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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Legend Oil and Gas Ltd (CE) | USOTC:LOGL | 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% | 0.000001 | 0.00 | 01:00:00 |
Number
of Shares
|
Value
|
||||||
COMMON STOCKS
– 97.1%
|
|||||||
COMMUNICATIONS
– 6.1%
|
|||||||
17,020 |
Comcast Corp. - Class A
|
$ | 767,262 | ||||
11,570 |
DIRECTV
*
|
732,034 | |||||
47,540 |
News Corp.
*
|
757,312 | |||||
12,320 |
Tribune Co.
*
|
778,624 | |||||
3,035,232 | |||||||
CONSUMER DISCRETIONARY
– 8.1%
|
|||||||
18,320 |
Bed Bath & Beyond, Inc.
*
|
1,400,930 | |||||
1,205 |
Biglari Holdings, Inc.
*
|
501,955 | |||||
12,610 |
Foot Locker, Inc.
|
455,599 | |||||
9,525 |
McDonald's Corp.
|
934,212 | |||||
10,870 |
Ross Stores, Inc.
|
733,399 | |||||
4,026,095 | |||||||
CONSUMER STAPLES
– 14.4%
|
|||||||
13,095 |
Core-Mark Holding Co., Inc.
|
820,402 | |||||
22,670 |
CST Brands, Inc.
*
|
739,269 | |||||
4,650 |
JM Smucker Co.
|
523,218 | |||||
14,080 |
PepsiCo, Inc.
|
1,176,243 | |||||
14,437 |
Seneca Foods Corp. - Class A
*
|
507,460 | |||||
17,420 |
Target Corp.
|
1,241,175 | |||||
21,620 |
Unilever PLC - ADR
|
878,421 | |||||
15,720 |
Wal-Mart Stores, Inc.
|
1,225,217 | |||||
7,111,405 | |||||||
ENERGY
– 10.1%
|
|||||||
30,330 |
Carrizo Oil & Gas, Inc.
*
|
960,551 | |||||
11,220 |
Chevron Corp.
|
1,412,486 | |||||
11,080 |
Gulfport Energy Corp.
*
|
589,456 | |||||
4,985 |
Pioneer Natural Resources Co.
|
771,478 | |||||
9,360 |
Range Resources Corp.
|
740,376 | |||||
5,985 |
SEACOR Holdings, Inc.
|
524,047 | |||||
4,998,394 | |||||||
FINANCIALS
– 23.5%
|
|||||||
13,940 |
American Express Co.
|
1,028,354 | |||||
26,390 |
American International Group, Inc.
*
|
1,201,009 | |||||
15,010 |
Berkshire Hathaway, Inc. - Class B
*
|
1,739,209 | |||||
14,280 |
CIT Group, Inc.
*
|
715,571 | |||||
21,300 |
Comerica, Inc.
|
906,102 | |||||
4,780 |
Enstar Group Ltd.
*
|
686,790 | |||||
8,990 |
GATX Corp.
|
406,168 | |||||
29,730 |
JPMorgan Chase & Co.
|
1,656,853 | |||||
20,810 |
Loews Corp.
|
947,896 | |||||
39,300 |
Northfield Bancorp, Inc.
|
460,596 |
Number
of Shares
|
Value
|
||||||
COMMON STOCKS (Continued)
|
|||||||
FINANCIALS (Continued)
|
|||||||
17,830 |
Plum Creek Timber Co., Inc. - REIT
|
$ | 869,747 | ||||
27,050 |
U.S. Bancorp
|
1,009,506 | |||||
11,627,801 | |||||||
HEALTH CARE
– 10.5%
|
|||||||
7,420 |
Humana, Inc.
|
677,149 | |||||
11,230 |
Johnson & Johnson
|
1,050,005 | |||||
18,260 |
Medtronic, Inc.
|
1,008,682 | |||||
20,770 |
Merck & Co., Inc.
|
1,000,491 | |||||
20,435 |
UnitedHealth Group, Inc.
|
1,488,690 | |||||
5,225,017 | |||||||
INDUSTRIALS
– 14.3%
|
|||||||
28,660 |
CSX Corp.
|
711,055 | |||||
11,130 |
Deere & Co.
|
924,569 | |||||
16,300 |
Emerson Electric Co.
|
1,000,331 | |||||
25,060 |
Oshkosh Corp.
*
|
1,123,189 | |||||
14,590 |
Raytheon Co.
|
1,048,145 | |||||
7,910 |
Union Pacific Corp.
|
1,254,447 | |||||
9,480 |
United Technologies Corp.
|
1,000,804 | |||||
7,062,540 | |||||||
MATERIALS
– 3.4%
|
|||||||
9,750 |
Air Products & Chemicals, Inc.
|
1,059,240 | |||||
16,250 |
Owens Corning
*
|
641,712 | |||||
1,700,952 | |||||||
TECHNOLOGY
– 6.7%
|
|||||||
39,000 |
Convergys Corp.
|
738,270 | |||||
5,355 |
International Business Machines Corp.
|
1,044,439 | |||||
30,710 |
Microsoft Corp.
|
977,500 | |||||
10,540 |
Motorola Solutions, Inc.
|
577,908 | |||||
3,338,117 | |||||||
TOTAL COMMON STOCKS
(Cost $36,827,546)
|
48,125,553 | ||||||
SHORT-TERM INVESTMENTS
– 3.0%
|
|||||||
1,482,829 |
Fidelity Institutional Money Market Fund, 0.07%
1
|
1,482,829 | |||||
TOTAL SHORT-TERM INVESTMENTS
(Cost $1,482,829)
|
1,482,829 |
TOTAL INVESTMENTS – 100.1%
(Cost $38,310,375)
|
$ | 49,608,382 | |||||
Liabilities in Excess of Other Assets – (0.1)%
|
(39,019 | ) | |||||
TOTAL NET ASSETS – 100.0
%
|
$ | 49,569,363 |
*
|
Non-income producing security.
|
1
|
The rate is the annualized seven-day yield at period end.
|
Number
of Shares
|
Value
|
||||||
COMMON STOCKS
– 97.9%
|
|||||||
AUSTRALIA
– 1.0%
|
|||||||
1,378 |
Crown Ltd.
|
$ | 15,844 | ||||
BERMUDA
– 1.6%
|
|||||||
3,153 |
Catlin Group Ltd.
|
24,242 | |||||
CANADA
– 1.7%
|
|||||||
7,489 |
Genesis Land Development Corp.
*
|
26,322 | |||||
DENMARK
– 3.3%
|
|||||||
883 |
D/S Norden A/S
|
32,300 | |||||
471 |
NKT Holding A/S
|
19,090 | |||||
51,390 | |||||||
FRANCE
– 12.0%
|
|||||||
312 |
Cie Generale des Etablissements Michelin
|
31,286 | |||||
1,313 |
GDF Suez
|
27,538 | |||||
376 |
Nexans S.A.
|
20,014 | |||||
929 |
Saft Groupe S.A.
|
22,949 | |||||
261 |
Sanofi
|
27,322 | |||||
449 |
Total S.A.
|
23,926 | |||||
558 |
Vallourec S.A.
|
32,958 | |||||
185,993 | |||||||
GERMANY
– 6.2%
|
|||||||
783 |
Gildemeister A.G.
|
18,200 | |||||
483 |
Leoni A.G.
|
24,055 | |||||
453 |
Rheinmetall A.G.
|
20,957 | |||||
1,339 |
Rhoen Klinikum A.G.
|
32,384 | |||||
95,596 | |||||||
HONG KONG
– 4.9%
|
|||||||
63,000 |
Asian Citrus Holdings Ltd.
|
20,714 | |||||
79,000 |
Emperor International Holdings
|
22,187 | |||||
82,000 |
Fook Woo Group Holdings Ltd.
*1
|
4,345 | |||||
10,500 |
Yue Yuen Industrial Holdings Ltd.
|
28,884 | |||||
76,130 | |||||||
IRELAND
– 1.6%
|
|||||||
7,534 |
Beazley PLC
|
25,296 | |||||
ITALY
– 1.6%
|
|||||||
3,012 |
Buzzi Unicem S.p.A.
|
24,486 | |||||
JAPAN
– 27.5%
|
|||||||
10,000 |
Aozora Bank Ltd.
|
30,892 |
Number
of Shares
|
Value
|
||||||
COMMON STOCKS (Continued)
|
|||||||
JAPAN (Continued)
|
|||||||
1,700 |
Arcs Co., Ltd.
|
$ | 31,318 | ||||
1,000 |
Azbil Corp.
|
21,460 | |||||
4,500 |
Bank of Yokohama Ltd.
|
24,663 | |||||
4,000 |
Chugoku Marine Paints Ltd.
|
20,806 | |||||
1,200 |
Daiseki Co., Ltd.
|
21,021 | |||||
7,000 |
Denki Kagaku Kogyo KK
|
25,793 | |||||
1,200 |
Doshisha Co., Ltd.
|
16,878 | |||||
100 |
Hirose Electric Co., Ltd.
|
13,332 | |||||
300 |
Hogy Medical Co., Ltd.
|
17,109 | |||||
1,900 |
Hokuto Corp.
|
33,920 | |||||
500 |
Inaba Denki Sangyo Co., Ltd.
|
13,745 | |||||
400 |
Japan Petroleum Exploration Co.
|
17,161 | |||||
1,100 |
Namco Bandai Holdings, Inc.
|
17,796 | |||||
1,300 |
Ryosan Co., Ltd.
|
21,913 | |||||
400 |
Secom Co., Ltd.
|
22,016 | |||||
2,900 |
Shinko Plantech Co., Ltd.
|
22,718 | |||||
29 |
SKY Perfect JSAT Holdings, Inc.
|
15,208 | |||||
2,600 |
Star Micronics Co., Ltd.
|
26,323 | |||||
300 |
Toyota Industries Corp.
|
12,315 | |||||
426,387 | |||||||
LUXEMBOURG
– 1.8%
|
|||||||
2,226 |
APERAM
|
27,471 | |||||
NETHERLANDS
– 7.9%
|
|||||||
1,485 |
Delta Lloyd N.V.
|
32,091 | |||||
1,426 |
Koninklijke Ahold N.V.
|
23,493 | |||||
336 |
Koninklijke DSM N.V.
|
23,613 | |||||
694 |
Royal Dutch Shell PLC - A Shares
|
23,678 | |||||
279 |
Wereldhave N.V. - REIT
|
19,725 | |||||
122,600 | |||||||
NORWAY
– 2.9%
|
|||||||
746 |
Aker A.S.A.
|
23,768 | |||||
31,666 |
Vard Holdings Ltd.
|
20,513 | |||||
44,281 | |||||||
PANAMA
– 1.8%
|
|||||||
1,086 |
Banco Latinoamericano de Comercio Exterior S.A. - Class E
|
27,356 | |||||
SINGAPORE
– 1.1%
|
|||||||
1,007 |
China Yuchai International Ltd.
|
16,918 | |||||
SOUTH KOREA
– 3.8%
|
|||||||
1,060 |
DGB Financial Group, Inc.
|
15,881 |
Number
of Shares
|
Value
|
||||||
COMMON STOCKS (Continued)
|
|||||||
SOUTH KOREA (Continued)
|
|||||||
690 |
Samsung Card Co., Ltd.
|
$ | 23,180 | ||||
143 |
Samsung SDI Co., Ltd.
|
20,719 | |||||
59,780 | |||||||
SWEDEN
– 2.0%
|
|||||||
1,744 |
Industrivarden A.B. - C Shares
|
31,320 | |||||
SWITZERLAND
– 3.9%
|
|||||||
915 |
GAM Holding A.G.
|
14,596 | |||||
276 |
Holcim Ltd.
|
19,965 | |||||
359 |
Novartis A.G.
|
25,806 | |||||
60,367 | |||||||
UNITED KINGDOM
– 11.3%
|
|||||||
2,901 |
Greggs PLC
|
19,108 | |||||
2,323 |
HSBC Holdings PLC
|
26,372 | |||||
3,391 |
Investec PLC
|
22,686 | |||||
1,025 |
Subsea 7 S.A.
|
19,494 | |||||
760 |
Unilever PLC - ADR
|
30,879 | |||||
8,810 |
Vodafone Group PLC
|
26,384 | |||||
7,038 |
WM Morrison Supermarkets PLC
|
30,975 | |||||
175,898 | |||||||
TOTAL COMMON STOCKS
(Cost $1,400,878)
|
1,517,677 | ||||||
SHORT-TERM INVESTMENTS
– 4.0%
|
|||||||
62,293 |
Fidelity Institutional Money Market Fund, 0.07%
2
|
62,293 | |||||
TOTAL SHORT-TERM INVESTMENTS
(Cost $62,293)
|
62,293 | ||||||
TOTAL INVESTMENTS – 101.9%
(Cost $1,463,171)
|
1,579,970 | ||||||
Liabilities in Excess of Other Assets – (1.9)%
|
(30,057 | ) | |||||
TOTAL NET ASSETS – 100.0
%
|
$ | 1,549,913 |
*
|
Non-income producing security.
|
1
|
Fair valued under direction of the Board of Trustees. The aggregate value of such investments is 0.3% of net assets.
|
2
|
The rate is the annualized seven-day yield at period end.
|
Number
of Shares
|
Value
|
||||||
COMMON STOCKS
– 94.5%
|
|||||||
AUSTRALIA
– 1.7%
|
|||||||
101,793 |
Crown Ltd.
|
$ | 1,170,377 | ||||
205,431 |
Tassal Group Ltd.
|
465,336 | |||||
1,635,713 | |||||||
AUSTRIA
– 0.3%
|
|||||||
20,129 |
EVN A.G.
|
258,247 | |||||
BELGIUM
– 1.5%
|
|||||||
14,389 |
Befimmo - REIT
|
984,731 | |||||
13,995 |
NV Bekaert S.A.
|
492,044 | |||||
1,476,775 | |||||||
BERMUDA
– 1.9%
|
|||||||
246,173 |
Catlin Group Ltd.
|
1,892,694 | |||||
CANADA
– 1.1%
|
|||||||
193,671 |
Genesis Land Development Corp.
*
|
680,705 | |||||
130,100 |
Genesis Land Development Corp.
*
1
|
457,269 | |||||
1,137,974 | |||||||
DENMARK
– 3.4%
|
|||||||
55,987 |
D/S Norden A/S
|
2,047,982 | |||||
31,102 |
NKT Holding A/S
|
1,260,586 | |||||
3,308,568 | |||||||
FRANCE
– 5.3%
|
|||||||
28,269 |
Nexans S.A.
|
1,504,710 | |||||
61,855 |
Saft Groupe S.A.
|
1,527,984 | |||||
36,512 |
Vallourec S.A.
|
2,156,579 | |||||
5,189,273 | |||||||
GERMANY
– 9.4%
|
|||||||
52,893 |
Gildemeister A.G.
|
1,229,430 | |||||
20,938 |
Hochtief A.G.
|
1,594,711 | |||||
13,896 |
Jungheinrich A.G.
|
659,904 | |||||
35,892 |
Leoni A.G.
|
1,787,509 | |||||
36,847 |
Rheinmetall A.G.
|
1,704,677 | |||||
96,110 |
Rhoen Klinikum A.G.
|
2,324,438 | |||||
9,300,669 | |||||||
HONG KONG
– 5.6%
|
|||||||
3,574,752 |
Asian Citrus Holdings Ltd.
|
1,175,359 | |||||
2,190,000 |
Emperor Entertainment Hotel Ltd.
|
733,643 |
Number
of Shares
|
Value
|
||||||
COMMON STOCKS (Continued)
|
|||||||
HONG KONG (Continued)
|
|||||||
4,279,083 |
Emperor International Holdings
|
$ | 1,201,747 | ||||
1,710,000 |
Fook Woo Group Holdings Ltd.
*2
|
90,620 | |||||
4,834,000 |
Golden Meditech Holdings Ltd.
|
591,691 | |||||
627,500 |
Yue Yuen Industrial Holdings Ltd.
|
1,726,159 | |||||
5,519,219 | |||||||
IRELAND
– 1.8%
|
|||||||
542,799 |
Beazley PLC
|
1,822,513 | |||||
ITALY
– 1.1%
|
|||||||
25,067 |
Buzzi Unicem S.p.A.
3
|
370,356 | |||||
84,768 |
Buzzi Unicem S.p.A.
3
|
689,116 | |||||
1,059,472 | |||||||
JAPAN
– 27.1%
|
|||||||
484,000 |
Aozora Bank Ltd.
|
1,495,174 | |||||
66,050 |
Arcs Co., Ltd.
|
1,216,801 | |||||
85,000 |
Azbil Corp.
|
1,824,106 | |||||
271,000 |
Bank of Yokohama Ltd.
|
1,485,272 | |||||
120,150 |
Chiyoda Corp.
|
1,425,524 | |||||
289,250 |
Chugoku Marine Paints Ltd.
|
1,504,513 | |||||
40,400 |
Cosel Co., Ltd.
|
465,628 | |||||
83,900 |
Daiseki Co., Ltd.
|
1,469,717 | |||||
404,000 |
Denki Kagaku Kogyo KK
|
1,488,652 | |||||
108,100 |
Doshisha Co., Ltd.
|
1,520,406 | |||||
3,900 |
Hirose Electric Co., Ltd.
|
519,969 | |||||
19,200 |
Hogy Medical Co., Ltd.
|
1,094,990 | |||||
101,200 |
Hokuto Corp.
|
1,806,667 | |||||
30,800 |
Horiba Ltd.
|
1,123,268 | |||||
14,400 |
Inaba Denki Sangyo Co., Ltd.
|
395,846 | |||||
25,800 |
Japan Petroleum Exploration Co.
|
1,106,918 | |||||
51,000 |
Maruichi Steel Tube Ltd.
|
1,226,992 | |||||
54,800 |
Namco Bandai Holdings, Inc.
|
886,558 | |||||
65,265 |
Ryosan Co., Ltd.
|
1,100,128 | |||||
2,556 |
SKY Perfect JSAT Holdings, Inc.
|
1,340,408 | |||||
123,200 |
Star Micronics Co., Ltd.
|
1,247,288 | |||||
42,000 |
Tokyo Ohka Kogyo Co., Ltd.
|
901,162 | |||||
26,645,987 | |||||||
LUXEMBOURG
– 2.0%
|
|||||||
162,478 |
APERAM
|
2,005,178 |
Number
of Shares
|
Value
|
||||||
COMMON STOCKS (Continued)
|
|||||||
NETHERLANDS
– 4.8%
|
|||||||
93,893 |
Delta Lloyd N.V.
|
$ | 2,029,036 | ||||
15,940 |
Koninklijke DSM N.V.
|
1,120,221 | |||||
22,968 |
Wereldhave N.V. - REIT
|
1,623,816 | |||||
4,773,073 | |||||||
NORWAY
– 3.3%
|
|||||||
59,049 |
Aker A.S.A.
|
1,881,312 | |||||
2,133,586 |
Vard Holdings Ltd.
|
1,382,156 | |||||
3,263,468 | |||||||
PANAMA
– 2.0%
|
|||||||
76,760 |
Banco Latinoamericano de Comercio Exterior S.A. - Class E
|
1,933,584 | |||||
PUERTO RICO
– 1.0%
|
|||||||
51,021 |
OFG Bancorp
|
942,358 | |||||
SINGAPORE
– 2.0%
|
|||||||
1,512,000 |
Ascendas India Trust
|
850,641 | |||||
64,514 |
China Yuchai International Ltd.
|
1,083,835 | |||||
1,934,476 | |||||||
SOUTH KOREA
– 5.2%
|
|||||||
84,490 |
DGB Financial Group, Inc.
|
1,265,873 | |||||
4,763 |
NongShim Co., Ltd.
|
1,103,719 | |||||
39,190 |
Samsung Card Co., Ltd.
|
1,316,551 | |||||
9,985 |
Samsung SDI Co., Ltd.
|
1,446,714 | |||||
5,132,857 | |||||||
SWEDEN
– 1.8%
|
|||||||
96,835 |
Industrivarden A.B. - C Shares
|
1,739,057 | |||||
SWITZERLAND
– 5.3%
|
|||||||
11,505 |
Baloise Holding A.G.
|
1,248,962 | |||||
71,792 |
GAM Holding A.G.
|
1,145,181 | |||||
26,250 |
Pargesa Holding S.A.
|
1,884,653 | |||||
27,043 |
Vontobel Holding A.G.
|
957,533 | |||||
5,236,329 | |||||||
UNITED KINGDOM
– 6.9%
|
|||||||
477,827 |
Colt Group S.A.
*
|
750,103 | |||||
184,763 |
Greggs PLC
|
1,216,951 | |||||
254,551 |
Investec PLC
|
1,702,982 | |||||
67,529 |
Subsea 7 S.A.
|
1,284,274 |
Number
of Shares
|
Value
|
||||||
COMMON STOCKS (Continued)
|
|||||||
UNITED KINGDOM (Continued)
|
|||||||
421,503 |
WM Morrison Supermarkets PLC
|
$ | 1,855,088 | ||||
6,809,398 | |||||||
TOTAL COMMON STOCKS
(Cost $85,858,167)
|
93,016,882 | ||||||
SHORT-TERM INVESTMENTS
– 5.4%
|
|||||||
5,272,885 |
Fidelity Institutional Money Market Fund, 0.07%
4
|
5,272,885 | |||||
TOTAL SHORT-TERM INVESTMENTS
(Cost $5,272,885)
|
5,272,885 | ||||||
TOTAL INVESTMENTS – 99.9%
(Cost $91,131,052)
|
98,289,767 | ||||||
Other Assets in Excess of Liabilities – 0.1%
|
101,137 | ||||||
TOTAL NET ASSETS – 100.0
%
|
$ | 98,390,904 |
*
|
Non-income producing security.
|
1
|
Canadian security traded in the U.S.
|
2
|
Fair valued under direction of the Board of Trustees. The aggregate value of such investments is 0.1% of net assets.
|
3
|
Company has multiple classes of shares.
|
4
|
The rate is the annualized seven-day yield at period end.
|
Number
of Shares
|
Value
|
||||||
COMMON STOCKS
– 98.1%
|
|||||||
AUSTRALIA
– 0.8%
|
|||||||
13,905 |
Crown Ltd.
|
$ | 159,874 | ||||
CANADA
– 0.9%
|
|||||||
50,880 |
Genesis Land Development Corp.
*
|
178,831 | |||||
DENMARK
– 1.1%
|
|||||||
5,539 |
D/S Norden A/S
|
202,614 | |||||
FRANCE
– 7.3%
|
|||||||
2,751 |
Cie Generale des Etablissements Michelin
|
275,856 | |||||
13,125 |
GDF Suez
|
275,281 | |||||
4,967 |
Nexans S.A.
|
264,385 | |||||
4,617 |
Total S.A.
|
246,026 | |||||
5,739 |
Vallourec S.A.
|
338,974 | |||||
1,400,522 | |||||||
GERMANY
– 4.1%
|
|||||||
3,926 |
Leoni A.G.
|
195,524 | |||||
7,581 |
Rheinmetall A.G.
|
350,725 | |||||
10,297 |
Rhoen Klinikum A.G.
|
249,035 | |||||
795,284 | |||||||
HONG KONG
– 0.9%
|
|||||||
66,000 |
Yue Yuen Industrial Holdings Ltd.
|
181,556 | |||||
IRELAND
– 1.1%
|
|||||||
65,832 |
Beazley PLC
|
221,039 | |||||
JAPAN
– 10.1%
|
|||||||
64,000 |
Aozora Bank Ltd.
|
197,709 | |||||
18,000 |
Azbil Corp.
|
386,281 | |||||
67,000 |
Bank of Yokohama Ltd.
|
367,207 | |||||
35,000 |
Chugoku Marine Paints Ltd.
|
182,050 | |||||
9,000 |
Daiseki Co., Ltd.
|
157,657 | |||||
19,900 |
Hokuto Corp.
|
355,264 | |||||
2,800 |
Inaba Denki Sangyo Co., Ltd.
|
76,970 | |||||
5,700 |
Toyota Industries Corp.
|
233,983 | |||||
1,957,121 | |||||||
LUXEMBOURG
– 1.6%
|
|||||||
25,231 |
APERAM
|
311,382 | |||||
NETHERLANDS
– 4.6%
|
|||||||
10,067 |
Delta Lloyd N.V.
|
217,549 |
Number
of Shares
|
Value
|
||||||
COMMON STOCKS (Continued)
|
|||||||
NETHERLANDS (Continued)
|
|||||||
11,792 |
Koninklijke Ahold N.V.
|
$ | 194,266 | ||||
3,437 |
Koninklijke DSM N.V.
|
241,543 | |||||
6,894 |
Royal Dutch Shell PLC - A Shares
|
235,214 | |||||
888,572 | |||||||
NORWAY
– 2.5%
|
|||||||
9,529 |
Aker A.S.A.
|
303,596 | |||||
290,000 |
Vard Holdings Ltd.
|
187,864 | |||||
491,460 | |||||||
PANAMA
– 1.1%
|
|||||||
8,776 |
Banco Latinoamericano de Comercio Exterior S.A. - Class E
|
221,068 | |||||
SOUTH KOREA
– 3.5%
|
|||||||
12,740 |
DGB Financial Group, Inc.
|
190,877 | |||||
7,210 |
Samsung Card Co., Ltd.
|
242,213 | |||||
1,623 |
Samsung SDI Co., Ltd.
|
235,155 | |||||
668,245 | |||||||
SWEDEN
– 1.1%
|
|||||||
11,424 |
Industrivarden A.B. - C Shares
|
205,163 | |||||
SWITZERLAND
– 2.1%
|
|||||||
1,900 |
Allied World Assurance Co. Holdings A.G.
|
179,835 | |||||
3,088 |
Novartis A.G.
|
221,974 | |||||
401,809 | |||||||
UNITED KINGDOM
– 3.7%
|
|||||||
22,573 |
Investec PLC
|
151,017 | |||||
4,597 |
Unilever PLC - ADR
|
186,776 | |||||
61,462 |
Vodafone Group PLC
|
184,068 | |||||
42,103 |
WM Morrison Supermarkets PLC
|
185,300 | |||||
707,161 | |||||||
UNITED STATES
– 51.6%
|
|||||||
1,944 |
Air Products & Chemicals, Inc.
|
211,196 | |||||
5,453 |
Alexander & Baldwin, Inc.
*
|
241,513 | |||||
6,280 |
American International Group, Inc.
*
|
285,803 | |||||
6,221 |
BankUnited, Inc.
|
188,123 | |||||
3,820 |
Bed Bath & Beyond, Inc.
*
|
292,115 | |||||
1,719 |
Berkshire Hathaway, Inc. - Class B
*
|
199,181 | |||||
230 |
Biglari Holdings, Inc.
*
|
95,809 | |||||
6,136 |
Carrizo Oil & Gas, Inc.
*
|
194,327 |
Number
of Shares
|
Value
|
||||||
COMMON STOCKS (Continued)
|
|||||||
UNITED STATES (Continued)
|
|||||||
1,520 |
Chevron Corp.
|
$ | 191,353 | ||||
3,903 |
CIT Group, Inc.
*
|
195,579 | |||||
5,033 |
Convergys Corp.
|
95,275 | |||||
3,497 |
Core-Mark Holding Co., Inc.
|
219,087 | |||||
950 |
Crimson Wine Group Ltd.
*
|
8,550 | |||||
4,420 |
CST Brands, Inc.
*
|
144,136 | |||||
5,850 |
CSX Corp.
|
145,139 | |||||
2,858 |
Deere & Co.
|
237,414 | |||||
41,493 |
Destination XL Group, Inc.
*
|
267,630 | |||||
4,413 |
Emerson Electric Co.
|
270,826 | |||||
2,700 |
Foot Locker, Inc.
|
97,551 | |||||
3,424 |
GATX Corp.
|
154,696 | |||||
5,566 |
Gulfport Energy Corp.
*
|
296,111 | |||||
1,620 |
Humana, Inc.
|
147,841 | |||||
990 |
International Business Machines Corp.
|
193,090 | |||||
880 |
JM Smucker Co.
|
99,018 | |||||
3,658 |
JPMorgan Chase & Co.
|
203,860 | |||||
8,520 |
Layne Christensen Co.
*
|
165,118 | |||||
4,175 |
Loews Corp.
|
190,171 | |||||
1,737 |
McDonald's Corp.
|
170,365 | |||||
5,000 |
MDC Holdings, Inc.
|
158,200 | |||||
5,388 |
Microsoft Corp.
|
171,500 | |||||
5,029 |
Motorola Solutions, Inc.
|
275,740 | |||||
9,380 |
News Corp.
*
|
149,423 | |||||
15,912 |
Northfield Bancorp, Inc.
|
186,489 | |||||
4,500 |
Oshkosh Corp.
*
|
201,690 | |||||
4,000 |
Owens Corning
*
|
157,960 | |||||
2,850 |
PepsiCo, Inc.
|
238,089 | |||||
3,032 |
Pioneer Natural Resources Co.
|
469,232 | |||||
3,460 |
Plum Creek Timber Co., Inc. - REIT
|
168,779 | |||||
2,790 |
Raytheon Co.
|
200,434 | |||||
2,170 |
Ross Stores, Inc.
|
146,410 | |||||
2,248 |
SEACOR Holdings, Inc.
|
196,835 | |||||
8,732 |
Silver Bay Realty Trust Corp. - REIT
|
140,498 | |||||
3,843 |
Susser Holdings Corp.
*
|
198,760 | |||||
2,710 |
Target Corp.
|
193,087 | |||||
8,000 |
TeleTech Holdings, Inc.
*
|
200,400 | |||||
3,211 |
Tribune Co.
*
|
202,935 | |||||
5,200 |
U.S. Bancorp
|
194,064 | |||||
1,911 |
Union Pacific Corp.
|
303,065 | |||||
1,860 |
United Technologies Corp.
|
196,360 | |||||
6,000 |
Viad Corp.
|
144,300 |
Number
of Shares
|
Value
|
||||||
COMMON STOCKS (Continued)
|
|||||||
UNITED STATES (Continued)
|
|||||||
3,521 |
Wal-Mart Stores, Inc.
|
$ | 274,427 | ||||
9,969,554 | |||||||
TOTAL COMMON STOCKS
(Cost $17,247,976)
|
18,961,255 | ||||||
SHORT-TERM INVESTMENTS
– 2.2%
|
|||||||
417,356 |
Fidelity Institutional Money Market Fund, 0.07%
1
|
417,356 | |||||
TOTAL SHORT-TERM INVESTMENTS
(Cost $417,356)
|
417,356 | ||||||
TOTAL INVESTMENTS – 100.3%
(Cost $17,665,332)
|
19,378,611 | ||||||
Liabilities in Excess of Other Assets – (0.3)%
|
(62,163 | ) | |||||
TOTAL NET ASSETS – 100.0
%
|
$ | 19,316,448 |
*
|
Non-income producing security.
|
1
|
The rate is the annualized seven-day yield at period end.
|
Number
of Shares
|
Value
|
||||||
COMMON STOCKS
– 10.2%
|
|||||||
COMMUNICATIONS
– 1.6%
|
|||||||
26,740 |
AT&T, Inc.
|
$ | 943,120 | ||||
24,105 |
CenturyLink, Inc.
|
864,164 | |||||
1,807,284 | |||||||
CONSUMER STAPLES
– 2.0%
|
|||||||
33,745 |
Altria Group, Inc.
|
1,183,100 | |||||
19,240 |
Kraft Foods Group, Inc.
|
1,088,599 | |||||
2,271,699 | |||||||
ENERGY
– 1.9%
|
|||||||
15,930 |
ConocoPhillips
|
1,033,220 | |||||
16,050 |
Royal Dutch Shell PLC - ADR
|
1,137,463 | |||||
2,170,683 | |||||||
FINANCIALS
– 1.4%
|
|||||||
20,481 |
Government Properties Income Trust - REIT
|
517,555 | |||||
20,640 |
Oaktree Capital Group LLC
|
1,114,353 | |||||
1,631,908 | |||||||
HEALTH CARE
– 1.8%
|
|||||||
22,380 |
GlaxoSmithKline PLC - ADR
|
1,140,485 | |||||
19,270 |
Merck & Co., Inc.
|
928,236 | |||||
2,068,721 | |||||||
UTILITIES
– 1.5%
|
|||||||
12,280 |
Duke Energy Corp.
|
871,880 | |||||
20,190 |
Southern Co.
|
905,320 | |||||
1,777,200 | |||||||
TOTAL COMMON STOCKS
(Cost $9,987,336)
|
11,727,495 | ||||||
Principal
Amount
|
|||||||
CORPORATE BONDS
– 41.3%
|
|||||||
COMMUNICATIONS
– 1.1%
|
|||||||
$ | 1,200,000 |
CenturyLink, Inc.
6.450%, 6/15/2021
1
|
1,266,000 | ||||
CONSUMER DISCRETIONARY
– 3.7%
|
|||||||
1,500,000 |
Ingram Micro, Inc.
5.250%, 9/1/2017
1
|
1,591,690 | |||||
L Brands, Inc.
|
|||||||
500,000 |
5.250%, 11/1/2014
1
|
518,750 | |||||
1,450,000 |
5.625%, 2/15/2022
1
|
1,502,563 |
Principal
Amount
|
Value
|
||||||
CORPORATE BONDS (Continued)
|
|||||||
CONSUMER DISCRETIONARY (Continued)
|
|||||||
$ | 600,000 |
Vail Resorts, Inc.
6.500%, 5/1/2019
1
|
$ | 637,500 | |||
4,250,503 | |||||||
CONSUMER STAPLES
– 1.8%
|
|||||||
1,880,000 |
Leucadia National Corp.
8.125%, 9/15/2015
|
2,100,900 | |||||
ENERGY
– 7.8%
|
|||||||
1,440,000 |
Copano Energy LLC / Copano Energy Finance Corp.
7.125%, 4/1/2021
1
|
1,627,200 | |||||
750,000 |
Frontier Oil Corp.
6.875%, 11/15/2018
1
|
798,750 | |||||
1,050,000 |
Peabody Energy Corp.
6.500%, 9/15/2020
1
|
1,063,125 | |||||
1,300,000 |
Plains Exploration & Production Co.
8.625%, 10/15/2019
1
|
1,439,750 | |||||
1,100,000 |
QEP Resources, Inc.
6.800%, 4/1/2018
1
|
1,161,875 | |||||
Range Resources Corp.
|
|||||||
700,000 |
6.750%, 8/1/2020
1
|
756,000 | |||||
500,000 |
5.750%, 6/1/2021
1
|
528,750 | |||||
1,450,000 |
SEACOR Holdings, Inc.
7.375%, 10/1/2019
1
|
1,526,747 | |||||
8,902,197 | |||||||
FINANCIALS
– 20.2%
|
|||||||
2,895,000 |
American Express Co.
6.800%, 9/1/2066
1, 2
|
3,090,412 | |||||
2,750,000 |
Bank of America Corp.
8.000%, 12/29/2049
1, 2
|
3,045,625 | |||||
1,450,000 |
CIT Group, Inc.
4.250%, 8/15/2017
1
|
1,482,625 | |||||
1,150,000 |
Fifth Third Bancorp
5.100%, 12/29/2049
1, 2
|
1,086,750 | |||||
3,150,000 |
General Electric Capital Corp.
7.125%, 12/29/2049
1, 2
|
3,543,750 | |||||
1,150,000 |
Hartford Financial Services Group, Inc.
8.125%, 6/15/2038
1, 2
|
1,311,000 | |||||
3,150,000 |
JPMorgan Chase & Co.
7.900%, 4/29/2049
1, 2
|
3,504,375 | |||||
500,000 |
Merrill Lynch & Co., Inc.
5.700%, 5/2/2017
1
|
544,806 | |||||
1,200,000 |
Prudential Financial, Inc.
5.200%, 3/15/2044
1, 2
|
1,113,000 |
Principal
Amount
|
Value
|
||||||
CORPORATE BONDS (Continued)
|
|||||||
FINANCIALS (Continued)
|
|||||||
$ | 1,150,000 |
SLM Corp.
8.450%, 6/15/2018
1
|
$ | 1,322,638 | |||
2,125,000 |
Wells Fargo & Co.
7.980%, 3/29/2049
1, 2
|
2,385,312 | |||||
620,000 |
Weyerhaeuser Co.
7.950%, 3/15/2025
|
760,863 | |||||
23,191,156 | |||||||
INDUSTRIALS
– 1.4%
|
|||||||
1,425,000 |
Oshkosh Corp.
8.250%, 3/1/2017
1
|
1,528,313 | |||||
MATERIALS
– 3.5%
|
|||||||
1,450,000 |
Alcoa, Inc.
5.400%, 4/15/2021
1
|
1,421,020 | |||||
1,125,000 |
ArcelorMittal
6.125%, 6/1/2018
1
|
1,181,250 | |||||
1,215,000 |
Owens Corning
6.500%, 12/1/2016
1
|
1,358,838 | |||||
3,961,108 | |||||||
UTILITIES
– 1.8%
|
|||||||
1,955,000 |
Southern California Edison Co.
6.250%, 8/1/2049
1, 2
|
2,101,052 | |||||
TOTAL CORPORATE BONDS
(Cost $47,488,059)
|
47,301,229 | ||||||
Number
of Shares
|
|||||||
MUTUAL FUNDS
– 1.4%
|
|||||||
51,430 |
PIMCO Corporate & Income Strategy Fund
|
870,710 | |||||
52,920 |
Wells Fargo Advantage Multi-Sector Income Fund
|
773,161 | |||||
TOTAL MUTUAL FUNDS
(Cost $1,520,151)
|
1,643,871 | ||||||
PREFERRED STOCKS
– 44.5%
|
|||||||
COMMUNICATIONS
– 1.9%
|
|||||||
Telephone & Data Systems, Inc.
|
|||||||
31,000 |
6.875%, 11/15/2015
1
|
793,290 | |||||
55,400 |
7.000%, 3/15/2016
1
|
1,429,874 | |||||
2,223,164 | |||||||
FINANCIALS
– 40.4%
|
|||||||
75,150 |
Affiliated Managers Group, Inc.
6.375%, 8/15/2017
1
|
1,874,993 |
Number
of Shares
|
Value
|
||||||
PREFERRED STOCKS (Continued)
|
|||||||
FINANCIALS (Continued)
|
|||||||
58,836 |
Alexandria Real Estate Equities, Inc.
6.450%, 3/15/2017
1
|
$ | 1,415,594 | ||||
46,154 |
Allstate Corp.
5.100%, 1/15/2023
1, 2
|
1,159,389 | |||||
44,000 |
American Financial Group, Inc.
6.375%, 6/12/2017
1
|
1,115,400 | |||||
28,288 |
Ameriprise Financial, Inc.
7.750%, 6/15/2014
1
|
748,218 | |||||
35,050 |
Associated Banc-Corp
8.000%, 9/15/2016
1
|
982,101 | |||||
59,000 |
BB&T Corp.
5.850%, 5/1/2017
1
|
1,454,350 | |||||
72,000 |
Capital One Financial Corp.
6.000%, 9/1/2017
1
|
1,745,280 | |||||
69,000 |
Charles Schwab Corp.
6.000%, 9/1/2017
1
|
1,745,010 | |||||
51,630 |
Citigroup Capital IX
6.000%, 8/30/2013
1
|
1,301,592 | |||||
45,000 |
Citigroup Capital XIII
7.875%, 10/30/2015
1, 2
|
1,237,500 | |||||
50,000 |
CommonWealth REIT
7.500%, 11/15/2014
1
|
1,044,500 | |||||
4,375 |
CorTS Trust II for Provident Financing Trust I
8.200%, 8/15/2013
1
|
124,906 | |||||
45,000 |
Discover Financial Services
6.500%, 12/1/2017
1
|
1,124,550 | |||||
Goldman Sachs Group, Inc.
|
|||||||
50,000 |
5.500%, 5/10/2023
1, 2
|
1,186,000 | |||||
19,300 |
5.950%, 11/10/2017
1
|
467,060 | |||||
27,500 |
6.500%, 11/1/2016
1
|
705,375 | |||||
12,342 |
Hartford Financial Services Group, Inc.
7.875%, 4/15/2022
1, 2
|
362,978 | |||||
53,647 |
HSBC USA, Inc.
6.500%, 8/30/2013
1
|
1,346,003 | |||||
65,000 |
JPMorgan Chase & Co.
8.625%, 9/1/2013
1
|
1,625,650 | |||||
54,450 |
Kimco Realty Corp.
6.000%, 3/20/2017
1
|
1,321,502 | |||||
65,760 |
Morgan Stanley Capital Trust IV
6.250%, 8/30/2013
1
|
1,645,973 | |||||
30,000 |
Morgan Stanley Capital Trust VI
6.600%, 8/30/2013
1
|
752,100 | |||||
89,880 |
PNC Financial Services Group, Inc.
6.125%, 5/1/2022
1, 2
|
2,359,350 |
Number
of Shares
|
Value | ||||||
PREFERRED STOCKS (Continued)
|
|||||||
FINANCIALS (Continued)
|
|||||||
13,213 |
Post Properties, Inc.
8.500%, 10/1/2026
1
|
$ | 848,935 | ||||
Prudential Financial, Inc.
|
|||||||
10,000 |
5.750%, 12/4/2017
1
|
236,000 | |||||
10,000 |
5.700%, 3/15/2018
1
|
234,400 | |||||
40,608 |
PS Business Parks, Inc.
6.875%, 10/15/2015
1
|
1,020,885 | |||||
Public Storage
|
|||||||
14,000 |
6.500%, 4/14/2016
1
|
354,200 | |||||
51,955 |
6.875%, 4/15/2015
1
|
1,329,529 | |||||
53,600 |
Raymond James Financial, Inc.
6.900%, 3/15/2017
1
|
1,384,488 | |||||
46,900 |
SL Green Realty Corp.
6.500%, 8/10/2017
1
|
1,125,600 | |||||
62,136 |
Stifel Financial Corp.
6.700%, 1/15/2015
1
|
1,619,264 | |||||
40,000 |
SunTrust Banks, Inc.
5.875%, 3/15/2018
1
|
945,600 | |||||
116,900 |
U.S. Bancorp
6.000%, 4/15/2017
1, 2
|
3,115,385 | |||||
3,817 |
VNB Capital Trust I
7.750%, 8/30/2013
1
|
97,906 | |||||
45,993 |
Vornado Realty Trust
6.875%, 4/20/2016
1
|
1,181,100 | |||||
79,265 |
Wells Fargo & Co.
8.000%, 12/15/2017
1
|
2,250,333 | |||||
68,988 |
Zions Bancorporation
6.300%, 3/15/2023
1, 2
|
1,741,257 | |||||
46,330,256 | |||||||
UTILITIES
– 2.2%
|
|||||||
43,050 |
Dominion Resources, Inc.
8.375%, 6/15/2014
1
|
1,136,950 | |||||
51,320 |
NextEra Energy Capital Holdings, Inc.
8.750%, 3/1/2014
1
|
1,353,822 | |||||
2,490,772 | |||||||
TOTAL PREFERRED STOCKS
(Cost $51,122,627)
|
51,044,192 |
Principal
Amount
|
Value
|
||||||
SHORT-TERM INVESTMENTS
– 1.7%
|
|||||||
$ | 1,908,314 |
Fidelity Institutional Money Market Fund, 0.07%
3
|
$ | 1,908,314 | |||
TOTAL SHORT-TERM INVESTMENTS
(Cost $1,908,314)
|
1,908,314 | ||||||
TOTAL INVESTMENTS – 99.1%
(Cost $112,026,487)
|
113,625,101 | ||||||
Other Assets in Excess of Liabilities – 0.9%
|
993,960 | ||||||
TOTAL NET ASSETS – 100.0
%
|
$ | 114,619,061 |
1
|
Callable.
|
2
|
Variable, floating or step rate security.
|
3
|
The rate is the annualized seven-day yield at period end.
|
All Cap
Value Fund
|
International
All Cap
Value Fund
|
International
Small Cap
Value Fund
|
Global
Value Fund
|
Strategic
Income Fund
|
||||||||||||||||
Cost of Investments
|
$ | 38,310,375 | $ | 1,464,503 | $ | 91,154,575 | $ | 17,711,178 | $ | 112,026,487 | ||||||||||
Gross Unrealized Appreciation
|
11,363,822 | 178,368 | 10,706,141 | 2,195,838 | 3,789,167 | |||||||||||||||
Gross Unrealized Depreciation
|
(65,815 | ) | (62,901 | ) | (3,570,949 | ) | (528,405 | ) | (2,190,553 | ) | ||||||||||
Net Unrealized Appreciation/(Depreciation)
|
$ | 11,298,007 | $ | 115,467 | $ | 7,135,192 | $ | 1,667,433 | $ | 1,598,614 |
|
·
|
Level 1 – Unadjusted quoted prices in active markets for identical assets or liabilities that the Fund has the ability to access.
|
|
·
|
Level 2 – Observable inputs other than quoted prices included in Level 1 that are observable for the asset or liability, either directly or indirectly. These inputs may include quoted prices for the identical instrument on an inactive market, prices for similar instruments, interest rates, prepayment speeds, credit risk, yield curves, default rates and similar data.
|
|
·
|
Level 3 – Unobservable inputs for the asset or liability, to the extent relevant observable inputs are not available, representing the Funds’ own assumptions about the assumptions a market participant would use in valuing the asset or liability, and would be based on the best information available.
|
All Cap Value Fund
|
Level 1
|
Level 2*
|
Level 3*
|
Total
|
||||||||||||
Investments
|
||||||||||||||||
Common Stocks
1
|
$ | 48,125,553 | $ | - | $ | - | $ | 48,125,553 | ||||||||
Short-Term Investments
|
1,482,829 | - | - | 1,482,829 | ||||||||||||
Total Investments
|
$ | 49,608,382 | $ | - | $ | - | $ | 49,608,382 |
1
|
All common stocks held in the All Cap Value Fund are Level 1 securities. For a detailed break-out of common stocks by major industry classification, please refer to the Schedule of Investments.
|
*
|
The Fund did not hold any Level 2 or Level 3 securities at period end.
|
International All Cap Value Fund
|
Level 1
|
Level 2*
|
Level 3**
|
Total
|
||||||||||||
Investments
|
||||||||||||||||
Common Stocks
|
||||||||||||||||
Communications
|
$ | - | $ | 41,592 | $ | - | $ | 41,592 | ||||||||
Consumer Discretionary
|
26,322 | 134,400 | - | 160,722 | ||||||||||||
Consumer Staples
|
30,879 | 159,528 | - | 190,407 | ||||||||||||
Energy
|
- | 107,208 | - | 107,208 | ||||||||||||
Financials
|
27,356 | 336,899 | - | 364,255 | ||||||||||||
Health Care
|
32,384 | 70,237 | - | 102,621 | ||||||||||||
Industrials
|
39,636 | 209,067 | - | 248,703 | ||||||||||||
Materials
|
- | 175,092 | 4,345 | 179,437 | ||||||||||||
Technology
|
- | 74,173 | - | 74,173 | ||||||||||||
Utilities
|
- | 48,559 | - | 48,559 | ||||||||||||
Total Common Stocks
|
156,577 | 1,356,755 | 4,345 | 1,517,677 | ||||||||||||
Short-Term Investments
|
62,293 | - | - | 62,293 | ||||||||||||
Total Investments
|
$ | 218,870 | $ | 1,356,755 | $ | 4,345 | $ | 1,579,970 |
International Small Cap Value Fund
|
Level 1
|
Level 2*
|
Level 3**
|
Total
|
||||||||||||
Investments
|
||||||||||||||||
Common Stocks
|
||||||||||||||||
Communications
|
$ | 750,103 | $ | 1,340,408 | $ | - | $ | 2,090,511 | ||||||||
Consumer Discretionary
|
1,137,974 | 5,417,688 | - | 6,555,662 | ||||||||||||
Consumer Staples
|
465,336 | 8,374,585 | - | 8,839,921 | ||||||||||||
Energy
|
- | 3,919,176 | - | 3,919,176 | ||||||||||||
Financials
|
3,726,583 | 23,792,434 | - | 27,519,017 | ||||||||||||
Health Care
|
2,324,438 | 1,686,681 | - | 4,011,119 | ||||||||||||
Industrials
|
1,083,835 | 20,002,389 | - | 21,086,224 | ||||||||||||
Materials
|
- | 13,347,422 | 90,620 | 13,438,042 | ||||||||||||
Technology
|
- | 3,829,246 | - | 3,829,246 | ||||||||||||
Utilities
|
258,247 | 1,469,717 | - | 1,727,964 | ||||||||||||
Total Common Stocks
|
9,746,516 | 83,179,746 | 90,620 | 93,016,882 | ||||||||||||
Short-Term Investments
|
5,272,885 | - | - | 5,272,885 | ||||||||||||
Total Investments
|
$ | 15,019,401 | $ | 83,179,746 | $ | 90,620 | $ | 98,289,767 |
Global Value Fund
|
Level 1
|
Level 2*
|
Level 3**
|
Total
|
||||||||||||
Investments
|
||||||||||||||||
Common Stocks
|
||||||||||||||||
Communications
|
$ | 352,358 | $ | 184,068 | $ | - | $ | 536,426 | ||||||||
Consumer Discretionary
|
1,551,211 | 1,046,793 | - | 2,598,004 | ||||||||||||
Consumer Staples
|
1,561,930 | 734,830 | - | 2,296,760 | ||||||||||||
Energy
|
1,347,858 | 481,240 | - | 1,829,098 | ||||||||||||
Financials
|
2,749,659 | 2,096,370 | - | 4,846,029 | ||||||||||||
Health Care
|
396,876 | 221,974 | - | 618,850 | ||||||||||||
Industrials
|
1,554,928 | 1,391,869 | - | 2,946,797 | ||||||||||||
Materials
|
369,156 | 1,073,949 | - | 1,443,105 | ||||||||||||
Technology
|
936,005 | 312,125 | - | 1,248,130 | ||||||||||||
Utilities
|
165,118 | 432,938 | - | 598,056 | ||||||||||||
Total Common Stocks
|
10,985,099 | 7,976,156 | - | 18,961,255 | ||||||||||||
Short-Term Investments
|
417,356 | - | - | 417,356 | ||||||||||||
Total Investments
|
$ | 11,402,455 | $ | 7,976,156 | $ | - | $ | 19,378,611 |
*
|
In accordance with procedures established by, and under the general supervision of, the Funds’ Board of Trustees, the values of certain equity securities listed or traded on foreign security exchanges may be adjusted due to changes in the value of U.S.-traded securities, as measured by the S&P 500 Index. In this circumstance, $1,356,755, $83,179,746
and $7,976,156 of investment securities from International All Cap Value, International Small Cap Value Fund and Global Value Fund, respectively, were classified as Level 2 instead of Level 1.
|
**
|
The International All Cap Value and International Small Cap Value Funds each held one Level 3 security as of July 31, 2013, the value of such security was $4,345 and $90,620 for the International All Cap Value and International Small Cap Value Fund, respectively. The security classified as Level 3 was halted and the Advisor has applied an increasing percentage discount to the last available price for the security as a fair value price for the security.
The Global Value Fund did not hold any Level 3 securities at period end.
|
International All Cap Value Fund
|
International Small Cap Value Fund
|
|||||||
Beginning balance October 31, 2012
|
$ | 4,349 | $ | 90,685 | ||||
Transfers into Level 3 during the period
|
- | - | ||||||
Transfers out of Level 3 during the period
|
- | - | ||||||
Total realized gain/(loss)
|
- | - | ||||||
Total unrealized appreciation/(depreciation)
|
(4 | ) | (65 | ) | ||||
Purchases
|
- | - | ||||||
Sales
|
- | - | ||||||
Ending balance July 31, 2013
|
$ | 4,345 | $ | 90,620 |
Strategic Income Fund
|
Level 1
|
Level 2
|
Level 3*
|
Total
|
||||||||||||
Investments
|
||||||||||||||||
Common Stocks
|
||||||||||||||||
Communications
|
$ | 1,807,284 | $ | - | $ | - | $ | 1,807,284 | ||||||||
Consumer Staples
|
2,271,699 | - | - | 2,271,699 | ||||||||||||
Energy
|
2,170,683 | - | - | 2,170,683 | ||||||||||||
Financials
|
1,631,908 | - | - | 1,631,908 | ||||||||||||
Health Care
|
2,068,721 | - | - | 2,068,721 | ||||||||||||
Utilities
|
1,777,200 | - | - | 1,777,200 | ||||||||||||
Corporate Bonds
|
||||||||||||||||
Communications
|
- | 1,266,000 | - | 1,266,000 | ||||||||||||
Consumer Discretionary
|
- | 4,250,503 | - | 4,250,503 | ||||||||||||
Consumer Staples
|
- | 2,100,900 | - | 2,100,900 | ||||||||||||
Energy
|
- | 8,902,197 | - | 8,902,197 | ||||||||||||
Financials
|
- | 23,191,156 | - | 23,191,156 | ||||||||||||
Industrials
|
- | 1,528,313 | - | 1,528,313 | ||||||||||||
Materials
|
- | 3,961,108 | - | 3,961,108 | ||||||||||||
Utilities
|
- | 2,101,052 | - | 2,101,052 | ||||||||||||
Mutual Funds
|
1,643,871 | - | - | 1,643,871 | ||||||||||||
Preferred Stocks
|
||||||||||||||||
Communications
|
2,223,164 | - | - | 2,223,164 | ||||||||||||
Financials
|
46,330,256 | - | - | 46,330,256 | ||||||||||||
Utilities
|
2,490,772 | - | - | 2,490,772 | ||||||||||||
Total
|
64,415,558 | 47,301,229 | - | 111,716,787 | ||||||||||||
Short-Term Investments
|
1,908,314 | - | - | 1,908,314 | ||||||||||||
Total Investments
|
$ | 66,323,872 | $ | 47,301,229 | $ | - | $ | 113,625,101 |
*
|
The Fund did not hold any Level 3 securities at period end.
|
(a)
|
The Registrant’s President/Chief Executive Officer and Treasurer/Chief Financial Officer have concluded that the Registrant's disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940 (the “1940 Act”)) are effective as of a date within 90 days of the filing date of the report that includes the disclosure required by this paragraph, based on the evaluation of these controls and procedures required by Rule 30a-3(b) under the 1940 Act and Rules 15d-15(b) under the Securities Exchange Act of 1934, as amended.
|
(b)
|
There were no changes in the Registrant's internal control over financial reporting (as defined in Rule 30a-3(d) under the Act) that occurred during the Registrant's last fiscal quarter that has materially affected, or is reasonably likely to materially affect, the Registrant's internal control over financial reporting.
|
Registrant:
|
Advisory Research Funds, a series of Investment Managers Series Trust
|
|
By:
|
/s/ JOHN P. ZADER
|
|
Title:
|
John P. Zader, President
|
|
Date:
|
9/30/13
|
By:*
|
/s/ JOHN P. ZADER
|
|
(Signature and Title)
|
John P. Zader, President
|
|
Date:
|
9/30/13
|
|
By:*
|
/s/ RITA DAM
|
|
(Signature and Title)
|
Rita Dam, Treasurer
|
|
Date:
|
9/30/13
|
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