101 8107 8108 8112 8113 8115 8116 8117 8118 8119 8120 8122 8123 8131 8132 8133 8134 8135 8139 8140 8147 8150 8153 8157 8158 8159 8164 8180 8183 8185 8186 8187 8197 8199
NORTHERN TRUST COMPANY/OCH-ZIFF CAPITAL MANAGEMENT BNYMELLON/AL CONDUIT BNYMELLON/BNYMIB RE BNYMLUXSA RE FIRM JPMORGAN CHASE BANK/OHIO POLICE AND FIRE PENSION FUND ITAU BBA USA SECURITIES, INC. THE BANK OF NEW YORK MELLON/EARN SECURITIES LLC THE BANK OF NEW YORK MELLON/EARN CMO LLC THE BANK OF NEW YORK MELLON/EARN MORTGAGE LLC SCOTIA CAPITAL (USA) INC./STOCK LOAN SCOTIA CAPITAL (USA) INC./INTERNATIONAL STOCK LOAN JPMORGAN CHASE BANK/WINTERFLOOD SECURITIES LIMITED THE BANK OF NEW YORK MELLON/SOUTH STREET SECS, LLC THE BANK OF NEW YORK MELLON/NOMURA FIN. PRODUCTS & SERVICES INC. PERSHING LLC/CORRESPONDENT SECURITIES LENDING BNYMELLON/BNYMIB FIRM HOLDING CO. BNYMELLON/DEDICATED PARTICIPANT #31 BNYMELLON/BNYMIB RE BNYMSANVLB RE FIRM BNYMELLON/NOMURA NCSN re AKJ BNYMELLON/DEDICATED PROCESSING #6 BNYMELLON/TRUST CO OF LA STATE STREET BANK & TRUST COMPANY/EC, GMBH MID ATLANTIC TRUST COMPANY COSSE' INTERNATIONAL SECURITIES, INC. JPMORGAN CHASE BANK, NATIONAL ASSOCIATION/RBS INVESTMENTS USA JPMORGAN CHASE BANK, NATIONAL ASSOCIATION/RBS FINANCIAL PRODUCTS JPMORGAN CHASE BANK, NATIONAL ASSOCIATION/RBS PLC CITIBANK N.A./PROPRIETARY ASSETS BNP PARIBAS NEW YORK BRANCH/BNP PARIBAS UK LIMITED BNP PARIBAS NEW YORK BRANCH/USAL CONVERGEX EXECUTION SOLUTIONS LLC/STOCK LOAN CONDUIT JPMORGAN CHASE BANK, NATIONAL ASSOCIATION/RBS SECURITIES JAPAN LIMITED JPMORGAN CHASE BANK, NATIONAL ASSOCIATION/PUBLIC EMPLOYESS RETIREMENT SYSTEM OF OHIO (OPERS) GOLDMAN SACHS BANK USA/#2 WEDBUSH SECURITIES INC./P3
8200 SERIES 8237 8238 8244
WEDBUSH SECURITIES INC./PC STOCK LOAN BNP PARIBAS PRIME BROKERAGE INC./ARBITRAGE SLAB FIRST TRUST PORTFOLIOS, L.P.
DTC Participant Report (Numerical Sort) Month Ending - October 31, 2015 NUMBER 8275
PARTICIPANT ACCOUNT NAME BNYMELLON/WEALTH MANAGEMENT
8300 SERIES 8302 8307 8308 8310 8311 8312 8313 8314 8316 8317 8318 8320 8321 8333 8353 8355 8396
JPMC/THE HONG KONG SHANGHAI BANKING CORP. LTD KGS-ALPHA CAPITAL MARKETS, L.P. APEX CLEARING CORPORATION/APEX CLEARING STOCK LOAN BNYMELLON/BNYMIB RE BNYMLB RE FIRM SF BNYMELLON/BNYMIB RE BNYMLB RE FIRM BNYMELLON/BNY MELLON DUBLIN SA/NV BNYMELLON/CACEIS BANK BNYMELLON/CBD RE BEADER AG BNYMELLON/CFD RE EQUINET AG BNYMELLON/CBD RE STEUBING AG BNYMELLON/DEDICATED PARTICIPANT #17 BNYMELLON/CACEIS BANK LUXEMBOURG BNYMELLON/GFI SECURITIES LTD JPMC/JPMORGAN CHASE BANK NA NATIONAL BANK OF CANADA FINANCIAL INC. BNYM/UIT NSCC CNS CLEARANCE HSBC BANK USA, NA/CLEARING
8400 SERIES 8402 8404 8412 8414 8417 8420 8421 8423 8430 8434 8438 8447 8449 8456 8459 8462 8471 8472 8474 8475 8476 8478 8479 8481 8482 8483
HSBC BANK USA, NA/HTM HSBC BANK USA, NA/AFS BNYMELLON/EF CORPORATE HOLDINGS LLC BNYMELLON/FIRM BRUSSELS BRANCH BNYMELLON/FIRM FRANKFURT BRANCH BNYMELLON/NA-BANK CUSTODY BNYMELLON/BNYM FIRM NYIB SECURED FINANCE BNYMELLON/DEDICATED PARTICIPANT #27 CITADEL SECURITIES LLC RELIANCE TRUST COMPANY/ FIS TRUSTDESK JPMC/THE ROYAL BANK OF SCOTLAND PLC, CT BRANCH JPMCB/DNT ASSET TRUST JPMCB/J.P. MORGAN SECURITIES CANADA INC. ICAP CORPORATES LLC/CAPITAL MARKETS SG AMERICAS SECURITIES LLC/PARIS CLEARING BNP PARIBAS, NEW YORK BRANCH/MERLION/CLIENT ASSETS BNYMELLON/DEDICATED PARTICIPANT #32 BNYMELLON/DEDICATED PARTICIPANT #33 BNYMELLON/DEDICATED PARTICIPANT #34 BNYMELLON/DEDICATED PARTICIPANT #35 BNYMELLON/DEDICATED PARTICIPANT #36 BNYMELLON/DEDICATED PARTICIPANT #37 BNYMELLON/DEDICATED PARTICIPANT #38 BNYMELLON/DEDICATED PARTICIPANT #39 BNYMELLON/DEDICATED PARTICIPANT #40 BNYMELLON/DEDICATED PARTICIPANT #41