2020-09-30T15:01:13-05:00 2019-12-31 941687665 BANK OF AMERICA P O BOX 1802 PROVIDENCE RI 029011802 990PF 2019-01-01 464345106 GUFFEY FAMILY FOUNDATION LGFO 8888663275 114 W 47TH ST NY8-114-07-07 AFT NEW YORK NY 100361510 LAWRENCE GUFFEY PRESIDENT 8888663275 2020-09-03 true KAREN J KISER P00146417 8888663275 2020-09-03 171.159.192.10 P 2F8D1F33AC266B69522DED446860C142D969DE07 D1FC840CEC69794B33F7E03FBDF54F899BD0C268 2019 2021-04-22 16:20:28Z X 14905232 6992 208900 176478 202987 5476832 202987 0 212517 418879 591982 0 0 0 0 0 0 2500 0 0 2500 47845 28707 19138 0 21409 4259 0 0 0 0 0 0 0 4795 98919 76549 131885 0 21638 420250 420250 496799 131885 0 441888 -77920 460097 0 3131 2381 2381 54682 152759 152759 0 0 0 3000250 3000250 1292984 11890592 11648568 13457108 14948655 14803958 14905232 0 X 14948655 14803958 14948655 14803958 14948655 14803958 14948655 -77920 0 14870735 66777 14803958 202. AQR MANAGED FUTURES 2015-10-31 2019-03-15 1687 2141 -454 -454 133. AQR MANAGED FUTURES 2015-10-09 2019-03-15 1111 1438 -327 -327 .15 AQR MANAGED FUTURES 2015-10-09 2019-03-15 1 2 -1 -1 3442. AQR MANAGED FUTURES 2016-03-24 2019-03-15 28741 35143 -6402 -6402 27946. AQR MANAGED FUTURES 2016-12-29 2019-03-15 233349 261295 -27946 -27946 1. AQR MANAGED FUTURES 2016-09-09 2019-03-15 8 10 -2 -2 539. AQR MANAGED FUTURES 2016-09-09 2019-03-15 4501 5433 -932 -932 1229. AQR MANAGED FUTURES 2016-11-23 2019-03-15 10262 11540 -1278 -1278 1457. AQR MANAGED FUTURES 2016-11-28 2019-03-15 12166 13754 -1588 -1588 1. AQR MANAGED FUTURES 2016-11-29 2019-03-15 8 10 -2 -2 690. AQR MANAGED FUTURES 2016-11-29 2019-03-15 5762 6493 -731 -731 1. AQR MANAGED FUTURES 2016-11-30 2019-03-15 8 9 -1 -1 760. AQR MANAGED FUTURES 2016-11-30 2019-03-15 6346 7098 -752 -752 16262. AQR MANAGED FUTURES 2018-01-02 2019-03-15 135788 150098 -14310 -14310 .55 BLACKSTONE ALT MULTI 2019-04-04 2019-05-30 6 6 1138. BLACKSTONE ALT MULTI 2019-04-04 2019-05-30 12234 12302 -68 -68 .42 BLACKSTONE ALT MULTI 2019-03-15 2019-05-30 5 5 1073.06 BLACKSTONE ALT MULTI 2019-04-04 2019-11-05 11664 11600 64 64 .17 DOUBLELINE TOTAL RETURN BOND FUND 2018-03-06 2019-03-15 2 2 45381. DOUBLELINE TOTAL RETURN BOND FUND 2018-03-06 2019-03-15 475593 474231 1362 1362 2359. EATON VANCE ATL CAPITAL 2019-03-15 2019-04-04 55271 54210 1061 1061 .05 EATON VANCE ATL CAPITAL 2019-03-15 2019-04-04 1 1 .01 EATON VANCE ATL CAPITAL 2019-03-15 2019-04-04 727. EATON VANCE ATL CAPITAL 2019-03-15 2019-05-30 17194 16706 488 488 .61 EATON VANCE ATL CAPITAL 2019-03-15 2019-05-30 14 14 685.5 EATON VANCE ATL CAPITAL 2019-03-15 2019-11-05 17994 15753 2241 2241 .62 EATON VANCE FLOATING-RATE FUND 2019-03-15 2019-04-04 6 6 .3 EATON VANCE FLOATING-RATE FUND 2019-03-15 2019-04-04 3 3 5400. EATON VANCE FLOATING-RATE FUND 2019-03-15 2019-04-04 48168 48168 .7 EATON VANCE FLOATING-RATE FUND 2019-03-15 2019-05-30 6 6 .54 EATON VANCE FLOATING-RATE FUND 2019-03-15 2019-05-30 5 5 1665. EATON VANCE FLOATING-RATE FUND 2019-03-15 2019-05-30 14835 14852 -17 -17 1569.81 EATON VANCE FLOATING-RATE FUND 2019-03-15 2019-11-05 13736 14003 -267 -267 5. FPA CRESCENT FUND 2015-07-02 2019-03-15 165 168 -3 -3 2035. FPA CRESCENT FUND 2014-04-03 2019-03-15 67033 68580 -1547 -1547 34. FPA CRESCENT FUND 2014-04-25 2019-03-15 1120 1138 -18 -18 295. FPA CRESCENT FUND 2015-12-22 2019-03-15 9717 9074 643 643 .43 FPA CRESCENT FUND 2018-03-27 2019-03-15 14 14 14 1. FPA CRESCENT FUND 2015-12-22 2019-03-15 33 32 1 1 204. FPA CRESCENT FUND 2016-11-23 2019-03-15 6720 6854 -134 -134 1. FPA CRESCENT FUND 2016-11-23 2019-03-15 33 34 -1 -1 113. FPA CRESCENT FUND 2018-01-02 2019-03-15 3722 3937 -215 -215 .11 FPA CRESCENT FUND 2018-03-27 2019-03-15 4 4 4 5. FPA CRESCENT FUND 2018-12-04 2019-03-15 165 165 165 .4 FPA CRESCENT FUND 2018-12-19 2019-03-15 13 12 1 1 1. FPA CRESCENT FUND 2017-12-20 2019-03-15 33 34 -1 -1 148. FPA CRESCENT FUND 2016-11-23 2019-03-15 4875 4973 -98 -98 113. FPA CRESCENT FUND 2017-12-20 2019-03-15 3722 3902 -180 -180 .17 FPA CRESCENT FUND 2018-12-19 2019-03-15 5 5 1. FPA CRESCENT FUND 2018-12-19 2019-03-15 33 30 3 3 102. FPA CRESCENT FUND 2018-07-03 2019-03-15 3360 3495 -135 -135 5. FPA CRESCENT FUND 2018-01-18 2019-03-15 165 152 13 13 228. FPA CRESCENT FUND 2016-11-23 2019-03-15 7510 7661 -151 -151 492. FPA CRESCENT FUND 2016-11-28 2019-03-15 16206 16477 -271 -271 1. FPA CRESCENT FUND 2016-11-29 2019-03-15 33 34 -1 -1 232. FPA CRESCENT FUND 2016-11-29 2019-03-15 7642 7774 -132 -132 170. FPA CRESCENT FUND 2016-11-30 2019-03-15 5600 5710 -110 -110 .1 FPA CRESCENT FUND 2016-11-30 2019-03-15 3 3 107. FPA CRESCENT FUND 2018-12-19 2019-03-15 3525 3190 335 335 .09 FPA CRESCENT FUND 2018-12-19 2019-03-15 3 3 189. FPA CRESCENT FUND 2016-12-21 2019-04-04 6309 6226 83 83 .79 FPA CRESCENT FUND 2016-11-30 2019-04-04 26 26 104. FPA CRESCENT FUND 2016-11-30 2019-04-04 3472 3493 -21 -21 1. FPA CRESCENT FUND 2016-12-21 2019-04-04 33 33 1. FPA CRESCENT FUND 2016-12-21 2019-04-04 33 33 1. FPA CRESCENT FUND 2016-12-21 2019-04-04 33 33 329. FPA CRESCENT FUND 2019-03-18 2019-04-04 10982 10982 10982 293. FPA CRESCENT FUND 2016-12-29 2019-04-04 9780 9587 193 193 .47 FPA CRESCENT FUND 2016-12-29 2019-05-30 15 15 157. FPA CRESCENT FUND 2018-01-02 2019-05-30 5090 5470 -380 -380 .12 FPA CRESCENT FUND 2016-11-30 2019-05-30 4 4 125. FPA CRESCENT FUND 2018-01-02 2019-05-30 4053 4355 -302 -302 1. FPA CRESCENT FUND 2018-01-02 2019-05-30 32 35 -3 -3 6. FPA CRESCENT FUND 2019-06-27 2019-06-27 198 198 .07 FPA CRESCENT FUND 2019-06-27 2019-06-27 2 2 253.26 FPA CRESCENT FUND 2016-12-29 2019-11-05 8596 8287 309 309 157. FPA CRESCENT FUND 2018-01-30 2019-11-05 5329 5553 -224 -224 1. FPA CRESCENT FUND 2018-01-30 2019-11-05 34 35 -1 -1 96.26 FPA CRESCENT FUND 2016-12-29 2019-11-05 707 3150 -2443 -2443 159. FPA CRESCENT FUND 2016-12-29 2019-11-05 1168 5202 -4034 -4034 95.26 FPA CRESCENT FUND 2018-01-02 2019-11-05 3233 3319 -86 -86 272.96 FPA CRESCENT FUND 2018-01-02 2019-11-05 9264 9510 -246 -246 .05 FIRST EAGLE GLOBAL FUND 2017-12-19 2019-03-15 3 3 3 86. FIRST EAGLE GLOBAL FUND 2018-01-12 2019-03-15 4838 4696 142 142 1. FIRST EAGLE GLOBAL FUND 2018-01-12 2019-03-15 56 55 1 1 526. FIRST EAGLE GLOBAL FUND 2018-01-12 2019-03-15 29593 28720 873 873 .48 FIRST EAGLE GLOBAL FUND 2018-12-13 2019-03-15 27 25 2 2 14. FIRST EAGLE GLOBAL FUND 2018-12-13 2019-03-15 788 735 53 53 .38 FIRST EAGLE GLOBAL FUND 2018-12-13 2019-03-15 21 20 1 1 245. FIRST EAGLE GLOBAL FUND 2018-12-13 2019-03-15 13784 12865 919 919 1316. FIRST EAGLE GLOBAL FUND 2018-01-02 2019-03-15 74038 78513 -4475 -4475 80. FIRST EAGLE GLOBAL FUND 2017-12-19 2019-03-15 4501 4501 4501 516. FIRST EAGLE GLOBAL FUND 2016-11-23 2019-03-15 29030 29247 -217 -217 2699. FIRST EAGLE GLOBAL FUND 2014-04-03 2019-03-15 151846 149956 1890 1890 169. FIRST EAGLE GLOBAL FUND 2014-12-17 2019-03-15 9508 8670 838 838 1. FIRST EAGLE GLOBAL FUND 2014-12-17 2019-03-15 56 54 2 2 1. FIRST EAGLE GLOBAL FUND 2014-12-17 2019-03-15 56 51 5 5 378. FIRST EAGLE GLOBAL FUND 2015-10-09 2019-03-15 21266 19909 1357 1357 1. FIRST EAGLE GLOBAL FUND 2015-10-09 2019-03-15 56 52 4 4 43. FIRST EAGLE GLOBAL FUND 2015-12-18 2019-03-15 2419 2202 217 217 2. FIRST EAGLE GLOBAL FUND 2015-12-18 2019-03-15 113 102 11 11 1. FIRST EAGLE GLOBAL FUND 2015-12-18 2019-03-15 56 54 2 2 18. FIRST EAGLE GLOBAL FUND 2015-12-21 2019-03-15 1013 922 91 91 436. FIRST EAGLE GLOBAL FUND 2016-11-28 2019-03-15 24529 24739 -210 -210 1. FIRST EAGLE GLOBAL FUND 2017-12-14 2019-03-15 56 56 19. FIRST EAGLE GLOBAL FUND 2016-11-29 2019-03-15 1069 1079 -10 -10 206. FIRST EAGLE GLOBAL FUND 2016-11-30 2019-03-15 11590 11697 -107 -107 204. FIRST EAGLE GLOBAL FUND 2016-12-15 2019-03-15 11477 11126 351 351 8. FIRST EAGLE GLOBAL FUND 2016-12-15 2019-03-15 450 436 14 14 1. FIRST EAGLE GLOBAL FUND 2016-12-15 2019-03-15 56 55 1 1 8320. FIRST EAGLE GLOBAL FUND 2016-12-29 2019-03-15 468083 454022 14061 14061 368. FIRST EAGLE GLOBAL FUND 2017-12-14 2019-03-15 20704 21642 -938 -938 18. FIRST EAGLE GLOBAL FUND 2017-12-14 2019-03-15 1013 1059 -46 -46 13. FIRST EAGLE GLOBAL FUND 2014-12-17 2019-03-15 731 667 64 64 .33 POLEN GROWTH FUND 2019-03-15 2019-04-04 10 10 1866. POLEN GROWTH FUND 2019-03-15 2019-04-04 56111 54189 1922 1922 .24 POLEN GROWTH FUND 2019-03-15 2019-05-30 7 7 .88 POLEN GROWTH FUND 2019-03-15 2019-05-30 26 26 575. POLEN GROWTH FUND 2019-03-15 2019-05-30 17296 16698 598 598 542.45 POLEN GROWTH FUND 2019-03-15 2019-11-05 17722 15753 1969 1969 2027. GATEWAY FUND 2018-01-02 2019-03-15 67195 68067 -872 -872 1. GATEWAY FUND 2018-01-02 2019-03-15 33 34 -1 -1 .71 GATEWAY FUND 2018-11-30 2019-03-15 24 23 1 1 527. GATEWAY FUND 2018-11-30 2019-03-15 17470 17502 -32 -32 3989. GATEWAY FUND 2018-11-30 2019-03-15 132235 132475 -240 -240 .75 GATEWAY FUND 2015-10-09 2019-03-15 25 22 3 3 1777. GATEWAY FUND 2016-12-29 2019-03-15 58908 54874 4034 4034 .09 GATEWAY FUND 2018-11-30 2019-03-15 3 3 1. GATEWAY FUND 2018-01-22 2019-05-30 33 33 .1 GATEWAY FUND 2019-04-04 2019-05-30 3 3 309. GATEWAY FUND 2018-01-22 2019-05-30 10076 10404 -328 -328 .58 GATEWAY FUND 2015-10-09 2019-05-30 19 17 2 2 292.89 GATEWAY FUND 2018-01-22 2019-11-05 10014 9862 152 152 1757. IVA WORLDWIDE FUND 2019-03-15 2019-04-04 29616 30115 -499 -499 .13 IVA WORLDWIDE FUND 2019-03-15 2019-04-04 2 2 .34 IVA WORLDWIDE FUND 2019-03-15 2019-05-30 6 6 542. IVA WORLDWIDE FUND 2019-03-15 2019-05-30 9030 9290 -260 -260 510.39 IVA WORLDWIDE FUND 2019-03-15 2019-11-05 8932 8748 184 184 .2 IVA WORLDWIDE FUND 2019-03-15 2019-11-05 3 3 278. LORD ABBETT FLOATING RATE FUND 2016-11-30 2019-03-15 2474 2546 -72 -72 18109. LORD ABBETT FLOATING RATE FUND 2018-01-02 2019-03-15 161170 166060 -4890 -4890 1. LORD ABBETT FLOATING RATE FUND 2016-11-29 2019-03-15 9 9 710. LORD ABBETT FLOATING RATE FUND 2016-11-29 2019-03-15 6319 6497 -178 -178 12928. LORD ABBETT FLOATING RATE FUND 2016-09-09 2019-03-15 115059 117903 -2844 -2844 .54 LORD ABBETT FLOATING RATE FUND 2016-09-09 2019-03-15 5 5 1778. LORD ABBETT FLOATING RATE FUND 2016-11-23 2019-03-15 15824 16251 -427 -427 1503. LORD ABBETT FLOATING RATE FUND 2016-11-28 2019-03-15 13377 13752 -375 -375 1. LORD ABBETT FLOATING RATE FUND 2016-11-28 2019-03-15 9 9 1. LORD ABBETT SHORT DURATION INCOME FUND 2016-12-30 2019-03-15 4 4 1. LORD ABBETT SHORT DURATION INCOME FUND 2015-05-29 2019-03-15 4 4 1. LORD ABBETT SHORT DURATION INCOME FUND 2015-08-31 2019-03-15 4 4 6918. LORD ABBETT SHORT DURATION INCOME FUND 2016-03-24 2019-03-15 28848 29817 -969 -969 1. LORD ABBETT SHORT DURATION INCOME FUND 2016-03-31 2019-03-15 4 4 1. LORD ABBETT SHORT DURATION INCOME FUND 2016-04-29 2019-03-15 4 4 2884. LORD ABBETT SHORT DURATION INCOME FUND 2016-11-23 2019-03-15 12026 12430 -404 -404 1. LORD ABBETT SHORT DURATION INCOME FUND 2016-11-28 2019-03-15 4 4 3191. LORD ABBETT SHORT DURATION INCOME FUND 2016-11-28 2019-03-15 13306 13753 -447 -447 1509. LORD ABBETT SHORT DURATION INCOME FUND 2016-11-29 2019-03-15 6293 6504 -211 -211 1752. LORD ABBETT SHORT DURATION INCOME FUND 2016-11-30 2019-03-15 7306 7551 -245 -245 58472. LORD ABBETT SHORT DURATION INCOME FUND 2016-12-29 2019-03-15 243828 251430 -7602 -7602 28360. LORD ABBETT SHORT DURATION INCOME FUND 2018-01-02 2019-03-15 118261 120530 -2269 -2269 2455. LORD ABBETT SHORT DURATION INCOME FUND 2018-12-04 2019-03-15 10237 10237 10237 384. LORD ABBETT SHORT DURATION INCOME FUND 2019-01-31 2019-03-15 1601 1597 4 4 391. LORD ABBETT SHORT DURATION INCOME FUND 2019-02-28 2019-03-15 1630 1630 .88 LORD ABBETT SHORT DURATION INCOME FUND 2019-02-28 2019-03-15 4 4 1. LORD ABBETT SHORT DURATION INCOME FUND 2015-06-30 2019-03-15 4 4 1. LORD ABBETT SHORT DURATION INCOME FUND 2015-04-30 2019-03-15 4 4 1. LORD ABBETT SHORT DURATION INCOME FUND 2015-02-27 2019-03-15 4 4 1. LORD ABBETT SHORT DURATION INCOME FUND 2014-04-03 2019-03-15 4 5 -1 -1 .11 LORD ABBETT SHORT DURATION INCOME FUND 2014-04-03 2019-03-15 1 -1 -1 9715. LORD ABBETT SHORT DURATION INCOME FUND 2014-04-03 2019-03-15 40512 44203 -3691 -3691 213. LORD ABBETT SHORT DURATION INCOME FUND 2014-04-03 2019-03-15 888 969 -81 -81 45. LORD ABBETT SHORT DURATION INCOME FUND 2014-04-04 2019-03-15 188 205 -17 -17 31. LORD ABBETT SHORT DURATION INCOME FUND 2014-04-18 2019-03-15 129 142 -13 -13 2449. LORD ABBETT SHORT DURATION INCOME FUND 2014-04-18 2019-03-15 10212 11143 -931 -931 309. LORD ABBETT SHORT DURATION INCOME FUND 2014-04-18 2019-03-15 1289 1406 -117 -117 593. LORD ABBETT SHORT DURATION INCOME FUND 2014-04-18 2019-03-15 2473 2698 -225 -225 333. LORD ABBETT SHORT DURATION INCOME FUND 2014-05-01 2019-03-15 1389 1515 -126 -126 31. LORD ABBETT SHORT DURATION INCOME FUND 2014-05-16 2019-03-15 129 141 -12 -12 1. LORD ABBETT SHORT DURATION INCOME FUND 2014-10-31 2019-03-15 4 5 -1 -1 1. LORD ABBETT SHORT DURATION INCOME FUND 2014-11-28 2019-03-15 4 5 -1 -1 13. LORD ABBETT SHORT DURATION INCOME FUND 2014-04-17 2019-04-04 54 59 -5 -5 .11 LORD ABBETT SHORT DURATION INCOME FUND 2019-03-29 2019-04-04 1. LORD ABBETT SHORT DURATION INCOME FUND 2014-04-17 2019-04-04 4 5 -1 -1 .05 LORD ABBETT SHORT DURATION INCOME FUND 2019-04-30 2019-05-30 1. LORD ABBETT SHORT DURATION INCOME FUND 2014-05-13 2019-05-30 4 5 -1 -1 3. LORD ABBETT SHORT DURATION INCOME FUND 2014-04-17 2019-05-30 13 14 -1 -1 .32 LORD ABBETT SHORT DURATION INCOME FUND 2019-03-29 2019-05-30 1 1 .57 LORD ABBETT SHORT DURATION INCOME FUND 2019-10-31 2019-11-05 2 2 .61 LORD ABBETT SHORT DURATION INCOME FUND 2019-09-30 2019-11-05 3 3 .6 LORD ABBETT SHORT DURATION INCOME FUND 2019-08-30 2019-11-05 3 3 196. LORD ABBETT SHORT DURATION INCOME FUND 2014-04-17 2019-11-05 825 896 -71 -71 1. LORD ABBETT SHORT DURATION INCOME FUND 2014-05-14 2019-11-05 4 5 -1 -1 1. LORD ABBETT SHORT DURATION INCOME FUND 2019-07-31 2019-11-05 4 4 .56 LORD ABBETT SHORT DURATION INCOME FUND 2019-07-31 2019-11-05 2 2 .1 LORD ABBETT SHORT DURATION INCOME FUND 2019-11-29 2019-12-19 353. MFS INTERNATIONAL VALUE FUND 2012-12-19 2019-03-15 15617 9976 5641 5641 .06 MFS INTERNATIONAL VALUE FUND 2017-12-19 2019-03-15 3 3 3 .22 MFS INTERNATIONAL VALUE FUND 2018-12-13 2019-03-15 10 9 1 1 363. MFS INTERNATIONAL VALUE FUND 2018-12-13 2019-03-15 16059 14752 1307 1307 199. MFS INTERNATIONAL VALUE FUND 2017-12-19 2019-03-15 8804 8804 8804 .82 MFS INTERNATIONAL VALUE FUND 2017-12-19 2019-03-15 36 36 36 824. MFS INTERNATIONAL VALUE FUND 2012-12-19 2019-04-04 36874 23286 13588 13588 .18 MFS INTERNATIONAL VALUE FUND 2017-12-19 2019-04-04 8 8 8 .21 MFS INTERNATIONAL VALUE FUND 2017-12-19 2019-04-04 9 9 9 254. MFS INTERNATIONAL VALUE FUND 2012-12-19 2019-05-30 11278 7178 4100 4100 .45 MFS INTERNATIONAL VALUE FUND 2017-12-19 2019-05-30 20 20 20 346.06 MFS INTERNATIONAL VALUE FUND 2012-12-19 2019-11-05 16493 9780 6713 6713 1063. TORTOISE MLP & PIPELINE FUND 2016-11-23 2019-03-15 13936 14112 -176 -176 1. TORTOISE MLP & PIPELINE FUND 2016-11-28 2019-03-15 13 13 438. TORTOISE MLP & PIPELINE FUND 2016-11-29 2019-03-15 5742 5631 111 111 1. TORTOISE MLP & PIPELINE FUND 2016-11-29 2019-03-15 13 13 149. TORTOISE MLP & PIPELINE FUND 2016-11-30 2019-03-15 1953 1980 -27 -27 12541. TORTOISE MLP & PIPELINE FUND 2016-12-29 2019-03-15 164413 169996 -5583 -5583 9627. TORTOISE MLP & PIPELINE FUND 2018-01-02 2019-03-15 126210 129453 -3243 -3243 917. TORTOISE MLP & PIPELINE FUND 2016-11-28 2019-03-15 12022 11935 87 87 .14 TORTOISE MLP & PIPELINE FUND 2016-01-06 2019-03-15 2 1 1 1 632. TORTOISE MLP & PIPELINE FUND 2016-01-06 2019-03-15 8286 5812 2474 2474 6703. TORTOISE MLP & PIPELINE FUND 2015-12-30 2019-03-15 87876 62243 25633 25633 219. TORTOISE MLP & PIPELINE FUND 2015-12-30 2019-03-15 2871 2086 785 785 115. MATTHEWS ASIA DIVIDEND FUND 2019-03-15 2019-04-04 2000 1981 19 19 388. MATTHEWS ASIA DIVIDEND FUND 2018-12-12 2019-04-04 6747 6363 384 384 .07 MATTHEWS ASIA DIVIDEND FUND 2017-12-19 2019-04-04 1 1 1 158. MATTHEWS ASIA DIVIDEND FUND 2018-12-12 2019-04-04 2748 2591 157 157 .05 MATTHEWS ASIA DIVIDEND FUND 2017-12-19 2019-04-04 1 1 1 89. MATTHEWS ASIA DIVIDEND FUND 2018-09-27 2019-04-04 1548 1523 25 25 140. MATTHEWS ASIA DIVIDEND FUND 2018-06-28 2019-04-04 2435 2498 -63 -63 .01 MATTHEWS ASIA DIVIDEND FUND 2017-12-19 2019-04-04 140. MATTHEWS ASIA DIVIDEND FUND 2018-06-28 2019-04-04 2435 2520 -85 -85 .51 MATTHEWS ASIA DIVIDEND FUND 2017-12-19 2019-04-04 9 9 9 31. MATTHEWS ASIA DIVIDEND FUND 2017-12-19 2019-04-04 539 539 539 .18 MATTHEWS ASIA DIVIDEND FUND 2017-12-19 2019-05-30 3 3 3 .15 MATTHEWS ASIA DIVIDEND FUND 2019-03-15 2019-05-30 2 3 -1 -1 67. MATTHEWS ASIA DIVIDEND FUND 2018-12-12 2019-05-30 1083 1099 -16 -16 260. MATTHEWS ASIA DIVIDEND FUND 2016-11-23 2019-05-30 4204 4164 40 40 .15 MATTHEWS ASIA DIVIDEND FUND 2019-03-15 2019-05-30 2 3 -1 -1 240. MATTHEWS ASIA DIVIDEND FUND 2016-11-23 2019-11-05 4202 3843 359 359 1. MATTHEWS ASIA DIVIDEND FUND 2016-12-29 2019-11-05 18 15 3 3 71.82 MATTHEWS ASIA DIVIDEND FUND 2016-12-29 2019-11-05 1258 1110 148 148 236. MERGER FUND/THE 2016-12-29 2019-03-15 3922 3689 233 233 244. MERGER FUND/THE 2016-11-23 2019-03-15 4055 3807 248 248 1. MERGER FUND/THE 2016-11-28 2019-03-15 17 16 1 1 334. MERGER FUND/THE 2016-11-29 2019-03-15 5551 5197 354 354 389. MERGER FUND/THE 2016-11-30 2019-03-15 6465 6053 412 412 1. MERGER FUND/THE 2016-12-29 2019-03-15 17 16 1 1 5044. MERGER FUND/THE 2016-12-29 2019-03-15 83831 78842 4989 4989 1. MERGER FUND/THE 2016-12-29 2019-03-15 17 16 1 1 195. MERGER FUND/THE 2018-03-27 2019-03-15 3241 3241 3241 442. MERGER FUND/THE 2018-11-30 2019-03-15 7346 7514 -168 -168 .73 MERGER FUND/THE 2018-12-28 2019-03-15 12 12 .82 MERGER FUND/THE 2018-12-28 2019-03-15 14 13 1 1 442. MERGER FUND/THE 2018-12-28 2019-03-15 7346 7187 159 159 1. MERGER FUND/THE 2016-12-29 2019-03-15 17 16 1 1 441. MERGER FUND/THE 2016-12-29 2019-03-15 7329 6893 436 436 170. MERGER FUND/THE 2018-12-28 2019-03-15 2825 2764 61 61 271. MERGER FUND/THE 2018-12-28 2019-03-15 4504 4406 98 98 1. MERGER FUND/THE 2018-12-28 2019-03-15 17 17 170. MERGER FUND/THE 2018-12-28 2019-03-15 2825 2764 61 61 .78 MERGER FUND/THE 2016-12-29 2019-03-15 13 12 1 1 442. MERGER FUND/THE 2016-12-29 2019-03-15 7346 6909 437 437 1396. MERGER FUND/THE 2016-12-29 2019-03-15 23202 21821 1381 1381 1. MERGER FUND/THE 2016-12-29 2019-03-15 17 16 1 1 705. MERGER FUND/THE 2016-11-28 2019-03-15 11717 10992 725 725 574. MERGER FUND/THE 2016-11-23 2019-03-15 9540 8955 585 585 679. MERGER FUND/THE 2014-09-24 2019-03-15 11285 11128 157 157 225. MERGER FUND/THE 2016-09-09 2019-03-15 3740 3490 250 250 43. MERGER FUND/THE 2014-12-30 2019-03-15 715 671 44 44 1. MERGER FUND/THE 2014-12-30 2019-03-15 17 16 1 1 2336. MERGER FUND/THE 2015-10-09 2019-03-15 38824 36258 2566 2566 1. MERGER FUND/THE 2015-10-09 2019-03-15 17 16 1 1 1. MERGER FUND/THE 2015-12-28 2019-03-15 17 16 1 1 24. MERGER FUND/THE 2015-12-28 2019-03-15 399 366 33 33 1. MERGER FUND/THE 2015-12-28 2019-03-15 17 15 2 2 40. MERGER FUND/THE 2015-12-29 2019-03-15 665 610 55 55 482. MERGER FUND/THE 2016-03-24 2019-03-15 8011 7409 602 602 442. MERGER FUND/THE 2018-12-20 2019-05-30 7333 7536 -203 -203 177. MERGER FUND/THE 2018-11-30 2019-05-30 2936 3009 -73 -73 .5 MERGER FUND/THE 2019-04-04 2019-05-30 8 8 1. MERGER FUND/THE 2019-11-05 2019-11-05 17 17 .59 MERGER FUND/THE 2019-11-05 2019-11-05 10 10 1. MERGER FUND/THE 2019-11-05 2019-11-05 17 17 442. MERGER FUND/THE 2019-11-05 2019-11-05 7346 7576 -230 -230 1. MERGER FUND/THE 2019-11-05 2019-11-05 17 17 2527.24 MERGER FUND/THE 2018-11-30 2019-11-05 43317 42963 354 354 1. MERGER FUND/THE 2019-11-05 2019-11-05 17 17 1. MERGER FUND/THE 2019-11-05 2019-11-05 17 17 6674.17 MERGER FUND/THE 2018-11-30 2019-12-20 115530 113461 2069 2069 .33 MERGER FUND/THE 2019-04-04 2019-12-20 6 5 1 1 9610.08 MERGER FUND/THE 2019-04-04 2019-12-20 166351 160200 6151 6151 3269.41 MERGER FUND/THE 2016-12-29 2019-12-20 56593 51104 5489 5489 223. NUVEEN SHORT DURATION HI 2019-03-29 2019-04-04 2308 2310 -2 -2 1. NUVEEN SHORT DURATION HI 2019-03-29 2019-04-04 10 10 6054. NUVEEN SHORT DURATION HI 2019-03-15 2019-04-04 62659 62356 303 303 .54 NUVEEN SHORT DURATION HI 2019-03-15 2019-04-04 6 6 78. NUVEEN SHORT DURATION HI 2019-02-28 2019-04-04 807 800 7 7 .45 NUVEEN SHORT DURATION HI 2018-12-04 2019-04-04 5 5 5 151. NUVEEN SHORT DURATION HI 2016-09-09 2019-04-04 1563 1561 2 2 1. NUVEEN SHORT DURATION HI 2016-09-09 2019-04-04 10 10 1. NUVEEN SHORT DURATION HI 2019-03-29 2019-04-04 10 10 .16 NUVEEN SHORT DURATION HI 2019-03-29 2019-04-04 2 2 1. NUVEEN SHORT DURATION HI 2016-09-09 2019-04-04 10 10 151. NUVEEN SHORT DURATION HI 2016-09-09 2019-04-04 1563 1569 -6 -6 223. NUVEEN SHORT DURATION HI 2019-04-24 2019-04-24 2308 2321 -13 -13 1. NUVEEN SHORT DURATION HI 2019-04-30 2019-04-30 10 10 .19 NUVEEN SHORT DURATION HI 2019-04-30 2019-04-30 2 2 1. NUVEEN SHORT DURATION HI 2019-04-30 2019-04-30 10 10 90. NUVEEN SHORT DURATION HI 2019-04-30 2019-04-30 932 936 -4 -4 364. NUVEEN SHORT DURATION HI 2016-09-09 2019-05-30 3811 3782 29 29 .27 NUVEEN SHORT DURATION HI 2018-12-04 2019-05-30 3 3 3 .55 NUVEEN SHORT DURATION HI 2018-12-04 2019-05-30 6 6 6 1812. NUVEEN SHORT DURATION HI 2019-03-15 2019-05-30 18972 18664 308 308 56. NUVEEN SHORT DURATION HI 2019-05-31 2019-05-31 580 587 -7 -7 .36 NUVEEN SHORT DURATION HI 2019-05-31 2019-05-31 4 4 1. NUVEEN SHORT DURATION HI 2019-07-31 2019-11-05 11 10 1 1 102. NUVEEN SHORT DURATION HI 2019-05-31 2019-11-05 1073 1069 4 4 304. NUVEEN SHORT DURATION HI 2019-06-28 2019-11-05 3198 3189 9 9 53.76 NUVEEN SHORT DURATION HI 2019-07-31 2019-11-05 566 566 .8 NUVEEN SHORT DURATION HI 2019-07-31 2019-11-05 8 8 102. NUVEEN SHORT DURATION HI 2019-07-31 2019-11-05 1073 1073 303.47 NUVEEN SHORT DURATION HI 2019-08-30 2019-11-05 3192 3217 -25 -25 306.07 NUVEEN SHORT DURATION HI 2019-09-30 2019-11-05 3220 3226 -6 -6 307.37 NUVEEN SHORT DURATION HI 2019-10-31 2019-11-05 3234 3237 -3 -3 148.24 NUVEEN SHORT DURATION HI 2019-07-31 2019-11-05 1560 1560 1. RIVERNORTH DOUBLE LINE 2016-09-24 2019-03-15 10 11 -1 -1 142. RIVERNORTH DOUBLE LINE 2018-03-27 2019-03-15 1437 1437 1437 .57 RIVERNORTH DOUBLE LINE 2018-03-27 2019-03-15 6 6 6 .43 RIVERNORTH DOUBLE LINE 2019-02-27 2019-03-15 4 4 20. RIVERNORTH DOUBLE LINE 2019-02-27 2019-03-15 202 202 1. RIVERNORTH DOUBLE LINE 2016-11-23 2019-03-15 10 10 194. RIVERNORTH DOUBLE LINE 2016-03-24 2019-03-15 1963 1985 -22 -22 2716. RIVERNORTH DOUBLE LINE 2016-03-24 2019-03-15 27486 27788 -302 -302 20. RIVERNORTH DOUBLE LINE 2016-12-29 2019-03-15 202 209 -7 -7 332. RIVERNORTH DOUBLE LINE 2018-03-27 2019-03-15 3360 3360 3360 .32 RIVERNORTH DOUBLE LINE 2018-03-27 2019-03-15 3 3 3 1381. RIVERNORTH DOUBLE LINE 2018-12-04 2019-03-15 13976 13976 13976 .43 RIVERNORTH DOUBLE LINE 2019-03-29 2019-03-29 4 4 162. RIVERNORTH DOUBLE LINE 2016-04-07 2019-04-04 1644 1659 -15 -15 1. RIVERNORTH DOUBLE LINE 2016-04-07 2019-04-04 10 10 31. RIVERNORTH DOUBLE LINE 2016-04-07 2019-04-04 315 317 -2 -2 1. RIVERNORTH DOUBLE LINE 2016-10-08 2019-04-04 10 11 -1 -1 .06 RIVERNORTH DOUBLE LINE 2018-03-27 2019-04-04 1 1 1 1. RIVERNORTH DOUBLE LINE 2016-12-07 2019-04-04 10 10 22. RIVERNORTH DOUBLE LINE 2019-03-18 2019-04-04 223 223 223 .07 RIVERNORTH DOUBLE LINE 2019-03-29 2019-04-04 1 1 1. RIVERNORTH DOUBLE LINE 2016-11-23 2019-04-04 10 10 .19 RIVERNORTH DOUBLE LINE 2016-03-24 2019-04-04 2 2 2413. RIVERNORTH DOUBLE LINE 2016-03-24 2019-04-04 24492 24688 -196 -196 196. RIVERNORTH DOUBLE LINE 2016-12-29 2019-04-04 1989 2050 -61 -61 1. RIVERNORTH DOUBLE LINE 2016-03-24 2019-04-04 10 10 1. RIVERNORTH DOUBLE LINE 2016-05-03 2019-04-04 10 10 1. RIVERNORTH DOUBLE LINE 2016-04-19 2019-04-04 10 10 162. RIVERNORTH DOUBLE LINE 2016-05-03 2019-04-04 1644 1661 -17 -17 .07 RIVERNORTH DOUBLE LINE 2019-04-30 2019-04-30 1 1 663. RIVERNORTH DOUBLE LINE 2016-11-28 2019-05-30 6756 6940 -184 -184 1. RIVERNORTH DOUBLE LINE 2016-11-23 2019-05-30 10 10 .17 RIVERNORTH DOUBLE LINE 2016-03-24 2019-05-30 2 2 263. RIVERNORTH DOUBLE LINE 2016-12-29 2019-05-30 2680 2750 -70 -70 8.75 RIVERNORTH DOUBLE LINE 2019-06-28 2019-11-05 90 90 1. RIVERNORTH DOUBLE LINE 2019-06-28 2019-11-05 10 10 173.15 RIVERNORTH DOUBLE LINE 2019-06-28 2019-11-05 1780 1783 -3 -3 1. RIVERNORTH DOUBLE LINE 2019-06-28 2019-11-05 10 10 1.11 RIVERNORTH DOUBLE LINE 2019-06-28 2019-11-05 11 11 183. RIVERNORTH DOUBLE LINE 2019-07-31 2019-11-05 1881 1887 -6 -6 .48 RIVERNORTH DOUBLE LINE 2019-07-31 2019-11-05 5 5 166.61 RIVERNORTH DOUBLE LINE 2019-08-30 2019-11-05 1713 1724 -11 -11 183.77 RIVERNORTH DOUBLE LINE 2019-09-30 2019-11-05 1889 1897 -8 -8 177.19 RIVERNORTH DOUBLE LINE 2019-10-31 2019-11-05 1822 1823 -1 -1 1483. VANGUARD DIVIDEND APPRECIATION ETF 2016-02-02 2019-03-15 161386 151667 9719 9719 1483. VANGUARD DIVIDEND APPRECIATION ETF 2016-02-02 2019-03-15 161386 151666 9720 9720 1167. VANGUARD DIVIDEND APPRECIATION ETF 2016-02-02 2019-03-15 126997 119349 7648 7648 25. VANGUARD DIVIDEND APPRECIATION ETF 2016-12-29 2019-03-15 2721 2137 584 584 531. VANGUARD DIVIDEND APPRECIATION ETF 2016-01-20 2019-03-15 57785 54306 3479 3479 442. VANGUARD DIVIDEND APPRECIATION ETF 2016-12-29 2019-04-04 48671 37782 10889 10889 137. VANGUARD DIVIDEND APPRECIATION ETF 2016-12-29 2019-05-30 14971 11711 3260 3260 129. VANGUARD DIVIDEND APPRECIATION ETF 2015-10-09 2019-11-05 15446 9969 5477 5477 94. VANGUARD FTSE DEVELOPED MARKETS ETF 2018-01-02 2019-04-04 3912 4204 -292 -292 94. VANGUARD FTSE DEVELOPED MARKETS ETF 2018-01-02 2019-04-04 3912 4247 -335 -335 277. VANGUARD FTSE DEVELOPED MARKETS ETF 2019-03-15 2019-04-04 11529 11400 129 129 264. VANGUARD FTSE DEVELOPED MARKETS ETF 2016-09-09 2019-04-04 10988 9825 1163 1163 3. VANGUARD FTSE DEVELOPED MARKETS ETF 2016-12-29 2019-04-04 125 109 16 16 225. VANGUARD FTSE DEVELOPED MARKETS ETF 2016-12-29 2019-05-30 9017 8201 816 816 212. VANGUARD FTSE DEVELOPED MARKETS ETF 2016-03-24 2019-11-05 9108 7462 1646 1646 568. VANGUARD INTL EQTY INDX 2019-03-15 2019-04-04 24579 24127 452 452 175. VANGUARD INTL EQTY INDX 2019-03-15 2019-05-30 7090 7434 -344 -344 165. VANGUARD INTL EQTY INDX 2015-01-30 2019-11-05 7082 6606 476 476 458. VANGUARD TOTAL STOCK MARKET ETF 2019-03-15 2019-04-04 67310 66289 1021 1021 141. VANGUARD TOTAL STOCK MARKET ETF 2019-03-15 2019-05-30 20080 20408 -328 -328 133. VANGUARD TOTAL STOCK MARKET ETF 2015-10-09 2019-11-05 20785 13777 7008 7008 CAPITAL GAIN DIVIDENDS P 58535 202987 false 613218 12615290 0.048609 543916 8654771 0.062846 278524 2660464 0.10469 169829 2637457 0.064391 199064 2867139 0.069429 0.349965 0.069993 14276598 999262 4601 1003863 441888 9202 0 9202 0 9202 1472 5458 6930 X 0 2272 0 0 false false false false false false false true true DE true false false false false true BANK OF AMERICA NA 8888663275 114 WEST 47TH STREET NY8-114-07-07 NEW YORK NY 100361510 false false false false false false false false false false false false false false false false false false false false false LAWRENCE HALL GUFFEY 62 BEACH STREET PHA NEW YORK NY 10013 DIRECTOR/PRESIDENT 0 0 LUCY MACKILLIGIN GUFFEY 62 BEACH STREET PHA NEW YORK NY 10013 DIRECTOR/PRESIDENT 0 0 HAMISH BURT 860 WASHINGTON ST 6TH FL NEW YORK NY 10014 DIRECTOR 0 0 NONE 0 NONE 0 14387518 106490 0 14494008 0 0 14494008 217410 14276598 713830 713830 9202 9202 704628 0 704628 0 704628 441888 0 0 0 0 441888 0 441888 704628 0 0 74563 38876 153624 117413 1251 385727 441888 0 0 0 441888 0 262740 262740 122987 0 0 0 0 0 0 0 122987 0 4323 117413 1251 LAWERENCE HALL GUFFEY NONE X MASSACHUSETTS GENERAL HOSPITAL 125 NASHUA STREET SUITE 540 BOSTON MA 02114 N/A PC UNRESTRICTED GENERAL 1000 SPONSORS FOR EDUCATIONAL OPPORTUNITY 55 EXCHANGE PLACE NEW YORK NY 10005 N/A PC UNRESTRICTED GENERAL 7500 NEW YORK - PRESBYTERIAN FD 525 E 68TH ST NEW YORK NY 10065 N/A PC UNRESTRICTED GENERAL 15000 HEAF 650 FIRST AVE NEW YORK NY 10016 N/A PC UNRESTRICTED GENERAL 30000 GABRIELLE'S ANGEL FOUNDATION 142 W 57TH FL 11 NEW YORK NY 10019 N/A PC UNRESTRICTED GENERAL 27500 Paris Review Foundation Inc 62 WHITE STREET 4TH FLOOR New York NY 100015537 N/A PC UNRESTRICTED GENERAL 136250 AMERICAN MUSUEM OF NATURAL HISTORY 79TH ST CENTRAL PARK W NEW YORK NY 10024 N/A PC SUPPORT EARLY CHILDHOOD 25000 GROUP FOR THE EAST END PO BOX 1792 SOUTHOLD NY 11971 N/A PC UNRESTRICTED GENERAL 1000 WINDSOR CHARITABLE FOUNDATION 3125 WINDSOR BLVD VERO BEACH FL 32963 N/A PC UNRESTRICTED GENERAL 10000 WGBO 54 PARK PLACE NEWARK NJ 07102 N/A PC UNRESTRICTED GENERAL 1000 PADDLERS FOR HUMANITY PADDLERS FOR HUMANITY EAST HAMPTON NY 11937 N/A PC UNRESTRICTED GENERAL 1000 Navy Seal Foundation Inc PO BOX 5965 Virginia Beach VA 234710965 N/A PC UNRESTRICTED GENERAL 50000 TWO EAST 62ND ST FDN 2 EAST 62ND ST NEW YORK NY 10131 N/A PC UNRESTRICTED GENERAL 25000 COMMON SENSE 860 WASHINGTON ST NEW YORK NY 10014 N/A PC UNRESTRICTED GENERAL 25000 ENTERPRISE COMMUNITY PARTNERS 1 WHITEHALL STREET NEW YORK NY 10004 N/A PC UNRESTRICTED GENERAL 5000 INDIAN RIVER HOSPITAL FDN 1000 36TH ST VERO BEACH FL 32960 N/A PC UNRESTRICTED GENERAL 10000 PRINCES TRUST AMERICA 45 W 27TH ST FL 11 NEW YORK NY 10001 N/A PC UNRESTRICTED GENERAL 50000 420250 14 208900 18 202987 411887 411887 false false false false false false false false false false X X 1 L H GUFFY 2015 CLAT PO BOX 1501 PENNINGTON NJ 08534 6992 X TAX PREPARATION FEE 2500 2500 R3331D106 NET1 INTL HLDG AS 88963 R0028G103 ICE GROUP AS 3000250 1204021 589509207 MERGER FUND-INST #30 258620103 DOUBLELINE TOTAL RET 921908844 VANGUARD DIVIDEND AP AT COST 490158 750578 922042858 VANGUARD INTL EQTY I AT COST 297599 343664 67065Q699 NUVEEN SHORT DURATIO AT COST 975399 1035145 76881N202 RIVERNORTH DOUBLE LI AT COST 438621 437957 32008F606 FIRST EAGLE GLOBAL F 30254T759 FPA CRESCENT FUND AT COST 405810 443007 367829884 GATEWAY FUND AT COST 432478 475102 922908769 VANGUARD TOTAL STOCK AT COST 738720 1019843 56166Y404 TORTOISE MLP & 55273E822 MFS INTERNATIONAL VA AT COST 330222 557100 543916167 LORD ABBETT FLOATING 577125107 MATTHEWS ASIA PACIFI 921943858 VANGUARD FTSE DEVELO AT COST 359870 438882 543916464 LORD ABBETT SHORT 00203H859 AQR MANAGED FUTURES 00203H792 AQR MULTI STRATEGY BEGBALANCE DIAMETER ONSHORE FD LP 6AQH70000 DIAMETER ONSHORE FUN AT COST 2500000 2858198 6AQK70000 TELAMON CAPITAL FUND AT COST 500000 560455 6AQO40000 ARCADIA BMC INVESTOR AT COST 404560 453642 09257V201 BLACKSTONE ALT MULTI AT COST 542399 536547 277911491 EATON VANCE FLOATING AT COST 655581 650437 360873657 POLEN GROWTH FUND AT COST 737519 886090 277902458 EATON VANCE ATL CAPI AT COST 737517 880013 45070A206 IVA WORLDWIDE FUND AT COST 409725 399446 577130750 MATTHEWS ASIA DIVIDE AT COST 219393 257295 03875R205 ARBITRAGE FUND/THE AT COST 472997 473707 TYE INCOME ADJUSTMENT 63 COST ADJUSTMENT 66714 OTHER INVESTMENT FEE 4795 4795 0 FROM PARTNERSHIP/S-CORP 94124 0 FROM PARTNERSHIP/S-CORP 212517 INVESTMNT MNGMNT FEES (NON-DED 47845 28707 19138 FOREIGN TAXES 3162 3162 0 EXCISE TAX - PRIOR YEAR 17000 0 0 EXCISE TAX ESTIMATES 150 0 0 FOREIGN TAXES ON QUALIFIED FOR 30 30 0 FOREIGN TAXES ON NONQUALIFIED 1067 1067 0