THIS PROPOSAL ADDENDUM DOES NOT HAVE TO BE RETURNED WITH PROPOSAL RESPONSE.
Bid Number: RFP 07-2021003 Commodity: 781415
Addendum Number: 1 Addendum Date: 04/08/21
Using Agency: Department of State Treasurer, Unclaimed Property Division
Contract Specialist: Jessica Herrmann Opening Date/Time: REMAINS April 27, 2021 2:00PM ET
INSTRUCTIONS:
a) State’s response to questions received below:
Number Citation Vendor Question The State’s Response
1 5.0 Scope of The requirement does not appear to The Vendor will be responsible for Work differentiate between various types of determining the most efficient manner and 5.2 Duties and transfers. What, if any, are the means available to transfer shares, regardless Responsibilities differences in requirements, especially of the type of shares, to owners/claimants. If of the as they pertain to Mutual Fund Vendor Transfers? needed, the Vendor reaches out to the 3) Transfer owner/claimant to obtain account Securities information and facilitates the transfer of Property pg.20 shares. If authorization is required from the State or owner/claimant, the Vendor facilitates and follows up as needed until the transfer is complete.
2 1.0 Purpose and a) How many of the positions currently a) As of 2/28/2021: 1,321 positions, Background pg. 5 held are estimated to be low-value or comprised of 299,419,755.405 shares, have potentially worthless positions, and how an estimated value of less than $0.01 per many shares comprise those positions? share. b) How many positions and shares have b) As of 2/28/2021: 1,877 positions, a per share value of $1.00 or less and comprised of 303,204,785.647 shares, have how many are valued less than the current commission price per share? an estimated value at $1.00 or less per share. The 1,321 positions referenced above are included in the 1,877 positions referenced here.
1
3 1.0 Purpose and Of the 176 claims listed as processed, The breakout of 176 claims listed as Background pg. 5 what is the breakout of Securities, processed: Mutual Funds, Dividend Reinvestment DTC: 32 Positions Plans (DRP), Direct Registration Shares 94985D483 Wells Fargo Utility & (DRS), Foreign Securities, Other, and can examples be provided? Telecommunications FD-A DRS: 117 Positions 156700106 Centurylink Inc. MF Direct Transfer: 1 Position 61756E685 Morgan Stanley Institutional Fund Inc. MF/DTC: 26 Positions 00444P108 Acer Therapeutics Inc. 4 1.0 Purpose and Of the 4,783 Positions held and 4,560 The 4,783 positions held as of January 31, Background pg. 5 Positions held, what is the breakout of 2020 were comprised of the following: Securities, Mutual Funds, Dividend Reinvestment Plans (DRP), Direct Common Stock: 3,539 Positions Registration Shares (DRS), Foreign Securities, Other, and can examples be 00089Y109 A CLASSIFIED AD INC 00206R102 AT & T INC provided? 10922N103 BRIGHTHOUSE FINL INC
Corporate Bond/UIT: 12 Positions Currency: 1 Position Municipal Bond/UIT: 5 Positions Closed End Mutual Fund: 83 Positions 46131H107 INVESCO SR INCOME TRUST 529900102 LIBERTY ALL-STAR GROWTH Open End Mutual Funds: 1,074 Positions 524686623 LEGG MASN CLRBRDGE VAL A 4812C0373 JPMORGAN CORE BD FD C 44134R768 HOTCHKIS WILEY DIV VAL I Preferred Stock: 17 Positions Real Estate/Oil & Gas: 9 Positions Rights and Bearer Warrants: 10 Positions US T-Bill/Gov Bond: 9 Positions Warrants (except Bearer): 21 Positions Unidentified: 3 Positions
The 4,560 positions held as June 30, 2020 were comprised of the following:
Common Stock: 3,399 Positions 98156Q108 WORLD WRESTLING ENTMNT
2
89355W103 TRANSATLANTIC CAPITAL 4106L109 WASTE MGMT INC DEL Municipal Bond/UIT: 5 Positions Currency: 1 Position Corporate Bond/UIT: 12 Positions
Closed End Mutual Fund: 75 Positions 155123102 CENTL SECURITIES CORP 362397101 GABELLI EQUITY TRUST Open End Mutual Funds: 999 Positions 880196100 TEMPLETON WORLD FD CL A 74440K504 PGIM JENNISON FOCUSED A 140543406 CAP WRLD GRWTH&INC FD F1 Preferred Stock: 16 Positions Real Estate/Oil & Gas: 10 Positions Rights and Bearer Warrants: 8 Positions US T-Bill/Gov Bond: 9 Positions Warrants (except Bearer): 22 Positions Unidentified: 4 Positions
5 1.0 Purpose and Of the 1,042 State Generated Sales and The breakout of 1,042 State Generated Sales: Background pg. 5 366 Claimant Generated Sales, what is Common Stock: 731 Positions the breakout of Securities, Mutual 020002101 Allstate Corp. Funds, Dividend Reinvestment Plans Preferred Stock: 1 Position (DRP), Direct Registration Shares (DRS), Open End Mutual Fund: 275 Positions Foreign Securities, Other, and can 00141B725 Invesco Oppnhmr Main St. A examples be provided? Closed End Mutual Fund: 30 Positions 64128C106 Neuberger Berman High Warrants (Except Bearer): 5 Positions 026874156 American Intl. Group Wts. The breakout of 366 Claimant Generated Sales: Common Stock: 319 Positions 020002101 Allstate Corp. Open End Mutual Fund: 44 Positions 00141B725 Invesco Oppnhmr Main St. A Closed End Mutual Fund: 1 Position 64128C106 Neuberger Berman High Warrants (Except Bearer): 1 Position 026874156 American Intl. Group Wts. Corporate Bond/UIT: 1 Position 166764AG5 Chevron 2.427% 062420
3
6 What are the details of positions Attached is a listing of securities received 1.0 Purpose and received from holders, broken out by from holders for period of July 1, 2019 to Background pg. 5 Securities, Mutual Funds, Dividend June 30, 2000, broken out by security type. Reinvestment Plans (DRP), Direct (ATTACHMENT A.) Registration Shares (DRS), Foreign Securities, Other, and can examples be provided? 7 Attachment A does not appear to As stated in Section 4.2 “Proposal price shall Attachment A: identify pricing for additional accounting constitute the per transactional cost for Pricing pg. 27 services as required by the RFP. May the Claimant Generated and State Generated vendor include additional information shares sold in accordance with the as needed and if so, is there a preferred requirements and specifications herein, including, all applicable charges, handling, response format? administrative, and other similar fees.” and 4.3 a) “The Vendor shall be paid for its services through commissions earned from both Claimant Generated and State Generated sale transactions.”
Vendor should consider all requirements of this RFP, including accounting services, when providing pricing in Attachment A, Tables 1, 2, and 3.
8 4.1 Vendor Are respondents allowed to transfer the Yes, as long as the requirements mirror those Qualifications / states requirements to their own of the posted RFP, the requirements may be General p. 12 proposal document for a more transferred to its own document. See streamlined response, or are response to question 9) below for additional respondents required to enter responses directly on the solicitation information. document? 9 2.6 Proposal Given that each page of the Vendor should return all pages of the RFP with Submittal, p. 7 solicitation/RFP has “Vendor: _____” on its response since it represents the Contract. the top right-hand corner, are Vendor response MUST be submitted as respondents’ requirements to submit instructed in Section 2.9 PROPOSAL CONTENT. the entire solicitation document as part of our response? If yes, how/where The entire RFP should be submitted with the does the State require respondents to Execution Page of its response. place the solicitation within their response?
******************************************************************************** 4 b) Check ONE of the following options:
Proposal has not been sent. Any changes resulting from this addendum are included in our bid.
Proposal has already been sent. No changes resulted from this addendum.
Proposal has already been sent. Changes resulting from this addendum are as follows:
Execute Addendum:
Vendor:
Authorized Signature:
Name and Title:
Date:
5 ATTACHMENT A.
Settle Date Quantity Name Symbol CUSIP Security Type 7/5/2019 51 BANK OF AMERICA CORP BAC 060505-10-4 Common Stock 7/5/2019 2 BARNES & NOBLE INC BKS 067774-10-9 Common Stock 7/5/2019 5 COSTCO WHSL CORP NEW COST 22160K-10-5 Common Stock 7/5/2019 2 DANAHER CORP DHR 235851-10-2 Common Stock 7/5/2019 1 DOLLAR TREE STORES INC DLTR 256746-10-8 Common Stock 7/5/2019 2 FOOT LOCKER INC FL 344849-10-4 Common Stock 7/5/2019 200 HANCOCK JOHN INVSTRS TR JHI 410142-10-3 Mutual Fund (Closed) 7/5/2019 6 HARTFORD FINL SVCS GROUP HIG 416515-10-4 Common Stock 7/5/2019 50 PENNEY J C CO INC JCP 708160-10-6 Common Stock 7/9/2019 674.447 BOND FUND OF AMERICA A ABNDX 097873-10-3 Mutual Fund (Open) 7/9/2019 68.632 AMER FDS GRWTH FD AMR A AGTHX 399874-10-6 Mutual Fund (Open) 7/9/2019 82.993 NEW ECONOMY FD SBI CL A ANEFX 643822-10-9 Mutual Fund (Open) 7/10/2019 53.601 PUTNAM MULTI-CAP CORE A PMYAX 74676P-88-8 Mutual Fund (Open) 7/10/2019 4925.615 TOUCHSTONE ULTRA SHORT S SSSGX 89155T-58-1 Mutual Fund (Open) 7/15/2019 2 VERICEL CORP VCEL 92346J-10-8 Common Stock 7/15/2019 43.759 COLUMBIA LRG CAP INSTL GEGTX 19765P-66-1 Mutual Fund (Open) 7/15/2019 282.901 WF DIV CP BUILDER CL A EKBAX 94985D-38-4 Mutual Fund (Open) 7/18/2019 42.872 INVESCO GLOBAL GRWTH A¬* AGGAX 008882-30-0 Mutual Fund (Open) 7/18/2019 413.843 INVESCO CHARTER FD CL A CHTRX 001413-10-3 Mutual Fund (Open) 7/18/2019 8.235 INVESCO AMER FRANCHISE A VAFAX 00142J-57-8 Mutual Fund (Open) 7/29/2019 1 CALADRIUS BIOSCIENCES CLBS 128058-20-3 Common Stock 7/29/2019 3 OPTIMUMBANK HOLDINGS INC OPHC 68401P-40-3 Common Stock 8/6/2019 59 AMERICAN AIRLINES GROUP AAL 02376R-10-2 Common Stock 8/13/2019 1.164 BOND FUND OF AMERICA A ABNDX 097873-10-3 Mutual Fund (Open) 8/19/2019 186.132 FIDELITY ADV GRW OPPOR M FAGOX 315807-20-6 Mutual Fund (Open) 8/20/2019 6.176 TOUCHSTONE ULTRA SHORT S SSSGX 89155T-58-1 Mutual Fund (Open) 8/23/2019 1768.488 LORD ABBETT AFFILIATED A LAFFX 544001-10-0 Mutual Fund (Open) 8/23/2019 0.118 LORD ABBETT BD-DEB A LBNDX 544004-10-4 Mutual Fund (Open) 8/23/2019 0.199 LRD ABBTT M-A BAL OPPS A LABFX 543916-20-9 Mutual Fund (Open) 8/23/2019 0.234 LORD ABBETT CAL DIV CL A LAMAX 543913-85-9 Mutual Fund (Open) 8/23/2019 0.072 LORD ABBETT TOTAL RTN -A LTRAX 543916-84-5 Mutual Fund (Open) 8/23/2019 0.065 LORD ABBETT INTL EQTY A LICAX 543915-64-9 Mutual Fund (Open) 8/23/2019 0.193 L/A SHRT DRTN INCM CL A LALDX 543916-10-0 Mutual Fund (Open) 9/5/2019 335 FLUOR CORP NEW FLR 343412-10-2 Common Stock 9/5/2019 1 IDEX CORP IEX 45167R-10-4 Common Stock 9/5/2019 1 JM SMUCKER CO SJM 832696-40-5 Common Stock 9/5/2019 1490 KB HOME KBH 48666K-10-9 Common Stock 9/5/2019 30 KIMBERLY-CLARK CORP KMB 494368-10-3 Common Stock 9/5/2019 2 PPG INDS INC PPG 693506-10-7 Common Stock 9/20/2019 11 AT & T INC T 00206R-10-2 Common Stock 9/20/2019 4 AT & T INC T 00206R-10-2 Common Stock 9/20/2019 4 AT & T INC T 00206R-10-2 Common Stock 9/20/2019 4 AT & T INC T 00206R-10-2 Common Stock 9/20/2019 3 AT & T INC T 00206R-10-2 Common Stock 9/20/2019 1 AMERICAN AIRLINES GROUP AAL 02376R-10-2 Common Stock 9/20/2019 1 AMERICAN INTL GROUP INC AIG 026874-78-4 Common Stock 9/20/2019 2 APPLE INC AAPL 037833-10-0 Common Stock 9/20/2019 1 APPLE INC AAPL 037833-10-0 Common Stock 9/20/2019 76 CISCO SYS INC CSCO 17275R-10-2 Common Stock 9/20/2019 15 COCA COLA COMPANY KO 191216-10-0 Common Stock 9/20/2019 45 CORTEVA INC CTVA 22052L-10-4 Common Stock 9/20/2019 45 CORTEVA INC CTVA 22052L-10-4 Common Stock 9/20/2019 6 DISNEY WALT COMPANY DIS 254687-10-6 Common Stock 9/20/2019 5 DISNEY WALT COMPANY DIS 254687-10-6 Common Stock 9/20/2019 45 DOW INC DOW 260557-10-3 Common Stock 9/20/2019 45 DOW INC DOW 260557-10-3 Common Stock 9/20/2019 45 DUPONT DE NEMOURS DD 26614N-10-2 Common Stock 9/20/2019 45 DUPONT DE NEMOURS DD 26614N-10-2 Common Stock 9/20/2019 69 DUKE ENERGY CORP DUK 26441C-20-4 Common Stock 9/20/2019 1 DUKE ENERGY CORP DUK 26441C-20-4 Common Stock 9/20/2019 21 EATON VANCE FLTNG RT INC EFT 278279-10-4 Mutual Fund (Closed) 9/20/2019 56 ENBRIDGE INC ENB 29250N-10-5 Common Stock 9/20/2019 4 FIRST HORIZON NATIONAL FHN 320517-10-5 Common Stock 9/20/2019 5 FORD MOTOR COMPANY F 345370-86-0 Common Stock 9/20/2019 59 GSV INC GSVI 36230D-20-6 Common Stock 9/20/2019 69 GENERAL ELECTRIC COMPANY GE 369604-10-3 Common Stock 9/20/2019 1 GENERAL ELECTRIC COMPANY GE 369604-10-3 Common Stock 9/20/2019 16.258 AMER FDS GRWTH FD AMR A AGTHX 399874-10-6 Mutual Fund (Open) 9/20/2019 30 HALLIBURTON COMPANY HAL 406216-10-1 Common Stock 9/20/2019 2 HOME DEPOT INC HD 437076-10-2 Common Stock 9/20/2019 36 INTEL CORP INTC 458140-10-0 Common Stock 9/20/2019 1 INTL BUSINESS MACH CORP IBM 459200-10-1 Common Stock 9/20/2019 46 JOHNSON & JOHNSON JNJ 478160-10-4 Common Stock 9/20/2019 9 KKR & CO INC KKR 48251W-10-4 Common Stock 9/20/2019 192 LOWES COMPANIES INC LOW 548661-10-7 Common Stock 9/20/2019 192 LOWES COMPANIES INC LOW 548661-10-7 Common Stock 9/20/2019 192 LOWES COMPANIES INC LOW 548661-10-7 Common Stock 9/20/2019 5 MERCK & CO INC NEW MRK 58933Y-10-5 Common Stock 9/20/2019 14 MICROSOFT CORP MSFT 594918-10-4 Common Stock 9/20/2019 22 NOKIA CORP SPONSORED ADR NOK 654902-20-4 Common Stock 9/20/2019 22 NOKIA CORP SPONSORED ADR NOK 654902-20-4 Common Stock 9/20/2019 6 ORACLE CORP ORCL 68389X-10-5 Common Stock 9/20/2019 18 PEPSICO INCORPORATED PEP 713448-10-8 Common Stock 9/20/2019 10 PEPSICO INCORPORATED PEP 713448-10-8 Common Stock 9/20/2019 23 PFIZER INCORPORATED PFE 717081-10-3 Common Stock 9/20/2019 7 PFIZER INCORPORATED PFE 717081-10-3 Common Stock 9/20/2019 2 PFIZER INCORPORATED PFE 717081-10-3 Common Stock 9/20/2019 20 PINNACLE BANKSHARES CORP PPBN 72345E-10-2 Common Stock 9/20/2019 13 QORVO INC QRVO 74736K-10-1 Common Stock 9/20/2019 4 QUALCOMM INC QCOM 747525-10-3 Common Stock 9/20/2019 1 REVLON INC CL A NEW REV 761525-60-9 Common Stock 9/20/2019 268 ROYAL BANK CANADA RY 780087-10-2 Common Stock 9/20/2019 73 ROYAL BANK CANADA RY 780087-10-2 Common Stock 9/20/2019 70 ROYAL BANK CANADA RY 780087-10-2 Common Stock 9/20/2019 112 SIRIUS XM HOLDINGS INC SIRI 82968B-10-3 Common Stock 9/20/2019 27 SONOCO PRODUCTS CO SON 835495-10-2 Common Stock 9/20/2019 12 SOUTH ST CORP SSB 840441-10-9 Common Stock 9/20/2019 6 STARBUCKS CORP SBUX 855244-10-9 Common Stock 9/20/2019 13 TARGET CORP TGT 87612E-10-6 Common Stock 9/20/2019 12 TEVA PHARMACEUTICAL ADR TEVA 881624-20-9 Common Stock 9/20/2019 12 PROSHARES TR ETF SKF 74347B-74-8 Common Stock 9/20/2019 6 VERIZON COMMUNICATIONS VZ 92343V-10-4 Common Stock 9/20/2019 17 VODAFONE GROUP PLC NEW VOD 92857W-30-8 Common Stock 9/20/2019 56 WALMART INC WMT 931142-10-3 Common Stock 9/20/2019 9 WALMART INC WMT 931142-10-3 Common Stock 9/20/2019 5 WELLS FARGO & CO NEW WFC 949746-10-1 Common Stock 9/24/2019 671 AMERICAN INTL GROUP INC AIG 026874-78-4 Common Stock 9/24/2019 8 AMERICAN INTL GROUP INC AIG 026874-78-4 Common Stock 9/24/2019 6 ASTRONICS CORP ATRO 046433-10-8 Common Stock 9/24/2019 184 AUTOMATIC DATA PROCESSIN ADP 053015-10-3 Common Stock 9/24/2019 44 BERKSHIRE HATHAWAY INC B BRK'B 084670-70-2 Common Stock 9/24/2019 496 FISERV INC FISV 337738-10-8 Common Stock 9/24/2019 86 HAWKINS INC HWKN 420261-10-9 Common Stock 9/24/2019 8 HAWKINS INC HWKN 420261-10-9 Common Stock 9/24/2019 1 MERCK & CO INC NEW MRK 58933Y-10-5 Common Stock 9/24/2019 6 ONEOK INC NEW OKE 682680-10-3 Common Stock 9/24/2019 48 TORO COMPANY TTC 891092-10-8 Common Stock 9/24/2019 1 VIACOM INC-CL A VIA 92553P-10-2 Common Stock 9/24/2019 2 WILLIAMS SONOMA INC WSM 969904-10-1 Common Stock 9/25/2019 1 ADIENT PLC ADNT G0084W-10-1 Common Stock 9/25/2019 161 BP PLC SPONS ADR BP 055622-10-4 Common Stock 9/25/2019 1052 BK TECHNOLOGIES CORP BKTI 05587G-10-4 Common Stock 9/25/2019 89 CISCO SYS INC CSCO 17275R-10-2 Common Stock 9/25/2019 65 DUKE ENERGY CORP DUK 26441C-20-4 Common Stock 9/25/2019 92 ENBRIDGE INC ENB 29250N-10-5 Common Stock 9/25/2019 61 EXXON MOBIL CORP XOM 30231G-10-2 Common Stock 9/25/2019 34 FIRSTENERGY CORP FE 337932-10-7 Common Stock 9/25/2019 580 GENERAL ELECTRIC COMPANY GE 369604-10-3 Common Stock 9/25/2019 17 GENERAL ELECTRIC COMPANY GE 369604-10-3 Common Stock 9/25/2019 11 GENERAL ELECTRIC COMPANY GE 369604-10-3 Common Stock 9/25/2019 60 ISHARES MSCI EAFE ETF EFA 464287-46-5 Common Stock 9/25/2019 13 JOHNSON CTLS INTL PLC JCI G51502-10-5 Common Stock 9/25/2019 285 LEXICON PHARMACEUTICALS LXRX 528872-30-2 Common Stock 9/25/2019 1 MALLINCKRODT PLC MNK G5785G-10-7 Common Stock 9/25/2019 13 MEDTRONIC PLC MDT G5960L-10-3 Common Stock 9/25/2019 135 MICROSOFT CORP MSFT 594918-10-4 Common Stock 9/25/2019 3 NVENT ELECTRIC PLC NVT G6700G-10-7 Common Stock 9/25/2019 3 PENTAIR PLC PNR G7S00T-10-4 Common Stock 9/25/2019 14 TE CONNECTIVITY LTD TEL H84989-10-4 Common Stock 9/25/2019 3 WABTEC WAB 929740-10-8 Common Stock 9/25/2019 2 WHIRLPOOL CORP WHR 963320-10-6 Common Stock 9/25/2019 68 YUM CHINA HOLDINGS YUMC 98850P-10-9 Common Stock 9/25/2019 71 YUM BRANDS INC YUM 988498-10-1 Common Stock 9/26/2019 38.416 INVESCO ENERGY FUND CL A IENAX 00142F-20-4 Mutual Fund (Open) 9/26/2019 362.77 INVESCO CNSRV ALLC A CAAMX 00141M-31-7 Mutual Fund (Open) 9/26/2019 7.03 INVESCO EQTY & INCOME A ACEIX 00142J-47-9 Mutual Fund (Open) 9/26/2019 50.768 AB EQUITY INCOME FD CL C AUICX 018791-30-1 Mutual Fund (Open) 9/26/2019 416.433 AMER BALANCED FD CL A ABALX 024071-10-2 Mutual Fund (Open) 9/26/2019 8.412 AM CENT ALL CAP CL INV TWGTX 025083-75-9 Mutual Fund (Open) 9/26/2019 11.088 AMER MUTUAL FD INC CL A AMRMX 027681-10-5 Mutual Fund (Open) 9/26/2019 220.659 BLACKROCK BAL CAP FD I MACPX 09251C-50-6 Mutual Fund (Open) 9/26/2019 180.033 BLACKROCK GLBL ALLOC A MDLOX 09251T-10-3 Mutual Fund (Open) 9/26/2019 64.829 CAPITAL INCOME BLDR CL A CAIBX 140193-10-3 Mutual Fund (Open) 9/26/2019 29.426 CAPITAL INCOME BLDR CL A CAIBX 140193-10-3 Mutual Fund (Open) 9/26/2019 22.495 CAPITAL INCOME BLDR CL A CAIBX 140193-10-3 Mutual Fund (Open) 9/26/2019 16.873 CAPITAL INCOME BLDR CL A CAIBX 140193-10-3 Mutual Fund (Open) 9/26/2019 6.35 CAPITAL INCOME BLDR CL A CAIBX 140193-10-3 Mutual Fund (Open) 9/26/2019 0.484 CAPITAL INCOME BLDR CL C CIBCX 140193-30-1 Mutual Fund (Open) 9/26/2019 166.901 AMER FDS CAP WRLD G/I A CWGIX 140543-10-9 Mutual Fund (Open) 9/26/2019 56.453 AMER FDS CAP WRLD G/I A CWGIX 140543-10-9 Mutual Fund (Open) 9/26/2019 42.261 AMER FDS CAP WRLD G/I A CWGIX 140543-10-9 Mutual Fund (Open) 9/26/2019 9.062 AMER FDS CAP WRLD G/I C CWGCX 140543-30-7 Mutual Fund (Open) 9/26/2019 246.194 COLUMBIA SLCT MID CAP A CMUAX 19765J-86-3 Mutual Fund (Open) 9/26/2019 27.709 AMER FDS EUROPACIFIC A AEPGX 298706-10-2 Mutual Fund (Open) 9/26/2019 182.306 FEDERATED GOVT INCOME F FGOIX 313912-10-7 Mutual Fund (Open) 9/26/2019 35.41 FED INTL LEADERS FD CL A FGFAX 31428U-84-7 Mutual Fund (Open) 9/26/2019 2.687 FED INTL LEADERS FD CL A FGFAX 31428U-84-7 Mutual Fund (Open) 9/26/2019 479.535 FRANKLIN FOUNDING FDS A FFALX 35472P-84-4 Mutual Fund (Open) 9/26/2019 2048.364 FRANKLIN INCOME A1 FKINX 353496-30-0 Mutual Fund (Open) 9/26/2019 1860.351 FRANKLIN INCOME A1 FKINX 353496-30-0 Mutual Fund (Open) 9/26/2019 83.77 FRANKLIN GROWTH FD A FKGRX 353496-50-8 Mutual Fund (Open) 9/26/2019 1780.493 FRANKLIN NC TAX FREE A1 FXNCX 354723-79-3 Mutual Fund (Open) 9/26/2019 195.362 FRANKLIN RISING DIV A FRDPX 353825-10-2 Mutual Fund (Open) 9/26/2019 83.246 FRANKLIN MANAGED INCM A FBLAX 353612-68-2 Mutual Fund (Open) 9/26/2019 383.895 GOLDMAN GRWTH OPPS CL A GGOAX 38142Y-10-4 Mutual Fund (Open) 9/26/2019 61.201 AMER FDS GRWTH FD AMR A AGTHX 399874-10-6 Mutual Fund (Open) 9/26/2019 25.874 AMER FDS GRWTH FD AMR A AGTHX 399874-10-6 Mutual Fund (Open) 9/26/2019 5.002 AMER FDS GRWTH FD AMR A AGTHX 399874-10-6 Mutual Fund (Open) 9/26/2019 27.552 HARTFORD CAP APPREC FD-A ITHAX 416645-40-6 Mutual Fund (Open) 9/26/2019 0.054 HARTFORD CAP APPREC FD-A ITHAX 416645-40-6 Mutual Fund (Open) 9/26/2019 35.266 HARTFORD DIV & GROWTH-A IHGIX 416645-84-4 Mutual Fund (Open) 9/26/2019 362.258 AMER FDS INC FUND AMR A AMECX 453320-10-3 Mutual Fund (Open) 9/26/2019 46.125 AMER FDS INVST CO AMR A AIVSX 461308-10-8 Mutual Fund (Open) 9/26/2019 26.038 AMER FDS INVST CO AMR A AIVSX 461308-10-8 Mutual Fund (Open) 9/26/2019 15.43 AMER FDS INVST CO AMR A AIVSX 461308-10-8 Mutual Fund (Open) 9/26/2019 13.953 AMER FDS INVST CO AMR A AIVSX 461308-10-8 Mutual Fund (Open) 9/26/2019 8.982 AMER FDS INVST CO AMR A AIVSX 461308-10-8 Mutual Fund (Open) 9/26/2019 7.607 AMER FDS INVST CO AMR A AIVSX 461308-10-8 Mutual Fund (Open) 9/26/2019 61.093 INVSC OPPNHMR MAIN ST A MSIGX 00141B-72-5 Mutual Fund (Open) 9/26/2019 202.235 COLUMBIA THERMOSTAT FD A CTFAX 197199-75-5 Mutual Fund (Open) 9/26/2019 6.396 LORD ABBETT BD-DEB C BDLAX 544004-30-2 Mutual Fund (Open) 9/26/2019 6.396 LORD ABBETT BD-DEB C BDLAX 544004-30-2 Mutual Fund (Open) 9/26/2019 38.615 LORD ABBETT AFFILIATED A LAFFX 544001-10-0 Mutual Fund (Open) 9/26/2019 13.403 LORD ABBETT AFFILIATED A LAFFX 544001-10-0 Mutual Fund (Open) 9/26/2019 526.507 LORD ABBETT SM CAP FD A LRSCX 543913-30-5 Mutual Fund (Open) 9/26/2019 36.513 LORD ABBETT SEC ALPHA A ALFAX 543915-76-3 Mutual Fund (Open) 9/26/2019 587.106 LORD ABBETT HIGH YLD A LHYAX 54400N-10-2 Mutual Fund (Open) 9/26/2019 358.355 MFS GLOBAL TOTAL RE CL A MFWTX 552986-10-1 Mutual Fund (Open) 9/26/2019 3.863 MFS AGGRESSIVE GR ALLO A MAAGX 55273G-68-6 Mutual Fund (Open) 9/26/2019 101.045 MFS MOD ALLOCATION A MAMAX 55273G-77-7 Mutual Fund (Open) 9/26/2019 12.183 MFS GROWTH ALLOCATION A MAGWX 55273G-73-6 Mutual Fund (Open) 9/26/2019 105.437 FEDERATED MDT LARG CL A FSTRX 314209-20-6 Mutual Fund (Open) 9/26/2019 119.852 FRANKLIN DISCOVERY FD A TEDIX 628380-85-9 Mutual Fund (Open) 9/26/2019 52.407 FRANKLIN DISCOVERY FD A TEDIX 628380-85-9 Mutual Fund (Open) 9/26/2019 114.858 AMER FDS NEW PERSPECT A ANWPX 648018-10-9 Mutual Fund (Open) 9/26/2019 114.841 AMER FDS NEW PERSPECT A ANWPX 648018-10-9 Mutual Fund (Open) 9/26/2019 59.804 PUTNAM EQTY INCME CL A PEYAX 746745-10-8 Mutual Fund (Open) 9/26/2019 8.924 PUTNAM INVT RESEARCH-A PNRAX 746802-88-3 Mutual Fund (Open) 9/26/2019 74.562 PUTNAM GRWTH OPPRTY FD-A POGAX 746802-80-0 Mutual Fund (Open) 9/26/2019 74.562 PUTNAM GRWTH OPPRTY FD-A POGAX 746802-80-0 Mutual Fund (Open) 9/26/2019 32.449 PUTNAM GRWTH OPPRTY FD-A POGAX 746802-80-0 Mutual Fund (Open) 9/26/2019 89.408 PUTNAM MULTI-CAP CORE A PMYAX 74676P-88-8 Mutual Fund (Open) 9/26/2019 24.287 PUTNAM SUSTAIN LDRS A PNOPX 746916-10-5 Mutual Fund (Open) 9/26/2019 12.827 PUTNAM SUSTAIN LDRS A PNOPX 746916-10-5 Mutual Fund (Open) 9/26/2019 87.873 PUTNAM TAX FR HI YLD A PTHAX 746872-40-7 Mutual Fund (Open) 9/26/2019 6.053 PUTNAM AS/AL DYNMC GRW A PAEAX 746444-10-8 Mutual Fund (Open) 9/26/2019 64.013 TEMPLETON GROWTH FD A TEPLX 880199-10-4 Mutual Fund (Open) 9/26/2019 8926.297 TEMPLETON WORLD FD CL A TEMWX 880196-10-0 Mutual Fund (Open) 9/26/2019 40.963 AMER FDS WASH MUTUAL A AWSHX 939330-10-6 Mutual Fund (Open) 9/26/2019 33.352 AMER FDS WASH MUTUAL A AWSHX 939330-10-6 Mutual Fund (Open) 9/27/2019 453 LYONDELLBASELL IND A LYB 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