1666 K Street NW Washington, DC 20006 Office: (202) 207-9100 www.pcaobus.org
List of Issuers with No Outstanding Past-Due Share of the Issuer Accounting Support Fee
Determination of Payment under PCAOB Rule 7104(b)
As of December 9, 2019
The following is a list of issuers that have been assessed and have no outstanding past-due share of the issuer accounting support fees of the Public Company Accounting Oversight Board ("PCAOB") and the Financial Accounting Standards Board ("FASB"), as of December 9, 2019.1/
A registered public accounting firm may take the inclusion of an issuer on this list as an indication that the issuer has no outstanding past-due share of the issuer accounting support fee for purposes of PCAOB Rule 7104(b).
This list will be updated at least bi-weekly. If a registered public accounting firm cannot obtain a representation from the issuer or cannot determine by reviewing the list below whether the issuer has no past-due share of the accounting support fee outstanding, the registered public accounting firm may contact the staff by phone at 1- 202-207-9294 (Business Days: 9:00 a.m. to 5:00 p.m. ET) or by email at [email protected].
If you believe an issuer has been excluded from this list in error, please contact the staff by phone at 1-202-207-9294 (Business Days: 9:00 a.m. to 5:00 p.m. ET) or by email at [email protected].
1/ Just because an issuer does not appear on this list does not mean that the issuer has outstanding a past-due share of the accounting support fee. Many "issuers," as that term is defined in the Sarbanes-Oxley Act and the Board's rules, are not allocated a share of the issuer accounting support fee of the PCAOB and the FASB under the Board's funding rules and therefore are not on this list even though they have outstanding no past-due share of the accounting support fee. In addition, payments are received periodically by the PCAOB and are not reflected on this list until it is next updated. For more information regarding the determination of payment of accounting support fees by registered accounting firms, please see rule 7104(b).
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Additional information about the issuer accounting support fee and the funding process is available in the Frequently Asked Questions ("FAQs") available in the Accounting Support Fee section of the PCAOB's Web site (http://pcaobus.org/About/Administration/SupportFee/Pages/SupportFeeFAQ.aspx).
* * * 1290 VT Equity Income A.F.P. Provida Sa AB Muni Income II VA 1290 VT GAMCO Small Co A10 Networks Inc AB Muni Income National Value A123 Systems Inc AB Municipal Income NY 180 CONNECT INC A21 GROUP INC AB Municipal Income Shares 1-800 CONTACTS INC A4S SECURITY INC AB Pooling Bond Inflation 1-800-FLOWERS.COM Inc AAIPHARMA INC Protected 1st Century Bancshares Inc AAM/Bahl & Gaynor Income AB Pooling Global Core Bond 1st Constitution Bancorp Growth AB Pooling High Yield 1st Financial Services Corp AAMES INVESTMENT AB Pooling International 1st Independence Financial CORP Growth Group Inc AAON Inc AB Pooling International 1st Pacific Bancorp AAR CORP Value 1st Source Corp Aaron's Inc AB Pooling Multi Asset Real 1ST ST BANCORP INC AB 2015 Retirement Strategy Return 1st United Bancorp Inc AB 2020 Retirement Strategy AB Pooling Short Duration 21ST CENTURY INS AB 2025 Retirement Strategy Bond GROUP AB 2030 Retirement Strategy AB Pooling Small Mid Cap 21Vianet Group Inc AB All Market Total Return Growth 22nd Century Group Inc AB Conservative Wealth AB Pooling Small Mid Cap 24/7 REAL MEDIA INC Strategy Value 2U Inc AB Discovery Growth AB Pooling US Large Cap 360 GLOBAL WINE CO AB Discovery Value Growth 361 Global Long/Short Equity AB Equity Income AB Pooling US Value 361 Managed Futures AB Global Bond AB Pooling Volatility Strategy AB Global Risk Allocation Management 3COM CORP AB Global Value AB Relative Value 3M Co AB Government Exchange AB Select US Long/Short 3PAR Inc Reserves AB Small Cap Core 3Pea International Inc AB Growth AB Small Cap Growth 4KIDS ENTERTAINMENT AB High Income AB Sustainable Global INC AB High Yield Thematic 51job Inc AB Income AB Tx Mngd Bal Wealth 7 Days Group Holdings Ltd AB International Growth Strategy 724 SOLUTIONS INC AB International Research AB Tx Mngd Wealth Apprec 7-ELEVEN INC Growth AB Value 8point3 Energy Partners LP AB International Small Cap AB VPS Balnced Wealth 8x8 Inc AB International Strategic AB VPS Dynamic Asset 99 Cents Only Stores Equities Allocation A S V INC AB Intl Value AB VPS Global Technology A V Homes Inc AB Large Cap Growth AB VPS Growth & Income A. H. Belo Corp AB Multi Market Strategy AB VPS Intl Value A. O. Smith Corp Trust AB VPS Large Cap Growth A.C. Moore Arts & Crafts Inc AB Muni Income CA AB VPS Small/Mid Cap A.D.A.M. Inc AB Muni Income II FL Value
Page 2
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
AB VPS Value Abington Bancorp Inc Access Flex Bear High Yield AB Wealth Appreciation ABIOMED Inc Access National Corp Abakan Inc ABIS All Market Real Return Access Plans USA Inc ABAXIS Inc Strategy Accessor Small/Mid Cap ABB Ltd ABIS Bond Inflation Acclaim Enmnt Inc Abbey Capital Futures ABIS Municipal Bond Inflation ACCO Brands Corp Strategy Strategy ACCREDITED HOME ABBF Corporate Bond ABITIBI CONSOLIDATED LENDERS HLDG ABBF Intermediate Bond INC Accredited Members Holding ABBF US Government ABLE ENERGY INC Corp Abbott Laboratories ABLE LABORATORIES INC ACCREDO HEALTH INC. ABBSF-Emerging Markets ABLEAUCTIONS.COM INC ACCUPOLL HOLDING AbbVie Inc Ablynx NV CORP Abengoa SA ABM Industries Inc ACCURAY INC Abeona Therapeutics Inc ABMIF High Income Muni Accuride Corp Abercrombie & Fitch Co. ABN AMRO Balanced ACE Avation Holdings Inc Aberdeen Asia Bond ABN AMRO Bond ACE CASH EXPRESS INC Aberdeen Asia Pacific (ex ABN Amro Holding NV ACE COMM CORP Japan) Equity ABN AMRO Investor Money AcelRx Pharmaceuticals Inc Aberdeen Asia-Pacific Mkt Acer Therapeutics Inc Income Fund Inc. ABN AMRO Treasury MM Achillion Pharmaceuticals Inc Aberdeen Australia Equity ABN AMRO TxEx MM ACI Worldwide Inc Fund Inc. Abovenet Inc Aclara Biosciences Inc Aberdeen Emerging Markets Abraxas Petroleum Corp. Aclaris Therapeutics Inc Aberdeen Emerging Markets Abraxis BioScience Inc ACM Institutional MM CA Equity Income Fund Inc Absolute Opportunities ACM Institutional MM Govt Aberdeen Equity Long-Short Absolute Strategies ACM Institutional MM Prime Aberdeen Global High AC Alternatives Market ACM Institutional MM Income Neutral Value Treasury Aberdeen International Equity AC Immune SA ACM Institutional MM Trust Aberdeen Select International ACA CAPITAL HOLDINGS ACM Institutional MM TxFr Equity INC ACM Research Inc Aberdeen Standard Acacia Communications Inc ACME Communications Inc Palladium ETF Trust Acacia Research Corp Acme Packet Inc Aberdeen Standard Platinum Acadia Healthcare Co Inc Acme United Corp ETF Trust Acadia Pharmaceuticals Inc ACNB Corp Aberdeen Standard Precious Acadia Realty Trust Acorda Therapeutics Inc Metals Basket ETF Trust Acadian Emerging Markets Acorn Energy Inc Aberdeen Standard Silver Acambis Plc Acorn International Inc ETF Trust Acasti Pharma Inc ACR GROUP INC Aberdeen Total Return Bond Accelerate Diagnostics Inc Acres Gaming Inc Aberdeen UltraShort Accelerize Inc ACRO INC Municipal Income Acceleron Pharma Inc Across America Real Estate Aberdeen US Small Cap Accelrys Inc. Corp Equity Accentia Biopharmaceuticals ACS-TECH80 LTD Abgenix Inc Inc ACT TELECONFERENCING ABIF-Global REIT Accenture PLC INC Institutional Acceptance Insurance Cos Actel Corp Abigail Adams National Inc Actiga Corp Bancorp Inc Access Capital Community Actinium Pharmaceuticals Inc Ability Inc. Investment
Page 3
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
ACTION PERFORMANCE ADELPHIA COMMUN -CL A Advanced Life Sciences COS INC Adept Technology Inc Holdings Inc Actions Semiconductor Co ADESA INC ADVANCED MARKETING Ltd Adesto Technologies Corp SERVICES Activcard Corp AdEx Media Inc Advanced Medical Optics Inc. Active Assets CA Tax Free ADEZA BIOMEDICAL CORP Advanced Micro Devices Inc MM Adient Plc Advanced Photonix Inc. Active Assets Government Adira Energy Ltd ADVANCED POWER Trust ADMA Biologics Inc TECHNOL INC Active Assets Govt MM Adobe Inc Advanced Tech Industries Active Assets Money ADOLOR CORP Advanced Technology Active Assets Prime Trust Adomani Inc Acquisition Corp Active Assets TxFr MM ADSTAR INC ADVANCED VIRAL Active Health Foods Inc ADT Corp (The) RESEARCH CORP Active Network Inc ADT Inc Advanced Voice Recognition Active Power Inc Adtalem Global Education Inc Systems Inc Activision Blizzard Inc ADTRAN Inc Advancepcs Activision Inc. ADUDDELL INDUSTRIES AdvancePierre Foods Actua Corp INC Holdings Inc Actuant Corp Aduro BioTech Inc AdvanSix Inc Actuate Corp ADV NEUROMODULATION Advanta Corp Acuity Brands Inc. SYS INC Advantage Oil & Gas Ltd ACURA Advance America Cash ADVANTEST CORP PHARMACEUTICALS INC Advance Centers Inc Advantus Srs Asset Acushnet Holdings Corp Advance Auto Parts Inc. Allocation ACUSPHERE INC Advance Capital Balanced Advantus Srs Bond AD VENTURE PARTNERS Advance Capital Retire Advantus Srs Mortgage Sec INC Income Advaxis Inc Adamas Pharmaceuticals Inc ADVANCE NANOTECH INC Advent Claymore Convertible Adamis Pharmaceuticals Advanced Accelerator Securities and Income Fund Corp Applications SA Inc Adams Diversified Equity Advanced Analogic Advent Software Inc. Fund Inc Technologies Inc Advent/Claymore Global Adams Golf Inc. Advanced Battery Convertible Securities & Adams Natural Resources Technologies Inc Income Fund Fund Inc Advanced BioMedical Adverum Biotechnologies Inc Adams Resources & Energy Technologies Inc AdvisorOne CLS Global Inc. ADVANCED BIOTHERAPY Diversified Equity ADAMS RESPIRATORY INC AdvisorOne Milestone THERAPTCS ADVANCED DIGITAL INFO Treasury Obligation Adaptimmune Therapeutics CORP AdvisorShares Peritus High plc Advanced Disposal Services Yield ETF ADC Telecommunications Inc Advisory Board Company Inc. Advanced Drainage Systems (The) AdCare Health Systems Inc Inc Advisory Research MLP & Addus HomeCare Corp Advanced Emissions Energy Income ADDvantage Technologies Solutions Inc ADVO INC Group Inc Advanced Environmental ADVOCAT INC ADE CORP/MA Recycling Technologies Inc AECOM ADECCO SA Advanced Fibre Comm Inc Aegerion Pharmaceuticals Adecoagro SA Inc
Page 4
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Aegion Corp Affimed NV AIM Health Sciences AEGIS COMMUNICATIONS Affirmative Insurance AIM International Allocation GROUP Holdings Inc AIM Large Cap Basic Value Aegis Value Affymax Inc AIM Mid Cap Basic Value Aeglea BioTherapeutics Inc Affymetrix Inc AIM Opportunities I Aegon NV AFLAC INC AIM Opportunities III AEGON/Trans Alger Aggrsv AG Mortgage Investment AIM Premier Equity Gro Trust Inc AIM Select Equity AEGON/Trans Cap Guard Ag Services Of America AIM Select Real Estate Global AGA Medical Holdings Inc Income Fd AEGON/Trans Cap Guard Agape ATP Corp AIM Small Company Growth US Eqty AGCO Corp AIM Total Return AEGON/Trans Convertible Agenus Inc/DE AIM V.I. Capital Development Sec AGERE SYSTEMS INC AIM V.I. Glbl Health Care AEGON/Trans Great Co AgeX Therapeutics Inc AIM V.I. Growth Amer Sml AgFeed Industries Inc AIM V.I. Premier Equity AEGON/Trans Janus Growth AGILE SOFTWARE CORP AIM Weingarten AEGON/Trans Legg Mason Agile Therapeutics Inc Aimmune Therapeutics Inc Ptnrs All Cap Agilent Technologies Inc AIR FRANCE - KLM AEGON/Trans LKCM Strtgc Agilysys Inc Air Lease Corp TtlRtn Agios Pharmaceuticals Inc Air Methods Corp AEGON/Trans VKM Act Intl AGNC Investment Corp Air Products and Chemicals Alloc Agnico Eagle Mines Ltd Inc. AEHR TEST SYSTEMS Agree Realty Corp Air T Inc Aemetis Inc Agria Corp Air Transport Services Group AEOLUS Agrium Inc. Inc PHARMACEUTICALS INC AIDA PHARMACEUTICALS Airborne Inc AEP INDUSTRIES INC INC Airborne Wireless Network AerCap Holdings NV AIG Focused Alpha Large Aircastle Ltd Aerie Pharmaceuticals Inc Cap Airgain Inc Aerkomm Inc AIG Focused Dividend Airgas Inc. AeroCentury Corp Strategy Airgate Pcs Inc Aeroflex Holding Corp AIG Focused Growth AIRNET AEROFLEX INC AIG Government Money COMMUNICATIONS CORP AeroGrow International Inc Market Airnet Systems Inc. Aerohive Networks Inc AIG Money Market Airspan Networks Inc Aerojet Rocketdyne Holdings AIG Retirement Co I Core AirTran Holdings Inc. Inc Equity Airvana Inc AEROSONIC CORP AIG Retirement Co II Large Aixtron SE AEROTELESIS INC Cap Value AK Steel Holding Corp AEROVIRONMENT INC Aileron Therapeutics Inc Akamai Technologies Inc Aerpio Pharmaceuticals Inc AIM Aggressive Growth Akcea Therapeutics Inc AES Corporation (The) AIM Balanced Akebia Therapeutics Inc AETERNA ZENTARIS INC AIM Blue Chip Akeena Solar Inc Aetna Inc. AIM Core Stock AKESIS Aetrium Inc AIM Dent Demographic PHARMACEUTICALS INC Aevi Genomic Medicine Inc Trends Akorn Inc Affiliated Computer Services AIM Financial Services Akoustis Technologies Inc Inc. AIM Glbl Equity Akre Focus Affiliated Managers Group AIM Glbl Financial Svcs AKSYS LTD Inc. AIM Glbl Science & Tech AKZO NOBEL NV
Page 5
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Al Frank Fund ALFACELL CORP ALLEGRO BIODIESEL AL Muni Cash Trust Alger American Balanced CORP Alabama Aircraft Industries Alger American Mid Cap Allegro Merger Corp Inc Growth ALLEN ORGAN CO -CL B ALABAMA NATL Alger Balanced Allen Telecom Inc BANCORPORATION Alger Capital Apprec Allena Pharmaceuticals Inc Aladdin Knowledge System Alger Capital Appreciation Allergan Inc. Ltd Instl Allergan PLC Alamo Energy Corp Alger Health Sciences ALLETE Inc. Alamo Group Inc. Alger Large Cap Growth ALLIANCE ATLANTIS Alamogordo Finl Corp Alger Mid Cap Growth COMM -CL B Alamos Gold Inc Alger Mid Cap Growth Instl Alliance Bancorp Inc of ALAMOSA HOLDINGS INC Alger Money Market Pennsylvania ALANCO TECHNOLOGIES Alger Small Cap Focus Alliance Bancorp New INC Alger Small Cap Growth England Alaris Medical Systems Inc Alger Small Cap Growth Instl ALLIANCE Alarm.com Holdings Inc Alger SMid Cap Growth BANCSHARES/CA Alaska Air Group Inc. Alger Spectra Alliance Bankshares Corp Alaska Communications Alger Va Capital Appreciation Alliance BVPS Growth Systems Group Inc Alger Va Large Cap Growth Alliance Capital Reserves Albany International Corp. Alger Va Small Cap Growth ALLIANCE DATA SYSTEMS Albany Molecular Research AlgoDyne Ethanol Energy CORP Inc Corp Alliance Fiber Optic Products ALBEMARLE CORP Alibaba Group Holding Ltd Inc Alberta Star Development Alico Inc Alliance Financial Corp Corp Align Technology Inc Alliance Focused Gro & Inc Alberto-Culver Co Alimera Sciences Inc Alliance Global REIT ALBERTSON'S INC Alio Gold Inc Investment Albireo Pharma Inc Alithya Group Inc Alliance Government ALCAN INC ALJ Regional Holdings Inc Reserves Alcatel-Lucent Alkermes Plc Alliance Health Care Alcide Corp ALL AMERICAN Alliance Holdings GP LP Alcoa Corp SEMICONDUCTOR Alliance Money Reserves Alcobra Ltd ALL Fuels & Energy Co Alliance Muni Inc II NJ Alcon Inc. Allakos Inc Alliance Muni Trust MM -CA Alder BioPharmaceuticals Inc Alleghany Corp Alliance Muni Trust MM -Genl Alderon Iron Ore Corp Allegheny Energy Inc. Alliance Muni Trust MM -NJ ALDERWOODS GROUP INC Allegheny Technologies Inc Alliance Muni Trust MM -NY Aldeyra Therapeutics Inc Allegiance Bancshares Inc ALLIANCE Aldila Inc Allegiant Bancorp Inc SEMICONDUCTOR CORP Alere Inc Allegiant Bond Alliance Treasury Reserves ALERIS INTERNATIONAL Allegiant Govt Mortgage AllianceBernstein Global INC Allegiant Large Cap Growth High Income Fund Inc Alexander & Baldwin Inc Allegiant Large Cap Value AllianceBernstein Holding LP Alexander's Inc. Allegiant Mid Cap Value AllianceBernstein Income Alexandria Real Estate Allegiant Multi Factor Small Fund Inc Equities Inc. Cap Value AllianceBernstein National Alexco Resource Corp Allegiant S&P 500 Index Municipal Income Fund Inc Alexion Pharmaceuticals Inc Allegiant Total Return Advntg Alliant Energy Corp Alexza Pharmaceuticals Inc Allegiant Travel Co Allianz AGIC Opportunity Alfa Corp Allegion Plc Allianz AGIC Target
Page 6
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Allianz CCM Emerging Allied Motion Technologies Alpine Municipal MM Companies Inc Alpine Realty Income & Gro Allianz Global Inv Multi-Style Allied Nevada Gold Corp Alpine US Real Estate Equity Allianz Global Investors Allied Waste Industries Inc. ALPS Alerian MLP ETF Value Allied World Assurance ALPS Core Commodity Allianz NACM International Company Holdings AG Management Allianz NACM Pacific Rim Allion Healthcare Inc. CompleteCommodities Allianz RCM Biotechnology Alliqua BioMedical Inc Strategy Allianz RCM Global Small Allis-Chalmers Energy Inc ALPS Sector Dividend Dogs Cap Allison Transmission ETF Allianz RCM Large Cap Holdings Inc ALPS/Red Rock Listed Growth Allmerica Tr Core Equity Private Equity ALLIANZ SE Allmerica Tr Govt Bond Alseres Pharmaceuticals Inc AllianzGI Best Styles Global Allmerica Tr Money Mkt Alsius Corp Equity Allmerica Tr Sel Growth Alstom Sa AllianzGI Convertible Allmerica Tr Sel Intl Equity Alta Mesa Resources Inc AllianzGI Convertible & Allmerica Tr Sel Value Altaba Inc Income Fund Opport AltaGas Ltd AllianzGI Convertible & Allos Therapeutics Inc Altair Engineering Inc Income Fund II Allot Ltd Altair Nanotechnologies Inc AllianzGI Equity & Alloy Inc ALTANA AG Convertible Income Fund Alloy Steel International Inc Altegris Managed Futures AllianzGI Focused Growth Allscripts Healthcare Strategy AllianzGI Global Water Solutions Inc Alteon Inc AllianzGI Income & Growth Allstate Corp (The) Altera Corp AllianzGI NFJ Dividend Allstream Inc -Cl B ALTERNATE ENERGY Interest & Premium Strategy ALLTEL CORP CORP Fund Ally Financial Inc Alternate Energy Holdings AllianzGI NFJ Dividend Value Almaden Minerals Ltd Inc AllianzGI NFJ International Almost Family Inc Alternative Construction Value ALNYLAM Technologies Inc AllianzGI NFJ Large Cap PHARMACEUTICALS INC Alternative Energy Value ALON USA ENERGY INC Development Corp Ltd AllianzGI NFJ Mid Cap Value Alon USA Partners LP Alternative Energy Sources AllianzGI NFJ Small Cap Alpha and Omega Inc Value Semiconductor Ltd Alternative Technology Res AllianzGI Short Duration High Alpha Natural Resources Inc Alterra Capital Holdings Ltd Income Alpha Natural Resources, Alteryx Inc AllianzGI Structured Return Inc. Alteva AllianzGI Technology Alpha Pro Tech Ltd. Altice usa inc Allied Capital Corp Alphabet Inc ALTIGEN Allied Defense Group Inc. AlphaCentric Income COMMUNICATIONS INC (The) Opportunities ALTIRIS INC ALLIED DOMECQ PLC Alpharma Inc. Altisource Asset Allied Healthcare ALPHASMART INC Management Corp International Inc. Alpine Dynamic Dividend Altisource Portfolio Solutions Allied Healthcare Products Alpine Global Dynamic SA Inc Dividend Fund Altra Industrial Motion Corp ALLIED HOLDINGS INC ALPINE GROUP INC Altria Group Inc Allied Irish Banks PLC Alpine Immune Sciences Inc Altus Midstream Co Alpine Intl Real Estate
Page 7
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
ALTUS Am Cent NT Growth Am Cent US Government PHARMACEUTICALS INC Am Cent NT Heritage Money Market Alumina Ltd Am Cent NT High Income Am Cent Utilities Income Alvarion Ltd Am Cent NT International Am Cent Value Am Cent All Cap Growth Growth Am Cent Vista Am Cent Balanced Am Cent NT International Am Cent VP Cap Am Cent CA Hi Yield Value Appreciation Municipal Am Cent NT Large Company Am Cent VP Income & Am Cent CA Intermediate Value Growth TxFr Am Cent NT Mid Cap Value Am Cent VP Inflation Am Cent CA Long Term TxFr Am Cent One Choice 2015 Protectn Am Cent CA TxFr MM Am Cent One Choice 2020 Am Cent VP International Am Cent Capital Preservation Am Cent One Choice 2025 Am Cent VP Mid Cap Value Am Cent Capital Value Am Cent One Choice 2030 Am Cent VP Ultra Am Cent Disciplined Growth Am Cent One Choice 2035 Am Cent VP Value Am Cent Diversified Bond Am Cent One Choice 2040 Am Cent Zero Coupon 2015 Am Cent Emerging Markets Am Cent One Choice 2045 AMAG Pharmaceuticals Inc Am Cent Equity Growth Am Cent One Choice 2050 Amana Growth Am Cent Equity Income Am Cent One Choice 2055 Amana Income Am Cent Equity Index Am Cent One Choice AMARC RESOURCES LTD Am Cent Fundamental Equity Aggressive Amarin Corp PLC Am Cent Ginnie Mae Am Cent One Choice Consrv A-Mark Precious Metals Inc Am Cent Global Bond Am Cent One Choice In Amaru Inc Am Cent Global Gold Retirement Amazon.com Inc Am Cent Global Growth Am Cent One Choice Ambac Financial Group Inc Am Cent Government Moderate Ambarella Inc Agency MM Am Cent Prime Money Ambase Corp Am Cent Government Bond Market Ambassador Money Market Am Cent Growth Am Cent Real Estate Ambassadors Group Inc Am Cent Heritage Am Cent Select Ambassadors International Am Cent High Yield Am Cent Short Duration Inc Am Cent High Yield Muni Am Cent Short Inflation Amber Road Inc Am Cent Income & Growth Protection Bond Ambev SA Am Cent Inflation Adjusted Am Cent Short-Term Ambient Corp Bnd Government Bond Ambit Biosciences Corp Am Cent Intermediate Tax Am Cent Small Cap Growth Ambow Education Holding Free Bond Am Cent Small Cap Value Ltd Am Cent International Bond Am Cent Small Company AMC Entertainment Holdings Am Cent International Am Cent Strat Allocation Inc Discovry Aggressive Amc Entertainment Inc Am Cent International Growth Am Cent Strat Allocation AMCAP Fund Inc Am Cent Large Company Conservative Amcast Indl Corp Value Am Cent Strat Allocation AMCOL International Corp Am Cent Mid Cap Value Moderate AMCOMP INC Am Cent New Opportunities Am Cent Target 2005 AMCON Distributing Co Am Cent NT Core Equity Am Cent Target 2010 AMCOR LTD Plus Am Cent Target 2025 Amcore Financial Inc Am Cent NT Disciplined Am Cent Tax Free Money AMDL Inc. Growth Market Amdocs Ltd Am Cent NT Diversified Bond Am Cent Ultra Amedisys Inc Am Cent NT Equity Growth Amer Business Finl Svcs Inc
Page 8
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Amer Funds NVIT Asset American Beacon American Dental Partners Inc Allocation International Equity Index American DG Energy Inc Amer Funds NVIT Bond American Beacon Large Cap American Eagle Outfitters Amer Funds NVIT Growth Value Inc. Amer Funds NVIT Growth American Beacon London American Electric Power Co Income Company Income Equity Inc Amer Indep KS TxEx Bond American Beacon Mid Cap American Electric AMER INSD MTG SER 85 - Value Technologies Inc LP American Beacon MM Select American Equity Investment Amer Insd Mtg Ser 86 -Lp American Beacon Money Life Holding Co Amer Insd Mtg Ser 88 -Lp Market American Exploration Corp Amer Strategic Inc Portfol I American Beacon Money American Express Co AMERCO Market Select Fund American Farmland Co Ameren Corp American Beacon S&P 500 American Finance Trust Inc Ameresco Inc Index American Financial Group Inc Ameri Holdings Inc American Beacon SiM High American Financial Realty AMERIANA BANCORP Yield Opportunities Trust AMERICA FIRST APT American Beacon Small Cap American Funds 2010 Target INVESTORS Value Date Retirement America First Multifamily American Beacon Sound American Funds 2015 Target Investors LP Point Floating Rate Income Date Retirement America First Reit Prtner Lp American Beacon Stephens American Funds 2020 Target America Movil SA De CV, Small Cap Growth Date Retirement Mexico American Beacon American Funds 2025 Target AMERICA ONLNE LTN AMR Tocqueville International Date Retirement -CL A Value American Funds 2030 Target America Service Group Inc American Beacon Treasury Date Retirement America West Resources Inc Inflation Protection Sec American Funds 2035 Target American Airlines Group Inc American Beacon US Date Retirement American Ammunition/Ca Government Money Market American Funds 2040 Target American Apparel Inc Select Date Retirement American Assets Trust Inc American Biltrite Inc. American Funds 2045 Target American Axle & AMERICAN BK NT Date Retirement Manufacturing Holdings Inc HOLOGRAPHICS American Funds 2050 Target American Balanced Fund Inc American Bonanza Gold Date Retirement American Bancorp of New Corp American Funds 2055 Target Jersey Inc American Campus Date Retirement AMERICAN BANK INC/PA Communities Inc American Funds 2060 Target American Beacon AHL American Capital Ltd Date Retirement Managed Futures Strategy American CareSource American Funds American Beacon Balanced Holdings Inc Conservative Growth & American Beacon Bridgeway American Commercial Lines Income Portfolio Large Cap Value Inc American Funds Developing American Beacon GLG Total American Community World Growth and Income Return Bancshares Inc American Funds Emerging American Beacon High Yield American Community Markets Bond American Beacon Newspapers Inc American Funds Global Intermediate Bond American Community Balanced American Beacon Properties Trust American Funds Global International Equity American Defense Systems Growth Portfolio Inc
Page 9
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
American Funds Growth and American Medical Alert Corp American Spectrum Realty Income Portfolio American Medical Systems Inc American Funds Growth HLS Holdings Inc American Standard Energy American Funds Growth American Midstream Corp Portfolio Partners LP AMERICAN STATES American Funds Inflation American Mortgage WATER CO Linked Bond Acceptance Co American Superconductor American Funds Moderate American Mutual Fund Inc Corp Growth & Income Portfolio American Nano Silicon AMERICAN TECHNICAL American Funds Mortgage Technology Inc CERAMICS American Funds Preservation American National American Tower Corp Portfolio Bankshares Inc American Uranium Corp/NV American Funds Retirement American National Insurance American Vanguard Corp Income Portfolio - Company American Var Ins Asset Alloc Conservative AMERICAN OIL & GAS INC American Var Ins Blue Ch American Funds Retirement American Oriental I&G Income Portfolio - Enhanced Bioengineering Inc American Var Ins Capital American Funds Retirement American Outdoor Brands Income Builder Income Portfolio - Moderate Corporation American Var Ins Cash American Funds Strategic American Pacific Corp Managemt Bond American Perf IL Cash Mgmt American Var Ins Global American Funds Tax- American Perf Short Trm Bond Advantaged Growth & Income American Var Ins Global Income Portfolio American Perf US Treasury Growth American Funds U.S. American Physicians Capital American Var Ins Global Government Money Market Inc Growth & Income American Greetings Corp. American Physicians Service American Var Ins Global American High Income Muni Group Inc Small Cap Bond Fund Inc AMERICAN POWER American Var Ins Growth American High Income Trust CONVERSION CP American Var Ins Growth & AMERICAN HOMEPATIENT American Public Education Inc INC Inc American Var Ins High American Homes 4 Rent American Railcar Industries Income Bond American Housing Income Inc American Var Ins Trust Inc American Realty Investors International American Independence Inc. American Var Ins Corp American Renal Associates International Growth & American International Group Holdings Inc Income Inc American Residential American Var Ins Managed American International Properties Inc Risk Asset Allocation Growth & Income American Retail Group Inc. American Var Ins New World American International AMERICAN RETIREMENT American Var Ins Series Industries Inc. CORP Bond American Italian Pasta Co American River Bankshares American Var Ins US American Land Lease Inc American Science and Govt/AAA-Rated Sec American Liberty Petroleum Engineering Inc. AMERICAN WATER STAR Corp AMERICAN SHARED INC American Lorain Corp HSPTL SERV American Water Works AMERICAN MANAGEMENT American Sierra Gold Corp Company Inc SYSTEMS American Software Inc American Wenshen Steel American Med Sec Grp Group Inc
Page 10
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
AMERICAN WOODMARK AMG Systematic Mid Cap AmTrust Financial Services CORP Value Inc AmericanWest BanCorp AMG TimesSquare AMX CORP AMERICA'S CAR-MART INC International Small Cap AMYLIN Americas Silver Corp AMG TimesSquare Mid Cap PHARMACEUTICALS INC Americold Realty Trust Growth Anacomp Inc AmeriCredit Corp AMG TimesSquare Small ANADARKO PETROLEUM Amerigas Partners LP Cap Growth CORP AMERIGROUP Corp AMG Yacktman Focused ANADIGICS Inc Ameriprise Financial Inc AMG Yacktman Fund Anadys Pharmaceuticals Inc. Ameris Bancorp Amgen Inc ANALEX CORP AMERISAFE INC AMICAS Inc Analog Devices Inc. AmeriServ Financial Inc Amicus Therapeutics Inc Analogic Corp AMERISOURCEBERGEN AMIS HOLDINGS INC Analysts International Corp CORP Amiworld Inc Anaplan Inc AMERISTAR CASINOS INC Amkor Technology Inc AnaptysBio Inc Ameristock Mutual Fund AMLI RESIDENTIAL PPTYS Anaren Inc AMERITYRE CORP TR Anavex Life Sciences Corp AMERIVEST PROPERTIES AMMEX GOLD MINING Ancestry.com Inc INC CORP Anchor BanCorp Wisconsin Ameriwest Energy Corp AMN Healthcare Services Inc Ameron International Corp. Inc. ANCHOR GLASS AMERSHAM PLC Amneal Pharmaceuticals Inc CONTAINER CORP AMERUS GROUP CO -CL A AMNET MORTGAGE INC Anchor Pathway Growth Ames National Corp Ampal-American Israel Corp Anchor Pathway Growth & AMETEK Inc AMPCO-PITTSBURGH Income AMEXDRUG CORP CORP Anchor Ser Asset Allocation AMG GW&K Core Bond Ampex Corp Anchor Ser Growth AMG GW&K Municipal Bond Amphastar Pharmaceuticals Anchor Ser Natural AMG GW&K Small Cap Core Inc Resources AMG Managers Brandywine Amphenol Corp Andatee China Marine Fuel Fund Ampio Pharmaceuticals Inc Services Corp AMG Managers DoubleLine Amplify Snack Brands Inc Andeavor Core Plus Bond AmREIT Inc Andeavor Logistics LP AMG Managers Fairpointe AMREP Corp. Andersons Inc (The) Mid Cap AMS HEALTH SCIENCES ANDREW CORP AMG Managers Loomis INC ANDRX CORP Sayles Bond AMSOUTH ANESIVA INC AMG Managers Montag & BANCORPORATION ANGEION CORP Caldwell Growth Amsouth Capital Growth Angel Oak Multi-Strategy AMG Managers Pictet Amsouth Government Income International Income ANGELCITI AMG Managers Skyline Amsouth High Quality Bond ENTERTAINMENT INC Special Equities Amsouth High Quality Muni ANGELICA CORP AMG River Road Dividend All Bond Angi Homeservices Inc Cap Value Amsouth Large Cap Angie's List Inc AMG SouthernSun Small Amsouth Limited Bond AngioDynamics Inc Cap Amsouth Prime MM Angiotech Pharmaceuticals AMG SouthernSun U.S. Amsouth US Treasury MM Inc Equity Amsouth Value Anglo Swiss Resources Inc AMTECH SYSTEMS INC AngloGold Ashanti Ltd
Page 11
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Anheuser-Busch Companies Apigee Corp Applied Signal Technology Inc. APOGEE ENTERPRISES Inc Anheuser-Busch InBev INC APPLIX INC SA/NV Apogee Technology Inc Approach Resources Inc ANI PHARMACEUTICALS Apogent Technologies Inc Apptio Inc INC Apollo Commercial Real Apria Healthcare Group Inc Anika Therapeutics Inc Estate Finance Inc Apricus Biosciences Inc Animal Health International Apollo Education Group Inc APROPOS TECHNOLOGY Inc Apollo Endosurgery Inc INC ANIMAS CORP Apollo Global Management AptarGroup Inc. Anixter International Inc LLC Aptevo Therapeutics Inc Ann Inc Apollo Grp Univ Phoenix APTIMUS INC Annaly Capital Management Onln Aptinyx Inc Inc Apollo Investment Aptiv Plc Annapolis Bancorp Inc APOLLO INVESTMENT Aptorum Group Ltd Annie's Inc CORP Aptose Biosciences Inc Annuity And Life Re Hldgs Apollo Medical Holdings Inc Apyx Medical Corp Anpath Group Inc Apollo Residential Mortgage AQR Diversified Arbitrage ANSCOTT INDUSTRIES INC Inc AQR Equity Market Neutral ANSOFT CORP Apollo Resources AQR Global Equity Answers Corp International Inc AQR International Equity ANSYS INC APP Pharmaceuticals Inc AQR Large Cap Defensive ANTARES PHARMA INC Appalachian Bancshares Inc Style ANTEON INTERNATIONAL APPIAN CORPORATION AQR Large Cap Momentum CORP Apple Hospitality REIT Inc Style Antero Midstream Corp Apple Inc AQR Large Cap Multi Style Antero Midstream Partners APPLEBEES INTL INC AQR Long Short Equity LP Applera Corp-Applied AQR Managed Futures Antero Resources Corp Biosystems Group Strategy Anthem Inc Appliance Recycling Centers AQR Managed Futures Anthera Pharmaceuticals Inc of America Strategy HV Anthony & Sylvan Pools Corp APPLICA INC AQR Multi-Strategy Anworth Mortgage Asset Applied DNA Sciences Inc Alternative Corp Applied Extrusion Tech AQR Risk Parity ANZ-AUSTRALIA & NEW APPLIED FILMS CORP AQR Small Cap Multi Style ZEALD BK Applied Genetic AQR Style Premia Alternative AOL Inc Technologies Corp AQUA AMERICA INC AON Money Market Applied Imaging Corp Aqua Metals Inc Aon PLC Applied Industrial Aquantia Corp APAC Customer Services Inc Technologies Inc AQUANTIVE INC APACHE CORP APPLIED INNOVATION INC AquaVenture Holdings Ltd Apartment Investment and Applied Materials Inc. Aquestive Therapeutics Inc Management Co Applied Micro Circuits Corp AQUILA INC Apco Oil and Gas Applied Minerals Inc Aquila Tax-Free Trust of International Inc Applied Molecular Evolution Oregon Apellis Pharmaceuticals Inc Applied Nanotech Holdings Aquila Three Peaks High Apergy Corp Inc Income Apex Bioventures Acquisition APPLIED Aquila Three Peaks Corp NEUROSOLUTIONS INC Opportunity Growth Apex Mortgage Capital Inc Applied Optoelectronics Inc Aquinox Pharmaceuticals Inc APHTON CORP ARACRUZ CELULOSE SA
Page 12
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Aradigm Corp ARENA RESOURCES INC ARQULE INC ARADYME CORP Ares Capital Arrhythmia Research Aralez Pharmaceuticals Inc ARES CAPITAL CORP Technology Inc. Aramark Ares Commercial Real Estate ARRIS International plc ARAMARK CORP Corp Arrow DWA Balanced Aratana Therapeutics Inc Ares Management Corp Arrow Electronics Inc Arbinet Corp Argan Inc Arrow Financial Corp ARBIOS SYSTEMS INC ARGENTEX MINING CORP ARROW INTERNATIONAL Arbitrage Event Driven Argo Group International INC Arbitrage Fund Holdings Ltd Arrowhead Pharmaceuticals ARBITRON INC ARGON ST Inc Inc Arbor Realty Trust Inc. Argonaut Gold, Inc Art Technology Group Inc Arbutus Biopharma Corp ARGONAUT ARTEMIS INTL SOLUTIONS ARC Document Solutions Inc TECHNOLOGIES INC CORP ARC Group Worldwide Inc Argos Therapeutics Inc Artes Medical Inc Arc Logistics Partners LP ARGOSY GAMING CO Artesian Resources Corp ARC Resources Ltd ARI NETWORK SERVICES ARTESYN TECHNOLOGIES ARCA biopharma Inc INC INC Arcadia Biosciences Inc ARIAD ArthroCare Corp ARCADIA RESOURCES INC PHARMACEUTICALS INC Arthur J. Gallagher & Co. ARCADIS NV Ariba Inc ARTIFICIAL LIFE INC ArcBest Corp Aridis Pharmaceuticals Inc Artio Global Investors Inc Arcelormittal SA Ariel Appreciation Artio International Equity II Arch Capital Group Ltd Ariel Fund Artisan Components Inc Arch Chemicals Inc. Ariel International Artisan Developing World Arch Coal Inc Arista Networks Inc Artisan Emerging Markets Arch Therapeutics Inc ARIZONA STAR Artisan Global Opportunities ARCHIPELAGO HOLDINGS RESOURCE CORP Artisan Global Value INC Ark Balanced Artisan High Income Archipelago Learning Inc ARK ETF Trust ARK Web x.0 Artisan International Archon Corp ETF Artisan International Small Archrock Inc ARK Innovation ETF Cap ARCHSTONE-SMITH Ark Money Mkt Artisan International Value TRUST Ark Restaurants Corp. Artisan Mid Cap Arco Platform Ltd Ark US Govt Cash MM Artisan Mid Cap Value Arconic Inc Ark US Treas MMF Artisan Partners Asset Arcos Dorados Holdings Inc Arkanova Energy Corp Management Inc Arcosa Inc Arlington Tankers Ltd Artisan Small Cap ArcSight Inc Arlo Technologies Inc Artisan Small Cap Value Arctic Cat Inc. Arm Holdings PLC Artisan Value Arcus Biosciences Inc Armada Hoffler Properties Inc ARTISTDIRECT INC Ardagh Group SA Armada Small Cap Growth Art's Way Manufacturing Co. ARDEA BIOSCIENCES INC ARMOR HOLDINGS INC Inc Ardelyx Inc Armour Residential REIT Inc Aruba Networks Inc Arden Alternative Strategies Armstrong Flooring Inc Arvinas Inc Arden Group Inc ARMSTRONG HOLDINGS ARYA Sciences Acquisition ARDEN REALTY INC INC Corp Ardmore Shipping Corp Armstrong World Industries ARYx Therapeutics Inc AREL COMMUNICATIONS & Inc ASA Gold and Precious SFTWRE Arno Therapeutics Inc Metals Ltd Arena Pharmaceuticals Inc Arotech Corp ASAF Money Market
Page 13
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Asanko Gold Inc ASML Holding NV AST Blackrock Global ASAT HOLDINGS LTD - Aspect Communications Strategies ADR Corp AST BlackRock Low Duration ASB Bancorp Inc Aspect Medical Systems Inc Bond ASB FINANCIAL CORP. Aspen Aerogels Inc AST BlackRock/Loomis Asbury Automotive Group Inc ASPEN EXPLORATION Sayles Bond Ascena Retail Group Inc CORP AST Bond 2018 ASCEND ACQUISITION Aspen Insurance Holdings AST Boston Partners Large CORP Ltd Cap Value ASCENDIA BRANDS INC Aspen Technology Inc AST Capital Growth Asset Ascendis Pharma A/S Aspiriant Defensive Allocation Ascent Capital Group Inc Allocation AST Clearbridge Dividend Ascent Solar Technologies Aspiriant Risk Managed Growth Inc Equity Allocation AST Cohen & Steers Realty ASCENTIAL SOFTWARE Aspiriant Risk Managed AST DeAM Small Cap CORP Municipal Bond Growth ASCONI CORP ASPREVA AST Defensive Asset Ase Technology Holdings Co PHARMACEUTICALS CORP Allocation ASE TEST LTD Assembly Biosciences Inc AST FI Pyramis Asset ASG Global Alternatives Assertio Therapeutics Inc Allocation ASG Managed Futures Asset Acceptance Capital AST Fidelity Institutional AM Strategy Corp. Quantitative ASGN Inc Asset Mgmt Intrmd Mortgage AST Franklin Templeton Ashanti Goldfields Co Ltd Asset Mgmt Ultra Short Founding Funds Allocation Ashford Hospitality Trust Inc Asset Mgmt Ultra Short AST Franklin Templeton Ashford Inc Mortgage Founding Funds Plus Ashland Global Holdings Inc AssetMark Intl Equity AST Franklin Templeton Ashmore Emerging Markets AssetMark Large Cap Growth Global Bond Total Return AssetMark Large Cap Value AST Global Real Estate Ashworth Inc. AssetMark TxEx Fixed AST Goldman Sachs Global Asia Electrical Power Income Income International Group Inc Assisted Living Concepts Inc AST Goldman Sachs Large Asia Green Agriculture Corp Associated Banc-Corp Cap Value Asia Pacific Fund Inc Associated Capital Group Inc AST Goldman Sachs Multi- ASIA PACIFIC RESOURCES Associated Estates Realty Asset LTD Corp AST Goldman Sachs Asia Pacific Wire & Cable ASSURANCEAMERICA Strategic Income Corp CORP AST Government Money ASIA PAYMENT SYSTEMS Assurant Inc. Market INC Assured Guaranty Ltd AST GS Concentrated ASIA PREMIUM AST AB Global Bond Growth TELEVISION GRP AST Academic Strategies AST GS Mid Cap Growth Asia Satellite Telecom Ltd Asset Allocation AST GS Small Cap Value AsiaInfo-Linkage Inc AST Advanced Strategies AST High Yield Portfolio ASIAMART INC AST Alger All-Cap Growth AST Hotchkis & Wiley Large- Asian Dragon Group Inc AST Am Cent Income & Cap Value Asian Trends Media Hldgs Growth AST International Growth Inc AST Am Cent Intl Growth AST International Value ASK JEEVES INC AST AQR Large Cap AST Investment Grade Bond ASKMENOW INC AST Balanced Asset AST Jennison Large Cap ASM International NV Allocation Growth
Page 14
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
AST JPM Global Thematic AST T Rowe Price Natural ATHEROGENICS INC AST JPM International Equity Resources Atheros Communications Inc AST JPM Strategic AST Wellington Mgmt Global Athersys Inc Opportunities Bond Athlon Energy Inc AST Loomis Sayles Large AST Wellington Mgmt ATI TECHNOLOGIES INC Cap Growth Hedged Equity Atkore International Group AST Lord Abbett Core Fixed AST Western Asset Core Inc Income Plus Bond Atlantic Alliance Partnership AST MFS Global Equity AST Western Asset Corp AST MFS Growth Emerging Markets Debt Atlantic American Corp AST MFS Large Cap Value Asta Funding Inc ATLANTIC BANCGROUP AST Mid Cap Value ASTEA INTERNATIONAL INC AST Multi-Sector Fixed INC Atlantic Capital Bancshares Income Astec Industries Inc. Inc AST NB Core Bond Asterias Biotherapeutics Inc Atlantic Coast Financial Corp AST NB LSV Mid Cap Value Astex Pharmaceuticals Inc Atlantic Data Services Inc AST NB Mid Cap Growth Aston Small Cap ATLANTIC LIBERTY AST New Discovery Asset Aston Value FINANCIAL Allocation Aston/Fortis Growth Atlantic Power Corp AST Parametric Emerging Aston/River Road Atlantic Southern Financial Markets Equity Independent Value Group Inc AST Preservation Asset Aston/River Road Small Cap Atlantica Yield plc Allocation Value Atlanticus Holdings Corp AST Prudential Core Bond Aston/Veredus Aggrsv Gro AtlanticWhitehall Mid Cap AST Prudential Growth Astoria Financial Corp Gro Allocation ASTRALIS LTD ATLANTIS PLASTICS INC AST QMA International Core ASTRATA GROUP INC Atlas Acquisition Holdings Equity Astrazeneca PLC Corp AST QMA Large Cap Astro Aerospace Ltd Atlas Air Worldwide Holdings AST QMA U.S. Equity Alpha Astronics Corp Inc. Portfolio AstroNova Inc Atlas CA Muni Bond AST Quantitative Modeling Astropower Inc Atlas Energy Group LLC AST RCM World Trends Astrotech Corp Atlas Energy Inc AST Schroders Global ASV Holdings Inc ATLAS ENERGY Tactical At Home Group Inc RESOURCES LLC AST Schroders Multi Asset AT ROAD INC Atlas Financial Holdings Inc World Strategies AT&T CORP Atlas Global Growth AST Small Cap Growth AT&T Inc Atlas Growth Opportunities AST Small Cap Growth At&T Wireless Services Inc Atlas Pipeline Partners LP Opportunities Ata Holdings Corp Atlas Resource Partners LP AST Small Cap Value ATA Inc Atlas Strategic Income AST T Rowe Price Asset Atalanta Sosnoff Capital Cp Atlas Technology Group Inc Alloc Atara Biotherapeutics Inc Atlas US Govt & Mrtg Sec AST T Rowe Price Equity ATARI INC Atlassian Corp Plc Income Atc Healthcare Inc Atlatsa Resources Corp AST T Rowe Price Growth ATC Technology Corp ATM International Managed Opportunities Atento SA Volatility AST T Rowe Price Large Cap athenahealth Inc ATM Large Cap Managed Growth Athene Holding Ltd Volatility AST T Rowe Price Large Cap Athenex Inc ATM Mid Cap Value Athens Bancshares Corp
Page 15
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
ATM Small Cap Managed Autodesk Inc. Avid Technology Inc. Volatility Autohome Inc Avigen Inc Atmel Corp AUTOIMMUNE INC aVinci Media Corp ATMI Inc AUTOINFO INC Avinger Inc ATMOS ENERGY CORP Autoliv Inc Avino Silver & Gold Mines ATMOSPHERIC GLOW Automated Cash Mgmt Ltd TECH INC Automated Government AVIS BUDGET GROUP INC ATN International Inc Money Tr Avista Corp ATNA Resources Ltd Automated Govt Cash Avistar Communications Atomera Inc Reserves Corp AtriCure Inc Automatic Data Processing Aviv REIT Inc ATRION Corp Inc. Aviva PLC Atrix Labs Inc AUTONATION INC Aviza Technology Inc ATS Corp AutoNavi Holdings Ltd AVNET INC ATS Medical Inc AutoWeb Inc Avocent Corp Attunity Ltd AUTOZONE INC Avolon Holdings Ltd Atwood Oceanics Inc. AUXILIO INC Avon Products Inc. aTyr Pharma Inc Auxilium Pharmaceuticals Inc AVROBIO Inc Au Optronics Corp Avadel Pharmaceuticals plc AVX Corp. Auburn National BanCorp Inc Avalara Inc Aware Inc. Audentes Therapeutics Inc Avalon GloboCare Corp AXA 2000 Managed Volatility AUDIBLE INC AVALON HOLDINGS CORP I Audience Inc Avalon Pharmaceuticals Inc AXA 400 Managed Volatility I Audiocodes Ltd Avalon Rare Metals Inc AXA 500 Managed Volatility I Augme Technologies Inc AvalonBay Communities Inc. AXA Aggressive Strategy AUGUST TECHNOLOGY Avanex Corp AXA ENT Capital CORP Avangrid Inc Appreciation AURA SYSTEMS INC AVANIR Pharmaceuticals Inc AXA ENT Small Co Value Aurasource Inc Avant Immunotherapeutics AXA Global Equity Managed Aurelio Resource Corp Inc-Old Volatility AuRico Gold Inc Avantair Inc AXA International Value Aurinia Pharmaceuticals Inc Avaya Holdings Corp Managed Volatility Auris Medical Holding AG AVAYA INC AXA Intl Core Managed Aurizon Mines Ltd Ave Maria Catholic Value Volatility Aurora Cannabis Inc Ave Maria Growth AXA Intl Managed Volatility I Aurora Foods Inc Ave Maria Rising Dividend AXA Large Cap Core AURORA GOLD CORP Aventine Renewable Energy Managed Volatility Aurora Mobile Ltd Holdings Inc AXA Large Cap Gro AURORA OIL & GAS CORP Aventis Sa Managed Volatility Aurum Inc Avenue Credit Strategies AXA Large Cap Value Auryn Resources Inc Avenue Financial Holdings Managed Volatility Auspex Pharmaceuticals Inc Inc AXA Mid Cap Value AUSTIN CHALK OIL AND AVEO Pharmaceuticals Inc Managed Volatility GAS LTD Averion International Corp AXA Premier VIP Aggrsv AUSTRAL PACIFIC Averox Inc Alloc ENERGY LTD Avery Dennison Corp AXA Premier VIP Charter Australia Acquisition Corp AveXis Inc Multi Sector Bond AUSTRALIAN FOREST AVIALL INC AXA Premier VIP Charter INDUSTRIES Aviat Networks Inc Small Cap Value AuthenTec Inc AVICENA GROUP INC AXA Premier VIP Consrv Authentidate Holding Corp. Avid Bioservices Inc Alloc
Page 16
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
AXA Premier VIP Consrv AXSYS TECHNOLOGIES AZL VIP OPP Intl Growth Plus INC AZL VIP Russell 1000 AXA Premier VIP Mod Plus AXT Inc Growth Index All AZL DFA 5 Year Global AZL VIP Russell 1000 Value AXA Premier VIP Moder Fixed Income Index Alloc AZL DFA US Core Equity AZL VIP S&P 500 Index Axa, Paris AZL VIP BlackRock Capital AZL VIP Schroder Emerging AXA/AB Dynamic Growth Appreciation Market Equity AXA/AB Dynamic Moderate AZL VIP BlackRock Global AZL VIP Small Cap Stock Growth Allocation Index AXA/AB Short Duration AZL VIP DFA Multi-Strategy AZL VIP TRP Capital Government Bond AZL VIP Enhanced Bond Appreciation AXA/AB Small Cap Growth Index AZL VIP VKM Growth & AXA/Franklin Balanced AZL VIP FIAM Multi-Strategy Income Managed Volatility AZL VIP FIAM Total Bond AZTAR CORP AXA/Franklin Tmp Alloc AZL VIP Frankln Sml Cap AZUR INTERNATIONAL Managed Volatility Value Azure Midstream Partners LP AXA/Janus Enterprise AZL VIP Government Money Azure Power Global Ltd AXA/Loomis Sayles Growth Market B&G Foods Inc. AXA/Templeton Global AZL VIP International Index B&H Ocean Carriers Ltd Equity Managed Volatility AZL VIP Invesco Intl Equity B. Riley Financial Inc Axalta Coating Systems Ltd AZL VIP JPM International B/E Aerospace Inc AXCAN PHARMA INC Opportunities B2Gold Corp Axcelis Technologies Inc. AZL VIP JPMorgan Large Babcock & Wilcox Axcess International Inc Cap Equity Enterprises Inc AXEDA SYSTEMS INC AZL VIP JPMorgan US BABYUNIVERSE INC Axesstel Inc Equity BACK YARD BURGERS INC Axiall Corp AZL VIP LMP Large Cap BACKWEB AXIM Biotechnologies Inc Growth TECHNOLOGIES LTD Axion International Holdings AZL VIP MFS Investors Trust Bacterin International Inc AZL VIP MFS Value Holdings Inc Axion Power International Inc AZL VIP Mid Cap Index Badger Meter Inc. AXIS Capital Holdings Ltd AZL VIP Moderate Index BAETA Corp Axis Technologies Group Inc Strategy Baidu Inc AXM PHARMA INC AZL VIP Morgan Stanley Mid Baillie Gifford EAFE Axogen Inc Cap Growth Baillie Gifford Emerging Axon Enterprise Inc AZL VIP MVP BlackRock Markets Axonics Modulation Global Strategy Plus Baillie Gifford Global Alpha Technologies Inc AZL VIP MVP Fusion Equity AXONYX INC Dynamic Balanced Baillie Gifford International Axos Financial Inc AZL VIP MVP Fusion Equity Axovant Gene Therapies Ltd Dynamic Moderate Bain Capital Specialty AXP Blue Chip Advantage AZL VIP MVP Fusion Growth Finance Inc AXP CA TxEx AZL VIP MVP Growth Index Baird Aggregate Bond AXP Life Series Equity Strategy Baird Core Plus Bond AXP Life Series Managed AZL VIP MVP Moderate Baird Intermediate Bond AXP Partners Small Cap Index Strategy Baird Mid Cap Growth AZL VIP MVP T Rowe Price Baird Quality Intermediate AXP Research Opportunities Capital Appreciation Plus Municipal Bond Axsome Therapeutics Inc AZL VIP OCC Renaissance Baird Short Bond AXS-ONE INC AZL VIP OCC Value Baird Ultra Short Bond
Page 17
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
BAIRNCO CORP Bank of Commerce Holdings BARR PHARMACEUTICALS Baja Mining Corp Bank of Florida Corp INC BakBone Software Inc Bank of Granite Corp Barra Inc Baker Hughes a GE Co Bank of Hawaii Corp Barracuda Networks Inc BAKER HUGHES a GE Co Bank of Ireland Barrick Gold Corp LLC Bank of Kentucky Financial Barrier Therapeutics Inc BAKERS FOOTWEAR Corp BARRY (R G) CORP GROUP INC Bank of Marin Bancorp Barzel Industries Inc Balchem Corp Bank of Montreal BASELINE OIL & GAS BALDOR ELECTRIC CO Bank of New York Mellon CORP Baldwin Technology Co Inc Corp (The) BASF AG Ball Corp Bank of South Carolina Corp Basic Energy Services Inc Ballantyne Strong Inc Bank of the Carolinas BASIN WATER INC Ballard Power Systems Inc Bank of the James Financial Bassett Furniture Industries BALLY TECHNOLOGIES Group Inc Inc. INC Bank of the Ozarks Battle Mountain Gold BALLY TOTAL FITNESS Bank One Corp Exploration Corp HLDG CP Bank Tokyo-Mitsubishi BAUSCH & LOMB INC Balqon Corp Bank7 Corp Bausch Health Cos Inc Baltia Air Lines Inc BankFinancial Corp Baxalta Inc Baltic Trading Ltd BankGuam Holding Co BAXTER INTERNATIONAL Bam Entertainment Inc Banks.com Inc INC Banc of California Inc BANKUNITED FINANCIAL Bay Bancorp Inc BancFirst Corp CORP Bay Banks of Virginia Inc BANCINSURANCE CORP BankUnited Inc BAY NATIONAL CORP Banco Bilbao Vizcaya Bankwell Financial Group Inc BAY VIEW CAPITAL CORP Argentaria SA (BBVA) BANTA CORP BayCom Corp Banco De Chile Bar Harbor Bankshares Baycorp Holdings Corp BANCO ITAU HLDG BARAN GROUP LTD BAYER AG FINANCEIRA Barclays Glbl Inv Asset Alloc BAYER SCHERING Banco Latinoamericano de Barclays Glbl LifePath 2010 PHARMA AG Comercio Exterior SA Barclays Government Money Baylake Corp Banco Macro SA Market BAYOU CITY Banco Santander Mexico SA BARD (C.R.) INC EXPLORATION INC Banco Santander SA BARE ESCENTUALS INC Baytex Energy Corp Banco Santander-Chile Barfresh Food Group Inc Bazaarvoice Inc Bancolombia Sa Barnes & Noble Education BB HOLDINGS LTD Bancorp Inc (The) Inc BB&T Corp Bancorp of New Jersey Inc Barnes & Noble Inc BB&T Intrmd US Govt Bond Bancorp Rhode Island Inc Barnes Group Inc BB&T Large Cap BancorpSouth Inc. Barnesandnoble.Com Inc BB&T Large Cap Growth BancTrust Financial Group Barneys New York Inc BBB Managed Account Inc Barnwell Industries Inc Completion Shares BANDAG INC Baron Asset BBH Core Select Bandwidth Inc Baron Emerging Markets BBH Limited Duration Bank Butterfield & Son Ltd Baron Growth BBH Partner Fund - Bank First National Corp Baron Partners International Equity Bank Holdings Inc. (The) Baron Real Estate BBH Real Return Bank Mutual Corp Baron Small Cap BBH TxEx Money Bank of America Corp Baron Var Capital Asset BBH US Government Money Bank Of Bermuda Ltd Market
Page 18
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
BBIF Govt Sec BELLUS Health Inc BIF Government Securities BBIF Money BELMONT BANCORP BIF Money BBIF Treasury Belo Corp. BIF NJ Muni BBIF TxEx BEMA GOLD CORP BIF NY Muni BBMF CORP Bemis Co Inc BIF OH Muni BBVA Banco Frances SA BENCHMARK BIF Treasury BBX Capital Corp BANKSHARES INC BIF TxEx BBX Capital Corporation Benchmark Electronics Inc Big 5 Sporting Goods Corp BCB Bancorp Inc Beneficial Bancorp Inc Big Cat Energy Corp BCE Inc. Benefitfocus Inc Big Lots Inc BCSB Bancorp Inc BENETTON GROUP SPA BIG SKY ENERGY CORP BEA SYSTEMS INC Benihana Inc BigBand Networks Inc Beach First National Benjamin Franklin Bancorp Biglari Holdings Inc Bancshares Inc Inc Bilibili Inc Beacon Federal Bancorp Inc BENNETT Bimini Capital Management Beacon Power Corp ENVIRONMENTAL INC Inc BEACON ROOFING Bentley Pharmaceuticals Inc. BINDVIEW DEVELOPMENT SUPPLY INC Berger Growth CORP Beam Inc Berger Holdings Ltd Bio Blast Pharma Ltd Bear State Financial Inc Berger Small Company Bio Reference Laboratories Bear Stearns Companies Inc Growth Inc (The) Berkley (W.R.) Corp BioAmber Inc Bear Stearns Prime Money BERKSHIRE BANCORP INC BIOANALYTICAL SYSTEMS Mrkt Berkshire Hathaway Inc INC BEARD CO Berkshire Hills Bancorp Inc Bio-Bridge Science Inc BearingPoint Inc. Berliner Communications Inc BioCardia, Inc. Beasley Broadcast Group Inc Berry Global Group Inc Bioceres Crop Solutions Corp Beazer Homes USA Inc. Berry Petroleum Corp BioClinica Inc BEBE STORES INC Berwyn Income BIOCORAL INC Beckman Coulter Inc BESI-BE SEMICONDUCTOR BIOCRYST Becton Dickinson and Co INDS PHARMACEUTICALS INC Bed Bath & Beyond Inc. Besra Gold Inc BIOCUREX INC Bedford Bancshares Inc Best Buy Co Inc BioDelivery Sciences BEDFORD PROPERTY Betawave Corp International Inc INVESTORS BEVERLY ENTERPRISES BIOENVISION INC Beeston Enterprises Ltd BEVERLY HILLS BANCORP BioForce Nanosciences Behringer Harvard INC Holdings Inc Opportunity REIT I Inc Beverly National Corp BioForm Medical Inc BEI TECHNOLOGIES INC BEXIL CORP Biogen Inc BeiGene Ltd BeyondSpring Inc Biohaven Pharmaceutical BEKEM METALS INC BF ENTERPRISES INC Holding Co Limited Bel Fuse Inc. BG GROUP PLC Bioheart Inc Belden Inc BG Medicine Inc BIOJECT MEDICAL Belk Inc. BG Staffing Inc TECHNOL Bell Canada Intl Inc BGC Partners Inc BIO-KEY INTERNATIONAL Bell Industries Inc. Bha Group Holdings Inc INC Bell Microproducts Inc BHP Group Ltd BioLargo Inc Bellatrix Exploration Ltd BHP Group Plc Biolase Inc Bellerophon Therapeutics Inc BIDZ.com Inc BIOLIFE SOLUTIONS INC Bellicum Pharmaceuticals Inc BIF CA Muni BIO-LOGIC SYSTEMS BELLSOUTH CORP BIF CT Muni CORP
Page 19
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Biomarin Pharmaceutical Inc Bjurman Barry Micro Cap BlackRock Capital BioMed Realty Trust Inc Growth Appreciation BIOMET INC BKF CAPITAL GROUP INC BlackRock Capital BIOMIMETIC Black & Decker Corp (The) Investment Corp THERAPEUTICS INC BLACK BOX CORP BlackRock Cash Funds: Instl Bion Environmental Tech Inc BLACK HILLS CORP BlackRock Cash Funds: Bionovo Inc Black Knight Inc Prime Biopack Environmental Black Ridge Acquisition BlackRock Cash Funds: Solutions Inc Corporation Treasury Bio-Path Holdings Inc Black Stone Minerals LP BlackRock Core Bond BIOPHAN TECHNOLOGIES Blackbaud Inc BlackRock Core Bond Trust INC BlackBerry Ltd BlackRock CoreAlpha Bond Bioprogress Plc Blackboard Inc BlackRock Corporate High BIOPURE CORP Blackhawk Network Holdings Yield Fund III Inc Bio-Rad Laboratories Inc. Inc BlackRock Corporate High Bioscrip Inc BlackLine Inc Yield Fund Inc BioShaft Water Technology BlackRock 60/40 Target BlackRock Corporate High Inc Allocation Yield Fund V Inc BIOSITE INC BlackRock Advantage Global BlackRock Credit Allocation BioSolar Inc BlackRock Advantage Income Trust BIOSOURCE International BlackRock Credit Allocation INTERNATIONAL INC BlackRock Advantage Large Income Trust II Inc BioSpecifics Technologies Cap Core BlackRock Credit Strategies Corp BlackRock Advantage Large Income BioSphere Medical Inc Cap Core V.I. BlackRock Debt Strategies Biostar Pharmaceuticals Inc BlackRock Advantage Large Fund Inc Biota Pharmaceuticals, Inc. Cap Growth BlackRock Dynamic High Bio-Techne Corp BlackRock Advantage Large Income Biotechnology Ultrasector Cap Value BlackRock Emerging Market ProFund BlackRock Advantage Small Long/Short Equity BioTelemetry Inc Cap Core BlackRock Emerging Markets BioTime Inc BlackRock Advantage Small BlackRock Energy & BIOVERIS CORP Cap Growth Resources BioXcel Therapeutics Inc BlackRock Advantage US BlackRock Energy and BIRKS & MAYORS INC Total Market Resources Trust Birner Dental Management BlackRock Aggregate Bd BlackRock Enhanced Capital Services Inc Index and Income Fund Inc Bishop St Money Mkt BlackRock AllCp Energy & BlackRock Enhanced Equity Bishop St Treas MM Resources Dividend Trust Bison Capital Acquisition BlackRock AMT Free Muni BlackRock Enhanced Equity Corp BlackRock Aurora Yield & Premium Fund Inc BISYS GROUP INC BlackRock Balanced BlackRock Enhanced Equity Bitcoin Investment Trust BlackRock Balanced Capital Yield Fund Inc Bitstream Inc BlackRock Basic Value BlackRock Enhanced Global BIW LTD BlackRock Basic Value V.I. Dividend Trust BJ SERVICES CO BlackRock Bond BlackRock Enhanced BJ'S RESTAURANTS INC BlackRock CA Muni International Dividend Trust BJ's Wholesale Club Opportunities BlackRock Equity Dividend Holdings Inc BlackRock California BlackRock Equity Dividend BJ's Wholesale Club Inc. Municipal Income Trust Trust BlackRock Euro
Page 20
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
BlackRock Event Driven Blackrock Inv Qual Term Tr BlackRock Liquidity T-Fund Equity BlackRock Investment BlackRock Liquidity Treasury BlackRock Floating Rate Quality Municipal Trust Inc. Trust Income (The) BlackRock Long Duration BlackRock Floating Rate BlackRock Large Cap BlackRock Long-Horizon Income Strategies Fund Inc BlackRock Large Cap Focus Equity BlackRock Floating Rate Growth BlackRock Low Duration Income Trust BlackRock Latin America Bond BlackRock Focus Value BlackRock Lg Cap Growth BlackRock Managed Inc BlackRock Glbl Alloc Eq BlackRock Mid Cap Growth BlackRock Glbl Alloc V.I. BlackRock Lg Cap Val Equity Equity BlackRock Glbl Growth BlackRock LifePath 2040 BlackRock Mid Cap Value BlackRock Glbl Technology BlackRock Lifepath Dynamic Opportunities BlackRock Glbl Value 2020 BlackRock MM V.I. BlackRock Global Dividend BlackRock LifePath Dynamic BlackRock Money Market BlackRock Global Equity 2030 BlackRock Multi-Asset Income Trust BlackRock LifePath Index Income BlackRock Global Long/Short 2020 BlackRock Multi-Sector Credit BlackRock LifePath Index Income Trust BlackRock Global Long/Short 2025 BlackRock Muni Intermediate Equity BlackRock LifePath Index Duration Fund Inc BlackRock GNMA 2030 BlackRock Muni MM BlackRock Government BlackRock LifePath Index Blackrock Muni Target Term Income V.I. 2035 BlackRock MuniAssets Fund BlackRock Govt Income BlackRock LifePath Index Inc BlackRock Health Sciences 2040 BlackRock Municipal Opportunities BlackRock LifePath Index BlackRock Municipal 2018 BlackRock Healthcare 2045 Term Trust BlackRock High Equity BlackRock LifePath Index BlackRock Municipal 2020 Income 2050 Term Trust BlackRock High Income BlackRock LifePath Index BlackRock Municipal 2030 BlackRock High Yield Bond 2055 Target Term Trust BlackRock High Yield Muni BlackRock LifePath Index BlackRock Municipal Income Blackrock Inc Retirement Quality Trust BlackRock Income BlackRock Limited Duration BlackRock Municipal Income Opportunity Trust Inc. Income Trust Trust BlackRock Income Trust Inc. BlackRock Liquidity CA BlackRock Municipal Income (The) Money Trust II BlackRock Inflation Protected BlackRock Liquidity Federal BlackRock MuniEnhanced Bond Trust Fund Inc BlackRock Insured Municipal BlackRock Liquidity FedFund BlackRock MuniHoldings 2008 Term Trust Inc. (The) BlackRock Liquidity California Quality Fund Inc BlackRock Insured Municipal MuniCash BlackRock MuniHoldings Term Trust Inc. (The) BlackRock Liquidity Investment Quality Fund BlackRock International MuniFund BlackRock MuniHoldings BlackRock International BlackRock Liquidity NY New Jersey Quality Fund Inc Dividend Money BlackRock MuniHoldings BlackRock Intl Bond BlackRock Liquidity New York Quality Fund Inc BlackRock Intl Equity TempCash BlackRock MuniHoldings BlackRock Intl Value BlackRock Liquidity Quality Fund II Inc BlackRock Intl Value V.I. TempFund
Page 21
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
BlackRock MuniVest Fund II BlackRock Series Global BLAST ENERGY SERVICES Inc Allocation INC BlackRock MuniVest Fund BlackRock Series Lg Cap BLASTGARD INTL INC Inc Core BLDRS Emerging Markets 50 BlackRock MuniYield BlackRock Series MM ADR Index Fund California Fund Inc BlackRock Short Term Bond Block H&R Inc BlackRock MuniYield BlackRock Short Term Muni BLOCKBUSTER INC California Quality Fund Inc BlackRock Small Cap Growth BLONDER TONGUE LABS BlackRock MuniYield Fund II INC Inc BlackRock Small Mid Growth Bloom Energy Corp BlackRock MuniYield BlackRock SmCap Val Eq Bloomin' Brands Inc Michigan Quality Fund Inc BlackRock Sr Floating Rate Blount International Inc. BlackRock MuniYield New BlackRock Sr Floating Rate 2 Blucora Inc York Quality Fund Inc BlackRock Strategic Dividend Blue Apron Holdings Inc BlackRock MuniYield Quality Achievers Trust Blue Bird Corp Fund II Inc BlackRock Strategic Income Blue Buffalo Pet Products Inc BlackRock MuniYield Quality Opportunities Blue Calypso Inc Fund III Inc BlackRock Strategic Muni Blue Capital Reinsurance BlackRock MuniYield Quality Opportunities Holdings Ltd Fund Inc BlackRock Tactical BLUE COAT SYSTEMS INC BlackRock National Muni Opportunities BLUE DOLPHIN ENERGY BlackRock Natural BlackRock Taxable Municipal CO Resources Bond Trust Blue Earth Inc BlackRock NJ Muni Bond Blackrock TCP Capital Corp Blue Hills Bancorp Inc BlackRock NY Municipal BlackRock Technology Blue Holdings Inc Opportunities Opportunities Blue Martini Software Inc BlackRock PA Muni Bond BlackRock Total Return Blue Nile Inc BlackRock PA Muni MM BlackRock Total Return V.I. Blue Rhino Corp BlackRock PA TxFr Inc BlackRock Treasury BLUE RIDGE REAL ESTATE BlackRock Pacific Strategies Institutional CO BlackRock Preferred BlackRock U.S. Government bluebird bio Inc Opportunity Trust Bond Bluefire Ethanol Fuels Inc BlackRock Premier BlackRock US Treas MM Bluefly Inc Government Institutional BlackRock Value Opport V.I. Bluegreen Vacations BlackRock Real Asset Equity BlackRock World Investment Corporation Trust Trust Blueknight Energy Partners Blackrock Resources & Blacksands Petroleum Inc LP Commodities Strategy Trust Blackstone / GSO Senior BlueLinx Holdings Inc BlackRock S&P 500 Index Floating Rate Term Fund Bluephoenix Solutions Ltd BlackRock S&P 500 Index Blackstone / GSO Strategic Blueprint Medicines Corp Equity Credit Fund Bluerock Residential Growth BlackRock S&P 500 Index Blackstone Alternative Multi REIT Inc V.I. Manager Blyth Inc BlackRock Science and Blackstone Alternative Multi BMB Munai Inc Technology Trust Strategy Bmc Industries Inc/Mn BlackRock Select Treasury Blackstone Group LP (The) BMC Software Inc Strategies Institutional Blackstone Mortgage Trust BMC Stock Holdings, Inc. BlackRock Senior High Inc BMO Aggregate Bond Income Fund Inc BladeLogic Inc BMO Balanced Allocation BlackRock Series Balanced BLAIR CORP BMO Govt Money Market Cap BMO Intermediate TxFr
Page 22
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
BMO Prime Money Mkt Boardwalk Pipeline Partners BorgWarner Inc BMO Pyrford International LP Borland Software Corp Stock Bob Evans Farms Inc. BORQS TECHNOLOGIES BMO Small Cap Growth BOC GROUP PLC INC BMO Tax Free Money Market Boca Resorts Inc BOSTON ACOUSTICS INC BMO TCH Core Plus Bond BODISEN BIOTECH INC Boston Beer Co Inc. (The) BMO Ultra Short Tax Free Body Central Corp Boston Co Intl Small Cap BMP Sunstone Corp BOE Financial Services of Boston Communications BNC Bancorp Virginia Inc Group Inc BNCCORP INC Boeing Co Boston Omaha Corporation BNP RESIDENTIAL BofA CA TxEx Reserves Boston Partners All Value PROPERTIES BofA Cash Reserves Boston Partners Global BNY Hamilton Core Bond BofA Government Plus Equity BNY Hamilton Enhanced Inc Reserves Boston Partners Global BNY Hamilton Intrmd TxEx BofA Government Reserves Long/Short BNY Hamilton Large Cap BofA MA Muni Reserves Boston Partners Long/Short Growth BofA MMF Reserves Equity BNY Hamilton NY TxFr MM BofA Muni Reserves Boston Partners Long/Short BNY Hamilton Small Cap Gro BofA NY TxEx Reserves Research BNY Mellon Balanced BofA Treasury Reserves Boston Partners Small Cap BNY Mellon Bond BofA TxEx Reserves Value II BNY Mellon Corporate Bond Bogen Communications Intl Boston Private Financial BNY Mellon Emerging Bogle Small Cap Growth Holdings Inc Markets Bohai Pharmaceuticals Boston Properties Inc BNY Mellon Focused Equity Group Inc Boston Scientific Corp Opportunities Boingo Wireless Inc Bostonfed Bancorp Inc BNY Mellon Government BOIS D ARC ENERGY INC BOTTOMLINE Money Market Boise Cascade Co TECHNOLOGIES INC BNY Mellon Income Stock Boise Inc Boulder Brands Inc BNY Mellon International Bojangles' Inc Boulder Growth & Income BNY Mellon Intl Appreciation BOK Financial Corp Fund Inc. BNY Mellon Intrmd Bond BOLT TECHNOLOGY CORP Boulder Total Return Fund BNY Mellon Large Cap Stock BOMBAY CO INC Inc. BNY Mellon MA Intrmd Muni Bon Ton Stores Inc (The) Boulevard Acquisition Corp II BNY Mellon Mid Cap Multi- Bonanza Creek Energy Inc Bowl America Inc Strategy Bonanza Goldfields Corp Bowne & Co Inc BNY Mellon Municipal Bonds.com Group Inc Box Ships Inc Opportunities Bone Biologics Corp BOYD GAMING CORP BNY Mellon Natl Intrmd Muni BONE CARE BOYDS COLLECTION LTD BNY Mellon Natl Muni MM INTERNATIONAL INC BOYKIN LODGING CO BNY Mellon Natl Short Muni BONSO ELECTRONIC INTL BP Midstream Partners LP BNY Mellon PA Intrmd Muni INC BP PLC BNY Mellon Sh US Gov Sec Booking Holdings Inc BPI Energy Holdings Inc BNY Mellon Small Cap Multi BOOKS-A-MILLION INC BPW Acquisition Corp Strategy Boomerang Systems Inc BPZ Resources Inc BNY Mellon Small/Mid Cap Boot Barn Holdings Inc BRADESCO BANCO BNY Mellon Tax Sensitive Boots & Coots Inc BRADLEY Large Cap Multi-Strategy Booz Allen Hamilton Holding PHARMACEUTICL -CL A BOARDWALK BANCORP Corp BRADY CORP INC Borderfree Inc Braemar Hotels & Resorts Boardwalk Equities Inc BORDERS GROUP INC Inc
Page 23
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Brandes Emerging Markets Bridge Builder Municipal BrighthouseI ClearBridge Value Bond Aggressive Growth Brandes International Equity Bridge Builder Small/Mid Cap BrighthouseI Fidelity Brandes International Small Growth Institutional Asset Cap Equity Bridge Builder Small/Mid Cap Management Government BRANDPARTNERS GROUP Value BrighthouseI Harris OAK INC BRIDGE STREET International Brandywine Blue FINANCIAL INC BrighthouseI Invesco Brandywine Realty Trust Bridgeline Software Inc Balanced Risk Allocation BrandywineGLOBAL - Bridgewater Bancshares Inc BrighthouseI Invesco Alternative Credit Bridgeway Aggrsv Investor I Comstock BrandywineGLOBAL - Bridgeway Aggrsv Investor II BrighthouseI Invesco Small Diversified US Large Cap Bridgeway Blue Chip 35 Cap Growth Value Index BrighthouseI JPMorgan Core BrandywineGLOBAL - Global Bridgeway Omni Small Cap Bond Opportunities Bond Value BrighthouseI JPMorgan BrandywineGLOBAL - Bridgeway Omni Tax- Global Active Allocation Unconstrained Bond Managed Small Cap Value BrighthouseI JPMorgan BRASIL TELECOM Bridgeway Small Cap Value Small Cap Value PARTICIPACOES Bridgeway Ultra Small Co BrighthouseI MFS Research BRASKEM SA Mrkt International Brass Eagle Inc BRIDGFORD FOODS CORP BrighthouseI Morgan Stanley Braun Consulting Inc Briggs & Stratton Corp. Mid Cap Growth Bravo Brio Restaurant Group Brigham Exploration Co BrighthouseI Multi-Index Inc Bright Horizons Family Targeted Risk BRAVO FOODS INTL CORP Solutions Inc BrighthouseI Oppenheimer BRAZAURO RESOURCES Bright Scholar Education Global Equity CORP Holdings Limited BrighthouseI PIMCO Inflation Brazil Fast Food Corp Brightcove Inc Protected Bond Brazil Fund Brighthouse Financial Inc BrighthouseI PIMCO Total Brazil Gold Corp BrighthouseI Return Brazos Micro Cap AllianceBernstein Global BrighthouseI Russell 2000 Brazos Small Cap Dynamic Allocation BrighthouseI Schroders BRE Properties Inc. BrighthouseI American Funds Global Multi-Asset BREAKWATER Balanced Allocation BrighthouseI Small Cap RESOURCES LTD BrighthouseI American Funds Value Breeze-Eastern Corp Growth BrighthouseI T. Rowe Price BreitBurn Energy Partners LP BrighthouseI American Funds Large Cap Value BRESLER & REINER INC Growth Allocation BrighthouseI T. Rowe Price BRF SA BrighthouseI American Funds Mid Cap Growth Bridge Bancorp Inc Moderate Allocation BrighthouseI TCW Core Bridge Builder Core Bond BrighthouseI AQR Global Fixed Income Bridge Builder Core Plus Risk Balanced BrighthouseI Templeton Bond BrighthouseI Asset Allocation International Bond Bridge Builder International 100 BrighthouseI Van Eck Global Equity BrighthouseI BlackRock Natural Resources Bridge Builder Large Cap Global Tactical Strategies BrighthouseI Victory Growth BrighthouseI BlackRock High Sycamore Mid Cap Value Bridge Builder Large Cap Yield BrighthouseI Wells Capital Value BrighthouseI Clarion Global Management Mid Cap Value Real Estate
Page 24
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
BrighthouseI Western Asset BrighthouseII Western Asset Bronco Drilling Company Inc Management US Management Strategic Bond BROOKDALE SENIOR Government Opportunit LIVING INC BrighthouseI/Aberdeen BrighthouseII/Artisan Mid Brooke Capital Corp Emerging Markets Equity Cap Value Brookfield Asset BrighthouseI/Artisan BrighthouseII/Dimensional Management Inc International International Small Company Brookfield Canada Office BrighthouseI/Eaton Vance BrighthouseII/Wellington Properties Floating Rate Balanced Brookfield Global Listed Real BrighthouseI/Franklin Low BrighthouseII/Wellington Estate Duration Total Return Core Equity Opportunities Brookfield Infrastructure BrighthouseI/Wellington Brightpoint Inc Partners LP Large Cap Research Brightsphere Investment Brookfield Office Properties BrighthouseII Aggregate Group Plc Inc Bond Index BrightView Holdings Inc Brookfield Property Partners BrighthouseII Asset Brigus Gold Corp LP Allocation 20 BRILLIAN CORP Brookfield Property REIT Inc. BrighthouseII Asset BRILLIANCE CHINA Brookfield Real Assets Allocation 40 AUTOMOTIVE Income Fund Inc BrighthouseII Asset Brinker International Inc. Brookfield Renewable Allocation 60 Brink's Co (The) Partners LP BrighthouseII Asset Brink's Home Security Brookfield Residential Allocation 80 Holdings Inc Properties Inc BrighthouseII Baillie Gifford BRINX RESOURCES LTD Brookline Bancorp Inc International Stock Brio Software Inc Brooklyn Federal Bancorp Inc BrighthouseII Balanced Plus BRISTOL WEST HOLDINGS Brooks Automation Inc BrighthouseII BlackRock INC BROOKSTONE INC Bond Income Bristol-Myers Squibb Co Brooktrout Inc BrighthouseII BlackRock BRISTOW GROUP INC Brown & Brown Inc Capital Appreciation BRITESMILE INC Brown (Tom) Inc BrighthouseII BlackRock BRITISH AIRWAYS PLC Brown Advisory Core Intl Ultra-Short Term Bond British American Tobacco Brown Advisory Emerging BrighthouseII Frontier Mid PLC Markets Select Cap Growth British Energy Plc Brown Advisory Growth BrighthouseII Jennison British Sky Broadcasting Equity Growth Group PLC Brown Advisory Intrmd BrighthouseII MFS Total Britton & Koontz Capital Corp Income Return Brixmor Property Group Inc Brown Advisory Small Cap BrighthouseII MFS Value BROADCAST Fundamental Value BrighthouseII Mid Cap Stock INTERNATIONAL INC Brown Advisory Small Cap Index BROADCASTER INC Gro BrighthouseII MSCI EAFE Broadcom Corp Brown Advisory Sustainable Index Broadcom Inc Growth BrighthouseII Neuberger Broadridge Financial Brown Advisory WMC Japan Berman Genesis Solutions Inc Alpha Opportunities BrighthouseII Stock Index Broadview Opportunity Brown Advisory WMC BrighthouseII T. Rowe Price BROADVISION INC Strategic European Equity Large Growth Broadwind Energy Inc Brown Capital Management BrighthouseII T. Rowe Price BROADWING CORP Small Company Small Growth Brocade Communications Brown-Forman Corp Systems Inc BRP Inc
Page 25
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Brt apartments corp Burlington Stores Inc CAESARS Bruce Fund Burnham US Govt MM ENTERTAINMENT INC Bruker Corp BURZYNSKI RESEARCH Caesarstone Ltd BRUNSWICK BANCORP INSTITUTE CafePress Inc Brunswick Corp Bush Industries -Cl A Cagle's Inc. Bryn Mawr Bank Corp Business First Bancshares CAI International Inc Bsb Bancorp Inc Cal Dive International Inc BSB Bancorp Inc BUSINESS OBJECTS SA Cal Maine Foods Inc BSD Medical Corp BUTLER INTERNATIONAL Caladrius Biosciences Inc Bsp Onelink Inc INC Calamos Asset Management BSQUARE Corp Butler Mfg Co Inc BT GROUP PLC BWAY Holding Co Calamos Convertible BTS Tactical Fixed Income BWC FINANCIAL CORP Calamos Convertible and BTU International Inc BWX Technologies Inc High Income Fund BUCA Inc Byline Bancorp Inc Calamos Convertible BUCKEYE GP HOLDINGS C&D TECHNOLOGIES INC Opportunities and Income LP C&F FINANCIAL CORP Fund BUCKEYE PARTNERS LP C&J Energy Services Inc Calamos Evolving World BUCKEYE TECHNOLOGIES C.H. Robinson Worldwide Growth INC Inc. Calamos Global Dynamic BUCKEYE VENTURES INC C1 Financial Inc Income Fund Buckle Inc. (The) C2 Inc Calamos Global Growth & Bucyrus International Inc CA Daily Tax Free Income Buffalo Discovery CA INC Calamos Government MM Buffalo Flexible Income CA TxEx Money Calamos Growth BUFFALO GOLD LTD Cabela's Inc Calamos Growth & Income Buffalo Growth CABG MEDICAL INC Calamos High Yield Buffalo Hi Yield CABLE & WIRELESS PLC Calamos International Buffalo Mid Cap Cable Design Tech Cp -Cl A Growth Buffalo Small Cap Cable One Inc Calamos Market Neutral Buffalo Wild Wings Inc Cabot Corp Income BUHRMANN NV CABOT Calamos Phineus Long/Short Builders FirstSource Inc MICROELECTRONICS Calamos Strategic Total Builders Fixed Income CORP Return Fund Building Materials Holding CABOT OIL & GAS CORP CalAtlantic Group Inc Corp Cache Inc Calavo Growers Inc Bull Run Corp CACI International Inc. CALCITECH LTD BULLDOG TECHNOLOGIES Cactus Inc Caldwell & Orkin Market INC Cadbury PLC Opport BULLION RIVER GOLD Cadence Bancorporation Caledonia Mining Corp Plc CORP Cadence Design Systems Inc Caleres Inc Bulova Corp Cadence Financial Corp Calgon Carbon Corp Bunge Ltd Cadence Pharmaceuticals California Coastal Bunzl PLC Inc Communities Inc Burcon NutraScience Corp CADIZ INC California First National BURLINGTON COAT CADMUS Bancorp FACTORY WRHS COMMUNICATIONS CORP California Independent Bncp BURLINGTON NORTHERN Cadre Reserve US Govt MM California Micro Devices SANTA FE, LLC. CAE Inc. Corp BURLINGTON RESOURCES Caesars Acquisition Co CALIFORNIA OIL & GAS INC CORP
Page 26
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
CALIFORNIA PIZZA Cambiar Small Cap Canopy Growth Corp KITCHEN INC CAMBIOR INC Canplats Resources Corp California Resources Corp Cambium Learning Group Inc Cantel Medical Corp. California Water Service Cambrex Corp Canterbury Park Holding Group CAMBRIDGE ANTIBODY Corp CALIPER LIFE SCIENCES TECH GRP CANTV-CA NAC INC Cambridge Bancorp TELEFONOS VENEZ Calithera Biosciences Inc CAMBRIDGE DISPLAY Canwest Global Com -Nvtg Calix Inc TECH CANYON BANCORP CALL NOW INC Cambridge Heart Inc CANYON RESOURCES Callaway Golf Co CAMCO FINANCIAL CORP CORP CALLISTO Camden Learning Corp CAP ROCK ENERGY CORP PHARMACEUTICALS INC Camden National Corp CAPCO ENERGY INC CALL-NET ENTERPRISES - Camden Property Trust Cape Bancorp Inc CL B Cameco Corp Cape Fear Bank Corp Callon Petroleum Co/DE Cameron International Corp Capella Education Co CallWave Inc CAMPBELL RESOURCES CAPITAL AUTOMOTIVE Calpine Corp INC REIT Calumet Specialty Products CAMPBELL SOUP CO Capital Bancorp Inc Partners LP Camping World Holdings Inc Capital Bank Corp Calvert Balanced Campus Crest Communities Capital Bank Financial Corp Calvert Bond Inc Capital City Bank Group Calvert Cash Reserves Prime Canada Goose Holdings Inc CAPITAL GOLD CORP Calvert Emerging Markets CANADA SOUTHERN Capital Group Global Equity Equity PETROLEUM Capital Group International Calvert Equity Canadian Imperial Bank of Equity Calvert First Govt MM Commerce Capital Growth Systems Inc Calvert Global Water Canadian National Railway Capital Income Builder Inc Calvert Income Co Capital One Financial Corp. Calvert International Equity Canadian Natural Resources Capital Pac Hldgs Inc Calvert Large Cap Growth Ltd Capital Product Partners LP Calvert New Vision Small Canadian Pacific Railway Ltd Capital Properties Inc. Cap Canadian Solar Inc Capital Senior Living Corp Calvert Short Dura Income Canadian Zinc Corp Capital Southwest Corp Calvert TxFr Reserves CA CanAlaska Uranium Ltd CAPITAL TITLE GROUP INC Calvert TxFr Reserves Ltd CANANDAIGUA NATIONAL Capital World Bond Fund Inc Calvert TxFr Reserves MM CORP Capital World Growth & Calvert Ultra Short Duration CANARC RESOURCE Income Fund Inc Income CORP CapitalSource Inc. Calvert US Large Cap Core Canargo Energy Corp CAPITALSOUTH BANCORP Responsible Index Cancer Genetics Inc Capitol Acquisition Corp Calvert VP S&P MidCap 400 CANCERVAX CORP Capitol Acquisition Corp III Index CANDELA CORP Capitol Bancorp Ltd Calvert VP SRI Balanced CANETIC RESOURCES Capitol Federal Financial Inc CALYPTE BIOMEDICAL TRUST Capitol Investment Corp IV CORP Cannabics Pharmaceuticals CapLease Inc Calyxt Inc Inc Capri Holdings Ltd CAM Commerce Solutions Cannabis Therapy Corp Capricor Therapeutics Inc Inc Cannae Holdings Inc CAPSOURCE FINANCIAL Cambiar Intl Equity CANO PETROLEUM INC INC Cambiar Opportunity Canon Inc
Page 27
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
CapStar Financial Holdings CareView Communications Cascadian Therapeutics Inc Inc Inc Cascal NV Capstead Mortgage Corp Carey Watermark Investors Casella Waste Systems Inc Capstone Financial Group Inc Casey's General Stores Inc. Inc CarGurus Inc Cash Accumulation Liq Capstone Therapeutics Corp Caribou Coffee Company Inc Assets Capstone Turbine Corp Carillon Eagle Growth & Cash Accumulation Natl MM Captaris Inc Income Cash America International CAPTIVA SOFTWARE Carillon Eagle Mid Cap Inc. CORP Growth Cash Management Trust Car Charging Group Inc Carillon Eagle Small Cap Cash Reserve Treasury Cara Therapeutics Inc Growth Cash Reserve TxFr Series Caraco Pharmaceuticals Carillon Reams Core Plus Cash Store Financial Laboratories LTD Bond Services Inc (The) Caraustar Industries Inc Carillon Reams CASH SYSTEMS INC CARBO Ceramics Inc. Unconstrained Bond CASI Pharmaceuticals Inc Carbon Black Inc Carillon Scout International CASPIAN INTL OIL CORP Carbon Energy Corp Carillon Scout Mid Cap CASPIAN SERVICES INC Carbon Natural Gas Co Carlisle Companies Inc CASS INFORMATION Carbon Sciences Inc CarMax Inc SYSTEMS INC Carbonite Inc Carmike Cinemas Inc Castle (A M) & Co CardConnect Corp Carnival Corp Castle Brands Inc Cardero Resource Corp Carnival PLC CASTLE ENERGY CORP Cardiac Science Corp Carolina Bank Holdings Inc Castlepoint Holdings Ltd Cardiac Science Inc Carolina Financial Corp Castlight Health Inc Cardica Inc CAROLINA NATIONAL CAT Money Market CARDINAL BANKSHARES CORP Catabasis Pharmaceuticals CORP CARPENTER Inc Cardinal Ethanol LLC TECHNOLOGY CORP Catalent Inc Cardinal Financial Corp CARRAMERICA REALTY CATALINA LIGHTING INC CARDINAL HEALTH INC CORP CATALINA MARKETING Cardinal Resources Inc CARREKER CORP CORP CardioDynamics International Carriage Services Inc Catalyst Health Solutions Inc Corp CARRIER ACCESS CORP Catalyst Hedged Futures CARDIOGENESIS CORP CARRINGTON Strategy CardioGenics Holdings Inc LABORATORIES INC Catalyst Pharmaceutical Inc CardioTech International Inc. Carrizo Oil & Gas Inc CATALYST CardioVascular Carrollton Bancorp SEMICONDUCTOR INC BioTherapeutics Inc CARROLS RESTAURANT Catalyst/Millburn Hedge Cardiovascular Systems Inc GROUP INC Strategy Cardium Therapeutics Inc Cars.com Inc CATALYTICA ENERGY SYS Cardlytics Inc Carter's Inc. INC Cardtronics plc Carvana Co Catamaran Corp Care Capital Properties Inc Carver Bancorp Inc. Catapult Communications Care.com Inc CAS Medical Systems Inc Corp CareDx Inc Cascade Bancorp CatchMark Timber Trust Inc Career Education Corp Cascade Corp CATELLUS DEVELOPMENT CareFusion Corp Cascade Financial Corp CORP CAREGUIDE INC Cascade Microtech Inc Caterpillar Inc CAREMARK RX INC CASCADE NATURAL GAS Cathay General Bancorp CareTrust REIT Inc CORP Cato Corp (The)
Page 28
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Cavalier Homes Inc Celanese Corp CENTRAL COAST CAVALRY BANCORP INC Celator Pharmaceuticals Inc BANCORP Cavanal Hill Government Celcuity Inc Central Europe and Russia Securities Money Market CELEBRATE EXPRESS INC Fund Inc Cavanal Hill TxFr MM Celera Corp Central European Distribution Cavanal Hill US Treasury CELERITEK INC Corp Cavco Industries Inc Celestica Inc Central European Media Cavitation Technology Inc CELGENE CORP Enterprises Ltd Cavium Inc CELL GENESYS INC CENTRAL FEDERAL CORP Cb Bancshares Inc Celldex Therapeutics Inc CENTRAL FREIGHT LINES CB Financial Services Inc Cellectis SA INC CBA Money CELLEGY CENTRAL FUND CANADA - Cbeyond Inc PHARMACEUTICALS INC CL A CBL & Associates Properties Celltech Group Plc Central Garden & Pet Co Inc. Cellular Biomedicine Group Central GoldTrust Cboe Global Markets Inc Inc Central Jersey Bancorp CBOT HOLDINGS INC Cellular Dynamics Central Pacific Financial CBRE Clarion Global Real International Inc Corp. Estate Income Fund CEL-SCI CORP CENTRAL PARKING CORP CBRE Clarion Long/Short Celsion Corp Central Puerto Sa CBRE Group Inc Cementos Pacasmayo SAA Central Securities Corp CBRE REALTY FINANCE Cemex SAB de CV Central Sun Mining Inc INC Cenovus Energy Inc Central Valley Community CBS CORP Centene Corp Bancorp CBTX Inc Centennial Communications Central Vermont Public CCA Industries Inc. Corp Service Corp Ccbt Financial Companies Centennial Government Trust Central Virginia Bankshares Inc Centennial Money Market Inc CCC INFORMATION SVCS Trust CENTRUE FINANCIAL GRP INC Centennial Resource CORP CCF Holding Company Development Inc Century Aluminum Co CCFNB Bancorp Inc Centennial TxEx Trust Century BanCorp Inc C-COR INC Center Coast Brookfield MLP Century Casinos Inc CDC Corp Focus Century Communities Inc CDEX INC Center Financial Corp Century Petroleum Corp CDI Corp. Centerline Holding Co CENTURY REALTY TRUST CDW Corp CENTERPOINT Century Shares Trust CE Franklin Ltd. PROPERTIES TRUST Century Small Cap Select CEB Inc CenterState Bank CenturyLink Inc CEC Entertainment Inc. Corporation Cenveo Inc. CECIL BANCORP INC Centex Corp. Cephalon Inc CECO Environmental Corp. Centillium Communications Cepheid Inc Cedar Fair LP Inc Ceradyne Inc Cedar Realty Trust Inc CENTRA SOFTWARE INC Ceragenix Pharmaceuticals CEDARA SOFTWARE CENTRACORE PPTYS Inc CORP TRUST Ceragon Networks Ltd CEF Govt & Agency Centrais Eletricas Brasileiras Cerecor Inc Securities Sa-Eletrobras CEREPLAST INC CEF Money Market CENTRAL BANCORP CERES GROUP INC Celadon Group Inc INC/MA Ceres Inc CELANESE AG CERIDIAN CORP
Page 29
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Ceridian HCM Holding Inc Charlotte Russe Holding Inc Cherry Hill Mortgage Cerner Corp Charm Communications Inc Investment Corp Certegy Inc Charming Shoppes Inc Chesapeake Corp. Cerulean Pharma Inc Chart Acquisition Corp CHESAPEAKE ENERGY Cerus Corp CHART INDUSTRIES INC CORP Ceva Inc Charter Communications Inc Chesapeake Granite Wash CF Industries Holdings Inc Charter Financial Corp/MD Trust CFC INTERNATIONAL INC Charter One Finl Inc Chesapeake Lodging Trust CFS Bancorp Inc Chartered Semiconductor Chesapeake Utilities Corp. CG Cap Mkts Core Fixed Inc Manufacturing Ltd CHESTER VY BANCORP CG Cap Mkts Emerging CHARTWELL INTL INC INC Market CHARYS HOLDING CO INC Chesterfield Finl Corp CG Cap Mkts Intl Equity CHASE CORP Cheviot Financial Corp CG Cap Mkts Large Cap Chase Growth CHEVRON CORP Equity Chateau Communities Inc Cheyenne Resources Inc CG Cap Mkts Large Cap Val Chatham Lodging Trust Chiasma Inc Eqty CHATTEM INC CHICAGO RIVET & CG Cap Mkts Small Cap Val CHAUS (BERNARD) INC MACHINE CO Eqty CHC Group Ltd Chicopee Bancorp Inc CG Cap Mkts Small-Mid Cap CHDT Corp Chico's FAS Inc. Equity Check Point Software Childrens Place Inc (The) CGM Advisor Targeted Technologies Ltd Chimera Investment Corp Equity CHECKERS DRIVE-IN Chimerix Inc CGM Capital Development RESTAURANT China 3C Group CGM Focus CHECKFREE CORP China Advanced CGM Mutual Checkpoint Systems Inc Construction Materials Group CGM Realty Cheesecake Factory Inc. Inc CH Energy Group Inc. (The) China Agritech Inc CHAD THERAPEUTICS INC Cheetah Mobile Inc China Armco Metals Inc Challenger Energy Corp Chefs' Warehouse Inc (The) China Auto Logistics Inc Chalone Wine Group Ltd Chegg Inc China BAK Battery Inc Champion Enterprises Inc. Chelsea Property Group Inc China Biologic Products CHAMPION INDUSTRIES Chelsea Therapeutics Holdings Inc INC International Ltd China Botanic Champions Oncology Inc Chem RX Corp Pharmaceutical Inc Champlain Mid Cap Chembio Diagnostics Inc. China Bottles Inc Champlain Small Company Chemed Corp China Cablecom Holdings Champnship Auto Racing Chemical Financial Corp Ltd Team ChemoCentryx Inc China Ceramics Co Ltd CHAMPPS ENTMT INC CHEMOKINE China CGame Inc Changyou.com Ltd THERAPEUTICS CORP China Clean Energy Inc ChannelAdvisor Corp Chemours Co (The) China Customer Relations Channell Commercial Corp Chemspec International Ltd Centers Inc Chaparral Energy Inc Chemtura Corp China Digital Animation CHAPARRAL RESOURCES Chemung Financial Corp Development Inc INC Cheniere Energy Inc. CHINA DIGITAL MEDIA CHAPARRAL STEEL CO Cheniere Energy Partners LP CORP CHAPEAU INC Cheniere Energy Partners LP China Digital TV Holding Co Charles & Colvard Ltd Holdings LLC Ltd Charles River Laboratories Cherokee Inc China Direct Industries Inc International Inc Cherokee International Corp
Page 30
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
China Distance Education China Marine Food Group China Solar & Clean Energy Holdings Ltd Ltd Solutions Inc China Dongsheng China Mass Media Corp China Southern Airlines Co International Inc China MediaExpress Ltd China Eastern Airlines Corp Holdings Inc China Sun Group High-Tech Ltd China Medicine Corp Co China Education Alliance Inc CHINA METRO-RURAL China Sunergy Co Ltd China Energy Recovery Inc HOLDINGS LTD China Techfaith Wireless China Environmental China Ming Yang Wind Communication Technology Protection Inc Power Group Ltd Ltd China Executive Education China Mobile Games and China Technology Corp Entertainment Group Ltd Development Group CP CHINA FINANCE INC China Mobile Ltd China Tel Group Inc China Finance Online Co Ltd China Natural Gas Inc China Telecom Corp Ltd China Fire & Security Group China Natural Resources Inc China TopReach Inc Inc China Nepstar Chain China TransInfo Technology China Fund Inc. (The) Drugstore Ltd Corp China GengSheng Minerals CHINA NETCOM GROUP China Unicom (Hong Kong) Inc CORP Ltd China Gerui Advanced China Networks International China United Insurance Materials Group Ltd Holdings Ltd Service Inc China Green Agriculture Inc China New Borun Corp China Valves Technology Inc China GrenTech Corp Ltd China New Energy Group Co China Voice Holding Corp China Healthcare Acquisition China North East Petroleum China VoIP & Digital Telecom Corp Holdings Ltd Inc China Housing & Land China Nuokang Bio- China Water and Drinks Inc Development Inc Pharmaceutical Inc China Wind Systems Inc China Hydroelectric Corp China Nutrifruit Group Ltd China XD Plastics Co Ltd China Industrial Steel Inc China Opportunity Acquisition China Yida Holding Co China Industrial Waste Corp China Yili Petroleum Co Management Inc China Organic Agriculture Inc China Yuchai International China Information China Pharma Holdings Inc Ltd Technology Inc China Precision Steel Inc China-Biotics Inc China Infrastructure China Real Estate ChinaCache International Construction Corp Information Corp Holdings Ltd China Infrastructure China Recycling Energy Corp ChinaEdu CORP Investment Corp China Ritar Power Corp ChinaGrowth North China INSOnline Corp China Security & Surveillance Acquisition Corp China Integrated Energy Inc Technology Inc Chindex International Inc China Intelligent Lighting and China Shandong Industries ChipMOS TECHNOLOGIES Electronics Inc Inc (Bermuda) Ltd CHINA IVY SCHOOL INC China Shen Zhou Mining & Chipmos Technologies Inc China Jianye Fuel Inc Resources Inc Chipotle Mexican Grill Inc China Jo-Jo Drugstores Inc China Shengda Packaging Chippac Inc China Kanghui Holdings Group Inc Chiquita Brands International China Kangtai Cactus China Shenghuo Inc Biotech Inc Pharmaceutical Holdings Inc Chiron Capital Allocation China Lending Corp China Shoe Holdings Inc CHIRON CORP China Life Insurance Co Ltd China ShouGuan Mining Chisen Electric Corp China Lithium Technologies Corp CHITTENDEN CORP Inc China Sky One Medical Inc
Page 31
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Choice Hotels International CINRAM INTL INCOME CLARK INC Inc. FUND Clarkston Partners Choice One Communication CINTAS CORP Clarus Corp Inc CINTEL CORP CLASSIC BANCSHARES Choiceone Financial Services Cipher Pharmaceuticals Inc INC Inc CIRCOR International Inc Claude Resources Inc CHOICEPOINT INC CIRCUIT CITY STORES INC Claxson Interactve Group CHOLESTECH CORP Cirrus Logic Inc. CLAYMONT STEEL HLDGS CHORDIANT SOFTWARE CISCO SYSTEMS INC INC INC Cision Ltd Clayton Holdings Inc Christopher & Banks Corp. CIT Group Inc Clayton Homes Inc ChromaDex Corp Citadel Broadcasting Corp. Clayton Williams Energy Inc CHROMCRAFT Citi CA TxFr Reserve Clean Coal Technologies Inc REVINGTON INC Citi CT TxFr Reserves Clean Diesel Technologies CHRONIMED INC Citi Trends Inc Inc Chubb Corp CITIGROUP INC Clean Energy Fuels Corp Chubb Ltd CITIZENS & NORTHERN Clean Harbors Inc Chunghwa Telecom Co Ltd CORP Clean Power Technologies Church & Dwight Co. Inc. Citizens Bancorp of Virginia Inc Churchill Capital Corp Inc Clean Systems Technology Churchill Downs Inc Citizens Community Bancorp Gp Churchill TxFr Kentucky Inc Cleantech Biofuels Inc Churchill Ventures Ltd Citizens Core Growth Clear Channel Outdoor Chuy's Holdings Inc Citizens Financial Corp/WV Holdings Inc CHYRON CORP Citizens Financial Group Inc CLEAR CHOICE FINANCIAL CIA ENERGETICA DE Citizens Financial Services INC MINAS Inc Clear Skies Solar Inc CIB Marine Bancshares Inc Citizens First Bancorp Inc CLEARANT INC CIBA SPECIALTY Citizens First Corp ClearBridge Aggressive CHEMICALS CITIZENS FIRST FINL Growth CIBC Atlas Disciplined Equity CORP ClearBridge All Cap Value CIBC Atlas Mid Cap Equity CITIZENS HOLDING CO ClearBridge American CIBER Inc. Citizens Inc. Energy MLP Fund Inc CIBT Education Group Inc Citizens Republic Bancorp ClearBridge Appreciation Cidara Therapeutics Inc Inc ClearBridge Dividend Ciena Corp Citizens South Banking Corp Strategy CIFC LLC Citrix Systems Inc. ClearBridge Energy MLP CIG Wireless Corp City Holding Co Fund Inc CIGMA METALS CORP City National Corp ClearBridge Energy MLP Cigna Money Market City Office REIT Inc Opportunity Fund Inc CIGNA Variable Money Civeo Corp ClearBridge Energy MLP Market Civista Bancshares Inc Total Return Fund Inc CIM Commercial Trust CIVITAS BANKGROUP INC ClearBridge Large Cap Corporation Civitas Solutions Inc Growth Cima Labs Inc CKE Restaurants Inc. ClearBridge Large Cap Value Cimarex Energy Co. CKX Inc. ClearBridge Mid Cap Cimpress NV CKX LANDS INC ClearBridge Small Cap Cincinnati Financial Corp CLAIRES STORES INC ClearBridge Small Cap Cinedigm Corp CLARCOR Inc. Growth Cinemark Holdings Inc CLARIENT INC ClearBridge Tactical Dividend Cinergy Corp Clark Holdings Inc Income
Page 32
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
ClearBridge Value Trust CMG Strategic Equity Coca-Cola Femsa SAB De ClearBridge Var Aggressive CMS Energy Corp CV Growth CNA FINANCIAL CORP Coca-Cola HBC AG ClearBridge Var All Cap CNA SURETY CORP Cocrystal Pharma Inc Value CNB BANCORP INC/NY Cocrystal Pharma, Inc. ClearBridge Var Appreciation CNB Corp Coda Octopus Group, Inc. Clearfield Inc CNB FINANCIAL CORP Codexis Inc Clear-Lite Holdings Inc MASS Codorus Valley Bancorp Inc Clearly Canadian Beverage CNB Financial Corp/PA Coeur Mining Inc Corp Cnb Florida Bancshares Inc COFFEE HOLDING CO INC ClearOne Inc CNC Development Ltd Cogdell Spencer Inc ClearPoint Business CNET Networks Inc Cogent Communications Resources Inc CNH Global NV Holdings Inc Clearside Biomedical Inc CNH Industrial N.V. Cogent Inc ClearSign Combustion Corp CNL Lifestyle Properties Inc Cogentix Medical Inc Cleartronic Inc CNO Financial Group Inc Cognex Corp Clearwater Paper Corp Cnooc Ltd Cognizant Technology Clearway Energy Inc Cnova NV Solutions Corp Clearwire Corp CNR California Tax Exempt COGNOS INC Cleco Corp Money Market Cogo Group Inc Clementia Pharmaceuticals CNR Prime Money Market Cohbar Inc Inc CNS INC Cohen & Steers Advantage CLEVELAND BIOLABS INC CNS Response Inc Income Realty Fund Cleveland-Cliffs Inc CNS Response, Inc. Cohen & Steers Asia Pacific CLICK COMMERCE INC CNX Gas Corp Realty Clifton Bancorp Inc CNX Midstream Partners LP Cohen & Steers Closed-End CLINICAL DATA INC CNX Resources Corp Opportunity Fund Inc Clipper Fund Coachmen Industries Inc. Cohen & Steers Dividend Clipper Realty Inc Coast Distribution System Majors Fund Clorox Co (The) Inc. Cohen & Steers Global CLOSURE MEDICAL CORP COAST FINANCIAL Income Builder Inc Cloudera Inc HOLDINGS INC Cohen & Steers Global Clough Global Equity Fund Coastal Bancorp Inc Realty Shares Clough Global Opportunities COASTAL BANKING CO Cohen & Steers Inc Fund INC Cohen & Steers Clovis Oncology Inc Coastal Financial Corp Infrastructure Fund Inc CLPS Inc COASTAL FINANCIAL Cohen & Steers Instl Global CLST Holdings Inc CORP/DE Realty Shares ClubCorp Holdings Inc Coastway Bancorp Inc Cohen & Steers Instl Realty CLYVIA INC COATES INTERNATIONAL Cohen & Steers International CM Advisers LTD Realty CM Seven Star Acquisition Cobalt Corp Cohen & Steers Low Corporation Cobalt International Energy Duration Preferred & Income CMA FL Muni Inc Cohen & Steers Ltd Duration CMA MA Muni CoBiz Financial Inc Preferred and Income Fund CMA MI Muni Cobra Electronics Corp Inc CMA NC Muni Coca Cola Consolidated Inc Cohen & Steers MLP Income CMA PA Muni Coca-Cola Co (The) and Energy Opportunity Fund CME Group Inc Coca-Cola European Inc CMG High Yield Bond Partners Plc Cohen & Steers Preferred CMG Small Cap Securities and Income
Page 33
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Cohen & Steers Premium Colonial Financial Services Columbia Corp Income Income Realty Fund Inc Inc Columbia CT Muni Reserves Cohen & Steers Quality Colonial Properties Trust Columbia Daily Cash Income Realty Fund Inc. Colony Bankcorp Inc Reserves Cohen & Steers Real Estate Colony Capital Inc Columbia Daily Income Co Securities Colony Capital, Inc. MM Cohen & Steers Realty Colony Credit Real Estate Inc Columbia Disciplined Core Cohen & Steers REIT and Colony Starwood Homes Columbia Disciplined Growth Preferred and Income Fund COLOR KINETICS INC Columbia Disciplined Value Inc Colorado Bond Shares Columbia Diversified Bond Cohen & Steers REIT and Colorado Goldfields Inc Columbia Dividend Income Utility Income Fund Inc. Colorado Medtech Inc Columbia Dividend Cohen & Steers Select COLT TELECOM GROUP Opportunity Preferred and Income Fund SA Columbia Emerging Markets Inc CoLucid Pharmaceuticals Inc Columbia Emerging Markets Cohen & Steers Worldwide Columbia Bancorp Bond Realty Income Fund Inc Columbia Acorn Emerging Columbia Emerging Markets COHERENT INC Markets Consumer ETF Coherus BioSciences Inc Columbia Acorn Fund Columbia Emerging Markets COHESANT Columbia Acorn International Opportunity TECHNOLOGIES INC Columbia Acorn Intl Select Columbia Energy & Natural Coho Relative Value Equity Columbia Acorn Select Res COHU INC Columbia Acorn USA COLUMBIA EQUITY TRUST COINMACH SERVICE Columbia Adaptive Risk Columbia European Equity CORP Allocation Columbia Federal Securities COLD SPRING CAPITAL Columbia Alternative Beta Columbia Financial Inc INC Columbia AMT-Free Intrmd Columbia Fixed Income Sec Coldwater Creek Inc Muni Bond Columbia Flexible Capital Cole Credit Property Trust IV Columbia Asia Pacific ex- Income Inc Japan Columbia Floating Rate Cole National Corp Columbia Asset Allocation Columbia Global Bond Coleman Cable Inc Columbia Balanced Columbia Global Dividend COLES MYER LTD COLUMBIA BANCORP Opportunity COLEY PHARMACEUTICAL Columbia Banking System Columbia Global Equity GROUP Inc Columbia Global Equity COLGATE-PALMOLIVE CO Columbia Blended Equity Value CollaGenex Pharmaceuticals Columbia Bond Columbia Global Inc Columbia Capital Allocation Infrastructure Collective Brands Inc Aggressive Portfolio Columbia Global Collectors Universe Inc Columbia Capital Allocation Opportunities COLLEGIATE FUNDING Moderate Columbia Global Strategic SERVICES Columbia Capital Allocation Equity Collegium Pharmaceutical Moderate Aggressive Columbia Global Technology Inc Columbia Capital Allocation Growth Collier Creek Holdings Moderate Conservative Columbia Global Value Colliers International Group Columbia Common Stock Columbia Government Inc Columbia Conservative High Money Market COLLINS & AIKMAN CORP Yield Columbia Greater China Collins Industries Inc Columbia Contrarian Core Columbia Growth Colombia Goldfield Ltd Columbia Convertible Sec Columbia Growth & Income Columbia Core Bond Columbia Growth Stock
Page 34
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Columbia High Income Columbia Mid Cap Value Columbia Select Large Cap Columbia High Yield Bond (old) Equity Columbia High Yield Muni Columbia MN TxEx Columbia Select Large Cap Columbia High Yield Opport Columbia Money Market Growth Columbia Income Builder Columbia Mortgage Columbia Select Large Cap Columbia Income Builder II Opportunities Value Columbia Income Columbia Multi Adv Columbia Select Mid Cap Opportunities International Value Value Columbia Inflation Protected Columbia Multi Adv Small Columbia Select Sec Cap Value Opportunities Columbia International Equity Columbia Multi-Manager Columbia Select Small Cap Columbia International Alternatives Strategies Columbia Select Small Cap Growth Columbia Multi-Manager Value Columbia International Stock Directional Alternatives Columbia Seligman Columbia Intl Value Strategies Communication & Information Columbia Intrmd Core Bond Columbia Multi-Manager Columbia Seligman Global Columbia Intrmd Govt Growth Strategies Technology Income Columbia Multi-Manager Columbia Short Bond Columbia Large Cap Growth International Equity Columbia Short Intrmd Bond Columbia Large Cap Growth Strategies Columbia Short Term Bond II Columbia Multi-Manager Columbia Short Term Muni Columbia Large Cap Growth Small Cap Equity Strategies Bond III Columbia Multi-Manager Columbia Sht Intrmd Govt Columbia Large Cap Growth Total Return Bond Strategies Columbia Small Cap Core V Columbia Multi-Manager Columbia Small Cap Growth Columbia Large Cap Index Value Strategies Columbia Small Cap Growth Columbia Large Cap Value Columbia Muni Income II Columbia Large Company Columbia Newport Tiger Columbia Small Cap Index Index Columbia NY Intrmd Muni Columbia Small Cap Value Columbia Lg Cap Enhanced Bond Columbia Small Cap Value II Core Columbia OR Intermediate Columbia Small Company Columbia Liberty Fund Muni Bond Equity Columbia Limited Duration Columbia Overseas Value Columbia Small Company Credit Columbia Pipeline Group Inc Index Columbia MA Intrmd Muni Columbia Pipeline Partners Columbia Small/Mid Cap Bond LP Value Columbia Managed Muni Columbia Portfolio Builder Columbia Sportswear Co Columbia Marsico Growth Conservative Columbia Strategic California Var Columbia Portfolio Builder Municipal Income Columbia Marsico Intl Opp Moderate Aggressive Columbia Strategic Income Columbia Marsico Intl Opp Columbia Portfolio Builder Columbia Strategic Municipal Var Moderate Conservative Income Columbia Marsico Mid Cap Columbia Portfolio Builder Columbia Tax Exempt Growth Total Equity Columbia Tax Managed Columbia Mid Cap Growth Columbia Prime Reserves Growth Columbia Mid Cap Growth Columbia Property Trust Inc Columbia Thermostat Opportunity Columbia Quality Income Columbia Total Return Bond Columbia Mid Cap Index Columbia Real Estate Equity Columbia Ultra Short Term Columbia Mid Cap Value & Columbia Select International Bond Restructuring Equity Columbia US Treasury Index Columbia Utilities
Page 35
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Columbia VA Intrmd Muni COLUMBUS MCKINNON COMMONWEALTH Columbia Value & CORP BANKSHARES INC Restructure COMARCO INC Commonwealth Industries Inc Columbia Var Cash Combanc Inc COMMONWLTH TELE Management CombiMatrix Corp ENTER Columbia Var Global Bond Comcast Corp CommScope Holding Co Inc Columbia Var High Yield COMDISCO HOLDING CO CommScope Inc. Columbia Var High Yield INC COMMUN INTELLIGENCE Bond Comerica Inc Communications Systems Columbia Var Income COMFORCE Corp Inc. Opportunities Comfort Systems USA Inc. COMMUNITY BANCORP Columbia Var Large Cap Comm Bancorp Inc INC/CA Value Command Government Community Bancorp/Nj Columbia Var Managed Portfolio Community Bancorp/NV Volatility Conservative Command Money Mkt Community Bancorp/VT Columbia Var Mid Cap Portfolio COMMUNITY Growth Opportunity COMMAND SECURITY BANCSHARES INC/DE Columbia Var Mid Cap Value CORP Community Bank System Inc. Opportunity Command TxFr Money Community Bankers Trust Columbia Var Sm Cap Value Portfolio Corp Columbia Var Strategic Inc COMMERCE BANCORP COMMUNITY BANKS INC Columbia Variable Balanced INC/NJ Community Bankshares Inc. Columbia Variable Contrarian Commerce Bancshares Inc COMMUNITY CAPITAL Core Commerce Bond BANCSHARES Columbia Variable Commerce Cap Govt MM Community Capital Corp Disciplined Core Commerce Cap Treas Oblig Community Central Bank Columbia Variable Dividend MM Corp. Opportunity Commerce CORE Equity Community Financial Corp Columbia Variable Emerging COMMERCE ENERGY (The) Markets GROUP INC COMMUNITY FINANCIAL Columbia Variable Commerce Group Inc. (The) CORP/VA Intermediate Bond Commerce MO TxFr Intrmd Community First Bancorp Columbia Variable Large Cap Commerce One Inc Community First Bancshares Growth COMMERCEFIRST Inc Columbia Variable Large Cap BANCORP INC Community First Bankshares Index CommerceHub Inc Community Health Systems Columbia Variable Limited COMMERCEPLANET INC Inc Duration Credit Commercesouth Inc Community Healthcare Trust Columbia Variable Long Commercial Bancshares Inc Government/Credit Bond Inc/Oh Community Trust Bancorp Columbia Variable Select COMMERCIAL Inc Large Cap Equity BANKSHARES INC Community Valley Bancorp Columbia Variable Select COMMERCIAL CAPITAL Community West Bancshares Large Cap Value BANCORP CommunityOne Bancorp Columbia Variable US COMMERCIAL FEDERAL CommunitySouth Financial Equities Commercial Metals Co Corp Columbia Variable US Govt Commercial National CommVault Systems Inc Mortgage Financial Corp Companhia de Saneamento Columbia VP Overseas Core Commercial Vehicle Group Basico do Estado de Sao Columbia Young Investor Inc Paulo SABESP Columbus Acquisition Corp
Page 36
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Companhia Siderurgica CONCORD CAMERA CORP Constellation Alpha Capital Nacional CONCORD Corp Compania Cervecerias COMMUNICATIONS INC Constellation Brands Inc Unidas SA Concord Efs Inc Constellation CIP Ultra Short COMPASS BANCSHARES Concord Medical Services Fixed Income INC Holdings Ltd Constellation Energy Group Compass Diversified CONCORDE CAREER Inc. Holdings COLLEGES INC Constellation Compass Minerals Concordia International Corp Pharmaceuticals Inc International Inc. Concrete Pumping Holdings Constellium NV Compellent Technologies Inc Inc Construction Partners inc COMPETITIVE Concur Technologies Inc Consumer Discretionary TECHNOLOGIES INC Concurrent Computer Corp Select Sector SPDR Fund COMPEX TECHNOLOGIES Condor Hospitality Trust Inc (The) INC Cone Mills Corp Consumer Portfolio Services Complete Genomics Inc Conestoga Small Cap Inc Complete Production CONEXANT SYSTEMS INC Consumer Staples Select Services Inc ConforMIS Inc Sector SPDR Fund (The) COMPOSITE Congress Mid Cap Growth Consumers Bancorp Inc TECHNOLOGY CORP CONMED Corp Container Store Group Inc Compton Petroleum Corp Conmed Healthcare (The) Compucom Systems Inc Management Inc Contango Oil & Gas Co COMPUDYNE CORP Connecticut Bancshares Inc Contango ORE Inc Compugen Ltd Connecticut Water Service Continental Airlines Inc. Computer Access Tech Corp Inc Continental Building Products Computer Horizons Corp. ConnectOne Bancorp Inc Inc COMPUTER NETWORK Connecture Inc CONTINENTAL ENERGY TECH CORP CONNETICS CORP CORP Computer Programs and Cono Italiano Inc Continental Fuels Inc Systems Inc CONOCOPHILLIPS CONTINENTAL MATERIALS Computer Task Group Inc CONOR MEDSYSTEMS INC CORP Computerized Thermal Conrad Industries Inc Continental Minerals Corp Imaging CONSOL Coal Resources LP Continental Resources Inc COMPUWARE CORP CONSOL Energy Inc CONTINUCARE CORP CompX International Inc. Consolidated Control4 Corp comScore Inc Communications Holdings Contura Energy Inc Comstock Homebuilding Cos Inc Convera Corp Inc Consolidated Edison Inc. CONVERGENCE ETHANOL Comstock Mining Inc CONSOLIDATED ENERGY INC Comstock Resources Inc. INC ConvergeOne Holdings Inc COMSYS IT Partners Inc Consolidated Gems Inc CONVERIUM HOLDING AG Comtech Consolidated Mercantile Inc Conversant Inc Telecommunications Corp. Consolidated Tomoka-Land CONVERSION SERVICES Comverge Inc Co. INTL INC Comverse Technology Inc Consolidated Water Co. Ltd Convio Inc Conagra Brands Inc Consortium Service CON-WAY INC Conatus Pharmaceuticals Inc Management Group Inc Cooper Companies Inc. (The) CONCEPTUS INC Constant Contact Inc Cooper Industries Plc Concert Pharmaceuticals Inc CONSTAR INTERNATIONAL Cooper Tire & Rubber Co Concerto Software Inc INC COOPERATIVE Concho Resources Inc BANKSHARES INC
Page 37
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Cooper-Standard Holdings Cornerstone Strategic Value Countrywide Financial Corp Inc Fund Inc. County Bancorp Inc Copa Holdings SA Cornerstone Therapeutics Inc Coupa Software Inc Copano Energy LLC CornerWorld Corp Courier Corp COPART INC Corning Inc Cousins Properties Inc Copeland Risk Managed Corporacion America Airports COVAD COMMUNICATIONS Dividend Growth SA GROUP Copel-Cia Paranaense Corporate Capital Trust Inc Covance Inc Energia Corporate Office Properties COVANSYS CORP Copernic Inc Trust Inc Covanta Holding Corp COPPER MTN NETWORKS CORRECTIONAL Covenant Transportation INC SERVICES CORP Group Inc COPsync Inc Correvio Pharma Corp Coventry Health Care Inc. Copytele Inc CORRIENTE RESOURCES Cover-All Technologies Inc CORAUTUS GENETICS INC INC Covest Bancshares Inc Corbus Pharmaceuticals Cortex Pharmaceuticals Inc. Covia Holdings Corp Holdings Inc CORTLAND BANCORP Covidien Plc CORCEPT THERAPEUTICS Cortland General MMF Covisint Corp INC Cortland Muni Money Mkt COVISTA CORD BLOOD AMERICA Cortland US Govt COMMUNICATIONS INC INC Cortronix Biomedical COWEN GROUP INC Core Laboratories NV Advancement Technologies Cowen Inc Core Mark Holding Co Inc Inc Cowlitz Bancorporation Core Molding Technologies CORUS BANKSHARES INC Cox Communications -Cl A Inc. Corus Entertainment Inc Cox Radio Inc. CoreCivic Inc CORUS GROUP PLC Coyote Resources Inc Corel Corp Corvas International Inc Cp Ships Ltd CoreLogic Inc CorVel Corp. CPAC INC CorEnergy Infrastructure Corvus Gold Inc CPC OF AMERICA INC Trust Inc Corvus Pharmaceuticals Inc CPEX Pharmaceuticals Inc CorePoint Lodging Inc Cosan Ltd CPFL Energia SA CoreSite Realty Corp COSI INC CPI Aerostructures Inc CORGENTECH INC COSINE CPI Card Group Inc Corgi International Ltd COMMUNICATIONS INC CPI Corp. CORILLIAN CORP Cosmos Holdings Inc CPI INTERNATIONAL INC Corindus Vascular Robotics Cost Plus Inc CPS Technologies Corp Inc Costamare Inc CRA International Inc CORIO INC CoStar Group Inc CRA Qualified Investment Corium International Inc COSTCO WHOLESALE Cracker Barrel Old Country CORIXA CORP CORP Store Inc CorMedix Inc COST-U-LESS INC Craft Brew Alliance Inc Cornell Companies Inc. COTHERIX INC CRAFTMADE Cornerstone Advisors Global Cotiviti Holdings Inc INTERNATIONAL INC Public Equity Cott Corp Crailar Technologies Inc Cornerstone Advisors Public Cotton States Life Insurance Crane Co. Alternatives Coty Inc Crawford & Co CORNERSTONE BANCORP Cougar Biotechnology Inc Cray Inc INC Counsel Corp CRDENTIA CORP Cornerstone Bancorp/SC Counterpath Corp CREATIVE TECHNOLOGY CORNERSTONE RLTY Country Style Cooking LTD INCOME TR I Restaurant Chain Co Ltd CREATIVE VISTAS INC
Page 38
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
CREDENCE SYSTEMS Crinetics Pharmaceuticals Inc CSB Bancorp Inc/OH CORP CRISPR Therapeutics AG CSG Systems International Credicorp Ltd Cristalchile-Cristaler Chile Inc. Credit Acceptance Corp Criteo SA CSI Compressco LP Credit One Financial Inc Critical Path Inc CSK AUTO CORP Credit Suisse Group CRITICAL THERAPEUTICS CSP Inc Credit Suisse High Yield INC CSRA Inc Bond Fd Criticare Systems Inc CSS Industries Inc. Creditriskmonitor.com Inc CRM Holdings Ltd CST Brands Inc CreditSuisse Cap CRM Long/Short CSW Industrials Inc Appreciation Opportunities CSX Corp CreditSuisse Cash Reserve CRM Mid Cap Value CT COMMUNICATIONS INC CreditSuisse Fixed Income CRM Small Cap Value CT Muni Cash CreditSuisse Intl Focus CRM Small Mid Cap Value CTC Media Inc CreditSuisse Large Cap Crocs Inc CTI BioPharma Corp Value Croft Leominster Value CTI MOLECULAR IMAGING CreditSuisse Mid Cap Core CROGHAN BANCSHARES INC CreditSuisse Prime MM INC CTIVP American Century CreditSuisse Small Cap Core Cronos Group (The) Diversified Bond CreditSuisse US Govt Money Cronos Group Inc CTIVP AQR International CreditSuisse VAR Tr Sml Cross (A.T.) Co Core Equity Cap Core 1 Cross Country Healthcare Inc CTIVP DFA International Credo Petroleum Corp Cross Timbers Royalty Trust Value Cree Inc. CrossAmerica Partners LP CTIVP Lazard International CREF Bond Market Crosshair Exploration & Equity Advantage CREF Equity Index Mining Corp CTIVP Loomis Sayles CREF Global Equities Crossroads Systems Inc Growth CREF Growth CROSSTEX ENERGY INC CTIVP Los Angeles Capital CREF Inflation Linked Bond CrowdGather Inc Large Cap Growth Act CROWLEY MARITIME CTIVP MFS Blended CREF Money Market CORP Research Core Equity CREF Social Choice Crown Amer Realty Trust CTIVP MFS Value CREF Stock Crown Castle International CTIVP Morgan Stanley CREO INC Corp Advantage CRESCENT BANKING CO Crown Crafts Inc CTIVP Oppenheimer CRESCENT R E EQUITIES Crown Holdings Inc International Growth INC Crown Media Holdings Inc CTIVP TCW Core Plus Bond CRESTED CORP Crown Pacific Partners -Lp CTIVP TRP Large Cap Value Crestwood Equity Partners CROWN RESOURCES CTIVP Victory Sycamore LP CORP Established Value Crestwood Midstream CRT PROPERTIES INC CTIVP Wells Fargo Short Partners LP Crucell NV, Leiden Duration Government Cresud Sociedad Anonima Crude Carriers Corp CTIVP Westfield Mid Cap Comercial Inmobiliaria CRYO-CELL Growth Financiera y Agro INTERNATIONAL INC CTS Corp CreXus Investment Corp CRYOCOR INC CU Bancorp/CA CRH Medical Corp CryoLife Inc. CubeSmart CRH PLC Crypto Co CUBIC CORP CRIIMI MAE INC Cryptologic Ltd CUBIC ENERGY INC CRIMSON EXPLORATION Crystal River Capital Inc CUBIST INC Crystallex International Corp PHARMACEUTICALS INC
Page 39
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Cue Biopharma Inc CYBERKINETICS NEURO Daily NY TxFr Income MM CUI Global Inc SYS INC Daily TxFr Income MM CUISINE SOLUTIONS INC CyberOptics Corp Daimler AG Cullen Agricultural Holding CyberSource Corp Dakota Plains Holdings Inc Corp Cybex International Inc. Daktronics Inc Cullen High Dividend Equity Cyclacel Pharmaceuticals Inc DALECO RESOURCES Cullen/Frost Bankers Inc CYGENE LABORATORIES CORP Culp Inc. INC Dan River Inc -Cl A Culture Medium Holdings CYGNE DESIGNS INC Dana Inc Corp Cygnus Inc Danaher Corp Cumberland Pharmaceuticals Cymabay Therapeutics Inc Danaos Corp Inc Cymer Inc DANKA BUSINESS Cumberland Resources Ltd Cynapsus Therapeutics Inc SYSTEMS PLC Cummins Inc. Cynosure Inc DANONE (GROUPE) Cumulus Media Inc Cyplasin Biomedical Ltd Danvers Bancorp Inc CUNO INC CYPRESS BIOSCIENCE DARA BioSciences Inc CuraGen Corp INC Darden Restaurants Inc. CURATIVE HEALTH Cypress Energy Partners LP Darling Ingredients Inc SERVICES INC CYPRESS Darwin Professional CURIS INC SEMICONDUCTOR CORP Underwriters Inc CURON MED INC CYREN Ltd DASAN Zhone Solutions Inc CurrencyShares Mexican CyrusOne Inc Daseke Inc Peso Trust CYS Investments Inc Dassault Systemes SA CurrencyShares Swedish Cysive Inc Data Domain Inc Krona Trust Cytec Industries Inc. Data I/O Corp CURRENT TECHNOLOGY CYTOCORE INC Datakey Inc CORP CytoDyn Inc Datalink Corp Curtiss-Wright Corp CYTOGEN CORP DATAMIRROR CORP Cushman & Wakefield Ltd CYTOGENIX INC DATARAM CORP Customers Bancorp Inc Cytokinetics Inc DATASCOPE CORP Cutera Inc Cytomedix Inc DATASTREAM SYSTEMS Cutter & Buck Inc CytomX Therapeutics Inc INC CV Sciences Inc Cytori Therapeutics Inc DATATEC SYSTEMS INC CV THERAPEUTICS INC Cytosorbents Corp DATATRAK CVB Financial Corp CytRx Corp INTERNATIONAL INC CVD Equipment Corp CYTYC CORP Datawatch Corp Cvent Inc D&E Communications Inc Dave & Buster's CVR Energy Inc D&K HEALTHCARE Entertainment Inc CVR Partners LP RESOURCES INC Davenport Value & Income CVR Refining LP D. Medical Industries Ltd DAVI SKIN INC CVS Health Corp D.R. Horton Inc. DAVIDsTEA Inc Cyalume Technologies DADE BEHRING HOLDINGS Davis Appreciation & Income Holdings Inc INC Davis Financial Cyan Inc Daily Assets Davis Global CYANOTECH CORP Daily CT TxFr Income MM Davis Govt MM CYBER DEFENSE Daily Income Money Market Davis New York Venture SYSTEMS INC Daily Income Muni Davis Opportunity CyberArk Software Ltd Daily Income US Govt Davis Real Estate CyberDefender Corp Daily Income US Treasury Davis Value Var Portf Cyberguard Corp Daily Journal Corp DaVita Inc Daily NJ Muni Income MM Dawson Geophysical Co
Page 40
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
DAXOR CORP Delaware Healthcare dELiAs Inc DAYBREAK OIL & GAS INC Delaware High Yield Opport Dell Technologies Inc DayStar Technologies Inc. Delaware Inflation Protected DELPHAX TECHNOLOGIES Dayton Superior Corp Bond INC DBV Technologies S.A. Delaware Intl Value Equity Delphi Financial Group Inc DCB Financial Corp Delaware Large Cap Value Delphi Technologies PLC DCP Midstream LP Delaware Ltd Term DELTA & PINE LAND CO DCT Industrial Trust Inc Diversified Income Delta Air Lines Inc DDi Corp. Delaware Natl High Yield Delta Apparel Inc DE RIGO SPA -ADR Muni Delta Financial Corp Dearborn Bancorp Inc Delaware PT Emerging DELTA NATURAL GAS CO DEB SHOPS INC Markets INC Deciphera Pharmaceuticals Delaware PT Global Fixed DELTA OIL & GAS INC Inc Inc deltathree Inc Deckers Outdoor Corp Delaware PT Global Real Deltek Inc DECODE GENETICS INC Estate Securities Deltic Timber Corp DECOMA INTL INC -CL A Delaware PT Labor Sel Intl DELUXE CORP Decor Products International Eq DemandTec Inc Inc Delaware PT Large Cap Demandware Inc DECORATOR INDUSTRIES Growth Equity Denali Therapeutics Inc INC Delaware Real Estate Inv Denbury Resources Inc. Decorize Inc Trust DENDREON CORP Deep Down Inc Delaware Select Growth DENDRITE DEEP WELL OIL & GAS INC Delaware Small Cap Core INTERNATIONAL INC Deer Park Total Return Delaware Small Cap Value DENISON INTL PLC -ADR Credit Delaware Smid Cap Growth Denison Mines Corp Deere & Co Delaware Trend Denmark Bancshares Inc Dehaier Medical Systems Ltd Delaware TxFr CO Dennys Corp Dejour Energy Inc Delaware TxFr MN DENTSPLY SIRONA Inc Dekania Corp Delaware TxFr MN Insured Derma Sciences Inc Del Frisco's Restaurant Delaware TxFr PA Dermira Inc Group Inc Delaware TxFr USA DERMISONICS INC DEL GLOBAL Delaware TxFr USA Intrmd Descartes Systems Group TECHNOLOGIES CORP Delaware US Growth Inc (The) Del Laboratories Inc Delaware Value DESERT SUN MINING DEL MONTE FOODS CO Delaware VIP Divers Income CORP Del Taco Restaurants Inc Delaware VIP Emerging Mkt Design Within Reach Inc Delaware American Services Delaware VIP High Yield Designer Brands Inc Delaware Balanced Fund Delaware VIP Limited Term Despegar.Com Corp Delaware Cash Reserve Diversified Income Destination Maternity Corp Delaware Corporate Bond Delaware VIP REIT Destination XL Group Inc Delaware Delchester Delaware VIP Small Cap Destinations Core Fixed Delaware Diversified Floating Value Income Rate Delaware VIP Smid Cap Destinations Global Fixed Delaware Diversified Income Growth Income Opportunities Delaware Emerging Markets Delaware VIP Trend Destinations International Delaware Extended Dur Delaware VIP Value Equity Bond Delaware Wealth Builder Destinations Large Cap Delaware Foundation Delcath Systems Inc Equity Moderate Allocation Delek Logistics Partners LP Destinations Multi Strategy Delaware Growth & Income Delek US Holdings Inc Alternatives
Page 41
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Destinations Municipal Fixed DFA 5 Year Global Fixed DFA Municipal Real Return Income Income DFA Real Estate Securities Destinations Small-Mid Cap DFA CA Short Term DFA Selectively Hedged Equity Municipal Bond Global Fixed Income Destiny Media Technologies DFA Commodity Strategy DFA Short Duration Real Inc DFA Continental Small Co Return Deswell Industries Inc DFA Diversified Fixed DFA Short Term Extended Deutsche Alternative Asset Income Quality Allocation DFA Emerging Markets DFA Short Term Municipal Deutsche Bank AG DFA Emerging Markets Core Bond Deutsche Floating Rate Equity DFA Short-Term Government Deutsche Global Small Cap DFA Emerging Markets Sml DFA TA US Core Equity 2 Deutsche Government Cash Cap DFA TA World ex US Core Reserve DFA Emerging Markets Equity Deutsche Government Series Social Core Equity DFA Targeted Credit Cash Reserve Government DFA Emerging Markets DFA Tax Mngd International Deutsche Large Cap Value Value Value Deutsche MA TxFr Muni DFA Enhanced US Large Co DFA Tax Mngd US Equity Deutsche Municipal Income DFA Global 25/75 Port DFA Tax Mngd US Mktwide Trust DFA Global 60/40 Port Value Deutsche Select Alternative DFA Global Equity Port DFA Tax Mngd US Mktwide Allocation DFA Global Real Estate Value II Deutsche Short Muni Bond Securities DFA Tax Mngd US Small Deutsche Small Cap Value DFA Inflation Protected Cap Deutsche Strategic Securities DFA Tax Mngd US Targeted Government Securities DFA Intermediate Govt Fixed Value Deutsche Tax Exempt Income DFA US Core Equity 1 Deutsche Telekom AG DFA Intermediate Term DFA US Core Equity 2 Deutsche Treasury Money Extended Quality DFA US High Relative Deutsche Ultra Short DFA Intermediate-Term Profitability Duration Municipal Bond DFA US Large Cap Equity Deutsche Unconstrained DFA International Core DFA US Large Cap Growth Income Equity DFA US Large Cap Value Deutsche X-trackers Harvest DFA International Real DFA US Large Cap Value III CSI 300 China A-Shares ETF Estate Securities DFA US Large Company Deutsche X-trackers MSCI DFA International Small Cap DFA US Micro Cap EAFE Hedged Equity ETF Value DFA US Small Cap Deutsche X-trackers MSCI DFA International Small DFA US Small Cap Growth Japan Hedged Equity ETF Company DFA US Small Cap Value Deutsche X-trackers USD DFA International Social DFA US Social Core Equity 2 High Yield Corporate Bond Core Equity DFA US Sustainability Core 1 ETF DFA International DFA US Targeted Value DEVCON INTERNATIONAL Sustainability Core 1 DFA US Vector Equity CORP DFA International Value DFA World Core Equity Devon Energy Corp DFA International Value III DFA World ex US Core DEX MEDIA INC DFA International Vector Equity DexCom Inc Equity DFA World ex US DFA 1 Year Fixed Income DFA Investment Grade Government Fixed Income DFA 2 Year Global Fixed DFA Japanese Small DFB Healthcare Acquisitions Income Company Corp DFA Large Cap International DFC Global Corp
Page 42
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
DGSE Companies Inc Digital Realty Trust Inc Direxion Daily Small Cap Bull DHI Group Inc Digital River Inc 3x Shares DHT Holdings Inc Digital Turbine Inc Direxion Dialy Large Cap DHX Media Ltd DIGITALFX Bear 3x Shares Diacrin Inc INTERNATIONAL INC Direxion Shares ETF Trust - Diageo PLC DigitalGlobe Inc Direxion Daily Small Cap DIAGNOSTIC PRODUCTS DIGITALNET HOLDINGS Bear 3X Sha CORP INC Direxion Shares ETF Trust - Dial Corporation DIGITALPOST Direxion Daily Technology Dial Global Inc INTERACTIVE INC Bull 3X Sh Dialogic Inc. Digitalthink Inc DIRT MOTOR SPORTS INC Dialysis Corp of America DIGITALTOWN INC Disaboom Inc Diamante Minerals Inc DIGITAS INC Discover Financial Services Diamond Foods Inc Diguang International Discovery Inc Diamond Hill Corporate Development Co Ltd Discovery Laboratories Inc Credit Diligent Corp DISCOVERY PARTNERS Diamond Hill Investment Dillard's Inc. INTL INC Group Inc Dime Community DISH Network Corp Diamond Hill Large Cap Bancshares Inc Dish TV INDA Ltd Diamond Hill Long Short Dimeco Inc DISTINCTIVE DEVICES INC Diamond Hill Small Cap Dimension Therapeutics Inc Distribucion Y Servicio Diamond Hill Small Mid Cap Dine Brands Global Inc D.Y.S.SA,SAntiago DIAMOND I INC Diodes Inc Distributed Energy Systems Diamond Management & DIOMED HOLDINGS INC Corp. Technology Consultants Inc DIONEX CORP Ditech Networks Inc Diamond Offshore Drilling Dipexium Pharmaceuticals Diversified Growth & Income Inc. Inc Diversified Hi Quality Bond Diamond Resorts Diplomat Pharmacy Inc Diversified II Core Bond International Inc DIRECT GENERAL CORP Diversified II Equity Growth Diamondback Energy Inc DIRECTED ELECTRONICS Diversified II International DIAMONDHEAD CASINO INC Eqty CORP DIRECTV Diversified II Intrmd Horizon DiamondRock Hospitality Co Direxion Commodity Trends Diversified II Intrmd/Long Diana Containerships Inc Direxion Daily 20-plus Year Horizo DIANA SHIPPING INC Treasury Bear 3X Shares Diversified II Long Horizon Dicerna Pharmaceuticals Inc Direxion Daily Emerging Diversified II Special Equity Dick's Sporting Goods Inc. Markets Bull 3x Shares Diversified II Stock Index Diebold Nixdorf Inc Direxion Daily Energy Bull 3X Diversified II Value & Income DIEDRICH COFFEE INC ETF Diversified Instl Special DIGENE CORP Direxion Daily Financial Bear Equity Digi International Inc 3X ETF Diversified Restaurant Digimarc Corp Direxion Daily Financial Bull Holdings Inc Digirad Corp 3X Diversified Special Equity Digital Ally Inc Direxion Daily Gold Miners Diversinet Corp Digital Angel Corp Index Bull 3X Shares DivX Inc DIGITAL FUSION INC Direxion Daily Junior Gold Dixie Group Inc (The) DIGITAL IMPACT INC Miners Index Bull 3X Shares DJO INC DIGITAL INSIGHT CORP Direxion Daily S&P 500 Bull DJSP Enterprises Inc DIGITAL LIGHTWAVE INC 3X Shares DLB Small Company DIGITAL MUSIC GROUP Direxion Daily Semiconductor Opportunity INC Bull 3X Shares DMC Global Inc
Page 43
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
DNB Financial Corp DOUBLE EAGLE DREYER'S GRAND ICE DNP Select Income Fund Inc. PETROLEUM CO CRM HLDGS DOBI MEDICAL INTL INC DOUBLECLICK INC Dreyfus 100% US Treas MM DOBSON DoubleLine Core Fixed LP COMMUNICATIONS CORP Income Dreyfus A Bonds Plus Docent Inc DoubleLine Emerging Dreyfus Active Midcap DOCUCORP Markets Fixed Income Dreyfus Alpha Growth INTERNATIONAL INC DoubleLine Flexible Income Dreyfus Alternative Diversifier DOCUMENT SCIENCES DoubleLine Floating Rate Strategies CORP DoubleLine Global Bond Dreyfus AMT Free Muni Document Security Systems DoubleLine Income Solutions Bond Inc Fund Dreyfus AMT Free Muni Documentum Inc DoubleLine Infrastructure Reserves DocuSign Inc. Income Dreyfus AMT-Free TxEx Dodge & Cox Balanced DoubleLine Low Duration Cash Mgmt Dodge & Cox Global Stock Bond Dreyfus Appreciation Dodge & Cox Income Fund DoubleLine Shiller Enhanced Dreyfus Balanced Opport Dodge & Cox Intl Stock CAPE Dreyfus Basic CA Muni MM Dodge & Cox Stock DoubleLine Total Return Dreyfus Basic Money Market Dolan Co (The) Bond Dreyfus Basic Muni Money Dolby Laboratories Inc DOUBLE-TAKE SOFTWARE Mkt Dole Food Co Inc INC Dreyfus Basic NY Muni MM Dollar General Corp Douglas Dynamics Inc Dreyfus Basic US Dollar Thrifty Automotive Douglas Emmett Inc Government MM Group Inc. DOV PHARMACEUTICAL Dreyfus Basic US Mortgage Dollar Tree Inc INC Sec Dolphin Digital Media Inc Dova Pharmaceuticals Inc Dreyfus Bond Market Index Domini Impact Equity Dover Downs Gaming & Dreyfus CA AMT Free Muni Domini Impact International Entertainment Inc. Bond Equity Dover Motorsports Inc. Dreyfus CA AMT Free Muni Dominion Diamond Corp DOVER SADDLERY INC Cash Dominion Energy Inc Dow 30 Enhanced Premium Dreyfus Cash Management Dominion Energy Midstream & Income Fund Inc Dreyfus Cash Mgmt Plus Partners LP Dow Jones and Co Inc. Dreyfus Citizens Sel Prim DOMINION HOMES INC DowDuPont Inc MM Dominion Resources Black Downey Financial Corp. Dreyfus Citizens Select Warrior Trust Dpac Technologies Corp Treasury MM DOMINO'S PIZZA INC DPL Inc. Dreyfus Core Value Domo Inc DR REDDY'S Dreyfus CT Domtar Corp LABORATORIES LTD Dreyfus Disciplined Stock DOMTAR INC Dragon Jade International Ltd Dreyfus Diversified Intl Donaldson Co Inc. DRAGON Dreyfus Dynamic Total Donegal Group Inc PHARMACEUTICALS INC Return Donnelley Financial Solutions DragonWave Inc Dreyfus Emerging Leaders Inc Draxis Health Inc Dreyfus Emerging Markets Doral Energy Corp DRDGOLD LTD Debt Local Currency Dorchester Minerals LP DREAMS INC Dreyfus Emerging Mrkts Dorian LPG Ltd DreamWorks Animation Inc Dreyfus Equity Gro Dorman Products Inc Dreman/Claymore Dividend Dreyfus Equity Income Dot Hill Systems Corp. & Income Fund Dreyfus FL Intrmd Muni Bond Dresser-Rand Group Inc
Page 44
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Dreyfus FL Muni Money Dreyfus Intermediate Muni Dreyfus Premr Future Market Bond Leaders Dreyfus Floating Rate Dreyfus International Small Dreyfus Premr High Income Income Cap Dreyfus Premr Intl Small Cap Dreyfus Fund Dreyfus International Stock Dreyfus Premr MD Bond Dreyfus General CA Muni Dreyfus International Stock Dreyfus Premr Mid Cap MM Index Stock Dreyfus General Govt Sec Dreyfus Intl Bond Dreyfus Premr OH Bond Money Market Dreyfus Intl Eqty Dreyfus Premr Small Co Dreyfus General Money Dreyfus Intl Value Stock Market Dreyfus Intrmd Term Income Dreyfus Premr Tax Mngd Dreyfus General Muni Bond Dreyfus Large Cap Equity Growth Dreyfus General Muni Money Dreyfus Large Cap Value Dreyfus Premr Yield Advantg Market Dreyfus LifeTime Gro & Inc Dreyfus Research Core Dreyfus General NY Muni Dreyfus Liquid Assets Dreyfus Research Growth Bond Dreyfus MA Muni Money Fund Dreyfus General NY Muni Market Dreyfus S&P 500 Index MM Dreyfus Midcap Index Dreyfus S&P Stars Opp Dreyfus General Treasury Dreyfus MM Instrument -Govt Dreyfus Select Managers Securities MM Dreyfus MM Instrument Small Cap Growth Dreyfus Global Real Estate Money Mkt Dreyfus Select Managers Securities Dreyfus Money Mkt Rsrvs Small Cap Value Dreyfus Global Real Return Dreyfus Muni Bond Dreyfus Short Intrmd Govt Dreyfus Global Stock Dreyfus Muni Bond Dreyfus Short Intrmd Muni Dreyfus GNMA Opportunity Dreyfus Short Term Inc Dreyfus Govt Cash Mgmt Dreyfus Muni Cash Mgmt Dreyfus Small Cap Value Dreyfus Govt Securities Cash Plus Dreyfus Smallcap Stock Dreyfus Greater China Dreyfus Muni Money Market Index Dreyfus Growth & Income Dreyfus NJ Muni Bond Dreyfus Socially Responsible Dreyfus High Yield Dreyfus NJ Muni Money Growth Fund Dreyfus High Yield Strategies Market Dreyfus Strategic Municipal Fund Dreyfus NY AMT Free Muni Bond Fund Inc. Dreyfus Institutional Bond Dreyfus Strategic Municipals Preferred Government Dreyfus NY AMT Free Muni Inc. Money Market Money Market Dreyfus Strategic Value Dreyfus Institutional S&P 500 Dreyfus NY Muni Cash Mgmt Dreyfus Tech Growth Stock Index Dreyfus NY TxEx Bond Dreyfus Third Century Dreyfus Institutional Treasury Dreyfus NY TxEx Intrmd Dreyfus Treas & Agency and Agency Cash Advantage Bond Cash Mgmt Dreyfus Institutional Treasury Dreyfus Opportunistic Fixed Dreyfus Treasury Securities Securities Cash Advantage Income Cash Mgt Dreyfus Instl Cash Advntg Dreyfus Opportunistic Midcap Dreyfus US Equity Dreyfus Instl Cash Advntg+ Value Dreyfus US Treas Rsrvs Dreyfus Instl Money Market Dreyfus Opportunistic Small Dreyfus Var Inv Apprec Dreyfus Instl Preferred Cap Dreyfus Var Inv Develop Ldrs Government + MM Dreyfus PA Muni Money Dreyfus Var Inv Growth & Inc Dreyfus Instl Preferred MM Market Dreyfus Var Inv Midcap Stock Dreyfus Instl Prime MM Dreyfus Premr Balanced Dreyfus Var Inv Money Dreyfus Instl US Govt MM Dreyfus Premr Core Bond Market Dreyfus Instl US Treas MM Dreyfus Premr Enterprise Dreyfus Var Inv Quality Bond
Page 45
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Dreyfus Var Inv Sml Cp Stk DSL.NET INC DWS Cash Investment Trust Idx DST Systems Inc. DWS Communication Dreyfus Var Inv Stock Index DSW Inc DWS Core Equity Fund DTE Energy Co DWS Core Fixed Income Dreyfus Var Inv Tech Growth DTS Inc DWS Core Fixed Income VIP Dreyfus Worldwide Dollar Duane Reade Inc DWS Core Plus Income MM DUCKWALL ALCO STORES DWS CROCI Equity Dividend Dreyfus Worldwide Growth INC DWS CROCI International Dreyfus/Boston Co Intl Core Ducommun Inc DWS CROCI US Equity Duff & Phelps Corp DWS Davis Venture Value Dreyfus/Boston Co Small Duff & Phelps Global Utility VIP Cap Growth Income Fund DWS Disciplined Market Dreyfus/Boston Co Small Duff & Phelps Utility and Neutral Cap Tax Sens Corporate Bond Trust Inc. DWS Dreman Small Mid Cap Dreyfus/Boston Co Small Duke Energy Corp Value VIP Cap Value Duke Realty Corp DWS EAFE Equity Index Dreyfus/Founders Discovery Duluth Holdings Inc DWS Emerging Market Fixed Dreyfus/Founders Growth Dun & Bradstreet Corp (The) Income Dreyfus/Founders Mid Cap DUNCAN ENERGY DWS Emerging Markets Grow PARTNERS LP Equity Dreyfus/Newton International DUNE ENERGY INC DWS Enhanced Commodity Equity Dunkin' Brands Group Inc Strategy Dreyfus/Standish Global Duoyuan Global Water Inc DWS Equity 500 Index Fixed Income Duoyuan Printing Inc DWS Equity 500 Index VIP Dreyfus/Standish Mellon DuPont Fabros Technology DWS Equity Partners Fixed Income Inc DWS Europe Equity Dreyfus/The Boston Co DUPONT PHOTOMASKS DWS Global Commodities Small/Mid Cap Growth INC Stock fund Inc DRI Corp Dupree KY TxFr Income DWS Global Income Builder Driehaus Active Income DUQUESNE LIGHT DWS Global Opportunity VIP Driehaus Emerging Markets HOLDINGS INC DWS GNMA Small Cap Growth DURA AUTOMOTIVE SYS - DWS Gold & Precious Metals Driehaus Emerging Mkts CL B DWS Government Cash Growth Duraswitch Inds Inc Management Driehaus Intl Discovery Durata Therapeutics Inc DWS Government Money Driehaus Select Credit DURATEK INC Market Series Dril-Quip Inc. DURAVEST INC DWS Govt & Agency Money DRIVE SHACK INC Durect Corp DWS Govt & Agency DRS Technologies Inc. DUSA Pharmaceuticals Inc Securities Portfolio drugstore.com Inc DUSKA THERAPEUTICS DWS Govt & Agency VIP Dryden Government INC DWS Growth & Income VIP Securities Money Market Dussault Apparel Inc DWS High Income Series DUTCH GOLD DWS High Income Dryden Intl Value RESOURCES INC Opportunities Fund Inc Dryden Large Cap Core Dutchfork Bancshares Inc DWS High Income Plus Equity DWS Balanced VIP DWS High Income VIP Dryden Money Mkt NY DWS Blue Chip DWS Intermediate Tax Free Dryden Muni Insured DWS Blue Chip VIP DWS International Growth Dryden Small Cap Value DWS CA Tax-Free Income DWS International Select Dryden Ultra Short Bond DWS Capital Growth Equity VIP DSG INTERNATIONAL LTD DWS Capital Growth VIP DWS International VIP
Page 46
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
DWS Intl Equity Dynamex Inc. EAST DELTA RESOURCES DWS Intl Select Eqty Dynamic Oil & Gas Inc CORP DWS Large Cap Value VIP Dynamic Oil & Gas Services EAST PENN FINANCIAL DWS Large Company Portfolio CORP Growth Dynamics Research Corp East West Bancorp Inc. DWS Latin America Equity Dynasil Corp Of America Easterly Government DWS LifeCompass 2015 DYNAVAX TECHNOLOGIES Properties Inc DWS LifeCompass 2020 CORP Eastern American Natural DWS Lifecycle Long Range DynaVox Inc Gas Trust DWS Managed Muni Bond Dyncorp International Inc Eastern Co (The) DWS Mid Cap Growth Dynegy Inc. Eastern Environment DWS MM Prime Dynex Capital Inc. Solutions Corp DWS Money Market VIP Dyntek Services Inc Eastern Goldfields Inc DWS NY TxFr Income E DIGITAL CORP Eastern Insurance Holdings DWS RREEF Global E*Trade CA Muni Money Inc Infrastructure Market Eastern Virginia Bankshares DWS RREEF Global Real E*TRADE Financial Inc Estate Securities Corporation EastGroup Properties Inc. DWS RREEF Real Estate E*Trade Govt Money Market EASTMAN CHEMICAL CO Fund II E*Trade Money Market Eastman Kodak Co DWS RREEF Real Estate E*Trade Muni Money Market EASYLINK SERVICES CP - Fund Inc E*Trade S&P 500 Index CL A DWS RREEF Real Estate E. I. du Pont de Nemours and EasyLink Services Securities Co International Corp DWS S&P 500 Index e.l.f. Beauty Inc Eaton Corp Plc DWS Science and E.ON AG Eaton Vance AMT Free Muni Technology E.PIPHANY INC Income DWS Short Duration E2open Inc Eaton Vance Asian Sm Co DWS Short Term Bond Eagle Bancorp Inc Eaton Vance Atlanta Capital DWS Small Cap Growth Eagle Bancorp Montana Inc SMID Cap DWS Small Cap Growth VIP EAGLE BROADBAND INC Eaton Vance Balanced DWS Small Cap Index VIP Eagle Bulk Shipping Inc Eaton Vance CA Muni DWS Small Cap Value Eagle Capital Appreciation Eaton Vance Califonia DWS Strategic High Yield Eagle Financial Services Inc Municipal Bond Fund Tax-Free EAGLE HOSPITALITY Eaton Vance Cash DWS Strategic Value VIP PROP TR Management DWS Treasury Portfolio Eagle Intl Equity Eaton Vance Commodity DWS TxEx Money EAGLE MATERIALS INC Strategy DWS US Bond Index Eagle Mid Cap Stock Eaton Vance Corp. DWS Value Builder Eagle MLP Strategy Eaton Vance Diversified Dwyer Group Inc Eagle Money Market Currency Income DXC Technology Company Eagle Muni Money Market Eaton Vance Dividend DXP Enterprises Inc Eagle Pharmaceuticals Inc Builder DYADIC INTERNATIONAL Eagle Rock Energy Partners Eaton Vance Emerging INC LP Markets Local Income DYAX CORP EAGLE TEST SYSTEMS Eaton Vance Enhanced Dycom Industries Inc. INC Equity Income Fund DYNABAZAAR INC EarthLink Holdings Corp Eaton Vance Enhanced DYNACQ HEALTHCARE EARTHSTONE ENERGY Equity Income Fund II INC INC Eaton Vance FL Muni Dynagas LNG Partners LP Eaton Vance Floating Rate
Page 47
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Eaton Vance Floating Rate Eaton Vance OH Muni Eaton Vance Tax- High Income Income Advantaged Global Dividend Eaton Vance Floating-Rate Eaton Vance PA Muni Income Fund Advantage Income Eaton Vance Tax-Managed Eaton Vance Floating-Rate Eaton Vance Prime Rate Buy-Write Income Fund Income Trust Reserve Eaton Vance Tax-Managed Eaton Vance Global Dividend Eaton Vance Richard Buy-Write Opportunities Fund Income Bernstein All Asset Strategy Eaton Vance Tax-Managed Eaton Vance Global Macro Eaton Vance Richard Diversified Equity Income Absolute Return Bernstein Equity Strategy Fund Eaton Vance Global Macro Eaton Vance Risk Managed Eaton Vance Tax-Managed Absolute Return Advantage Equity Option Income Equity Asset Eaton Vance Govt Obligation Eaton Vance Risk-Managed Eaton Vance Tax-Managed Eaton Vance Greater India Diversified Equity Income Global Buy-Write Eaton Vance Grtr China Fund Opportunities Fund Grow Eaton Vance Senior Floating Eaton Vance Tax-Managed Eaton Vance High Income Rate Trust Global Diversified Equity Opportunities Eaton Vance Senior Income Income Fund Eaton Vance High Yield Muni Trust Eaton Vance Tax-Managed Income Eaton Vance Short Duration Value Eaton Vance Inc of Boston Diversified Income Fund Eaton Vance VT Fltg Rate Eaton Vance Instl Short Eaton Vance Short Duration Inc Income Government Income Eaton Vance Worldwide Hlth Eaton Vance Instl Short Eaton Vance Short Duration Sci Treas Strategic Income eBay Inc. Eaton Vance Large Cap Eaton Vance TABS 5-to-15 Ebix Inc Value Year Laddered Municipal EBOOKERS PLC Eaton Vance Limited Bond ECA Marcellus Trust I Duration Income Fund Eaton Vance TABS ECB Bancorp Inc Eaton Vance MA Muni Intermediate-Term Municipal ECC CAPITAL CORP Eaton Vance Multi Strategy Bond ECCO ENERGY CORP Absolute Return Eaton Vance TABS Short- Echelon Corp Eaton Vance Multisector Term Municipal Bond Echo Global Logistics Inc Income Eaton Vance Tax Echo Therapeutics Inc Eaton Vance Municipal Bond Advantaged Global Dividend EchoStar Corp Fund Opportunities Fund ECI Eaton Vance Municipal Eaton Vance Tax Managed TELECOMMUNICATIONS - Income Trust Global Dividend Income ORD Eaton Vance Municipal Eaton Vance Tax Managed Eclipsys Corp Opportunities Growth 1.0 Ecoark Holdings Inc Eaton Vance National Limited Eaton Vance Tax Managed ECOLLEGE.COM Municipal Income Growth 1.1 Ecology and Environment Eaton Vance National Muni Eaton Vance Tax Managed Inc. Income Growth 1.2 E-Commerce China Eaton Vance National Eaton Vance Tax Mngd Sm Dangdang Inc Municipal Opportunities Trust Cp Gro Ecopetrol SA Eaton Vance NJ Muni Eaton Vance Tax- EcoReady Corp Income Advantaged Dividend Income Ecosphere Technologies Inc Eaton Vance NY Muni Fund ECOST.COM INC Income Ecotality Inc ECtel Ltd Petah Tikva
Page 48
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
EDAC TECHNOLOGIES Eiger BioPharmaceuticals Inc Elements U.S. Small Cap CORP EII Global Property Portfolio EDAP TMS SA EII International Property Elevate Credit Inc EDCI Holdings Inc Einstein Noah Restaurant Elfun Diversified Eddie Bauer Holdings Inc Group Inc Elfun Income Edelbrock Corp Ekso Bionics Holdings Inc Elfun International Equity Edelman Financial Group Inc El Capitan Precious Metals Elfun Money Market Eden Bioscience Corp Inc Elfun Tax Exempt Income EDEN ENERGY CORP EL PASO ELECTRIC CO Elfun Trusts EDGAR Online Inc El Paso Holding Co Eli Lilly and Co EDGE PETROLEUM CORP El Paso Pipeline Partners LP ELINEAR INC Edge Phnx Strategic Alloc El Pollo Loco Holdings Inc Elio Motors Inc Edge Phnx-Capital Growth Elamex S A De Cv ELITE PHARMACEUTICALS Edgen Group Inc ELAN CORP PLC INC Edgewater Foods Elanco Animal Health Inc ELIZABETH ARDEN INC International Inc eLandia International Inc ELKCORP Edgewater Technology Inc Elastic NV Ellie Mae Inc Edgewell Personal Care Co Elbit Imaging Ltd Ellington Financial Inc Edgewood Growth Elbit Systems Ltd Ellington Residential eDiets.com Inc ELCOM INTERNATIONAL Mortgage REIT Edison International INC Ellomay Capital Ltd Edison Schools Inc Elder Beerman Stores Corp E-LOAN INC Editas Medicine Inc Eldertrust eLong Inc EDO CORP Eldorado Gold Corp Eloxx Pharmaceuticals Inc EDP-Energias de Portugal Eldorado Resorts Inc Elray Resources Inc SA ELECTR CLEARING HOUSE Elron Electronic Industries EdtechX Holdings Acquisition ELECTRIC AQUAGENICS Ltd Corp UNLIMITD ELSCINT LTD -ORD Educate Inc ELECTRO ENERGY INC Elster Group SE Education Lending Group Inc ELECTRO RENT CORP Emageon Inc Education Management Corp Electro Scientific Industries eMagin Corp Education Realty Trust Inc Inc EMAK WORLDWIDE INC EDUCATIONAL Electrocore LLC Emazing Interactive Inc DEVELOPMENT CORP ELECTROLUX AB EMBARCADERO Edward Jones Money Market Electromed Inc TECHNOLOGIES INC EDWARDS (A G) INC Electronic Arts Inc. Embarq Corp Edwards J D & Co Electronic Cigarettes Embassy Bancorp Inc Edwards Lifesciences Corp International Group Ltd Embotelladora Andina SA EFC BANCORP INC Electronic Data Systems Embraer SA EFJohnson Technologies Inc Corp EMBRATEL EFT BioTech Holdings Inc ELECTRONIC SENSOR PARTICIPACOES SA EFUNDS CORP TECH INC EMBREX INC e-Future Information ELECTRONICS BOUTIQUE EMC Corp Technology Inc HLDG CP EMC Insurance Group Inc Egalet Corp Electrum Special Acquisition Emclaire Financial Corp EGL INC Corp EMCOR Group Inc. eHealth Inc Element Solutions Inc EMCORE Corp eHi Car Services Ltd Elements International Emdeon Inc E-House (China) Holdings Portfolio Emera Inc Ltd Elements U.S. Portfolio Emerald Banking & Finance Eidos Therapeutics Inc Emerald Dairy Inc
Page 49
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Emerald Expositions Events Encore Wire Corp ENERGYSOUTH INC Inc ENCORIUM GROUP INC ENERGYTEC INC Emerald Growth ENCYSIVE EnerNOC Inc Emerald Oil, Inc. PHARMACEUTICALS INC Enerplus Corp Emerge Energy Services LP Endava plc EnerSys EMERGE INTERACTIVE ENDEAVOR ACQUISITION ENESCO GROUP INC INC CORP Engage Inc EMERGENCY FILTRATION Endeavor Power Corp ENGEL GENERAL PRODS Endeavour International Corp DEVELOPERS LTD Emergency Medical Services Endeavour Silver Corp ENGELHARD CORP Corp ENDESA SA Engility Holdings Inc Emergent BioSolutions Inc Endo International plc ENGINEERED SUPPORT Emergent Capital Endocardial Solutions Inc SYSTEMS EMERGENT GROUP INC Endocare Inc ENGLOBAL CORP Emerging Markets Growth EndoChoice Holdings Inc Enhance Skin Products Inc Emerging Media Holdings Inc Endocyte Inc Eni SpA Emeritus Corp Endologix Inc ENIGMA SOFTWARE Emerson Electric Co. Endurance International GROUP INC Emerson Radio Corp Group Holdings Inc Enlink Midstream LLC Emisphere Technologies Inc Endurance Specialty EnLink Midstream Partners Emmis Communications Holdings Inc LP Corp Endwave Corp Enliven Marketing Empeiria Acquisition Corp Enel Generacion Chile SA Technologies Corp Empire District Electric Co. ENEL SPA ENNIS INC Empire Energy Corp Intl Ener1 Inc Enochian Biosciences Inc Empire Resorts Inc Ener-Core Inc Enova International Inc EMPIRE RESOURCES INC Energen Corp. ENOVA SYSTEMS INC Empire State Realty OP LP Energizer Holdings Inc ENPATH MEDICAL INC Empire State Realty Trust Inc Energizer Resources Inc Enphase Energy Inc Empire Water Corp Energous Corp EnPro Industries Inc. Employers Holdings Inc Energtek Inc Ensco Rowan Plc Empresa Distribuidora y ENERGY & ENGINE Enservco Corp Comercializadora Norte SA TECHNOL CORP Ensign Group Inc (The) Emrise Corp Energy Composites Corp ENSTAR GROUP INC EMS Technologies Inc Energy East Corp. Enstar Group Ltd Emulex Corp. Energy Focus Inc Entasis Therapeutics EMX Royalty Corporation Energy Fuels Inc Holdings Inc En Pointe Technologies Inc Energy Recovery Inc Entech Solar Inc En2Go International Inc Energy Select Sector SPDR Entegra Financial Corp Enable Midstream Partners Fund (The) Entegris Inc LP Energy Services of America Entellus Medical Inc Enanta Pharmaceuticals Inc Corp ENTERASYS NETWORKS ENB Financial Corp Energy Transfer LP INC Enbridge Energy Partners LP Energy Transfer Operating EnterConnect Inc Enbridge Inc LP Entergy Corp. Encompass Health Corp Energy Transfer Partners LP EnteroMedics Inc Encore Acquisition Co. Energy XXI (Bermuda) Ltd Enterprise Acquisition Corp Encore Bancshares Inc Energy XXI Gulf Coast Inc Enterprise Bancorp Inc/MA Encore Capital Group Inc Energy XXI Ltd Enterprise Financial Services Encore Energy Partners LP EnergyConnect Group Inc Corp ENCORE MEDICAL CORP EnergySolutions Inc Enterprise Government Sec
Page 50
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
ENTERPRISE GP EPL Oil & Gas Inc EQ/PIMCO Ultra Short Bond HOLDINGS LP EPLUS INC EQ/Quality Bond PLUS Enterprise Growth Epoch Biosciences Inc EQ/Short Duration Bond Enterprise High Yield Bd EPOCH HOLDING CORP EQ/Small Company Index Enterprise Money Market Epocrates Inc EQ/T Rowe Growth Stock Enterprise Products Partners EPR Properties EQ/Van Kampen Comstock LP Epresence Inc EQ/Van Kampen Real Estate Entertainment Gaming Asia EQ/All Asset Allocation EQ/Wells Fargo Omega Inc EQ/Alliance Bernstein Growth Entorian Technologies Inc Growth & Income EQAT Allnc Technology Entravision Communications EQ/AllianceBernstein Short EQAT Balanced Corp. Term Bond EQT Corp Entree Resources Ltd EQ/AXA Balanced Strategy EQT GP Holdings LP Entropic Communications Inc EQ/AXA Conservative EQT Midstream Partners LP Entrust Inc Growth Strategy Equal Energy Ltd Envestnet Inc EQ/AXA Conservative Equant Nv ENVIROKARE TECH INC Strategy Equifax Inc. Environmental Control Corp EQ/AXA Franklin Small Cap Equillium Inc ENVIRONMENTAL POWER Value Core Equinix Inc CORP EQ/AXA Growth Strategy Equinor ASA Environmental Solutions EQ/AXA Moderate Growth Equinox Campbell Strategy Worldwide Inc Strategy Equinox IPM Systematic Environmental Tectonics EQ/BlackRock Basic Value Macro Corp Equity Equinox MutualHedge Envision Healthcare Corp EQ/Cap Guardian Growth Futures Strategy Envision Healthcare Holdings EQ/Cap Guardian Research Equitrans Midstream Corp Inc EQ/Cap Guardian US Equity Equity Bancshares Inc Enviva Partners LP EQ/ClearBridge Select Equity Equity Commonwealth Envivio Inc Managed Volatility EQUITY INNS INC Envoy Capital Group Inc EQ/Common Stock Index Equity Lifestyle Properties Inc Enwin Resources Inc EQ/Core Bond Index EQUITY OFFICE ENXNET INC EQ/Davis NY Venture PROPERTIES TR Enzo Biochem Inc. EQ/Equity 500 Index Equity Oil Co Enzon Pharmaceuticals Inc EQ/Equity Growth PLUS Equity One Inc. EOG Resources Inc. EQ/Fidelity Institutional AM Equity Residential EON COMMUNICATIONS Large Cap Era Group Inc CORP EQ/Global Bond PLUS ERBA Diagnostics Inc EON LABS INC EQ/International Equity Index eResearch Technology Inc EOS Inc EQ/Intl ETF ERF WIRELESS INC Eos International Inc EQ/Intrmd Government Bond ERHC ENERGY INC EP Energy Corp EQ/Janus Large Cap Growth Erickson Inc EP MEDSYSTEMS INC EQ/JPM Value Opportunities ERIE FAMILY LIFE INS CO EPAM Systems Inc EQ/Large Cap Growth Index Erie Indemnity Company EPHS Holdings Inc EQ/Large Cap Value Index Eros International PLC Epic Energy Resources Inc EQ/Long Term Bond ESB FINANCIAL CORP EPICEPT CORP EQ/Lord Abbett Mid Cap Escalade Inc Epicor Software Corp Value Escalon Medical Corp. EPIMMUNE INC EQ/MFS International Growth ESCHELON TELECOM INC EPIQ SYSTEMS INC EQ/MFS International Value ESCO Technologies Inc. EPIXTAR CORP EQ/Mid Cap Index Esg Re Ltd Epizyme Inc EQ/Money Market Esmark Inc
Page 51
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Esperanza Resources Corp Eureka Prime MM Evergreen Instl Enhanced Esperion Therapeutics Inc EURO TECH HOLDINGS CO Income Espey Manufacturing & LTD Evergreen Instl MM Electronics Corp. EUROGAS INC Evergreen Instl Treasury MM ESPIRITO SANTO Euronav Evergreen Instl US Govt MM FINANCIAL GRP Euronet Worldwide Inc Evergreen International Esquire Financial Holdings Europacific Growth Fund Equity Inc Euroseas Ltd Evergreen Intrinsic World ESS Technology Inc EuroSite Power Inc Equity ESSA Bancorp Inc EUROTRUST A/S -ADR Evergreen Intrmd Muni Bond ESSA Pharma Inc EV ENERGY PARTNERS LP Evergreen Large Company Essendant Inc ev3 Inc Growth Essent Group Ltd Evans & Sutherland Evergreen Limited Duration Essential Properties Realty Computer Corp Evergreen Market Index Trust Inc. Evans Bancorp Inc Evergreen Market Index Gro Essential Reality Inc EVCI CAREER COLLEGES Evergreen Market Index Val Essential Therapeutics Inc INC Evergreen Mid Cap Growth ESSEX CORP Evelo Biosciences Inc Evergreen Money Market Essex Property Trust Inc. Eventide Gilead Evergreen Muni Bond Essex Rental Corp Eventide Healthcare & Life Evergreen Muni Money Mkt Estee Lauder Companies Inc. Sciences Evergreen NC Muni (The) EverBank Financial Corp Evergreen NJ Muni Bond Esterline Technologies Corp. Everbridge Inc Evergreen NJ Muni MM Estre Ambiental Inc Evercore Inc Evergreen PA Muni MM Etablissements Delhaize Everest Re Group Ltd Evergreen Prime Cash Mgmt Freres Et Cie Le Lion - Ever-Glory International Evergreen Resources Groupe Delhaize Group Inc Evergreen SC Muni Etelos Inc Evergreen Blue Chip Evergreen Select High Yield Eternal Technologies Group Evergreen CA Muni Bond Evergreen Short Intrmd Bond Inc Evergreen CA Muni MM Evergreen Short Intrmd Muni ETF Managers Trust - Evergreen Capital Growth Evergreen Small Cap Value ETFMG Prime Cyber Evergreen Core Bond Evergreen SNAP Money Security ETF Evergreen Core Equity Market ETF Series Solutions Vident Evergreen Core Plus Bond Evergreen Solar Inc Core U.S. Bond Strategy Evergreen Disciplined Value Evergreen Special Equity Fund Evergreen Emerging Markets Evergreen Special Values ETF Series Solutions Vident Growth Evergreen Strategic Value Core U.S. Equity Fund Evergreen Energy Inc Evergreen Treas MMP ETF Series Solutions Vident Evergreen Equity Income Evergreen Ultra Short International Equity Fund Evergreen Equity Index Opportunities ETFis Series Trust I - Evergreen FL Muni Evergreen US Government InfraCap MLP ETF Evergreen FL Muni MM MM Ethan Allen Interiors Inc Evergreen Foundation Evergreen US Govt ETHOS ENVIRONMENTAL Evergreen Fund Securities INC Evergreen Global Leaders Evergreen Utilities & High Eton Pharmaceuticals Inc Evergreen Growth Income Fund ETRIALS WORLDWIDE INC Evergreen Healthcare Evergreen VA Muni Euoko Group Inc Evergreen High Income Muni Evergreen Var Intl Equity Eupa International Corp Evergreen Instl 100% Treas EVERGREENBANCORP Eurand NV MM INC EURASIA ENERGY LTD Evergy Inc
Page 52
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Everi Holdings Inc EXELIXIS INC Factual Data Corp EVERLAST WORLDWIDE Exelon Corp FAIR ISAAC CORP INC EXFO Inc Fairchild Semiconductor Evermore Global Value Exicure Inc International Inc. Eversource Energy Exide Technologies Fairfax Financial Holdings Ltd Everspin Technologies Inc ExlService Holdings Inc Fairholme Fund EVERTEC Inc Exobox Technologies Corp FAIRMONT HOTELS Evertrust Finl Group Inc ExOne Co (The) RESORTS INC Everyday Health Inc Expedia Group Inc Fairmount Santrol Holdings EveryWare Global, Inc. Expedition MMF Inc Evi Industries Inc Expeditors International of FairPoint Communications EVINE Live Inc Washington Inc. Inc EVO Payments Inc Exploration Drilling Fairway Group Holdings Corp Evofem Biosciences Inc International Inc FALCON NATURAL GAS Evolent Health Inc Exponent Inc CORP Evolus Inc Express Inc FALCON PRODUCTS INC Evolution Petroleum Corp Express Scripts Holding Co FALCONBRIDGE LTD Evolving Systems Inc ExpressJet Holdings Inc. FalconStor Software Inc Evoqua Water Technologies Extended Stay America Inc FAM Ser Merc Fundmental Corp EXTENDED SYSTEMS INC Growth Strategy EVOTEC AG EXTENDICARE INC -SVTG FAM Value Exa Corp Extorre Gold Mines Ltd FAM VS Merc High Current EXABYTE CORP Extra Space Storage Inc Inc V.I. EXACT Sciences Corp Extraction Oil & Gas Inc Family Dollar Stores Inc. Exactech Inc Extreme Networks Inc FAMILYMEDS GROUP INC ExactTarget Inc Exult Inc Famous Dave's of America ExamWorks Group Inc EXX INC Inc Exantas Capital Corp EXXON MOBIL CORP Fanhua Inc Exar Corp EYETECH FANTATECH INC Exceed Co Ltd PHARMACEUTICALS INC Fao Inc Excel Maritime Carriers Ltd EZchip Semiconductor Ltd FAR EAST ENERGY CORP EXCEL TECHNOLOGY INC EZCORP Inc Far Point Acquisition Corp Excel Trust Inc E-Z-EM INC Farfetch Ltd EXCELLIGENCE LEARNING EZENIA INC FARGO ELECTRONICS INC CORP F & M Bancorp/Md Farmer Brothers Company Excelsior Govt MMF F & M Bank Corp Farmers & Merchants Excelsior Intrmd TxEx F N B CORP/VA Bancorp Excelsior NY Tax Exempt F&C/Claymore Pfd Sec Inc Farmers & Merchants MMF Fd Bancorp Inc Excelsior Short Trm Govt Sec F.N.B. Corp Farmers Capital Bank Corp Excelsior Short Trm TxEx F5 Networks Inc Farmers National Banc Secu Fab Industries Inc Corp/OH Excelsior Total Return Bond FAB Universal Corp Farmland Partners Inc Excelsior Treasury MMF Fabrinet FARO Technologies Inc Excelsior TxEx MMF Facebook Inc Fastenal Co Exchange Traded Concepts Facet Biotech Corp Fat Brands Inc Trust Robo Global Robotics Factory 2-U Inc Fate Therapeutics Inc and Automati FACTORY CARD OUTLET & Fauquier Bankshares Inc EXCO Resources Inc PTY CP FB Financial Corp Exe Technologies Inc FactSet Research Systems FBL Financial Group Inc. Exelis Inc Inc. FBR & Co
Page 53
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
FBR Fund For Govt Inv Federated Hi Yield Trust Federated Municipal & Stock FBR Small Cap Financial Federated High Income Bond Advantage FCB Financial Holdings Inc Federated High Income Bond Federated Municipal High FCStone Group Inc II Yield Advantage FEATHERLITE INC Federated Institutional High Federated Municipal FEC RESOURCES INC Yield Bond Obligations FEDDERS CORP Federated Institutional Money Federated Municipal Secs Federal National Mortgage Market Management Federated Municipal Trust Association Federated Institutional Prime Federated Municipal Federal Realty Investment Obligations Ultrashort Trust Federated Institutional Prime Federated New York FEDERAL SCREW WORKS Value Obligations Municipal Cash Trust Federal Signal Corp. Federated Institutional Tax- Federated NVIT High Inc Federal Street Acquisition Free Trust Bond Corp Federated Intercontinental Federated PA Muni Income FEDERAL TRUST CORP Federated International Federated Prime Cash Federal-Mogul Holdings Corp Leaders Obligations Federated Adjustable Rate Federated International Federated Prudent Bear Sec Strategic Value Dividend Federated Prudent Federated American Leaders Federated Intl Equity DollarBear Federated American Leaders Federated Intl Small Mid Co Federated Quality Bond II II Federated Intrmd Corporate Federated Short Muni Trust Federated Bond Bnd Federated Short Term Federated CA Muni Cash Federated Intrmd Muni Trust Income Trust Federated Investors Inc. Federated Stock & Bond Federated Capital Federated Kaufmann Federated Strategic Income Appreciation Federated Kaufmann Large Federated Strategic Value Federated Capital Income Cap Dividend Federated Capital Reserve Federated Kaufmann Small Federated Tax-Free Federated Clover Small Cap Obligations Value Federated Large Cap Growth Federated Total Return Bond Federated Clover Value Federated Limited Federated Total Return Federated Equity Income Federated Ltd Term Muni Government Bond Federated Floating Rate Federated Managed Volatility Federated Treasury Strategic Income II Obligations Federated Fund for US Govt Federated Market Federated Trust for US Federated Fund for US Govt Opportunity Treasury Obligations II Federated Master Trust Federated Ultrashort Bond Federated GNMA Federated Max-Cap Index Federated US Government 1- Federated Government Federated MDT All Cap Core 3 Income Trust Federated MDT Balanced Federated US Government 2- Federated Government Federated MDT Large Cap 5 Obligations Value Federated US Treasury Cash Federated Government Federated MDT Small Cap Reserves Obligations Tax-Managed Core FedEx Corp. Federated Government Federated MDT Small Cap FedFirst Financial Corp Reserves Growth FedNat Holding Co Federated Government Federated Mid Cap Gro Strat FEI Co. UltraShort Duration Federated Mid Cap Index Feihe International Inc Federated Govt Inc Sec Federated Mortgage FelCor Lodging Trust Inc Federated Hi Yield Bond
Page 54
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
FELDMAN MALL Fidelity Adv Equity Growth Fidelity Adv Stock Selector PROPERTIES INC Fidelity Adv Equity Income All Cap FELLOWS ENERGY LTD Fidelity Adv Financial Serv Fidelity Adv Strategic Income Fenix Parts Inc Fidelity Adv Floating High Fidelity Adv Technology Fennec Pharmaceuticals Inc Income Fidelity Adv Utilities Fermavir Pharmaceuticals Fidelity Adv Freedom 2010 Fidelity AMT Tax Free Money Inc Fidelity Adv Freedom 2015 Fidelity Asset Manager 20% Ferrari NV Fidelity Adv Freedom 2020 Fidelity Asset Manager 30% Ferrellgas Partners LP Fidelity Adv Freedom 2025 Fidelity Asset Manager 40% Ferro Corp. Fidelity Adv Freedom 2030 Fidelity Asset Manager 50% Ferroglobe PLC Fidelity Adv Freedom 2035 Fidelity Asset Manager 60% FFI Government Fidelity Adv Freedom 2040 Fidelity Asset Manager 70% FFI Institutional Tax Exempt Fidelity Adv Freedom 2045 Fidelity Asset Manager 85% FFI Treasury Fidelity Adv Freedom 2050 Fidelity AZ Muni MM FFLC BANCORP INC Fidelity Adv Freedom 2055 Fidelity Balanced FFW CORP Fidelity Adv Govt Invest Fidelity Bancorp Inc FGL Holdings Fidelity Adv Growth & Income FIDELITY BANKSHARES FGT-Franklin Emerging Fidelity Adv Growth INC Markets Debt Opportunities Opportunities Fidelity Blue Chip Growth FGX International Holdings Fidelity Adv Health Care Fidelity Blue Chip Growth K6 Ltd Fidelity Adv High Inc Fidelity Blue Chip Value Fiat Chrysler Automobiles NV Advantge Fidelity CA AMT Tax Free Fibermark Inc Fidelity Adv High Income MM FiberNet Telecom Group Inc Fidelity Adv Industrials Fidelity CA Limited Term Tax Fibria Celulose SA Fidelity Adv International Free Bond Fibrocell Science Inc Capital Appreciation Fidelity CA Muni MM FibroGen Inc Fidelity Adv Large Cap Fidelity CA Municipal Income Fid Spartan 500 Index Fidelity Adv Latin America Fidelity Canada Fund Fid Spartan Government Fidelity Adv Leveraged Fidelity Capital & Income Income Company Stock Fidelity Capital Appreciation Fid Spartan Investment Fidelity Adv Mid Cap II Fidelity China Region Grade Fidelity Adv Muni Income Fidelity Commodity Strategy FIDELIS ENERGY INC Fidelity Adv New Insights Fidelity Conservative Income Fidelity & Guaranty Life Fidelity Adv Overseas Bond Fidelity 500 Index Fidelity Adv Real Estate Fidelity Conservative Income Fidelity Adv Asset Manager Fidelity Adv Series Equity Municipal Bond 70% Growth Fidelity Contrafund Fidelity Adv Balanced Fidelity Adv Series Equity Fidelity Contrafund K6 Fidelity Adv Biotech Value Fidelity Convertible Security Fidelity Adv Capital Fidelity Adv Series Growth & Fidelity Corporate Bond Development Income Fidelity Covington Trust - Fidelity Adv Diversified Fidelity Adv Series Growth Fidelity MSCI Information International Opportunities Technology Fidelity Adv Diversified Stock Fidelity Adv Series Fidelity CT Muni MM Fidelity Adv Dividend Growth Opportunistic Insights Fidelity CT Municipal Income Fidelity Adv Emerging Asia Fidelity Adv Series Small Cap Fidelity D & D Bancorp Inc Fidelity Adv Emerging Fidelity Adv Series Stock Fidelity Disciplined Equity Markets Selector Large Cap Value Fidelity Diversified Fidelity Adv Emerging Fidelity Adv Shrt Fxd Inc International K6 Markets Income Fidelity Adv Small Cap Fidelity Diversified Intl Fidelity Adv Energy Fidelity Dividend Growth
Page 55
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Fidelity Dynamic Strategies Fidelity Freedom K 2040 Fidelity Investments MM Fidelity Emerging Asia Fidelity Freedom K 2045 Government Fidelity Emerging Markets Fidelity Freedom K 2050 Fidelity Investments MM Fidelity Emerging Markets Fidelity Freedom K 2055 Money Market Index Fidelity Freedom K Income Fidelity Investments MM Fidelity Equity Dividend Fidelity Fund Prime Income Fidelity Global Balanced Fidelity Investments MM Fidelity Equity Income Fidelity Global Commodity Prime Reserves Fidelity Europe Capital Stock Fidelity Investments MM Apprec Fidelity Global ex US Index Treasury Fidelity Europe Fund Fidelity GNMA Portfolio Fidelity Investments MM Fidelity Export&Multinational Fidelity Government Cash Treasury Only Fidelity Extended Market Reserves Fidelity Investments MM Index Fidelity Government Income TxEx Money Mkt Fidelity Fifty Fidelity Government Money Fidelity Japan Fund Fidelity FL Muni MM Market Fidelity Japan Smaller Comp Fidelity FL Municipal Income Fidelity Growth & Income I Fidelity Large Cap Core Fidelity Focused High Income Fidelity Growth Company Enhanced Index Fidelity Focused Stock Fidelity Growth Discovery Fidelity Large Cap Growth Fidelity Four in One Index Fidelity Growth Strategies Enhanced Index Fidelity Freedom 2000 Fidelity High Income Fidelity Large Cap Growth Fidelity Freedom 2005 Fidelity IL Short Intrmd Govt I Index Fidelity Freedom 2010 Fidelity Independence Fidelity Large Cap Stock Fidelity Freedom 2015 Fidelity Inflation Protected Fidelity Large Cap Value Fidelity Freedom 2020 Bond Enhanced Index Fidelity Freedom 2025 Fidelity Inflation-Protected Fidelity Large Cap Value Fidelity Freedom 2030 Bond Index Index Fidelity Freedom 2035 Fidelity Intermediate Bond Fidelity Latin America Fidelity Freedom 2040 Fidelity Intermediate Govt Inc Fidelity Leveraged Company Fidelity Freedom 2045 Fidelity Intermediate Muni Stock Fidelity Freedom 2050 Income Fidelity Limited Term Bond Fidelity Freedom 2055 Fidelity Intermediate Term Fidelity Limited Term Muni Fidelity Freedom 2060 Treasury Bond Index Fidelity Long Term Treasury Fidelity Freedom Income Fidelity International Cap Bond Index Fidelity Freedom Index 2010 Appreciation Fidelity Low Priced Stock Fidelity Freedom Index 2015 Fidelity International Fidelity Low Priced Stock K6 Fidelity Freedom Index 2020 Discovery Fidelity MA Muni MM Fidelity Freedom Index 2025 Fidelity International Fidelity MA Municipal Income Fidelity Freedom Index 2030 Enhanced Index Fidelity MA Ufund AMT Tax Fidelity Freedom Index 2035 Fidelity International Growth Free MM Fidelity Freedom Index 2040 Fidelity International Index Fidelity Magellan Fund Fidelity Freedom Index 2045 Fidelity International Real Fidelity Mega Cap Stock Fidelity Freedom Index 2050 Estate Fidelity MI Muni MM Fidelity Freedom Index 2055 Fidelity International Small Fidelity MI Municipal Income Fidelity Freedom K 2000 Cap Fidelity Mid Cap Enhanced Fidelity Freedom K 2010 Fidelity International Small Index Fidelity Freedom K 2015 Cap Opportunities Fidelity Mid Cap Growth Fidelity Freedom K 2020 Fidelity International Value Fidelity Mid Cap Index Fidelity Freedom K 2025 Fidelity Investment Grade Fidelity Mid Cap Stock Fidelity Freedom K 2030 Bond Fidelity Mid Cap Value Fidelity Freedom K 2035 Fidelity MN Municipal Income
Page 56
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Fidelity Money Market Fidelity SAI Long-Term Fidelity Select Natural Fidelity Mortgage Securities Treasury Bond Index Resources Fidelity MSCI Consumer Fidelity SAI Municipal Income Fidelity Select Discretionary Index ETF Fidelity SAI Small-Mid Cap Pharmaceuticals Fidelity MSCI Energy Index 500 Index Fidelity Select Retailing ETF Fidelity SAI Total Bond Fidelity Select Fidelity MSCI Financials Fidelity SAI US Large Cap Semiconductors Index ETF Index Fidelity Select Software and Fidelity MSCI Health Care Fidelity SAI US Low Volatility IT Services Index ETF Index Fidelity Select Technology Fidelity Muni MM Fidelity SAI US Momentum Fidelity Select Fidelity Municipal Income Index Telecommunctns Fidelity NASDAQ Composite Fidelity SAI US Quality Index Fidelity Select Transportation Idx Fidelity SAI US Treasury Fidelity Select Utilities Fidelity Nasdaq Composite Bond Index Fidelity Select Wireless Index Tracking Stock Fidelity SAI US Value Index Fidelity Series 100 Index Fidelity National Financial Inc Fidelity Select Banking Fidelity Series All Sector FIDELITY NATIONAL FINL Fidelity Select Biotechnology Equity INC Fidelity Select Brokrg/Inv Mgt Fidelity Series Blue Chip Fidelity National Information Fidelity Select Chemicals Growth Services Inc Fidelity Select Fidelity Series Canada Fidelity New Markets Income Communication Services Fidelity Series Commodity Fidelity New Millennium Fidelity Select Strategy Fidelity NJ AMT Tax Free Communications Equipment Fidelity Series Emerging MM Fidelity Select Computers Markets Fidelity NJ Muni MM Fidelity Select Fidelity Series Emerging Fidelity NJ Municipal Income Constr/Housing Markets Debt Fidelity Nordic Fidelity Select Consumer Fidelity Series Emerging Fidelity NY AMT Tax Free Discretionary Markets Opportunity Money Fidelity Select Consumer Fidelity Series Floating Rate Fidelity NY Muni MM Staples High Income Fidelity NY Municipal Income Fidelity Select Defense & Fidelity Series Global ex US Fidelity OH Muni MM Aero Index Fidelity OH Municipal Income Fidelity Select Energy Fidelity Series Government Fidelity OTC Portfolio Fidelity Select Energy Money Market Fidelity Overseas Service Fidelity Series Growth Fidelity PA Muni MM Fidelity Select Financial Srvc Company Fidelity PA Municipal Income Fidelity Select Gold Fidelity Series High Income Fidelity Pacific Basin Fidelity Select Health Care Fidelity Series Inflation Fidelity Prime MM Services Protected Bond Index Fidelity Puritan Fund Fidelity Select Healthcare Fidelity Series International Fidelity Real Estate Hi Inc I Fidelity Select Home Finance Growth Fidelity Real Estate Income Fidelity Select Industrials Fidelity Series International Fidelity Real Estate Index Fidelity Select Insurance Small Cap Fidelity Real Estate Inv Fidelity Select IT Services Fidelity Series International Fidelity SAI Emerging Fidelity Select Leisure Value Markets Index Fidelity Select Materials Fidelity Series Intrinsic Fidelity SAI International Fidelity Select Medical Opportunities Index Technology and Devices Fidelity Series Investment Fidelity SAI International Low Fidelity Select Money Market Grade Bond Volatility Index Fidelity Select Natural Gas
Page 57
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Fidelity Series Large Cap Fidelity Tax Free Bond Fidelity VIP Technology Stock Fidelity Telecom & Utilities Fidelity VIP Value Strat Fidelity Series Large Cap Fidelity Total Bond Fidelity Worldwide Value Fidelity Total Bond K6 Fidelity ZERO Total Market Fidelity Series Large Cap Fidelity Total Emerging Index Value Index Markets Fiduciary/Claymore MLP Fidelity Series Long-Term Fidelity Total International Opportunity Fund Treasury Bond Index Index FIELDPOINT PETROLEUM Fidelity Series Opportunistic Fidelity Total Market Index CORP Insights Fidelity Treasury Money FIELDSTONE INVESTMENT Fidelity Series Real Estate Market CORP Equity Fidelity Treasury Only Money Fiera Capital Emerging Fidelity Series Real Estate Market Markets Income Fidelity Trend Fiesta Restaurant Group Inc Fidelity Series Short Term Fidelity Ultra Short Bond Fifth Street Asset Credit Fidelity US Bond Index Management Inc Fidelity Series Small Cap Fidelity US Government Fifth Third All Cap Value Discovery Reserv Fifth Third Balanced Fidelity Series Small Cap Fidelity Value Discovery Fifth Third Bancorp Opportunities Fidelity Value Fund Fifth Third Displ Lg Cap Fidelity Series Stock Selector Fidelity Value Strategies Value Large Cap Value Fidelity VIP Asset Mgr Fifth Third Equity Index Fidelity Series Treasury Bill Fidelity VIP Asset Mgr Gro Fifth Third Govt MMF Index Fidelity VIP Balanced Fifth Third Instl Govt MM Fidelity Series Value Fidelity VIP Contrafund Fifth Third Instl MM Discovery Fidelity VIP Energy Fifth Third Intermediate Bond Fidelity Short Term Bond Fidelity VIP Equity Income Fifth Third International GDP Fidelity Short Term Treasury Fidelity VIP Freedom 2020 Fifth Third Intl Equity Bond Index Fidelity VIP FundsManager Fifth Third Intrmd Muni Bond Fidelity Small Cap Discovery 20% Fifth Third Large Cap Core Fidelity Small Cap Enhanced Fidelity VIP FundsManager Fifth Third LifeModel Mod Index 50% Aggrsv Fidelity Small Cap Growth Fidelity VIP FundsManager Fifth Third LifeModel Fidelity Small Cap Growth K6 60% Moderate Fidelity Small Cap Index Fidelity VIP FundsManager Fifth Third MI Muni MM Fidelity Small Cap Stock 70% Fifth Third Mid Cap Growth Fidelity Small Cap Value Fidelity VIP FundsManager Fifth Third Muni MM Fidelity Southern Corp 85% Fifth Third Prime MMF Fidelity Stock Selector All Fidelity VIP Government Fifth Third Qlty Growth Cap Money Market Fifth Third Short Term Bond Fidelity Stock Selector Large Fidelity VIP Grow & Inc Fifth Third Small Cap Growth Cap Value Fidelity VIP Growth Fifth Third Total Return Bond Fidelity Stock Selector Mid Fidelity VIP Growth Opport Fifth Third US Treasury MM Cap Fidelity VIP Health Care FILENET CORP Fidelity Stock Selector Small Fidelity VIP High Income Financial Engines Inc Cap Fidelity VIP Index 500 Financial Federal Corp. Fidelity Strategic Div & Inc Fidelity VIP Inv Grade Financial Industries Corp Fidelity Strategic Income Fidelity VIP Mid Cap Financial Institutions Inc Fidelity Strategic Real Return Fidelity VIP Overseas Financial Select Sector Fidelity Tax Exempt Money Fidelity VIP Real Estate SPDR Fund (The) Market Fidelity VIP Strategic Inc Fincera Inc
Page 58
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Finisar Corp First Caliber Equity First Federal Bankshares Inc Finish Line Inc (The) First California Financial First Financial Bancorp. FINLAY ENTERPRISES INC Group Inc First Financial Bankshares FINOVA GROUP INC First Capital Bancorp Inc/VA Inc FIREARMS TRAINING SYS FIRST CAPITAL INC First Financial Corp/IN -CL A First Carolina Investors First Financial Fund Inc FireEye Inc FIRST CENTURY First Financial Holdings Inc FIRST ACCEPTANCE CORP BANKSHARES INC First Financial Northwest Inc First Advantage Bancorp FIRST CHARTER CORP First Financial Service Corp First Advantage Corp First Chester County Corp First Focus US Govt MM First Am Balanced First China Pharmaceutical First Foundation Inc First Am Bond IMMDEX Group Inc FIRST FRANKLIN CORP First Am Govt Obligation First Choice Bancorp First Funds Cash Reserve First Am Growth & Income First Citizens BancShares Inc First Georgia Community First Am Institutional Prime First Clover Leaf Financial Corp Obligations Corp First Guaranty Bancshares First Am Intrmd Govt First Colonial Group Inc Inc First Am Large Cap Growth First Commonwealth First Hawaiian Inc First Am Large Cap Select Financial Corp. First Health Group Corp First Am Mid Cap Growth First Community Bancshares First Horizon National Corp First Am MN Intrmd TxFr Inc FIRST INDIANA CORP First Am Relative Value First Community Bank Corp First Industrial Realty Trust First Am Retail Prime of America Inc. Obligations First Community Corp First Internet Bancorp First Am Retail TxFr First Community Financial First Interstate BancSystem Obligation Partners Inc Inc First Am Small Cap Gro First Connecticut Bancorp Inc First Investors Blue Chip Opport FIRST CONSULTING First Investors Equity Income First Am Small Cap Growth GROUP INC First Investors Financial First Am Treas Obligation First Data Corp. Services Group Inc First Am Treasury Reserve First Defiance Financial Corp. First Investors Fund for Inc First Am US Govt Mortgage First Eagle Fund of America First Investors Global First Am US Treasury MM First Eagle Global First Investors Government First American Financial Corp First Eagle Global Income First Investors Growth & Inc First Asia Holdings Ltd Builder First Investors Inv Grade FIRST AVE NETWORKS First Eagle Gold Bond INC First Eagle High Yield First Investors Life Growth & FIRST AVIATION SERVICES First Eagle Overseas Income INC First Eagle US Value First Investors Opportunity First BanCorp (Puerto Rico) First Eagle VA Overseas First Investors Select Growth First Bancorp Inc/ME (The) First Essex Bancorp First Investors Special First Bancorp of Indiana Inc First Fds Core Equity Situations First Bancorp/NC First Fds Intrmd Bond First Investors Tax Exempt First Bancshares Inc FIRST FED BANCSHARES Income First Bancshares Inc INC/DE First Investors Total Return (The)/MS First Fed Cap Corp First Keystone Corp First BancTrust Corp FIRST FED NOR MICH First Keystone Financial Inc First Bell Bancorp Inc BANCORP First Liberty Power Corp First Busey Corp FIRST FEDERAL BANC First Litchfield Financial Corp First Business Financial SOUTHWEST First M & F Corp Services Inc First Federal Bancorp Inc/Oh First Majestic Silver Corp
Page 59
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
First Marblehead Corp (The) First Trust Consumer Staples First Trust Financials First Mariner Bancorp AlphaDEX Fund AlphaDEX Fund First Merchants Corp First Trust Developed First Trust Health Care First Mercury Financial Corp Markets ex-US AlphaDEX AlphaDEX Fund First Mid Illinois Bancshares Fund First Trust High Income Inc First Trust Dow Jones Long/Short Fund First Midwest Bancorp Inc Dividend & Income Allocation First Trust First Mining Gold Corp First Trust Dow Jones Global Industrials/Producer Durables FIRST MUTUAL Select Dividend Index Fund AlphaDEX Fund BANCSHARES INC First Trust Dow Jones First Trust Intermediate First National Bancshares Internet Index Fund Duration Preferred & Income Inc/SC First Trust Emerging Markets Fund FIRST NATIONAL AlphaDEX Fund First Trust ISE-Revere BANCSHS FL IN First Trust Energy AlphaDEX Natural Gas Index Fund First National Corp/VA Fund First Trust Large Cap Core First Niagara Financial Group First Trust Energy Income AlphaDEX Fund Inc and Growth Fund First Trust Large Cap Growth First Northern Community First Trust Enhanced Equity AlphaDEX Fund Bancorp Income Fund First Trust Large Cap Value First Northwest Bancorp First Trust Europe AlphaDEX AlphaDEX Fund First of Long Island Corp Fund First Trust Materials (The) First Trust Exchange Traded AlphaDEX Fund First Place Financial Corp/DE Fund IV - First Trust First Trust Mid Cap Core First Potomac Realty Trust Enhanced Short AlphaDEX Fund First Real Estate Investment First Trust Exchange Traded First Trust MLP and Energy Trust of New Jersey Fund VI First Trust NASDAQ Income Fund First Regional Bancorp Technolog First Trust Morningstar First Republic Cp -Cl A First Trust Exchange Traded Dividend Leaders First Savings Financial Group Fund VI Multi Asset First Trust Nasdaq Bank ETF Inc Diversified Inco First Trust NASDAQ-100 First Security Group Inc First Trust Exchange-Traded Equal Weighted Index Fund First Securityfed Finl Inc Fund II First Trust NASDAQ First Trust NASDAQ-100 First Sentinel Bancorp Inc Cybersecu Technology Sector Index First Solar Inc First Trust Exchange-Traded Fund First South Bancorp Inc Fund IV First Trust Tactical First Trust North American First State Bancorporation High Yi Energy Infrastructure Fund Inc First Trust Exchange-Traded First Trust NYSE Arca First State Financial Fund IV Senior Loan Fund Biotechnology Index Fund Corporation First Trust Exchange-Traded First Trust Preferred First Surgical Partners Inc Trust IV First Trust Low Securities and Income ETF First Tr Value Line Divid Fd Duration Op First Trust Rising Dividend First Trust / Aberdeen Global First Trust Exchange-Traded Achievers ETF Opportunity Income Fund Trust VI Dorsey Wright First Trust RiverFront First Trust Capital Strength Dynamic Focus Dynamic Developed ETF First Trust Exchange-Traded International ETF First Trust Cloud Computing Trust VI Dorsey Wright Focus First Trust Senior Floating ETF 5 ETF Rate Income Fund II First Trust Consumer First Trust Exchange-Traded First Trust Small Cap Core Discretionary AlphaDEX Trust VI Dorsey Wright AlphaDEX Fund Fund International First Trust Technology AlphaDEX Fund
Page 60
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
First Trust US Equity FLANDERS CORP FLORIDA ROCK Opportunities ETF Fleetboston Financial Corp INDUSTRIES INC First Trust Utilities AlphaDEX FleetCor Technologies Inc FLORIDAFIRST BANCORP Fund FleetMatics Group plc INC First Trust Value Line 100 Fd Fleetwood Enterprises Inc. Flotek Industries Inc First Trust Value Line Fletcher Challenge Forests Flow International Corp Dividend Index Fund Flex Fuels Energy Inc Flowers Foods Inc. First United Corp Flex Ltd Flowserve Corp. FIRST WASH FINANCIAL Flex Pharma Inc Fluent Inc CORP Flexible Solutions Fluidigm Corp First West Virginia Bancorp International Inc Fluor Corp Inc. Flexion Therapeutics Inc Flushing Financial Corp First Western Financial Inc FLEXPOINT SENSOR Fly Leasing Ltd First Years Inc SYSTEMS INC FLYI INC Firstbank Corp FlexShares Global Upstream FMC Corp. FirstBank Financial Services Natural Resources Index FMC Select Inc Fund FMC Strategic Value FIRSTBANK NW CORP/DE FlexShares iBoxx 3-Year FMC TECHNOLOGIES INC FirstCash Inc Target Duration TIPS Index FMI Common Stock FIRSTCITY FINANCIAL Fund FMI International CORP FlexShares iBoxx 5-Year FMI Large Cap FirstEnergy Corp. Target Duration TIPS Index FMMT Retirement Firstfed Amer Bancorp Inc Fund Government Money Market FirstFed Financial Corp. FlexShares International FMMT Retirement Firstgold Corp Quality Dividend Index Fund Government Money Market II Firsthand Technology Value FlexShares Morningstar FMS FINANCIAL CORP FirstMerit Corp Developed Markets ex-US FNB Bancorp FirstService Corp Factor Tilt Index FNB FINANCIAL SERVICES FISCHER IMAGING CORP FlexShares Morningstar CORP Fiserv Inc. Emerging Markets Factor Tilt FNBH Bancorp Inc Fisher Communications Inc Index Fund FNCB Bancorp Inc FISHER SCIENTIFIC INTL FlexShares Morningstar US FNX MINING CO INC INC Market Factors Tilt Index Foamix Pharmaceuticals Ltd FIT American Freedom US Fund FOCUS Enhancements Inc Govt Money Market FlexShares Quality Dividend Focus Financial Partners LLC Fitbit Inc Index Fund Focus Media Holding Ltd Five Below Inc FlexShares STOXX Global Focus Universal Inc Five Point Holdings LLC Broad Infrastructure Index FOG CUTTER CAPITAL Five Prime Therapeutics Inc Fund GROUP INC Five Star Senior Living Inc Flexsteel Industries Inc Fomento Economico Mexican Five9 Inc Flight Safety Technologies SAB de CV FL Muni Cash Trust FLIR Systems Inc FONAR CORP FLAG FINANCIAL CORP Floor & Decor Holdings Inc FONIX CORP FLAGSHIP GLOBAL Florida Banks Inc FOODARAMA HEALTH INC Florida Community Banks Inc SUPERMARKETS Flagstar Bancorp Inc. FLORIDA EAST COAST Foot Locker Inc. Flagstone Reinsurance INDS FOOTHILL INDPT Holdings SA FLORIDA GAMING CORP BANCORP Flaherty & Crumrine FLORIDA PUBLIC UTILITIES Foothills Resources Inc Preferred Securities Income CO Footstar Inc. Fund Inc Forbes Energy Services Ltd
Page 61
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
FORBES MEDI-TECH INC Forward Small Cap Equity Franklin Conservative Force Protection Inc Forward US Government MM Allocation ForceField Energy Inc Fossil Group Inc Franklin Convertible Security FORD MOTOR CO Foster Wheeler AG Franklin Corefolio Allocation FORDING CANADIAN COAL Foundation Building Materials Franklin Covey Co. TRUST Foundation Medicine Inc Franklin Credit Management ForeScout Technologies Inc FOUNDRY NETWORKS INC Corp Foresight Energy LP FOUNTAIN POWERBOAT Franklin CT TxFr Income Forest City Realty Trust Inc INDS INC Franklin Double TxFr Income Forest Laboratories Inc Four Corners Property Trust Franklin DynaTech Series Forestar Group Inc Inc Franklin Electric Co Inc ForgeHouse Inc FOUR OAKS FINCORP INC FRANKLIN ELECTRONIC FormFactor Inc Four Rivers BioEnergy Inc PUBLISH Forrester Research Inc FOUR SEASONS HOTELS - Franklin Equity Income Forster Drilling Corp LTD VTG Franklin Fed Intrmd TxFr Fortegra Financial Corp Fox Chase Bancorp Inc Franklin Fed Ltd Trm TxFr Fortem Resources Inc FOX ENTERTAINMENT Inc Forterra Inc GROUP INC Franklin Federal TxFr Income Fortified Holdings Corp Fox Factory Holding Corp Franklin Financial Corp Fortinet Inc Fox Petroleum Inc Franklin Financial Network Fortis Govt MM FOXHOLLOW Inc Fortis Inc TECHNOLOGIES INC Franklin Financial Services Fortis Instl Prime MM FPA Capital Corp FORTISSIMO ACQUISITION FPA Crescent Franklin Finl Corp Tenn CORP FPA International Value Franklin FL TxFr Income Fortive Corp FPA New Income Franklin Flex Cap Growth Fortress International Group FPA Paramount Franklin Floating Rate Trust Inc FPA Perennial Franklin Fltng Rate Daily Fortress Investment Group FPB BANCORP INC Franklin Foundings Allocation LLC FPIC INSURANCE GROUP Franklin GA TxFr Income Fortress Transportation and INC Franklin Gold & Precious Infrastructure Investors LLC Francescas Holdings Corp Metal FORTUNA GAMING CORP Franco-Nevada Corp Franklin Growth Fortune Brands Home & FRANKFORT FIRST Franklin Growth Allocation Security Inc BANCORP INC Franklin Growth FORTUNE INDUSTRIES INC Franklin Adjust US Govt Sec Opportunities Fortune Valley Treasures Inc Franklin AL TxFr Income Franklin Hi Yield TxFr Income FORTUNET INC Franklin AZ TxFr Income Franklin High Income Forty Seven Inc Franklin Bancorp Inc Franklin Income Forum Energy Technologies Franklin Biotech Discovery Franklin Insrd TxFr Income Inc Franklin Blue Chip Franklin International Small Forum National Investments Franklin CA High Yield Muni Cap Ltd Franklin CA Insrd TxFr Franklin Intl Growth Forward Air Corp Income Franklin K2 Alternative Forward Credit Analysis Franklin CA Intmd TxFr Strategies Long/Short Franklin CA TxEx Money Franklin LA TxFr Income Forward Emerging Markets Market Franklin Low Duration Total FORWARD INDUSTRIES Franklin CA TxFr Income Return INC Franklin Capital Growth Franklin Ltd Maturity US Govt Forward Intl Small Company Franklin CO TxFr Income Franklin MA TxFr Income Forward Pharma A/S Franklin Managed Income
Page 62
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Franklin MD TxFr Income Franklin Utilities Frontier Oil Corp. Franklin MI TxFr Income Franklin VA TxFr Income FRONTLINE LTD Franklin MN TxFr Income Franklin Wireless Corp Frost Core Growth Equity Franklin MO TxFr Income Franklin/Templeton HardCur Frost International Equity Franklin Moderate Allocation Frank's International NV Frost Total Return Bond Franklin Mutual Beacon Freddie Mac Frozen Food Express Franklin Mutual European FREDERICK COUNTY Industries Inc Franklin Mutual Financial BANCORP INC FRP Holdings Inc Services Fredericks of Hollywood FS Bancorp Inc Franklin Mutual Global Group Inc FS KKR Capital Corp Discovery Fred's Inc Fsf Financial Corp Franklin Mutual Quest FREEDOM ACQSTN HLDGS FSI International Inc Franklin Mutual Recovery -REDH FST OAK BROOK Franklin Mutual Shares Freedom Holding Corp BANCSHR -CL A Franklin Natural Resources Freegold Ventures Ltd FTD Companies Inc Franklin NC TxFr Income Freemarkets Inc FTD INC Franklin NJ TxFr Income Freeport-McMoRan Inc FTE Networks Inc Franklin NY Insrd TxFr FREESCALE FTI Consulting Inc. Income SEMICONDUCTOR INC FTS International Inc Franklin NY Intrmd TxFr FreeSeas Inc FTV Frnkln Flex Cap Growth Income FreightCar America Inc Securities Franklin NY TxFr Income Fremont Global FTV Frnkln Global Commun Franklin OH TxFr Income Fremont Michigan Sec Franklin OR TxFr Income InsuraCorp Inc FTV Frnkln Global Real Franklin PA TxFr Income Fremont Money Market Estate Securities Franklin Real Estate Sec Frequency Electronics Inc. FTV Frnkln Growth & Income Franklin Real Return Fresenius Medical Care AG FTV Frnkln High Income FRANKLIN RESOURCES &Co KGAA Securities INC FRESH BRANDS INC FTV Frnkln Large Cap Gro Franklin Rising Dividends Fresh Del Monte Produce Sec Franklin Small Cap Growth Inc. FTV Tmpltn Developing Mkts Franklin Small-Mid Cap Fresh Market Inc (The) FTV Tmpltn Global Asset Growth Freshpet Inc Alloc Franklin Stable Value Friedman Industries Inc FTVIP Franklin Founding Franklin Strategic Income Friedmans Inc Funds Allocation VIP Franklin Strategic Mortgage FriendFinder Networks Inc FTVIP Franklin Income VIP Franklin Street Properties FRIENDLY ICE CREAM FTVIP Franklin Mutual Global Corp CORP Discovery VIP Franklin Templeton Limited Frisch's Restaurants Inc. FTVIP Franklin Mutual Duration Income Trust FRMO CORP Shares VIP Franklin Templeton Money Front Yard Residential Corp FTVIP Franklin Rising Franklin Templeton Perspct Frontdoor Inc Dividends VIP Allocation Fronteer Gold Inc FTVIP Franklin Small Cap Franklin TN Muni Bond Frontegra Columbus Core Value VIP Franklin Total Return Plus FTVIP Franklin Small-Mid Franklin Towers Enterprises Frontegra New Star Intl Cap Growth VIP Inc Equity FTVIP Franklin Strategic Franklin US Government Frontier Airlines Holdings Inc Income VIP Money Frontier Communications FTVIP Franklin U.S. Govt Franklin US Government Corp Securities VIP Securities Frontier MFG Global Equity
Page 63
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
FTVIP Templeton Foreign GA Muni Cash Trust GAMETECH VIP Gabelli ABC INTERNATIONAL INC FTVIP Templeton Global Gabelli Asset Gamida Cell Ltd Bond VIP Gabelli Dividend & Income Gaming and Leisure FTVIP Templeton Growth Trust Properties Inc VIP Gabelli ENT Mergers & Gaming Partners Fuel Systems Solutions Inc Acquisitions International Corp Fuel Tech Inc Gabelli Equity Income GAMMACAN FuelCell Energy Inc Gabelli Equity Trust Inc. INTERNATIONAL INC Fulgent Genetics Inc Gabelli Focus Five GANDER MOUNTAIN CO FULL HOUSE RESORTS Gabelli Gold Gannett Co Inc INC Gabelli Small Cap Growth Gap Inc Fuller & Thaler Behavioral Gabelli US Treas MM GARDEN FRESH Small Cap Equity Gabelli Utilities RESTAURANT CORP Fulton Financial Corp Gabelli Utility Trust Gardner Denver Holdings Inc Fundamental Investors Inc Gabelli Value 25 Garmin Ltd Fundtech Ltd Gabelli Westwood Equity Garnero Group Acquisition FundX Aggressive Upgrader GABLES RESIDENTIAL Co FundX Upgrader TRUST Gartmore Enhanced Income Funko Inc GABRIEL TECHNOLOGIES Gartmore Growth Funtalk China Holdings Ltd CORP Gartmore GVIT Growth Fuqi International Inc Gadzooks Inc Gartmore Morley Cap Accum Furiex Pharmaceuticals Inc Gafisa SA Gartmore NVIT Develop Furmanite Corp Gaia Inc Mrkts Furniture Brands Gainsco Inc Gartmore NVIT International International Inc. Galapagos NV Index Fushi Copperweld Inc GALAXY ENERGY CORP Gartmore Short Dura Bond Fusion-io Inc Galaxy Govt MMF GARTNER INC Future Canada China Galaxy Instl Govt MMF Gas Natural Inc Environment Inc Galaxy Instl Treasury MM Gasco Energy Inc Future Now Group Inc Galaxy Money Market GasLog Ltd FutureFuel Corp GALAXY NUTRITIONAL GasLog Partners LP FUTUREMEDIA PLC FOODS INC Gastar Exploration Inc Fuwei Films (Holdings) Co Galaxy Prime Reserves MM GATEHOUSE MEDIA INC Ltd Galaxy Treasury MMF Gates Industrial Corp PLC FVCBankcorp Inc Galaxy TxEx MM Gateway FVIT Franklin Large Cap Galectin Therapeutics Inc Gateway Financial Holdings Value Galen Holdings Plc Inc FVIT Franklin Micro Cap Galena Biopharma Inc GATEWAY INC Value GALLAHER GROUP PLC GATEWAY INTL HOLDINGS FVIT Franklin Mutual U.S. Gallery Of History Inc INC Value Galmed Pharmaceuticals Ltd GATX Corp. FVIT Frnkln Small Cap Value Galyans Trading Co Inc Gazit-Globe Ltd FX Energy Inc GAMCO Global Gold Natural GB HOLDINGS INC FX Real Estate & Resources & Income Trust GB&T Bancshares Entertainment Inc GAMCO Global Telecomm Gbc Bancorp/Ca FXCM Inc GAMCO Growth GC China Turbine Corp G III Apparel Group Ltd Gamco Investors Inc GCI Liberty Inc G&K Services Inc Game Trading Technologies GCP Applied Technologies G1 Therapeutics Inc Inc Inc Ga Financial Inc GameStop Corp. GDL Fund (The)
Page 64
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
GDS Holdings Ltd General Steel Holdings Inc George Putnam Balanced GE Fixed Income GENEREX GEORGETOWN BANCORP GE Instl Income BIOTECHNOLOGY CORP INC GE Instl Premier Growth Genesco Inc. GEORGIA BANCSHARES Equity Genesee & Wyoming Inc. INC GE Investments Money Genesis Energy LP GEORGIA CAROLINA Market GENESIS HEALTHCARE BANCSHARES GE Investments S&P 500 CORP GEORGIA-PACIFIC CORP Index Genesis Healthcare, Inc. Geospace Technologies GE Premier Growth Equity Genesis Lease Ltd Corp GE RSP Income GENESIS MICROCHIP INC Geovax Labs Inc GE RSP US Equity GENESYS SA Geovic Mining Corp GE Strategic Investment Geneva Acquisition Corp GERBER SCIENTIFIC INC GEAC COMPUTER CORP Geneva Resources Inc Gerdau AmeriSteel Corp LTD Genie Energy Ltd GERDAU SA SIDERURG Geeknet Inc Genitope Corp German American Bancorp GEHL CO GENIUS PRODUCTS INC Inc GELSTAT CORP GENLYTE GROUP INC GERON CORP Gemphire Therapeutics Inc GenMark Diagnostics Inc Getty Images Inc GEMPLUS INTERNATIONAL Genmed Holding Corp Getty Realty Corp. SA Genocea Biosciences Inc GEVITY HR INC Gemstar TV Guide GENOIL INC Gevo Inc International Inc Genomic Health Inc GEXA CORP Gen2Media Corp GenOn Energy, Inc. GFI Group Inc GENAERA CORP Genoptix Inc GFSB BANCORP INC GENAISSANCE GeNOsys Inc GHL Acquisition Corp PHARMACEUTICALS Genpact Ltd GI Dynamics Inc Genco Shipping & Trading Gen-Probe Inc GIANT INDUSTRIES INC Ltd Genta Inc Giant Interactive Group Inc Gencor Industries Inc GENTEK INC Gibraltar Industries Inc GENELABS GENTEX CORP GIGABEAM CORP TECHNOLOGIES INC Gentherm Inc GigaMedia Ltd GENENCOR INTL INC Gentium SPA Gigamon Inc GENENTECH INC Gentiva Health Services Inc GigCapital Inc Gener8 Maritime Inc Gentor Resources Inc GigPeak Inc GENER8XION Genuine Parts Co Gilat Satellite Networks Ltd ENTERTAINMENT INC GENUS INC Gildan Activewear Inc Generac Holdings Inc GENVEC INC Gilead Sciences Inc General American Investors Genworth Financial Inc GILLETTE CO Company Inc. GENZYME CORP Given Imaging Ltd GENERAL BINDING CORP GEO Group Inc (The) Glacier Bancorp Inc General Cable Corp. GeoBio Energy Inc GLACIER WATER General Cannabis Corp GeoEye Inc SERVICES General Dynamics Corp Geoglobal Resources Inc GLADSTONE CAPITAL General Electric Co GEOKINETICS INC CORP GENERAL GEOMET INC GLADSTONE ENVIRONMENTAL MGMT GeoPark Ltd COMMERCIAL CORP General Finance Corp GEOPETRO RESOURCES Gladstone Land Corp General Mills Inc. CO GLAMIS GOLD LTD General Moly Inc GEOPHARMA INC Glatfelter (P.H.) Co General Motors Co GEORESOURCES INC Glaukos Corp
Page 65
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Glaxosmithkline PLC Global Green Inc Globus Medical Inc Gleacher & Company Inc Global High Income Fund Inc Glori Energy Inc Glen Burnie Bancorp GLOBAL IMAGING Glowpoint Inc GLENBOROUGH REALTY SYSTEMS Glu Mobile Inc TRUST INC Global Indemnity Ltd GLYCOGENESYS INC Glenmede Core Fixed Global Industries Ltd GlycoMimetics Inc Income Global Investor Services Inc Glyeco Inc Glenmede Govt Cash GLOBAL MED GMH Communities Trust Glenmede International TECHNOLOGIES INC GMO Alpha Only Equity Global Medical REIT Inc GMO Asset Allocation Bond Glenmede Philadelphia Global Net Lease Inc GMO Benchmark Free International Global Opportunities Bond GMO Benchmark Free Glenmede Quantitative US Global Partners LP Allocation Large Cap Core Equity GLOBAL PAYMENT GMO Core Plus Bond Glenmede Quantitative US TECHNOLOGIES GMO Curency Hedgd Intl Bd Large Cap Growth Equity Global Payments Inc. GMO Currency Hedgd Intl Glenmede Secured Options GLOBAL PHARMATECH Equity Glenmede Small Cap Equity INC GMO Developed World Stock Glenmede TxEx Cash Global Power Equipment GMO Domestic Bond GLG Life Tech Corp Group Inc GMO Emerging Countries GLG Partners Inc Global Realty Development GMO Emerging Country Debt Glimcher Realty Trust GLOBAL RESOURCE CORP GMO Emerging Domestic Global Aircraft Solutions Inc Global Services Partners Opportunities GLOBAL AXCESS CORP Acquisition Corp GMO Emerging Markets GLOBAL BEV SOLUTIONS Global Ship Lease Inc GMO Emerging Mrkts Quality INC GLOBAL SIGNAL INC GMO Flexible Equities Global Blood Therapeutics Global Sources Ltd GMO Foreign Inc Global Traffic Network Inc GMO Foreign Small Co Global Brands Acquisition Global Water Resources Inc GMO Global Asset Allocation Corp Global X Funds - Global X GMO Global Asset Allocation Global Brass and Copper Lithium & Battery Tech ETF Series Holdings Inc Global X MLP ETF GMO Global Bond Global Cord Blood Corp Global X Robotics & Artificial GMO Global Developed Global Cornerstone Holdings Intelligence ETF Equity Allocation Fund Ltd Global X SuperDividend ETF GMO Global Equity Global Crossing Ltd GLOBALNET CORP Allocation Global Defense Technology GlobalOptions Group Inc GMO Growth & Systems Inc GLOBALSANTAFE CORP GMO Implementation Global Eagle Entertainment GlobalSCAPE Inc GMO Inflation Indexed Bond Inc Globalstar Inc GMO Inflation Indexed Plus Global Ecology Corp Global-Tech Advanced Bond Global Education & Innovations Inc GMO International Technology Group Ltd Globant SA Developed Equity Allocation GLOBAL ENTERTAINMENT Globe Photos Inc GMO International Equity CORP Globe Specialty Metals Inc GMO International Growth Global Environmental Energy GLOBECOMM SYSTEMS Equity Corp INC GMO International Large/Mid GLOBAL EPOINT INC GLOBESPANVIRATA INC Cap Equity Global Geophysical Services GLOBETEL GMO Intl Bond Inc COMMUNICATIONS CORP GMO Intl Disciplined Eqty GLOBAL GOLD CORP Globus Maritime Ltd GMO Intl Equity Allocation
Page 66
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
GMO Intl Growth Golden Star Resources Ltd. Gotham Enhanced Return GMO Intl Small Company GOLDEN TELECOM INC Gotham Index Plus GMO Opportunistic Income GOLDEN WEST FINANCIAL Gotham Neutral GMO Quality CORP GOTTAPLAY INTERACTIVE GMO Real Estate Goldfield Corp (The) INC GMO Risk Premium Goldleaf Financial Solutions Gottschalks Inc. GMO SGM Major Markets Inc GOUVERNEUR BANCORP GMO Special Opportunities Goldman Sachs INC GMO Strategic Fixed Income AccessTreasury 0-1 Year Government Cash Series GMO Strategic Opportunities ETF GOVERNMENT Allocation Goldman Sachs ActiveBeta PROPERTIES TRUST GMO Tax Managed Intl Emerging Markets Equity GP Strategies Corp Equities ETF GPS INDUSTRIES INC GMO Tobacco Free Core Goldman Sachs ActiveBeta GQG Partners Emerging GMO U.S. Equity International Equity ETF Markets Equity GMO US Core Goldman Sachs ActiveBeta Grace (W R) & Co GMO US Growth U.S. Large Cap Equity ETF Graco Inc. GMO US Treasury Goldman Sachs BDC Inc Graftech International Ltd GMS Inc Goldman Sachs Group Inc GRAHAM CORP GMX Resources Inc (The) Graham Holdings Co GNC Holdings Inc Goldman Sachs MLP and Graham Packaging Co Inc GoDaddy Inc Energy Renaissance Fund Grainger (W.W.) Inc Gogo Inc Goldman Sachs MLP Income Gramercy Property Trust Gol Linhas Aereas Opportunities Fund Gramercy Property Trust Inc Inteligentes SA Goldsands Development Co Gran Tierra Energy Inc Golar LNG Ltd GOLF GALAXY INC Graña y Montero S.A.A. Golar LNG Partners LP Golfsmith International Granahan McCourt GOLD BANC CORP INC Holdings Inc. Acquisition Corp Gold Fields Ltd Golub Capital BDC Inc Grand Canyon Education Inc Gold Horse International Inc Good Guys Inc GRAND TOYS INTL LTD - GOLD KIST INC/DE Good Harbor Tactical Core ADR GOLD RESERVE INC US Grandeur Peak Global Gold Resource Corp GOOD TIMES Opportunities Gold Standard Ventures Corp RESTAURANTS INC Grandeur Peak International Goldcorp Inc. GoodHaven Fund Opportunities Golden Autumn Holdings Inc GOODMAN GLOBAL INC Grandeur Peak International Golden Bull Ltd Goodrich Corp Stalwarts GOLDEN CYCLE GOLD Goodyear Tire & Rubber Co GRANDSOUTH CORP GOODYS FAMILY BANCORPORATION GOLDEN EAGLE INTL INC CLOTHING INC Granite Broadcasting Golden Enterprises Inc Goosehead Insurance Inc Granite City Food & Brewery Golden Entertainment Inc Gopher Protocol Inc Ltd Golden Growers Cooperative GoPro Inc Granite Construction Inc. Golden Minerals Co Gordmans Stores Inc Granite Falls Energy LLC Golden Ocean Group Ltd Gordon Pointe Acqusition Granite Point Mortgage Trust GOLDEN PHOENIX Corp Inc MINERALS INC GOREMOTE INTERNET Granite Real Estate Golden Pond Healthcare Inc COMM INC Investment Trust Golden Queen Mining Co Ltd Gores Holdings III Inc Grant Prideco Inc. Golden River Resources Gorman-Rupp Co (The) Graphic Packaging Holding Corp Gotham Absolute Return Co
Page 67
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Graphic Packaging Intl Corp Great-West International GreenHunter Energy Inc GRAVITY Co Ltd Value Greenkraft Inc Gray Television Inc. Great-West Large Cap Greenlight Capital Re Ltd GrayMark Healthcare Inc Growth Greenman Technologies Inc Great Ajax Corp Great-West Lifetime 2015 Greenpoint Financial Corp Great American Bancorp Inc Great-West Lifetime 2015 II Greenpro Capital Corp GREAT AMERN FINL Great-West Lifetime 2025 GreenSky Inc RESOURCES Great-West Lifetime 2025 II Greenspring Fund Great Atlantic & Pacific Tea Great-West Lifetime 2035 Greentree Hospitality Group Co Inc. (The) Great-West Lifetime 2035 II Ltd Great China International Great-West Lifetime 2045 Greenway Medical Holdings Inc Great-West Lifetime 2045 II Technologies Inc GREAT CHINA MINING INC Great-West Mid Cap Value GREER BANCSHARES INC Great East Bottles & Drinks Great-West Moderate Profile Greif Inc. (China) Holdings Inc Great-West Moderately Greka Energy Corp Great Elm Capital Group Inc Aggressive Profile GREY GLOBAL GROUP INC Great Hall Prime MM Great-West Multi-Sector Grey Wolf Inc. GREAT LAKES AVIATION Bond Grid Petroleum Corp LTD Great-West Putnam Equity Gridsum Holding Inc GREAT LAKES BANCORP Income Griffin Industrial Realty Inc INC Great-West S&P 500 Index Griffin Institutional Access GREAT LAKES CHEMICAL Great-West S&P MidCap 400 Real Estate CORP Great-West S&P Small Cap Griffon Corp. Great Lakes Dredge & Dock 600 Index GRILL CONCEPTS INC Corp Great-West Grindrod Shipping Holdings Great Lakes Reit Inc SecureFoundation Balanced Ltd Great Northern Iron Ore Great-West T Rowe Equity Gritstone Oncology Inc Properties Income GROEN BROS AVIATION Great Panther Mining Limited Great-West T Rowe Mid Cap INC GREAT PEE DEE Growth Group 1 Automotive Inc. BANCORP INC Green Bancorp Inc Group 1 Software Inc Great Plains Energy Inc Green Bankshares Inc Groupon Inc Great Southern Bancorp Inc Green Brick Partners Inc Growers Direct Coffee Co Inc Great Western Bancorp Inc Green Dot Corp Growlife Inc Great Wolf Resorts Inc Green Earth Technologies Grubb & Ellis Co. GREATER BAY BANCORP Inc Grubb & Ellis Realty Advisors Greater China Fund Inc Green Energy Live Inc Inc GREATER COMMUNITY Green Energy Management GrubHub Inc BANCORP Services Holdings, Inc. Gruma SAB De CV Great-West Aggressive GREEN MOUNTAIN Grupo Aeroportuario del Profile POWER CORP Centro Norte SAB de CV Great-West American Green Plains Inc Grupo Aeroportuario Del Century Growth Green Plains Partners LP Pacifico SA Great-West Bond Index Green Plains Renewable Grupo Aeroportuario del Great-West Conservative Energy Inc Sureste SAB de CV Profile Greenbrier Companies Inc. Grupo Casa SAba SA De Great-West Federated Bond (The) CV, Mexico Great-West Government Greenchek Technology Inc GRUPO ELEKTRA SA DE Money Market Greene County Bancorp Inc CV Great-West International Greenfield Online Inc Grupo Financiero Galicia Sa, Index GREENHILL & CO INC Buenos Aires
Page 68
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
GRUPO IMSA SA DE CV GS GQG Partners GS Small Cap Growth Grupo Iusacell Sa International Opportunities Insights Grupo Radio Centro SA De GS Growth & Income GS Small Cap Value CV Rcentro GS Growth & Income GS Small/Mid Cap Growth Grupo Simec SA De C.V. Strategy GS Strategic Factor Grupo Televisa SAB GS Growth Opportunities Allocation Grupo Tmm S.A.B. GS Growth Strategy GS Strategic Growth GRYPHON GOLD CORP GS High Quality Floating GS Strategic Income Gryphon Resources Inc Rate GS Structured International GS Absolute Return Tracker GS High Yield Equity Flex GS Acquisition Holdings Corp GS High Yield Floating Rate GS Structured Large Cap GS Balanced Strategy GS High Yield Muni Value GS Bond GS ILA Federal GS Structured Small Cap GS BRIC GS ILA Money Market Equity GS Capital Growth GS ILA NY TxEx GS Structured Small Cap GS Commodity Strategy GS ILA Prime Obligation Value GS Concentrated Growth GS ILA Treasury Instrument GS Tactical Tilt GS Concentrated GS ILA Treasury Obligation Implementation International Equity GS ILA TxEx Diversified GS Tax Advantaged Global GS Core Fixed Income GS Income Builder Equity GS Credit Strategies GS International Equity GS TCU Money Market GS Dynamic Allocation Insights GS Technology Tollkeeper GS Dynamic Municipal GS International Small Cap GS US Equity Dividend and Income Insights Premium GS Emerging Markets Debt GS International Tax GS US Equity Insights GS Emerging Markets Equity Managed Equity GS US Mortgage GS Emerging Markets Equity GS Intl Real Estate Securities GS US Tax Managed Equity Insights GS Investment Grade Credit GS VIT Core Fixed Income GS Enhanced Dividend GS Investor Money Market GS VIT Equity Index Global Equity GS Investor Tax-Exempt GS VIT Government Money GS Enhanced Income Money Market Market GS Equity Growth Strategy GS Large Cap Growth GS VIT Growth Opportunities Gs Financial Corp Insights GS VIT Large Cap Value GS Financial Square Federal GS Large Cap Value GS VIT Mid Cap Value Instruments GS Local Emerging Markets GS VIT Strategic Growth GS Financial Square Debt GS VIT Strategic Intl Equity Government GS Mid Cap Value GS VIT Structured US Equity GS Financial Square MM GS MLP Energy GSC Acquisition Co GS Financial Square Prime Infrastructure GSE Systems Inc Oblig MM GS Multi Manager GSI Commerce Inc GS Financial Square Treas Alternatives GSI Technology Inc Oblig MM GS Real Estate Securities GT Advanced Technologies GS Financial Square GS Research Select Inc Treasury Instr MM GS Rising Dividend Growth GTC BIOTHERAPEUTICS GS Financial Square GS Satellite Strategies INC Treasury Solutions Money GS Short Duration GTECH HOLDINGS CORP Market Government GTSI Corp. GS FnclSq CA TxEx GS Short Duration Income GTX Corp GS Global Income GS Short Duration TxFr GTx Inc. GS Government Income GS Short-Term Conservative GUANGSHEN RAILWAY CO Income LTD
Page 69
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
GuangZhou Global Telecom Guggenheim Mid Cap Value GuideStone Small Cap Inc Institutional Equity Guaranty Bancorp Guggenheim Multi-Asset GuideStone Value Equity Guaranty Bancshares Inc Income ETF Guidewire Software Inc Guaranty Federal Guggenheim S&P 500 Equal Guilford Mills Inc Bancshares Inc Weight Consumer Staples GUILFORD Guaranty Financial Corp/Va ETF PHARMACEUTICAL INC Guaranty Financial Group Inc Guggenheim Spin-Off ETF Guinness Exploration Inc Guardian Small Cap Guggenheim Strategic GUITAR CENTER INC Guardian Technologies Opportunities Fund Gulf Coast Ultra Deep International Inc Guggenheim Total Return Royalty Trust Gucci Group Nv Bond GULF ISLAND Guess ? Inc. Guidance Software Inc FABRICATION INC Guggenheim Biotechnology GUIDANT CORP Gulf United Energy Inc Guggenheim BRIC ETF Guided Therapeutics Inc GulfMark Offshore Inc Guggenheim Build America GUIDELINE INC GulfSlope Energy Inc Bonds Managed Duration GuideMark Core Fixed Inc Gulfterra Energy Partners-Lp Trust GuidePath Growth Allocation Gundle/Slt Environmental Inc Guggenheim BulletShares GuideStone Aggressive Gushan Environmental 2015 Corporate Bond ETF Allocation Energy Ltd Guggenheim BulletShares GuideStone Balanced GVI SECURITIES 2015 High Yield Corporate Allocation SOLUTIONS INC Bond ETF GuideStone Balanced GVIT Enhanced Income Guggenheim BulletShares Allocation I GW Pharmaceuticals PLC 2016 Corporate Bond ETF GuideStone Conservative Gymboree Corp (The) Guggenheim BulletShares Allocation Gyrodyne Company of 2016 High Yield Corporate GuideStone Defensive America Inc Bond ETF Market Strategies H D F C Bank Ltd Guggenheim BulletShares GuideStone Equity Index H&E EQUIPMENT 2017 Corporate Bond ETF GuideStone Extended Dur SERVICES INC Guggenheim BulletShares Bond H.B. Fuller Co. 2017 High Yield Corporate GuideStone Global Bond Habersham Bancorp Bond ETF GuideStone Growth Habit Restaurants Inc (The) Guggenheim China Small Allocation Hackett Group Inc (The) Cap ETF GuideStone Growth Equity Hadera Paper Ltd Guggenheim Directional GuideStone International HAEMONETICS CORP Allocation Equity HAGGAR CORP Guggenheim Floating Rate GuideStone Low Duration Hailiang Education Group Inc Strategies Bond Hain Celestial Group Inc Guggenheim High Yield GuideStone Medium Duration (The) Strategy Bond Halcon Resources Corp Guggenheim Investment GuideStone Money Market Halcyon Jets Holdings Inc Grade Bond GuideStone MyDestination Hall Kinion & Associates Inc Guggenheim Limited 2015 Hallador Energy Co Duration GuideStone MyDestination HALLIBURTON CO Guggenheim Macro 2025 Hallmark Financial Services Opportunities GuideStone MyDestination Inc Guggenheim Managed 2035 Hallwood Group Inc (The) Futures Strategy GuideStone MyDestination Hallwood Realty Ptnrs -Lp Guggenheim Mid Cap Value 2045 Halozyme Therapeutics Inc
Page 70
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Hambrecht Asia Acquisition HARBOR ACQUISITION Hartford Corporate Corp CORP Opportunities Hamilton Beach Brands Harbor Bond Hartford Dividend & Growth Holding Company Harbor Capital Appreciation Hartford Equity Growth Alloc HAMILTON LANE Harbor Diversified Hartford Equity Income INCORPORATED International All Cap Hartford Financial Services Hamlin High Dividend Equity HARBOR FLORIDA Group Inc. (The) HAMMONS JOHN Q BANCSHARES Hartford Floating Rate HOTELS -CL A HARBOR GLOBAL CO LTD Hartford Floating Rate High Hampshire Group Ltd Harbor High Yield Income HAMPTONS LUXURY Harbor International Hartford Global All Asset HOMES INC Harbor International Growth Hartford Global Capital Hana Biosciences Inc Harbor Large Cap Value Appreciation Hancock (John) Bank and Harbor Mid Cap Growth Hartford Global Growth Thrift Opportunity Fund Harbor Mid Cap Value Hartford Global Real Asset Hancock (John) Financial Harbor Real Return Hartford Growth Opportunities Fund Harbor Small Cap Growth Hartford Growth Allocation Hancock (John) Premium Harbor Small Cap Value Hartford Growth Dividend Fund HarborOne Bancorp Inc Opportunities Hancock Fabrics Inc. Hardinge Inc Hartford Healthcare Hancock Horizon Burkenroad HARLAND (JOHN H.) CO Hartford High Yield Small Cap Harley-Davidson Inc. Hartford HLS Balanced Hancock Horizon Diversified Harleysville Group Inc Hartford HLS Cap International Harleysville National Corp Appreciation Hancock Horizon Harleysville Savings Bank Hartford HLS Disciplined Government MM Harman International Equity Hancock John Finl Svcs Inc Industries Inc. Hartford HLS Dividend & Hancock Whitney Corp Harmonic Inc Growth Handeni Gold Inc Harmony Gold Mining Co Ltd Hartford HLS Equity Income HANDLEMAN CO Harrington West Financial Hartford HLS Global Adviser Handspring Inc Group Inc Hartford HLS Global Growth Handy & Harman Ltd Harris & Harris Group Hartford HLS Global Health Hanesbrands Inc Harris Assoc Focus Value Hartford HLS Growth Hanger Inc Harris Assoc Large Cap Hartford HLS Growth Hanlon Managed Income Value Opportunities Hanmi Financial Corp HARRIS CORP Hartford HLS High Yield Hannon Armstrong Harris Insight Index Hartford HLS International Sustainable Infrastructure Harris Insight Intrmd TxEx Opportunities Capital Inc HARRIS INTERACTIVE INC Hartford HLS Intl Growth Hanover Capital Mortgage Harris Teeter Supermarkets Hartford HLS Intl Sm Holdings Inc. Inc Company HANOVER DIRECT INC HARTCOURT COMPANIES Hartford HLS Mid Cap Hanover Insurance Group Inc INC Hartford HLS Mid Cap Value (The) Harte Hanks Inc. Hartford HLS Mortgage Sec Hansberger Emerging Mkts Hartford Balanced Hartford HLS Small Cap Hansberger Intl Growth Hartford Balanced Income Growth Hansberger Intl Value Hartford Capital Appreciation Hartford HLS Small Company Hansen Medical Inc Hartford Checks and Hartford HLS Stock HANSON PLC Balances Hartford HLS Total Return Hanwha Q CELLS Co Ltd Hartford Core Equity Bond Harbin Electric Inc Hartford HLS Ultrashort Bond
Page 71
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Hartford HLS US Hawaiian Electric Industries Healthtronics Surgical Svcs Government Securities Inc. Hearst-Argyle Television Inc. Hartford HLS Value Hawaiian Holdings Inc. Heartland Express Inc Hartford HLS Value Opport Hawaiian Telcom Holdco Inc Heartland Financial USA Inc Hartford Inflation Plus Hawaiian TxFr Trust HEARTLAND OIL & GAS Hartford International HAWK CORP CORP Opportunities Hawkins Inc Heartland Payment Systems Hartford International Value Hawthorn Bancshares Inc Inc Hartford Intl Growth Hawthorne Financial Corp Heartland Select Value Hartford Intl Small Company Hayes Lemmerz International Heartland Value Hartford Mid Cap Inc Heartland Value Plus Hartford Mid Cap Value Haymaker Acquisition Corp HeartWare International Inc Hartford Moderate Allocation HAYNES INTERNATIONAL HEARUSA INC Hartford Money Market INC Hecla Mining Co Hartford Multifactor HC Innovations Inc HECTOR Developed Markets (ex-US) HC2 Holdings Inc COMMUNICATIONS CORP ETF HCA Healthcare Inc Heelys Inc Hartford Municipal Hcb Bancshares Inc HEI INC Opportunities HCC Insurance Holdings Inc. HEICO Corp Hartford Schroders Emerging HCI Group Inc Heidrick & Struggles Markets Equity HCP Inc International Inc Hartford Schroders HCSB Financial Corp Helen of Troy Ltd International Multi Cap Value HD Partners Acquisition Corp Helicos BioSciences Corp Hartford Schroders US HD Supply Holdings Inc Helius Medical Technologies Small/Mid Cap Opportunities Head NV, Rotterdam Inc Hartford Short Duration Headwaters Inc Helix BioPharma Corp Hartford Small Cap Growth HEALTH BENEFITS DIRECT Helix Energy Solutions Group Hartford Small Company CORP Inc Hartford Stock Health Care Select Sector Helix TCS Inc Hartford Strategic Income SPDR Fund (The) HELIX TECHNOLOGY Hartford Total Return Bond Health Enhancement CORP Hartford TxFr National Products Inc Helix Wind Corp Hartford US Govt Securities Health Fitness Corp Hellenic Telecommunications Hartford Value Health Grades Inc Organizations OTE Hartford Value Opport Health Insurance Innovations Helmerich & Payne Inc. Hartford World Bond Inc Hemisphere Media Group Inc Harvard Bioscience Inc Health Management Hemispherx BioPharma Inc. HARVEST ENERGY TRUST Associates Inc. Hemlock Fed Finl Corp Harvest Natural Resources Health Net Inc. HemoBioTech Inc Inc. Healthaxis Inc HEMOSENSE INC Hasbro Inc. Healthcare Realty Trust Inc HEMOSOL CORP Hastings Entertainment Inc Healthcare Services Group Hendrx Corp. Hatteras Alpha Hedged Inc Hennessy Advisors Inc Strategies Healthcare Trust of America Hennessy Cornerstone Hatteras Financial Corp Inc Growth Hatteras Long Short Debt HealthEquity Inc Hennessy Cornerstone HAUPPAUGE DIGITAL INC Healthetech Inc Growth II HAVAS HEALTHSPORT INC Hennessy Cornerstone Mid Haverty Furniture Companies HealthSpring Inc Cap 30 Inc. HealthStream Inc Hennessy Focus HealthTronics Inc Hennessy Gas Utility
Page 72
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Henry (Jack) & Associates Hi-Crush Partners LP Himax Technologies Inc Inc HIENERGY HIMCO VIT Index HENRY BROS TECHNOLOGIES INC HINES HORTICULTURE INC ELECTRONICS INC High Speed Access Corp HireRight Inc Henry Schein Inc Highbury Financial Inc Hirsch International Corp. HEPALIFE TECHNOLOGIES Higher One Holdings Inc HI-SHEAR TECHNOLOGY INC Highland Floating Rate CORP HERBALIFE LTD Highland Floating Rate Hispanic Broadcasting Herbalife Nutrition Ltd Opportunities Histogenics Corp Herc Holdings Inc Highland Floating Rate HITACHI LTD Hercules Capital, Inc Opportunities Fund II Hitor Group Inc Hercules Inc Highland Global Allocation Hittite Microwave Corp Hercules Offshore Inc HIGHLAND HOSPITALITY HKN Inc Here Enterprises Inc CORP HLF Emerging Markets Heritage Bankshares Inc Highland Long/Short Equity HLF Frontier Emerging Heritage Commerce Corp Highland Long/Short Markets Heritage Financial Corp Healthcare HLF Global Equity Heritage Financial Group Inc Highland Money Market II HLF Institutional Emerging Heritage Growth Equity Highland US Equity Markets Heritage Insurance Holdings Highland/iBoxx Senior Loan HLF International Equity Inc ETF HLTH Corp Heritage Oaks Bancorp Highlands Acquisition Corp HMN Financial Inc HERITAGE PPTY HIGHLANDS BANKSHARES HMS Holdings Corp INVESTMENT TR INC HNI Corp Heritage-Crystal Clean Inc HIGHLANDS BANKSHARES Hodges Fund Herley Industries Inc INC/VA Hodges Small Cap Herman Miller Inc Highlands REIT Inc Hoegh LNG Partners LP Heron Therapeutics Inc HighMark 100% US Treas Hoku Corp Hersha Hospitality Trust MM Hollinger Inc Hershey Co (The) HighMark CA TxFr MM Hollis-Eden Pharmaceuticals Hertz Global Holdings Inc HighMark Diversified MMF Inc Heska Corp Highmark International Holloman Energy Corp HESS CORP Opportunities HOLLY ENERGY Hess Midstream Partners LP HighMark Large Cap Value PARTNERS LP Hewitt Associates Inc. HighMark Small Cap Value HollyFrontier Corp Hewlett Packard Enterprise HighMark US Govt MM Hollysys Automation Co HighMark Value Momentum Technologies Ltd Hexcel Corp Highwoods Properties Inc. Hollywood Entmt Corp HF Financial Corp. HILAND HOLDINGS GP LP Hollywood Media Corp. HF Foods Group Inc HILAND PARTNERS LP HOLOGIC INC HFF INC Hilb Rogal & Hobbs Co Home Bancorp Inc hhgregg Inc Hill International Inc Home Bancshares Inc Hi Tech Pharmacal Co Inc Hillenbrand Inc Home Depot Inc. (The) hi/fn Inc Hilliard Lyons Government Home Diagnostics Inc HIBBETT SPORTS INC Hill-Rom Holdings Inc Home Federal Bancorp Inc Hibernia Cap Appreciation Hills Bancorporation Home Federal Bancorp/LA HIBERNIA CORP -CL A Hillshire Brands Co HOME LOAN FINL CORP Hickory Tech Corp Hilltop Holdings Inc Home Loan Servicing Hicks Acquisition Co I Inc Hilton Grand Vacations Inc Solutions Ltd Hicks Acquisition Company II Hilton Worldwide Holdings Home Products Intl Inc Inc Inc Home Properties Inc.
Page 73
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
HomeAway Inc Hotchkis & Wiley Mid Cap Hudson Technologies Inc HOMEFED CORP Val HUDSON UNITED Homeinns Hotel Group Hotchkis & Wiley Small Cap BANCORP Homestead Short Term Bond Value Hudson Valley Holding Corp Homestead Small Co Stock Hotchkis & Wiley Value Huffy Corp Homestead Value Opportunities Hughes Communications Inc HomeStreet Inc Houghton Mifflin Harcourt Co HUGHES SUPPLY INC HomeTrust Bancshares Inc Houlihan Lokey Inc HUGHES Telematics Inc Homology Medicines Inc HOUSE OF BRUSSELS Hugoton Royalty Trust Honda Motor Co Ltd CHOCOLATES Huiheng Medical Inc Hondo Minerals Corp HOUSERAISING INC HUMAN BIOSYSTEMS Honeywell International Inc Houston American Energy HUMAN GENOME Hong Kong Television Corp SCIENCES INC Network Ltd HOUSTON EXPLORATION Humana Inc. Hong Kong Winalite Group CO Humboldt Bancorp Inc Houston Wire & Cable Co HUMMINGBIRD LTD Hooker Furniture Corp Hovnanian Enterprises Inc. Hunt Global Resources Inc Hooper Holmes Inc. Howard Bancorp Inc Huntington Bancshares Inc Hope Bancorp Inc Howard Hughes Corp (The) Huntington Fixed Income Sec HopFed Bancorp Inc HP Inc Huntington Growth Horace Mann Educators Hpsc Inc Huntington Ingalls Industries Corporation HQ Sustainable Maritime Inc Horizon Active Risk Assist Industries Inc Huntington Intl Equity Horizon Bancorp Inc HS3 TECHNOLOGIES INC Huntington MM HORIZON HSBC Holdings PLC Huntington OH Muni MM BANCORPORATION INC HSBC Inv Fixed Income Huntington US Treas MM Horizon Financial Corp HSBC Inv Intl Equity HuntMountain Resources Ltd Horizon Global Corp HSBC Inv NY TxFr MM HUNTSMAN CORP HORIZON HEALTH CORP HSBC Inv Small Cap Equity Hurco Companies Inc Horizon Lines Inc HSBC Prime Money Market Huron Consulting Group Inc Horizon Medical Products Inc HSBC Total Return Husky Energy Inc HORIZON OFFSHORE INC HSBC US Government Hussman Strategic Growth Horizon Organic Holding Money Market Hussman Strategic Total Horizon Pharma Plc HSBC US Treasury Money Return HORMEL FOODS CORP Market Hutchinson Technology Inc Hornbeck Offshore Services HSN Inc Hutchison China MediTech Inc. HST Global Inc Ltd HORNE INTERNATIONAL HTG Molecular Diagnostics Hutchison INCHORNE Inc Telecommunications Horsehead Holding Corp Huami Corp International Ltd Hortonworks Inc Huazhu Group Ltd Huttig Building Products Inc Hospira Inc Hub Group Inc HUYA Inc Hospitality Properties Trust HUB INTERNATIONAL LTD Hyatt Hotels Corp Host Hotels & Resorts Inc Hubbell Inc HYBRID FUEL SYSTEMS Hostess Brands Inc HubSpot Inc INC Hot Topic Inc HUDBAY MINERALS INC Hycor Biomedical Inc Hotchkis & Wiley Diversified Hudson City Bancorp Inc Hyde Park Acquisition Corp II Value Hudson Global Inc HYDRIL CO Hotchkis & Wiley High Yield HUDSON HOLDING CORP Hydrocarb Energy Corp Hotchkis & Wiley Large Cap Hudson Pacific Properties Inc HYDROGEN CORP Val Hudson River Bancorp Inc
Page 74
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
HYDROGEN ENGINE ICONIX BRAND GROUP INC Illinois Tool Works Inc. CENTER INC ICOP DIGITAL INC Illumina Inc Hydrogen Hybrid ICORIA INC Ilog SA, Gentilly Technologies Inc ICOS CORP ILX RESORTS INC HYDROGEN POWER INC ICOS VISION SYSTEM NV IMAGE ENTERTAINMENT HYDROGENICS CORP ICP Solar Technologies Inc INC Hypercom Corp ICT Govt Cash & Agency Image Sensing Systems Inc Hyperdynamics Corp ICT GROUP INC ImageWare Systems Inc. Hyperion Brookfield Total ICT TECHNOLOGIES INC Imaging Diagnostic Systems Return Fund Inc (The) Icts International N V Inc HYPERION SOLUTIONS ICU Medical Inc IMAGING3 INC CORP ICx Technologies Inc IMAGISTICS Hyperion Therapeutics Inc ID BIOMEDICAL CORP INTERNATIONAL INC Hyster-Yale Materials IDACORP Inc. Imanage Inc Handling Inc Ideation Acquisition Corp I-many Inc Hy-Tech Technology Group Idenix Pharmaceuticals Inc ImaRx Therapeutics Inc Inc Identiv Inc Imation Corp I.D. Systems Inc IDENTIX INC Imax Corp I/O Magic Inc IDERA Imc Global Inc I2 Technologies Inc PHARMACEUTICALS INC IMCLONE SYSTEMS INC I3 Verticals Inc IDEX Corporation IMCOR PHARMACEUTICAL IA Global Inc. IDEXX Laboratories Inc CO IAC/InterActiveCorp IDM PHARMA INC IMEDIA INTERNATIONAL IAMGold Corp IDO Security Inc INC Iao Kun Group Holding Co iDreamSky Technology Ltd Imergent Inc Ltd IDT Corp Immersion Corp IB3 Networks Inc IDX SYSTEMS CORP IMMTECH IBasis Inc IEC Electronics Corp PHARMACEUTICALS INC IBERIABANK Corp IEG Holdings Corp IMMUCOR INC iBio Inc IES Holdings Inc Immune Design Corp IBIS TECHNOLOGY CORP IF Bancorp Inc IMMUNE RESPONSE IBT BANCORP INC I-FLOW CORP CORP/DE icad Inc IFM Investments Ltd Immunicon Corp Icagen Inc. Ifresh Inc ImmunoCellular Therapeutics Icahn Enterprises LP IFT Money Market Portfolio Ltd ICARBON CORP IGATE Corp IMMUNOGEN INC ICF International Inc Igen Inc Immunomedics Inc Icg Communications IGNIS PETROLEUM GROUP IMPAC MEDICAL SYSTEMS Ichor Holdings Ltd INC INC Icici Bank Ltd Ignite Restaurant Group Inc Impac Mortgage Holdings ICI-IMPERIAL CHEM INDS Ignyta Inc Inc. PLC iGo Inc IMPART MEDIA GROUP ICM Small Company iHeartMedia Inc Impax Laboratories Inc ICO Inc IHS Inc Imperial Capital Bancorp Inc ICON Energy IHS Markit Ltd IMPERIAL INDUSTRIES INC ICON Financial Services II VI Inc IMPERIAL PARKING CORP ICON Healthcare iKang Healthcare Group Inc IMPERIAL SUGAR CO ICON Information Ikanos Communications Inc IMPERIAL TOBACCO Technology IKON Office Solutions Inc. GROUP PLC ICON Long Short Ilex Oncology Inc Imperva Inc Icon PLC ILG Inc Impinj Inc
Page 75
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
IMPLANT SCIENCES CORP Infinera Corp ING CapGuardian Small Mid Imprivata Inc Infinity Augmented Reality Cap IMPSAT FIBER NETWORKS Inc ING CapGuardian US INC INFINITY ENERGY Equities IMS Health Holdings Inc RESOURCES ING Clarion Global Real INAMED CORP Infinity Pharmaceuticals Inc Estate Port INCO LTD Infinity Property & Cas Corp ING Clarion RE Inc Fd Income Opportunity Realty Infinity Property and Casualty ING Classic Money Market Investors Inc. Corp ING Columbia Small Cap inContact Inc InflaRx NV Value INCYTE CORP Infoblox Inc ING Core Equity Research INDEPENDENCE CMNTY INFOCROSSING INC ING Davis New York Venture BK CORP Infocus Corp (USA) ING Disciplined Intl Sm Cap Independence Contract infoGROUP Inc ING Diversified International Drilling Inc InfoLogix Inc ING Emerging Countries Independence Holding Co Infonet Services Corp ING Emerging Mkts Fixed Independence Realty Trust Informatica Corp Income Inc INFORMATION HOLDINGS ING Euro STOXX 50 Index Independent Bank Corp INC ING Fidelity VIP Contrafund Independent Bank Corp. Information Resources Inc ING Financial Services Independent Bank Group Inc INFORTE CORP ING Foreign Independent Franchise INFOSMART GROUP INC ING FTSE 100 Index Partners US Equity INFOSONICS CORP ING Get US Core INDEVUS Infosys Ltd ING GetD Fund PHARMACEUTICALS INC INFRASOURCE SERVICES ING GetE Fund Index Oil & Gas Inc Infrastructure and Energy ING GetS Fund IndexIQ Hedge Multi-Strategy Alternatives Inc ING GetV Fund Tracker ETF INFRASTRUCTURE ING Global Advantage & IndexIQ Merger Arbitrage DEVELOPMENTS CORP. Premium Opportunity Fund ETF Infusion Brands International ING GLOBAL ADVTG PREM India Fund Inc. (The) inc OPP FD India Globalization Capital InfuSystem Holdings Inc ING Global Bond Portfolio Inc ING Alliance Mid Cap Growth ING Global Equity Dividend Indiana Community Bancorp ING Am Century Select ING Global Value Choice Indigo-Energy Inc ING American Funds Asset ING Goldman Sachs INDUS INTERNATIONAL Allocation Commodities INC ING American Funds Bond ING Groep NV Industrial Distribution Group ING American Funds Gro & ING Growth & Value Inc. Inc ING High Yield Opportunity Industrial Logistics Properties ING American Funds Growth ING Index + Small Cap Trust ING American Funds Intl Portfolio Industrial Select Sector ING Artio Foreign ING Index Plus Large Cap SPDR Fund (The) ING Asia Pacific High ING Index Plus Mid Cap Industrial Services of Dividend Equity Income Fund ING Infrastructure Industrials America Inc ING Balanced and Materials Fund Industrias Bachoco SAB De ING BlackRock Large Cap ING Institutional Prime CV Growth Money Market INERGY HOLDINGS LP ING BlackRock Science & ING International Small Cap Inet Technologies Inc Tech Opportunity Multimgr Infineon Technologies AG, ING Brokerage Cash ING International Val Muenchen Reserves Portfolio
Page 76
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
ING International Value ING VP Index Plus Insight Enterprises Inc ING Janus Contrarian International Equity InSight Health Services ING Japan TOPIX Index ING VP Strategic Alloc Holdings Corp ING JPM Intl Growth Insightful Corp ING JPM Value Opportunities ING VP Strategic Alloc INSIGNIA SOLUTIONS PLC ING Legg Mason P Moderate -ADR Aggressive Growth ING Wells Fargo Disciplined INSIGNIA SYSTEMS INC ING Legg Mason P All Cap Value InSite Vision Inc ING Legg Mason Value Ingersoll-Rand PLC Insmed Inc ING Lifestyle Aggrsv Growth Ingevity Corp Insperity Inc. ING Lifestyle Growth Ingles Markets Inc Inspire Medical Systems Inc ING Lifestyle Moderate Ingram Micro Inc. INSPIRE ING Lifestyle Moderate Ingredion Inc PHARMACEUTICALS INC Growth Inhibitex Inc Inspired Entertainment Inc ING Limited Maturity Bond INKINE PHARMACEUTICAL InspireMD Ltd ING Lord Abbett Affiliated CO INC Installed Building Products ING Magna Cap Inksure Technologies Inc Inc ING Marsico Growth Inland Land Appreciation Insteel Industries Inc ING MFS Total Return Fund II LP INSTINET GROUP INC ING MFS Utilities Inland Real Estate Corp Institutional Financial Markets ING Mid Cap Gro INNCARDIO INC Inc ING Money Market InnerWorkings Inc Institutional Money Market ING Morgan Stanley Global INNKEEPERS USA TRUST Instructure Inc Franchise Innocoll Holdings Plc Insulet Corp ING Neuberger Berman Innodata Inc INSURANCE AUTO Partners Innospec Inc AUCTIONS INC ING Oppenheimer Main INNOTRAC CORP Insurance Mgmt Solutions Street Innovaro Inc Grp ING Pioneer Mid Cap Value Innovate Biopharmaceuticals INSURE.COM INC ING Principal Protect IV Inc InsWeb Corp ING Principal Protection I Innovation Pharmaceuticals INTAC INTERNATIONAL ING Principal Protection II Inc Intec Pharma Ltd ING Principal Protection III Innovative Card INTECH US Core ING Principal Protection V Technologies Inc. Integer Holdings Corp ING Principal Protection VI Innovative Industrial Integra Bank Corp ING Principal Protection VII Properties Inc Integra LifeSciences ING Risk Managed Natural Innovative Software Tech Inc Holdings Corp Resources Fund Innovative Solutions and Integral Systems Inc ING Russell Mid Cap Growth Support Inc INTEGRAL Index INNOVEX INC TECHNOLOGIES INC ING Russia Innoviva Inc INTEGRAL VISION INC ING T Rowe International INNOVIVE IntegraMed America Inc Stock PHARMACEUTICALS INC INTEGRATED ALARM SVCS ING Thornburg Value INNUITY INC GROUP ING Total Return Bond Inogen Inc INTEGRATED BIOPHARMA ING UBS US Large Cp Eqty Inovalon Holdings Inc INC ING Value Choice Inovio Pharmaceuticals Inc INTEGRATED CIRCUIT ING Van Kampen Capital Inphi Corp SYSTEMS Growth Inseego Corp Integrated Data Corp ING Van Kampen Large Cap INSIGHT Integrated Defense Tech Inc Growth COMMUNICATIONS INC
Page 77
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Integrated Device Intercontinental Hotels Group International Monetary Technology Inc. PLC Systems Integrated Enviro InterDigital Inc International Money Express Technologies Ltd Interface Inc Inc. Integrated Healthcare INTERGRAPH CORP International Paper Co Holdings Inc Intergroup Corp (The) International Power Group INTEGRATED SECURITY INTERLEUKIN GENETICS Ltd SYS INC INC INTERNATIONAL POWER Integrated Silicon Solution Interline Brands Inc. PLC Inc INTERLINK ELECTRONICS International Rectifier Corp INTEGRITY BANCSHARES Interlott Technologies Inc INTERNATIONAL ROYALTY INC INTERMAGNETICS CORP INTEGRITY FINANCIAL GENERAL CORP International Seaways Inc CORP Intermec Inc International Shipholding Integrys Energy Group Inc Intermediate Bond Fund Corp Intel Corp America International Speedway Corp INTELIDATA Intermet Corp INTERNATIONAL STEEL TECHNOLOGIES CORP InterMetro Communications GRP INC Inteliquent Inc Inc International Stem Cell Corp Intellia Therapeutics Inc INTERMIX MEDIA INC International Textile Group Intellicheck Mobilisa Inc Intermolecular Inc Inc Intelligent Communication Intermountain Community International Tower Hill Mines Enterprise Corp Bancorp Ltd Intelligentias Inc INTERMUNE INC International Wire Group Inc Intelligroup Inc Internap Corp Internet Brands Inc IntelliPharmaCeutics International Absorbents Inc Internet Gold-Golden Lines International Inc INTERNATIONAL Ltd INTELLISYNC CORP ALUMINUM CORP INTERNET INITIATIVE Intellon Corp International Bancshares JAPAN INC Intelsat SA Corp INTERNET SECURITY SYS Inter Parfums Inc International Business INC INTERACTIVE BRAND DEV Machines Corp INTERPHASE CORP INC International Coal Group Inc INTERPOOL INC Interactive Brokers Group Inc INTERNATIONAL Interpore International Interactive Data Corp COMMERCIAL TV Interpublic Group of Interactive Intelligence Group INTERNATIONAL ENERGY Companies Inc. (The) Inc INC Intersect ENT Inc INTERACTIVE SYSTEMS International Fight League Intersections Inc WORLDWDE Inc Intersil Corp Interactive Television International Flavors & Interstate Bakeries Corp Networks Fragrances Inc Interstate Hotels & Resorts InterAmerican Acquisition International Fuel Technology Inc. Group Inc Inc Intertan Inc Inter-Atlantic Financial Inc International Game Intertape Polymer Group Inc. Intercept Inc Technology INTER-TEL INC -SER A Intercept Pharmaceuticals Inc International Game Intervest Bancshares Corp. INTERCHANGE FINL SVCS Technology PLC INTERVIDEO INC CP/NJ International Hi-Tech INTERVOICE INC interCLICK Inc Industries Inc Interwave Commun Intl Ltd Intercontinental Exchange Inc INTERNATIONAL Interwoven Inc ISOTOPES INC InterXion Holding NV
Page 78
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019 inTest Corp Invesco BulletShares 2019 Invesco Diversified Dividend Intevac Inc High Yield Corporate Bond Invesco Dividend Growth INTIER AUTOMOTIVE INC ETF Securities INTL DISPLAYWORKS INC Invesco BulletShares 2020 Invesco Dividend Income INTL FCStone Inc Corporate Bond ETF Invesco DWA Momentum Intl Multifoods Corp Invesco BulletShares 2020 ETF INTL SECURITIES EXCHNG High Yield Corporate Bond Invesco Dynamic Credit HLDGS ETF Opportunities Fund Intra-Cellular Therapies Inc Invesco BulletShares 2021 Invesco Dynamic Large Cap INTRADO INC Corporate Bond ETF Growth ETF INTRALASE CORP Invesco BulletShares 2022 Invesco Dynamic Large Cap IntraLinks Holdings Inc Corporate Bond ETF Value ETF Intraware Inc Invesco CA TxFr Inc Invesco Dynamic INTRAWEST CORP Invesco California Value Pharmaceuticals ETF Intrawest Resorts Holdings Municipal Income Trust Invesco Dynamics Inc Invesco Capital Development Invesco Emerging Markets Intrepid Potash Inc INVESCO Cash Reserves Sovereign Debt Intrepid Small Cap Invesco Charter Invesco Endeavor Intrexon Corp Invesco Comstock Invesco Energy Intricon Corp Invesco Conservative Income Invesco Equally Weighted Intuit Inc. Invesco Constellation S&P 500 Intuitive Surgical Inc Invesco Convertible Invesco Equity & Income Invacare Corp Securities INVESCO European InvenSense Inc Invesco Core Bond Invesco European Growth INVENTIV HEALTH INC Invesco Core Plus Bond Invesco European Small InvenTrust Properties Corp Invesco Corporate Bond Company Inveresk Research Group Inc Invesco CurrencyShares Invesco Exchange-Traded Invesco Advantage Municipal Australian Dollar Trust Fund Trust II - Invesco CEF Income Trust II Invesco CurrencyShares Income Compo INVESCO Advntg Glbl Hlth British Pound Sterling Trust Invesco Exchange-Traded Sci Invesco CurrencyShares Fund Trust II - Invesco S&P Invesco Aerospace & Canadian Dollar Trust Internationa Defense ETF Invesco CurrencyShares Invesco Exchange-Traded Invesco American Franchise Euro Trust Fund Trust II Invesco S&P Invesco American Value Invesco CurrencyShares SmallCap Healt Invesco Asia Pacific Growth Japanese Yen Trust Invesco Exchange-Traded INVESCO Balanced Invesco CurrencyShares Fund Trust Invesco BuyBack Invesco Balanced Risk Swiss Franc Trust Achievers ETF Allocation Invesco DB Agriculture Fund Invesco Exchange-Traded Invesco Balanced-Risk Invesco DB Base Metals Fund Trust Invesco Nasdaq Commodity Strategy Fund Internet ETF Invesco Basic Balanced Invesco DB Commodity Index Invesco Financial Preferred Invesco Basic Value Tracking Fund ETF Invesco BulletShares 2018 Invesco DB Energy Fund Invesco Floating Rate Corporate Bond ETF Invesco DB Gold Fund Invesco FTSE RAFI Invesco BulletShares 2018 Invesco DB Oil Fund Developed Markets ex-U.S. High Yield Corporate Bond Invesco DB Precious Metals ETF ETF Fund Invesco FTSE RAFI Invesco BulletShares 2019 Invesco DB US Dollar Index Emerging Markets ETF Corporate Bond ETF Bullish Fund Invesco FTSE RAFI US 1000 Invesco Developing Mkts ETF
Page 79
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Invesco FTSE RAFI US 1500 Invesco Mortgage Capital Inc Invesco Senior Loan Small-Mid ETF Invesco Multi Sector Invesco Short Duration Invesco Fundamental High Invesco Multi-Asset Income Inflation Protected Yield Corporate Bond Invesco Muni Bond Invesco Short Term Bond Invesco Glbl Core Equity Invesco Municipal Invesco Small Cap Discovery Invesco Glbl Growth Invesco Municipal Income Invesco Small Cap Equity Invesco Glbl Real Estate Invesco Municipal Invesco Small Cap Growth Invesco Glbl Small & Mid Opportunity Trust Invesco Small Cap Value Cap Growth Invesco Municipal Trust Invesco Special Value Invesco Global Dividend Invesco National AMT-Free Invesco STIT STIC Prime Growth Securities Municipal Bond ETF Invesco STIT TxFr Cash Invesco Global Real Estate Invesco Optimum Yield Reserve Income Diversified Commodity Invesco Summit Fund Invesco Gold & Precious Strategy No K-1 ETF Invesco Tax Exempt Metals Invesco Preferred Securities Invesco Government Money Invesco Premier Portfolio Invesco Taxable Municipal Market Invesco Prime Income Trust Bond Invesco Govt & Agency Invesco QQQ Trust Series 1 Invesco Technology INVESCO Growth Invesco Quality Income INVESCO Invesco Growth & Income Invesco Quality Municipal Telecommunications Invesco Growth Allocation Income Trust Invesco Treasury Invesco Health Care Invesco Real Estate Invesco Treasury Obligations Invesco High Income Muni Invesco S&P 500 Equal Invesco Trust for Investment INVESCO High Yield Weight ETF Grade Municipals Invesco High Yield Equity Invesco S&P 500 Equal Invesco Ultra Short Duration Dividend Achievers ETF Weight Health Care ETF Etf Invesco High Yield Municipal Invesco S&P 500 Equal Invesco US Small Cap Value Invesco Income Weight Technology Etf Invesco V.I. American Invesco Income Allocation Invesco S&P 500 High Franchise Invesco Intermediate Dividend Low Volatility Invesco V.I. Balanced Risk Municipal Income Invesco S&P 500 Index Allocation Invesco International Core Invesco S&P 500 Low Invesco V.I. Basic Value Equity Volatility Invesco V.I. Capital Invesco International Invesco S&P 500 Pure Appreciation Dividend Achievers ETF Growth Etf Invesco V.I. Comstock Invesco International Growth Invesco S&P 500 Pure Value Invesco V.I. Core Equity Invesco International Small Etf Invesco V.I. Diversified Company Invesco S&P 500 Quality Etf Dividend Invesco KBW Bank ETF INVESCO S&P 500 TOP 50 Invesco V.I. Equity & Income Invesco Large Cap Growth ETF Invesco V.I. Government Invesco Large Relative Value Invesco S&P Global Water Money Market Invesco Leisure Index ETF Invesco V.I. Government Invesco Limited Term Muni Invesco S&P Midcap 400 Securities Income Pure Growth ETF Invesco V.I. Growth & Invesco Liquid Assets Invesco S&P Midcap Low Income Invesco Ltd Volatility Etf Invesco V.I. International Invesco Mid Cap Core Equity Invesco S&P SmallCap Low Growth Invesco Mid Cap Growth Volatility ETF Invesco V.I. Mid Cap Core Invesco Moderate Allocation Invesco Select Companies Equity Invesco Moderate Growth INVESCO Select Income Invesco Value Municipal Allocation Invesco Senior Income Trust Income Trust
Page 80
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Invesco Value Opportunity ION Geophysical Corp iShares 0-5 Year Investment Invesco Van Kampen Capital ION MEDIA NETWORKS Grade Corporate Bond ETF Growth INC iShares 0-5 Year TIPS Bond Invesco Van Kampen IONA TECHNOLOGIES PLC ETF Emerging Markets Ionatron Inc. iShares 10-20 Year Treasury Invesco Van Kampen IONICS INC Bond ETF Enterprise Ionis Pharmaceuticals Inc iShares 1-3 Year Treasury Invesco Van Kampen Global Ionix Technology Inc Bond ETF Franchise Iovance Biotherapeutics Inc iShares 20 Plus Year Invesco Van Kampen Iowa Telecommunications Treasury Bond ETF Government Security Services Inc iShares 3-7 Year Treasury Invesco Van Kampen Harbor iPass Inc Bond ETF Invesco Van Kampen High IPAYMENT INC iShares 7-10 Year Treasury Yield IPC Healthcare Inc Bond ETF Invesco Van Kampen Insured IPC Holdings Ltd iShares Agency Bond ETF Tax Free Income iPCS Inc. iShares Asia 50 ETF Invesco Van Kampen Ipec Holdings Inc iShares Broad USD International Growth IPG Photonics Corp Investment Grade Corporate Invesco Van Kampen IPIX CORP Bond Pennsylvania Value IPSCO INC iShares California Muni Bond Municipal Income Trust Ipsidy Inc ETF Invesco Van Kampen Real IQ 50 Percent Hedged FTSE iShares China Large-Cap Estate Security International ETF ETF Invesco Van Kampen V.I. iQIYI Inc iShares Cohen & Steers Government Iqvia Holdings Inc REIT ETF Invesco Van Kampen V.I. Mid IR BIOSCIENCES iShares Commodities Select Cap Value HOLDINGS INC Strategy ETF Invesco Variable Rate iRadimed Corp iShares Core 1-5 Year USD Preferred Etf IRELAND INC Bond ETF Invesco Water Resources iRhythm Technologies Inc iShares Core Aggressive ETF IRIDEX Corp Allocation Fund Investment Technology Iridium Communications Inc iShares Core Dividend Group Inc. IRIS International Inc. Growth ETF Investors Bancorp Inc iRobot Corp iShares Core Growth Investors Capital Holdings IRON MOUNTAIN INC Allocation Fund Ltd Iron Strategic Income iShares Core High Dividend INVESTORS FINANCIAL IronBridge Small Cap ETF SVCS CP IronBridge SMID Cap iShares Core International Investors Real Estate Trust Ironclad Encryption Corp Aggregate Bond ETF Investors Title Co Ironclad Performance Wear iShares Core Moderate INVISA INC Corp Allocation Fund Invision Technologies Inc Ironwood Pharmaceuticals iShares Core MSCI EAFE Invitae Corp Inc ETF Invitation Homes Inc IRVINE SENSORS CORP iShares Core MSCI Emerging Invitel Holdings A/S ISAACS I C & CO INC Markets ETF Invivo Corp Isabella Bank Corp iShares Core MSCI Europe Invuity Inc Isco Inc ETF INX Inc ISCO International Inc. iShares Core MSCI INYX INC Isecuretrac Corp International Developed IOMAI CORP iShares 0-5 Year High Yield Markets ETF Iomega Corp Corporate Bond ETF
Page 81
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019 iShares Core MSCI Pacific iShares Emerging Markets iShares Micro-Cap ETF ETF Local Currency Bond ETF iShares Morningstar Large- iShares Core MSCI Total iShares Europe ETF Cap ETF International Stock ETF IShares Expanded Tech- iShares Morningstar Large- iShares Core S&P 500 ETF Software Sector ETF Cap Growth ETF iShares Core S&P Mid-Cap iShares Exponential iShares Morningstar Mid ETF Technologies ETF Growth Index Fund iShares Core S&P Small-Cap iShares Floating Rate Bond iShares Morningstar Mid-Cap ETF ETF ETF iShares Core S&P Total U.S. iShares Global 100 ETF iShares Mortgage Real Stock Market ETF iShares Global Consumer Estate ETF iShares Core S&P U.S. Staples ETF iShares MSCI ACWI ETF Growth ETF iShares Global Energy ETF iShares MSCI ACWI ex US iShares Core S&P U.S. Value iShares Global Financials ETF ETF ETF iShares MSCI ACWI Low iShares Core Total USD iShares Global Infrastructure Carbon Target ETF Bond Market ETF ETF iShares MSCI All Country iShares Core US Aggregate iShares Global REIT ETF Asia ex Japan ETF Bond ETF iShares Global Tech ETF iShares MSCI All Peru iShares Core US REIT ETF iShares Global Telecom ETF Capped Index Fund iShares Currency Hedged ISHARES GOLD SACHS iShares MSCI Australia ETF MSCI EAFE ETF NTWKG FD iShares MSCI Austria Fund iShares Currency Hedged iShares Gold Trust iShares MSCI Belgium Fund MSCI Eurozone ETF iShares iBonds Dec 2019 iShares MSCI Brazil Capped iShares Currency Hedged Term Corporate ETF ETF MSCI Germany ETF iShares iBonds Dec 2020 iShares MSCI BRIC ETF iShares Currency Hedged Term Corporate ETF iShares MSCI Canada ETF MSCI Japan ETF iShares iBonds Dec 2021 iShares MSCI Chile Capped iShares Developed Real Term Corporate ETF Investable Market Index Fund Estate Index iShares iBoxx High Yield iShares MSCI China ETF iShares Dow Jones US ETF Corporate Bond ETF iShares MSCI Developed iShares Edge MSCI Min Vol iShares iBoxx Investment World Index EAFE ETF Grade Corporate Bond ETF iShares MSCI EAFE ETF iShares Edge MSCI Min Vol iShares India 50 ETF iShares MSCI EAFE Growth Emerging Markets ETF iShares Intermediate ETF iShares Edge MSCI Min Vol Government/Credit Bond iShares MSCI EAFE Global ETF ETF International Index iShares Edge MSCI Min Vol IShares Intermediate -Term iShares MSCI EAFE Small- USA ETF Corporate bond Etf Cap ETF iShares Edge MSCI iShares International iShares MSCI EAFE Value Multifactor Intl ETF Developed Real Estate ETF ETF iShares Edge MSCI iShares International Select iShares MSCI Emerging Multifactor USA ETF Dividend ETF Markets Asia ETF iShares Edge MSCI USA iShares International iShares MSCI Emerging Momentum Factor ETF Treasury Bond ETF Markets ETF iShares Edge MSCI USA iShares JPMorgan USD iShares MSCI Europe Quality Factor ETF Emerging Markets Bond Financials ETF iShares Edge MSCI USA Fund iShares MSCI Eurozone ETF Value Factor ETF iShares Latin America 40 iShares MSCI France ETF iShares Emerging Markets ETF iShares MSCI Frontier 100 High Yield Bond ETF iShares MBS ETF Index Fund
Page 82
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019 iShares MSCI Germany ETF iShares Preferred and IShares Short-Term iShares MSCI Hong Kong Income Securities ETF Corporate Bond ETF ETF iShares Russell 1000 ETF iShares Short-Term National iShares MSCI Indonesia ETF iShares Russell 1000 Growth Muni Bond ETF iShares MSCI Italy Capped ETF iShares Silver Trust ETF iShares Russell 1000 Value iShares TIPS Bond ETF IShares MSCI Japan ETF ETF iShares Total US Stock iShares MSCI KLD 400 iShares Russell 2000 ETF Market Index Social ETF iShares Russell 2000 Growth iShares Transportation iShares MSCI KLD 400 ETF Average ETF Social Index Fund iShares Russell 2000 Small iShares Trust - iShares iShares MSCI Malaysia ETF Cap Index Global Healthcare ETF iShares MSCI Mexico iShares Russell 2000 Value iShares Trust - iShares Long- Capped ETF ETF Term Corporate Bond ETF iShares MSCI Netherlands iShares Russell 3000 ETF iShares Trust - iShares MSCI Fund iShares Russell Mid-Cap ETF India ETF iShares MSCI Pacific ex iShares Russell Mid-Cap iShares Trust Expanded Japan ETF Growth ETF Tech Sector ETF iShares MSCI Russia iShares Russell Mid-Cap iShares Trust Morningstar Capped ETF Index Large Value Index Fund IShares MSCI Singapore iShares Russell Mid-Cap iShares Trust NYSE 100 ETF Value ETF Index Fund iShares MSCI South Africa iShares Russell Top 200 iShares U.S. Aerospace & ETF Growth ETF Defense ETF iShares MSCI South Korea iShares S&P 100 ETF iShares U.S. Basic Materials Capped ETF iShares S&P 500 Growth ETF iShares MSCI Spain Capped ETF iShares U.S. Healthcare ETF iShares S&P 500 Index Providers ETF iShares MSCI Sweden Fund iShares S&P 500 Value ETF iShares U.S. Home iShares MSCI Switzerland iShares S&P Global Materials Construction ETF Capped ETF Sector Index Fund iShares U.S. Medical Devices iShares MSCI Taiwan ETF iShares S&P Global Utilities ETF iShares MSCI Thailand Sector Index Fund iShares U.S. Oil & Gas Capped ETF iShares S&P GSCI Exploration & Production ETF iShares MSCI Total Commodity-Indexed Trust iShares U.S. Oil Equipment & International Index iShares S&P Mid-Cap 400 Services ETF iShares MSCI Turkey ETF Growth ETF iShares U.S. iShares MSCI United iShares S&P Mid-Cap 400 Pharmaceuticals ETF Kingdom ETF Value ETF iShares U.S. Regional Banks iShares MSCI USA ESG iShares S&P Small-Cap 600 ETF Select ETF Growth ETF iShares U.S. Treasury Bond iShares MSCI World ETF iShares S&P Small-Cap 600 ETF iShares Nasdaq Value ETF iShares US Aggregate Bond Biotechnology ETF iShares S&P TOPIX 150 Index iShares National Muni Bond Index Fund iShares US Consumer Goods ETF iShares Select Dividend ETF ETF iShares North American iShares Short Maturity Bond iShares US Consumer Natural Resources ETF ETF Services ETF iShares PHLX iShares Short Treasury Bond iShares US Energy ETF Semiconductor ETF ETF iShares US Financial Services ETF
Page 83
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019 iShares US Financials ETF Ivy Emerging Markets Equity J & J SNACK FOODS CORP iShares US Healthcare ETF Ivy Energy J Crew Group Inc iShares US Industrials ETF Ivy European Opportunities J Hancock Balanced iShares US Real Estate ETF Ivy Global Bond J Hancock Bond iShares US Technology ETF Ivy Global Equity Income J Hancock CA TxFr Income iShares US Ivy Global Growth J Hancock Classic Value Telecommunications ETF Ivy Global Income Allocation J Hancock Core Equity iShares US Utilities ETF Ivy High Income J Hancock Disciplined Value ISI North American Govt Ivy Intl Core Equity International Isilon Systems Inc Ivy Large Cap Growth J Hancock Diversified Real ISLAND PACIFIC INC Ivy Limited Term Bond Assets ISLE OF CAPRI CASINOS Ivy Mid Cap Growth J Hancock Emerging Markets INC Ivy Money Market Equity iSoftStone Holdings Ltd Ivy Mortgage Securities J Hancock Financial Indust ISONICS CORP Ivy Muni High Income J Hancock Fundamental ISORAY INC Ivy Municipal Bond Large Cap Core ISRAMCO INC Ivy Natural Resources J Hancock Global ISTA Pharmaceuticals Inc Ivy Science & Technology Opportunities iStar Inc Ivy Securian Core Bond J Hancock Govt Income I-Stat Corp Ivy Small Cap Core J Hancock Greater China ITC Deltacom Inc Ivy Small Cap Growth Opportunities ITC Holdings Corp Ivy Value J Hancock Growth Trends Iteris Inc Ivy VIP Asset Strategy J Hancock Health Sciences Iterum Therapeutics plc Ivy VIP Balanced J Hancock High Yield itLinkz Group Inc Ivy VIP Core Equity J Hancock High Yield Muni I-trax Inc. Ivy VIP Corporate Bond J Hancock Income Itron Inc Ivy VIP Dividend J Hancock Investment Grade ITT Educational Services Inc Opportunities Bond ITT Inc Ivy VIP Government Money J Hancock Money Market Ituran Location and Control Market J Hancock Regional Bank Ltd Ivy VIP Growth J Hancock Seaport Itxc Corp Ivy VIP High Income Long/Short IVA International Ivy VIP International Core J Hancock Small Cap Equity IVA Worldwide Equity J Hancock Small Cap Growth IVANHOE ENERGY INC Ivy VIP Intl Growth J Hancock Small Cap IVAX CORP Ivy VIP Limited Term Bond Intrinsic Value IVERIC bio Inc Ivy VIP Mid Cap Growth J Hancock Sovereign Invest IVILLAGE INC Ivy VIP Pathfinder Moderate J Hancock Technology Ivivi Technologies Inc Ivy VIP Pathfinder Moderate J Hancock TxFr Bond Ivy Accumulative Managed Volatility J Hancock US Glbl Leadrs Ivy Advantus Real Estate Ivy VIP Pathfinder Gro Securities Moderately Aggressive J Hancock Va Tr Equity Indx Ivy Apollo Multi-Asset Income Ivy VIP Science & J Hancock Va Tr Lg Cap Gro Ivy Asset Strategy Technology J Hancock Va Tr Lg Cap Val Ivy Balanced Ivy VIP Small Cap Growth J Hancock Va Tr Money Ivy Capital Appreciation Ivy VIP Value Markt Ivy Cash Management Ivy Wilshire Global Allocation J Hancock Va Tr Real Estate Ivy Core Equity IWT TESORO CORP J Hancock Value Equity Ivy Corporate Bond IXI Mobile Inc J JILL GROUP INC Ivy Cundill Global Value Ixia J Jill Inc Ivy Dividend Opportunities IXYS CORP J. Alexander's Holdings Inc
Page 84
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
J. W. Mays Inc Janus Henderson Balanced Janus Henderson Triton J.B. Hunt Transport Services Portfolio Janus Henderson US Low Inc. Janus Henderson Contrarian Volatility Portfolio J.C. Penney Company Inc. Janus Henderson Enterprise Janus Henderson US J.G. Wentworth Co (The) Janus Henderson Enterprise Managed Volatility J.M. Smucker Co (The) Portfolio Janus Henderson Venture j2 Global Inc Janus Henderson European Janus High Yield Bond Jabil Inc Focus Janus Instl Cash Jacada Ltd Janus Henderson Flexible Management Jack in the Box Inc. Bond Janus Instl Cash Reserves Jackson Hewitt Tax Service Janus Henderson Flexible Janus Instl Government Inc Bond Portfolio Money Market Jackson Square Partners Janus Henderson Forty Janus Instl Money Market SMID Cap Growth Janus Henderson Forty Janus INTECH Risk Jacksonville Bancorp Portfolio Managed Growth Jacksonville Bancorp Inc/FL Janus Henderson Global Janus INTECH Risk Mngd JACKSONVILLE BANCORP Equity Income Core INC/IL Janus Henderson Global Life Janus Olympus JACO ELECTRONICS INC Sciences Janus Orion Fund Jacobs Engineering Group Janus Henderson Global Janus Overseas Inc. Research Janus Perkins Mid Cap Value JACUZZI BRANDS INC Janus Henderson Global Janus Perkins Small Cap Jade Art Group Inc Research Portfolio Value Jag Media Holdings Inc Janus Henderson Global Janus Research Core Jagged Peak Energy Inc Select Janus Special Situations Jaguar Mining Inc Janus Henderson Global Janus Twenty JAKKS Pacific Inc Technology Janus TxEx MMF JAMDAT MOBILE INC Janus Henderson Group PLC Janus Worldwide James Balanced Golden Janus Henderson Growth & Jarden Corp Rainbow Income Jason Industries Inc JAMES MONROE Janus Henderson High Yield Java Detour Inc BANCORP INC Bond JAVELIN Mortgage James River Coal Co Janus Henderson Investment Corp James River Group Holdings International Opportunities Javelin Pharmaceuticals Inc Ltd Janus Henderson Mid Cap JayHawk Energy Inc James Small Cap Value Jazz Pharmaceuticals Plc JAMESON INNS INC Janus Henderson MMF JAZZ TECHNOLOGIES INC Janus Adv Long Short Janus Henderson Overseas JBG SMITH Properties Janus Balanced Janus Henderson Overseas JBI Inc JANUS CAPITAL GROUP Portfolio JD.com Inc INC Janus Henderson Research JDA Software Group Inc Janus Contrarian Fund Janus Henderson Research JED OIL INC Janus Enterprise Portfolio Jefferies Financial Group Inc Janus Flexible Bond Janus Henderson Short Jefferies Group LLC Janus Fund Duration Income ETF Jefferson Bancshares Inc Janus Fund II Janus Henderson Short Term JEFFERSON-PILOT CORP Janus Govt MMF Bond Jeffersonville Bancorp Janus Growth & Income Janus Henderson Small Cap JELD-WEN Holding Inc Janus Henderson Absolute Value Jennifer Convertibles Inc. Return Income Opportunities Janus Henderson Strategic Jennison Conservative Janus Henderson Balanced Income Growth
Page 85
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Jennison Global Growth JHF II International Strategic JHF II MultiManager Lifestyle Jensen Quality Growth Equity Allocation Conservative JER Investors Trust Inc JHF II International Value JHF II MultiManager Lifestyle Jernigan Capital Inc JHF II Intl Core Growth JHF II 500 Index JHF II Investment Quality JHF II MultiManager Lifestyle JHF II Absolute Return Bond Moderate Currency JHF II Large Cap JHF II Mutual Shares JHF II Active Bond JHF II Large Cap Value JHF II Natural Resources JHF II All Cap Core JHF II Lifecycle 2010 JHF II New Opportunities JHF II All Cap Value JHF II Mid Cap Core JHF II Optimized Value JHF II Alpha Opportunities JHF II Mid Cap Index JHF II Real Estate Equity JHF II Alternative Asset JHF II Mid Cap Intersection JHF II Real Estate Securities Allocation JHF II Mid Cap Stock JHF II Real Return Bond JHF II Blue Chip Growth JHF II Mid Value JHF II Redwood JHF II Capital Appreciation JHF II Multi-Index 2020 JHF II Retirement Living JHF II Capital Appreciation Preservation through 2015 Value JHF II Multi-Index 2025 JHF II Science & Technology JHF II Core Bond Preservation JHF II Short Duration Credit JHF II Core Equity JHF II Multi-Index 2030 Oppts JHF II Emerging Markets Preservation JHF II Small Cap Value JHF II Emerging Markets JHF II Multi-Index 2035 JHF II Small Co Value Debt Preservation JHF II Spectrum Income JHF II Equity Income JHF II Multi-Index 2040 JHF II Strategic Bond JHF II Floating Rate Income Preservation JHF II Strategic Equity JHF II Fundamental Global JHF II Multi-Index 2045 Allocation Franchise Preservation JHF II Strategic Income JHF II Fundamental Large JHF II Multi-Index 2050 Opportunities Cap Value Preservation JHF II Technical JHF II Fundamental Value JHF II Multi-Index Income Opportunities JHF II Global Absolute Preservation JHF II Total Bond Market Return Strategies JHF II Multi-Index Lifestyle JHF II Total Return JHF II Global Bond Balanced JHF II US Global Leaders JHF II Global Equity JHF II Multi-Index Lifestyle Growth JHF II Global Income Growth JHF II US Growth JHF II Global Real Estate JHF II MultiManager 2020 JHF II US High Yield Bond JHF II Health Sciences Lifetime JHF II US Strategic Equity JHF II High Income JHF II MultiManager 2025 Allocation JHF II High Yield Lifetime JHF II Value & Restructuring JHF II Index 500 JHF II MultiManager 2030 JHF III Core High Yield JHF II International Equity Lifetime JHF III Disciplined Value Index JHF II MultiManager 2035 JHF III Disciplined Value Mid JHF II International Growth Lifetime Cap Opportunities JHF II MultiManager 2040 JHF III Global Shareholder JHF II International Growth Lifetime Yield Stock JHF II MultiManager 2045 JHF III International Core JHF II International Lifetime JHF III International Growth Opportunities JHF II MultiManager Lifestyle JHF III International Value JHF II International Small Aggressive Equity Cap JHF II MultiManager Lifestyle JHF III Select Growth JHF II International Small Balanced JHF III US Quality Growth Company JHT 500 Index
Page 86
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
JHT 500 Index Trust JHT International Small JHT Strategic Opportunity JHT Active Bond Company JHT Total Bond Market Trust JHT All Cap Core JHT International Value JHT Total Bond Market Trust JHT All Cap Growth JHT Intl Core A JHT All Cap Value JHT Intl Equity Index A JHT Total Return JHT Alpha Opportunities JHT Intl Equity Index Trust JHT Total Stock Market Index JHT Amer Bond JHT Investment Quality Bd JHT US Core JHT Amer Growth JHT Large Cap JHT US Equity Trust JHT Amer Growth Income JHT Large Cap Growth JHT US Global Leaders Gro JHT Amer International JHT Large Cap Value JHT US Govt Securities JHT American Asset JHT Lifestyle Aggressive JHT US High Yield Bond Allocation JHT Lifestyle Balanced JHT US Large Cap JHT Blue Chip Growth JHT Lifestyle Growth JHT Utilities JHT Capital Appreciation JHT Managed JHT Value JHT Capital Appreciation JHT Managed Volatility JHT Value & Restructuring Value Balanced Jiangbo Pharmaceuticals Inc JHT Core Bond JHT Managed Volatility Jiayuan.com International Ltd JHT Core Equity Conservative Jingwei International Ltd JHT Core Strategy JHT Managed Volatility JinkoSolar Holding Co Ltd JHT Disciplined Growth Jinpan International Ltd Diversification JHT Managed Volatility JK ACQUISITION CORP JHT Emerging Markets Value Moderate JLG INDUSTRIES INC JHT Emerging Small Co JHT Mid Cap Index JMAR TECHNOLOGIES INC JHT Equity Income JHT Mid Cap Intersection JMG EXPLORATION INC JHT Floating Rate Income JHT Mid Cap Stock JMP Group LLC JHT Franklin Templeton JHT Mid Cap Value JNAM Guidance-Mod Gro Founding Allocation JHT Mid Value Jni Corp JHT Fundamental All Cap JHT Money Market JNL Aggressive Growth Core JHT Money Market B Allocation JHT Fundamental Holdings JHT Mutual Shares JNL Alt 65 JHT Fundamental Large Cap JHT Natural Resources JNL Government Money Value JHT New Income Market JHT Fundamental Value JHT Overseas Equity JNL Growth Allocation JHT Global Allocation JHT Real Estate Equity JNL Institutional Alt 25 JHT Global Bond JHT Real Estate Securities JNL Institutional Alt 35 JHT Global Diversification JHT Real Return Bond JNL Institutional Alt 50 JHT Global Real Estate JHT Science & Tech JNL Moderate Allocation JHT Global Trust JHT Select Bond Trust JNL Moderate Growth JHT Growth & Income JHT Short Term Allocation JHT Growth Equity JHT Short Term Government JNL Multi-Manager JHT High Income Income Alternative JHT High Yield JHT Small Cap Growth JNL Multi-Manager Mid Cap JHT Income JHT Small Cap Index JNL Multi-Manager Small JHT Income & Value JHT Small Cap Opportunity Cap Growth JHT International Growth JHT Small Cap Value JNL Multi-Manager Small Stock JHT Small Co Value Cap Value JHT International Index JHT Strategic Bond JNL/Alger Growth JHT International JHT Strategic Equity JNL/American Funds Opportunities Allocation Balanced JHT International Small Cap JHT Strategic Income JNL/American Funds Blue Opportunity Chip Income&Growth
Page 87
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
JNL/American Funds Global JNL/Franklin Templeton JNL/Mel Cap S&P SMid 60 Bond Income JNL/Mel Cap Small Cap JNL/American Funds Global JNL/Franklin Templeton Index Small Capitalization International Small Cap JNL/Mel Cap Value Line 30 JNL/American Funds Growth JNL/Franklin Templeton JNL/Mel Mgmt Dow Dividend & Income Mutual Shares JNL/Mel Mgmt Global 15 JNL/American Funds Growth JNL/Goldman Sachs JNL/Mel Mgmt JNL Allocation Emerging Markets Debt Optimized 5 JNL/American Funds JNL/GS Core Plus Bond JNL/Mel Mgmt S&P 10 International JNL/Harris Oakmark Global JNL/Mel Mgmt Select Small JNL/American Funds Equity Cap Moderate Growth Allocation JNL/Invesco China India JNL/Mel Mgmt VIP JNL/American Funds New JNL/Invesco Diversified JNL/Mellon Capital World Dividend Management Global Alpha JNL/AQR Large Cap Relaxed JNL/Invesco Global Real JNL/MFS Mid Cap Value Constraint Equity Estate JNL/Neuberger Berman JNL/AQR Managed Futures JNL/Invesco International Strategic Income Strategy Growth JNL/Oppenheimer Emerging JNL/Blackrock Global JNL/Invesco Large Cap Markets Innovator Allocation Growth JNL/Oppenheimer Global JNL/BlackRock Global JNL/Invesco Mid Cap Value Growth Natural Resources JNL/Invesco Small Cap JNL/PIMCO Income JNL/BlackRock Large Cap Growth JNL/PIMCO Real Return Select Growth JNL/JP Morgan Mid Cap JNL/PPM America Floating JNL/Boston Partners Global Growth Rate Income Long Short Equity JNL/JPMorgan US Gov & JNL/PPM America High Yield JNL/Capital Guardian Global Qual Bd Bond Diversified Research JNL/Lazard Emerging JNL/PPM America Low JNL/Causeway International Markets Duration Bond Value Select JNL/Mel Cap 25 JNL/PPM America Mid Cap JNL/ClearBridge Large Cap JNL/Mel Cap Bond Index Value Growth JNL/Mel Cap Consumer JNL/PPM America Small Cap JNL/Crescent High Income Discretionary Sector Value JNL/DFA US Core Equity JNL/Mel Cap Dow Index JNL/PPM America Total JNL/DoubleLine Core Fixed JNL/Mel Cap Emerging Return Income Markets Index JNL/Putnam Value Equity JNL/DoubleLine Emerging JNL/Mel Cap Energy Sector JNL/Red Rocks Listed Pvt Eq Markets Fixed Income JNL/Mel Cap Financial JNL/S&P 4 JNL/DoubleLine Shiller Sector JNL/S&P Competitive Enhanced CAPE JNL/Mel Cap Healthcare Sec Advantage JNL/DoubleLine Total Return JNL/Mel Cap Index 5 JNL/S&P Dividend Income & JNL/First State Global JNL/Mel Cap Information Growth Infrastructure Technology Sector JNL/S&P Intrinsic Value JNL/FPA + DoubleLine JNL/Mel Cap Intl Index JNL/S&P Managed Aggrsv Flexible Allocation JNL/Mel Cap JNL 5 Gr I JNL/Franklin Templeton JNL/Mel Cap NASDAQ 100 JNL/S&P Managed Founding Strategy Index Conservative JNL/Franklin Templeton JNL/Mel Cap S&P 24 JNL/S&P Managed Growth I Global JNL/Mel Cap S&P 400 Mid JNL/S&P Managed Moderate JNL/Franklin Templeton Index JNL/S&P Managed Moderate Global Multisector Bond JNL/Mel Cap S&P 500 Index Gr
Page 88
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
JNL/S&P Total Yield Journal Communications Inc. JPMorgan Hedged Equity JNL/Scout Unconstrained Journal Media Group Inc JPMorgan High Yield Bond JOURNAL REGISTER CO JPMorgan Highbridge JNL/T Rowe Price Capital Joy Global Inc Dynamic Commodities Appreciation JPM Insurance Trust Mid Strategy JNL/T.Rowe Price Cap Value JPMorgan Highbridge Established Growth JPM Inv Tr Core Bond Statistical Market Neutral JNL/T.Rowe Price Mid Cap JPMorgan 100% US JPMorgan Income Builder Growth Treasury MM JPMorgan Inflation Managed JNL/T.Rowe Price Short JPMorgan Access Balanced Bond Term Bond JPMorgan Access Growth JPMorgan International JNL/T.Rowe Price Value JPMorgan Asia Equity Advantage JNL/WCM Focused Intl JPMorgan Bond JPMorgan International Equity JPMorgan Bond II Currency Income JNL/WMC Balanced JPMorgan CA Municipal JPMorgan International JNL/WMC Government Money Market Equity Money Market JPMorgan CA TxFr Bond JPMorgan International JNL/WMC Value JPMorgan Capital Growth Opportunities Jo-Ann Stores Inc. JPMorgan Chase & Co JPMorgan International Joe's Jeans Inc JPMorgan Core Bond Research Enhanced Equity JOHCM Global Equity JPMorgan Core Plus Bond JPMorgan International JOHCM International Select JPMorgan Corporate Bond Unconstrained Equity John B. Sanfilippo & Son Inc JPMorgan Diversified JPMorgan International Value John Bean Technologies JPMorgan Divrsfd Mid Cap JPMorgan Intrepid America Corp Val JPMorgan Intrepid Growth John Hancock Multifactor JPMorgan Dynamic Small JPMorgan Intrepid MidCap Large Cap ETF Cap Growth JPMorgan Intrepid Value John Hancock Preferred JPMorgan Emerging JPMorgan Intrmd Bond Income Fund Economies JPMorgan Intrmd TxFr Bd John Hancock Preferred JPMorgan Emerging Markets JPMorgan Investor Balanced Income Fund II Debt JPMorgan Investor John Hancock Preferred JPMorgan Emerging Markets Conservative Growth Income Fund III Equity JPMorgan Investor Growth John Hancock Tax- JPMorgan Emerging Markets JPMorgan Investor Growth & Advantaged Dividend Income Strategic Debt Income Fund JPMorgan Enhanced Income JPMorgan Japan John Wiley & Sons Inc. JPMorgan Equity Income JPMorgan Large Cap Growth JOHNSON & JOHNSON JPMorgan Equity Income II JPMorgan Large Cap Value Johnson Controls Inc. JPMorgan Equity Index JPMorgan Limited Duration Johnson Controls JPMorgan Europe Dynamic Bond International Plc JPMorgan Federal MM JPMorgan Liq Assets MM Johnson Fixed Income JPMorgan Floating Rate (old) Johnson Outdoors Inc Income JPMorgan Liquid Assets Joint Corp (The) JPMorgan Global Allocation Money Market Jones Energy Inc JPMorgan Global Bond JPMorgan Managed Income Jones Group Inc (The) Opportunities JPMorgan Market Expansion Jones Lang LaSalle Inc JPMorgan Global Research Enhanced Index Jones Soda Co Enhanced Index JPMorgan MI Muni Bond Jos. A. Bank Clothiers Inc JPMorgan Govt Bond JPMorgan Mid Cap Core JOUNCE THERAPEUTICS JPMorgan Growth & Income JPMorgan Mid Cap Equity INC JPMorgan Growth Advantage JPMorgan Mid Cap Growth
Page 89
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
JPMorgan Mid Cap Value JPMorgan SmartRetirement JPMorgan US Government JPMorgan Mortgage Backed 2050 Money Market Sec JPMorgan SmartRetirement JPMorgan US Large Cap JPMorgan Multi Cap Market 2055 Core Plus Neutral JPMorgan SmartRetirement JPMorgan US Real Estate JPMorgan MultiMgr Small Blend 2020 JPMorgan US Small Cap Growth JPMorgan SmartRetirement Company JPMorgan MultiMgr Small Blend 2025 JPMorgan US Treasury Plus Cap Value JPMorgan SmartRetirement Money Market JPMorgan Muni Income Blend 2030 JPMorgan Value Advantage JPMorgan Muni Money JPMorgan SmartRetirement JPMorgan Value Opport Market Blend 2035 Jps Industries Inc JPMorgan NY Muni Money JPMorgan SmartRetirement Juhl Wind Inc Market Blend 2040 Jumei International Holding JPMorgan NY TxFr Bond JPMorgan SmartRetirement Ltd JPMorgan OH Muni Bond Blend 2045 Juniata Valley Financial Corp JPMorgan Prime Money JPMorgan SmartRetirement Juniper Networks Inc Market Income Juniper Pharmaceuticals Inc JPMorgan Realty Income JPMorgan Strategic Income JUNO LIGHTING INC JPMorgan Research Market Opportunities Juno Therapeutics Inc Neutral JPMorgan Tax Aware Equity Jupai Holdings Ltd JPMorgan Securities Lending JPMorgan Tax Aware Real K&F INDUSTRIES Money Market Return HOLDINGS INC JPMorgan Ser Tr II Mid Cp JPMorgan TaxFree Money K12 Inc Val Market K2 INC JPMorgan Short Duration JPMorgan Total Return K2M Group Holdings Inc Bond JPMorgan Treas & Agency Kaanapali Land LLC JPMorgan Short Intermediate JPMorgan Treas Plus MM Kadant Inc. Muni Bond JPMorgan Tx Aware Core Kadmon Holdings Inc JPMorgan Short Term Bond Equity Kaiser Aluminum Corp JPMorgan Short Term Bond JPMorgan Tx Aware KAISER GROUP HOLDINGS II Diversified Equity INC JPMorgan Small Cap Core JPMorgan Tx Aware KAL ENERGY INC JPMorgan Small Cap Equity Enhanced Kala Pharmaceuticals Inc JPMorgan Small Cap Growth JPMorgan Tx Aware Lg Cp Kalmar Growth w/Val Small JPMorgan Small Cap Value Gro Cap JPMorgan Smart Index JPMorgan Tx Aware Sht KaloBios Pharmaceuticals JPMorgan SmartRetirement Intrm Inc 2015 JPMorgan Tx Aware US KalVista Pharmaceuticals Inc JPMorgan SmartRetirement Equity Kamada Ltd 2020 JPMorgan TxFr Bond Kaman Corp JPMorgan SmartRetirement JPMorgan TxFr Income KANBAY INTERNATIONAL 2025 JPMorgan U.S. Research INC JPMorgan SmartRetirement Enhanced Equity Kandi Technolgies Group Inc 2030 JPMorgan Ultra-Short KANEB PIPELINE JPMorgan SmartRetirement Municipal PARTNRS -LP 2035 JPMorgan Unconstrained KANEB SERVICES LLC JPMorgan SmartRetirement Debt Kansas City Life Insurance 2040 JPMorgan US Equity Co JPMorgan SmartRetirement JPMorgan US Government Kansas City Southern 2045 MM (old) Kaopu Group Inc
Page 90
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
KapStone Paper & Kenneth Cole Productions Kinder Morgan Energy Packaging Corp Inc. Partners LP KAR Auction Services Inc Kenon Holdings Ltd Kinder Morgan Inc. Karyopharm Therapeutics Inc KENSEY NASH CORP KINDER MORGAN Kate Spade & Co Kensington International Real MANAGEMENT LLC KATY INDUSTRIES INC Estate Kindercare Learning Centers KAYAK Software Corp Kensington Strategic Realty Kindred Biosciences Inc Kaydon Corp Kentucky Bancshares Inc Kindred Healthcare Inc Kayne Anderson Energy Kentucky First Federal Kinetic Concepts Inc Development Co Bancorp Kinetics Internet Fund Inc Kayne Anderson Energy Dvlp KENTUCKY INVESTORS Kinetics Paradigm Kayne Anderson Energy INC Kinetics Small Cap Total Return Fund Inc KERR-MCGEE CORP Opportunities Kayne Anderson Keryx Biopharmaceuticals Inc King Digital Entertainment plc Midstream/Energy Fund Inc KERZNER INTERNATIONAL King Pharmaceuticals Inc. Kayne Anderson LTD King Power Intl Group Ltd MLP/Midstream Investment Keurig Dr. Pepper Inc. Kingstone Companies Inc Co Keurig Green Mountain Inc Kingsway Financial Services KB Financial Group Inc Kewaunee Scientific Corp Inc. KB Home KEY HOSPITALITY Kinross Gold Corp KBL Healthcare Acquisition ACQUISITION Kinsale Capital Group Inc Corp III Key Technology Inc KINTERA INC KBL Merger Corp IV Key Tronic Corp KIRBY CORP KBR Inc KeyCorp Kirkland Lake Gold Ltd KBS Fashion Group Ltd Keynote Systems Inc Kirkland's Inc KBS Real Estate Investment KeyOn Communications Kite Pharma Inc Trust II Inc Holdings Inc Kite Realty Group Trust KBW Inc Keysight Technologies Inc KITTY HAWK INC KCG Holdings Inc KEYSPAN CORP KKR & Co Inc KCS ENERGY INC KEYSTONE AUTOMOTIVE KKR Financial Holdings LLC Keane Group Inc INDS INC KKR Real Estate Finance Keane Inc. Keystone Consolidated Trust Inc Kearny Financial Corp Industries Inc. KL Energy Corp Keeley Small Cap Value Keystone Property Trust Klamath First Bancorp Inc KEITH COMPANIES INC Corp KLA-TENCOR CORP Keithley Instruments Inc. Keyuan Petrochemicals Inc Klm-Royal Dutch Airlines Kellogg Co KEYW Holding Corp (The) Klondex Mines Ltd KELLWOOD CO Kezar Life Sciences Inc Klondike Star Minerals Corp Kelly Services Inc. Kforce Inc KLR Energy Acquisition Corp Kelmoore Strategy Eagle Kid Brands Inc KLX Energy Services Kelso Technologies Inc Kiewit Royalty Trust Holdings Inc KEMET Corp Killbuck Bancshares Inc KLX Inc KemPharm Inc Kilroy Realty Corp KMG AMERICA CORP KENDLE INTERNATIONAL Kimball Electronics Inc KMG Chemicals Inc INC Kimball International Inc KNAPE & VOGT MFG CO Kenexa Corp Kimbell Royalty Partners LP KNBT BANCORP INC Kennametal Inc. Kimber Resources Inc Knight Capital Group Inc Kennedy-Wilson Holdings, KIMBERLY-CLARK CORP Knight Energy Corp Inc Kimco Realty Corp Knight Transportation Inc Kennedy-Wilson Inc Kinder Morgan Canada Ltd KNIGHT-RIDDER INC
Page 91
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Knight-Swift Transportation Kratos Defense & Security LAIDLAW INTERNATIONAL Holdings Inc. Solutions Inc INC Knoll Inc KREISLER LAKE SHORE BANCORP Knology Inc MANUFACTURING CORP INC KNOT Offshore Partners LP Krispy Kreme Doughnuts Inc. Lake Shore Gold Corp KNOVA SOFTWARE INC Kroger Co. (The) Lake Sunapee Bank Group Knowles Corp Kroll Inc Lakeland Bancorp Inc Kobex Minerals Inc KRONOS INC Lakeland Financial Corp Kodiak Oil & Gas Corp KRONOS WORLDWIDE INC Lakeland Industries Inc Kodiak Sciences Inc Krystal Biotech Inc LAM RESEARCH CORP Kofax Ltd K-Sea Transportation Lamar Advertising Co Kohlberg Capital Partners LP Lamb Weston Holdings Inc Kohlberg Capital Co KSW Inc LAMSON & SESSIONS CO Kohl's Corp K-Swiss Inc LANCASTER COLONY KOMAG INC Kt Corp CORP KONA GRILL INC K-TRON INTERNATIONAL LANCER CORP/TX KONAMI CORP INC Landacorp Inc KONINKLIJKE AHOLD NV Ku6 Media Co Ltd LandAmerica Financial KONINKLIJKE KPN NV KUBOTA CORP Group Inc. Koninklijke Philips NV Kura Oncology Inc Landauer Inc. KOOR INDUSTRIES LTD Kushco Holdings Inc LANDEC CORP Kopernik Global All Cap K-V Pharmaceutical Co Landmark Bancorp Inc Kopin Corp KVH Industries Inc Landmark Infrastructure Kopp Emerging Growth Kyocera Corp Partners LP Koppers Holdings Inc KYPHON INC Landry's Restaurants Inc. Korea Electric Power Corp KYTHERA Lands' End Inc Korea Fund Inc. (The) Biopharmaceuticals Inc Landstar System Inc Korn Ferry KYTO BIOPHARMA INC LANGER INC Kornit Digital Ltd L Brands Inc Lannett Co Inc. KOS PHARMACEUTICALS L.B. Foster Company Lantheus Holdings Inc INC L.S. Starrett Co (The) LANTRONIX INC KOSAN BIOSCIENCES INC L-1 Identity Solutions Inc LAPOLLA INDUSTRIES INC Kosmos Energy Ltd L3 Technologies Inc LaPorte Bancorp Inc Koss Corp La Cortez Energy Inc Laredo Petroleum Inc Kowabunga Inc La Jolla Pharmaceutical LARGE SCALE BIOLOGY KP Fixed Income Company CORP KP International Equity LA QUINTA CORP LARGO VISTA GROUP LTD KP Large Cap Equity LaBarge Inc. LAS VEGAS FROM KP Retirement Path 2015 LABONE INC HOME.COM ENTM KP Retirement Path 2020 Labopharm Inc Las Vegas Sands Corp KP Retirement Path 2025 Laboratory Corporation of LASALLE HOTEL KP Retirement Path 2030 America Holdings PROPERTIES KP Retirement Path 2035 LaBranche & Co Inc. LASERCARD CORP KP Retirement Path 2040 LaCrosse Footwear Inc LASERSCOPE KP Retirement Path 2045 Ladder Capital Corp Lateef Fund KP Small Cap Equity Ladenburg Thalmann Latin America Equity Fund Kraft Foods Group Inc Financial Services Inc. Inc. (The) KRAMONT REALTY TRUST Ladish Co Inc Latitude Communications Inc KraneShares CSI China LAFARGE NORTH Latitude Solutions Inc Internet ETF AMERICA INC Lattice Semiconductor Corp Kraton Corp LAFARGE SA Laudus Intl MarketMasters
Page 92
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Laudus Mondrian Le Gaga Holdings Ltd Legg Mason LifeStyle International Fixed Income Leader Money Market Allocation 50% Laudus Rosenburg Leader Short Term Bond Legg Mason Low Volatility International Discovery Leading Brands Inc High Dividend ETF Laudus Rosenburg Intl Small Leadis Technology Inc Legg Mason Ltd Duration Cap Leaf Group Ltd Bond Laudus Rosenburg Lng/Sht LEAP TECHNOLOGY INC Legg Mason P Capital Eq Leap Therapeutics Inc Preservation Laudus Rosenburg US Leap Wireless International Legg Mason P Capital Discovery Inc Preservation II Laudus Rosenburg US Small Lear Corp Legg Mason P Core Plus Cap LEARNING CARE GROUP Bond Laudus Small Cap INC Legg Mason P Dividend & MarketMasters Learning Tree International Income Laudus US Large Cap Inc Legg Mason P Global Equity Growth LECG Corp Legg Mason P Growth & Laureate Education Inc LECROY CORP Income LAUREL CAP GROUP INC LEFT BEHIND GAMES INC Legg Mason P Intl All Cap LAW ENFORCEMENT Legacy Acquisition Corp Opportunity ASSOCS CORP Legacy Bancorp Inc Legg Mason P Large Cap Lawson Products Inc Legacy Housing Corp Value LAWSON SOFTWARE INC LegacyTexas Financial Legg Mason P Muni Bond LAYNE CHRISTENSEN CO Group Inc National Lazard Developing Markets Legato Systems Inc Legg Mason P Social Equity Legend International Awareness Lazard Emerging Markets Holdings Inc Legg Mason P US Equity Legend Oil and Gas Ltd Government Securities Lazard Emerging Markets Legg Mason Amer Leading Legg Mason TxEx MM Equity Blend Co Legg Mason US Govt MM Lazard Global Listed Legg Mason Batterymarch Legg Mason US Sml Cap Infrastructure Emerging Mkts Value Lazard Intl Equity Legg Mason Batterymarch Legg Mason Western Asset Lazard Intl Small Cap Intl Equity Adjustable Rate Income Lazard Intl Strategic Equity Legg Mason Batterymarch Legg Mason Western Asset LAZARD LTD S&P 500 Index Core Bond Lazard Retirement Emerg Legg Mason Capital Legg Mason Western Asset Markets Equity Management All Cap NJ Municipals Lazard Retirement Intl Equity Legg Mason Capital Legg Mason Western Asset Lazard Small Cap Management Growth Trust PA Municipals Lazard U.S. Mid Cap Equity Legg Mason Cash Reserve Legg Mason Western Asset Lazard US Equity MM Strategic Income Concentrated Legg Mason ClearBridge Legg Mason Western Asset Lazare Kaplan International Capital Var Money Market Inc. Legg Mason ClearBridge Leggett & Platt Inc LA-Z-BOY INC Dividend Strategy Lehman Bros Cash LCA Vision Inc Legg Mason ClearBridge Management Prime LCC International Inc Equity Lehman Bros Institutional LCI Industries Legg Mason ClearBridge Liquidity Government LCNB Corp Small Cap Value Lehman Bros Institutional LDK Solar Co Ltd. LEGG MASON INC Liquidity Government LDR Holding Corp Legg Mason Invest Grade Reserves
Page 93
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Lehman Bros Institutional LIBERTY BANCORP INC LightInTheBox Holding Co Liquidity Prime Liberty Broadband Corp Ltd Lehman Bros Institutional Liberty Coal Energy Corp Lightscape Technologies Inc Liquidity Prime Reserve LIBERTY CORP Lightspan Inc Lehman Bros National Liberty Expedia Holdings Inc Lightwave Logic Inc Municipal Money Liberty Global plc Lightyear Network Solutions LEHMAN BROTHERS Liberty Gold Corp Inc HOLDINGS INC Liberty Intrmd TxEx Bond LIHIR GOLD LTD Lehman Brothers Institutional Liberty Latin America Ltd Lilis Energy Inc Liquidity Liberty Media Corporation Limbach Holdings Inc Leidos Holdings Inc Liberty Media Entertainment Limco-Piedmont Inc Leisure Acquisition Corp Group LIME ENERGY CO LEITCH TECHNOLOGY Liberty Media Interactive Limelight Networks Inc CORP Group Limestone Bancorp Inc Leju Holdings Ltd Liberty Oilfield Services Inc Limited Term TxEx Bond LeMaitre Vascular Inc Liberty Property Trust Fund of America Lenco Mobile Inc LIBERTY SAT & TECH -CL Limoneira Co LendingClub Corp A LIN Media LLC LendingTree Inc LIBERTY STAR GOLD Lincare Holdings Inc. LENNAR CORP CORP Lincoln Bancorp Lennox International Inc. Liberty Tax Inc Lincoln Educational Services LENOX GROUP INC Liberty TripAdvisor Holdings Corp Lentuo International Inc Inc Lincoln Electric Holdings Inc Leo Holdings Corp Liberty US Govt Money Lincoln National Corp LESCO INC Market LINDBLAD EXPEDITIONS Leuthold Asset Allocation Liberty Var Asset Allocation HOLDINGS, INC. Leuthold Core Investment Liberty Var Money Market Linde Plc Leuthold Global Life Medical Sciences Inc LINDSAY CORP LEV PHARMACEUTICALS Life Partners Holdings Inc LINEAR TECHNOLOGY INC Life Sciences Research Inc CORP Level 3 Parent, LLC Life Storage Inc LINENS N THINGS INC Level One Bancorp Inc Life Technologies Corp LINK ENERGY LLC LEXAR MEDIA INC LIFE TIME FITNESS Inc LinkedIn Corp Lexaria Bioscience Corp LifeCell Corp Linktone Ltd Lexent Inc LIFECORE BIOMEDICAL LinnCo LLC Lexicon Pharmaceuticals Inc INC Lionbridge Technologies Inc LexinFintech Holdings Ltd LIFELINE SYSTEMS INC Lions Gate Entertainment Lexington Realty Trust LifeLock Inc Corp Lexmark International Inc. LifePath Retirement Portfolio LIPID SCIENCES INC LF Capital Acquisition Corp. LifePoint Health Inc LIPIDVIRO TECH INC LG Display Co Ltd Lifepoint Inc LIPMAN ELECTRONIC LGI Homes Inc LifeQuest World Corp ENGR LTD LGL Group Inc (The) LIFESTYLE INNOVATIONS Lipocine Inc LHC Group Inc INC LipoScience Inc Libbey Inc. Lifetime Brands Inc LiqTech International Inc LIBERATE TECHNOLOGIES Lifevantage Corp Liquid Audio Inc Liberator Medical Holdings Lifeway Foods Inc Liquid Cash Trust Inc Ligand Pharmaceuticals Inc Liquid Holdings Group Inc Liberty Acquisition Holdings Lightbridge Corp Liquidia Technologies Inc Corp LIGHTBRIDGE INC Liquidity Services Inc Liberty All Star Equity Fund Lighting Science Group Corp Liquidmetal Technologies Inc
Page 94
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
LIR Premier Money Mkt Loehmanns Holdings Inc Loomis Sayles Senior Lithia Motors Inc. LOEWS CORP Floating Rate and Fixed Lithium Americas Corp LogicBio Therapeutics Inc Income LITHIUM TECHNOLOGY LOGICVISION INC Loomis Sayles Small Cap CORP LOGILITY INC Growth Littelfuse Inc Logitech International SA, Loomis Sayles Small Cap LITTLE SQUAW GOLD Apples Value MINING CO LogMeIn Inc Loomis Sayles Strategic LivaNova PLC LoJack Corp Alpha Live Current Media Loma Negra Compania Loomis Sayles Strategic Live Nation Entertainment Inc Industrial Argentina Sociedad Income Live Oak Bancshares Inc Anonima Loomis Sayles Value LiveDeal Inc Lombard Medical Tech Plc Loop Industries Inc Livent Corp Loncor Resources Inc LoopNet Inc LivePerson Inc Lone Pine Resources Inc Loral Space & Liveramp Holdings Inc Lone Star Gold Inc Communications Inc LiveWire Mobile Inc LONE STAR STEAKHOUSE Lord Abbett Affiliated LiveXLive Media Inc SALOON Lord Abbett Alpha Strategy Lizhan Environmental Corp LONE STAR Lord Abbett Bond Debenture LJ International Inc TECHNOLOGIES Lord Abbett Calibrated LKCM Small Cap Equity Lonestar Resources US Inc Dividend Growth LKQ Corp LONG ISLAND FINANCIAL Lord Abbett Calibrated Mid LL&E Royalty Trust CORP Cap Value LMI Aerospace Inc Longboard Managed Futures Lord Abbett Classic Stock LML Payment Systems Inc Strategy Lord Abbett Convertible LMP Capital and Income Longleaf Partners Lord Abbett Core Fixed Fund Inc Longleaf Partners Intl Income LMP Var Capital Longleaf Partners Small Cap Lord Abbett Developing LMP Var Capital & Income Longs Drug Stores Corp Growth LMP Var Equity Index Longtop Financial Lord Abbett Emerging LMP Var I All Cap Fund Technologies Ltd Markets Currency LMP Var III Aggressive LONGVIEW FIBRE CO Lord Abbett Floating Rate Growth Looksmart Ltd Lord Abbett Fundamental LMP Var III High Income Loomis Sayles Bond Equity LMP Var III Large Cap Loomis Sayles Core Plus Lord Abbett Growth Leaders Growth Bond Lord Abbett Growth Opport LMP Var III Large Cap Value Loomis Sayles Fixed Income Lord Abbett High Yield LMP Var Investors Loomis Sayles Global Lord Abbett High Yield LMS MEDICAL SYSTEMS Allocation Municipal Bond INC Loomis Sayles Global Bond Lord Abbett Income LNB Bancorp Inc Loomis Sayles Growth Lord Abbett Inflation Focused Lnr Property Corp Loomis Sayles Institutional Lord Abbett Ins Ser Bond Local Financial Corp High Income Lord Abbett Ins Ser Gro & Inc Local.com Corp Loomis Sayles Invest Grade Lord Abbett Ins Ser Mid Cp LOCATEPLUS HOLDINGS Bond Val CORP Loomis Sayles InvTr Lord Abbett Ins Ser Total Lockheed Martin Corp Investment Grade Fixed Return LoCorr Macro Strategies Income Lord Abbett Intermediate LoCorr Market Trend Loomis Sayles Limited TaxFree LodgeNet Interactive Corp Government and Agency Lord Abbett International Lodgian Inc. Equity
Page 95
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Lord Abbett International LUCENT TECHNOLOGIES LVIP Delaware Diversified Value INC Floating Rate Lord Abbett Intl Opportunities LUFKIN INDUSTRIES INC LVIP Delaware Foundation Lord Abbett Large Cap Gro lululemon athletica inc Aggressive Allocation Lord Abbett Mid Cap Stock Lumber Liquidators Holdings LVIP Delaware Foundation Lord Abbett Multi-Asset Inc Conservative Allocation Balanced Opportunity LUMENIS LTD LVIP Delaware Social Aware Lord Abbett Multi-Asset Lumentum Holdings Inc LVIP Delaware Special Growth Lumera Corp Opportunities Lord Abbett Multi-Asset Luminent Mortgage Capital LVIP Dimensional U.S. Core Income Inc. Equity 1 Lord Abbett Short Duration Luminex Corp LVIP Dimensional U.S. Core Income Lumos Networks Corp Equity 2 Lord Abbett Short Duration Luna Innovations Inc LVIP Dimensional U.S. Tax Free Lundin Mining Corp Equity Managed Volatility Lord Abbett Small Cap Blend Luther Burbank Corporation LVIP Dimensional/Vanguard Lord Abbett Sml Cap Value Lutheran Bro Money Market Total Bond Lord Abbett Total Return Lutheran Bro Muni Bond LVIP Franklin Templeton Lord Abbett TxFr Natl Income Lutheran Brotherhood Global Equity Managed Lord Abbett TxFr NY Income Lutheran VIP Opport Growth Volatility Lord Abbett Ultra Short Bond Luxfer Holdings PLC LVIP Global Conservative Lord Abbett US Gov Luxottica Group SPA, Milano Allocation Managed Risk Sponsored Enterprises MM LVIP American Balanced LVIP Global Growth Lord Abbett Value Allocation Allocation Managed Risk Opportunities LVIP American Global LVIP Global Income Lorillard Inc Balanced Allocation LVIP Global Moderate Lotsoff Capital Mgmt Micro Managed Risk Allocation Managed Risk Cap LVIP American Global LVIP Government Money Lotus Pharmaceuticals Inc Growth Allocation Managed Market LOUD TECHNOLOGIES INC Risk LVIP JP Morgan High Yield LOUDEYE CORP LVIP American Growth LVIP JPM Select Mid Cap Louisiana Bancorp Inc LVIP American Growth Value Managed Volatility Louisiana-Pacific Corp Allocation LVIP MFS International Lowe's Cos Inc. LVIP American Growth Growth LOWRANCE ELECTRONICS Income LVIP MFS Value INC LVIP American Preservation LVIP Mondrian International Loxo Oncology Inc LVIP Baron Growth LVIP PIMCO Low Duration LPL Financial Holdings Inc Opportunities Bond LRAD Corp LVIP BlackRock Dividend LVIP SSgA Bond Index LRR Energy LP Value Managed Volatility LVIP SSgA Developed LSB Corp LVIP BlackRock Global International 150 LSB Financial Corp. Allocation V.I. Managed Risk LVIP SSgA Emerging LSB Industries Inc LVIP BlackRock Inflation Markets 100 LSC Communications Inc Protected Bond LVIP SSgA Emerging LSI Corp LVIP Blended Large Cap Markets Equity Index LSI Industries Inc Growth Managed Volatility LVIP SSgA Global Tactical LSV Value Equity LVIP Blended Mid Cap Allocation Managed Volatility LTC Properties Inc. Managed Volatility LVIP SSgA International Lubrizol Corp (The) LVIP Clarion Global Real Index Luby's Inc. Estate LVIP SSgA Large Cap 100 Lucas Energy Inc LVIP Delaware Bond LVIP SSGA Mid Cap Index
Page 96
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
LVIP SSgA Moderate M Stanley IL Intl Real Estate Mac-Gray Corp Structured Allocation M Stanley IL Intl Small Cap Mack-Cali Realty Corp LVIP SSgA Moderately M Stanley IL Intrmd Duratn MacKinac Financial Corp Aggressive Structured Fxd MACOM Technology Allocation M Stanley IL Inv Grade Fxd II Solutions Holdings Inc LVIP SSgA S&P 500 Index M Stanley IL Limited Duration Macquarie Global LVIP SSGA Small Cap Index M Stanley IL Liquidity Infrastructure Total Return LVIP TRP Growth Stock Government Fund Inc LVIP TRP Structured Mid M Stanley IL Liquidity Macquarie Infrastructure Cap Government Securities Corp LVIP US Growth Allocation M Stanley IL Liquidity Money MACREPORT NET INC Managed Risk Market MACROCHEM CORP/DE LVIP Wellington Capital M Stanley IL Liquidity Prime Macrocure Ltd Growth MM MacroGenics Inc LVIP Western Asset Core M Stanley IL Liquidity MACROMEDIA INC Bond Treasury MacroSolve Inc Lydall Inc. M Stanley IL Liquidity Macy's Inc LYNCH INTERACTIVE Treasury Securities Mad Catz Interactive Inc. CORP M Stanley IL Liquidity Tx Ex Madeco SA Lynden Energy Corp M Stanley IL Money Market Madison Bancshares Inc/Fl Lynx Therapeutics Inc M Stanley IL Multi Asset Madison Square Garden Co LYONDELL CHEMICAL CO M Stanley IL Muni MM (The) LyondellBasell Industries NV M Stanley IL Opportunity Madison/Claymore Covered Lyrical US Value Equity M Stanley IL Small Company Call & Equity Strategy Fund Lyris Inc Growth Madrigal Pharmaceuticals Inc M & F Worldwide Corp. M Stanley IL Specl Purpose MAF BANCORP INC M B T Financial Corp Fxd MAG Silver Corp M Fund M International M Stanley IL Ultra Short Magal Security Systems Ltd Equity Income Magellan Health Inc M Stanley IL Active Intl M Stanley IL US Mid Cap Magellan Midstream Holdings M Stanley IL Adv Portfolio Value LP M Stanley IL Balanced M Stanley IL US Real Estate Magellan Midstream Partners M Stanley IL Core Fxd Inc M Stanley IL Value LP M Stanley IL Core Plus Fxd M Stanley Univ Core+ Fixed Magenta Therapeutics Inc Inc Inc Magic Software Enterprises M Stanley IL Discovery M Stanley Univ Emerg Mkt Ltd M Stanley IL Emerging Eqty MAGICJACK VOCALTEC Markets M Stanley Univ Global Real LTD M Stanley IL Frontier Markets Estate MAGMA DESIGN M Stanley IL Global M Stanley Univ Mid Cap Gro AUTOMATION INC Franchise M Stanley Variable Ins Fund Magna Entertainment Corp M Stanley IL Global US Real Estate Magna International Inc. Opportunity M&T Bank Corp MagnaChip Semiconductor M Stanley IL Global Real M.D.C. Holdings Inc. Corp Estate M/I Homes Inc Magnetek Inc. M Stanley IL Growth MA Muni Cash Trust Magnolia Lane Income Fund M Stanley IL High Yield Macatawa Bank Corp Magnolia Oil & Gas Corp M Stanley IL International MacDermid Inc Magnum Hunter Resources Advantage Mace Security International Corp M Stanley IL Intl Equity Inc MAGNUM HUNTER M Stanley IL Intl Opportunity Macerich Co (The) RESOURCES INC
Page 97
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
MAGYAR BANCORP INC MainStay MacKay MainStay VP High Yield Magyar Telecom Convertible Corporate Bond Mahanagar Telephone MainStay MacKay MainStay VP Income Builder Nigam Ltd DefinedTerm Municipal MainStay VP International Maiden Holdings Ltd Opportunities Fund Equity Maidenform Brands Inc MainStay MacKay Growth MainStay VP Janus MAIN STREET BANKS INC MainStay MacKay High Yield Henderson Balanced Main Street Capital Corp Corporate Bond MainStay VP Large Cap MAIN STREET MainStay MacKay High Yield Growth RESTAURANT GROUP Muni Bond MainStay VP MacKay MAIN STREET TRUST INC MainStay MacKay Common Stock MAINE & MARITIMES CORP International Opportunities MainStay VP MacKay MainGate MLP MainStay MacKay S&P 500 Convertible MainSource Financial Group Index MainStay VP MacKay Growth Inc MainStay MacKay Short MainStay VP MacKay Mid MainStay Balanced Duration High Yield Cap Core MainStay Blue Chip Growth MainStay MacKay Tax Free MainStay VP MacKay S&P MainStay Capital Bond 500 Index Appreciation MainStay MacKay Total MainStay VP MacKay MainStay Cash Reserves Return Bond Unconstrained Bond MainStay Common Stock MainStay MacKay U.S. Mainstay VP Mid Cap Growth MainStay Cushing MLP Equity Opportunities MainStay VP Mid Cap Value Premier MainStay MacKay MainStay VP Moderate MainStay Epoch Global Unconstrained Bond Allocation Equity Yield MainStay MAP Equity MainStay VP Moderate MainStay Epoch International MainStay Mid Cap Value Growth Allocation Choice MainStay Moderate MainStay VP T. Rowe Price MainStay Epoch International Allocation Equity Income Small Cap MainStay Moderate Growth MainStay VP US MainStay Epoch US All Cap Allocation Government Money Market MainStay Epoch US Equity MainStay Money Market MainStay VP Value Yield Mainstay Small Cap Growth MainStay VP Van Eck Global MainStay Epoch US Small MainStay Value Hard Assets Cap MainStay VP Absolute Mainstreet Bankshares Inc MainStay Equity Index Return Multi-Strategy MAIR HOLDINGS INC MainStay Floating Rate MainStay VP Bond Mairs & Power Balanced MainStay Global High MainStay VP Conservative Mairs & Power Growth Income Allocation Majesco MainStay Government MainStay VP Emerging MakeMusic Inc MainStay Growth Equity Markets Equity MakeMyTrip Ltd MainStay High Yield MainStay VP Epoch U.S. MAKITA CORP Opportunities Small Cap Mako Surgical Corp MainStay ICAP Equity MainStay VP Epoch US Malibu Boats Inc MainStay ICAP Select Equity Equity Yield Mallinckrodt Plc MainStay Income Builder MainStay VP Fidelity Malvern Bancorp Inc MainStay Income Manager Institutional AM Utilities MAM Software Group Inc MainStay Indexed Bond MainStay VP Floating Rate Mammoth Energy Services MainStay Institutional Bond MainStay VP Government Inc MainStay International Equity MainStay VP Growth Managed High Yield Plus MainStay Large Cap Growth Allocation Fund Inc.
Page 98
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Management Network Group MANOR CARE INC Marrone Bio Innovations Inc Inc (The) ManpowerGroup Inc Marsh & McLennan Managers Cadence Capital ManTech International Corp Companies Inc Appreciation Manu Forti Group Inc MARSH SUPERMARKETS - Managers Cadence Mid Cap MANUFACTURERS SVCS CL B Managers Fremont Instl LTD MARSHALL & ILSLEY CORP Micro Cap MANUGISTICS GROUP INC Marshall Govt Income Fund Managers Fremont Micro Manulife Financial Corp Marshall International Stock Cap MAP Pharmaceuticals Inc Marshall Large Cap Growth Managers International MAPICS INC Marshall Large Cap Value Equity MAPINFO CORP Marshall Mid Cap Growth Managers Short Govt Marathon Petroleum Corp Marshall Mid Cap Value Managers Special Equity Marchex Inc Marshall Short Intermediate ManagersAMG FQ Global Marcus & Millichap Inc Bond Alternatives Marcus Corp (The) Marsico 21st Century Manas Petroleum Corp Marimba Inc Marsico Flexible Capital Manatron Inc MariMed Inc Marsico Focus MANCHESTER Marin Software Inc Marsico Growth TECHNOLOGIES INC Marina Biotech Inc Marsico Intl Opportunities Manchester United Plc Marine Harvest ASA MARTEK BIOSCIENCES MANDALAY RESORT MARINE PETROLEUM CORP GROUP TRUST Marten Transport Ltd Manhattan Associates Inc Marine Products Corp Martha Stewart Living MANHATTAN SCIENTIFICS MarineMax Inc Omnimedia Inc. INC Mariner Energy Inc Martin Marietta Materials Inc. Manitex International Inc Mariner Health Care Inc Martin Midstream Partners Manitowoc Company Inc. Marinus Pharmaceuticals Inc LP (The) MARITRANS INC Marvel Entertainment Inc Mannatech Inc MARKEL CORP Marvell Technology Group Manning & Napier Diversified Marker Therapeutics Inc Ltd TxEx Market Leader Inc Masco Corp Manning & Napier Equity Market Vectors Brazil Small- Masimo Corp Manning & Napier Inc Cap ETF MASISA S.A. Manning & Napier Market Vectors Coal ETF Masisa Sa International Market Vectors Global Masonite International Corp Manning & Napier Life Alternative Energy ETF Trust Mass Investors Growth Stock Sciences Market Vectors Vietnam ETF Mass Investors Trust Manning & Napier Overseas MARKETAXESS HOLDINGS MASSBANK Corp. Manning & Napier Pro-Blend INC Massey Energy Co Conservative Term Marketfield MassMutual Corporate Manning & Napier Pro-Blend Marketo Inc Investors Extended Term Marketwatch.Com Inc MassMutual Premr Balanced Manning & Napier Pro-Blend MARKWEST ENERGY MassMutual Premr Capital Maximum Term PARTNERS LP Appreciation Manning & Napier Pro-Blend MARKWEST MassMutual Premr Core Moderate Term HYDROCARBON INC Bond Manning & Napier Marlin Business Services MassMutual Premr Diversfd Unconstrained Bond Corp Bond Manning & Napier World Marriott International Inc MassMutual Premr Enh Idx Opportunities Marriott Vacations Worldwide Gro MannKind Corp Corp
Page 99
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
MassMutual Premr Enhanced MassMutual Select T Rowe Matthews Pacific Tiger Index Value Price International Equity Mattress Firm Holding Corp MassMutual Premr Global MassMutual Select T Rowe Mattson Technology Inc MassMutual Premr High Price Large Cap Blend Maui Land & Pineapple Co Yield MassMutual Select T Rowe Inc. MassMutual Premr Inflation Price Retirement 2020 Mavenir Systems Inc Protected & Income MassMutual Select T Rowe MAVERICK OIL & GAS INC MassMutual Premr Intl Equity Price Retirement 2030 MAVERICK TUBE CORP MassMutual Premr Main MassMutual Select T Rowe MAX & ERMAS Street Price Retirement 2040 RESTAURANTS MassMutual Premr Money MassMutual Select Total Max Sound Corp Market Return Bond Maxar Technologies Inc MassMutual Premr Short MasTec Inc. MAXCO INC Duration Bond Mastech Digital Inc Maxcom Telecomunicaciones MassMutual Premr Sml Co Mastercard Inc SA de CV Opp MasterCraft Boat Holdings MAXCOR FINANCIAL MassMutual Premr Strategic Inc GROUP INC Income Masters Select Equity Maxim Ariel Mid Cap Value MassMutual Premr Value Masters Select Smaller Co Maxim Ariel Small Cap Value MassMutual RetireSMART Masters Select Value Maxim Integrated Products Moderate Matador Resources Co Inc. MassMutual Sel DestinRet Match Group Inc Maxim Invesco ADR 2040 MATERIAL SCIENCES Maxim Moderate Aggrsv Prof MassMutual Sel DestinRet CORP II Inc Materialise NV Maxim Moderate Profile MassMutual Select Materials Select Sector MAXIM BlackRock Global Allocation SPDR Fund (The) PHARMACEUTICALS INC MassMutual Select Blue Chip Materion Corp Maxim Stock Index Growth MathStar Inc Maxim US Government MassMutual Select Matinas BioPharma Holdings Mortgage Securities Diversified Value Inc MAXIMUS Inc. MassMutual Select Equity MATRIA HEALTHCARE INC MaxLinear Inc Opportunities MATRITECH INC MaxPoint Interactive Inc MassMutual Select Matrix Advisors Value MAXTOR CORP Fundamental Val Matrix Service Co Maxwell Shoe Co Inc -Cl A MassMutual Select Growth MATRIXONE INC Maxwell Technologies Inc Equity MATRIXX INITIATIVES INC MAXXAM Inc. MassMutual Select Growth Matson Inc MAXYGEN INC Opportunities Mattel Inc. MAY DEPARTMENT MassMutual Select Large Mattersight Corp STORES CO Cap Value Matthews Asia Dividend MAYTAG CORP MassMutual Select Mid Cap Matthews Asia Growth Mazor Robotics Ltd Growth Matthews Asia Small MB Financial Inc MassMutual Select Overseas Companies MBF Healthcare Acquisition MassMutual Select Small Matthews Asian Growth & Corp Cap Growth Equity Income MBIA Inc. MassMutual Select Small Co Matthews China Mbna Corp Value Matthews India MC SHIPPING MassMutual Select Strategic Matthews International Corp MCAFEE INC Bond Matthews Japan McClatchy Co (The) Matthews Korea McCormick & Co Inc
Page 100
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
McCormick & Schmicks Mediacom Communications Melco Resorts & Seafood Restaurants Inc Corp Entertainment Ltd MCDATA CORP -CL A MEDIALINK WORLDWIDE Melinta Therapeutics Inc MCDONALD'S CORP INC Mellanox Technologies Ltd McEwen Mining Inc MediaMind Technologies Inc MELLON FINANCIAL CORP MCG Capital Corp Medical Action Industries Inc Memorial Production McGrath RentCorp Medical Care Technologies Partners LP MCI INC Inc Memorial Resource McKee Intl Equity Medical Connections Development Corp MCKESSON CORP Holdings Inc Memory Pharmaceuticals MCLEODUSA INC -CL A MEDICAL NUTRITION USA Corp McMoRan Exploration Co INC MEMRY CORP MCRAE INDUSTRIES -CL A Medical Properties Trust Inc MEMSIC Inc MDI INC Medical Staffing Network Menlo Therapeutics Inc MDSI MOBILE DATA Holdings Inc. MENTOR CORP SOLUTIONS MEDICALCV INC Mentor Graphics Corp MDU Communications Medicines Company (The) MercadoLibre Inc International Inc Medicinova Inc Mercantil Bank Holding Corp MDU Resources Group Inc. Medicis Pharmaceutical Corp Mercantile Bancorp Inc/IL MDWERKS INC Medidata Solutions Inc Mercantile Bank Corp Mead Johnson Nutrition Co Medifast Inc. MERCANTILE MEADE INSTRUMENTS Medi-Hut Co Inc BANKSHARES CORP CORP MEDIMMUNE INC Mercator Software Inc MEADOW VALLEY CORP MEDIS TECHNOLOGIES Mercer Core Fixed Income Meadowbrook Insurance LTD Mercer Gold Corp Group Inc MEDISCIENCE Mercer Insurance Group Inc. MeadWestvaco Corp TECHNOLOGY CORP Mercer International Inc Measurement Specialties Inc. MEDISTEM Mercer Non US Core Equity MECHANICAL LABORATORIES INC Mercer US Large Cap Equity TECHNOLOGY INC Medivation Inc Mercer US Large Cap Value Mechel PAO MEDIWARE Information Equity Mecox Lane Ltd Systems Inc Mercer US Small/Mid Cap Medallion Financial Corp. Medizone International Inc Equity MEDAREX INC Medley Capital Corp MERCHANTS & MFRS MedAssets Inc Medley Management Inc BANCORP INC Medbox Inc Mednax Inc Merchants Bancorp MedCath Corp Medpace Holdings Inc Merchants Bancshares Inc MedClean Technologies Inc MedPro Safety Products Inc MERCHANTS GROUP INC Medco Health Solutions Inc. MEDQUIST INC Merck & Co Inc. MEDCOM USA INC Medsource Technologies Inc MERCK SERONO SA MED-DESIGN CORP MEDTOX Scientific Inc. Mercury Air Group Inc MEDecision Inc Medtronic PLC Mercury General Corp Medequities Realty Trust Inc MEDWAVE INC MERCURY INTERACTIVE Media & Entertainment Medytox Solutions Inc CORP Holdings Inc Meeder Muirfield Mercury Intl Value V.I. Media Arts Group Inc Megalith Financial Acquisition Mercury Systems Inc Media General Inc Corp Mercury US Large Cap Media Sciences International MEI Pharma Inc MEREDITH CORP Inc. Meiragtx Holdings plc Merge Healthcare Inc Mediabay Inc MELA Sciences Inc Merger Fund MergeWorthRx Corp
Page 101
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Meridian Bancorp Inc Mesa Air Group Inc MetInvstrs ST MetLife MERIDIAN BIOSCIENCE Mesa Energy Inc Defensive Strategy INC MESA LABORATORIES INC MetInvstrs ST MetLife MERIDIAN CO LTD MESA ROYALTY TRUST Growth Strategy Meridian Contrarian MESABI TRUST MetInvstrs ST MetLife Meridian Corp MESTEK INC Moderate Strategy MERIDIAN GOLD INC Meta Financial Group Inc MetInvstrs ST Oppenhmr Meridian Growth META GROUP INC Cap App Meridian Resource Corp METABASIS MetInvstrs ST Pioneer Fund (The) THERAPEUTICS INC MetInvstrs ST RCM Tech Meridian Small Cap Growth Metabolix Inc MetInvstrs ST Schroders MERISEL INC METAL MANAGEMENT INC Global Multi-Asset II MERISTAR HOSPITALITY Metaldyne Performance Metinvstrs ST SSGA Growth CORP Group Inc and Income ETF Merit Medical Systems Inc Metalico Inc Metinvstrs ST SSGA Growth Meritage Homes Corp Metalink Ltd ETF MERITAGE HOSPITALITY Metallica Resources Inc. MetInvstrs ST Templeton GROUP Metals USA Holdings Corp Growth Meritor Inc METALS USA INC MetInvstrs ST Tr American Merix Corp METASOLV INC International Merk Hard Currency MetaStat Inc MetInvstrs ST Turner MdCp Merrill Lynch & Co Inc Metavante Technologies Inc Gr Merrill Lynch Basic PrinProt Methanex Corp MetLife CapGuard US Eqty Merrill Lynch Core Princ Prot Methode Electronics Inc MetLife FI Mid Cap Merrill Lynch Corp Intrmd MetInvstrs ST BatteryMarch Opportunity Merrill Lynch Fdmtl PrinProt Growth & Income MetLife FI Value Leaders Merrill Lynch Focus Twenty MetInvstrs ST ClearBridge Metlife Inc. Merrill Lynch Retire Aggressive Growth II Metlife Inv Diversified Bond Reserves2 MetInvstrs ST Franklin Metlife Inv Intl Stock Merrill Lynch S&P 500 Pro Income Metlife Inv Large Comp Stock Merrill Lynch Short US Govt MetInvstrs ST Franklin Metlife Inv Small Comp Stock Merrill Lynch US Government Mutual Shares MetLife Loomis Small Cap Merrill Lynch US Govt Reserv MetInvstrs ST Franklin Core Merrill Lynch US Hi Yld Templeton Founding Strategy MetLife MFS Value Portfolio Merrill Merchants Metinvstrs ST Jennison II Bancshares Inc Large Cap Equity MetLife Neuberger Berman Merrimac Cash Series MetInvstrs ST Lazard Mid Mid Cap Value Merrimac Industries Inc. Cap MetLife Zenith Equity Merrimac Muni Series MetInvstrs ST Legg Mason P Met-Pro Corp Merrimac Prime Series Managed Assets Metris Companies Inc Merrimac Treas Plus Ser Metinvstrs ST Legg Mason Metro Bancorp Inc Merrimac Treasury Series Value Equity METRO GOLDWYN MAYER Merrimac US Govt Series MetInvstrs ST Loomis Sayles INC Merrimack Pharmaceuticals Global Markets METRO ONE TELECOMM Inc MetInvstrs ST Lord Abbett INC Merriman Curhan Ford Group Bond Debenture Metrocall Inc Inc MetInvstrs ST Met Pioneer MetroCorp Bancshares Inc Mersana Therapeutics Inc Strategic Income METROLOGIC Meru Networks Inc MetInvstrs ST MetLife INSTRUMENTS INC Merus Labs International Inc Balanced Strategy METROMEDIA Merus NV INTERNATIONAL GRP
Page 102
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
METRON TECHNOLOGY MFS Global Bond MFS Strategic Growth NV MFS Global Equity MFS Strategic Income Metropolitan Bank Holding MFS Global Growth MFS Strategic Value Corp MFS Global High Yield MFS Technology Metropolitan BlackRock MFS Global Real Estate MFS Total Return Large Cap MFS Global Total Return MFS Total Return Bond Metropolitan Health Networks MFS Government Markets MFS Utilities Inc Income Trust MFS Value METSO OYJ MFS Govt Ltd Maturity MFS VIT Growth Mettler-Toledo International MFS Govt Mortgage MFS VIT High Income Inc MFS Govt Securities MFS VIT II Blend Research MetWest High Yield Bond MFS Growth Core Equity MetWest Intrmd Bond MFS Growth Allocation MFS VIT II Capital MetWest Low Duration Bond MFS Growth Opportunities Appreciation MetWest Strategic Income MFS High Income MFS VIT II Emerging Growth MetWest Total Return Bond MFS Inflation Adjusted Bond MFS VIT II Global Tactical MetWest Ultra Short Bond MFS Instl Emerging Equities Allocation MetWest Unconstrained MFS Instl Intl Equity MFS VIT II Government Bond MFS Intermediate Income Securities Metzler/Payden Europe Emrg Trust MFS VIT II High Yield Mkt MFS Intl Diversification MFS VIT II International MEXCO ENERGY CORP MFS Intl Growth Value MEXICAN RESTAURANTS MFS Intl New Discovery MFS VIT II Massachusettes INC MFS Intl Value Investors Growth Mexico Fund Inc. (The) MFS Intrmd Invest Grade MFS VIT II Money Market MEXORO MINERALS LTD Bond MFS VIT II New Discovery MF Global Holdings Ltd MFS Large Cap Growth MFS VIT II Research Intl MFA Financial Inc MFS Lifetime 2030 MFS VIT II Ser Tr Research MFB Corp. MFS Lifetime Income MFS VIT II Total Return MFC Bancorp Ltd MFS Limited Maturity MFS VIT II Utilities MFRI Inc MFS Managed Sectors MFS VIT II Value MFS Aggrsv Growth Alloc MFS Mid Cap Growth MFS VIT III Conservative MFS Blended Research Core MFS Mid Cap Value Allocation Equity MFS Moderate Allocation MFS VIT III Growth Allocation MFS Capital Opportunities MFS Money Market MFS VIT III Inflation Adjusted MFS Cash Reserve MFS Multimarket Income Bond MFS Charter Income Trust Trust MFS VIT III Limited Maturity MFS Commodity Strategy MFS Muni Bond MFS VIT III Moderate MFS Compass Capital MFS Muni CA Allocation Apprec VA MFS Muni High Income MFS VIT Investors Gro Stk MFS Conservative Alloc MFS Muni Income MFS VIT Investors Trust MFS Core Equity MFS Muni Ltd Maturity MFS VIT Mid Cap Growth MFS Core Growth MFS Muni MA MFS VIT New Discovery MFS Corporate Bond MFS Muni NC MFS VIT Research MFS Diversified Income MFS Muni VA MFS VIT Total Return MFS Emerging Markets Debt MFS Municipal Income Trust MFS VIT Total Return Bond MFS Emerging Markets MFS New Discovery MFS VIT Utilities Equity MFS New Discovery Value MFS VIT Value MFS Equity Opportunities MFS New Endeavor MFS/SunLife Capital Opport MFS Global Alternative MFS Research MGE Energy Inc Strategy MFS Research International MGI PHARMA INC
Page 103
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
MGIC Investment Corp Middlesex Water Co Mines Management Inc MGM Resorts International Midland Company (The) Minorplanet Systems Usa Inc MGP Ingredients Inc Midland States Bancorp Inc Minrad International Inc MGT CAPITAL MidSouth Bancorp Inc. Minuteman International Inc INVESTMENTS INC MID-STATE BANCSHARES MIPS TECHNOLOGIES INC MI Muni Cash Trust Midstates Petroleum Co Inc Miragen Therapeutics Inc Michael Baker Corp Midway Games Inc. MIRAMAR MINING CORP Michaels Companies Inc Midway Gold Corp MIRANT CORP (The) MIDWEST AIR GROUP INC Mirati Therapeutics Inc Micrel Inc. Midwest Banc Holdings Inc MIRAVANT MEDICAL MICRO COMPONENT TECH MidWestOne Financial Group TECHNOLGIES Micro Focus International Inc MISCOR Group Ltd PLC Mid-Wisconsin Financial MISONIX Inc MICRO LINEAR CORP Services Inc MISSION RESOURCES MICRO THERAPEUTICS Miix Group Inc CORP INC MIKRON INFRARED INC Mission West Properties Inc. Microbot Medical Inc Milacron Holdings Corp Mistras Group Inc MICROCHIP TECHNOLOGY Milacron Inc. MIT AIM Aggressive Growth INC MILE MARKER INTL INC MIT CpGrd Diversified Bond MicroFinancial Inc Milestone Scientific Inc. MIT Fid Overseas MICROMEM Milestone Treas Oblig Portf MIT Holding Inc TECHNOLOGIES INC MILLEA HOLDINGS INC MIT MFS Strategic Growth Micromet Inc Millennial Media Inc MIT Quantitative Equity MICROMUSE INC MILLENNIUM Mitcham Industries Inc Micron Technology Inc. BANKSHARES CORP MITCHELLS & BUTLER PLC MICRONETICS INC Millennium Chemicals Inc MITEK SYSTEMS INC MICROS SYSTEMS INC MILLENNIUM INDIA Mitel Networks Corp MICROSEMI CORP ACQSTN CO Mitsubishi UFJ Financial MICROSOFT CORP Millennium Pharmaceuticals Group MicroStrategy Inc Inc. MITSUI & CO LTD MICROTEK MEDICAL Miller Energy Resources Inc MITY ENTERPRISES INC HLDGS INC MILLER INDUSTRIES MIV Therapeutics I Microtune Inc INC/TN MIVA INC Microvision Inc WA Miller Opportunity Trust MiX Telematics Ltd MICRUS ENDOVASCULAR Millicom International Cellular Mizuho Financial Group Inc CORP SA MJ Holdings Inc Mid Atlantic Medical Svcs Millipore Corp MK RESOURCES CO Mid Penn Bancorp Inc. MILLS CORP MKS Instruments Inc Mid-America Apartment Mimecast Ltd ML Macadamia Orchards LP Communities Inc MiMedx Group Inc MM RetireSMART 2020 Midas Inc. Minatura Gold MM RetireSMART by Mid-Atlantic Realty Trust Minco Gold Corp JPMorgan 2030 MIDCAROLINA FINANCIAL Mind Cti Ltd MM S&P 500 Indexed CORP MINDBODY Inc MM Select Equity Asset Midcoast Energy Partners LP Mindray Medical International MMA Capital Holdings Inc Mid-Con Energy Partners LP Ltd MMC Energy Inc MiddleBrook Mindspeed Technologies Inc. MMDT Commonwealth of MA Pharmaceuticals Inc Minefinders Corp Ltd MML American Funds Core Middleburg Financial Corp Minera Andes Inc Allocation Middleby Corp (The) Minerals Technologies Inc. MML Balanced Allocation Middlefield Banc Corp Minerva Neurosciences Inc MML Blue Chip Growth
Page 104
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
MML Conservative Allocation Moller International Inc Moody's Corp. MML Equity Income Molson Coors Brewing Co Moog Inc. MML Equity Index Molycorp Inc Moore Medical Corp MML Foreign MOMENTA Moore Wallace Inc MML Growth Allocation PHARMACEUTICALS INC MORGAN BEAUMONT INC MML II Blend Momentum Biofuels Inc Morgan Stanley MML II Equity Momo Inc Morgan Stanley Aggrsv MML II Managed Bond Monaco Coach Corp Equity MML Inflation Protect & Monarch Casino & Resort Inc Morgan Stanley All Star Income MONARCH CEMENT CO Growth MML Mid Cap Growth Monarch Community Morgan Stanley Asia-Pacific MML Mid Cap Value Bancorp Inc Fund Inc MML Moderate Allocation Monarch Daily Assets Cash Morgan Stanley Balanced MML Series Inv Asset Monarch Daily Assets Govt Morgan Stanley CA TxFr Allocation Monarch Financial Holdings Daily MML Series Inv Growth & Inc Morgan Stanley China A Income Mondavi Robert Corp -Cl A Share Fund MML Series Inv Large Cap Mondelez International Inc Morgan Stanley Emerging Value Mondrian International Value Markets Debt Fund Inc. MMO2 PLC Equity Morgan Stanley Emerging MModal Inc Money Market ProFund Markets Domestic Debt Fund MMRGlobal Inc Money Market Trust Inc MN Muni Cash Trust Money4Gold Holdings Inc Morgan Stanley Emerging Mobile Data Corp MoneyGram International Inc Markets Fund Inc. Mobile Integrated Systems Moneylogix Group Inc Morgan Stanley European Inc MongoDB Inc Equity Mobile Mini Inc MONMOUTH CAPITAL Morgan Stanley Finl Svc Tr Mobile TeleSystems PJSC CORP Morgan Stanley Focus MobileIron Inc Monmouth Real Estate Growth MOBILEPRO CORP Investment Corp Morgan Stanley Glbl Utilities Mobileye NV Monogram Biosciences Inc Morgan Stanley Global MOBIUS MGMT SYSTEMS Monogram Residential Trust Advantge INC Inc Morgan Stanley Global Fixed MOCON Inc Monolithic Power Systems Income Opportunities MOD PAC CORP. Inc Morgan Stanley Global Model N Inc Monotype Imaging Holdings Infrastructure Modem Media Inc Inc Morgan Stanley Global Moderna Inc Monro Inc Strategist MODINE MANUFACTURING Monroe Bancorp Morgan Stanley Growth CO MONSANTO CO Morgan Stanley Gvt Income MODTECH HOLDINGS INC Monster Beverage Corp Tr Moelis & Co Monster Worldwide Inc. Morgan Stanley High Yield Mohawk Industries Inc. Montage Resources Corp Sec Moldflow Corp Montage Technology Group Morgan Stanley Hlth Sci MOLECULAR DEVICES Ltd Trust CORP Monterey Gourmet Foods Inc Morgan Stanley India Molecular Insight Montgomery Government Investment Fund Inc. Pharmaceuticals Inc MM Morgan Stanley Insight Molecular Templates Inc Montpelier Re Holdings Ltd Morgan Stanley Insured Muni Molex Inc. MONY Series Money Market Tr Molina Healthcare Inc. Monza Ventures Ltd Morgan Stanley International
Page 105
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Morgan Stanley Intl Value Morningstar Inc MSC Industrial Direct Co Inc. Eqty Morphosys AG, Martinsried MSC.Software Corp Morgan Stanley Limited MORTGAGEBROKERS.CO MSCI Inc Duratn M HOLDINGS MSF FI Large Cap Morgan Stanley Limited US MORTGAGEIT HOLDINGS MSG Networks Inc Government Trust INC MSTI Holdings Inc Morgan Stanley Liquid Asset MORTON INDUSTRIAL GRP M-SYSTEMS FLASH DISK Morgan Stanley Mid Cap INC PIONEER Growth MORTONS RESTAURANT MTB Intermediate Bond Morgan Stanley Mid-Cap GROUP INC MTB Large Cap Stock Value Mosaic Acquisition Corp MTB Prime MM Morgan Stanley Mkt Leader Mosaic Company (The) MTC TECHNOLOGIES INC Tr MOSCOW CABLECOM MTGE Investment Corp Morgan Stanley Mortgage CORP MTI TECHNOLOGY CORP Sec Tr MOSSIMO INC MTM TECHNOLOGIES INC Morgan Stanley Natural MoSys Inc MTR Gaming Group Inc Rsrce Motive Inc MTS Medication Morgan Stanley NY Muni MM Motorcar Parts of America Technologies Inc Morgan Stanley Prime Inc MTS Systems Corp Income Trust Motorola Mobility Holdings Mudrick Capital Acquisition Morgan Stanley Sel Amer Inc Corp Opport Motorola Solutions Inc Mueller (Paul) Co Morgan Stanley Sel Div Motricity Inc Mueller Industries Inc. Growth Motus GI Holdings Inc Mueller Water Products Inc Morgan Stanley Special MOUNTAIN BANK HOLDING Muhlenkamp Fund Growth CO Mulesoft Inc Morgan Stanley Tax Free Mountain National Multi Packaging Solutions Daily Income Bancshares Inc International Ltd Morgan Stanley Technology Mountain Province Diamonds MULTIBAND CORP Morgan Stanley Tot Mkt Idex Inc MULTICELL Morgan Stanley Tot Return Mountainbank Financial Corp TECHNOLOGIES INC Tr Mountain-Valley Bancshares Multi-Color Corp Morgan Stanley US Inc Multi-Fineline Electronix Inc Government Money Market Movado Group Inc Multilink Technology Corp Morgan Stanley US Move Inc Multimedia Games Holding Government Securities Trust MOVIE GALLERY INC Co Inc Morgan Stanley Value Movie Star Inc MultiMgr Aggrsv Equity Morgan Stanley VAR Capital MPG Office Trust Inc MultiMgr Core Bond Opportunities MPHASE TECHNOLOGIES MultiMgr Health Care Morgan Stanley VAR Euro INC MultiMgr Intl Equity Growth MPLX LP MultiMgr Large Cap Core Morgan Stanley VAR Glbl Div MPOWER HOLDING CORP Equity Morgan Stanley VAR Inc Plus MPS Group Inc. MultiMgr Large Cap Growth Morgan Stanley VAR Money MPW INDL SVCS GROUP MultiMgr Large Cap Value Morgan Stanley VAR S&P INC MultiMgr Mid Cap Growth 500 Idx MRC Global Inc MultiMgr Mid Cap Value Morgan Stanley VAR MRI Interventions Inc MultiMgr Small Cap Growth Strategist MRO SOFTWARE INC MultiMgr Technology Morgan Stanley VAR Utilities MRV Communications Inc Munder Cash Investment Morgan's Foods Inc. MSA Safety Inc Munder Future Technology Morgans Hotel Group Co MSB Financial Corp Munder Growth Opportunities
Page 106
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Munder Healthcare NACM US Convertble National Energy Services Munder Index 500 Nalco Holding Co Reunited Corporation Munder Intrmd Bond Nami Corp National Financial Partners Munder Micro Cap Equity NANO SUPERLATTICE Corp. Munder Multi-Season Growth TECH INC NATIONAL FUEL GAS CO Munder TxFr MM NANOBAC National Grid plc Muni Fund Inv Accum PHARMACEUTICAL National Health Investors Inc. Program Nanometrics Inc NATIONAL HEALTH Municipal Cash Series Nanophase Technologies PARTNERS INC Municipal Cash Series II Corp NATIONAL HEALTH MURPHY OIL CORP Nanopierce Technologies Inc REALTY INC Murphy USA Inc NANOSCIENCE National Healthcare Corp. MusclePharm Corp TECHNOLOGIES INC NATIONAL HOME HEALTH Mutual of Amer VAR 2020 Nanosphere Inc CARE Retirement NanoString Technologies Inc National Instruments Corp Mutual of Amer VAR 2035 NanoViricides Inc NATIONAL INTERSTATE Retirement NantHealth Inc CORP Mutual of Amer VAR Aggrsv NantKwest Inc National Medical Health Card Eqty NAPCO Security Systems Inc Mutual of Amer VAR All Technologies Inc National Oilwell Varco Inc America NAPSTER INC National Patent Development Mutual of Amer VAR NARROWSTEP INC Corp Composite NASB Financial Inc National Penn Bancshares Mutual of Amer VAR Nascent Wine Co Inc Inc International Nasdaq Inc National Presto Industries Mutual of Amer VAR Mid Nash Finch Co Inc. Term Bond Nashua Corp National Processing Inc Mutual of Amer VAR Money NASPERS LTD NATIONAL R V HOLDINGS Mkt NASSDA CORP INC Mutual of Amer VAR Small NATCO Group Inc National Research Corp Cap Growth Natera Inc National Retail Properties Inc MutualFirst Financial Inc NATHAN'S FAMOUS INC National Security Group Inc Muzinich Low Duration National American University NATIONAL MVB Financial Corp Holdings Inc SEMICONDUCTOR CORP MVC CAPITAL INC National Atlantic Holdings National Storage Affiliates MWI Veterinary Supply Inc Corp Trust My Size Inc National Australia Bank Ltd National Technical Systems MyECheck Inc NATIONAL BANCSHARES Inc Myers Industries Inc. CORP/OH National Vision Holdings Inc Mykrolis Corp National Bank Holdings Corp National Western Life Group Mylan NV National Bank of Greece Inc MYMETICS CORP National Bankshares Inc National Westminster Bank MYOGEN INC National Beverage Corp PLC MyoKardia Inc NATIONAL CINEMEDIA INC Nations Asset Allocation Myovant Sciences Ltd National City Corp Nations Blue Chip MYR Group Inc National Coal Corp Nations CA Muni Bond Myrexis Inc National Commerce Corp Nations Capital Growth Myriad Genetics Inc National Commerce Financial Nations Classic Value Mystic Financial Inc NATIONAL DENTEX CORP Nations FL Intrmd Muni Nabors Industries Ltd NATIONAL ENERGY Nations Govt Sec NACCO Industries Inc. GROUP Nations Intrmd Muni
Page 107
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Nations MMF Govt Nationwide NVIT Money Navios Maritime Midstream Nations MMF Prime Market II Partners LP Nations MMF Treasury Nationwide NVIT Real Estate NAVISITE INC Nations SC Intrmd Muni Nationwide Portfolio Navistar International Corp Nations TX Intrmd Muni Completion NAVTEQ Corp NATIONSHEALTH INC Nationwide S&P 500 Index NB Absolute Return Multi- Nationstar Mortgage Nationwide Small Cap Index Manager Holdings Inc Nationwide Ziegler Eqty NB AMT International Port Nationwide Income NB AMT Lehman Short Nationwide Bond Nationwide Ziegler NYSE Duration Bond Nationwide Bond Index Arca Tech 100 Index NB AMT Mid Cap Growth Nationwide Core Plus Bond Natixis Cash Management Port Nationwide Financial Trust NB AMT Partners Port Services Inc. Natixis Oakmark International NB AMT Regency Port Nationwide Geneva Mid Cap Natixis U.S. Equity NB AMT Socially Responsive Growth Opportunities Pt Nationwide Geneva Small NATROL INC NB Cash Reserves Cap Growth Natural Alternatives NB Emerging Markets Equity Nationwide Government International Inc NB Equity Income Money Market Natural Blue Resources Inc NB Fasciano Nationwide GVIT Small Cap Natural Gas Services Group NB Floating Rate Income Index Inc. NB Focus Nationwide Health Properties Natural Grocers by Vitamin NB Genesis Inc. Cottage Inc NB Govt Money Nationwide International Natural Health Farm Holdings NB Guardian Index Inc NB High Income Bond Nationwide International Natural Health Trends Corp NB Institutional Cash Small Cap Natural Resource Partners NB Institutional Cash Trust Nationwide Investor LP NB International Destinations Aggressive Natural Resources USA Corp NB International Equity Nationwide Investor NATURALNANO INC NB Intrinsic Value Destinations Conservative NaturalShrimp Inc NB Large Cap Disciplined Nationwide Investor Nature's Sunshine Products Growth Destinations Moderate Inc NB Large Cap Value Nationwide Investor Natus Medical Inc NB Long Short Destinations Moderately Natuzzi SPA NB Ltd Maturity Bond Aggressive Naugatuck Valley Financial NB Mid Cap Growth Nationwide Investor Corporation NB Multi Cap Opportunities Destinations Moderately Nautica Enterprises Inc NB Municipal Money Conservative Nautilus Inc NB NY Muni Money Nationwide Loomis Core Navidea Biopharmaceuticals NB Real Estate Bond Inc NB Strategic Income Nationwide Mid Cap Market Navient Corp NB Sustainable Equity Index Navigant Consulting Inc. NB Tax Free Money Nationwide NB NVIT Socially NAVIGANT NB Treasury Responsible INTERNATIONAL INC NB&T Financial Group Inc Nationwide NVIT Cardinal Navigator Holdings Ltd NBT Bancorp Inc Moderately Aggressive Navigator Tactical Fixed NBTY Inc Nationwide NVIT ID Aggrsv Income NC CMT Government Nationwide NVIT Mid Cap Navigators Group Inc (The) NC CMT Term Portfolio Gro Navios Maritime Holdings Inc NC Muni Cash Trust
Page 108
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
NCI Building Systems Inc. NESTOR INC Neurobiological Technologies NCI Inc Net 1 Ueps Technologies Inc Inc NCO GROUP INC Net Element Inc NEUROCRINE Nco Portfolio Management Net Element, Inc. BIOSCIENCES INC Inc NET SERVICOS NeuroDerm Ltd nCoat Inc COMUNICACAO SA NEUROGEN CORP NCRIC GROUP INC Net2phone Inc NeurogesX Inc NCS Multistage Holdings Inc NetApp Inc Neuro-Hitech Inc Nct Group Inc Netease Inc Neurologix Inc NDCHEALTH Netegrity Inc NEUROMetrix Inc CORPORATION Netezza Corp Neuronetics Inc NDS GROUP PLC Netflix Inc NeuStar Inc Neah Power Systems Inc NETGEAR Inc Neutralstem Inc Nebula Acquisition Corp Netguru.Com Inc NEVADA CHEMICALS INC NEC CORP NETIQ CORP NEVADA GEOTHERMAL Needham Growth Netlist Inc POWER INC Neenah Paper Inc NetLogic Microsystems Inc Nevada Gold & Casinos Inc. Neff Corp NetManage Inc Nevro Corp Neffs Bancorp Inc/PA NETOPIA INC NEVSUN RESOURCES LTD NEIGHBORCARE INC NETRATINGS INC New Age Beverages Corp NEIMAN-MARCUS GROUP Netro Corp New Alternatives Fund Inc INC NetScout Systems Inc NEW BRUNSWICK Nektar Therapeutics Netscreen Technologies Inc SCIENTIFIC INC Nelnet Inc. NETSMART NEW CENTURY ENERGY NELSON (THOMAS) INC TECHNOLOGIES INC CORP Nemaura Medical Inc NETSOL TECHNOLOGIES New Covenant Balanced NEOFORMA INC INC Growth Neogen Corp Netsolve Inc New Covenant Growth Neogenomics Inc NetSpend Holdings Inc New Covenant Income NEOMAGIC CORP NetSuite Inc NEW DRAGON ASIA CORP NEOMEDIA NETWORK CN INC New Energy Systems Group TECHNOLOGIES INC Network Engines Inc NEW ENGLAND NEON COMMUNICATIONS Network Equipment BANCSHARES INC GROUP INC. Technologies Inc. New England Business Svc NEON SYSTEMS INC Network-1 Technologies Inc Inc Neon Therapeutics Inc Neuberger Berman Closed- New Focus Inc Neonode Inc End Real Estate Securities New Frontier Media Inc NEOPHARM INC Income Fund I New Generation Biofuels NeoPhotonics Corp Neuberger Berman Inc Holdings Inc Neos Therapeutics Inc Neuberger Berman Income New Germany Fund Inc. NEOSE TECHNOLOGIES Opportunity Fund Inc (The) INC Neuberger Berman New Gold Inc Neothetics Inc Intermediate Municipal Fund New Home Company Inc Neovasc Inc Inc (The) NEOWARE INC Neuberger Berman MLP NEW HORIZONS Nephros Inc. Income Fund Inc WORLDWIDE INC Neptune Wellness Solution NEUBERGER BERMAN NEW JERSEY RESOURCES Inc PRIME MONEY FUND CORP NES RENTALS HOLDINGS Neuberger Berman Realty New Media Investment INC Income Fund Group Inc Ness Technologies Inc New Media Lottery Services
Page 109
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
New Media Lottery Services Newport Corp NIKE INC Inc News Corp NIKU CORP New Motion Inc NewStar Financial Inc Nile Therapeutics Inc New Mountain Finance Corp Newtek Business Services Nimble Storage Inc New Oriental Education & Corp NiMin Energy Corp Technology Group Inc Nexa Resources SA Nine Energy Service Inc New Oriental Energy & NEXCEN BRANDS INC Ninetowns Internet Chemical Corp Nexen Inc. Technology Group Co Ltd New Perspective Fund Inc Nexeo Solutions Inc Nio Inc New Plan Excel Realty Trust NexGen Energy Ltd Niocorp Developments Ltd Inc. Nexgen Petroleum Corp Nippon Telegraph & New Relic Inc Nexien BioPharma Inc Telephone Corp Ntt New Residential Investment Nexity Financial Corp Niska Gas Storage Partners Corp Nexplore Corp LLC NEW RIVER PHARMA INC NexPoint Credit Strategies NiSource Inc New Senior Investment Fund NITCHES INC Group NexPoint Residential Trust Nitro Petroleum Inc New Source Energy Partners Inc NitroMed Inc LP Nexstar Media Group Inc. NJ Muni Cash Trust NEW VALLEY CORP Next 1 Interactive Inc NL Industries Inc. New World Fund Inc NextDecade Corporation nLIGHT Inc New York & Co Inc NEXTEL NMI Holdings Inc New York Community COMMUNICATIONS NMT Medical Inc Bancorp Inc. NEXTEL PARTNERS INC NN Inc NEW YORK HEALTH CARE NextEra Energy Inc Noah Education Holdings Ltd INC NextEra Energy Partners LP Noah Holdings Ltd New York Mortgage Trust Inc NEXTEST SYSTEMS CORP Nobel Learning Communities New York REIT Liquidating NEXTWAVE WIRELESS INC Inc LLC NF Energy Saving Corp Nobility Homes Inc New York Times Co (The) NGAS RESOURCES INC Noble Corp plc NewAlliance Bancshares Inc NGL Energy Partners LP Noble Energy Inc NewBridge Bancorp NGP Capital Resources Noble Innovations Inc NewCardio Inc NGP Capital Resources Co Noble Midstream Partners LP Newell Brands Inc NI Holdings Inc Noble Romans Inc. NEWFIELD EXPLORATION NIC Inc NOCOPI TECHNOLOGIES CO Nicholas Equity Income INC NEWGEN TECHNOLOGIES NICHOLAS FINANCIAL INC NOFIRE TECHNOLOGIES INC Nicholas Fund INC Newhall Land &Farm -Lp Nicholas II Nokia Corp NEWKIRK REALTY TRUST Nicholas-Applegate NOLAND CO INC International & Premium Nomad Foods Ltd NewLead Holdings Ltd Strategy Fund NOMURA HOLDINGS INC NewLink Genetics Corp Nicolet Bankshares Inc Non Invasive Monitor Newmark Group Inc Nicor Inc. Noodles & Co NewMarket Corp Nidec Corp Noranda Aluminum Holding NEWMARKET Nielsen Holdings plc Corp TECHNOLOGY INC NightHawk Radiology Norbord Inc NEWMIL BANCORP INC Holdings Inc Norcraft Companies Inc Newmont Goldcorp Corp Nightstar Therapeutics Nord Anglia Education Inc Newpark Resources Inc. Limited Nord Resources Corp Newport Bancorp Inc NII Holdings Inc Nordic American Offshore Ltd
Page 110
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Nordic American Tankers Ltd Northern Bond Index Northern Multi Manager Mid Nordion Inc Northern Ca Bancorp Inc Cap Nordson Corp Northern CA Intrmd TxEx Northern Multi Manager Nordstrom Inc. Northern CA Muni MM Small Cap Norfolk Southern Corp Northern Dynasty Minerals Northern Muni Money Market Norsat International Inc Ltd Northern Oil and Gas Inc NORSK HYDRO ASA Northern Emerging Markets NORTHERN ORION Norstan Inc Equity Index RESOURCES INC Nortek Inc NORTHERN EMPIRE Northern Select Equity NORTEL INVERSORA SA BANCSHARE Northern Short Bond Nortel Networks Corp Northern Fixed Income Northern Short Intermediate North American Construction Northern Global Real Estate Tax Exempt Group Ltd Index Northern Short Intrm US Govt North American Gavlanizing Northern Growth Equity Northern Small Cap Index & Coatings Inc. Northern High Yield Fixed Inc Northern Small Cap Value North American Palladium Northern High Yield Muni Northern States Financial Ltd. Northern Income Equity Corp North American Scientific Inc Northern Institutional Northern Stock Index North American Technologies Government Assets Northern Tax Advantaged Group Inc Northern Institutional MM Ultra Short Fixed Income North Asia Investment Corp Liquid Assets Northern Technologies North Atlantic Drilling Ltd Northern Institutional International Corp NORTH BAY BANCORP/CA Municipal Northern Technology NORTH CENTRAL Northern Institutional Prime Northern Tier Energy LP BANCSHARES INC Obligations Northern Trust Corp North Coast Energy Inc Northern Institutional Northern TxEx North European Oil Royalty Treasury Northern Ultra Short Fixed Trust Northern Institutional U.S. Income NORTH FORK Government Northern US Govt BANCORPORATION Northern Institutional U.S. Northern US Govt MM NORTH PITTSBURGH Government Select Northern US Govt Select MM SYSTEMS Northern Instl Bond Northfield Bancorp Inc North Pointe Holdings Corp Northern Instl Equity Index NORTHFIELD North Shore Acquisition Corp Northern Instl MM TxEx LABORATORIES INC NORTH STATE Northern International Equity Northgate Minerals Corp BANCORP/NC Northern International Equity NORTHLAND North Valley Bancorp Index CRANBERRIES -CL A NORTHCORE Northern Intrmd TxEx Northrim BanCorp Inc TECHNOLOGIES INC Northern Large Cap Value Northrop Grumman Corp Northeast Bancorp Northern Mid Cap Growth NORTHSTAR Northeast Community Northern Mid Cap Index NEUROSCIENCE INC Bancorp Inc Northern Money Market NorthStar Realty Finance NORTHEAST INDIANA Northern Multi Manager Corp BANCORP Global Listed Infrastructure NORTHWAY FINANCIAL Northeast Investors Trust Northern Multi Manager INC Northeast Pa Finl Corp Global Real Estate Northwest Airlines Corp Northern Active M Emerging Northern Multi Manager High NORTHWEST Markets Equity Yield Opportunity BANCORPORATION INC Northern Active M Northern Multi Manager Northwest Bancshares Inc International Equity Large Cap Northwest Biotherapeutics Northern Active M US Equity Inc
Page 111
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Northwest Ind Bancorp Novadigm Inc NUCRYST Pharmaceuticals Northwest Natural Holding NovaMed Inc. Corp Co NOVAMERICAN STEEL INC Nuevo Energy Co Northwest Pipe Co Novan Inc Nui Corp NorthWestern Corp Novanta Inc Numerex Corp. Northwestern Mut Asset Alloc Novartis AG NuPathe Inc Northwestern Mut Balanced Novastar Financial Inc. NuRx Pharmaceuticals Inc Northwestern Mut Domestic NOVATEL INC NuStar Energy LP Equity Novavax Inc NuStar GP Holdings LLC Northwestern Mut Emerging Novel Denim Holdings Ltd Nutanix Inc Markets Novelion Therapeutics Inc NUTRA PHARMA CORP Northwestern Mut Equity NOVELIS INC NUTRACEA Income Novell Inc. Nutraceutical International Northwestern Mut Focused Novellus Systems Inc. Corp Appreciation NOVELOS THERAPEUTICS Nutrastar International Inc Northwestern Mut Growth INC Nutrien Ltd Stock NOVEN NutriSystem Inc Northwestern Mut High Yield PHARMACEUTICALS INC NUTRITION 21 INC Northwestern Mut Index 400 Novint Technologies Inc NuVasive Inc Stk Novo Integrated Sciences Inc Nuvectra Corp Northwestern Mut Index 500 NovoCure Ltd Nuveen All American Stk Novogen Ltd Municipal Bond Northwestern Mut Intl Equity Novoste Corp Nuveen AMT-Free Municipal Northwestern Mut Intl Growth NOW Inc Credit Income Fund Northwestern Mut Large Cap NPS PHARMACEUTICALS Nuveen AMT-Free Quality Core Stock INC Municipal Income Fund Northwestern Mut Mid Cap NRG Energy Inc Nuveen CA High Yield Growth Stock NS GROUP INC Municipal Bond Northwestern Mut Mid Cap NS8 CORP Nuveen CA Insured Muni Val Nsd Bancorp Inc Bond Northwestern Mut Money Mkt NSTAR Nuveen CA Muni Bond Northwestern Mut Multi NSTOR TECHNOLOGIES Nuveen California AMT-Free Sector Bond INC Quality Municipal Income Northwestern Mut Research NTN Buzztime Inc Fund International Core NTR Acquisition Co Nuveen California Dividend Northwestern Mut Select NTS Realty Holdings LP Advantage Municipal Fund 3 Bond NTT DOCOMO INC Nuveen California Quality Northwestern Mut Small Cap Nu Horizons Electronics Income Municipal Fund Inc. Growth Stock Corp. Nuveen California Quality Northwestern Mut Small Cap Nu Skin Enterprises Inc. Municipal Income Fund Value NUANCE Nuveen California Select Nortia Capital Partners Inc COMMUNICATIONS INC Quality Municipal Fund Inc. Norwegian Cruise Line Nuance Concentrated Value Nuveen Core Equity Alpha Holdings Ltd Nuance Mid Cap Value Fund Norwood Financial Corp. NuCana Plc Nuveen Core Plus Bond Nova Chemicals Corp Nucentrix Broadband Nuveen Credit Strategies NovaBay Pharmaceuticals Networks Income Fund Inc NUCLEAR SOLUTIONS INC Nuveen CT Municipal Bond NOVACEA INC NuCO2 Inc Nuveen Diversified Currency Novadaq Technologies Inc Nucor Corp Opportunities Fund NOVADEL PHARMA INC
Page 112
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Nuveen Diversified Dividend Nuveen KY Muni Bd Nuveen NWQ Multi Cap and Income Fund Nuveen Large Cap Core Value Nuveen Dividend Advantage Nuveen Large Cap Gro Nuveen NWQ Small-Cap Municipal Fund 2 Opport Value Nuveen Dividend Value Nuveen Large Cap Value Nuveen NY Insured Muni Nuveen Dow 30SM Dynamic Nuveen Ltd Muni Bd Bond Overwrite Fund Nuveen MI Muni Bd Nuveen Ny Inv Qual Muni Nuveen Energy MLP Total Nuveen Mid Cap Growth Nuveen NY Municipal Bond Return Fund Opport Nuveen OH Muni Bd Nuveen Enhanced Municipal Nuveen Mid Cap Index Nuveen PA Muni Bd Value Fund Nuveen Mid Cap Value Nuveen Pennsylvania Quality Nuveen Equity Index Nuveen MO Muni Bd Municipal Income Fund Nuveen Equity Premium Nuveen Mortgage Nuveen Performance Plus Advantage Fund Opportunity Term Fund Municipal Fund Inc. Nuveen Equity Premium Nuveen Multi Manager Large Nuveen Preferred and Opportunity Fund Cap Value Income Term Fund Nuveen Equity Premiun & Nuveen Muni Bond Nuveen Preferred Income Growth Fund Nuveen Municipal Advantage Opportunities Fund Nuveen Fl Inv Qual Muni Fund Inc. Nuveen Preferred Securities Nuveen FL Preference Muni Nuveen Municipal Credit and Income Bd Income Fund Nuveen Preferred Securities Nuveen Floating Rate Nuveen Municipal High Income Fund Income Fund Income Opportunity Fund Nuveen Premier Insured Nuveen Floating Rate Nuveen Municipal Market Municipal Income Fund Inc. Income Opportunity Fund Opportunity Fund Inc. Nuveen Premier Municipal Nuveen Global High Income Nuveen Municipal Income Fund Inc. Fund Opportunity Fund Inc Nuveen Premium Income Nuveen Global Infrastructure Nuveen Municipal Total Municipal Fund 2 Inc. Nuveen Global Value Return Managed Account Nuveen Premium Income Opportunities Fund Nuveen Municipal Value Municipal Fund 4 Inc. Nuveen High Income Bond Fund Inc Nuveen Premium Income Nuveen High Income Nuveen Nasdaq 100 Municipal Fund Inc. November 2021 Target Term Dynamic Overwrite Fund Nuveen Premium Income Fund Nuveen NC Muni Bd Municipal Opportunity Fund Nuveen High Yield Municipal Nuveen New Jersey Nuveen Quality Income Bond Investment Quality Municipal Municipal Fund Inc. Nuveen Inflation Protected Fund Inc. Nuveen Quality Municipal Sec Nuveen New Jersey Quality Fund Inc Nuveen Intermediate Bond Municipal Income Fund Nuveen Quality Municipal Nuveen Intermediate Nuveen New York AMT-Free Income Fund Duration Municipal Term Quality Municipal Income Nuveen Quality Preferred Fund Fund Income Fund Nuveen International Nuveen New York Quality Nuveen Quality Preferred Nuveen International Select Income Municipal Fund Inc. Income Fund 3 Nuveen Intrmd Duration Muni Nuveen New York Select Nuveen Real Asset Income Bd Quality Municipal Fund Inc. Nuveen Real Estate Income Nuveen Intrmd TxFr Nuveen NJ Municipal Bond Fund Nuveen Investment Quality Nuveen NWQ Flexible Nuveen Real Estate Sec Municipal Fund Inc. Income Nuveen Rittenhouse Growth NUVEEN INVESTMENTS - Nuveen NWQ Large Cap Nuveen S&P 500 Buy-Write CL A Value Income Fund
Page 113
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Nuveen Santa Barbara NVIT Cardinal Managed NWH INC Dividend Growth Growth NXP Semiconductors NV Nuveen Select Quality NVIT Cardinal Managed NxStage Medical Inc Municipal Fund Inc. Growth & Income NXT Energy Solutions Inc Nuveen Senior Income Fd NVIT Cardinal Moderate Nxt-ID Inc Nuveen Short High Yield NVIT Cardinal Moderately NYFIX Inc Municipal Bond Conservative NYLIM Instl Prime Cash Nuveen Short Municipal NVIT Core Bond NYMAGIC INC. Bond NVIT Core Plus Bond NYMEX HOLDINGS INC Nuveen Short Term Bond NVIT Dynamic US Growth Nymox Pharmaceutical Corp Nuveen Small Cap Select NVIT Emerging Mkt NYSE Euronext Nuveen Small Cap Value NVIT Government Money O. I. Corp Nuveen Strategic Income Market O2Diesel Corp Nuveen Strategy Balanced NVIT Govt Bond O2Micro International Ltd Alloc NVIT Investor Destinations Oak Financial Corp Nuveen Symphony Credit Balanced OAK HILL FINANCIAL INC Opportunities NVIT Investor Destinations Oak Ridge Small Cap Growth Nuveen Symphony Floating Capital Appreciation Oak Technology Inc Rate Income NVIT Investor Destinations Oak Valley Bancorp Nuveen Taxable Municipal Consrv Oak Value Income Fund NVIT Investor Destinations OAKLEY INC Nuveen Tax-Advantaged Managed Growth Oakmark Equity & Income Dividend Growth Fund NVIT Investor Destinations Oakmark Fund Nuveen Tax-Advantaged Mod Aggrsv Oakmark Global Total Return Strategy Fund NVIT Investor Destinations Oakmark Global Select Nuveen TN Muni Bd Mod Consrv Oakmark International Nuveen Tradewinds Global NVIT Investor Destinations Oakmark International Sml All Cap Moderate Cap Nuveen Tradewinds Intl NVIT Managed American Oakmark Select Value Funds Asset Allocation Oakmark Small Cap Nuveen Tradewinds Value NVIT Mid Cap Index OAKRIDGE ENERGY INC Opportunities NVIT Multi Manager Oaktree Capital Group LLC Nuveen TxFr International Growth Oaktree Specialty Lending Nuveen VA Muni Bd NVIT Multi Manager Corp Nuveen Winslow Large Cap International Value OAO TATNEFT Growth NVIT Multi Manager Large OAO TECHNOLOGY Nuvelo Inc Cap Growth SOLUTIONS INC Nuvera Communications Inc NVIT Multi Manager Large Oasis Midstream Partners LP Nuverra Environmental Cap Value Oasis Petroleum Inc Solutions Inc NVIT Multi Manager Mid Cap OASYS MOBILE INC Nuzee Inc Growth OBA Financial Services Inc NV Energy Inc NVIT Multi Manager Mid Cap Obagi Medical Products Inc NV5 Global Inc Value Obalon Therapeutics Inc NVE Corp NVIT Multi Manager Small Oberweis China nVent Electric plc Cap Val Opportunities NVIDIA Corp NVIT Multi Manager Small Oberweis International NVIT Bond Index Company Opportunities NVIT Cardinal Balanced NVIT Nationwide Oberweis International NVIT Cardinal Capital NVIT S&P 500 Index Opportunities Institutional Appreciation NVIT Short Term Bond ObsEva SA NVIT Cardinal Conservative NVR Inc. OCA INC
Page 114
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Ocata Therapeutics Inc Ohio Natl Moderate Growth OMI CORP Occam Networks Inc Model Ominto Inc Occidental Petroleum Corp Ohio Natl Money Market Omni Bio Pharmaceutical Inc Ocean Power Technologies Ohio Natl S&P 500 Index OMNI Energy Services Corp. Inc Ohio Natl Strategic Value Omni Financial Services Inc Ocean Rig UDW Inc Ohio Valley Banc Corp. Omni Ventures Inc Ocean Shore Holding Co Ohr Pharmaceutical Inc Omniamerican Bancorp Inc Oceanaut Inc Oi SA Omnicare Inc. Oceaneering International Oil States International Inc. Omnicell Inc Inc. Oil-Dri Corp of America Omnicom Group Inc. OceanFirst Financial Corp. Oiltanking Partners LP Omnicomm Systems Inc OceanFreight Inc Okta Inc Omniture Inc Ocera Therapeutics, Inc. Old Dominion Freight Line OMNIVISION O'Charley's Inc Inc TECHNOLOGIES INC Och-Ziff Capital Management Old Line Bancshares Inc Omphalos Corp Group LLC Old Mutual/Claymore Long- Omrix Biopharmaceuticals OCI Partners LP Short Fund Inc OCI Resources LP Old National Bancorp OMTOOL LTD Oclaro Inc Old Point Financial Corp On Command Corp Oconee Federal Financial Old Republic International ON Semiconductor Corp Corp Corp On Technology Corp Ocular Sciences Inc Old Second Bancorp Inc On Track Innovations Ltd Ocular Therapeutix Inc Old Westbury All Cap Core On2 Technologies Inc. Oculus Innovative Sciences Old Westbury Fixed Income Oncobiologics Inc Inc Old Westbury Large Cap OncoCyte Corp Ocwen Financial Corp Strategies OncoGenex Pharmaceuticals Odd Job Stores Inc Old Westbury Mid Cap Equity Inc ODIMO INC Old Westbury Municipal Bond Oncolytics Biotech Inc Odonate Therapeutics Inc Old Westbury Real Return Onconova Therapeutics Inc Odyssey Healthcare Inc Old Westbury Small & Mid OncoSec Medical Inc Odyssey Marine Exploration Cap Strategies OncoVista Innovative Inc. Old Westbury Strategic Therapies Inc ODYSSEY OIL & GAS INC Opportunities One Bio Corp Odyssey Re Holdings Corp. Olin Corp ONE Gas Inc Office Depot Inc Ollie's Bargain Outlet ONE Grp Balanced Office Properties Income Holdings Inc ONE Grp Diversified Equity Trust Olstein All Cap Value ONE Grp Diversified Intl Officemax Inc Olympic Steel Inc ONE Grp Instl Prime MM Official Payments Holdings OM Analytic ONE Grp Intrmd TxFr Bond Inc OM Barrow Hanley Value ONE Grp Treas Only MM OFG Bancorp OM Group Inc One Grp US Govt Sec MM OGE Energy Corp. OM Growth One Liberty Properties Inc. OGLEBAY NORTON CO OM Mid Cap One Madison Corp OH Muni Cash Trust OM TS&W Mid Cap Value OneAmerica Asset Director OHIO CASUALTY CORP Omagine Inc OneAmerica Value Ohio Legacy Corp Omega Financial Corp OneBeacon Insurance Group Ohio Natl Balanced Omega Flex Inc Ltd Ohio Natl Balanced Model Omega Healthcare Investors Oneida Financial Corp. Ohio Natl Equity Portfolio Inc. ONEIDA LTD Ohio Natl Growth Model OMEGA PROTEIN CORP OneMain Holdings Inc Ohio Natl International Omeros Corp ONEOK Inc.
Page 115
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
ONEOK Partners LP Oppenheimer Convertible Oppenheimer Internationall OneScreen Inc Sec Growth/Va OneSmart International Oppenheimer Core Bond/Va Oppenheimer Large Cap Education Group Limited Oppenheimer Developing Revenue ETF ONESOURCE Mkts Oppenheimer Limited-Term INFORMATION SVCS Oppenheimer Discovery Bond OneSpan Inc Oppenheimer Discovery Mid Oppenheimer Ltd Trm Govt Online Resources Corp Cap Gr/VA Oppenheimer Main St All Online Vacation Center Oppenheimer Discovery Mid Cap Holdings Inc Cap Growth Oppenheimer Main St Fund ONSTREAM MEDIA CORP Oppenheimer Emerging Oppenheimer Main St Small Onvia Inc Markets Innovators Cap Onyx Acceptance Corp Oppenheimer Equity Oppenheimer Main St Small ONYX PHARMACEUTICALS Oppenheimer Equity Income Cap/Va INC Oppenheimer Fundamental Oppenheimer Main St/Va ONYX SOFTWARE CORP Alternatives Oppenheimer Main Street Ooma Inc Oppenheimer Glbl Opport Mid Cap OP Bancorp Oppenheimer Global Oppenheimer Mid Cap OpCap Small Cap Oppenheimer Global Oppenheimer Mid Cap Value OPEN ENERGY CORP Allocation Oppenheimer Portfolio Active OPEN SOLUTIONS INC Oppenheimer Global Allocation OPEN TEXT CORP Strategic Income Oppenheimer Portfolio OpenTable Inc Oppenheimer Global Conservative Investor OpenTV Corp Strategic Income/Va Oppenheimer Portfolio Opera Ltd Oppenheimer Global Value Growth Investor Opes Acquisition Corp Oppenheimer Global/Va Oppenheimer Portfolio OPEXA THERAPEUTICS Oppenheimer Gold&Spcl Moderate Investor INC Minrl Oppenheimer PrinProt Main OphthaliX Inc Oppenheimer Government St Ophthalmic Imaging Systems Cash Reserves Oppenheimer PrinProt Inc Oppenheimer Government MainSt2 OPINION RESEARCH Money Market Oppenheimer Real Estate CORP Oppenheimer Government Oppenheimer Rising Opko Health Inc Money/Va Dividends OPLINK Oppenheimer Growth Oppenheimer Rochester COMMUNICATIONS INC Oppenheimer High AMT Free NY Muni OPNET Technologies Inc Income/Va Oppenheimer Rochester Opnext Inc Oppenheimer High Yield AMT-Free Municipal Opower Inc Oppenheimer Holdings Inc Oppenheimer Rochester CA Oppenheimer Balanced Oppenheimer Institutional Municipal Oppenheimer Balanced/Va Government Money Market Oppenheimer Rochester Oppenheimer Cap Oppenheimer International Fund Municipals Preservation Bond Oppenheimer Rochester Oppenheimer Capital App/Va Oppenheimer International High Yield Municipal Oppenheimer Capital Diversified Oppenheimer Rochester Appreciation Oppenheimer International Limited Term CA Municipal Oppenheimer Capital Income Equity Oppenheimer Rochester Oppenheimer Champion Oppenheimer International Limited Term NY Muni Income Growth Oppenheimer Rochester NJ Oppenheimer Commodity Oppenheimer International Municipal Strategy Total Return Small-Mid Company
Page 116
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Oppenheimer Rochester PA OPTIUM CORP Orthofix Medical Inc Municipal ORACLE CORP OrthoPediatrics Corp Oppenheimer Rochester Oracle Healthcare Acquisition ORTHOVITA INC Short Duration High Yield Corp Osage Bancshares Inc Muni ORAGENICS INC OSCIENT Oppenheimer Select Value ORANGE 21 INC PHARMACEUTICALS CORP Oppenheimer Senior Floating OraSure Technologies Inc OSG America LP Rate ORBCOMM Inc OSHKOSH B'GOSH INC - Oppenheimer Short Term Orbit International Corp CL A Municipal Orbital ATK Inc Oshkosh Corp Oppenheimer Small Cap Orbital Sciences Corp OSI PHARMACEUTICALS Revenue ETF Orbitz Worldwide Inc INC Oppenheimer SteelPath MLP Orbotech Ltd OSI RESTAURANT Alpha Orchard Enterprises Inc PARTNERS INC Oppenheimer SteelPath MLP Orchard Supply Hardware OSI Systems Inc Income Stores Corp Osisko Gold Royalties Ltd Oppenheimer SteelPath MLP Orchard Therapeutics plc Osmotica Pharmaceuticals Select 40 Orchid Cellmark Inc Plc Oppenheimer Total Return Orchid Island Capital Inc OSTEOLOGIX INC Bond Orchids Paper Products Co Osteotech Inc Oppenheimer Ultra Dividend Orckit Communications Ltd Osterweis Fund Revenue ETF Ore Pharmaceuticals Inc Osterweis Strategic Income Oppenheimer Ultra Short OREGON PACIFIC Otelco Inc Duration BANCORP Otonomy Inc Oppenheimer Value OREGON STEEL MILLS INC Otter Tail Corp OPSWARE INC Oregon Trail Financial Corp Outdoor Channel Holdings OPTELECOM-NKF INC O'Reilly Automotive Inc Inc Optex Systems Holdings Inc Orexigen Therapeutics Inc Outerwall Inc OPTi Inc Orezone Resources Inc Outfront Media Inc OPTIBASE LTD Organic To Go Food Corp OUTLOOK GROUP CORP OPTICAL CABLE CORP Organovo Holdings Inc OvaScience Inc OPTICAL Orient Paper Inc Overhill Farms Inc COMMUNICATION PRODS ORIGEN FINANCIAL INC OVERLAND STORAGE INC OPTIGENEX INC Origin Agritech Ltd OVERNITE CORP Optimal Group Inc Origin Bancorp Inc Overseas Shipholding Group Optimer Pharmaceuticals Inc OriginOil Inc Inc. OptimizeRX Corp Orion Energy Systems Inc Overstock.com Inc Optimum Fixed Income Orion Engineered Carbons Overture Acquisition Corp Optimum International SA Overture Services Inc Optimum Large Cap Growth Orion Group Holdings Inc Ovid Therapeutics Inc Optimum Large Cap Value Oritani Financial Corp Owens & Minor Inc. Optimum Small Mid Cap ORIX CORP Owens Corning Growth Orleans Homebuilders Inc. Owens-Illinois Inc. Optimum Small Mid Cap Ormat Technologies Inc Oxford Health Plans Inc Value Oro East Mining Inc Oxford Immunotec Global OPTIMUMBANK HOLDINGS Oromin Explorations Ltd PLC INC ORPHAN MEDICAL INC Oxford Industries Inc. Optinose Inc Orrstown Financial Services Oxford Resource Partners LP OPTIO SOFTWARE INC Inc OXIGENE INC OPTION CARE INC Orsus Xelent Technologies P & F Industries Inc optionsXpress Holdings Inc Inc
Page 117
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
P.A.M. Transportation Pacific Funds Floating Rate Pacific Select Equity Index Services Inc Income Pacific Select Equity P.F. Changs China Bistro Inc Pacific Funds Optimization Long/Short PA Muni Cash Trust Growth Pacific Select Floating Rate PAA Natural Gas Storage LP Pacific Funds Optimization Income PAB Bankshares Inc. Moderate Pacific Select Floating Rate PACCAR INC Pacific Funds Strategic Loan Pace Alternative Strategies Income Pacific Select Global Investments PACIFIC INTERNET LTD Absolute Return Pace Global Fixed Income Pacific Mercantile Bancorp Pacific Select Growth Pace Holdings Corp Pacific Northwest Bancorp Pacific Select High Yield Pace International Eqty Pacific Premier Bancorp Inc Bond Pace Intl Emerg Mkts Eq Pacific Rim Mining Corp. Pacific Select Inflation Pace Intrmd Fixed Income Pacific Sel American Asset Managed Pace Lg Co Growth Equity Allocation Pacific Select International Pace Lg Co Value Equity Pacific Sel American Growth Large Cap Pace Money Market Pacific Sel American Growth- Pacific Select International Pace Mortgage-Backed Income Small Cap Securities Fixed Income Pacific Sel CapG Sml Cap Pacific Select International Pace Muni Fixed Income Eqty Value Pace Sm/Med Co Gro Eqty Pacific Sel Cash Pacific Select Large Cap Pace Sm/Med Co Val Eqty Management Growth Pace Strategic Fixed Inc Pacific Sel Equity Pacific Select Large Cap Pacer International Inc Pacific Sel Focused 30 Value Pacer Trendpilot US Large Pacific Sel Inflation Strategy Pacific Select Long/Short Cap ETF Pacific Sel MFS Capital Large Cap Pacer Trendpilot US Mid Cap Opport Pacific Select Main St Core ETF Pacific Sel Multi Strategy Pacific Select Managed Bond Pacific Biosciences of Pacific Sel Precious Metals Pacific Select Mid Cap Equity California Inc Pacific Sel Tactical Pacific Select Mid Cap Pacific Booker Minerals Inc International Growth Pacific Cap Cash Assets Pacific Sel Tactical Strategy Pacific Select Mid Cap Value Pacific Cap Growth Stock Pacific Select Absolute Pacific Select PD Aggregate Pacific Cap Hi Grade Core Return Bond Index Fixed Pacific Select Comstock Pacific Select PD Pacific Cap Small Cap Pacific Select Currency International Large Cap Pacific Cap TxFr Csh Asst Tr Strategies Pacific Select PD Large Cap Pacific Cap TxFr Sec Pacific Select Diversified Growth Index Pacific Cap US Gv Csh Asst Bond Pacific Select PD Large Cap Pacific Capital Bancorp Pacific Select Dividend Value Index Pacific City Financial Corp Growth Pacific Select Portfolio PACIFIC CMA INC Pacific Select Dynamix Optimization Aggressive Pacific Continental Corp Conservative Growth Growth Pacific Crest Capital Inc Pacific Select Dynamix Pacific Select Portfolio Pacific Drilling SA Growth Optimization Conservative PACIFIC ENERGY Pacific Select Dynamix Pacific Select Portfolio PARTNERS -LP Moderate Growth Optimization Growth Pacific Ethanol Inc Pacific Select Emerging Pacific Select Portfolio Pacific Financial Corp Markets Optimization Moderate Pacific Funds Core Income Pacific Select Emerging Markets Debt
Page 118
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Pacific Select Portfolio PANACOS Park Electrochemical Corp Optimization Moderate PHARMACEUTICALS INC Park Hotels & Resorts Inc Conservative Panamsat Corp Park National Corp Pacific Select Real Estate PANAMSAT HOLDING Park Ohio Holdings Corp. Pacific Select Short Duration CORP Park Place Energy Corp Bond Panasonic Corp Park Sterling Corp Pacific Select Small Cap PANAVISION INC Parke Bancorp Inc Equity Panda Ethanol Inc Parker Drilling Co Pacific Select Small Cap Pandora Media Inc Parker-Hannifin Corp Growth PANERA BREAD CO PARKERVISION INC Pacific Select Small Cap Pangaea Logistics Solutions PARKVALE FINANCIAL Index Ltd CORP Pacific Select Small Cap Panglobal Brands Inc Parkway Inc Value Panhandle Oil & Gas Inc Parkway Properties Inc. Pacific Select Value Panorama Va Total Return PARLEX CORP Advantage Pansoft Co Ltd Parlux Fragrances Inc Pacific State Bancorp/CA Pantheon China Acquisition Parnassus Core Equity Pacific Sunwear of California Corp Parnassus Endeavor Inc Pantry Inc (The) Parnassus Fund Pacificare Health Sys PAO DE ACUCAR CIA Parnassus Mid Cap Pacira BioSciences Inc BRASIL DIS Parnassus Small Cap Packaging Corp Of America Papa John's International Inc Parsley Energy Inc PACKAGING DYNAMICS Papa Murphy's Holdings Inc PartnerRe Ltd CORP PAPERFREE MED PARTNERS TRUST FINL PACKETEER INC SOLUTIONS INC GRP INC Pactera Technology Par Pacific Holdings Inc PARTY CITY CORP International Ltd Par Pharmaceutical Party City Holdco Inc Pactiv Corp Companies Inc PATAPSCO BANCORP INC PacWest Bancorp PAR Technology Corp PATCH INTERNATIONAL PAC-WEST TELECOMM Parabel Inc. INC INC PARADYNE NETWORKS PATH 1 NETWORK PAETEC Holding Corp INC TECHNOL INC PagSeguro Digital Ltd Paragon Commercial Corp Patheon NV PAID INC Paragon Offshore Plc PATHFINDER BANCORP Pain Therapeutics Inc Paragon Shipping Inc INC PAINCARE HOLDINGS INC PARAGON PATHMARK STORES INC Palatin Technologies Inc. TECHNOLOGIES INC Patient Safety Technologies PALL CORP PARALLEL PETROLEUM Inc PALM INC CORP Patina Oil & Gas Corp Palmer Square Income Plus Parametric Emerging Patni Computer Systems Ltd Palmer Square SSI Markets Patrick Industries Inc Alternative Income Parametric Tax Managed Patriot Bank Corp Palmetto Bancshares Inc Emerging Markets Patriot Coal Corp PALMSOURCE INC Paramount Gold Nevada Patriot National Bancorp Inc Palo Alto Networks Inc Corp Patriot National Inc Palomar Medical Paramount Group Inc PATRIOT SCIENTIFIC Technologies Inc Paratek Pharmaceuticals Inc CORP Pamrapo Bancorp Inc Pareteum Corporation Patriot Transportation Pan American Silver Corp PAREXEL INTERNATIONAL Holding Inc PAN PAC RETAIL PPTYS CORP Pattern Energy Group Inc INC PARK BANCORP INC
Page 119
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
PATTERSON COMPANIES PDF Solutions Inc Penn-America Group Inc INC PDG ENVIRONMENTAL INC PennantPark Investment PATTERSON-UTI ENERGY PDI Inc Corp INC PDL BioPharma Inc PENNFED FINANCIAL Paulson Capital Corp. PDL Community Bancorp SVCS INC PAVILION BANCORP INC PDS Biotechnology Corp Pennichuck Corp PAVmed Inc pdvWireless Inc PENNROCK FINANCIAL Pax Balanced Peabody Energy Corp SVCS Pax Core Bond Peace Arch Entertainment Penns Woods Bancorp Inc Pax Global Environmental Group Inc Pennsylvania Real Estate Markets PEAK INTERNATIONAL LTD Investment Trust Pax High Yield Peak Resorts Inc PennTex Midstream Partners Pax Large Cap Peapack-Gladstone Financial LP Pax MSCI EAFE ESG Corporation PennyMac Financial Services Leaders Index Pear Tree Polaris Foreign Inc Pax Small Cap Value PennyMac Mortgage Pax World MM Pear Tree Polaris Foreign Investment Trust PAXAR CORP Value Small Cap Penseco Financial Services Paychex Inc. Pearson PLC Corp Paycom Software Inc Pebblebrook Hotel Trust Penske Automotive Group Payden Cash Reserves PEC SOLUTIONS INC Inc Money Market PECO II INC Penson Worldwide Inc Payden Core Bond PEDIATRIC SVCS AMERICA Penton Media Inc Payden Emerging Markets INC Penumbra Inc Bd PEERLESS SYSTEMS Penwest Pharmaceuticals Payden Equity Income CORP Co. Payden Global Fixed Income Peet's Coffee & Tea Inc PEOPLES BANCORP Payden GNMA Pegasi Energy Resources AUBURN IN Payden High Income Corp Peoples Bancorp Inc Payden Limited Maturity PEGASUS Peoples Bancorp Inc/MD Payden Low Duration COMMUNICATIONS CP Peoples Bancorp of North Paylocity Holding Corp PEGASUS SOLUTIONS INC Carolina Inc. PayPal Holdings Inc Pegasystems Inc Peoples Bancorporation Inc PB Bancorp Inc PELICAN FINANCIAL INC PEOPLES BANCTRUST INC PBF Energy Inc Pembina Pipeline Corp Peoples Community Bancorp PBF Logistics LP PEMSTAR INC Inc PBHG Emerging Growth Pendrell Corp PEOPLES EDUCATIONAL PBHG Ins Ser Small Cap Penford Corp HOLDINGS PBHG Ins Ser Tech & Comm Pengrowth Energy Corp PEOPLES ENERGY CORP PBHG Large Cap Pengrowth EnergyTrust'A' Peoples Federal Bancshares PBHG Large Cap 20 PENN ENGR & MFG CORP Inc PBHG Select Growth Penn Millers Holding Corp PEOPLES FINANCIAL PBHG Tech & Penn Series Flexibly CORP/MS Communication Managed Peoples Financial Services PCCW LTD Penn Series International Eq Corp. PCM Inc Penn Series Quality Bond PEOPLES OHIO FINANCIAL PCS EDVENTURES.COM PENN TRAFFIC CO CORP INC Penn Treaty American Corp People's United Financial Inc PCSB Financial Corp Penn Virginia Corp Peoples Utah Bancorp PCTEL Inc Penn Virginia GP Holdings PEOPLESUPPORT INC PDC Energy Inc LP
Page 120
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Pep Boys-Manny Moe & Jack PetIQ Inc PGIM Jennison Mid Cap (The) PetMed Express Inc Growth Pepco Holdings Inc. PETRIE STORES PGIM Jennison MLP Pepsi Bottling Group Inc. LIQUIDATION TR PGIM Jennison Natural PepsiAmericas Inc. Petro River Oil Corp. Resources PepsiCo Inc Petro-Canada PGIM Jennison Small Perceptron Inc Petrochina Co Ltd Company Peregrine Semiconductor Petrocorp Inc PGIM Jennison Utility Corp PETROFUND ENERGY PGIM Muni High Income PEREGRINE SYSTEMS INC TRUST PGIM Muni National Perfect World Co Ltd PETROHAWK ENERGY PGIM QMA Long/Short PerfectEnergy International CORP Equity Ltd PETROKAZAKHSTAN INC PGIM QMA Mid Cap Value Perficient Inc PETROL OIL & GAS INC PGIM QMA Small Cap Value Performance Food Group Co Petroleo Brasileiro S.A.- PGIM QMA Stock Index Performance MM Petrobras PGIM Short Duration High Performance Sports Group PetroLogistics LP Yield Income Ltd Petroquest Energy Inc PGIM Short Duration Multi Performance Technologies PETROSEARCH ENERGY Sector Bond Inc CORP PGIM Short Term Corporate Performance Trust Strategic PetroSouth Energy Corp Bond Bond PetSmart Inc PGIM Total Return Bond Performant Financial Corp PF Managed Bond PGS-PETROLEUM GEO- Perfumania Holdings Inc PF Multi-Asset SERVICES Pericom Semiconductor Corp PF Optimization Moderate PGT Innovations Inc Perimeter Small Cap Growth Conservative PHARMACEUTICAL Perion Network Ltd PFEIFFER VACUUM FORMULATIONS Perma Fix Environmental TECHNOLOGY Pharmaceutical Products Services Inc Pfenex Inc Development Inc Permanent Portfolio PFF Bancorp Inc. Pharmacopeia Inc Permian Basin Royalty Trust PFIZER INC PHARMACYCLICS INC Permission Marketing Soltns PFM Government Select PharmaCyte Biotech Inc PermRock Royalty Trust PFS BANCORP INC PharmaNet Development Pernix Group Inc PFSweb Inc Group Inc Pernix Therapeutics Holdings PGIM Absolute Return Bond Pharmanetics Inc Inc PGIM Balanced Pharmasset Inc PEROT SYSTEMS CORP PGIM Floating Rate Income PharmAthene Inc Perpetual Energy Inc PGIM Global Real Estate Pharmaxis Ltd Perrigo Co Plc PGIM Global Total Return PharMerica Corp Perritt MicroCap PGIM High Yield PHARMION CORP Opportunities PGIM Jennison 20/20 Focus PHARMOS CORP Perry Ellis International Inc PGIM Jennison Blend Pharsight Corp PER-SE TECHNOLOGIES PGIM Jennison Equity Phase Forward Inc INC Income PhaseBio Pharmaceuticals Pershing Gold Corp PGIM Jennison Focused Inc Perspecta Inc Growth PHAZAR CORP PERU COPPER INC PGIM Jennison Global PHC Inc Pervasive Software Inc Opportunities PHELPS DODGE CORP Pet DRx Corp PGIM Jennison Growth PHH Corp PETCO ANIMAL SUPPLIES PGIM Jennison Health Phibro Animal Health Corp INC Sciences
Page 121
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Philadelphia Consolidated PIMCO 1-5 Year US TIPS PIMCO Flexible Credit Holding Corp Index ETF Income Philip Morris International Inc PIMCO Active Bond ETF PIMCO Floating Rate Income Phillips 66 PIMCO All Asset Fund Phillips 66 Partners LP PIMCO All Asset All Authority PIMCO Fundamental Phoenix Cos Inc. (The) PIMCO CA Short Duration IndexPLUS Phoenix Footwear Group Inc. Municipal Income PIMCO Glbl StocksPLUS & Phoenix Growth & Income PIMCO California Municipal Inc Fd Phoenix Income & Growth Income Fund PIMCO Global Advantage Phoenix Insight International PIMCO California Municipal Strategy Bond Phoenix Insight Sht Intrmd Income Fund II PIMCO Global Bond Phoenix Insight Sml Cap Opp PIMCO California Municipal Opportunities (US Dollar Phoenix Insight Sml Cap Val Income Fund III Hedged) Phoenix Insight Value Equity PIMCO CommoditiesPLUS PIMCO Global Bond Phoenix Small Cap Growth Strategy UnHedged Phoenix Small Cap Value PIMCO PIMCO Global Multi Asset Phoenix Strategic Alloc CommodityRealReturn PIMCO GNMA & PHOENIX TECHNOLOGIES Strategy Government Securities LTD PIMCO Convertible Bond PIMCO Government MMF PHONE 1GLOBALWIDE INC PIMCO Corporate & Income PIMCO High Income Fund Phosphate Holdings Inc Opportunity Fund PIMCO High Yield Phosphate Res Partners -Lp PIMCO Corporate & Income PIMCO High Yield Municipal PHOTOMEDEX INC Strategy Fund Bond PHOTON DYNAMICS INC PIMCO Credit Absolute PIMCO High Yield Spectrum PHOTONIC PRODUCTS Return PIMCO Income GROUP INC PIMCO Diversified Income PIMCO Income Opportunity Photronics Inc PIMCO Dividend and Income Fund Phsb Financial Corp Builder PIMCO Income Strategy Physicians Formula Holdings PIMCO Dynamic Bond Fund II Inc PIMCO Dynamic Credit and PIMCO Inflation Response Physicians Realty Trust Mortgage Income Fund Multi-Asset Phytomedical Technologies PIMCO Dynamic Income PIMCO International Bond Inc Fund (Unhedged) PIC Small Cap Growth PIMCO Emerging Local PIMCO International Bond Piccadilly Cafeterias Inc Currency & Bond (US Dollar Hedged) PICO HOLDINGS INC PIMCO Emerging Markets PIMCO Investment Grade Piedmont Natural Gas Co Bond Corporate Bond Index ETF Inc. PIMCO Emerging Markets PIMCO Invstment Grade Piedmont Office Realty Trust Corporate Bond Credit Bond Inc PIMCO Emerging Markets PIMCO Long Duration Total Pier 1 Imports Inc. Currency and Short-Term Return Pieris Pharmaceuticals Inc Investments PIMCO Long Term Credit PIF Ptnr Mid Cap Growth I PIMCO Enhanced Short Bond PIF Ptnr Small Cap Value Maturity Active Exchange- PIMCO Long US PIF Short Term Bond Traded Fund Government PIF Ultra Short Bond PIMCO EqS Dividend PIMCO Low Duration PIKE ELECTRIC CORP PIMCO EqS Emerging PIMCO Low Duration II Pilgrim's Pride Corp Markets PIMCO Low Duration Income Pillowtex Corp PIMCO EqS Long/Short PIMCO Moderate Duration PIMCO 0-5 Year High Yield PIMCO EqS Pathfinder PIMCO Money Market Corporate Bond Index ETF PIMCO Extended Duration
Page 122
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
PIMCO Mortgage Backed PIMCO StocksPLUS Pioneer Bond Securities Internaional (US Dollar- Pioneer Cash Reserves PIMCO Mortgage Hedged) Pioneer Classic Balanced Opportunities & Bond PIMCO StocksPLUS Pioneer Core Equity PIMCO Municipal Bond International (Unhedged) PIONEER CORP PIMCO Municipal Income PIMCO StocksPLUS Long PIONEER COS INC -CL A Fund Duration Pioneer Disciplined Growth PIMCO Municipal Income PIMCO StocksPLUS Short Pioneer Disciplined Value Fund II PIMCO StocksPLUS Small Pioneer Dynamic Credit PIMCO Municipal Income PIMCO Strategic Global Pioneer Emerging Markets Fund III Government Fund Inc Pioneer Energy Services Pimco Ny Muni Income Fd Iii PIMCO Total Return Corp PIMCO PEA Innovation PIMCO Total Return ESG Pioneer Equity Income PIMCO RAE Advantage PIMCO Total Return II Pioneer Europe Select Equity PLUS PIMCO Total Return IV Pioneer Exploration Inc PIMCO RAE Emerging PIMCO VIT All Asset Pioneer Flexible Markets PIMCO VIT Comdty RRtn Opportunities PIMCO RAE Fundamental Strt Pioneer Floating Rate PLUS Intl PIMCO VIT Emerging Mkts Pioneer Floating Rate Trust PIMCO RAE International PIMCO VIT Global Bond Pioneer Fund PIMCO RAE Low Volatility (UnHedged) Pioneer Fundamental Growth PLUS PIMCO VIT Global Pioneer Fundamental Value PIMCO RAE Low Volatility Diversified Allocation Pioneer Global High Yield PLUS EMG PIMCO VIT Global Multi Pioneer Growth Opport PIMCO RAE Low Volatility Asset Managed Allocation Pioneer Growth Shares PLUS Intl PIMCO VIT High Yield Pioneer High Income PIMCO RAE PLUS PIMCO VIT International Municipal PIMCO RAE PLUS EMG Bond Pioneer High Income Trust PIMCO RAE US PIMCO VIT Low Duration Pioneer High Yield PIMCO RAE Worldwide PIMCO VIT Money Market Pioneer Ibbotson Growth Fundamental Adv PLUS PIMCO VIT Real Return Allocation PIMCO RAE Worldwide PIMCO VIT Stocks Plus Pioneer Ibbotson Moderate Long/Short PLUS PIMCO VIT Total Return Allocation PIMCO Real Estate Real PINE VALLEY MINING Pioneer ILS Interval Return Strategy CORP Pioneer Independence PIMCO Real Return Pingtan Marine Enterprise Pioneer Instl Money Market PIMCO Real Return Asset Ltd Pioneer International Core PIMCO Senior Floating Rate Pinnacle Airlines Corp Equity PIMCO Short Asset Pinnacle Bankshares Corp Pioneer International Equity Investment Pinnacle Entertainment Inc. Pioneer International Value PIMCO Short Duration Pinnacle Financial Partners Pioneer Mid Cap Growth Municipal Income Inc Pioneer Mid Cap Value PIMCO Short Term Pinnacle Foods Inc Pioneer Multi-Asset Income PIMCO Small Company Pinnacle Gas Resources Inc Pioneer Multi-Asset Fundamental IndexPLUS AR PINNACLE SYSTEMS INC Ultrashort Income Strategy Pinnacle West Capital Corp Pioneer Municipal and Equity PIMCO StocksPLUS Pinnacor Inc Income Trust PIMCO StocksPLUS Pioneer America Income Tr Pioneer Municipal High Absolute Return Pioneer AMT Free Muni Income Advantage Trust PIONEER BANKSHARES Pioneer Municipal High INC Income Trust
Page 123
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Pioneer Natural Resources PLATO Learning Inc POINT THERAPEUTICS INC Co Playa Hotels & Resorts N.V. POINT.360 Pioneer Oak Ridge Lrg Cp PlayAGS Inc POINTE FINANCIAL CORP Gro Playboy Enterprises Inc Points International Ltd Pioneer Select Mid Cap PLAYLOGIC PokerTek Inc Growth ENTERTAINMENT INC Polar Power Inc Pioneer Short Term Income PLAYTEX PRODUCTS INC Polar Wireless Corp Pioneer Small Cap Value PLC SYSTEMS INC Polaris Global Value Pioneer Southwest Energy Plexus Corp Polaris Industries Inc Partners LP PLM EQUIP GROWTH FD V PolarityTE Inc Pioneer Strategic Income -LP Polen Growth Pioneer Tax Adv Balanced Tr Plug Power Inc POLYAIR INTER PACK INC Pioneer Treasury Reserves Plum Creek Timber Co Inc. Polycom Inc MM Plumas Bancorp POLYDEX Pioneer TxFr Income PLUMTREE SOFTWARE PHARMACEUTICALS LTD Pioneer Value INC POLYMEDICA CORP Pioneer VCT Eqty Income Pluralsight Inc PolyMedix Inc Pioneer VCT Fund PLX Technology Inc Polymer Group Inc Pioneer VCT Growth Opport Ply Gem Holdings Inc PolyMet Mining Corp Pioneer VCT Mid Cap Value PMA Capital Corp PolyOne Corp Pipeline Data Inc. Pmc Cap Inc Polypore International Inc Piper Jaffray Companies PMC Diversified Equity Pomeroy IT Solutions Inc Pitney Bowes Inc. PMC-Sierra Inc. Poniard Pharmaceuticals Inc Pitooey Inc PMFG Inc Pool Corp Pivotal Corp PMI Group Inc. Pope Resources LP Pivotal Software Inc PNC Advantage Instl MM Popeyes Louisiana Kitchen PIXAR PNC Government Money Inc PIXELPLUS CO LTD -ADR Market Poplar Forest Partners Pixelworks Inc PNC Govt MMF Popular Inc PJT Partners Inc PNC Growth & Income Port Financial Corp PLACER DOME INC PNC International Eqty Portage Biotech Inc PLACER SIERRA PNC International Equity PORTAL SOFTWARE INC BANCSHARES PNC Intrmd Bond PORTALPLAYER INC Plains All American Pipeline PNC Limited Maturity Bond PORTEC RAIL PRODUCTS LP PNC Money Mkt INC Plains Exploration & PNC OH Muni MM Portfolio Ptnrs MFS Emerg Production Co PNC Prime MMF Gro Plains GP Holdings LP PNC Small Cap Portfolio Ptnrs MFS Plains Resources Inc PNC TaxExempt Money Research Plan Vista Corp Market Portfolio Ptnrs MFS Val Eqty Planar Systems Inc PNC Treasury Money Market Portfolio Ptnrs Scudder Intl Planet Fitness Inc PNC Treasury Plus Money Portfolio Ptnrs T Rowe Gro Planet Payment Inc Market Eq PlanetOut Inc PNC TxEx MMF Portfolio Series American Plastec Technologies Ltd PNC Ultra Short Bond Funds Managed Risk Growth Platinum Energy Resources PNG VENTURES INC Portfolio Series American Inc PNI Digital Media Inc Funds Managed Risk Growth Platinum Research PNM Resources Inc. and Income Organization Inc POCAHONTAS BANCORP Portland General Electric Co Platinum Underwriters INC Portola Pharmaceuticals Inc Holdings Ltd POGO PRODUCING CO
Page 124
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
PORTSMOUTH SQUARE PowerShares Global Listed PREMD INC INC Private Equity Portfolio Premier Bancorp Inc/Pa Portugal Telecom Sgps SA, PowerShares Global Water PREMIER CMNTY Lisboa Portfolio BANKSHARES INC Posco PowerShares Golden Dragon Premier Exhibitions Inc POSITRON CORP Halter USX China Portfolio Premier Farnell Plc POSSIS MEDICAL INC PowerShares India Portfolio Premier Financial Bancorp Post Holdings Inc ETF Inc Post Properties Inc PowerShares S&P 500 Premier Inc PostRock Energy Corp Downside Hedged Portfolio Premier Power Renewable Potbelly Corp PowerShares S&P SmallCap Energy Inc PotlatchDeltic Corp Information Technology Premier TxEx Port POTOMAC BANCSHARES Portfolio Premier US Govt Money INC PowerShares VRDO Tax- Premier VIT OpCap Potomac Dynamic HY Bond Free Weekly Portfolio Managed POW ENTERTAINMENT INC PowerShares Wilderhill Premiere Global Services Inc Powder River Petroleum Clean Energy Portfolio PremierWest Bancorp International Inc PowerVerde Inc PREMIUM STANDARD POWELL INDUSTRIES INC POWERWAVE FARMS INC POWER 3 MEDICAL TECHNOLOGIES INC PRENTISS PROPERTIES PRODUCTS INC Powin energy corporation TRUST POWER AIR CORP PPG Industries Inc. Pre-Paid Legal Services Inc. Power Dividend Index PPL Corp Presbia PLC Power Integrations Inc PPOL INC Presidential Life Corp Power Medical Interventions PQ Group Holdings Inc Presidential Realty Corp Inc PRA Group Inc Presidio Inc Power of the Dream Ventures PRA Health Sciences Inc Press Ganey Holdings Inc Inc PRA INTERNATIONAL Presstek Inc Power Oil & Gas Inc Practiceworks Inc Prestige Consumer Power Solutions International PRAECIS Healthcare Inc Inc PHARMACEUTICALS INC Pretium Resources Inc POWERCOLD CORP Prana Biotechnology Ltd PRGX Global Inc POWERDSINE LTD Praxis Core Stock Price Africa & Middle East Power-One Inc. Praxis Impact Bond PRICE COMMUNICATIONS POWERSAVE ENERGY PRB ENERGY INC CORP COMPANY PRECISION AUTO CARE Price Instl Foreign Equity PowerSecure International INC Price Legacy Corp Inc Precision Castparts Corp. PRICESMART INC PowerShares DB G10 Precision Drilling Corp Pride International Inc. Currency Harvest Fund Predictive Technology Group Prima Energy Corp PowerShares DB Silver Fund Inc Prime Cash Series PowerShares DB US Dollar Preferred Apartment Prime Global Capital Group Index Bearish Fund Communities Inc Inc PowerShares DWA Preferred Fixed Income PRIME GROUP REALTY Developed Markets Preferred International Value TRUST Momentum Portfolio Preferred Large Cap Growth Prime Hospitality Corp PowerShares Dynamic Mid Preferred Large Cap Value Prime Money Market Cap Growth Portfolio Preformed Line Products PRIMECAP Odyssey Aggrsv PowerShares ETF Trust Company Gro Dynamic Market Portfolio Prelude Ventures Inc PRIMECAP Odyssey Growth Premcor Inc PRIMECAP Odyssey Stock
Page 125
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
PRIMEDIA INC Principal International Equity Principal SAM Strategic Primeenergy Resources Corp Index Growth Primerica Inc Principal International Growth Principal Short Term Income Primero Mining Corp Principal International I Principal Small Cap Growth Primo Water Corp Principal International Small Principal Small Cap Growth I Primoris Services Corp Company Principal Small Cap Growth II Primus Guaranty Ltd Principal Intl Principal Small Cap Growth Primus Knowledge Solutions Principal Large Cap Blend I III Princeton National Bancorp Principal Large Cap Blend II Principal Small Cap S&P600 Inc Principal Large Cap Growth Index Princeton Review Inc (The) Principal Large Cap Growth I Principal Small Cap Value Principal Active Global Principal Large Cap Growth II Principal Small Cap Value I Dividend Income ETF Principal Large Cap S&P500 Principal Small Cap Value II Principal Blue Chip Index Principal SmallCap Principal Bond Market Index Principal Large Cap Value Principal Small-MidCap Principal CA Muni Principal Large Cap Value I Dividend Income Principal Capital Appreciation Principal Large Cap Value III Principal TxEx Bond Principal Capital Securities Principal LifeTime 2010 Principal US Mega Cap Multi Principal Capital Value Principal LifeTime 2015 Factor Index ETF Principal Cash Management Principal LifeTime 2020 Principia Biopharma Inc Principal Core Plus Bond Principal LifeTime 2025 PRINTRONIX INC Principal Core Plus Bond I Principal LifeTime 2030 PRIORITY HLTHCARE CP - Principal Disciplined Lg Cp Principal LifeTime 2035 CL B Blend Principal LifeTime 2040 Priority Technology Holdings Principal Diversified Principal LifeTime 2045 Inc International Principal LifeTime 2050 PRIVATE MEDIA GROUP Principal Diversified Real Principal LifeTime Strategy INC Asset Principal Mid Cap PrivateBancorp Inc Principal EDGE MidCap Principal Mid Cap Growth II PROASSURANCE CORP Principal Equity Income Principal Mid Cap Growth III PROCENTURY CORP Principal Financial Group Inc. Principal Mid Cap S&P400 Procera Networks Inc Principal Global Diversified Index Procter & Gamble Co (The) Income Principal Mid Cap Stock PRO-DEX INC/CO Principal Global Multi Principal Mid Cap Value I ProElite Inc Strategy Principal Mid Cap Value II Profire Energy Inc Principal Global Principal Mid Cap Value III ProFund VP Bull Opportunities Principal Money Market Progen Pharmaceuticals Ltd Principal Global Real Estate Principal Origin Emerging Progenics Pharmaceuticals Securities Markets Inc Principal Govt & High Quality Principal Overseas Progress Energy Inc. Bd Principal Preferred Securities Progress Finl Corp Principal Govt & High Quality Principal Real Estate Progress Software Corp Bond Securities Progressive Corp (The) Principal Govt Sec Inc Principal SAM Balanced PROLIANCE Principal Growth Principal SAM Conservative INTERNATIONAL INC Principal High Yield Balanced Prolink Holdings Corp. Principal High Yield I Principal SAM Conservative ProLogis Principal Income Growth Prologis Inc. Principal Inflation Protection Principal SAM Flexible Promotora De Informaciones Principal International Income SA Emerging Mkts Proofpoint Inc
Page 126
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Propel Media Inc ProShares UltraShort Oil & PROVIDIAN FINANCIAL ProPetro Holding Corp Gas CORP PROS Holdings Inc ProShares UltraShort QQQ PROVINCE HEALTHCARE Prosensa Holding NV ProShares UltraShort Real CO ProShares Credit Suisse Estate Proxim Corp 130/30 ProShares UltraShort Proxim Wireless Corp ProShares Investment Russell2000 PROXYMED INC Grade-Interest Rate Hedged ProShares UltraShort PRUDENTIAL FINANCIAL ETF S&P500 INC ProShares S&P 500 Dividend Prospect Capital Corp Prudential Global Short Aristocrats ETF Prospect Global Resources Duration High Yield Fund Inc ProShares Short 20 Year Inc Prudential Government Treasury Prospect Medical Holdings Money Market ProShares Short Dow30 Inc Prudential Govt Income ProShares Short MSCI Prosperity Bancshares Inc Prudential GovtSec-US Treas Emerging Markets Protagonist Therapeutics Inc MM ProShares Short Russell Protalex Inc Prudential Instl Liq Port MM 2000 Protalix BioTherapeutics Inc Prudential Intl Equity ProShares Short S&P500 Pro-Tech Industries Inc Prudential Jennison Equity ProShares Trust II PROTECTION ONE INC Opportunity ProShares Ultra 7-10 Year Protective Insurance Corp Prudential Jennison Value Treasury Protective Life Corp Prudential Money Mkt CA ProShares Ultra Basic Protectus Medical Devices Prudential Muni CA Income Materials Inc Prudential PLC ProShares Ultra Dow30 PROTEIN POLYMER Prudential Series 20/20 ProShares Ultra Financials TECHNOLOGIES Focus ProShares Ultra Nasdaq PROTEO INC Prudential Series Biotechnology Proteon Therapeutics Inc Conservative Balanced ProShares Ultra Oil & Gas Proteostasis Therapeutics Inc Prudential Series Diversified ProShares Ultra QQQ Prothena Corp Plc Bond ProShares Ultra Real Estate Proto Labs Inc Prudential Series Equity ProShares Ultra Russell2000 PROTOCALL Prudential Series Flex ProShares Ultra S&P500 TECHNOLOGIES INC Managed ProShares UltraPro Dow30 PROTOKINETIX INC Prudential Series Global ProShares UltraPro QQQ Provectus Prudential Series ProShares UltraPro S&P500 Biopharmaceuticals Inc Government Money Market ProShares UltraPro Short PROVIDE COMMERCE INC Prudential Series Govt QQQ Providence and Worcester Income ProShares UltraPro Short Railroad Co Prudential Series High Yield S&P500 Providence Service Corp Bond ProShares UltraShort 20 Plus (The) Prudential Series Jennison Year Treasury Provident Bancorp Inc Prudential Series Nat ProShares UltraShort 7-10 Provident Bankshares Corp Resource Year Treasury Provident Community Prudential Series Small Cap ProShares UltraShort Bancshares Inc Stock Financials Provident Energy Ltd Prudential Series Stock Index ProShares UltraShort FTSE Provident Financial Grp Inc Prudential Series Value China 25 Provident Financial Holdings Prudential Short Duration ProShares UltraShort MSCI Inc High Yield Fund Inc Emerging Markets Provident Financial Services PS Business Parks Inc. Inc. PSB BANCORP INC
Page 127
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
PSB GROUP INC Putnam Capital Spectrum Putnam New Value PSB HOLDINGS INC/WI Putnam Classic Equity Putnam NJ TxEx Income Psivida Corp Putnam Convertible Putnam NY TxEx Income PSS WORLD MEDICAL INC Securities Putnam OTC Emerging Psychemedics Corp Putnam Discovery Growth Growth Psychiatric Solutions Inc Putnam Diversified Income Putnam PA TxEx Income PT Telekomunikasi Indonesia Putnam Dynamic Asset Putnam Premier Income (Persero) TBK Allocation Balanced Trust PTC Inc Putnam Dynamic Asset Putnam Prime Money Market PTC Therapeutics Inc Allocation Conservative Putnam Research Public Media Works Inc Putnam Dynamic Asset Putnam Short Duration Public Service Enterprise Allocation Growth Income Group Inc Putnam Equity Income Putnam Small Cap Growth Public Storage Putnam Equity Spectrum Putnam Small Cap Value PUBLICIS GROUPE SA Putnam Europe Equity Putnam Sustainable Leaders Publix Super Markets Inc Putnam FL TxEx Income Putnam Tax Smart Equity Puda Coal Inc Putnam Floating Rate Putnam TxEx Income Puget Energy Inc. Income Putnam TxFr Hi Yield PULASKI FINANCIAL CORP Putnam Global Equity Putnam Vista PULITZER INC Putnam Global Health Care Putnam Voyager Pulmo BioTech Inc Putnam Global Natural Putnam VT American Govt Pulse Biosciences Inc Resource Putnam VT Diversified Inc Pulse Electronics Corp Putnam Global Utilities Putnam VT Equity Income PulteGroup Inc Putnam Growth & Income Putnam VT George Putnam Puma Biotechnology Inc Putnam Growth Opportunities Putnam VT Global Asst Alloc PURADYN FILTER Putnam High Yield Putnam VT Global Equity TECHNOLOGIES Putnam High Yield Trust Putnam VT Growth & Income Pure Acquisition Corp Putnam Income Putnam VT Growth Opport Pure Biofuels Corp Putnam Intl Capital Opport Putnam VT Health Sciences Pure Bioscience Inc Putnam Intl Equity Putnam VT High Yield Pure Cycle Corp Putnam Intl Growth Putnam VT Income Pure Earth Inc Putnam Intl Value Putnam VT Intl Equity Pure Nickel Inc Putnam Inv Grade Muni Tr Putnam VT Intl Gro & Inc Pure Storage Inc Putnam Investors Putnam VT Intl New Oppor Pure Transit Technologies Putnam Ltd Dura Govt Putnam VT Investors Inc Income Putnam VT Money Market PureBase Corp Putnam MA TxEx Income Putnam VT New Value PureSafe Water Systems Inc Putnam Managed Municipal Putnam VT Research Purisima Total Return Income Trust Putnam VT Small Cap Value Purple Beverage Co Inc Putnam Master Income Tr Putnam VT Sustainable Purple Communications Inc Putnam Master Intermediate Leaders Purple Innovation Inc Income Trust Putnam VT Util Gro & Inc Putnam Absolute Return 100 Putnam Money Market Putnam VT Vista Putnam Absolute Return 300 Putnam Mortgage Securities Putnam VT Voyager Putnam Absolute Return 500 Putnam Multi Cap Core PVC Bond & Mortgage Putnam American Govt Putnam Multi Cap Value Securities Income Putnam Multi-Asset Absolute PVC Capital Value Putnam AMT Free Muni Return PVC Diversified Balanced Putnam CA TxEx Income Putnam Municipal Income PVC Diversified Growth Putnam Cap Appreciation Putnam Municipal PVC Diversified International Putnam Cap Opportunities Opportunities Trust PVC Equity Growth
Page 128
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
PVC Equity Income QS US Small Cap Equity QUINENCO SA PVC Govt & High Quality QSGI INC QuinStreet Inc Bond QSound Labs Inc Quintana Energy Services PVC Large Cap Growth QTS Realty Trust Inc Inc PVC Large Cap S&P500 Quad/Graphics Inc Quintana Maritime Ltd Index QUADRAMED CORP Quintiles Transnational Corp PVC Large Cap Value III Quaker Chemical Corp QUIXOTE CORP PVC Mid Cap Quaker City Bancorp Inc Qumu Corp PVC Money Market QUAKER FABRIC CORP Qunar Cayman Islands Ltd PVC Real Estate Sec Quaker Strategic Growth Quorum Health Corp PVC SAM Balanced QUALCOMM Inc. Quotient Ltd PVC SAM Consrv Growth Quality Care Properties Inc Quotient Technology Inc PVF Capital Corp. QUALITY DINING INC QUOVADX INC PVH Corp Quality Distribution Inc Qurate Retail Inc PVR Partners, LP Qualstar Corp Qutoutiao Inc PW EAGLE INC Qualys Inc Qwest Communications PXRE GROUP LTD Quamtel Inc International Inc. PYR ENERGY CORP Quanex Building Products R G GLOBAL LIFESTYLES PYRAMID BREWERIES INC Corp INC Pyxus International Inc QUANEX CORP R&G Financial Corp. Pzena Investment Quant Emerging Markets R.R. Donnelley & Sons Co Management Inc Quanta Capital Holdings Ltd R1 RCM INC Q Comm Intl Inc Quanta Services Inc. Ra Medical Systems Inc Q.E.P. Co. Inc Quantenna Communications Ra Pharmaceuticals Inc Q2 Holdings Inc Inc Rackspace Hosting Inc QAD Inc Quanterix Corporation Radian Group Inc. QC Holdings Inc Quantitative Alpha Trading Radiant Logistics Inc QCR HOLDINGS INC Inc Radiant Oil & Gas Inc QEP Midstream Partners LP QuantRx Biomedical Corp Radiant Systems Inc QEP Resources Inc Quantum Corp RADIATION THERAPY Qiagen NV Quantum Solar Power Corp SVCS INC Qihoo 360 Technology Co Quarterhill Inc RADICA GAMES LTD Ltd Quaterra Resources Inc RADIOLOGIX INC Qimonda AG Qudian Inc RadiSys Corp QIWI plc QUEENSTAKE RES LTD RADIUS GOLD INC QKL Stores Inc YUKON Radius Health Inc Qlik Technologies Inc Quest Diagnostics Inc Radvision Ltd QLOGIC CORP Quest Energy Partners LP Radware Ltd QMED INC Quest Rare Minerals Ltd RADYNE CORP QNB CORP Quest Resource Holding RAE Systems Inc. Qnective Inc Corp Rafael Holdings Inc Qorvo Inc Quest Software Inc Rahaxi Inc QPC LASERS INC Questar Corp RailAmerica Inc. QR Energy LP QuickLogic Corp Rainbow Rentals Inc QRS CORP QUICK-MED Rainbow Technologies Inc QS Growth TECHNOLOGIES INC RAINDANCE QS Legg Mason LifeStyle Quicksilver Resources Inc COMMUNICATIONS INC Allocation 70% QUIDEL CORP Rainier Large Cap Equity QS LM Dynamic Multi Quigley Corp (The) Rainier Mid Cap Equity Strategy VIT Quiksilver Inc. Rainier Pacific Financial QS US Large Cap Equity Quilmes Industrial SA Group Inc
Page 129
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Rainier Small/Mid Cap Equity RCI Hospitality Holdings Inc REGEN BIOLOGICS INC Rainmaker Systems Inc RCM Technologies Inc Regency Centers Corp. RAIT Financial Trust RCN Corp Regency Energy Partners LP Ralcorp Holdings Inc. RDA Microelectronics Inc Regeneron Pharmaceuticals Rally Software Development RE/MAX Holdings Inc Inc Corp ReachLocal Inc RegeneRx Ralph Lauren Corp READERS DIGEST ASSN Biopharmaceuticals Inc RAM HOLDINGS LTD Reading International Inc. REGENXBIO Inc Ramaco Resources Inc Ready Assets Government REGI U S INC Rambus Inc Liquidity Regional Management Corp RAMP CORP Ready Assets US Treasury Regions Financial Corp Ramtron International Corp Money Regis Corp Rancher Energy Corp Ready Capital Corporation REGISTER.COM INC Rand Logistics Inc READY MIX INC Regulus Therapeutics Inc Randgold & Exploration Real Goods Solar Inc Rehabcare Group Inc. Company Ltd RealD Inc REINHOLD INDUSTRIES - Randgold Resources Ltd RealNetworks Inc CL A Randolph Bancorp Inc RealPage Inc Reinsurance Group of Range Resources Corp. Realty Income Corp. America Inc. Rangeford Resources Inc Reata Pharmaceuticals Inc Reis Inc Ranger Energy Services Inc Reaves Utility Income Fund Reliance Steel & Aluminum Rapid7 Inc Receptos Inc Co Raptor Networks Techology RECKSON ASSOCS RLTY Reliant Bancorp Inc Inc CORP RELIV INTERNATIONAL INC Raptor Pharmaceutical Corp Recon Technology Ltd RELM WIRELESS CORP Rare Element Resources Ltd Recro Pharma Inc Relmada Therapeutics Inc RARE HOSPITALITY INTL Red Hat Inc RELX PLC INC Red Lion Hotels Corp Relypsa Inc Rave Restaurant Group Inc RED MILE Remark Holdings Inc Raven Industries Inc ENTERTAINMENT INC REMEC INC Raymond James Financial Red Mountain Resources Inc REMEDENT INC Inc. Red Robin Gourmet Burgers REMEDYTEMP INC -CL A Rayonier Advanced Materials Inc REMINGTON OIL&GAS CP Inc Red Rock Resorts Inc -CL B Rayonier Inc. REDBACK NETWORKS INC Remy International Inc RAYTECH CORP/DE Reddy Ice Holdings Inc Renaissance Acquisition Raytheon Co. Redhill Biopharma Ltd Corp RBB Bancorp Rediff.com India Ltd Renaissance Learning Inc RBB Free Market Fixed Redmont Resolute RenaissanceRe Holdings Ltd Income Redpoint Bio Corp RENAL CARE GROUP INC RBB Free Market REDWOOD EMPIRE Renasant Corp International Equity BANCORP Renegy Holdings Inc RBB Free Market US Equity Redwood Trust Inc. Renesola Ltd RBB Money Market Reebok International Ltd Renewable Energy Group Inc RBC BEARINGS INC Reeds Inc RENOVIS INC RBC BlueBay Absolute REFAC OPTICAL GROUP Renren Inc Return REFLECT SCIENTIFIC INC RENT SHIELD CORP RBC Emerging Markets Regal Beloit Corp RENT WAY INC Equity REGAL ENTERTAINMENT Rent-A-Center Inc RC2 CORP GROUP Rentech Inc. RCG COMPANIES REGALITO COPPER CORP
Page 130
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Rentech Nitrogen Partners Retail Properties of America RidgeWorth Large Cap Core LP Inc Growth Stock Rentrak Corp Retail Value Inc RidgeWorth Large Cap ReoStar Energy Corp RetailMeNot Inc Growth Stock REPLIGEN CORP Retalix Ltd RidgeWorth Prime Qual MM Replimune Group Inc RETEK INC RidgeWorth Seix High Yld REPROS THERAPEUTICS Retirement Reserves Money RidgeWorth Shrt Trm Bond INC RETRACTABLE RidgeWorth Small Cap Gro REPSOL YPF SA TECHNOLOGIES INC Stk REPTRON ELECTRONICS Retrophin Inc RidgeWorth TxEx MM INC REUTERS GROUP PLC RidgeWorth US Govt Sec Republic Airways Holdings REV Group RidgeWorth US Govt Sec Inc Revance Therapeutics Inc MM Republic Bancorp Inc Revett Minerals Inc RidgeWorth US Treasury MM Republic Bancshares Inc Revlon Inc. RidgeWorth VA TxFr MM REPUBLIC COMPANIES Revolution Lighting RIGEL PHARMACEUTICALS GROUP Technologies Inc INC Republic First Bancorp Inc ReWalk Robotics Ltd RIGGS NATL CORP WASH REPUBLIC PROPERTY REWARDS NETWORKS INC D C TRUST Rex American Resources Riggs Prime MMF Republic Services Inc. Corp Right Management RES-CARE INC Rex Energy Corp Consultants Research Frontiers Inc Rexahn Pharmaceuticals Inc RightNow Technologies Inc Reserve Liquid Performance Rexford Industrial Realty Inc Rightside Group Ltd Money Market Rexnord Corp RigNet Inc RESERVE PETROLEUM CO REYNOLDS & REYNOLDS - RIMINI STREET INC Reserve US Government CL A Ring Energy Inc RESIN SYSTEMS INC REYNOLDS AMERICAN INC RingCentral Inc RESMED INC RF MONOLITHICS INC RINKER GROUP LTD Resolute Energy Corp RGC RESOURCES INC RINO International Corp Resolute Forest Products Inc RH Rio Alto Mining Ltd Resonant Inc RHI Entertainment Inc RIO NARCEA GOLD MINES Resortquest Intl Inc Rhino Resource Partners LP LTD Resource America Inc RHODIA Rio Tinto Group Resource Bankshares Corp Rhythm Pharmaceuticals Inc RIO VISTA ENERGY Resources Connection Inc Ribapharm Inc PARTNERS LP RESPIRONICS INC Ribbon Communications Inc Riot Blockchain Inc RESPONSE BIOMEDICAL Rice Energy Inc Riptide Worldwide Inc CORP Rice Midstream Partners LP Rising Rate Opportunity Response Genetics Inc Richardson Electronics Ltd ProFund Responsys Inc Richmont Mines Inc. RISK(GEORGE) Restaurant Brands RidgeWorth Aggrsv Gro Stk INDUSTRIES INC International Inc RidgeWorth Core Bond Riskmetrics Group Inc Restaurant Brands RidgeWorth IL Cash Mgt MM RIT TECHNOLOGIES LTD International LP RidgeWorth IL US Govt Sec RITA MEDICAL SYSTEMS Restoration Robotics Inc MM INC resTORbio Inc RidgeWorth IL US Treas Sec Ritchie Bros Auctioneers Inc Restore Medical Inc MM Rite Aid Corp. Retail Opportunity RidgeWorth Intl Equity Rito Group Corp Investments Corp RidgeWorth Intl Equity Index RIVAL TECHNOLOGIES INC RidgeWorth Intrmd Bond River Valley Bancorp.
Page 131
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Riverbed Technology Inc Rocket Pharmaceuticals Inc Royal Energy Resources Inc RiverNorth Core Opportunity ROCKFORD CORP ROYAL FINANCIAL INC RiverNorth/DoubleLine Rockwell Automation Inc. Royal Gold Inc Strategic Income Rockwell Collins Inc. ROYAL GROUP RiverPark Short Term High Rockwell Diamonds Inc TECHNOLOGIES LTD Yield Rockwell Medical Inc Royal Invest International RiverPark Strategic Income Rockwood Holdings Inc Corp RiverPark Wedgewood Rocky Brands Inc Royal Mines & Minerals Corp RIVERSTONE NETWORKS Rocky Mountain Chocolate Royal Olympic Cruise Lines INC Factory Inc Inc Riverview Bancorp Inc Rodman & Renshaw Capital ROYAL STANDARD Riverview Financial Corp Group Inc MINERALS INC Riviana Foods Inc Rodobo International Inc ROYALE ENERGY INC RIVIERA HOLDINGS CORP Rofin Sinar Technologies Inc ROYALITE PETROLEUM Riviera Resources Inc Rogers Communications Inc CO INC RLI Corp Rogers Wireless Commu Royce 100 RLJ Entertainment Inc Rogue Wave Software Inc Royce Capital Micro Cap RLJ Lodging Trust ROHM AND HAAS CO Royce Capital Small Cap RMG Networks Holding Corp ROI Acquisition Corp II Royce Dividend Value Rmh Teleservices Inc Roka Bioscience Inc Royce Low Priced Stock RMK Advantage Income Roku Inc Royce Micro Cap Fund Inc ROMA FINANCIAL CORP Royce Micro Cap Trust Inc RMK High Income Fund Inc. Rome Bancorp Inc Royce Opportunity RMK Multi-Sector High root9B Holdings Inc Royce Pennsylvania Mutual Income Fund Inc Roper Technologies Inc Royce Premier Shares RMK Sel Fixed Income Rose Rock Midstream LP Royce Small-Cap Value RMK Sel Growth Rosetta Genomics Ltd Royce Smaller-Companies RMK Sel High Income Rosetta Resources Inc Growth RMK Sel Intermediate Bond Rosetta Stone Inc Royce Special Equity RMK Sel Treasury MM Roslyn Bancorp Inc Royce Total Return RMK Strategic Income Fund Ross Stores Inc Royce Value Trust Inc. Inc Ross Systems Inc RPC Inc. RMR Group Inc (The) Rostelecom, Moscow RPM International Inc Roadrunner Transportation ROTECH HEALTHCARE RPT Realty Systems Inc INC RPX Corp Roadway Corp ROTONICS RS Emerging Markets ROAMING MESSENGER MANUFACTURING INC RS International Growth INC Roundy's Inc RS Intl Growth VIP Ser Roan Resources Inc Rouse Properties Inc RS Mid Cap Opportunities ROANOKE ELECTRIC Rowan Companies plc RS Money Market STEEL CORP ROWE COMPANIES RS Money Market VIP Ser Robbins & Myers Inc. ROYAL & SUN ALLIANCE RS S&P 500 Index VIP Ser Robert Half International Inc. INS GP RS Smaller Company Growth Roberts Realty Investors Inc. Royal Bancshares of RS Tax Exempt Robotic Vision Systems Inc Pennsylvania Inc RSA SECURITY INC Rochester Medical Corp Royal Bank of Canada RSC Holdings Inc Rock Creek Pharmaceuticals Royal Bank of Scotland RSP Permian Inc Inc Group PLC RTI International Metals Inc ROCK OF AGES CORP -CL Royal Caribbean Cruises Ltd RTI Surgical Inc A ROYAL DUTCH RTW INC Rocket Fuel Inc PETROLEUM NV RUBICON FINANCIAL INC
Page 132
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Rubicon Medical Corp Russell Multifactor RVS Partners Small Cap Rubicon Minerals Corp International Equity Equity Rubicon Project Inc (The) Russell Multifactor US Equity RVS Real Estate Rubicon Technology Inc Russell Multistrategy Bond RVS S&P 500 Index RUBIO'S RESTAURANTS Russell Multi-Strategy RVS Selective INC Income RVS Short Duration US Govt RUBIUS THERAPEUTICS Russell Opportunistic Credit RVS Small Cap Advantage INC Russell Quant Equity RVS Small Company Index RUBY MINING CO Russell RIF Global Real RVS Stock RUBY TUESDAY INC Estate RVS Strategic Income Ruckus Wireless Inc Russell RIF Strategic Bond Allocation Rudolph Technologies Inc. Russell Short Duration Bond RVS Strategy Aggressive rue21 Inc Russell Special Growth RVS TxEx High Income RumbleON Inc Russell Strategic Bond RVS Value Rural Cellular Corp Russell Sustainable Equity RVS VP Morgan Stanley RURAL/METRO CORP Russell Tax Exempt Bond Global Real Estate Rush Enterprises Inc Russell Tax Exempt High RVS VP New Dimensions Russell Commodity Yield Bond RVS VP Strategic Income Strategies Russell Tax Managed RVS VP Strategy Aggressive RUSSELL CORP International Equity Growth Russell Diversified Bond Russell Tax Managed US Rwd Technologies Inc Russell Diversified Equity Large Cap RYANAIR HOLDINGS PLC Russell Emerging Markets Russell Tax Managed US RYAN'S RESTAURANT Russell Equity Income Mid Small Cap GROUP INC Russell Global Equity Russell Unconstrained Total RYB Education Inc Russell Global Infrastructure Return Ryder System Inc Russell Global Real Estate Russell US Dynamic Equity Rydex Absolute Return Securities Russell US Small Cap Equity Strategies Russell Ins Multi Style Equity Russell US Strategic Equity Rydex Cap Partners SPhinX Russell Ins Non US Russell US Value Rydex Dynamic S&P 500 2x Russell International Ruth's Hospitality Group Inc Strategy Developed Markets RVS Absolute Return Rydex Inverse Govt Long Russell International Sect Currency & Income Bond Strategy Russell Investment Grade RVS Balanced Rydex Inverse OTC 2x Bond RVS Core Bond Strategy Russell LifePoints Balanced RVS Disciplined International Rydex Inverse S&P 500 2x Strategy Equity Strategy Russell LifePoints RVS Growth Rydex Inverse S&P 500 Conservative Strategy RVS Income Builder Strategy Russell LifePoints Equity Enhanced Income Rydex NASDAQ 100 Growth Strategy RVS Insured TxEx Rydex NASDAQ 100 2x Russell LifePoints Growth RVS Large Cap Equity Strategy Strategy RVS New Dimensions Rydex Nova Russell LifePoints Moderate RVS Partners Aggressive Rydex Sector Rotation Strategy Growth Rydex US Government Russell Money Market RVS Partners Fundamental Money Market Russell Multi Strategy Value Rydex Var Amerigo Alternative RVS Partners International Rydex Var US Govt Money Russell Multi-Asset Growth Select Growth Mkt Strategy RVS Partners Select Value Ryerson Holding Corp Ryland Group Inc
Page 133
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Ryman Hospitality Properties SA PIMCO VCP Tactical Salem Media Group Inc Inc Balanced salesforce.com Inc S & K FAMOUS BRANDS SA Schroders VCP Global Salient MLP & Energy INC Allocation Infrastructure S R TELECOM INC SA T. Rowe Price VCP Salient Select Income S&P 500 Covered Call Fund Balanced Salient Tactical Growth Inc SA Templeton Foreign Value Salisbury Bancorp Inc S&P 500 Protected Equity Fd SA US Core Market Salix Pharmaceuticals Ltd S&P Global Inc SA US Fixed Income SALLY BEAUTY HOLDINGS S&T Bancorp Inc SA US Value INC S&W Seed Co SA VCP Dynamic Allocation Salomon Bros Fund S1 Corp SA VCP Dynamic Strategy SALTON INC SA AB Growth SA Wellington Capital SAMEX MINING CORP SA AB Small & Mid Cap Appreciation Samson Oil & Gas Ltd Value SA Wellington Government SAMSONITE CORP SA Allocation Moderate and Quality Bond SAN JOAQUIN BANCORP Growth SA Wellington Real Return San Juan Basin Royalty Trust SA American Funds Asset SABA SOFTWARE INC SAN PAOLO-IMI SPA Allocation SABINE OIL & GAS CORP Sanchez Computer Assocs SA American Funds VCP Sabine Royalty Trust Inc Managed Allocation Sabra Health Care REIT Inc Sanchez Energy Corp SA BlackRock VCP Global Sabre Corp Sanchez Midstream Partners Multi Asset SABRE HOLDINGS CORP - LP SA DFA Ultra Short Bond CL A Sanderson Farms Inc SA Federated Corporate SAdia SA, Brazil SanDisk Corp Bond SAExploration Holdings, Inc. SandRidge Mississippian SA Global Fixed Income Safe Bulkers Inc Trust I SA International Value SAFECO Core Equity SandRidge Mississippian SA Invesco VCP Equity- Safeco Corp Trust II Income SAFECO Money Market Sands Capital Global Growth SA JPMorgan Equity-Income SAFECO Resource Ser Core SANDS REGENT SA JPMorgan Global Equities Eqty Sandstorm Gold Ltd SA JPMorgan MFS Core Safeguard Scientifics Inc. Sandy Spring Bancorp Inc Bond Safehold Inc Sanford C. Bernstein Fund SA Large Cap Index SAFENET INC CA Muni SA Legg Mason BW Large Safestitch Medical Inc Sanford C. Bernstein Fund Cap Value Safety Insurance Group Inc Diversified Muni SA MFS Blue Chip Growth Safeway Inc Sanford C. Bernstein Fund II SA MFS Mass Investors SAFLINK CORP Intrmd Duration IL Trust Saga Communications Inc. Sanford C. Bernstein Fund SA MFS Total Return Sage Therapeutics Inc International SA Morgan Stanley Sagent Pharmaceuticals Inc Sanford C. Bernstein Fund International Equities Sagent Technology Inc Intrmd Duration SA Multi-Managed Diversified Sahara Media Holdings Inc Sanford C. Bernstein Fund Fixed Income Saia Inc NY Muni SA Multi-Managed SAIFUN Sanford C. Bernstein Fund International Equity SEMICONDUCTORS LTD Tax Managed International SA Multi-Managed Large Cap SailPoint Technologies Sangamo Therapeutics Inc Growth Holdings Inc SANGSTAT MEDICAL SA Multi-Managed Large Cap Saks Inc CORP Value SALARY.COM INC Sanmina Corp
Page 134
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Sanofi SCHICK TECHNOLOGIES Schwab Fundamental U.S. SANTA FE ENERGY TRUST INC Large Company Index ETF Santa Fe Gold Corp Schiff Nutrition International Schwab Fundamental US Santa Lucia Bancorp Inc Large Company Index Santa Monica Media Corp Schlotzskys Inc Schwab Fundamental US Santander Bancorp Schlumberger Ltd Small Company Index Santander Holdings USA Inc Schneider National Inc Schwab Fundamental US Santarus Inc Schneider Value Small Company Index ETF SANUWAVE Health Inc Schnitzer Steel Industries Inc Schwab Global Real Estate SAP SE Scholar Rock Holding Corp Schwab GNMA Sapphire Industrials Corp SCHOLASTIC CORP Schwab Government Cash Sappi Ltd School Specialty Inc. Rsrvs Saratoga Resources Inc Schroder Muni Bond Schwab Government Money Sarepta Therapeutics Inc Schroder North American Schwab Health Care Sasol Ltd Eqty Schwab Hedged Equity SATYAM COMPUTER Schroder US Opportunities Schwab Instl Sel S&P 500 SERVICES LTD SCHULMAN (A.) INC Schwab Intermediate-Term SAUCONY INC -CL B SCHWAB (CHARLES) US Treasury ETF Sauer-Danfoss Inc CORP Schwab International Equity Saul Centers Inc Schwab 1000 Index ETF Savannah Bancorp Inc (The) Schwab Adv Cash Rsrv Schwab International Small- Savara Inc Schwab AMT TxFr Money Cap Equity ETF Save The World Air Inc Schwab CA AMT Tax Free Schwab Intl Core Equity SAVIA SA DE CV Money Schwab Intl Index Savient Pharmaceuticals Inc Schwab CA Muni Money Schwab Investor Money SAVVIS Inc Market Schwab Large Cap Growth Saxon Capital Inc Schwab CA TxFr Bond Schwab MA AMT Tax Free SB Financial Group Inc Schwab CA TxFr YieldPlus Money SB One Bancorp Schwab Cash Reserves Schwab MktTrack All Equity SB Prem Select Large Cap Schwab Core Equity Schwab MktTrack Balanced SB Select Balanced Schwab Dividend Equity Schwab MktTrack SB Small Cap Core Schwab Emerging Markets Conservative SB Small Cap Growth Equity ETF Schwab MktTrack Growth SBA Communications Corp Schwab Fundamental Schwab Money Market SBL Equity Emerging Markets Large Co Schwab Muni Money SBL Equity Income Index Schwab New Jersey SBL Global Equity Schwab Fundamental Municipal Money SBL Large Cap Value Emerging Markets Large Schwab New York Municipal SBL Mid Cap Growth Company Index ETF Money SBL Mid Cap Value Schwab Fundamental Schwab PA Muni Money SBS TECHNOLOGIES INC International Large Company Schwab Premier Equity Scailex Corp Ltd Index Schwab Premier Income SCANA Corp Schwab Fundamental Schwab Retirement Advtg ScanSource Inc International Large Company Money Scb Computer Technology Index ETF Schwab Retirement Inc Schwab Fundamental Government Money SCBF Short Duration Plus International Small Company Schwab S&P 500 Index SCBF Short Duratn Divers Index Schwab Short Bond Market Muni Schwab Fundamental Schwab Short Term Bond SCBF Short Duratn NY Muni International Small Company Index SCHERING-PLOUGH Index ETF
Page 135
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Schwab Short-Term US SCO GROUP INC SeaCube Container Leasing Treasury ETF SCOLR Pharma Inc. Ltd Schwab Small Cap Equity Scope Industries Inc Seadrill Ltd Schwab Small Cap Index Scopus Video Networks Ltd Seadrill Partners LLC Schwab Target 2020 SCOR SA Seafarer Overseas Growth Schwab Target 2025 Scorpio Bulkers Inc and Income Schwab Target 2030 Scorpio Tankers Inc Seagate Technology Plc Schwab Target 2040 SCOTTISH POWER PLC Sealed Air Corp Schwab Tot Stk Mkt Ind SCOTTISH RE GROUP LTD Sealy Corp Schwab Total Bond Market Scotts Miracle-Gro Company Seanergy Maritime Holdings Schwab Treasury Inflation (The) Corp Protected Securities Index Scout Money Market Federal SearchCore Inc Schwab Treasury Obligations Scout Money Market Prime SEARCHLIGHT MINERALS Money Scout Small Cap CORP Schwab TxFr Bond scPharmaceuticals Inc Sears Hometown and Outlet Schwab TxFr YieldPlus Scpie Holdings Inc Stores Inc Schwab U.S. Mid-Cap ETF Scripps Networks Interactive SEARS ROEBUCK & CO Schwab U.S. REIT ETF Inc Seasons Ser Allocation Schwab US Aggregate Bond Scudder Balanced Moderate ETF Scudder Cash Reserve Seasons Ser Strategy Bal Schwab US Aggregate Bond Scudder Development Gro Index Scudder Dynamic Growth Seasons Ser Strategy Consv Schwab US Broad Market Scudder Growth Gr ETF Scudder Intl Equity Instl Seasons Ser Strategy Schwab US Dividend Equity Scudder Large Company Growth ETF Value Seasons Ser Strategy Mod Schwab US Large-Cap ETF Scudder MM Premium Gro Schwab US Large-Cap Scudder Muni Bond Seaspan Corp Growth ETF Scudder NY TxFr Money SeaSpine Holdings Corp Schwab US Large-Cap Value Scudder TaxFree Money Mkt SEATTLE GENETICS INC ETF Scudder US Treas Money SeaWorld Entertainment Inc Schwab US Small-Cap ETF Scudder VS II Growth Second Bancorp Inc Schwab US TIPS ETF Scudder VS II Index 500 Second Sight Medical Schwab US Treasury Money Scudder VS II Tech Growth Products Inc Schwab Value Advantage Scudder Yield Wise Money SECURAC CORP Money Scudder Yield Wise Muni SECURE COMPUTING Schwab Variable Share Price SCYNEXIS Inc CORP Money Sea Containers Ltd. SECURED DIGITAL Schwab Yield Plus Sea Ltd APPLICATIONS Schweitzer-Mauduit Intl Inc Seaboard Corp SECURELOGIC CORP SciClone Pharmaceuticals SEABRIDGE GOLD INC SecureWorks Corp Inc SeaBright Holdings Inc SECURITY BANK CORP SCIELE PHARMA INC SEABULK INTERNATIONAL Security Cap Preservation Science Applications INC Security Capital Assurance International Corp SeaChange International Inc Ltd Scientific Energy Inc Seacoast Banking Corp of SECURITY CAPITAL/DE - Scientific Learning Corp Florida CL A SCIENTIFIC Seacoast Finl Svcs Corp Security Equity TECHNOLOGIES INC SEACOR Holdings Inc Security Federal Corp SCIENTIFIC-ATLANTA INC Seacor Marine Holdings Inc Security National Financial SciQuest Inc Corp
Page 136
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
SEDONA CORP SEI SIIT Long Duration SEI SIT Emerging Markets SEEBEYOND Credit Debt TECHNOLOGY CORP SEI SIIT Multi-Asset Real SEI SIT Emerging Markets Segall Bryant & Hamill Plus Return Equity Bond SEI SIIT Opportunistic SEI SIT International Equity SEGUE SOFTWARE INC Income SEI SIT International Fixed SEI Investments Co SEI SIIT Real Return Plus Income SEI SAAT Aggrsv Strategy SEI SIIT S&P 500 Index SEI SLAT Prime Obligation SEI SAAT Dvrs Glbl Growth SEI SIIT Small Cap MM SEI SAAT Dvrs Moderate SEI SIIT Small Mid Cap Eqty SEI STET Instl TxFr MM Gro SEI SIIT Ultra Short Duration SEI STET Intrmd Muni SEI SAAT Mkt Gro Strategy Bond SEI STET Short Muni SEI SAAT Moderate Strategy SEI SIIT US Managed SEI STET Tax Advantaged SEI SDIT GNMA Volatility Income SEI SDIT Government SEI SIIT World Equity EX US SEI STET TxFr MM SEI SDIT Government II SEI SIIT World Select Equity SEITEL INC SEI SDIT MM SEI SIMT Core Fixed Income Seix High Yield SEI SDIT Prime Obligation SEI SIMT Dynamic Asset Select Bancorp Inc MM Allocation Select Energy Services Inc SEI SDIT Short-Duration SEI SIMT Enhanced Income Select Income REIT Government SEI SIMT Global Managed Select Interior Concepts Inc SEI SDIT Treasury MM Volatility Select Medical Corp SEI SDIT Treasury MM II SEI SIMT High Yield Bond Select Medical Holdings Corp SEI SDIT Ultra Short SEI SIMT Large Cap Selecta Biosciences Inc Duration Bond SEI SIMT Large Cap Selected American Shares SEI SIIT Core Fixed Income Diversified Alpha Portf SEI SIIT Dynamic Asset SEI SIMT Large Cap Growth SELECTICA INC Allocation SEI SIMT Large Cap Value Selective Insurance Group SEI SIIT Emerging Markets SEI SIMT Multi Asset Inc Debt Accumulation Seligman Capital SEI SIIT Emerging Markets SEI SIMT Multi Asset Capital Seligman Cash Mgmt - Prime Equity Stability Seligman Common Stock SEI SIIT Extended Duration SEI SIMT Multi Asset Income Seligman Growth SEI SIIT Extended Market SEI SIMT Multi Asset Seligman High Yield Index Inflation Managed Seligman National Municipal SEI SIIT Global Managed SEI SIMT Multi Strategy Seligman Var Smaller Cap Volatility Alternative Value SEI SIIT High Yield Bond SEI SIMT S&P 500 Index SEMCO ENERGY INC SEI SIIT Intermediate SEI SIMT Small Cap SemGroup Corp Duration Credit SEI SIMT Small Cap Growth SemiLEDs Corp SEI SIIT International Equity SEI SIMT Small Cap Value Seminis Inc SEI SIIT Large Cap SEI SIMT Tax Managed SEMITOOL INC SEI SIIT Large Cap Large Cap Semper MBS Total Return Disciplined Equity SEI SIMT Tax Managed Sempra Energy SEI SIIT Large Cap Managed Volatility Semtech Corp Diversified Alpha SEI SIMT Tax Managed Sen Yu International SEI SIIT Large Cap Index Small/Mid Cap Holdings Inc SEI SIIT Limited Duration SEI SIMT US Fixed Income SendGrid Inc Bond SEI SIMT US Managed Seneca Foods Corp. SEI SIIT Long Duration Volatility SENESCO TECHNOLOGIES INC
Page 137
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
SenesTech Inc Shamir Optical Industry Ltd Shutterfly Inc Senetek Plc -Adr Shanda Games Ltd Shutterstock Inc Senior Housing Properties Shanda Interactive SI Financial Group Inc Trust Entertainment Ltd SI International Inc SENOMYX INC ShangPharma Corp Sibanye-Stillwater Limited SenoRx Inc Sharps Compliance Corp SI-BONE Inc Sensata Technologies SharpSpring Inc Sicor Inc Holding Plc Shaw Communications Inc. SIEBEL SYSTEMS INC Senseonics Holdings Inc Shaw Group Inc. (The) Siebert Financial Corp. Sensient Technologies Corp SHEFFIELD Siemens AG Sensus Healthcare Inc PHARMACEUTICALS Sienna Biopharmaceuticals Sensytech Inc Shelbourne Pptys I Inc Inc SENTIGEN HOLDING CORP Shelbourne Pptys Ii Inc Sientra Inc Sentinel Balanced Shelbourne Pptys Iii Inc Sierra Bancorp Sentinel Government Sec Shell Midstream Partners LP SIERRA HEALTH Sentinel Low Duration Bond SHELL TRANSPORT AND SERVICES Sentinel Total Return Bond TRADING Sierra Metals Inc Sentry Petroleum Ltd Shelton NASDAQ 100 Index Sierra Oncology Inc Sepracor Inc. Shenandoah Sierra Tactical All Asset SEQUA CORP -CL A Telecommunications Co Sierra Tactical Core Income Sequans Communications Shengkai Innovations Inc Sierra Wireless Inc SA Shengtai Pharmaceutical Inc SIFCO Industries Inc. Sequenom Inc Shenkman Capital Short Sify Technologies Ltd Sequential Brands Group Inc Duration High Income SIGA TECHNOLOGIES INC Sequoia Shep Technologies Inc Sigma Designs Inc SeraCare Life Sciences Inc Sherwin-Williams Co (The) Sigma-Aldrich Corp SERENA SOFTWARE INC Shiloh Industries Inc SigmaTel Inc Seres Therapeutics Inc Shiner International Inc SIGMATRON Seritage Growth Properties Shinhan Financial Group Co INTERNATIONAL INC SEROLOGICALS CORP Ltd SIGNALIFE INC SERVICE 1ST BANCORP Ship Finance International Signet Jewelers Ltd SERVICE BANCORP INC LTD Silent Witness Enterprises Service Corp International Shire PLC SILGAN HOLDINGS INC SERVICEMASTER CO Shoe Carnival Inc Silicom Ltd ServiceSource International SHOE PAVILION INC Silicon Graphics International Inc SHOPKO STORES INC Corp ServisFirst Bancshares Inc SHOPPING.COM LTD Silicon Image Inc Servotronics Inc. Shore Bancshares Inc Silicon Laboratories Inc SES Solar Inc SHORE FINANCIAL CORP Silicon Motion Technology Sesen Bio Inc ShoreTel Inc Corp Seven Arts Pictures PLC Short Duration Silicon Storage Technology Severn Bancorp Inc Short Term Bond Fund of Inc SFN Group Inc America Siliconix Inc SFSB INC Short Term Income MM Siliconware Precision SFT Index 500 Short Term Income US Govt Industries Co Ltd SFT Ivy Growth Short Term TxEx Bond Sillenger Exploration Corp SFX Entertainment Inc ShotSpotter Inc Silver Bay Realty Trust Corp SGL CARBON GROUP SHUMATE INDUSTRIES Silver Bull Resources, Inc SGX PHARMACEUTICALS INC SILVER DRAGON INC SHURGARD STORAGE RESOURCES INC Shake Shack Inc CTRS -CL A Silver Falcon Mining Inc
Page 138
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Silver Spring Networks Inc SiRF Technology Holdings Small Cap Premium & SILVER STAR ENERGY INC Inc Dividend Income Fund Inc Silver State Bancorp SIRICOMM INC SMALL CAP World Fund Inc SILVERADO GOLD MINES Sirius International Insurance SMALL WORLD KIDS INC LTD Group Ltd SMART & FINAL INC SilverBow Resources Inc Sirius XM Holdings Inc SMART ENERGY Silvercorp Metals Inc SIRNA THERAPEUTICS INC SOLUTIONS INC Silvercrest Asset Sirona Dental Systems Inc SMART Global Holdings Inc Management Group Inc Sirtris Pharmaceuticals Inc SMART Modular SilverCrest Metals Inc SIRVA Inc. Technologies (WWH) Inc Silverleaf Resorts Inc SIT Dividend Growth SMART MOVE INC Silverstar Holdings Ltd SIT Large Cap Growth Smart Sand Inc Simcere Pharmaceutical SIT MN TxFr Income SMART Technologies Inc Group SIT TxFr Income SmartPros Ltd Simclar Inc SIT US Government Sec Smartsheet Inc Simmons First National Corp Site Centers Corp SMARTVIDEO Simon Property Group Inc. SITEL CORP TECHNOLOGIES INC Simplicity Bancorp Inc SiteOne Landscape Supply Smead Value Simply Good Foods Co (The) Inc SMF ENERGY CORP Simpson Manufacturing Co. SITO Mobile Ltd Smith & Nephew PLC Inc. Six Flags Entertainment Corp SMITH & WOLLENSKY Sims Metal Management Ltd SIZELER PROPERTY RSTRNT GRP Simtek Corp INVESTORS Smith Barney Money - Simula Inc Sizmek Inc Retirmnt SIMULATIONS PLUS INC SJW Group Smith International Inc. Sina Corp SK Telecom Co Ltd Smith Micro Software Inc Sinclair Broadcast Group Inc Skechers U.S.A. Inc Smithfield Foods Inc. Singing Machine Co Inc SKF AB Smithtown Bancorp Inc Sino Agro Food Inc Skibo Financial Corp SMITHWAY MTR XPRESS - Sino Assurance Inc SkillSoft Plc CL A Sino Clean Energy Inc Skins Inc SMTC Corp Sino Gas International Skullcandy Inc Smurfit-Stone Container Corp Holdings Inc SKY FINANCIAL GROUP SNAP INC Sino Shipping Holdings Inc INC Snap-On Inc Sino United Worldwide SKYEPHARMA PLC SNB BANCSHARES INC/TX Consolidated Ltd Skyline Champion Corp Snow Capital Opportunity SINO-American Development Sky-mobi Ltd Snyder's-Lance Inc Corp SkyPeople Fruit Juice Inc Soapstone Networks Inc SinoCoking Coal and Coke Skystar Bio-Pharmaceutical Social Capital Hedosophia Chemical Industries Inc Co Holdings Corp Sinoenergy Corporation Skyterra Communications Inc Socialwise Inc SINOFRESH HEALTHCARE SKYWEST INC SOCKET INC Skyworks Solutions Inc COMMUNICATIONS INC SinoHub Inc SL Green Realty Corp. SodaStream International Ltd SinoTech Energy Ltd SL Industries Inc. SODEXHO ALLIANCE SA Sinovac Biotech Ltd SLADE'S FERRY BANCORP Softbrands Inc SIONIX CORP Sleep Number Corporation SOFTNET TECHNOLOGY SIPEX CORP Slippery Rock Financial Corp CORP SIRENZA MICRODEVICES SLM Corp Sogou Inc INC SM Energy Co Sohu.com Ltd SM&A SOLA INTERNATIONAL INC
Page 139
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Solar Capital Ltd SOUND FEDERAL SOUTHWEST Solar Enertech Corp BANCORP BANCORPORATION/TX SOLAR THIN FILMS INC Sound Financial Bancorp Inc SOUTHWEST CMNTY SolarCity Corp Sound Mind Investing BANCORP SolarEdge Technologies Inc Sound Shore Southwest Gas Holdings Inc Solaris Oilfield Infrastructure SoundBite Communications Southwest Georgia Financial Inc Inc Corp SolarWindow Technologies Soundview Technology Grp Southwest Water Co Inc Inc Southwestern Energy Co SOLECTRON CORP Source Capital Inc. SP Acquisition Holdings Inc Solera Holdings Inc SOURCECORP INC SP Balance Asset Alloc SOLEXA INC Sourcefire Inc SP Consrv Asset Alloc Solid Biosciences Inc South Financial Group Inc SP Davis Value Port Soligenix Inc (The) SP Growth Asset Alloc Solitario Exploration & South Jersey Industries Inc. SP Intl Growth Royalty Corp South State Corp SP Intl Value SOLOMON SOUTH STREET SP Large Cap Value TECHNOLOGIES INC FINANCIAL CORP SP Pimco High Yield Solta Medical Inc South Texas Oil Co SP Pimco Total Return Solutia Inc. Southcoast Financial Corp SP Plus Corp Somanetics Corp Southcrest Fianacial Group SP Small Cap Value Somaxon Pharmaceuticals Inc SPACEDEV INC Inc Southeastern Bank Financial Span-America Medical SOMERA Corp Systems Inc COMMUNICATIONS INC SOUTHEASTERN BANKING Spanish Broadcasting Somerset Hills Bancorp CORP System Inc SONA MOBILE HOLDINGS Southern Co (The) Spansion Inc CORP Southern Co Gas SPAR GROUP INC Sonesta International Hotels Southern Community SPARE BACKUP INC Corp Bancshars Inc Spark Energy Inc Sonic Automotive Inc. Southern Community Spark Networks SE Sonic Corp Financial Corp Spark Therapeutics Inc Sonic Foundry Inc Southern Copper Corp Sparks Networks Inc Sonic Innovations Inc Southern Financial Bancorp Spartan Energy Acquisition SONIC SOLUTIONS Southern First Bankshares Corp SonicWALL Inc Inc Spartan Motors Inc Sonnen Corp Southern Michigan Bancorp SpartanNash Co Sonoco Products Co Inc Spartech Corp SONOMA VALLEY Southern Missouri Bancorp SPARTON CORP BANCORP Inc SPATIALIGHT INC Sonoma West Holdings Inc Southern National Bancorp of SPDR Blackstone/ GSO Sonos Inc Virginia Inc Senior Loan ETF SonoSite Inc Southern Star Energy Inc SPDR Bloomberg Barclays 1- SONO-TEK CORP Southern Union Co 3 Month T-Bill ETF Sonterra Resources Inc Southside Bancshares Inc SPDR Bloomberg Barclays SONUS Southtrust Corp Convertible Securities ETF PHARMACEUTICALS INC SouthTrust US Treasury MM SPDR Bloomberg Barclays SONY CORP SouthTrust Value Emerging Markets Local Sorrento Therapeutics Inc Southwall Technologies Inc Bond ETF SOTHEBY'S Southwest Airlines Co. SPDR Bloomberg Barclays Sotherly Hotels Inc Southwest Bancorp Inc High Yield Bond ETF
Page 140
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
SPDR Bloomberg Barclays SPDR Portfolio Large Cap SPDR Series Trust - SPDR Intermediate Term Treasury ETF Portfolio Short Term ETF SPDR Portfolio Long Term Corporate Bond ETF SPDR Bloomberg Barclays Treasury ETF SPDR Series Trust S&P Oil & International Treasury Bond SPDR Portfolio Mid Cap ETF Gas Equipment & Services ETF SPDR Portfolio S&P 500 ETF SPDR Bloomberg Barclays High Dividend ETF SPDR Series Trust S&P Investment Grade Floating SPDR Portfolio Small Cap Pharmaceuticals ETF Rate ETF ETF SPDR Series Trust S&P SPDR Bloomberg Barclays SPDR Portfolio Total Stock Retail ETF Short Term High Yield Bond Market ETF SPDR Wells Fargo Preferred ETF SPDR Russell 1000 Stock ETF SPDR Bloomberg Barclays Momentum Focus ETF SPDRSeries Trust S&P Oil & TIPS ETF SPDR S&P 400 Mid Cap Gas Exploration & Production SPDR Citi International Growth ETF ETF Government Inflation- SPDR S&P 400 Mid Cap SPEAKING ROSES INTL Protected Bond ETF Value ETF INC SPDR Dow Jones Global SPDR S&P 500 ETF Trust Special Opportunities Fund Real Estate ETF SPDR S&P 500 Growth ETF Inc SPDR Dow Jones Industrial SPDR S&P 600 Small Cap Specialized Health Products Average ETF Trust ETF International SPDR Dow Jones SPDR S&P 600 Small Cap SPECIALTY International Real Estate ETF Growth ETF LABORATORIES INC SPDR Dow Jones REIT ETF SPDR S&P 600 Small Cap Specialty Underwriters SPDR EURO STOXX 50 ETF Value ETF Alliance Inc SPDR Gold Trust SPDR S&P Aerospace & Spectra Energy Corp SPDR Index Shares Funds Defense ETF Spectra Energy Partners LP S&P China ETF SPDR S&P Bank ETF Spectral Capital Corp SPDR Index Shares Funds SPDR S&P Biotech ETF SPECTRALINK CORP S&P Emerging Asia Pacific SPDR S&P BRIC 40 ETF Spectranetics Corp(The) ETF SPDR S&P Dividend ETF SPECTRASCIENCE Inc SPDR MidCap 400 ETF Trust SPDR S&P Emerging SPECTRASITE INC SPDR MSCI ACWI ex-US Markets Small Cap ETF SPECTRE GAMING INC ETF SPDR S&P Global Natural Spectrum Brands Holdings SPDR Nuveen Bloomberg Resources ETF Inc Barclays Municipal Bond ETF SPDR S&P Homebuilders Spectrum Control Inc SPDR Nuveen Bloomberg ETF Spectrum Group International Barclays Short Term SPDR S&P Insurance ETF Inc Municipal Bond ETF SPDR S&P International SPECTRUM ORGANIC SPDR Nuveen S&P High Dividend ETF PRODUCTS Yield Municipal Bond ETF SPDR S&P International Spectrum Pharmaceuticals SPDR NYSE Technology Small Cap ETF Inc ETF SPDR S&P Metals & Mining SPECTRUM SIGNAL SPDR Portfolio Aggregate ETF PROCESSING Bond ETF SPDR S&P North American Speechworks Intl Inc SPDR Portfolio Developed Natural Resources ETF Speed Commerce Inc World ex-US ETF SPDR S&P Regional Banking SPEEDUS CORP SPDR Portfolio Emerging ETF Speedway Motorsports Inc Markets ETF SPDR Series Trust - SPDR SPERO THERAPEUTICS SPDR Portfolio Intermediate Portfolio S&P 500 Value ETF INC Term Corporate Bond ETF Sphere 3D Corp
Page 141
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
SPHERIX INC SPSS Inc STANDARD SPI Energy Co Ltd SPX Corp MICROSYSTEMS CORP Spiegel Inc SPX FLOW Inc Standard Mobile Inc SPINDLETOP OIL & GAS Square 1 Financial Inc Standard Motor Products Inc. CO Square Inc Standard Register Co (The) Spine Pain Management Inc SRA International Inc. Standex International Corp SPINNAKER EXPLORATION Src energy inc Standish Mellon Intl Fxd Inc CO SRI/SURGICAL EXPRESS Stanley Black & Decker Inc SPIRE CORP INC Stanley Furniture Co Inc Spire Inc SRS Labs Inc STANLEY INC Spirit Aerosystems Holdings SS&C Technologies Holdings Stantec Inc Inc Inc Staples Inc. Spirit Airlines Inc SSA GLOBAL STAR BUFFET INC Spirit MTA REIT TECHNOLOGIES Star Bulk Carriers Corp Spirit of America Real Estate SSgA Active ETF Trust - Star Energy Corp Inc & Gro SPDR DoubleLine Total Star Gold Corp Spirit of Texas Bancshares Return Tactical ET Star Group LP Inc SSgA Bond Market Star Resorts Development Spirit Realty Capital Inc SSgA Core Opportunity Inc Splunk Inc SSgA Disciplined Equity STARBUCKS CORP Spok Holdings Inc SSgA Intl Stock Selection STARCRAFT CORP Sport Chalet Inc SSgA Money Market Starent Networks Corp Sport Supply Group Inc SSgA Prime Money Market Starfield Resources Inc SPORTS AUTHORITY INC SSgA Small Cap Stargold Mines Inc SPORTS CLUB CO INC SSgA TxFr Money Market Starlims Technologies Ltd Sports Properties Acquisition SSgA US Government Stars Group Inc Corp Money Market STARTECH SPORTS RESORTS INTL SSgA US Treasury Money ENVIRONMENTAL CORP INC Market Starwood Hotels & Resorts Sportsline.Com Inc SSgA Yield Plus Worldwide Inc. SPORTSMANS GUIDE INC Ssp Solutions Inc Starwood Property Trust Inc Sportsmans Warehouse SSR Mining Inc Starz Holdings Inc St Francis Cap Corp State Auto Financial Corp Spotify Technology S.A ST JOSEPH CAPITAL CORP State Bancorp Inc. Sprague Resources LP St Paul Cos State Bank Financial Corp Spreadtrum Communications St. Joe Co (The) State Farm Balanced Inc St. Jude Medical Inc. State Farm Bond Spring Bank Pharmaceuticals STAAR Surgical Company State Farm Equity Inc Stadion Managed State Farm Growth Sprint Corp STAG Industrial Inc State Farm Interim Sprint Pcs Group Stage Stores Inc State Farm Intl Index Sprott Physical Gold & Silver Stallion Group (The) State Farm LifePath 2010 Trust Stamford Industrial Group Inc State Farm LifePath 2020 Sprott Physical Gold Trust Stamps.com Inc State Farm LifePath 2030 Sprott Physical Platinum and Stancorp Financial Group State Farm LifePath 2040 Palladium Trust Inc. State Farm LifePath Sprott Physical Silver Trust STANDARD COMMERCIAL Retirement Sprott Resource Lending CORP State Farm Money Market Corp Standard Financial Corp State Farm Municipal Bond SPS Commerce Inc STANDARD MANAGEMENT State Farm S&P 500 Index Sps Technologies Inc CORP State Farm Small Cap Index
Page 142
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
State Farm Tax Advntg Bond State Street Target Sterling Capital Mid Value State Farm VPT Intl Equity Retirement 2030 Sterling Capital Special Idx State Street Target Opportunities State Farm VPT Lg Cap Eqty Retirement 2035 Sterling Capital Stratton Idx State Street Target Small Cap Value State Farm VPT Sml Cap Eq Retirement 2040 Sterling Capital Total Return Idx State Street Total Return Bond STATE FINL SVCS CORP - V.I.S. Sterling Chemicals Inc CL A State Street Treasury Sterling Construction Co Inc STATE NATIONAL Obligations Money Market STERLING FINANCIAL BANCSHARS INC Staten Island Bancorp Inc CORP State National Companies STATION CASINOS INC Sterling Financial Corp/WA Inc STATS CHIPPAC LTD Sterling Mining Co State St Rsrch Govt Income STATSURE DIAGNOSTIC Steven Madden Ltd State St Rsrch High Income SYSTEMS Stewardship Financial Corp State St Rsrch Invstmnt Tr SteadyMed Ltd STEWART & STEVENSON State St Rsrch Mid Cap STEALTH MEDIALABS INC SERVICES Growth StealthGas Inc Stewart Enterprises Inc State St Rsrch Money Mkt STEC Inc Stewart Information Services State Street Corp Steel Dynamics Inc Corp State Street Disciplined Steel Excel Inc STG Group, Inc. Emerging Markets Steel Partners Holdings LP STI Classic Balanced State Street Emerging STEEL TECHNOLOGIES STI Classic IL Super Sht Inc+ Markets Equity Index INC STI Classic Large Cap Quant State Street Equity 500 Index Steelcase Inc. Eqty State Street Hedged STEELCLOUD INC STI Classic Ltd Fed Mrtg International Developed Stein Mart Inc STI Classic Mid Cap Core Equity Index STEINER LEISURE LTD Eqty State Street Institutional Steinway Musical STI Classic Strtgc Income International Eqty Instruments Inc. STI Classic Tax Sens Growth State Street Institutional Stellar Acquisition III Inc Stifel Financial Corp. Liquid Reserves Stellar Biotechnologies Inc Stillwater Mining Co State Street Institutional STELLAR Stitch Fix Inc Small Cap Equity PHARMACEUTICALS INC STMicroelectronics NV State Street Institutional StellarOne Corp Stock Yards Bancorp Inc Strategic Investment STELLENT INC STOCKERYALE INC State Street Institutional Stelmar Shipping Ltd Stockhouse Inc Treasury MMF Stemline Therapeutics Inc Stock-Trak Group Inc State Street Institutional Stereotaxis Inc STOLT OFFSHORE SA Treasury Plus MMF Stericycle Inc STOLT-NIELSEN SA State Street Institutional US STERIS plc Stone Energy Corp Equity Sterling Bancorp Stone Harbor Emerging State Street Institutional US Sterling Bancorp Inc Markets Debt Government MMF Sterling Bancshares Inc Stone Harbor Emerging State Street Instl Tax Free Sterling Banks Inc Markets Income Fund Money Market Sterling Cap Prime Money Stone Harbor High Yield State Street S&P 500 Index Market Bond State Street Target Sterling Cap US Treasury Stone Harbor Local Markets Retirement 2020 Money Markent Fund Stone Tan China Acquisition State Street Target Sterling Capital Equity Corp Retirement 2025 Income Stonegate Mortgage Corp
Page 143
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Stoneleigh Partners Strategic Ptnr Bond Summit Hotel Properties Inc Acquisition Corp Strategic Ptnr Capital Growth Summit Materials Inc StoneMor Partners LP Strategic Ptnr Concentrated Summit Midstream Partners STONEPATH GROUP INC Growth LP Stoneridge Inc. Strategic Ptnr Intl Growth Summit Pinnacle S&P 500 STORA ENSO OYJ Strategic Ptnr Total Return Index Storage Computer Corp Bond Summit Properties Inc STORAGE TECHNOLOGY STRATEGY INTL INSUR SumTotal Systems Inc. CP GRP INC Sun American Bancorp STORE Capital Corp STRATEX NETWORKS INC Sun Bancorp STR Holdings Inc Stratos International Inc Sun Bancorp Inc Straight Path Stratos Renewables Corp Sun Capital Davis Venture Communications Inc Strattec Security Corp Val STRATA OIL & GAS INC Stratus Media Group Inc Sun Capital Invest Grd Bond STRATAGENE CORP Stratus Properties Inc Sun Capital Lord Abbett Stratasys Ltd Stream Global Services Inc Growth & Income Strategic Advisers Core Streamline Health Solutions Sun Capital PIMCO Total Strategic Advisers Core STRIDE RITE CORP Return Income Strong Adv Bond Sun Capital Real Estate Strategic Advisers Emerging Strong Adv Municipal Bond Sun Communities Inc. Markets Strong Blue Chip Sun Healthcare Group Inc Strategic Advisers Fidelity Strong Growth 20 Sun Hydraulics Corp Core Income Strong Money Market Sun Life Financial Inc Strategic Advisers Fidelity Strong Multi Cap Value SUN MICROSYSTEMS INC Emerging Markets Strong TxFr Money Sun River Energy Inc Strategic Advisers Fidelity Strongbridge Biopharma PLC Sunair Services Corp International Student Loan Corp (The) SunAmerica 2010 Hi Strategic Advisers Fidelity US Studio City International Watermark Total Stock Holdings Ltd SunAmerica Alternative Strategic Advisers Growth STUDIO ONE MEDIA INC Strategies Strategic Advisers Income STURGIS BANCORP INC SunAmerica Balanced Assets Opportunities Sturm Ruger & Co Inc. SunAmerica Core Bond Strategic Advisers Suburban Propane Partners SunAmerica Focus Bal Strtgy International LP SunAmerica Focus Eqty Strategic Advisers Short Sucampo Pharmaceuticals Strtgy Duration Inc SunAmerica Focus Gro & Inc Strategic Advisers Small Mid SuccessFactors Inc SunAmerica Focus Growth Cap SUEZ SunAmerica Focus Intl Equity Strategic Advisers Tax- Suffolk Bancorp SunAmerica Focus Lg Cap Sensitive Short Duration SULPHCO INC Growth Strategic Advisers US Sumitomo Mitsui Financial SunAmerica Focus Lg Cap Opportunity Group Inc Value Strategic Advisers US SUMMA INDUSTRIES SunAmerica Focus Mlt Ass Opportunity II Summer Infant Inc Strt Strategic Advisers Value Summit America Televison SunAmerica Focus Small STRATEGIC DISTRIBUTION Inc Cap Growth INC SUMMIT BANCSHARES SunAmerica Focus Small Strategic Education Inc INC/TX Cap Value Strategic Global Income Fd SUMMIT BANK CORP/GA SunAmerica Focus Value Strategic Hotels & Resorts Summit Financial Group Inc SunAmerica Focused Alpha Inc SUMMIT FINL CORP Growth Fund Inc
Page 144
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
SunAmerica Focused Alpha Sunrun Inc Sutro Biopharma Inc Lg-Cp Fd SUNSET FINANCIAL RES Sutron Corp SunAmerica GNMA Sec INC SUTURA INC SunAmerica Growth & Sunshine Bancorp Inc Suzano SA Income Sunshine Heart Inc SVB Financial Group SunAmerica High Yield Bond Sunstone Hotel Investors Inc SVB FINANCIAL SERVICES SunAmerica Senior Floating SUNTERRA CORP INC Rate SUN-TIMES MEDIA GROUP Svmk Inc SunAmerica Ser Balanced INC Svt Inc SunAmerica Ser Emerging SUNTRON CORP Swan Defined Risk Market SunTrust Banks Inc. Swank Inc SunAmerica Ser FED Amer SunVesta Inc Swedish Match Ab Leader Sunwin International SWIFT TRANSPORTATION SunAmerica Ser Global Bond Neutraceuticals Inc CO INC SunAmerica Ser High Yield Super Micro Computer Inc Swisher Hygiene Inc Bond SuperCom Ltd Swiss Helvetia Fund Inc SunAmerica Ser Intl Grow & Superconductor (The) Inc Technologies Inc SWISSCOM AG SunAmerica Ser MFS Mid Superior Bancorp Switch & Data Facilities Co Cap Gro Superior Consultant Hldgs Inc SunAmerica Ser PUT Gro Cp Switch Inc Voyager Superior Drilling Products Inc Switchboard Inc SunAmerica Ser Real Estate Superior Energy Services SWK Holdings Corp SunAmerica Ser Small Co Inc. SWS Group Inc. Value Superior Essex Inc Sybase Inc. SunAmerica Strategic Bond Superior Financial Corp De SYBRON DENTAL SunAmerica US Govt Sec Superior Group of Cos Inc SPECIALTIES SunCoke Energy Inc Superior Industries SYCAMORE NETWORKS SunCoke Energy Partners LP International Inc. INC SUNCOM WIRELESS SUPERIOR WELL Sydys Corp HOLDINGS INC SERVICES INC SYKES ENTERPRISES INC Suncor Energy Inc. Superlattice Power Inc Sylvan Inc SunEdison Semiconductor SuperMedia Inc SYMANTEC CORP Ltd Supernus Pharmaceuticals SYMBION INC Sunesis Pharmaceuticals Inc Inc SYMBOL TECHNOLOGIES SUNGARD DATA SYSTEMS Supertex Inc Symetra Financial Corp INC SUPERVALU INC. Symmetricom Inc. Sungy Mobile Ltd Support.com Inc Symmetry Medical Inc SunLink Health Systems Inc. Supreme Industries Inc. Symmetry Surgical Inc Sunoco Inc. SureWest Communications SYMYX TECHNOLOGIES Sunoco LP Surface Oncology Inc INC Sunovia Energy SURFECT HOLDINGS INC Synacor Inc Technologies Inc Surgery Partners Inc Synageva BioPharma Corp SunPower Corp Surgical Care Affiliates Inc SYNAGRO SUNRISE ENERGY SurModics Inc TECHNOLOGIES INC SERVICES INC Surna Inc Synalloy Corp Sunrise Real Estate Group SURREY BANCORP Synchronoss Technologies Inc Susquehanna Bancshares Inc SUNRISE SENIOR LIVING Inc Synchrony Financial INC Susser Holdings Corp Syndax Pharmaceuticals Inc SUNRISE TELECOM INC Sutor Technology Group Ltd Syneos Health Inc
Page 145
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Synergetics USA Inc T Rowe Price Dividend T Rowe Price Institutional Synergy CHC Corp Growth Large Cap Growth Synergy Financial Group Inc T Rowe Price Dynamic T Rowe Price Institutional Syneron Medical Ltd Global Bond Large Cap Value Syngenta AG, Basel T Rowe Price Emerging T Rowe Price Institutional Syniverse Holdings Inc Europe Mid Cap Equity Growth Synlogic Inc T Rowe Price Emerging T Rowe Price Institutional SYNNEX Corp Market Bond Small Cap Stock Synopsys Inc T Rowe Price Emerging T Rowe Price Institutional US Synova Healthcare Group Inc Market Stock Structured Research Synovics Pharmaceuticals T Rowe Price Emerging T Rowe Price International Inc Markets Local Currency Bond Bond Synovis Life Technologies T Rowe Price Equity Income T Rowe Price International Inc T Rowe Price Equity Index Bond (USD Hedged) Synovus Financial Corp. 500 T Rowe Price International Synplicity Inc T Rowe Price European Discovery Syntax-Brillian Corp Stock T Rowe Price International Syntel Inc T Rowe Price Extended Equity Index Synthesis Energy Systems Equity Market Index T Rowe Price International Inc T Rowe Price Financial Stock Synthetic Biologics Inc Services T Rowe Price International Synthorx Inc T Rowe Price Floating Rate Value Equity Syntroleum Corp T Rowe Price Global T Rowe Price Japan Synutra International Inc Allocation T Rowe Price Latin America Sypris Solutions Inc T Rowe Price Global Multi- T Rowe Price Limited Syros Pharmaceuticals Inc Sector Bond Duration Inflation Focused SYS T Rowe Price Global Stock Bond SYSCO CORP T Rowe Price Global T Rowe Price Maryland Tax Sysorex Global Holding Corp Technology Free Bond Systemax Inc. T Rowe Price GNMA T Rowe Price MD Tax Free Systems & Computer Tech T Rowe Price Government Short Bond Corp Money T Rowe Price Mid Cap SYSWIN Inc T Rowe Price Growth & Growth Syzygy Entertainment Ltd Income T Rowe Price Mid Cap Value T 3 Energy Services Inc T Rowe Price Growth Stock T Rowe Price New America T Rowe Price Balanced T Rowe Price Health Growth T Rowe Price Blue Chip Sciences T Rowe Price New Asia Growth T Rowe Price High Yield T Rowe Price New Era T Rowe Price CA TxFr Bond T Rowe Price Inflation T Rowe Price New Horizons T Rowe Price Capital Protected Bond T Rowe Price New Income Appreciation T Rowe Price Institutional T Rowe Price New Jersey T Rowe Price Capital Core Plus Tax Free Bond Opportunity T Rowe Price Institutional T Rowe Price New York Tax T Rowe Price Cash Reserves Emerging Markets Equity Free Bond T Rowe Price T Rowe Price Institutional T Rowe Price Overseas Communications & Floating Rate Stock Technology T Rowe Price Institutional T Rowe Price Personal T Rowe Price Corporate High Yield Strategy Balanced Income T Rowe Price Institutional T Rowe Price Personal T Rowe Price Diversified Mid Large Cap Core Growth Strategy Growth Cap Growth
Page 146
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
T Rowe Price Personal T Rowe Price Retirement I T. Rowe Price Intl Stock Strategy Income 2055 T. Rowe Price Mid-Cap T Rowe Price QM US Small- T Rowe Price Science & Growth Cap Growth Equity Technology T2 Biosystems Inc T Rowe Price Real Assets T Rowe Price Short Term T3 Motion Inc T Rowe Price Real Estate Bond TA Idex Janus Growth T Rowe Price Retirement T Rowe Price Small Cap TA Idex Salomon Investors 2005 Stock Val T Rowe Price Retirement T Rowe Price Small Cap TA Idex Van Kampen Small 2010 Value Company Gro T Rowe Price Retirement T Rowe Price Spectrum Tableau Software Inc 2015 Growth Tabula Rasa HealthCare Inc T Rowe Price Retirement T Rowe Price Spectrum Tactile Systems Technology 2020 Income Inc T Rowe Price Retirement T Rowe Price Spectrum TAG ENTERTAINMENT 2025 International CORP T Rowe Price Retirement T Rowe Price Summit Muni TAG OIL LTD 2030 Income TAG-IT PACIFIC INC T Rowe Price Retirement T Rowe Price Summit Muni Tahoe Resources Inc 2035 Intermediate Tailored Brands Inc T Rowe Price Retirement T Rowe Price Tax Exempt Taiwan Fund Inc. (The) 2040 Money Market Taiwan Semiconductor T Rowe Price Retirement T Rowe Price Tax Free High Manufacturing Co Ltd 2045 Yield Takeda Pharmaceutical Co T Rowe Price Retirement T Rowe Price Tax Free Ltd 2050 Income Take-Two Interactive T Rowe Price Retirement T Rowe Price Tax Free Short Software Inc 2055 Intermediate TAL Education Group T Rowe Price Retirement T Rowe Price Total Equity TAL International Group Inc 2060 Market Index Talbots Inc. (The) T Rowe Price Retirement T Rowe Price U.S. Bond Talecris Biotherapeutics Balanced Enhanced Index Holdings Corp T Rowe Price Retirement I T Rowe Price U.S. Large Cap Talen Energy Corp 2010 Core Talend SA T Rowe Price Retirement I T Rowe Price U.S. Treasury Taleo Corp 2015 Long Talisman Energy Inc. T Rowe Price Retirement I T Rowe Price Ultra Short TALK AMERICA HOLDINGS 2020 Term Bond INC T Rowe Price Retirement I T Rowe Price US Treasury TALKPOINT 2025 Intermediate COMMUNICATIONS INC T Rowe Price Retirement I T Rowe Price US Treasury Tallgrass Energy GP LP 2030 Money Tallgrass Energy Partners LP T Rowe Price Retirement I T Rowe Price Value Talmer Bancorp Inc 2035 T Rowe Price Virginia Tax Talos Energy Inc T Rowe Price Retirement I Free Bond TALX CORP 2040 T. Rowe Price Blue Chip TAM SA T Rowe Price Retirement I Growth Tamalpais Bancorp 2045 T. Rowe Price Equity Income Tamarack Enterprise T Rowe Price Retirement I T. Rowe Price Group Inc Tamarack Instl Prime MM 2050 T. Rowe Price Health Tamarack Instl TxFr MMkt Science Tamarack Micro Cap Value
Page 147
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Tamarack Value Tax Free Trust Of Arizona Teavana Holdings Inc Taminco Corp TaxFree Money Market Tech Data Corp Tamm Oil and Gas Corp TAYLOR CALVIN B Tech/Ops Sevcon Inc. Tandem Diabetes Care Inc BANKSHARES TECHE HOLDING CO TANDY BRANDS Taylor Capital Group Inc Technicolor ACCESSORIES INC Taylor Morrison Home Corp TechnipFMC plc Tandy Leather Factory Inc TB WOOD'S CORP TECHNOCONCEPTS INC Tanger Factory Outlet TBC CORP Technology Research Corp Centers Inc. TBS International Plc Technology Select Sector Tangoe Inc TC PipeLines LP SPDR Fund (The) TANOX INC TCF Financial Corp TECHNOLOGY SOLUTIONS Tapestry Inc TCG BDC Inc CO TAPESTRY TCM Small Cap Growth TechPrecision Corp PHARMACEUTICALS INC TCP International Holdings TechTarget Inc TARA GOLD RESOURCES Ltd TechTeam Global Inc CORP Tcw Conv Sec Fund Techwell Inc TARANTELLA INC TCW Core Fixed Income Teck Resources Ltd Targa Resources Corp TCW Emerging Markets Tecnoglass Inc Targa Resources Partners Income TECNOMATIX LP TCW Galileo High Yield Bond TECHNOLOGIES LTD Targanta Therapeutics Corp TCW Money Market TECO Energy Inc. Target Corp TCW Relative Value Dividend Tecogen Inc Target Growth Allocation Appreciation Tecumseh Products Co Target Hospitality Corp TCW Relative Value Large Teekay Corp Target International Eqty Port Cap Teekay LNG Partners LP Target Intrmd Term Bond TCW Select Equities Teekay Offshore Partners LP Port TCW Small Cap Growth Teekay Tankers Ltd Target Large Cap Growth TCW Total Return Bond Tefron Ltd Port TCW Value Opportunities Tegal Corp Target Large Cap Value Port Tcw/Dw Term Trust 2003 TEGNA Inc TARGET LOGISTICS INC TD AMERITRADE HOLDING TEJAS INC Target Moderate Allocation CORP Tejon Ranch Co. Target Total Return Bond TD BANKNORTH INC Tekelec Port TD Institutional Treasury Tekla Healthcare Investors TARGETED GENETICS Obligations MM Tekla Healthcare CORP TD Institutional US Opportunities Fund Targeted Medical Pharma Inc Government TEKOIL & GAS CORP Taro Pharmaceutical TD Money Market TEKTRONIX INC Industries Ltd TD Municipal MM TEL OFFSHORE TRUST TARRAGON CORP TD US Government Teladoc Health Inc TARRANT APPAREL TD Waterhouse MM Plus TELANETIX INC GROUP TDAM CA Muni MM Telaria Inc TASKER PRODUCTS CORP TDC A/S Telava Networks Inc Tasman Metals Ltd TDK CORP TELE CENTRO OESTE Tasty Baking Co Tdk Mediactive Inc CELULAR TAT Technologies Ltd TE Connectivity Ltd TELE LESTE CELULAR Tata Communications Ltd Team Financial Inc PARTICIPA Tata Motors Ltd Team Health Holdings Inc Tele Nordeste Celular Part Taubman Centers Inc. Team Inc TELE NORTE CELULAR Tax Free Fund For Utah TEAMSTAFF INC PARTICIPA Tax Free Fund Of Colorado TearLab Corp
Page 148
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
TELE NORTE LESTE Templeton BRIC Tennessee Commerce PARTICIPACO Templeton Cap Accumulator Bancorp TELE SUDESTE CELULAR Templeton China World Tenzing Acquisition Corp PART Templeton Developing TEPPCO Partners LP Telecom Argentina SA Market Teradata Corp Telecom Corp of New Templeton Dragon Fund Inc Teradyne Inc. Zealand Ltd Templeton Emerging Markets TERAFORCE Telecom Italia SPA Fund TECHNOLOGY CORP TeleCommunication Systems Templeton Emerging Markets TERAYON COMMUN Inc Income Fund Inc. SYSTEMS INC TELECOMUNIC SAO Templeton Foreign TERCICA INC PAULO Templeton Foreign Smaller Terex Corp Teledyne Technologies Inc. Co Ternium SA Teleflex Inc Templeton Frontier Markets TERRA ENERGY & Telefonaktiebolaget LM Templeton Global Bond RESOURCE TECH Ericsson Templeton Global Income Terra Energy Resources Ltd Telefonica De Argentina SA Fund Terra Industries Inc. TELEFONICA MOVILES SA Templeton Global Long-Short Terra Networks Sa Telefonica SA Templeton Global Terra Nitrogen Co LP Telefonos De Mexico SA Opportunity TERRA NOSTRA Telmex Templeton Global Small Co RESOURCES CORP TELEKOM AUSTRIA AG Templeton Global Total Terra Nova Financial Group TELEMIG CELULAR Return Inc PARTICIPACOE Templeton Growth Terra Tech Corp Telenav Inc Templeton Institutional TerraForm Global Inc TELENOR ASA International Equity TerraForm Power Inc TELENT PLC Templeton Instl Foreign Sm Terrapin 3 Acquisition Corp Telephone and Data Systems Co. TerraVia Holdings Inc Inc. Templeton Intl Emerging Terremark Worldwide Inc. TELEPLUS ENTERPRISES Market Terreno Realty Corp INC Templeton Intl Foreign TerreStar Corp Telestone Technologies Corp Templeton NVIT International Territorial Bancorp Inc TELESYSTEM INTL Value TESARO Inc WIRELESS INC Templeton Russia & East Tesco Corp TELEWEST GLOBAL INC European Fund Inc. Tesla Inc Teliasonera Ab Templeton World Tesma Internatnal Inc -Cl A Teligent Inc Tempur Sealy International TESSCO TECHNOLOGIES TELIK INC Inc INC Telkom Sa Ltd Tenable Holdings Inc TETON ENERGY CORP TELKONET INC Tenaris SA, Luxembourg TETON Westwood Mighty Tellabs Inc Tenax Therapeutics Inc Mites Tellium Inc Tencent Music Entertainment TETRA TECH INC Tellurian Inc Group TETRA Technologies Inc. Telmex Internacional SAB de Tenet Healthcare Corp TetraLogic Pharmaceuticals CV Tenfold Corp Corp TELSTRA CORP LTD Tengasco Inc. Tetraphase Pharmaceuticals TELUS Corp Tengion Inc Inc Telvent GIT SA TENGTU INTL CORP Teucrium Commodity Trust Tembec Inc Tennant Co Teva Pharmaceutical Temecula Valley Bancorp Inc Tenneco Inc Industries Ltd Temple-Inland Inc. Texada Ventures Inc
Page 149
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Texas Capital Bancshares The TxEx Bond Fund of Thornburg Developing World Inc America Inc Thornburg Global Texas Genco Holdings Inc The TxEx Fund CA Opportunities Texas Industries Inc. The TxEx Fund MD Thornburg Intl Growth Texas Instruments Inc The TxEx Fund VA Thornburg Intl Value TEXAS PACIFIC LAND The Ziegler Companies, Inc. Thornburg Intrmd Municipal TRUST THEGLOBE.COM INC Thornburg Invest Inc Builder Texas Rare Earth Resources Theragenics Corp Thornburg Ltd Term CA Corp TherapeuticsMD Inc Thornburg Ltd Term Income TEXAS REGL BCSHS INC - THERASENSE INC Thornburg Ltd Term Muni CL A Theratechnologies Inc Thornburg Ltd Term US Govt TEXAS ROADHOUSE INC Theravance Biopharma Inc Thornburg Strategic Income TEXAS UTD BANCSHARES THERMA WAVE INC Thornburg Value INC Thermadyne Holdings Corp THQ INC Texen Oil & Gas Inc Thermo Fisher Scientific Inc Threadneedle International Textainer Group Holdings Ltd THERMOENERGY CORP Opportunity Textron Inc THERMOGENESIS CORP THREE-FIVE SYSTEMS INC Textura Corp Thermon Group Holdings Inc Thrivent Aggressive TF Financial Corp TheStreet Inc Allocation TFS Financial Corp thinkorswim Group Inc Thrivent Balanced TFS Market Neutral Third Avenue Focused Credit Thrivent Diversified Income TG Therapeutics Inc Third Avenue Intl Value Plus TGIT Templeton Global Third Avenue Real Estate Thrivent High Yield Balanced Value Thrivent Income The Aristotle Corp Third Avenue Small Cap Thrivent Large Cap Growth The Bank of Nova Scotia Value Thrivent Large Cap Stock The Bond Fund of America Third Avenue Value Thrivent Large Cap Value Inc Third Avenue Value Port Thrivent Ltd Mat Bond The Carlyle Group LP VAR Thrivent Mid Cap Growth The Chesapeake Core Third Point Reinsurance Ltd Thrivent Mid Cap Stock Growth THIRD WAVE Thrivent Moderate Allocation The Growth Fund of America TECHNOLOGIES INC Thrivent Moderately Inc Thistle Group Hldgs Co Aggressive Allocation The Income Fund of America Thomas & Betts Corp Thrivent Moderately Inc THOMAS EQUIPMENT INC Conservative Allocation The Investment Company of THOMAS GROUP INC Thrivent Money Market America THOMAS INDUSTRIES INC Thrivent Municipal Bond The Japan Fund Thomas Properties Group Inc Thrivent Opportunity Income The Kraft Heinz Co Thomas Weisel Partners Plus The lovesac company Group Inc Thrivent Partner Intl Stock The Meet Group Inc Thomas White International Thrivent Partner Worldwide The New Economy Fund THOMASVILLE Allocation The ONE Group Hospitality BANCSHARES Thrivent Small Cap Stock Inc Thompson Bond Thrivent VIP Aggressive The PNC Financial Services Thompson Creek Metals Co Allocation Group Inc Inc Thrivent VIP Balanced The Real Estate Select Thompson Plumb Growth Thrivent VIP Bond Index Sector SPDR Fund Thomson Reuters Corp Thrivent VIP Diversified The Select Sector SPDR Thor Industries Inc. Income Plus Trust-Communication Thoratec Corp Thrivent VIP High Yield Services Select Secto Thornburg Core Growth Thrivent VIP Income
Page 150
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Thrivent VIP Large Cap Gro TIAA-CREF Large Cap TIAA-CREF Quant II Growth Index Small/Mid-Cap Equity Thrivent VIP Large Cap TIAA-CREF Large Cap Value TIAA-CREF Real Estate Sec Growth TIAA-CREF Large Cap Value TIAA-CREF S&P 500 Index Thrivent VIP Large Cap Index Index TIAA-CREF Short Term Bond Thrivent VIP Large Cap TIAA-CREF Lifecycle 2010 TIAA-CREF Small Cap Blend Stock TIAA-CREF Lifecycle 2015 Index Thrivent VIP Large Cap TIAA-CREF Lifecycle 2020 TIAA-CREF Social Choice Value TIAA-CREF Lifecycle 2025 Bond Thrivent VIP Limited Bond TIAA-CREF Lifecycle 2030 TIAA-CREF Social Choice Thrivent VIP Mid Cap Growth TIAA-CREF Lifecycle 2035 Equity Thrivent VIP Mid Cap Stock TIAA-CREF Lifecycle 2040 TIAA-CREF Tax Exempt Thrivent VIP Moderate TIAA-CREF Lifecycle 2045 Bond Allocation TIAA-CREF Lifecycle 2050 Tianli Agritech Inc Thrivent VIP Moderately TIAA-CREF Lifecycle 2055 Tianyin Pharmaceutical Co Aggressive Allocation TIAA-CREF Lifecycle Index Inc Thrivent VIP Moderately 2015 TIB Financial Corp Conservative Allocation TIAA-CREF Lifecycle Index TIBCO Software Inc Thrivent VIP Money Market 2020 Tiberius Acquisition Corp Thrivent VIP Partner Intl Stk TIAA-CREF Lifecycle Index TICC Capital Corp Thrivent VIP Partner 2025 Ticketmaster Entertainment Worldwide Allocation TIAA-CREF Lifecycle Index Inc Thrivent VIP Real Est Sec 2030 Tidelands Bancshares Inc Thrivent VIP Small Cap Idx TIAA-CREF Lifecycle Index TIDELANDS OIL & GAS Thrivent VIP Small Cap Stk 2035 CORP THT Heat Transfer TIAA-CREF Lifecycle Index TIDELANDS ROYALTY Technology Inc 2040 TRUST B Thunder Bridge Acquisition TIAA-CREF Lifecycle Index Tidewater Inc. Ltd 2045 Tiens Biotech Group USA TIAA-CREF Bond TIAA-CREF Lifecycle Index Inc. TIAA-CREF Bond Index 2050 Tier REIT Inc TIAA-CREF Bond Plus TIAA-CREF Lifecycle TIERONE CORP TIAA-CREF Emerging Retirement Income TIFF Multi Asset Markets Equity TIAA-CREF Managed Tiffany & Co. TIAA-CREF Emerging Allocation TIFI Emerging Mkts Series Markets Equity Index TIAA-CREF Mid Cap Growth TigerLogic Corp TIAA-CREF Equity Index TIAA-CREF Mid Cap Value TII NETWORK TIAA-CREF Growth & TIAA-CREF Money Market TECHNOLOGIES INC Income TIAA-CREF PA Stock Index TILE SHOP HOLDINGS, INC TIAA-CREF Growth Equity TIAA-CREF Quant Tilly's Inc TIAA-CREF High Yield International Equity TIM HELLAS TELECOMM TIAA-CREF High Yield Bond TIAA-CREF Quant SA TIAA-CREF Infltn Lnk Bd International Small-Cap Tim Hortons Inc TIAA-CREF International Equity Tim Participacoes SA Equity TIAA-CREF Quant Large- Timberland Bancorp Inc TIAA-CREF International Cap Growth Timberland Co (The) Equity Index TIAA-CREF Quant Large- Timberline Resources Corp TIAA-CREF International Cap Value Timberline Software Corp Opportunities TIAA-CREF Quant Small Cap TIMCO AVIATION TIAA-CREF Large Cap Equity SERVICES INC Growth Time Inc
Page 151
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Time Warner Cable Inc Tompkins Financial Corp Touchstone Mid Cap Growth Time Warner Inc Tongjitang Chinese Touchstone Mid Cap Value Timken Co (The) Medicines Co Touchstone Money Market TimkenSteel Corp Tongxin International Ltd Touchstone OH TxFr MM TIPPERARY CORP Tonix Pharmaceuticals Touchstone Sands Capital Tippingpoint Technologies Holding Corp Emerging Markets Growth Tiptree Inc Tootsie Roll Industries Inc. Touchstone Sands Capital TISSERA INC Top Image Systems Ltd Institutional Growth TITAN CORP Top Ships Inc Touchstone Sands Capital Titan International Inc TopBuild Corp Select Growth Titan Machinery Inc TOPPS CO INC Touchstone Small Cap Titan Pharmaceuticals Inc. TOR MINERALS INTL INC Touchstone Small Cap TITANIUM GROUP LTD TORCH ENERGY ROYALTY Growth TITANIUM METALS CORP TRUST Touchstone Small Company Tivity Health Inc Torch Offshore Inc Touchstone Sustainability TiVo Corp Torchlight Energy Resources and Impact Equity TiVo Inc Inc Touchstone Ultra Short Tix Corp Torchmark Corp Duration Fixed Income TJX Companies Inc (The) Toreador Resources Corp Tournigan Energy Ltd TKK Symphony Acquisition Toro Co (The) TOUSA Inc Corp Toronto-Dominion Bank Tower Automotive Inc TLC VISION CORP (The) Tower Bancorp Inc TM Entertainment & Media Torray Fund Tower Financial Corp Inc Torray Institutional Fund Tower Group International Tmbr/Sharp Drilling Inc TorreyPines Therapeutics Inc Ltd T-Mobile US, Inc. TORTOISE ENERGY Tower International Inc TMS International Corp CAPITAL CORP TOWER PROPERTIES CO T-Netix Inc Tortoise Energy Towers Watson & Co TNS Inc. Infrastructure Corp TowerStream Corp TNT NV Tortoise MLP & Pipeline TOWN & COUNTRY TRUST Tobira Therapeutics, Inc. Tortoise MLP Fund Inc Town Sports International Tocagen Inc TORVEC INC Holdings Inc Tocqueville Delafield Fund TOTAL ENTMT TOYOTA MOTOR CORP Tocqueville Fund RESTAURANT CORP Toys R Us Inc Tocqueville Gold Total Income+ Real Estate TPC Group Inc TODCO Total Nutraceutical Solutions TPG Pace Holdings Corp Todd Shipyards Corp Inc TPG RE Finance Trust Inc TODHUNTER INTL INC/DE TOTAL SA TPG Specialty Lending Inc Toews Tactical Income Total System Services Inc. TPI Composites Inc Toga Ltd Touchstone Diversified Small TRACK DATA CORP Tokai Pharmaceuticals Inc Cap Value Track Group Inc Toll Brothers Inc. Touchstone Emerging TRACON Pharmaceuticals Tollgrade Communications Markets Equity Inc Inc Touchstone Flexible Income Tractor Supply Co TOM ONLINE INC Touchstone Focused Trade Desk Inc (The) Tomahawk Industries Inc Touchstone Instl Money Trade Street Residential Inc TOMI Environmental Market TradeStation Group Inc Solutions Inc Touchstone Large Cap TRAFFIX INC TOMKINS PLC Focused Trailer Bridge Inc TOMMY HILFIGER CORP Touchstone Merger Arbitrage TRAMMELL CROW CO TomoTherapy Inc Touchstone Mid Cap Trane Inc
Page 152
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
TRANS ENERGY INC Transam ST JPMorgan Core Transamerica AQR Managed TRANS WORLD CORP/NV Bond Futures Strategy Trans World Entertainment Transam ST JPMorgan Transamerica Asset Alloc Corp. Enhanced Index Consrv TranS1 Inc Transam ST JPMorgan Transamerica Asset Alloc TransAct Technologies Inc International Moderate Growth TransAlta Corp Growth Transamerica Asset Alloc Transam Premier Balanced Transam ST JPMorgan Mid Moderate Transam Premier Diversified Cap Value Transamerica Asset Alloc Equity Transam ST JPMorgan Modrt Gr Transam Premier Equity Tactical Allocation Transamerica Blackrock Transam ST Aegeon High Transam ST Legg Mason Global Allocation Yield Dynamic Allocation Balanced Transamerica Blackrock Transam ST AEGON US VP Large Cap Value Government Sec Transam ST Legg Mason Transamerica Bond Transam ST Am Cent Lg Co Dynamic Allocation Growth Transamerica Capital Growth Val VP Transamerica Clarion Global Transam ST American Funds Transam ST Managed Risk Real Est Sec Managed Risk VP Balanced ETF Transamerica Concentrated Transam ST Barrow Hanley Transam ST Managed Risk Growth Dividend Focus Conservative ETF Transamerica Core Bond Transam ST BlackRock Transam ST Managed Risk Transamerica Developing Global Allocation Growth ETF Markets Equity Transam ST BlackRock Transam ST Marsico Growth Transamerica Dividend Government Money Market Transam ST Multi-Managed Focused VP Balanced Transamerica Dynamic Transam ST BlackRock Transam ST PIMCO Tactical Income Tactical Allocation Balanced Transamerica Emerging Transam ST Cap Guard Val Transam ST PIMCO Total Markets Debt Eqty Return Transamerica Emerging Transam ST Clarion Global Transam ST QS Investors Markets Equity Real Est Securities Active Asset Allocation Transamerica Evergreen Transam ST Diversified Moderate Health Care Equity Transam ST QS Investors Transamerica Evergreen Intl Transam ST Greystone Active Asset Allocation Small Cap International Growth Moderate Growth Transamerica Floating Rate Transam ST Growth Opport Transam ST Small Mid Cap Transamerica Government Transam ST Janus Balanced Value Money Market Transam ST Janus Mid Cap Transam ST T Rowe Equity Transamerica Growth Growth Inc Transamerica Hansberger Transam ST Jennison Transam ST T Rowe Growth International Value Growth Stk Transamerica High Yield Transam ST JPMorgan Asset Transam ST T Rowe Small Bond Allocation Conservative Cap Transamerica Income & Transam ST JPMorgan Asset Transam ST Third Avenue Growth Allocation Growth Value Transamerica Intermediate Transam ST JPMorgan Asset Transam ST Value Balanced Bond Allocation Moderate Transam ST WMC U.S. Transamerica Intermediate Transam ST JPMorgan Asset Growth Muni Allocation Moderate Growth Transamerica AmCentury Lg Transamerica International Co Val Equity
Page 153
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Transamerica International Transamerica Partners Transcommunity Financial Growth International Eqty Corp Transamerica International Transamerica Partners Transcontinental Realty Small Cap Value Intrmd Horizon Investors Inc. Transamerica Intl Small Cap Transamerica Partners TRANSDIGM GROUP INC Transamerica JPM Intrmd/Long Horizon TransEnterix Inc International Bond Transamerica Partners Inv Transforma Acquisition Transamerica JPM Mid Cap Large Value Group Inc Value Transamerica Partners Large Transgenomic Inc Transamerica Large Cap Growth TransGlobe Energy Corp Value Transamerica Partners Large Trans-India Acquisition Corp Transamerica Large Growth Value Transition Therapeutics Inc Transamerica Large Value Transamerica Partners Long TRANSKARYOTIC Opportunities Horizon THERAPIES INC Transamerica Marsico Transamerica Partners Mid Translate Bio Inc Growth Value TRANSMETA CORP Transamerica Marsico Intl Transamerica Partners Stock TRANSMONTAIGNE INC Growth Index TransMontaigne Partners LP Transamerica Mid Cap Value Transamerica Real Return Transnational Automotive Opportunities TIPS Group Transamerica MLP & Energy Transamerica Select Equity Transocean Ltd Income Transamerica Short-Term Transocean Partners LLC Transamerica Morgan Bond TRANSPORT CORP Stanley Emerging Markets Transamerica Small Cap AMERICA INC Debt Growth Transportadora De Gas Del Transamerica Morgan Transamerica Small Cap Sur SA Tgs Stanley Mid Cap Growth Value TransTech Services Partners Transamerica Multi Managed Transamerica Small Mid Cap Inc Balanced Value TransUnion Transamerica Multi Manager Transamerica Stock Index TranSwitch Corp Alternative Strategies Transamerica Templeton TravelCenters of America Transamerica Multi Manager Transamerica Global LLC International Transamerica Third Avenue Travelers Companies Inc Transamerica Multi-Cap Value (The) Growth Transamerica Thornburg Travelers Equity Income Transamerica Neuberger International Value Travelers Growth & Income Berman International Transamerica Total Return Travelers Managed Income Transamerica Oppenheimer Transamerica U.S. Growth Travelers MFS Total Return Small & Mid Cap Value Transamerica UBS Large Travelers Ser Capital Apprec Transamerica Partners Core Cap Value Travelers Ser MFS Mid Cap Bond Transamerica Unconstrained Gr Transamerica Partners Bond Travelers Ser Money Market Government Money Market Transamerica WMC Travelers Strategic Equity Transamerica Partners Instl Diversified Growth Port Intrmd Horizon Transamerica WMC Travelers US Govt Transamerica Partners Instl Emerging Markets Travelport Worldwide Ltd Intrmd/Long Horizon Transatlantic Holdings Inc. Travelzoo Transamerica Partners Instl TransAtlantic Petroleum Ltd TRC Cos Inc Long Horizon TransCanada Corp Treasurers Domestic Prime Transamerica Partners Instl Transcend Services Inc MM MM Treasurers TxEx Money Mkt
Page 154
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Treasury Cash Series TRIPATH IMAGING INC TSR INC Treasury Cash Series II TRIPLE CROWN MEDIA INC TTEC Holdings Inc Trecora Resources TRIPLE P NV TTI Team Telecom Tredegar Corp Triplecrown Acquisition Corp International Ltd, Israel TREE TOP INDUSTRIES Triple-S Management Corp TTM Technologies Inc INC TRIPOS INC TubeMogul Inc TreeHouse Foods Inc TriQuint Semiconductor Inc Tucows Inc Trelawney Mining and TriState Capital Holdings Inc Tudou Holdings Ltd Exploration Inc Tri-Tech Holding Inc Tuesday Morning Corp. Tremisis Energy Acquisition Triton Distribution Systems Tufco Technologies Inc Corp II Inc Tuffnell Ltd TREND MICRO INC Triton Emission Solutions Inc Tularik Inc Trendstar Small Cap Triton International Ltd Tumbleweed Trevena Inc Triumph Bancorp Inc Communications Corp. Trex Co Inc Triumph Group Inc. Tumi Holdings Inc Tri City Bankshares Corp Trius Therapeutics Inc Tuniu Corp TRI Pointe Group Inc trivago N.V. Turbochef Technologies Inc TRIAD GUARANTY INC TRI-VALLEY CORP Turkcell Iletisim Hizmet AS TRIAD HOSPITALS INC TriVascular Technologies Inc Turner Emerging Growth Trian Acquisition I Corp TRIZEC PROPERTIES INC Turner Large Growth Triangle Petroleum Corp TriZetto Group Inc (The) Turner Mid Cap Growth Tribune Media Co TRM CORP Turner Short Fixed Inc Tribune Publishing Co Tronox Ltd Turner Small Cap Growth Tributary Small Company Tropical Sportswear Intl Cp Turning Point Brands Inc TRICELL INC Tropicana Entertainment Inc Turnstone Systems Inc Tricida Inc TrovaGene Inc Turquoise Hill Resources Ltd TriCo Bancshares Trover Solutions Inc Turtle Beach Corp Trico Marine Services Inc Troy Financial Corp TUT SYSTEMS INC TRICOM SA -ADR Troy Group Inc TUTOGEN MEDICAL INC Tri-Continental Corp TRP Summit Muni Money Tutor Perini Corp TRIKON TECHNOLOGIES Market TV AZTECA SA DE CV INC TRUBION TVI Corp Trillium P21 Global Equity PHARMACEUTICALS INC TVIA INC Trillium Therapeutics Inc True Religion Apparel Inc TVSL SA Trilogy International Partners TrueCar Inc tw telecom inc Inc Trulia Inc TWDC Enterprises 18 Corp Trilogy Metals Inc Trump Entertainment Resorts Tweedy Browne Global Value TriMas Corp Inc Tweedy Browne Value Trimble Inc Trunkbow International Tweedy Browne Worldwide Trinet Group Inc Holdings Ltd High Dividend Yield Value Trinity Biotech PLC Trupanion Inc Tween Brands Inc Trinity Industries Inc. Trust for Short US Govt Sec Twelve Seas Investment Co TRINITY LEARNING CORP TrustCo Bank Corp NY Twenty-First Century Fox Inc Trinity Merger Corp Trustmark Corp Twilio Inc Trinity Place Holdings Inc TRUSTREET PROPERTIES Twin Disc Inc Trinseo SA INC Twinlab Consolidated TRINSIC INC TRW Automotive Holdings Holdings Inc Trintech PLC, Dublin Corp Twist Bioscience Corporation Trio Resources Inc TRX INC Twitter Inc Trio-Tech International TSAKOS ENERGY Two Harbors Investment TripAdvisor Inc NAVIGATION LTD Corp
Page 155
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Two River Bancorp UBS Select Government Ultragenyx Pharmaceutical TXCO Resources Inc Institutional Inc TxFr Money Market UBS Select Government Ultralife Corp TXU CORP Preferred Ultrapar Participacoes SA TYLER RESOURCES INC UBS Select Prime Capital UltraShort Dow30 ProShares Tyler Technologies Inc. UBS Select Prime Ultratech Inc Tyme Technologies Inc Institutional Uluru Inc Tyson Foods Inc. UBS Select Prime Investor UMB Financial Corp U S B HOLDING INC UBS Select Prime Preferred Umpqua Holdings Corp U S BIODEFENSE INC UBS Select Tax Free Capital Undiscovered Behavioral U S Liquids Inc UBS Select Treasury Capital Value U S Restaurant Pptys UBS Select Treasury Undiscovered Small Cap U S Silica Holdings Inc Institutional Growth U.S. Auto Parts Network Inc UBS Select Treasury Investor UNIBANCO UNIAO DE U.S. Bancorp UBS Select Treasury BANCO U.S. China Mining Group Inc Preferred Unica Corp U.S. Eastern European UBS Tax Free Preferred UNICO AMERICAN CORP U.S. Global Investors Inc UBS Tax Free Reserves Unicorp Inc U.S. Global Resources UBS Ultra Short Income Unicure NV U.S. Govt Securities Savings UBS US Allocation UNIFI INC. U.S. Shipping Partners LP UBS US Large Cap Equity UNIFIRST CORP U.S. World Precious Minerals UBS US Small Cap Growth UNIFY CORP UAP HOLDING CORP UCI MEDICAL AFFILIATES Unigene Laboratories Inc UBIQUITEL INC INC Unilever NV Ubiquiti Networks Inc UCP Inc Unilever PLC UBS Absolute Return Bond UDR Inc Unilife Corp UBS Cash Reserves UFP Technologies Inc Union Bankshares Co UBS Cashfund UGI Corp Union Bankshares Corp UBS Dynamic Alpha Strategy UIB Group Ltd UNION BANKSHARES INC UBS Global Allocation Uici Union Bridge Holdings Ltd UBS Global Equity UIL Holdings Corp UNION CMNTY BANCORP UBS Group AG Ulta Beauty Inc Union Drilling Inc UBS Liquid Assets ULTICOM INC Union National Financial Government Ultimate Electronics Inc Corp UBS LIR Govt Securities Ultimate Escapes Inc UNION PACIFIC CORP UBS LIR Money Market Ultimate Software Group Inc Union Planters Corp UBS LIR Treasury Securities (The) Union Street Acquisition Corp UBS Prime Investor Ultra OTC ProFund UnionBanCal Corp UBS Prime Preferred Ultra Petroleum Corp. Uni-Pixel Inc UBS Prime Reserves Ultra Series Bond Unique Fabricating Inc UBS Retirement Money Ultra Series Diversified Unisys Corp UBS RMA CA Muni Money Income UNIT CORP UBS RMA Government Ultra Series Large Cap United American Healthcare Money Market Growth Corp UBS RMA Money Market Ultra Series Large Cap Value United Assn S&P500 Index UBS RMA NJ Muni Money Ultra Series Mid Cap United Bancorp Inc UBS RMA NY Muni Money Ultra Series Mid Cap Growth United Bancorporation of UBS RMA Tax Free Ultra Series Moderate Alabama Inc UBS RMA US Government Allocation UNITED BANCSHARES UBS Select Government Ultra Short DuratIon Govt INC/OH Capital United Bankshares Inc
Page 156
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
United Capital Corp. United States Lime & Universal Stainless & Alloy United Communications Minerals Inc Products Inc Partners Inc United States Natural Gas Universal Technical Institute United Community Bancorp Fund LP Inc. United Community Banks Inc United States Oil Fund LP Universal Travel Group United Community Financial United States Steel Corp Univest Financial Corp Corp. UNITED SURGICAL PRTNR UNIVISION United Continental Holdings INTL COMMUNICATIONS INC Inc United Technologies Corp UNIZAN FINANCIAL CORP UNITED DEFENSE UNITED THERAPEUTICS UNOCAL CORP INDUSTRIES CORP UNS Energy Corp United Development Funding UNITED UTILITIES PLC Unum Group III LP UNITEDGLOBALCOM INC - Unum Therapeutics Inc United Development Funding CL A Unwharrie Capital Corp IV United-Guardian Inc. Upland Software Inc UNITED ENERGY CORP UNITEDHEALTH GROUP UPM-KYMMENE CORP United Financial Bancorp Inc INC UPSTREAM BIOSCIENCES UNITED FINANCIAL UniTek Global Services Inc INC CORP/MN Uniti Group Inc Upwork Inc UNITED FINANCIAL MTG Unitil Corp UQM Technologies Inc. CORP Unity Bancorp Inc URANERZ ENERGY CORP United Fire Group Inc Unity Biotechnology Inc Uranium 308 Corp United Fuel & Energy Corp Univar Inc Uranium Energy Corp United Health Products Inc Universal Access Global Hldg Uranium Resources Inc UNITED INDUSTRIAL CORP Universal American Corp Urban Edge Properties United Insurance Holdings Universal Business Payment Urban One Inc Corp Solutions Acquisition Corp Urban Outfitters Inc United Microelectronics Corp UNIVERSAL Ur-Energy Inc United National Bancorp/Nj COMPRESSION HLDGS UroGen Pharma Ltd UNITED NATURAL FOODS Universal Corp UROLOGIX INC INC Universal Display Corp Urovant Sciences Ltd UNITED ONLINE INC Universal Electronics Inc URS Corp United PanAm Financial Corp Universal Energy Corp Urstadt Biddle Properties Inc. United Parcel Service Inc Universal Forest Products Inc US Airways Group Inc United Refining Energy Corp UNIVERSAL GUARDIAN US BIOENERGY CORP United Rentals Inc. HLDGS INC US Concrete Inc UNITED RETAIL GROUP Universal Health Realty US DATAWORKS INC INC Income Trust US Ecology Inc United Security Bancshares Universal Health Services US Energy Corp. United Security Bancshares Inc. US Foods Holding Corp Inc Universal Insurance Holdings US GLOBAL NANOSPACE United States 12 Month Universal Logistics Holdings INC Natural Gas Fund LP Inc US Government Securities United States 12 Month Oil Universal Potash Corp Fund Fund LP UNIVERSAL POWER US Govt Money Market United States Cellular Corp GROUP INC US Home Systems Inc United States Commodity Universal Property US LEC CORP Index Funds Trust Development and Acquisition Us Oncology Inc United States Exploration Corp US Physical Therapy Inc United States Gasoline Fund Universal Security US Silver & Gold Inc LP Instruments Inc.
Page 157
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
US Treasury Money Fund of USAA TxEx CA Money VALIC I Blue Chip Growth Amer Market VALIC I Dividend Value US UNWIRED INC USAA TxEx Intermediate VALIC I Emerging US Well Services Inc Term Economies US Xpress Enterprises Inc USAA TxEx Long Term VALIC I Global Real Estate US XPRESS ENTP INC -CL USAA TxEx Money Market VALIC I Global Social A USAA TxEx Short Term Awareness USA Compression Partners USAA TxEx VA Bond VALIC I Global Strategy LP USAA TxEx VA Money VALIC I Growth USA Synthetic Fuel Corp Market VALIC I Health Sciences USA Truck Inc USAA TxFr FL Income VALIC I Inflation Protected USA Uranium Corp USAA Ultra Short-Term Bond VALIC I International Value USAA Aggressive Growth USAA Value VALIC I Intl Equities Index USAA Capital Growth USAA World Growth VALIC I Intl Growth USAA Cornerstone Moderate USANA Health Sciences Inc Valic I Large Cap Growth USAA Cornerstone USD Partners LP VALIC I Large Capital Growth Moderately Aggressive USEC Inc VALIC I Mid Cap Index USAA Emerging Markets USF CORP VALIC I Mid Cap Strategic USAA Extended Market USG Corp Growth Index USI HOLDINGS CORP VALIC I Money Market I USAA Global Managed USMD Holdings Inc VALIC I Science & Tech Volatility USN CORP VALIC I Small Cap USAA Government Securities UST Inc. VALIC I Small Cap Index USAA Growth Utah Medical Products Inc Valic I Small Cap Special USAA Growth & Income Utendahl Institutional Money Values USAA High Income Market VALIC I Stock Index USAA Income UTG INC VALIC II Aggrsv Gro Lifestyle USAA Income Stock UTi Worldwide Inc VALIC II Core Bond USAA Intermediate Bond Utilities Select Sector SPDR VALIC II High Yield Bond USAA International Fund (The) VALIC II International USAA Managed Allocation Utstarcom Holdings Corp Opportunities USAA Money Market UWINK INC VALIC II Mid Cap Value USAA NASDAQ 100 Index V.F. Corp VALIC II Mod Growth USAA Precious Metals & VA Muni Cash Trust Lifestyle Mineral Vaalco Energy Inc VALIC II Money Market II USAA S&P 500 Index Vaccinogen Inc VALIC II Small Cap Value USAA Science & Technology VAIL BANKS INC VALIC II Social Responsible USAA Short Term Bond Valassis Communications VALIC II Strategic Bond USAA Small Cap Stock Inc. Validus Holdings Ltd USAA Target Retirement Valcent Products Inc VALLEY BANCORP 2020 Vale SA VALLEY COMMERCE USAA Target Retirement Valeant Pharmaceuticals Inc BANCORP 2030 Valence Technology Inc VALLEY FINANCIAL CORP USAA Target Retirement VALENTIS INC Valley Forge Composite 2040 VALERA Technologies Inc USAA Target Retirement PHARMACEUTICALS INC Valley National Bancorp 2050 VALERO ENERGY CORP VALLEY NATIONAL GASES USAA Total Return Strategy Valero Energy Partners LP INC USAA Treasury Money Valhi Inc. Valmont Industries Inc Market Valiant General MM VALOR COMMUNICATIONS USAA TxEx CA Bond Valiant US Treasury MM GROUP
Page 158
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Valspar Corp (The) Van Kampen Technology Vanguard Developed Value Line Cash Van Kampen Value Muni Markets Idx Value Line Emerging Opport VanceInfo Technologies Inc Vanguard Developed Value Line Fund Vanda Pharmaceuticals Inc Markets Index VALUE LINE INC VanEck Emerging Markets Vanguard Diversified Equity Value Line Income and VanEck Global Hard Assets Vanguard Dividend Growth VanEck Intl Investors Gold Appreciation Index Value Line Larger VanEck Vectors Agribusiness Vanguard Dividend Growth Companies ETF Vanguard Emerging Markets Value Line Premier Growth VanEck Vectors AMT-Free Government Bond Index Value Line Var Centurion Intermediate Municipal Index Vanguard Emerging Markets Value Line Var Strategic ETF Select Stock Asset VanEck Vectors Biotech ETF Vanguard Emerging Markets Valvoline Inc VanEck Vectors Fallen Angel Stock Index VAN DER MOOLEN NV High Yield Bond ETF Vanguard Energy Van Eck Ins WrldWd Emrg VanEck Vectors Gold Miners Vanguard Energy Index Mkt ETF Vanguard Equity Income Van Eck VIP Global Hard VanEck Vectors High-Yield Vanguard European Stock Assets Fund Municipal Index ETF Index Van Kampen Adv Muni VanEck Vectors J.P. Morgan Vanguard Explorer Van Kampen Aggressive EM Local Currency Bond Vanguard Explorer Value Growth ETF Vanguard Extended Duration Van Kampen CA Insured VanEck Vectors Junior Gold Treasury Index TxFr Miners ETF VANGUARD EXTENDED Van Kampen Core Plus Fixed VanEck Vectors Morningstar MARKET ETF Income Wide Moat ETF Vanguard Extended Mkt Van Kampen Equity Growth VanEck Vectors Oil Services Index Van Kampen Equity Premium ETF Vanguard Federal MM Income VanEck Vectors Preferred Vanguard Financials Index Van Kampen Focus Equity Securities ex Financials ETF Vanguard FL Focused Long Van Kampen Global Eqty VanEck Vectors Russia ETF Tax Exempt Alloc VanEck Vectors Vanguard FTSE All World Van Kampen Global Value Semiconductor ETF ExUS Small Cap Index Equity Vanguard 500 Index Vanguard FTSE All World Van Kampen GVIT MultiSect Vanguard Asset Allocation ExUSA Index Bd Vanguard Balanced Index Vanguard FTSE Social Idx Van Kampen High Yield old Vanguard CA Intrmd TxEx Vanguard Global Capital Van Kampen Leaders Vanguard CA Long TxEx Cycles Van Kampen Limited Vanguard CA Muni Money Vanguard Global Equity Duration Market Vanguard Global ex-US Real Van Kampen Money Market Vanguard Cap Opportunity Estate Index Van Kampen Mun Inc Vanguard Capital Value Vanguard Global Minimum Van Kampen NVIT Comstock Vanguard Communication Volatility Value Services Index Vanguard Global Wellington Van Kampen Select Growth Vanguard Consumer Discret Vanguard GNMA Van Kampen Senior Float Idx Vanguard Growth and Rate Vanguard Consumer Staples Income Van Kampen Strategic Idx Vanguard Growth Equity Growth Vanguard Convertible Sec Vanguard Growth Index Van Kampen Strategic Muni Vanguard Core Bond Vanguard Health Care Inc Vanguard Health Care Index
Page 159
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Vanguard Health Systems Vanguard Intermediate Term Vanguard Mid Cap Value Inc. Corporate Bond Index Index Vanguard High Dividend Vanguard Intermediate VANGUARD MID CAP Yield Index Treasury VIPERS Vanguard High Yield Bond Vanguard Intermediate TxEx Vanguard Morgan Growth Corp Vanguard Intermediate-Term Vanguard Mortgage Backed Vanguard High Yield TxEx Treasury Index Securities Index Vanguard IL Developed Vanguard International Vanguard Municipal Money Markets Idx Dividend Appreciation Market Vanguard IL Index Vanguard International Vanguard Natural Resources Vanguard IL Tot Bd Mkt Explorer Inc Index Vanguard International Vanguard NJ Long TxEx Vanguard IL Tot Stk Mkt Growth Vanguard NJ Muni Money Index Vanguard International High Market Vanguard Industrials Indx Dividend Yield Vanguard NY Long TxEx Vanguard Inflatn Protect Sec Vanguard International Value Vanguard NY Muni Money Vanguard Info Tech Idx Vanguard Large Cap Index Market Vanguard Insrd Long TxEx Vanguard LifeStrategy Cnsr Vanguard OH Long Tax Vanguard Institutional Gro Exempt Intermediate-Term Bond Vanguard LifeStrategy Vanguard OH TxEx Money Vanguard Institutional Short- Growth Market Term Bond Vanguard LifeStrategy Vanguard PA Long TxEx Vanguard Institutional Target Income Vanguard PA Muni Money Retirement 2010 Vanguard LifeStrategy Mod Market Vanguard Institutional Target Gro Vanguard Pacific Stock Index Retirement 2015 Vanguard Limited TxEx Vanguard Prime MM Vanguard Institutional Target Vanguard Long Bond Index Vanguard PRIMECAP Retirement 2020 Vanguard Long Invst Grade Vanguard PRIMECAP Core Vanguard Institutional Target Vanguard Long Term Vanguard Real Estate II Retirement 2025 Corporate Bond Index Index Vanguard Institutional Target Vanguard Long Term Tax Vanguard Real Estate Index Retirement 2030 Exempt VANGUARD REIT INDEX Vanguard Institutional Target Vanguard Long Treasury VIPERS Retirement 2035 Vanguard Long-Term Vanguard Russell 1000 Vanguard Institutional Target Treasury Index Growth Index Retirement 2040 Vanguard MA TxEx Vanguard Russell 1000 Index Vanguard Institutional Target Vanguard Managed Payout Vanguard Russell 1000 Retirement 2045 Vanguard Managed Payout Value Index Vanguard Institutional Target Distribution Focus Vanguard Russell 2000 Retirement 2050 Vanguard Market Neutral Growth Index Vanguard Institutional Target Vanguard Materials Index Vanguard Russell 2000 Index Retirement 2055 Vanguard Mega Cap Growth Vanguard Russell 3000 Index Vanguard Institutional Target Index Vanguard S&P 500 Growth Retirement 2060 Vanguard Mega Cap Index Index Vanguard Institutional Target Vanguard Mega Cap Value Vanguard S&P 500 Value Retirement Income Index Index Vanguard Intermediate Bond Vanguard Mid Cap Growth Vanguard S&P Mid-Cap 400 Index Vanguard Mid Cap Growth Growth Index Vanguard Intermediate Index Vanguard S&P Mid-Cap 400 Investment Grade Vanguard Mid Cap Index Index
Page 160
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Vanguard S&P Mid-Cap 400 Vanguard Target Retirement Vanguard Var International Value Index 2060 Eq Vanguard S&P Small-Cap Vanguard Target Retirement Vanguard Var Mid Cap Index 600 Index Inc Vanguard Var Money Market Vanguard Selected Value Vanguard Target Retiremnt Vanguard Var Real Estate Vanguard Short Bond Index 2005 Index Vanguard Short Federal Vanguard Tax Exempt Bond Vanguard Var Short Invst Vanguard Short Invst Grade Index Grade Vanguard Short Term Vanguard Tax Managed Vanguard Var Small Co Corporate Bond Index Balanced Growth Vanguard Short Term Vanguard Tax Managed Vanguard Var Total Bd Mkt Inflation Protected Securities Capital Appreciation Idx Index Vanguard Tax Managed Vanguard Var Total Stk Mkt Vanguard Short Treasury Small Cap Idx Vanguard Short TxEx Vanguard Tax Mngd Gro & Vanguard Wellesley Income Vanguard Short-Term Inc Vanguard Wellington Treasury Index Vanguard Total Bond Market Vanguard Windsor Vanguard Small Cap Gro II Index Vanguard Windsor II Index Vanguard Total Bond Market Vanity Events Holding Inc Vanguard Small Cap Index Index Vans Inc Vanguard Small Cap Value Vanguard Total International Vantage Drilling Co Index Bond Index Vantage Energy Acquisition Vanguard Star Fund Vanguard Total International Corp Vanguard Strategic Equity Stock Index Vantagepoint Aggressive Vanguard Strategic Small Vanguard Total Intl Stock Opp Cap Equity Index Vantagepoint Asset Vanguard Structured Broad VANGUARD TOTAL STOCK Allocation Market MKT ETF Vantagepoint Broad Market Vanguard Structured Lg Cap Vanguard Total Stock Mkt Index Equity Index Vantagepoint Conservative Vanguard Target Retirement Vanguard Total World Stock Growth Model 2010 Index Vantagepoint Core Bond Vanguard Target Retirement Vanguard Treasury MM Index 2015 Vanguard Treasury Money Vantagepoint Diversifying Vanguard Target Retirement Market Strategies 2020 Vanguard Ultra Short Term Vantagepoint Equity Income Vanguard Target Retirement Bond Vantagepoint Global Equity 2025 Vanguard US Growth Growth Model Vanguard Target Retirement Vanguard US Value Vantagepoint Growth & 2030 Vanguard Utilities Index Income Vanguard Target Retirement Vanguard Value Index Vantagepoint Growth Stock 2035 VANGUARD VALUE VIPERS Vantagepoint Inflation Vanguard Target Retirement Vanguard Var Balanced Focused 2040 Vanguard Var Capital Growth Vantagepoint International Vanguard Target Retirement Vanguard Var Diversified Vantagepoint Long Growth 2045 Value Model Vanguard Target Retirement Vanguard Var Equity Income Vantagepoint Low Duration 2050 Vanguard Var Equity Index Bond Vanguard Target Retirement Vanguard Var Growth Vantagepoint Mid Sml Co Idx 2055 Vanguard Var High Yield Vantagepoint Milestone 2015 Vantagepoint Milestone 2020
Page 161
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Vantagepoint Milestone 2025 Varian Semiconductor VERITAS DGC INC Vantagepoint Milestone 2030 Equipment Associates Inc VERITAS SOFTWARE Vantagepoint Money Market Varonis Systems Inc CORP Vantagepoint S&P 500 Stock Varsity Brands Inc Veritex Holdings Inc Index VARSITY GROUP INC Veritiv Corp Vantagepoint Savings Vascular Solutions Inc Veritone Inc Oriented Model Vasogen Inc VERITY INC Vantagepoint Select Value VASOMEDICAL INC Verizon Communications Inc Vantagepoint Traditional VASTERA INC Vermilion Energy Inc Growth Model Vaughan Nelson Small Cap Vermillion Inc VantageSouth Bancshares Value Vermont Pure Holdings Ltd. Inc Vaughan Nelson Value VERMONT TEDDY BEAR Vapotherm Inc Opportunity INC Varco International Inc VaxGen Inc Verona Pharma PLC Varex Imaging Corp VCA Inc Verra Mobility Corp Variable Portfolio Aggressive VCG Holding Corp Verrica Pharmaceuticals Inc Variable Portfolio BlackRock Vector Group Ltd Versant Corp Global Inflation Protected Vectren Corp Versar Inc. Sec Vectrus Inc Versartis Inc Variable Portfolio Columbia Vedanta Ltd Verso Corp Wanger Intl Eq Veeco Instruments Inc Versum Materials Inc Variable Portfolio Veeva Systems Inc Versus Capital Multi-Manager Conservative VELOCITY EXPRESS CORP Real Estate Income Variable Portfolio Eaton Velocity Portfolio Group Inc Versus Capital Real Assets Vance Floating Rate Income Venator Materials PLC Vertex Energy Inc Variable Portfolio Managed Venoco Inc Vertex Pharmaceuticals Inc Volatility Conservative VENTANA MEDICAL VERTICAL Growth SYSTEM INC COMMUNICATIONS INC Variable Portfolio Managed Ventas Inc. VERTICALNET INC Volatility Growth Veolia Environnement, Paris VERTRUE INC Variable Portfolio Managed VEON Ltd Veru Inc Volatility Moderate Growth Veoneer Inc VeruTEK Technologies Inc Variable Portfolio Moderate Vera Bradley Inc VESTA INSURANCE Variable Portfolio Moderately Veracyte Inc GROUP INC Aggressive Verastem Inc Vestin Group Inc Variable Portfolio Moderately VERASUN ENERGY CORP Vestin Realty Mortgage I Inc Conservative Verecloud Inc Vestin Realty Mortgage II Inc Variable Portfolio Partners VEREIT Inc Via Net.Works Inc Core Bond Verenium Corp VIA Pharmaceuticals Inc Variable Portfolio Partners Vericel Corp VIACELL INC Small Cap Growth VeriChip Corp Viacom Inc Variable Portfolio Partners Veridian Corp VIAD CORP Small Cap Value VERIDICOM VIALTA INC Variable Portfolio US Flexible INTERNATIONAL INC VIASPACE INC Growth Verifone Systems Inc VIASYS HEALTHCARE INC Variable Portfolio US Flexible Verigy Ltd Viasystems Group Inc Moderate Growth VERILINK CORP Viavi Solutions Inc Varian Inc Verint Systems Inc Vical Inc VARIAN MEDICAL Verisign Inc VICEROY EXPLORATION SYSTEMS INC Verisity Ltd LTD Verisk Analytics Inc VICI Properties Inc
Page 162
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Vicon Industries Inc. VictoryShares US EQ Income Virtual Radiologic Vicor Corp. Enhanced Volatility Wtd ETF Corporation Vicor Technologies Inc VICURON VirtualScopics Inc Victory Balanced PHARMACEUTICALS INC Virtus Allocator Premium Victory Diversified Stock VIDEO DISPLAY CORP Alphasector Victory Federal MM VIE FINANCIAL GROUP INC Virtus Alternatives Diversifier Victory Financial Reserve ViewRay Inc Virtus Balanced Victory Floating Rate Viggle Inc Virtus Capital Growth Victory Global Natural Vignette Corp Virtus Ceredex Large Cap Resources Viking Therapeutics Inc Val Equity Victory Govt Reserve Village Bank and Trust Virtus Ceredex Mid Cap Val Victory Growth Stock Financial Corp Equity Victory INCORE Fund for Village Farms International Virtus Ceredex Small Cap Income Inc Val Equity Victory INCORE Investment Village Super Market Inc Virtus Duff & Phelps Real Quality Bond VIP Series I Villere Balanced Estate Securities Victory INCORE Low Vimicro International Corp Virtus Dynamic Alphasector Duration Bond Vina De Concha Y Toro Sa Virtus Insight Govt MM Victory Instl Money Market Conchatoro Virtus Insight MM Victory Integrity Small Cap Vince Holding Corp Virtus Insight TxEx MM Value Vineyard National Bancorp Virtus Investment Partners Victory Intermediate Income Vintage Equity Inc Victory Munder Mid Cap Core VINTAGE PETROLEUM INC Virtus KAR Capital Growth Growth Violin Memory Inc Virtus KAR International Victory OH Muni Money Viomi Technology Co Ltd Small Cap Market VION PHARMACEUTICALS Virtus KAR Small Cap Core Victory Prime Obligation INC Virtus KAR Small Cap Victory RS Large Cap Alpha VIOQUEST Growth Victory RS Large Cap Alpha PHARMACEUTICALS INC Virtus KAR Small Cap Value VIP Series I Viosolar Inc Virtus Mid Cap Value Victory RS Partners Viper Energy Partners LP Virtus Newfleet Multi Sector Victory RS Select Growth VIPER POWERSPORTS INC Short Term Bond Victory RS Small Cap Growth Vipshop Holdings Ltd Virtus Newfleet Senior Victory RS Value Virage Inc Floating Rate Victory Special Value Virage Logic Corp Virtus Rampart Equity Trend Victory Stock Index VIRAGEN INC Virtus Sector Trend Victory Sycamore Viral Genetics Inc Virtus Seix Floating Rate Established Value VIRBAC CORP High Income Victory Sycamore Small VIRCO MFG. CORP Virtus Seix High Income Company Opportunity ViRexx Medical Corp Virtus Seix Investment Grade Victory Trivalent International Virgin America Inc Tax Exempt Bond Small Cap Virgin Media Inc Virtus Seix Total Return Bond Victory TxFr Money Market Virgin Mobile USA Inc Virtus Seix US Government Victory Value Virginia Mines Inc Ultra Short Bond Victory VIF Diversified Stock Virginia National Bankshares Virtus Vontobel Emerging Victory VIF Instl Liquid Resrv Corp Markets Opportunities VictoryShares US 500 VirnetX Holding Corp Virtus Vontobel Foreign Enhanced Volatility Wtd ETF VIROPHARMA INC Opportunities VictoryShares US 500 Virtu Financial Inc Virtusa Corp Volatility Wtd ETF Virtual Piggy Inc Visa Inc VISEON INC
Page 163
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Vishay Intertechnology Inc. Volcom Inc Voya Intermediate Bond Vishay Precision Group Inc Volt Information Sciences Portfolio VISICU INC Inc. Voya International Index VISION BANCSHARES INC Voltaire Ltd Portfolio VISION GLOBAL Volterra Semiconductor Corp Voya International Real SOLUTIONS INC VOLVO AB Estate Vision Industries Corp Vonage Holdings Corp Voya Large Cap Growth VisionChina Media Inc VORNADO REALTY TRUST Voya Large Cap Value VISIONGATEWAY INC voxeljet AG Voya Large Cap Value Vision-Sciences Inc VOXWARE INC Portfolio VIST Financial Corp VOXX International Corp Voya Large Cp Growth Vista Gold Corp Voya Aggregate Bond Portfolio Vista Outdoor Inc Portfolio Voya MidCap Opportunities VISTACARE INC Voya Balanced Portfolio Voya MidCap Opportunities Visteon Corp. Voya Corporate Leaders 100 Portfolio Vistra Energy Corp Voya Corporate Leaders Voya Multi-Manager Visual Networks Inc Series B International Equity VISX INC/DE Voya Emerging Markets Voya Prime Rate Trust Vitacost.com Inc Index Portfolio Voya Real Estate Vitae Pharmaceuticals Inc Voya Financial Inc Voya Retirement Vital Images Inc Voya Floating Rate Conservative Portfolio VITAL LIVING INC Voya Global Bond Voya Retirement Growth Vital Signs Inc. Voya Global Diversified Portfolio Vital Therapies Inc Payment Voya Retirement Moderate VITALSTREAM HOLDINGS Voya Global Equity Dividend Growth Portfolio INC and Premium Opportunity Voya Retirement Moderate Vitamin Shoppe Inc Fund Portfolio Vitamin Spice Voya Global Equity Portfolio Voya Russell Large Cap Vitesse Semiconductor Corp Voya Global Real Estate Growth Index Portfolio VITRIA TECHNOLOGY INC Voya Global Resources Voya Russell Large Cap Vitro Sab De CV Portfolio Index Portfolio Vivaldi Merger Arbitrage Voya GNMA Income Voya Russell Mid Cap Index VIVENDI UNIVERSAL SA Voya Government Liquid Portfolio Viveve Medical Inc Asset Portfolio Voya Russell Small Cap Vivint Solar Inc Voya Government Money Index Portfolio VIVO PARTICIPACOES SA Market Portfolio Voya Senior Income Vivus Inc Voya Growth & Income Voya Small Company Vixel Corp Portfolio Voya Small Company VLOV Inc Voya High Yield Bond Portfolio VMware Inc Voya High Yield Portfolio Voya SmallCap Opportunities VNUS Medical Technologies Voya Index Plus Large Cap Voya Solution 2015 Portfolio Inc Portfolio Voya Solution 2025 Portfolio VOCALTEC Voya Index Plus MidCap Voya Solution 2035 Portfolio COMMUNICATIONS LTD Portfolio Voya Solution 2045 Portfolio Vocera Communications Inc Voya Index Solution 2025 Voya Solution Income Vocus Inc Portfolio Portfolio Vodafone Group PLC Voya Index Solution 2035 Voya Solution Moderately VOICE MOBILITY INTL INC Portfolio Aggressive Portfolio VOIP INC Voya Index Solution 2045 Voya Strategic Income Volcan Holdings Inc Portfolio Opportunities Volcano Corp Voya Intermediate Bond
Page 164
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Voya US Bond Index VY T Rowe Equity Income WABTEC CORP Portfolio Portfolio WACCAMAW Voya US Stock Index VY T Rowe Growth Equity BANKSHARES INC Portfolio Portfolio Wachovia Corp Voyager Learning Co VY Templeton Foreign Equity WACOAL HOLDINGS CORP Voyager Therapeutics Inc Portfolio Waddell & Reed Financial Voyant International Corp VY Templeton Global Growth Inc. Vringo Inc Portfolio WaferGen Bio-systems Inc VSB Bancorp Inc/NY Vyteris Inc WageWorks Inc VSE CORP Vyyo Inc Waitr Holdings Inc VTTI Energy Partners LP W Holding Co Inc. WAKE FOREST VULCAN INTL CORP W&R Advisors Continental BANCSHARES INC Vulcan Materials Co Inc Walgreens Boots Alliance Inc Vulcan Value Partners W&R Advisors Core Walker & Dunlop Inc Vulcan Value Partners Small Investment Walking Company Holdings Cap W&R Advisors Dividend Inc (The) Vuzix Corp Opportunities Walmart Inc VVIT Virtus International W&R Advisors Global Bond Walter Energy Inc Series W&R Advisors Global Growth Walter Investment VWR Corp W&R Advisors Govt Management Corp VY Baron Growth Portfolio Securities Walthausen Small Cap Value VY BlackRock Inflation W&R Advisors High Income Wanger Intl Protected Bond Portfolio W&R Advisors Muni High Wanger Select VY Clarion Real Estate Income Wanger USA Portfolio W&R Advisors Municipal Warnaco Group Inc (The) VY FMR Diversified Mid Cap Bond Warner Chilcott Plc Portfolio W&R Advisors New Warner Music Group Corp VY Franklin Income Portfolio Concepts WARREN RESOURCES INC VY Franklin Mutual Shares W&R Advisors Retirement Warrior Met Coal Inc Portfolio Shrs Warwick Cmnty Bancorp Inc VY Franklin Templeton W&R Advisors Science & Wasatch Core Growth Founding Strategy Portfolio Tech Wasatch Emerging Markets VY Invesco Comstock W&R Advisors Small Cap Small Cap Portfolio W&R Advisors Value Wasatch Frontier Emerging VY Invesco Equity & Income W&R Advisors Vanguard Small Countries Portfolio W&T Offshore Inc Wasatch Heritage Growth VY Invesco Growth & Income W. P. Carey Inc Wasatch International Growth Portfolio W.P. Stewart & Co. Ltd Wasatch International VY JPM Emerging Markets WA CA Muni Money Market Opportunities Equity Portfolio WA Institutional Money Wasatch Large Cap Value VY JPM Mid Cap Value Market Wasatch Long/Short Portfolio WA MA Muni MM Wasatch Micro Cap VY JPM Small Cap Core WA Money Market Wasatch Small Cap Growth Equity Portfolio WA Muni MM Wasatch Small Cap Value VY Oppenheimer Global WA NY Muni MM Wasatch Ultra Growth Portfolio WA NY TxFr Money Market Washington Banking Co VY T Rowe Cap Appreciation WA Premium Liquid Reserve Washington Federal Inc. Portfolio WA Premium US Treas WASHINGTON GROUP VY T Rowe Diversified Mid Reserv INTL INC Cap Growth Portfolio WA/Citi TxFr Reserves Washington Mutual Investors WABCO Holdings Inc Funds Inc
Page 165
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Washington Prime Group Inc WEB.COM INC Wells Fargo Avtg CB Lg Cap Washington Real Estate Webco Industries Inc Value Investment Trust WEBEX Wells Fargo Avtg CB Mid Washington Trust Bancorp COMMUNICATIONS INC Cap Value Inc WEBFINANCIAL CORP Wells Fargo Avtg Classic WashingtonFirst Bankshares WebMD Health Corp Value Inc WebMediaBrands Inc Wells Fargo Avtg Waste Connections Inc webMethods Inc Conservative Allocation Waste Connections Inc. WEBSIDESTORY INC Wells Fargo Avtg Core Equity Waste Industries USA Inc Webster City Fed Bancorp Wells Fargo Avtg Corporate Waste Management Inc. Webster Financial Corp Bond WASTE SERVICES INC WEBZEN INC Wells Fargo Avtg Disciplined WATCHGUARD WEC Energy Group Inc Value TECHNOLOGIES INC Weibo Corp Wells Fargo Avtg Diversified Water Pik Technologies Inc Weight Watchers Equity Waters Corp International Inc. Wells Fargo Avtg Diversified Waterstone Financial Inc Weikang Bio-Technology International Watsco Inc. Group Co Inc Wells Fargo Avtg Diversified Watts Water Technologies Weingarten Realty Investors Small Cap Inc Weis Markets Inc. Wells Fargo Avtg Emerging WAUSAU PAPER CORP Weitz Partners III Opportunity Markets Focus WAVE Life Sciences Ltd Weitz Partners Value Wells Fargo Avtg Equity Wave Systems Corp. Weitz Series Hickory Income WAVECOM SA Weitz Short Duration Income Wells Fargo Avtg Equity Waverider Communications Weitz Value Index Inc Welbilt Inc Wells Fargo Avtg Equity Wayfair Inc WELLCHOICE INC Value Wayne Bancorp Inc/Oh Wellesley Bancorp Inc Wells Fargo Avtg Global Wayne Hummer Money Wellman Inc. Opportunities WAYNE SAVINGS WELLPOINT HEALTH Wells Fargo Avtg Growth & BANCSHARES INC NETWRKS INC Income Waypoint Financial Corp Wells Fargo & Co Wells Fargo Avtg Growth Wayside Technology Group Wells Fargo Adjustable Rate Balanced WCA WASTE CORP Government Wells Fargo Avtg Growth WCI Communities Inc Wells Fargo Advantage Equity WCM Focused International Endeavor Select Wells Fargo Avtg High Yield Growth Wells Fargo Advantage Bd WD-40 CO Global Dividend Opportunity Wells Fargo Avtg We Save Homes Inc Fund International Equity Wealth Minerals Wells Fargo Advantage High Wells Fargo Avtg Intrmd Govt Wealthbuilder Conservative Income Income Allocation Wells Fargo Advantage Wells Fargo Avtg Large Wealthbuilder Equity Municipal Money Market Company Core Wealthbuilder Growth Wells Fargo Asset Allocation Wells Fargo Avtg Large Balanced Wells Fargo Avtg Aggressive Company Growth Wealthbuilder Moderate Allocation Wells Fargo Avtg Liquidity Balanced Wells Fargo Avtg Asia Pacific Reserve MM Wealthcraft Systems Inc Wells Fargo Avtg CA TxFr Wells Fargo Avtg Mid Cap Wealthfront Risk Parity MM Trust Growth Weatherford International plc Wells Fargo Avtg Capital Wells Fargo Avtg Moderate Web.com Group Inc Growth Balanced
Page 166
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Wells Fargo Avtg Money Wells Fargo Dow Jones Wells Fargo Target 2020 Market Trust Target 2015 Wells Fargo Target 2025 Wells Fargo Avtg Natl TxFr Wells Fargo Dow Jones Wells Fargo Target 2030 Wells Fargo Avtg Natl TxFr Target 2045 Wells Fargo Target 2035 MM Trust Wells Fargo Dow Jones Wells Fargo Target 2040 Wells Fargo Avtg NY Muni Target Today Wells Fargo Target 2050 MM Wells Fargo Emerging Wells Financial Corp Wells Fargo Avtg Overland Markets Equity Income Wells S&P REIT Index Exp Sweep Wells Fargo Govt IL MM Wells-Gardner Electronics Wells Fargo Avtg PA Tax- Wells Fargo Growth Corp Free Wells Fargo High Yield Bond Welltower Inc Wells Fargo Avtg Precious Wells Fargo Income Wendy's Co Metals Wells Fargo Income Wendy's International Inc. Wells Fargo Avtg Prime Invst Opportunities Fund Werner Enterprises Inc. MM Wells Fargo Index WesBanco Inc Wells Fargo Avtg Small Cap Wells Fargo Index Asset WESCAST INDUSTRIES - Disciplined Allocation CL A Wells Fargo Avtg Small Cap Wells Fargo Intermediate Tax Wesco Aircraft Holdings Inc Growth AMT Free WESCO FINANCIAL CORP Wells Fargo Avtg Small Cap Wells Fargo International WESCO International Inc Opport Bond WESCORP ENERGY INC Wells Fargo Avtg Small Wells Fargo International Wesmark Growth Company Value Value West Bancorporation Inc Wells Fargo Avtg Stable Wells Fargo Intrinsic Value West Coast Bancorp Income Wells Fargo Large Cap Core West Corp Wells Fargo Avtg Strategic Wells Fargo MN TxFr West Marine Inc Large Cap Growth Wells Fargo Money Market West Pharmaceutical Wells Fargo Avtg US Value Wells Fargo Multi-Sector Services Inc. Wells Fargo Avtg Utility & Income Fund WEST POINTE BANCORP Telecommunications Wells Fargo Municipal Cash INC Wells Fargo CA Ltd Tax-Free Management Money Market Westaff Inc Wells Fargo CA Municipal Wells Fargo Natl Tax-Free Westaim Corp (The) Money Market Money Market Westamerica Bancorporation Wells Fargo CA Tax-Free Wells Fargo Omega Growth Westar Energy Inc. Bond Wells Fargo Opportunity WESTBANK CORP Wells Fargo Cash Invest Wells Fargo Premier Large WESTBOROUGH FINL Money Market Company Growth SVCS INC Wells Fargo Conservative Wells Fargo Prime Inv IL MM Westbury Bancorp Inc Income Wells Fargo Short Bond Westcore Flexible Income Wells Fargo Core Plus Bond Wells Fargo Short Westcore Growth Wells Fargo CoreBuilder Government Bond Westcore Select Series M Wells Fargo Short High Yield Westcore Small Cap Value Wells Fargo Disciplined U.S. Bond WESTCORP Core Wells Fargo SIFE Splzd Finl Westell Technologies Inc Wells Fargo Divers Bond Wells Fargo Small Cap Value Western Alliance Wells Fargo Diversified Wells Fargo Small Company Bancorporation Capital Builder Growth Western Asset 2008 Wells Fargo Diversified Wells Fargo Specialized Worldwide Dollar Income Builder Small Cap Value Government Term Trust Inc Wells Fargo Dow Jones Wells Fargo Strategic Western Asset CA Municipals Target 2010 Municipal Bond Western Asset Core Bond
Page 167
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Western Asset Core Plus Western Asset Managed WESTERN WIRELESS Bond Municipals CORP -CL A Western Asset Corporate Western Asset Managed Westlake Chemical Corp Bond Municipals Fund Inc Westlake Chemical Partners Western Asset Emerging Western Asset Mortgage LP Markets Debt Fund Inc Backed Securities Westpoint Stevens Inc Western Asset Emerging Western Asset Mortgage Westport Fuel Systems Inc Markets Income Fund Inc Capital Corp Westport Fund Western Asset Global Western Asset Municipal Westport Resources Corp Corporate Defined Defined Opportunity Trust Inc Westport Select Cap Opportunity Fund Inc Western Asset Municipal WestRock Co Western Asset Global High High Income WESTSIDE ENERGY CORP Income Fund Inc Western Asset NY Municipals Weststar Financial Services Western Asset Global High Western Asset Select Tax Corp Yield Bond Free Reserves Westway Group Inc Western Asset Government Western Asset Short Westwood Holdings Group Reserves Duration High Income Inc. Western Asset High Income Western Asset Short Westwood Income Fund II Inc Duration Municipal Income Opportunity Western Asset High Yield Western Asset Short Term Westwood Smidcap Western Asset High Yield Bond WEX Inc Defined Opportunity Fund Inc Western Asset Total Return Weyco Group Inc Western Asset Inflation Index Unconstrained Weyerhaeuser Co Plus Bond Western Asset US Treasury WFAVT Asset Allocation Western Asset Inflation- Reserves WFAVT Opportunity Linked Opportunities & Western Asset/Claymore WFS FINANCIAL INC Income Fund Inflation-Linked Securities & WGL Holdings Inc. Western Asset Institutional Income Fund WGNB Corp. AMT Free Municipal Money WESTERN DIGITAL CORP W-H Energy Services Inc Market Western Gas Partners Lp Wheaton Precious Metals Western Asset Institutional WESTERN GAS Corp Cash Reserve RESOURCES INC WHEATON RIVER Western Asset Institutional Western Goldfields Inc MINERALS LTD Government Reserves Western Liberty Bancorp Wheeler Real Estate Western Asset Institutional Western Midstream Partners Investment Trust Inc Liquid Reserve LP Wheeling Pittsburgh Corp Western Asset Institutional Western New England WHERIFY WIRELESS INC US Treasury Obligations Bancorp Inc Whirlpool Corp Money Market Western Ohio Finl Corp White Electronic Designs Western Asset Institutional Western Refining Inc Corp US Treasury Reserve Western Refining Logistics WHITE MOUNTAIN Western Asset Intermediate LP TITANIUM CORP Bond WESTERN SIERRA White Mountains Insurance Western Asset Intermediate BANCORP Group Ltd Term Municipals WESTERN SIERRA MINING White Oak Select Growth Western Asset Liquid CORP White River Capital Inc Reserves WESTERN SILVER CORP Whitebox Tactical Western Asset Macro Western Sizzlin Corp Opportunities Opportunities Western Standard Energy WHITEHALL JEWELLERS Western Asset Managed Corp INC High Income Fund Inc Western Union Co Whitestone REIT
Page 168
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
WhiteWave Foods Co (The) Wilmington Prime MM Wireless Telecom Group Inc. Whiting Petroleum Corp Wilmington Prime Money WIRELESS XCESSORIES Whiting USA Trust I Market GRP INC Whiting USA Trust II Wilmington Tax-Exempt MM WisdomTree Asia Local Debt Whitney Holding Corp. Wilmington Trust Corp Fund WHITNEY INFORMATION Wilmington TxEx MM WisdomTree Continuous NET INC Wilmington US Government Commodity Index Fund WHITTIER ENERGY CORP MM WisdomTree Dividend Ex- WHOLE FOODS MARKET Wilmington US Govt MM Financials Fund INC Wilmington US Treasury WisdomTree Dreyfus WideOpenWest Inc Money Mkt Chinese Yuan Fund Widepoint Corp Wilshire 5000 Index Portfolio WisdomTree Dreyfus WIDERTHAN CO LTD -ADS Wilshire Bancorp Inc Emerging Currency Fund WiFiMed Holdings Co Inc Wilshire Enterprises Inc. WisdomTree Emerging WILBER CORP Wilshire Large Company Markets High Dividend Fund WILD OATS MARKETS INC Growth WisdomTree Emerging WildHorse Resource Wilshire VIT Balanced Markets Local Debt Fund Development Corp Wilshire VIT Equity WisdomTree Emerging Willamette Valley Vineyards Wilson Holdings Inc Markets Small Cap Dividend Inc Wilsons The Leather Experts Fund Willbros Group Inc. Inc WisdomTree Europe Hedged Willdan Group Inc Wiltel Communications Equity Fund William Lyon Homes Group WisdomTree Europe William Penn Bancorp Inc Wimm-Bill-Dann Foods SmallCap Dividend Fund Williams Capital Govt Money OJSC WisdomTree India Earnings Market Wind Energy America Inc Fund ETF Williams Coal Seam Gas Wind River Systems Inc WisdomTree International Royalty Trust WINDROSE MEDICAL Dividend Top 100 Fund Williams Controls Inc PPTYS TR WisdomTree International Williams Cos Inc. (The) Windstream Holdings Inc Equity Fund WILLIAMS PARTNERS L.P. Wingstop Inc WisdomTree International WILLIAMS PARTNERS LP Winland Ocean Shipping Hedged Quality Dividend Williams Pipeline Partners LP Corp Growth Fund WILLIAMS SCOTSMAN INTL Winmark Corp WisdomTree International Williams-Sonoma Inc. Winn-Dixie Stores Inc. SmallCap Dividend Fund Willis Lease Finance Corp Winnebago Industries Inc. Wisdomtree Investments Inc Willis Towers Watson plc Winner Medical Group Inc WisdomTree Japan Hedged Williston Basin / Mid North Wins Finance Holdings Inc Equity Fund America Stock Winslow Green Growth WisdomTree Japan Willow Creek Enterprises Inc WinSonic Digital Media SmallCap Dividend Fund Willow Financial Bancorp Inc Group Ltd WisdomTree Trust - Wilmington Broad Market WINSTON HOTELS INC WisdomTree U.S. High Bond Winston Pharmaceuticals Inc Dividend Fund Wilmington International Wintergreen Fund WisdomTree U.S. LargeCap Wilmington Large Cap Winthrop Realty Trust Inc Dividend Fund Strategy Winton Financial Corp WisdomTree U.S. Quality Wilmington Multi Mgr Intl Wintrust Financial Corp. Dividend Growth Fund Wilmington Multi Mgr Real WINWIN GAMING INC WisdomTree US MidCap Asset Wipro Ltd Dividend Fund Wilmington Premier Money Wireless Ronin Technologies WisdomTree US MidCap Mkt Inc Earnings Fund
Page 169
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
WisdomTree US SmallCap WOODHEAD INDUSTRIES WuXi PharmaTech (Cayman) Dividend Fund INC Inc WisdomTree US SmallCap Woodward Inc WVS Financial Corp. Earnings Fund Woori Financial Holdings Co WYETH WisdomTree US Total Ltd Wyndham Destinations Inc Dividend Fund WORDLOGIC CORP Wyndham Hotels & Resorts Wiser Oil Co Workday Inc Inc Witness Systems Inc Workflow Mgmt Inc WYNDHAM WITS BASIN PRECIOUS Workhorse Group Inc INTERNATIONAL INC MINERALS Workiva Inc Wynn Resorts Ltd Wix.com Ltd Workstream Inc X CHANGE CORP WJ Communications Inc World Acceptance Corp X Financial Wm Blair Bond WORLD AIR HOLDINGS INC X4 Pharmaceuticals Inc Wm Blair Emerging Markets World Color Press Inc Xactly Corp Growth World Energy Solutions Inc XATA Corp Wm Blair Growth World Fuel Services Corp XBiotech Inc Wm Blair Income WORLD HEALTH Xcel Brands Inc Wm Blair Institutional ALTERNATIVES Xcel Energy Inc. International Growth World Heart Corp XCELERA INC Wm Blair Instl Intl Equity World Point Terminals LP Xcerra Corp Wm Blair International WORLD WASTE Xcorporeal Inc Growth TECHNOLOGIES INC XCYTE THERAPIES INC Wm Blair International Small World Wrestling XECHEM INTERNATIONAL Cap Growth Entertainment Inc. INC Wm Blair Intl Equity WORLDGATE Xencor Inc Wm Blair Macro Allocation COMMUNICATIONS INC Xenetic Biosciences PLC Wm Blair Ready Reserves Worldpay Inc Xenia Hotels & Resorts Inc Wm Blair Small Cap Growth WORLDSPACE INC Xenith Bankshares Inc Wm Blair Small Cap Value WORLDWIDE BIOTECH & Xeno Transplants Corp Wm Blair Small Mid Growth PHARMA XENOGEN CORP WM Growth Worldwide Restaurant Xenon Pharmaceuticals Inc WM Growth & Income Concept Xenonics Holdings Inc WM International Growth WORONOCO BANCORP XENOPORT INC WM Money Market INC Xeris Pharmaceuticals inc WM REIT Worthington Industries Inc. Xerox Corp WM Small Cap Growth Wound Management XETA Technologies Inc WM Small Cap Value Technologies Inc XETHANOL CORP WM Tax Exempt Bond Wowjoint Holdings Ltd XFONE INC WM Variable Growth & WPCS INTERNATIONAL Xhibit Corp Income INC Xicor Inc WM Variable Growth Fund WPX Energy Inc Xilinx Inc. WM. Wrigley Jr. Co Wrap Technologies Inc XINHUA CHINA LTD WMC RESOURCES LTD Wright Medical Group Inc Xinhua Sports & WMS Industries Inc. Wright Medical Group N.V. Entertainment Ltd WNS (Holdings) Ltd WSB Financial Group Inc Xinyuan Real Estate Co Ltd Wolohan Lumber Co WSB Holdings Inc XL Group Ltd WOLSELEY PLC WSFS Financial Corp XM Satellite Radio Holdings Wolverine Tube Inc. WSP Holdings Ltd Inc Wolverine World Wide Inc. Wuhan General Group XO Group Inc Women First Healthcare (China) Inc XO Holdings Inc Woodbridge Holdings Corp XOMA Corp
Page 170
Public Company Accounting Oversight Board Issuers With No Outstanding Past-Due Share as of December 9, 2019
Xoom Corp Young Innovations Inc Zomedica Pharmaceuticals Xperi Corporation Youngevity International Inc Corp XPO Logistics Inc Your Community Bancshares ZONE 4 PLAY INC XRG INC Inc Zoned Properties Inc X-Rite Inc YPF SOCIEDAD ANONIMA ZONES INC XSTREAM MOBILE YRC Worldwide Inc Zoo Entertainment Inc SOLUTIONS CP YTB INTERNATIONAL INC Zoom Technologies Inc XSUNX INC Yucheng Technologies Ltd Zoran Corp XTENT INC Yuhe International Inc Zoro Mining Corp Xtera Communications Inc Yum China Holdings Inc Zosano Pharma Corp XTL YUM! Brands Inc. Zovio Inc BIOPHARMACEUTICALS Yuma Energy Inc ZS Pharma Inc XTO Energy Inc. YuMe Inc Zscaler Inc Xtrackers MSCI Europe YY Inc ZST Digital Networks Inc Hedged Equity ETF Zafgen Inc Z-TRIM HOLDINGS INC Xtra-Gold Resources Corp Zagg Inc zulily inc Xunlei Ltd Zai Lab Ltd Zulu Energy Corp Xura Inc ZAIS Group Holdings, Inc. Zumiez Inc XYBERNAUT CORP Zale Corp Zuora Inc Xyratex Ltd Zanett Inc ZVUE Corp Yadkin Financial Corp ZAP Zweig Fund Inc. (The) YAK COMMUNICATIONS Zarlink Semiconductor Inc. Zweig Total Return Fund Inc. INC Zayo Group Holdings Inc (The) Yamana Gold Inc ZaZa Energy Corp ZYGO CORP Yandex NV ZBB Energy Corp Zymeworks Inc Yanglin Soybean Inc Zebra Technologies Corp. ZYMOGENETICS INC Yangtze River Port & ZELTIQ Aesthetics Inc Zynerba Pharmaceuticals Inc Logistics Ltd Zendesk Inc Zynex Inc YANKEE CANDLE CO INC Zenith National Insurance Zynga Inc YARDVILLE NATIONAL Corp BANCORP Zep Inc Yasheng Group Ltd Zero Gravity Solutions Inc Yayi International Inc Zhaoheng Hydropower Co Yellowcake Mining Inc Zhongpin Inc Yext Inc Zi Corp YieldQuest Total Return Zila Inc Bond Zillow Group Inc Yingli Green Energy Holdings Zilog Inc Co Ltd Zimmer Biomet Holdings Inc Yintech Investment Holdings Zions Bancorporation NA Ltd ZIOPHARM Oncology Inc Yirendai Ltd Zipcar Inc YM BIOSCIENCES INC ZipRealty Inc Y-mAbs Therapeutics Inc Zix Corp. Yodlee Inc Zoes Kitchen Inc YORK INTERNATIONAL Zoetis Inc CORP Zogenix Inc York Water Company (The) Zoll Medical Corp Yorktown Multi-Asset Income Zoltek Cos Inc Youbet.com Inc ZOMAX INC/MN Young Broadcasting Inc
Page 171