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Share Name | Share Symbol | Market | Type |
---|---|---|---|
IndiePub Entertainment Inc (CE) | USOTC:IPUB | OTCMarkets | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 0.0001 | 0.00 | 01:00:00 |
Cost
|
Value
|
|||||||||||
Holdings by Category | ($) | ($) | ||||||||||
99 | .7% | Common Stock | 121,048,316 | 128,175,371 | ||||||||
0 | .5% | Other Investment Company | 566,380 | 566,380 | ||||||||
100 | .2% | Total Investments | 121,614,696 | 128,741,751 | ||||||||
(0 | .2)% | Other Assets and Liabilities, Net | (203,224 | ) | ||||||||
100 | .0% | Net Assets | 128,538,527 |
* | Non-income producing security. |
ADR
|
American Depositary Receipt | |
Regd
|
Registered |
AUD
|
Australian dollar | |
USD
|
U.S. dollar |
| Securities traded on an exchange or over-the-counter: valued at the closing value for the day, or, on days when no closing value has been reported at halfway between the most recent bid and ask quotes. Securities that are primarily traded |
on foreign exchanges are valued at the official closing price or the last sales price on the exchange where the securities are principally traded with these values then translated into U.S. dollars at the current exchange rate, unless these securities are fair valued as discussed below. |
| Securities for which no quoted value is available: The Board has adopted procedures to fair value the funds securities when market prices are not readily available or are unreliable. For example, a fund may fair value a security when it is de-listed or its trading is halted or suspended; when a securitys primary pricing source is unable or unwilling to provide a price; or when a securitys primary trading market is closed during regular market hours. The fund makes fair value determinations in good faith in accordance with the funds valuation procedures. The Pricing Committee considers a number of factors, including unobservable market inputs when arriving at fair value. The Pricing Committee may employ techniques such as the review of related or comparable assets or liabilities, related market activities, recent transactions, market multiples, book values, transactional back-testing, disposition analysis and other relevant information. The Pricing Committee regularly reviews these inputs and assumptions to calibrate the valuations. The Board convenes on a regular basis to review fair value determinations made by the fund pursuant to the procedures. | |
| International fair valuation: The Board has adopted procedures to fair value foreign equity securities that are traded in markets that close prior to the fund valuing its holdings. By fair valuing securities whose prices may have been affected by events occurring after the close of trading, the fund seeks to establish prices that investors might expect to realize upon the current sales of these securities. This methodology is designed to deter arbitrage market timers, who seek to exploit delays between the change in the value of a funds portfolio holdings and the net asset value of the funds shares, and seeks to help ensure that the prices at which the funds shares are purchased and redeemed are fair and do not result in dilution of shareholder interest or other harm to shareholders. When fair value pricing is used at the open or close of a reporting period, it may cause a temporary divergence between the return of the fund and that of its comparative index or benchmark. The fund makes fair value determinations in good faith in accordance with the funds valuation procedures. Due to the subjective and variable nature of fair value pricing, there can be no assurance that a fund could obtain the fair value assigned to the security upon the sale of such security. The Board regularly reviews fair value determinations made by the fund pursuant to the procedures. | |
| Forward foreign currency exchange contracts: valued at a value based on that days exchange rates. | |
| Short-term securities (60 days or less to maturity): valued at amortized cost, which approximates market value. | |
| Underlying funds: valued at their respective net asset values. |
| Level 1 quoted prices in active markets for identical securities Investments whose values are based on quoted market prices in active markets, and whose values are therefore classified as Level 1 prices, include active listed equities and futures contracts. Investments in underlying funds are valued at their NAV daily and are classified as Level 1 prices. | |
| Level 2 other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risk, etc.) Investments that trade in markets that are not considered to be active, but whose values are based on quoted market prices, dealer quotations or valuations provided by alternative pricing sources supported by observable inputs are classified as Level 2 prices. These generally include U.S. government and sovereign obligations, most government agency securities, investment-grade corporate bonds, certain mortgage products, less liquid listed equities, and state, municipal and provincial obligations. In addition, international securities whose markets close hours before the fund values its holdings may require fair valuations due to significant movement in the U.S. markets occurring after the daily close of the foreign markets. The Board has approved a vendor that calculates fair valuations of international equity |
securities based on a number of factors that appear to correlate to the movements in the U.S. markets. As investments whose values are classified as Level 2 prices include positions that are not traded in active markets and/or are subject to transfer restrictions, valuations may be adjusted to reflect illiquidity and/or non-transferability, which are generally based on available market information. |
| Level 3 significant unobservable inputs (including the funds own assumption in determining the fair value of investments) Investments whose values are classified as Level 3 prices have significant unobservable inputs, as they may trade infrequently or not at all. When observable prices are not available for these securities, the fund uses one or more valuation techniques for which sufficient and reliable data is available. The inputs used by the fund in estimating the value of Level 3 prices may include the original transaction price, quoted prices for similar securities or assets in active markets, completed or pending third-party transactions in the underlying investment or comparable issuers, and changes in financial ratios or cash flows. Level 3 prices may also be adjusted to reflect illiquidity and/or non-transferability, with the amount of such discount estimated by the fund in the absence of market information. Assumptions used by the fund due to the lack of observable inputs may significantly impact the resulting fair value and, therefore the funds results of operations. |
Quoted
Prices in
|
Significant
|
|||||||||||||||
Active
Markets for
|
Significant
Other
|
Unobservable
|
||||||||||||||
Identical
Assets
|
Observable
Inputs
|
Inputs
|
||||||||||||||
Description
|
(Level 1)
|
(Level 2)
|
(Level 3)
|
Total
|
||||||||||||
Common
Stock
1
|
$ | $125,725,867 | $ | $125,725,867 | ||||||||||||
Israel
1
|
2,449,504 | | | 2,449,504 | ||||||||||||
Other Investment
Company
1
|
566,380 | | | 566,380 | ||||||||||||
Total
|
$3,015,884 | $125,725,867 | $ | $128,741,751 | ||||||||||||
Liabilities Valuation Input | ||||||||||||||||
Other Financial Instruments
|
||||||||||||||||
Forward Foreign Currency Exchange
Contracts
2
|
($41,796 | ) | $ | $ | ($41,796 | ) |
1
|
As categorized in Portfolio Holdings. | |
2
|
Forward foreign currency exchange contracts are not included in Investments and are valued at unrealized appreciation or depreciation. |
Cost
|
Value
|
|||||||||||
Holdings by Category | ($) | ($) | ||||||||||
89 | .5% | Common Stock | 103,176,625 | 124,258,978 | ||||||||
7 | .5% | Preferred Stock | 9,943,782 | 10,354,636 | ||||||||
2 | .5% | Other Investment Company | 3,439,095 | 3,439,095 | ||||||||
99 | .5% | Total Investments | 116,559,502 | 138,052,709 | ||||||||
0 | .5% | Other Assets and Liabilities, Net | 747,572 | |||||||||
100 | .0% | Net Assets | 138,800,281 |
Number
|
Value
|
|||||||
Security | of Shares | ($) | ||||||
Common Stock
89.5% of net assets
|
||||||||
Brazil 5.9%
|
||||||||
Materials 0.7% | ||||||||
Vale S.A. ADR
|
43,300 | 907,568 | ||||||
Transportation 2.9% | ||||||||
CCR S.A.
|
262,400 | 2,492,640 | ||||||
EcoRodovias Infraestrutura e Logistica S.A.
|
189,600 | 1,601,993 | ||||||
4,094,633 | ||||||||
Utilities 2.3% | ||||||||
CPFL Energia S.A. ADR
|
151,600 | 3,177,536 | ||||||
8,179,737 | ||||||||
Chile 2.8%
|
||||||||
Utilities 2.8% | ||||||||
Enersis S.A. ADR
|
213,900 | 3,897,258 | ||||||
China 16.2%
|
||||||||
Banks 1.4% | ||||||||
China Construction Bank Corp., Class H
|
2,317,950 | 1,894,256 | ||||||
Capital Goods 1.1% | ||||||||
Beijing Enterprises Holdings Ltd.
|
238,000 | 1,561,108 | ||||||
Energy 2.8% | ||||||||
China Shenhua Energy Co., Ltd., Class H
|
850,000 | 3,807,421 | ||||||
Food, Beverage & Tobacco 0.6% | ||||||||
Want Want China Holdings Ltd.
|
608,000 | 852,054 | ||||||
Household & Personal Products 1.5% | ||||||||
Hengan International Group Co., Ltd.
|
233,000 | 2,127,940 | ||||||
Retailing 2.7% | ||||||||
Belle International Holdings Ltd.
|
1,720,392 | 3,804,775 | ||||||
Telecommunication Services 3.6% | ||||||||
China Mobile Ltd.
|
428,000 | 5,036,573 | ||||||
Utilities 2.5% | ||||||||
China Resources Power Holdings Co., Ltd.
|
1,324,000 | 3,411,205 | ||||||
22,495,332 | ||||||||
Hong Kong 2.6%
|
||||||||
Consumer Services 2.6% | ||||||||
Sands China Ltd.
|
805,200 | 3,599,778 | ||||||
India 10.0%
|
||||||||
Automobiles & Components 2.4% | ||||||||
Tata Motors Ltd.
|
583,651 | 3,354,846 | ||||||
Banks 3.8% | ||||||||
Axis Bank Ltd.
|
131,889 | 3,313,835 | ||||||
Housing Development Finance Corp., Ltd.
|
127,570 | 1,948,861 | ||||||
5,262,696 | ||||||||
Capital Goods 1.7% | ||||||||
Larsen & Toubro Ltd.
|
77,306 | 2,295,397 | ||||||
Diversified Financials 2.1% | ||||||||
Rural Electrification Corp., Ltd.
|
650,124 | 2,945,438 | ||||||
13,858,377 | ||||||||
Indonesia 5.8%
|
||||||||
Automobiles & Components 2.0% | ||||||||
PT Astra International Tbk
|
3,405,000 | 2,697,262 | ||||||
Banks 1.5% | ||||||||
PT Bank Rakyat Indonesia (Persero) Tbk
|
2,866,500 | 2,078,941 | ||||||
Utilities 2.3% | ||||||||
PT Perusahaan Gas Negara (Persero) Tbk
|
6,782,000 | 3,247,513 | ||||||
8,023,716 | ||||||||
Kazakhstan 1.7%
|
||||||||
Energy 1.7% | ||||||||
KazMunaiGas Exploration Production GDR
|
132,397 | 2,383,146 | ||||||
Mexico 7.4%
|
||||||||
Banks 3.3% | ||||||||
Grupo Financiero Santander Mexico SAB de CV, Class B
ADR
*
|
282,800 | 4,575,704 | ||||||
Materials 2.0% | ||||||||
Grupo Mexico S.A.B. de C.V., Series B
|
774,133 | 2,799,774 |
* | Non-income producing security. |
ADR
|
American Depositary Receipt | |
GDR
|
Global Depositary Receipt | |
NVDR
|
Non-Voting Depositary Receipt |
| Securities traded on an exchange or over-the-counter: valued at the closing value for the day, or, on days when no closing value has been reported at halfway between the most recent bid and ask quotes. Securities that are primarily traded on foreign exchanges are valued at the official closing price or the last sales price on the exchange where the securities are principally traded with these values then translated into U.S. dollars at the current exchange rate, unless these securities are fair valued as discussed below. | |
| Securities for which no quoted value is available: The Board has adopted procedures to fair value the funds securities when market prices are not readily available or are unreliable. For example, a fund may fair value a security when it is de-listed or its trading is halted or suspended; when a securitys primary pricing source is unable or unwilling to provide a price; or when a securitys primary trading market is closed during regular market hours. The fund makes fair value determinations in good faith in accordance with the funds valuation procedures. The Pricing Committee considers a number of factors, including unobservable market inputs when arriving at fair value. The Pricing Committee may employ techniques such as the review of related or comparable assets or liabilities, related market activities, recent transactions, market multiples, book values, transactional back-testing, disposition analysis and other relevant information. The Pricing Committee regularly reviews these inputs and assumptions to calibrate the valuations. The Board convenes on a regular basis to review fair value determinations made by the fund pursuant to the procedures. | |
| International fair valuation: The Board has adopted procedures to fair value foreign equity securities that are traded in markets that close prior to the fund valuing its holdings. By fair valuing securities whose prices may have been affected by events occurring after the close of trading, the fund seeks to establish prices that investors might expect to realize upon the current sales of these securities. This methodology is designed to deter arbitrage market timers, who seek to exploit delays between the change in the value of a funds portfolio holdings and the net asset value of the funds shares, and seeks to help ensure that the prices at which the funds shares are purchased and redeemed are fair and do not result in dilution of shareholder interest or other harm to shareholders. When fair value pricing is used at the open or close of a reporting period, it may cause a temporary divergence between the return of the fund and that of its comparative index or benchmark. The fund makes fair value determinations in good faith in accordance with the funds valuation procedures. Due to the subjective and variable nature of fair value pricing, there can be no assurance that a fund could obtain the fair value assigned to the security upon the sale of such security. The Board regularly reviews fair value determinations made by the fund pursuant to the procedures. | |
| Short-term securities (60 days or less to maturity): valued at amortized cost, which approximates market value. | |
| Underlying funds: valued at their respective net asset values. |
| Level 1 quoted prices in active markets for identical securities Investments whose values are based on quoted market prices in active markets, and whose values are therefore classified as Level 1 prices, include active listed equities and futures contracts. Investments in underlying funds are valued at their NAV daily and are classified as Level 1 prices. | |
| Level 2 other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risk, etc.) Investments that trade in markets that are not considered to be active, but whose values are based on quoted market prices, dealer quotations or valuations provided by alternative pricing sources supported by observable inputs are classified as Level 2 prices. These generally include U.S. government and sovereign obligations, most government agency securities, investment-grade corporate bonds, certain mortgage products, less liquid listed equities, and state, municipal and provincial obligations. In addition, international securities whose markets close hours before the fund values its holdings may require fair valuations due to significant movement in the U.S. markets occurring after the daily close of the foreign markets. The Board has approved a vendor that calculates fair valuations of international equity securities based on a number of factors that appear to correlate to the movements in the U.S. markets. As investments whose values are classified as Level 2 prices include positions that are not traded in active markets and/or are subject to transfer restrictions, valuations may be adjusted to reflect illiquidity and/or non-transferability, which are generally based on available market information. | |
| Level 3 significant unobservable inputs (including the funds own assumption in determining the fair value of investments) Investments whose values are classified as Level 3 prices have significant unobservable inputs, as they may trade infrequently or not at all. When observable prices are not available for these securities, the fund uses one or more valuation techniques for which sufficient and reliable data is available. The inputs used by the fund in estimating the value of Level 3 prices may include the original transaction price, quoted prices for similar securities or assets in active markets, completed or pending third-party transactions in the underlying investment or comparable issuers, and changes in financial ratios or cash flows. Level 3 prices may also be adjusted to reflect illiquidity and/or non-transferability, with the amount of such discount estimated by the fund in the absence of market information. Assumptions used by the fund due to the lack of observable inputs may significantly impact the resulting fair value and, therefore the funds results of operations. |
Quoted
Prices in
|
Significant
|
|||||||||||||||
Active
Markets for
|
Significant
Other
|
Unobservable
|
||||||||||||||
Identical
Assets
|
Observable
Inputs
|
Inputs
|
||||||||||||||
Description
|
(Level 1)
|
(Level 2)
|
(Level 3)
|
Total
2
|
||||||||||||
Common
Stock
1
|
$ | $76,662,520 | $ | $76,662,520 | ||||||||||||
Brazil
1
|
8,179,737 | | | 8,179,737 | ||||||||||||
Chile
1
|
3,897,258 | | | 3,897,258 | ||||||||||||
Kazakhstan
1
|
2,383,146 | | | 2,383,146 | ||||||||||||
Mexico
1
|
10,261,036 | | | 10,261,036 | ||||||||||||
Peru
1
|
4,806,289 | | | 4,806,289 | ||||||||||||
Philippines
1
|
2,636,330 | | | 2,636,330 | ||||||||||||
Russia
1
|
6,227,050 | | | 6,227,050 | ||||||||||||
Thailand
1
|
| 1,401,244 | | 1,401,244 | ||||||||||||
Energy
|
4,325,008 | | | 4,325,008 | ||||||||||||
United
States
1
|
3,479,360 | | | 3,479,360 | ||||||||||||
Preferred Stock
|
||||||||||||||||
Brazil
1
|
10,354,636 | | | 10,354,636 | ||||||||||||
Other Investment
Company
1
|
3,439,095 | | | 3,439,095 | ||||||||||||
Total
|
$59,988,945 | $78,063,764 | $ | $138,052,709 | ||||||||||||
1
|
As categorized in Portfolio Holdings. | |
2
|
The fund had no Other Financial Instruments. |
Cost
|
Value
|
|||||||||||
Holdings by Category | ($) | ($) | ||||||||||
65 | .8% | Government Bonds | 541,664,852 | 556,048,863 | ||||||||
15 | .7% | Government Agency Obligations | 139,666,075 | 132,582,301 | ||||||||
4 | .5% | Corporate Bonds | 36,364,402 | 38,039,646 | ||||||||
12 | .1% | Supranational | 100,585,105 | 102,637,393 | ||||||||
0 | .4% | Other Investment Company | 3,780,757 | 3,780,757 | ||||||||
98 | .5% | Total Investments | 822,061,191 | 833,088,960 | ||||||||
1 | .5% | Other Assets and Liabilities, Net | 12,268,291 | |||||||||
100 | .0% | Net Assets | 845,357,251 |
Security
|
Face Amount
|
Value
|
||||||
Rate, Maturity Date | (local currency) | ($) | ||||||
Government Bonds
65.8% of net assets
|
||||||||
Austria 4.6%
|
||||||||
Austria Government Bond | ||||||||
6.25%,
07/15/27
(EUR)
|
19,600,000 | 38,980,536 | ||||||
Denmark 4.7%
|
||||||||
Denmark Government International Bond | ||||||||
3.13%,
03/17/14
(EUR)
|
29,000,000 | 39,665,367 | ||||||
Finland 4.7%
|
||||||||
Finland Government Bond | ||||||||
5.38%,
07/04/13
(EUR)
|
24,000,000 | 32,526,988 | ||||||
3.50%,
04/15/21
(EUR)
|
4,600,000 | 7,121,814 | ||||||
39,648,802 | ||||||||
France 4.2%
|
||||||||
France Government Bond OAT | ||||||||
5.75%,
10/25/32
(EUR)
|
18,400,000 | 35,590,648 | ||||||
Germany 3.7%
|
||||||||
Bundesobligation | ||||||||
2.75%,
04/08/16
(EUR)
|
12,000,000 | 17,238,600 | ||||||
Bundesrepublik Deutschland | ||||||||
3.75%,
01/04/17
(EUR)
|
5,700,000 | 8,600,717 | ||||||
3.50%,
07/04/19
(EUR)
|
3,300,000 | 5,145,712 | ||||||
30,985,029 | ||||||||
Japan 20.2%
|
||||||||
Japan Government Five Year Bond | ||||||||
0.40%,
09/20/15
(JPY)
|
3,500,000,000 | 40,736,388 | ||||||
Japan Government Ten Year Bond | ||||||||
1.90%,
06/20/16
(JPY)
|
2,900,000,000 | 35,547,135 | ||||||
1.50%,
09/20/18
(JPY)
|
3,700,000,000 | 45,767,635 | ||||||
1.30%,
06/20/20
(JPY)
|
1,300,000,000 | 15,922,708 | ||||||
Japan Government Thirty Year Bond | ||||||||
2.40%,
12/20/34
(JPY)
|
2,560,000,000 | 32,639,254 | ||||||
170,613,120 | ||||||||
Mexico 4.5%
|
||||||||
Mexican Bonos | ||||||||
7.50%,
06/03/27
(MXN)
|
30,500,000 | 2,750,963 | ||||||
Mexico Government Bond | ||||||||
9.50%,
12/18/14
(MXN)
|
30,800,000 | 2,597,545 | ||||||
8.50%,
12/13/18
(MXN)
|
40,000,000 | 3,625,208 | ||||||
6.50%,
06/10/21
(MXN)
|
350,000,000 | 29,397,422 | ||||||
38,371,138 | ||||||||
Poland 9.0%
|
||||||||
Poland Government Bond | ||||||||
6.25%,
10/24/15
(PLN)
|
22,000,000 | 7,702,477 | ||||||
5.50%,
10/25/19
(PLN)
|
71,000,000 | 25,960,173 | ||||||
5.75%,
09/23/22
(PLN)
|
112,000,000 | 42,451,298 | ||||||
76,113,948 | ||||||||
South Africa 3.0%
|
||||||||
South Africa Government Bond | ||||||||
8.25%,
09/15/17
(ZAR)
|
105,000,000 | 13,634,989 | ||||||
10.50%,
12/21/26
(ZAR)
|
78,000,000 | 11,804,236 | ||||||
25,439,225 | ||||||||
Sweden 3.1%
|
||||||||
Sweden Government Bond | ||||||||
4.50%,
08/12/15
(SEK)
|
67,000,000 | 11,273,605 | ||||||
3.50%,
06/01/22
(SEK)
|
82,000,000 | 14,774,060 | ||||||
26,047,665 | ||||||||
United Kingdom 4.1%
|
||||||||
United Kingdom Gilt | ||||||||
4.75%,
09/07/15
(GBP)
|
7,000,000 | 12,706,043 | ||||||
5.00%,
03/07/18
(GBP)
|
4,600,000 | 9,015,617 |
(a) | Variable-rate security. | |
(b) | The effective maturity may be shorter than the final maturity shown because of the possibility of interim principal payments and prepayments or as the result of embedded demand features (puts or calls). | |
(c) | Guaranteed by the Republic of Germany. |
EUR
|
euro currency | |
GBP
|
Great British pound | |
JPY
|
Japanese yen | |
MXN
|
Mexican peso | |
PLN
|
Polish zloty | |
SEK
|
Swedish krona | |
ZAR
|
South African rand |
Amount of
|
Amount of
|
|||||||||||||||||||||
Currency
|
Currency
|
Currency
|
Currency
|
Unrealized
|
||||||||||||||||||
to be
|
to be
|
to be
|
to be
|
Losses
|
||||||||||||||||||
Expiration Date | Counterparty | Received | Received | Delivered | Delivered | ($) | ||||||||||||||||
Forward Foreign Currency Exchange Contract
|
||||||||||||||||||||||
01/31/2013
|
State Street Bank London | GBP | 21,459,500 | EUR | 26,665,383 | (348,138 | ) |
| Bonds and notes: valued at halfway between the most recent bid and asked quotes or, if such quotes are unavailable, at prices for securities of comparable maturity, credit quality and type. Valuations for bonds and notes are provided by an independent bond-pricing service. | |
| Securities for which no quoted value is available: The Board has adopted procedures to fair value the funds securities when market prices are not readily available or are unreliable. For example, a fund may fair value a security when it is de-listed or its trading is halted or suspended; when a securitys primary pricing source is unable or unwilling to provide a price; or when a securitys primary trading market is closed during regular market hours. The fund makes fair value determinations in good faith in accordance with the funds valuation procedures. The Pricing Committee considers a number of factors, including unobservable market inputs when arriving at fair value. The Pricing Committee may employ techniques such as the review of related or comparable assets or liabilities, related market activities, recent transactions, market multiples, book values, transactional back-testing, disposition analysis and other relevant information. The Pricing Committee regularly reviews these inputs and assumptions to calibrate the valuations. The Board convenes on a regular basis to review fair value determinations made by the fund pursuant to the procedures. | |
| International fair valuation: The Board has adopted procedures to fair value foreign equity securities that are traded in markets that close prior to the fund valuing its holdings. By fair valuing securities whose prices may have been affected by events occurring after the close of trading, the fund seeks to establish prices that investors might expect to realize upon the current sales of these securities. This methodology is designed to deter arbitrage market timers, who seek to exploit delays between the change in the value of a funds portfolio holdings and the net asset value of the funds shares, and seeks to help ensure that the prices at which the funds shares are purchased and redeemed are fair and do not result in dilution of shareholder interest or other harm to shareholders. When fair value pricing is used at the open or close of a reporting period, it may cause a temporary divergence between the return of the fund and that of its comparative index or benchmark. The fund makes fair value determinations in good faith in accordance with the funds valuation procedures. Due to the subjective and variable nature of fair value pricing, there can be no assurance that a fund could obtain the fair value assigned to the security upon the sale of such security. The Board regularly reviews fair value determinations made by the fund pursuant to the procedures. | |
| Forward foreign currency exchange contracts: valued at a value based on that days exchange rates. | |
| Short-term securities (60 days or less to maturity): valued at amortized cost, which approximates market value. | |
| Underlying funds: valued at their respective net asset values. |
| Level 1 quoted prices in active markets for identical securities Investments whose values are based on quoted market prices in active markets, and whose values are therefore classified as Level 1 prices, include active listed equities and futures contracts. Investments in underlying funds are valued at their NAV daily and are classified as Level 1 prices. | |
| Level 2 other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risk, etc.) Investments that trade in markets that are not considered to be active, but whose values are based on quoted market prices, dealer quotations or valuations provided by alternative pricing sources supported by observable inputs are classified as Level 2 prices. These generally include U.S. government and sovereign obligations, most government agency securities, investment-grade corporate bonds, certain mortgage products, less liquid listed equities, and state, municipal and provincial obligations. In addition, international securities whose markets close hours before the fund values its holdings may require fair valuations due to significant movement in the U.S. markets occurring after the daily close of the foreign markets. The Board has approved a vendor that calculates fair valuations of international equity securities based on a number of factors that appear to correlate to the movements in the U.S. markets. As investments whose values are classified as Level 2 prices include positions that are not traded in active markets and/or are subject to transfer restrictions, valuations may be adjusted to reflect illiquidity and/or non-transferability, which are generally based on available market information. | |
| Level 3 significant unobservable inputs (including the funds own assumption in determining the fair value of investments) Investments whose values are classified as Level 3 prices have significant unobservable inputs, as they may trade infrequently or not at all. When observable prices are not available for these securities, the fund uses one or more valuation techniques for which sufficient and reliable data is available. The inputs used by the fund in estimating the value of Level 3 prices may include the original transaction price, quoted prices for similar securities or assets in active markets, completed or pending third-party transactions in the underlying investment or comparable issuers, and changes in financial ratios or cash flows. Level 3 prices may also be adjusted to reflect illiquidity and/or non-transferability, with the amount of such discount estimated by the fund in the absence of market information. Assumptions used by the fund due to the lack of observable inputs may significantly impact the resulting fair value and, therefore the funds results of operations. |
Quoted
Prices in
|
Significant
|
|||||||||||||||
Active
Markets for
|
Significant
Other
|
Unobservable
|
||||||||||||||
Identical
Assets
|
Observable
Inputs
|
Inputs
|
||||||||||||||
Description
|
(Level 1)
|
(Level 2)
|
(Level 3)
|
Total
|
||||||||||||
Government
Bonds
1
|
$ | $556,048,863 | $ | $556,048,863 | ||||||||||||
Government Agency
Obligations
1
|
| 132,582,301 | | 132,582,301 | ||||||||||||
Corporate
Bonds
1
|
| 38,039,646 | | 38,039,646 | ||||||||||||
Supranational
|
| 102,637,393 | | 102,637,393 | ||||||||||||
Other Investment
Company
1
|
3,780,757 | | | 3,780,757 | ||||||||||||
Total
|
$3,780,757 | $829,308,203 | $ | $833,088,960 | ||||||||||||
Liabilities Valuation Input | ||||||||||||||||
Quoted
Prices in
|
Significant
|
|||||||||||||||
Active
Markets for
|
Significant
Other
|
Unobservable
|
||||||||||||||
Identical
Assets
|
Observable
Inputs
|
Inputs
|
||||||||||||||
Description
|
(Level 1)
|
(Level 2)
|
(Level 3)
|
Total
|
||||||||||||
Other Financial Instruments
|
||||||||||||||||
Forward Foreign Currency Exchange
Contract
2
|
($348,138 | ) | $ | $ | ($348,138 | ) |
1
|
As categorized in Portfolio Holdings. | |
2
|
Forward foreign currency exchange contracts are not included in Investments and are valued at unrealized appreciation or depreciation. |
Cost
|
Value
|
|||||||||||
Holdings by Category | ($) | ($) | ||||||||||
64 | .8% | Government Bonds | 27,045,129 | 26,988,628 | ||||||||
10 | .1% | Government Agency Obligations | 4,550,150 | 4,195,033 | ||||||||
1 | .6% | Corporate Bonds | 566,747 | 685,593 | ||||||||
5 | .1% | Supranational | 2,160,514 | 2,118,942 | ||||||||
16 | .7% | U.S. Government and Government Agencies | 7,000,834 | 6,981,288 | ||||||||
98 | .3% | Total Investments | 41,323,374 | 40,969,484 | ||||||||
1 | .7% | Other Assets and Liabilities, Net | 706,324 | |||||||||
100 | .0% | Net Assets | 41,675,808 |
Security
|
Face Amount
|
Value
|
||||||
Rate, Maturity Date | (local currency) | ($) | ||||||
2.13%,
08/15/21
(USD)
|
1,050,000 | 1,103,976 | ||||||
Total U.S. Government and Government Agencies | ||||||||
(Cost $7,000,834) | 6,981,288 | |||||||
|
||||||||
End of Investments.
|
(a) | Variable-rate security. | |
(b) | The effective maturity may be shorter than the final maturity shown because of the possibility of interim principal payments and prepayments or as the result of embedded demand features (puts or calls). | |
(c) | Securities exempt from registration under Rule 144A of the Securities Act of 1933, as amended. These securities may be resold in transactions exempt from registrations, normally to qualified institutional buyers. At the period end, the value of these amounted to $383,200 or 0.9% of net assets. | |
(d) | Guaranteed by the Republic of Germany. |
AUD
|
Australian dollar | |
BRL
|
Brazilian real | |
CLP
|
Chilean peso | |
CNY
|
Chinese yuan renminbi | |
COP
|
Colombian peso | |
EUR
|
euro currency | |
GBP
|
Great British pound | |
HUF
|
Hungarian forint | |
ILS
|
Israeli shekel | |
JPY
|
Japanese yen | |
MXN
|
Mexican peso | |
MYR
|
Malaysian ringgit | |
PLN
|
Polish zloty | |
SEK
|
Swedish krona | |
TRY
|
Turkish lira | |
USD
|
U.S. dollar | |
ZAR
|
South African rand |
| Bonds and notes: valued at halfway between the most recent bid and asked quotes or, if such quotes are unavailable, at prices for securities of comparable maturity, credit quality and type. Valuations for bonds and notes are provided by an independent bond-pricing service. | |
| Securities for which no quoted value is available: The Board has adopted procedures to fair value the funds securities when market prices are not readily available or are unreliable. For example, a fund may fair value a security when it is de-listed or its trading is halted or suspended; when a securitys primary pricing source is unable or unwilling to provide a price; or when a securitys primary trading market is closed during regular market hours. The fund makes fair value determinations in good faith in accordance with the funds valuation procedures. The Pricing Committee considers a |
number of factors, including unobservable market inputs when arriving at fair value. The Pricing Committee may employ techniques such as the review of related or comparable assets or liabilities, related market activities, recent transactions, market multiples, book values, transactional back-testing, disposition analysis and other relevant information. The Pricing Committee regularly reviews these inputs and assumptions to calibrate the valuations. The Board convenes on a regular basis to review fair value determinations made by the fund pursuant to the procedures. |
| International fair valuation: The Board has adopted procedures to fair value foreign equity securities that are traded in markets that close prior to the fund valuing its holdings. By fair valuing securities whose prices may have been affected by events occurring after the close of trading, the fund seeks to establish prices that investors might expect to realize upon the current sales of these securities. This methodology is designed to deter arbitrage market timers, who seek to exploit delays between the change in the value of a funds portfolio holdings and the net asset value of the funds shares, and seeks to help ensure that the prices at which the funds shares are purchased and redeemed are fair and do not result in dilution of shareholder interest or other harm to shareholders. When fair value pricing is used at the open or close of a reporting period, it may cause a temporary divergence between the return of the fund and that of its comparative index or benchmark. The fund makes fair value determinations in good faith in accordance with the funds valuation procedures. Due to the subjective and variable nature of fair value pricing, there can be no assurance that a fund could obtain the fair value assigned to the security upon the sale of such security. The Board regularly reviews fair value determinations made by the fund pursuant to the procedures. | |
| Forward foreign currency exchange contracts: valued at a value based on that days exchange rates. | |
| Short-term securities (60 days or less to maturity): valued at amortized cost, which approximates market value. |
| Level 1 quoted prices in active markets for identical securities Investments whose values are based on quoted market prices in active markets, and whose values are therefore classified as Level 1 prices, include active listed equities and futures contracts. | |
| Level 2 other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risk, etc.) Investments that trade in markets that are not considered to be active, but whose values are based on quoted market prices, dealer quotations or valuations provided by alternative pricing sources supported by observable inputs are classified as Level 2 prices. These generally include U.S. government and sovereign obligations, most government agency securities, investment-grade corporate bonds, certain mortgage products, less liquid listed equities, and state, municipal and provincial obligations. In addition, international securities whose markets close hours before the fund values its holdings may require fair valuations due to significant movement in the U.S. markets occurring after the daily close of the foreign markets. The Board has approved a vendor that calculates fair valuations of international equity securities based on a number of factors that appear to correlate to the movements in the U.S. markets. As investments whose values are classified as Level 2 prices include positions that are not traded in active markets and/or are subject to transfer restrictions, valuations may be adjusted to reflect illiquidity and/or non-transferability, which are generally based on available market information. | |
| Level 3 significant unobservable inputs (including the funds own assumption in determining the fair value of investments) Investments whose values are classified as Level 3 prices have significant unobservable inputs, as they may trade infrequently or not at all. When observable prices are not available for these securities, the fund uses one or more valuation techniques for which sufficient and reliable data is available. The inputs used by the fund in estimating the value of Level 3 prices may include the original transaction price, quoted prices for similar securities or assets in active markets, |
completed or pending third-party transactions in the underlying investment or comparable issuers, and changes in financial ratios or cash flows. Level 3 prices may also be adjusted to reflect illiquidity and/or non-transferability, with the amount of such discount estimated by the fund in the absence of market information. Assumptions used by the fund due to the lack of observable inputs may significantly impact the resulting fair value and, therefore the funds results of operations. |
Quoted
Prices in
|
Significant
|
|||||||||||||||
Active
Markets for
|
Significant
Other
|
Unobservable
|
||||||||||||||
Identical
Assets
|
Observable
Inputs
|
Inputs
|
||||||||||||||
Description
|
(Level 1)
|
(Level 2)
|
(Level 3)
|
Total
|
||||||||||||
Government
Bonds
1
|
$ | $26,988,628 | $ | $26,988,628 | ||||||||||||
Government Agency
Obligations
1
|
| 4,195,033 | | 4,195,033 | ||||||||||||
Corporate
Bonds
1
|
| 685,593 | | 685,593 | ||||||||||||
Supranational
|
| 2,118,942 | | 2,118,942 | ||||||||||||
U.S. Government and Government
Agencies
1
|
| 6,981,288 | | 6,981,288 | ||||||||||||
Total
|
$ | $40,969,484 | $ | $40,969,484 | ||||||||||||
Other Financial Instruments
|
||||||||||||||||
Forward Foreign Currency Exchange
Contracts
2
|
$20,077 | $ | $ | $20,077 | ||||||||||||
Liabilities Valuation Input | ||||||||||||||||
Other Financial Instruments
|
||||||||||||||||
Forward Foreign Currency Exchange
Contracts
2
|
($36,143 | ) | $ | $ | ($36,143 | ) |
1
|
As categorized in Portfolio Holdings. | |
2
|
Forward foreign currency exchange contracts are not included in Investments and are valued at unrealized appreciation or depreciation. |
Cost
|
Value
|
|||||||||||
Holdings by Category | ($) | ($) | ||||||||||
96 | .3% | Common Stock | 1,249,107,788 | 1,421,309,366 | ||||||||
3 | .5% | Other Investment Companies | 52,310,528 | 52,373,016 | ||||||||
99 | .8% | Total Investments | 1,301,418,316 | 1,473,682,382 | ||||||||
0 | .2% | Other Assets and Liabilities, Net | 2,478,512 | |||||||||
100 | .0% | Net Assets | 1,476,160,894 |
Number
|
Value
|
|||||||
Security | of Shares | ($) | ||||||
Common Stock
96.3% of net assets
|
||||||||
Capital Goods 7.4%
|
||||||||
Cummins, Inc.
|
213,400 | 23,121,890 | ||||||
Danaher Corp.
|
623,400 | 34,848,060 | ||||||
Precision Castparts Corp.
|
66,100 | 12,520,662 | ||||||
United Technologies Corp.
|
470,900 | 38,618,509 | ||||||
109,109,121 | ||||||||
Commercial & Professional Supplies 1.0%
|
||||||||
IHS, Inc., Class A
*
|
156,400 | 15,014,400 | ||||||
Consumer Durables & Apparel 7.6%
|
||||||||
Lululemon Athletica, Inc.
*
|
330,801 | 25,216,960 | ||||||
Michael Kors Holdings Ltd.
*
|
428,200 | 21,851,046 | ||||||
NIKE, Inc., Class B
|
606,000 | 31,269,600 | ||||||
Ralph Lauren Corp.
|
227,300 | 34,076,816 | ||||||
112,414,422 | ||||||||
Consumer Services 2.5%
|
||||||||
Las Vegas Sands Corp.
|
811,900 | 37,477,304 | ||||||
Energy 6.3%
|
||||||||
Cabot Oil & Gas Corp.
|
308,400 | 15,339,816 | ||||||
Concho Resources, Inc.
*
|
309,300 | 24,917,208 | ||||||
FMC Technologies, Inc.
*
|
657,300 | 28,152,159 | ||||||
Schlumberger Ltd.
|
351,200 | 24,334,648 | ||||||
92,743,831 | ||||||||
Food & Staples Retailing 1.2%
|
||||||||
CVS Caremark Corp.
|
362,200 | 17,512,370 | ||||||
Food, Beverage & Tobacco 1.4%
|
||||||||
Monster Beverage Corp.
*
|
392,700 | 20,765,976 | ||||||
Health Care Equipment & Services 6.0%
|
||||||||
Cardinal Health, Inc.
|
859,500 | 35,394,210 | ||||||
Intuitive Surgical, Inc.
*
|
30,300 | 14,858,211 | ||||||
UnitedHealth Group, Inc.
|
696,800 | 37,794,432 | ||||||
88,046,853 | ||||||||
Household & Personal Products 2.8%
|
||||||||
The Estee Lauder Cos., Inc., Class A
|
702,000 | 42,021,720 | ||||||
Materials 1.5%
|
||||||||
The Sherwin-Williams Co.
|
147,400 | 22,673,068 | ||||||
Media 1.9%
|
||||||||
DIRECTV
*
|
557,000 | 27,939,120 | ||||||
Pharmaceuticals, Biotechnology & Life Sciences
9.0%
|
||||||||
Agilent Technologies, Inc.
|
806,900 | 33,034,486 | ||||||
Allergan, Inc.
|
556,000 | 51,001,880 | ||||||
Biogen Idec, Inc.
*
|
122,300 | 17,937,741 | ||||||
Gilead Sciences, Inc.
*
|
420,400 | 30,878,380 | ||||||
132,852,487 | ||||||||
Retailing 8.5%
|
||||||||
Amazon.com, Inc.
*
|
198,400 | 49,826,176 | ||||||
Dollar General Corp.
*
|
858,200 | 37,838,038 | ||||||
Priceline.com, Inc.
*
|
60,000 | 37,272,000 | ||||||
124,936,214 | ||||||||
Software & Services 24.6%
|
||||||||
eBay, Inc.
*
|
569,500 | 29,055,890 | ||||||
Facebook, Inc., Class A
*
|
1,308,800 | 34,853,344 | ||||||
Google, Inc., Class A
*
|
75,500 | 53,557,435 | ||||||
Informatica Corp.
*
|
550,000 | 16,676,000 | ||||||
MasterCard, Inc., Class A
|
73,500 | 36,109,080 | ||||||
MercadoLibre, Inc.
|
152,800 | 12,005,496 | ||||||
Salesforce.com, Inc.
*
|
197,700 | 33,233,370 | ||||||
ServiceNow, Inc.
*
|
119,900 | 3,600,597 | ||||||
Teradata Corp.
*
|
523,500 | 32,399,415 | ||||||
VeriSign, Inc.
*
|
244,300 | 9,483,726 | ||||||
Visa, Inc., Class A
|
463,400 | 70,242,172 | ||||||
VMware, Inc., Class A
*
|
344,200 | 32,402,988 | ||||||
363,619,513 | ||||||||
Technology Hardware & Equipment 11.1%
|
||||||||
Apple, Inc.
|
149,100 | 79,474,773 | ||||||
NetApp, Inc.
*
|
965,800 | 32,402,590 | ||||||
QUALCOMM, Inc.
|
830,800 | 51,526,216 | ||||||
163,403,579 |
* | Non-income producing security. |
| Securities traded on an exchange or over-the-counter: valued at the closing value for the day, or, on days when no closing value has been reported at halfway between the most recent bid and ask quotes. Securities that are primarily traded on foreign exchanges are valued at the official closing price or the last sales price on the exchange where the securities are principally traded with these values then translated into U.S. dollars at the current exchange rate, unless these securities are fair valued as discussed below. | |
| Securities for which no quoted value is available: The Board has adopted procedures to fair value the funds securities when market prices are not readily available or are unreliable. For example, a fund may fair value a security when it is de-listed or its trading is halted or suspended; when a securitys primary pricing source is unable or unwilling to provide a price; or when a securitys primary trading market is closed during regular market hours. The fund makes fair value determinations in good faith in accordance with the funds valuation procedures. The Pricing Committee considers a number of factors, including unobservable market inputs when arriving at fair value. The Pricing Committee may employ techniques such as the review of related or comparable assets or liabilities, related market activities, recent transactions, market multiples, book values, transactional back-testing, disposition analysis and other relevant information. The Pricing Committee regularly reviews these inputs and assumptions to calibrate the valuations. The Board convenes on a regular basis to review fair value determinations made by the fund pursuant to the procedures. | |
| Short-term securities (60 days or less to maturity): valued at amortized cost, which approximates market value. | |
| Underlying funds: valued at their respective net asset values. |
| Level 1 quoted prices in active markets for identical securities Investments whose values are based on quoted market prices in active markets, and whose values are therefore classified as Level 1 prices, include active listed equities and futures contracts. Investments in underlying funds are valued at their NAV daily and are classified as Level 1 prices. | |
| Level 2 other significant observable inputs (including quoted prices for similar securities, interest rates, prepayment speeds, credit risk, etc.) Investments that trade in markets that are not considered to be active, but whose values are based on quoted market prices, dealer quotations or valuations provided by alternative pricing sources supported by observable inputs are classified as Level 2 prices. These generally include U.S. government and sovereign obligations, most government agency securities, investment-grade corporate bonds, certain mortgage products, less liquid listed equities, and state, municipal and provincial obligations. In addition, international securities whose markets close hours before the fund values its holdings may require fair valuations due to significant movement in the U.S. markets occurring after the daily close of the foreign markets. The Board has approved a vendor that calculates fair valuations of international equity securities based on a number of factors that appear to correlate to the movements in the U.S. markets. As investments whose values are classified as Level 2 prices include positions that are not traded in active markets and/or are subject to transfer restrictions, valuations may be adjusted to reflect illiquidity and/or non-transferability, which are generally based on available market information. | |
| Level 3 significant unobservable inputs (including the funds own assumption in determining the fair value of investments) Investments whose values are classified as Level 3 prices have significant unobservable inputs, as they may trade infrequently or not at all. When observable prices are not available for these securities, the fund uses one or more valuation techniques for which sufficient and reliable data is available. The inputs used by the fund in estimating the value of Level 3 prices may include the original transaction price, quoted prices for similar securities or assets in active markets, completed or pending third-party transactions in the underlying investment or comparable issuers, and changes in financial ratios or cash flows. Level 3 prices may also be adjusted to reflect illiquidity and/or non-transferability, with the amount of such discount estimated by the fund in the absence of market information. Assumptions used by the fund due to the lack of observable inputs may significantly impact the resulting fair value and, therefore the funds results of operations. |
Quoted
Prices in
|
Significant
|
|||||||||||||||
Active
Markets for
|
Significant
Other
|
Unobservable
|
||||||||||||||
Identical
Assets
|
Observable
Inputs
|
Inputs
|
||||||||||||||
Description
|
(Level 1)
|
(Level 2)
|
(Level 3)
|
Total
2
|
||||||||||||
Common
Stock
1
|
$1,421,309,366 | $ | $ | $1,421,309,366 | ||||||||||||
Other Investment Companies
|
52,373,016 | | | 52,373,016 | ||||||||||||
Total
|
$1,473,682,382 | $ | $ | $1,473,682,382 | ||||||||||||
1
|
As categorized in Portfolio Holdings. | |
2
|
The fund had no Other Financial Instruments. |
(a) | Based on their evaluation of Registrants disclosure controls and procedures, as of a date within 90 days of the filing date, Registrants Chief Executive Officer, Marie Chandoha and Registrants Principal Financial Officer, George Pereira, have concluded that Registrants disclosure controls and procedures are: (i) reasonably designed to ensure that information required to be disclosed in this report is appropriately communicated to Registrants officers to allow timely decisions regarding disclosures required in this report; (ii) reasonably designed to ensure that information required to be disclosed in this report is recorded, processed, summarized and reported in a timely manner; and (iii) are effective in achieving the goals described in (i) and (ii) above. |
(b) | During Registrants last fiscal quarter, there have been no changes in Registrants internal control over financial reporting (as defined in Rule 30a-3(d) under the Act (17 CFR 270.30a-3(d)) that the above officers believe to have materially affected, or to be reasonably likely to materially affect, Registrants internal control over financial reporting. |
By:
|
/s/ Marie Chandoha
|
|||
|
President, Chief Executive Officer | |||
|
||||
Date:
|
February 27, 2013 |
By:
|
/s/ Marie Chandoha
|
|||
|
President, Chief Executive Officer | |||
|
||||
Date:
|
February 27, 2013 | |||
|
||||
By:
|
/s/ George Pereira
|
|||
|
Treasurer, Principal Financial Officer | |||
|
||||
Date:
|
February 27, 2013 |
1 Year IndiePub Entertainment (CE) Chart |
1 Month IndiePub Entertainment (CE) Chart |
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