STANDARD INVESTMENT REPORTS Table of Contents · CROW HOLDINGS REALTY PARTNERS VIII (1,939,701) To Fund Partnerships (Capital Calls) DUNE REAL ESTATE FUND IV (2,120,602) To Fund Partnerships

STATE UNIVERSITIES RETIREMENT SYSTEM

STANDARD INVESTMENT REPORTS

Table of Contents

As of March 31, 2020

Title Schedule

Reconciliation of Market Values A

Investment Income B

Statement of Investment Expenses C

Allocation of Funds from SURS Cash Flow Account D

History of Allocations E

Alternative Investments F

Brokerage Cost Review: April 1, 2019 through March 31, 2020 Domestic Equities G

International Equities H

Global Equities I

Fixed Income and TIPS J

Schedule of Pending Class Action Claims K

Schedule of Class Action Proceeds Received L

7/1/2019 Net Net 3/31/2020

Investment Market Value Contributions Income Appreciation Market Value

Adams Street 2018 Global Fund 11,495 11,634 246 2,600 25,974



Adams Street 2015 Global Fund 94,495 (525) 525 14,656 109,150




Adams Street 2009 Global Offering 99,889 (360) 717 7,031 107,276

Adams Street 2008 Global Offering 90,882 (348) 769 5,817 97,119

Adams Street 2007 Global Opportunities 39,324 - 208 1,539 41,071

Adams Street Secondary Fund 5 14,290 21 149 473 14,932

Adams Street Global Opportunities Second 5,238 (17) 59 403 5,683

Adams Street 2004 Non-U.S. Fund 6,739 30 30 (50) 6,750

Adams Street Partnerships 28,473 (3,438) 170 (2,327) 22,877

Alinda Capital Partners 23,619 (94) 486 403 24,414

AQR Capital Management - BuyWrite Strategy 174,940 114,467 533 (30,679) 259,261

ARP Investments - 100,000 - (14,086) 85,914

Aspect Capital - 94,763 237 5,274 100,274

Ativo Capital Management 294,553 28 5,347 (63,055) 236,873

Basis Investment Group Fund I 12,701 1,685 1,627 (757) 15,256

Blackstone Property Partners 200,000 (1,079) 4,006 6,589 209,516

Blackstone Property Partners Europe VI - 5,541 (1) 4 5,544

Blue Vista Real Estate Partners IV 32,598 (2,303) 358 2,612 33,266

Brookfield Strategic Real Estate Partners II 30,103 (466) 509 2,490 32,635

Brookfield Strategic Real Estate Partners III 6,950 3,695 331 869 11,845

BTC Emerging Markets Fund 372,375 (90,000) 21 (51,376) 231,021

BTC International Equity Fund 1,126,442 - 49 (201,629) 924,862

BTC International Alpha Tilts Fund 541,335 - 6 (104,671) 436,670

BTC Global REIT Fund 424,581 (447,746) 17 23,148 0

Campbell & Company - 94,842 158 1,422 96,422

Cash 229,561 66,471 2,297 854 299,182

Carlyle Property Investors 101,892 (717) 5,214 1,577 107,966

CastleArk Management 119,449 (118,459) 331 (1,307) 14

Channing Capital Management (SMID Value) 93,284 - 1,027 (31,536) 62,775

Colchester Local Markets Debt Fund 148,863 (559) 6,905 (26,347) 128,862

Credit Suisse Asset Management - 95,000 329 (2,438) 92,890

Crow Holdings Realty Partners VII 23,712 (5,774) 829 774 19,542

Crow Holdings Realty Partners VIII 9,183 5,675 550 508 15,917

Denali Advisors 49,194 - 1,060 (14,000) 36,255

Dune Real Estate Fund II 24,867 (122) 211 670 25,626

Dune Real Estate Fund III 135,551 (714) 1,150 (5,545) 130,441

Dune Real Estate Fund IV - 10,801 911 - 11,712

EARNEST Partners 175,210 - 1,785 (31,179) 145,816

Fairview Lincoln Fund I 64,194 5,694 3,301 770 73,960

Fidelity Institutional Asset Management 583,983 (617,564) 3,574 31,709 1,702

Franklin Templeton EMREFF 31,194 (72) 393 (1,743) 29,773

Franklin Templeton FTPREF 16,645 (79) 529 (2,232) 14,863

Franklin Templeton MDP RE 2015 44,756 1,016 1,367 2,152 49,290

Garcia Hamilton & Associates 334,164 81,488 9,787 9,949 435,388

Gladius - GVP 48,617 15,004 497 (3,932) 60,185

Gladius - Prime Broker GVP 45,426 181,600 1,382 (35,755) 192,653

Gladius - Prime Broker US Equity 91,573 (97,390) 407 5,479 70

Gladius - US Equity 366,570 (369,135) 1,677 888 (0)

GlobeFlex Capital 310,985 - 5,864 (68,037) 248,812

Heitman HART Fund 221,389 (1,240) 5,627 (9,668) 216,109

Invesco Balanced Risk Commodity Trust 239,376 (238,866) 1 (511) 0

JPMCB Strategic Property Fund 225,396 (1,486) 6,685 3,107 233,702


RECONCILIATION OF MARKET VALUES

Fiscal Year 2020 to Date

($ in thousands)July 1, 2019 through March 31, 2020

Schedule A

7/1/2019 Net Net 3/31/2020






KKR Prisma Codlin Fund 27,598 (16,779) 76 (225) 10,670

LM Capital Group 174,570 191,316 7,821 11,459 385,166

Lombard Odier Fund IV - 100,000 - 819 100,819

Longtail Alpha Fund - 66,000 - 4,988 70,988

Long Wharf RE Partners VI - 4,671 490 (587) 4,574

Macquarie Infrastructure Partners II 21,127 (8,439) 184 1,724 14,596

Macquarie Infrastructure Partners III 55,651 (409) 610 4,031 59,883

Macquarie Infrastructure Partners IV 19,025 23,829 512 2,537 45,904

Matarin Capital Management 93,120 - 1,175 (29,380) 64,915

Mesirow Private Equity Fund VII-B (Co-Investment) 25,159 11,100 300 1,498 38,057

Mesirow Private Equity Special Fund B (FOO) 21,993 34,923 278 (737) 56,456

Mondrian Investment Partners 587,355 209 11,607 (94,405) 504,767

Muller & Monroe MPEFF 6,973 (50) 90 35 7,047

Muller & Monroe SURS Emerging Priv Eqty 57,203 7,835 724 5,176 70,937

Neuberger Berman 375,406 577,147 29,059 (124,821) 856,790

Neuberger Berman - PutWrite Strategy 359,149 216,002 998 (51,416) 524,733

Northern Trust Asset Management 1,273,725 (250,000) 17,107 (128,856) 911,977

Oaktree Real Estate Debt Fund II 11,672 5,966 157 1,004 18,798

PAAMCO Newport Monarch Fund 125,584 (113,770) 271 (461) 11,624

Pantheon Access (U.S.) 2018 7,740 12,669 473 (53) 20,829

Pantheon Access (U.S.) 2017 12,141 9,147 216 659 22,162

Pantheon Europe Fund III 9,920 - 94 518 10,532

Pantheon Europe Fund VI 26,187 (159) 340 1,264 27,632

Pantheon Europe Fund VII 33,571 (193) 315 3,164 36,858

Pantheon Global Secondary II 2,820 0 35 (14) 2,841

Pantheon Multi-Strategy Program 2014 70,169 6,829 632 7,052 84,682

Pantheon USA Fund VIII 95,092 (473) 1,130 1,889 97,638

Pantheon USA Fund IX 96,300 (34,560) 906 7,295 69,941

Pantheon Ventures Inc. 74,617 (18,550) 586 (16,298) 40,356

Parametric Clifton Cash Overlay 126,061 (3,000) 1,145 (16,878) 107,327

Piedmont Investment Advisors 694,706 - 11,627 (106,685) 599,648

PIMCO Commodity Alpha Fund 113,085 (1,289) 1,289 (13,050) 100,034

PIMCO Total Return 426,267 (432,801) 431 5,823 (280)

PIMCO Unconstrained Bond 512,524 455,801 32,319 (94,275) 906,369

Progress Emerging - Emerging Market Debt 140,072 (16,777) 5,103 (18,161) 110,238

Progress Emerging - Fixed Income 117,877 107,928 5,422 (27,620) 203,606

Progress Emerging - Non-U.S. Equity 228,102 139 3,350 (40,952) 190,640

Prudential Emerging Mkts Debt Blend 336,943 (1,006) 15,950 (68,849) 283,037

Pugh Capital Management 175,063 206,283 7,731 9,145 398,222

Ramirez Asset Management 40,157 202,300 5,455 2,350 250,262

RhumbLine Advisers 1,089,317 - 16,334 (151,845) 953,807

RhumbLine Advisers TIPS 728,417 355,000 5,712 28,672 1,117,800

Rhumbline Long Duration - 300,000 2,715 59,540 362,255

Smith Graham & Company 112,774 (115,304) (193) 2,723 0

State Street Global Advisors 579,686 (593,107) (144) 13,651 86

StepStone Real Estate 40,240 (188) 1,830 (1,401) 40,481

Strategic Global Advisors 330,226 - 5,802 (65,744) 270,285

T. Rowe Price 460,463 (150,000) 6,634 (25,530) 291,567

T. Rowe Price - Global Focused Growth 638,556 (70,000) 3,974 (35,860) 536,670

TorreyCove - Bregal Sagemount III - 2,598 (423) (297) 1,878

TorreyCove - Clearlake Capital Partners VI - - - - -

TorreyCove - Cortec Group Fund VII - 8,010 (324) (155) 7,531

TorreyCove - Harvest Partners VIII - 11,124 (276) (102) 10,746

TorreyCove - Oceansound Partners Fund - 8,272 (566) (74) 7,632

TorreyCove - Reverence Capital II - 20,027 (2,978) - 17,049

TCW MetWest 589,978 (600,069) 238 9,853 -

UBS Trumbull Property Fund 115,183 (27,434) 3,000 (2,023) 88,726

Wellington Management 618,364 - 8,335 (88,248) 538,451

Schedule A

7/1/2019 Net Net 3/31/2020






Transition Account 625 (36) 47 (556) 80

Terminated Managers 693 (1) (20) (8) 665 Totals 19,642,654 (606,580) 298,499 (1,542,486) 17,792,086

Schedule A

INVESTMENT DIVIDENDS INTEREST TOTAL

Adams Street 2018 Global Fund (35,039) 280,638 245,599

Adams Street 2017 Global Fund - 329,447 329,447






Adams Street 2009 Global Offering - 716,595 716,595

Adams Street 2008 Global Offering - 768,639 768,639

Adams Street 2007 Global Oppor Portfolio - 208,373 208,373

Adams Street Global Secondary Fund 5 - 148,764 148,764

Adams Street Global Opportunities Secondary - 58,732 58,732

Adams Street Non-U.S. Fund - 30,210 30,210

Adams Street Partnerships 169,838 283 170,121

Alinda Capital Partners - 486,410 486,410

AQR Capital Management - BuyWrite Strategy - 533,167 533,167

Aspect Capital - 237,153 237,153

Ativo Capital Management 5,296,407 50,861 5,347,268

Basis Investment Group Fund I 1,287,488 339,230 1,626,718

Blackstone Property Partners LP - 4,006,074 4,006,074

Blackstone Real Estate Partners Europe - (772) (772)

Blue Vista Real Estate Partners IV - 358,156 358,156

Brookfield Strategic Real Estate Partners II - 509,069 509,069

Brookfield Strategic Real Estate Partners III - 330,568 330,568

BTC Emerging Markets - 20,983 20,983

BTC International Equity - 48,784 48,784

BTC International Alpha Tilts - 5,950 5,950

Campbell & Company - 157,736 157,736

Carlyle Property Investors - 5,214,293 5,214,293

Cash - 2,296,969 2,296,969

CastleArk Management 297,706 33,457 331,163

Channing Capital Management (SMID Value) 993,532 33,374 1,026,906

Colchester Local Markets Debt Fund - 6,904,718 6,904,718

Credit Suisse Asset Management (11,306) 339,877 328,571

Crow Holdings Realty Partners VII - 829,025 829,025

Crow Holdings RP VIII 325,265 225,157 550,422

Denali Advisors 1,051,665 8,753 1,060,418

Dune Real Estate Fund II - 211,494 211,494

Dune Real Estate Fund III - 1,149,510 1,149,510

Dune Real Estate Fund IV - 910,660 910,660

EARNEST Partners 1,733,054 52,272 1,785,326

Fairview Lincoln Fund I 2,927,118 374,276 3,301,393

Fidelity Institutional Asset Management 3,473,333 101,004 3,574,337

Franklin Templeton EMREFF - 393,192 393,192

Franklin Templeton FTPREF - 528,870 528,870

Franklin Templeton MDP RE 2015 - 1,366,858 1,366,858

Garcia Hamilton & Associates - 9,786,901 9,786,901

Gladius - GVP 426,335 70,214 496,549

Gladius - Prime Broker GVP (238,409) 1,620,152 1,381,743


INVESTMENT INCOME

July 1, 2019 through March 31, 2020Fiscal Year 2020 to Date




INVESTMENT INCOME


Gladius - Prime Broker US Equity (797,019) 1,204,211 407,191

Gladius - US Equity 1,672,696 4,061 1,676,757

GlobeFlex Capital 5,783,119 80,413 5,863,532

Heitman America Real Estate Trust - 5,627,296 5,627,296

Invesco Balanced Risk Commodity Trust - 1,287 1,287

JPMCB Strategic Property Fund - 6,685,356 6,685,356

KKR Prisma Codlin Fund - 75,805 75,805

Long Wharf Real Estate Partners VI - 489,972 489,972

LM Capital Group - 7,820,641 7,820,641

Macquarie Infrastructure Partners II - 183,800 183,800

Macquarie Infrastructure Partners III - 609,643 609,643

Macquarie Infrastructure Partners IV - 512,467 512,467

Matarin Capital Management 1,168,312 6,789 1,175,100

Mesirow Private Equity Fund VII-B - 300,000 300,000

Mesirow Private Equity Special Fund B - 277,500 277,500

Mondrian Investment Partners 11,530,050 77,254 11,607,305

Muller & Monroe MPEFF 11,812 77,827 89,640

Muller & Monroe SURS Emerging Private Equity 115,061 608,696 723,757

Neuberger Berman - 29,058,562 29,058,562

Neuberger Berman - PutWrite Strategy - 998,337 998,337

Northern Trust Asset Management 16,868,144 238,960 17,107,103

Oaktree Real Estate Debt Fund II - 156,765 156,765

PAAMCO Newport Monarch Fund - 270,704 270,704

Pantheon Access (U.S.) 2017 801 214,787 215,588

Pantheon Access (U.S.) 2018 - 472,833 472,833

Pantheon Europe Fund III (3,867) 98,332 94,465

Pantheon Europe Fund VI (7,441) 347,150 339,709

Pantheon Europe Fund VII (4,993) 320,012 315,020

Pantheon Global Secondary II - 35,137 35,137

Pantheon Multi-Strategy Program 2014 208,003 424,191 632,194

Pantheon USA VIII 145,659 984,730 1,130,389

Pantheon USA IX 274,349 631,791 906,140

Pantheon Ventures Inc. 571,131 14,483 585,614

Parametric Clifton Cash Overlay - 1,144,753 1,144,753

Piedmont Investment Advisors 11,583,084 43,724 11,626,808

PIMCO Commodity Alpha Fund - 1,289,060 1,289,060

PIMCO Total Return - 430,847 430,847

PIMCO Unconstrained Bond - 32,319,271 32,319,271

Progress Emerging - EMD - 5,103,103 5,103,103

Progress Emerging - Fixed Income (2,278) 5,424,027 5,421,749

Progress Emerging - Non-U.S. Equity 3,278,396 71,587 3,349,983

Prudential Emerging Mkts Debt Blend - 15,950,258 15,950,258

Pugh Capital Management - 7,731,006 7,731,006

Ramirez Asset Management - 5,454,898 5,454,898

RhumbLine Advisers U.S. Equity 16,318,140 16,257 16,334,398

RhumbLine Advisers - TIPS - 5,711,778 5,711,778

RhumbLine Long Duration - 2,715,077 2,715,077

Smith Graham & Company - (193,353) (193,353)




INVESTMENT INCOME


State Street Global Advisors - (143,687) (143,687)

StepStone Real Estate Global Partnership Fund II - 1,829,758 1,829,758

Strategic Global Advisors 5,774,284 28,181 5,802,466

T. Rowe Price 6,603,521 30,444 6,633,966

T. Rowe Price Global Focused Growth 3,887,360 86,322 3,973,682

TCW MetWest - 238,282 238,282

TorreyCove - Bregal Sagemount III (422,767) - (422,767)

TorreyCove - Cortec Group Fund VII (329,046) 4,902 (324,144)

TorreyCove - Harvest Partners VIII (276,247) - (276,247)

TorreyCove - Oceansound Partners Fund (565,731) - (565,731)

TorreyCove - Reverence Capital II (2,978,187) - (2,978,187)

Terminated Managers (230) (2,198) (2,428)

Transition Account (2,963) 49,988 47,024

UBS Trumbull Property Fund - 3,000,344 3,000,344

Wellington Management 8,256,818 78,265 8,335,084

Sub-Totals 106,356,959 192,141,582 298,498,540

Securities Lending - 3,933,527 3,933,527

Totals 106,356,959 196,075,109 302,432,068

n


STATEMENT OF INVESTMENT EXPENSES

1st QTR 2nd QTR 3rd QTR TOTALS BUDGET BALANCEInvestment Managers:

Adams Street Partners 1,391,162$ 1,392,634$ 1,367,893$ 4,151,689$ 5,598,000$ 1,446,311$

Alinda Capital Partners 34,171 33,273 26,441 93,885 700,000 606,115

AQR Capital Management 133,239 195,765 204,163 533,167 747,000 213,833

Aspect Capital Limited - 102,686 134,467 237,153 - (237,153)

Ativo Capital Management 198,212 206,040 191,531 595,782 831,000 235,218

Basis Investment 112,192 113,425 113,425 339,042 450,000 110,958

BlackRock Institutional Trust Company 390,314 397,736 330,469 1,118,518 2,084,000 965,482

Blackstone Property Partners LP 42,424 510,925 525,641 1,078,990 1,644,000 565,010

Blue Vista Real Estate Partners 117,154 120,334 120,334 357,822 525,000 167,178

Brookfield Strategic Real Estate Partners 229,000 238,000 237,821 704,821 1,050,000 345,179

Campbell & Company 157,736 157,736 (157,736)

Carlyle Property Partners 232,386 239,433 245,027 716,846 1,059,000 342,154

CastleArk Management 193,668 169,503 - 363,171 811,000 447,829

Channing Capital Management 124,011 128,101 109,366 361,478 518,000 156,522

Colchester Global Investors 186,709 190,345 182,280 559,334 747,000 187,666

Credit Suisse Asset Management 53,416 53,416 (53,416)

Crow Holdings Realty Partners 140,905 153,896 151,628 446,429 825,000 378,571

Denali Advisors 60,815 64,574 55,611 181,001 258,000 76,999

Dune Real Estate 357,243 965,910 415,756 1,738,909 2,090,000 351,091

EARNEST Partners 306,163 390,966 385,999 1,083,128 397,000 (686,128)

Fairview Capital Partners 93,750 93,750 93,750 281,250 370,000 88,750

Fidelity Institutional Asset Management 216,203 264,825 (111,517) 369,511 858,000 488,489

Franklin Templeton 110,321 106,557 113,077 329,955 1,035,000 705,045

Garcia Hamilton & Associates 119,772 129,925 126,856 376,553 458,000 81,447

Gladius 553,440 314,680 233,287 1,101,407 2,370,000 1,268,593

GlobeFlex Capital 225,871 241,794 348,379 816,044 984,000 167,956

Heitman HART 407,574 418,063 414,137 1,239,774 1,732,000 492,226

Invesco Balanced Risk Commodity Trust 356,719 121,163 - 477,882 1,528,000 1,050,118

JP Morgan Strategic Property Fund 492,063 496,465 497,562 1,486,090 2,096,000 609,910

KKR Prisma 28,822 26,373 19,602 74,797 41,000 (33,797)

LM Capital Group 80,543 112,217 119,078 311,838 301,000 (10,838)

Long Wharf RE Partners - 292,027 149,824 441,851 - (441,851)

Macquarie Infrastructure Partners 346,669 389,735 368,952 1,105,356 2,027,000 921,644

Matarin Capital Management 160,138 169,023 143,156 472,317 679,000 206,683

Mesirow Financial Investment Management 192,500 192,500 192,500 577,500 866,000 288,500

Mondrian Investment Partners 362,653 384,210 306,439 1,053,302 1,954,000 900,698

Fiscal Year 2020 to DateJuly 1, 2019 through March 31, 2020

Schedule C

n


STATEMENT OF INVESTMENT EXPENSES

1st QTR 2nd QTR 3rd QTR TOTALS BUDGET BALANCEInvestment Managers:

Fiscal Year 2020 to DateJuly 1, 2019 through March 31, 2020

Muller and Monroe 287,500 208,696 162,500 658,696 1,000,000 341,304

Neuberger Berman 540,080 945,344 937,768 2,423,192 1,987,000 (436,192) Northern Trust Asset Management 29,970 29,909 25,441 85,319 122,000 36,681

Oaktree Real Estate 53,423 50,572 52,561 156,556 300,000 143,444

PAAMCO 174,518 56,557 31,796 262,871 171,000 (91,871)

Pantheon Ventures 1,065,261 840,354 739,727 2,645,342 3,106,000 460,658

Parametric Clifton 101,552 159,752 46,839 308,143 334,000 25,857

Piedmont Investment Advisors 275,320 298,468 237,368 811,156 1,085,000 273,844

PIMCO 1,219,699 1,319,917 1,195,983 3,735,600 4,935,000 1,199,400

Progress Investment Management 602,567 635,787 738,904 1,977,259 2,549,000 571,741

Prudential Fixed Income 322,037 340,135 344,255 1,006,427 1,352,000 345,573

Pugh Capital Management 77,709 112,515 115,773 305,997 261,000 (44,997)

Ramirez Asset Management - 97,471 74,992 172,463 - (172,463) RhumbLine Advisers 40,775 48,695 49,173 138,643 162,000 23,357

Smith Graham & Company 26,314 (315) - 25,999 185,000 159,001

State Street Global Advisors 10,391 2,019 - 12,410 78,000 65,590

StepStone Real Estate 72,345 57,750 57,750 187,845 330,000 142,155

Strategic Global Advisors 276,130 292,971 233,964 803,065 1,176,000 372,935

T. Rowe Price 839,783 903,616 760,504 2,503,903 3,520,000 1,016,097

TCW MetWest 135,719 - - 135,719 992,000 856,282

TorreyCove Capital Partners 57,292 171,875 171,875 401,042 1,000,000 598,958

UBS 231,700 - 195,556 427,255 421,000 (6,255)

Wellington Management Company 758,589 830,423 792,971 2,381,983 1,707,000 (674,983)

Short Term Invested Funds (STIF) 125,876 132,911 101,933 360,720 371,000 10,280

Performance Fees - - 4,480,500 4,480,500 Securities Lending Expense 119,383 113,550 121,498 354,431 438,200 83,769

Total Investment Management Fees 15,440,738$ 17,015,823$ 15,213,216$ 47,669,777$ 69,695,700$ 22,025,923$

Investment Administrative Expenditures:

Investment Consultant (includes Legal Counsel) 212,599$ 318,392$ 409,938$ 940,929$ 1,421,583$ 480,654$ Custody, Performance & Databases 316,445 275,170 275,170 866,785 1,261,450 394,666 Resources, Travel 20,281 30,045 9,848 60,174 170,329 110,155

Total Investment Administrative Expenditures 549,324$ 623,607$ 694,956$ 1,867,887$ 2,853,362$ 985,475$

Total Investment Expenditures 15,990,062$ 17,639,431$ 15,908,171$ 49,537,664$ 72,549,062$ 23,011,398$

Schedule C

BEGINNING BALANCE 226,863,947$

CASH INTO ACCOUNT

ADAMS STREET 2004 NON-U.S. FUND 650$ Partnership DistributionsADAMS STREET 2018 GLOBAL OFFERING 612 Partnership DistributionsADAMS STREET 1,507,693 Partnership DistributionsBASIS INVESTMENT GROUP 460,877 Partnership DistributionsBROOKFIELD STR RE II 179 Partnership DistributionsBTC EMERGING MARKET 90,000,000 Manager Cash RaisedBLUE VISTA REAL ESTATE PARTNERS 914,896 Partnership DistributionsCORTEC FUND VII 2,497,202 Partnership DistributionsCROW HOLDINGS REALTY PARTNERS VII 2,555,350 Partnership DistributionsCROW HOLDINGS REALTY PARTNERS VIII 993,562 Partnership DistributionsFRANKLIN TEMPLETON MDP RE 2015 1,189,801 Partnership DistributionsGARCIA HAMILTON 52,000,000 Manager Cash RaisedLM CAPITAL 46,000,000 Manager Cash RaisedLONG WHARF RE PARTNER 1,891,133 Partnership DistributionsMACQUARIE INFRASTRUCTURE PARTNERS IV 17,479 Partnership DistributionsOAKTREE DEBT FUND II 1,437,627 Partnership DistributionsPAAMCO NEWPORT MONARCH FUND 1,000,656 Partial Redemption PANTHEON VENTURES 4,392,902 Partnership DistributionsPANTHEON MULTI STRATEGY 2017 4 Partnership DistributionsPANTHEON USA FUND IX 5,950,000 Partnership DistributionsPUGH CAPITAL 30,000,000 Manager Cash RaisedRHUMBLINE LONG DURATION 40,000,000 Manager Cash RaisedRHUMBLINE TIPS 105,000,000 Benefit PaymentsUBS TRUMBULL PROPERTY FUND 6,291,864 Income DistributionCONTRIBUTIONS 132,579,203 Benefit PaymentsINCOME 1,638,027 Net Income, Interest on Cash BalanceTOTAL TRANSFERS 528,319,717$

CASH OUT OF ACCOUNT

ADAMS STREET GLOBAL SECONDARY FUND 5 (116,988)$ To Fund Partnerships (Capital Calls)ADAMS STREET 2017 GLOBAL FUND (7,200,000) To Fund Partnerships (Capital Calls)ADAMS STREET 2018 GLOBAL FUND (7,650,000) To Fund Partnerships (Capital Calls)BASIS INVESTMENT GROUP FUND I (2,937,246) To Fund Partnerships (Capital Calls)BLACKSTONE PROPERTY PARTNER (3,211,689) To Fund Partnerships (Capital Calls)BREGAL SAGEMOUNT II (2,598,132) To Fund Partnerships (Capital Calls)BROOKFIELD STRATEGIC RE PARTNERS II (144,635) To Fund Partnerships (Capital Calls)BROOKFIELD STRATEGIC RE PARTNERS III (2,794,991) To Fund Partnerships (Capital Calls)CORTEC GROUP FUND VII (390,130) To Fund Partnerships (Capital Calls)CROW HOLDINGS REALTY PARTNERS VIII (1,939,701) To Fund Partnerships (Capital Calls)DUNE REAL ESTATE FUND IV (2,120,602) To Fund Partnerships (Capital Calls)


ALLOCATION OF FUNDS FROM SURS CASH FLOW ACCOUNT

January 1 through March 31, 2020

Schedule D


ALLOCATION OF FUNDS FROM SURS CASH FLOW ACCOUNT

January 1 through March 31, 2020

FAIRVIEW LINCOLN FUND I (2,091,752) To Fund Partnerships (Capital Calls)FRANKLIN TEMPLETON MDP RE 2015 (2,034,061) To Fund Partnerships (Capital Calls)HARVEST PARTNERS VIII (4,281,903) To Fund Partnerships (Capital Calls)LONG WHARF RE VI (1,394,851) To Fund Partnerships (Capital Calls)LOMBARD ODIER (100,000,000) Initial FundingLONGTAIL ALPHA (66,000,000) Initial FundingMACQUARIE INFRASTRUCTURE PARTNERS IV (1,523,220) To Fund Partnerships (Capital Calls)MESIROW PRIVATE EQUITY SPECIAL FUND B (19,200,000) To Fund Partnerships (Capital Calls)MESIROW PRIVATE EQUITY FUND VII-B (5,640,000) To Fund Partnerships (Capital Calls)MULLER & MONROE PRIV EQ FUND OF FUNDS (6,139,924) To Fund Partnerships (Capital Calls)OAKTREE REAL ESTATE DEBT FUND II (8,640,000) To Fund Partnerships (Capital Calls)OCEANSOUND PARTNERS FUND (8,271,837) Initial FundingPANTHEON ACCESS (U.S.) 2017 (4,680,702) To Fund Partnerships (Capital Calls)PANTHEON ACCESS (U.S.) 2018 (3,600,798) To Fund Partnerships (Capital Calls)PANTHEON MULTI-STRATEGY PROGRAM 2014 (4,001,385) To Fund Partnerships (Capital Calls)PANTHEON VENTURES (3,345) To Fund Partnerships (Capital Calls)PARAMETRIC CLIFTON CASH OVERLAY (107,073,436) To Maintain Required MarginREVERENCE CAPITAL II (20,027,424) Initial FundingNET CONTRIBUTIONS (60,375,633) Contributions less Benefit PaymentsTOTAL ALLOCATION (456,084,383)$

ENDING BALANCE 299,099,281$

Schedule D

Schedule E

HISTORY OF ALLOCATIONS (FY 2015-FY 2020)

April 23, 2015 Authorized, contingent on successful contract negotiations, a commitment of $35 million to Crow Holdings Capital, a commitment of $35 million to Blue Vista Capital Management, LLC and a commitment of $35 million to Brookfield Asset Management Inc. Retained Fidelity Investments and TIAA-CREF as investment service providers for the SURS Self-Managed Plan. June 12, 2015 Approved, pending successful negotiations and legal review, consent to the MFIRE Global Partnership Fund II, LP – Consent Solicitation Letter. Authorized staff issue a request for proposal for managers of managers of a fund seeking investments qualified as MFDC under applicable Illinois statutes. Adopted the Iran Scrutinized Companies list updated as of June 1, 2015, as presented. Authorized a search be conducted to identify qualified commodities investment managers. Approved the Investment Department Administrative Expense Budget for Fiscal Year 2016, excluding personnel costs and investment management fees, as presented. September 11, 2015 Retained Fidelity Investments and TIAA-CREF as recordkeeping service providers for the SURS Self-Managed Plan, subject to successful pricing negotiations. Retained Fidelity Investments as the lead administrator for the SURS Self-Managed Plan, subject to successful contract negotations and legal review. Approved the proposed investment options available through Fidelity Investments and through TIAA-CREF, with mapping of assets from terminated options to approved options as presented. Approved the revised Investment Policy document for the defined benefit plan and the revised Investment Policy document for the Self-Managed Plan (SMP), as presented. Accepted the SURS Fiscal Year 2016 Investment Plan. Authorized a search be conducted to identify qualified providers of hedged strategies consistent with the criteria expressed in the 2016 Investment Plan. Authorized a search be conducted to identify qualified providers for portfolio overlay strategies and portfolio rebalancing consistent with the provisions of the 2016 Investment Plan. October 22, 2015 Allocated in the aggregate 3% of the portfolio to KKR Prisma Hedge Fund Solutions and PAAMCO with the exception of an equal allocation to each vendor subject to staff having discretion as to the allocated amount based on fee considerations. Terminated Herndon Capital Management as a non-U.S. equity manager, with the assets reallocated in approximately equal amounts to Manager Diversity Program non-U.S. equity managers Ativo Capital Management and Strategic Global Advisors. Terminated Calamos Advisors LLC as a global equity manager, with the assets retained in the SURS cash account (with Policy overlay in place). December 11, 2015 Approved consolidation of the following investments and funds into the accounts maintained with real estate investment trusts: transfer BTC REIT Fund, a U.S. oriented fund, into and combine as a single account with BTC Global REIT Fund, a global pssively managed fund; and transfer CBRE Clarion Real Estate Securities, a U.S. oriented fund, into and combined as a single account with CBRE Clarion Global REIT, a global actively managed fund. Authorized investment of up to two percent of the total investment portfolio (approximately $350 million as of the date of these resolutions) of the System in the following funds: InvesCo Balanced Risk Commodity Trust, 75% of the two percent allocation, and PIMCO Commodity Alpha Fund, 25% of the two percent allocation. Such investments shall be contingent upon the negotiation of contracts with each of such funds to the satisfaction of the SURS staff and counsel. The SURS staff may vary the allocation between such funds with the approval of the Board of Trustees of the System. Received and filed the annual Report to the Governor and General Assembly Regarding Use of Emerging Investment Managers for the period ending June 30, 2015. February 4, 2016 Terminated Taplin, Canida & Habacht as a core plus fixed income manager, with the assets reallocated to fixed income managers Garcia Hamilton & Associates ($50 million) and TCW MetWest (remainder of assets, approximately $78 million). Terminated structured active U.S. equity accounts managed by PIMCO StocksPLUS and Jacobs Levy Equity Management. March 11, 2016 Consented (i) to the termination of the temporary suspension of the Commitment Period for Lincoln Fund I, LP, resulting from the recent Key Person Event, and (ii) to approve an amendment to the limited partnership agreement for Lincoln Fund I, LP, adding Alan Mattamana as a Key Person, pending successful negotiations and legal review. Authorized a commitment of $100 million, contingent on successful contract negotiations, to Muller & Monroe and conditioned on further approval by the Board of Trustees. Consented to (i) the assignment of the Investment Management Agreement between SURS and Fiduciary Management Associates (FMA) and (ii) the appointment of Mesirow Financial Investment Management, Inc. be approved, pending successful negotiations and legal review.

Schedule E

April 21, 2016 Approved the revised fee schedule as proposed for Muller & Monroe. Authorized a commitement of up to 2 percent of the portfolio be allocated to equity index option strategies, to be managed by Gladius contingent upon successful negotiations and within the risk metrics consistent with Board directives. Authorized a commitment of $150 million, contingent on successful contract negotiations, to the Adams Street 2016 Global Fund LP. Approved a search be conducted to identify a qualified global private equity fund of fund(s) provider(s). Authorized the Progress U.S. Equity Mandate be eliminated, with assets restructured to the following managers engaged directly by SURS, as listed below (amounts are approximate):

Non-U.S. Equity • Ativo Capital Management - $35 Million. • GlobeFlex Capital - $35 million. • Strategic Global Advisors - $35 million.

U.S. Equity • Channing Capital - $35 million. • Piedmont Investment Advisors - $35 million. • Mesirow- $35 million. • CastleArk Management - $35 million.

Cash • The remaining balance of approximately $100 million will be kept in cash, which can be used to help fund

the commodities mandate or future benefit payments. June 10, 2016 Consented to the proposed amendment to maintain the Commitment Period for MDP RE 2015, subject to legal review and completion of due diligence by Trustees and not to tender that decision until on or about August 1, 2016. Approved as presented the Investment Department Administrative Expense Budget for Fiscal Year 2017, excluding personnel costs. Accepted as presented the projected Investment Department Investment Management Fees for Fiscal Year 2017. September 15, 2016 Accepted the SURS Fiscal Year 2017 Investment Plan as presented. Rescinded the motion from the September 2015 Investment Committee and Board meeting that directed “a search be conducted to identify qualified providers of hedged strategies consistent with the criteria expressed in the 2016 Investment Plan.” October 20, 2016 Consented that the 2 percent commitment to Gladius Capital Management be implemented on a fully funded basis with funding sourced from the Northern Trust U.S. Equity Index Account. Accepted that assets be reallocated from the BTC International Alpha Tilts account to the BTC Emerging Markets Index Fund in an amount sufficient to increase the emerging markets position to a market weighting in the total non-U.S. equity portfolio . As of September 30, 2016, this amount was estimated to be approximately $20 million but may vary based on market fluctuations. December 8, 2016 Accepted that assets be reallocated to the three existing global equity managers (Mondrian Investment Partners, T. Rowe Price Global Focused Growth and Wellington Management) in amounts sufficient to bring the global equity allocation to the 8 percent strategic policy target level, while approximately equal weighting each of the three existing managers (post-allocation). Approved the revised Investment Policy document for the defined benefit plan be approved, as amended. Approved the revised Investment Policy document for the Self-Managed Plan (SMP), as presented. Terminated CBRE Clarion as an active global REIT manager and agreed that its assets be reallocated to the passive BlackRock BTC Global REIT Fund. Authorized a commitment of $20 million contingent on successful contract negotiations, to the Crow Holdings Realty Partners Fund VIII LP.Consented that the annual Report to the Governor and General Assembly Regarding Use of Emerging Investment Managers for the period ending June 30, 2016 be received as presented. February 2, 2017 Terminated Chicago Equity Partners as a core fixed income manager. Authorized that the assets that were managed by Chicago Equity Partners be reallocated to two existing fixed income managers (Garcia Hamilton & Associates and State Street Global Advisors) in the following amounts, $150 million to Garcia Hamilton and the remainder of assets to State Street, at such time and in such manner as deemed prudent by investment staff. Approved issuance of an RFP on or before March 1, 2017, to search for one or more passive managers for SURS for all asset classes. Approved that SURS execute the consent appointing Anthony Fragapane and Marc Rivitz as successor representatives to John Morgan and Michael Humphrey in relation to SURS’ investment with Courtland Partners. March 10, 2017 Terminated Lombardia Capital Partners as a U.S. small cap value manager and approved that assets be liquidated. Consented to the continued management of the KKR Prisma Codlin Fund LLC by Prisma Capital Partners LP, subject to the satisfactory completion of legal review. Agreed to the continued management of the Newport Monarch Fund LLC by PAAMCO, subject to satisfactory completion

Schedule E

of legal review. Rescinded the motion from the April 2016 investment committee meeting for a search to be conducted to identify a qualified global private equity fund of funds provider(s). Consented to continue utilizing Northern Trust as a Master Trustee, subject to completion of satisfactory negotiations and approval by the board and if deemed necessary by the staff. April 20, 2017 Terminated Holland Capital Management as a U.S. Equity Manager. Agreed that assets be transferred from the U.S. equity portfolio to the existing Hedge Fund-of-Fund portfolios, Newport Monarch LLC (managed by PAAMCO) and KKR Prisma Codlin Fund LLC, in amounts sufficient to reach the 5 percent strategic policy target for Hedged Strategies portfolio (approximately $400 million). Authorized that allocations to the existing Hedge Fund-of-Funds portfolios, Newport Monarch LLC (managed by PAAMCO) and the KKR Prisma Codlin Fund LLC will be in amounts to result in portfolios of approximately similar size, post-allocation (estimated to be about $435-$440 million each). Approved that the source of funding for the allocation to hedged strategies will be proceeds from the liquidation of the Holland Capital Management U.S. equity account with the balance from the U.S. equity index accounts managed by Northern Trust and RhumbLine on a pro rata basis. Approved that a search be conducted to identify qualified non-core private commercial real estate debt managers. Agreed that RhumbLine Advisers be retained to provide passive TIPS investment management services. Approved that the assets from the current active TIPS managers; PIMCO TIPS, Longfellow and New Century; be reallocated to the new passive TIPS manager, RhumbLine Advisers. The total amount to be reallocated was approximately $675 million, but may vary based on market fluctuations. June 8, 2017 Approved that SURS retain the Northern Trust Company, RhumbLine, State Street Bank and Trust Company, and BlackRock as managers of the passively managed equity and fixed income securities. Authorized that the Northern Trust Company, RhumbLine, State Street Bank and Trust Company, BlackRock, and Piedmont Investment Advisers be approved as providers of additional passively managed liquid equity and fixed income, in such sub-classes and amounts as may be approved by the Board from time to time. Agreed that the Investment Policy of the Board be amended as provided in the form of amended and restated Investment Policy, dated June 9, 2017, and as presented to the Board. The Policy will reflect the following active manager premiums:

Large Cap Structured Active: .75% Mid Cap Core: 1%

Mid Cap Growth: 1% Mid Cap Value: 1% Small Cap Core: 2%

Small Cap Growth: 2% Small Cap Value: 2%

All Cap Non-US Equity: 2% Global Equity: 2%

Large Cap Non-US Developed Equity: 2% Emerging Markets: 2%

Structured Active Non-US Equity: 1.5% Emerging Markets: .5%

Based on the recommendation of staff and SURS investment consultant, approved the Five-Year Private Equity Funding Plan, as follows: 2017 $300 million 2018 $300 million 2019 $350 million 2020 $350 million 2021 $400 million Authorized multi-year commitments to existing providers Adams Street Partners and Pantheon Ventures and new provider Mesirow Financial Private Equity in approximately equal amounts in accordance with the Five-Year Private Equity Funding Plan, subject to successful completion of contract negotiations. Approved that a commitment of $50 million be authorized, contingent on successful contract negotiations, to Macquarie Infrastructure Partners IV LP. Authorized a search to be conducted to identify qualified minority-, female-, and persons with a disability-owned (MFDB) managers in the U.S. Equity space. Consented that the CREF Money Market Account be terminated as an investment option for the SURS Self-Managed Plan; that the Vanguard Federal Money Market Fund be approved as an investment option for the SURS Self-Managed Plan; and that funds currently in the CREF Money Market Account be transferred to the Vanguard Federal Money Market Fund, except for assets restricted by TIAA-CREF contract terms. Agreed that the DFA Retirement Income Funds be added to the SMP investment lineup as the default option for new enrollees at TIAA. Approved that a search be conducted to identify a qualified investment consultant.

Schedule E

September 14, 2017 Authorized a commitment of $20 million, contingent on successful contract negotiations, to Dune Real Estate Partners Fund IV LP. Agreed to, contingent to successful contract negotiations, the commitments made as follows:

a.) Axonic Income Fund (“Axonic”): $20 million, so long as Axonic consummates the investment of $250 million in the fund no later than May 1, 2018;

b.) BIG Real Estate Fund I, GP (“Basis”): the lesser of $30 million or 10 percent of the assets under management of Basis as of May 1, 2018; and

c.) Oaktree Real Estate Debt Fund II, L.P.: $30 million. Rescinded the motion to conduct a search to identify a qualified investment consultant made during the June 2017 Investment Committee meeting. October 19, 2017 Approved that, contingent on successful contract and fee negotiations, SURS transfers $100 million from Channing Midcap Value account to Channing SMID Value strategy, $50 million to the Denali Large Value strategy from the T. Rowe Price Large Core (Structured Research) portfolio, and $100 million to the Matarin Small Core strategy from the CastleArk Small Growth portfolio. Authorized that a search be conducted to identify qualified firms to manage an option-based strategy of up to 2 percent of plan assets. Authorized that a search be conducted to identify a qualified defined benefit investment consultant and qualified defined contribution investment consultant. December 7, 2017 Authorized a full redemption from the UBS Trumbull Property Fund and use of proceeds to invest $300 million in core-plus, open-ended real estate fund(s). Approved a search for a core-plus, open-ended real estate fund(s). Authorized a commitment of $35 million to Brookfield Strategic Real Estate Fund III L.P., contingent on successful contract negotiations. Consented to appoint Michael P. Murphy as successor representative to Anthony Fragapane at Courtland Partners. Approved redemptions to fund options strategies as needed, from hedge fund of fund managers Prisma and PAAMCO in approximately the following amounts: $245 million to be withdrawn from PAAMCO and $115 million to be withdrawn from Prisma. Approved as presented the revised Appendix 10 to the Investment Policy document. February 1, 2018 Approved, subject to completion of successful contract negotiations, that AQR Capital Management, Gladius Capital Management, and Neuberger Berman be retained to manage an options-writing strategy for SURS and each will be funded with an initial allocation of approximately .5 percent, .5 percent, and 1 percent of the total fund, respectively. Agreed that Blue Bay Asset Management be terminated as an Emerging Markets Debt Manager and that the assets be reallocated to three existing EMD managers in the following amounts:

• Colchester Global Investors $30 million • Progress Investment Management $50 million • Prudential Fixed Income Remainder of assets

Authorized, based on the recommendation of staff and the SURS Investment Committee, that Pension Consulting Alliance be hired as the general investment consultant for a five-year term, subject to successful completion of contract negotiations. March 8, 2018 Approved, contingent on successful contract negotiation and based on the recommendation of staff and the SURS investment consultant, a commitment of $200 million be authorized to Blackstone Property Partners LP, and a commitment of $100 million be authorized to Carlyle Property Investors LP. Agreed that, based on the recommendation of staff, Cammack Retirement be hired as the defined contribution investment consultant for a five-year term, contingent on successful contract negotiations. Agreed that, based on the recommendation of SURS staff, the procurement policy for the defined benefit plan be approved as amended. Agreed that, based on the recommendation of SURS staff, the revised Investment Policy for the defined benefit plan be approved as presented. April 19, 2018 Based on the recommendation of SURS staff and the investment consultant, terminated the Channing Mid Value account and authorized the assets be transferred to the RhumbLine passive U.S. strategy. Approved a search to identify a qualified specialty real estate investment consultant, based on the recommendation of SURS staff. June 7, 2018 Authorized, based on the recommendation of SURS staff, a search to identify potential transition managers. September 13, 2018 Based on the recommendation from SURS staff, approved the Investment Beliefs as presented. Approved as presented and based on the recommendation from SURS staff and SURS investment consultant, the strategic policy allocation targets set forth below, giving staff the discretion to gradually implement those policy targets in coordination with the actual transition of assets:

Schedule E

Asset Class Weight Non-Traditional Growth 15% Traditional Growth 25% Stabilized Growth 26%

Options Strategies 6% Credit Fixed Income 14% Real Assets 6%

Inflation Protection 6% TIPS 6%

Principal Protection 8% Crisis Risk Offset 20%

Long Duration 5% Trend Following 10% Alternative Risk Premia 5%

Hired Callan as real assets consultant for a five-year term, contingent on succesful contract negotiations that allow such contract to be terminated with a 30-day notice. Failed to authorize termination of Mesirow small cap and move assets into passive U.S. Equity. Approved, based on the recommendation from SURS staff and SURS investment consultant, that SURS coordinate full redemptions from the KKR Prisma Codlin Fund and from the Newport Monarch Fund. At either the October or December 2018 Investment Committee meeting, staff will recommend where the proceeds will be invested. October 18, 2018 Based on the recommendation from staff and PCA, approved the selection of transition managers for the transition manager bench and/or interim management services: BlackRock, Citigroup, Loop Capital, Northern Trust, Penserra, Russell. December 6, 2018 Approved, based on the recommendation from staff and PCA that proceeds from the hedge fund of funds redemption be allocated to AQR (25%), Gladius (25%), and Neuberger Berman (50%), and used to fund benefit payments if needed. Authorized a search be conducted to identify a qualified private equity investment consultant. Agreed that a search be conducted to identify qualified providers for the Self-Managed Plan and the Optional Supplemental DC Plan. March 7, 2019 Based on the recommendation of staff, approved revised Investment Procurement Policy. Approved, contingent on successful contract negotiations and based on the recommendation of staff and SURS real assets consultant, that a commitement of €75 million be authorized to Blackstone Real Estate Partners Europe Fund VI. Approved a search to identify a qualified firm to manage trend-following strategy and alternative risk premia strategy. Based on the recommendation of staff and PCA, a commitement of no more than 1.75 percent of SURS total portfolio (35 percent of the initial 5 percent targer of CRO) to long duration strategy be authorized, contingent on successful bidding among the approved slate of passively managed liquid fixed income providers. Based on recommendation from SURS staff and PCA, SURS terminated Mesirow Small Cap account and authorized liquidating assets to transfer to the cash account for benefit payments. April 18, 2019 Approved, contingent on successful contract negotiations and based on recommendation of SURS staff and Callan, that a commitement of $75 million be authorized to Westbrook Real Estate Fund XI. Based on the recommendation of SURS staff and Callan, a commitement of the lesser of $40 million or 10% of total fund commitements be authorized to Long Ward Real Estate Partners Fund VI. Approved the graduation of Ramirez Asset Management from the Progress Portfolio to a direct SURS relationship, based on the recommendation of SURS staff, Progress Investment Management, and Meketa. As presented, approved the revised Investment Policy for the defined benefit plan, based on the recommendations of SURS staff amd Meketa June 6, 2019 Based on the recommendation of SURS staff and Meketa, approved Torrey Cove as the discretionary private equity advisor for a five-year term. Authorized, based on the recommendation of SURS staff and Meketa, to restructure the fixed income portfolio to implement the agreed upon goals for the principal protection and credit portfolios. Approved, an add-on a commitement of $30 million to Dune Real Estate Fund IV, based on the recommendation of SURS staff and Callan.

Schedule E

September 12, 2019 Based on the recommendation of SURS staff and Meketa, the Investment Committee approved retaining Aspect Capital, Campbell and Company, and LongTail Alpha, subject to successful contract negotiations. Agreed that, based on the recommendation of SURS staff, the revised Investment Policy for the defined benefit plan and Investment Procurement Policy be approved as presented. Based on the recommendation from SURS staff and Cammack, the Investment Committee approved the retention of Voya Financial as the sole recordkeeper for the existing Self-Managed Plan and the new supplemental plan, subject to successful contract negotiations. Approved, subject to completion of successful contract negotiations and based on recommendation from SURS staff and Cammack, the retention of Voya Financial as the sole recordkeeper and AllianceBernstein as the income solution provider for the existing Self-Managed Plan and the new supplemental plan. October 17, 2019 Based on the recommendation of SURS staff and Meketa, the Investment Committee approved retaining Credit Suisse as a systematic trend following manager, subject to successful contract negotiations. The Investment Committee approved ARP Investments, Lombard Odier and PIMCO to be retained as alternative risk premia managers with each firm receiving an allocation of approximately 0.5 percent of total fund assets, subject to the successful completion of contract negotiations. Authorized a commitment of $100 million to Prologis Targeted U.S. Logistics Fund and $50 million to Cabot Industrial Value Fund VI, subject to the successful completion of contract negotiations. December 5, 2019 Based on the recommendation of SURS staff and Meketa, the Investment Committee approve the revised defined benefit plan Investment Policy as presented. January 30, 2020 Based on the recommendation of SURS staff and Meketa, the Investment Committee approve FIS Group to be retained to coordinate the evolution of the existing Progress Non-US equity portfolio to a global manager of emerging managers program, subject to successful completion of contract negotiations. Investment Committee adopted the revised Investment Beliefs as presented. Investment Committee approved the investment lineup for the defined contributions plans as presented, based on the recommendation of SURS staff and Cammack. The Investment Committee retained Principal Financial Group as the annuity provider for the defined contribution plan. Based on the recommendation of the SURS staff, the Investment Committee approved the Third Restatement of the Self-Managed Plan, effective June 1, 2020, and the 457(b) Supplemental Plan, effective September 1, 2020, substantially as presented. Approved the revised Defined Benefit Investment Policy and Defined Contribution Plans Investment Policy as presented. March 12, 2020 The Investment Committee made a commitement of $50 million dollars to Crow Holdings Realty Partners Fund IX, subject to successful completion of contract negotiations. Based on the recommendation of SURS staff and Meketa, the Investment Committee approved Bivium Capital to be retained to manage a global credit fixed income manager of emerging managers program with funding from the complete transfer of the global credit fixed income portfolio currently managed by Progress Investment Management Company, subject to successful completion of contract negotiations. The Investment Committee approved the revised plan documents for the SURS Self-Managed Plan which will now be called the SURS Retirement Savings Plan, effective June 1, 2020 and the SURS Deferred Compensations Plan, effective September 1, 2020, substantially in the form presented.

DATE TO FROM AMOUNT4/1/2015 Progress Emerging Mgr Program Cash Flow 65 million

4/30/2015 Colchester Global Investors EMD Cash Flow 105 million4/30/2015 Cash Flow Northern Trust Asset Management 25 million4/30/2015 Cash Flow PIMCO StocksPlus 80 million5/22/2015 Parametric Clifton Cash Flow 45 million6/22/2015 Prudential Fixed Income EMD Cash Flow 175 million6/22/2015 Cash Flow Northern Trust Asset Management 175 million6/30/2015 Cash Flow BTC International Equity 60 million7/31/2015 Cash Flow RhumbLine Advisers 100 million9/17/2015 Franklin Templeton MDP RE 2015 Cash Flow 1.1 million9/30/2015 Cash Flow Northern Trust Asset Management 150 million11/2/2015 Parametric Clifton Transition Cash Flow 50 million

11/20/2015 Cash Flow Calamos Investments 50 million12/18/2015 Parametric Clifton Cash Flow 40 million

1/14/2016 Crow Holdings Realty Ptnrs VII Cash Flow 8.9 million1/28/2016 Cash Flow PIMCO Total Return 75 million2/18/2016 Brookfield Strategic RE Ptnrs II Cash Flow 2.1 million2/23/2016 Cash Flow Jacobs Levy Equity Management 286.2 million2/24/2016 KKR Prisma Codlin Fund Cash Flow 275 million

3/1/2016 Cash Flow PIMCO StocksPlus 60 million3/31/2016 Cash Flow RhumbLine Advisers 100 million3/31/2016 PAAMCO Newport Monarch Fund Cash Flow 195 million

4/1/2016 Cash Flow PIMCO StocksPlus 180 million4/12/2016 Brookfield Strategic RE Partners II Cash Flow 1.4 million4/13/2016 Cash Flow PIMCO StocksPlus 7.6 million4/26/2016 Blue Vista Real Estate Partners IV Cash Flow 3.5 million

5/3/2016 Cash Flow Progress Emerging Managers Program 5.2 million5/24/2016 Cash Flow Transition Account 92.3 million5/27/2016 Blue Vista Real Estate Partners IV Cash Flow 5 million

6/1/2016 PIMCO Commodity Alpha Fund Cash Flow 82.5 million6/6/2016 Cash Flow Parametric Clifton Cash Overlay 100 million6/6/2016 Cash Flow Parametric Clifton Transition 30 million6/6/2016 Brookfield Strategic RE Partners II Cash Flow 7.5 million6/7/2016 Invesco Balanced Risk Commodity Cash Flow 250 million

6/10/2016 Cash Flow BTC Global REIT 40 million6/29/2016 Crow Holdings Realty Partners VII Cash Flow 3.4 million6/30/2016 Cash Flow TCW MetWest 50 million7/29/2016 Cash Flow Parametric Clifton Transition 30 million

8/1/2016 Cash Flow Parametric Clifton Transition 190 million8/9/2016 Cash Flow Calamos Investments 8.6 million

12/18/2016 T. Rowe Price Cash Flow 40 million 12/19/2016 Wellington Management Cash Flow 65 million

1/7/2017 Mondrian Investment Partners Cash Flow 64 million5/11/2017 Cash Flow Holland Capital Management 117 million5/25/2017 Cash Flow RhumbLine Advisers 100 million5/25/2017 Cash Flow Northern Trust 180 million5/26/2017 KKR Prisma Codlin Fund Cash Flow 165 million5/26/2017 PAAMCO Newport Monarch Fund Cash Flow 240 million7/28/2017 Cash Flow BTC International Equity 100 million 9/28/2017 Cash Flow BTC International Equity 100 million

Portfolio Rebalancing/Restructuring (FY15-FY20)

Schedule E

DATE TO FROM AMOUNTPortfolio Rebalancing/Restructuring (FY15-FY20)

11/29/2017 Cash Flow BTC International Equity 75 million12/7/2017 Cash Flow Brookfield Strategic RE Fund III L.P 35 million

12/20/2017 Cash Flow T. Rowe Price 50 million12/20/2017 Denali Cash Flow 50 million

1/3/2018 Basis Cash Flow 6.9 million2/14/2018 Colchester Global Investors EMD Cash Flow 30 million2/21/2018 Prudential Fixed Income EMD Cash Flow 60 million2/26/2018 Northern Trust Cash Flow 27 million2/26/2018 Progress EMD: GIA Partners Cash Flow 40 million2/26/2018 Progress EMD: LM Capital Mgmt Cash Flow 10 million2/28/2018 Prudential Fixed Income EMD Cash Flow 55.5 million3/21/2018 Cash Flow KKR Prisma Codlin Fund 23 million3/23/2018 Basis Cash Flow 0.9 million4/12/2018 Cash Flow PAAMCO Newport Monarch Fund 0.3 million4/15/2018 Cash Flow PAAMCO Newport Monarch Fund 200 million4/18/2018 Cash Flow KKR Prisma Codlin Fund 68 million4/20/2018 Cash Flow PAAMCO Newport Monarch Fund 15 million4/25/2018 Cash Flow KKR Prisma Codlin Fund 24 million4/26/2018 Neuberger Berman Cash Flow 190 million5/30/2018 Gladius Capital Management Cash Flow 95 million6/15/2018 AQR Capital Management Cash Flow 95 million7/30/2018 Northern Trust Cash Flow 60 million8/24/2018 Northern Trust Cash Flow 150 million

9/4/2018 Northern Trust Cash Flow 200 million10/1/2018 Cash Flow Carlyle Property Investors 5 million

11/29/2018 Northern Trust Cash Flow 70 million1/15/2019 UBS Cash Flow 36 million2/11/2019 Cash Flow Neuberger Berman 150 million3/26/2019 Northern Trust Cash Flow 56 million3/28/2019 Cash Flow AQR 75 million

4/5/2019 Northern Trust Cash Flow 3 million4/26/2019 PAAMCO Cash Flow 43 million6/20/2019 KKR Cash Flow 30 million6/26/2019 Mesirow Cash Flow 4 million7/26/2019 T. Rowe Cash Flow 70 million10/9/2019 Cash Flow Gladius 300 million11/1/2019 Rhumbline TIPS Cash Flow 230 million

11/29/2019 Rhumbline Long Duration Cash Flow 190 million11/29/2019 Campbell & Company Cash Flow 95 million11/29/2019 Aspect Cash Flow 95 million12/24/2019 Cash Flow T. Rowe Price 80 million12/30/2019 ARP Cash Flow 100 million

1/2/2020 Cash Flow Longtail Alpha 66 million1/8/2020 Cash Flow Lombard Odier 100 million

3/10/2020 BTC Emerging Markets Equity Cash Flow 90 million3/27/2020 Garcia Hamilton & Associates Cash Flow 52 million3/30/2020 LM Capital Group Cash Flow 46 million3/31/2020 Pugh Capital Management Cash Flow 30 million

Schedule E

4

Valuation as ofPartnership Investments Closed Committed Funded Amount Not Called Remaining 12/31/2019

Private Equity

Adams Street Partnership Trust

Adams Street Partners Partnership Trust 906,523,208$ 880,631,592$ 11,624,068$ 14,267,548$ 24,093,980.00$

Adams Street Partners Venture Partnership Acquisition Fund II 10,000,000$ 10,000,000$ -$ -$

Adams Street Non U.S. Partnership Fund Trust 79,405,010$ 71,135,940$ 8,269,070$ 6,749,679.00$

Adams Street Global Opportunities Secondary Fund, LP 25,000,000$ 22,125,000$ 2,875,000$ 2,567,868.00$

Adams Street Global Secondary Fund 5 20,000,000$ 15,649,950$ 4,350,050$ 10,512,361.00$

Adams Street 2007 Global Opportunities Portfolio 100,000,000$ 91,300,000$ 8,700,000$ 24,113,610.00$

Adams Street 2008 Global Offering 100,000,000$ 92,816,000$ 7,184,000$ 63,122,243.00$

Adams Street 2009 Global Offering 100,000,000$ 91,457,000$ 8,543,000$ 77,553,934.00$

Adams Street 2012 Global Fund 80,000,000$ 56,232,000$ 23,768,000$ 77,269,201.00$







Pantheon Ventures Inc.

Pantheon Ventures Partnership Trust 593,314,129$ 559,577,216$ 33,736,913$ 296,729,957.00$

Pantheon Global Secondary Fund II LP 25,000,000$ 21,278,298$ 3,721,702$ 355,404.00$

Pantheon Multi-Strategy Program 2014 (US), L.P. 125,000,000$ 80,139,358$ 44,860,642$ 80,715,839.00$

Pantheon USA Fund VIII, L.P. 103,307,076$ 95,635,890$ 7,671,186$ 57,367,553.00$

Pantheon USA Fund IX, L.P. 85,444,334$ 72,184,334$ 13,260,000$ 75,755,730.00$


ALTERNATIVE INVESTMENTS


Schedule F

4





Pantheon Access (US), L.P. 90,000,000$ 25,676,520$ 64,323,480$ 19,801,567.00$

Pantheon Access US 2018 180,000,000$ 23,581,607$ 156,418,393$ 17,308,588.00$

Fairview Lincoln Fund I 75,000,000$ 60,663,918$ 14,336,082$ 70,153,632.00$

Mesirow Financial Private Equity Fund VII - B L.P. 40,000,000$ 35,480,000$ 4,520,000$ 35,334,265.00$

Mesirow Financial Private Equit Special Fund B 160,000,000$ 46,410,150$ 113,589,850$ 38,723,690.00$

Muller & Monroe - Illinois Private Equity Fund-of-Funds, LP (ILPEFF) 25,000,000$ 21,484,111$ 3,515,889$ -$

Muller & Monroe Private Equity Fund-of-Funds, LP (MPEFF) 25,000,000$ 24,248,524$ 751,476$ 5,112,167.27$

Muller & Monroe SURS Emerging Private Equity Fund-of-Funds 100,000,000$ 37,321,853$ 62,678,147$ 65,001,989.83$

Progress Investment Management Investments

Progress Investment Management 20,000,000$ 18,468,817$ -$ 356,988.00$

Total Private Equity Investments (US Dollars) 3,382,993,756$ 2,668,706,318$ 11,624,068$ 701,132,187$ 1,477,023,039$

Pantheon Ventures Partnership Trust 19,729,220€ 12,025,206€ 7,704,014€

Pantheon Europe Fund III 68,105,700€ 55,472,840€ 12,632,860€ 2,856,068€

Pantheon Europe Fund VI 30,722,000€ 28,479,294€ 2,242,706€ 14,628,447€

Pantheon Europe Fund VII 30,715,907€ 26,659,407€ 4,056,500€ 27,941,060€

Total Private Equity Investments (Euros) 149,272,827€ 122,636,747€ 26,636,080€ 45,425,575€

Other Alternative Investments

Real EstateBasis BIG Real Estate Fund I, LP 30,000,000$ 27,657,729$ 2,342,271$ 13,441,673.00$

Blue Vista Real Estate Partners IV 35,000,000$ 35,000,000$ -$ 35,434,893.00$

Brookfield Strategic Real Estate Partners II 35,000,000$ 24,369,514$ 10,630,486$ 32,647,000.00$

Schedule F

4





Brookfield Strategic Real Estate Partners III 35,000,000$ 13,423,370$ 21,576,630$ 9,200,000.00$

Carlyle Property Investors 100,000,000$ 100,000,000$ -$ 106,845,299.83$

Crow Holdings Realty Partners VII 35,000,000$ 31,426,991$ 3,573,009$ 22,165,448.00$

Crow Holdings Realty Partners VIII 20,000,000$ 16,057,514$ 3,942,486$ 15,317,549$

Dune Real Estate Parallel Fund II 40,000,000$ 39,738,957$ 261,043$ 18,038,910.00$

Dune Real Estate Parallel Fund III 100,000,000$ 91,359,322$ 8,640,678$ 99,334,434.00$

Dune Real Estate Fund IV 50,000,000$ 11,703,804$ 38,296,196$ 8,573,315.00$

Franklin Templeton EMREFF 74,974,768$ 66,901,657$ 8,073,111$ 8,014,614.00$

Franklin Templeton FTPREF 50,000,000$ 43,186,634$ 6,813,366$ 3,810,596.00$

Franklin Templeton MDP RE 2015 90,000,000$ 22,410,999$ 67,589,001$ 48,569,358.00$

Heitman America Real Estate Trust 150,000,000$ 150,000,000$ -$ 222,745,958.00$

JPMCB Strategic Property Fund 150,000,000$ 150,000,000$ -$ 230,590,496.30$

Long Wharf Real Estate Partners VI 40,000,000$ 6,171,641$ 33,828,359$ 4,992,571.00$

Courtland/Pru Real Estate Global Partnership Fund II (fka MFIRE II) 60,000,000$ 39,300,000$ 20,700,000$ 24,944,092.00$

Oaktree Real Estate Debt Fund II (Parallel), L.P. 30,000,000$ 21,570,000$ 8,430,000$ 11,595,462$

Blackstone Property Partners 200,000,000$ 200,000,000$ -$ 209,515,874$

Total Real Estate Investments 1,219,974,768$ 1,091,351,804$ 128,622,964$ 1,125,777,543$

InfrastructureAlinda Capital Partners 40,000,000$ 36,559,691$ 3,440,309$ 12,666,467.00$

Macquarie Infrastructure Partners II 40,000,000$ 37,974,017$ 2,025,983$ 14,595,704.89$

Macquarie Infrastructure Partners III 50,000,000$ 43,654,780$ 6,345,220$ 45,182,306.02$

Macquarie Infrastructure Partners IV 50,000,000$ 44,426,629$ 5,573,371$ 44,628,227.28$

Total Infrastructure Investments 180,000,000$ 162,615,118$ 17,384,882$ 117,072,705$

Schedule F

4





Hedged StrategiesKKR Prisma Codlin Fund 275,000,000$ 275,000,000$ -$ 12,844,705.40$

PAAMCO Newport Monarch Fund 195,000,000$ 195,000,000$ -$ 19,691,032.56$

AQR Global Risk 95,000,000$ 95,000,000$ -$ 304,028,490.00$

Total Hedged Strategy Investments 565,000,000$ 565,000,000$ -$ 336,564,228$

CommoditiesPIMCO Commodity Alpha Fund 82,500,000$ 82,500,000$ -$ 117,042,394.84$

Total Commodity Investments 332,500,000$ 332,500,000$ -$ 117,042,395$

Schedule F

OwnershipShares Traded Commissions Cents Per Share (minority/female/disabled)

Abel/Noser 1,500 38$ 0.03$ Alex Brown 36,200 362 0.01 Alex Brown (ECN) 79,045 2,371 0.03 Allen & Company 6,292 157 0.03 B Riley & Company 91,370 2,741 0.03 BMO Capital Markets 117,076 3,599 0.03 BMO Capital Markets (ECN) 37,053 306 0.01 BTIG (Bass Trading International Group) 196,954 2,059 0.01 BTIG (Bass Trading International Group) (ECN) 29,954 899 0.03 Bancroft Capital 5,039 126 0.03 Disabled Veteran Bank of America 5,836 146 0.03 Bank of America Securities 86,108 2,440 0.03 Bank of America Securities (ECN) 149,912 1,353 0.01 Barclays 174,119 5,059 0.03 Barclays (ECN) 4,290,971 45,809 0.01 Benchmark Company 42,045 1,261 0.03 Berenberg Bank 13,625 409 0.03 Berenberg Bank (ECN) 96,948 2,595 0.03 CAPIS (Capital Institutional Services) 167,727 4,394 0.03 Female CL King & Associates 112,658 3,148 0.03 Female CL King & Associates (ECN) 208,752 3,131 0.02 Female CLSA (ECN) 411 4 0.01 Cabrera Capital Markets 145,999 3,203 0.02 Latino Cabrera Capital Markets (ECN) 670,474 13,928 0.02 Latino Canaccord Adams 101,182 3,035 0.03 Canaccord Genuity Canada 3,200 16 0.01 Cantor Fitzgerald 12,761 319 0.03 Cantor Fitzgerald (ECN) 266 8 0.03 Capital Institutional Services, Inc (CAPIS) 43,872 1,536 0.04 Female Capital Institutional Services, Inc (CAPIS) (ECN) 421,890 3,797 0.01 Female Capital Investment Services, Inc 31,500 315 0.01 Female CastleOak Securities 90,400 904 0.01 African American CastleOak Securities (ECN) 267,418 2,407 0.01 African American Citigroup Global Markets 92,274 2,532 0.03 Citigroup Global Markets (ECN) 804,490 4,383 0.01 Cornerstone Macro (ECN) 306,242 5,360 0.02 Cowen & Company 372,212 11,317 0.03 Cowen & Company (ECN) 238,144 2,213 0.01 Craig-Hallum 721,641 21,649 0.03 Credit Suisse 56,045 1,605 0.03 Credit Suisse (ECN) 92,143 2,646 0.03 DA Davidson & Company 58,300 1,749 0.03 DA Davidson & Company (ECN) 156,183 3,313 0.02 Dash Financial (ECN) 1,069,964 10,700 0.01 Deutsche Bank 40,975 1,409 0.03 Deutsche Bank (ECN) 161 2 0.01 Dougherty & Company 50,850 1,526 0.03 Evercore Partners 77,494 2,368 0.03 Evercore Partners (ECN) 98,730 928 0.01 FIS 155,600 778 0.01 Fig Group LLC (ECN) 7,391 222 0.03 Female Goldman Sachs 1,819,168 52,786 0.03 Goldman Sachs (ECN) 916,082 22,670 0.02 Gordon Haskett Capital 112 3 0.03 Green Street Advisors 744 19 0.03 Guzman & Company 3,356 84 0.03 Latino HSBC 1,700 43 0.03 IFS Securities 1,900 48 0.03 African American INTL FCStone 562 14 0.03 ITG (Investment Technology Group) 248,300 2,483 0.01 ITG (Investment Technology Group) (ECN) 464,773 13,404 0.03 Instinet (ECN) 103,228 1,853 0.02


BROKERAGE COST REVIEW - DOMESTIC EQUITIES

Trades from April 1, 2019 through March 31, 2020

Schedule G





Ivy Securities 133,100 1,331 0.01 Asian American JMP Securities 46,450 1,394 0.03 JMP Securities (ECN) 107,040 2,139 0.02 JP Morgan Chase & Company 143,748 4,086 0.03 JP Morgan Chase & Company (ECN) 1,071,282 14,339 0.01 Janney Montgomery Scott 700 18 0.03 Jefferies & Company 166,293 4,955 0.03 Jefferies & Company (ECN) 471,791 8,178 0.02 Johnson Rice & Company (ECN) 26,234 413 0.02 Jones & Associates 14,955 523 0.04 Jones & Associates (ECN) 30,779 923 0.03 JonesTrading Institutional Services 205,731 2,057 0.01 JonesTrading Institutional Services (ECN) 5,485 82 0.02 Keefe, Bruyette & Woods 2,020 51 0.03 Keefe, Bruyette & Woods (ECN) 59,622 1,375 0.02 KeyBanc Capital Markets 142,578 4,121 0.03 KeyBanc Capital Markets (ECN) 318,119 7,957 0.03 Lake Street Capital Markets 47,395 1,422 0.03 Leerink Swann & Company 86,227 2,484 0.03 Liquidnet 25,820 904 0.04 Liquidnet (ECN) 241,070 4,408 0.02 Loop Capital Markets 2,246,752 58,351 0.03 African American Loop Capital Markets (ECN) 5,051,712 54,785 0.01 African American Luminex Trading & Analytics (ECN) 267,875 3,230 0.01 MKM Partners (ECN) 37,186 1,116 0.03 Macquarie Securities 1,783 62 0.04 Mischler Financial Group (ECN) 16,816 465 0.03 Disabled Veteran Mizuho Securities 12,123 303 0.03 Morgan Stanley 141,129 3,953 0.03 Morgan Stanley (ECN) 57,918 485 0.01 NBC Clearing Services 2,692 67 0.03 Needham & Company 117,005 3,510 0.03 Needham & Company (ECN) 60,144 1,804 0.03 Nomura (ECN) 40,589 305 0.01 North South Capital 131,200 6,560 0.05 Female Northland Securities 123,219 3,570 0.03 O'Neil Securities, Inc. 146,215 4,386 0.03 Oppenheimer & Company 213,985 6,420 0.03 Oppenheimer & Company (ECN) 1,388,309 13,883 0.01 Penserra Securities 341,985 8,200 0.02 Latino Penserra Securities (ECN) 2,969,453 25,762 0.01 Latino Piper Jaffray & Company 418,598 12,417 0.03 Piper Jaffray & Company (ECN) 66,871 2,006 0.03 Precision Securities 166,450 1,415 0.01 RBC Capital Markets 131,989 3,919 0.03 RBC Capital Markets (ECN) 190,880 2,994 0.02 ROTH Capital Partners 73,370 2,201 0.03 Ramirez & Company 12,315 308 0.03 Latino Raymond James & Associates 152,499 4,287 0.03 Raymond James & Associates (ECN) 188,642 4,510 0.02 Robert W. Baird & Company 411,595 12,258 0.03 Robert W. Baird & Company (ECN) 418,540 10,493 0.03 Sanford C. Bernstein 14,582 462 0.03 Sanford C. Bernstein (ECN) 140,461 1,656 0.01 Scotia Capital 656 16 0.03 Seaport Group 179,109 5,373 0.03 Seaport Group (ECN) 198,239 4,383 0.02 Sidoti & Company 4,200 105 0.03 Siebert Brandford Shank & Company 117,155 2,929 0.03 African American Siebert Brandford Shank & Company (ECN) 1,122,524 4,998 0.00 African American Stephens 414,449 12,405 0.03 Stephens (ECN) 57,465 1,640 0.03

Schedule G





Stifel, Nicolaus & Company 434,581 13,143 0.03 Stifel, Nicolaus & Company (ECN) 239,166 6,097 0.03 Stuart Frankel & Co. 364 9 0.03 Sturdivant and Company 750 19 0.03 African American Sturdivant and Company (ECN) 3,504,901 32,779 0.01 African American SunTrust Robinson Humphrey 196,567 6,052 0.03 SunTrust Robinson Humphrey (ECN) 134,786 4,044 0.03 Susquehanna Financial Group 20,963 524 0.03 TD Securities 18,116 453 0.03 Telsey Advisory Group 26,805 670 0.03 Female Telsey Advisory Group (ECN) 58,545 1,497 0.03 Female Themis Trading 1,240 25 0.02 UBS 116,402 3,453 0.03 UBS (ECN) 69,394 628 0.01 Virtu Financial Capital Markets 6,823 239 0.04 Virtu Financial Capital Markets (ECN) 16,198 122 0.01 Wedbush Morgan Securities 12,449 434 0.03 Weeden & Company 21,091 527 0.03 Weeden & Company (ECN) 25,360 178 0.01 Wells Fargo Advisors 163,922 4,908 0.03 Wells Fargo Advisors (ECN) 206,182 5,179 0.03 William Blair & Company 719,568 21,778 0.03 William Blair & Company (ECN) 76,664 1,298 0.02 Williams Capital Group 109,607 2,573 0.02 African American Williams Capital Group (ECN) 1,292,546 22,544 0.02 African American Wolfe Trahan Securities 24,391 610 0.03 Grand Totals 44,389,820 760,913$ 0.02$

Schedule G





Active Domestic EquityExpected Usage of Minority-, Female- and Persons with a Disability-Owned (MFDB) Brokerage Firms: 30%

Totals by Investment Manager Per Cent of MFDB UsageChanning Capital Management - SMID 5,796,595 136,292 0.02 100.00%Denali Advisors 1,669,435 24,835 0.01 58.74%EARNEST Partners 660,212 20,938 0.03 23.54%Matarin Capital Management 2,042,202 18,380 0.01 100.00%Grand Totals, Active Domestic Equity 20,891,694 521,320$ 0.02$

Enhanced Active Domestic EquityExpected Usage of Minority-, Female- and Persons with a Disability-Owned (MFDB) Brokerage Firms: 20%

Totals by Investment Manager Per Cent of MFDB UsagePiedmont Investment Advisors 16,528,002 136,759$ 0.01$ 100.00%T. Rowe Price 4,931,346 75,879 0.02 32.38%Grand Totals, Enhanced Active Domestic Equity 21,459,348 212,638$ 0.01$

Passive Domestic EquityExpected Usage of Minority-, Female- and Persons with a Disability-Owned (MFDB) Brokerage Firms: 35%

Totals by Investment Manager Per Cent of MFDB UsageNorthern Trust Asset Management 380,847 3,577$ 0.01$ 100.00%RhumbLine Advisers 1,657,931 23,378 0.01 100.00%Grand Totals, Passive Domestic Equity 2,038,778 26,956$ 0.01$

Total Electronic Communication Networks (ECN's) 30,739,413 392,997$ 0.01$ Per Cent of Total 69.25% 51.65%

Total MFDB Firms 19,314,542 261,014$ 0.01$ Per Cent of Total less ECN's 66.05% 48.86%

Breakdown of Reported Firms (in Dollars)African American 13,805,665 182,338$ 0.01$ 6 FirmsLatino 4,143,582 51,484 0.01 4 FirmsAsian 133,100 1,331 0.01 1 FirmFemale 1,210,340 25,270 0.02 7 FirmsDisabled Veteran 21,855 591 0.03 2 FirmsNative American - - - 0 FirmsTotal MFDB Firms 19,314,542 261,014$ 0.01$ 20 Firms

Breakdown of Reported Firms (in Per Cent)African American 47.21% 34.13%Latino 14.17% 9.64%Asian 0.46% 0.25%Female 4.14% 4.73%Disabled Veteran 0.07% 0.11%Native American 0.00% 0.00%Total MFDB Firms 66.05% 48.86%

Schedule G

Per Cent OwnershipShares Traded Amount Traded Commissions Cost of Trade Cents Per Share (minority/female/disabled)

Andes Capital Group 4,500 562,126$ 90.00$ 0.02% 0.02$ Asian American Auerbach Grayson & Company 185,529 3,845,019 3,423 0.09% 0.02 BBVA Bolsa S.V. S.A. 2,619 57,610 35 0.06% 0.01 BMO Capital Markets 227,000 2,667,584 3,078 0.12% 0.01 BMO Capital Markets (ECN) 202,269 3,645,578 1,150 0.03% 0.01 BTG Pactual 216,300 1,234,319 1,233 0.10% 0.01 BTIG (Bass Trading International Group) 1,029,227 12,636,466 9,190 0.07% 0.01 Bank of America 1,709,283 10,932,983 16,416 0.15% 0.01 Bank of America (ECN) 993,011 23,367,392 16,504 0.07% 0.02 Barclays 376,368 6,980,967 6,623 0.09% 0.02 Barclays (ECN) 300,028 2,297,285 1,796 0.08% 0.01 Baypoint Trading 49,540 1,536,452 991 0.06% 0.02 Berenberg Bank 204,297 6,722,380 9,262 0.14% 0.05 Bloomberg Tradebook 27,290 956,782 396 0.04% 0.01 CAPIS (Capital Institutional Services) 404,100 3,170,503 1,584 0.05% 0.00 Female CIBC (Canadian Imperial Bank of Commerce) 50,300 262,151 953 0.36% 0.02 CIBC (Canadian Imperial Bank of Commerce) (ECN) 19,900 1,225,873 111 0.01% 0.01 CLSA 725,700 7,590,720 8,139 0.11% 0.01 CLSA (EM) 869,822 3,673,746 4,746 0.13% 0.01 Cabrera Capital Markets 1,891,974 24,486,913 15,803 0.06% 0.01 Latino Cabrera Capital Markets (EM) 19,279,681 18,910,504 18,168 0.10% 0.00 Latino Canaccord Adams 148,170 1,100,438 622 0.06% 0.00 Cantor Fitzgerald 337,886 7,967,622 10,496 0.13% 0.03 Capital Investment Services, Inc 166,364 260,214 156 0.06% 0.00 Female Capital Investment Services, Inc (EM) 11,060 98,131 118 0.12% 0.01 Female Carnegie 12,658 863,220 1,510 0.17% 0.12 CastleOak Securities 280,700 2,343,560 3,749 0.16% 0.01 African American China International Capital 98,000 628,442 452 0.07% 0.00 Citigroup Global Markets 5,644,954 69,369,962 43,246 0.06% 0.01 Citigroup Global Markets (ECN) 429,707 5,812,070 5,041 0.09% 0.01 Cowen & Company 668,600 4,363,310 2,435 0.06% 0.00 Credit Suisse 8,730,497 77,933,930 55,351 0.07% 0.01 Credit Suisse (ECN) 2,796,550 60,656,062 37,094 0.06% 0.01 Credit Suisse (EM) 567,567 2,454,267 3,680 0.15% 0.01 Daiwa Securities Group 255,504 6,505,524 8,150 0.13% 0.03 Delek Group 4,700 124,427 149 0.12% 0.03 Desjardins Securities 100 9,394 2 0.02% 0.02 Deutsche Bank 149,703 2,399,054 3,397 0.14% 0.02 Deutsche Bank (ECN) 121,711 2,189,592 1,642 0.08% 0.01 Direct Trading Institutional 32,400 131,002 131 0.10% 0.00 DnB NOR Markets 41,600 412,796 248 0.06% 0.01 Exane 63,331 2,203,042 2,959 0.13% 0.05 Exane (ECN) 1,240,924 11,034,188 8,276 0.07% 0.01 FIG Partners 6,500 239,315 383 0.16% 0.06 FIS 139,863 2,900,206 524 0.02% 0.00 FIS Brokerage & Securities Services LLC 27,600 739,835 105 0.01% 0.00 Fig Group LLC 54,758,257 87,566,631 131,349 0.15% 0.00 Female Fig Group LLC (EM) 4,460,455 7,343,232 11,038 0.15% 0.00 Female Goldman Sachs 4,128,604 42,148,871 40,425 0.10% 0.01 Goldman Sachs (ECN) 500,427 11,499,713 7,358 0.06% 0.01 Goodbody 349,929 748,271 1,496 0.20% 0.00 HSBC 701,912 5,783,638 6,109 0.11% 0.01 HSBC (EM) 790,170 1,264,480 1,904 0.15% 0.00 Handelsbanken 121,118 3,498,648 3,596 0.10% 0.03 ITG (Investment Technology Group) 5,804,702 60,072,520 47,589 0.08% 0.01 ITG (Investment Technology Group) (ECN) 4,113,818 39,643,856 34,006 0.09% 0.01 ITG (Investment Technology Group) (EM) 9,389,130 9,580,783 9,092 0.09% 0.00 Instinet 11,013,790 47,168,026 65,372 0.14% 0.01 Instinet (ECN) 7,801,792 134,168,584 41,326 0.03% 0.01 Instinet (EM) 8,420,947 10,019,414 15,059 0.15% 0.00 Investec Securities 43,600 765,830 381 0.05% 0.01 JMP Securities 217,880 2,077,929 1,028 0.05% 0.00 JP Morgan Chase & Company 209,303 5,790,932 7,082 0.12% 0.03 JP Morgan Chase & Company (ECN) 933,077 15,988,513 12,296 0.08% 0.01 Jefferies & Company 5,056,502 62,735,676 36,273 0.06% 0.01 Jefferies & Company (ECN) 74,559 976,274 2,242 0.23% 0.03 Joh. Berenberg, Gossler & Company 3,762 246,435 148 0.06% 0.04 JonesTrading Institutional Services 205,100 2,269,348 907 0.04% 0.00 Liquidnet 4,187,549 42,468,401 23,025 0.05% 0.01 Liquidnet (ECN) 989,856 13,393,418 13,868 0.10% 0.01 Liquidnet (EM) 2,316,200 2,139,392 1,283 0.06% 0.00 Loop Capital Markets 19,596,701 296,146,520 192,257 0.06% 0.01 African American Macquarie Securities 1,281,633 9,757,755 11,474 0.12% 0.01 Macquarie Securities (ECN) 6,241,225 73,747,338 48,035 0.07% 0.01 MainFirst 8,541 683,796 410 0.06% 0.05 Maybank 115,000 774,989 1,310 0.17% 0.01 Merrill Lynch 2,326,848 37,793,228 18,521 0.05% 0.01 Mirabaud Securities 1,500 926,997 1,850 0.20% 1.23 Mischler Financial Group 2,274,442 31,977,159 18,324 0.06% 0.01 Disabled Veteran Mischler Financial Group (EM) 1,873,950 10,971,366 12,941 0.12% 0.01 Disabled Veteran Mizuho Securities 31,300 816,356 531 0.06% 0.02 Morgan Stanley 9,794,276 96,886,035 61,929 0.06% 0.01 Morgan Stanley (ECN) 641,843 7,626,840 5,765 0.08% 0.01


BROKERAGE COST REVIEW - INTERNATIONAL EQUITIES


Schedule H





National Bank Financial (Canada) 21,200 540,486 406 0.08% 0.02 Nordea Bank 16,322 496,964 298 0.06% 0.02 North South Capital 13,391,631 140,629,652 144,796 0.10% 0.01 Female North South Capital (EM) 14,818,820 15,422,855 14,933 0.10% 0.00 Female Numis 439,906 3,481,030 3,882 0.11% 0.01 Oddo et Cie 7,600 86,253 52 0.06% 0.01 Penserra Securities 19,979,658 131,444,795 74,000 0.06% 0.00 Latino Penserra Securities (EM) 1,632,230 4,455,561 4,308 0.10% 0.00 Latino RBC Capital Markets 3,049 114,158 89 0.08% 0.03 Raymond James & Associates 2,400 170,947 17 0.01% 0.01 Royal Bank of Canada 201,510 5,425,717 4,812 0.09% 0.02 Royal Bank of Canada (ECN) 2,148,102 42,149,624 11,824 0.03% 0.01 SMBC Nikko Securities 166,574 4,392,750 2,196 0.05% 0.01 Sanford C. Bernstein 831,945 2,168,468 1,583 0.07% 0.00 Scotia Capital 20,100 484,929 373 0.08% 0.02 Scotia Capital (ECN) 76,008 2,445,270 430 0.02% 0.01 Skandinaviska Enskilda Banken 37,000 322,730 194 0.06% 0.01 Societe Generale Securities 23,113 387,725 705 0.18% 0.03 Societe Generale Securities (ECN) 3,227,114 21,695,306 6,509 0.03% 0.00 Stifel, Nicolaus & Company 3,000 108,259 65 0.06% 0.02 Sumitomo Mitsui Banking Corporation 22,941 945,538 615 0.06% 0.03 Sumitomo Mitsui Banking Corporation (ECN) 128,700 4,304,379 1,033 0.02% 0.01 UBS 10,158,174 43,008,908 55,099 0.13% 0.01 UBS (ECN) 2,075,713 24,001,766 17,830 0.07% 0.01 UBS (EM) 20,822,570 38,263,481 57,419 0.15% 0.00 UOB Kay Hian 9,400 180,799 272 0.15% 0.03 Virtu Financial Capital Markets (ECN) 28,100 1,275,348 198 0.02% 0.01 Williams Capital Group 16,603 183,803 664 0.36% 0.04 African American Wood & Company 2,320 182,227 274 0.15% 0.12 Grand Totals 311,836,888 2,065,739,879.26$ 1,602,082.51$ 0.08% 0.01$

Schedule H





Active International EquityExpected Usage of Minority-, Female- and Persons with a Disability-Owned (MFDB) Brokerage Firms: 15%

Totals by Investment Manager Per Cent of MFDB UsageAtivo Capital Management 68,159,577 284,293,686.45$ 195,714.24$ 0.07% 0.00$ 78.24%GlobeFlex Capital 119,107,241 329,282,199 488,732 0.15% 0.00 59.13%Progress Investment Management 25,113,257 257,205,158 194,243 0.08% 0.01 49.11%Strategic Global Advisors 37,536,447 385,069,283 189,177 0.05% 0.01 33.11%Grand Totals, Active International Equity 249,916,522 1,255,850,326.19$ 1,067,865.53$ 0.09% 0.00$

Enhanced Active International EquityExpected Usage of Minority-, Female- and Persons with a Disability-Owned (MFDB) Brokerage Firms: 10%

Totals by Investment Manager Per Cent of MFDB UsageFidelity Institutional Asset Management 61,920,366 809,889,553.07$ 534,216.98$ 0.07% 0.01$ 39.17%Grand Totals, Enhanced Active International Equity 61,920,366 809,889,553.07$ 534,216.98$ 0.07% 0.01$

Total Electronic Communication Networks (ECN's) 35,084,434 503,144,269.28$ 274,335.44$ 0.05% 0.01$ Per Cent of Total 11.25% 24.36% 17.12%

Total Emerging Markets (EM) 85,252,602 124,597,212.38$ 154,690.79$ 0.12% 0.00$ Per Cent of Total 27.34% 6.03% 9.66%

Total MFDB Firms 154,841,126 775,973,525.71$ 644,278.01$ 0.08% 0.00$ Per Cent of Total less ECN's and Emerging Markets 66.29% 51.90% 52.19%

Breakdown of Reported Firms (in Dollars)African American 19,894,004 298,673,883.55$ 196,669.69$ 0.07% 0.01$ 3 FirmsLatino 42,783,543 179,297,773 112,280 0.06% 0.00 2 FirmsAsian 4,500 562,126 90 0.02% 0.02 1 FirmFemale 88,010,687 254,491,218 303,973 0.12% 0.00 4 FirmsDisabled Veteran 4,148,392 42,948,525 31,265 0.07% 0.01 1 FirmNative American - - - 0 FirmsTotal MFDB Firms 154,841,126 775,973,525.71$ 644,278.01$ 0.08% 0.00$ 11 Firms

Breakdown of Reported Firms (in Per Cent)African American 8.52% 19.98% 15.93%Latino 18.32% 11.99% 9.09%Asian 0.00% 0.04% 0.01%Female 37.68% 17.02% 24.62%Disabled Veteran 1.78% 2.87% 2.53%Native American 0.00% 0.00% 0.00%Total MFDB Firms 66.29% 51.90% 52.19%

Schedule H


ABG Sundal Collier Norge Asa 19,926 1,845$ 0.09$ Abel/Noser 26,819 671 0.03 Academy Securities 93,755 1,696 0.02 Disabled Veteran Academy Securities (EM) 135,103 310 0.00 Disabled Veteran Allen & Company 47,050 1,078 0.02 BMO Capital Markets 153,839 3,936 0.03 BMO Capital Markets (ECN) 420,233 3,152 0.01 BNP Paribas 8,800 509 0.06 BOSC 2,100 46 0.02 BTG Pactual (EM) 433,084 6,407 0.01 BTIG (Bass Trading International Group) 339,672 6,411 0.02 Banco Bradesco (EM) 798,295 10,102 0.01 Banco Itau (EM) 350,018 4,646 0.01 Bank of America Securities 1,794,890 32,314 0.02 Bank of America Securities (ECN) 2,154,529 10,228 0.00 Bank of America Securities (EM) 1,916,475 9,269 0.00 Bank of America Securities (ECN) (EM) 478,914 664 0.00 Barclays 436,110 11,799 0.03 Barclays (ECN) 455,349 3,727 0.01 Berenberg Bank 116,542 3,473 0.03 Brasil Plural Securities (EM) 42,537 539 0.01 CAPIS (Capital Institutional Services) 29,990 750 0.03 Female CIBC (Canadian Imperial Bank of Commerce) 4,286 73 0.02 CL King & Associates 113,612 2,500 0.02 Female CLSA 4,901,470 8,718 0.00 CLSA (ECN) 1,706,163 9,094 0.01 CLSA (EM) 1,717,147 21,638 0.01 Cabrera Capital Markets 1,554,195 24,608 0.02 Latino Cabrera Capital Markets (ECN) 612,009 5,360 0.01 Latino Canaccord Genuity Canada 85,041 156 0.00 Cantor Fitzgerald 44,727 1,115 0.02 Carnegie 109,202 1,439 0.01 Carnegie (ECN) 46,096 461 0.01 CastleOak Securities 181,041 2,969 0.02 African American China International Capital 2,059,500 808 0.00 Citadel Securities (ECN) 1,651 12 0.01 Citigroup Global Markets 2,576,972 27,712 0.01 Citigroup Global Markets (ECN) 266,298 2,245 0.01 Citigroup Global Markets (EM) 338,005 1,056 0.00 Citigroup Global Markets (ECN) (EM) 36,148 136 0.00 Cowen & Company 156,429 5,748 0.04 Cowen & Company (ECN) 1,140,776 9,561 0.01 Credit Suisse 1,241,174 19,434 0.02 Credit Suisse (ECN) 2,250,977 12,283 0.01 Credit Suisse (EM) 280,301 19,785 0.07 Credit Suisse (ECN) (EM) 200,655 426 0.00 Cuttone & Company 8,651 87 0.01 Daewoo Securities 9,000 168 0.02 Daiwa Securities Group 355,800 4,357 0.01 Daiwa Securities Group (ECN) 35,900 62 0.00 Danske Bank 61,051 2,229 0.04 Deutsche Bank 211,062 10,481 0.05 Deutsche Bank (ECN) 122,429 446 0.00 Deutsche Bank (EM) 123,900 278 0.00 Deutsche Bank (ECN) (EM) 210,000 434 0.00 DnB NOR Markets 39,340 1,122 0.03 Drexel Hamilton 348,290 6,831 0.02 Disabled Veteran Equita SIM S.p.A. (Euromobiliare) 10,433 1,220 0.12 Evans & Partners 34,455 455 0.01 Evercore Partners 254,643 5,891 0.02 Evercore Partners (ECN) 497,545 4,427 0.01 Exane 2,434,805 4,360 0.00


BROKERAGE COST REVIEW - GLOBAL EQUITIES


Schedule I





Exane (ECN) 753,909 10,224 0.01 Fidelity Capital Markets 1,449 29 0.02 Goldman Sachs 3,261,524 36,372 0.01 Goldman Sachs (ECN) 1,775,874 6,826 0.00 Goldman Sachs (EM) 446,343 9,176 0.02 Goldman Sachs (ECN) (EM) 51,788 714 0.01 Guggenheim Capital Markets 9,036 271 0.03 Guzman & Company 62,798 1,724 0.03 Latino HSBC 1,612,679 2,547 0.00 HSBC (ECN) 2,217,000 1,186 0.00 HSBC (EM) 163,900 2,208 0.01 Haitong Securities Company 67,400 270 0.00 Height Securities 7,910 158 0.02 ICAP Securities 4,100 103 0.03 IFS Securities 38,000 950 0.03 African American INTL FCStone 193,100 13,133 0.07 ITG (Investment Technology Group) (ECN) 903,122 5,029 0.01 Instinet 1,776,922 21,422 0.01 Instinet (ECN) 234,747 4,402 0.02 Investec Securities 70,686 659 0.01 JP Morgan Chase & Company 3,694,050 48,494 0.01 JP Morgan Chase & Company (ECN) 813,724 4,357 0.01 JP Morgan Chase & Company (EM) 991,245 11,023 0.01 JP Morgan Chase & Company (ECN) (EM) 20,000 78 0.00 Janney Montgomery Scott 8,300 228 0.03 Jefferies & Company 2,148,881 18,247 0.01 Jefferies & Company (ECN) 2,653,803 24,891 0.01 Jefferies & Company (EM) 95,079 1,758 0.02 Jones & Associates 7,024 197 0.03 Keefe, Bruyette & Woods 123,370 2,441 0.02 Kempen & Company 3,234 126 0.04 Kepler Capital Markets 17,540 578 0.03 KeyBanc Capital Markets 75,436 2,032 0.03 Korea Investment & Securities Co. (EM) 17,976 1,093 0.06 Leerink Swann & Company 12,365 295 0.02 Liquidnet 1,811,739 6,799 0.00 Liquidnet (ECN) 1,707,717 8,782 0.01 Liquidnet (EM) 1,397,261 796 0.00 Loop Capital Markets 8,096,603 24,278 0.00 African American Loop Capital Markets (ECN) 488,092 2,121 0.00 African American Loop Capital Markets (EM) 136,800 542 0.00 African American Luminex Trading & Analytics 1,900 10 0.01 Luminex Trading & Analytics (ECN) 295,209 1,476 0.01 MKM Partners 6,400 160 0.03 Macquarie Securities 681,413 10,248 0.02 Macquarie Securities (ECN) 570,942 2,662 0.00 Macquarie Securities (EM) 644,784 3,440 0.01 Macquarie Securities (ECN) (EM) 412,400 1,411 0.00 Mediobanca 16,168 1,873 0.12 Merrill Lynch 755,725 527 0.00 Mirabaud Securities 13,046 341 0.03 Mischler Financial Group 729,188 8,255 0.01 Disabled Veteran Mitsubishi UFJ Securities 19,700 1,024 0.05 Mizuho Securities 169,247 5,253 0.03 Mizuho Securities (ECN) 1,900 36 0.02 Morgan Stanley 1,790,321 31,167 0.02 Morgan Stanley (ECN) 5,817,250 28,154 0.00 Morgan Stanley (EM) 2,293,054 20,440 0.01 Morgan Stanley (ECN) (EM) 340,846 218 0.00 NH Investment & Securities Company (EM) 2,622 156 0.06 Needham & Company 27,803 689 0.02 Nomura 91,700 706 0.01

Schedule I





Nomura (ECN) 2,433,952 12,456 0.01 Nomura (EM) 2,476 145 0.06 Nordea Bank 182,932 4,888 0.03 North South Capital 253,713 6,343 0.03 Female Northern Trust Securities 18,243 1,323 0.07 Numis 23,093 56 0.00 Oppenheimer & Company 12,440 330 0.03 Peel Hunt 1,901 1 0.00 Penserra Securities 472,496 20,066 0.04 Latino Piper Jaffray & Company 52,791 1,604 0.03 RBC Capital Markets 150,666 5,648 0.04 RBC Capital Markets (ECN) 980,278 8,471 0.01 Raymond James & Associates 35,211 1,104 0.03 Raymond James & Associates (ECN) 52,038 410 0.01 Redburn Partners 225,366 3,078 0.01 Redburn Partners (ECN) 496,352 5,030 0.01 Renaissance Capital 46,833 76 0.00 Robert W. Baird & Company 320,142 9,074 0.03 Robert W. Baird & Company (ECN) 28,768 230 0.01 Rosenblatt Securities 4,400 110 0.03 SMBC Nikko Securities 107,500 4,957 0.05 Samsung Securities (EM) 35,360 2,041 0.06 Sanford C. Bernstein 3,423,829 21,283 0.01 Sanford C. Bernstein (ECN) 4,695,630 27,104 0.01 Sanford C. Bernstein (ECN) (EM) 142,155 348 0.00 Scotia Capital (ECN) 136,700 960 0.01 ScotiaMcLeod (EM) 108,200 496 0.00 Siebert Brandford Shank & Company 222,210 5,765 0.03 African American Siebert Brandford Shank & Company (EM) 38,300 824 0.02 African American Skandinaviska Enskilda Banken 75,259 2,351 0.03 Societe Generale Securities 42,600 129 0.00 Societe Generale Securities (EM) 28,000 66 0.00 Stephens 4,900 196 0.04 Stern Brothers and Company 3,911 98 0.03 Female Stifel, Nicolaus & Company 123,438 3,553 0.03 Stifel, Nicolaus & Company (ECN) 67,196 544 0.01 Stuart Frankel & Co. 2,011 50 0.03 Sturdivant and Company 44,464 1,112 0.03 African American Sumitomo Mitsui Banking Corporation 1,025,700 10,986 0.01 SunTrust Robinson Humphrey 12,296 396 0.03 Telsey Advisory Group 1,667,229 33,865 0.02 Female UBS 1,733,150 40,673 0.02 UBS (ECN) 2,407,107 11,314 0.00 UBS (EM) 353,219 9,063 0.03 UBS (ECN) (EM) 146,600 156 0.00 Virtu Financial Capital Markets 1,157,384 6,356 0.01 Virtu Financial Capital Markets (ECN) 1,603,124 9,031 0.01 Virtu Financial Capital Markets (EM) 401,834 316 0.00 Virtu Financial Capital Markets (ECN) (EM) 14,643 272 0.02 Vontobel 1,970 119 0.06 Wall Street Access (ECN) 198,377 1,474 0.01 Weeden & Company 13,005 420 0.03 Wells Fargo Advisors 193,972 5,579 0.03 Wells Fargo Advisors (ECN) 1,550 12 0.01 William Blair & Company 44,109 1,015 0.02 Williams Capital Group 194,488 4,862 0.03 African American Wolfe Trahan Securities 53,071 1,299 0.02 Grand Totals 115,607,935 1,018,084$ 0.01$

Schedule I





Expected Usage of Minority-, Female- and Persons with a Disability-Owned (MFDB) Brokerage Firms: 20%

Totals by Investment Manager Per Cent of MFDB UsageMondrian Investment Partners 34,748,557 117,300$ 0.00$ 27.08%T. Rowe Price 37,442,229 577,612 0.02 24.08%Wellington Management Company 43,417,149 323,172 0.01 22.90%Grand Totals 115,607,935 1,018,084$ 0.01$

Total Electronic Communication Networks (ECN's) 43,098,465 243,095$ 0.01$ Per Cent of Total 37.28% 23.88%

Total Emerging Markets (EM) 15,345,467 142,469$ 0.01$ Per Cent of Total 13.27% 13.99%

Total MFDB Firms 15,516,287 155,829$ 0.01$ Per Cent of Total less ECN's and Emerging Markets 25.59% 24.10%

Breakdown of Reported Firms (in Dollars)African American 9,439,998 43,422$ 0.00$ 6 FirmsLatino 2,701,498 51,758 0.02 3 FirmsAsian - - 0 FirmsFemale 2,068,455 43,556 0.02 5 FirmsDisabled Veteran 1,306,336 17,092 0.01 3 FirmsNative American - - 0 FirmsTotal MFDB Firms 15,516,287 155,829$ 0.01$ 17 Firms

Breakdown of Reported Firms (in Per Cent)African American 15.57% 6.72%Latino 4.46% 8.01%Asian 0.00% 0.00%Female 3.41% 6.74%Disabled Veteran 2.15% 2.64%Native American 0.00% 0.00%Total MFDB Firms 25.59% 24.10%

Schedule I

OwnershipMarket Value Traded Par Value Traded (minority/female/disabled)

ANZ Securities 308,311$ 300,000$ ASL Capital Markets Inc. 6,799,454 6,310,000 Asian American Academy Securities 200,000 200,000 Disabled Veteran Academy Securities (ECN) 3,319,286 3,290,000 Disabled Veteran Academy Securities 19,274,617 17,260,000 Disabled Veteran Alamo Capital 78,101,244 77,074,000 Female Amherst Securities Group 13,581,655 12,477,644 Amherst Securities Group (ECN) 700,160 605,000 B Riley & Company 1,773,916 1,386,000 BB&T 25,361,877 21,508,946 BBVA Bolsa S.V. S.A. 3,327,431 3,295,982 BCP Securities 30,320,171 30,441,066 BCS Global Markets/BCS Americas Inc. 207,333 400,000 BMO Capital Markets 19,765,912 19,517,036 BNP Paribas 106,149,767 106,547,720 BNP Paribas (ECN) 3,287,900 3,200,000 BNY Mellon 2,530,389 2,424,858 BTIG (Bass Trading International Group) 3,163,373 3,287,000 Banca IMI Securities 1,232,236 1,112,995 Banco Bilbao Vizcaya 4,241,297 6,935,000 Banco Bradesco 1,542,797 1,500,000 Banco Santander 2,359,044 2,078,870 Bancroft Capital 3,300,000 3,300,000 Disabled Veteran Bank of America 318,931,076 311,450,561 Bank of America (ECN) 84,954,115 80,102,000 Bank of America Securities 142,374,764 139,836,193 Bank of China International 200,000 200,000 Bank of New York ConvergEx Execution 152,990 155,000 Bank of Nova Scotia 2,324,038 2,315,356 Bank of Oklahoma 16,238,453 15,859,209 Barclays 274,893,044 269,041,206 Barclays (ECN) 14,698,874 13,893,000 Bear Stearns 2,003,300 2,990,000 Brean Capital 36,443,553 82,393,176 Brean Capital (ECN) 838,931 805,334 Brownstone Investment Group 381,783 365,000 CAPIS (Capital Institutional Services) 4,953,533 4,750,000 Female CIBC (Canadian Imperial Bank of Commerce) 4,720,733 4,990,000 Cabrera Capital Markets 705,294,216 671,654,000 Latino Cabrera Capital Markets (ECN) 42,825,494 41,865,000 Latino Canaccord Adams 83,102 200,000 Canaccord Genuity Canada 298,156 327,000 Cantella & Co. 4,619,436 4,565,000 Cantor Fitzgerald 8,766,605 8,896,816 Capital Investment Services, Inc 1,147,677 1,110,000 Female CastleOak Securities 529,536,954 519,385,000 African American CastleOak Securities (ECN) 3,118,392 3,065,000 African American Citadel Securities 47,500,000 47,500,000 Citibank 17,452,913 17,336,068 Citigroup Global Markets 647,544,179 635,717,660 Citigroup Global Markets (ECN) 33,663,621 32,640,000 Citizens Bank 1,779,987 1,782,330 Commonwealth Bank of Australia 207,896 300,000 Credit Agricole 19,081,543 18,178,093 Credit Suisse 182,555,345 188,669,393 Credit Suisse (ECN) 231,170 185,000


BROKERAGE COST REVIEW - FIXED INCOME (CORE)


Schedule J





DBS Bank 374,349 280,000 Daiwa Securities Group 3,629,563 3,435,573 Danske Bank 322,664 295,529 Deutsche Bank 191,548,964 184,270,743 Deutsche Bank (ECN) 55,370,470 54,235,000 Drexel Hamilton 263,338 265,000 Disabled Veteran FHN Financial Securities 2,641,760 2,667,000 FTN Financial Capital Markets 6,624,788 6,392,424 FTN Financial Capital Markets (ECN) 6,432,051 6,205,000 Falcon Square Capital 8,525,020 7,660,519 Female Fifth Third Securities, Inc. 3,251,947 3,025,000 First Tennessee 32,413,587 28,829,567 First Tryon Securities 449,308 450,000 GMP Securities 174,204 195,000 Goldman Sachs 807,408,223 781,709,786 Goldman Sachs (ECN) 16,891,817 15,661,000 Great Pacific Securities 109,346,596 105,740,000 Disabled Veteran Guggenheim Capital Markets 1,738,025 2,315,000 HSBC 139,270,762 144,093,292 HSBC (ECN) 853,156 800,000 Hilltop Securities 1,466,118 1,441,817 ING Bank 8,953,950 8,359,978 INTL FCStone 87,405,270 89,764,737 Imperial Capital 148,796 192,102 JMP Securities 4,739,230 4,500,000 JP Morgan Chase & Company 642,644,299 640,541,495 JP Morgan Chase & Company (ECN) 55,900,721 55,922,000 Jane Street Execution Services, LLC 4,861,772 4,470,000 Janney Montgomery Scott 67,154,414 67,116,247 Jefferies & Company 219,683,769 208,832,390 Jefferies & Company (ECN) 680,391 645,000 KeyBanc Capital Markets 20,609,473 18,269,000 KeyBanc Capital Markets (ECN) 895,889 779,000 Larrain Vial. S.A. 423,242 400,000 Lloyds 1,406,453 1,405,510 Loop Capital Markets 653,263,684 643,058,737 African American Loop Capital Markets (ECN) 58,680,735 58,165,000 African American MFR Securities 184,823,429 175,058,783 Latino Female Macquarie Securities 846,719 874,170 MarketAxess 53,553,642 50,827,366 MarketAxess (ECN) 15,344,942 14,720,000 Merrill Lynch 30,495,285 27,944,445 Merrill Lynch (ECN) 804,415 800,000 Mesirow Financial 102,583 102,734 Millennium Advisors 16,707,881 14,737,000 Millennium Advisors (ECN) 1,498,282 1,412,000 Mischler Financial Group 89,002,920 86,365,000 Disabled Veteran Mischler Financial Group (ECN) 6,068,173 6,100,000 Disabled Veteran Mitsubishi UFJ Securities 27,045,391 25,823,344 Mitsubishi UFJ Securities (ECN) 4,590,263 4,495,000 Mizuho Securities 135,740,997 130,912,659 Mizuho Securities (ECN) 603,668 615,000 Morgan Stanley 440,800,225 423,723,302 Morgan Stanley (ECN) 18,192,891 17,303,000 NatWest Markets Securities Inc 17,889,077 17,119,505 NatWest Markets Securities Inc (ECN) 2,297,370 2,215,000

Schedule J





National Alliance Securities 612,902 1,385,000 National Bank Financial (Canada) 4,184,294 4,075,000 Natixis Securities Americas 928,636 995,670 Nomura 138,188,965 134,164,004 Nomura (ECN) 3,045,777 3,060,000 Northern Trust Securities 19,151,559 17,070,000 Oppenheimer & Company 37,780,272 35,663,657 PFPC Distributors 81,262 81,262 PNC Capital Markets 581,209 575,000 Penserra Securities 2,900,894 2,800,000 Latino Performance Trust Capital Partners 1,723,625 1,723,625 Pierpont Securities 2,668,549 2,350,000 Piper Jaffray & Company 111,810 100,000 RBC Capital Markets 67,336,592 65,551,047 RBC Capital Markets (ECN) 11,511,921 10,990,000 RBC Dain Rauscher 45,290,000 45,290,000 RBS Securities 19,537,000 19,537,000 RBS Securities (ECN) 976,143 975,000 RJ O'Brien & Associates 678 678 RW Pressprich & Company 5,904,139 5,642,432 Ramirez & Company 1,247,516 1,015,000 Latino Raymond James & Associates 17,697,076 15,937,728 Robert W. Baird & Company 52,202,944 50,244,389 Royal Bank of Canada 32,440,035 30,590,184 SG Americas Securities 2,868,190 2,665,000 SG Americas Securities (ECN) 3,814,288 3,790,000 SMBC Nikko Securities 1,711,271 1,700,000 Santander Central Hispano 293,271 1,225,000 Santander Investment Securities 4,667,901 5,055,000 Sberbank CIB USA, Inc 452,822 400,000 Scotia Capital 11,786,646 11,335,190 Scotia Capital (ECN) 25,017 25,000 Seaport Group 12,149,774 11,581,160 Siebert Brandford Shank & Company 5,635,658 5,100,000 African American Societe Generale Securities 56,674,994 54,349,513 Southwest Securities 561,131 495,000 Standard Bank of South Africa 708,219 720,000 Standard Chartered 24,365,648 22,905,221 State Street Bank & Trust 44,900,382 41,045,000 Stephens 23,330,687 22,348,612 Stifel, Nicolaus & Company 23,766,393 22,921,000 SumRidge Partners 10,549,203 9,780,000 Sumitomo Mitsui Banking Corporation 3,246,612 3,200,000 SunTrust Robinson Humphrey 19,370,523 18,680,426 SunTrust Robinson Humphrey (ECN) 6,206,453 6,185,000 Susquehanna Financial Group 8,840,165 8,260,000 Susquehanna Financial Group (ECN) 5,319,881 5,055,000 Susquehanna International Group 359,663 340,000 TD Securities 26,841,880 28,036,816 Toronto Dominion Bank 2,805,015 4,835,000 Tradeweb Direct 2,058,640 2,055,000 Tribal Capital Markets 7,535,547 7,510,000 Native American UBS 99,047,480 103,051,922 US Bancorp 13,580,690 12,676,000 US Bancorp (ECN) 4,397,333 4,210,000 Uni Credit Capital 309,563 300,000

Schedule J





UniCredit Banca Mobiliare S.p.A. 1,815,707 1,452,256 VTB Capital 12,232,062 11,273,000 Wall Street Access 20,000 20,000 Wells Fargo Advisors 361,162,682 346,469,493 Wells Fargo Advisors (ECN) 63,356,288 58,770,000 Westpac Group 27,364,782 26,178,000 Williams Capital Group 871,555,244 828,818,943 African American Williams Capital Group (ECN) 404,885,072 364,350,646 African American Grand Totals 10,380,197,573$ 10,109,496,138$

Schedule J





Fixed Income (Core)Expected Usage of Minority-, Female- and Persons with a Disability-Owned (MFDB) Brokerage Firms: 20%

Totals by Investment Manager Based on Mkt Value Based on Par ValueGarcia Hamilton & Associates 1,038,768,663$ 67.60% 67.27%LM Capital Group 352,554,693 63.55% 62.92%Neuberger Berman 3,026,718,345 24.62% 23.97%PIMCO 1,795,532,169 30.84% 31.90%Progress Investment Management 1,013,086,244 25.16% 24.43%Pugh Capital Management 930,575,960 40.33% 40.43%RhumbLine Advisers 380,333,511 88.80% 89.74%Smith Graham & Company 31,493,695 36.19% 35.80%State Street Global Advisors 32,627,389 100.00% 100.00%TCW MetWest 936,749,456 32.91% 32.91%Grand Totals 9,538,440,126$

Fixed Income (TIPS)Expected Usage of Minority-, Female- and Persons with a Disability-Owned (MFDB) Brokerage Firms: 20%

Totals by Investment Manager Based on Mkt Value Based on Par ValueRhumbLine Advisers 841,757,447$ 52.13% 51.28%Grand Totals 841,757,447$

Total Electronic Communication Networks (ECN's) 936,281,351 Per Cent of Total 9.02%

Total Emerging Markets (EM) - Per Cent of Total 0.00%

Total MFDB Firms 3,801,604,695$ 3,641,270,628$ Per Cent of Total less ECN's and Emerging Markets 38.16% 37.50%

Breakdown of Reported Firms (in Dollars)African American 2,526,675,741$ 4 FirmsLatino 937,091,550 4 FirmsAsian 6,799,454 1 FirmFemale 92,727,474 4 FirmsDisabled Veteran 230,774,929 6 FirmsNative American 7,535,547 1 FirmTotal MFDB Firms 3,801,604,695$ 20 Firms

Breakdown of Reported Firms (in Per Cent)African American 25.36%Latino 9.41%Asian 0.07%Female 0.93%Disabled Veteran 2.32%Native American 0.08%Total MFDB Firms 38.16%

Per Cent of MFDB Usage

Per Cent of MFDB Usage

Schedule J

Class Period Start

Date

Class Period End

Date

Account Number Account Name Class Action Name TNT Status*

6/24/2014 5/30/2017 2218632 RHUMBLINE EQUITY ADEPTUS HEALTH INC. FILED6/24/2014 5/30/2017 2255942 NORTHERN TRUST ASSET MGMT ADEPTUS HEALTH INC. FILED7/27/2000 11/8/2002 2271463 NTGI RESTRUCTURING ACCT AES CORP COM DISBRSNG3/15/2006 9/16/2008 SUR12 WESTERN ASSET MGMT AIG II CLOSED3/15/2006 9/16/2008 SUR15 WELLINGTON MGMT AIG II CLOSED3/15/2006 9/16/2008 SUR14 CAPITAL GUARDIAN AIG II CLOSED3/15/2006 9/16/2008 SUR13 BLACKROCK CORE PLUS AIG II CLOSED3/15/2006 9/16/2008 SUR17 PIMCO TIPS AIG II CLOSED3/15/2006 9/16/2008 SUR21 PIMCO TOTAL RETURN AIG II CLOSED3/15/2006 9/16/2008 SUR27 PIMCO STOCKSPLUS AIG II CLOSED3/15/2006 9/16/2008 SUR40 CALAMOS INVESTMENTS AIG II CLOSED3/15/2006 9/16/2008 2202262 RASARA STRATEGIES EQUITY AIG II CLOSED3/15/2006 9/16/2008 2202263 NEW AMSTERDAM ACTIVE AIG II CLOSED3/15/2006 9/16/2008 2211578 PROGRESS PALISADES INVESTMENT AIG II CLOSED3/15/2006 9/16/2008 2211579 PROGRESS DENALI ADVISORS AIG II CLOSED3/15/2006 9/16/2008 2211789 TRANSITION AIG II CLOSED3/15/2006 9/16/2008 2218531 ZENNA FINANCIAL AIG II CLOSED3/15/2006 9/16/2008 2218632 RHUMBLINE EQUITY AIG II CLOSED3/15/2006 9/16/2008 2240979 NTGA EMERGING ADVISORS AIG II CLOSED3/15/2006 9/16/2008 2248908 BGI TRANSITION ACCOUNT AIG II CLOSED3/15/2006 9/16/2008 2255942 NORTHERN TRUST ASSET MGMT AIG II CLOSED3/15/2006 9/16/2008 2292745 JACOBS LEVY EQUITY MGMT AIG II CLOSED3/15/2006 9/16/2008 2292746 PIEDMONT INVESTMENT ADVISORS AIG II CLOSED3/15/2006 9/16/2008 2292747 T ROWE PRICE AIG II CLOSED11/2/2016 4/8/2019 2218632 RHUMBLINE EQUITY AKORN INC FILED11/2/2016 4/8/2019 2255942 NORTHERN TRUST ASSET MGMT AKORN INC FILED

5/8/2013 10/3/2017 SUR38 TRANSITION ALERE INC. FILED9/17/2014 10/5/2015 SUR15 WELLINGTON MGMT ALIBABA GROUP HOLDING LIMITED (CALI SC) FILED9/17/2014 10/5/2015 SUR41 T. ROWE PRICE ALIBABA GROUP HOLDING LIMITED (CALI SC) FILED9/17/2014 10/5/2015 SUR53 PROGRESS GLOVISTA INVESTMENTS ALIBABA GROUP HOLDING LIMITED (CALI SC) FILED9/18/2014 4/28/2015 SUR41 T. ROWE PRICE ALIBABA GROUP HOLDING LIMITED (S.D.N.Y.) FILED

6/5/2015 8/7/2018 SUR38 TRANSITION ALLEGIANT TRAVEL COMPANY FILED6/5/2015 8/7/2018 2206616 PROGRESS STONERIDGE ALLEGIANT TRAVEL COMPANY FILED6/5/2015 8/7/2018 2218632 RHUMBLINE EQUITY ALLEGIANT TRAVEL COMPANY FILED6/5/2015 8/7/2018 2234108 MATARIN CAP SMALL CORE ALLEGIANT TRAVEL COMPANY FILED6/5/2015 8/7/2018 2255942 NORTHERN TRUST ASSET MGMT ALLEGIANT TRAVEL COMPANY FILED6/5/2015 8/7/2018 2292745 JACOBS LEVY EQUITY MGMT ALLEGIANT TRAVEL COMPANY FILED

2/24/2014 4/21/2014 2255942 NORTHERN TRUST ASSET MGMT ALLERGAN, INC. (2014) DISBRSNG2/24/2014 4/21/2014 2292747 T ROWE PRICE ALLERGAN, INC. (2014) DISBRSNG

12/29/2000 12/29/2000 2255942 NORTHERN TRUST ASSET MGMT ALLIANCE PHARMACEUTICALS CORP FILED12/21/2012 12/22/2014 2218632 RHUMBLINE EQUITY ALTISOURCE RESIDENTIAL CORPORATION FILED12/21/2012 12/22/2014 2255942 NORTHERN TRUST ASSET MGMT ALTISOURCE RESIDENTIAL CORPORATION FILED

2/24/2004 8/13/2010 2255942 NORTHERN TRUST ASSET MGMT AMERICAN DENTAL PARTNER'S INC. DISBRSNG2/24/2004 8/13/2010 2292747 T ROWE PRICE AMERICAN DENTAL PARTNER'S INC. DISBRSNG2/27/2013 1/30/2015 SUR48 NEUBERGER BERMAN AMERICAN REALTY CAP PROPERTIES INC. 2014 FILED2/27/2013 1/30/2015 SUR29 CBRE CLARION GLOBAL REIT AMERICAN REALTY CAP PROPERTIES INC. 2014 FILED2/27/2013 1/30/2015 2203636 CBRE CLARION REAL ESTATE SECURITIES AMERICAN REALTY CAP PROPERTIES INC. 2014 FILED2/27/2013 1/30/2015 2206616 PROGRESS STONERIDGE AMERICAN REALTY CAP PROPERTIES INC. 2014 FILED2/27/2013 1/30/2015 2207289 TCW METWEST AMERICAN REALTY CAP PROPERTIES INC. 2014 FILED2/27/2013 1/30/2015 2255942 NORTHERN TRUST ASSET MGMT AMERICAN REALTY CAP PROPERTIES INC. 2014 FILED

3/1/2002 3/4/2003 2255942 NORTHERN TRUST ASSET MGMT ANDRX CORP DISBRSNG5/1/2006 1/30/2007 2219049 CHANNING CAPITAL MGMT ARAMARK CORP FILED

12/22/2005 5/2/2006 2203636 CBRE CLARION REAL ESTATE SECURITIES ARDEN REALTY INC FILED12/22/2005 5/2/2006 2203638 RREEF REIT ARDEN REALTY INC FILED12/22/2005 5/2/2006 2255942 NORTHERN TRUST ASSET MGMT ARDEN REALTY INC FILED

3/14/2008 4/27/2011 2255942 NORTHERN TRUST ASSET MGMT ARENA PHARMACEUTICALS, INC. FILED2/6/1997 3/31/1999 2255942 NORTHERN TRUST ASSET MGMT ASSISTED LIVING CONCEPTS, INC. DISBRSNG

10/25/2010 10/18/2011 2218632 RHUMBLINE EQUITY AUTOLIV INC. DISBRSNG10/25/2010 10/18/2011 2292745 JACOBS LEVY EQUITY MGMT AUTOLIV INC. DISBRSNG

7/28/2006 1/24/2012 2211574 PROGRESS VISTA MAR AVON PRODUCTS INC. (2011) DISBRSNG


SCHEDULE OF PENDING CLASS ACTIONS


*FILED - Class Action has been filed with Claims AdministratorDISBRSNG - Class Action has begun Disbursing paymentsNOTIFIED - TNT has been notified of this Class Action and is preparing to file on SURS behalf Schedule K

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7/28/2006 1/24/2012 2211575 PROGRESS REDWOOD INVESTMENT AVON PRODUCTS INC. (2011) DISBRSNG6/16/2015 11/7/2017 2218632 RHUMBLINE EQUITY BABCOCK & WILCOX ENTERPRISES, INC (2017) FILED6/16/2015 11/7/2017 2219055 LOMBARDIA CAPITAL PARTNERS BABCOCK & WILCOX ENTERPRISES, INC (2017) FILED6/16/2015 11/7/2017 2255942 NORTHERN TRUST ASSET MGMT BABCOCK & WILCOX ENTERPRISES, INC (2017) FILED6/16/2015 11/7/2017 2292745 JACOBS LEVY EQUITY MGMT BABCOCK & WILCOX ENTERPRISES, INC (2017) FILED4/14/2016 4/21/2017 2219055 LOMBARDIA CAPITAL PARTNERS BANC OF CALIFORNIA INC. FILED4/14/2016 4/21/2017 2241059 FIDUCIARY MANAGEMENT ASSOCIATES BANC OF CALIFORNIA INC. FILED4/14/2016 4/21/2017 2255942 NORTHERN TRUST ASSET MGMT BANC OF CALIFORNIA INC. FILED

8/7/2014 10/25/2016 SUR53 PROGRESS GLOVISTA INVESTMENTS BANCO BRADESCO S. A. FILED7/21/2005 10/5/2005 2255942 NORTHERN TRUST ASSET MGMT BEI TECHNOLOGY INC FILED9/24/2014 2/26/2016 SUR57 PROGRESS LOMBARDIA CAPITAL PARTNERS BHP BILLITON LTD FILED

10/23/2000 8/11/2006 2219052 NCM CAPITAL BISYS GROUP DISBRSNG3/4/2016 4/12/2016 2218632 RHUMBLINE EQUITY BLOUNT INTERNATIONAL INC. (D. OR.) FILED3/4/2016 4/12/2016 2255942 NORTHERN TRUST ASSET MGMT BLOUNT INTERNATIONAL INC. (D. OR.) FILED

6/27/2000 8/3/2001 2255942 NORTHERN TRUST ASSET MGMT CABLETRON SYS INC FILED6/27/2000 8/3/2001 2271463 NTGI RESTRUCTURING ACCT CABLETRON SYS INC FILED6/19/2005 4/24/2006 SUR14 CAPITAL GUARDIAN CABLEVISION NY GROUP COM FILED6/19/2005 4/24/2006 2255942 NORTHERN TRUST ASSET MGMT CABLEVISION NY GROUP COM FILED

9/6/2005 12/16/2005 2255942 NORTHERN TRUST ASSET MGMT CAPITAL AUTOMOTIVE REIT FILED12/30/2005 9/4/2018 SUR03 MARTIN CURRIE CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 SUR15 WELLINGTON MGMT CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 SUR14 CAPITAL GUARDIAN CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 SUR61 PROGRESS TRANSITION CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 SUR37 PROGRESS HERNDON CAPITAL MGMT CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 SUR38 TRANSITION CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 SUR57 PROGRESS LOMBARDIA CAPITAL PARTNERS CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 SUR28 HERNDON CAPITAL MGMT CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 SUR63 Progress-Glovista Investments EAFE CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 SUR40 CALAMOS INVESTMENTS CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 SUR50 PROGRESS SKY INVESTMENT CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 SUR53 PROGRESS GLOVISTA INVESTMENTS CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 SUR32 PROGRESS JOHN HSU CAPITAL MGMT CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 SUR33 PROGRESS BROWN CAPITAL MGMT CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 2211573 PROGRESS LYNMAR CAPITAL CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 2211789 TRANSITION CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 2214779 PROGRESS MARTIN INVESTMENTS CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 2226432 PROGRESS APEX CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 2240979 NTGA EMERGING ADVISORS CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 2255942 NORTHERN TRUST ASSET MGMT CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 2261521 PROGRESS HIGH POINTE CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 2261965 PROGRESS HOLLAND CAPITAL CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 2261966 PROGRESS TRANSITION DOMESTIC CITI SPONSORED ADRS (CITIBANK) FILED12/30/2005 9/4/2018 2292747 T ROWE PRICE CITI SPONSORED ADRS (CITIBANK) FILED

2/23/2007 7/17/2008 SUR15 WELLINGTON MGMT CITIGROUP INC (VOL FA CAP) SEC FAIR FND FILED2/23/2007 7/17/2008 SUR14 CAPITAL GUARDIAN CITIGROUP INC (VOL FA CAP) SEC FAIR FND FILED2/23/2007 7/17/2008 2211789 TRANSITION CITIGROUP INC (VOL FA CAP) SEC FAIR FND FILED2/23/2007 7/17/2008 2218531 ZENNA FINANCIAL CITIGROUP INC (VOL FA CAP) SEC FAIR FND FILED2/23/2007 7/17/2008 2218632 RHUMBLINE EQUITY CITIGROUP INC (VOL FA CAP) SEC FAIR FND FILED2/23/2007 7/17/2008 2255942 NORTHERN TRUST ASSET MGMT CITIGROUP INC (VOL FA CAP) SEC FAIR FND FILED2/23/2007 7/17/2008 2292746 PIEDMONT INVESTMENT ADVISORS CITIGROUP INC (VOL FA CAP) SEC FAIR FND FILED2/23/2007 7/17/2008 2292747 T ROWE PRICE CITIGROUP INC (VOL FA CAP) SEC FAIR FND FILED4/26/2000 8/31/2001 2255942 NORTHERN TRUST ASSET MGMT CLARENT CORP FILED4/26/2000 8/31/2001 2271463 NTGI RESTRUCTURING ACCT CLARENT CORP FILED2/28/2011 10/11/2018 SUR15 WELLINGTON MGMT COBALT INTERNATIONAL ENERGY INC. FILED2/28/2011 10/11/2018 SUR38 TRANSITION COBALT INTERNATIONAL ENERGY INC. FILED2/28/2011 10/11/2018 2255942 NORTHERN TRUST ASSET MGMT COBALT INTERNATIONAL ENERGY INC. FILED2/19/2002 8/15/2005 2255942 NORTHERN TRUST ASSET MGMT COLLINS & AIKMAN CORP(2007)(SEC FAIR FD) NOTIFIED7/26/2006 1/24/2012 SUR38 TRANSITION COMMUNITY HEALTH SYSTEMS (2011) NOTIFIED7/26/2006 1/24/2012 2211789 TRANSITION COMMUNITY HEALTH SYSTEMS (2011) NOTIFIED7/26/2006 1/24/2012 2218632 RHUMBLINE EQUITY COMMUNITY HEALTH SYSTEMS (2011) NOTIFIED


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7/26/2006 1/24/2012 2219053 PARADIGM ASSET MGMT COMMUNITY HEALTH SYSTEMS (2011) NOTIFIED7/26/2006 1/24/2012 2255942 NORTHERN TRUST ASSET MGMT COMMUNITY HEALTH SYSTEMS (2011) NOTIFIED7/26/2006 1/24/2012 2292745 JACOBS LEVY EQUITY MGMT COMMUNITY HEALTH SYSTEMS (2011) NOTIFIED7/26/2006 1/24/2012 2292747 T ROWE PRICE COMMUNITY HEALTH SYSTEMS (2011) NOTIFIED

5/6/2013 7/23/2014 2218632 RHUMBLINE EQUITY COMMVAULT SYSTEMS FILED5/6/2013 7/23/2014 2255942 NORTHERN TRUST ASSET MGMT COMMVAULT SYSTEMS FILED5/6/2013 7/23/2014 2261966 PROGRESS TRANSITION DOMESTIC COMMVAULT SYSTEMS FILED4/2/2013 3/10/2015 2206616 PROGRESS STONERIDGE CONN'S, INC. FILED4/2/2013 3/10/2015 2255942 NORTHERN TRUST ASSET MGMT CONN'S, INC. FILED

7/24/2014 10/21/2015 2218632 RHUMBLINE EQUITY CONSTANT CONTACT INC (D. MASS.) FILED7/24/2014 10/21/2015 2244620 CASTLEARK MGMT CONSTANT CONTACT INC (D. MASS.) FILED7/24/2014 10/21/2015 2255942 NORTHERN TRUST ASSET MGMT CONSTANT CONTACT INC (D. MASS.) FILED7/24/2014 10/21/2015 2292745 JACOBS LEVY EQUITY MGMT CONSTANT CONTACT INC (D. MASS.) FILED3/16/1999 5/20/2003 2255942 NORTHERN TRUST ASSET MGMT CRYO CELL INTL INC FILED2/24/1999 3/1/1999 2255942 NORTHERN TRUST ASSET MGMT DAOU SYSTEMS INC. FILED2/14/2001 2/14/2001 2255942 NORTHERN TRUST ASSET MGMT DDI CORP DISBRSNG2/21/2012 8/20/2012 SUR40 CALAMOS INVESTMENTS DELL INC. (2014) FILED2/21/2012 8/20/2012 2218632 RHUMBLINE EQUITY DELL INC. (2014) FILED2/21/2012 8/20/2012 2255942 NORTHERN TRUST ASSET MGMT DELL INC. (2014) FILED2/21/2012 8/20/2012 2273358 PROGRESS BOWLING DELL INC. (2014) FILED2/21/2012 8/20/2012 2292747 T ROWE PRICE DELL INC. (2014) FILED10/4/2010 5/8/2012 2218632 RHUMBLINE EQUITY DIAMOND FOODS, INC DISBRSNG10/4/2010 5/8/2012 2255942 NORTHERN TRUST ASSET MGMT DIAMOND FOODS, INC DISBRSNG2/25/2010 2/9/2012 2211581 PROGRESS AH LISANTI DIAMOND FOODS, INC. (SEC FAIR FUND) FILED2/25/2010 2/9/2012 2218632 RHUMBLINE EQUITY DIAMOND FOODS, INC. (SEC FAIR FUND) FILED2/25/2010 2/9/2012 2219051 HOLLAND CAPITAL MGMT DIAMOND FOODS, INC. (SEC FAIR FUND) FILED6/29/2016 9/14/2016 2255942 NORTHERN TRUST ASSET MGMT DIAMOND RESORTS INTERNATIONAL INC.(2016) FILED2/26/2016 1/31/2017 2218632 RHUMBLINE EQUITY DIPLOMAT PHARMACY INC. (2) (2016) FILED2/26/2016 1/31/2017 2255942 NORTHERN TRUST ASSET MGMT DIPLOMAT PHARMACY INC. (2) (2016) FILED

8/9/1999 8/13/2003 2255942 NORTHERN TRUST ASSET MGMT DVI DISBRSNG1/8/2016 9/19/2016 2241059 FIDUCIARY MANAGEMENT ASSOCIATES EMERGENT BIOSOLUTIONS INC. FILED6/4/2015 11/13/2018 SUR61 PROGRESS TRANSITION ENDO INTERNATIONAL PLC (2017) FILED6/4/2015 11/13/2018 SUR57 PROGRESS LOMBARDIA CAPITAL PARTNERS ENDO INTERNATIONAL PLC (2017) FILED6/4/2015 11/13/2018 2211576 PROGRESS HERNDON CAPITAL MGMT ENDO INTERNATIONAL PLC (2017) FILED6/4/2015 11/13/2018 2218632 RHUMBLINE EQUITY ENDO INTERNATIONAL PLC (2017) FILED6/4/2015 11/13/2018 2234108 MATARIN CAP SMALL CORE ENDO INTERNATIONAL PLC (2017) FILED6/4/2015 11/13/2018 2255942 NORTHERN TRUST ASSET MGMT ENDO INTERNATIONAL PLC (2017) FILED

11/29/2012 9/6/2017 SUR61 PROGRESS TRANSITION ENDO INTERNATIONAL PLC (2017) (E.D. PA.) FILED11/29/2012 9/6/2017 2218632 RHUMBLINE EQUITY ENDO INTERNATIONAL PLC (2017) (E.D. PA.) FILED11/29/2012 9/6/2017 2255942 NORTHERN TRUST ASSET MGMT ENDO INTERNATIONAL PLC (2017) (E.D. PA.) FILED10/24/2013 3/15/2016 2255942 NORTHERN TRUST ASSET MGMT ENDURANCE INT'L GROUP HOLDINGS INC. FILED

6/30/1999 12/6/2002 2255942 NORTHERN TRUST ASSET MGMT ENTROPIN, INC. FILED2/24/2016 12/13/2017 SUR15 WELLINGTON MGMT EQUIFAX, INC.(N. D. GA.) NOTIFIED2/24/2016 12/13/2017 2218632 RHUMBLINE EQUITY EQUIFAX, INC.(N. D. GA.) NOTIFIED2/24/2016 12/13/2017 2255942 NORTHERN TRUST ASSET MGMT EQUIFAX, INC.(N. D. GA.) NOTIFIED2/24/2016 12/13/2017 2292747 T ROWE PRICE EQUIFAX, INC.(N. D. GA.) NOTIFIED9/11/2013 7/8/2015 2206616 PROGRESS STONERIDGE EXTREME NETWORKS, INC. (2015) FILED9/11/2013 7/8/2015 2244620 CASTLEARK MGMT EXTREME NETWORKS, INC. (2015) FILED9/11/2013 7/8/2015 2292745 JACOBS LEVY EQUITY MGMT EXTREME NETWORKS, INC. (2015) FILED5/17/2012 2/23/2018 SUR15 WELLINGTON MGMT FACEBOOK INC(2012)(INSTL&RETAIL INV CL) FILED5/17/2012 2/23/2018 SUR40 CALAMOS INVESTMENTS FACEBOOK INC(2012)(INSTL&RETAIL INV CL) FILED5/17/2012 2/23/2018 SUR41 T. ROWE PRICE FACEBOOK INC(2012)(INSTL&RETAIL INV CL) FILED5/17/2012 2/23/2018 2218632 RHUMBLINE EQUITY FACEBOOK INC(2012)(INSTL&RETAIL INV CL) FILED5/17/2012 2/23/2018 2255942 NORTHERN TRUST ASSET MGMT FACEBOOK INC(2012)(INSTL&RETAIL INV CL) FILED5/17/2012 2/23/2018 2292746 PIEDMONT INVESTMENT ADVISORS FACEBOOK INC(2012)(INSTL&RETAIL INV CL) FILED5/17/2012 2/23/2018 2292747 T ROWE PRICE FACEBOOK INC(2012)(INSTL&RETAIL INV CL) FILED4/17/2000 6/6/2003 SUR14 CAPITAL GUARDIAN FEDERAL HOME LOAN MTG CORP (SEC)(FREDDIE DISBRSNG5/13/2015 6/27/2017 2206616 PROGRESS STONERIDGE FENIX PARTS, INC. FILED3/29/2013 12/31/2014 2218632 RHUMBLINE EQUITY FIFTH ST FIN CORP/FITH ST SR FLTG RATE FILED3/29/2013 12/31/2014 2219055 LOMBARDIA CAPITAL PARTNERS FIFTH ST FIN CORP/FITH ST SR FLTG RATE FILED


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4/29/2008 5/29/2012 SUR14 CAPITAL GUARDIAN FIRST SOLAR, INC. NOTIFIED4/29/2008 5/29/2012 SUR38 TRANSITION FIRST SOLAR, INC. NOTIFIED4/29/2008 5/29/2012 2207291 ARIEL CAPITAL MGMT FIRST SOLAR, INC. NOTIFIED4/29/2008 5/29/2012 2211569 PROGRESS FORTALEZA FIRST SOLAR, INC. NOTIFIED4/29/2008 5/29/2012 2211579 PROGRESS DENALI ADVISORS FIRST SOLAR, INC. NOTIFIED4/29/2008 5/29/2012 2218632 RHUMBLINE EQUITY FIRST SOLAR, INC. NOTIFIED4/29/2008 5/29/2012 2248908 BGI TRANSITION ACCOUNT FIRST SOLAR, INC. NOTIFIED4/29/2008 5/29/2012 2255942 NORTHERN TRUST ASSET MGMT FIRST SOLAR, INC. NOTIFIED4/29/2008 5/29/2012 2292747 T ROWE PRICE FIRST SOLAR, INC. NOTIFIED

2/4/2016 7/31/2017 SUR15 WELLINGTON MGMT FLEETCOR TECHNOLOGIES INC. FILED2/4/2016 7/31/2017 2218632 RHUMBLINE EQUITY FLEETCOR TECHNOLOGIES INC. FILED2/4/2016 7/31/2017 2255942 NORTHERN TRUST ASSET MGMT FLEETCOR TECHNOLOGIES INC. FILED2/4/2016 7/31/2017 2292747 T ROWE PRICE FLEETCOR TECHNOLOGIES INC. FILED2/6/2013 11/8/2016 2218632 RHUMBLINE EQUITY FLOWERS FOODS, INC. FILED2/6/2013 11/8/2016 2219052 NCM CAPITAL FLOWERS FOODS, INC. FILED2/6/2013 11/8/2016 2244620 CASTLEARK MGMT FLOWERS FOODS, INC. FILED2/6/2013 11/8/2016 2255942 NORTHERN TRUST ASSET MGMT FLOWERS FOODS, INC. FILED2/6/2013 11/8/2016 2292745 JACOBS LEVY EQUITY MGMT FLOWERS FOODS, INC. FILED

7/27/1999 10/1/2002 2271463 NTGI RESTRUCTURING ACCT FOCAL COMMUNICATIONS DISBRSNG3/16/2010 3/2/2018 SUR37 PROGRESS HERNDON CAPITAL MGMT FOCUS MEDIA HOLDING LIMITED (SEC) FILED

10/18/2016 11/7/2017 2255942 NORTHERN TRUST ASSET MGMT FORTERRA INC. NOTIFIED3/31/2015 5/17/2018 SUR15 WELLINGTON MGMT FRESHPET INC. FILED3/31/2015 5/17/2018 2218632 RHUMBLINE EQUITY FRESHPET INC. FILED3/31/2015 5/17/2018 2255942 NORTHERN TRUST ASSET MGMT FRESHPET INC. FILED

11/30/2000 10/29/2001 2255942 NORTHERN TRUST ASSET MGMT G & L REALITY CORP FILED11/4/2013 1/2/2015 2218632 RHUMBLINE EQUITY GT ADVANCED TECHNOLOGIES INC (APPLE INC) NOTIFIED11/4/2013 1/2/2015 2255942 NORTHERN TRUST ASSET MGMT GT ADVANCED TECHNOLOGIES INC (APPLE INC) NOTIFIED11/4/2013 5/18/2015 2255942 NORTHERN TRUST ASSET MGMT GT ADVANCED TECHNOLOGIES INC (UNDER&IND) DISBRSNG5/18/1998 5/28/2002 SUR15 WELLINGTON MGMT HALLIBURTON COMPANY FILED5/18/1998 5/28/2002 2202283 SMITH BARNEY CAPITAL MGMT HALLIBURTON COMPANY FILED5/18/1998 5/28/2002 2255942 NORTHERN TRUST ASSET MGMT HALLIBURTON COMPANY FILED5/18/1998 5/28/2002 2271463 NTGI RESTRUCTURING ACCT HALLIBURTON COMPANY FILED11/8/2016 9/1/2017 2218632 RHUMBLINE EQUITY HD SUPPLY HOLDINGS, INC. NOTIFIED11/8/2016 9/1/2017 2255942 NORTHERN TRUST ASSET MGMT HD SUPPLY HOLDINGS, INC. NOTIFIED

6/9/2014 4/8/2016 2218632 RHUMBLINE EQUITY HEARTWARE INTN'L INC (2016) (S.D.N.Y.) FILED6/9/2014 4/8/2016 2244620 CASTLEARK MGMT HEARTWARE INTN'L INC (2016) (S.D.N.Y.) FILED6/9/2014 4/8/2016 2255942 NORTHERN TRUST ASSET MGMT HEARTWARE INTN'L INC (2016) (S.D.N.Y.) FILED

2/21/2012 2/3/2016 2218632 RHUMBLINE EQUITY ICONIX BRAND GROUP, INC. FILED2/21/2012 2/3/2016 2219055 LOMBARDIA CAPITAL PARTNERS ICONIX BRAND GROUP, INC. FILED2/21/2012 2/3/2016 2244620 CASTLEARK MGMT ICONIX BRAND GROUP, INC. FILED2/21/2012 2/3/2016 2255942 NORTHERN TRUST ASSET MGMT ICONIX BRAND GROUP, INC. FILED7/25/2016 1/9/2017 SUR41 T. ROWE PRICE ILLUMINA, INC. (2016) (S.D. CAL.) FILED5/17/1999 7/6/2001 2271463 NTGI RESTRUCTURING ACCT IMMUNE RESPONSE CORP DISBRSNG2/11/2015 3/11/2019 2255942 NORTHERN TRUST ASSET MGMT INOVALON HOLDINGS, INC FILED

5/6/2013 7/29/2015 2218632 RHUMBLINE EQUITY INSULET CORPORATION FILED5/6/2013 7/29/2015 2244620 CASTLEARK MGMT INSULET CORPORATION FILED5/6/2013 7/29/2015 2255942 NORTHERN TRUST ASSET MGMT INSULET CORPORATION FILED2/3/2012 10/17/2013 2206608 PROGRESS VISION -SL INTUITIVE SURGICAL, INC (2013) FILED2/3/2012 10/17/2013 2211569 PROGRESS FORTALEZA INTUITIVE SURGICAL, INC (2013) FILED2/3/2012 10/17/2013 2218632 RHUMBLINE EQUITY INTUITIVE SURGICAL, INC (2013) FILED2/3/2012 10/17/2013 2255942 NORTHERN TRUST ASSET MGMT INTUITIVE SURGICAL, INC (2013) FILED2/3/2012 10/17/2013 2292747 T ROWE PRICE INTUITIVE SURGICAL, INC (2013) FILED

2/25/2011 10/30/2015 2255942 NORTHERN TRUST ASSET MGMT INVESTMENT TECHNOLOGY GROUP, INC. FILED2/25/2011 10/30/2015 2292745 JACOBS LEVY EQUITY MGMT INVESTMENT TECHNOLOGY GROUP, INC. FILED3/15/2004 3/21/2005 2255942 NORTHERN TRUST ASSET MGMT INVISION TECHNOLOGIES INC FILED

10/13/2008 11/26/2010 SUR14 CAPITAL GUARDIAN JOHNSON & JOHNSON (2010) DISBRSNG10/13/2008 11/26/2010 SUR38 TRANSITION JOHNSON & JOHNSON (2010) DISBRSNG10/13/2008 11/26/2010 SUR40 CALAMOS INVESTMENTS JOHNSON & JOHNSON (2010) DISBRSNG10/13/2008 11/26/2010 2248908 BGI TRANSITION ACCOUNT JOHNSON & JOHNSON (2010) DISBRSNG11/19/2010 7/18/2018 SUR03 MARTIN CURRIE JPMORGAN CHASE BANK N.A. ADR FX FILED


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Date





11/19/2010 7/18/2018 SUR15 WELLINGTON MGMT JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR61 PROGRESS TRANSITION JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR37 PROGRESS HERNDON CAPITAL MGMT JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR38 TRANSITION JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR57 PROGRESS LOMBARDIA CAPITAL PARTNERS JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR18 PYRAMIS GLOBAL ADVISORS JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR19 MONDRIAN INVESTMENTS JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR28 HERNDON CAPITAL MGMT JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR63 Progress-Glovista Investments EAFE JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR65 Progress-ARGA MSCI JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR69 SOLSTEIN CAPITAL, LLC JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR39 ABERDEEN ASSET MGMT JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR40 CALAMOS INVESTMENTS JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR42 STRATEGIC GLOBAL ADVISORS JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR50 PROGRESS SKY INVESTMENT JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR53 PROGRESS GLOVISTA INVESTMENTS JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR32 PROGRESS JOHN HSU CAPITAL MGMT JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR33 PROGRESS BROWN CAPITAL MGMT JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR34 PROGRESS STRATEGIC GLOBAL ADVISORS JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR46 PROGRESS CHESWOLD LANE JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 2211574 PROGRESS VISTA MAR JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 2211575 PROGRESS REDWOOD INVESTMENT JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 2211789 TRANSITION JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 2218632 RHUMBLINE EQUITY JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 2219054 PROFIT INVESTMENT MGMT JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 2226432 PROGRESS APEX JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 2255942 NORTHERN TRUST ASSET MGMT JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 2292747 T ROWE PRICE JPMORGAN CHASE BANK N.A. ADR FX FILED11/19/2010 7/18/2018 SUR43 PROGRESS ATIVO JPMORGAN CHASE BANK N.A. ADR FX FILED

2/1/2011 2/7/2012 SUR15 WELLINGTON MGMT KEURIG GREEN MOUNTAIN, INC. (2011) FILED2/1/2011 2/7/2012 2218632 RHUMBLINE EQUITY KEURIG GREEN MOUNTAIN, INC. (2011) FILED2/1/2011 2/7/2012 2255942 NORTHERN TRUST ASSET MGMT KEURIG GREEN MOUNTAIN, INC. (2011) FILED

10/24/2017 5/21/2018 2211789 TRANSITION KRATON CORPORATION FILED10/24/2017 5/21/2018 2218632 RHUMBLINE EQUITY KRATON CORPORATION FILED10/24/2017 5/21/2018 2244620 CASTLEARK MGMT KRATON CORPORATION FILED10/24/2017 5/21/2018 2255942 NORTHERN TRUST ASSET MGMT KRATON CORPORATION FILED

6/5/2006 7/25/2006 2219054 PROFIT INVESTMENT MGMT LASERSCOPE FILED6/24/1997 3/3/1999 2255942 NORTHERN TRUST ASSET MGMT LIFE FINANCIAL CORP FILED7/30/2014 10/16/2015 2206616 PROGRESS STONERIDGE LIFELOCK, INC. (2015) NOTIFIED7/30/2014 10/16/2015 2255942 NORTHERN TRUST ASSET MGMT LIFELOCK, INC. (2015) NOTIFIED9/26/2013 7/7/2017 2255942 NORTHERN TRUST ASSET MGMT LION BIOTECHNOLOGIES INC.(N/K/A IOVANCE) FILED1/31/2012 8/5/2014 2206616 PROGRESS STONERIDGE LIQUIDITY SERVICES, INC. FILED1/31/2012 8/5/2014 2211581 PROGRESS AH LISANTI LIQUIDITY SERVICES, INC. FILED1/31/2012 8/5/2014 2241059 FIDUCIARY MANAGEMENT ASSOCIATES LIQUIDITY SERVICES, INC. FILED5/16/1995 6/14/1995 2202282 ROSENBERG INST EQUITY MAGMA COPPER COMPANY FILED7/31/2013 8/1/2016 2206616 PROGRESS STONERIDGE MARRONE BIO INNOVATIONS, INC. (F/K/A MAR FILED

3/2/2015 5/29/2015 2206616 PROGRESS STONERIDGE MAVENIR SYSTEMS, INC. DISBRSNG2/26/2012 3/19/2013 2255942 NORTHERN TRUST ASSET MGMT MAXWELL TECHNOLOGIES INC SEC FAIRFUND DISBRSNG2/28/2011 3/31/2011 2218632 RHUMBLINE EQUITY MCAFEE INC. (CALIFORNIA SUPERIOR COURT) FILED2/28/2011 3/31/2011 2255942 NORTHERN TRUST ASSET MGMT MCAFEE INC. (CALIFORNIA SUPERIOR COURT) FILED2/28/2011 3/31/2011 2292747 T ROWE PRICE MCAFEE INC. (CALIFORNIA SUPERIOR COURT) FILED2/17/2012 1/13/2014 2218632 RHUMBLINE EQUITY MOLYCORP INC DISBRSNG2/17/2012 1/13/2014 2255942 NORTHERN TRUST ASSET MGMT MOLYCORP INC DISBRSNG4/11/2011 4/11/2011 2218632 RHUMBLINE EQUITY MONEYGRAM INTERNATIONAL FILED4/11/2011 4/11/2011 2255942 NORTHERN TRUST ASSET MGMT MONEYGRAM INTERNATIONAL FILED4/27/2004 8/1/2006 2255942 NORTHERN TRUST ASSET MGMT NIAGARA CORP FILED

11/24/1999 7/19/2002 2271463 NTGI RESTRUCTURING ACCT NICOR INC DISBRSNG5/12/2000 7/18/2002 2271463 NTGI RESTRUCTURING ACCT NICOR SEC FAIR FUND DISBRSNG

1/3/2006 5/9/2017 SUR23 PAYDEN & RYGEL NOVASTAR MORTGAGE FUNDING TRUSTS FILED7/16/2015 6/22/2018 2255942 NORTHERN TRUST ASSET MGMT OOMA, INC. FILED


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12/16/2014 11/7/2016 2218632 RHUMBLINE EQUITY ORBITAL ATK INC. FILED12/16/2014 11/7/2016 2255942 NORTHERN TRUST ASSET MGMT ORBITAL ATK INC. FILED

7/22/1999 5/3/2002 2202263 NEW AMSTERDAM ACTIVE PEREGRINE SYSTEMS INC FILED7/22/1999 5/3/2002 2202838 GENESIS CAPITAL PEREGRINE SYSTEMS INC FILED7/22/1999 5/3/2002 2255942 NORTHERN TRUST ASSET MGMT PEREGRINE SYSTEMS INC FILED7/22/1999 5/3/2002 2271463 NTGI RESTRUCTURING ACCT PEREGRINE SYSTEMS INC FILED1/21/2010 10/26/2015 SUR13 BLACKROCK CORE PLUS PETROLEO BRAS S.A. (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR38 TRANSITION PETROLEO BRAS S.A. (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR21 PIMCO TOTAL RETURN PETROLEO BRAS S.A. (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR52 PIMCO UNCONSTRAINED BOND PETROLEO BRAS S.A. (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR59 PROGRESS LM CAPITAL GROUP EMD PETROLEO BRAS S.A. (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR15 WELLINGTON MGMT PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR38 TRANSITION PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR57 PROGRESS LOMBARDIA CAPITAL PARTNERS PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR17 PIMCO TIPS PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR21 PIMCO TOTAL RETURN PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR25 SMITH GRAHAM & CO PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR26 TAPLIN CANIDA & HABACHT PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR27 PIMCO STOCKSPLUS PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR28 HERNDON CAPITAL MGMT PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR52 PIMCO UNCONSTRAINED BOND PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR58 PROGRESS GIA PARTNERS EMD PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR59 PROGRESS LM CAPITAL GROUP EMD PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR48 NEUBERGER BERMAN PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR39 ABERDEEN ASSET MGMT PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR41 T. ROWE PRICE PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR53 PROGRESS GLOVISTA INVESTMENTS PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 SUR35 PROGRESS NEW CENTURY ADVISORS PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 2207289 TCW METWEST PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG1/21/2010 10/26/2015 2211585 PIEDMONT INVESTMENT ADVISORS PETROLEO BRASILEIRO SA (PETROBRAS 2014) DISBRSNG5/22/2013 11/30/2017 2255942 NORTHERN TRUST ASSET MGMT PLY GEM HOLDINGS, INC. (2014) DISBRSNG1/18/2017 8/8/2018 2218632 RHUMBLINE EQUITY PPG INDUSTRIES, INC. FILED1/18/2017 8/8/2018 2255942 NORTHERN TRUST ASSET MGMT PPG INDUSTRIES, INC. FILED8/24/2004 12/21/2004 2255942 NORTHERN TRUST ASSET MGMT PRICE LEGACY CORP FILED

10/14/2015 7/20/2018 SUR41 T. ROWE PRICE PROTHENA CORPORATION PLC (S.D.N.Y.) FILED10/14/2015 7/20/2018 2255942 NORTHERN TRUST ASSET MGMT PROTHENA CORPORATION PLC (S.D.N.Y.) FILED

11/5/2014 5/20/2016 2244620 CASTLEARK MGMT PTC THERAPEUTICS INC. FILED11/5/2014 5/20/2016 2255942 NORTHERN TRUST ASSET MGMT PTC THERAPEUTICS INC. FILED7/21/2014 6/11/2015 2218632 RHUMBLINE EQUITY PUMA BIOTECHNOLOGY, INC. 2015 FILED7/21/2014 6/11/2015 2255942 NORTHERN TRUST ASSET MGMT PUMA BIOTECHNOLOGY, INC. 2015 FILED3/23/2000 5/21/2001 2271463 NTGI RESTRUCTURING ACCT PURCHASEPRO.COM INC DISBRSNG5/25/2011 10/23/2012 2211581 PROGRESS AH LISANTI QUALITY SYSTEMS, INC. (2013) DISBRSNG5/25/2011 10/23/2012 2218632 RHUMBLINE EQUITY QUALITY SYSTEMS, INC. (2013) DISBRSNG5/25/2011 10/23/2012 2219048 BDHS CAPITAL QUALITY SYSTEMS, INC. (2013) DISBRSNG5/25/2011 10/23/2012 2255942 NORTHERN TRUST ASSET MGMT QUALITY SYSTEMS, INC. (2013) DISBRSNG4/15/2016 5/9/2018 2255942 NORTHERN TRUST ASSET MGMT QUANTUM CORPORATION FILED

12/19/2003 7/31/2006 2255942 NORTHERN TRUST ASSET MGMT QUOVADX INC 74913K106 12/19/03 - 7/31/ FILED12/19/2003 7/31/2006 2271463 NTGI RESTRUCTURING ACCT QUOVADX INC 74913K106 12/19/03 - 7/31/ FILED11/28/2003 3/26/2007 2255942 NORTHERN TRUST ASSET MGMT QUOVADX, INC. FILED

8/4/2015 12/6/2016 2255942 NORTHERN TRUST ASSET MGMT QURATE RETAIL, INC. FILED5/24/1999 5/4/2001 2271463 NTGI RESTRUCTURING ACCT RAZORFISH INC DISBRSNG2/11/2014 7/12/2017 2206616 PROGRESS STONERIDGE RCS CAPITAL CORPORATION FILED2/11/2014 7/12/2017 2255942 NORTHERN TRUST ASSET MGMT RCS CAPITAL CORPORATION FILED1/30/2015 1/6/2017 2219055 LOMBARDIA CAPITAL PARTNERS RENT-A-CENTER, INC. (2016) FILED3/14/2016 7/5/2017 2255942 NORTHERN TRUST ASSET MGMT RENTECH, INC. (2017) (C.D. CAL.) FILED1/28/2016 7/13/2018 2255942 NORTHERN TRUST ASSET MGMT RENTRAK CORP (2016) FILED3/25/2015 9/6/2016 2211789 TRANSITION RH (F/K/A REST. HARDWARE HLDNG) 2017 DISBRSNG3/25/2015 9/6/2016 2219051 HOLLAND CAPITAL MGMT RH (F/K/A REST. HARDWARE HLDNG) 2017 DISBRSNG3/25/2015 9/6/2016 2255942 NORTHERN TRUST ASSET MGMT RH (F/K/A REST. HARDWARE HLDNG) 2017 DISBRSNG3/25/2015 9/6/2016 2261965 PROGRESS HOLLAND CAPITAL RH (F/K/A REST. HARDWARE HLDNG) 2017 DISBRSNG


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3/13/2013 7/24/2019 2206616 PROGRESS STONERIDGE ROADRUNNER TRANSPORTATION SYSTEMS, INC. FILED3/13/2013 7/24/2019 2211789 TRANSITION ROADRUNNER TRANSPORTATION SYSTEMS, INC. FILED3/13/2013 7/24/2019 2255942 NORTHERN TRUST ASSET MGMT ROADRUNNER TRANSPORTATION SYSTEMS, INC. FILED3/13/2013 7/24/2019 2261966 PROGRESS TRANSITION DOMESTIC ROADRUNNER TRANSPORTATION SYSTEMS, INC. FILED

5/6/2010 1/30/2011 2255942 NORTHERN TRUST ASSET MGMT ROCK OF AGES CORPORATION FILED11/7/2017 9/24/2018 2218632 RHUMBLINE EQUITY ROCKWELL MEDICAL INC. (2018) FILED11/7/2017 9/24/2018 2255942 NORTHERN TRUST ASSET MGMT ROCKWELL MEDICAL INC. (2018) FILED

4/7/1999 6/15/2004 2232420 TEMPORARY ACCOUNT ROYAL DUTCH PETRO SHELL TRANS DISBRSNG3/24/2011 8/31/2011 2218632 RHUMBLINE EQUITY SAIC, INC. (S. D. N. Y.) FILED3/24/2011 8/31/2011 2255942 NORTHERN TRUST ASSET MGMT SAIC, INC. (S. D. N. Y.) FILED

10/15/2014 7/14/2015 2218632 RHUMBLINE EQUITY SANDISK CORP (N/K/A SANDISK LLC)(2015) FILED2/2/2015 6/13/2016 SUR15 WELLINGTON MGMT SANTANDER CONSUMER USA HLDGS INC (2016) FILED2/2/2015 6/13/2016 2292745 JACOBS LEVY EQUITY MGMT SANTANDER CONSUMER USA HLDGS INC (2016) FILED

10/26/2015 3/20/2018 2218632 RHUMBLINE EQUITY SCANA CORPORATION (2017) (D.S.C.) NOTIFIED10/26/2015 3/20/2018 2255942 NORTHERN TRUST ASSET MGMT SCANA CORPORATION (2017) (D.S.C.) NOTIFIED

8/28/2013 11/10/2014 2255942 NORTHERN TRUST ASSET MGMT SEAWORLD ENTERTAINMENT, INC. NOTIFIED3/29/2011 7/6/2015 SUR38 TRANSITION SILVER WHEATON CORP. NOTIFIED3/29/2011 7/6/2015 SUR18 PYRAMIS GLOBAL ADVISORS SILVER WHEATON CORP. NOTIFIED3/29/2011 7/6/2015 SUR39 ABERDEEN ASSET MGMT SILVER WHEATON CORP. NOTIFIED3/29/2011 7/6/2015 SUR41 T. ROWE PRICE SILVER WHEATON CORP. NOTIFIED1/30/2013 12/14/2016 2218632 RHUMBLINE EQUITY SPECTRUM PHARMACEUTICALS 2016 (D. NEV) FILED1/30/2013 12/14/2016 2255942 NORTHERN TRUST ASSET MGMT SPECTRUM PHARMACEUTICALS 2016 (D. NEV) FILED

3/3/2015 3/29/2019 2218632 RHUMBLINE EQUITY SPROUTS FARMERS MARKET INC (AZ SUP CRT) FILED3/3/2015 3/29/2019 2255942 NORTHERN TRUST ASSET MGMT SPROUTS FARMERS MARKET INC (AZ SUP CRT) FILED

2/24/2012 4/18/2017 SUR15 WELLINGTON MGMT STATE STREET CORPORATION (2017) FILED2/24/2012 4/18/2017 SUR40 CALAMOS INVESTMENTS STATE STREET CORPORATION (2017) FILED2/24/2012 4/18/2017 SUR41 T. ROWE PRICE STATE STREET CORPORATION (2017) FILED2/24/2012 4/18/2017 2218632 RHUMBLINE EQUITY STATE STREET CORPORATION (2017) FILED2/24/2012 4/18/2017 2255942 NORTHERN TRUST ASSET MGMT STATE STREET CORPORATION (2017) FILED2/24/2012 4/18/2017 2292745 JACOBS LEVY EQUITY MGMT STATE STREET CORPORATION (2017) FILED2/24/2012 4/18/2017 2292747 T ROWE PRICE STATE STREET CORPORATION (2017) FILED

2/6/2013 5/22/2018 SUR19 MONDRIAN INVESTMENTS STERICYCLE, INC FILED2/6/2013 5/22/2018 2211569 PROGRESS FORTALEZA STERICYCLE, INC FILED2/6/2013 5/22/2018 2218632 RHUMBLINE EQUITY STERICYCLE, INC FILED2/6/2013 5/22/2018 2219051 HOLLAND CAPITAL MGMT STERICYCLE, INC FILED2/6/2013 5/22/2018 2255942 NORTHERN TRUST ASSET MGMT STERICYCLE, INC FILED2/6/2013 5/22/2018 2261966 PROGRESS TRANSITION DOMESTIC STERICYCLE, INC FILED2/6/2013 5/22/2018 2292747 T ROWE PRICE STERICYCLE, INC FILED

8/17/2015 7/22/2016 2218632 RHUMBLINE EQUITY SUNEDISON INC. (CERTIFIED CLASS) FILED8/17/2015 7/22/2016 2255942 NORTHERN TRUST ASSET MGMT SUNEDISON INC. (CERTIFIED CLASS) FILED1/20/2004 10/1/2004 2255942 NORTHERN TRUST ASSET MGMT SUPPORT SOFT INC FILED4/11/2006 5/19/2006 2202263 NEW AMSTERDAM ACTIVE SYBRON DENTAL SPECIALTIES FILED4/11/2006 5/19/2006 2219049 CHANNING CAPITAL MGMT SYBRON DENTAL SPECIALTIES FILED

12/17/2002 7/10/2006 2219055 LOMBARDIA CAPITAL PARTNERS TAKE-TWO INTERACTIVE SOFTWARE (2006) DISBRSNG11/17/2006 8/20/2007 2207291 ARIEL CAPITAL MGMT TD BANKNORTH, INC. FILED11/17/2006 8/20/2007 2255942 NORTHERN TRUST ASSET MGMT TD BANKNORTH, INC. FILED

5/17/2001 7/1/2002 2202838 GENESIS CAPITAL TELLIUM INC DISBRSNG2/19/2008 5/12/2009 2218531 ZENNA FINANCIAL TEREX CORPORATION (D CONN.) FILED2/19/2008 5/12/2009 2218632 RHUMBLINE EQUITY TEREX CORPORATION (D CONN.) FILED2/19/2008 5/12/2009 2219051 HOLLAND CAPITAL MGMT TEREX CORPORATION (D CONN.) FILED2/19/2008 5/12/2009 2255942 NORTHERN TRUST ASSET MGMT TEREX CORPORATION (D CONN.) FILED2/19/2008 5/12/2009 2292745 JACOBS LEVY EQUITY MGMT TEREX CORPORATION (D CONN.) FILED2/19/2008 5/12/2009 2292746 PIEDMONT INVESTMENT ADVISORS TEREX CORPORATION (D CONN.) FILED2/19/2008 5/12/2009 2292747 T ROWE PRICE TEREX CORPORATION (D CONN.) FILED7/30/2015 12/15/2017 2255942 NORTHERN TRUST ASSET MGMT TERRAFORM GLOBAL INC FILED

4/8/2009 7/20/2009 2255942 NORTHERN TRUST ASSET MGMT TEXTRON INC/HARMAN INT'L (SEC FAIR FUND) FILED5/5/2015 1/6/2020 2206616 PROGRESS STONERIDGE THE ADVISORY BOARD COMPANY (D.D.C.) FILED5/5/2015 1/6/2020 2218632 RHUMBLINE EQUITY THE ADVISORY BOARD COMPANY (D.D.C.) FILED5/5/2015 1/6/2020 2244620 CASTLEARK MGMT THE ADVISORY BOARD COMPANY (D.D.C.) FILED5/5/2015 1/6/2020 2255942 NORTHERN TRUST ASSET MGMT THE ADVISORY BOARD COMPANY (D.D.C.) FILED


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12/31/1996 1/17/2019 SUR08 DRESDNER RCM GLOBAL THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR09 OECHSLE INTERNATIONAL ADVISORS THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR02 AMERICAN EXPRESS THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR03 MARTIN CURRIE THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR15 WELLINGTON MGMT THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR14 CAPITAL GUARDIAN THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR37 PROGRESS HERNDON CAPITAL MGMT THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR38 TRANSITION THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR57 PROGRESS LOMBARDIA CAPITAL PARTNERS THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR18 PYRAMIS GLOBAL ADVISORS THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR19 MONDRIAN INVESTMENTS THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR28 HERNDON CAPITAL MGMT THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR63 Progress-Glovista Investments EAFE THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR65 Progress-ARGA MSCI THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR39 ABERDEEN ASSET MGMT THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR40 CALAMOS INVESTMENTS THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR41 T. ROWE PRICE THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR42 STRATEGIC GLOBAL ADVISORS THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR50 PROGRESS SKY INVESTMENT THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR53 PROGRESS GLOVISTA INVESTMENTS THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR32 PROGRESS JOHN HSU CAPITAL MGMT THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR33 PROGRESS BROWN CAPITAL MGMT THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR34 PROGRESS STRATEGIC GLOBAL ADVISORS THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 SUR46 PROGRESS CHESWOLD LANE THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 2211574 PROGRESS VISTA MAR THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 2211575 PROGRESS REDWOOD INVESTMENT THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 2211578 PROGRESS PALISADES INVESTMENT THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 2218632 RHUMBLINE EQUITY THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 2219051 HOLLAND CAPITAL MGMT THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 2219052 NCM CAPITAL THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 2219053 PARADIGM ASSET MGMT THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 2226432 PROGRESS APEX THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 2255942 NORTHERN TRUST ASSET MGMT THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 2261521 PROGRESS HIGH POINTE THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 2261965 PROGRESS HOLLAND CAPITAL THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 2268230 CASH ACCOUNT THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 2268238 PIMCO THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 2273358 PROGRESS BOWLING THE BANK OF NEW YORK MELLON ADR FX FILED12/31/1996 1/17/2019 2292747 T ROWE PRICE THE BANK OF NEW YORK MELLON ADR FX FILED

12/2/2015 6/7/2017 SUR18 PYRAMIS GLOBAL ADVISORS THE TORONTO-DOMINION BANK FILED1/21/1999 11/19/2002 2271463 NTGI RESTRUCTURING ACCT TRANSACTION SYSTEMS ARCHITECTS DISBRSNG2/15/2012 7/24/2015 2206603 PROGRESS AFFINITY DOMESTIC EQUITY TRINITY INDUSTRIES INC. FILED2/15/2012 7/24/2015 2214779 PROGRESS MARTIN INVESTMENTS TRINITY INDUSTRIES INC. FILED2/15/2012 7/24/2015 2218632 RHUMBLINE EQUITY TRINITY INDUSTRIES INC. FILED2/15/2012 7/24/2015 2255942 NORTHERN TRUST ASSET MGMT TRINITY INDUSTRIES INC. FILED2/15/2017 2/2/2018 2218632 RHUMBLINE EQUITY TRUECAR, INC. (2018) FILED2/15/2017 2/2/2018 2244620 CASTLEARK MGMT TRUECAR, INC. (2018) FILED2/15/2017 2/2/2018 2255942 NORTHERN TRUST ASSET MGMT TRUECAR, INC. (2018) FILED

3/7/2011 3/8/2016 2255942 NORTHERN TRUST ASSET MGMT UNITED DEVELOPMENT FUNDING IV FILED5/7/2014 3/18/2016 SUR61 PROGRESS TRANSITION VALE S. A. (2015) NOTIFIED5/7/2014 3/18/2016 SUR57 PROGRESS LOMBARDIA CAPITAL PARTNERS VALE S. A. (2015) NOTIFIED5/7/2014 3/18/2016 SUR53 PROGRESS GLOVISTA INVESTMENTS VALE S. A. (2015) NOTIFIED1/3/2013 9/2/2016 SUR61 PROGRESS TRANSITION VALEANT PHARMACEUTICALS INTL INC. (2015) FILED1/3/2013 9/2/2016 SUR18 PYRAMIS GLOBAL ADVISORS VALEANT PHARMACEUTICALS INTL INC. (2015) FILED1/3/2013 9/2/2016 SUR20 GLOBEFLEX CAPITAL VALEANT PHARMACEUTICALS INTL INC. (2015) FILED1/3/2013 9/2/2016 SUR39 ABERDEEN ASSET MGMT VALEANT PHARMACEUTICALS INTL INC. (2015) FILED1/3/2013 9/2/2016 SUR40 CALAMOS INVESTMENTS VALEANT PHARMACEUTICALS INTL INC. (2015) FILED1/3/2013 9/2/2016 SUR42 STRATEGIC GLOBAL ADVISORS VALEANT PHARMACEUTICALS INTL INC. (2015) FILED1/3/2013 9/2/2016 SUR34 PROGRESS STRATEGIC GLOBAL ADVISORS VALEANT PHARMACEUTICALS INTL INC. (2015) FILED1/3/2013 9/2/2016 2211789 TRANSITION VALEANT PHARMACEUTICALS INTL INC. (2015) FILED


Class Period Start

Date

Class Period End

Date





1/3/2013 9/2/2016 2273359 PROGRESS HAHN VALEANT PHARMACEUTICALS INTL INC. (2015) FILED1/24/2013 8/7/2015 2206616 PROGRESS STONERIDGE VIRTUS INVESTMENT PARTNERS DISBRSNG1/24/2013 8/7/2015 2218632 RHUMBLINE EQUITY VIRTUS INVESTMENT PARTNERS DISBRSNG1/24/2013 8/7/2015 2255942 NORTHERN TRUST ASSET MGMT VIRTUS INVESTMENT PARTNERS DISBRSNG12/7/2011 7/20/2012 SUR19 MONDRIAN INVESTMENTS WAL-MART STORES INC. FILED12/7/2011 7/20/2012 SUR40 CALAMOS INVESTMENTS WAL-MART STORES INC. FILED12/7/2011 7/20/2012 2211569 PROGRESS FORTALEZA WAL-MART STORES INC. FILED12/7/2011 7/20/2012 2218632 RHUMBLINE EQUITY WAL-MART STORES INC. FILED12/7/2011 7/20/2012 2255942 NORTHERN TRUST ASSET MGMT WAL-MART STORES INC. FILED12/7/2011 7/20/2012 2262574 PROGRESS GRAHAM AND DODD WAL-MART STORES INC. FILED12/7/2011 7/20/2012 2273358 PROGRESS BOWLING WAL-MART STORES INC. FILED12/7/2011 7/20/2012 2292745 JACOBS LEVY EQUITY MGMT WAL-MART STORES INC. FILED12/7/2011 7/20/2012 2292746 PIEDMONT INVESTMENT ADVISORS WAL-MART STORES INC. FILED12/7/2011 7/20/2012 2292747 T ROWE PRICE WAL-MART STORES INC. FILED2/25/2014 12/19/2016 SUR38 TRANSITION WELLS FARGO & COMPANY (2016) FILED2/25/2014 12/19/2016 SUR19 MONDRIAN INVESTMENTS WELLS FARGO & COMPANY (2016) FILED2/25/2014 12/19/2016 SUR40 CALAMOS INVESTMENTS WELLS FARGO & COMPANY (2016) FILED2/25/2014 12/19/2016 2206603 PROGRESS AFFINITY DOMESTIC EQUITY WELLS FARGO & COMPANY (2016) FILED2/25/2014 12/19/2016 2218632 RHUMBLINE EQUITY WELLS FARGO & COMPANY (2016) FILED2/25/2014 12/19/2016 2228214 PROGRESS BOWLING WELLS FARGO & COMPANY (2016) FILED2/25/2014 12/19/2016 2255942 NORTHERN TRUST ASSET MGMT WELLS FARGO & COMPANY (2016) FILED2/25/2014 12/19/2016 2292745 JACOBS LEVY EQUITY MGMT WELLS FARGO & COMPANY (2016) FILED2/25/2014 12/19/2016 2292746 PIEDMONT INVESTMENT ADVISORS WELLS FARGO & COMPANY (2016) FILED2/25/2014 12/19/2016 2292747 T ROWE PRICE WELLS FARGO & COMPANY (2016) FILED6/17/2014 3/11/2019 SUR21 PIMCO TOTAL RETURN WELLS FARGO BANK (2016) (RES MORTG BCKD) FILED6/17/2014 3/11/2019 SUR27 PIMCO STOCKSPLUS WELLS FARGO BANK (2016) (RES MORTG BCKD) FILED6/17/2014 3/11/2019 SUR68 METROPOLITAN WEST ASSET WELLS FARGO BANK (2016) (RES MORTG BCKD) FILED6/17/2014 3/11/2019 SUR48 NEUBERGER BERMAN WELLS FARGO BANK (2016) (RES MORTG BCKD) FILED1/17/2008 1/28/2011 2255942 NORTHERN TRUST ASSET MGMT WILMINGTON TRUST CORP (D. DEL.) DISBRSNG1/17/2008 1/28/2011 2292747 T ROWE PRICE WILMINGTON TRUST CORP (D. DEL.) DISBRSNG


Ocw2

Date of Distribution Class Action Name Account Name Amount 7/12/2019 COMPUTER SCIENCES CORP (SEC FAIR FUND) RHUMBLINE EQUITY 5,461$ 7/12/2019 COMPUTER SCIENCES CORP (SEC FAIR FUND) NORTHERN TRUST ASSET MGMT 26811.597/12/2019 COMPUTER SCIENCES CORP (SEC FAIR FUND) JACOBS LEVY EQUITY MGMT 3436.937/12/2019 COMPUTER SCIENCES CORP (SEC FAIR FUND) T ROWE PRICE 13355.137/18/2019 AMGEN INC. (2007) ZENNA FINANCIAL 110.627/18/2019 AMGEN INC. (2007) RHUMBLINE EQUITY 12227.387/18/2019 AMGEN INC. (2007) NORTHERN TRUST ASSET MGMT 711.727/19/2019 SYMBOL TECHNOLOGIES INC (2005) ZENNA FINANCIAL 48.647/23/2019 FITBIT, INC. (N.D.CAL.) RHUMBLINE EQUITY 738.797/23/2019 FITBIT, INC. (N.D.CAL.) NORTHERN TRUST ASSET MGMT 1117.067/29/2019 CLOVIS ONCOLOGY, INC. (2015) RHUMBLINE EQUITY 3154.067/29/2019 CLOVIS ONCOLOGY, INC. (2015) NORTHERN TRUST ASSET MGMT 2909.338/12/2019 GALENA BIOPHARMA STOCKHOLDER SETTLEMENT NORTHERN TRUST ASSET MGMT 16.058/13/2019 THE BANCORP INC JACOBS LEVY EQUITY MGMT 1163.128/16/2019 OPUS BANK LOMBARDIA CAPITAL PARTNERS 35015.478/16/2019 OPUS BANK FIDUCIARY MANAGEMENT ASSOCIATES 25876.898/16/2019 OPUS BANK NORTHERN TRUST ASSET MGMT 1441.198/22/2019 GALENA BIOPHARMA ONE DAY HOLDINGS NORTHERN TRUST ASSET MGMT 24.328/27/2019 COUNTRYWIDE FNCL CORP (2010) MBS SETTLE BLACKROCK EQUITY PLUS 554.768/27/2019 COUNTRYWIDE FNCL CORP (2010) MBS SETTLE WESTERN ASSET MGMT 24.728/27/2019 COUNTRYWIDE FNCL CORP (2010) MBS SETTLE BLACKROCK CORE PLUS 126.58/27/2019 COUNTRYWIDE FNCL CORP (2010) MBS SETTLE TRANSITION 1246.398/27/2019 COUNTRYWIDE FNCL CORP (2010) MBS SETTLE PIMCO STOCKSPLUS 399.668/27/2019 COUNTRYWIDE FNCL CORP (2010) MBS SETTLE BLACKROCK ENHANCED 193.339/3/2019 GENERAL MOTORS COMPANY PROGRESS FORTALEZA 6832.119/3/2019 GENERAL MOTORS COMPANY RHUMBLINE EQUITY 797.49/3/2019 GENERAL MOTORS COMPANY NORTHERN TRUST ASSET MGMT 25888.349/3/2019 GENERAL MOTORS COMPANY PIEDMONT INVESTMENT ADVISORS 1693.489/3/2019 GENERAL MOTORS COMPANY T ROWE PRICE 4303.419/4/2019 STRAIGHT PATH COMMUNICATIONS INC (2015) NORTHERN TRUST ASSET MGMT 33.279/4/2019 TOWER GROUP INTL LTD. (2013)(TOWER DEFEN PROGRESS STONERIDGE 44.769/4/2019 TOWER GROUP INTL LTD. (2013)(TOWER DEFEN LOMBARDIA CAPITAL PARTNERS 272.049/4/2019 TOWER GROUP INTL LTD. (2013)(TOWER DEFEN NORTHERN TRUST ASSET MGMT 35.19/5/2019 MAXWELL TECHNOLOGIES INC SEC FAIRFUND PROGRESS AH LISANTI 366.62

9/10/2019 UTI WORLDWIDE INC. NORTHERN TRUST ASSET MGMT 1973.179/11/2019 CVS CAREMARK CORP ABERDEEN ASSET MGMT 40.879/18/2019 VITESSE SEMICONDUCTOR CORP. NORTHERN TRUST ASSET MGMT 88.489/20/2019 NUVASIVE, INC RHUMBLINE EQUITY 289.189/20/2019 NUVASIVE, INC NORTHERN TRUST ASSET MGMT 1850.739/20/2019 LENDINGCLUB CORPORATION NORTHERN TRUST ASSET MGMT 8345.059/24/2019 AAC HOLDINGS INC CASTLEARK MGMT 44133.879/24/2019 THE MILLS CORP. RREEF REIT 285.189/24/2019 COMPUTER SCIENCES CORP (SEC FAIR FUND) NORTHERN TRUST ASSET MGMT 57.19/26/2019 IMPERVA INC NORTHERN TRUST ASSET MGMT 1766.4210/3/2019 MISHCON DE REYA LLP SURS 74591

10/24/2019 JPMORGAN CHASE & CO (SEC FAIR FUND) RHUMBLINE EQUITY 32.3710/24/2019 JPMORGAN CHASE & CO (SEC FAIR FUND) PROGRESS GRAHAM AND DODD 38.9810/25/2019 INDYMAC MORTGAGE PASS-THROUGH (INDV&UND) TCW METWEST 15.3610/25/2019 WACHOVIA PREFERRED SECURITIES & BNDS/NTS PIMCO TOTAL RETURN 349.8910/28/2019 NORTEL NETWORKS CORP II WELLINGTON MGMT 2.3910/29/2019 CENDANT CORP SURS 82.7610/29/2019 DELL SEC FAIR FUND SURS 108.6710/29/2019 DELL, INC. WELLINGTON MGMT 172.6710/29/2019 DELL, INC. ZENNA FINANCIAL 59.5811/6/2019 PETROLEO BRASILEIRO SA (PETROBRAS 2014) PROGRESS GIA PARTNERS 327399.67

11/26/2019 Amer. Intl. Grp. (2004) (PWC) NORTHERN TRUST ASSET MGMT 26.2511/26/2019 Amer. Intl. Grp. (2004) (PWC) NTGI RESTRUCTURING ACCT 44.511/27/2019 TWITTER, INC. (CALIF. SUPERIOR COURT) RHUMBLINE EQUITY 445.0911/27/2019 TWITTER, INC. (CALIF. SUPERIOR COURT) NORTHERN TRUST ASSET MGMT 20.3611/27/2019 AMERICAN INTL GRP (04) (STARR DEFENDENTS NORTHERN TRUST ASSET MGMT 25.8511/27/2019 AMERICAN INTL GRP (04) (STARR DEFENDENTS NTGI RESTRUCTURING ACCT 45.0212/2/2019 Amer. Intl. Grp. (2004) (COMPANY) WELLINGTON MGMT 68.0412/2/2019 Amer. Intl. Grp. (2004) (COMPANY) CAPITAL GUARDIAN 29.91


SCHEDULE OF CLASS ACTION PROCEEDS RECEIVED

Fiscal Year 2020

Schedule L

Ocw2

Date of Distribution Class Action Name Account Name Amount


SCHEDULE OF CLASS ACTION PROCEEDS RECEIVED

Fiscal Year 2020

12/2/2019 Amer. Intl. Grp. (2004) (COMPANY) NORTHERN TRUST ASSET MGMT 164.8312/2/2019 Amer. Intl. Grp. (2004) (COMPANY) NTGI RESTRUCTURING ACCT 302.9712/4/2019 WILLBROS GROUP, INC. (2014) NORTHERN TRUST ASSET MGMT 929.0212/4/2019 WILMINGTON TRUST CORP (D. DEL.) RHUMBLINE EQUITY 4767.412/6/2019 J.C. PENNEY COMPANY INC NORTHERN TRUST ASSET MGMT 5223.52

12/11/2019 CGM SURS 2315.8112/11/2019 GOPRO, INC. (2016) (CALI SUP COURT) RHUMBLINE EQUITY 51.9212/11/2019 GOPRO, INC. (2016) (CALI SUP COURT) NORTHERN TRUST ASSET MGMT 762.2312/16/2019 CENDANT CORP SURS 160.5612/16/2019 CENDANT CORP SURS 391.7112/17/2019 QUALITY SYSTEMS, INC. (2013) PROGRESS VISTA MAR 3660.7212/20/2019 METROLOGIC INSTRUMENTS INC (ELLIOTT) PARADIGM ASSET MGMT 2792.6812/20/2019 METROLOGIC INSTRUMENTS INC (ELLIOTT) NORTHERN TRUST ASSET MGMT 1105.4412/27/2019 MAXWELL TECHNOLOGIES INC SEC FAIRFUND PROGRESS AH LISANTI 665.98

1/3/2020 PLY GEM HOLDINGS, INC. (2014) PROGRESS STONERIDGE 43.421/7/2020 HALLIBURTON COMPANY NORTHERN TRUST ASSET MGMT 58.681/7/2020 PRUDENTIAL FINANCIAL, INC. (2012) WELLINGTON MGMT 16.081/7/2020 PRUDENTIAL FINANCIAL, INC. (2012) NORTHERN TRUST ASSET MGMT 16.461/7/2020 PRUDENTIAL FINANCIAL, INC. (2012) PROGRESS GRAHAM AND DODD 29.141/7/2020 REGIONS FINANCIAL CORP (2010) JACOBS LEVY EQUITY MGMT 30.13

1/14/2020 VIRTUS INVESTMENT PARTNERS WELLINGTON MGMT 3133.871/23/2020 MERCK & CO. NORTHERN TRUST ASSET MGMT 8312.291/30/2020 MERRILL LYNCH & CO IN (BNDS OR PFD SHRS) WESTERN ASSET MGMT 63.941/30/2020 MERRILL LYNCH & CO IN (BNDS OR PFD SHRS) PIMCO TOTAL RETURN 182.181/30/2020 MERRILL LYNCH & CO IN (BNDS OR PFD SHRS) SMITH GRAHAM & CO 24.111/30/2020 MERRILL LYNCH & CO IN (BNDS OR PFD SHRS) PIMCO STOCKSPLUS 129.962/3/2020 JOY GLOBAL INC. RHUMBLINE EQUITY 930.782/3/2020 JOY GLOBAL INC. EARNEST PARTNERS 5796.962/3/2020 JOY GLOBAL INC. NORTHERN TRUST ASSET MGMT 1263.9

2/14/2020 ALLERGAN, INC. (2014) JACOBS LEVY EQUITY MGMT 178125.333/3/2020 WALTER INVESTMENT MANAGEMENT CORP LOMBARDIA CAPITAL PARTNERS 72.03

3/13/2020 PETROLEO BRASILEIRO SA (PETROBRAS 2014) PROGRESS GIA PARTNERS 63160.823/26/2020 ST. JUDE MEDICAL, INC. (2012) WELLINGTON MGMT 97.73/26/2020 ST. JUDE MEDICAL, INC. (2012) NORTHERN TRUST ASSET MGMT 26.923/26/2020 ST. JUDE MEDICAL, INC. (2012) T ROWE PRICE 14.93

923,643.61$

Fiscal Year 2020 Class Action Proceeds Received Fiscal Year to Date 923,643.61 Fiscal Year 2019 Class Action Proceeds Received 6,246,285.14 Fiscal Year 2018 Class Action Proceeds Received 1,099,379.70 Fiscal Year 2017 Class Action Proceeds Received 2,195,614.91 Fiscal Year 2016 Class Action Proceeds Received 2,378,326.97 Fiscal Year 2015 Class Action Proceeds Received 11,860,487.44 Fiscal Year 2014 Class Action Proceeds Received 18,813,194.15 Fiscal Year 2013 Class Action Proceeds Received 1,508,587.91 Fiscal Year 2012 Class Action Proceeds Received 492,901.53 Fiscal Year 2011 Class Action Proceeds Received 1,222,349.65 Fiscal Year 2010 Class Action Proceeds Received 1,537,784.27 Fiscal Year 2009 Class Action Proceeds Received 1,811,070.49 Fiscal Year 2008 Class Action Proceeds Received 7,653,043.59 Fiscal Year 2007 Class Action Proceeds Received 1,105,820.60 Fiscal Year 2006 Class Action Proceeds Received 4,533,991.96 Fiscal Year 2005 Class Action Proceeds Received 361,362.83 Fiscal Year 2004 Class Action Proceeds Received 292,349.50

Cumulative Class Action Proceeds Received 64,036,194.25$

Schedule L

Documents

STANDARD INVESTMENT REPORTS Table of Contents · CROW HOLDINGS REALTY PARTNERS VIII (1,939,701) To Fund Partnerships (Capital Calls) DUNE REAL ESTATE FUND IV (2,120,602) To Fund Partnerships