Public Funds

Gim Cayman Trust Ii

Alternative Investment Strategies Fund JPY Hedged Class A Units 21-09-2018 JPY 0.9242
Alternative Investment Strategies Fund JPY Hedged Class B Units 21-09-2018 JPY 0.8972
Alternative Investment Strategies Fund JPY Non-hedged Class A units 21-09-2018 JPY 0.9277
Alternative Investment Strategies Fund JPY Non-hedged Class B Units 21-09-2018 JPY 0.8996

Nikko Edmond de Rothschild Dynamic Funds

Nikko Edmond de Rothschild Dynamic Funds - Nikko Dynamic Bond 21-09-2018 JPY 0.3637
Nikko Edmond de Rothschild Dynamic Funds - Nikko Dynamic Equity 21-09-2018 JPY 1.0094

Nikko Global Funds

Nikko Global Funds - Alternative Fund 21-09-2018 JPY 0.6861
Nikko Global Funds - Commodity Fund 20-09-2018 JPY 0.6614
Nikko Global Funds - Emerging Equity Fund 21-09-2018 JPY 1.1688
Nikko Global Funds - Global Bond Fund 21-09-2018 JPY 0.9728
Nikko Global Funds - Global Equity Fund 21-09-2018 JPY 1.4538
Nikko Global Funds - High Yield Bond Fund 21-09-2018 JPY 1.2367
Nikko Global Funds - Japan Large Cap Equity Fund 21-09-2018 JPY 1.2579
Nikko Global Funds - Japan Small Cap Equity Fund 21-09-2018 JPY 1.6840
Nikko Global Funds - Japanese Bond Fund 21-09-2018 JPY 1.0143
Nikko Global Funds - Real Estate (REIT) Fund 21-09-2018 JPY 0.9751

Nikko Money Market Fund

Nikko Money Market Fund - Australian Dollar Portfolio 26-09-2018 AUD 0.0100
Nikko Money Market Fund - Canadian Dollar Portfolio 26-09-2018 CAD 0.0100
Nikko Money Market Fund - New Zealand Dollar Portfolio 26-09-2018 NZD 0.0100
Nikko Money Market Fund - US Dollar Portfolio 26-09-2018 USD 0.0100

Nikko Offshore Funds

Nikko Offshore Funds - Nikko Rockefeller Global Energy FundSM 21-09-2018 JPY 9,741.0000

Nikko Real Asset Fund

Nikko Real Asset Fund - AUD Portfolio 20-09-2018 AUD 114.5700
Nikko Real Asset Fund - EUR Portfolio 20-09-2018 EUR 84.8300
Nikko Real Asset Fund - JPY Portfolio 20-09-2018 JPY 8,726.0000
Nikko Real Asset Fund - USD Portfolio 20-09-2018 USD 101.3100

Nikko Skill Investments Trust (Lux)

Nikko Skill Investments Trust (Lux) - L Plus Tangent 21-09-2018 JPY 8,092.5600

Nikko World Trust

Nikko World Trust - Nikko BlackRock High Quality Allocation Fund (USD) 20-09-2018 USD 111.6900
Nikko World Trust - Nikko Green New Deal Fund - JPY Hedged Class 21-09-2018 JPY 1.0261
Nikko World Trust - Nikko Green New Deal Fund - JPY Non-hedged Class 21-09-2018 JPY 1.2796
Nikko World Trust - World Hybrid Securities Fund - USD CLASS 21-09-2018 USD 94.9500

Nippon Offshore Funds

Emerging Currency Bond Fund JPY Units 21-09-2018 JPY 0.6655
Emerging Market Corporate Bond Open Fund - Class A Accumulation 21-09-2018 JPY 1.1912
Emerging Market Corporate Bond Open Fund - Class A Distribution 21-09-2018 JPY 0.6766
Emerging Market Corporate Bond Open Fund - Class B Accumulation 21-09-2018 JPY 1.1499
Emerging Market Corporate Bond Open Fund - Class B Distribution 21-09-2018 JPY 0.6385
Emerging Market Corporate Bond Open Fund - Yen Non-Hedged Accumulation Class A Unit 21-09-2018 JPY 1.3966
Emerging Market Corporate Bond Open Fund - Yen Non-Hedged Accumulation Class B Unit 21-09-2018 JPY 1.3489
Emerging Market Corporate Bond Open Fund - Yen Non-Hedged Distribution Class A Unit 21-09-2018 JPY 1.0023
Emerging Market Corporate Bond Open Fund - Yen Non-Hedged Distribution Class B Unit 21-09-2018 JPY 0.9608
Emerging Markets Mid-Small Cap Active Equity Fund - Class A Accumulation 21-09-2018 JPY 1.7425
Emerging Markets Mid-Small Cap Active Equity Fund - Class A Distribution 21-09-2018 JPY 0.9736
Emerging Markets Mid-Small Cap Active Equity Fund - Class B Accumulation 21-09-2018 JPY 1.6754
Emerging Markets Mid-Small Cap Active Equity Fund - Class B Distribution 21-09-2018 JPY 0.9221
Global High Yield Bond Fund - AUD Hedged Class 21-09-2018 AUD 6.2800
Global Smart Allocation Bond Fund - USD Units 21-09-2018 USD 104.1900
Global Smart Allocation Bond Fund - Yen Hedged Units 1409 (for FoF Investors) 21-09-2018 JPY 0.9692
Global Smart Allocation Bond Fund - Yen Hedged Units 1411 (for FoF Investors) 21-09-2018 JPY 0.9718
Global Smart Allocation Bond Fund - Yen Hedged Units 1502 (for FoF Investors) 21-09-2018 JPY 0.9374
Global Smart Allocation Bond Fund - Yen Hedged Units 1503 (for FoF Investors) 21-09-2018 JPY 0.9366
Global Smart Allocation Bond Fund - Yen Hedged Units 1506 (for FoF Investors) 21-09-2018 JPY 0.9527
Global Smart Allocation Bond Fund - Yen Hedged Units 1508 (for FoF Investors) 21-09-2018 JPY 0.9589
Global Smart Allocation Bond Fund - Yen Hedged Units 1511 (for FoF Investors) 21-09-2018 JPY 0.9700
Global Smart Allocation Bond Fund - YEN Hedged Unit1310 21-09-2018 JPY 10,042.0000
GW Select Fund Aggressive Type - Class A 21-09-2018 JPY 1.0330
GW Select Fund Aggressive Type - Class B 21-09-2018 JPY 0.9791
GW Select Fund Moderate Type - Class B 21-09-2018 JPY 0.8876
GW Select Moderate Type - Class A 21-09-2018 JPY 0.9333
Nikko Global Tri-Asset Fund - Accumulating Class A 21-09-2018 JPY 1.5459
Nikko Global Tri-Asset Fund - Accumulating Class B 21-09-2018 JPY 1.4611
Nikko Global Tri-Asset Fund - Distributing Class A 21-09-2018 JPY 0.4020
Nikko Global Tri-Asset Fund - Distributing Class B 21-09-2018 JPY 0.3536
Tri Sector High Income Bond Fund - Yen Non-Hedged Accumulation Class A 21-09-2018 JPY 1.0330
Tri Sector High Income Bond Fund - Yen Non-Hedged Distribution Class A 21-09-2018 JPY 0.9516
Tri-Sector High Income Bond Fund - Yen Hedged Accumulation Class A 21-09-2018 JPY 1.0073
Tri-Sector High Income Bond Fund - Yen Hedged Accumulation Class B 21-09-2018 JPY 1.0057
Tri-Sector High Income Bond Fund - Yen Hedged Distribution Class A 21-09-2018 JPY 0.6767
Tri-Sector High Income Bond Fund - Yen Hedged Distribution Class B 21-09-2018 JPY 0.6385
Tri-Sector High Income Bond Fund - Yen Non-Hedged Accumulation Class B 21-09-2018 JPY 1.0319
Tri-Sector High Income Bond Fund - Yen Non-Hedged Distribution Class B 21-09-2018 JPY 0.8934
TM Emerging Corporate Bond Fund - JPY Hedged Unit 21-09-2018 JPY 7,718.0000
TM Emerging Corporate Bond Fund - USD Unit 21-09-2018 USD 7.9500

Premium Funds

Premium Funds - Capital US Growth and Income Fund -Class US$ 20-09-2018 USD 22.4400
Premium Funds - Capital US Growth and Income Fund -Class Yen 20-09-2018 JPY 2,623.0000
Premium Funds - European High Yield - Class EUR Unit 20-09-2018 EUR 13.8800
Premium Funds - European High Yield - Class JPY (Hedged) Unit 20-09-2018 JPY 1,349.0000
Premium Funds - European High Yield - Class USD (Hedged) Unit 20-09-2018 USD 14.1800
Premium Funds - Global Core Equity Fund - Class JPY (Hedged) Unit 20-09-2018 JPY 1,105.0000
Premium Funds - Global Core Equity Fund - Class USD Unit 20-09-2018 USD 11.3700
Premium Funds - Global Corporate Bond - Class AUD (Hedged) Unit 20-09-2018 AUD 12.0600
Premium Funds - Global Corporate Bond - Class EUR (Hedged) Unit 20-09-2018 EUR 10.4300
Premium Funds - Global Corporate Bond - Class JPY (Hedged) Unit 20-09-2018 JPY 1,041.0000
Premium Funds - Global Corporate Bond - Class USD Unit 20-09-2018 USD 11.1900
Premium Funds - Schroder Japanese Equity Fund 20-09-2018 USD 15.8200
Premium Funds - Wealth Core Portfolio Advanced Type - Class USD Unit 20-09-2018 USD 9.8100
Premium Funds - Wealth Core Portfolio Conservative Type - Class JPY (Hedged) Unit 20-09-2018 JPY 1,004.0000
Premium Funds - Wealth Core Portfolio Conservative Type - Class USD Inheritance Unit 20-09-2018 USD 9.8000
Premium Funds - Wealth Core Portfolio Conservative Type - Class USD Unit 20-09-2018 USD 10.6700
Premium Funds - Wealth Core Portfolio Growth Type - Class JPY (Hedged) Unit 20-09-2018 JPY 1,141.0000
Premium Funds - Wealth Core Portfolio Growth Type - Class USD Inheritance Unit 20-09-2018 USD 9.0700
Premium Funds - Wealth Core Portfolio Growth Type - Class USD Unit 20-09-2018 USD 11.8800

Quantic Trust

Quantic Trust - USD Target Maturity Bond Fund 201703 19-09-2018 USD 98.1400

Red Arc Global Investments (Cayman) Trust

Knock-in Type/Lowest Price Reference Nikkei 225 Linked Fund without Target Auto Redemption (JPY) (2009-02) 21-09-2018 JPY 31,201.0000
Principal Protected Dow Jones Industrial Average Linked Fund without Target Auto Redemption (USD) (2008-12) 21-09-2018 USD 161.8200
Principal Protected Nikkei 225 Linked Fund without Target Auto Redemption (AUD) (2009-01) 21-09-2018 AUD 140.4500